The Technology of Extrusion Cooking - Frame

The Technology of
Extrusion Cooking
The Technology of
Extrusion Cooking
Edited by
N.D. FRAME
Process Development Manager
APV Baker Ltd
Peterborough
SPRINGER-SCIENCE+BUSINESS MEDIA, B.V.

First edition 1994
© 1994 Springer Science+Business Media Dordrecht
Originally published by Chapman & Hali in 1994
Softcover reprint of the hardcover 1st edition 1994
Typeset in 10/12 pt Times New Roman by Acorn Bookwork, Salisbury,

Wiltshire
ISBN 978-1-4613-5891-6
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Library of Congress Cataloguing-in-Publication data
The Technology of extrusion cooking / edited by N.D. Frame.-1st ed.
p. cm.
Includes bibliographical references and index.
ISBN 978-1-4613-5891-6 ISBN 978-1-4615-2135-8 (eBook)
DOI 10.1007/978-1-4615-2135-8
1. Food-Extrusion. 1. Frame, N.D.
TP370.5.T43 1993
664' .02-dc20 93-21259
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Preface
Extrusion cooking is a specialist area of food technology because of the

complexity of the interactive effects which are inherent in the system.
General predictive modelling is very difficult because ingredients are
diverse and can vary considerably. Modelling tends to be product specific -
new product development tends to be by experimental designs and good
fortune.
The emphasis of this book is on the latest and potential applications of
twin screw extrusion in food production, specifically co-rotating inter-
meshing screw extruders. Of course, in order to develop products and
maximise the extruder potential in terms of energy, product quality and
output, an overall understanding of the material flow mechanism, barrel fill
length and rheology is essential. The book aims to give explanations and
general guidance with examples of screw design, configuration and operat-
ing parameters for a variety of product categories. It is also intended to
help production operators diagnose the symptoms of particular problems
such as temperature control, quality variation, raw material inconsistency,
etc. For the product development technologist there is more than one way
to make a similar product. For example, equipment manufacturers recom-
mend difficult methods for producing flaked corn. In addition, their
machines may differ from each other in terms of screw design, power/
volume ratio, screw tip/barrel clearance, etc., making scale-up more prob-
lematic.
Extruders generate mixing or shear forces in relatively short residence
times which make them highly energy efficient in producing, at high
outputs, the direct expanded products found in snack and RTE breakfast
cereal categories. Unfortunately these shear forces can generate significant
heat and physical degradation of ingredients which may be detrimental to
quality parameters such as palatability, water absorption, texture or chemi-
cal reaction. These factors are especially important to petfood and
brewers' hop extrusion.
The advantages and limitations of the twin screw extruder are clearly
outlined for different categories and the examples provide the necessary
information on the practicalities of setting up a new process or widening a
current product range.
NDF
Contents
1 Operational characteristics of the co-rotating twin-screw extruder 1

N.D. FRAME
1.1 Types of extruders 1
1.1.1 Single screw 1
1.1. 2 Co-kneaders 4
1.1.3 Counter rotating 4
1.1.4 Co-rotating 5
1.2 Process characteristics of the t.s.e. 7
1.2.1 Feeding 7
1.2.2 Screw design 9
1.2.3 Screw speed 14
1.2.4 Screw configurations 17
1.2.5 Die design 25
1.2.6 Barrel temperature and heat transfer 30
1.2.7 Scale-up 35
1.2.8 Process flow charts 38
1.3 Ancillary processes 39
1.3.1 Preconditioning 39
1.3.2 Devolatilisation 43
1.4 Raw materials 46
1.5 Practical operation of the t.s.e.-start up, shut down and control 48
1.6 Glossary 50
References 50
2 Raw materials for extrusion cooking processes 52

R.C.E. GUY
2.1 Introduction 52
2.2n Structure-forming raw materials 55
2.2.1 Structure-forming raw materials based on starch 55
2.2.2 Protein-rich raw materials 64
2.3 Raw materials acting as fillers in the extrudates 66
2.3.1 Proteins 67
2.3.2 Starches 67
2.3.3 Fibrous materials 67
2.4 Raw materials as plasticisers and lubricants 67
2.4.1 Water 67
2.4.2 Oils and fats 68
2.4.3 Emulsifiers 69
2.5 Raw materials acting as nucleants for gas bubble formation 69
2.6 Raw materials acting as flavours 70
2.6.1 Salt 70
2.6.2 Sugar 70
References 71
Vlll CONTENTS
3 Breakfast and cereal extrusion technology 73

R.c. MILLER
3.1 Introduction 73
3.2 What is a breakfast cereal? 73
3.3 A closer look at the products 79
3.4 Breakfast cereal processes 80
3.5 Principles of cooking 82
3.6 Overview of cooking processes 86
3.6.1 Boiling water cookers 88
3.6.2 Steam cookers 88
3.6.3 Adiabatic extrusion 89
3.6.4 High shear cooking extrusion 89
3.6.5 Low shear, high pressure cookers 90
3.6.6 Low shear, low pressure cookers 91
3.6.7 Continuous steam pre-cooking 91
3.7 Breakfast cereal processes: traditional and extrusion methods 92
3.7.1 Flaked cereals 92
3.7.2 Extrusion puffed breakfast cereals 99
3.7.3 Oven puffed cereals 101
3.7.4 Gun puffed cereals 103
3.7.5 Shredded products 104
3.7.6 Pre-cooked hot cereals 107
3.8 Conclusion 108
References 108
4 Snack food extrusion 110

G. MOORE
4.1 Introduction 110
4.2 Ingredients 110
4.2.1 Cereals 111
4.2.2 Root crops 112
4.2.3 Process aids 113
4.3 Equipment review 115
4.3.1 Mixing equipment 115
4.3.2 Feeders 116
4.3.3 Conditioning cylinders 116
4.3.4 Extruders 116
4.3.5 Dryers 119
4.3.6 Fryers 119
4.3.7 Coaters 120
4.4 Direct expanded products 121
4.4.1 Process description 121
4.4.2 Fried collets 123
4.4.3 Baked collets 126
4.5 Co-extruded snacks 127
4.5.1 Process description 127
4.5.2 Formulation 131
4.5.3 Miscellaneous 133
4.6 Indirect expanded products 133
4.6.1 Pellets 134
4.6.2 Fabricated chips 136
4.7 Die and cutter design 139
4.7.1 Die plates 139
4.7.2 Die holes 140
CONTENTS IX
4.7.3 Effect of expansion forces 140

4.7.4 Effect of viscoelastic forces 140
References 143
5 Petfood and fishfood extrusion 144

G.J. ROKEY
5.2 Raw material characteristics and selection 144
5.2.1 Protein sources 145
5.2.2 Starch sources 147
5.2.3 Fat, fibre and ash consideration 149
5.2.4 Minor ingredients 151
5.2.5 Typical formulations 153
5.2.6 Raw material preparation 155
5.3 Selection of hardware 156
5.3.1 Feeding devices 158
5.3.2 Preconditioning considerations 159
5.3.3· Extruder barrel selection 162
5.3.4 Die/knife design 169
5.3.5 Ancillary process equipment 172
5.4 Processing variables 175
5.4.1 Preconditioning 175
5.4.2 Extrusion 176
5.4.3 Process control 180
5.5 Final product specifications 181
5.5.1 Quality control 181
5.5.2 Troubleshooting techniques 186
5.6 Evaluation of operational costs 187
5.7 Conclusion 188
References 189
6 Confectionery extrusion 190

E.T. BEST
6.2 Processing 191
6.2.1 Pre-extrusion processes 191
6.2.2 Cooker extruder profiling 193
6.2.3 Addition and subtraction of materials 196
6.2.4 Shaping and forming at the die 197
6.2.5 Post -extrusion processes 198
6.3 Flavours and other special ingredients for confectionery extrusion 199
6.4 Liquorice 201
6.5 Toffees, caramels and fudges 206
6.6 Boiled sweets 207
6.7 Sugar crust liqueurs 210
6.8 Pressed tablets 210
6.9 Creams, pastes and lozenges 212
6.10 Gums 215
6.11 Jellies 216
6.12 Cocoa and crumb 218
6.13 Chocolate 220
6.14 Reaction chamber products 222
6.15 Aerated confections 223
6.16 Chewing gum 225
6.17 Frozen confectionery 226
x CONTENTS
6.18 Croutons 227

6.19 Three-dimensional confections 228
6.20 Confections by half products 230
6.21 Other areas 231
6.22 Conclusion 232
Acknowledgements 233
References 233
7 Extrusion of brewers' hops 237

K.T. WESTWOOD
7.2 Application of extrusion technology to the production of bitterness in beer 238
7.2.1 Background 238
7.3 Development of extrusion technology in hop processing 241
7.4 Process chemistry-choice of alkaline salt 242
7.5 Composition and quality of extruded hops 245
7.6 Experimental brewing studies with extruded hops 246
7.7 Process development to commercial scale production 246
7.8 Conclusion 250
References 250
Index 251
Contributors
Mr E.T. Best Westreco Inc., Missouri Development Centre, 3916

Pettis Road, St Joseph, M064593, USA
Mr N.D. Frame APV Baker Ltd, Manor Drive, Paston Parkway,

Peterborough PE4 7AP, UK
Dr R.C.E. Guy Flour Milling and Baking Research Association,

Chorleywood, Herts WD3 5SH, UK
Mr R.C. Miller RD2 Box 413, Auburn, New York 13021, USA
Mr G. Moore 3200 Fruit Ridge Avenue, NW, Grand Rapids,

Michigan 49504, USA
Mr G.J. Rokey Wenger Manufacturing, Sabetha, Kansas 66534,

USA
Dr K.T. Westwood Brewing Research Foundation, Lyttel Hall,

Nutfield, Redhill RH14HY, Surrey, UK
1 Operational characteristics of the co-rotating twin-
screw extruder
N.D. FRAME
1.1 Types of extruders
Extruders come in a wide variety of sizes, shapes and methods of opera-

tion. There are hydraulic ram extruders, in which a piston forces dough
through a die, roller types, in which two rolls rotate towards each other
to force dough through a die, and screw types (both single and twin) in
which a rotating screw pumps dough through a die. Extruders are used in
food processes because they provide mechanical energy for cooking and
melting; by pumping they force dough through a shaped opening, and in
some cases they can be used for intense mixing for dispersion and homo-
genisation of ingredients.
Screw extruders are usually classified by how much mechanical energy
they can generate. For example, a low-shear extruder is designed to
minimise mechanical energy to prevent cooking of the dough. A high-
shear extruder is designed to impart a high level of mechanical energy
which is converted to heat to cook the dough. Low-shear screw extru-
ders are used to make pretzels, pasta and some types of snacks and
breakfast cereals. High-shear screw extruders are used to make pet
foods, puffed snack foods and breakfast cereals. The discussion of
extruders in this book will be limited to the most frequently used styles
of screw extruders.
1.1.1 Single-screw extruders

Single:'screw extruders rely on drag flow to move material down the barrel
and develop pressure at the die. To be pushed forward, dough should not
rotate with the turning screw. This can be compared to a bolt being
turned while the nut turns with it; it will not be tightened. When the nut
is held fast it moves forward when the bolt is rotated (see Figure 1.1).
A single-screw extruder is not like a positive displacement pump. It is a
drag flow device, i.e. material is dragged down the barrel. To be pushed
forward, material should not rotate with the screw. The only force that
can keep the material from turning with the screw and, therefore, make it
advance along the barrel, is its drag or friction against the barrel wall.
The more friction, the less rotation and the more forward motion. Most
2 THE TECHNOLOGY OF EXTRUSION COOKING
Figure 1.1 Diagrammatic representation of the dragflow moving material (nut) along a screw
(bolt).
single-screw extruders have grooves cut into the barrel in order to

promote adhesion to the barrel wall.
Additionally, the rotational movement of the screw relative to the
barrel wall creates another flow, called the cross channel flow. This flow,
which recirculates material in the channel between the screw flights, does
not contribute to the net forward movement of the material. It does,
however, contribute to the mixing of material passing through the extru-
der.
Raw materials with a high coefficient of friction, such as maize grits,
rice cones, or even whole grains, develop good drag flow in single-screw
extruders. This is why they can be extruded positively against high die
pressures (in excess of 3000 psi). For this reason, they are widely used for
extruding snacks and breakfast cereals. Provided that raw materials are
well mixed and metered consistently into the extruder, the single-screw
extruder provides an economical means for making cooked and texturised
products.
Finally, there is a third type of flow which occurs in a single-screw
extruder. This flow is called the pressure flow and accounts for the move-
ment of material backwards in a negative direction due to the pressure at
the die. This flow can be likened to the flow of fluid through a pipe. In
the case of a single-screw extruder, the 'pipe' is the channel formed by the
screw channel and the barrel wall. Pressure flow back down the extruder
also contributes to mixing of the material.
When all of these three flows (drag, cross channel and pressure flow)
OPERATIONAL CHARACTERISTICS 3
are combined, the net effect is material flow out of the extruder die which
has experienced a certain amount of mixing. The net flow has been the
source of many modelling studies as reported in a variety of literature. A
simplified model, as described by Rossen and Miller [1] is:
Qnet = Qd + Qp
where Qd = drag flow and Qp = pressure flow (a negative number).
The drag flow, Qd, is dependent only on screw speed and screw geometry.
It is calculated by the formula:
where
(1= Y21t2D2h(l-nte)sin<l>cos<l>
and D = diameter (inside) of barrel, h = screw channel depth, n =
number of parallel screw channels, e = axial flight land width, t = screw
lead or pitch length, <I> = screw helix angle, and N = screw speed.
The pressure flow, Qp, can be visualised by imagining a non-rotating
screw with material flowing backwards from the die place end towards the
feed end. The rate of flow is dependent on the die pressure, material vis-
cosity and screw geometry. It is calculated by:
Qp =
- ~~ Ip
where P = pressure at die, L = length of screw required to generate
pressure at die (also referred to as degree of fill), !! = Newtonian viscos-
ity, and ~ = screw constant where
In summary, it is important to remember that the net flow through a

single~screw extruder is dependent on the drag flow (due to screw speed
and geometry) minus the pressure flow back. This relationship allows
some of the effects observed when running an extruder to be understood.
Some common examples are:
(i) Several die holes plug and pressure goes up, eventually leading to
reduction of output or, in the case of a starve fed extruder, material
backing up in the feed port.
(ii) Reduction of moisture content causes pressure to go up. This usually
does not result in a reduction of output because the viscosity of the
material also goes up, offsetting the rise in pressure.
(iii) Smaller die holes give greater resistance to flow through the die plate.
The greater resistance causes higher die pressure and reduction of

throughput or, for starve fed extruders, longer degree of fill or mate-
rial back-up in the feed port.
(iv) When cold water is circulated through the extruder barrel jacket the
cooling will reduce the temperature of the material in the extruder if
heat transfer is good. The lower temperature increases the viscosity of
the material, reducing the pressure flow back. The net effect is higher
output.
(v) Cooling on the barrel also typically improves the friction between the
barrel wall and the material. This improves drag flow much in the
same way as grooves in the barrel. The net effect is higher output.
(vi) Longer barrel lengths can be used to generate higher die pressures
because the fill length, L, becomes longer, reducing the pressure flow
back.
1.1.2 Co-kneaders
In an attempt to prevent material rotating in the single-screw extruder
(so-called cylindering) and generate more distributive mixing, the co-
kneader device was designed. This offers a single-screw which has recipro-
cating and rotating motion with interrupted flights. The level of shear
exerted on the product has been shown to be less than the conventional
single-screw type but the degree of cross-channel flow is greatly enhanced,
thereby improving retention time and distributive mixing. The stationery
pins in the bore, together with the interrupted flights and reciprocating
motion, greatly reduce the potential risk of high velocity wall slip and
cylindering.
However, the disadvantage of the flow pulsation created by the recipro-
cating motion can give serious product size uniformity problems. The co-
kneader is also more costly than conventional single-screws as a result of
the complexity of the gearbox which results in sinusoidal motion of the
screw.
1.1.3 Counter-rotating twin-screw extruders

Fully intermeshing counter-rotating screw extruders prevent the cylinder-
ing effect and approach positive displacement in pumping materials.
Extremely high die pressures can be achieved because dough is moved
down the extruder in separate C-shaped chambers. However, for this
same reason, these extruders exhibit poor mixing characteristics as the
materials never interact with the materials in the other chambers of the
screw. Hence the only mixing which is done is due to recirculation within
the chamber itself. No back-mixing occurs to smooth out feed fluctua-
tions.
Application of these extruders in food manufacturing tends to be

limited to low viscosity systems which require positive displacement
pumping, e.g. liquorice and fruit jelly strands. One advantage lies in the
relative ease of moisture extraction or gaseous devolatilisation since the
top half of the screws tend to run empty of solids at the vent ports and
therefore vacuum extraction efficiency is maximised.
Additionally, while high pressures can be achieved in a counter-rotating
twin-screw extruder, production of expanded cereal products is uneco-
nomic. The high pressures also generate large forces which deflect the
screws onto the barrel walls and wear can be significant.
1.1.4 Co-rotating twin-screw extruders

The most common form of co-rotating twin-screw extruders is the fully
intermeshing, self-wiping style. This type has screws which are open
lengthwise and closed crosswise. Like the single-screw extruder the co-
rotating twin-screw is a drag flow device. However, the potential for the
product to rotate within the screw at its rotational velocity is impeded by
the flight of the other screw. Its direction is changed and cylindering
cannot occur (see Figure 1.2).
Co-rotating extruders can be operated at higher screw speeds than
counter-rotating twin screws because radial forces are more uniformly dis-
tributed. Co-rotating extruders offer better conveying and narrower resi-
dence time distributions than single-screw extruders. The conveying
capability of twin-screw extruders allows them to handle sticky and other
difficult-to-convey food ingredients. In general co-rotating twin-screw
Figure 1.2 Directional flow of material along co-rotating intermeshing screws.

extruders offer the most flexibility for producing a wide variety of food
products.
In co-rotating extruders the material is transferred from one screw to
the other. The flow mechanism is a combination of drag flow and positive
displacement flow. Because of this the modelling equations are more
complex. Flow models for co-rotating twin-screws follow a similar treat-
ment as those for single screws. The models allow for a combination of
drag flow and pressure flow:
_ ~ f:.p
Qnet - r:t..N - 11 y
where N is screw speed, T) is viscosity, f:.p is the pressure rise, L is the fill
length, and r:t.. and ~ are constants based on screw geometry.
This type of model has been presented in articles published by authors
such as Booy [2] Denson and Hwang [3] and Yacu [4].
A different method of developing a flow model was presented by Todd
[5]. He reports experiments conducted to determine pumping character-
istics for twin-screws and paddle/kneading block elements. The extruder
output, Q, is defined as:
Q=r:t..N-- -
w f:.p
T) L
The values for r:t.. and W for various screw elements were determined
experimentally and are given in Table 1.1.
Understanding the general form of the flow model for a twin-screw
extruder is important for understanding what is observed in the day-to-
day operation of an extruder. For example, increasing the pressure at the
die (due to smaller or fewer die holes) would result in a lower output rate
(Q) or an increased length of fill (L), assuming that viscosity and screw
speed remained unchanged.
Table 1.1(a) Drag and pressure flow parameters for a 50 mm

twin-screw extruder: paddle/kneading block configurations [5]
Paddle
Staggering length/
angle diameter
30 0.25 51.1 0.508

45 0.125 18.7 0.198
45 0.25 31.1 0.348
45 0.5 36.4 0.603
60 0.125 5.7 0.228
60 0.25 17.9 0.366
60 0.5 22.9 0.487
90 0.25 o 0.429
Table 1.1(b) Drag and pressure flow

parameters for a 50 mm twin-screw
extruder: screws [5]
Helix
angle
18 42.0 0.112
6.1 14.0 0.011
1.2 Process characteristics of the twin-screw extruder
The remainder of this chapter is dedicated to the operational character-

istics of the co-rotating twin-screw extruder since it is becoming by far the
most popular choice for product development.
The stability of the extrusion system, output and product quality is an
optimisation of machine process variables and feed ingredients. The main
process variables, which include feed rate, screw designs and configura-
tions, screw speed, die design and barrel temperature, are directly con-
trolled by the extruder operator. The following discussion is intended to
give a guideline on the use of a co-rotating twin-screw extruder for
product development and output optimisation.
1.2.1 Feeding
Co-rotating extruders are in general starve fed, i.e. the conveying capacity
of the extruder exceeds the rate at which the material is fed into it. The
first important factor in the extruder operation is the stable, consistent
introduction of feed stocks into the machine. Inconsistent flowrates of
feeds will more often than not produce inconsistent flow of product which
can be seen, for example, in a large size distribution, poor shape, varied
textures, etc. The required degree of accuracy of the feeders does depend,
however, on the tolerance of the extrusion process. For instance, pulsa-
tions typical of single-screw volumetric feeding can often be smoothed out
by good extruder configuration design. If the pulsing is consistent then
problems may not occur. Raw materials can greatly influence the design
of feeder. Materials prone to aerate or hold pockets of air can have bulk
density variation within holding vessels and when volumetric feeders are
used, control of level and design of agitators/activators with the feeder
hoppers is critical. Such problematic raw materials commonly extruded
either separately or premixed include fine particulate starches, cocoa
powder, icing sugar and high fat containing cereals, e.g. oatflour.
The gravimetric or loss-in-weight feeders are becoming more popular
despite their higher cost. However, the design of the feed hopper can be
important and must continuously provide the feeding device with mate-
rial. For example, vertical sided or agitated wall hoppers are used in
feeding high fat content oatflour.
The feed material can be pumped, vibrated or screwed into the extruder
barrel. This is normally done vertically, however, for powders it is becom-
ing increasingly more popular to introduce the powder into the side of the
extruder. This has the advantage of pushing material into the maximum
free or void area of the screw and thereby maximising volumetric flow-
rates. In some cases the feed port may be 2.5 L/D away from the bulk
head (where the normal feed position would be) in order to facilitate a
degassing operation. In conjunction with side feeding this can be a very
useful advantage when feeding very low bulk density powders. In this case
vertical feeding could result in 'sloughing' within the feed chute. This is a
phenomenon in which air tries to escape back up the feed chute and can
result in the dust particulates choking the feed entry port, giving a poten-
tially unstable feed situation.
As the material is being fed into the extruder, the two intermeshing
screws rapidly take it into the main body of the machine. The material is
then subjected to mechanical and thermal stress by successive sections of
restrictive screws or elements. The degree of resistance offered by the
mixing elements determines the degree of barrel fill and where the barrel is
full.
In many extruders the so-called feed zone (Figure l.3) is followed by
mixing paddles whose purpose is to distribute evenly liquids within a
viscous/solids mass and/or act as a vapour lock, i.e. preventing moisture
returning into the feed port. This resistance must be overcome by a build-
up of pressure which is linear to the number of screws filled with material.
In practice a paddle section of length 1.5 D would require a minimum
length of 4.5 D deep flighted high conveying volume screws under normal
operating conditions to make a direct expanded cereal.
Feed material
i--.
Feed section
..i - - ------·1
~-----r.i-------
Mixing zone'
Metering section
Figure 1.3 Typical twin-screw configuration showing feed mixing and conveying sections.
The actual length of feed zone depends on the physical properties of the
feed materials such as bulk density and the process constraints of screw
speed, output and screw pumping efficiency.
As the feed zone is not normally full, the injection of liquids into the
barrel under atmospheric pressure is facilitated. The type of liquid pump
is important since any fluctuations in liquid feeds can be disastrous. For
example, it is important to check the liquid pump's positive displacement
efficiency before starting up. Any air entrainment or badly seated valve
arrangements will invariably cause a premature shutdown when liquid
entry ports in the extruder barrel become partially blocked.
Typically, peristaltic, gear and mono-pump can be unreliable against
pressures generated in the extruder feed zone. On the other hand, piston
pumps are the most positive displacement type and if used as a multihead
system any large pulsation is reduced. The main disadvantage of the
piston type is in the valve and ball arrangement where any solid matter,
either as a foreign body or natural in the feed stock, will prevent the ball
seating in the valve. This drastically reduces the positive nature of the
pump and although it may be apparent that the pump is functioning well
under atmospheric pressure, any back pressure caused by partial blockage
in the feed pipe will be disastrous.
1.2.2 Screw design

The degree of intermeshing is determined by the shaft centre line distance
(CL , Figure 1.4) and the desired screw to screw clearance, with zero clear-
ance being fully intermeshing. Many manufacturers of extruders claim
machines which are self-wiping but this implies zero clearance which
would give severe mechanical wear from metal to metal contact. In reality
a compromise is found and screws are made as fully intermeshed as pos-
sible.
The volume of material that screws can convey and the power they can
transfer in pumping and heat generation is a design optimisation which is
made to suit different products. As the available torque increases with
motor size the mechanical components such as shafts, gearbox seals, etc.
get proportionally greater, as does the extruder cost. By increasing shaft
diameters for a given barrel or screw diameter, although they become
capable of carrying higher power, the available volume for conveying the
material decreases. There must always be a design compromise between
power and available volume for conveying. For example, maize grits
(particle size 750 microns) can be extruded in a 10 D barrel MPF65 APV
extruder with a 56 kW motor at 280 kgjh to make a commercially accep-
table corn collet. This extruder operates at 95% of maximum screw speed
and 100% of maximum torque available, i.e. the size of motor limits the
output. On the other hand a lower bulk density maize flour occupies a
w
o
Figure 1.4 The centre line distance (Cd governs the maximum power transmittable from the
motor to the shafts and the screw conveying volume.
much greater proportion of the barrel compared to maize grits with the
consequence that only 200 kgjh can be extruded before the 10 D barrel
length is full. At 95% of maximum screw speed only approximately 80%
of the available torque is being used. The volumetric capacity of the
screws therefore limits output.
The centre line distance ratio is a term used to describe the degree of
free area or space between screw shafts. Its value can vary between extru-
der manufacturers and should be a consideration in optimising output
and motor power usage.
Colbert [6] cites the centre line distance ratio as:
CL
D
where CL = is the distance between SCrews and D = distance of half the
barrel.
For a given diameter of extruder the centre line ratio can vary from 0.7
to 1.00 for a two-lobe design with significant changes in free volume and
capability. With a centre line ratio approaching 0.7, the free volume avail-
able for the extruder is high but the shaft diameter is small thus limiting
torque and retaining energy that can be applied to the product. On the
other hand, as the centre line ratio approaches 1.0, the shafts can be made
larger and capable of carrying higher power but the volume throughput
decreases to the point where there is no product to utilise the energy.
The choice of screw design and its position in the barrel are dictated by
the following considerations:
1. volumetric flow requirement

2. the match of pumping efficiency with the rheology of the material being
extruded
3. strength and wear characteristics
4. surface area for heat transfer and narrow residence time distribution
5. pressure and flow distribution at the entrance to the die
6. the degree of shear or intensive mixing required
7. the degree of barrel fill
8. the motor size.
The conveying volume of a screw is a function of the screw speed, dia-
meter and distance between flights of the screw (referred to as pitch) (see
Figure 1.5):
Qv = f [cP (Hp) N]
or Qv = m NV
where Qv = conveying volume, d = diameter of screw, Hp = pitch, N =
screw speed and, m = starts on the screw shaft.
Hr
Figure 1.5 Screw geometry affects conveying volume and pressure development.
The pressure (P) which these screws generate over a length (x) can be
described as
dp _ K [ DNIl ]
dx - L 2tan9
where K = constant dependent on the degree of screw intermeshing, D =
screw diameter, N = screw speed, 11 = material viscosity, L = flight
height and 9 = flight helix angle.
From this expression it can be seen that the length of the pumping
section decreases with increasing screw speed, melt viscosity and decreas-
ing screw helix angle. As a result, as the conveying volume rate is
increased by making screws less shallow, the pumping efficiency is reduced.
The pumping efficiency is further decreased by making flight tips thinner.
Some examples of screw designs are shown in Figure 1.6. The convey-
ing volume of APV Baker MPF screws is shown in Table 1.2. The high
volumetric capacity screws are used with low bulk density materials such
as cereal flours, starches, cocoa powders, gluten flour, etc. for their con-
veying volume rather than pumping ability. If only liquids are introduced
into the extruder, e.g. in cofifectionery such as liquorice, fruit leather or
jelly production, the poor pumping efficiencies of these screws become
limiting and for this reason shorter pitched screws with long flight tips
and steep helix cycles can be used.
Matching the pumping efficiency with the material being extruded is
important to avoid limiting output. Mixing elements such as paddles,
reverse pitch cut flight screws, orifice discs and cavity mixers all offer a
restriction to the flow of material, generating back pressure. This back
pressure must be exceeded by the pressure generated by the screws
upstream. If during its passage through mixing zones the material increa-
ses in viscosity, the resistance to flow through these sections will increase.
In many confectionery products the viscosity differentials require short
pitched, long flight tip, single lead screws. The temperature rise as a result
of viscous heat dissipation is not normally very high with low viscosity
confectionery liquids (probably less than 5°C) but the much higher viscos-
ity cereal melts associated with starch gelatinisation and melting at low
moisture contents « 18% total in the barrel) to make direct expanded
products, can create temperature rises of up to 190°C.
The pressures generated in paddle regions with sugar confectionery
extrusion do not normally exceed 200 psi with the exception of corn syrup
solids extrusion when pressures exceeding 500 psi can be experienced.
In many cases it is important to create steam or vapour locks. For
example, in preventing moisture or steam vapour from returning to the
feed section of the barrel, a section of paddles or restriction at 4.5D
(minimum) from the feed entry port is configured. This will, as previously
explained, reduce the volumetric capacity of the extruder but can mini-
Single start
feed screws
Double start
leed screws
Triple start
low volumetric
capacity screws
co Quadruple start
cut flight,
tight helix
screw
VJl!!J
orifice disc
XLT screw
design
Figure 1.6 Different screw designs are used for specific shear rate and pumping duties.
mise production stoppage due to feed chute blockage. As an alternative to

paddles a twin- or tri-start flight helix screw can be used, however, the
mechanical wear life of such screws is significantly less than paddles and
normal conveying screws. Where thermal control is essential, for example
in exothermic reactions such as hop isomerisation or minimising the tem-
perature increase in bread dough mixing, screws designed to maximise the
exposure of the material to the barrel are used. Increased L/ D extruders
are used to offset the reduced volume/surface area ratio. Mixing elements
Table 1.2 Volumetric capacity of APV Baker MPF screw elements
Total Cross-sectional Conveying

cross-sectional area available volume per
Pitch area of barrel for process revolution
Screw type (D) (D2) (%) (D 3)
Twin lead 1.468 D2 47.6 0.699

feed screw
Twin lead 0.40 1.468 D2 47.6 0.280
feed screw
Single lead 0.25 1.468 D2 41.2 0.151
screw
Bilobal paddles 1.468 D2 47.6
Example Conveying volume per revolution for twin lead feed screw of 1 diameter (D) pitch
(lD) x (1.468 D2) x (0.476) = 0.699 D3
can generate significant pressure forces when cereals are extruded with
moistures inside the barrel of less than 18%.
The smearing action of paddles and the shearing action of reverse pitch
screws can, for example, express the oil out of oatflour under pressures
exceeding 300 psi. The corresponding temperature rise can also be problem-
atic especially with pure starch extrusion when instability will ensue.
When the material requires the maximum residence or hold-up time,
long restrictive zones made up of a series of block paddles or reverse
screws can be used. However, large temperature rises may develop which
need to be controlled and the volumetric capacity of the extruder will be
limited. One effective way of obtaining the maximum residence time is to
use orifice discs. In conjunction with a barrel valve the resistance to flow
becomes variable, which is extremely useful for research and development.
It is an effective way of determining the effect of residence time on
product quality without resorting to screw configuration changes.
The screw element used before the die depends on the rheological prop-
erty of the material and the importance of a uniform pressure flow going
into the die. In pasta production it is normal to use multi start screws in
the XLT design. Multistart feed screws produce a better flow distribution
than single lead short helix screws and are used for corn collet and other
direct expanded cereals.
However, single lead screws are used for the extrusion of fruit laces,
liquorices and other formed confectionery items because of their good
positive pumping ability.
1.2.3 Screw speed

Screw speed directly affects the degree of barrel fill, and hence the resi-
dence time distribution, and the shear stress on the material being extru-
ded. For ready-to-eat (RTE) cereals, petfoods and snacks where the total
moisture content of the material inside the barrel is in the range of 14-
20%, screw speeds in excess of 250 rpm are normal. At these speeds and
moistures significant frictional heat can be generated at paddle and
reverse screw zones creating starch melting phenomena with a reduction
in the viscoelastic nature. The screw speed is a factor in determining the
maximum volumetric output of the extruder and is one reason why most
extruder manufacturers design machines to run at the maximum speeds
mechanically tolerable, usually 400-500 rpm. One argument against this is
the increase in wear rate of mechanical components such as screws and
barrels. However, as metallurgists discover harder wearing components
this is becoming a much less important consideration.
The measured torque and die pressure change with screw speed. As
most ingredients used in food extrusion are thixotropic/pseudoplastic there
is a linear relationship between speed and torque/pressure. The barrel fill
length decreases with increasing screw speed and die area but increases
with feed rate. In some instances a balance is made between feedrate, die
area and screw speed to maintain extruder stability. This can be general-
ised in graphical representation (Figure 1.7).
D = Die Diameter
F = Feedrate
S = Screw speed
BF = Barrel fill
BF 1
F1 Feed
2t@ ~D Product
Die D1
BF2
F2 Feed f-------i
~lli1:tm ~D Product
Die D2
If BF2 is less than ID from the die, then the system is prone to instability.
This can be seen as product surging from the die together with rapid die
pressure fluctuations. The torque reading may remain fairly constant
albeit at a lower reading. Reducing the die area and screw speed or
increasing the feed rate would alleviate this problem but it may generate
% Barrel lill
Figure 1.7 Barrel fill is a factor affecting product stability. Screw speed, feed rate and die
geometry require optimising for each product formulation.
another, for example, the residence time or product temperature will be

affected by the corrective measure.
The normal minimum screw speed range is 70-100 rpm. Below this, the
volumetric capacity would be severely limited and make the majority of
food extrusion products costly to manufacture. Since the normal reason
for operating at low speed is to achieve maximum residence time as com-
pared to shear generation, cheaper methods of extending residence time
are available. For example, extended pipe dies or holding tubes can be
used for hydrocolloid rehydration or gelatinisation. Alternatively, pre-
treatment of materials before extrusion is common. The extruder in this
case would be used as a mixer and shape former as opposed to supplying
all the thermal heat and residence time.
1.2.3.1 Specific energy consumption. It is important to understand and

interpret the mathematical definition when considering using specific
energy consumption (S) in judging quality of product.
By definition: S = motor power used (kW h/kg)

output
S = N x T x Kw
Q
where N = per cent screwspeed, T = per cent torque, Kw = motor
power and Q = output (kg/h),
This value relates to the specific work input from the motor to the
material being extruded. However, in many food extrusion applications,
and especially when used in scale-up calculations, the value of Scan
remain the same although the product quality can be quite different. For
example, if the screw speed is increased, the value of torque is reduced
because the degree of barrel fill becomes less. The viscosity of the material
may also be reduced because of the increased shear. It is very likely that
the value of S can be the same but the rheology and quality of the
product will now be different.
The specific energy consumption value is recipe dependent. In the
extrusion of direct expanded cereals reducing the moisture content will
normally increase the value of S since the torque increases.
Replacing the moisture with sufficient amounts of sugar to reduce the
torque back to its original value and modifying the overall feed rate to be
the same as before will make the texture and sweetness of the product
completely different, although the calculated value of S is the same.
1.2.4 Screw configurations

A multitude of screw configurations is available to the operator but the
normal practice is to configure the screw as a series of repeated conveying
and mixing elements.
The conveying screws generate the pressure necessary for the material to
flow through the mixing restrictions which create the biochemical conver-
sions. The degree of barrel fill cannot be seen visually but information such
as torque and pressure differentials provide the symptoms for diagnosing
it. Measurements of the number of screws filled and how full they are give
an indication of the viscoelastic nature of the material being extruded.
In the following section some practical examples are given, showing how
screw configuration affects the measured value of torque and pressure. The
first example is a case study for the commercial production of crispbread.
The second case study is very demonstrative in showing the effect of
screw configuration on corn curl quality and extrusion stability. Further
examples of configurations used for some specific products are also given.
1.2.4.1 Case study 1. Effect of process variables on torque, die pressure

and specific mechanical energy consumption for the production of crisp-
bread. Results are shown in Tables 1.3 and 1.4.
Crispbread: typical recipe %
Wheat flour (72% extraction) 70
Wheat bran 5
Skimmed milk powder 4
Salt 1
Extruder
MPF 80 (15 LID) co-rotating twin screw
Final die hole design (width x aperture) = 35 x 1.5 mm
Barrel temperature profile: 5 zones used for heating material
Liquid additions: water
vegetable oil pumped into the feed section equivalent
to 1.5% of the dry feed powder. This was kept con-
stant for the duration of these trials.
Table 1.3 Crispbread production: screw configuration 1
Barrel
Screw Powder Water Die temperature
No. of speed feedrate rate pressure Torque SME profile
dies (rpm) (kglh) (l/h) (psi) (%) (kW hlkg) ("C)
2 320 220 24.5 800 79 0.149 30 60 90 120 120

2 320 220 21.0 800 80 0.155 30 60 90 120 120
2 320 220 26.5 800 79 0.149 30 60 90 120 120
2 300 220 24.5 800 79 0.150 30 60 90 120 120
2 320 250 22.0 1200 87 0.151 30 60 90 120 120
2 300 220 24.5 1125 95 0.169 30 60 80 80 80
4 400 350 35.0 800 90 0.143 30 60 90 120 120
4 450 350 36.0 toOO 95 0.160 30 30 60 90 90
4 450 400 41.0 toOO 98 0.152 30 30 60 90 100
4 350 300 31.0 900 92 0.142 30 30 60 90 90
Table 1.4 Crispbread production: screw configuration 2
Barrel
Screw Powder Water Die temperature
No. of speed feedrate rate pressure Torque SME profile
dies (rpm) (kg/h) (l/h) (psi) (%) (kW hlkg) ("C)
2 320 250 25.0 850 79 0.151 30 30 60 90 90

2 370 300 31.1 950 88 0.144 30 30 60 90 90
2 375 300 31.1 930 77 0.127 60 120 140 90 90
2 450 350 36.2 820 73 0.138 60 120 140 90 90
2 320 220 24.5 720 77 0.165 30 60 90 120 120
4 350 300 25.0 750 66 0.118 60 120 140 90 90
4 400 350 35.0 750 68 0.119 60 60 90 120 140
Screw configuration 1
7 DFS, 6 x 30°FP, lDSLS, 3 x 30°FP,3 x 60 o RP, lDSLS, 3 x 30°FP,
4 x 60 o RP, lDSLS
7 DFS, 6 x 60 o RP, lDSLS, 3 x 30°FP, 3 x 60 o RP, OD, lDSLS, 3 x
30°FP,3 x 60 o RP, lDSLS
FS feedscrew
RP reverse paddle configuration (each paddle is O.2SD long)
FP forward paddle configuration
SLS single lead screw
OD orifice disc
General conclusions
1. Increasing temperature profiles in the final three zones reduces the torque
loading by reducing the viscosity of the material within the barrel.
2. Increasing powder feedrates increases the total pressure drop over the
die by increasing the barrel fill. The torque consequently increases as a

result of this.
3. The torque values are comparatively higher for screw configuration 1
as a result of the extra paddle section towards the feed zone. The high
shear effect from the orifice disc in configuration 2 creates a lower
torque value and the lower die pressures are a result of a lower viscos-
ity material passing through the die.
4. Increasing the die area by a factor of two does not reduce die pressure
by the same degree since the viscosity of the material increases sig-
nificantly. This is believed to be a die shear rate effect.
5. With the configurations tested here, it was imperative to control the
product temperature through the die. This was best achieved by run-
ning the die zone isothermally, i.e. supplying the zone with a controlled
flow of cooled water. The result of not doing this would be gradual
heat build-up in the die block causing excessive product browning and
increased shear thinning. Product expansion ratio becomes less and the
texture becomes more friable and less crisp.
6. Screw speed creates a large amount of viscous dissipation and needs to
be minimised to control the product temperature through the die.
7. The SME value could not be correlated to the product texture and
bite. This showed that there was more than one process way to
produce the same effect. SME values of 0.142 and 0.154 kW h/kg gave
identical products albeit made with 4 and 2 die holes respectively.
1.2.4.2 Case study 2: Corn curls. Effect of screw configuration and

process variables on the quality and SME value of corn collets (curls).
Results are shown in Table 1.5.
The test programme used the following equipment:
MPF 50 (15 L/D) extruder: 5 thermal controlled zones
No. of dies = 2
Size of dies = 3 mm round
4 bladed die face cutter
Barrel temperature profile was maintained during the tests
Zones (1) 30°C, (2) 60°C, (3) 90°C, (4) 120°C, (5) 150°C
Zones 4 and 5 were increased to 150 and 180°C
respectively during trials and 4 and 8
Powder feedrate = 60 kg/h
Maize grits (:;;;; 500 ~m particle size)
Machine variables
MPF 50:15 Low shear
Configuration 1 5Dfeedscrew
7 x 30° forward paddles
Table 1.5 Effective screw configuration and process variables on SME and quality
Screw Water Die Product die Product bulk

speed rate pressure Torque SME temperature density Bubble Screw
Trial (rpm) (l/h) (psi) (%) (kW hlkg) (0C) (gil) structure configuration
1 400 2 1350 32 0.115 146 56 Coarse 1

2 300 2 1500 43 0.116 150 48 Fine-coarse 1
3 400 0.7 1450 34 0.148 156 45 Very fine 1
4 400 2 1350 30 0.108 164 50 Fine-coarse 1
5 400 6 430 32 0.108 126 51 Coarse 2
6 300 6 530 40 0.102 130 58 Very coarse 2
7 400 2 400 38 0.137 135 32 Very fine 2
8 400 6 290 30 0.102 139 26 Very fine 2
ripped edge
4D feedscrew
4D single leadscrew
MPF 50:15 High shear
Configuration 2 5D feedscrew
2D feedscrew
2D single leadscrew
3 x 60° reverse paddles
orifice disc
0.5D single leadscrew
lD single leadscrew
Conclusion
1. Higher torque values were obtained from higher shear configuration,
showing the effect of increased barrel fill in configuration 2 but an
oveqtll lower viscosity at the die head as seen by the dramatic reduc-
tion in pressure.
2. Higher moistures were necessary when using high shear configurations
to avoid product burning within the die and an unstable extrusion
situation arising. This reduces die pressures further.
3. The SME values for trials 6 and 8 are the same although bulk density
and product textures are completely different. Comparable SME values
were found for trials 4 and 5 and product bulk densities are also com-
parable. However, the sample from trial 5 has a much coarser bubbles
structure.
1.2.4.3 Case study 3: direct expanded cereal
1. Recipe
Sample 1 2
Pregelled oatflour 46.7
Oat flour 70.0 23.3
Wheat flour 15.0 15.0
Granulated sugar 5.0 5.0
Malto dextrin 5.0 5.0
Dried malt extract 3.0 3.0
Sodium bicarbonate 1.0 1.0
100 100
2. Screw configuration (15D)
5D feedscrew
4D feedscrew
orifice disc
ID feedscrew
3. Extruder process parameters
Sample 1 2
Screw speed: 350 450 rpm
Barrel temperature: Zone
1 30 30
2 60 60
3 90 140
4 120 160
5 150 180
Powder feed: 75 150 kgjh
Water feed: 11.5 16.0 kgjh
Dies: x 16 x 1.3 mm dia., 2 x 46 x 0.7 mm dia. multi-
hole die inserts
Product Appearance
4. Post extrusion process

The streams of extrudate are drawn into the cutter crimper immediately
after extrusion. The ribbons of product are dried at 150°C for 20 minutes
before cooling and breaking into squares.
As an additional process, the centre of the multistranded pillow can be
filled with cream during extrusion - coextruded - and then dried in a con-
vection oven. Alternatively, a meringue filling can be coextruded and
microwaved to give a light porous centre to the product.
OPERATIONA L CHARACTERISTICS 23
J.2.4.4 Case stUlJy 4: lJirecl expalltif!lJ cereal

I. f\.eL ipe
Fine maize grits 69.5
Granulated sugar 10.0
Maize starch 5.0
Full cream mi lk powder 5.0
Wheat flour 6.0
Whea t bran 4.0
Sodium bicarbonate 0. 5
100
2. COl/figllratiol/
5D reedscrew
3 x 30° rorward paddles
2D reedscrew
ID reedscrew
4 x 30" reverse paddles
ID reedscrew
3. Extruder process paramelers

Screw speed: 400 rpm
Barrel temperature: Zone I 2 3 4 5
"C 30 60 90 120 150
Powder reed: 100 kg(h
Water reed : 10 kg(h
Vapourvem
eed mmenal
II II I
Culling
,f, '"'" """'
mmEI.HlffihtrllmHi11I~~NY;~~ If
00 cooling zone
Figu re 1.8 T win-screw extruder co nfiguratio n for producing ce real pellets suitable for flaking
or shredding.
4. Post-extruder process
Sample was heavily rolled after extrusion with a grooved roller before
passing through the cutter crimper. The continuous ribbons of product
were then dried at 130°C for 10 minutes before cooling and breaking into
squares. The product was then placed in a tumble drum and coated with
icing sugar and hydrogenated fat flavoured with, for example, cinnamon.
Product has a fine crisp texture and compact bubble structure. Product
dimensions are 20 x 1.5 x 13 mm. Suitable as a breakfast cereal.
1.2.4.5 Case study 5: indirect expanded cereal. Production of breakfast

cereal pellets for flaking or shredding. The single extrusion system is
shown in Figure 1.8.
1. Recipe
Wholemeal flour 100%
2. Screw configuration (25 D). MPF t.s.e used to cook and cool pellets.
Pellets cut with flexible blade cutter.
3D feedscrew
ID twin leadscrew
ID twin leadscrew
orifice disc
5.0D feedscrew vent
3 x 90° paddles
5.0D feedscrew
3 x 90° paddles
3. Extruder process parameters

Screw speed: 150 rpm
Barrel temperature: Zone I 2 3 4 5 6 7 8 9
°C 60 150 150 100 70 70 70 70 70
Powder feed: 30 kg/h
Water feed: 9.5 kg/h
Dies: 2 x 4 mm diameter
4. Post-extrusion process
The cooked pellets were passed through 200 mm shredding rolls and
laminated into 8 layers. The resultant sheet was passed through a crimper
cutter and then slit longitudinally to produce ribbons of product. These
CJ
c::J
. - Product
Cl Transition Distribution Die

plate
Product
Figure 1.9 Die assembly for the production of die expanded products.
were then dried at 150°C for 20 minutes before cooling and breaking into
squares.
1.2.5 Die design

The die area is the section of the extruder that occurs after the food
material leaves the extruder screw. It normally consists of transition, dis-
tribution and die plate sections (Figure 1.9).
There are basic formulae of fluid dynamics that can be used to model the
flow through the die. However, the entrance and exit effects, the product
rheology, and the phase changes that occur at the die have a significant
effect on the flow pattern and force the models to become approximations
that must be tested with experimentation. With modelling and selected
testing the prediction of the flow mechanics can be fairly accurate.
Currently there are no generalised solutions available for non-New-
tonian fluids moving through multi-holed dies with irregular shapes. Flow
through circular pipe capillaries has been extensively studied in the field of
rheology and sound methods exist for adequately predicting the pressure
drop versus output.
In the. absence of slip, the pressure drop on non-elastic viscometric flow
through a circular hole is related to the flow rate, radius and wall shear
stress by:
2L
Pd hole = If Tw (1.1)
where Tw is the shear stress at wall, R is the radius of die hole, L is the
land length and J,l is the material viscosity.
The power law (T = M J,l, [3]) can be used for simple dough systems
such as soy flour [7]. However, more complicated models might be required
to adequately describe most food materials over a wide range of shear rates.
Fluid flow models have been described in detail by Bird et al. [8],
Harper [9] and Michaeli [10]. The following is a summary of the techni-
ques used, assuming a Newtonian fluid under isothermal conditions. The

pressure drop across a die can be stated as a function of output viscosity
and die resistance [8].
where Q = volumetric flowrate, Po = total pressure drop and J.1 vis-

cosity of the dough at the die.
If the viscosity is constant and independent of the shear rate then for a
die of circular cross-section:
TR4
Ko = 8Lo
For a rectangular slit cross-section:
For a circular annulus:

K = 7t (Ro + Ri) (Ro - Ri
12 Lo
where R = radius of circular cross-section, Lo = land length of die
opening, W = long dimension of rectangular slit, C = narrow dimension
of rectangular slit, Ro = outer radius of annulus and Ri = inner radius
of annulus.
Land length
.. .. I
Lead-in angle
Aperture diameter
Figure 1.10 Basic die terminology.

Although these equations give a good basic approximation they do

make several assumptions. These are:
(a) the flow is laminar (Re < 2000)
(b) the density is constant (incompressible)
(c) the flow is independent of time (steady state)
(d) the flow is Newtonian
(e) end effects are negligible
(t) there is no slip at the wall
(g) there is no phase separation
Food systems also exhibit characteristics that make steady state
assumptions questionable. The chemical and physical reactions that occur
during the extrusion process, such as starch gelatinisation and protein
denaturation, are accelerated by shear stress and exhibit major changes in
viscosity. Thixotropic behaviour (decrease in viscosity with time under a
suddenly applied shear stress) or rheopetic behaviour (increase in viscosity
with time) can both be experienced in food systems and must definitely be
considered in any modelling of the flow inside the extruder.
However, the time span for flow through the die is so short that in
most cases the steady state assumption is acceptable for die hole pressure
loss calculations.
Another area that must be considered in any die calculations is the
entrance and exit effects. Entrance effects are usually minimised by pro-
viding gradual lead in angles to the die but the entrance pressure loss can
account for approximately 50-65% of the total pressure drop if the land
length/diameter ratio of the die hole is less than 2.
Adequate design of these angles prevents any turbulence from develop-
ing at the entrance and eliminates any 'dead spots' or areas of slow
product movement where overcooling can occur.
Exit effects are much more difficult to address. The expansion and
phase changes that occur at the exit prevent the use of any typical fluid
dynamics methods. However, experimental results have shown that they
have minimal effect on die pressure and that their neglect is acceptable for
die prediction. The stresses that are experienced during the expansion are
significant, however, and must be considered in designing dies to prevent
product distortion or utilised to form a desired shape.
The material entering the die follows the rotation of the end screw and
therefore has a circular or concentric ring pattern in addition, the co-
rotating screws invariably producing slight preferential flow off one side.
Both these effects create problems in practical die use. For example, in
the texturisation of wheat gluten and soya protein, the entangled protein
mass needs to be re-orientated within the die assembly. This can be
achieved by directional changes through the die head and creating laminar
flow regions. The preferential flow can be offset by bringing the material
from the two screws together in a short space and passing the material at
high velocity through a small primary die hole. The product mass can
then be distributed evenly in a radical direction to supply multihole sec-
ondary dies.
When analysing die design and suitability for the extrusion process it is
important to recognise other factors that can blurr correct diagnosis of
problems. For instance, using multilead screws on the ends of the config-
uration will produce a much more even pressure distribution within the
die. It will help reduce product size distribution.
Except in rare cases of non-elastic flow, the product shape departs from
that of the die cross-section. Dies must be designed to use or counteract
deformations caused by the flow pattern.
In radial, asymmetrical dies, the velocity distribution is not constant.
The maximum velocity is in the centre and tapers off to the edge. The
edge effect can be corrected for by either increasing the aperture dimen-
sions at the edge or reducing the land length of the die at the edge.
However, large velocity differentials across the die are sometimes used in
the production of third generation snacks such as 'twists'. In this case the
velocity differential at the edges induces the product to twist after leaving
the die.
The land length and cross-sectional area per output ratio determine the
degree of shear and viscous heat dissipation. In many cases, the die design
is a useful tool in the control of final product textures. For example, sig-
nificant texture changes and increased outputs are achievable when the
design is changed as shown in Figure 1.11.
When pins or obstructions are incorporated in the die, their purpose
may be to alter flow velocity profiles and these can change the shape of
products such as a direct expanded ring-shaped product.
The velocity profile is dependent on the flowrate and cross-sectional
L :]o~ J
Product shape
©
0
C I
r
0
:J~~ ~
Figure 1.11 The effect of increasing land length, pin and die geometry on product shape for-
mation.
area of the die opening. Velocities should be kept as high as possible to

avoid the possibility of fouling in the area due to plug flow and minimal
speed at the wall. However, care must be taken to ensure that the viscous
dissipation does not raise the temperature of the die block and create
burning on the die wall or unwanted gaseous formation within the die due
to excessive heat build-up. In the latter case, the die should be cooled with
air or a water jacket. The land length can be extended to include the end
screw cap holding the configuration onto the shafts (Figure 1.12). This is
especially useful in low shear extrusion when high viscosities can be
achieved within the die but require shear energy to produce a viscoelastic
nature necessary for expansion. For example, tapioca and potato starches
are best extruded with a tight clearance between the die hole and end
screw. The total land length, however, should be kept to a minimum since
both these starches are easily dextrinised and create sticky viscoelastic
melts which can physically block dies.
When designing dies, mathematical models are not normally applied to
food although models have been successfully developed for Newtonian
fluids and have been investigated thoroughly. The material viscoelastic
variabiFty of food materials makes this investigation difficult. However,
they can be used as a starting point and subtle changes to the design are
normal and based on experience. It usually takes two or three attempts to
get the die right.
An example is in pasta die technology. A multitude of dies are available
and there are many manufacturers but care must be taken if the same dies
are to be used in cooker extrusion. If they are used in hot extrusion com-
pared to the cold forming process, the lower viscosity of the hot melt
would not create such exaggerated shape definition. Adjustment to the
pressure flow profile immediately at the back of the die face is necessary.
Also, significant die swell is noticed in unexpanded hot pellets as com-
Figure 1.12 Increasing overall land lengths and shear rates can be achieved by special end
screw bolts.
pared to cold formed pasta. This has to be allowed for in the size of the
final aperture. For the product of third generation snacks, a final aperture
size range of 0.5-0.7 mm is common.
The material of construction for dies can be bronze, bronze alloys,
stainless steels, through hardened tool steel, etc. The bronze dies are
useful because any alteration to them can be done easily. They also have
better suited thermal conductivities when die heating is required but wear
out quickly. When a smooth surface is required on third generation
snacks or confectionery such as candy sticks, Teflon-coated inserts can be
used. Again, they do not last long and can absorb moisture over a period
of time causing them to distort with heat. For direct expanded cereal/pro-
teins, through hardened steels are used.
So far, only stationary dies have been considered. Some rotating dies
have also been developed. Netlon have produced a rotating die assembly
which creates a net of direct expanded ropes.
During extruder operation it is essential to control product temperature
within the die. Cooling around the die inserts can deliberately create a
viscosity profile which alters the shape of the expanded product. Likewise,
in third generation snack pellet production, the forming extruder die must
be preheated so that the hot melt does not suddenly meet a cold surface.
This can cause a rapid increase in melt viscosity and die blockage since
the lower viscosity melt within the barrel cannot generate sufficient pres-
sure to force it through the die.
The operating pressure for direct expanded products is in the region of
300-2500 psi. For low viscosity liquids such as liquorice, fruit leather,
caramels, etc., die pressure is usually less then 300 psi. The die restrictive-
ness should be such that sufficient barrel length is filled. This can be
accomplished using primary dies or baffle plates which also serve to even
out pressure differentials.
Raw materials which contain large particulates should be extruded
through apertures which are at least slightly larger than the largest parti-
cle. Particles are not normally milled down in a thin-screw extruder
(t.s.e.), e.g. bran, and can easily block dies. Agglomerates formed as a
result of poor mixing or coagulated materials can be screened out at the
die. Such screen packs are used extensively in plastics and are becoming
more widely used in food cereal extrusion. Automatic changes not requir-
ing extruder shutdown can take place in just I s.
1.2.6 Barrel temperature and heat transfer

Rossen and Miller [1] classified extruders thermodynamically as follows:
1. Autogenous (near adiabatic) extruders generate their own heat by
mechanical conversion and there is no means of heating or cooling the
barrel. Simple snacks such as corn curls off single-screw extruders are
an example.
2. Isothermal extruders operate with either cooling to remove the heat
generated by conversion of mechanical energy or heating to maintain
the temperature of the product within the barrel.
Most extruders operate with temperature control and the degree of

indirect heating or cooling depends on how the extruder is operated. The
pressure differentials and shear stress forces influence reaction rates and
generate frictional heat. Barrel heating also generates conductive and con-
vective heat in filled and partially filled zones and the proportion of each
heat source depends on the physical and rheological properties of the
feed, the barrel temperature profile and the available motor power.
The motor power usually recorded as torque or amperage is converted
into pressure energy, phase transition energy and temperature rise. The
properties of the feed material include
• specific heat capacity
• phase and glass transition temperatures
• gelatinisation enthalpy
• moisture content
• density and viscoelastic properties
• particle size
As with all heat transfer equipment, the rate of heat transfer is a func-
tion of surface area, temperature differential between material boundary
layer and metal barrel, and heat transfer coefficients.
During pilot scale trials it is important to establish if the output and
quality of product is limited by heat transfer. Many scale-up problems
can be associated with thermal requirements. As the size of extruder
increases, the barrel surface area per kilo output decreases thereby
decreasing the heat transfer capability of the extruder.
When direct expanded products are extruded, the moisture content
within the barrel is normally 12-18 % depending on the sugar and fat
content. The frictional heat generation normally requires the barrel to be
cooled with air or water. Extrudate temperatures can reach 180°C. In order
to prevent material from burning on the hot barrel surface or inhibit exces-
sive maillard browning or limit the degree of denaturation (e.g. proteins),
chilled water can be pumped through a barrel jacket. However, as the
material residence time in the extruder is very short there is little change of
significant heat transfer from the bulk of the viscous material.
Reduction in temperature in this case would be best achieved by
increasing water or oil content (i.e. increasing lubricity) or reducing the
degree of shear. This is afforded by reducing screw speed or reducing the
severity of the screw configuration.
Extrudates which have relatively high moisture contents, i.e. greater

than 20%, tend to require barrel heating. The moisture acts like a lubri-
cant and frictional heat generation is significantly reduced. This is seen on
the extruder panel as a low motor torque reading.
The relatively high viscosity of the material within the barrel and the
large mass for heat penetration by conduction/convection makes the
extruder a relatively poor heat transfer system. The product output can
be limited by the product temperature achievable by barrel heating. This
is certainly the case in snack pellet production where long barrelled
extruders are used to cook and cool the cereal mass. In such case, direct
steam injection into the barrel and/or preconditioning to raise the tem-
perature of the feed before entering the extruder will significantly
improve outputs. On the other hand, the surface area for cooling the
mass can now be limiting and here direct injection of nitrogen or CO2
could be used. Increasing barrel lengths is also common practice to
increase overall surface area.
Actual product temperature measurement using thermocouples along
the barrel is never accurate since probes only just touch the surface of the
product mass. These are used to control barrel temperatures about a set
point. More importantly, product temperature within the die can be mea-
sured accurately by embodying the probe into the centre of the product
mass. Two probes are used, one on either side of the die, to confirm relia-
bility and accuracy. This reading can be a good indicator of barrel and
screw component wear or a change in ingredient composition, etc. It can
also be a scale-up criterion.
Temperature instability will create an unstable extrudate flow and
quality will vary. Where barrels are horizontally split the extruder manu-
facturers ensure that the top and bottom heat transfer rates are matched.
With solid barrels, where induction, conductive heaters or jackets for car-
rying oil steam or water are used, normally no temperature or heat trans-
fer differentials exist. Problems creating product temperature fluctuations
could include:
• scale formation in jacketed barrels
• varying thermal loading
• poorly set-up controllers
• climatic/ambient temperature fluctuations
• metal wear
• ingredient variations
Various models describing heat transfer have been cited in literature
(e.g. Yacu [11] and Van Zuilichem [12]), however, to make the models suit
a variety of products requires Ii detailed energy evaluation with the extru-
der. Various factors need to be defined, such as geometry, shear rates and
residence time. Although these can be obtained, the viscosity and elastic
properties are more difficult to determine. Within the die head, pressure
measurements have been used to calculate apparent viscosities. Measure-
ment along the barrel length is, however, difficult to interpret.
Simple heat balances can be used effectively to help scale-up and deter-
mine energy costs. These are based on fundamental heat transfer equa-
tions. The sensible heat requirement will be:
(1.2)
In addition to this, energy for molecular conversion must be allowed for
so that equation (1.2) becomes:
Qt = M Cp T + HR (1.3)
HR could be defined as:
• Heat of gelatinisation - for starch conversion (a positive value)
• Heat of crystallisation - for sugar or fat plasticisation (a negative value)
• Heat of reaction - value depends on exothermic or endothermic reac-
tion.
Yacu [13] suggests that Hg is 150 kJjkg, 100 kJjkg or 50 kJjkg for a
starch based feed with 15%, 20% and 30% moisture content respectively,
assuming a product temperature within the die of 140-160°C.
The specific heat capacity can be derived from Siebel's equation [14]:
Cp = (4.2 x ~~)+ 1.4 (1 - ~~)
Powder feed
Coohng water
I
!
Induction heater
I_;;;::~;:;:;__j-----' // Reverse pitch screw
Product
liquid injection ----~~~~~*~~~$~~~~

1
I
I
~--_1. _1----1-1
Feed zone 1 Metering zone I 'Melt & I ~~ee I
pressure Z
zone
Figure 1.13 Process diagram for extruding direct expanded rice-based RTE product using
Clextral BC45.
It should be assumed that a total heat loss of up to 20% could be expec-

ted. This is mainly frictional heat loss from the gear box and heat loss
from the external wall of the barrel.
1.2.6.1 Case study. The following example shows the energy require-
ment for the production of direct expanded cereal using Clextral BC45
(Figure 1.13). The product was rice based.
Mass and energy balances. Extruder power requirements for heating

direct expanded cereal product at a throughput of 25 kgjh.
Mass balance
Total feed rate 27.4 kgjh
Feed moisture 3.15 kgjh
Water rate 1.08 kgjh
Total moisture of melt in feed zone (M) 15.5%
Product rate (P) 25 kgjh
Moisture 7.5%
Water evaporated 27.4 - 25 = 2.4 ljh
Enthalpy balance
Temperature of feed 20°C
Temperature of product 100°C (Assuming no temperature profile
along the barrel between zone I and
die plate)
Zone 1
The heating requirement is the sensible heat rise in the product and the
heat of gelatinisation Ho. Therefore the total heat requirement (Qt) will
be:
Qt = MC T + P(l - X) Ho
Where M = mass fiowrate, C = specific heat capacity of melt fraction, T

= temperature rise (sensible heat) and P = product rate.
We assume that Ho = 14 kJjkg. C is a function of moisture fraction in
the starch mixture (Siebel's equation) (M):
C = 2.72 M + 1.55
C = 2.72 (0.155) + 1.55 = 1.97 kJjkgOC
QT = 27.4 x 1.97 (100 - 20) + 25(1 - 0.075)14 = 4642 kJjh
Hence mechanical energy input used to heat product will be:
Qm = 4642 x 0.5 = 2321 kJjh

This assumes that 50% of the energy required for heating the product
comes from the screws. Thus

heating duty (electrical input) = 2321 kJ/h
= 0.64 kW
In practice, the 7 kW induction heater comes on for 8 s and switches off
for 1.25 min. So in one hour the heater comes on 43 times. This is
equivalent to a 0.67 kW heater being on continuously.
Zone 2
In zone 2 viscous dissipation of mechanical energy input is significantly
greater than in zone 1 due to the effect of the reverse pitch element. The
excess heat generated is transferred to the cooling section.
qc = MCa
= 150 x 4.2 (30-16)
= 8820 kJ/h
Where M = mass ftowrate of cooling water, C = specific heat capacity of
cooling water and a = temperature rise of cooling water.
Overall heat balance
Heat put in (qe) = 2321 kJ/h
Viscous dissipation in zone 1 (qm) = 2321 kJ/h
Viscous dissipation in zone 2 = 8820 kJ /h
Total heating duty = 13462 kJ/h
Direct energy usage by extruder, Qt = qe + qm
= 4642 kJ/h
1.2.7 Scale-up
The scale-up of processing equipment is always an exercise that must be
given careful thought. Twin-screw extruders are not different. As the size of
equipment increases, the various parameters and dimensions change at
different rates. These differences can have a profound impact on the process.
Although twin-screw extruders tend to be less susceptible to these scale-
up differences than single-screw extruders, they still require careful con-
sideration. There must be a clear understanding of how the critical dimen-
sions of the equipment change as well as what the critical parameters of
the process are. Equipment differences may have more effect on some
processes than on others.
1.2.7.1 Equipment size variables. The major variables that change as the
extruder size increases are:
1. Barrel diameter.
2. Barrel available volume per unit length.
3. Barrel inner surface area per unit length.
4. Screw tip speed (for similar RPM).

5. Drive horsepower.
6. Barrel heating and cooling capacity.
7. Barrel cross-sectional area (available for die placement)
For the purposes of this discussion, the barrel length, L, will be given in
units of one barrel diameter.
On the majority of commercially available twin-screw extruders the
geometric screw profile is constant across the size ranges. If this is the
case the following relationships can be developed. The available cross-sec-
tional area of the extruder is a constant function of the diameter squared
and the barrel length is a constant multiple of the diameter. Therefore, the
available volume of the extruder is a function of the barrel diameter
cubed.
Available volume = f(D 3) = K J 1t (D2j4)L
The geometry of the twin-screw extruder also dictates that the inside peri-
meter of the barrel is a constant function of the barrel diameter. There-
fore the inside surface area of the barrel is a function of the square of the
barrel diameter.
Available inside surface area = f(D2) = K2 1t DL
The screw tip speed is dependent on the screw diameter and the RPM.
Assuming similar RPM across the size ranges then the screw tip speed is a
function of barrel diameter.
Screw tip speed = feD) = 1t DN, where N = RPM
Drive horsepower and heating and cooling capacity are not determined by
the barrel geometry but are established by the extruder manufacturer.
Although they are mechanically dependent on extruder geometry from the
standpoint of shaft size and strength or available area for heater and
cooling channel placement, there is a large amount of flexibility allowed
to the manufacturer.
Available area for die placement is somewhat dependent on the cross-
sectional area of the barrel and therefore is a function of the square of the
barrel diameter.
Available area for die placement = f(D2) = K J 1t (D2/4)
Using these relationships we can now evaluate the process and deter-
mine the scale-up requirements. In extruder operation, there are basically
two types of processes. One is adiabatic and would be defined as a heat
generating process in which all of the energy for processing is generated
by the drive motor. The other is a heat transfer operation and in this case
the extruder performs as a heat exchanger.
1.2.7.2 Adiabatic operation. In this operation the process is limited by

the amount of shear or viscous dissipation energy that can be generated in
the product. This is determined by the available horsepower, the screw tip
speed and the residence time. Since residence time is determined by feed
rate and available volume (at constant RPM and screw profile) then the
feed rate can be increased by a ratio equal to the increase in available
volume which, as previously determined, is a function of the barrel dia-
meter cubed. In an adiabatic process, the energy requirement per pound of
product is supplied by the drive horsepower. Therefore, the available horse-
power must increase by the same diameter cubed ratio as the feed rate.
Although no specific mathematical models have been developed it is
commonly believed that the shear rate in a twin-screw extruder is a direct
function of the screw speed. Therefore, the screw tip speed should be kept
as constant as possible across extruder sizes. This is not practical, how-
ever, since the available horsepower is a function of shaft torque and
RPM. Because of mechanical limitations in shaft strength and torque, the
RPM cannot be reduced for constant tip speed without overloading the
shafts. In practice the screw RPM is kept constant for most sizes and the
tip speed is allowed to increase. Higher tip speed does increase the shear
rate and, in many cases, increases the efficiency of the larger extruders.
There is a practical limitation, however, since at excessively high tip
speeds, feeding operations and mechanical wear can present problems.
Therefore on the larger extruders, where the torques can be handled, most
manufacturers decrease the RPM.
Based on these considerations, the scale-up rate in an adiabatic opera-
tion can be increased by the cube of the increase in barrel diameter:
Rate2 = (D 2 /D,)3 Rate,
1.2.7.3 Heat transfer operations. For applications in which heat trans-

fer is the predominant function of the extruder, the scale-up is similar to
that for a heat exchanger. In this case the energy input is a function of
the heat transfer coefficient of the material, the temperature gradient
and the surface area available for heat transfer. For all practical
purposes the heat transfer coefficient remains constant for different
extruder sizes. As was previously determined the surface area increases
by the square of the diameter. Assuming the temperature gradient is
constant, the rate can be increased by the square of the diameter.
However, this assumption can be misleading since it requires that the
heat generating and heat removal capacities of the extruder increase at
the same rate as the surface area. This is dependent upon heater size for
electrically heated systems, wet side surface area for liquid heated or
cooled systems and the heat conduction paths that exist in the barrel
itself. Most extruder manufacturers design the systems so that these heat
transfer parameters increase by the same ratio as the available surface

area. However, if there is any doubt, scale-up tests should be performed.
The general guideline is that for heat transfer operations the scale-up
rate is increased in proportion to the square of the increase in barrel
diameter.
There is an additional consideration in heat transfer scale-up. In many
applications a section of the barrel is used for feeding and mixing, and the
remainder is used for heat transfer. The feeding and mixing sections are
volume dependent and as the extruder size increases and the rate increases
by the square of the diameter, then a shorter length of the barrel is neces-
sary for heat transfer. A higher rate is then possible. Therefore, it is
important to know what functions are occurring in the various sections of
the extruder barrel.
There are many processes that are combinations of adiabatic and heat
transfer operations. In these cases it must be established what portion of
the total energy input is provided by each.
The scale-up equation could be expressed as:
Rate2 = (D2/Dll Ratel
where c is the scale-up factor. For a standard length extruder, this factor
goes up to 3 for adiabatic operations and decreases to 2 for strict heat
transfer operations. Typical processes where some cooling is performed
have a value for c of 2.3 to 2.6. However, in most twin-screw scale-ups
the barrel length is not limited and larger production machines can have
longer or shorter barrels. Therefore, it is very important to do detailed
energy balances on the pilot system and divide it into manageable process
segments.
1.2.7.4 Energy balances. As the use of twin-screw extruders progresses,

they are being used more as continuous reactors or processors than as
simple extruders. In these cases several consecutive operations can occur
along the extruder length. Scale-up of these operations requires extensive
pilot testing and detailed energy and mass balances. These balances and
studies should be done by dividing the extruder into its individual
processing units and doing balances on each. Figure 1.14 shows a repre-
sentation of this approach. For each segment EH can be positive or nega-
tive depending upon whether the barrel is heating or cooling the product.
1.2.8 Process flow charts

A simplified flow diagram is shown in Figure 1.15 and forms the basis of
discussion in diagnosing extrusion problems or understanding the process
mechanisms. The point to remember is that there is more than one way or
combination of variables which can achieve the same result.
qn is positive or negative
Energy balance for section n
EHN is positive or negative
Figure 1.14 Representation of the energy balance in an extrusion process.
1.3 Ancillary processes
Ancillary processes designed to improve product quality and/or increase

outputs are now becoming a common part of the extrusion system. These
include preconditioning and devolatilisation which will be discussed in this
section since scale-up and extruder operations can be dramatically affected
by including such additional unit operations.
1.3.1 Preconditioning
Conditioning of feed materials prior to entry into the extruder is often
employed to accomplish modifications to pH, hydration, colour and fla-
vours as well as temperature.
Continuous preconditioners can be classified as atmospheric or pres-
surised [14]. Pressurised systems for food applications are uncommon
because of the claims that they give negative effects on the nutritional
quality of food and feed products. They are also relatively expensive for
simple cereal-based products which require conditioning to improve starch
,--------" ir------~
,-----------...1 Feed Rate r----------------~! Throughput

I
: ~ UD Ratio I
,I
I I I
i ' i
I
I
~ Screw Configuration
: i + DeSign f.------------~ f----
! '
i Degree of
I I II Barrel Fill
r----------i: Screw Speed!f---------I~I
I ' ~I-~!
L!~
,I ,
r---i:
i Die f-' i
I~,--j I I Geometry I I
I
, I Barrel : '
I
! Temp I I Die
i Pressure I
I I
I i ~ L-------J
! Torque I
""
I
; I I
! '--1----i
I
I
!
I I I I
I Residence i i i !
! Time I i I I
I
I I
i
,
'----, .1
., +-, i
r'-'----'-
I I
I,
r - - - - - - -------'-'-, r----I
React i~--'-~I Structural e-----I~I Melt L---~ Quality i
Rate' !, Degradation Rheology I : !
!
Figure 1.15 A simple flow diagram linking key process variables to product quality and
output.
gelatinisation rate. The extra cost to produce a low priced product is not
justified.
The atmospheric preconditioner is, however, sold widely to cereal and
feed producers. The benefits which are claimed include increased through-
puts per capital cost, improved flavour of products through loss of bitter
volatile components (for example oat based cereals) [14], improved textur-
isation of soya flour through enhanced moisture distribution prior to
extrusion, reduced wear cost of the extruder by pre-softening materials
and reduced extruder barrel lengths required to produce efficient reac-
tions. Because of its popularity the following discussion concerns the
atmospheric preconditioner.
The design of the atmospheric preconditioner consists of a rotating
screw and/or paddle arrangement enclosed in a barrel. Material enters
atmospherically and discharges directly into the extruder via a feed chute.
The paddles are configured to maximise the dispersion and retention time
of powders within the barrel. Retention time varies from 20-240 s. The
screws can be single, double, or differential double. The double agitator
design counter-rotates to lift material upwards and forwards. The physical

state of the material depends on the moisture content, temperature and
physical properties caused by reactions.
The most common use of the preconditioner is in breakfast cereal and
animal feed applications where moisture via steam can be added to raw
materials. In these applications the preconditioner maximises throughputs
off the extruder specifically when the rehydration or gelatinisation rate is
limiting. When water is added to the conditioner cylinder for hydrating
starch-based materials the amount of steam injected per kilogram of
starch has a dramatic impact on the swelling properties of the starch
granules. Heat transfer rates are much higher when direct or live steam is
in contact with cereals rather than heated air. Also, the process of moist-
ure diffusion from the outside of the cereal particle begins prior to extru-
sion and while there appears to be little evidence in literature quantifying
the rate of· diffusion, it is belieTed that the surface layer of the powder
particles is softened to the extent that barrel wear in the feed zones can be
significantly reduced.
Of course, the advantage of increasing outputs diminishes when the
amount of water which can be added is limited. For example, in the pro-
duction of cornflakes (indirect expanded products) or most petfood pro-
ducts, the total moisture content in the conditioner can be between 20 and
40%. However, with direct expanded cereals, the total moisture content is
likely to be less than 20% and steam injection is not practical. While the
preconditioner appears to be of benefit to the production team, there are
some practical problems associated with it which include:
1. Position of steam injection. Feed into the preconditioner can be choked

if steam is introduced near to the feed entry port. Steam can effectively
fluidise powders back up the feed chute.
2. Number of steam injectors. A high pressure drop is necessary to keep
the injectors clear and minimise the risk of blockage. Too few injectors
can also create a poor dispersion situation and generate too much free
steam.
3. Poor quality steam. The higher the dryness fraction the better. In prac-
tice a dryness fraction of 0.97 should be used. This minimises the
amount of condensate in pipelines and gives more consistent steam
flow rates. Steam separators and traps can be used if wet steam is
available but these are not reliable, as uncontrolled steam will condense
on the insides of the conditioner. Because it is not normally wiped
clean with a scraper blade, material can build up continuously, absorb
this moisture and subsequently bake hard. This reduces the flow
volume in the conditioner and material from the sides may start to
break off and fall into the extruder. The hard lumps may cause die
blockages or sharp increases in extruder torque.
4. Incorrect paddle configuration and shaft speed/output ratio. It is neces-

sary to maximise the level of fill in the conditioner barrel. Care must be
taken not to cover the steam injectors. However, if there is too much
void area, there will be inefficient distribution of steam and liquids.
5. Selection of raw materials. Steam injection may not be considered
suitable with heat sensitive materials such as proteins and vitamins.
Proteins with nutritional benefits are used for petfoods but are easily
denatured and the t.s.e shear forces show no mercy with partially
denatured materials. Gluten has another problem in that it is extremely
sticky and elastic when rehydrated and not at all suited to atmospheric
conditioners currently on the market.
6. Cleaning. The paddles and barrels are fouled very quickly and a thick
layer of material is quite normal. Most operations require cleaning
after 5-7 days' continuous use. Cleaning of current preconditioners can
take some hours and is done manually.
Case study
Direct expanded pet/ood product. The effect of steam preconditioning on
output.
Objective. Increasing the output of a MPF 100 (15 L/D) t.s.e. using a
twin-agitator preconditioner.
Process conditions for the extruder

MPF 100 (15 L/D) t.s.e.
Five thermal zones
Barrel temperature profile CC): 100, 120, 185, 185, 185
Screw configuration: 4.5D FS, 6 x 30° FP, ID TLS, 4 x 60° FP, 2 x
60° RP, ID SLS, 3 x 60° FP, 3 x 60° RP, ID SLS, 4 x 60° FP,
3 x 60° RP, ID FS
Screw speed: kept at maximum 450 rpm
Addition of fat: 48 l/hr
Product specification
Bulk density = 330 g/l
Moisture content off the extruder die = 13%
Typical recipe
Maize flour 35%
Wheat flour 35%
Meat and bone powder 11 %
Defatted soya flour 7%
Full fat soya flakes 5%
Sugar 4%
Vitamin and minerals 3%
Process analysis
Without With
preconditioning preconditioning
Screw speed (rpm) 450 450
Feedstock rate (kg/h) 1421 1891
Water pumped into conditioner (kg/h) o 58
Absorbed steam (kg/h) o 89
Water pumped into extruder (kg/h) 172 37
Tallow pumped into extruder (kg/h) 48 52
Feedstock into extruder (kg/h) 2127
Moisture content in extruder (%) 20 20
Output from extruder (kg/h) 1500 1980
Moisture content of product (%) 12.5 12.5
Product bulk density (g/l) 350 350
MPF extruder torque (%) 87 90
Die pressure (psi) 500 500
Conclusions
1. The output can be increased by approximately 30% with a small
increase in energy consumption from the extruder motor.
2. Fine control of extrudate bulk density is by adjustment to the water
rate into the extruder. Pumping water into the preconditioner provides
a good agglomerated powder and improves hydration rates.
3. Addition of vegetable oil or tallow into the preconditioner is detrimental
to the starch hydration. It is best pumped into the extruder. It is used
for fine-tuning product bulk density and product surface smoothness.
1.3.2 Devolatilisation
Where removal of gas is required from the mass inside the extruder
barrel, the barrel is usually partially starved. This facilitates an atmo-
spheric pressure point where evaporation or degassing can occur. Gas
removal takes the form of an extraction port situated on top of the extru-
der. Underneath this port the natural tendency for the screws is to push
air and solids upwards and forwards. For this reason, atmospheric vents
are prone to blockage over a period of time. A more secure and reliable
method is to use screw-forced vents, especially if vacuum is applied to
maximise evaporation. These units are motor driven and consist of a
screw rotating within a barrel housing. This continuously forces solids
down into the extruder while allowing gas or steam to escape through the
small gap between the screw and barrel housing. The rotating screw can
be either single or double and the specification of either is dependent on
the physical nature of the material inside the extruder. Double-screw
vents, using tight helix screws, are used for extracting moisture from low
viscosity confectionery materials. The single-screw types are normally used

for the more viscous cereal dough materials, such as in producing snack
pellets, where air removal from the dough is desired.
In the manufacture of flaked breakfast cereals, as shown in Figure 1.8,
the maximum amount of free moisture which can be extracted from a
viscous melt is normally 5-7%. This assumes that the material within the
barrel reaches a temperature of 130°C. This technique is often used not
only to remove moisture, but also to decrease rapidly the melt tempera-
ture by the evaporative cooling effect. For example, the APV technique of
using a single-stage twin-screw extrusion process to cook and cool corn
grits in the production of flaked corn uses a long barrelled extruder with a
vent port approximately halfway down the barrel.
The technique also applies to the dual extrusion process (Figure 1.16)
which has an atmospheric vent between the MPF and cold-forming single-
screw extruder. In this case the venting technique allows for an extra per-
centage of moisture addition in the cooking section of the t.s.e which
maximises the rate of gelatinisation and hence maximises the output off
the line.
Case study: indirect expanded cereals. Production of breakfast cereal

pellets for flaking or shredding. The dual extrusion system is show in
Figure 1.16 and results are shown in Table 1.6.
Machines
MPF 50 25 L ID twin-screw co-rotating extruder. Interconnecting pipe: 2.0
m long, 25 mm diameter. Atmospheric flash at end of pipe
BPF cold former : single-screw extruder
10 LID ratio
TWIN SCREW EXTRUDER

Pre-conditioned
Feed
Pipe die
Barrel Tem p
Profile
Die Face
Cutting
into nibs
10 UDbarrel
Figure 1.16 Two-stage extrusion processing of indirect expanded (pellets) products.

Table 1.6 Production of breakfast cereal pellets
MPF BPF
Die Die Product
Torque pressure Temperature Torque pressure temperature
(%) (psi) (0C) (%) (psi) (0C)
Maize 88
Sugar 5
28 300 105-110 30 600 85-90
Malt 6 }
Salt 1
lire
Sugar ~5 }
Malt 6 40 320 104-108 35 680 85-90
Salt 1
(Vegetable oil and/or GMS added)
Wheat 8
Sugar 5
30 280 105-110 30 560 85-90
Malt 6 }
Salt 1
1: 1 compression ratio
100 mm screw diameter
Barrel and screw cooling using controlled flow of water at 5°C
Flexible blade cutter
MPF50 process parameters
Screw configuration
4 DFS, 5 x 30° FP, 3 DFS, 5 x 30° FP, 3DFS, 5 x 30° FP, 3 DFS, 4
x 30° FP, 3 DFS, 5 x 30° FP, 5 x 30° RP, LSD SLS.
Barrel temperature profile: 9 thermal zones.
For wheat and maize products: 50, 90, 130, 150, 150, 150, 150, 150, 150
CC)
For rice products: 50, 90, 100, 100, 100, 100, 100, 100, 100 CC)
Screw speed: 250-300 rpm
Output (20-28% moisture content): approximately 100 kg/h
Comments
1. Rice-based pellets are far more sticky to handle than other cereals.
Vegetable oil at 1.5% or GMS at 0.4% can alleviate any handling
problems.
2. Flexible blade cutting is essential. Blowing cold air onto the blades also
prevents pellets sticking to the blade and each other.
3. The increased power consumption for rice based products is mainly a
result of lower moistures used in the MPF extruder. Water addition
can be up to 6% less for rice and visa versa for wheat and maize.
4. Die pressure in the BPF is higher than in the MPF due to the increase
in viscosity as the extrudate is cooled.
5. Screw and barrel cooling in the BPF are essential but must be con-
trolled to prevent slip due to condensation or too low viscosity because
of high temperatures.
6. The degree of gelatisation can be governed by the pipe length and its
degree of restrictiveness. Glossy pellets signify good cook. Opaque and
dull pellets indicate uncooked pellets which give poor final product
appearance and bowl life.
7. Pellets clump easily after the BPF as a result of moisture content, tem-
perature, degree of cook or insufficient oil content.
1.4 Raw materials
The effect of raw materials in extrusion stability, product quality and

output is dependent on the extruder process conditions. A generalised
Table 1.7 Effect of increasing dosage levels of additives on direct expanded products
Recommended Die
dosage level Sec pressure Cell
Raw material (%) (kW h/kg) (psi) size Texture and colour
Pre-extruded (physically modified) cereals 10 + Softens

Sugar 0-28 +~- Crisp and hard
Maltodextrin 0-15 +~- Softens
Malt 0-8 0 0
Skimmed milk powder 0-10 0 0 0 Browns
Full cream milk powder 0-5 0 Plastic and browns
Full fat soya flour 0-5 0 0
Defatted soya flour 0-5 0 0 + Hardens
Defatted soya flour 5-15 + 0 0 Same
Wheat gluten 0-10 + Crispens
Egg protein (white) 0-2 0 0 + Crispens/browns
Calcium caseinate 0-5 0 0 + Crispens/browns
Emulsifiers 0-0.5 0 Same
Refined corn oil 0-3.0 0 + Same
Tricalcium phosphate 0-3.0 0 0 Softens
Acid calcium phosphate 0-1 Softens
Citric/ascorbic acid 0.35 Softens/whitens
Sodium bicarbonate 0-0.75 0 0 Softens/browns
Sodium chloride 0-1.5 0 0 0 No effect
Wheat bran 0-100 Densifies
Pectin (LM) 0-2 0 0 No effect
Gelatine (220 bloom) 0-2 0 0 + Crisp
Glycerine 0-1 Plastic
SEC: Specific energy consumption

Key: Reduces = -; increases = +; same result = 0
summary of the effect of increasing dosage levels in additives on direct

expanded cereal products is shown in Table l.7. A more detailed analysis
of the composition of raw materials is given in Chapter 2.
1.5 Practical operation of co-rotating t.s.e: start up, shutdown and control
The decision of whether automation is cost-effective really depends on the

skill of the operator and the frequency of start-up and shutdown. In
many instances the feed material will dictate if a fast start-up or shut-
down is feasible. For example, start-up can be as quick as 2-3 min for
extruding petfood cereals with feedstock at 20% moisture and at 2000
kg/h.
Automatic start-up does eliminate the potential for human error. It
assures no blockage and in some cases the minimum of waste. Most
extruder manufacturers can offer this system using variable ramp func-
tions, temperature and torque limitations. With shutdown, various techni-
ques are used to minimise the time while cleaning the screws and barrel as
well as possible. Cereal petfoods can be shut down near instantaneously
with a full barrel and barrel temperature exceeding 160°C. In this case the
moisture is sufficient to stop the material in the screws from drying out
too much and becoming an extremely tough viscous mass. By the time the
large die is removed from the barrel (which can take 5-6 min) the
material is still extrudable and within the torque limitations of the motor.
The same technique can be applied to nearly all extruded cereal products
except that moisture is rapidly increased for 15-30 s just prior to dead-
stopping. Instead of water, vegetable oil can be added, which again
reduces the viscoelasticity of the material inside the barrel. Glycerol
monostearate powder can be introduced onto the barrel as another alter-
native but the amount added must be carefully controlled as it is prone to
spurting from the die at high velocity.
Once the die is removed, the screws are turned on (making sure they
are screened to stop fingers entering the nip points) and the viscous dough
exits. Because of the viscosity of the material, the screws tend to self-clean
extremely well.
If the classic shutdown is followed where barrel temperatures are
reduced (normally to less than 100°C) followed by a steady decrease in
solids content and reduction in screw speed, eventually water or a low
viscosity paste will come out of the dies. Removal of the die assembly and
purging the screws with water will not clean the screws thoroughly. A thin
layer of soft material will stay on the screws and, if left for a few hours,
will dry out and break off when the machine is restarted. This material
can cause die blockage. Techniques of scouring the barrel with large
particles such as waste maize grits, soya grits, bran, etc. do clean screws
and barrels effectively but rinsing through with water may not guarantee
that every large particle comes out of the barrel.
Dies are either washed immediately in water to soften the material
before physically purging the holes or they are deliberately left to dry the
material. This can be done by heating the die further or allowing the hot
die to stand. On drying, the material shrinks and can be ejected from die
holes very easily.
Start-up may take only a short time but, more importantly, stable pro-
duction may take considerably longer. As machine size increases, the time
taken to achieve thermal stability usually increases. For example, an
extruder producing 1000 kgjh of RTE cereal can take 40-60 min for the
product quality to stabilise. During this time, the product bulk density,
texture, shape, etc. may change as the die block and screw temperature
increases. The skilful operator will vary liquid addition, screw speed,
barrel temperature and possibly powder feedrate in order to hold quality
within specification. Operators not conversant with extruder effects on
product quality will find this difficult. This is where process control can
help. Simple closed feedback control loops can be superimposed to be
effective [15].
The main controlling parameters are specific mechanical energy input
(SME), product temperature and die pressure. The SME value is a func-
tion of the measured screw torque and if the screw speed and feedrate
are kept constant then the torque can be directly adjusted using liquid
addition. This is carried out manually in most extruder operations. For
example, water adjustment is made to allow for moisture variability in
raw materials. It is very often correlated to bulk density and the texture
of product. The manual operation is eliminated by using a servomotor
pump system with feedback control from the torque measurement.
Barrel temperature is simply linked to the measured product temperature
which is normally measured within the die housing.
Die pressure adjustment on-the-run is not a common facility on extru-
ders but some manufacturers use a type of throttle valve to give variable
gaps between the end of the screw and die entrance.
Although process control can help production and quality consistency,
natural raw materials do vary in physical and biochemical composition.
Purchasing departments may also decide raw material choice on price
rather than quality. Determining the reasons why torque, die pressure or
temperature fluctuate between batches or over a time span, is complicated.
Strict quality control of raw materials and data acquisition during pro-
duction can help in piecing together the whole story.
Sensors have been used to quantify moisture distribution and viscoelas-
tic properties of the material within die assemblies. Chouikhi et al. [16]
used a microwave attenuation sensor to determine the moisture content
within the die. Measuring pressure difference across a slit of known geo-
metry within the die has also been achieved and provides the data used to
estimate viscosities [7].
In recording data, it is important not to rely on one single measure-
ment. Pressure transducers are renowned for their temperature sensitivity
and if positioned in the barrel with a dead space, material can plug the
space and give an artificial pressure reading. Having more than one probe
in position will cost more but is more reliable.
1.6 Glossary
CL Shaft centre line distance. This is the physical distance between the
centre of the screw shafts.
Degree of barrel fill Length of barrel which is full of material.
Flaking Two smooth rolls compress the extrudate to a required thick-
ness.
Indirect expanded or third generation Products which do not physically
expand or foam at the die but are treated further down the process line.
L/D ratio Defined as length of barrel/screw diameter
Melt This describes the physical state of the material when it has been
transformed during extrusion.
RTE cereals Ready to eat. Sometimes referred to as direct expanded
cereals.
Screw compression ratio Diameter of root of screw at one end/diameter
of root of screw at the other end.
Screw designs
SLS: single lead (or thread start) screw
FS: feedscrew
TLS: twin lead (or thread start) screw
OD: orifice disc
Paddles: either double- or tri-Iobe designed for smearing material
Reverse pitch screws: screw flight direction tries to push material back-
wards and against the normal direction of material flow.
Screw elements Screws of specific design and length.
Shredding Two rolls (one smooth and one patterned) compress the
extrudate to form a latticed flake or sheet.
SME or SEC Specific energy consumption.
References
I. Rossen, J.L. and Miller, R.C. (1973) Food extrusion. Food Technology, 27(8), 46-53.
2. Booy, M.L. (1980) Polymer Eng. Sci., 20, 1220.
3. Denson, C.D. and Hwang, B.K. (1980) Polymer Eng. Sci., 20, 965.
4. Yacu, W.A. (1985) Modelling a twin-screw co-rotating extruder. J. Food Eng., 8, 1-21.
5. Todd, D.B. (1989) SPE ANTEC Tech. Papers, 35, 168.

6. Colbert, JA (1990) Advances in twin-screw technology for masterbatch applications.
Masterbatch '90 AMI, Basel.
7. Morgan, R.G. (1987) APV Baker FES Food Extrusion Seminar 1987, John Wiley & Sons
Inc., New York.
8. Bird, R.B., Stewart, W.E. and Lightfoot, E.N. (1960) Transport Phenomena.
9. Harper, J.M. (1981) Extrusion of Foods, CRC Press, Florida.
10. Michaeli, W. (1984) Extrusion dies-design and Engineering Computations, Hanser Publica-
tions, Munich.
11. Yacu, W. (1983) Modelling of a twin-screw co-rotating extruder. In Thermal Processing
and Quality of Foods (eds P. Zeuthen, J. Cheftal and C. Eriksson), Elsevier Applied
Science Publishers, London.
12. Van Zuilichem (1992) Extrusion Cooking. Craft or Science? Ph.D. thesis, Wageningen
University, Netherlands.
13. Yacu, W. (1988) APV Baker Food Extrusion Seminar 1988, John Wiley & Sons Inc.,
New York.
14. Huber, G. (1988) Preconditioning. AACC Extrusion Short Course, May 1988, San
Antonio, Texas.
15. Wiedmann, W. and Strecker, J. (1987) How to automate an extruder. Food Engineering
Int., April 1987.
16. Chouikhi, S.M., Ferdinand, J.M. and Smith, A.C. (1987) The application of microwave
attenuation sensor to study mixing in an extruder cooker. l. Chem. Eng. 223-230.
2 Raw materials for extrusion cooking processes
R.C.E. GUY
2.1 Introduction
The ingredients used in extrusion cooking are similar in general terms to

those used in other food processes in that they must be of good food
quality and, in the case of additives on the permitted lists, be of the
required purity. However, there are special features of the extrusion pro-
cesses which are unique in terms of the processing conditions, such as
compression and shear at high temperatures, and may utilise character-
istics of raw materials not normally thought to influence food processes.
Extrusion is a relatively low moisture process operating in the range 10 to
40% moisture on a wet weight basis (wwb). It employs large mechanical
energy and heat inputs in highly compressed powders systems which cause
the powders to be transformed into fluids. [1,2] Therefore characteristics
such as surface friction, hardness and cohesiveness of particles become
important and in the high solids concentration of melt fluids developed
within the screw systems the presence of plasticisers and lubricants causes
significant changes to the system variables of the processes.
The basic structures of extruded products are formed by transforming
and manipulating natural biopolymers, such as those of starch or of
certain types of proteins. In the former case the most commonly used
materials are the cereals, wheat, maize and rice, and potato derivatives,
such as flours and granules. Other cereals and starch-rich materials in less
common usage include rye, barley, oats, sorghum, cassava, tapioca, buck-
wheat, pea flours and other related materials. If the main structure of the
product is formed from proteins [3], as in texturised vegetable proteins
(TVP), the raw materials used in the process may be chosen from a differ-
ent group of raw materials such as oilseed proteins, e.g. soya or sun-
flower, field bean, fava beans, or separated cereal proteins such as wheat
gluten.
The natural biopolymers play an important role in forming the struc-
ture of the extruded products. Normally they provide a fluid melt of poly-
mers at high temperatures. This melt forms a continuous phase which
binds together all the other particulate matter of the dispersed phases and
helps to retain the gases released during the explosive expansion processes,
thus enabling expanded foam structures to be formed. The amount of
polymer which is found in the continuous phase largely determines the
extensibility of bubble cell walls in the foam and therefore the overall
RAW MATERIALS 53
expansion of an extrudate. However, the precise requirements for expan-

sion vary widely across the spectrum of extruded products from the dense
fish feeds at 1-1.5 ml g-l, to light expanded snacks at 6-8 ml g-l, spe-
cific volumes.
In order to discuss the raw materials used in extrusion cooking in a
logical manner, it is necessary to set up a rough classification system
which allocates the materials a position according to their functional role
as an individual ingredient. Such a system is proposed in Tables 2.1 and
2.2 However, it must be remembered that all materials added to a for-
mulation tend to modify the process and affect the extrudate being manu-
factured. This may be simply by dilution of other ingredients to reduce
their active concentrations or simply to change the viscosity of the mix.
Some materials may have more than one function, e.g. sugars which dilute
the mixture, act as plasticisers in solution and may also take part in both
flavour and colour forming reactions.
Some examples of formulations used for extruded products are shown
in Table 2.1 which contains several groupings, 1-6. These are based on
the functional effects of the ingredients. Group 1, the largest component,
contains flours, starches and proteins (in TVP products). These substances
may be designated as the structure-forming components. In the formula-
tions Band C there is a second sizeable component, Group 2, comprising
proteins or fibrous materials which form the dispersed phases within the
Table 2.1 Formulations used for extrusion cooking-snackfoods (% by weight)
Ingredients Sample A Sample B Sample C
Group 1 wheat flour 70.0

maize grits 85.0 50.0
potato granules 20.0
potato starch 5.0
Group 2 soya protein 5.0
wheat gluten 2.0
wheat bran 10.0
Group 3 oil (soya, palm, rape) 1.0 1.5 1.0
emulsifier 0.3 0.3 0.3
water 18.0 18.0 16.0
Group 4 sugar 5.0
maltodextrin 5.0
salt 1.0 1.0 1.5
flavourings + + +
GroupS baking powder 1.5
dicalcium phosphate 1.5
bran (see Group B)
Group 6 milk powder 1.0 2.0 2.5
colour +
A, simple maize snacks; B, maize and potato snack; C, wholemeal wheat snack.
+ Addition to suit requirement. Normally less than 1%.
main structure. If a comparison is made with synthetic polymer systems

these dispersed phases may be designated as fillers. Group 3 contains
plasticisers and lubricants such as water, oils and emulsifiers.
The small molecules which contribute to flavour, such as salt and sugar,
are placed in Group 4, together with added flavourings. Formulation C
contains special minor ingredients which act as nucleating agents to
enhance the numbers of bubbles in the extrudates and produce finer tex-
tures (Group 5). Finally there are the minor ingredients which contribute
to colour and colour-forming reactions in the extrudates (Group 6).
Table 2.2 Formulations used for extrusion cooking-breakfast cereals (% by weight)
Ingredients (% by weight)
Ingredients Sample A Sample B Sample C
Group 1 wheat flour 15.0 20.0

maize grits
rice flour 85.0 30.0
oat flour 35.0
Group 2 soya flour 2.0
wheat gluten 2.0
wheat bran 70.0
Group 3 oil (soya, palm, rape) 0.5 0.5 1.0
emulsifier 0.3 0.5 0.3
water 18.0 18.0 16.0
Group 4 sugar 10.0 5.0 10.0
maltodextrin 5.0
salt 1.0 1.0 1.2
flavourings, e.g. malt +
GroupS baking powder 1.5
bran
Group 6 milk powder 1.0 2.0 2.0
colour
A, High bran ready-to-eat (RTE) cereals; B, crisp rice; C, mixed cereal RTE cereals with
oats.
·Colour addition to suit product appearance.
Table 2.3 A classification system for raw materials used in extrusion cooking processes
Group Description Raw material
1. Structure forming materials Cereals, potato derivatives, oilseed

proteins, gluten and other similar
materials
2. Dispersed phase filling materials Proteins, fibrous extracts, bran,
cellulose
3. Plasticisers and lubricants Water, oils, emulsifiers
4. Nucleating reagents Baking powder, chalk, bran
5. Flavouring agents Salt, sugar, spices, flavours
6. Colouring agents Milk powder, reducing sugars/proteins,
natural and synthetic colours
RAW MATERIALS 55
In summary, the general classification of the ingredients into groups by

functional properties can provide a means of presenting a logical review
of ingredients for extrusion processes (Table 2.3). However, no classifica-
tion system can be perfect because all materials possess more than one
functional effect, although in most cases one effect will be dominant.
2.2 Structure forming raw materials
2.2.1 Structure forming raw materials based on starch
2.2.1.1 Cereals - general nature
Wheat flours. The general family of wheat (Triticum sp.) is commonly

used in the form of fine flours for the manufacture of baked products by
dough making processes or as semolina for pasta. Wheat has many var-
ieties which vary in endosperm texture from soft to hard, or very hard in
Hars of brush -
- - - Erd:lsperm
\I\_,:t:;~~,.----- Cell filled with starch
granules in protein matrix
r"3~~- Cellulose walls of cells
~illlli~~~~~[ endosperm butlayer

Aleuro ne cell
wrthbran)
Nucellar tissue
separated
(part of
Seed coat (testa)

Tube ce lls
Cross cells
Hypodermis
Epdermis
Scutellum
Sheath ot shoot )
_==--
Rudimentary shoot
Rudimentary pnmary rool

HL
......_ _ _ Root sheath
Root cap
Figure 2.1 View of a wheat grain enlarged c. 70 times (Wheat Flour Institute, Washington
DC).
the case of durum wheat, but which have a fairly homogeneous endo-
sperm characteristic in each case.
The starch granules within the family of wheats occur in a bimodal size
distribution with two groupings which are comprised of the large A gran-
ules (20-40 11m) and the small B granules (1-10 11m). Despite this size
distribution, the overall composition of the starch granules in wheats does
not vary widely. In particular the proportions of the two major polymers,
amylose and amylopectin, are found to lie within a narrow range of c.
20-25% amylose [4]. Therefore within the family of wheats the basic
package of starch polymers is fairly consistent.
Wheats have relatively high protein levels among cereals, ranging from
8 to 15% [5]. However, these can be modified during milling by separa-
tion techniques, selection of mill streams and so on. The proteins are
mainly of the water insoluble glutenin and gliadin types, with a small
proportion of albumins and globulins. They hydrate in water to form a
rubbery elastic mass which can be stretched and sheared into smaller
pieces by the screws of an extruder. The gluten which is formed undergoes
a heat denaturation process at high temperatures and the amino acid con-
stituents may undergo some chemical reaction with other compounds such
as reducing sugars in Maillard reactions. Such reactions may result in a
loss of basic amino acids.
Maize. Maize (Zea mays) occurs in many varieties which may be dis-
tinguished in terms of their general grain morphology and colour. There
are several different coloured varieties, such as white, yellow and red
maizes, for which there are different preferences in different geographical
areas [6].
A striking feature of maize grains are the two types of endosperm exist-
ing within each grain, Figure 2.2. In the outer layers of the endosperm,
which are hard and vitreous, the starch and protein fractions are densely
packed, with a firm bonding between the starch and protein phases. This
dense packing leads to the formation of polygonally shaped starch gran-
ules. In the central region of the grain the endosperm changes and
becomes soft or mealy. This soft endosperm contains loosely bound starch
and protein phases, and air cavities. Here the starch granules are globular
with smooth surfaces. This mealy endosperm is readily broken down into
a flour of fine particle size.
The varieties of maize available to the food industry have differing
amounts of the two endosperm types. Varieties with a low proportion of
the hard outer endosperm are said to be mealy maizes. Those which have
a fairly large outer layer, but insufficient to form a cap over the soft
endosperm, are designated as 'dent' maizes, and those with sufficient hard
endosperm to form a cap, are known as 'flint' maizes.
The starch granules within both types of maize endosperm generally
RA W MATER1ALS 57
BRAN
Epiderrris --j!~~~;ry ENIDO)";'S~'E~R~~~B:(~II
MtlSOCaIp-- -iIKt--( ~
Cross cells --~H ENDOSPERM
Tube cells ---liilO-l"-("..L.; \=-o;r--- Horny EncSospcrm
Seed coal (Tesla) ~\J»\W:+-v"r.f1:r.--- Floury Enc!osperm
Aleurone layer - ---"'" Cells Faled w~"
(part 01 ~ntlt\<.""rm Slaten Granules
bul separaled w~h In Prolein MaltlA
~t~l[:::(1:i~r!-- WallS 01 een.
GERM
Scutellum
Plumule or
Rudimentary
ShOOI and leaves
~~':Vf'm---- Ra<ftde 01
Primary Rool
Sculellum Embtyonic Ads
HOInY Floury
Endosperm Endosperm
Figure 2.2 Structure of corn kernel (modified from figures provided by the Corn Refiners
Association).
have a size range of 5-20 11m for their maximum dimension, but contain
a mixture of polygonal and globular shapes. Their composition may vary
over extremely large ranges with respect to amylose and amylopectin
composition. Waxy maizes contain very little amylose, whereas the normal
maizes contain levels of c. 25-35% amylose. There are also hybrids, called
amylomaizes, which are said to contain high levels of amylose, comprising
50-70% of the starch. These starches have unusually high gelatinisation
temperatures (> 120°C) in dilute dispersion with water, but are not truly
high amylose starches as they contain hybrid polymers of amylose and
amylopectin [7].
Maize proteins are present in concentrations in the range 6- 10% and
Hull {Lemma
Palea - --f-
Endosperm - - - - - I + 7 i - - -
Pericarp _ _
Seed Coat - - ..,~.a:~
Nucellus -
Aleurone laver - - -
Embryo _ _ ---'-:!,.
Figure 2.3 Structure of rice kernel.
contain a predominance of insoluble glutenin and gliadin types. In maize

the main protein grouping is designated as the 'zein' protein. It swells in
water and reacts in extrusion cooking in roughly the same manner as the
wheat glutens.
Rice. Rice (Oryza sp.) has many varieties, which may be distinguished
by their grain morphology and endosperm texture. In general terms most
rice grains have a hard endosperm texture, with small amounts of a
chalky endosperm penetrating the main structures of the grain [8]. There
are also some clear vitreous grains which are obtained from the varieties
of 'waxy' rice. The hard endosperm regions of rice show a strong bonding
between the starch granule surfaces and the proteins. In the chalky
regions there is intrusion of air and a weaker more powdery structure
between the starch and proteins (Figure 2.3).
The starch granules in rice are very small (2-8 !lm) and polygonal in
shape. They tend to be present in small groups known as compound
granules, comprising 5-8 granules fused together. The composition of the
granules may vary widely, like maize, with the normal rice having 15-
27% amylose and waxy rice varieties having almost 100% amylopectin.
The protein levels in rice flours or grits are relatively low at 6-8% [9],
and the proteins are predominantly of the glutenin and gliadin types.
Therefore the performance of rice proteins in extrusion cooking would be
RAW MATERIALS 59
expected to be fairly similar to maize in terms of the physical changes and

chemical reactivity.
Oats. Oats (Avena satvia) are less widely grown than the major cereals
but there are a number of varieties available. These are distinguished by
their grain morphologies and their endosperm composition. Oats are
milled by a special process which involves steaming the grains to inacti-
vate enzymes such as lipases located in the outer layers of the kernel and
drying to reduce moisture to 6-8%, before milling to remove the husks
and cutting into pin head meal. This meal may in turn may be milled into
a flour. The endosperm texture is similar to soft wheats, consequently it is
easily broken down to release the starch.
Oats contain fairly small angular granules (2-12 Ilm), associated in
clusters or compound granules (maximum dimension, 60 Ilm). They do
not appear to be closely packed with the protein bodies of the endosperm
as in wheat endosperm. Their amylose content, which varies between 16
and 27%, is comparable to wheat starch but they are not available in the
high amylopectin varieties. Oats have unusual compositional factors com-
pared to other major cereals. As oatmeals, they have high fibre and oil
levels, and a protein content similar to the high protein wheats. This
means that they have the lowest starch levels among the cereals. Oat pro-
teins are predominately globulins and being richer in lysine than other
cereals they match the soya bean proteins in nutritional quality [10].
The oil levels in oats are exceptionally high, 7-9%, compared with 1-
2% in other cereals. These oils, which are mainly monounsaturated oleic
and polyunsaturated linoleic types, are of good nutritional quality for
foodstuffs but may present problems with oxidative rancidity. In extrusion
cooking they also represent a problem because oils act as lubricants in
such processes and levels of 7-9% are likely to have large effects in low
moisture processes. However, oats also contain high levels of natural anti-
oxidants [11], based on phenolic acids, which serve to protect oils from
oxidative degradation.
Oats contain high levels of fibre, similar to wholemeal wheats. This
fibre is a mixture of glucans, from the cell wall within the endosperm, and
insoluble components of the kernel. The soluble fibre, which represents
50% of the total fibre, is present at c.4% in oatmeal, compared with 2%
in wheatmeal. It is also different in nature, being comprised mainly of
beta-glucans rather than the pentosans, which are predominant in wheat.
The insoluble fibre is based on cellulose structures, roughly comparable to
the bran found in wheat flours.
Other cereals. Cereals such as barley, rye, triticale and sorghum have
been used in extruded products. Details of such materials are reported in
other books describing milling and cereal technologies [5,12,13]. Generally
they will behave in a similar manner to the major cereals with their main
functional characteristics related to endosperm texture, composition and
particle size.
2.2.1.2 Potato derivatives. Potatoes are used in extrusion in the form of

granules, flakes, flours and starches [14,15].
Potato granules. The granules are formed from diced potatoes which
are tempered to allow enzyme activity to soften cell walls before cooking
and drying in a controlled add-back process. The cooked potato is mixed
with an emulsifier, such as a monoglyceride, and dried potato granules to
reduce its moisture content and dehydrate the cellular structures before
the final drying process. Material from the final dryer is continually added
back to the production line to maintain the cycle. The dried granules
contain the natural cell structures of the potato, with strong cell walls
containing the starch granules. The potato granules retain their cellular
structures, retaining the gelatinised starch granules, except at the cut sur-
faces. However, there may be variation in both the raw materials and the
processing which can cause variations in the performance of granules. The
adhesion between potato cells may be weakened during the gelatinisation
of the starch and some retrogradation and starch complexing with the
emulsifier occurs in the starch granules during processing.
Potato flour or flakes. This material is prepared by roller drying a

cooked potato slurry on hot rolls with small amounts of monoglycerides
to prevent excessive starch adhesion to metal surfaces. It has little cell
structure and is largely comprised of gelatinised starch. Some of the starch
is complexed with the monoglycerides.
Potato flours can form a stiff dough on mixing with water at 35-50%
wwb and the dough is more adhesive and sticky than the granules.
Potato starches. These materials are often used in snacks to provide

functional effects such as extra dispersed starch to increase expansion.
They may be obtained as simple washed starches or as fractionated pro-
ducts, rich in amylopectin, or as substituted forms of pregelatinised
starch. Potato starch has a wide range of sizes with some larger granules
than the common cereals, usually in the range 60-1 00 ~m, median particle
size (mps). They contain 20-25% amylose and have very low lipid con-
tents (c. 0.1-0.2%).
2.2.1.3 Particle size. The first characteristic of a cereal or potato

powder which is commonly specified when selecting raw materials for
extrusion is the particle size of the raw material. The milling processes
used to produce the cereal derivatives vary according to the nature of the
RAW MATERIALS 61
cereal type and different cereals are available in different particle sizes,
related to their general usage.
The cereals are milled to remove their hull or husk, and reduced in size
to provide a range of materials with particle sizes which may be classified
as large, medium and fine grits, semolina and fine flours.
The harder endosperm textures of cereals such as maize, rice and hard
wheat permit the manufacture of all sizes of particles within the range but
the softer and mealy cereals, such as soft wheat and mealy maize, are
normally prepared as fairly fine particles «200 11m, median particle size).
Soft wheats and rye are usually milled as flours by roller milling,
although hammer mills with screens may be used to produce wholemeals
for complete milling systems on factory sites. They are not commonly
used as semolinas or grits, except in a few single-screw extrusion pro-
cesses, because of the fragility of their particles.
In extrusion cooking processes the size of the cereal particles may play
a significant role in certain types of process.
1. Single-screw extruders with flooded feed intakes, as used for certain

snackfoods and animal feedstuffs. The importance of particle size in
single-screw extruders relates to the flow characteristics of powders in
the entrance to the screw feed channel. Grits or semolinas have good
flow properties and can be fed into the screw without any problems of
blockage or bridging across the entry ports. Fine flours have poor flow
characteristics and cannot be used successfully under such conditions.
Mixtures of grits and fine flours may also create problems because
there is always a danger of separation of the two materials during
transit in the feeding system, with the resulting effect of uneven feeding
if the fines choke the feed port.
2. Twin-screw extruders with starved feed systems. These are commonly
used for a great variety of processes because they can handle fine parti-
cle sizes of powders and blends of materials as well as grits or semoli-
nas. Here, the problems associated with feed inputs are greatly reduced
and relate mainly to the density of the powder feed and the capacity of
the screws to handle the feedstuffs at the required input rate. Fine
powders have a lower density than grits or semolinas and consequently
cannot be fed at the same rate as the grits. However, it is possible to
increase their density by deaeration, compaction or pelletisation prior
to extrusion cooking.
3. Processing factors related to particle size. The extrusion process, in both
single- and twin-screw extruders, requires that the cereal particles in a
mix are first heated, then compressed, kneaded and sheared to melt and
release the polymers from the starch granules. Large particles of mate-
rial have less contact area with the barrel during the period when they
are conveyed along the screw and are less affected by the barrel tem-
perature than fine particles. Thus in the early stages of the process,
when conveyed in partly filled screw flights, the fine flours will heat up
more quickly than semolinas or grits. The larger grits in turn will heat
up less rapidly than fine grits. The higher temperatures in the fine
flours will be maintained in the entrance to the compression zone of
the extruder. Since there is a critical temperature for the melt transition
of cereal mixes at a given water level, the fine flours will reach this
temperature earlier than coarser materials. Therefore, their process
transition from particles to fluids will begin slightly earlier in their resi-
dence time on the screw. This effect is particularly important in low
moisture extrusion on short screw systems, or where high throughputs
are being used.
The breakdown of large endosperm particles on the screw occurs close

to the start of the melt transition where high compression forces occur.
This is not a significant factor for cereals with soft endosperm textures
because the particles are easily broken down. However, for cereals with
hard endosperm textures, such as hard wheat, maize or rice, some energy
may be expended in a milling operation to break down the larger parti-
cles. This reduction occurs before they are softened by the heat input
which melts the structures in their starch granules. Such a milling process
is better carried out by roller or hammer mills prior to extrusion cooking,
rather than on the screws of an extruder.
2.2.1.4 Particulate texture of raw materials. The characteristic of

cereals known as endosperm texture relates to the ability of the starch and
protein components of the endosperm to bind together into a strong
cohesive mass. The intrinsic hardness of the cereal particles is the same
for both starch granules and protein fragments derived from the endo-
sperm [16] but the energy input required to mill the cereal particles to a
size similar to that of the starch granules is much greater for the materials
with hard endosperm textures.
In extrusion processes in twin-screw extruders, hard wheats, maize and
rice gave higher specific mechanical energy (SME) inputs and mass tem-
peratures, and caused more extensive processing on a standard screw
system than soft wheats [17,18]. The effect of the endosperm texture
becomes more complex when making comparisons between different
cereals because of the differences in the size and shapes of the native
starch granules. Thus, while it is easy to compare hard and soft wheats, it
is more difficult to compare wheat with maize or rice.
Starch granules in the cereals, such as wheat, maize and rice, display
considerable variations in size from the larger wheat A-type granules at
20-40 11m, through polygonal and globular granules of c. 20 11m for
maize, to the tiny polygonal granules of rice at c. 1-5 11m. In direct extru-
RAW MATERIALS 63
sion of the starch granules at low moisture the SME inputs vary in
inverse order according to the granular size, with rice having the greatest
mechanical energy input. The smaller granules also show the greatest
changes, with changes in screw speed in low moisture conditions. An
interesting feature of starch granular size is that the shorter heat transfer
distance for the small granules permits them to melt much more quickly
than larger granules under similar heat inputs. However, the most impor-
tant feature of the starch granular size is the effect of size on the dispersal
of starch from granules to form the continuous phase. The disappearance
of aggregates of starch strongly influences the viscosity of the melt fluid.
2.2.1.5 Composition of cereals and potato derivatives. The composition

of cereals and potato derivatives, shown in Table 2.4, is comprised of a
large proportion of starch, moderate amounts of protein and fibrous
materials and small amounts of lipids. Therefore, they are not pure
sources of the structural polymeric material, starch, but contain other
materials which may also be placed in groups within the classification
scheme on the basis of their functional effects. Every cereal and potato
derivative may be regarded as a formulation in its own right which may
be subjected to natural variations.
The presence of the minor components means that the starch content of
a cereal or potato derivative is subject to dilution and may vary according
to the levels of other materials which may be found in the flours after
milling or processing.
A comparison of average values for the composition of cereals, Table
2.4, shows that there may be large differences in the starch content of
flours prepared from the different cereal types with high values for maize
and rice, slightly lower values for wheat and very low values for oat flours
or groats. Potato derivatives contain higher proportions of starch and low
levels of protein (2%), fibrous materials (2%) and lipids (0.2%). They
may also contain small sugars at low levels (0 to 0.5%) and mono-
glyceride emulsifiers (0.2 to 0.5%), in the case of roller dried flours and
granules. The most basic forms of cereal flours, from wheat, maize and
rice, contain small amounts of lipid and fibre. The lipid levels are more
Table 2.4 Approximate composition of flours from cereals and potato
Weight fractions (%)

Wheat Maize Rice Oats Potato
Starch 74-80 71-81 77-81 44-61 80-85

Proteins 8-15 6-10 7-9 10-16 5-9
Lipid 1-2 0.8-2 0.3-0.5 5-7 0.1-2
Moisture 12-14 12-15 11-13 7-10 5-11
Fibre 1-2 0.5-0.7 0.3-0.35 2-12 2-10
Ash 1-2 0.5-0.6 0.5-0.6 1.3-2 3-5
important than those of the fibre because of the powerful effects which
can be exercised by lipids in certain extrusion processes (see section 2.4).
Oat flour contains much more fibre and oil than the other cereals and
therefore there is a large difference between its performance and that of
wheat, maize, and so on. High oil levels (7 to 9%) are unique to oats and
represent an enormous pool of lubricant in the formulation.
2.2.1.6 Ageing effects. Cereals may display changes in their perfor-

mance as flours or grits, which are related to their storage history.
Changes in the performance of wheat flours on ageing have been detected
during studies on English soft wheats at the Flour Milling and Baking
Research Association (FMBRA). Over a period of 12 months' storage at
ambient temperatures there was a 50-70% increase in the SME input for
extrusion processes at low moisture ( < 20%) wwb. Both white flours and
wholemeals displayed an increase in their SME inputs of c. 5% per month
with resulting increases in mass temperatures and the amounts of starch
polymers dispersed into the continuous phase. Consequently the extru-
dates had lower fluid viscosities, greater overall expansion indices and
lower die pressures; a combination of variables which also led to the for-
mation of fine textures in the extrudates.
Flours stored at -18°C did not show any significant changes over the
same period. Parallel studies on the storage of grains before milling the
flour revealed that the grains stabilised after 3 months' storage and gave
constant flour qualities for at least a further 15 month storage period.
There are no other studies in this area of the ageing of other materials
such as rice or maize but some users report that they suspect that changes
occur with rice in the reverse direction.
2.2.2 Protein-rich raw materials

2.2.2.1. General nature. The major proteins used in extruded foods are
the oilseed proteins, such as soya flours or concentrates, and the cereal
proteins from wheat. Other materials which may be used in the formation
of textured protein structures are the caseinates.
Oilseed proteins. Soya beans are processed to extract their oil and
form a pressed cake. This is processed further to obtain protein-rich flours
for use in human and animal feedstuffs. The flours may be heated to high
temperatures to denature the harmful proteins (antihaemagglutination and
growth factors) or be sold with only a low heat treatment as enzyme
active flours for baking processes [19].
Soya beans may require preconditioning with steam (3-5 minutes)
before extruding. They contain a high oil content of c. 20% and are diffi-
cult to process into well defined extrudates. The most basic raw material
RAW MATERIALS 65
for extrusion are the pressed flakes, such as soya white flakes. These are
defatted product from the soya oil extraction process, containing c. 50%
protein with a variable protein digestibility index (PDI) of 55-90%,
depending on their heat treatment.
Soya flours and grits are milled from the heat treated dry cake. They
receive a heat treatment by steaming or toasting and contain c. 50%
protein, with PDI factors which may vary from a low of 15-30%, to
medium 30-60%, and high values of 60-90%. The high PDI values are
generally recommended for extrusion texturisation processes.
Soya concentrates are prepared from soya flakes by extraction of the
soluble carbohydrates with aqueous alcohol and milling to a coarse
powder, 0.4-1.3 mm mps. They contain 65-70% protein and 16-19%
water insoluble polysaccharides.
Soya isolates are prepared by isolating the proteins by solubilisation
and reprecipitation, followed by drying to form a powder of c. 90%
protein content. Various methods are used for drying, including spray
drying, therefore the solubility characteristics of the soya isolates vary
widely.
The cost of soya derivatives increases sharply from the basic flakes to
the concentrates and isolates by a factor of at least three, based on
protein equivalents.
Texturising. The soya proteins can be texturised by heat and pressure

in a fluid melt flowing through a die system [20]. In an experimental test
series it was shown that the globulins, designated 7S and liS based on
sedimentation characteristics, must be heated to denature their original
structures before texturisation occurs. These proteins then realign into
new structures resembling fibres in extruders. The denaturation tempera-
tures may be attained by heating in the screw by a combination of
mechanical energy dissipation and barrel heating. The mixing action of
the screws prevents structural realignment until the melt reaches the die
head area and begins to flow in streamlines through the die. At the die
exit the water vapour released in the melt forms vacuoles and produces a
spongy texture. The continuous protein phase is weakened by the presence
of fillers, such as starch particles and fibrous materials. These reduce the
expansion and soften the texture of the finished meat analogues.
In more complex processes a protein melt is discharged into a second
low profile forming extruder where it is reheated, stretched into strands
and then formed into sheets.
Wheat gluten. The protein-rich extract of wheat flour is obtained by a

washing and spray drying process with 65-70% protein. The proteins are
largely comprised of the prolamin type with long chains of hydrophobic
nature. These proteins may be denatured at high temperature and sheared
Table 2.S Approximate composition of soya derivatives
Weight fraction (%)

Beans, flakes
and flours Concentrates Isolates
Moisture 6-10 5-9 5-7

Protein 45-53 65-70 90-92
Oils 1-16 0.2-0.3 0.2-0.3
Polysaccharides 10-12 17-19 o
Ash 5-6 4-5 4-5
Crude fibre 2.5-3.0 3-3.5 o
to form a melt phase which texturises in the same manner as soya pro-
teins. Wheat gluten may vary in its form due to the sources of wheat and
the heat treatment used in the drying process. Vital gluten, which is care-
fully dried, is used in breadmaking whereas devitalised gluten is used as a
nutritional protein in feedstuffs. There is little published information con-
cerning the extrusion of gluten in the literature.
2.2.2.2 Physical form. The proteinaceous materials may be obtained in

the form of powders from the separation processes from which they are
recovered. These powders may be formed by milling the dried oilseed
cakes, or the pieces of gluten obtained from a dryer, to a desired particle
size, or in the case of wheat gluten and some soya isolates by spray
drying.
2.2.2.3 Composition. The residue of the protein-rich materials differs

for cereal proteins and the oilseed types. Wheat gluten contains a sig-
nificant proportion of starch, 10-20%, < 1% lipid and < 0.6% ash.
Oilseed proteins (Table 2.5) contain some plant cell polysaccharides and
small amounts of sugars, lipids and ash, but no starch.
2.3 Raw materials acting as fillers in the extrudates
In the extrusion of synthetic plastics the polymer melt may be formed

from polymers such as polyethylene, polypropylene or other well known
materials. The extrudate properties of these plastics can be modified by
adding other materials dispersed within the continuous phase of the melt
such as carbon black, or other inert particulate matter [22]. These materi-
als modify the behaviour of the melt flowing through the die and the
character of the cooled extrudates. They are generally referred to as fillers
or filling agents. If the food extrudates are examined closely by micro-
RAW MATERIALS 67
scopy, they can be seen to possess a continuous starch phase and a

number of substances which are acting as fillers.
2.3.1 J>roteins
The most obvious materials of this type are the cereal proteins and other
water insoluble proteins. These might include oilseed proteins, separated
cereal proteins and other plant proteins which might be added to a for-
mulation. Proteinaceous materials hydrate in the mixing stage of the
process and become soft viscoelastic doughs during the melt transition.
Under the influence of shearing forces in the extruder, they are macerated
into small particles of roughly cylindrical and globular shapes. At low
levels of addition, 5-15%, they tend to reduce the die swell of starch
polymers, causing changes in the shape of the extrudate to more isotropic
forms. They also reduce the extensibility of the starch polymer foam
during its expansion at the die exit, reducing extrudate expansion.
2.3.2 Starches
Starches which are not as easily melted or dispersed as the main structural
starch may be added to a formulation. For example the amylomaize star-
ches which have much higher gelatinisation temperatures than common
cereals such as wheat, rice or maize may remain ungelatinised in the melt
fluid. They will act as fillers causing similar effects to the protein bodies.
In addition they may also increase the nucleation of bubbles within the
extrudates during expansion, thereby creating a finer texture.
2.3.3 Fibrous materials

Fibrous materials from the outer layers of cereal grains, such as bran,
may be present in the form of large rigid particles which are made up of
strong cellulose cells. These materials do not break down during extrusion
but retain their size and shape as added to the formulation. They have a
significant effect on the shape, expansion and texture of the extrudate at
levels of >2-3% [23].
2.4 Raw materials as plasticisers and lubricants
2.4.1 Water
The compression and shearing of natural polymers such as starch or pro-
teins causes a large dissipation of mechanical energy due to viscous and
frictional effects. Water, which acts as a plasticiser for the polymers,
reduces their interactions and causes an exponential decline in energy

input in the low moisture region (10-25% moisture, wwb). At levels
> 30% wwb, the water provides a solvent for the starch polymers to
diffuse into from the granules, causing them to become weaker and more
easily dispersed. Fortunately water can easily be obtained in a pure form
with only minor traces of minerals such as calcium and magnesium carbo-
nates in hard water areas. In starch systems these traces are unlikely to
cause any significant effects.
2.4.2 Oils and fats

Oils and fats have two functions in extrusion processes. They provide a
powerful lubricant effect in the compressed polymer mix and they also
modify the eating qualities of the extruded products. All lipids become
oils as the temperature rises to their melting points, which for most
common oils and fats is < 40°C. They become intimately mixed into the
extrudates by the action of screw elements and are dispersed into very
small droplets, < I /.lm average diameter, or smeared out on the polymers.
Their role as lubricants can be observed in the extrusion of starches with
low lipid contents, such as potato and pea starch. At low moisture
«25% wwb), these starches begin to overheat at metal surfaces and may
form sticky gums due to the degradative dehydration of the starch poly-
mers, thereby creating problems and eventually blockages. The addition
of 0.5 to 1.0% of a commercial oil, such as blends made from soya, maize
or rape oil, tends to prevent the degradation of the carbohydrates and
gives a normal extrusion for the pre-gelatinisation of the starch. If oils are
added to formulations containing flours, the effect of the oil will become
apparent in the extruder at levels of 0.5 to 1.0% wwb, for low moisture
extrusion of < 25% wwb, when the SME input will fall if the machine
variables are kept constant. The loss of mechanical energy input will be
reflected in a fall in mass temperatures and a rise in the die pressures. The
lubrication of the flour particles by the oil tends to protect the starch
granules from dispersal. At low moisture content starch dispersal is
achieved purely by the mechanical shearing of the native polymer aggre-
gates, the granules, and therefore these bodies are less degraded and give
a higher viscosity in the melt fluid in the presence of oil. This also reduces
the amount of dispersed starch in the continuous phase and causes the
expansion of the extrudate to be reduced. As the oil content is raised still
further, the starch becomes difficult to disperse and the expansion of the
extrudate diminishes until at 2-3% oil wwb the extrudate may develop a
biscuit-like texture instead of a foam structure. Attempts to process 100%
oats by extrusion cooking have been hindered by the high natural oil
content of oats flours, which were reported in section 2.2.1.
Research at FMBRA has revealed that foam-type structures could be
RAW MATERIALS 69
formed at high oil contents at high moisture levels (30-35%). At this level
of water, the development of the starch is aided by swelling and diffusion
mechanisms which weaken the granules. The choice of oils and fats may
be based on their functional effects, chemical stability and sensory quali-
ties in the products.
There is little evidence available that there are any differences in the
performance of different types of oils or fats in extrusion in starch-based
formulations. Those oils which are unsaturated are subject to increasing
degradation as the temperature of the extrusion is raised [25]. The lipids
become oxidised or prone to rapid oxidation when exposed to air. In the
extrudates they may be encapsulated in the starch glass and protected
from oxygen but if the extrudates are ground some of the lipids will be
exposed and oxidised. If this type of degradation is to be avoided it is
important to carry out the transformation required for the process at as
Iowa temperature as possible.
There are certain materials which absorb oil and reduce its lubricating
effect. These materials are useful in foods where a high oil content is
required. Little direct information is available covering this area but
materials such as bone meals and chalk have been found to absorb oils.
Sensory properties of oils and fats are mainly related to their flavour
characteristics where the natural flavours of groundnut oil or dairy fats
can be used to enhance the profile of certain types of product.
2.4.3 Emulsifiers
Emulsifiers are special forms of lipids which tend to have higher melting
points than triglycerides but behave as oils to provide lubrication in
extrusion processes. Certain types of emulsifiers, such as distilled mono-
glyceride, sodium stearoyl lactylate and lecithin, also complex with the
amylose fraction of the starch. This interaction occurs after the starch
granules have melted and before they are dispersed, providing a protective
layer at the surface. The complex remelts at higher temperatures but
reforms on cooling, so that the amylose is complexed in the extrudate
during cutting and handling operations post extrusion. This serves to
reduce surface stickiness in the warm extrudate.
2.5 Raw materials acting as nucleants for gas bubble formation
The manipulation of the texture of fluid extrudates from coarse to finer

textures may be achieved by adding a small amount (1-2%) of a nucleat-
ing agent. The ideal types of nucleant are finely powdered food grade
materials which remain insoluble during processing and provide surfaces
at which bubbles may form during the release of water vapour. Materials
which can help to form bubbles in the fluid melts include the normal
types of baking powder made up of sparingly soluble salts of phosphoric
acid and calcium or sodium salts. Even without sodium bicarbonate the
acid salts such as dica1cium phosphate also cause increases in bubble
numbers. Other particulate materials such as chalk, magnesium carbo-
nates [26] and cereal brans [23] also increase the fineness of the texture of
extrudates.
2.6 Raw materials acting as flavours
2.6.1 Salt
Salt is added to formulations as a flavouring at levels of I to 1.5% of the
product weight. The precise level must be decided by the sensory qualities
required to create a flavour profile in balance with the rest of the ingre-
dients. The salt itself dissolves in the water during the cooking process
and has little effect on the process variables. It may be considered as a
diluent for the starch because in a formulation anything which is added to
the solids reduces the effective starch concentration. Therefore addition of
the salt causes small changes in both the viscosity of the fluid and in the
interaction between particles, unless the water in the process is reduced to
keep a constant concentration in relation to the starch. In general the
effects are too small to be of any significance in a commercial process.
2.6.2 Sugar
Sucrose may be added to formulations at low levels up to 10% w/w in
extruded products without causing significant changes to the processing
variables [1,26]. Its flavour becomes perceptible at levels > c. 5% but in
order to produce a sweet product, levels of 10 to 15% are required.
Sucrose may be used either in a powdered form, such as caster sugar or
icing sugar, or as a syrup. In processes with high sugar levels, there may
be large effects on the main dependent process variables due to the sugar
addition. The replacement of other solids with sugar causes the SME
input and mass temperatures to fall and there is less expansion in the
extrudates. While temperatures may be raised by barrel heating or steam
addition to replace the lost heat energy and raise mass temperatures to
the required level to melt the crystalline structures within the granules, the
starch polymers are more difficult to disperse in a continuous phase.
Under severe processing conditions some hydrolysis of sucrose may occur,
releasing the reducing sugars, glucose and fructose. These reducing sugars
may combine with amino groups of proteins and peptides to form colours
and flavours in Maillard browning reactions.
RAW MATERIALS 71
Reducing sugars such as glucose, fructose and lactose may also be used
in formulations as flavourings but they will take part in Maillard brown-
ing reactions at high temperature in the presence of proteins and peptides.
These reactions lead to colour formation and may produce a variety of
flavours both of sweet and savoury character, according to the balance of
reactants and the precise conditions used in the process.
The higher dextrins such as the maltodextrins do not contribute to a
sweet flavour and because they have only a limited number of reducing
groups they are therefore fairly inert in Maillard reactions. In extrusion
processes they dissolve to form relatively low viscosity solutions compared
with the starch polymers and act as a diluent in the system, as described
for sucrose.
References
I. Guy, R.C.E. and Home, A.W. (1988) Extrusion and co-extrusion of cereals, in Food
Structure: its creation and evaluation, (eds J.M.V. Blanshard and J.R. Mitchel), Butter-
worth Press, London, chapter 18, pp. 331-349.
2. Colonna, P., Tayeb, J. and Mercier, C. (1990) Extrusion cooking of starch and starchy
products, in Extrusion Cooking, (eds C. Mercier, P. Linko and J.M. Harper), American
Association of Cereal Chemists, St Paul, Minnesota, chapter 9, pp. 247-319.
3. Stanley, D.W. (1990) Protein reactions during extrusion cooking, in Extrusion Cooking,
(eds C. Mercier, P. Linko and J.M. Harper), American Association of Cereal Chemists,
St Paul. Minnesota, chapter 10, pp. 321-342.
4. Banks, W. and Greenwood, C.T. (1975) Starch and its Components, Edinburgh Uni-
versity Press.
5. Matz, S.A. (1991) Cereals as Food and Feed, 2nd Edition, AVI Van Nostrand Reinhold,
New York.
6. Johnson, L.A. (1991) Com: production, processing and utilization, Handbook of Cereal
Science and Technology, (eds K.J. Lorenz and K. Kulp), Marcel Dekker, New York,
chapter 2, pp. 55-61.
7. Takeda, Y. and Hizukuri X. (1989) Structure of amy1omaize. Cereal Chemistry, 66(1),
22-25.
8. Lu, S. and Lu, B.S. (1993) Properties of rice caryopsis, in Rice, Volume 1, AVI, New
York, chapter 11, pp. 392-394.
9. Lu, S. and Lu, B.S. (1991) Properties of rice caryopsis, in Rice, Volume 1, AVI, New
York, chapter 11, pp. 402-406.
10. McMullen, M.S. (1991) Oats, Handbook of Cereal Science and Technology, (eds K.J.
Lorenz and K. Kulp), Marcel Dekker, New York, chapter 4, pp. 209-210.
11. Bennett, R.M. (1989) The potential for the production of oats in the United Kingdom,
HGCA Research Review, No. 14, pp. 66-69.
12. Kent, N.L. and Evers A. (1993) Kent's Technology of the Cereals, 4th Edition, Pergamon
Press, Oxford.
13. Lorenz, K.J. and Kulp, K. (1991) Handbook of Cereal Science and Technology, Marcel
Dekker, New York.
14. Feustal, I.C., Hendel, C.E. and Juilly, M.E. (1964) Food Dehydration, Volume 2, (eds
W.B. van Arsdel and MJ. Copley), AVI, Connecticut, USA, p. 345.
15. Lawes, MJ. (1990) Potato-based textured snacks, in Snack Foods, (ed R.G. Booth
chapter 13, pp. 269-271.
16. Barlow, K.K., Butterose, S.M., Simmonds, D.H. and Vesk, M. (1973) Cereal Chern., SO,
443.
17. Guy, R.C.E. and Home, A.W. (1988) Cereals for extrusion cooking processes; a compar-
ison of raw materials derived from wheat, maize and rice, Proceedings of the 35th Tech-
nologist Conference of the Biscuit, Cake, Chocolate and Confectionery Alliance, London,
pp. 45-59.
18. Guy, R.C.E. and Horne, A.W. (1989) The effect of endosperm texture on the perfor-
mance of wheatflours, Milling, Flour and Feed, 182 (Feb), ix-xxii.
19. Berk, Z. (1992) Technology of the production of edible flours and protein products from
soyabeans, F AO Agriculture Services Bulletin, F AO United Nations Organisation,
Rome, chapters 4-6.
20. Kitabatake, N. and Doi, E. (1991) Denaturation and texturization of food protein by
extrusion cooking, in Food Extrusion Science and Technology, (eds J.L. Kokini, C-T. Ho
and M.V. Karwe), Marcel Dekker, New York, chapter 23, pp. 361-372.
21. Noguchi, A. (1990) Extrusion cooking of high moisture protein foods, in Extrusion
Cooking, (eds C. Mercier, P. Linko and J.M. Harper), AACC, St Paul, Minnesota,
chapter 11, pp. 358-359.
22. Han, C.D. (1976) Rheology of Polymer Processing, Academic Press, New York, chapter 7.
23. Guy, R.C.E. (1992) The role of wheat bran in extrusion cooking, Extrusion Communique,
5(2) June, supplement, pp. 10-11.
24. Bouvier, J.M. (1990) Effects of ingredients on physical/structural properties of extru-
dates. J. Food Sci., 55, 1383-1387.
25. Rao, S.K. (1989) Effect of extrusion on lipid oxidation, J. Food. Sci., 54 (6), 1580-83.
26. Sopade, P.A. and LeGrys, G.A. (1991) Effects of added sucrose on extrusion cooking of
maize starch, Food Control, 2 (2) April, 103-109.
3 Breakfast cereal extrusion technology
R.C. MILLER
3.1 Introduction
Breakfast cereal manufacturing was one of the earliest commercial

applications of extrusion cooking technology and remains one of the most
widespread. The breakfast cereal business is significant, with $6911 million
sales and regular 11.6% dollar growth rate (Figure 3.1) in the relatively
mature United States market in 1989 [1]. A breakdown of cereal products
into types (Figure 3.2) shows that 15% of the products are 'extruded' [2].
When it is considered that a good portion of the two largest categories,
flaked and gun puffed cereals, are extrusion formed - and often extrusion
cooked as well - it is safe to say that more than half of the production of
breakfast cereals involves extrusion in some way. The potential for break-
fast cereal sales in other markets is attested to by the vigorous penetration
of Europe by American companies in recent years.
Before discussing the technology of breakfast cereal manufacturing it is
necessary to define the terms. A breakfast cereal is recognisable as such to
most people, but, to this author's knowledge, the category has never been
well defined. First of all, it is known that breakfast cereals should be
made of grains. In looking at commercial products, however, the portion
of grains in cereals varies from only 35.5 up to 100% [3]. A closer look is
in order.
3.2 What is a breakfast cereal?
In a 1988 survey of 48 breakfast cereals in the US market from eight

manufacturers (Table 3.1), 123 different ingredients including 26 grain
products were found [3]. The products concocted from this plethora of
food materials varied widely in nutrient composition, as shown in Table
3.2.
Although conceived as the original manufactured 'health foods' by
W.K. Kellogg and C.W. Post in the late 19th century [4], many of today's
products might be judged as closer to 'junk foods' in their nutritional
impact. Indeed, if we compare breakfast cereal compositions to those of
some other products (Table 3.3), some interesting conclusions may be
drawn.
10
11.6% GROWTH ././
PROJECTED ./
TOTAL //
~//
TOTAL
~~;::S
,--NABISCO
:..--RALSTON PURINA
_QUAKER OATS
......--GENERAL FOODS
IIJ
ca4
Q)
CJ)
~
::::J
c:
c: 2
<C
KELLOGG
o
1986 '87 '88 '89 '90 '91 '92
Year
Figure 3.1 Market share and growth rate of breakfast cereals in the US market. Note that
the Nabisco cereals division has recently been acquired by Kraft-General Foods (data from
Otto, 1990).
"INCLUDING
EXTRUSION FORMED
Figure 3.2 Relative cereal production by types (data from Va1entas et al., 1991).
BREAKFAST CEREAL EXTRUSION TECHNOLOGY 75
Table 3.1 Ingredients found in breakfast cereals: a sampling of 46 cereals from 8 manufac-
turers. Listed by function, some ingredients serve more than one function, as indicated by
parenthetical notes (from Miller, 1990a)
Cereals Fruits (sugar source)

barley apples
malted barley (sugar source) apple juice
whole barley dates
corn dried apples
corn flour apple juice concentrate
degermed yellow corn meal grape juice concentrate
milled yellow corn raisins
oats strawberries
oat bran strawberry juice concentrate
oat flour
rolled oats Preservatives and stabilizers
whole rolled oats BHA
whole oats BHT
whole oat flour BHT in packaging
rice sulfur dioxide (in fruit)
milled rice citric acid (flavor)
rice flour mono- and di-glycerides
wheat soy lecithin
defatted wheat germ
wheat bran Protein sources
wheat germ Nuts and legumes (flavor, fat)
wheat gluten (protein source) peanut butter
whole rolled wheat soy flour
whole wheat almond pieces
whole wheat flour almonds
graham flour coconut
hazelnuts
Sugars pecan pieces
brown sugar walnut pieces
brown sugar syrup
cereal malt syrup Dairy products
corn syrup nonfat dry milk
dextrose dried whey
fructose calcium caseinate
high fructose corn syrup
honey Other
invert sugar gelatin (structural)
malt flavoring L-lysine monohydrochloride
malted barley (cereal) wheat gluten
malted barley extract
molasses Colors
artificial color
Fats red 40
coconut oil yellow 5
partially hydrogenated oils: yellow 6
coconut blue 1
cottonseed caramel color
soybean beet powder
palm annatto extract
palm kernel
Table 3.1 (continued)
Flavors vitaminE
malt flavoring DL-alpha tocopherol acetate
salt iron
cinnamon reduced iron
cinnamon extractives zinc oxide
cocoa calcium pantothenate
cocoa processed with alkali calcium carbonate (structural)
malic acid tricalcium and dicalcium phosphate
sodium citrate (structural)
citric acid (stabilizer) sodium phosphate (structural)
yeast (structural)
sodium bicarbonate - baking soda Structural additives
(structural) gelatin (protein)
natural flavors corn starch
artificial flavors modified corn starch
modified food starch
Vitamins and minerals wheat starch
vitamin A palmitate maltodextrin
B vitamins pectin
niacin cellulose gel and gum
niacinamide sodium alginate
folic acid glycerine
thiamine mononitrate, thiamine trisodium phosphate
hydrochloride (Bl) calcium carbonate (mineral)
pyridoxine hydrochloride (B6) baking soda
vitamin B12 tricalcium and dicalcium phosphate
vitamin C (mineral)
sodium ascorbate sodium phosphate (dough conditioner
ascorbic acid and mineral)
vitaminD
Table 3.2 Range of breakfast cereal compositions, based on survey noted in

Table 3.1 (from Miller, 1990a)
Component Range ± 1.8% (except as noted)
Protein 3.5-14.1 (21.1)*

Fat 0-17.6
Total carbohydrates 63.5-91.7
sugars** <1.8-49.4
complex carbohydrates 35.3-81.1
dietary fiber 3.5-35.3
Sodium 0.02-1.13 ± 0.02
Cereal grains 35.5 ± 6.5-100
*Higher figure for protein enriched products using soy protein for example.
**Includes sugars from fruit and malted barley.
Breakfast cereals can be a modest but significant source of protein,

especially in those products containing protein additives, for which the
cereal products are excellent carriers. They are generally similar in protein
content to other grain products such as bread, except where the grain
Table 3.3 Estimated composition of food products comparable to breakfast cereals
Esimated component concentration (%)

Carbohydrates
Error' Sodium
Product Protein Fat Sugar Complex Total (±%) (±0.01 %*)
Hershey's milk chocolate

plain bar 8.6 29.9 53.5 4.3 57.7 1.1 0.10
with almonds 11.6 34.9 46.5 4.7 51.2 1.1 0.14
3 Musketeers candy bar 3.3 13.2 71.3 ± 3.3 4.9 ± 3.1 76.2 1.1 0.20
Doritos tortilla chips (Nacho) 7.1 24.7 <1.8 61.9-63.5 63.5 1.8 0.78 ± 0.02
White bread (dry basis) 13.0 5.2 70.5 1.8 0.58
'Except as noted.
Hershey's is a trademark of Hershey Foods Corp., Hershey, PA.
3 Musketeers is a trademark of Mars, Inc., Hackettstown, NJ.
Doritos is a trademark of Frito-Lay, Inc., Dallas, TX.
100
• INCLUDES "ALTED BARLEY
A FRUIT & NUTS IN PRODUCT
(NOT INCLUDED)
80
~
H
-
'"
UJ
l-
e(
60
""
c
>-
::>::
0
"'"
""
e(
u , ,," '"
>< 40 '"
UJ
-'
C>.
:E:
0
u
20
o
o 20 40 60 80 100
ESTIMATED CEREAL GRAIN CONTENT. %w
Figure 3.3 Complex carbohydrates in commercial breakfast cereals as a function of estimated

cereal grain content (from Miller, 1990a).
fraction has been diluted by large amounts of other ingredients. Indeed, at

the lower end, breakfast cereals can contain less protein than snack chips
or chocolate candy bars.
Cereal grains contain little fat and, unless fat is added with other ingre-
dients, the same is true of breakfast cereals. At the upper extreme,
however, breakfast cereal fat content lies between that of a candy bar and
fried tortilla chips snacks.
One of the primary grain diluents in breakfast cereals is of course sugar
which can comprise half (49.4%) of the product. This level is about
midway between the sugar content of chocolate candy with and without
almonds. To be fair it should be added that many breakfast cereals
contain no sugar at all, allowing the consumer to add as much or as little
as desired.
Another dietary concern of many people is the sodium content of
foods. Although some breakfast cereals contain essentially no sodium,
others can be as high as 1.13% sodium (equivalent to 2.9% salt) which is
higher than that of many 'salty' snack products but not as perceptible to
the consumer because it is contained within the product. Snack products
are usually surface salted to create a strong initial surge of flavor.
Although the preceding may seem to be an indictment of breakfast
cereals as nutritious foods, one area where they excel is in providing an
abundant source of complex carbohydrates, including dietary fiber. Even

the sweetened fatty kinds of cereal provide more of this important con-
stituent than the candy bars to which we have been comparing them and
at the higher end breakfast cereals provide more complex carbohydrates
than any of the other products discussed, although the other grain pro-
ducts (bread and tortilla chips) come close. Indeed, there is a good corre-
lation between grain content and complex carbohydrate level in breakfast
cereals, as shown in Figure 3.3. In further defence of the sweetened vari-
eties it should be remembered that these are designed specifically for the
more active members of society, children, who usually need a more con-
centrated caloric intake. Breakfast cereals are also excellent carriers of
important trace nutrients such as vitamins and minerals. Most of them
are fortified.
3.3 A closer look at the products
The breakfast cereal category consists of widely differing compositions

created from a vast number of ingredients. The picture may be better
focused if we look at some of the processing steps used in finishing break-
fast cereals. In Figure 3.4 the products are divided into three types: plain
cereals, pre-sweetened cereals and mixtures. Each type, as listed, is an
embellishment of the preceding one. The highly sweetened products are
created by coating plain cereal products with sugars, flavors and other
ingredients including fatty materials used to keep the product pieces from
sticking together. The plain or pre-sweetened cereals may also be mixed
with other non-cereal products, such as fruit or nuts in a similar second-
Grains
Sugars
Figure 3.4 Assembly of complex cereal products from basic 'plain cereals' from which all
originate (from Miller, 1990a).
Cereal Flavors , Etc.
Fats
Mixing
Syrup
~
Pre- Sweetened/
Mixed Cereals
Figure 3.5 Mixing process for embellishing plain cereals with other ingredients, especially
sugars (schematic). Fats, usually at low concentrations in plain cereals, are often added in
this process to maintain separation of the cereal pieces (from Miller, 1990a).
ary operation. A typical coating/mixing process is illustrated schematically

in Figure 3.5. All breakfast cereals begin with 'plain' cereals that have
relatively simple formulas and are very high in grain content with modest
additions of other materials such as sugar and salt. Even the vitamin and
mineral fortification is frequently added later. From the foregoing, it can
be seen that grains are at the heart of all breakfast cereals from both a
nutritional and process point of view.
The remainder of this chapter will be devoted to the plain breakfast
cereals where we find the important extrusion process.
A definition is ventured now, having narrowed the discussion to the
plain cereals not far removed from the original concept of Kellogg and
Post. Breakfast cereals are friable products consisting primarily of grains
which have been transformed into a more edible and digestible form by
processing including cooking and dehydration. Now that the products
have been more closely identified, the various processes used to manu-
facture them will be examined and generalized.
3.4 Breakfast cereal processes
Plain breakfast cereals may be categorized by the processes through which

they pass and which give them distinctive characteristics. These include:
• Flaked (whole grain, grit and extruded grit)

• Extrusion puffed (direct expanded)
• Oven puffed (whole grain and extruded)
• Gun puffed (whole grain and extruded)

• Shredded (whole grain and extruded)
• Hot cereals (regular and pre-cooked)
• Baked
Figure 3.6 outlines the unit operations for each of these products (except
'baked' which uses different technology and will not be discussed here). It
shows the steps required for extruded versions of the products but may be
applied, by analogy, to non-extruded versions as well. Working upward
from the bottom of the diagram, where the various products and pro-
cesses have diverged, a common primary cooking step is found at the top.
PRIMARY SUPPLEMENTAL
INGREDIENTS INGREDIENTS
INSTANT DIRECT FLAKED GUN OVEN SHREDDED

EX~NDED PUFFED PUFFED
Figure 3.6 General process flow diagram for breakfast cereal manufacturing (from Caldwell
et al., 1990b).
Cooking is responsible for flavor development [5], improvement of

nutrient availability [6] and creation of palatable properties - cereal
grains are quite edible in their natural state to birds, insects and other
forms of life, but need some transformation for human consumption.
This is perhaps the most important function of cooking in breakfast
cereal manufacturing. To create friability, all cereals undergo some kind
of texturization involving deformation of the grain into a porous brittle
structure. This deformation requires the grain to develop elasticity so
that it may respond to mechanical or thermally induced forces. As
previously noted, grains contain a large amount of complex carbo-
hydrates, mainly in the form of starch, which is packed into naturally
occurring granules. Cooking in the presence of moisture causes these
granules to rupture, releasing the starch molecules to create a matrix of
gelatinized starch that surrounds and supports other grain fractions and
added constituents. This semi-homogeneous material, when at the proper
temperature and moisture for each process, flows as directed by the par-
ticular process (i.e. flaking rolls) into the desired shape and responds to
thermal stresses induced in other processes (i.e. toasting ovens) to
develop porosity further by evolution of steam from moisture within the
product.
3.5 Principles of cooking
Cooking raises the temperature of a cereal product above the gelatiniza-

tion temperature for a sufficient time for the gelatinization reaction to
achieve the desired degree of completion. Other reactions, such as those
responsible for flavor development, also occur and must be considered in
choosing the time and temperature for a particular product. Three
independent sources of energy are available for generating the heat needed
for cooking, as illustrated in the top part of Figure 3.7: direct heating of
cooker surfaces for conduction into the product; injection of steam into
the poduct; and mechanical energy which is converted to heat by friction
within a viscous product when it is sheared or intensively mixed by the
machine surfaces. These three energy sources may be used in various
combinations but all are transformed to heat in the product as shown in
the lower portion of Figure 3.7. Also shown in this diagram are three
ways in which the energy is absorbed by the product: sensible heat is that
heat used to raise product temperature; heat of reaction is that part of the
energy absorbed by gelatinization and other endothermic reactions (a
smaller but significant part of the total); and mechanical pump work
which is used to compress the product (usually ignored since it is much
smaller than the other two).
The Arrhenius law for chemical reactions predicts that reaction rates
STEAM FEED
INJECTION
COOKING PROCESS
MECHANICAL
ENERGY
PRODUCT DIRECT
HEAT
HEATS OF
CONVERSION REACTION
(mechanical)
CONVECTION
(steam) ENERGY FLOW
CONDUCTION PUMP
(heat) WORK
Figure 3.7 Generic continuous cooker and energy flow diagram (from Miller, 1988).
increase with temperature [7], so that at higher temperatures less time is

required to achieve any particular degree of completion. This is the case
with cereal cooking where, as indicated in Figure 3.8, higher temperature
processes use shorter cooking times. However, moisture and shear are two
other factors important in the speed of gelatinization of cereals. In the
absence of shear, gelatinization is a hydration process. Since water is a
reactant, its presence in excess (above c.30%) increases the cooking rate
and at lower moistures the rate becomes less. Shear can also cause gelati-
nization by mechanical disruption of the native grain starch structure.
Processes operating at reduced moisture (as in many extrusion cookers)
usually generate a great deal of shear stress within the product which is
greater at lower moistures (higher viscosities). The presence of shear miti-
gates the gelatinization-retarding effects of low-moisture cooking. Since
including all four of the important variables in one graph is not possible
for those of us living in three dimensions, the effect of shear does not
appear directly in Figure 3.8 but generally it is the inverse of the moisture
content increasing from lower right to upper left. The shortest time pro-
cesses are those with low moisture and high shear.
.1
.3 C~,~
.11 1 r,,,~
3 •"'/YIJT:
II 10 ~S
Figure 3.8 Range of cereal cooking conditions, time, temperature and moisture, with typical
ranges of cooking process styles (from Miller, 1988).
Although somewhat interchangeable on a thermodynamic basis, shear

and moisture affect product properties differently - high-moisture, low-
shear cooking is gentle in that it does not cause degradation of the starch
molecules. High-shear, low-moisture cooking fractures ('dextrinizes')
starch molecules. This can be detrimental to product quality in that overly
sheared products absorb moisture quickly and become soggy, losing their
crispness. They can also have a sticky or slimy mouthfeel or (in the
extreme) odd flavors. This is illustrated in Figure 3.9, which shows the
results of a table-top experiment in milk absorption into corn flakes: the
original Kellogg product absorbed the milk at a much slower rate than
the extruded generic product which became soggy.
Variations in moisture and shear also generate product differences on a
macroscopic scale, as indicated in Figure 3.10. The product of a low-
moisture, short-time, high-temperature (and high-shear) cooking process
tends to puff on emergence from this intense environment into the atmo-
sphere; this can be a nearly finished product in some cases. At the other
extreme, whole grains may emerge in a gelatinized, hydrated form with
little change in their overall physical organization beyond swelling. Other
product characteristics in the range of cereal cooking conditions are inter-
o 2 3 4 5 6 7 8
Soaking Time, m
Figure 3.9 Comparison of milk absorption rates of steam-cooked corn flakes (Kellogg's) with
generic, extrusion-cooked corn flakes. The cheaper generic product becomes soggy more
quickly (from Miller, 1990a).
cOol(
3 II
, '~r'fofE
3 ."""'Or
8 10 £S
110
10
..,.
IS .:)~f(, '
20 .j>'c}
30/
qq:
Figure 3.10 Product characteristics from different regions of cooking process conditions
(from Miller, 1988).
mediate between these extremes, illustrating that selection of a cooking

process depends very much on the product qualities desired and not just
on thermodynamic efficiency.
3.6 Ove"iew of cooking processes
Figures 3.8 and 3.10 indicate a range of cooking methods on the con-
tinuum of possible cereal cooking conditions. Here those methods will be
defined, with further elaboration to come later in the sections on product
types. The cooking methods are:
• Boiling water cookers
• Steam cookers
• Adiabatic extruders
• High-shear cookers
• Low-shear, high-pressure cookers
• Low-shear, low-pressure cookers
• High-shear cookers with steam injection and/or pre-cooking
This classification scheme is based not so much on equipment style
(certain kinds of equipment like the twin-screw extruder can be operated
to fall into several categories) but on the environment to which the
product is exposed. To define further the operating conditions, see Figure
3.11 which illustrates typical shear rates and pressures found in each
cooking style.
200
150
";"(1)
ct) AliroXil)'late
16 100 eratlng
cr nges
...
«I
ct)
.s:::
CJ) 50
Steam
O~----~----~-----L----~----~
o 300 600 900 1200 1500
Boiling Pressure, psig
Water
Figure 3.11 Pressure and shear rate ranges found in various cooking processes (from Miller,
J990a).
Cooking styles may also be classified according to energy sources. As

noted above, energy is available in three forms . These different forms
impact directly on the product environment and are not freely inter-
changeable. Mechanical energy is dissipated throughout the product by
shearing it; as discussed earlier, shear affects product structure in addition
to creating heat. Conduction adds only heat through the machine sur-
faces. It is a surface phenomenon, requiring good mixing to incorporate
the heat throughout the product and relatively large surface areas for effi-
cient heat transfer. Steam injection (before or during final cooking) is a
very efficient way of quickly distributing large amounts of heat through
the product but it also carries moisture with it and is therefore not an
effective method where low moisture cooking is desired.
In characterizing cooking processes according to energy input, note that
the three sources must add up to 100% of the total energy used. This
reduces the degrees of freedom in the system so that all of the possible
combinations may be represented in a two-dimensional three-phase
diagram (see Figure 3.12). Each of the cooking styles occupies a region of
the diagram, with moisture generally increasing from a minimum at the
'100% conversion' apex. With these operating conditions in mind, a closer
look can be taken at the kinds of equipment used to create them.
100"
CONVECTION
STEAM
BOILING WATER
COOKERS STEAM PRE - COOKERS
HIGH-SHEAR
COOKERS LOW-SHEAR
HIGH-PRESSURE
C()()I(ERS
Figure 3.12 Three-component energy diagram for cereal cooking processes with typical oper-
ating ranges. At any point, the energy derived from each source is proportional to its near-
ness to each apex. The sides opposite each apex represent all combinations of the other two
sources, with no contribution from the first source (from Miller, 1988).
3.6.1 Boiling water cookers

With a self-explanatory name, boiling water cookers are perhaps the sim-
plest type. Usually they consist of a batch vessel containing grain and suf-
ficient water to permit complete coverage and fluid flow, although
continuous methods have been developed [8,9]. As shown in Figure 3.8,
boiling water cookers operate at the lowest temperatures for the longest
time among the cooking methods discussed. This is because the cooking
pressure (atmospheric) is also the lowest and shear stresses (transmitted
by low viscosity water) are essentially zero (Figure 3.11). Without sig-
nificant shear, mechanical energy is not available as a heat source. Heat
must therefore be supplied in other forms: convection and conduction.
Either of these may utilized by injection of steam into the water in the
cooking vessel via an external jacket, or any combination of the two,
leading to the operating range indicated in Figure 3.12. Being a relatively
slow process with no mechanical forces applied to the product, the boiling
water process is the gentlest. It produces the least disruption of the grain
structure as the starch is gelatinized. The resulting whole grain product
(Figure 3.10) is soft without being sticky and, if handled carefully before
and after cooking, contains no broken grain fragments. These properties
are particularly important in making shredded wheat, and are of interest
for any whole grain product.
3.6.2 Steam cookers

Whole grains may also be cooked by steam, a common method for flaked
products. Steam cooking may also be used for granular ingredients (corn
grits or coarse floury materials) producing a cooked product with more
structural disruption than that from boiling water cookers but retaining
much of its integrity (Figures 3.8 and 3.10) due to modest levels of shear
and pressure applied to the product (Figure 3.11). With higher pressure
the steam cookers achieve higher temperatures and cook faster than
boiling water cookers. Another advantage is that other ingredients such as
malt, salt and sugar may be incorporated into the product. Since only a
small amount of heat is available from the conversion of mechanical
energy (the viscous product is agitated during cooking by rotation of the
cooker or with agitator blades in the case of continuous cooking), most of
the energy for cooking comes from the steam itself. The steam also adds a
significant amount of moisture to the product; this fact must be taken
into consideration in formulating the mix entering the cooker, although
some newer systems use superheated steam to minimize condensation.
Batch processing is the rule with steam cooking except when used in
conjunction with extrusion, where it accelerates the overall process. Com-
plete cooking with steam alone requires residence times of the order of
one hour, making continuous cooking problematic. Continuous steam

cooking will be discussed later.
3.6.3 Adiabatic extrusion

Cooking processes in which all of the heat is supplied by conversion of
mechanical energy are called adiabatic or autogenous methods. Very high
shear extrusion (shallow flights and high screw speeds) is capable of gela-
tinizing in a very short time at the highest cooking temperatures of all the
methods discussed. In order to utilize shear effectively for all of the
cooking, relatively high viscosities provided by low moistures are needed.
Under these conditions the structure of the feed material is completely
disrupted down to the microscopic level where the starch is dextrinized
more than in any other process. This condition is conducive to puffing:
the product expands into a stable 'dry puffed' form when it emerges from
the extruder die into atmospheric pressure. This is an attractive feature of
adiabatic extrusion; the extruded product is nearly finished as it emerges,
with a die induced shape and friable texture. Unfortunately, the highly
dextrinized microstructure is not always desirable in that it makes the
product sticky. This may be masked to a degree by sugar coating: direct
expanded cereals are usually aimed at children who like the sweeter pro-
ducts.
3.6.4 High-shear cooking extrusion

Direct expansion may also be achieved by high-shear cooking extrusion
(Figure 3.13) which also derives a large portion of its heat from conver-
sion of mechanical energy but can utilize other forms of energy as well.
Generally, lower shear rates are applied for a longer residence time at
higher moistures and reduced final temperatures. Additional heat may be
supplied through the extruder barrel (with jackets or electric heaters) or
by injection of steam. With these options, the operating range of the high-
shear cooking extruder is quite broad with conditions that may be selec-
ted for the particular products desired. With increased moisture, for
example, the product may puff but not in a stable dry form. On the other
hand, cooling may be employed to eliminate puffing and stop the cooking
reactions when desired. When steam is injected through the barrel, the
range is extended even further, with a granular product possible in cases
where shear stresses are minimized to prevent homogenization of the
product. Steam injection can also be of great economic benefit: steam can
rapidly increase product temperature in the upstream sections of the
extruder so that less work must be done on the product in later sections.
Cooking can then be accomplished in a much shorter time, or production
rate may be greatly increased with a given extruder length [10].
Figure 3.13 Early single-screw cooking extruder, c. 1961 (courtesy of Wenger Manufacturing,
Sabetha, KS).
3.6.5 Low-shear, high-pressure cookers

Derived from non-food applications, single-screw extrusion was adapted
for the forming and cooking of foods in the late 1950s to provide a
continuous processing method. The machines usually operate at lower
screw speeds than the high-shear extruders and, with their sometimes
deep flights, generate less shear. This factor, combined with a usually
high moisture or doughy feed, limits the amount of heat generated by
conversion of mechanical energy so that a large fraction of the cooking
heat is transferred to the product by conduction from heated barrels.
Steam injection is not usually an option, due to the full-screw operating
conditions usually observed (leaving no room for the steam to enter)
starting with a choked feed section. To a great extent, this kind of pro-
cessing is now being done with twin-screw extruders which can be con-
figured and operated to create low-shear, high-pressure conditions but
with better heat transfer characteristics due to their superior mixing
action. The product from this kind of process is generally moist and
dense but may expand into an unstable bubbly foam which collapses on
cooling after it emerges from the extruder. It is common to follow this
low-shear, high-pressure cooker with a forming extruder or a cooled
forming zone on the same extruder after the cooking section; a long
extruder is required to accommodate both on the same screw shaft. In
many cases it is preferable to separate these processes so that different
screw speeds may be used in each to optimize both independently, or to
use a different extruder style. A cheaper single-screw extruder might
suffice following a twin-screw cooking stage.
3.6.6 Low-shear, low-pressure cookers

A final category of cooking processes used in breakfast cereal manu-
facturing is represented by the low-shear, low-pressure cookers. This is a
motley group consisting of mixers with heat transfer surfaces, and various
extruders operated with relatively open discharges to minimize pressure
build-up and relatively low screw speeds to minimize shear. Product from
these cookers is often granular (non-compressed) and must undergo
forming, as outlined above, before further processing.
3.6.7 Continuous steam pre-cooking

Although steam cooking is normally done in batch cookers, continuous
steam cookers are often used in conjunction with extrusion processes
to hydrate and partially cook a cereal product before it enters the extru-
sion step. Steam pre-cooking adds several advantages to ordinary extru-
sion:
• The longer, gentler overall cook cycle decreases starch damage and
improves uniformity of hydration, leading to better product quality.
• Usually less specific energy is required from the extruder, reducing
wear.
• Expensive electrical energy needed to drive the extruder may be to a
great extent replaced, often by cheaper forms of energy to generate
steam, producing savings in energy costs.
These advantages are offset to a degree by the increased capital costs of
providing the precooking equipment, boiler and other ancillary equip-
ment.
Precookers are usually mounted above the extruder inlet, so that the
product may flow by gravity to the extruder (Figure 3.14). Steam and
often water are mixed with the product by one or two sets of mixing
elements (usually paddle blades) mounted on parallel rotating shafts. The
precookers may be operated at atmospheric pressure or at slightly
elevated pressure (requiring special feed mechanisms to overcome the
pressure) and hold the product for a residence time of up to about two
minutes.
Figure 3.14 Modem twin-screw cooking extruder with precooking cylinder mounted above
extruder barrel (courtesy of Wenger Manufacturing, Sabetha, KS).
3.7 Breakfast cereal processes: traditional and extrusion methods
In the following sections, the various types of breakfast cereals will be

considered; how they are manufactured by traditional methods and where
extrusion processing has been introduced.
3.7.1 Flaked cereals

At the heart of the flaked cereal process are the flaking rolls which receive
particles of cooked product and smash them down into thin flakes which
are then toasted to develop crispness and final flavor notes (and to dehy-
drate them for stability). The flaking rolls consist of a pair of parallel
counter-rotating horizontal cylinders mounted so that a small gap exists
between them (Figure 3.15). Product pieces, fed from above, are drawn
downward into the gap where they are smashed by friction with the roller
Figure 3.15 Flaking rolls (courtesy of Lauhoff Corp., Detroit, MI).
surfaces (Figure 3.16). For proper flaking to occur, the product pieces
must possess a degree of fluidity so that they may flow outward within the
roller nip without fracturing to form a continuous flake shape. The coeffi-
cient of friction between the product pieces and the roller surfaces must
also be great enough so that the pieces are drawn into the nip; hard, dry
product surfaces would cause the pieces to ride above the nip without
falling in. Roller surfaces must not be too smooth; they are usually
slightly roughened to engage the product pieces properly.
These mechanical considerations dictate that the product must be well
gelatinized (so that it has the strength to deform without fracture) and
contain sufficient moisture for both flow in the nip and friction with the
rollers. The pieces must also be of the correct size to generate the desired
flake size and prevent the pellets from flowing into each other in the
flaking operation (a factor that also limits feed rate and requires even dis-
tribution of the product pieces across the rollers to keep them from
impinging on one another).
After the product pieces are flaked they must be removed from the
flaking rolls. Doctor blades are used to remove flakes that adhere to the
roller surfaces. The blades should be looked on as backup devices,
however, because most of the flakes should simply drop from the rollers
for good flake formation. To drop easily from the rollers the flakes
cannot be overly sticky, which places an upper limit on flake moisture.
Also, a too wet product does not give the desired appearance of a flaked
cereal. To get the correct rough, crinkly, crisp appearance of a flaked
Particulate
Feed
\ • Flaking
Rolls
Figure 3.16 Flaking mechanism (schematic). Left: particulate feed passes through small gap
between parallel rollers. Right: pellets are drawn into the roller nip by friction, after which
they are compressed in the narrowing clearance, forcing the pellets to flow outward (from
Miller, 1990a).
cereal some heterogeneities in moisture content are desirable. When the

flake flows within the roller nip, it actually undergoes an extrusion
wherein the center portion is squeezed out of the piece and is combined
with the drier outer portions, forming irregularities that become nuclea-
tion centers for void formation (texture) in the toasting operation (Figures
3.17 and 3.18). Too wet, uniform product pellets make flakes that look
more like poker chips. Product handling, before and after flaking, also
places an upper limit on product moisture and stickiness.
The object of flaked cereal processing is, therefore, to provide the
flaking rolls with product pieces of the proper size and consistency for
good flaking characteristics and product quality. Steam cooking is the rule
in traditional processing. Batches consisting of grain (i.e. corn grits,
wheat) and minor ingredients such as salt, malt and sugar are cooked
together with steam to form a gelatinized mass of product which is then
broken up into individual grain pieces (in the case where whole or nearly
whole grains are used for the batch) or small agglomerates of finer parti-
cles. Special lump-breaking and sizing equipment, often with fines recy-
cling streams, is used for this purpose. The pieces are also cooled and
often dried to prepare them for optimum flaking.
An early improvement in this system, accomplished through extrusion,
was the replacement of much of this post-cooking processing with simple
forming extrusion. This permitted the use of a wider range of feed materi-
irregularities
~
Flake
delami nation/ voids
Toasted
Figure 3.17 Flake toasting texturizes the flake by creating voids within the cross-section, as
well as dehydrating and browning the product (from Miller, I 990a).
Figure 3.18 Corn flake, showing texturizing.
als which might not otherwise readily form into grits (agglomerates or
whole grains) suitable for flaking and virtually eliminated the fines recy-
cling. Extruded product pieces are much more uniform in size than those
produced by traditional methods. Indeed, one of the problems with many
extruded products is that they are too uniform and appear less 'natural'
than products made by other methods.
Since extrusion is a continuous process, an interface with the preceding
batch process must be provided in the form of, for example, surge capa-
city with live-bottom bins. The surge volume is useful in absorbing flow
variations and must be configured to minimize product variations (i.e. in
moisture and temperature) in the extruder feed. These are inherent in the
batch-to-continuous flow mismatch; freshly dumped product is hotter and
wetter than product stored for a time.
Forming extruders, used for converting a cooked mass of cereal
product into product pieces suitable for flaking, are usually cooled, and
configured and operated to add a minimum amount of specific energy
through shear to the product; only enough to compress the product into
cohesive pieces or strands. Single-screw extruders are suitable for this
purpose, although the more flexible twin-screw machines can be very
effective in that they have superior heat transfer characteristics. Cooling is
often a problem in the extrusion process which inherently generates heat.
Excess shear is detrimental to product quality in that it can damage the
starch matrix and cause excess stickiness and a finished product that
absorbs moisture too quickly.
The normal forming extruder configuration is a relatively short (Lj
D<8:1), deep-channel screw rotating in a slightly grooved barrel to elim-
inate slip without excess backflow (and excess heat development). The
screw pitch and/or channel depth is often varied to create a slight com-
pression ( < 3: I) to eliminate air entrapment and assure choked flow con-
ditions for better heat transfer and product formation. Cooling water (or
other heat transfer fluid) is circulated through jackets surrounding the
extruder barrel to reduce product temperature for ease of handling after
extrusion and to mitigate the specific energy input from screw rotation.
On larger diameter machines cooled screws are sometimes used as well.
These are not as effective as cooled barrels, however, because the resulting
increased viscosity at the screw root can reduce flow rate so that the spe-
cific energy increases, canceling the additional cooling to a degree. Cooled
screws must be used with care, if at all.
Overall die resistance must be minimized to keep specific energy low,
while assuring good product formation. This results in the usual multiple
die hole layout, with many small openings. With many orifices (and a
somewhat sticky product) subdividing the continuous product streams
into discrete pieces can be a problem. The simplest method, die-face
cutting with blades passing over the die plate, is often not satisfactory;
pieces interfere with one another and adhere. For this reason, some manu-
facturers supply post-extrusion equipment to remove the product streams
in continuous strands (Figure 3.19). After the surfaces of the strands have
cooled and dried to a degree so that they are no longer sticky, the strands
Figure 3.19 Extrusion of corn flakes: as an alternative to die-face cutting of pellets, con-
tinuous strands may be produced to allow some cooling and drying before subdivision into
pellets with reduced stickiness (courtesy of Buhler-Miag, Inc., Minneapolis, MN).
may be subdivided in a separate cutting step. In addition to the slight

drying of the extrudate to ease handling, more drying is often employed
to improve flake quality. Optimum flaking moisture, 10-24% depending
on the product [11], determined by ease of flaking and development of
desired flake texture, is usually lower than optimum cooking moisture. In
particular, it is often desirable to generate a degree of 'case hardening' or
surface dryness to simulate natural grain behavior in flaking of the more
homogeneous extruded product. To increase friction with roll surfaces, the
dried product might be slightly humidified on its surface just before
flaking.
The next important use of extrusion in flaked cereal products is that of
extrusion cooking to replace the traditional batch method. This has
several obvious advantages including:
• Increased control by reduction of process residence time and direct

mechanical manipulation of the product within a controlled environ-
ment.
• Better compatibility with subsequent continuous processes.
• Elimination of the need for surge capacity.
• Elimination of ancillary process steps such as lump breaking needed for
cooked batch masses.
• Possible reductions in ingredient costs by substitution of the critically
specified grains needed for batch cereal manufacturing with cheaper
materials; under direct mechanical manipulation, the physical properties
of ingredients are often not as important.
• More flexibility in formulation; the extruder is very good at intimately

combining materials with its environment of shear.
• Less energy consumption; batch steam cooking is wasteful due to large
equipment surfaces and necessary steam venting, and batch cooking is
usually done at higher moistures, requiring more energy to achieve
cooking.
• Potential savings in floor space and labor with the smaller, usually
more automatic extrusion equipment.
Early attempts at continuous extrusion cooking of flaked breakfast

cereals, using high-shear or high-pressure low-shear, single-screw extruders
(which had been adapted successfully for snack extrusion) were only mar-
ginally acceptable due to the high degree of starch damage generated in
such processes. The use of steam precooking and/or steam injection (pos-
sible in the starved or partially filled screws of the high-shear extruder)
improved product quality by replacing some of the specific mechanical
energy input with steam and, in the case of precooking, extended the time
available for hydrating the product. With the advent of the co-rotating
intermeshing twin-screw extruder in the 1970s, the use of extrusion
cooking became more attractive. These machines may be configured to
operate in a relatively low-shear mode and are amenable to steam injec-
tion and precooking, both of which are now being used with more fre-
quency in cereal production. Other types of machines, using either the
twin- or single-screw idea, have also been developed to operate in a low-
pressure, low-shear mode for shear sensitive products such as flaked
breakfast cereals.
The most successful extrusion cooking machines have utilized relatively
long residence times, requiring long extruder barrels (L/D > 18:1) which
also allow for sequential processing along the extruder. By careful selec-
tion of mixing elements, forward and reverse pitch screws, and internal
restrictions, the twin-screw extruder becomes a series of discrete zones for
mixing, heating, venting, etc. for optimum processing of a breakfast
cereal.
At this time, the extruded products are generally considered an inexact
match for the original batch-cooked versions but progress is being made
and they are getting very close. In addition to the textural problems
caused by starch damage, flavors are not as well developed in the short
cooking time available in an extruder. With appropriate formula
changes, however, these flavor deficiencies may be minimized and, in
new products which are not meant to imitate a batch-cooked standard,
the extrusion-cooked cereals can be quite satisfactory in both flavor and
texture.
Extrusion cooking is normally followed by extrusion forming. This is
often accomplished in two separate steps but the steps may be combined
by creating separate cooking and forming zones within the same extru-
der. For good separation of the hot and cold zones, still longer barrels
(LID c. 24: 1) are preferred. These zones are often separated by a vent
port, which quickly reduces product temperature by evaporative cooling.
This serves two purposes: to quench cooking reactions quickly at the
desired end point; and to reduce the cooling load in the forming section.
Twin-screw extruders are particularly good for both venting and zone
separation.
Although the single extruder approach reduces the amount of equip-
ment needed to cook and form a cereal product, many manufacturers
prefer to use separate extruders. With separate units, zone separation is
complete and no venting is needed (the product 'vents' as it emerges from
the cooking extruder into the atmosphere). Also, cheaper single-screw
extruders are often sufficient for forming even when twin-screw extrusion
is needed for cooking. By following a twin-screw cooker with a single-
screw former, the more expensive technology is concentrated where it is
needed. Often a process can be better optimized with two extruders as
well. With one extruder both sections must operate at the same screw
speed which might not be best for both applications.
Regardless of how accomplished, the entire process of cooking, forming
and flaking is aimed at creating a product which will, on toasting, develop
the desired flavor and texture qualities. Flakes are toasted at a high tem-
perature, up to 330°C [11], in several types of equipment ranging from
rotary ovens to high-velocity fluid bed dryers. In these, the product is
browned (creating flavors) and a friable texture is developed. This texture
depends on the microstructure (starch condition), physical dimensions
(thickness) and porosity of the product. Some flaked cereals develop voids
necessary for crisp texture while others rely on a very thin product with
little starch damage (which will make a product hard or 'flinty' rather
than crispy). All of these qualities depend on cooking and must be evalu-
ated when selecting a cooking method.
The foregoing discussion about flaked cereals represents, in many ways,
the issues found in all breakfast cereal processing. This is especially true
when considering replacement of older methods by more efficient extru-
sion techniques. The particular problems found in other product types are
discussed below.
3.7.2 Extrusion puffed breakfast cereals

Extrusion puffing, or direct expansion of breakfast cereals, was an adap-
tation of a technology used for snacks in which a superheated gelatinizeQ
cereal-based product emerges from an extruder die into atmospheric pres-
sure which permits the moisture to flash into steam within the product
thereby inflating it. If the product is properly elastic, the result is a stable
foam which sets into a porous friable texture similar to that found in
cereal products puffed by other means (to be discussed later). The original
puffed snack products (i.e. corn curls) used a very short adiabatic extruder
rotating at a high speed so that the cooking conditions were very intense
and of short duration with a great deal of starch degradation (dextriniza-
tion) and very high expansion rates. All of the heat supplied to the
product for cooking is in the form of viscous dissipation of mechanical
energy. Puffed cereals are usually more dense than snacks and often
contain other ingredients such as sugar and salt which retard gelatiniza-
tion by reducing water activity. Therefore the extrusion-expanded cereal
products usually require extruders with more residence time and usually
utilize other forms of energy in addition to the mechanical component.
Nevertheless, the extrusion puffed cereals are usually more dextrinized
than those produced by other methods and are usually relegated to the
'presweetened' category where moisture absorption in the bowl is retarded
by the sugar (with some fat) coating.
High-shear, single-screw extruders are appropriate for making direct
expanded cereals with optional steam precooking or injection available to
improve efficiency or to decrease starch damage when desired. Indeed, as
discussed later, direct expansion is an attractive way of simulating expan-
ded products made by other less abusive methods. For this reason, twin-
screw extruders are now also being used for direct expansion. These flex-
ible machines may be configured and run to create the intense final condi-
tions needed for product expansion with less starch damage than that
found in single-screw machines. Other cooking methods such as the low-
pressure, low-shear cookers may also be used if followed by a high-shear
(i.e. rotating single-screw or disc) unit to cause the product to expand
after a relatively mild cooking stage. In any case, the final temperature
should be in the range of 150-200°C with a moisture level less than c.
20% for proper expansion.
Extrusion forming of cereal products for direct expansion or for puffing
in a later process step permits the creation of a variety of shapes. In
designing the extrusion dies for product shaping, however, one must bear
in mind a list of effects leading to distortion of the extruded shape.
Puffing by any method, for example, tends to round out a shape; all
shapes want to inflate into spheres when they expand (Figure 3.20). In
addition, elasticity of the flowing cereal mass within the die causes the
product shape to rebound when the applied stresses in viscous flow are
relieved on emergence from the extruder. Elastic rebound causes the
product thickness and trailing cut-off surfaces to swell, adding further to
product rounding even before expansion commences. Some of the shape
distorting factors (listed in Table 3.4) may be manipulated at will by, for
example, using slippery die surfaces or heat transfer in selected portions of
the die.
--
--r=1
~~~~~~~---§
Extruded
pel let ---.
Expansion - -- - - - - -__
_
Figure 3.20 Development of sphericity in puffing. Flat surfaces of extruded pellets are weaker
than sharply curved surfaces, allowing them to bulge outward during inflation (from Miller,
I 990a).
Table 3.4 Some mechanisms of distortion of extruded product shapes (from Miller, 1991)
Velocity distribution in die Affects product thickness

Viscosity variations Affect velocity
Thermal effects Affect viscosity
Heat transfer Causes temperature variation
Viscous dissipation Friction generates surface heat
Pseudoplasticity Flattens velocity distribution
End/edge effects Drag reduces velocity at die surfaces
Pressure variations Affect velocity profile
Viscous swell Die-face cut emerging stream spreads outward
Slip Separation of product from die surface reduces end/edge
effects
Elasticity Product shape rebounds from stressed state in die
Elastic swell Cross-section enlarges from compressed state
Elastic rebound Die-face cut piece trailing surface bulges
Stretching Continuous extruded strand outer layers stretch to cancel
flow velocity profile in die
Puffing Tends to round-out all extruded shapes
3.7.3 Oven puffed cereals

Expansion is caused by a sudden disequilibrium between the product and
the atmosphere which causes rapid steam generation within the product.
In the above case of extrusion puffing, the sudden change is brought
about by a rapid drop in pressure.
Rapid heating can cause a similar effect. When a cereal piece is well
gelatinized and at the proper moisture (and small enough for heat to
penetrate quickly), exposure to very high temperatures will cause it to
expand into a cellular structure (Figure 3.21). This is the process used to
produce crisp rice, one of the standard breakfast cereal products.
For crisp rice, gelatinized rice grains are prepared by steam cooking,
like the cooking step used for traditional flaked cereals. After cooking, the
high velocity
M~
heat
steam
generation
Figure 3.21 Cellularity is created by steam expansion in rapidly heated product pieces - high-
velocity hot air can quickly increase internal temperature (from Miller, J990a).
grains are cooled and separated, again as in the flaked cereal operation,
and then dried to obtain optimum moisture for oven puffing, c. 9-11 %
[11]. The drying is done in two stages, separated by a b' umping' opera-
tion, in which the grains are passed through flaking rolls set with a rela-
tively wide gap so that the grains are flattened somewhat but not flaked .
This assures a constant grain thickness in the oven so that heat penetra-
tion and resultant puffing are uniform.
Puffing is done at very high temperatures (to 343°C) in rotary toasting
ovens or more modern fluid bed dryers [11] in which high-velocity air
removes the stagnant surface air layer to accelerate heat penetration.
Extruded cereal pieces may be oven puffed as well. As in the case of
flaked cereals, this eliminates some intermediate steps such as lump break-
ing and produces an inherently uniform product thickness required for
consistent expansion rates.
Although bumping is therefore not necessary, many extruded oven
puffed products employ a post-extrusion forming process, in which the
extruded product (often in the form of a continuous ribbon) is further
manipulated to improve its appearance. This is usually done with surface
textured rollers. Surface textures (i.e. waffle grids, fluting) may be im-
pressed into the ribbon, which is also reduced in thickness. By using a
separate step to create the final product form, the extrusion dies may be
larger than the product, easing extrusion by reducing extrusion pressure
and lessening the likelihood of clogged dies. Post-extrusion forming
Extrusion Embossing
Figure 3.22 Extruded products may be further formed with special equipment such as
embossing rolls and lamination of different products from different extruders (from Miller,
I990a).
(Figure 3.22) prior to oven puffing can also be used to create novel pro-
ducts by running more than one extruded ribbon through the forming
device, making multilayered or laminated products.
For extrusion formed pieces, extrusion cooking is the rule. This sim-
plifies the overall process with all of the advantages listed under 'flaked
cereals.' In some cases, oven puffed products are simulated by direct
expansion, simplifying the process further. Crisp rice, for example, may be
manufactured using small slit dies to simulate individual expanded rice
grains. The direct expansion route is more efficient, and can significantly
reduce ingredient costs: rice suitable for oven puffing must meet strict
standards not needed for the extruded variety. The quality of these
products, however, is somewhat inferior to the original, relegating their
use to cheap 'generic' products or for confectionery ingredients. As in the
case of flaked cereals, the twin-screw extruder with steam has improved
product quality through better control and reduced starch damage.
3.7.4 Gun puffed cereals

Gun puffing is another method of suddenly subjecting a product piece to
a disequilibrium. In this case, the product is heated under pressure in a
closed vessel. When the vessel is suddenly opened, a violent decompres-
sion causes moisture to flash, inflating the product in much the same way
as in direct expansion puffing. One major difference, however, is that the
product is not under shear in the gun puffing operation. Thus, the original
unpuffed product configuration, although distorted by puffing, is essen-
tially preserved in the puffed piece. Puffed wheat, for example, looks very
much like a wheat berry, only larger. Indeed, in making whole grain gun
puffed products, shear is virtually non-existent throughout the process.
Since the process does not depend on the fluid properties or dimensions of
the product, many unusual materials may be gun puffed, including vege-
tables.
For whole grains (i.e. rice and wheat), the initial cooking usually takes
place within the puffing gun, which is externally heated, containing the
grain with steam and/or water. Since the pressures and corresponding
temperatures reached in the gun are quite high, the preheating/cooking
times are short, I Yl-12 minutes at 204-260°C and up to 1.4 X 106 Pa
[11], of the same order as those found in extrusion puffing.
In modernizing the puffing process, automated batch puffing systems
have been developed in which a series of puffing guns sequentially dis-
charge in a quasi-continuous stream. True continuous gun puffing in
which a stream of product pieces emerges (along with steam) through a
small nozzle sized to maintain desired internal pressure has also been
introduced on a large scale.
In view of the morphological integrity of gun puffed whole grains
maintained in the gun puffing process, it is not likely that it will be easily
replaced by extruder simulation. Of even more significance, perhaps, is the
difference in cell structure between natural grain expansion and that of
fabricated products. The natural grains exhibit fine cellularity, probably
reflecting the native plant cells or starch granules which act as nucleation
centers for void generation in puffing. This is also evident in popcorn,
which has a fine structure as well. The denatured microstructure of
sheared products leads to expansion into much coarser cells. Extrusion
formed products such as the familiar oat loop or corn puff have been gun
puffed for many years, however. The pre-puffing process usually involves
extrusion cooking and forming, with subsequent drying to optimum gun
puffing moisture. Since these products have always depended on a shear-
ing process, they are good candidates for simulation by direct expansion.
Many formerly gun puffed extrusion formed products are now being
made by direct expansion. The simulation is probably better than for
products which did not originally involve extrusion and as in the case of
the other products, has benefited from twin-screw technology.
3.7.5 Shredded products

Shredded breakfast cereals rely on distinctive forming machinery to create
the familiar biscuits and their constituent fine shreds. At the heart of the
operation we find the shredding rolls which consist of a pair of parallel
horizontal counter-rotating cylinders smaller than, but superficially similar
to, flaking rolls. Rather than being smooth, however, one of the rollers is
embossed with a series of circumferential grooves along its length (and
Choke
Feed
shear/
pressure
Shredding
Rolls
smoot h serrated
Figure 3.23 Shredding. Left: product is fed to rollers. Right: product pieces are extruded
through serrations in one roller, in which they are crushed and merged into a continuous
stream (from Miller, \990a).
usually a few axial grooves to create cross-members in the shredded web).

As the rollers rotate, cooked wheat berries are drawn into the grooves
(Figure 3.23). The crushed mass of wheat then extrudes through the nip
and out the other side of the rollers where it falls free as a strand of
cooked wheat (with the help of clean out wires riding in the grooves). A
cascade of these strands along the roller length is collected on a conveyor
which passes under a series of shredding rolls, each contributing a layer to
a growing bed of shreds. After the required number of layers is collected
(up to 20), a cutting/crimping device separates the bed into individual bis-
cuits with compressed edges holding the biscuit together (Figure 3.24).
The biscuits are then baked to a final moisture of about 4% at 204-
315°C [11].
In baking, two mechanisms operate to create the needed friable break-
fast cereal texture. Firstly, the individual strands develop voids and
become crisp. Secondly, the biscuits themselves shrink in length and
width, and puff up in thickness due to preferential shrinkage of the outer
more intensely heated layers. This causes the inner layers to 'bunch up'
into a light airy structure as shown in Figure 3.25.
The shredding operation requires a non-sticky gelatinized feed material
with high moisture. The traditional cooking method employed is therefore
'1
Figure 3.24 Assembly of shredded biscuits. Top: each pair of rollers contributes one layer to
a bed of shreds. Bottom: the layered shreds are subdivided into biscuits by crimping (from
Miller, J990a).
Fabricated
shrinkage
~ Baked
Figure 3.25 Biscuit baking, in which shrinkage of the outer layers causes puffing of the
biscuit (from Miller, I990a).
the most gentle - boiling water. It is a long residence time process, ex-
acerbated by a necessary tempering step after cooking for many hours.
Traditional shredded wheat is boiled for about 35 minutes and tempered
for up to 24 hours, for example [11]. As in the other cereal types, extru-
sion cooking can greatly improve the efficiency of the operation and con-
tribute a saving in ingredient cost as well. Extrusion-cooked and formed
pellets may be substituted for the water-cooked whole grains. The shred-
ding operation is more problematic with the extruded products, however,
because in order to minimize stickiness, lower moistures are required. The
resulting increased viscosity of the crushed mass within the shredding
grooves increases mechanical stresses and viscous heating, which must be
removed by cooling. The resulting products are not as friable as those
made from whole grains and are usually made only in a 'bite size' form
which is often presweetened. This process is essentially the same as that
outlined earlier for oven-puffed cereals made with post-extrusion forming.
Shredding rolls are post-extrusion forming devices.
A further step in the application of extrusion to shredded cereals is the
direct screw extrusion of shreds (the shredding rolls are, after all, extru-
sion devices). At least one cereal product line now in the market takes this
extra step; the shreds are not only formed but expanded in the extrusion
process, virtually eliminating the baking step as well. In direct expansion,
there is a short time (c.30 s) in which the product remains plastic and
may be further mechanically formed. In this case, groups of continuous
extruded strands are crimped together and cut into biscuits that super-
ficially resemble bite-size shredded biscuits, although the strands are
thicker and less friable than those produced in a true shredding operation.
3.7.6 Pre-cooked hot cereals

So far, we have explored the ready-to-eat breakfast cereals, and how
extrusion has become an important part of their production in cooking
and forming to create the kind of friable texture needed for consumer
acceptance. A smaller but important segment of the cereal market is that
of hot cereals, where form and friability are not issues. Instantizing of hot
cereals may be accomplished by several methods all of which reduce
cooking time. In the case of oatmeal, milling to a thinner size is sufficient
to speed gelatinization and hydration significantly [12]. Chemical additives
such as pepsin and disodium phosphate have also been used in the case of
farina-based products to reduce cooking time [13]. Truly instant hot
cereals, however, require precooking. Steam pressure cooking followed by
flaking and drying can be used to make a product which resembles the
original non-instant version in appearance, but rehydrates quickly. Drum
drying has been used to both cook and dry baby food cereals. Both of
these processes suffer from the same inefficiencies as discussed for ready-
to-eat cereal cooking, leading to an interest in extrusion cooking.
Instantized cereals may be made by extrusion cooking followed by
drying and size reduction (grinding). Unfortunately, fully gelatinized
extruded products which rehydrate 'instantly' are usually quite dextrinized
as well [5], causing low viscosities and other undesirable aspects of texture
and flavor. Extrusion as an instantizing process has received renewed
interest in recent years with the advent of the twin-screw extruder which
can, in conjunction with steam injection and precooking, minimize these
undesirable traits. Instantized cereals can be an important part of a baby's
diet, especially when the cereal is used as a carrier for added nutrients
often lacking in the diets found in developing countries. Extrusion can
contribute to improving the diet of Third World populations by providing
an efficient means of manufacturing low-cost, nutritious cereal-based
foods. Unfortunately, the equipment best suited to this production is the
expensive twin-screw machinery, often beyond the means of local pro-
cessors. Therefore, work with the older single-screw equipment in making
these products continues. The availability of such equipment in used con-
dition should increase as more manufacturers in the highly industrialized
consumer-oriented countries phase it out in favor of the more modern
machines.
3.8 Conclusion
Starting out as a simple forming method, extrusion has become an indis-

pen sible part of breakfast cereal manufacturing. In many cases it has
replaced traditional processing methods and has become the unique way
of manufacturing a range of products. Its use continues to grow as the
equipment improves, especially with the increased application of twin-
screw technology and other low-shear methods required for good product
quality. Breakfast cereals are becoming an important part of the diet in
more countries, assuring continued interest in developing extrusion
methods to meet the particular needs and tastes of a range of cultures.
These include those in developing countries where the extrusion of cereal-
based products can play an important role in providing adequate nutri-
tion for the next generation.
References
1. Otto, A. (1990) General mills: lucky charmed or eating its wheaties, Prepared Foods,
May.
2. Valentas, KJ., Levine, L. and Clark, J.P. (1991) Food Processing Operations and Scale-
Up. Marcel Dekker, New York.
3. Miller, R.C. (1990a) Cooking and extrusion (lecture notes), in Breakfast Cereal Technol-
ogy, American Association of Cereal Chemists Short Course, November 14-16, Minnea-
polis, MN.
4. Hoseney, R.C. (1986) Principles of Cereal Science and Technology, American Association
of Cereal Chemists, St Paul, MN.
5. Harper, J.M. (1981) Extrusion of Foods, CRC Press, Boca Raton, FL.
6. Bjork, I. and Asp, N.-G. (1984) The effects of extrusion cooking on nutritional value - A
literature review, in Extrusion Cooking Technology, (ed. R. Jowett), Elsevier Applied
Science Publishers. New York.
7. Levenspiel, O. (1962) Chemical Reaction Engineering, John Wiley & Sons, New York.
8. Spiel, A., Kim. S.K., Schutt, S.H. and Arthur, J. (1979) Continuous Cooking Apparatus
And Product, US Patent 4,155,293.
9. Fast, R.B. (1987) Continuous Process For Cooking Cereal Grains, U.S. Patent 4,699,797.
10. Miller, R.C. (1988) Continuous cooking of breakfast cereals, Cereals Foods World, 33(3),
284-291.
Miller, R.C. (1990b) Twin-Screw Extrusion: Dynamics of Steam Injection, 1FT Annual
Meeting, June 17-20, Anaheim, CA.
Miller, R.C. (1991) Die and cutter design (lecture notes), in Food Extrusion, American
Association of Cereal Chemists Short Course, June 17-19, Leuven, Belgium.
11. Fast, R.B. (1990) Manufacturing technology of ready-to-eat cereals, in Breakfast Cereals
And How They Are Made, (eds R.B. Fast and E.F. Caldwell), American Association of
Cereal Chemists, St Paul, MN.
12. Caldwell, E.F., Dahl, M., Fast, R.B. and Seibert, S.E. (1990a) Hot cereals, in Breakfast
Cereals and How They Are Made, (eds R.B. Fast and E.F. Caldwell), American Associa-
tion of Cereal Chemists, St Paul, MN.
13. Billings, H.J. (1938) Fortified Cereal, U.S. Patent 2,259,543.
4 Snack food extrusion
G. MOORE
4.1 Introduction
In the United States snack foods have evolved from a hand-cooked

industry into a $12 billion a year business in 1990. Many families who
made their products on kitchen stoves are now large corporations
employing thousands of people. Along with this growth has come the
need for high capacity equipment to keep up with the demand. Extruders
fill this need as an important part of high output production systems.
In Europe, new products and mass marketing will become more impor-
tant for food processors. The development of the European single market
will also lead to concentration of production and production units of
higher throughputs. Extruders will be needed to fulfil requirements for
energy efficient flexible high throughput demands.
The use of extruders in the snack food industry got its start in the
1930s when com curls were first extruded. From there the use of extruders
grew in a variety of ways, such as their use for second- and third-genera-
tion snacks. Today with the advent of twin-screw extruders, the snack
food manufacturer has the capability of producing even more complex
foods. With this increased capability comes a need for greater under-
standing of the extrusion process.
The objective of this chapter is to provide an understanding of the
methods in which extruders are used to produce snack foods. A discussion
of ingredients and equipment used to produce snack foods is presented
first. This is followed by details of the processes and techniques used to
make direct expanded and indirect expanded snack foods.
4.2 Ingredients
Extruded snack products are made from a small but growing list of raw
materials. Early snack products such as com curls were made from com
grits. Later on, as new products evolved, other base ingredients like rice
and potato were added to the list. However, the range of usable materials
was limited by the equipment available to the producer. In more recent
times better knowledge of the extrusion process and improvements in
equipment have led to more diverse and complex formulations. The
following discussion will summarize the types of ingredients used for
SNACK FOOD EXTRUSION 111
snack products. The list is not all inclusive and the reader should not limit
formulations only to those mentioned on the list.
4.2.1 Cereals
Cereals are comprised mostly of starch. This starch provides the structure
and texture of extruded foods. The cereals also provide a moderate level
of protein, varying levels of fat and fiber, and low levels of sugar, vita-
mins and minerals. Cereals can vary greatly due to genetic make-up,
growing conditions, storage conditions and other reasons. The constantly
changing raw materials make product consistency difficult in the produc-
tion environment and require continual modification of extrusion condi-
tions to maintain desired product qualities.
The most common cereals used for snack products are corn, wheat, rice
and oats. Other cereals such as barley, rye, sorghum and triticale could be
used but so far have not, probably due to flavor acceptance. The follow-
ing discussion gives some general information about the common cereals.
For a more complete treatment the reader is referred to publications on
cereal science such as Principles of Cereal Science and Technology by
Hoseney [1]
4.2.1.1 Corn. The most widespread cereal used for expanded snack
products. Corn is the primary ingredient for corn collets (both baked and
fried), onion rings and many pellet products. It is used because of its low
cost and it expands well even from the simplest of extruders.
In most cases degerminated corn is used because it expands better than
a whole corn fraction. It expands better because the oil content is much
lower for a degerminated corn meal. Table 4.1 shows that a degerminated
corn meal has an oil content of less than 1%, compared to about 4% oil
in a ground whole corn.
Corn is used in a variety of granulations, from a course brewers' grits
to a fine flour. Selection of the granulation is generally based on the type
of extruder. Collet extruders require coarse granulations to be able to
generate the high frictional energy in a short length of barrel. Twin-screw
extruders are more flexible and can utilize fine flours as well as coarse
granulations. Fabricated chip types of snack products tend to use flours
rather than meals in their formulations.
4.2.1.2 Wheat. Wheat is not normally used for expanded products

except in small amounts. Wheat is more difficult to expand due to gluten,
a protein. It has been used more in the fabricated and pellet types of
products. However, it can be used for expanded products with twin-screw
extruders. Soft spring wheat, with lower gluten levels, will give a more
tender expanded product than with semolina or hard winter wheats. Pro-
ducts made from wheat have an ivory color and a nutty flavor.
4.2.1.3 Rice. Rice is typically used as a carrier product for more

sophisticated flavors. Rice flour from white rice has a white color and a
bland flavor. This makes it useful for providing the starch matrix for
expansion while allowing alternative flavors to be added. The principal
drawback is higher cost than other cereal grains. Rice flours or meals
provide a level of expansion similar to that of com. As with com, rice
meal can be used in collet extruders but direct expansion of rice flour
requires twin-screw extruders or longer LjD single-screw extruders.
4.2.1.4 Oats. Oats are an excellent source of cereal protein as can be

seen in Table 4.1. However, because of its high fat content it is very diffi-
cult to expand. For this reason it has only found its way into products at
low levels. More recently it has been found that direct expanded breakfast
cereals with high levels of oat flour can be made. It requires longer barrel
extruders typically with steam preconditioning. With current knowledge
and interest in oats due to health claims oat-based snack products may be
seen in the future.
Table 4.1 Proximate analyses of various cereal products
Crude
Moisture Protein Fat Ash fibre Starch
(%) (%) (%) (%) (%) (%)
Corn flower, whole 11 7 4 1.5 3 73

Corn meal, degerm. 11-14 6-8 <1 0.3 0.4 76-80
Corn flour, degerm. 11-13 5-7 2.5 max. 0.6 max. 0.5 max. 76-80
Wheat, whole 11-13 12-14 2-3 1.8 2.5 64
Wheat flour 12-14 11-13 1 0.4 trace 71
Rice flour, brown 10-12 8-10 2-4 1-2 1-3 67
Rice flour, white 10-12 6-8 0.5-1 0.4-0.8 0.3-0.7 78
Rice bran 7-10 13-16 18-22 9-12 9-13 15
Oat flour (Lab-16) 7-10 14 min. 5-8 2.5 9.5 56-62
Oat flour (Lab-120) 7-10 14 min. 5-7 1-2 3 64-70
4.2.2 Root crops

Two root crops commonly used for extruded foods are tapioca and
potato. Both are typically used as a different starch source to modify
texture. When used alone or as the major component, potato has a char-
acteristic flavor that is retained after extrusion. Potato flours come in a
variety of types due to methods of manufacture. These different varieties
can greatly affect processing characteristics.
Potato flour is the basis for two common snack products. In the direct
expanded category is a product called 'Pub Fries' made by Goodmark
Foods. The product looks like a French fry but it has a light texture like
a com curl. Potato makes up the majority of the formula and gives it a
potato flavor. The other type of snack using potato flour is fabricated
potato chips. In this case the potato-based formula is extruded to gelati-
nize starches and form a sheet which is then cut to shape and fried.
4.2.3 Process aids

Process aids as discussed here are defined as ingredients which are used to
control the extrusion process, improve the extrusion stability or help
achieve a texture not otherwise obtainable. Almost any ingredient used at
a low level could be considered a process aid. It is common practice for a
product formulator to add small amounts of various ingredients to create
different textured products. In the short space available only the major
aids will be covered.
4.2.3.1 Water. The moisture content of the feed ingredients is the single
most important control of the extrusion process. Because most products
are dried after they are extruded, adjusting the feed moisture gives the
operator the ability to control the extrusion process without changing the
product formulation. Changing the feed moisture content will affect
product density and texture, starch gelatinization, and in some cases the
flavor.
The reason that water has such a dramatic effect on the process is
because of its effect on melt viscosity. As the moisture content is increased,
the melt viscosity decreases. Therefore, at higher moisture content and
lower melt viscosity, the specific mechanical energy (SME) input decreases,
resulting in a lower motor torque and a lower product temperature.
4.2.3.2 Oil. Vegetable oil can be added to the feed material, either
blended with <iry ingredients or injected separately into the extruder, to
affect tile proc~ss. Tl).e oil acts as a lubricant to reduce specific mechanical
energy. For highly expanded snack products a low level of added oil (less
tll!'J.Q 1%) can sometimes improve drag flow and stop extrusion surging.
4.2.3.3 Emulsifiers. Emulsifiers can be used to achieve the same effects

as oil. Emulsifiers such as lecithin and glycerolmonostearate (GMS) have
been used at very low levels « 0.5%) to improve extruder performance.
Addition of emulsifiers usually alters the texture, cell size and density of
an expanded product. For a highly expanded product the addition of an
emulsifier would typically reduce expansion and would yield a less dex-
trinized (less melt-in-the-mouth) type of texture. To achieve very low
Figure 4.1 Scanning electron micrographs of the internal structure of corn meal containing
sugar beet fiber (200 mesh). A, 10%; B, 20%; C, 30% (extruded at 200 rpm screw speed); D,
10%, E, 20%; F, 30% (extruded at 300 rpm screw speed) (see Lue, 1991 [2]) (Reprinted with
permission).
moisture levels during extrusion, emulsifiers are used in combination with

high sugar levels to prevent overcooking of starches.
4.2.3.4 Fiber. Fiber has a significant effect on product expansion.

Increasing levels of fiber reduce expansion. This can be used to modify
density or cell size if desired. In contrast to vegetable oil and emulsifiers,
fiber usually reduces expansion without having a significant effect on
texture. There are many sources of fiber available, some of which are
wheat bran, corn bran and micronized cellulose.
Research by Lue et al. [2] found that increasing the percentage of sugar
beet fiber resulted in less radial expansion and more elongation of the
products. Decreasing the particle size of sugar beet fiber improved both
radial and longitudinal expansion. The scanning electron micrographs
shown in Figure 4.1 clearly show how different levels of fiber affect the
cell sizes of a com meal collet.
4.2.3.5 Starch. Starch is the main component of cereal grains and is the
main contributor to a product's texture.
One method of changing product texture or improving the way the
product extrudes would be to add a small amount of a special starch.
Many different types of starch exist that could be used for this purpose.
Some of the different types are raw starch (e.g. com or potato), modified
starch, pregelatinized starch and specialty starches high in either amylose
or amylopectin. The reader should refer to the ingredient supplier for help
in selecting which of these starches should be used in a particular applic-
ation.
4.3 Equipment review
A discussion of all the pieces of equipment used to produce snack foods

would fill an entire volume. The scope of this chapter is to outline major
pieces. The following describes equipment used upstream and downstream
of a typical extrusion process.
4.3.1 Mixing equipment

When processes require IDlxmg, the raw materials can be blended in
several ways. They can be blended in a dry mixer such as a ribbon
blender or vertical mixer. This is a batch process. The dry ingredients are
batch weighed, added to the blender and mixed for 5-20 minutes.
Another method is continuous mixing. In this process, dry in~edients are
individually metered into a continuous blender such as an interrupted
flight screw conveyor or a paddle mixer. With twin-screw extruders, the
raw materials can be metered directly into the inlet of the extruder and
mixed inside.
For direct expanded products the dries are handled as above, or in
some cases the dries are premoistened. In this case the same mixing
equipment can be used because the moisture level is low.
For indirect expanded products, the raw materials are usually mixed
into a dough of higher moisture contents. This is done by batch methods
in dough mixers such as a sigma blade mixer, or can be done in a con-
tinuous mixer such as the Readco or APV CP mixers.
4.3.2 Jreetiers
Feeders for dry ingredients are usually of the screw type. This is because
they are well suited and are low cost. The most important criteria for a
feeder is that it delivers a consistent flow of material to the extruder.
Without consistent flow, the extruder will run unstable and produce poor
quality product. Screw feeders come in single- and twin-screw varieties,
c1osed- or open-helix screws, and with or without agitators. Volumetric
screw feeders usually deliver materials with an accuracy of ±2%. For
more demanding applications, loss-in-weight feeders can be used to deliver
with an accuracy of ± 1/2%. One of the more important aspects of feeder
selection is that the hopper is properly designed for the feed material.
Without proper hopper design neither volumetric nor loss-in-weight
feeders will deliver accurately.
4.3.3 Contiitioning cylintiers

Conditioning cylinders (also called preconditioners or mixing cylinders)
are not commonly used in snack food extrusion due to the low moisture
of extrusion. In cases where it is used, a conditioning cylinder mixes and
pre-heats raw materials before they go into the extruder. The primary
purpose of a conditioning cylinder is to provide additional thermal energy
and time for cooking and hydration, which results in higher production
rates for the extrusion system. Dry and liquid ingredients are metered into
the inlet of the conditioning cylinder and steam is injected up through the
bottom. The steam is condensed and absorbed by the ingredients which
raises the temperature. Typical temperatures at the conditioning cylinder
exit are 80-95°C.
Most conditioning cylinder designs provide mixing of dry and liquid
ingredients. However, ingredients used at minor levels «5%) should be
premixed into another dry ingredient stream before going into the con-
ditioning cylinder or they will not be thoroughly mixed.
4.3.4 Extrutiers
Extruders are often talked about in terms like low or high shear; cooking
or cold forming; roll, piston or screw extruders; and single- or twin-screw
extruders. Table 4.2 shows a typical breakdown of the different types of
extruders and a comparison of some of their operating conditions. Roll
and piston extruders are not included in the table. Looking at the
mechanical energy input in Table 4.2, it can be seen that high-shear
cooking extruders impart 3-4 times more mechanical energy per kilogram
of product than the low-shear and cold-forming (pasta press) types of
extruders. The high-shear extruder is designed to generate enough fric-
Table 4.2 Typical operating conditions for various types of extruders (adapted from Harper, 1989 (ref. [3]))
Pasta High-pressure Low-shear Collet High-shear Twin-screw

Variable press forming extruder cooking extruder extruder cooking extruder cooking extruder
Feed moisture (%) 32 25 28 11-16 15-20 11-35

Product temperature (OC) 30-52 65-80 90-150 170-200 120-180 80-200
Screw speed (rpm) 30 40 60-200 300 350-500 200-500
Shear rate (1 S-1) 4.5 10 20-100 140 120-180 100-200
Mechanical energy (MJ kg -1 ) 5 0.14 0.14 0.36 0.40 0.14-0.40
Steam injection (MJ kg-1) 0.11 0 0.11 0 0 0
Barrel heat (MJ kg-1) 0 -0.04 0-0.11 0 (0.11)-0 (0.11)-0.11
Net energy input (MJ kg-1) -0.04 0.10 0.25-0.36 0.36 0.29-0.40 0.14-0.51
Product type 0.07 RTE cereal Soft-moist Puffed Puffed snacks, Puffed snacks,
Pasta, pellets, half products, snacks RTE cereals, RTE cereals,
fabricated product snacks starch, soup modified fabricated
chips bases, RTE starch chips
tional energy to raise the temperature of the dough to cook, while the
pasta press is designed only to pump dough and generate pressure for
pushing dough through a die.
The debate concerning single-screw extrusion versus twin-screw extru-
sion has been going on and will continue for some time. The main func-
tional difference between single-screw and co-rotating twin-screw
extruders is in the conveying mode and mixing characteristics. Single-
screw extruders rely on the dough sticking to the barrel wall and slipping
on the screw surface to transport the dough down the barrel (called drag
flow). If this does not happen, then the dough just spins around with the
screw and goes nowhere. In twin-screw extruders, drag flow is still the
mechanism which moves dough down the barrel but because the screws
intermesh the dough cannot spin around with the screws. This difference
gives the twin-screw extruder better conveying and pumping capabilities.
When mixing paddles are used in the twin-screw extruder, it also has
much better mixing than a single-screw extruder. Twin-screw extruders,
like single-screw extruders, can be low- or high-shear depending on how
they are configured. Figure 4.2 shows the inside of a twin-screw extruder
with an open clamshell barrel.
Figure 4.2 Twin-screw extruder with an open clamshell barrel (Courtesy of APV Baker).
In snack food applications, single-screw extruders still dominate what is

currently being used for production. However, twin-screw extruders are
being used to develop new products as well as replacements for single-
screw extruders. For example, in a reported case study, one twin-screw
extruder was used to replace three collet extruders for making a direct
expanded potato-based snack food. Besides the higher output, the twin-
screw extruder provided greater control over product quality and flex-
ibility for formula variations.
4.3.5 Dryers
Direct expanded products are usually dried or baked after extrusion to
remove moisture. The most common method of drying is in a conveyor-
ized dryer or oven. The conveyorized dryer is a continuous process which
fits well with an extrusion process. There are many different styles of con-
veyorized dryers made by equipment manufacturers. In general, the dryer
would have a steel conveyor belt, either perforated or a mesh, which
passes through an oven chamber. The dryer can be single or multiple pass
and single or multiple zoned. The length of the dryer and burner capacity
is sized to match the output of the extruder. The dryer typically has to
dry products entering at 9-12% moisture down to 2% moisture. Some of
the manufacturers of conveyorized dryers are APV Baker, Aeroglide,
Proctor-Swartz and Wenger.
Snack pellets require a different type of dryer to remove moisture.
Snack pellets are extruded at 25-35% moisture and must be dried to
around 12% moisture. Since the snack pellet is unexpanded and dense in
this state, drying must be done at low temperatures and high humidity to
allow the moisture to migrate slowly out of the pellet.
In many cases, drying is done in two steps. In the first step, a predryer is
used to remove surface moisture to prevent sticking or clumping of the
pellets. Vibrating tray dryers are used because they keep the product
moving while it is sticky. Predrying can also be accomplished in a hot air
pneumatic take-away system. The second drying step is usually done in
conveyorized dryers designed for long residence times at low temperatures.
These dryers are normally multiple pass with perforated belts. The belts
inside the dryer have independent speed adjustment so the product can be
piled at varying depths as the process proceeds. Air flow, temperature,
humidity and residence time can all be controlled. Some manufacturers of
this type of dryer are Buhler, Mapimpianti and Proctor-Swartz.
4.3.6 Fryers
Frying is an old process operation used to cook and to remove moisture.
In the case of snack pellets it is also used to puff the pellet to create a
light density and texture. Fryers used for pellets can be of the batch
variety or continuous. Small producers with low output requirements will

typically use frying kettles due to low capital cost. Larger producers will
use continuous fryers for 'popping' snack pellets. For fabricated chip pro-
ducts, continuous fryers are more common because the output rates are
higher and the upstream process is also continuous. Continuous fryers are
manufactured in a variety of sizes and styles.
Fryers designed for fried collets are sold by extruder manufacturers
such as Adams, Dorsey-Macomb and Maddox. These fryers are sized to
match the output of collet extruders and can produce up to 300 kg h - 1 of
finished product.
4.3.7 Coaters
Most snack products are coated on the surface with seasonings and
flavors. The flavors and seasonings are usually in a dry powdery form
which are held on the snack product with an oil spray before dusting. In
some cases the seasonings are mixed with the oil to create a slurry which
is then spread onto the product. This latter case is only used when the
product is such that the coating is distributed evenly by pieces of the
product rubbing against each other. This is the case for fried com curls.
The most common piece of equipment used for applying flavors is a
coating drum system (also called coating reel or enrober). A coating drum
can be a batch process or a continuous process. The continuous process is
more common because it maintains the continuous flow of product out of
the extruder and dryer/fryer. A coating drum system will consist of:
• a coating reel which rotates and tumbles the product as it passes from
the entrance to the exit,
• a heated kettle or tank for hot oil with a pump to meter and provide
pressure for forcing the oil through spray nozzles,
• a feeder device which meters the dry seasonings into the coating reel
and deposits the seasonings in an area where the product is tumbling so
as to achieve uniform coating.
Other types of coating systems include salters, dusters and more
recently, the 'Transitube' coating system. Salters and dusters are similar in
that they discharge a curtain of seasoning down onto the product as it is
carried underneath on a conveyor belt. The 'Transitube' system (made by
ASCC, Inc.) has twin-screw counter-rotating augers made of plastic bristle
brushes which rotate in an intermeshing barrel. The brushes convey and
tumble the product through a cloud of atomized seasoning for even
coating. The brushes also contact the side of the conveyor which prevents
build-up of seasonings and oil on the walls. It is claimed by the manu-
facturer that the 'Transitube' reduces seasoning usage by 8-18% and
causes less breakage of fragile products.
4.4 Direct expanded products
Direct expanded snack products is a broad category. The group used to

be referred to as collets because of the type of extruder they were made
on. More recently this category has been called direct expanded to
reflect a larger variety of products and equipment. In general, direct
expanded products are made on high-shear cooking extruders. The cate-
gory gets its name from the fact that products expand directly out of the
extruder die and require no further processing, other than drying. Some
examples of direct expanded snack products are corn curls, both baked
and fried, onion rings, potato sticks and more recently three-dimensional
snacks.
The puffing of direct expanded snack products is created by heating the
ingredients to temperatures over 100°C. Inside the extruder the water in
the dough mass remains a liquid because the dough is under pressure.
Then as the dough exits the extruder through the die openings the super-
heated water is exposed to atmospheric pressure. The vaporization of
water into steam during this rapid pressure loss causes stretching and
expansion of the starch matrix. This is what gives these products a low
density and light texture. Bulk densities typically fall in the range of 50-
160 g I-I. The shape and size of these products are determined by the die
design, the viscoelastic properties of the extrudate and the manner in
which they are cut.
The equipment used to make products in this category range from
simple collet extruders to twin-screw extruders. The collet extruder is used
to make products such as corn curls and rice puffs. More demanding for-
mulations and higher output rates require more complex single-screw and
twin-screw extruders. Output rates are typically 50-200 kg h -\ for collet
extruders, 100-600 kg h - I for longer barrel single-screw extruders, and
150-1000 kg h - I for twin-screw extruders.
4.4.1 Process description

There are six process steps used to make direct expanded products.
4.4.1.1 Blending. Dry ingredients are blended and then mixed with
water to premoisten the dries. It is extremely important to distribute the
water evenly. Poor distribution of water will lead to surging and poor
quality product. The pre blending of water also allows some time for
starch hydration which in some cases can have an impact on the extrusion
process. Enough water is added to bring the total moisture content up to
13-20% (on a wet basis).
With corn curls there is only one dry ingredient, corn grits or meal. In
this case the blending step is for premoistening only. For other products,
such as potato sticks, the formula requires several dry ingredients. For
multiple ingredient products this blending is usually done in a ribbon
blender. For single ingredient formulas the blending can be done in a
ribbon blender or a vertical blender.
With twin-screw extruders the need for premoistening can usually be
eliminated. Instead of adding the water to the dry mix the water can be
metered directly into the extruder barrel. The twin-screw will provide
enough mixing to distribute the water. For multiple ingredient products
pre blending becomes a matter of economics. Dry materials can be
metered separately to the twin-screw extruder or together as a blend.
The process of blending is accomplished by weighing out materials on a
scale and then adding to the blender. Dry ingredients are added first and
blended. Then liquid ingredients are added and further mixed. Blending
time is typically 5-20 minutes. Blending too long can cause a problem
with separation when particle sizes and densities are vastly different. For
large capacity operations this may be automated via weigh scales or con-
tinuous mix systems.
4.4.1.2 Conveying. The moistened dry ingredients are conveyed from

the blender to the feeder hopper. This is usually done with bucket eleva-
tors, screw conveyors or a vacuum transfer system. The blending system
can also be located over the feeder hopper to eliminate the need for trans-
fer conveyors.
4.4.1.3 Metering. The moistened dry ingredients are next fed to the
extruder inlet. In the case of collet extruders, the corn meal is gravity fed
through a tube into the extruder. The hopper is designed so that corn
flows freely through the hopper. This type of metering is called a 'choke-
fed' extruder.
For high-shear cooking extruders, single and twin, the ingredient
stream(s) are metered by dry feeders and pumps. This kind of extrusion
process is called a 'starve-fed' extruder. It refers to the fact that the extru-
der is being fed at a rate less than it is capable of taking away. Starve
feeding is usually necessary for high-shear extruders because the volu-
metric capacity is greater than the torque (horsepower) capacity.
4.4.1.4 Extrusion. The extruder cooks the cereal grains and turns them
into a plastic-like melt under pressure. This allows the cooked mass to be
forced through small die openings in order to form a shape. The cooked
mass then exits the die and expands to its final shape. A cutting device
reduces the continuous ropes down to a bite-sized product.
Extruder operating conditions are used to control the density and
texture of the direct expanded product. The process variables which can
be independently controlled are moisture, feed rate, barrel temperature
and screw speed (if variable speed drive). Die restriction (e.g. number of
die holes or back plate gap) can also be considered an independent
control of the extrusion process but is usually not adjustable while the
extruder is running.
4.4.1.5 Drying. Direct expanded products usually require drying after

extrusion. Inside the extruder the dough moisture is 15-20%. After extru-
sion the moisture drops to 8-12% because of the water turning to steam
and flashing off. The product is then dried to reduce the moisture to 2-
3% for a crispy texture and microbiological stability. Drying times are
usually short because of the light density of the product.
4.4.1.6 Coating. The puffed and dried collet is finally coated with oil
and seasoning. The oil gives the collet a better mouthfeel and the season-
ings allow the manufacturer to make a variety of flavors. The oil and
seasoning coating usually makes up 35% of the finished product weight.
4.4.2 Fried collets

Corn curls are the original direct expanded extruded snack product. There
are actually two types of corn curls, baked and fried. The baked variety
will be discussed later. Fried corn curls are made by extruding moistened
corn meal. A unique die arrangement gives the product a twisted puffed
shape. The product is then fried to remove moisture. It is possible to use
cereal grains other than corn but the selection is usually limited by the
narrow capabilities of a collet extruder.
Fried corn curls are made on collet extruders like the one shown in
Figure 4.3. Unlike most other extrusion processes the collet extruder only
provides the pumping of the corn meal through the die. Most of the
cooking takes place in a unique die assembly. This assembly is made up
of a rotor and a stator as shown in Figure 4.4. As corn meal passes
through the die it is cooked and heated to around 180°C.
Three things happen in this special die:
1. the corn meal is subjected to high shear rates and pressure which gen-
erate most of the heat to cook the corn,
2. a rapid pressure loss causes the superheated water in the corn mass to
turn to steam which puffs the cooked corn, and
3. the flow of corn between one rotating plate and one stationary plate
twists the expanding corn leaving it twisted and collapsed in places.
This gives this product its characteristic shape and texture.
The puffed corn pieces are then fried to reduce the moisture level from
around 8% down to 1-2% for texture and stability. During this frying
step the corn collet picks up 20-25% oil. After frying the collets are
Figure 4.3 Collect extruder for fried type corn curls with 5HP feed motor and 20HP rotor
drive motor (Courtesy of BCI Adams International).
coated in a tumbling drum style of coater. A slurry comprised of oil,

cheese powder and salt is applied. This brings the total oil content up to a
level of around 35%.
4.4.2.1 Formulation. The formula and typical corn meal specifications

for a fried corn curl are given in Table 4.3.
4.4.2.2 Extrusion control. The main control of this type of process is

through corn meal moisture content, stator-rotor gap, and corn meal
granulation size. Since most collet extruders have single-speed drives and
are run choke fed, there is no control via screw speed and feed rate. The
Figure 4.4 Collet extruder screw, rotor and stator (Courtesy of Maddox Metal Works).
Table 4.3 Fried corn curl formula and corn meal specifications
Ingredient Into extruder After coating
Cornmeal 96% 63%

Water 4%
Moisture content 13-16%' <2%
Salt 2%
Oil 27%
Cheese powder 6%
Corn meal specifications US sieve size Typical analysis
on 16 o
on 20 <1
on 25 9
on 30 43
on 40 45
on 50 2
through 50 <1
'Includes moisture in corn meal.
single biggest control is with moisture content. For example, if the collet
is puffing too much or the texture is too soft, the moisture could be raised
to reduce viscous dissipation which would reduce temperature and starch
dextrinization. The stator-rotor gap can be made smaller to increase the
shear rate to which the corn meal is exposed. This generates more heat
and more starch breakdown for a softer texture. The corn meal granula-
tion can also have an impact on collet texture and cell size. Generally, a
coarser granulation will produce a collet with a crunchier texture and a

slightly larger cell size. A finer granulation would give a softer texture but
may also cause extruder surging problems.
4.4.3 Baked collets

The category of baked collets would include products which are direct
expanded and baked (or dried) rather than fried. This would include pro-
ducts such as baked corn curls, onion rings and potato sticks. Early ver-
sions of these types of products were made on collet extruders. Although
a large number of small manufacturers would still use this equipment, the
larger companies have switched to high-shear cooking extruders (both
single and twin) to increase production capacities.
4.4.3.1 Formulation. Corn curls and onion rings are both made by
extruding corn meal. In some cases there may be small amounts of other
ingredients which have been added to adjust shape or texture. The two
products differ mainly in their shape and the flavor coating that has been
applied. Most baked collets are coated with oil and flavors to a level of
65% baked collet to 35% coating. Products claiming lower fat contents
have typically reduced the oil coating to 25%.
Potato stick products are made from a blend of 65% potato granules
and 35% corn meal. This blend is extruded to cook and puff. The high
level of potato gives this product its unique flavor. The baked collet is
then coated with oil and salt and other flavors.
4.4.3.2 Extrusion control. On collet extruders the main control of the

extrusion process is done with moisture content. If the collet is too coarse
and brittle, as might be the case in Figure 4.1 (A), then the moisture
content is lowered. If the collet is too soft and fragile, as might be the
case in Figure 4.1 (F), then the moisture is raised. Changing moisture has
the largest single control over texture. If the right combination of expan-
sion and texture is not achieved by moisture control, then the following
adjustments can be tried (either alone or in combinations):
1. screw speed, if available;
2. barrel temperature, if controllable;
3. formulation (which is usually the next thing tried after moisture
content because it is the next easiest to change) - refer to section 4.2
on ingredients for effects of formula changes;
4. die restriction, e.g. back plate gap or breaker plate hole sizing or
number of die holes;
5. corn meal feed rate, if independently controlled;
6. screw design;
7. new screw or barrel or die; worn parts have a big effect on the
texture which is usually difficult to identify because the changes have

been gradual over time.
On high-shear cooking extruders the list of process controls is basically
the same, except in the order tried. This is because high-shear extruders
usually have more independent control available. Therefore the order of
the list usually becomes moisture content first, then 1, 5, 2, 6, 3, 4 and 7.
4.5 Co-extruded snacks
Co-extrusion technology became popular in the snack food industry

around 1984. It was around this time that M&M Mars introduced the
products 'Combos' and 'Corn Quistos'. Both products were a crunchy
cereal-based tube with a savory creme filling. Frito Lay followed soon
after with a similar product called 'Stuffers'. Although 'Stuffers' and
'Corn Quistos' were post-extrusion filled (and therefore not really co-
extruded), they generated a lot of interest in the co-extrusion process.
A co-extrusion process is a technique where two materials (usually dis-
similar in nature) are combined in an extrusion die. The two materials can
come from two extruders or from an extruder and a pump. This process
gives the manufacturer the ability to make a product which has two tex-
tures, or two colors, or two different flavors. In the snack food industry
the most common form of co-extrusion has been the extrusion of a cereal-
based outer tube with a cheese filling pumped into the center of the tube.
Figure 4.5 shows a process flow diagram for die head filled co-extrusion
products.
4.5.1 Process description

There are seven process steps used to make co-extruded products.
4.5.1.1 Blending. The process for blending mixtures for the extruded
tube portion is the same as described for direct expanded products.
Creme or chocolate fillings for sweet snacks or cheese fillings for savory
snacks are usually purchased from the supplier already mixed. In most
cases these fillings require heating to reduce viscosity for pumping. For a
small-scale operation these fillings can be prepared in planetary mixers.
4.5.1.2 Metering. The dry and liquid ingredient streams are metered to
the extruder in order to have a known flow rate. The consistency of these
flow rates is critical to this type of product. This is because another mate-
rial is going to be combined with it at the extruder exit and flow rates
must be consistent to keep the ratio constant. Typical types of metering
~ ~
( FEEDER
) ( PUMP
)
~
WATER~ ( EXTRUDER ) ~
~
( COOLING
)
A
( CUTTING )
( CRIMPING )
A
.,.,--{ COOLING )+-( DRYING
)
~
.,.,--
Figure 4.5 Co-extrusion process flow diagram for creme filled cereal tubes.
devices used are screw feeders for dry ingredients, either volumetric or
loss-in-weight, and positive displacement pumps for liquid ingredients.
4.5.1.3 Extrusion. Twin-screw extruders are normally used for this type
of product because of the demands for better mixing in the extruder and
consistent flow (no surging). Ingredients are cooked in the extruder and
compressed into a polymer-like melt. For a true 'co-extruded' product two
extruders are used, each to produce a material differing in taste, texture or
maybe just color. For a filled snack product the extruder produces a con-
tinuous tube while a pump fills the center with a savory or sweet creme.
4.5.1.4 Die head filling. Two common methods of introducing the

center filling into an extruded tube are shown in Figure 4.6. The most
common method of die arrangement is to tum the centerfill piping
through a 90° bend inside the die assembly as shown in method 1.
Another method is to arrange the die assembly so that the extrudate is
tCenter filling
Product flow
Method 1 Method 2
tCenter filling
Figure 4.6 Two common methods for filling a co-extruded tube.
turned through a 90° bend and the filling is pumped through a straight
section of pipe. In either case the center filling is pumped with a positive
displacement pump. Progressive cavity pumps work well because they
deliver a steady non-pulsing flow.
Another method similar to die head filling is shown in Figure 4.7. This
method is used to fill a V-shaped rope with one or two creme fillings. The
advantage of this method over the die head filling is that the filling is not
subjected to the high temperatures associated with die head filling. It also
allows more of the flash-off moisture to escape from the expanding jacket
before injection of the filling. This results in a lower amount of moisture
absorbed into the filling.
4.5.1.5 Post forming and cutting. At this point the rope can either be
formed into a different shape or cut into smaller pieces. Typical rope
speeds are in the range of 0.25 to 0.75 m s -I. Two methods of forming
and cutting are shown in Figure 4.8. The advantage of rolling over the
rope to flatten it or pinching it into a pillow is that it reduces the area for
filling. This technique is used to reduce the filling to jacket ratio. Cutting
of these products is usually done with a reciprocating knife, a rotary
crimping device or a traveling crimping cutter.
4.5.1.6 Drying. The drying requirements for a co-extruded product can

vary greatly. They can range anywhere from no drying step required to
high intensity fluidized bed drying depending on how the product has
Top fill /'

./' -
/
Bottom filI _
I
I
I
~
._J ; : ~. ~
.:..:..,:j \
"-.
Enlargemen
Figure 4.7 Method of filling a U-shaped tube, as an alternative to die head filling.
~ _..-~ J-= g/
-'-10~ ~ ~ GIi
L _--</II\
--~ /
Enlargement'- _____ ./
("
-"
..
Figure 4.8 Co-extrusion cutting methods.
been formulated. The drying step could come after forming and cutting or
it could come after forming but before cutting. The main reason for
drying co-extruded products is to remove moisture from the extruded
cereal-based outer shell.
4.5.1.7 Coating. Savory co-extruded products can be flavored with

powder coatings in the same manner as other snack products. Typically
this would be done in a coating drum where oil and powders are sprayed
onto the outside of the product as it tumbles. For products that are too
fragile to tumble there are other methods available. Sweet co-extruded
products are sometimes enrobed with a chocolate compound to add to
market appeal and create a 'candy bar' -like product. This type of coating
would be done with candy enrobers.
4.5.2 Formulation
The formulating of co-extruded products is probably the most demanding
area of these types of products. An entire chapter could be devoted to the
requirements of formulation. The scope here will be limited to general-
izations with enough detail to try to alert the reader to potential pitfalls.
There are three basic types of co-extruded products; cereal-based tubes
with cereal-based fillings, cereal-based tubes with fat-based fillings, and
cereal-based tubes with water-based fillings.
4.5.2.1 Cereal/Cereal products. The true co-extruded product is made

using two extruders. Basically each extruder is used to make a direct
expanded product. The outputs from the two extruders are then piped to
a common die where they are combined. The difficulties encountered here
are location of the extruders and die design. Direct expanded products
usually have very high viscosities (10 3_10 4 poise) which make it difficult to
pump them long distances or through intricate die designs. This makes it
necessary for the extruders to be located close to each other, usually at a
90° angle, and for the transfer pipes and die plate to be designed with the
minimum amount of restriction.
The formulas for these products would be similar to direct expanded
snack products. The objective would be to use different formulas for each
extruder to create a product which had combined two unique textures,
flavors or colors. For example, extruder no. 1 could make a corn-based
product while extruder no. 2 could make a potato-based product, and
combined they could make a corn/potato product. Two different sized
extruders can be used if a ratio other than 50/50 is desired. A unique
feature of the cereal/cereal co-extruded product is that die face cutting can
be utilized. This allows endless possibilities for die shapes, just as any
direct expanded single component would.
4.5.2.2 Cereal tube/fat-based filling. Most dual textured snack products

fall into this category. The reason for this is that creme fillings which use
oil and shortening for their plasticity will not give up water to the low
moisture cereal-based tube. Typically a direct expanded product with a
final moisture of 2-8% will have a water activity of 0.60-0.65. A fat-
based cheese filling would also have a water activity of c.0.65 and there-
fore no moisture would transfer between the two because their water
activities are similar. Some formulations for these types of products are
given in Table 4.4.
Table 4.4 Sample formulations for co-extruded tubes with creme fillings
Sweet Savoury
ingredient Formula(%) ingredient Formula(%)
Tube Wheat flour 70 Cornmeal 80

Sugar 20 Wheat bran 10
Milk powder 9 Milk powder 8
Salt 1 Salt 2
Filling Powdered sugar 50 Cheese powder 24
Vegetable oil 21 Vegetable oil 30
Cornstarch 11 Shortening 14
Shortening 11 Corn starch 10
Cocoa powder 7 Milk powder 10
Dairy whey 10
Salt 2
On the negative side, fats and oils can leach out of the center filling
into the cereal tube. The formulator must be careful to use the right com-
bination of oil and shortening to prevent this from happening. In cases
where the filled tube needs to be dried, the filling must be formulated to
withstand higher temperatures. This can be accomplished with higher melt
point shortenings but has the negative attribute of a waxy mouthfeel if
too much is used.
4.5.2.3 Cereal tube/water-based fillings. Water-based fillings include

materials such as jellies, jams, caramel and meat pastes. The difficulty in
formulating with these types of materials is to reduce or tie up the free
moisture enough to reduce the water activity to that of the cereal tube.
For example a jam filling must have a solids content of 90% or higher to
prevent moisture migrating from the jam to the tube. Humectants such as
propylene glycol or glycerine can be added to reduce water activity but
only at low levels before they are detectable by the consumer. Advances in
control of water activity will make this category more of a reality some
time in the future.
4.5.3 Miscellaneous
4.5.3.1 Die design. Die designs are fairly simple for one stream of
co-extrusion as is the case for pilot plant scale. However, for higher
capacities the die design becomes increasingly more complex as the
SNACK FOOD EXTRUSION l33
number of die holes increases. The main reason is lack of space in the die
for multiple co-extrusion nozzles and piping.
4.5.3.2 Size limitations. The typical filled tube product is 14 mm in

diameter or larger. This is because of the limitations of the die hardware.
The minimum practical size of the filling nozzle is 7 mm outer diameter
(OD) and 5 mm inner diameter (ID), which leaves the minimum die
opening at 9 mm. Add to this the expansion of the cereal tube and the
overall product diameter grows to c. 14 mm.
4.5.3.3 Filling/tube ratios. Filled tube products in a round shape usually

have by weight 2 to 4 times more filling than outer tube. This is due to the
die limitations discussed earlier and the difference in densities. Densities of
fillings tend to be 1.2 g cm -3 while densities of the tube are c. 0.2 g cm -3.
This is one of the problems which have slowed the growth of this snack
category. Some recent advances to overcome this problem have been:
• flattening of the tube with rollers after extrusion to change the relative
cross-sectional area. Crimping rollers to form a pillow out of the tube
also tends to flatten the tube and reduce the area for filling;
• aeration of the center filling to reduce the density from 1.2 g cm - 3 to
0.7-0.8 g cm- 3;
• adding ground tube or other expanded starch material to the filling to
reduce the cost and the density.
4.6 Indirect expanded products
Indirect expanded snacks are also referred to as 'third generation snacks'

and 'half products'. Products in this category have the common feature
that they are not expanded directly out of the extruder die. There are
additional process steps which contribute to the appearance or texture.
The additional process steps typically include a frying or hot air puffing
step to remove moisture and achieve the final texture. There are two
general sub-categories into which most indirect expanded products fall.
They are 'pellets' and 'fabricated chips'.
Pellets are products which are cooked in an extruder and are forced
through a die at temperatures below 100°C. The shaping of the dough at
low temperatures prevents the puffing forces of water turning to steam.
One advantage of this process is that intricate shapes can be made which
would normally be destroyed in a direct expanded extrusion process. The
pellets are then dried to below 12% moisture for stability. In this state the
pellets can be held for long periods, shipped long distances and dis-
tributed to small snack food manufacturers or directly to consumers. The
pellets are then puffed by frying, coated with seasonings, and packaged
for local markets.
There are many fabricated chip products (FCPs) on the market today
made by a wide variety of processes according to patent literature. One of
these processes is extrusion based, similar to the process for making
pellets. The main difference is that FCPs are not dried to below 12%
moisture to be stored or sold. They also tend to be less cooked during the
extrusion step. After extrusion comes the frying step to remove moisture
and complete the cooking process. Fabricated chips are usually sheeted
out of the extruder and cut into a shape which simulates a potato chip or
a tortilla chip.
4.6.1 jOellets
Pellet snacks are made using the process steps outlined in Figure 4.9. The
pellets are characterized by a translucent appearance due to the high level
of gelatinization of starches. Target gelatinization levels for pellets are
typically above 90%. There are five process steps for making pellet
snacks.
4.6.1.1 Raw materials. Pellet products can be made from a single

source of starch, such as corn flour, or from a blend of cereal grains. The
main requirement is an adequate level of starch to provide structure when
puffed in hot oil or air. Additives such as fiber, protein and flavors can be
used to change product characteristics. Raw materials can vary in particle
size but larger granulations usually require preconditioning or longer resi-
dence times in the extruder.
4.6.1.2 Blending. When a variety of raw materials are used they are
batch weighed and blended in a ribbon blender or are continuously
metered and blended in a continuous mixer or preconditioner. Liquids can
either be added at this mixing stage or added to the extruder, depending
on the mixing characteristics of the extruder. Some systems even do the
cooking at this stage in which case only a low-shear, cold-forming extru-
der is needed in the next step.
4.6.1.3 Extruding. There is a lot of variety in the methods used to

extrude the dough and turn it into a pellet product. Basically they can be
grouped together into three categories. These are:
1. Precooked ingredients extruded through a low-shear forming ex-
truder.
2. High-shear extruders used to cook and cool.
3. High-shear extruders used to cook followed by a transfer to a low-
shear forming extruder used to cool and form the pellet.
( BLENDER
)
~
( FEEDER
)
,; ~
WATER --..- +-WATER
TWO STEP
~)
EXTRUSION
PROCESS
( CUTTING
~
( ) ( )
r
DRYING FRYING
I ~
~ ( COATING
)
~
FOR SALE AS
A HALF PRODUCT
Figure 4.9 Process flow diagram for pelleted products.
In any of the above cases the cooked dough is formed into a pellet
shape by forcing it through a shaped die opening. The extrudate retains
the shape of the die because there is no expansion taking place. In most
cases the material exiting the die is cut into thin pieces by a cutter blade
which is riding around the die face. In some cases the die is a thin slot (1
mm high x 25 mm wide) which makes a continuous ribbon. In these
cases the ribbon is carried away from the die on a conveyor and is then
cut into shorter pieces with a rotary cutter.
4.6.1.4 Drying. At this point the pellets are anywhere from 20 to 40%
moisture and must be dried to below 12% moisture. Because of their
dense structure they are difficult to dry and require long drying times at
low temperatures. If they are sticky out of the extruder then a predrier,
either a shaker drier or a pneumatic hot air conveyor is used to put a skin
on the pellets before they are loaded onto a drier conveyor belt. Drying
conditions have been reported at anywhere from 1-8 h in continuous
driers or up to 15 h in a batch drier. The temperature should be kept
below 95°C coupled with high humidity to prevent blistering and cracking
of the pellet.
4.6.1.5 Expansion. Pellets can be expanded by heating them rapidly

enough to cause the water in the pellet to turn to steam in an explosive
manner which puffs the pellet. This can be accomplished by frying,
baking or microwaving. Frying is the most common method used because
it works well and has a low capital cost. Frying conditions depend on
pellet thickness, shape and composition. Frying temperatures usually
range between 170 and 210°C, and the residence time between 10 and
60s.
More recently, with attention on lower-oil snack products, baking and
microwaving methods are being explored. Due to the rapid heat transfer
rates required to expand a pellet uniformly, ordinary snack driers and
baking ovens will not puff a pellet. Air impingement ovens will expand
pellets because the hot air contacts most of the product surface and the
high air velocity generates high heat transfer rates. Heat transfer coeffi-
cients for this type of oven have been reported in the range of 140-220 W
m -2 K -1 [4]. Microwaving of pellets also requires rapid heat transfer
rates and therefore high powered microwave units. Continuous microwave
expanders are also commercially available.
The expanded pellets have a moisture content of 1-2% and a bulk
density of 40-100 g 1-1. They are usually flavored in a coating drum in
the same manner as direct expanded products.
4.6.2 Fabricated chips

Early versions of fabricated chips were based on an imitation of the
common potato chip (crisp). During the late 1960s General Mills devel-
oped a fabricated potato chip called 'Chipos' and Procter & Gamble
developed 'Pringles'. More recently, versions of corn chips (Pringles Corn
Crisps) and multiple grain chips (Frito-Lay's SunChips and Keebler's
Quangles) have appeared on the market. An extrusion-based process
similar to that of pellets is one possible option for making these types of
products. Extruder fabricated chips are made using the process outlined in
y ~
( FEEDER)
WATER -+ ( EXTRUDER)
~ ~
( CUTTING)
( FRYING)
Figure 4.10 Process flow diagram for fabricated chips.
Figure 4.10. The gelatinization levels of the starches in fabricated chips

before they are fried are generally lower than pellet products, usually 30
to 50%.
There are seven process steps for making extruded chips.
4.6.2.1 Raw materials. Fabricated chips are made from a large variety
of ingredients, probably the largest variety of any of the snack products.
An assortment of ingredients are usually blended together in the fabri-
cated chip product to generate a unique texture or flavor. Other ingre-
dients are added in small amounts to provide some form of functionality

such as texture modifiers, flavor enhancers or processing aides.
As in pellet products, the main requirement for a fabricated chip
product is an adequate level of starch to provide structure. Additives such
as fiber, protein and flavors can be used to change product characteristics.
Raw materials can vary in particle size but larger granulations usually
require precooking or longer residence times in the extruder.
4.6.2.2 Blending. See pellets blending description.
4.6.2.3 Feeding. Dry ingredients are metered to the extruder with screw
feeders. Liquid ingredients are metered to the extruder with pumps. See
section 4.4 on direct expanded products for details.
4.6.2.4 Extrusion. The objective of the extrusion step is to provide

partial gelatinization of starches and pumping to force the dough through
a die. The options for extrusion are similar to those of pellets except that
lower levels of gelatinization are required. Some options for extrusion
are:
1. preconditioning to hydrate and gelatinize starches followed by a low-

shear forming extruder,
2. a high-shear cooking extruder to hydrate and gelatinize followed by
a low-shear forming extruder,
3. same as for 2 except with a preconditioner added upstream of
cooking extruder to increase throughput rates.
The extrusion of fabricated chips requires high moistures and low

energy levels, 35-50% and 0.03-0.07 kWh kg-I, respectively. When a
sheeting die is used the holdup in the extruder is greater, which causes
overcooking. To compensate for this throughput, rate and screw speed
can be reduced or moisture increased if the process can stand it. Target
sheet thickness is 0.8-1.1 mm. If holdup in the extruder is too great to
achieve this slot thickness and low level of cook, then the slot height can
be increased and gauge rolls added to the process. Increasing the height of
the slot to 2 mm reduces the pressure at the die by approximately a factor
of 8.
In another type of process the extruder is used to form a slab which is
then fed to a series of sheeting rolls. The sheeting rolls gradually work the
thickness down to the required 0.8-1.1 mm. In this case, the holdup in
the extruder due to die restriction is greatly reduced and therefore higher
sheet rates, higher barrel temperatures, or increased preconditioning are
required to maintain cook levels. This type of process also yields higher
outputs from the extruder.
4.6.2.5 Cutting. Fabricated chips can be cut into a variety of shapes.

Rectangles and triangles are common because the shape lends itself to
scrapless production. When a circle or irregular shape is used, the shapes
cannot be nested together on the cutter rolls. In this case, the scrap
between the cut out shapes is pulled away by a scrap conveyor and recy-
cled into the extruder hopper.
4.6.2.6 Frying. After cutting the chips go to the fryer to finish cooking
and remove moisture. Here the chips are fried to a final moisture of 1-2%.
In some cases the extruded chip may require drying or conditioning to
achieve the desired texture during frying. After frying the chips are
seasoned in a tumble drum or under a continuous curtain.
4.6.2.7 Baking. An alternative to frying is baking to remove moisture

from the chip. There have been recent developments in this area because
of the interest in reducing oil levels. Usually the chips cannot be stacked
on each other before moisture removal. Therefore the chips must be
baked in a monolayer. With this requirement, most conventional ovens
become uneconomical. Developments are being made with high speed air
impingement ovens to obtain throughput rates at a reasonable level.
4.7 Die and cutter design
Die plate design and cutter design are important in the process of snack
food manufacture. The design of the extruder die greatly impacts the
extrusion process and in doing so affects not only the size of the product,
but also its density, texture and shape. The cutter design is also important
and can affect more than just the length of the product. Cutters with
worn blades or too much gap cause fines and tails. Cutters with the
wrong angle of attack can cause deformed shapes or pieces stuck together.
4.7.1 Die plates

Extruder dies for snack food products can range from a simple plate with
holes to a stack of multiple plates, some even with moving parts. For
direct expanded products die plates usually have multiple holes done with
either a plate die or an insert holding die.
4.7.2 Die holes

The openings through which the cooked dough mass is forced provide an
endless opportunity for creativity and development. The shape of the die
combined with expansion forces and viscoelastic forces determines the
shape of the product. Although most die shapes are developed by trial
and error, there are a few rules and die flow models which can be used to
predict what may happen.
4.7.3 Effect of expansion forces

When superheated water turns into steam just beyond the die hole exit, it
forces the starch structure to stretch and expand. This creates a porous
structure which is the basis for the size, shape and texture of a direct
expanded snack. When expansion forces are small (expansion ratio of 2 to
1 or less) the product retains most of the shape of the die. When expan-
sion forces are large (expansion ratio of 3 to 1 or greater) the product
tends to balloon and go round. If the general amount of expansion is
known, then die opening shapes can be designed to compensate for
expansion forces. Generally, this is where much trial and error has been
used to create the desired shape.
4.7.4 Effect of viscoelastic forces

Most cooked starches exhibit viscoelastic characteristics. The type of
starch, degree of cook and severity of shear history determine how much
elasticity is there. For highly dextrinized starches (from high shear rates
inside the extruder) the elasticity is very low.
Case study examples
Extruder - APV Baker MPF twin-screw co-rotating extruder barrel

Length - 15 LID
1. Potato stick
The potato stick is a direct expanded puffed product with a potato flavour
and shaped like a French fry.
Ingredient Formula (%)
Potato flour* 65
Corn meal, fine 35
Water as required
Screw configuration:
• 8D twin lead screw, ID pitch
• 7 x 30 forwarding 1/4D paddles (1.75D total)
*Can be dehydrated potatoes, potato granules or potato flour.
• 3D twin lead screw, ID pitch

• 4 x 60 forwarding Ij4D paddles (ID total)
• ID single lead screw, Ij4D pitch
Process conditions:
• Extrudate moisture - 17 to 19%

• Screw speed (shear rate) - 400 rpm (94 S-I)
• Barrel temperatures - 30 j 30 j 50 j 100 j 150°C
• Product temperature at die - 180°C
• Die pressure - 900 to 1200 psi
• Specific mechanical energy - 0.132 kWh kg-I
• Extrudate rate - 10 kg h -I per die hole
• Die opening - 0.75 x 3.75 mm cross shape
• Cutting - remote cutter, cutting into 50 mm lengths
Extrudate moisture. This refers to the total moisture content of the

material inside the extruder barrel.
2. Baked corn collet

This is a direct expanded puffed product with a corn flavour and shaped
in a rod or a ball.
Ingredient Formula (%)
Corn meal 100
Water as required
• 7D twin lead screw, 1D pitch
• 7 x 30 forwarding 1j4D paddles (1.75D total)
• 2D twin lead screw, 1D pitch
• 4 x 60 forwarding Ij4D paddles (lD total)
• 1D single lead screw, 1j4D pitch
• 4 x 60 reversing Ij4D paddles (lD total)
• 1D single lead screw, 1j4D pitch
Process conditions:

• Screw speed (shear rate) - 350 rpm (82 S-I)
• Specific mechanical energy - 0.145 kWh kg-I
• Extrudate rate - 50 kg h -I per die hole
• Die opening - 3 to 3.5 mm diameter hole

• Cutting - die face cutter, cutting into 37 mm lengths for a rod shape
and 12 mm for a ball shape
3. Cheese filled snack

This is a co-extruded product with a direct expanded cereal-based tube
filled at the die head with a cheese flavoured creme.
Cereal-based tube formula:

Ingredient Formula(%)
Corn flour 40
Maseca flour 30
Rice meal, 70 mesh 12
Wheat bran, milled 10
Sugar, granulated 12
Non-fat dry milk powder 4
Water as required
Cheese flavoured creme filling - as purchased from supplier, the filling is a

fat-based creme with a melt point slightly above room temperature.
• 5.5D twin lead screw, ID pitch

• 7 x 30 forwarding Ij4D paddles (l.75D total)
• 2.5D twin lead screw, ID pitch
• 6 x 60 reversing Ij4D paddles (l.5D total)
• ID single lead screw, Ij4D pitch
• 4 x 30 reversing Ij4D paddles (ID total)
• l.5D single lead screw, Ij4D pitch
Process conditions:

• Screw speed (shear rate) - 400 rpm (94 s - 1)
• Specific mechanical energy - 0.18 kWh kg- 1
• Extrudate rate - 35 kg h - 1 per die hole
• Cheese filling rate - 1 to 2 parts cheese to 1 part tube
• Die opening - 9 mm diameter hole with 7 mm diameter nozzle
• Cutting - remote cutter, cutting into 25 mm lengths
References
1. Hoseney, R.C. (1986) Principles of Cereal Science and Technology, American Association
of Cereal Chemists, St Paul, Minnesota.
2. Lue, S., Hsieh, F., and Huff, H.E. (1991) Extrusion cooking of corn meal and sugar beet
fiber, Cereal Chem., 68 (3), 227-234.
3. Harper, J.M. (1989) Food extruders and their applications, in Extrusion Cooking, (Eds
C. Mercier, P. Linko and J.M. Harper), American Association of Cereal Chemists, St
Paul, Minnesota, pp. 1-15.
4. Walker, C.E. (1991) Air-impingement drying and toasting of ready-to-eat cereals, Cereal
Foods World, 36 (10),871-877.
Further reading
1. Abbott, P. (1989) Co-extrusion replaces complex filling systems, Extrusion Communique,

2 (2), 11-13.
2. Alvarez-Martinez, L., Kondury, K.P. and Harper, 1.M. (1988) A general model for
expansion of extruded products, J. Food Sci., 53 (2), 609-615.
3. Barrett, A.M. and Peleg, M. (1992) Cell size distributions of puffed corn extrudates, J.
Food Sci., 57 (I), 146-148, 154.
4. Bhattacharya, M. and Hanna, MA (1988) Effect of lipids on the properties of extruded
products, J. Food Sci., 53 (4), 1230-1231.
5. Fazzolare, R.D., Szwerc, lA, van Lengerich, B. and Leschke, R.J. (1992) Extruded
Starch Snack Foods, U.S. Patent 5,104,673.
6. Harper, J.M. (1981) Extrusion of Foods, Volumes I and II, CRC Press, Boca Raton,
Florida.
7. Hilton, B.W. (1978) Process for Forming Dough Ribbon, US Patent 4,126,706.
8. Hsieh, F., Peng, I.C. and Huff, H.E. (1990) Effects of salt, sugar and screw speed on
processing and product variables of corn meal extruded with a twin-screw extruder, J.
Food Sci., 55 (1), 224-227.
9. Huber, G.R. and Rokey, G.l. (1990) Extruded snacks, in Snack Food, (Ed. R.G. Booth),
an AVI Book, Van Nostrand Reinhold, New York, pp. 107-137.
10. Keller, L.C. (1989) Method for Producing Expanded, Farinaceous Food Product, US
Patent 4,869,911.
11. Lee, W.E., III, Bangel, J.M., White, R.L. and Bruno, D.J. (1987) Process for Making a
Corn Chip with Potato Chip Texture, US Patent 4,645,679.
12. Moore, D., Sanei, A., Van Hecke, E. and Bouvier, J.M. (1990) Effects of ingredients on
physical/structural properties of extrudates, J. Food Sci., 55 (5), 1383-1387, 1402.
5 Petfood and fishfood extrusion
GJ. ROKEY
5.1 Introduction
Commercial extrusion processing of food and feeds has been practised for
nearly 60 years. The first commercial application of screw extruders in the
food industry was the production of pasta using a single-screw device.
This product was not fully cooked, but rather the moist dough was com-
pressed by the slow turning screw and shaped by the orifice through
which the dough was expelled.
The screw extruder was first used as a continuous cooking device in the
late 1930s. The first commercial application of this extrusion cooking
process was in the mid 1940s, and the product was direct expanded corn
meal snacks. Today, the extrusion cooker has become the primary con-
tinuous cooking apparatus in the commercial production of most aquatic
and pet foods.
In the early 1950s extrusion cookers were first applied to the production
of dry expanded pet foods. This product category accounts for the largest
annual tonnage of extrusion cooked product in the US and undoubtedly
the world. Supermarket sales of dry expanded pet food in the US topped
2.64 million tonnes for the 52 week period ending June 15, 1987. This
equated to a $2.7 billion retail economy. This retail market is estimated to
represent 70% of the total, with the remaining 30% marketed through pet
stores, feed stores, veterinarian clinics and the like.
Pet foods (both semi-moist and dry expanded), aquatic foods, milk
foods and foods for laboratory animals are important cereal-based foods
produced, pasteurized and shaped by extrusion cooking. These products
have been engineered to provide optimum nutritional balance, functional
properties and organoleptic characteristics at a thermal processing cost
per ton which is lower than any other thermal processing technique
known today.
5.2 Raw material characteristics and selection
Raw ingredient formulation, selection of process equipment and operating

or processing conditions are independent regions of control that may be
exercised in the extrusion cooking of feedstuffs. Although the control
regions are independent, they are interrelated to the point that discussion
PETFOOD AND FISHFOOD EXTRUSION 145
of one must include the others. In this section, the subject of ingredient
selection and the way in which ingredients react to various extrusion pro-
cessing conditions will be addressed.
Raw material utilization and cost-effective formulation are key opera-
tional factors. Raw material quality standards will certainly increase
because of the demand of the pet owner and aquaculturalists for higher
quality final products. The ability to alter processing conditions and raw
material formulations to keep formulation costs at a minimum while
maintaining high quality standards and minimum operating costs is a
challenge for every processor.
Ingredient selection has a tremendous impact on final product texture,
uniformity, extrudability, nutritional quality, economic viability and the
ability to accept high levels of fat when desired. Within certain limits set
by a nutritionist, the extrusion cooking process can control a wide range
of product characteristics such as shape, density, rehydration, texture and,
to some degree, color.
In general, during the extrusion cooking of cereal grain and protein
blends, the moistened granular or floury materials are converted into a
dough. The starchy components gelatinize, resulting in a substantial
uptake of moisture and an increase in dough viscosity. Protein constitu-
ents may impart elasticity and gas-holding properties that are character-
istic of hydrated and developed glutinous doughs. Other proteinaceous
materials, especially those with low protein solubilities such as meat meal
and fish meal, may contribute less to the adhesive and stretchable func-
tional properties.
5.2.1 Protein sources

When formulating and processing petfoods and aquatic food by extrusion
cooking it is important to understand that cereal grains alone cannot
provide the required amino acid balance for proper growth or body main-
tenance. Thus, proteinaceous ingredients serve to fortify cereals and to
ensure nutritional diets.
Proteinaceous ingredients are the most important constituent of pet and
aquatic feeds, and usually comprise 25 to 70% or more of the formula-
tion. Not only are proteins important nutritionally but they possess func-
tional characteristics such as water absorption, elasticity and binding.
Ingredients containing protein can be divided into plant and animal
sources. Plant protein sources include oil seeds such as soybeans, wheat
gluten and corn gluten meal.
These vegetable proteins contribute greatly to both the structural and
nutritional considerations in petfoods. They may be used as a protein
source in formulating a feed or may be processed directly to serve as meal
extenders or analogues in dry and canned pet foods. Defatted or partially
defatted soy, and other vegetable proteins may be extrusion cooked to

impart a texture resembling meat in the final product. When the product
is rehydrated or retorted, the chunks have a texture and meal-like appear-
ance that resembles muscle tissues. Several textured products have been
formulated to contain cereal grains and meat products in addition to soy
protein and vegetable protein.
Vegetable proteins generally have the following characteristics:
• high nitrogen solubility index (NSI)
• excellent water absorption and binding characteristics
• some limitations in amino acid profile
• low cost source of proteins
• full fat protein ingredients are also a good energy source
• wheat gluten is the largest contributor of 'die swell' in this family
Animal proteins generally do not contribute structurally to extrusion
cooked pet foods because they do not expand or combine with other
ingredients in the same manner as do starchy feedstuffs or vegetable pro-
teins. This is primarily due to the high degree of thermal processing they
have received in preparing them as suitable raw ingredients. In recent
years innovations in the raw material processing have yielded proteins
with a high solubility index making them useful as ingredients to impart
specific desired functional characteristics. Bloodmeal is now often spray
dried instead of processing in a ring dryer to preserve the protein solubi-
lity. Animal protein sources include those of marine origin. Most common
sources are fishmeals, meat and bone meal, bloodmeal and gelatin, and
they have the following characteristics:
• usually low NSI, water absorption and binding characteristics
• animal protein usually outperforms plant proteins and shows
improved weight gains
• good amino acid profile
• protein quality is best when low heat treatment is used during pro-
cessing
• spray dried and fresh sources contain good binding qualities
Many animal proteins and animal by-products are utilized in their
natural 'fresh' state or in a preserved, moist form. Fish solubles, fish
wastes and silage are other excellent sources of protein in this category.
Their inclusion rate in aquatic feed formulations is limited by their moist-
ure contributions. Levels of 20-40% (w/w) are common. These sources
may have been stabilized by pH modification to pH 4.5-5.0 with lactoba-
cillus culture, lactic or phosphoric acid.
There is an abundance of processing wastes from livestock and fish
processing plants, and poultry and fish carcasses from growers' opera-
tions. These wastes are becoming more difficult to dispose of and are
currently limited by economics and local, state and federal regulations.

Approximately 1.25 tonnes of dead carcasses would be generated over a
two month period from a typical flock of 25000 broilers (assuming a
0.1 % daily mortality).
One viable option for the utilization of the processing waste and dis-
posal of dead carcasses is to convert, through extrusion, these wastes into
a useful complete feed. Although these materials could be utilized as a
feed ingredient by diluting them with soybean meal and then extruding
them, several processing steps are eliminated by injecting the wet raw
waste directly into an extrusion system during the processing of a com-
plete reaction.
To utilize the raw wet processing waste and by-products the following
processing steps must be accomplished:
1. The raw wet by-products are initially processed through a meat
grinder containing 3 mm openings in the die. The purpose of this
step is to reduce the particle size to a more uniform distribution and
to reduce bones and other harder particles to a smaller size.
2. After grinding, the product is heated in a steam jacketed kettle to
approximately 60°C. This temperature serves three purposes. First, a
constant target product temperature is achieved to which all the
wastes are heated so that any process temperature variations are
eliminated. Secondly, any salmonella or other microorganisms which
may be growing in the product are eliminated. At the 60°C tempera-
ture, the proteins begin to denature so it is advisable not to exceed
this temperature. A third possible reason for heating up to this tem-
perature is partially to render the fat and to reduce the viscosity of a
raw waste making it easy to handle with pumps. Generally these
wastes contain 60-85% moisture and various levels of fat, protein
and fiber. Viscosity reduction is also achieved through the action of
natural enzymes found in the viscera.
5.2.2 Starch sources

Starch is the primary carbohydrate form found in aquatic and pet foods.
The level of starch varies from 5% to a high of 60% in some carbohy-
drate shrimp foods. Starches in aquatic feeds are not of great nutritional
importance except as a binder and secondarily as an energy source. To
function in this capacity, they must be well cooked or gelatinized during
the extrusion process.
When gelatinization occurs during extrusion cooking, starch becomes
soluble in either hot or cold water and will absorb large quantities of
water. Starch, along with other carbohydrates, is an important source of
energy in pet foods. Many studies have proved that dogs cannot digest raw
starch, and Teeter [1] indicated that raw starch diets result in diarrhoea.
Table 5.1 Typical starch contents of common feedstuffs
Feedstuff % Starch (dry basis)
Whole corn grain 70-75

Soft red winter wheat flour 75-80
Soft red winter wheat bran 5-8
Whole grain, hard winter wheat 65.5
Hard red winter wheat, red dog 52.0
Flour, hard red winter wheat 82.0
Hard red winter wheat, shorts 21.5
Hard red winter wheat, bran 6.5
Whole milo grain 71.6
44 % soybean meal 0.5
Wholegrain rice 81.0
Wholegrain barley 60.0
Wholegrain oats 45.0
Source: Wenger Manufacturing (1980) [19)
Starch is the primary ingredient in most formulations that contributes

to both expansion and binding (cohesion) in the final product. Typical
starch contents found in the primary feedstuffs utilized for pet foods are
summarized in Table 5.1.
Starch levels in the final product are dictated by nutritional require-
ments and the bulk density desired in the final product. Increasing the
starch content will decrease bulk density in the extruded product.
Minimum starch levels of 30% in cat and puppy foods and 40% in dry
expanded dog foods are typical in most formulations. The amount of
starch required to achieve the desired expansion is also influenced by the
level of water soluble or expandable protein in the formulation. The pre-
sence of these functional proteins enhances expansion and binding char-
acteristics and will lower the level of starch required.
The main processing contribution of starch is binding or cohesion in
the finished product. A minimum of 10% starch in sinking aquatic feeds
and 20% starch in floating aquatic feeds is recommended. Although there
are other factors that contribute to the floatability of aquatic feeds, the
level of starch is critical. Figure 5.1 indicates the effects of diet starch and
die open area on the floatability of a fish food.
Wheat and wheat by-products are the most common source of starch in
aquatic feeds due to economics and availability. Other starch sources
include corn, rice, manioc, barley, potato and starch cereal grains,
legumes and tubers. Tuber starches (potato, manioc) are the best choices
for binders to improve cohesion of the final product.
Precooked starches are sometimes utilized in formulations, although
their higher costs are not offset by lower operating costs as was initially
thought.
PETFOOD AND FISH FOOD EXTRUSION 149
O. 75
o
I
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o
P
E
N
A 0.45
R
I- ;' A .. ····/,/l....... 1··········· '11, ........... '1(..................... .)f L ........................................... +. . . . . . . . . . ---l
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0.25
PERCENT 5T ARCH
Figure 5.1 Effect of starch and die open area on floating fishfeed.
Cold-forming extrusion as a processing step does not ensure the

destruction of pathogenic spore forming organisms which is guaranteed in
good extrusion cooking practices.
5.2.3 Fat, fiber and ash considerations

Fats or lipids are an important component in aquatic and pet feeds, and
are an excellent source of energy. Fat levels can exceed 30% but comprise
usually less than 22% of the feed itself. The remaining fat fraction is
usually applied as an external coating.
If extrusion is carried out at low moistures « 20%) and high tempera-
tures (> lSO°C), it is quite likely that lipid/amylose and lipid/protein
complexes will be formed. Free fatty acids and polar lipids are especially
reactive in these situations.
Fat analysis of extruded products must include acid hydrolysis and not
the Soxhlet method only. However, the lipid binding occurring during
extrusion does not impair digestion when consumed.
Fats provide lubricity and plasticity and, at levels above 8%, begin to
Table 5.2 Effects of fat levels on product quality
Level of fat in extruded mix Effect on product quality
0-12% Little or no effect

12-17% For each 1% of fat above 12%, the bulk density of the
final product will increse 16 g 1-1
17-22% Product will have little or no expansion but will remain
durable
Above 22% Final product durability will be poor.
weaken dough strength and reduce expansion and textural development

(see Table 5.2). Not only the level of fat, but also the source of fat has an
effect on the expansion rate during extrusion. Indigenous fats supplied as
a component of a particular ingredient tend to have less effect on expan-
sion than fats added in their 'pure' or nearly pure form. For example, a
15% fat formula where the fat is supplied through full fat canola as a
component of that formulation has less effect on expansion than pure
canola oil added to provide the same final fat level in the product.
Heating fat sources to 40-60°C prior to blending with the balance of
the formulation will minimize temperature-dependent viscosity changes,
assist in the cooking of the total product and reduce the expansion-
depressing effect.
Feed fat sources include animal fat (tallow or lard), poultry fat,
vegetable oils from sundry sources, soapstocks, marine oils and various
blends from all sources. The selection of hard fats (those with high
melting point) may be used to minimize fat migration into retail packag-
ing.
Monoglycerides and emulsifiers (such as lecithin) added at the 0.5-
1.0% level will also reduce fat migration. Although their mode of action
is similar to lipids, they tend to complex with amyloses and proteins to
reduce the stickiness of many extrudates.
Until recently, fiber has not received much attention in pet and aquatic
food diets. In aquatic foods, sources of protein, the major nutrient
required, are very low in fiber and therefore fiber is not an important
constituent. The exception to this is the inclusion of certain processed
grain by-products such as wheat midds in floating catfish diets. High
levels of this ingredient, above 20%, disrupt the continuous carbohydrate
matrix of the extruded product reSUlting in a rough appearance and
excessive fines. The starch content of wheat midds will vary from 16-40%
depending on the variety, growing conditions and milling properties of the
wheat. When the starch level approaches the upper limit of this range,
then wheat midds can be incorporated at the 18-20% level without dele-
terious effects.
Reduced-calorie petfoods for obese or inactive pets are becoming
common in the marketplace. These diets contain significant levels of cellu-

lose and hemicellulose. Extrusion conditions are rarely severe enough to
affect the apparent digestibility of dietary fiber. However, fibrous ingre-
dients possess bulk densities and hydration properties quite different from
traditional ingredients and require different extruder configurations and
processing conditions.
The ash content is determined by nutritional requirements which sets
the levels of the various minerals incorporated into the diet. For some
petfoods, low-ash ingredients can be utilized which improve expansion
and decrease metal transition from extrusion components. The ash
content of some sinking aquatic feeds can be quite high and their effect
on the destruction of ascorbic acid should be considered.
5.2.4 Minor ingredients

Vitamins are an important category of minor ingredients. Each vitamin
has its own characteristic behavior during thermal processing and many
of them are unstable during storage. The effects of vitamin stability
during extrusion cooking are complicated by the effects of moisture, high
pressure, shear and high temperature. In general, the fat soluble vitamins,
which include vitamins A, D and E, are fairly stable during extrusion,
although 15-20% losses have been experienced with vitamins. The moist-
ure level of the product during extrusion has the single greatest effect on
vitamins retained. As a general rule, higher moisture levels yield more
vitamins retained.
Table 5.3 Range of water soluble vitamin losses

during extrusion (%)
Vitamin C 0-87
Vitamin Bl 6-62
Vitamin B2 0-40
Vitamin B6 4-44
Vitamin B12 1-40
Niacin 0-40
Water soluble vitamins (C and B) are not as heat stable (see Table 5.3).
The following options should be considered to maintain recommended
vitamin levels in pet and aquatic feed products:
1. Use overages: this is practical for most vitamins except ascorbic acid
(vitamin C). It is recommended to use overages to compensate for
losses occurring during storage and processing.
2. Use heat stable forms: silicon or gelatin encapsulated forms may be
used to improve heat stability. Recent improvements in ascorbic
acid stability have reduced the need for expensive overages. Stable
forms such as L-ascorbyl-2-polyphosphate (AsPP) are extraordinarily
stable during extrusion and storage and in the presence of trace
minerals [2].
3. Adding vitamins with coatings such as fat: vitamin fortified fat has
been sprayed on extruded and dried pet and aquatic foods to avoid
losses during processing. This practice is quite effective in maintain-
ing stability even during subsequent storage. However, if the heated
fat is held for extensive periods at an elevated temperature, the
vitamin losses can be extensive.
Dyes and pigments are often incorporated in pet foods for human
appeal and distinction rather than for the actual consumer - the pet
itself. Most food, drug and cosmetic dyes are extrusion stable. Their
intensity is generally reduced with increased expansion. Pigments such as
carophyl pink should be considered similar to vitamins in terms of
stability. These pigments rarely show more than 10-15% destruction
during extrusion.
Semi-moist aquatic and pet foods are stabilized and protected from
spoilage without refrigeration. Preservation systems are built into the for-
mulation to adjust the final product water activity (Aw) to a level (0.65 to
0.9) where the growth of microorganisms is prevented or greatly reduced.
The Aw is lowered by humectants (sugars, syrups, salts and polyhydric
alcohols such as propylene glycol). These pet foods are further stabilized
by adjusting the pH to levels (4.0 to 5.5) that are too low to support
many microorganisms by incorporating 1-2% phosphoric or lactic acid.
The inclusion of antimycotic agents such as potassium sorbate at 0.2-
0.3% levels further protects against mold growth. Formulations usually
reflect dogs' preference for sweetness and cats' preference for acidic
flavors.
It may be desirable to include flavor enhancers to improve palatability.
Palatability enhancers include animal fat (tallow, lard or poultry fat),
liquid meat extracts, dextrin materials, vegetable or fish oils, animal fat
extracts, lipolyzed beef tallow, garlic, onion, sugars, beef and other meat
digests, and non-fat dried milk products. These ingredients may be
blended with other raw materials prior to extrusion or they may be incor-
porated by coating on the surface of the final product by spraying, tum-
bling or dipping. Flavor enhancers and other nutrients are often injected
into the extruder itself. The decision to use these ingredients and where to
introduce them into the product will greatly influence palatability.
A series of tests conducted to illustrate these concepts included the
extrusion of a dry expanded dog food base formulation with fresh meat
and choice white grease introduced at various locations in the system. The
resultant products were fed to dogs to determine preference (palatability).
Table 5.4 Effects of palatibility enhancers and point of introduction
Ingredient and process condition Palatability index
No added fat or fresh meat 1.00

Premixing added fat 2.13
Fat added to extruder 5.58
Fresh meat and fat added to extruder 11.35
Table 5.4 summarizes these results. Palatability index is a term created to

indicate the relative preferences that the dogs demonstrated for the
various products.
5.2.5 Typical formulations

Commercial aquatic and pet foods can be categorized into four basic
types:
1. Dry foods
2. Semi-moist or soft foods
3. Snacks (pet foods) and aquarium (aquatic foods)
4. Canned or frozen foods.
Brief descriptions are discussed here and typical formulations are found
in Tables 5.5 and 5.6.
Dry foods comprise the largest segment of the four basic categories.
The final products are either expanded or partially expanded. They
contain 8-10% moisture (moisture content weight basis, MCWB) and are
processed from cereal grains, cereal by-products or their derivatives,
soybean products, animal products, milk products, fats and oils, minerals
and vitamin supplements.
Table 5.5 Generic dry expanded formulations
Dry dog food Floating eel food

Ingredient (%) (%)
Corn 44
Soybean meal 17 10
Meat and bone meal 17
Wheatftour 28
Wheat middlings 16 5
Fish meal 53
Vitamin/mineral
Premixes 1 2
Fat/oil 5 2
Table 5.6 Generic soft moist cat food formulation
Ingredient %
Poultry meal 32.0

Corn 17.8
Corn gluten meal 10.0
Soybean meal 8.0
Corn syrup 12.0
Potassium sorbate 0.2
Propylene glycol 8.0
Phosphoric acid 2.0
Vitamins/minerals/amino acids 3.0
Beet fiber 4.0
Oil/fat 3.0
Semi-moist products have not grown rapidly in the pet food industry
but are commanding more attention in the aquatic food industry. These
final products contain moderate levels of moisture (22-35% MCWB) and
require preservation systems built into the formulation to control water
activity. Although they may contain ingredients similar to those utilized in
dry foods, floury materials or ingredients with small particle size are
essential for a homogeneous matrix.
Extruded snack foods for pets usually take a biscuit, bone, water, strip
or rod form. These snacks fall into the dry or semi-moist product cate-
gory. Their size, shape and nutritional profile differentiate them from the
other product categories.
Aquarium foods also fall into the dry or semi-moist categories but
differ in size and shape. Aquarium foods are either a small flake or pellet
to fit the size of aquatic life being fed.
Foods for laboratory animals and pets other than dogs and cats are
utilizing the extrusion process in their production. These products include
various avian species and zoo or exotic animals.
Canned pet foods are formulated to be nutritionally complete foods or
as food supplements. They contain at least 65% moisture and ingredients
found in the other product categories. Although the complete product is
not usually extruded, individual components or ingredients can be pro-
cessed via extrusion cooking. Extruded meat extenders and analogues for-
mulated from vegetable and/or animal proteins are often included due to
economical and availability factors.
Frozen foods have been limited to the aquatic industry. High moisture
extruded products are frozen in an undried state to preserve or extend
shelf life until consumption. These products are similar in formulation to
the semi-moist products but lack the ingredients which control water
activity. They are extremely palatable when thawed but are more expen-
sive to store and handle.
5.2.6 Raw material preparation

The particle size of the raw materials will affect the texture and uniformity
of the final product. The extrusion cooking process can utilize a broad
spectrum of ingredient particle sizes. It is desirable, but not necessarily
essential, that particles be of uniform size and density to prevent segre-
gation during mixing and transport prior to extrusion.
Most importantly, a uniform particle size of all ingredients promotes a
uniform moisture uptake by all particles. Many ingredients are available
in grit, meal or flour forms which vary in their water absorption rate. The
rate of moisture uptake by individual particles is governed by the princi-
ple of water diffusivity. Time, the temperature of available moisture, indi-
vidual particle size, pressure of environment, presence of gelatinized starch
and hygroscopicity are all factors affecting this principle.
Preparation of raw materials usually includes grinding as a processing
step prior to extrusion (Figure 5.2). When whole grains are received into
the manufacturing facility, they are pre-ground to pass through an
opening of 1000 ~m or larger prior to mixing. The final formulation is
then passed through a grinding process just prior to extrusion to achieve
the final particle size desired .
....
-
lHOMOtEH'J
••
o
•r
••
8lO'WfA I
......,."'. •
I
L
"
ICA.( W COHYI. yClfll ..........

\......--~~-
ro_ . .0 ......
.....oc:.
Figure 5.2 Raw malerial preparalion.

Where die openings are 3 mm diameter or larger, it is common for this

final grinding step to be through a screen having 1.5 mm openings. Table
5.7 contains a typical particle size analysis of formulations ground
through 1.5 mm openings.
Table 5.7 Particle size analysis of typical aquatic and

petfoods
US standard sieve Openings Percent on

number (urn) sieve
20 850 1.00
30 600 3.00
40 425 28.00
50 300 29.00
60 250 21.00
80 180 5.00
Pan 0 14.00
Geometric mean diameter; 327 .urn; geometric stand·

ard deviation, 1.58; 68% between 207 and 516 .urn; 95%
between 103 and 1033 .urn.
A uniform particle size of all ingredients ensures that all particles will
be adequately and uniformly cooked in the extrusion process to prevent
hard partially cooked particles in the final product. If the particle size of
the raw ingredients is too large, the final product may contain undesirable
particles of improperly cooked ingredients, which degrade both the pro-
duct's appearance and palatability. If the raw ingredients' particle size is
larger than the die orifices, plugging or partial obstruction of the die
openings will result in poor product appearance and operating stability,
and affect throughput capabilities.
This is especially critical if the final product is a delicate shape or if the
die orifices are small. For die orifices less than 3 mm diameter, the grind
should be sufficient to have the largest particles no larger than one-third
of the die opening. Soft moist and soft expanded aquatic petfoods often
require floury raw materials having particles no larger than 425 ~m to
yield a smooth homogeneous final product matrix.
5.3 Selection of hardware
The selection of processing equipment for a manufacturing plant is an

important decision for a company that is considering pet food production.
Equipment that will give the highest operating efficiency and most versati-
lity at the lowest total cost should be chosen.
When sizing equipment for any plant, it is important to determine the
rate or capacity at which the plant will be operating. However, the prob-
ability of expanding the plant in the future must also be considered. For
example, it may cost little extra to purchase a conveyor or storage bin
that is capable of twice the presently needed capacity.
The equipment in pet food and aquatic food plants is required to
perform the following functions: receiving, storage, grinding, compound-
ing, conveying, extrusion cooking, drying/cooling, pumping, coating and
packaging. A typical process flow (Figure 5.3) includes all of these func-
tions.
The extrusion system, whether a single-screw or co-rotating twin-screw
configuration, must accomplish a number of phenomena in a short time
under controlled, continuous, steady state conditions [3]. These phenom-
ena include tempering, feeding, mixing, cooking, cooling and shaping. The
pressure, temperature, moisture and resulting viscosity of the extrudate
are affected both by the system configuration and processing conditions.
Selection of the proper system configuration includes making a choice
of the following hardware components: (a) feed delivery system, (b) tem-
pering or preconditioning phase, (c) extruder barrel components and (d)
die and knife configurations (see Figure 5.4).
Figure 5.3 Process flow for dry expanded or semi-moist aquatic petfeeds.
FEED DELIVERY
SYST EM
""LEVEL INOICA'OA -"0 ____ --1---:7 ~HT cuss
l()'l£YElIHOtCATOA
SUTERS
PRECONDITIONING
PHASE
EXTRUDER
""'",oco BARREL
KNIFE
COMPON ENTS
$CREW ASSEMBLY
Cl..... P
~
Figure 5.4 Components of an extrusion cooking system.
5.3.1 Feeding devices

Feed delivery systems are an essential part of an extrusion operation.
Consistent and uniform feeding of ingredients is necessary for the con-
sistent and uniform operation of an extruder.
Hoppers or bins are an integral part of a feeding device and are used to
hold the dry ingredients above the feeders. The feed delivery system must
be able to feed uniformly both a dry and/or liquid ingredient or blend of
ingredients. Generally, when the added fat content of a raw formulation
exceeds 12%, that portion of the fat above the 12% level should be intro-
duced into the extrusion system in a separate ingredient stream. The dry
feed portion is delivered to the extrusion system through a specialized
metering device capable of providing uniform flow at any desired extru-
sion rate.
Dry ingredients are usually free flowing and there are a number of
capable feeding devices which vary in their relative cost and complexity.
Variable speed augers or screw conveyors can be used to meter ingredients
volumetrically. These same devices can be designed and manufactured to
act as loss-in-weight (gravimetric) feed systems by mounting the bin/feeder
assembly on load cells. Vibratory-type feeders having variable frequency
or stroke can also be utilized as gravimetric devices. Ingredients can also

be gravimetrically metered with weigh belts.
Slurry tanks and liquid feeding devices (pumps) are utilized to accom-
plish uniform metering of liquid ingredients. The slurry tanks are often
jacketed for heating or cooling and are equipped with agitators as
required. Positive displacement metering pumps deliver metered liquids at
constant rates by varying length of stroke or speed of rotation. Slurries or
liquids can be premixed with dry ingredients but are preferably injected
into preconditioning devices or the extruder barrel.
5.3.2 Preconditioning considerations

The dry portion of the feed and the liquid portions (heated or ambient
temperature) are separately introduced into a preconditioning device
when~ they are continuously mixed, heated and moisturized by the injec-
tion of hot water (70°C) and/or steam. The intense mixing of water and
steam added to the dry feed and the ability to extend the retention time
during the preconditioning phase allows the moisture level to be main-
tained at an optimum. This ability to maintain optimum moisture dis-
tribution not only initiates proper cook but is reported as a significant
factor in reduction of extruder barrel wear and extruder shaft power per
ton of product processed.
Preconditioners were utilized in extrusion of pet food before 1960. Most
preconditioners contain one or two mixing/conveying elements which con-
sist of rotating shafts with radially attached pitched paddles (Figure 5.5).
Figure 5.5 Preconditioner consisting of rotating shafts with radially attached pitched paddles.
Atmospheric or pressurized chambers may be utilized in this precondi-

tioning step. Pressurized preconditioners can achieve higher discharge
temperatures but have the disadvantages of potential nutrient destruction
and higher operating costs.
De Meulaere and Buzzard [4] reported losses of available lysine of 13-
28% in a pressurized preconditioner compared to losses of 3% available
lysine in a preconditioner operating at ambient pressures.
Atmospheric conditioning chambers provide from 20-240 s retention
during which time a product formulation is preheated and the moisture is
allowed to penetrate the individual particles. Preconditioning is known to
enhance flavor development and to aid in the final product texture [5].
Single agitator mixing cylinders are used in extrusions of low to moder-
ate rates and are capable of 15 s retention time and achieve 15-20%
cook. This technology has since evolved into a second stage consisting of
double agitation preconditioners capable of 45 s retention time and 20-
25% cook. The effect that steam addition to the conditioning cylinder has
on the degree of cook for a typical food or feed formulation is shown in
Figure 5.6.
The petfood formula used for these tests contained 30% starch and
20% protein. Cook is defined here as the percentage of starch made sus-
ceptible to amyloglucosidase hydrolysis.
When steam is added at a rate which exceeds 10% on a dry feed basis
considerable vapor loss occurs from the conditioning cylinder to the
environment. Therefore, it is not economical to exceed a 10% level of
steam addition at atmospheric pressure.
90
%80
C 70
060
o
K50
COOK=(LN9RI.0878)) 45.045
R=.996
15 21 27 33 39 45 51
% STEAM FLOW RATE / WET RATE
Figure 5.6 Steam flow rate plotted against degree of cook.

It must be noted that the first 200 s of retention time, when exposed to
steam injected into an atmospheric pressure conditioning cylinder, are the
most important in making a significant contribution to the cook or char-
acteristics of the final product.
Figure 5.7 shows the response surface for the percentage of cook in the
atmospheric preconditioning of a petfood formula (30% starch, 20%
protein) as a function of steam injection rate and retention time.
Long retention times during preconditioning are typically achieved by
reducing agitator speed or by increasing the retention volume of the pre-
conditioner. These have their disadvantages due to reduced mixing abil-
ities and large bulky equipment. The most recent preconditioning
technology has overcome this dilemma by utilizing double agitators that
rotate at differential speeds to maintain dynamic mixing and long reten-
tion times (patent 4,752,139). This double differential cylinder is capable
of 180-240 s retention time and 40-50% cook. Increased extrusion
throughputs, improved starch digestibility and enhanced palatability are
all benefits of proper preconditioning.
In a case study, a dry expanded pet food containing 30% crude protein
and 7% crude fat was extruded on an 80 mm twin-screw with and
without a preconditioning step through a double differential cylinder.
Total water and steam amounts injected into the product were the same
for both tests. The dog food submitted to preconditioning prior to extru-
sion was preferred by a ratio of 1.51:1 over dog food without the pre-
conditioning treatment in a palatability test conducted by an independent
laboratory.
COOK:15.85 LN(4+ T)-41 .06 60(%)

R:.9300 /-~----~--~--~ 50
40 C
30 0
o
20 K
10
o
30 25 20 15
STEAM FLOW RATEITOTAL WET PRODUCT RATE

R
Figure S.7 Retention time plotted against steam flow rate plotted against cook for pre-
conditioning of petfood.
5.3.3 Extruder barrel selection

Raw materials or preconditioned formulations are discharged directly into
the extruder assembly which consists of the barrel segments and screw
configuration. It is here that the major transformation of the raw or pre-
conditioned formulations occurs, ultimately affecting final product char-
acteristics. Extruders employed in the aquatic and pet food industries are
generally classified as either being a single- or twin-screw design. In both
designs, the impact of final product characteristics is affected by screw and
barrel profile, screw speed, processing conditions (temperature, moisture,
etc.) raw material characteristics and die/knife selection.
5.3.3.1 Twin-screw configuration. Although twin-screw cooking extruders

have found limited utility to date in the production of dry expanded
petfood, they are being utilized in aquatic food production especially
where this industry is ultra-intensive (see Figure 5.8). The major drawback
of these extruders in petfood production is their high capital investment
cost and their higher relative cost of maintenance and operation. The
Figure 5.8 Twin-screw cooking extruder for aquatic food production.

capital equipment cost of a co-rotating twin-screw extruder is 1.5-1.7

times the cost of a state-of-the-art single-screw extruder with comparable
hourly production capacity. The cost of parts damaged by wear for the
twin-screw is approximately 1.5 times the cost for wear on the modern
single-screw cooking extruder. It has been reported however, in some
cases, that wear on twin-screw extruders is less than on single-screw
extruders [6]. Electric energy costs for twin-screw extruders again prove to
be about 1.5 times the energy costs of a single-screw machine. Therefore,
because of the increased investment and increased operating cost burden
associated with the twin-screw extruder, only those aquatic and petfood
products with strong value added potential are processed via the twin-
screw extruder. A significant number of these high value added products
are currently in development and on the market. These unique products
are economic successes because they are being sold to a market which will
pay the price necessary for products manufactured utilizing twin-screw
technology.
Products which may be economically produced by twin-screw extruders
include the following:
• Products with a commercial value that justifies the costs of twin-
screw processing (e.g. 0.8 mm aquatic feeds)
• Those formulas high in fresh meat and/or animal fat
• Co-extruded products
• Products made in plants where each production run is small and
there are significant variations in formulations
Certain pet snacks and specialty items have been developed using for-
mulations that cannot be commercially produced using a single-screw
extruder (see Figure 5.9). These specific formulations are very sticky and
they cannot be conveyed within the single-screw extruder barrel. The
reduced shear field, more positive pumping action and the self-wiping
action of the twin-screw extruder make it ideally suited for these products.
Specific product characteristics and processing requirements where twin-
screw extrusion systems have found applications are as follows:
• Ultra-high fat foods (above 17%)
• Where fresh meats or other high moisture ingredients exceed 30%
• Uniform shape/size product (portioned foods)
• Ultra-small aquatic foods (0.8-2.0 mm diameter products)
The twin-screw extruder is also necessary for co-extruded petfoods. The
twin-screw extruder is required for these products because their successful
production is dependent on uniform and consistent die pressure volume
and velocity control.
As fat levels in a formulation are increased above 8%, it becomes
increasingly more difficult in a single barrel extruder to transform
Figure 5.9 Pet snacks and specialty items with fonnulations ideally suited to the twin-screw
extruder.
mechanical energy into thermal energy necessary for cooking. Fat actually
provides lubricity and reduces friction within the extruder barrel.
However, through more positive transport provided by the two inter-
meshing screws, the co-rotating twin-screw permits internal fat levels
approaching 25% while maintaining an expanded product. While it is true
that single-screw extruders process formulations containing up to 20% fat,
product consistency is more easily maintained in the twin-screw system.
The positive conveyance factor maintains die pressure, product expansion
and textural development [7].
Along with the positive conveyance, twin-screw extruders allow ade-
quate mixing and shear to be built into the screw element and shearlock
configuration to develop the farinaceous and glutenous dough systems
despite high fat levels. The hydration, elasticity and gas-holding properties
of the extrudate are necessary to maintain product expansion and texture.
The barrel of the extruder is made up of screws, heads, and flow
restrictors or shearlocks. A number of different screw designs and config-
urations may be placed on an extruder shaft and each screw is of a
unique design.
Functionally, screws must convey raw material and/or preconditioned
material into the extruder barrel, while some screw elements must com-
press and degas the extrudate. Other screw elements must create backflow
and shear, or perform other tasks.
Where kneading is required, kneading screws may have one or multiple
flights, and some kneading screws may have cut flights or have inter-
rupted flighting in order to add mixing, increase backflow or increase

mechanical energy dissipation into the extrudate.
The cut flight screw elements reduce conveying efficiency and thus add
residence time to the extrudate as it is being conveyed through the barrel
of the extruder. The screws may also have various pitches to increase resi-
dence time within the extruder processing chamber without changing the
free volume of the screw.
The final cooking screws may be conical. These conical final screw ele-
ments cause a rapid pressure increase, a uniform pressure distribution
around the screw periphery and a dampening of any pulsations which
may be present in the final section of the extruder (see figure 5.10).
Screws are not the only components that affect shear energy input or
mechanical energy dissipation within the barrel of the extruder. Heads or
the barrel segments that surround the screws have a profound effect as
well. The barrel segments may be ribbed to alter the function of each spe-
cific extruder segment. For example, the ribbing may be used to increase
the volume in the inlet of the extruder barrel for feeding higher capacities.
Special attention should be given to the use of two conical sections at the
discharge of the extruder barrel to separate the product flow channel into
two isolated flow channels. This design feature permits a uniform and
rapid increase in temperature and pressure just prior to the discharge of
the extruder (see Figure 5.11).
This concept contributes to unique product textures, increased flex-
ibility, and also minimizes screw and barrel wear which is problematic
and costly in most twin-screw systems. Wear is minimized because the two
isolated conical flow channels distribute the product uniformly around the
periphery of each extruder shaft. This uniform product distribution
centers each shaft or screw within its respective flow channel and func-
tions much like an internal bearing.
Figure 5.10 Conical final screws in twin-screw extruder.

TWIN SCREW
EXTRUDER WITH
CONICAL FINAL
SCREW ELEMENTS
JLd
i i,
.';
!
!' p PRESSURE
PROFILE
!.
:::
l
l i
/ f i
=;;:;;;;.;....;;:.=-"'-
M
' ..J
p
Figure 5.11 Comparison of different end screws.
The extruder is segmented to permit increasing or decreasing the barrel

length as required to provide optimum residence time of the aquatic or
pet food within the extruder processing chamber. Aquatic and petfood
extrusions are usually classified as a medium shear process and require
barrel lengths ranging from 10: I to 20: I length to diameter ratio.
Throughput capacities up to 8 tonne h - I have been realized on the longer
barrel lengths.
5.3.3.2 Single-screw configuration. The single-screw cooking extruder has

been the 'heart beat' of dry expanded petfood and aquatic food in the
United States for over 35 years (see Figure 5.12). These products repre-
sent the world's largest volume product produced by extrusion cooking.
Because petfood holds the position as the largest volume of extruded
goods, futuristic equipment manufacturers are investing heavily in
research to better their equipment and services.
Single-screw cooking extruders continue to produce a major portion,
perhaps as much as 90%, of dry expanded petfoods. New screw and
barrel geometries have been developed and are being installed in new
plants and in plant expansions. State-of-the-art hardware is also being ret-
rofitted where possible and practical, to existing production equipment.
The preset screw and barrel configurations represent many years of
analytical design, research and comprehensive testing. A better under-
standing of the machine/materials interaction occurring inside the extru-
der barrel has led to the development of screw and barrel geometries for
single-screw extruders that are more efficient in converting mechanical
energy to heat through friction. These screws have increased volumetric
Figure 5.12 Single-screw cooking extruder.
capacity permitting higher levels of steam injection into the extruder

barrel, further increasing throughput and energy efficiency. Most impor-
tantly for process and final product quality control, the pumping and
conveying actions of present day single-screw extruders has been vastly
improved by redesigning the screw flight profile and groove geometry in
the barrel wall. For many product applications, single-screw extruders
exhibit die pressure and flow stabilities matching those of twin-screw
cooking extruders. Uniform flow within single-screw extruder barrels
yields die pressure stability and constant uniform extrudate delivery to the
die. This results in minimal variations in the degree of cook in the
product, while virtually no variations are seen in product shape and size.
As new technology has unfolded in both structural design and metal-
lurgy, both twin- and single-screw systems have screws and barrel sleeves
which have historically demonstrated usable lives of 6000 to 7000 hours of
operation. Single screw throughput capacities have exceeded 12 to 15
tonne per capacity on the larger extruder systems.
It may be desirable in either single- or twin-screw systems to produce a
dense pellet that is fully cooked. Most of the sinking aquatic feeds fall
into this category. A non-expanded, fully cooked product is particularly
difficult with formulations that are high in starch content and contain less
than 12% fat. To reduce product temperature, moisture and expansion,
the extrudate can be subjected to a decompression step prior to extrusion
through the final die. Extrusion systems with and without vented head
configurations are found in Figure 5.13.
The vented head also provides an opportunity to introduce dry or
e±:::=~~~w~a~t~er~addrtion
TIME
5-10 sec.
..... ur. , ...lftI.

T_,..,. ...... , ... urF
l1~.5~-~2~ml'ln~U'iesi!!!~38~~:~[]C~l
0..-1., ..........
.. e..1I. ... ..
TEMP
COOK
TIME
Figure 5_13 Vented head configurations.
semi-dry ingredients into the latter portion of the extruder barrel after a
significant amount of cooking has occurred. This concept allows the
introduction of heat-labile flavors, colors, vitamins, and so on. In addi-
tion, particulates can be added internally to pet foods where it is desirable
to maintain the identity of that particulate in the matrix of the final
product.
Introducing heat-sensitive proteinaceous ingredients late in the cooking
cycle, i.e. in a vented head or with a force-feed device into the barrel, has
been shown to preserve protein quality and significantly improve palat-
ability.
In one particular case study, a dry blend of 27.54% corn, 27.54% rice,
20.72% poultry meal and 20.72% meat and bone meal were extrusion
cooked through an 80 mm twin-screw system. 20% fresh chicken meat
(ground necks and backs) and 3% tallow (choice white grease) were
added into the mid-portion of the extruder barrel after the major cooking
step had been completed. In a test run, this same amount of fresh meat
and tallow were added to the dry mix prior to being fed into the extruder
barrel. The final product with the late addition of meat and tallow experi-
enced a 2.55/1 preference ratio over the premixed formula when submitted
to a dog palatability trial by an independent laboratory.
5.3.4 Die/knife design

The extrusion chamber must be capped with a final die which serves two
major functions. First the die offers restriction to product flow thereby
causing the extruder to develop the required pressure and shear; and
second, the final die shapes the extrudate.
Die design and its effect on expansion, uniformity and appearance of
the final product are often overlooked. Die shear rates may be altered
dramatically by changing from a single die opening to multiple die open-
ings.
The amount of expansion desired in the final product can be controlled
by formulation manipulation and open area in the die. Unexpanded but
fully cooked aquatic and pet foods generally require 550-600 mm2 of
open area per tonne of throughput. Highly expanded foods and floating
aquatic foods require 200-250 mm2 of open area per tonne throughput.
Final dies may be as simple as single plates with a predetermined
number of sized round openings for the production of dry expanded pet-
foods and aquatic foods, or they may consist of two or more plate ele-
ments. The first plate element of a two-piece die serves to increase the
resistance to flow and to aid in imparting shear to the extrudate. The
second die plate in a two-piece die is used to size and shape the extrudate
by forcing it to flow through a predetermined number of configured flow
orifices. High shear rates are experienced by the extrudate as it flows in a
radial direction between the two die plates. Typical products made on
two-piece dies are light density snacks for pets.
Spacers may be added between the extruder barrel and the final die
plate. Such spacers serve to even out the flow from the extruder screw to
the die plate (Figure 5.14).
Figure 5.15 summarizes the effects of die configuration on processing
and final product characteristics. In this case, a dry expanded dog food
(formulation in Table 5.5) was extruded on a 130 mm single-screw
employing the same feed rate, moisture level and screw speed for each test
run. Only the die configuration was varied for each run.
Die
Spacer Final
I
Die
/
Extruder
Head
Figure 5.14 Die spacer between extruder barrel and fin al die assembly.
Extruder Final Product Characteristics

Ole Configurati on Load % Bulk Density (gil) % Gelatinization Appeara nce
© 8mm
.... . . · dia meter 96.7 304 92
Smooth, Closed
Surface &
Cylindrica l
Shape
6ED·dl::::~er
Porous
70.00 336 80 Surface &
SpherlcalShape
Figure 5.15 Die orifice configuration effects on process characteristics.
A die orifice with a long land length yielded a highly expanded final
product that possessed a higher degree of starch gelatinization. However,
this die configuration also required more mechanical energy to achieve
extrusion under the same conditions. The long land length resulted in a
cylindrical-shaped food pellet with a smooth surface with little porosity.
In contrast, the die configuration, a large inlet taper and short land length
gave a more spherical final product with a porous surface. The mechan-
ical energy requirements were lower but this was reflected in less cook and
expansion.
Co-extruded petfoods consisting of multi textured and/or multicolored
ingredients are produced via extrusion (Figure 5.16).
These products are produced by employing dies of special design as
shown in Figure 5.17. Dies can be modified to yield a two- or three-com-
ponent product. Products continue to become more sophisticated as con-
sumers tend to feed their pets after their own preferences.
PETFOOD AND FlSHFOOD EXTRUSION 171
Figure 5.16 Co-extruded petfoods.
FILLING
EXTRUDER
COOKING
EXTRUDER
Figure 5.17 Co-extrusion die apparatus.
A face cutter is used in conjunction with the die which involves cutting
knives revolving in a plane parallel to the face of the die. The relative
speed of the knives and the linear speed of the extrudate results in the
desired product length. The blades of the knife run in close proximity to
the die face and, in the case of spring-loaded blades, may actually ride on
the surface of the die.
Knife blade metallurgy, design, positioning relative to die face, speed
and extrudate abrasiveness determine their life. Many aquatic and pet
food operations require changing or resharpening blades every 6-8 h.
This is especially critical with intricate shapes. Dull blades distort the
product shape and increase the number of 'tails' or appendages on the
product which later are broken off in drying and handling resulting in
fines and lower yields.
5.3.5 Ancillary process equipment

Dryer/coolers are probably the most important ancillary equipment
required in aquatic and pet food systems (Figure 5.18) Most aquatic and
pet food products involving a mixture of cereal products and vegetable
and animal proteins are best processed at moisture levels between 22-
30%. Moisture levels as low as 8-10% are also possible or even required
with some light density pet food snacks.
Some of the moisture is lost due to flash evaporation as the superheated
product exits the die and expands. Further moisture will be lost through
evaporative cooling of the product to ambient temperature. Drying under
ambient temperature conditions is possible but is very slow, requires con-
siderable space, depends on local climatic conditions and is difficult to
control.
Most extrusion cooked products, therefore, have to be subjected to
drying after the extrusion cooking process. The primary purpose of redu-
cing the level of moisture in an extrusion cooked product is to make it
shelf stable. In some cases the drying process can involve necessary addi-
tional heat treatment of the product. One example of this is the drying at
elevated temperatures to inpart a 'baked' or 'toasted' flavor and appear-
ance to the product. However, Whistler [8] found that the production of
dextrins during extrusion or drying processes may decrease palatibility.
Dextrin formation may be so subtle that they are not evident through
sensory analysis but can be detected analytically. Another example is the
processing of some starches where certain viscosity characteristics can be
obtained through this combined extrusion cooking and drying process. In
AIRFLOW--
PRODUCT FLOW ~
PRODUCT OUT --
Figure 5.18 Typical dryer for aquatic and petfoods.

the case of animal feeds and fish foods, the main concern is to reduce the
moisture level to make it suitable for prolonged storage.
Chemical and microbiological changes in food or food products depend
on their water activity (Aw), a dimensionless value which can be used as
an expression for the amount of moisture available to sustain microbial
growth. The acceptable range of water activity for a product is related to
its ingredients, method of processing, method of packaging and conditions
of subsequent storage.
In the case of dry expanded fish foods, water activity should be brought
down to below 0.6, preferably around 0.4, in order to obtain satisfactory
storage stability. This corresponds to a real residual moisture content
between 8 and 10%. Even a small increase of 2 or 3% moisture can
increase water activity levels to above 0.7 or 0.8, which will cause rapid
spoilage, especially due to mold formation. The floating/sinking character-
istics can be influenced by the drying conditions. Floatability can be
improved by drying at somewhat elevated temperatures to lower residual
moisture contents. Sinking fish foods should be dried at moderate tem-
peratures and dried no further than where storage stability is obtained.
Dry expanded animal feeds, including fish foods, are best processed at
22-30% moisture within the extruder barrel. This corresponds to a 18-
26% moisture level after flash evaporation and evaporative cooling. It is
thus necessary to dry these products down to the 8-10% mentioned
earlier.
The drying of extruded dry expanded petfood and aquatic food is nor-
mally handled through a continuous conveyor-type dryer. The product is
spread evenly across the traveling conveyor at a desired bed depth
depending on the nature of the product. Heated air is then passed
through the bed of product at a velocity usually of 60 m min - 1. Heated
air ranging from about 94-150°C is applied to the product. Since the
drying is a time/temperature relationship, the available belt area provided
in the dryer determines the air temperature required.
Conventional tray-type dryers are available in single-pass, double-pass
and three-pass conveyer systems. The most popular dryer design used by
the pet food industry is the double-pass unit. This design allows more
product to be dried per square metre of belt area than does the single-stage
unit. This is primarily because the product entering the dryer is between 23
and 26% MCWB and is usually held at a bed depth of 100 mm on the
conveyor. In a double-stage dryer, the product is tumbled after it has been
partially dried then, by operating the lower conveyor at a slower belt
speed, the product can be 150-200 mm deep on the final conveyor. The
tumbling of the product from the first conveyor allows a quick release of c.
3% moisture because of the repositioning of the particles in the air stream.
Multiple-pass dryers also require less floor space than a single-pass unit,
whereas the unit may only take 0.5-1 m more height in the building. The
capital investment for multiple-pass dryers or dryer/cooler combinations is

less than for single-stage units.
The heating source for aquatic and pet food dryers is either indirect or
direct gas fired or steam coils for indirect heating. In some cases thermo-
fluids are used in coils to obtain higher temperatures than can be achieved
with steam. Direct gas fired burners are most often used because of their
efficiency. Gas fired units are approximately 20% more efficient than
steam units and require less capital investment.
After the product has been dried, it is necessary to reduce its tempera-
ture to 30-40°C prior to fat application. It is quite common to select a
dryer/cooler combination to perform the task. In this design, the lower
conveyors of multiple-pass dryers extend beyond the dryer into a separate
zone where ambient air is pulled through the product to reduce its tem-
perature. Therefore, a typical two-stage dryer/cooler requires 15 minutes
retention time for drying, 7 minutes cooling time, or a total of 22 minutes.
If the product is packed or stored in bulk without prior cooling, the
residual moisture in the product will migrate to the coolest area of the
package or storage, i.e. the container wall. Moisture levels will therefore
increase in these colder areas and spoilage of the product in these areas
will be the result.
The selection of a suitable dryer and cooler must take the following
design details into consideration:
1. The product from the extruder is somewhat plastic and, especially in

the case of higher starch contents, somewhat sticky. The product
should therefore not be stacked too deep in order to minimize defor-
mation and the creation of large lumps.
2. The product should be turned or agitated at some point during the
drying process in order to promote even drying and the breaking up
of lumps. This is best achieved with a two-stage or multi-stage dryer,
or with agitators in a single-pass device.
3. Air flow through the product bed should be relatively fast and evenly
distributed for fast, efficient and even drying.
4. Both the dryer and the cooler should be of sanitary design. Fine par-
ticles (invariably created during drying and transport) should not be
left to accumulate inside the dryer and cooler but should constantly
be removed by automatic means from within the dryer and cooler.
Large clean out doors should be provided to permit periodic cleaning.
5. Production retention time and bed thickness within the dryer and the
cooler must be adjustable to suit product characteristics.
6. The design must have due consideration for maximum economy
through efficient utilization of the available heat in the drying air.
Proper recirculation of the drying air and minimum air losses are
very important.
7. Modular design for easy assembly and possibility for future enlarge-
ment are preferred.
After drying and cooling aquatic and pet foods, it is important to
screen out any small pieces or fines that may have developed during the
drying, tumbling and cooling operations. Those fines may be recycled
back into the raw mix prior to extrusion so that no loss of product
occurs. A properly operated system on dry expanded aquatic and pet food
will average between 3-5% fines.
Most dry expanded petfood and aquatic food operations apply liquid
fat and/or flavors after drying, cooling and sizing to enhance the accept-
ability and palatability of their products. Where it is preferred that the
drying and cooling modes be accomplished in separate pieces of equip-
ment, these feedstuffs are coated after drying but prior to cooling. This
choice has the advantage of coating a warm product which improves
absorption.
Liquid fats and/or flavors are normally applied in revolving cylindrical
reels by spraying a mist of liquid or sprinkling a dry powder over the
product as it enters the rotating reel. The reels have a source of heat
beneath them to keep the fat from solidifying on the inner surface of the
reel.
Fat heating tanks used as a surge for the fat addition system normally
have the capability of preheating the fat to 60°C which is the recom-
mended temperature.
A weigh belt or some metering device is normally used to meter the dry
expanded petfood or aquatic food into the rotating applicator reel to
ensure the accurate fat composition of the coated product. When fat is
added at percentages between 1 and 5%, a misting nozzle is normally
used inside the fat coating reel. When applying higher percentages, a
flood-type nozzle is used.
Recently, high speed mixing machines, such as the Forberg Mixer, have
been utilized to apply liquids uniformly to aquatic and pet foods. These
machines load and discharge their contents rapidly to convert a batch
process to a continuous batch system. Liquids are 'slugged' into the mixer
and depend on the tremendous particle movement to wipe them from
particle to particle. Typical cycle times per batch are 5-30 s.
5.4 Processing variables
5.4.1 Preconditioning
The benefits of adequate preconditioning of feedstuffs prior to extrusion
have been described earlier. Total moisture addition, product temperature
and retention time are all processing conditions that are controlled to
achieve desired results. Steam injection alone in a conditioning device will

elevate the substrate moisture by no more than 5-7%. Higher moisture
levels (25%) are achieved by the addition of hot water. At moisture levels
of 20% or below, the degree of cook in the preconditioned material
will rarely exceed 15%. Several studies have indicated that a minimum
of 30% moisture is required in feedstuffs to achieve complete gelatiniza-
tion in the absence of shear. Although moisture levels at 30% or higher
may not be practical in most preconditioners, feedstuffs containing
near this level of moisture are routinely processed in properly designed
models.
Extending retention times in the preconditioner and extruder barrel are
useful tools to enhance gelatinization in high fat formulas. Retention time
in the preconditioning of conventional formulations with up to 8% inter-
nal fat will optimize at 120-180 s. Preconditioning times of up to 240 s
are required to optimize cook in certain formulations containing up to
22% internal fat.
Pressurized preconditioning chambers and their high temperatures/long
retention times prove detrimental due to extreme losses of available lysine.
It has been proved that pressure in itself will not gelatinize starch but may
actually raise the gelatinization temperature of starch. Donovan and co-
workers [9] investigated the effects of pressure as high as 36 000 psi. They
theorized that pressure favors the formation and strengthening of hydro-
gen bonds which stabilize or maintain starch granules in their native
crystalline structure. Additionally, pressure forces free water, a necessary
solvent in the gelatinization process, out of the starch granule.
Without a doubt, moisture plays the most important role of any of the
processing variables. Complete and uniform moisture penetration of
ingredient particles results in increased heat transfer allowing uniform
gelatinization. High moisture levels during extrusion (above 27%) there-
fore assist in complete cooking of all feedstuffs and especially those high
in fat.
5.4.2 Extrusion
The process stability and uniformity gained by the twin-screw extruder is
not particularly important when producing a chunk-type final product but
it is extremely important when producing an intricately shaped final
product. Compared to single-screw extrusion final product color may be
more uniform, and susceptibility to burn or overcook the product will be
reduced. Product density will generally be more consistent, and thus
package fill and product texture will be more uniform.
The twin-screw extrusion process is more responsive to changes in
screw speed than is the cooking process carried out in the single-screw
extruder. This is due to its feeding characteristics. By varying the speed of
the screw in a twin-screw extruder, it is possible to maintain more precise

limits on product quality over the wear life of the barrel components.
Furthermore, certain variations in raw material characteristics can be
compensated for by varying screw speeds.
Because screw speed is such an influential variable in twin-screw
extrusion, the twin-screw extruder mechanism permits the internal lipid
level in the formula to be increased to levels beyond 22% while maintain-
ing high levels of mechanical energy conversion. This is made possible
by specific screw configurations that are not feasible in single-screw
extruders. Steam injection into the extruder is also a contributing factor
to cooking formulas high in lipids. Although steam is injected into the
barrel of single-screw extruders, and lipid levels of up to 17% can be
added to formulations cooked on the single-screw extruder, the twin-screw
extruder permits these high lipid level formulas to be processed more
consistently. Use of a twin-screw extruder may also result in better lipid
binding, and thus less leaching of lipids from the product during handling
and storage.
If fat is added in liquid form as a separate stream, the point of addition
is critical to achieve cook while maximizing the level of fat. Fat is usually
added near the discharge of the preconditioner to allow optimum pre-
conditioning. Fat tends to coat individual feed particles hindering
moisture absorption and the transfer of thermal energy to accomplish
gelatinization. If substantial amounts of fat are to be added (15-20%)
during extrusion, a portion of the total fat may be injected near the dis-
charge end of the extruder barrel. Typically, extended steam precondition-
ing and longer extruder barrels to increase product residence time during
the cooking phase are often employed to overcome the added lubricity of
high levels of fat. The technique of injecting the fat just prior to reaching
the die minimizes its effects on cook and allows adequate mixing to
achieve a homogeneous product. This method allows complete fat pene-
tration throughout the extrudate without subjecting the fat to the entire
extrusion system. Preservation of natural antioxidants and reduced forma-
tion of free fatty acids are also benefits of this practice.
Moisture is a critical catalyst in twin- and single-screw extrusion cooking
processes (Figure 5.19). Moisture contributions are made from direct
addition of hot water (70°C) and injection of steam. These additions are
made in the preconditioning device and the extruder barrel. The steam
injection provides additional energy for cooking. This additional energy
input results in capacity increases, more tolerance for high fat levels in the
formulations and reduced requirements for large drive motors.
The optimum moisture level for processing is 25-30%. Lower moisture
levels during processing reduce palatability and contribute to destruction
of heat-labile nutrients such as lysine and ascorbic acid. The high moist-
ure levels are also necessary for the complete hydration and viscoelastic
o
p
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r
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Figure 5.19 Importance of moisture. Typical (for both single-screw and twin-screw extruder
systems) equipment operating cost and feed efficiency as related to extrusion moisture. Origi.
nal equipment cost is not considered here. Feed performance is a quant.itative index that
represents the following characteristics of fish food: feed efficiency ratio, product durability,
nutrient retention, extrusion play yield, and formulation cost. The operating cost is based on
actual production plant data. Effects of increased moisture include: dramatic reduction in
extruder wear cost and in extruder electrical consumption, moderate increases in drying
costs, improved product density control, and increased feed performance (improved nutrient
retention, feed efficiencies and product durability; less fines and waste generation) [18].
properties of the extrudate. The development of these properties is

especially critical in the presence of high levels of fat which tend to
weaken dough strength and hinder final product textural development.
Where the expansion of the final product is not a requirement, such as
sinking aquatic feeds containing 30% fat, the temperature profile along
the extrusion barrel appears quite different from temperature profiles for
highly expanded products. The unexpanded products attain highest tem-
peratures near the mid-section of the extruder barrel and relatively lower
temperatures just prior to reaching the die. These temperature profiles
assist in maintaining the desired product density and shape definition.
Expanded products with high fat levels require provisions to monitor and
control barrel temperatures which yield temperature profiles having their

highest temperature at the die.
For expanded petfoods and floating aquatic foods, the extruder barrel
configuration used permits steam and water to be added at a rate up to
8% of the dry feed rate. This moisture addition and a properly configured
extruder barrel result in a final pressure of the extrudate prior to reaching
the extruder die of 500 to 550 psi (3400 kN/m2), a temperature of 125-
138°e and a moisture content of 25-27% on a wet basis. The extrudate
expands after passing through the extruder die and results in a product
with a bulk density of 320-400 g 1-1 and 21-24% moisture on a wet
basis. For sinking aquatic foods, the operating conditions of the extruder
are changed to produce a product which has a bulk density of 450-550 g
1-1 (Figure 5.20).
Some of the steam which was added to the conditioning cylinder for the
production of the lighter density floating fish foods and expanded pet
foods is removed and this moisture is added back as additional water to
the conditioning cylinder. The final moisture content of the mixture
leaving the conditioning cylinder is most typically between 20 and 24% on
a wet basis. The steam and water flow rates are balanced to give a
mixture temperature of 70-90 o e at the conditioning cylinder discharge.
Water is injected into the extruder barrel at such as rate as to bring the
extrudate moisture to 28-30% .
The extruder die pressures for those sinking fish foods are typically
260-300 kN/m2. The extrudate temperature as measured behind the
extruder die is about 120°C. The extruder head temperatures are con-
trolled by flowing cooling water to the jacketed areas of the heads.
The requirement of a higher bulk density for the sinking fish food will
force the final post-extrusion moisture of this product to be c. 26%. This
product must then be dried to a moisture content of 10-12% on a wet
basis. Drying of these sinking products is critical because both overdrying
..
•
..
FLOATING SINKING
Figure 5.20 Floating and sinking aquatic feeds.

and too rapid drying may reduce the final product bulk density causing
the product to float when fish are being fed.
5.4.3 Process control

Due to the potential for economic benefit, the extrusion cooking process
will continue to become more automated [10]. The extrusion process has
been almost exclusively manually controlled to date. Most extrusion
operations rely on an individual operator to set the feed rate, steam and
water flow rates and to adjust the product temperature profile. The
process requires relatively few process variable changes when it is operat-
ing at capacity. The initial setting of these process variables can make
significant changes in product quality as well as a real impact on the
operating economics of the plant. Process control and automation
removes the human influence and the inevitable product variability
associated with the operation of the extruder. Feed rates can be controlled
by gravimetric feeding devices which can maintain accurate control
± 0.5% of the desired dry feed rate. Feed rates can be set from data
stored in a computer, according to product identity. The gravimetric
feed device continuously records the weight loss of the feed bin as a func-
tion of time. This weight loss rate is compared by the computer to the
desired feed rate and the speed of the feeding screw is controlled by the
computer.
Steam and water flow rates to the conditioning cylinder are also con-
trolled by the process controller or computer. A steam flow meter and a
water flow meter are used to monitor these flows. Each flow can be con-
trolled as a percentage of dry feed rate by remote-actuated control valves.
Steam and water flow rates for injection into the barrel can be controlled
in a similar fashion.
The extruder head jacket temperature profile can be controlled by the
computer along with extruder motor load and die pressure. These para-
meters can be used to control the feed rate to prevent motor overloading
while keeping the production capacity at a continuously high level. Safe-
guards are incorporated in the control logic. The safeguards perform such
tasks as prevention of dry feed from entering the extruder barrel in the
event of loss of steam and/or water flow to eliminate costly and nuisance
shutdowns.
Sensing equipment required to provide data feedback to the control
computer also provides management data. Long-term trend effects such as
wear can be more closely monitored by observing trends in main drive
power, barrel pressure data and barrel temperature as related to product
type and throughput rates to assist preventive maintenance programs.
A database can be established in the control computer for operation
conditions corresponding to a wide variety of products. Operating para-
meters can also be stored for permissible ingredient variations for any
given formulation.
Computerized extruder controls are fully capable of automatic start up
and shut down sequencing, in addition to matching the control of process
variables to the formulation programmed for delivery to the extruder bin.
The success of computer automation in any plant will depend on raw
material product quality control, a competent maintenance staff and
process control programming.
5.5 Final product specifications
Many aspects of final product specifications have already been discussed.

Exact specifications are set by the manufacturer as determined by the
market. Final products are formulated first to meet the nutritional
requirements for the animals' specific physiological stage of life. Economic
considerations then come into play and are guided by least cost formula-
tion techniques. Storage and shelf-life qualities become the next concern
and are achieved partially through formulation, but they are also con-
trolled by processing and packaging techniques. Size, shape, color and
other physical attributes are also important considerations. Certain physi-
cal characteristics built into a product often become the standard by
which the consumer identifies a particular manufacturer's product.
5.5.1 Quality control

The quality of aquatic and pet foods is important and control of that
quality is a must. To be acceptable and to meet the standards expected by
consumers, manufacturers must ensure that their products are nutritious
and palatable.
The importance of selecting high quality raw materials cannot be over-
stated and sampling and monitoring of that quality is of equal impor-
tance. When quality ingredients are formulated into a nutritious balanced
diet, their quality must be preserved with proper processing. The objec-
tives of the processing methods employed are to render the starch compo-
nents soluble, to avoid overprocessing or damage to protein and vitamins
and to satisfy the physical requirements of size, shape and bulk density of
the final product.
5.5.1.1. Analytical assessments Proximate analysis and other analytical

tests are performed on the final products to confirm their nutritional
values.
There are many methods ulled to determine if the starchy portions of an
aquatic or pet food are properly cooked or gelatinized. The experience of
processors (equipment operators) is a valuable tool to ensure the quality
of these foods. In a plant situation, visual inspection of a product during

processing can permit a rapid response by adjusting the processing vari-
ables to maintain quality standards. Returning to a set of processing con-
ditions known to yield a desirable end product is possible only if accurate
and complete records are maintained.
It is difficult, however, to assess visually all aspects of product quality,
and for this reason several test methods have been developed to assist in
quality control.
A water absorption test is often used to determine quickly the rate
and amount of water absorbed by dry-type foods and is applied to the
final product after post-extrusion drying and cooling. One variation of
this procedure consists of completely submerging lOO g of dry product in
an excess of water at 25°C for lO minutes without stirring. The sample is
then removed from the water and allowed to drain for 5 minutes and
then reweighed. The net weight is expressed as a ratio of the initial lOO g
of dry weight. Dry dog and cat foods having smooth surfaces will
average 150-175% water absorption values. Kibbled products possessing
rough or open textured surfaces often yield values of lOO-300%. This
procedure has obvious limitations in that products varying in size and
shape cannot be compared with one another as their physical dimensions
influence the rate of water absorption.
A second method used to monitor cooked starch in products is to
examine samples with a microscope equipped with a polarized light
source. lO% solutions (by weight) of a ground food sample in water are
viewed under lOO x to 450 x magnification. Raw starch granules will
exhibit birefringence and will appear as a light sphere containing a
'Maltese cross'. This method is difficult to apply in that representative
samples for examination are difficult to obtain, and it is a laborious and
tedious procedure to count accurately or estimate the amount of
uncooked starch granules.
Viscosity and solubility tests have been utilized occasionally but these
methods tend to be insensitive and have been best applied to pure
starch products. Enzyme susceptibility tests, which sometimes mimic
digestion in the intestinal tracts of animals, have been found to be
useful in many situations. Most of these tests require at least one hour
to complete and are, therefore, used to spot check or monitor produc-
tion lots rather than to serve as an on-line quality control tool. One
such assay that has been used extensively in the aquatic and pet food
industry to monitor the percentage of final products is described by
Mason and Rokey [11].
Starches can be overcooked to the point that they are dextrinized. This
may be important to palatability as dogs can detect subtle levels of dex-
trins that are below the visual stages of scorching [8]. The most common
cause of this phenomenon is the overdrying of foods at high temperatures
and long residence times resulting in Maillard browning reactions. Mail-

lard products need not be monitored if petfoods are carefully dried to
moisture levels safe for storage.
The crude protein levels of aquatic and pet foods are closely monitored
to ensure that final products meet labeling requirements. Monitoring
protein solubility may be useful in following the severity of processing
conditions. Although this is not commonly assessed, methods for deter-
mining the nitrogen solubility index (NSI) and protein dispersibility index
(PDI) are available. Overheating during processing can result in decreased
protein availability. Available protein or acid-soluble protein has been
described as the total protein minus the nitrogen retained in the acid
detergent fiber fraction. Monitoring this fraction need not be a concern if
normal processing conditions are employed and heat damaged products
are not suspected.
Most forms of processing involving aquatic and pet foods will result in
vitamin losses. As with proteins, destruction of vitamins depends on the
processing conditions of extrusion and drying including temperatures and
processing times.
De Muelaere and Buzzard [4] found that extended preconditioning
times (2-8 minutes) at elevated temperatures (above 240°F or 116°C)
resulted in significant losses in lysine (13%), vitamin C (33.4%) and
vitamin A (52.5%). When employing extrusion processing systems where
the total retention time was shorter (20-40 s), only minor losses were
reported for lysine (3%). Where longer processing times are employed in
the manufacture of petfoods, the levels of lysine and vitamins should be
closely monitored.
The fat soluble vitamins A, D and E are generally thought to be more
stable with only minor losses occurring during processing and storage
conditions normally employed for pet and aquatic foods. However, B
vitamins and ascorbic acid (vitamin C) losses have been reported to be
more substantial.
Storage of finished product accounts for sizeable losses of vitamin C in
extr~ded products. Approximately 50% of the vitamin C in a balanced
fish food will be lost in 2.8 months of storage during warm summer
weather [12].
Latest studies indicate that heat in the presence of oxygen is the primary
cause of vitamin C loss. Because of its extreme heat sensitivity, vitamin C
is most typically not overformulated prior to extrusion. Vitamin C, which
can be emulsified with fat and oil, is sometimes mixed with an animal fat
and added to the extruded product after post-extrusion drying.
While ascorbic acid is water soluble, it has been found that this external
application of vitamin C has an acceptable retention level when the
coated product is fed to fish. Approximately 50% of the vitamin C exter-
nally applied with a fat coating to an extrusion cooked fish food is
retained after 10 minutes exposure to 28°C water [13]. This is a reasonable

retention percentage and time for those fish feeds, that are consumed
within 5 minutes of the food being placed in water.
Aquatic feeds present a unique problem found in no other sector of the
feed industry. While it is true that many petfoods, and human foods for
that matter, are rehydrated in a specified volume of water before con-
sumption, only aquatic feeds are placed in a limitless supply of water for
consumption. Unlimited water exposure has a degrading effect on natu-
rally occurring as well as reconstituted feedstuffs. The primary degrading
effects are product disintegration and leaching out of water soluble nutri-
ents. Therefore it is important to produce aquatic feeds which are discrete
stable particles as opposed to the mash feeds usually employed in terres-
trial animal feeds.
The high temperature/short time extrusion cooking process has a posi-
tive effect on feed durability. The starch fraction of the formula is gelati-
nized. This gelatinized starch has a high binding characteristic and thus
aids prevention of feed particle disintegration. The water soluble protein
fraction of the feed formula has good binding properties. During extru-
sion and after binding has occurred, these proteins are denatured and
become largely insoluble in water [14]. Proper selection of ingredients, fine
grind and proper extruder control can produce satisfactory products for
slow feeding crustaceans. Good binding agents for use in fish food for-
mulas which are to be extrusion cooked include wheat gluten, which is
also a good source of protein, and organic binders such as hemicellulose
or lignin sulfonate products.
Toxins and pesticide residues are often present in feed ingredients.
Extrusion has been shown to be effective in eliminating positive salmo-
nella readings in expanded feeds [15]. Trindle [16] described the influence
of extrusion temperatures on reduction of pesticide concentrations.
5.5.1.2 Physical assessments. Controlling product appearance is depen-

dent on two variables: processing conditions and formulations. Measuring
the bulk density of foods at various points along the process flow is a
good, quick, reliable quality control method. Bulk density determines 'bag
fill' and reflects how well the product is cooked or expanded.
The procedure for measuring bulk density requires weighing the amount
of product required to fill a container of specific volume and expressing the
measurement in grams per liter or kilograms per cubic meter.
Typical dry expanded aquatic and pet foods weigh 288-400 g 1-1.
Soft dry products fall in the range of 400-513 g 1-1, while semi-moist
products may be heavier in bulk densities depending on the shape and
packaging techniques. If it is desirable to lower the bulk density of extru-
sion cooked petfoods, the following processing variables may be altered as
described:
• Moisture content: generally, lowering the water content injected into

the product without decreasing the steam level added to the product
will assist expansion. However, when extruding formulations contain
high protein (above 23%) or high fat (above 5%), it is necessary to
increase total moisture by adding both steam and water.
• Dry feed throughput: increasing the dry feed throughput will increase
pressures within the extrusion barrel and result in greater expansion.
• Temperature: indicated temperature profiles of the product along the
extruder barrel should be increased if the product is undercooked.
• Preconditioning: increasing the residence time in the preconditioner
and the amount of steam added to the product at this point will
assist in cook and expansion.
• Steam injection in the extruder barrel: injecting more steam directly
into the product along the extruder barrel will tend to lower the bulk
density.
The size of the final product can also be expressed as an expansion

ratio:
expansion ratio = diameter of product/diameter of die opening
This ratio does not take into consideration axial expansion. Sinking
aquatic feeds can be expected to 'swell' 10-15% over the die opening size.
Wheat gluten in the formulation from any source will enhance this swel-
ling.
Floating aquatic feeds and expanded petfoods will expand at least 50%
more than the die opening size. The degree of expansion is positively
affected by the level of starch and soluble protein and will be negatively
affected by the level of fat in the formulation.
Monitoring the moisture content of the final product is extremely
important to ensure stability during storage. A 12% moisture content (wet
basis) is the maximum for dry expanded foods. Moisture contents much
lower than this represent unnecessary drying costs and extreme losses due
to shrinkage. The gravimetric method is most commonly employed for
determining moisture contents. The weight change between the initial
sample and the sample after drying is determined and the moisture
content calculated. There are a wide variety of instruments and techniques
available for measuring moisture contents.
For semi-moist and soft expanded foods containing volatiles, such as the
polyols, the gravimetric method does not work well. Problems resulting
from the evaporation of the polyols along with water lead to erroneous
moisture content determinations. Most manufacturers determine moisture
contents in soft dry and semi-moist products using the Karl Fisher techni-
que, which avoids the problem of volatile humectants. Automation in the
field of moisture monitoring has progressed rapidly with the implementa-
tion of continuous on-line 'moisture meters'. These instruments are placed

at strategic locations along the process flow to monitor moisture content.
Dryer temperatures, air flow or retention times may be slaved to on-line
instruments measuring moisture in the final product. Other techniques
involve measuring relative humidity in the dryer exhaust air and using that
variable to assist in control of the final product moisture.
For semi-moist and soft expanded foods measurement of water activity
is, in many cases, a more important factor than moisture content in deter-
mining the stability of the final product. The active part of moisture
content or free water is usually relative humidity generated in eqUilibrium
with the sample in a closed system at a constant temperature. Water
activity (Aw) indicates the amount of water in a total water content that is
available to microorganisms. Each species of microorganism has its own
Aw value below which growth is no longer possible. Measurement of Aw
involves placing a sample of food in a glass jar with a humidity sensor
mounted on the jar. The sample is allowed to reach equilibrium, and the
water vapor pressure or relative humidity generated by the water present
in the aquatic or pet food is measured.
% equilibrium relative humidity = A
100 w
Feeding trials to determine palatability and digestibility can be utilized

to characterize product quality. These tests are time-consuming and
expensive, but are the most reliable barometers of product quality.
5.5.2 Troubleshooting techniques

When it is desirable to extrude a product which has a smooth surface,
there are several adjustments that can be made to the processing condi-
tions and die configuration. To yield an aquatic or pet food with a rough
surface, the converse of these manipulations is true.
• Moisture contents too low during processing will cause the product
to texturize on the outer surface as it passes through the die orifice.
The lower moisture content reduces lubricity and retards the flow of
material. The product in the center of the die orifices will tend to
flow faster.
• Moisture contents can be excessively high (> 35%) resulting in a wet
dough that is not completely gelatinized and is too moist to hold a
firm shape.
• Reducing the temperature in the last section of the extruder barrel
may be necessary to reduce friction or sticking on the surface of the
die orifice.
• If the inside surface of the die orifice is rough or is excessively long, a
rough outer surface on the product can result. That is not to be con-
fused with a product which has an open cell structure where water or
fat can readily penetrate the porous surface of the petfood. This
latter technique is accomplished by utilizing tapered die orifices to
minimize drag flow or 'skin' formation on the surface of the product.
Other adjustments in processing variables include adding more steam

and utilizing higher temperatures of extrusion to avoid the crumbly
appearance of undercooked centers in petfood chunks. Improper knife
blade adjustments or badly worn die surfaces may be responsible for
'tails' on the product. Tails or protrusions are exaggerated with kibbled or
other product shapes which have delicate points or extensions and are
often separated from the main product chunk during handling and
storage, resulting in an excessive amount of fines. Dust or fines in the
final product could also be the result of poorly cooked foods that are
fragile and have little cohesion or binding strength. Any fines generated
through the processing of aquatic or pet foods should be removed prior
to packaging by passing the final product over screening devices.
A phenomenon known as 'wedging' often appears in expanded aquatic
and pet food products that are extruded at temperatures that are too high
just prior to reaching the die or where the throughput or feed rate of the
dry ingredients exceeds, or is considerably less than, the open area or
capacity of the die openings.
Corrective measures can also be made to improve product appearance
by adjusting formulations prior to extrusion cooking without compromis-
ing nutritional considerations. Higher fat contents or the addition of
mono glycerides have reduced the generation of fines with all other vari-
ables being constant. If a formulation contains high protein and fat levels,
extrusion moistures and temperatures should be elevated to compensate
for those changes. Experience has shown that a useful guideline is to add
0.6% water in the preconditioning mode and 0.4% steam injection into
the product along the extruder barrel for every 1.0% increase in protein
above 23%.
5.6 Evaluation of operational costs
The extrusion cooker offers affordable and efficient continuous cooking

opportunities for many products. An economic prediction must be made
on each product to determine the potential for profit. The input of raw
material cost, energy cost and capital equipment cost as related to the
extrusion module should be considered.
Economic analysis of the entire plant and all equipment specifications
for the production of aquatic and pet foods is a detailed and complicated
subject which must be completed with a manufacturer's specific needs in
mind. This complete analysis must also be compiled by those who are
familiar with local requirements.
Raw material costs have by far the greatest impact on total operational
expenses. It should be remembered that ingredients coming into the pro-
duction plant usually are between 10-13 % mositure (mcwb) and that the
feed being sold in the form of dry expanded aquatic or pet food, has
between 8 and 10% moisture. There is an immediate shrinkage by weight
and a corresponding economic loss. Waste, dust and fines from start-ups,
shutdowns and continuous operation also contribute to product shrink-
age. As a rule of thumb, 5-7% product shrinkage in a dry aquatic or pet
food plant is considered to be excellent. For these reasons, it is essential
to select equipment for each unit operation that will minimize waste.
The cost of energy for processing is critical to the economic perfor-
mance of any extrusion plant. A typical plant will consume energy from
both electricity and natural gas or oil. While electricity is used to power
all motors, the natural gas or oil is used for heating water and to generate
steam for extrusion and drying. Energy cost is important because it will
influence profit, however, a 1 or 2% change in formulation cost will have
a 16 to 32 times greater effect on profit than will a 1 or 2% change in
utility cost. In real dollars a 2% reduction in extruder and dryer utility
costs results in an annual saving of near US $4700 while a 1% reduction
in material cost can result in a near US $70000 annual savings. These
savings are based on 5760 hours of operation per year and an average net
production capacity of 7 tonne h -1 [17].
The labor costs for an extruder/dryer manufacturing cell are also
minimal. One operator can manage two complete lines from extruder inlet
to dryer discharge or one operator can effectively manage four extruders
per cell if a second operator is in charge of the dryers. Labor costs will
generally always be less than expenditure for utilities.
5.7 Conclusion
Extrusion cooking for the production of many products has come of age
within the past three decades and provides a very useful and economical
tool for processing diets for aquatic and pet life. This process permits
better utilization of available cereal grains and vegetable and animal pro-
teins to permit cost-effective and mitritionally sound diets with improved
and unique feeding characteristics.
Palatable, functional and tailor-made feedstuffs can be profitably manu-
factured by process management of raw material formulation, system
configuration and processing conditions.
The extrusion cooker can be used to develop profitable and nutritional
products using ingredients which were previously under-utilized or poorly
accepted, thus increasing the usable portion of the world supply of grain
resources to feed an ever growing world population.
References
1. Teeter, W.A. (1979) Carbohydrates for dogs, Pet Foods Industry, 21, 3, 25.
2. Anonymous (1991) Stay-C, Stabilized Vitamin C, Roche Technical Update, Roche
Animal Nutrition, Hoffman-La Roche, Nutley, New Jersey.
3. Hauck, B.W. (1988) The Application of Co-rotating Fully Intermeshing Twin Screw Extru-
ders with Conical Final Screw Elements in the Food Processing Industry, Second Interna-
tional Symposium on Twin Screw Extruders for the Food Industry, Tokyo, Japan.
4. DeMeulaere, H.J.H. and Buzzard, J.L., (1969) Cooker Extruder in Service of World
Feeding, Food Technology.
5. Huber, G.R. (1990) Preconditioning and Related Extrusion Processing Issues, Presented at
American Association of Cereal Chemists Extrusion Short Course, February 19-21.
6. Kazemzadeh, M. (1991) Engineering fish foods, Extrusion Communique, January-March,
pp. 12-13.
7. Rokey, G.J. (1989) Extrusion of High Energy Feedstuffs, Presented at American Oil
Chemists Society Meeting, Cincinnati, Ohio, May 5.
8. Whistler, R. (1983) Personal communication.
9. Donovan, J.W. (1979) Phase transitions of the starch-water system, Biopolymers, 18,
263-275.
10. Hauck, B.W. (1990) Processing Changes for the 1990's: What Should We Prepare For?
Presented at 33rd Annual Pet Food Institute Convention, Kansas City, Missouri, Sep-
tember 12-13.
11. Mason, M. and Rokey, G.J. (1982) A New Methodfor the Determination of Degree of
Cook, Presented at American Association of Cereal Chemists, San Antonio, Texas,
October.
12. Lovell, R.T. (1982) Use of Soybean Products in Diets for Aquaculture Species, Depart-
ment of Fisheries and Allied Aquaculture, Auburn University, Auburn, Alabama, USA.
13. Andrews, J.W. and Davis, J.M. (1979) Surface coating of fish foods with animal fat and
ascorbic acid, Feedstuffs, 51, 3, 33.
14. Hauck, B.W. and Nielsen, E. (1983) The Production of Aquatic Feeds by Extrusion
Cooking, unpublished.
15. Ralston Purina Publication (1965) Nutrition News Bulletin, Feedstuffs.
16. Trindle, R.C. (1971) Experimental Fish Food Process, Residue Results, U.S. government
memorandum.
17. Hauck, B.W. (1991) An Overview of Food Extrusion Costs, Presented at Extrusion Short
Course, University of Nebraska-Lincoln, Lincoln, Nebraska, November 6-11.
18. Hauck, B.W. and Huber, G.R. (1989) Single screw versus twin screw extrusion, Cereal
FO(Jds World, 3, (11), 930-939.
19. Wenger Manufacturing (1980) 714 Main Street, Box 130, Sabetha, Kansas 66534, USA.
6 Confectionery extrusion
E.T. BEST
6.1 Introduction
The use of cooker extruders in confectionery production is a fairly new

area. It is also one of significant growth in recent years. This is not sur-
prising because of the unique unit operations possible in cooker extrusion.
Many confectionery process lines occupy long distances in terms of
floor space needs, and are of lengthy duration. The more traditional pro-
cesses achieve their transformational effects under near atmospheric con-
ditions, at temperatures close to boiling points and with moderate shear
control. This leads to restrictive practices because the same versatility or
independent manipulation cannot be exercised over the control para-
meters. Traditional confectionery processes have often been based on the
automation of hand work operations.
ManipUlation of the physicochemical characteristics of the ingredients
inside the cooker extruder to achieve final (or at least significantly pro-
cessed) product in one step is a dramatic step forward often resulting in at
least a IO-fold reduction in the number of unit operations. 20-fold reduc-
tions in floor space and lO-fold reductions in staffing are common.
Cooker extrusion allows many previously considered essentially batch
operations to be conducted in the continuous mode. Other benefits
include greatly enhanced hygiene, lower energy needs, enhanced control
over nutrition, changes of state, physical properties, composition and
other material changes. Cooker extrusion also enables the production of
hitherto practically impossible confections.
Changes to the basic principles which have controlled confectionery
give fundamental development opportunities. The often uncontrollable
secondary reactions such as sugar inversion, Maillard reactions, protein
breakdowns in whipping and gelling, sugar crystallisations, fat poly-
morphisms, enzymatic changes and starch gelatinisations become con-
trollable characteristics.
This chapter does not seek to provide only a resume of current con-
fectionery applications. It also aims to explain key benefits and how to
optimise functionality, how to solve or overcome problems and to provide
a range of new ideas for both products and processes in the confectionery
field that are made practical by cooker extrusion technology.
To satisfy this objective, the applications covered are those performable
on the equipment called a cooker extruder although in some instances the
CONFECTIONERY EXTRUSION 191
machine will not be 'extruder cooking' in the traditional sense as descri-

bed by Smith [1].
6.2 Processing
The object of the next few sections is to outline the different operations
likely to be encountered in confectionery extrusion. Specific applications
will be discussed in more detail under the appropriate confectionery sub-
groups.
6.2.1 Pre-extrusion processes

Because most confectionery manufacturers produce a wide range of items,
there needs to be a degree of modular design in the pre-extrusion system
ready to permit recipe variations. A wide variety of products often needs
to be made on a manufacturing line with minimal capital expenditure.
6.2.1.1 Dry feeds. Many semi-dry materials such as nuts and fruit will
need moisture adjustment prior to weighing to avoid differential moisture
gradients which can affect the position in a cooker extruder screw profile
where a reaction occurs. Micronising of cocoa beans prior to extrusion
helps shell removal (by steam generation from the cotyledon) but, as it
mainly gives surface heat, it reduces the microbiological count without
causing excess fat migration into the shell.
Powder feed hoppers fitted with air cannons prevent bridging/funnelling
which is a major confectionery ingredient problem. These induce shock
waves by half second bursts of compressed air directly into the product.
The cycle is activated by a level sensor, a switch or a timer. It is noiseless
and avoids the compacting effects that vibrators can have on milk
powders and so on therefore avoiding the need for subsequent sifters.
Ingredient conveyers for powders such as sugars need to be totally
enclosed and earthed; not only to prevent static build-up and dust explo-
sion, (but because dust can cause graining in the supersaturated sugar
environment of many confectionery applications. Typical conveying
systems include:
• high speed plastic discs on a stainless steel rope running in steel tubes
• stainless steel spiral screws enclosed in a polyamide tube
• vacuum systems in which pneumatic conveyers suck up the product
from a low level bin and deposit it into the feed hopper on a timer
cycle
Blending can often be avoided by multifeeding the extruder using loss-
in-weight feeders. Additional shielding on the signal transmission cabling
of loss-in-weight feeders may be needed to avoid electrical interference

from other cooker extruder operations.
Feed rate fluctuations are a major problem with the sensitive condition
control needed for confectionery processing. They can be reduced by
feeding loss-in-weight feeders with a second bank of loss-in-weight
feeders. Mobile filter-box dust extractors with extraction arms positioned
over dry feeders can be usefully focused in their action.
Metal detection prior to feeding the extruder is essential if damage is to
be averted and Teflon-coated feed ports are recommended to reduce the
dangers of clogging.
6.2.1.2 Paste feeds/preconditioning. Starches are widely used in many

confections such as liquorice, gums, jellies, pastes and even as cold flow
inhibitors in some toffees. Starches are also widely distributed in many of
the natural confectionery materials such as cocoa.
When starch confections are prepared, preconditioners can provide up
to 80% of the thermal input to make significant reductions in the extruder
frictional input demand. Preconditioners not only extend the extruder
capacity [2] and reduce its wear but, by enhancing the viscosity of the feed
stock, they reduce back leaking from the barrel when using steam injec-
tion, e.g. with gums and jellies. They also allow a finer control over the
temperature and moisture content in the extruder barrel than when
relying on high temperature instant cooking. Preconditioning can be over-
done and cause degraded starch.
In starch-sugar systems most of the sugar should by-pass the pre-
conditioning to avoid excess competition for the water which would cause
raising of the gelatinisation temperature. Nevertheless, around 5% dex-
trose in the starch aids in opening up the granule and letting in the water
to help swelling.
Mixing, hydration, cooking, pH modification, addition of gases or
liquids (flavours, fats, colours) can all occur in the preconditioner. Pro-
teins for laminated extruded confections can have undesirable expansion
characteristics inhibited by preconditioning and many confections need a
continuous phase of interconnected protein around the starch. Desirable
flavour development, removal of bitter aftertastes (e.g. with oats in an
atmospheric unit) and textural benefits can ensue.
Time in the preconditioner can be reduced if it is pressurised although
pressurised preconditioners are more complex and may exert a negative
effect on nutritional quality. Premoistening is easier in an atmospheric
preconditioner and can be as important as steaming. For example, steam
injection to raise the moisture to 5% only results in 15% starch cook
whereas premoistening to 30% for 150 s gives 47% starch cook. Moisten-
ing does need an intense mixing action to open up the starch without
degrading, for a flowable paste without clumping. Preconditioner designs
which have a large diameter conveying side and a small diameter agitating
side with reversing stators and adjustable rotor angles give high flexibility
in application.
6.2.1.3 Wet feeds. Weighing rather than metering is preferred to avoid

variations caused by viscosity, temperature and specific gravity. If volu-
metric feeding is desired (e.g. with glucose syrup) then temperature con-
trolled header tanks are essential. With volumetric feeds into pressurised
systems, pulsing can be reduced by using at least two reciprocating posi-
tive displacement pumps with staggered strokes. Having different capa-
cities on such a pump system assists in the fine tuning of the total
throughput. Progressing cavity pumps can also be usefully employed.
Calibration of such systems must be done taking due consideration of
back pressures caused, e.g. with a narrow orifice on the injection nozzle.
Care must be taken to avoid excess high pressure on pumps used on co-
extrusion fillings to prevent the destruction of aeration. In-line grinders
help to stop lumps, which may cause obstructions within the extruder die
or pump arrangement. The feeding of emulsions such as blends of fla-
vours and aqueous acid solutions requires agitated feed tanks to eliminate
layering.
6.2.2 Cooker extruder profiling

No' single cooker extruder type is compatible with all confectionery pro-
cesses and raw materials. Single- and twin-screw machines produce
entirely different results even when using the same screw profile and
recipe. Even apparently similar design machines, from different suppliers,
give products of different taste sensation. Nevertheless, the profiling con-
cepts can be valuably employed in computer aided innovative con-
fectionery development using e.g. multiple regression techniques.
Care must be taken when establishing the profile that steady state is
reached. Watch out for start up/shut down effects and the movements of
zone~ of product change to different positions in the barrel. Data trans-
mission systems and clam-shell barrels for product inspection, sampling
and packing fraction calculation after dead stops are helpful. A knowl-
edge of the flow and thermal properties of confections at their in-extruder
conditions is essential.
The cooker extruder offers almost unlimited processing arrangements to
gelatinise, texturise, heat, cool, caramelise, melt, crystallise, knead, dis-
perse, blend, evaporate, reduce size and shape. This flexibility can be a
nightmare to a traditional confectioner unless the basic concepts are
appreciated. On the other hand, once the ability is gained to choose the
correct individual screw elements to provide conveying, degree of scroll
fill, shear and pressure at the right places and times in the extrudate's life
as it passes down the barrel, the ability to control the conditions at any
point is a major advantage.
6.2.2.1 Thermal. In confectionery, it is often advantageous to profile

the temperature down the barrel by having a large number of indepen-
dently heated or cooled zones in the barrel jacketing. The choices of
steam, water, oil or electric induction are available. The screw elements
themselves may also be heated. The screw speed is critical in controlling
the degree of fill and hence) the closeness of the confection to the heat
exchange jacket wall. The thickness of the screw flight and screw root also
affects the proportion of product adjacent to the jacket.
Self cleaning of the screws to prevent material hang-up aids in giving
narrow residence time distributions during heat exchange areas. One way
of achieving this is to have the root of one screw continually wiped by the
intermeshing crest of another as in the co-rotating system. This prevents
over- and undercooking, product degradation, die plugging and flow
surging. In counter-rotating systems most of the movement of product
from the heat exchange surface is by the rolling effect between the screw
crest and its root. Rings with angled piercings can be incorporated into
the profile to improve thermal stability by giving lateral mixing.
In profiling starch-containing extrudates, care must be taken to note the
4-6 fold increases in thermal conductivity when the starch gels [3]. Both
high amylopectin and high amylose systems exhibit this effect to a similar
degree. Conductivity can be increased by increasing temperature and
reducing dry solids.
If rapid heat transfer is needed at a particular stage in the down barrel
progression it is possible to use barrel sections with fins extending into the
heat exchange fluid cavity.
6.2.2.2 Pressure. One of the problems with some confectionery applica-

tions is low throughput. Backfeeding problems at higher throughputs can
be reduced by reducing the compression in the inlet zone.
Pressure build-up or reduction can be controlled by altering screw
pitch, pitch direction, length, number of leads into the screw, angle of off-
set, screw fill factor and so on. Definite pumping actions are required to
achieve controlled transport through variable pressure regions and long
screws with deep channels give better conveying, although less longi-
tudinal mixing, because a lower percentage of material drags on the wall.
If operating with many peaks and valleys in the barrel fill factor, one
should ask whether the profile should be modified to achieve more barrel
filling and a shorter barrel length should be employed. Obviously there is
a feed limit when operating with a mainly full extruder and screw speeds
have to be increased to enable the higher throughputs to be physically
carried.
Degassing is' aided by natural decompression and care must be taken to

run starved under vents. Special wide zones can be built into the modular
construction of the barrels to ease degassing.
Pulsations in flow of extrudate can be reduced by adopting conical end
barrel sections to give rapid pre-die pressure development [4]. A I Y2 diam-
eter (D) conical end can replace 6 D in a cylindrical end. The die end is
often the highest pressure zone and the outlet cross-sectional area and
land length of the die is critical in controlling pressure.
Higher back pressures caused by increased packing fraction in the non-
pumped regions are sensitive to product viscosity. Higher viscosities cause
greater back flow and the reduction in plug flow causes greater residence
time deviations.
Counter-rotating systems can generate high pressure but this tends to
force the scrolls apart causing wear. They tend to be used at lower speeds
where their conveying capacity is greater than the open flight path
arrangement in a co-rotating system.
6.2.2.3 Mechanical energy and shear. For high mechanical energy input
with high viscosity confections, a number of 'work stations' are needed
rather than one big one. This is to achieve sufficient pumping capacity
before the confectionery material can overcome the back pressures gener-
ated by reversing elements. For many confections, where several processes
are taking place in the barrel, this means that long barrels (up to 40 dia-
meters) are normal. Excess plasticising at the head Gust before the die),
caused by leaving most shear to the head, gives unstable processing and
pulsing which with, for example, gelled products gives regions of poor
gelation.
Work stations based on paddles, orifice rings or orifice cylinders (fluted
or plain) are most effective if positioned in the barrel where the viscosity
is highest. Fluted orifice rings not only give good shear but because of the
lower residence time in passing the element there is less chance of local-
ised overheating as can be experienced with milk burning in toffee. Mail-
lefer(screws not only act as good dispersers but, because the material has
physically to pass over the flights, the high shear and tensile flow stabilises
melting effects. Shear and packing fraction may be modified without
changing profile by using barrel valves.
Often a profile needs more cooling at the die end when less heating is
applied in the shear sections. This is because the higher viscosity material
absorbs more mechanical energy.
Twin-screw systems enable changes in screw speed without changes in
throughput (controlled by feed rate) to affect the specific mechanical
energy introduced into the product.
Work done at Leatherhead [5] indicates that with high sugar products
mechanical energy and pressure need to be augmented by long residence
times. The specific power and torque decreases with increasing sugar
content. Decrystallisation of sugars should be not be done in starved sec-
tions of the profile because most sucrose shearing occurs on the screw side
[6]. With high degrees of fill the increased shear, density, temperature and
pressure cause amorphosising by viscous energy dissipation which is fin-
ished at the head where tl1e maximum compaction occurs.
To reduce shear damage, a multiple extruder operation can be utilised
which carries out the forming in a single-screw unit. Here the specific
mechanical energy input may be lowered by attention to the design of the
screw flighting and barrel ribbing. Flight path, pitch profile and equiva-
lent helix angle can optimise the conversion of mechanical energy to fric-
tional heat yet minimise shear damage.
6.2.3 Addition and subtraction of materials

The order of addition can be very important; it is for example with jellies,
possible to add glucose after the gelation to create a product consisting of
jelly blobs floating in a sea of glucose, rather than a continuous gelled
network.
Most confectionery rework materials can be simply fed back at low
rates into the feed port. Naturally the extruder reacts best to consistent
feed parameters to achieve faster start-up times which gives less rework
from the settling down time.
Liquid ingredients can be added to the premix in single-screw extruders.
Uniform blending of flavours with the coarser sugars is difficult unless a
preblend is first prepared and then subsequently added to the premix.
Water soluble materials can be added via water injection systems.
With twin-screw extruders liquid flavours may be added via small
dosing pumps into the last zones. Counter-rotation gives little axial
mixing, therefore greater homogeneity of feedstock is needed. With little
exchange between the scrolls of counter-rotation systems (such as used in
high boiled sweets), additives such as colours need to be accurately dosed
to both scrolls. The larger residence time distribution in co-rotating
systems, damps out concentration fluctuations by enhancing longitudinal
mixing, except where plug flow situations exist [7].
Where size reduction of agglomerates is needed (e.g. in the emulsifica-
tion of toffee), the position of ad4ition needs to take account of the
degree of subsequent dispersive mixing required. In a single-screw
machine there is little elongational flow except in the gap between the
screw flight and the barrel wall. A co-rotating system is better at homo-
genising phases by distributive mixing. With chocolate the particle size
and specific surface area is of key importance, hence factors such as post-
addition shear are of greater relevance than viscosity. Where the orienta-
tion of aggregates is important, counter-rotational systems will give less
reorientation although the longer elongational flows will aid conglomerate

breakdown.
Viscous materials such as glucose syrup require separate dosage pumps
and may be metered into the feed port or downstream. Constant tempera-
ture is a key as the viscosity can double with only a lOOC drop in tem-
perature [8].
Dry ingredients added downstream should be fed into starved regions
in the profile. It should be fully appreciated that the addition or subtrac-
tion of even small quantities can have dramatic effects on the viscosity of
the material passing down the barrel. This in tum affects the pumpability,
the degree of fill and the temperature rise by changing the shear energy
input.
Warm water jackets around the feed ports prevent condensation prob-
lems when depositing powders into processes with subsequent chilling,
e.g. in frozen confections.
Post-addition mixing can be aided by the use of pins on the screw
flights, perforated flights or 'hedgehog' sections.
Cooling around the feed entry when steam injecting can avoid steam
striking back (it condenses before hitting the feed port).
Very short pitch twin lead screws rapidly fill to act as vapour locks
before injection points for compressed air, steam and so on.
Atmospheric vents can boil over unless product is running starved
below them. Vacuum vents require filled sections fore and aft. Stuffing
screws on vacuum extract systems prevent product from escaping the
extruder barrel and reduce partial vent blockages as can sometimes occur
after poor start ups.
Flow restrainers such as vapour locks, reverse pitch screws, paddles,
orifice plates, barrel valves [9] or decompression screw sections are essen-
tial prior to venting. Vented extruders are relatively easy to overfeed and
in the development of applications for such systems it is essential to rely
on expert specialists.
6.2.4 Shaping and forming at the die

For forming purposes, hollow screw elements giving maximum cooling are
beneficial. Shaping at the die saves the need for much extra equipment
and is particularly useful for gum and jelly strings, sticks and tubes [10].
Several shapes can be produced on one head, e.g. fish, snowman, star,
hoop and so on. Shiny die surfaces give shiny products although 'Teflon'
die liners can give heat flow problems. Both spring-loaded and non-face
contact cutters can be employed. The action of the cutter can be specifi-
cally employed to cause certain shape forms.
High die shear rates cause stickiness and hygroscopicity in starch con-
taining confections which can be a major problem in materials for com-
pounded confectionery countlines. Reduction in the die land length and

an increase in the number of die holes can help.
High head pressures can be used to increase die cooking to 'glue' par-
ticulates together in the melt stages. This converts powders and granules
to conglomerates.
The die gap(s) and number of openings should be chosen not so much
with respect to the dimensions of the final piece but with due considera-
tion to the needs of the pressure build-up region pre-die. This can cause
problems on scale-up as the throughput rises exponentially with the cube
of the screw diameter. The number of die holes possible on a plate is
limited. Final piece size can be modulated by post-die formers including
secondary dies.
6.2.5 Post-extrusion processes

Driers, post-extruder, use little energy and will normally be small com-
pared to conventional processing. This is because feedstocks can be used
with minimal wetting and extrudates produced with minimal water
content. Combined rolling, embossing and cutting machines are often fol-
lowed by IR (or micronising) tunnels to dry out and achieve good snap.
A post-drying toasting can give added colour.
Coating is a widely used method of adding flavouring to extruded con-
fections. Spraying, dipping or enrobing is normally employed. Typical
coatings include oil suspensions, fat coatings, chocolate couvertures,
starch solutions, gum arabic applications and fat-sugar blends. Because
there is less flavour stress in a post-extrusion application the more delicate
confectionery nuances of banana, chocolate and nut can be achieved.
Often in coating it is beneficial to achieve 'hot spots' rather than an
overall flavour effect.
For direct expanded articles a typical coater drier might have air
louvres to spray in the coating, convey the product and dry in one oper-
ation. Sieving operations at the end of such a coater are necessary to
eliminate doubles and so on.
With co-extrusion systems, rapid cooling is essential to prevent the
liquid fat soaking into the jacket material. The position of cutters on such
lines is critical. The filling has to be set but the jacket must not be too
brittle. One technique to overcome the 'woolly blanket' insulation effect of
the jacket is to overcool and then reheat the jacket before cutting.
Tubes may also be filled after cutting. Tube ends may be chocolate
dipped, V-troughs variety filled and pipework decoration added and so
on.
Static mixers on fluid extrudates can be used to change colours without
stopping the line, although static mixers can cause textural changes in
some recipes. Distributive pipe systems of geometric design can stabilise
flow rates with screw valving for fine adjustments to a series of separate
forming lines. Such extrudates may pass pressure relief systems and be
extracted by rotary brushes, or they may be rope sized, rotary moulded,
roller profiled, deposited in silicone rubber moulds, air knifed, injection
moulded [11], top-formed, sheeted (e.g. fruit leather) or roller profiled.
Pelleted products can be discharged and stored in hoppers under
vacuum. Rubber obturators enable the extraction of such articles from the
hoppers without breaking the vacuum.
6.3 Flavours and other special ingredients for confectionery extrusion
The harsh environment inside the cooker extruder causes enormous stres-
ses on many ingredients but one of the most severe influences is on the
delicate flavours used in confections. It is the flavour sensation which is
especially important to acceptability. It is almost impossible to employ
flavourings from other fields of food processing.
An awareness of the effects of high volatility, water vapour distillation,
transient shearing stresses and the interactions of other ingredients in
modifying, binding or encapsulating roles must naturally be maintained.
Unfortunately, flavourings are themselves blends of many components,
each of which will behave differently to the specific processing parameters.
Overdosing with standard flavours is not the answer. High levels of fla-
vours in extruded confections can inhibit any desired expansion and
change the structure of the extrudate to give irregularities to both internal
and surface appearance. Flavours need to be reprofiled for cooker extru-
sion. Such flavours may seem unappetising if tested before they have gone
through the desired process and they need to achieve their correct balance
at just the correct stage of the cooker extrusion.
Flavours are also developed by confectionery materials themselves
during cooker extrusion and one frequently needs to resort to special
'rounding off' flavours to diminish disharmonies. Cereal components in
particular frequently need to be avoided, changed or the process modified
to avoid dulling effects. In a study conducted by Haarman and Reimer,
an orange flavour in a wheat/rye blend was bitter and had a flat after-
taste, yet in a corn grit base became fruity and peely.
The use of basic internal flavours together with an external flavour
coating can be employed. One example might be a vanilla flavoured centre
with a lemon flavoured sugar coating applied post-extrusion. This can
achieve a fresh fruity initial impact and a reasonably harmonious after-
taste.
Toric ring inclusion compounds (see Figure 6.1) can be prepared
subject to local legislation. In these around 10% flavour oil is entrapped
in ~-cyclodextrin throughout the cooker extrusion procedure.
l,5nm
internal
cavity
Figure 6.1 Dimensions of a rhodocap-N ~-cyclodextrin toric ring inclusion compound in

which peppermint oil might sit in the internal cavity (reproduced by kind permission of
Rhone-Poulenc).
Such compounds are not destroyed by heat or shear but the active
ingredient such as peppermint is liberated after opening the molecular
ring by salival enzymes, acidity or fat extraction. The flavour floods out
during mastication or can be released by traces of perspiration on the
fingers. Toric ring inclusion compounds also aid in storage, giving protec-
tion against UV degradation permitting the removal of antioxidants if
desired.
With systems containing significant levels of aqueous phase, the addi-
tion of some gum arabic is beneficial. The gum arabic migrates to the
surfaces of the emulsified flavour droplets and after flash-off forms a
microencapsulating film.
Other special confectionery cooker extrusion ingredient considerations
include the use of high maltose glucose syrup [12]. This material gives
lower viscosities at high temperatures than a standard glucose syrup of
the same dextrose equivalent and Brix yet at room temperatures the visc-
osity is similar. This viscosity effect also aids in better heat conductivity,
improved deaeration at extruder vacuum ports and easier blending-in of
flavours. High maltose glucoses by virtue of their lower absolute dextrose
content also give less browning and low hygroscopicity. By virtue of their
lower high molecular weight fractions they also give less tailing during
shaping operations.
Browning precursors in glucose syrups such as amino acids, hydroxy-
methylfurfuraldehyde and peptides which affect Maillard reactions can
also be avoided by using a glucose syrup decoloured by ion exchange
rather than by carbon technology. This is particularly important in high

temperature applications.
Jackson also refers to a range of glucoses and starches [13] specially
tailored for cooker extrusion confectionery. With cooker extrusion the
sugar is is not subjected to the same inversions as when it is dissolved in a
lot of water and then evaporated to achieve the final concentration. This
leads to less natural doctor to inhibit crystallisation and special needs for
the glucose in modulating viscosity for graining control especially in
boiled sweets and toffees.
For direct decrystallisation of sugars in cooker extrusion lower tem-
peratures may be utilised by using finer particle size material.
Vincent [14] suggested replacing gelatines by pectins in cooker extrusion
to avoid thermal degradation. Low methoxypectin can, for example, be
used in conjunction with a calcium chloride bath after the die to create
jelly strings.
For liquorice, in addition to molasses, a weak low gluten flour is used
for cooker extrusion compared with a strong flour for a batch process.
Special starches extrudable at relatively high temperatures have been
developed [15]. Non-gelling starches can be employed as structural build-
ers and confectionery stabilisers.
6.4 Liquorice
A major consideration for liquorice processing must be cooker extruder

throughput. For a similar capital expenditure, a higher throughput with a
traditional process may occur. By using pre-heaters for the feedstocks,
outputs can be significantly increased.
There may also be difficulties in achieving similar textural results in
recipes containing both starch and gelatine unless such recipes are appro-
priately modified. Use of counter-rotating extruders enables high heat
input with only light modification of native starches. This avoids the
excess stickiness associated with too much starch breakdown. With a suf-
ficiently long barrel, gelatine can be injected, post-starch reactions, in the
cooler stages of the process to avoid degradation. Lower starch levels can
be obtained by using a lower dextrose equivalent glucose. A tough
rubbery liquorice can be caused by an excess cooling in the head; this
fault is also characterised by a high gloss. To achieve a good gloss delib-
erately on countline liquorice, extrusion can take place at 24% moisture
and the product dried to 18% moisture.
Drying post-extrusion using air at 65°C can take up to 45 minutes.
Cooker extrusion to final solids is a key benefit. Rapaille [16] has descri-
bed the preparation of liquorice strings to final solids using modified star-
ches. The replacement of com starch and some wheat starch by modified
starches can give greater hardness and better resistance to deformation.

Extruded liquorice tends to have fairly constant tensile strengths unless
processed above 250°C when longer textures ensue. The texture can be
brought back by using a proportion of acid-thinned starch. Modified star-
ches can require higher cooking temperatures than wheat flour and as the
uncooked liquorice mass has a relatively low viscosity, most of the energy
will be provided by barrel heaters.
Process simplifications include having one unit for sugar melting,
browning reactions, die cutting at head and glazing during exit. A fair
quantity of reworks including those from other lines such as gums, jellies,
pastes and soft panned articles can be fed directly into the extruder feed
port in controlled ratios. Thorough mixing of the premix can occur in the
first stages of the extruder barrel if a co-rotating system is employed. This
avoids the dangers of flour lumps or pre-gelatinisation of starch when
warming up batch premixes.
Uniformity of the continuous processing route is a key benefit. In an
appropriately profiled cooker extruder the tight control of the starch gela-
tion is a significant advantage over batch processing. High proportions of
ungelatinised starch can cause flatulence. Similarly the set-back and
potential syneresis associated with excessive amylose leaching out must be
avoided when maximising gel development. Moisture control is also sig-
nificant; cooking to around 18% moisture gives good textures but above
20% moisture mould growth can be experienced.
Correct profiling of the conveying screw system enables less residence
time distribution in the cooker extruder than if relying on pumps to push
the product through. Back pressures can be readily achieved to get cook
temperatures of 140-160°C. At least 3% moisture can be flashed off in a
degassing section and this is preferable to allowing condensation and
folding the water into the mass. A cooling section of around 5-10 s pre
die is normally adequate. A system has been described [17] using a 33 dia-
meter counter-rotating machine fed in the first five diameters, cooked in
the next fifteen diameters up to 160°C, 200 psi, degassed with 12 inches
vacuum, cooled to 95 psi then raised to 400 psi, 100°C at the die. Cooling
is essential to avoid bubbling at the die and natural product pressure can
be relieved by increasing screw pitch length. Too high a screw speed can
give a floury product [18] and too Iowa throughput cause a hard product.
The aim should be to generate the maximum pressure peak at the end of
the cooling zone.
For difficult shapes requiring large pressures to form and shape, a mul-
tiple extrusion system can be prepared using pipe die links from the
cooker extruder to secondary 'spaghetti' forming extruders. These can be
linked to glazing baths in which the ropes pass through alginate prior to
drying and cutting. Spraying with zein and acetylated monoglyceride in
alcohol is also possible.
A key benefit of cooker extrusion is the variation possible in product

type, colour, flavour, structure and shape [19]. A number of unique
specialities such as the elastic liquorice laces and similar stretchy sugar
spaghetti analogues are prepared by cooker extrusion.
Case study - liquorice
Objective
Extrude liquorice strands at 10-12% moisture content, thereby eliminat-
ing the necessity for oven stoving.
Equipment
• Co-rotating twin-screw extruder; APV Baker 50 mm diameter screw;
25 L/ D ratio.
• Dry powder feeder - Ktron loss-in-weight twin screw.
• Double headed piston pump for liquid addition.
• Vacuum de aeration/water vapour unit.
Ingredients
• Wheat flour: soft wheat variety, protein 11.25% (Kjeldahl x 5.7),
water absorption 62-64% farinograph.
• Glucose syrup powder> 99.5 dextrose equivalent.
• Sucrose: caster sugar, particle size < 212 11m mesh.
• Invert sugar: equimolar ratio of fructose and dextrose.
• Treacle.
• Liquorice powder.
Results
Two ingredient formulations were investigated and are shown in Table 6.1.
• 3D feedscrew
• 1D twin leadscrew
• 5 x 45° forwarding paddles
• 1D twin leadscrew
• 3 x 30° reversing paddles
• 1D single leadscrew
• 2D feedscrew
Table 6.1 Two ingredient formulations for liquorice
Recipe
A B
Wheatfiour 30.8 43.0

Sucrose 25.8 44 .5
Invert sugar 22.2
Treacle 18.5
Glucose syrup powder 15.8
Liquorice powder 5.4
Dry Po wder
Forced Ve nl Molor
Diagram showing screw configuration I and the process set-up for liquorice production.
Feed port
• 0.5D single leadscrew
• Orifice disc
Feed port
• 7D feedscrew
• 2.5D feedscrew
• 1.0D twin leadscrew
• 1.0D twin leadscrew
• 10 x 90° paddles
• 1.5D single leadscrew
• orifice disc
Syrup feed:
• 1.OD feedscrew
• 1.OD twin leadscrew
• orifice disc
Vacuum vent:
• 4.0D feedscrew
• 4.0D feedscrew
Dry Powder
Forced Vent Motor
Product
Diagram showing screw configuration 2 and process set-up for liquorice production.
The first trial used Recipe A with screw configuration 1 and with no
vacuum applied to the extruder barrel. Despite running a variety of
speeds (150~450 rpm), barrel temperatures (100-l80°C) and throughputs
(40-100 kg h- 1) it was impossible to obtain anything more than a soft
viscous ungelatinised slurry from the die. The screw configuration was
changed to impart more shear on the product during its passage along the
barrel. The new configuration (2) comprised longer paddle sections and
more of them, thereby increasing the residence time in the mixing zones.
Furthermore, the syrup phase was injected further along the barrel to
permit the maximum chance for the wheat starch to absorb the free water
and gelatinise.
When this set-up was run, the extrudate exhibited a better gloss surface
finish and was firmer, indicating that the starch had gelatinised to a
greater degree. When viewed under polarised light however, the presence
of Maltese crosses showed insufficient gelling had occurred. The product
severely retrograded during storage.
Using the configuration (2), barrel temperatures were raised in the
cooking section to greater than l50°C. However, this resulted in hard
lumps forming within the extrudate. Increasing screw speeds removed the
lumps but unfortunately the gel strength reduced as the residence time in
the cooking zone reduced. It appeared that pre-cooking the starch phase
prior to sugar syrup addition created two immiscible phases.
Recipe B was run through the same process conditions. This had no
syrup component and consequently water could be fed at higher levels
while still keeping the overall moisture content low. It was calculated that
with an approximate vent loss of 5% moisture and feed stock moisture
content of 6% (dry basis), then 9% added water would give a final
product/extrudate moisture of 10-11 %. With the more severe configura-
tion, lumps were not formed. Higher barrel temperatures (200°C) were
used fully to gelatinise the wheat starch, however, these high temperatures
with the length of barrel being used caused significant product expansion
at the die. By increasing the length of the extruder to 40 L/ D the liquorice
mass could be cooled to less than 95°C and unexpanded liquorice strands
were obtained.
The product was elastic in nature, requiring no stoving to final moisture
content.
6.5 Toffees, caramels and fudges
In cooker extrusion there is a practical absence of browning in the barrel

despite the high temperatures. Therefore for this class of confection a
holding vessel post-extrusion is necessary. This is typically a continuously
stirred vessel with overflow feeding the next process stage. The pipe die
can also be fed to long snake coils incorporating static mixers for brown-
ing. With care it is possible to achieve much more controllable browning
than is achieved on traditional jacketted pans which can give localised
overheating. There is also a current trend towards paler toffees. The
organoleptic benefits of higher caramel content have negligible effects on
nutritional parameters [20]. Darker colours can even be achieved by
adding liquid concentrates of black tea [21].
Up to 35% energy savings have been claimed for extrusion cooking of
toffees but this figure is not so attractive when one considers that the
average energy cost for confectionery processing is only 5% of total
product costs.
Close control of zone temperatures is essential with single-screw
machines which are satisfactory for soft toffees. Differences of OSC can
cause significant hardness changes. With traditional pan processing the
variations in warm-up time and probe responses can cause different solids
to be achieved in different pans even when reading the same boiling tem-
perature.
There has been much technology transfer recently from single-screw to
co-rotating units in toffee production. The maximum use of reverse flights
and reverse pitch paddles creates both emulsification shear and the high
degrees of barrel filling to maximise heat transfer. Good mixing elements

with self-cleaning is necessary because the low thermal conductivity of
toffee masses can cause a tendency to burn on surfaces. Good mixing at
the higher screw speeds avoids fat coalescence, changes in globule size and
resultant texture and flow variations. Excess mixing can, however, cause
toughening by orientating the proteins into fibrous structures rather than
exist in the desirable micellular format. Oils and flavours should be added
well down the barrel.
There is a change to high viscosity handling in cooker extrusion com-
pared to the traditional low solids mixing, solvation and boiling proce-
dures. Graining needs to be resisted by utilising the high water binding
effects of glucoses. Higher levels of reducing sugars are produced in tradi-
tional processes, therefore in cooker extrusion extra reducing sugars may
need to be added to raise the doctor effect. Sucrose:glucose ratios may
need to be raised from 1.25:1 to 1:1. Liquid premixes for toffees contain-
ing high maltose glucose have been recommended [22].
The problems are caused because no two toffee pans give identical
results; the dangers that result if sugar crystals form on pans and the fact
that closed lid pans cause condensation which washes back into the mix
are avoided by cooker extrusion. With extruded caramels the rheological
properties can be directly measured by transmitted ultrasound [23].
For fudges the controlled crystallisation in the cooker extruder gives
better reproducibility than techniques involving fondant addition. Toffees
are normally cooled to avoid crystal melt-off during fondant addition and
the further mixing causes toughening and graining. Superatmospheric
grained toffees have lower vapour pressures than atmospheric grained
toffees. Uneven cooling with liquid fat in the system can cause colour and
crystal unevenness. The extruder has a major advantage in being able to
cool, grain and shape with solid fat in the system. Extruded fudges should
not, however, be shock cooled post-die as this leads to incomplete and
unstable graining. Chopped nuts and so on may be added to the mass in
the extruder, near the head, during the graining.
With jelly filled co-extruded caramels the extruder operates as a con-
tinuous puller alternative for orientating the gelatine molecules. Extrusion
processes aid in the stabilisation of amorphous structures. A recent patent
describes extrusion of caramel plaits or braids at 93-97°C [24].
6.6 Boiled sweets
Although sucrose melts at above 186°C, it will dissolve in glucose syrup at

c. 150°C in a cooker extruder. Care must be taken because at tempera-
tures above 155°C browning of the dextrose in the glucose syrup can
sometimes occur. An early venting to remove air incorporated in dry feeds
reduces this caramelisation. Use of high maltose glucose also reduces air
incorporation in the feed region because of the lower viscosity and the
doctor effect reduces the temperatures needed for solution. It is practical
to prepare vitamin C enriched boiled sweets by closed system cooker
extrusion without excessive overages. This is-- because ascorbic acid needs
both oxygen and heat to oxidise.
Much high boiled work is done on single-screw machines where the aim
is to generate an amorphous high viscosity plastic mass by melting/dissol-
ving under pressure. Pressure solvation enables higher degrees of super-
saturation than atmospheric processing where the boiling points are
lower. Less inversion also occurs on cooker extrusion systems because of
the lower moisture content and the short processing time. Extrudate may
also be directed as a tangential entry continuous stream around the
conical wall of a vacuum chamber. This is more effective than the surface
evaporation that occurs in a classical batch cooker and less than 2%
moisture can be achieved easily [22].
A problem that can sometimes occur with single-screw extruders in high
boiled applications is a non-steady-state flow. In order to transport the
extrudate the barrel walls should be designed with longitudinal or helical
grooves to ensure sufficient resistance to make the mass stick to the screw
surface. Otherwise the screw can turn but the mass is not conveyed.
Closely intermeshing counter-rotating machines can be used. This is a
largely unexploited application field. In the Textruder, for example, high
pressure operations up to 800 atmospheres can be conducted. In this type
of unit sugar acts as an extrusion aid. It is not easily caramelised or
burnt. Sugar is positively pumped at low shear through the dissolving
regime of the barrel. Because it does not stick to the screws or linings
there is less wear. Appropriate elements to create good mixing are desir-
able. Little heat is generated in these machines by internal friction and
temperature control is mainly from the barrel walls. Little transfer of
material between the scrolls occurs and colour additions need to be made
to both scrolls.
Co-rotating machines, with increased shear rate, aid in the removal of
sugar crystals and the mechanical energy input reduces the thermal needs
thereby reducing colour generation. The size of the sugar crystal added to
the extruder affects the dissolution time [6].
Addition of colours and flavours either into the last two diameters of
the barrel (post-vacuumisation), or into the extrudate during passage of
tubes with static mixer elements, has the major advantages of a closed
system. There is no localised boiling and no evaporation of flavours. This
system is especially suitable for volatile mint flavours. There is also no
excess graining as with open air blending or tempering operations which
can themselves incorporate air during kneading. Graining, once initiated,
would continue in the metastable glassy state.
Following colour, flavour and acid addition, the mass may pass to sec-
ondary forming extruders operating around 80°C, or via classical rope
and moulding technology.
Sorbitol high boilings are relatively easy on cooker extrusion because
the sorbitol needs just its water of crystallisation and no other water need
be added. Sorbitol decrystallises to produce a slightly cloudy mass which
rapidly clears to give sweets with a less brittle texture.
Multiple extrusion systems can be beneficial. Here the cooking system
can be separated from the shaping system, thereby preventing excess tem-
perature changes in one barrel. In the Bosch system for Starlight Mints
with filling, the benefits of the forming KoExtruder type BEK 0022A are
in giving central positioning of the fill and more uniformity in the degree
of fill. This enables a greater amount of filling to be incorporated than in
traditional batch rolling systems.
The forming extruder of Ruffinatti enables sugar strands to crystallise
on cooling around a central core and a massaging action resists the crys-
tallisation tendency of the surface layer to produce a honeycomb sweet
centre.
Water penetration from fillings into the shell is controlled not only by
equilibrium relative humidity (ERH) kinetics but also by the smooth hard
glassy surfaces free from micro air bubbles which are possible with cooker
extrusion sugar masses.
White satin candy with microcrystallisation for fillings or panned
centres is often needed. This may be fully grained as in Edinburgh Rock.
Alternatively it may be just partially grained to enable a slow moisture
penetration from a filled satin candy mass after chocolate covering for the
creation of tender centres. Such candy can be produced by air injection
into hard candy extruders.
Boiled sugar masses may be cooled on ejection from very fine die holes
to produce candy floss-type textures. Patents have been introduced for
fleecy confectionery [25]. The extruded viscous fibres travel via a receiving
chamber into a gaseous body suction chamber and thence to conveyers,
levelling rollers and cutters.
Dried fruit such as figs may be added to the sugar mass and not only
incorporated in the sweet but sterilised in the process. A little caseinate or
starch added to the sugars gives highly expanded pure white sugar 'snow-
balls'.
For cracknels, sugar tubes can be filled with air or nut pastes. The
lower residence time in the extruder gives less inversion and less stickiness.
Deaeration in the extrusion also gives greater clarity and improved visual
effect. The greater viscosity control enables more uniform production by
direct multiple co-extrusion rather than relying on laminators and folders
for mUltiplying the strings.
When making Krokant, the melted sugar, blended with finely chopped
nuts or other dry materials, needs to be carefully subjected to a tempering

regime before passing through the die [26] and the fine control in the
cooker extruder barrel is a significant benefit.
6.7 Sugar crust liqueurs
Although a difficult product, the major problems can be avoided with

cooker extrusion. Traditionally grain tends to form in rings around the
boiling pan, alcohol is lost to the atmosphere and continuous stream
depositing is required to avoid the development of shear crystallisation at
the pump bar. Atmospheric systems normally rely on starch depositing
(with turning) to help form a skin on which the metastable supersaturated
liquor deposits its seed as it becomes unsaturated.
The cooker extruder allows the formation of a non-supersaturated sol-
ution at elevated temperatures. Closed systems throughout prevent the
loss of alcohols following injection into static mixer containing pipes for
cooling close to the boiling point. These solutions can then be deposited
without fear of promoting crystallisation.
Evaporation of alcoholic volatiles is avoided by using either lidded
hoppers or relying on the natural development of a skin on top of the
liquor in the depositing hopper. The feed pipe must obviously enter the
hopper below the skin layer.
With top forming, the mass can be processed through refrigeration
coolers with a 180 turn half way. Such products can thereby be made on
0
starchless plants. The seed drops out by gravity as the cooling transforms
the solution from unsaturated to supersaturated. Such a system enables
the preparation of extremely varied sugar crust liqueur shapes. With
clamps to form two half shells and entry port capping, the mould rotation
and cooling techniques of hollow chocolate figurine technology might also
be employed.
6.8 Pressed tablets
Extrusion is of prime interest when one wishes to use materials that are
not directly compressible. Such products often either fail to bond under
die pressure or break during die ejection and subsequent handling. While
a two stage 'slugging' process may be employed for effervescent tablets,
generally the use of very high die pressures to force a bonding is not an
option. It develops unfavourable hardness and mouthfeel. In these cir-
cumstances a preparation of granules for feeding the press is needed.
Continuous sugar compounding in an extruder, with only small water
additions [27], is an easy and beneficial way of producing granules for
tabletting. Use of vacuum ports in the extruder can further reduce the
moisture of the mass. The direct feeding of material to the press without
granule drying can be done even to 0.1 % moisture [28].
A counter-rotating cooker extruder operating at 50-150 rpm at low
pressure will generate minimum heat provided the profile is not designed
to work the product excessively. Around 5% Klucel HPC [29] can be
added to double-screw extruders or even single-screw extruders with long
deep flighted feed sections, to benefit from its excellent thermoplasticity in
preparing pelletised moulding powders. Cooker extruders eliminate the
need for prescreening particles, wet pre blending operations, special vessels
for the addition of dough binders, drying at 55°C and so on.
Total mixing times of c. 1 h and drying times of c. 24 h can be reduced
to an extrusion process of 1-15 minutes. An extruder with screw flights
interrupted by gaps (where teeth can be fitted on the barrel) achieves a
short homogenisation time, both rotating and stationery elements giving
interactions with the axial screw motion. Such systems can also be used
for the preparation of nonpareils and vermicelli [30].
With extrusion, precise low level additions of the minor ingredients
such as the dough binders (e.g. gum arabic, starch, alginate, gelatine),
lubricants (e.g. 1-2% stearic acid) and active principles (e.g. peppermint
oil) can be made. Narrow residence time distributions in the barrel give
controlled as well as intense surface interactions. Classical batch processes
can give uneven mixing of the binder resulting in variabilities in tablet
hardness, some being crumbly and others too hard. With gelatin, over-
hardness due to uneven blending may not be apparent until after some
weeks of storage.
Traditional drying of a wet paste pushed through an orifice plate can
cause case hardening even with rotary driers or by using microwaves.
With an extruder, direct preparation at 1-2% moisture, accurate tempera-
ture control, adjustable shear intensity and self-cleaning all aid in produ-
cing a uniform product.
Elimination or reduction of the granule drying stage has significant
benefits in reducing flavour losses. Addition of traces of gum acacia to the
cooker extruder during granule processing gives microencapsulation which
significantly reduces oxidation in the high surface area environment of a
tabletted component. Colours tend to migrate to the granule surface
during traditional granule preparation. This is less of a problem when the
granule is cooker extruded with a vacuum port drying zone. Moisture
content for press feeding can be reached without drying stages, avoiding
the need for aluminium lake colours. Mottling problems caused by poor
mixing are averted.
While a uniform granule size is crucial generally, it is important to
incorporate a standard proportion of fines which fill in between the
granule gaps in the die. Insufficient fines can cause pitting and trapped air
can lead to capping problems. These can be obtained by having some very
fine holes in the die plate or by using more than one extruder. Uniform
bulk density is a great benefit when volumetric filling is used for the die
and punch assemblies.
Blunt design cutting knifes mounted close to the die plate can help to
produce roughly spherical granules which reduce the friction from
surface-surface drag and speed up compression in the tablet press. More
even dispersion of the slip agents such as silica can enable reduction in
content without losing the antiadherent properties which aid ejection.
6.9 Creams, pastes and lozenges
Hard and soft cream pastes need consistency in moisture content, good
emulsification of solid and liquid phases and quick cooling after mixing to
achieve lots of small crystals. This can be produced continuously by
cooker extrusion to achieve products with smooth mouthfeel. For work
on final solids, pipe die linking to cooler formers aids in shape generation.
Following the evaporative preparation of concentrated syrups in the
cooker extruder, injection ports for the addition of liquid fats, hot gelatine
solutions, glycerine or sorbitol (for ERH control) aid in plant versatility.
Introduction of powdered nuts prior to the impact beating crystallisation
zone enables the preparation of stable free-flowing co-crystallised nut
fondant [31] (Figure 6.2).
Solids feed ports near low shear or even scroll-reduced head sections
permit fruit addition for fruit noyau-type confections. Larger sugar crys-
tals may also be added by such ports as seed grain. The lower surface
area reduces viscosity for depositing without adversely inhibiting the
graining or setting time.
Cooker extruder creams do not have the traditionally drier skin asso-
ciated with starch deposition. Elevation of the cook temperature from
123°C to 127°C will make up for this. Care must be taken not to inhibit
the crystallisation effect which is most important in this category of con-
fections. A maximum of 20% glucose syrup on a dry weight basis should
therefore be used.
High temperatures can be achieved, yet the short controllable residence
times and self-cleaning prevents browning or inversion reactions. Low
moisture content cooker extruder preparations can be made from icing
sugar and binders for the preparation of extra strong mints and hard
lozenges. This avoids or substantially reduces the need for post-shaping
drying. Case hardening, rough finishes, distortions, dough cracking,
binder degradation, flavour losses and other problems associated with the
traditional drying times of c.15 hours are reduced. Further dielectric
heating can be used if desired.
nme
Figure 6.2 Almond paste process on twin-screw extruder (reproduced by kind permission of
Clextral).
The binder solutions are traditionally batch prepared at relatively low

concentrations and this can be a bacteriological hazard. In cooker
extrusion, dry powder blends of binders such as gelatine, gum arabic or
gum tragacanth can be metered into the mass and dissolved in minimum
water at high temperatures down the barrel. Excess moisture can then be
vented off via stuffing screw vacuum ports and the volatile flavours added
before die shaping of the thermoplastic mass. Cooling post die aids in
flavour entrapment. Excess cooling must be avoided otherwise the high
viscosity will de stabilise the graining procedure. Cutting may be accom-
plished by hot wire slitters while the lozenge mass is still plastic.
Co-extrusion or sheeting dies and rollers assist in combination opera-
tions with pectin jellies or liquorice. Marzipans, truffles and chestnut/
sugar pastes can be readily pulped in cooker extruders. The latter can be
extruded for chocolate fillings or form the base for candied liqueur chest-
nuts [32].
Case study - candy sticks
Extruder: APV Baker MPF 50 co-rotating twin-screw.

Ingredient formulation:
% Feed
Powdered sugar 40
Maize starch 40
Maltodextrin 8
Dextrose monohydrate 8
Gelatine (160 Bloom) 2
Hydrogenated palm kernel oil 2
Water added 1-2
• 6D feedscrew
• 7 x 30° forward paddles
• lD feedscrew
• lD feedscrew
• 3 x 60° reverse paddles
• lD feedscrew
• barrel length : 15 L/D
• screw spped : 250-300 rpm
• barrel temperature: 40°C along its length
Table 6.2 Problems and solutions in candy stick manufacture
Problem Solution
1. Texture control Ingredient selection. Substitute maltodextrin or

starch with dextrose if product is too hard
Multiple feeders: inconsistent feeding of difficult to
handle ingredients. Use force feeder and
preferably introduce into the side of the barrel
Control product temperature accurately ± 1°C
2. Product surface smoothness Liquid content: fat or water content may be too low
or inconsistent.
Die design: use PTFE or teflon coated dies.
Reduce the flow velocity by maximising the die
area or number of holes.
3. Visual appearance Evenly disperse the ingredients especially the fat
(Mottled effect) and gelatine. High shear mixing zone required
immediately after the liquid injection point. If
batch mixing of powder prior to extrusion then
review the equipment or procedure.
4. Product size distribution Physical die design and even thermal distribution.
6.10 Gums
Gums (as opposed to jellies) are primarily confections which provide a

characteristic high viscosity in the mouth without excessive stickiness.
With cooker extrusion they can be produced continuously at their final
moisture content giving substantial labour and energy savings. Much of
the technology in this area has come from the plastics industry. Gums are
traditionally harder and tougher than jellies and clarity is less of a con-
sideration. Weidmann and Strobel have estimated savings of 52% in the
operating cost of a typical fruit gum plant [33]. Direct forming at the
cooker extruder die is practical and corrugated strips, laces, hollow tubes
and so on are readily made. The gum 'rope' may also be cut and moulded
using classical 'high boiling' techniques.
Unlike cereal manufacture, it is almost impossible to restart the gum
making process, if material cakes or glues in the die, without a thorough
clean down. Similarly, attempts to 'coke out' an extruder used on gums
can result in viscous black tar. Clam-shell extruder designs are beneficial
for cleaning by steaming out and hosing, although either motor shielding
or remote fan ductings to the motor are advisable.
The high viscosities of final concentration gums, especially when made
with starch containing recipes, require the powerful motor of a cooker
extruder to force the mass down the barrel. With starches in high con-
centration liquors it must always be remembered that the gelling tempera-
ture can be 50°C above the boiling point of the mass and the pressure
cooker effect of the extruder is essential. 'Burn on' can be a problem
unless self-cleaning and negligible scrape gaps are employed as with co-
rotating systems. It is believed that the intense conditions in the extruder
together with high rotation speeds (> 500 rpm) plus specially designed
variable profile twin-lobe shear generators can assist in the destruction of
the binding forces in the native hydrocolloid materials.
Both high-shear and compression regions aid in the leaching out of
amylose from swollen or damaged starch granules into the aqueous
medium. This effect can be followed by observing the sharp peak on
differential scanning calorimetry (DSC) curves. If overdone, ultimate
instability owing to retrogradation phenomena will result [34]. Some
granule wall damage is not a major problem although the viscosity of the
swollen cells will be reduced and leakage of amylopectin will raise gummi-
ness.
Starch may be dextrinised in the extrusion process and the effects of
acid thinning may be achieved by physical modification to reduce extru-
date viscosities. Thermal degradation must be minimised to ensure texture
stability and deformation resistance in the final confection.
Speciality starches can ease solvation yet accelerate the formation of
structure post-extrusion [35] to ease demoulding and so on. Full precook-
ing can give lumpy products. Cross-bonded acetylated com starch can
generate softer shorter textured gum strings easing textural matching to
traditionally produced products. Modification to base starches can also
enable an increase in the dry substance of the gum mass before a mould-
ing operation [36].
Locust bean gum addition can reduce the aggregation of amylose onto
the resultant network. It will therefore reduce set-back and syneresis.
Stickiness and viscosity can be reduced by replacing a proportion of
glucose by sucrose or adding a little acid to the feed stock to cause a con-
trolled inversion. Maltodextrins enhance the body of extruded gums but
can cause slight cloudiness. Pectins and oxidised potato starches can give
promising results with fruit leathers. The larger granules of potato starch
cook approximately three times faster than com starch in extrusion.
Gum arabic at around 88% concentration forms a mass like molten
lava which is quite elastic and barely flows [37]. This characteristic is only
slightly aided by high temperatures as excessive heating causes much
darkening of the solution. This darkening is much worse if other tree
exudates (e.g. Combretum) are present in 'processed gums' [38].
6.11 Jellies
Like gums the principal benefit of cooker extruding jellies is to simplify

the process by using minimum water and deliver the cooked mass in fluid
form for shaping. In many cases it is practical to avoid using excess water
in formulae, reducing or eliminating drying after shaping.
Unlike gums, jellies demand excellent clarity, bounce to the texture and
often more intricate shaping. Higher levels of water aid in dissolving the
various hydrocolloids but the subsequent thermal treatment of con-
centrate can degrade the hydrocolloid and hydrolyse the sugars to give
rise to soft sticky jellies. Minimal water solvation is therefore recom-
mended although jellies can generally tolerate more water than hard
gums.
Following the pressure dissolving of the hydrocolloids and sugars in the
early stages of the cooker extruder, atmospheric or vacuum vents are used
to concentrate the mass. The barrel must run fully filled on each side of
such vents and run starved underneath them. A low viscosity at the
flavour addition step is needed and this is usually achieved by high tem-
perature pipe extrusion through static mixers followed by cooling to just
below the boiling point of the mass. This allows the full temperature ben-
efits in thinning the mass for shaping (see Figure 6.3).
Agars, gelatines and high or low methoxypectins can be utilised as they
do not raise their viscosity significantly until cooled, acidified or calcified,
respectively. For plain gelatine jellies either spray-dried gelatine or 16-60
Acid, Flavors &~
=
Additives
Venlor
! vacuum
ToCoollngeel1 Jelly Confection

&Cu"e, ~ Extruder
I I I I i I
Cool 10 180 F Heal to 290 F
Figure 6.3 Jelly confection extruder (reproduced by kind permission of Wenger).
mesh material can be fed directly into the dry feed port without soaking
or pre-dissolving. Beware of gelatine denaturation. High levels of glucose
speed up the aggregation of pectin fibres into tight bundles and can cause
pregellation rather than the desired long distance networks.
For starch jellies the objective is just to lose the birefringence of the
starch after the whole process has been completed. A Maltese cross is
caused by the anisotropic radial pseudo-crystalline nature of each starch
granule as plane polarised light becomes twisted into alternate con-
centrated and extinguished regions. Cooking should proceed until c. 95%
of the starch becomes isotropic (i.e. achieves sufficient uniformity of
refractive index to cease rotating the light). Techniques for monitoring
this are well documented [39].
At this level of cook the starch granules act like swollen bags in contact
giving the desired elasticity. Low viscosity starch slurries take most
thermal input by conduction not mechanical energy, and therefore mini-
mise the shearing elements. Ruptured granules will let amylopectin into
the continuous phase causing tangling and undesirable high viscosities. To
avoid excess rupture of the granules it may be necessary to replace shear
elements by conveying screws at the point of gelation. Excess heat and
shear can degrade both amylose and amylopectin into short low mole-
cular weight chains.
In low moisture systems, the gel temperature will exceed the boiling
point considerably and the high pressures attainable in cooker extrusion
are essential. Direct steam injection into the barrel can increase produc-
tion throughput by 80%. Injected steam has little effect on the final con-
centration because it is flashed off.
Softer starch-based jubes can have about one third of the standard thin
boiling starch replaced by high amylose starch. This permits the rapid sets
required by starchless moulding and to a large degree overcomes the
texture and shelf-life differences from traditional processing. Such pro-
ducts are rigid enough to be either sanded or panned. High amylose
starches can cause pasty textures if the retention time in the extruder is
too short.
Starch-gelatine combinations are most difficult and require special con-
siderations. Ideally the gelatine addition should be made to a cooler part
of the barrel after the maximum temperatures for starch gel preparation
have been achieved. Double extrusion systems linked by cooling pipe die
have advantages.
Daquino et al. [40] recommended the use of counter-rotating twin-screw
machines for the continuous preparation of jelly beans at final moisture.
In this extruder system the positive conveyance compared to the long-
itudinal and axial open flights of co-rotating systems has advantages. The
sealed chambers of the counter-rotating system can enable sharp pressure
build-up by decreasing the screw pitch length. This enables focused gel-
ation to occur and mass transport by pumping exposes the mass to the
severe gelling conditions only briefly. A similar rapid high pressure gen-
eration effect can be achieved at the final conical screw and head sections
of a Wenger co-rotating cooker extruder. This high pressure mass also
aids in locating the elements reducing barrel wear and pulsing.
Jellies may be directly cut at the die to fall onto sugared bands or
granulated sugar can be metered over the die. Alternatively scissor action
knives have been used on cooled set jelly. Such products are confections
or ice cream toppings. A production system could consist of a cooker
extruder to make the mass, a flash off chamber and a cooling and forming
extruder. With pectin gels, acid injection into the forming extruder head
will generate the jelly. Such jellies do need several days before their
hydrocolloid junction zones are reinforced to final gel strength.
6.12 Cocoa and crumb
Cocoa liquor may be pasteurised in cooker extrusion to give guaranteed

bacterial counts with sterilisation of latent Salmonella species. The cooker
extruder barrel can pass through a wall dividing the more hygienic pro-
cesses from raw bean handling areas. This eliminates the recontamination
problems of open systems. Similar processes of pasteurisation or sterilisa-
tion are applied to other confectionery materials such as coconut flakes
[41]. A 104 times reduction in total viable bacterial count is possible. If
flavoured cocoa or chocolate analogues are to be produced then the
cooker extruder can degerminate spices [42].
Enzyme inactivation is an added benefit [43] although subsequent
reintroduction of, for example, lipases may occur if mould spores are
present in post-extrusion operations. For example, a once common
practice of sewing up polythene lined multiwall paper sacks of cocoa
powder perforated the protective film. This left the deliveries entirely
subject to the integrity of tarpaulins on the lorries to prevent moisture

uptake.
After preliminary cleaning and shell extraction, lower quality cocoa nibs
may also be improved in cooker extrusion. Streams from several nib
sources can be combined and well mixed in the early extruder zones. An
extruder degassing follows where the undesirable (and perhaps some
desirable) volatiles can be flashed off via atmospheric or vacuum vents in
optimised positions in the thermal profile. Steam distillation can be util-
ised following the injection of a little water into the extrudate. This can
give blander cocoa powder and cocoa butter without the sour, musty and
smoky notes that sometimes prevail. Choice of screws and paddles can
enable 'flash off' primarily from the external surfaces of larger pieces,
reserving the exposure of internal surfaces until after particle size reduc-
tion. Paste viscosity control in the cooker extruder is good.
Dutching reactions can be conducted in the extruder by the direct pro-
cessing of nibs or liquor; this may follow a preliminary acidification using
phosphoric acid. By virtue of its continuous operation, the cooker extru-
der prevents the differences that occur between the start and the end of
batch processed material. The good process control characteristics of
cooker extrusion permit precision in the colour of subsequent cocoa
powder following cocoa butter extraction. They also permit good control
over the degree of cocoa starch hydrolysis and demethoxylation or chain
hydrolysis of cocoa pectins. The latter is particularly beneficial when
guaranteeing the suspension properties and shelf life of products contain-
ing dutched cocoa.
A typical process based upon a co-rotating twin-screw extruder could
be as follows. The nib will be fed into the extruder using long pitch feed
screws. After up to 20% water addition (as alkali) a mixing paddle regime
is necessary followed by a conveying region with barrel temperature eleva-
tion. The rapid energy rise is mainly due to viscosity increase and will
raise the temperature well above 100°C to wet every particle intimately.
Even after a vapour lock, decompression beneath an atmospheric vent
will be explosive unless a stuffing screw is used as the cocoa atomises.
Venting will cool the mass down as it enters a high shear homogenisation
region. Conveying is recommended to build up pressure and pass a second
vapour lock where vacuum venting will remove residual water. Finally,
forwarding paddles and screws in a cooling jacket will permit exit at the
die at approximately 90°C.
Roasting of liquor to develop richer flavours can be achieved in a
cooker extruder. The scraped surface effects avoid non-homogeneous
roasting, although similar benefits can be achieved on simpler equipment,
e.g. scraped surface descending film roasters. The intimate mixing in
appropriately profiled extruders can, however, assist in binding many of
the cocoa specific flavours so generated into the fatty phase and give a
measure of cocoa upgrading. This process can also lead to easier sub-
sequent cocoa pressing operations.
Chocolate crumb flavours can be approximated by feeding concentrated
condensed milk at around 80°C into a cooker extruder and therein blend-
ing powdered sugar and cocoa liquor. With a vacuum port positioned
about 70% down the barrel it is possible to flash off and cool the light
expanded mass to around 50°C and eliminate any hard pieces.
6.13 Chocolate
Chocolate processing routes using from one to three extruders have been
described. According to Weidmann and Rapp [44] chocolate can be man-
ufactured continuously by multistage twin-screw cooker extrusion in the
Werner and Pfleiderer 30 minute chocolate process [45] with significant
savings in conching time. The combination of dry and liquid conching by
cooker extruder has also been described by Clextral (see Figure 6.4).
Extruder routes can include conventional process stages for winnowing,
grinding, cocoa liquor roasting and refining but should maintain a closed
system transfer to avoid recontamination.
Reduction in the total processing time enables changes to the recipe or
operating conditions to be made more readily. Other key advantages are
the elimination of large batch operations, lower bacterial counts, less floor
space, lower energy consumption and so on. A high energy consumption
is believed by some to be directly related to the quality of the chocolate in
terms of the development of smooth velvety textures and rich flavours.
This energy must, however, be directed into chocolate work input and not
converted into heat energy leading to a need for cooling vessels down.
The process can follow a similar technique as described for cocoa. An
initial extruder might use high speed, co-rotating kneading elements. To
enhance the shear input, water may be injected into the barrel. (This does
not raise final chocolate viscosity because any added water will be subse-
quently vented off.) The application of shear forces, pressure differentials,
raised humidity and temperature is beneficial. These factors all aid pas-
teurisation and the destruction of fat saponifying enzymes. Atmospheric
or vacuum vents can be positioned along the barrel or flash off allowed
post die. The removal of acids, aldehydes and other off-flavours by steam
distillation at this early stage rather than during conching is claimed not
to remove many beneficial chocolate flavours. These are primarily devel-
oped in the subsequent processing. This assumes that many beneficial
flavour precursors developed in the growth and fermentation of the cocoa
beans are not thermally or moisture vapour labile at this stage.
During milling under vacuum, the moisture flash off helps to maintain
lower processing temperatures and reduces the viscosity as the cocoa
III'lllll/IIIIIII!IJI
TTl I I rTI TJ r r r r r r r y , 71
LIQUID
DRY CON CHI HG COH CHING
Figure 6.4 Continuous conching on two co-rotating screws (reproduced by kind pennission
of Clextral).
liquor is generated. Partial degassing also aids uniformity during the

liquor roasting stage.
A second extruder can achieve thorough mixing of the cocoa liquor
with fine granulated sugar, milk components and so on. Flavour enhan-
cing reactions such as Maillard and caramelisation and the development
of crumb flavours occur at this stage, only 15 minutes after the cocoa
beans leave the silo. A certain residence time is needed to allow for all
the ingredient interactions. With a co-rotating twin-screw machine the
product is moved from the screw core to the outside wall only twice per
screw rotation. Yet high screw speeds can give poorer quality chocolate
with around 250 rpm being found optional. For crumb-type chocolates in
particular, a long flight path of around 35 diameters is preferred. The
mass can then be continuously fed to the refiner. The continuous mode of
the cooker extruder operation avoids any of the sedimentation effects
associated with liquor at rest in batch tank feed and storage systems.
A third extruder would heat and beat the aerated refined powdery mass
to fluidise. With good compounding and after having achieved flavour

development in the earlier stages, conching'times may be considerably
reduced. Good thermal and mass transfers are achieved because shear
intensity in the dry conching section of the barrel enables lower viscosities
than expected. Emulsifiers and cocoa butter are blended into the mass
further down the barrel to create the wet conching section. The tempera-
ture is held below 60°C to prevent heat damage. Flavours are added to
the last zone just before the chocolate is used in applications thereby
avoiding losses of flavour. If the full triple extruder route has not been
followed, the conch replacement extruder can have vents for degassing but
there are dangers of losing desirable flavours. '
Other advantages include the ability to develop unique in-house flavours
and conduct quality control on flavour, texture and so on after only 15
minutes' processing. It might not be claimed that the result is as good as a
quality conventional process. However, inferior beans can be upgraded.
Chocolate homologues such as caramel or mocha coatings are possible.
For chocolate piping, it is possible to adapt the old confectioner's trick
of adding a few drops of water to a savoy bag of chocolate, e.g. when
creating chocolate basketwork on cakes. Traces of water (with or without
humectants) may be injected into the extruder head just before the die.
The minute sugar crystals absorb the moisture as a syrupy film and there-
fore do not slide past each other so easily. The rapid increase in viscosity
as the structure sets during exit from the die allows unique shaping poten-
tial. Strings and ropes, co-extruded articles and a degree of heat stability
are achievable.
6.14 Reaction chamber products
The cooker extruder with its unique combination of functions is suitable

for carrying out many reactions on confectionery materials and inter-
mediates.
For reactions involving enzymes [46] the extruder has a major advan-
tage in accurately dosing and uniformly blending small amounts of liquid
preparation over large quantities of mass. After in-barrel reaction, the
enzymes can be inactivated before leaving the extrusion process. This
avoids the formation of enzyme-rich aerosols with consequential inhala-
tion risks. The liquid enzyme preparation must, of course, not be allowed
to dry out in the liquid feed system.
For example, the addition of ex-amylase increases extruder capacity
when producing starch-containing confectionery such as gums. The high
torques associated with plasticisation of the mass at low moisture contents
can be reduced, permitting up to 50% higher feed rates. Special enzymes
such as 'Termamyl' are not only heat stable but have their temperature
optimum at 90°C. As most extrusion processes operate in excess of

80 Brix, the heat stability of the enzymes is greater than that measured in
dilute systems. Increases in short chain dextrins are measurable even with
only 15 s reaction time in the extruder.
Temperatures greater than 150°C later in the barrel inactivate the
enzyme. Alternatively passage through a post-extrusion micronising unit
allows denaturation of the proteinace"ous enzyme at frequencies of infra-
red wavelength.
Flours can be produced from whole grains in the cooker extruder. Use
of maximum screw speeds can give shear modification of the starches
enabling the preparation to take place of, for example, wafer flours with
greater water holding properties, higher batter viscosities and so on. With
such procedures the high screw speed helps compensate for the shear thin-
ning factor but excess speed causes browning. At a constant temperature
the flour quality improves with the fastest throughput and the shortest
residence time (i.e. lowest energy cost). Confections made from such flours
exhibit finer porosity and reduced flintiness in their textures.
Acetic anhydride or propylene oxide may be added to create substituted
starches for improved clarity gels and so on. Cationic, hydroxypropyl and
carboxymethyl starches may be generated. Physical or physical/chemical
hydrolysis of some of the starch into maltodextrins can be achieved.
Starchy materials may also be wholly or partially pregelatinised in the
cooker extruder. Easy digestibility is an asset for confections made from
materials precooked in the extruder.
When heating and hydrating proteins in the cooker extruder, the
streamlined flow patterns of the screws and dies can be used to unravel
the long twisted stereochemical structures. Cross-linking can be induced
by shear and retention time. If lamellar flow is maintained emulsions can
be stretched at the die into gel filled fibres, fibre filled gels and liquid filled
gels. Structural setting can be achieved by application of high die tem-
perature or by immersing the extrudate in a suitable acid bath. Spreadable
'cheese' analogues may be prepared using proteins and fats for filling into
chocolates or other confectionery bars.
Solvents may be added to redistribute fats or modify lipoproteins with
solvent recovery at the die or other flash-off ports. Other procedures for
oily and fatty confections which are possible in cooker extrusion include
steam stripping of unwanted flavours using vacuum ports and transester-
ifications.
6.15 Aerated confections

Early applications of extrusion technology were with cylindrical, steam
jacketted, hydraulic piston extruders to produce multiple ropes from
cooled plastic confectionery masses [47]. The ropes were formed from steel
sieve plates and stuck together again to give the desired aerated structure.
Subsequent shaping by rolling and cutting gave consistency improvements
over hand work. The aeration of the heavier high solids sugar masses can
be done in a kneading extruder such as the Buss extruder and uniform air
cell size achieved using gas injection manifolds. Ropes of cooked toffee
containing gelatine may be fed into a cooker extruder and air injection at
120 psi. Injection of colour, flavour and acid occurs much further down
the barrel. The jacket should then be cooled to give an aerated confection
with a specific gravity of about 0.8 at 65°C. This compares reasonably
well with traditional batch pulling operations and has the advantage of
die shaping.
The use of the steam-lock elements in petfood or fishfood extruders is
widely known. These same design features can act as locks permitting the
high pressure incorporation of other gases. Very high pressures in the
cooker extruder, together with elevated temperature and the use of high-
speed spiked elements can cause the partial dissolving of gas into the fats
of confections such as nougat. This allows the production of very light
aerated confections. Cooling needs to be applied to the extruder head so
that the exit temperature does not exceed 95°C.
Densities of products made by cooker extrusion can go down to 0.15 g
cm -3 compared to figures of c. 0.5 g cm -3 in a pressure whisk, and 1.1 g
cm- 3 by hand pulling from a mass of an initial density of 1.5 g cm- 3 .
Cooker extrusion offers excellent control over the processing variables to
achieve uniform quality and texture. Rework may be incorporated into
the cooker extruder feed. The die head may be rotated to give different
coloured strands as a rope.
Use of a totally enclosed system allows a more sterile operation than
batch work with, for example, egg albumen frappes. Base syrups can be
cooked on one cooker extruder then fed via a pipe die to a cooler extru-
der for the aeration stage.
The choice of hydrocolloid influences the texture. Egg albumen will be
incorporated for lightness (such as for white montelimars), gelatine for
rubberiness and pectin, agar or starch for shortness.
For nougats, the sucrose:glucose ratio will need to be modified from
batch operations in order to achieve the same crystallinity after cooling.
This is because of the reduced inversion in cooker extruder processes.
Shear induced graining may be aided by icing sugar addition. Fats, honey,
nuts, glace cherries, angelica pieces and so on can be added near the die.
Gases other than air such as carbon dioxide, nitrous oxide or nitrogen
can be used to vary the cell size and form owing to their different
solubility characteristics. Post-extrusion manipulation can cause a degree
of combination of the gas pockets to create a variable texture. Use of
suitable hydrocolloids like gum arabic will enhance the bubble surface
tension helping to eliminate this effect.
Items may be directly extruded into vacuum chambers where they set
on cooling. Dissolve-in-the-mouth marshmallows or very light dragee
centres result from simple sugar, gelatine and speciality starch recipes.
Hydrogenated starch hydrolysates and hydrogenated sugars such as mal-
titol can be used in the formulation of sugarless marshmallows and
nougats by extrusion [48].
Subject to the power of the cooker extruder drive and the temperature
hardening of the mass, liquid injection of gases into the barrel may be
used. The mass must be in starved condition at the point of gas entry.
Pressure tempering of the mass aids in the solvation of the gas.
Chemical expansion by blending sodium bicarbonate into high boiled
sugar mass produces extrudates like cinder toffee or honeycomb crunch.
The release of the carbon dioxide at the die causes almost immediate
cooling permitting rapid cross-section profiling. The set aerated mass can
then be cut post-extrusion by hot wires.
6.16 Chewing gum
A key feature of chewing gum is the encapsulation and sustained release

of flavouring materials in the surface-active gum base. Cooker extrusion
offers advantages over traditional processes with respect to flavour dis-
tribution, impact, duration, yield and shelf life [49-51]. For example, fresh
minty character can be retained for more than 50% longer during
chewing. Shorter residence times in the cooker extruder are possible
because of the immense power intensely to knead the flavour into the
sugars and gum base. Higher pressures but gentler temperatures may also
be used.
The flavour for chewing gum, unlike most other cooker extrusion pro-
cesses, must be added right at the beginning. This is to ensure its ade-
quate dispersion and intimate combination with the base to obtain the
maximum long-lasting effect. Other active ingredients such as high inten-
sity sweeteners, medicaments, nicotine for anti-smoking confections, urea
for teeth benefits, flavour enhancers, cocoa, coffee, fruit acids and so on
will also be added at the beginning.
Flavours used for batch operations are generally unsuitable for cooker
extrusion processes. Special creations capable of withstanding the extru-
sion conditions are needed. The gum base may also become brittle or
sticky in the cooker extrusion process unless special plasticising flavour
solvents are chosen.
Citric acid tends to become denatured in the cooker extrusion process if
added right at the beginning. This can lead to a loss of acidity on storage
of the chewing gum. Alternative fruit acids such as tartaric may be used.
Continuous chewing gum preparation on cooker extruders also gives
Figure 6.5 Design of an extruder for producing chewing gum (reproduced by kind permis-
sion of Haarman and Reimer).
energy savings, shorter cycle times and reduced resting periods (tradition-
ally up to 20 h). The latter benefit is because the extruded chewing gum is
more elastic and leaves the die with less stickiness or deformability (see
Figure 6.5).
A typical process will involve a short barrel section for heating to c.
70°C. This will dissolve the gum base and plasticisers and start the
absorption of sugars and flavours. This will be followed by a long knead-
ing section at less than 48°C with up to 2000 KNm -2. This is to drive the
flavours into the gum base and achieve sufficient force to shape at the die.
For the entrapment of active ingredients in sugar-free chewing gum,
specific matrices have been invented [52]. These involve calcium salts and
maltodextrins mixed with water, heated under vacuum and then extruded
into isopropanol at - lO°C. The resulting extrudate solidifies and can be
further processed.
6.17 Frozen confectionery
There are, at the time of writing, millions of ice cream candy bars being
produced. The range of unique products in this area is enormous and
includes items such as bite-size chocolate coated fruit sorbets, pectin sta-
bilised fruit and cream chocolate coated bars, yoghurt ices and so on.
Cooker extruders making toffees or jellies can also be linked to ice cream
machines. Common die forming heads can be used for continuous multi-
extrusion into ropes for post-die forming and guillotining. The following
examples are included to illustrate the versatility and technology currently

developed.
Spiral form frozen confections can be made by the co-extrusion of
strands or centres of toffee with ice cream from a rotating extrusion
nozzle onto a conveyor [53]. A projecting and recessed relief is produced
by the asymmetric configuration of the dies.
The Eventyr factory at Odense in Denmark [54] utilises a rotating dis-
tributor from the extruder head to feed parallel extrusion nozzles over a
belt. The ice cream streams are formed into a trough shape, flavourings
filled into the product and nuts sprinkled on top. After hardening in a
tunnel, the streams are cut with a transverse steel bladed knife.
Frozen confections of ice cream discs in different colours and flavours
may be extruded in layers in-between other confectionery materials [55].
Fat-based chocolate-type couverture may also be interleaved between the
extruded layers of ice cream in very thin layers « 1 mm) to produce an
aerated frozen confection [56].
Film forming hydrocolloids are often used to prevent excessive wetting
during co-extrusion. Cooker extruded crispies for ice cream contact can
have their water activities enhanced by incorporating c. 2% of wheat
gluten. Special heavy or light density crunchy toppings are prepared by
direct cooker extrusion or by linking to a secondary forming extruder.
These often have nut-like textures or are fine sized extruded crouton-type
materials. Expanded fruit flavoured sugar sticks are used as ice cream
adjuncts.
6.18 Croutons
These and similar materials are often used in 'Granola' -type con-
fectionery. After cooker extrusion the products need a high speed drier.
This should gently and continuously remove the water without destroying
the granularity. Excess powdering must be avoided so that the product
can be pneumatically conveyed and stored in silos.
The products may themselves be multilayered. Wheat-based pieces have
been co-extruded with peanut butter, date or fig paste centres and cut
downstream. Colour can be injected into the edges of the die to achieve
crust effects. They also find application as the centres of panned articles
or chocolate-coated bites. Interesting confections have been made by
sugaring croutons in the 'Transit-Tube' multiturbine coater. Coating
materials often include blends of fats, icing sugar, flavourings and fruit
acids. Coating with a sugar and amylopectin solution helps to seal the
surface of the extrudate prior to chocolate coating.
Changes to the operating conditions of the cooker extruder can modify
hydration behaviour should the products be for example, placed in count-
lines next to jams. Narrow residence time distributions are needed to

obtain a controlled heat history and achieve clean flavours.
Textures can be modified from fibrous to flaky. Densities can be adjus-
ted and the unique internal structure designed to have a strong resistance
to mechanical handling as found on a granola line. The size is con-
trollable. The near absence of fines permits simple lift and separate ribbon
dispersing and blending systems to be employed.
The main benefit is an open cell structure, which adds crunch and
interest into chocolate bars. Individual croutons can also be glued toge-
ther with an adhesive confection such as honey and formed into agglom-
erates for direct chocolate enrobing. Candy mix is also often blended into
such masses. Confectionery centres are precoated with croutons while they
are still sticky with toffee or alternatively adhesive pieces such as fresh
nougat are deposited into a bed of croutons. This achieves greater volume
and an important textural contrast prior to chocolate enrobing.
Crouton rework can be ground and added to co-extrusion creams to
reduce density differences in such articles.
Crum [57] described the use of highly modified diamylopectin phos-
phate starch derivatives in the preparation of such sweet expanded pro-
ducts. Based on a simple single-screw extruder at 220 rpm, a barrel
temperature profile from 150°C at the feed to 180°C at the die may be
used.
6.19 Three-dimensional confections
This section covers the use of pasta-type dies to generate twists, curls,
shells, bows, spirals, hoops and a versatile range of three-dimensional
shapes for confectionery. The technology is apparently simple in that the
confectionery mass flows faster through the wider areas of the die hole
and slower where there is drag resistance from walls at the narrow area of
the die hole. This gives the key differences in longitudinal dimension to
the pieces between each cutting operation using a face mounted cutter.
Fast flow on one side of the orifice and slow flow on the other causes the
curling motion.
Considerably more intricate shapes can be formed than by two-dimen-
sional moulding operations. The use of co-extrusion permits stuffed pasta
equivalents such as chocolate in a marzipan 'ravioli'. The confections can
often be prepared in the extruder providing a long barrel is used. A mul-
tiple extruder route is preferable with a cooling pipe die leading to a
forming extruder. Die chilling aids in stiffening the confections to main-
tain shape but often formulation changes are necessary to permit this type
of confection to be manufactured in this way.
Methods of overcoming the adhesion and formation of excessively
curved shapes in extrusion and cutting procedures have been described by

Ferrero [58]. Extruded confectionery products can also be formed as
parallel ribbons and bonded to undulating elements of the same or differ-
ent materials [59]. Greenhouse and Durst [60] have patented a technique
for extruding banana puree with ice cream ingredients into a banana
shape with patterns of darker extrudate to resemble banana seeds and
grooves. The result resembles a peeled banana.
For fondants which normally have c. 60% crystals in 40% syrup phase
even higher sugar levels of around 78% sucrose and 10% glucose syrup to
12% water are needed. Typical fondant creams are too soft to maintain
their shape so 'bob syrup' is not used and the resultant mix has a high
viscosity. Agar, pectin or gelatine is required to control the crystal size
and give a good setting structure. A high dissolved sugar level in the
liquid phase is needed for microbiological reasons. Humectants may be
needed to ensure a water activity below 0.65, although over 2% glycerol
may cause laxative effects.
A typical process might start by cooking a 95% sucrose/glucose solu-
tion to 135°C on a cooker extruder using a barrel temperature of around
160°C. The mass would then pass a cooling pipe die where the super-
saturated solution would enter the forming extruder at 30°C barrel
temperature. It would then be mixed with a 50% gelatine solution. A
beating section would be followed by a dispersion section where seed
grains or groundnuts and so on would be added. A final long cooling
section in the head at c. 20°C barrel temperature encourages sugar bridge
precursors. Product would exit from the die at 92 Brix at not more than
35°C.
Sugars can be continuously caramelised with or without nuts, milk
powders, fats, flavours and so on for feeding the forming extruder. Sharp
pieces of boiled sugar added into pralines for the generation of Krokants
can cause high wear on barrel liners. For this reason the use of diffusion
bonded cements and hot isostatic pressing in barrel liner fabrication is
recommended.
Almond paste can be prepared on a co-rotating twin-screw extruder.
The grinding of blanched almonds can be done in the cooker extruder to
achieve a firm textured marzipan at c. 7% moisture. Apricot kernels can
be added but they may need a prior grinding. Atmospheric venting soon
after the feed port is necessary to remove entrapped air. This increases
throughput and reduces oxidation rancidity in the marzipan. Such venting
is essential before the mass enters the plasticisation high shear region of
the barrel.
Crystal sizes of less than 10 J.lm give smoothness but larger sugar pieces
may be incorporated for textural interest. Small crystals have a larger
surface area:weight ratio and therefore need more syrup to lubricate their
surfaces. This aids in generating a high viscosity during the forming stage.
A low dextrose equivalent glucose is necessary to raise the viscosity of the

syrup phase.
After extrusion, a short maturing time is desirable to let a crust
develop. The product is a little chalky in texture but because of its unique
shape is ideal for chocolate coating.
Addition of 0.5% sodium alginate to fruit jelly formula and extrusion
into a bath of calcium salts or use of 0.6% high methoxypectin with
extrusion into an acid bath gives jelly skins over the outside of the shapes.
Protein denaturation during die passage or immediately thereafter can
also set the shape.
6.20 Confections by half products
This class of products will primarily be covered under snacks. There are,
however, some confectionery specialities which should be mentioned.
These include butter flavour microwave popcorn, mint balls, lemon or
orange prawn crackers and so on.
These half products are normally made by a double extrusion process,
i.e. feeding a forming extruder by a cooled pipe die from a cooker extru-
der. Complete cooking of the starch is essential unless a pre-gelatinised
starch is used. Greater than 60% starch is needed for maximum ultimate
expansion and to avoid hard flinty textures. Lecithin or monoglyceride
emulsifiers together with a little cocoa butter give more uniform cell struc-
tures.
Low shear, high conductive heating followed by a densifying and die
cooling stage is important. Flavour and colour incorporation should be
done about three diameters before the forming die. There should be negli-
gible expansion at the die of the forming extruder. If expansion becomes a
problem, the numbers of holes in the forming extruder die may be
increased or the land length of the die reduced. The extrudate should exit
at between 90 and 110°C.
Products are cut directly using a concentric rotary knife c. 0.7 mm from
the die, by a flexible blade pressing directly on the die (if no die inserts
are used); or the strands may be cooled like spaghetti and subsequently
fed into a cutter (lawn mower-type).
Thick flakes may be prepared directly using slit dies at 70°C. It is more
normal to prepare thin flakes by rolling after a little drying. A twin drum
is normal with the air entering the inner drum via perforations or louvres.
The inner drum also contains lifting segments on an inner worm. Tem-
peratures of 55°C (or 65°C if the pellet contains bran) aid flakeability.
Oversized pieces and fines may be removed by a grading system.
Flaking roller gaps down to fifteen thousandths of an inch are practical.
But no speed differentials between the rollers are permitted at these
narrow gaps otherwise metal transfer can occur if the rollers contact. If a
smearing effect produced by differential roller speeds is desired, wider
gaps should be employed. After the product is pulled through the nip to
the final thickness, there is a degree of textural memory which can cause
dishing or puckering. If this is a problem the temperature and moisture
content may be adjusted or for a very flat piece a two-stage double flaking
may be used.
Fast drying of the product reduces any subsequent oil uptake by
causing a change in porosity. Air conveying can assist drying and prevent
pellets adhering to each other. Drying will be complete when the product
reaches c: 12% moisture. This normally takes 1-3 h. Air temperatures
during drying should be 70-95°C to ensure a fairly even distribution
throughout the pellet. A cooling to 35-65°C is needed. One day's storage
for moisture equilibration is beneficial. The products can then be fried in
cocoa butter (for subsequent chocolate compatibility), microwaved or
expanded in puffing ovens. Direct use in muesli bar formulae, as engross-
ing agents on caramel coated bars before chocolate coating, or dusting
with dextrose and fruit acid blends for direct consumption follows.
6.21 Other areas
In this chapter, the wealth of confectionery applications has been only

partly covered. Several areas have been deliberately excluded because they
also fall into other technological sectors. These are briefly described here
because they are of much confectionery interest.
Flatbreads are used as wafer substitutes, components of super imposed
layered bars, sticks, chips and tubes. They are a good component for con-
fections because high sugar levels mask their extruder flavours. The
encapsulation of fats in the cooker extrusion of flatbreads can reduce
potential rancidity.
U-shaped troughs are filled with many different confectionery materials
such as walnut [61] or raisin paste [62]. They mayor may not be rolled up
and top seamed with polytetrafluoroethylene (PTFE) formers before
further processing. This process enables heat sensitive materials to be
applied cold to the trough.
Co-extrusion is widely employed although the products first reached the
market only 6-7 years ago. The classic round tubes are already being left
by the wayside as confectionery manufacturers develop more interesting
alternatives. Finkel [63] describes the use of tempered chocolate with gly-
cerine co-extruded around non-aqueous batter for subsequent microwav-
ing. This results in a wafer core in a chocolate outer covering. Extruded
biscuits can be filled with fruit and creams for covering with chocolate
[64]. Such products can be made by two extruders (one for the filling, one
..LIs",,,
' --<:>-----111 Feeder
Fondant
Extruder
Hea, MIX1ure
to 240 F
Flavors & I Ii
Addilives ~--<>-_.,.
JIiJ J lIy
Formulallon
Cool to 120 F Flavor5&~

Addilives
and ml.
Vent or
/vacuum
.----tI--.---1t--t-L-I~____It____- ......____It_'_..... Jelly Filling

Extrudor
I I
Coo/to 180 F Heal 10 290 F
To Cooling B II & Cut1er
Figure 6.6 Typical flow for production of co-extruded confectionary (reproduced by kind
permission of Wenger).
for the shell) mounted at right angles to each other and sharing the
common die. Pulling or stretching the tube can be used to affect filling to
shell ratio (Figure 6.6).
Co-extruded articles can be pinched into pillows using crimper formers
and strips of linked pillows used as countline centres. These can be given
smooth surfaces by using plastic dies or 'Teflon' die inserts.
6.22 Conclusions
Most confections can, if desired, be made by a cooker extrusion route.
Many consumers are now coming to accept the slightly different taste and
texture of extruded confections and 'culture shock' is being reduced.
However, only in those situations where economic, hygienic or technolo-
gical advantages ensue will the technology be taken up. The high thermo-
dynamic efficiencies, low space needs and versatility are important. A key
consideration is capacity where even the largest machines can fail dismally
in certain confectionery applications. The low operation costs (especially
as extrusion lines can be left unmanned) are significant when many con-
fectionery lines are labour intensive.
Innovation by novel extrusion applications will undoubtedly affect the

popularity of established confections [65]. The main thrusts in the devel-
opment of confectionery cooker extrusion are expected to be creating
something different.
Acknowledgements
APV Baker Ltd, Manor Drive, Paston Parkway, Peterborough PE4 7AP, UK.
Aqualon France, Usine d'Alizay, 27460 Alizay, France.
Bramigk and Co Ltd, 2a Towcester Road, Empson Street, London E3 3ND, UK.
B.O.C. Special Gases, 24 Deer Park Road, London SWI9 3UF, UK
Cerestar UK Ltd, Trafford Park, Manchester M17 IPA, UK.
Clextral, BPIO, I rue du Colonel Riez, 42702, Firminy Cedex, France.
C.N.l., 4 rue Frederic Passy, BP3-92205, Neuilly-sur-Seine, France.
Firmenich UK Ltd, Hayes Road, Southall, Middlesex UB2 5NN, UK.
Gelatine Products Ltd., Sutton Weaver, Runcorn, Cheshire WA7 3EH, UK.
Haarman and Reimer GmbH, Postfach 1253, 3450 Holtzminden, Germany.
H. P. Bulmer Pectin Ltd, Plough Lane, Hereford HR4 OLE, UK.
Institute of Food Science and Technology, 5 Cambridge Court, 210 Shepherd's Bush Road,
London W6 7NL, UK.
Leatherhead Food RA, Randalls Road, Leatherhead, Surrey KT22 7RY, UK.
Loders Crocklaan Ltd, Cairn Mills, Factory Road, Silvertown, London EI6 2EL, UK.
National Starch and Chemical Corporation, Finderne Avenue, Bridgewater, NJ 08807, USA.
Nestec York Ltd, PO Box 204, York YOl IXY, UK.
Newsome Ltd, Calderbank, Saddleworth Road, Elland, West Yorkshire HX5 ORY, UK.
Novo Industri AS, Novo Alle, DK2880, Bagsvaerd, Denmark.
PFW (UK) Ltd, PO Box 18, 9 Wadsworth Road, Greenford, Middlesex UB6 7JH, UK.
Rhone-Poulenc Chimie, Division Specialites Chemiques, Departement Biochimie, 18 avenue
d'Alsace, Courbevoie-La-Defense 3, Cedex no 29, F-92097 Paris-La-Defense, France.
Robert Bosch GmbH, Kolnische StraBe 1-3, D-4060 Viersen I, Germany.
Sanofi Bio-Industries Ltd, Sanofi House, Kelvin Road, Faraday Road, Newbury, Berkshire
RG13 2DB, UK.
Textruder Engineering AG, PO Box 1040, 1001 Lisboa Codex, Portugal.
Wenger Manufacturing Inc., 714 Main Street, Sabetha, Kansas 66534, USA.
Werner and Pfleiderer Corporation, 663 East Crescent Avenue, Ramsey, NJ 07446, USA.
Zentralfachschule der Deutschen SuBwarenwirtschaft, De-Leuw StraBe, Solingen-Griifrath,
Germany.
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facture and Marketing, 23 (11), 14-15.
63. Finkel, G. (1989) Chocolate Enrobed Wafer Products and Method of Preparing the Same,
Food-Tek Inc., United States Patent No US 4 812 318.
64. Giorgetti, P., Romani, P. and Strino, E. (1986) Confectionery Product and Process for
Producing the Same, Perugina Spa., United States Patent No US 4 569 848.
65. Meagher, P. (1988), Innovative times, Food Processing UK, 57 (2), 19-21.
7 Extrusion of brewers' hops
K.T. WESTWOOD
7.1 Introduction
The art of brewing has been practised for many centuries. It is only rela-
tively recently, however, that the science involved has been understood to
any great extent. An outline of the traditional process is given below (see
Figure 7.1).
The first part of the process involves the mashing of a malted cereal,
usually barley, with water at a temperature of 60-65°C. Under these con-
ditions, starch is gelatinised and degraded into a spectrum of fermentable
sugars by the action of various amyl otic enzymes. The solution of sugars
resulting from the mashing process is referred to as sweet wort. After
removal of solid material, the sweet wort is then boiled with hops. In this
part of the process bittering precursors, which are present in hops, are
extracted into the boiling wort. At this temperature, the precursors are
then transformed into components which are responsible for the char-
Yith
Water Malted Cereal
ocUye e~,me<J
MASHING
Sweet Wort
Hops WORT OOILING
Bitter Wort
Yeast H.HHENfATION
Beer
Figure 7.1 An outline of the brewing process.

actenstlc bitterness that is associated with beer. When boiling is com-

pleted, after 1-2 hours, the bitter wort is cooled prior to fennentation by
brewers' yeast. Fermentation is complete within 3-7 days and after
removal of the yeast, conditioning and final clarification, the beer is ready
for consumption.
Malted cereals are relatively expensive raw materials and it is therefore
common practice to replace some of the malted grist with cheaper sources
of extract. These supplements are referred to as adjuncts and include raw
cereals such as barley, wheat, maize and rice. Cereals with high gelatinis-
ation temperatures, such as rice, may be cooked separately by the brewer
before addition to the mash. It is in the area of adjuncts where there is
obvious potential for the application of extrusion technology. Review of
work in this area is beyond the scope of this chapter. Suffice to say,
however, that in spite of extensive efforts, technical difficulties arising
from the use of extruded cereals in brewing (high and unacceptable wort
viscosities) have not been overcome to date. As a consequence, as far as
the author is aware, extruded cereal adjuncts are not being used in the
brewing industry.
A less obvious, but more successful, application of extrusion technology
to brewing concerns the other major raw material - hops. In this case, the
extruder is not being used as a cooker but as a reactor, facilitating the
transfonnation of bittering precursor to bittering component. This appli-
cation will now be discussed in detail.
7.2 Application of extrusion technology to the production of bitterness in

beer
7.2.1 Background
As stated above, hops are introduced into the wort boiling stage of the
brewing process in order to impart bitterness to beer. The bittering pre-
cursors present in the hop are a group of three compounds referred to as
alpha acids [1] and their molecular structures are illustrated below (Figure
7.2).
The total alpha acid content of the hop is usually in the range of
2-12% by weight, depending on the variety and the conditions experi-
enced during the growing season. Another varietal characteristic is the
ratio of the individual homologues to each other. Humulone is usually the
major constituent at 30-60% of the total alpha acid content. In some
older varieties cohumulone is the major constituent but is more usually
in the range of 20-40%, with adhumulone being the minor constituent at
5-15%.
These alpha acids are not particularly bitter in their own right, or
readily soluble in beer (5 mg 1- 1 maximum). During the boiling process,
EXTRUSION OF BREWERS' HOPS 239
however, they are extracted into solution and undergo a molecular rear-
rangement referred to as isomerisation. This isomerisation yields a new
class of compounds referred to as iso-alpha acids (Figure 7.3). It is these
iso-alpha acid components which are responsible for the bitterness in beer.
The level of iso-alpha acid required to give the desired bitterness depends
upon the type of beer, e.g. lagers, 15-25 mg 1-1; ale, 25-45 mg 1-1; stout,
45-60 mg 1-1. In general, the more flavoursome the beer, the more bitter-
ness is required in order to balance the flavour.
Addition of hops to the boil, although a traditional process, is ineffi-
cient with yields of iso-alpha acids into beer from alpha acids in the hop
in the region of 25-40%. There are many factors which affect the utilis-
ation of the alpha acids but the most important are discussed below.
7.2.1.1 pH. This is the most important factor. It has long been estab-
lished by brewing chemists that the rate of isomerisation is rapid at alka-
R
R = -CH(CH3lz ; Cohumulone
R = -CH 2CH(CH3lz ; Humulonc
R = -CH(CH 3)CH2CH3 ; Adhumulone
Figure 7.2 Molecular structure of alpha acids which are the bittering precursors present in
hops.
o 0
..
Alpha Acids Iso-Alpha Acids
Figure 7.3 Isomerisation of alpha acids to iso-alpha acids during wort boiling.
line pH. The pH of wort, however, is slightly acidic at 5.0-5.5 and as a

consequence the rate of isomerisation is slow and a large proportion of
alpha acid remains unchanged at the end of wort boiling.
7.2.1.2 Duration of boil. Since the rate of isomerisation is slow, a

longer boil is desirable in order to increase yields of iso-alpha acids. In
practice, however, it is only economic to boil for 45-90 minutes resulting
in a large proportion of alpha acids remaining unisomerised.
7.2.1.3 Solubility of alpha acids. The solids content of the wort will
influence the solubility of the alpha acids. A high solids content, i.e. high
specific gravity, will decrease the solubility of the alpha acids and thus
reduce the efficiency of isomerisation further. This factor is becoming
more significant as breweries strive for greater efficiency of plant utilis-
ation by adopting high gravity brewing techniques.
7.2.1.4 Losses by adsorption. Both alpha acid and iso-alpha acid mole-
cules have hydrophobic regions. As a consequence, they are strongly
adsorbed onto the surface of solid particles such as yeast cells, pre-
cipitated protein and filter media.
The efficiency of bittering beer can be improved by facilitating the

isomerisation of alpha acids, at high pH, outside the brewing process. Iso-
alpha acids resulting from this process are then added to beer after
fermentation with an overall efficiency of 65-70% (alpha acid in the .hop
to iso-alpha acid dissolved in bright beer). Invariably, however, processes
for achieving this improvement in efficiency are multistage, involving
extraction of alpha acid from the hop, isomerisation and a high degree of
purification [2]. As a consequence, these products are expensive, although
still cost-effective provided that 65-70% overall efficiency is achieved.
Alternatively, more simple and less expensive means of increasing the
efficiency of hop usage have been sought over recent years. One such
process, for the production of isomerised hop pellets, was patented in
1978 by Grant [3]. This process involved mixing powdered hops with
magnesium oxide, forming pellets which were then packaged in evacuated
packs prior to heating. Temperatures of 80-100°C for 40-120 minutes
were used. This was sufficient completely to isomerise the alpha acids in
the pellet. In small scale brewing studies, these isomerised hop pellets were
added to the boil in the normal manner and utilisations of 60% were
obtained. In larger scale tests, however, heating at these temperatures,
although perfectly acceptable with regard to isomerisation of alpha acids,
produced pellets which were too hard and did not completely break up in
the agitation created by wort boiling. As a result, utilisations achieved in
small scale trials could not be reproduced on the production scale.
Further development work has led to a process optimised at 50°C for a

period of one to two weeks [4]. Isomerised pellets produced under these
conditions are more friable and readily disintegrate in the boiling wort,
thus yielding maximum efficiency in the brewery.
7.3 Development of extrusion technology in hop processing
The application of extrusion technology to hop processing was first

explored at the Brewing Research Foundation [5] and later in collabor-
ation with APV Baker. Initially the studies were concentrated into two
areas: (a) the chemistry of the process, i.e. effects of temperature, resi-
dence time and choice of alkaline salt and (b) the performance of the
extruded product in small scale brewing trials. Later work involved devel-
opment of the process to give economic throughputs and proving the
product in commercial scale brewing trials.
A basic outline of hop processing, incorporating extrusion technology,
is outlined in Figure 7.4.
All studies concerned with the chemistry of the process were carried out
using an APV Baker MPF 50 twin-screw extruder, with a barrel of length
ratio to diameter 15:1. The nominal throughput of this machine is 100
kg h -1 of cereal. In the case of hops, however, the maximum bulk density
Alkaline salt
Water---....I
Isomerised product
IPACKAGEI
Figure 7.4 Outline of the application of extrusion technology to hop processing.
Feed Water
Zone Zone Zone Zone Zone Extrudate

1 2 3 4 5 Out
Figure 7.S Temperature profile of an extruder when processing hop powder.
that could be achieved after milling was in the range 400-500 kg m- 3,

approximately half that of milled cereal. An added complication in the
case of hops is the presence of sticky resins. Since a smooth and con-
sistent feed into the extruder was considered essential, a relatively low
throughput of 20 kg h - 1 was used for all initial studies. This low
throughput also had the added advantage of increasing the residence time
within the extruder.
A screw configuration was designed which gave good mixing of the hop
powder/alkaline salt mixture and maximum residence time inside the
barrel while still maintaining a forward flow. The die design chosen con-
sisted of two 2.0 mm holes with a minimum dead volume at the end of
the screws. There was no means of controlling product temperature in the
die. With the throughput of 20 kg h - 1 and the screw configuration
chosen, residence time of the product inside the barrel was in the region
of 130-150 s.
The barrel of the extruder is divided into five zones which can be
independently heated (electrical) or cooled, thus giving a desired tempera-
ture profile along its length (Figure 7.5). It is important to avoid steam
generation at the point where the hop powder enters the barrel as this will
increase the risk of bridging across the feed port. Therefore, zone 1 is
operated at 25°C. As the hop powder is conveyed away from the feed port,
heat is gradually applied with maximum set points in zones 4 and 5.
The desired moisture content in the extruded hop is similar to that of
the hop feed, i.e. 7-8%. As the product is subjected to a pressure drop
when expelled from the die, some moisture is 'flashed off'. Because of this,
water is fed into the extruder so that the product moisture inside the
barrel is in the region of 12-15%.
7.4 Process chemistry - choice of alkaline salt
Various combinations of cations and anions were tested under identical

extrusion conditions [6]. Analysis of the extruded products was by high
performance liquid chromatography (HPLC). Of particular interest was

the degree of alpha acid isomerisation and the extent to which any degra-
dation may have occurred. The choice of anions and cations tested was
obviously limited to those acceptable for addition to beer.
The results of these experiments are illustrated below (Figures 7.6 and
7.7). A term referred to as 'extrusion efficiency', E, was used to assess the
performance of each salt and is defined as:
100
80
E(%)
60
40
110 130 150

Product Temperature (0C)
Figure 7.6 Effects of various cations, in the form of the carbonate, on extrusion efficiency E.
OH-
100
Q2-
90
CO}-
E(%)
80
70
cr
110 130 150
Product Temperature (0C)
Figure 7.7 Effects of various anions, as the magnesium salt, on extrusion efficiency E.
E = X + (Y/2.4)
where X = percentage of original alpha acid recovered as iso-alpha acid,
and Y = percentage of original alpha acid recovered unchanged.
The term E takes into account both the degree of isomerisation
achieved and the brewing value of any unconverted alpha acids. In the
case of the experimental brewery to be used in testing the product, the
known utilisation of alpha acids was 25%, while that predicted for iso-
alpha acids was 60%. The utilisation of alpha acids, therefore, was pre-
dicted to be less than that of iso-alpha acids by a factor of 2.4.
An extrusion efficiency of 100% is the ideal since all the alpha acid
would be isomerised to iso-alpha acid without any losses. In practice,
however, a set of extrusion conditions may yield a product where 70% of
the alpha acids were converted to iso-alpha acids, with 25% recovered
unchanged. In this case, the extrusion efficiency, E, would be
E = 70 + (25/2.4) = 80.4%
In Figure 7.6, results from extrusions using different cations are illus-
trated. In each case, the salt was in the form of the metal carbonate and
the addition rate in all cases was two molar equivalents, based on the
alpha acid content of the hops (determined by HPLC). Lower addition
rates (one molar equivalent) reduced the efficiency of isomerisation quite
markedly. Higher addition rates (three molar equivalents) although
increasing isomerisation efficiency slightly, resulted in more heat genera-
tion inside the extruder and, therefore, a more difficult process to control.
Clearly, addition of sodium, potassium and magnesium carbonates resul-
ted in significant isomerisation of alpha acids, with the latter being the
most effective. Other points arising from this series of extrusions were:
(i) Extrusion of hop powder in the absence of an alkaline salt did not
result in any significant isomerisation or degradation of alpha acid.
(ii) Calcium carbonate was not effective in promoting the isomerisa-
tion reaction.
(iii) In all cases where isomerisation had occurred, significant degrada-
tion of both alpha and iso-alpha acids was induced at higher tem-
peratures. This was particularly true in the case of potassium
carbonate.
Another observation made during the course of these extrusions was
that extrudates produced using sodium or potassium carbonate were dark
brown in colour. Extrudates produced with magnesium carbonate were
green, although much darker than the original hop powder.
After this series of extrusions, it was concluded that magnesium was the
preferred cation for reasons of greater extrusion efficiency and production
of a visually more pleasing product.
The influence of the anion was then determined by carrying out a

second series of extrusions using different magnesium salts (two molar
equivalents based on alpha acid analysis by HPLC). Results from this
series are illustrated in Figure 7.7. Magnesium oxide and hydroxide
proved to be the most effective salts, yielding complete isomerisation of
alpha acids over a wide temperature range. Since there was no evidence of
degradation, it was concluded that by using these salts, extrusion of hops
could be a highly efficient and robust process.
During the course of the above experiments it became clear that most
of the heat energy being applied to the extruder was in the form of
cooling. After initial electrical heating in zones 2 and 3, product tempera-
ture was further raised in zones 4 and 5 by a combination of friction and
heat generated by the isomerisation reaction. In all cases, the product
temperature was always higher than the set points for zones 4 and 5. The
difference between set point and product temperatures was dependent
upon the screw configuration, feed rate, product moisture, choice of salt
(potassium salts generated more heat than the magnesium equivalent) and
salt addition rate.
7.5 Composition and quality of extruded hops
In Table 7.1, the composition of a typical extruded hop, produced with

magnesium oxide under optimum conditions, is shown.
Table 7.1 Composition of a typical extruded hop
Hop powderl
magnesium Extruded
oxide hop
Iso-alpha acids (%w/w) nd 6.6

Alpha acids (%w/w) 6.6 nd
Beta acids (%w/w) 3.2 3.1
Moisture (%w/w) 8.5 8.5
Hop oil (ml/lOOg) 0.8 0.5
nd-not detected.
In the example in Table 7.1, isomerisation was complete and, therefore,

no residual alpha acids could be detected in the extruded product. Beta
acids are particularly prone to oxidation and the good recovery of these
constituents is reassuring with regard to the conditions experienced by the
hop.
Over a wide range of extrusion conditions, loss of hop oil due to 'flash
off' upon leaving the extruder, was in the range 30-50%. Examination of
the surviving oil, using combined gas chromatography and mass spectro-
metry, indicated that its composition was similar to that in the original
hop. The only change that was detectable was a slight enrichment of the
less volatile oxygenated compounds in the extrudate oil.
7.6 Experimental brewing studies with extruded hops
In all, seventy beers were produced in an experimental brewery (59 litres)

using hops extruded with either potassium or magnesium salts [6]. Control
beers were produced using normal hop powder. Hop utilisations achieved
in these trials are given in Table 7.2.
Table 7.2 Utilisations achieved in experimental brewing

trials using extruded hops
Bittering Ale(%) Lager (%)
Hop powder 22 28
Potassium extrudate 53 52
Magnesium extrudate 57 56
Utilisations calculated based on HPLC determinations

of alpha acids/iso-alpha acids in powder/extrudate and iso-
alpha acids in beer.
Utilisations achieved using hop extrudates were similar for both beer
types and superior to those obtained with hop powder. Hops extruded
using magnesium tended to perform slightly better than the potassium
product, a consequence of the more efficient isomerisation. It should be
noted that utilisation of iso-alpha acids, when added to boiling wort, is
not expected to be much in excess of 60%, even though isomerisation of
alpha acids is no longer a factor. This is because losses of iso-alpha acids
by adsorption onto proteinaceous material precipitated during wort
boiling, yeast and filtration media are still significant.
All beers produced with extrudates were analysed thoroughly and com-
pared with the control beers produced with hop powder. It was concluded
that there were no significant differences between the beers in any of the
analytical parameters measured, including flavour and flavour stability.
Independent brewing trials, using mainly hops extruded with potassium
carbonate, carried out by Ormrod and Sharpe [7] confirmed the above
findings.
7.7 Process development to commercial scale production
The objective of further process development was to increase throughput

to an economic level, without sacrificing extrusion efficiency or product
quality. It was decided that economic throughputs would be a minimum

of 50% of the nominal cereal throughput, i.e. for extruders used in these
trials, target throughputs were
MPF 50-50 kg h - I (nominally lOO kg h - I cereal)
MPF 80-200 kg h- I (nominally 400 kg h- I cereal)
Note that for this stage of the project, for both the MPF 50 and MPF 80
extruders, the barrel dimensions (length:diameter ratio) were increased to
25:1, from 15:1.
In the small scale experiments described above, it was convenient to
obtain hop material in the form of vacuum packed pellets. Stored in this
form, the bittering components are protected against oxidation and,
therefore, reasonably stable. Sufficient pellets were then remilled just prior
to each experiment. Considering a commercial scale process, it would be
cheaper and more convenient to mill cone hops and extrude directly, thus
eliminating the need to produce the intermediate pellets.
Powdered cone hops, produced by a single milling operation, were
obtained from a commercial hop processor. The bulk density of this
powder was 187 kg m -3 compared with 500 kg m -3 for milled hop pellets.
Results of trials carried out with the powder derived from cone hops are
summarised in Table 7.3. As expected, when feed rate was increased, resi-
dence time within the extruder was decreased and product temperature
increased due to the generation of more shear and heat of reaction. With
regard to efficiency of isomerisation, the decrease in residence time and
increase in product temperature have opposing effects. In this particular
trial, isomerisation was considered complete for all feed rates tested.
As feed rate was increased it was found necessary to increase screw
speed to ensure removal of hop powder away from the feed port. At a
feed rate of 39 kg h - I, there was a tendency for the powder to bridge
across the feed port. When this occurred, extrusion conditions became
Table 7.3 Results from scale-up trials using single milled cone hops through MPF 50
extruder
Temperature
Feed Screw Residence Maximum Product Conversion
rate speed time set point
(kg h- I ) (rpm) (s) eC) (0C) (%)
19 150 110 100 133 >95

25 175 105 100 139 >95
30 175 85 100 143 >95
39 200 70 100 140 >95
43 200 65 100 142 >95
unstable and, in extreme cases, the product overcooked and resulted in a

blockage in the die. Even when bridging was prevented, it was found that
at a feed rate of 43 kg h -1, the screw configuration could not transport
powder away from the feedport fast enough. As a consequence, hop
powder backed up inside the barrel, eventually causing a blockage in the
feedport itself. It was concluded that the maximum throughput for this
type of hop powder in this extruder was 35 kg h -1, i.e. 70% of the
desired minimum.
Further trials were carried out with the milled hop pellets, bulk density
500 kg m- 3 , used in earlier experiments. Results obtained in scale-up
trials using this powder are illustrated in Table 7.4. Clearly, this heavier
hop powder proved to be much easier to feed with throughputs of up to
80 kg h -1 attainable. Again, it was found necessary to increase screw
speeds at the higher feed rates in order to prevent the hop powder
backing up inside the barrel. As in the previous trials, product tempera-
ture increased with higher feed rates. At product temperatures > 150°C,
discoloration started to occur. As a consequence, at higher throughputs it
was found necessary to lower the barrel set point temperatures to keep
product temperature below 150°C. A combination of shorter residence
times and having to restrict product temperature to < 150°C resulted in
poorer conversions of alpha to iso-alpha acids at higher throughputs.
These trials clearly illustrated, however, that the target throughput for this
size of extruder, 50 kg h -1, was achievable in terms of feeding character-
istics of the hop powder, degree of isomerisation and product quality.
From the two trials described above, the handling characteristics of the
hop powder produced to feed this process are fundamental to its viability.
Commercial application of this process would obviously require some
development of the milling process in order to produce a suitable powder
Table 7.4 Results from scale-up trials using milled hop pellets through MPF 50 extruder
Temperature
(kg h- 1 ) (rpm) (s) caC) caC) (%)
20 150 110 100 130 >95

29 150 85 100 139 >95
39 150 70 100 143 >95
44 175 65 100 148 95
50 175 60 100 150 >95
54 200 55 95 148 95
60 225 50 95 150 89
70 250 43 90 152 86
80 300 40 90 153 79
capable of being fed into the extruder at the required rate and without
resorting to the need for production of expensive hop pellets.
Having achieved the minimum commercial throughput for the MPF 50
extruder, the conditions were then to be transferred to the larger MPF 80
machine (the size of machine considered suitable for commercial produc-
tion). It soon became obvious that the conditions developed on the
smaller extruder could not be transferred directly to the larger machine.
The torque registered on the MPF 80 was much higher, as was the
product temperature which could not be controlled. By modification of
the screw configuration, particularly reducing the number of mixing
paddles, the torque was reduced to acceptable levels. The amount of shear
experienced by the product was also reduced, thus enabling the heat gen-
erated within the extruder to be controlled.
Results of trials using the MPF 80 extruder are illustrated in Table 7.5.
In order to achieve the required degree of conversion of alpha to iso-
alpha acids, it was found necessary to reduce the screw speed. There were
no problems with powder backing up inside the barrel since the restriction
to flow caused by mixing paddles had been reduced. In addition, the
amount of shear applied to the product was also reduced with the
removal of mixing paddles, enabling product temperature to be con-
trolled. In fact, it was necessary to increase the set point temperatures in
order to maintain the product temperature sufficiently high to allow con-
version.
Brewing trials with the extruded hops produced in these trials con-
firmed that product quality had not been compromised by the modifica-
tions to the process necessary to achieve commercial throughputs [8].
Table 7.S Results from scale-up trials using milled hop pellets through MPF 80 extruder
Temperature

(kg h- 1 ) (rpm) (s) (0C) (0C) (%)
200 200 35 50 145 89

200 175 40 70 143 91
200 175 46 100 150 >95
200 130 52 100 144 >95
7.8 Conclusions
The application of extrusion cooking technology to hop processing is

technically feasible. By achieving complete conversion of the bittering pre-
cursors in hops, alpha acids, to the bittering principals in beer, iso-alpha
acids, considerable value is added to the hop material. As demonstrated
above, production rates considered to be commercial can be achieved
although further development is still required, particularly with regard to
the milling of hops. Whether this process is economically viable when
competing against other processes achieving the same conversion remains
to be seen.
References
1. Verzele, M. (1986) J. Institute of Brewing, 92, 32-48.

2. Clarke, B.J. (1986) J. Institute of Brewing, 92, 123-130.
3. Grant, H.L. (1978) US Patent 4,123,561.
4. Burkhardt, R. and Wilson, R. (1990) US Patent 4,946,691 A.
5. Laws, D.RJ. (1988) US Patent 4,780,330.
6. Westwood, K.T. and Crescenzi, A.M.V. (1989) Proceedings of European Brewing Conven-
tion Congress, pp. 259-266.
7. Orrnrod, I.H.L. and Sharpe, F.R. (1989) Proceedings of European Brewing Convention
Congress, pp. 251-258.
8. Brown, J.W. (1993) Ferment (periodical published by the Institute of Brewing), in press.
Index
acetylated corn starch 215 co-kneaders 4

acetylated monoglyceride 202 colours 75
acid calcium phosphate 47 control 125, 180
adhumulone 238 conveying volume 5, 7, 8, II, 14
adiabatic extruders 30, 37, 89 cookers
adjuncts 238 boiling water 88
agar 216 steam 88,91
agitators 7 corn see maize
alginates 202 corn curl 17
almond paste 229 co-rotating screws 5, 196
alpha acid 238 cracknel 209
amyloglucosidase hydrolysis 160 crisp bread 17
amylo pectin 194 cross channel flow 2
amylose 57, 194 croutons 227
antimycotic agents 152 cylindering 4, 5
aquatic feeds 153
degassing 8, 195
baked collets 126, 141 devolatilisation see degassing
barley 75 diamylopectin phosphate starch 228
barrel dicalcium phosphate 70
fill 4, 6, 8, II, 15 dies
jacket 4 aperture 28
length 4,32 cutting 46, 96, 139
temperature 30, 62 entrance effects 27
valve 14 exit effects 27
wall 2 head filling 129
boiled sweets 207 multihole 28
breakfast cereals pressure 2, 3, 6, 15, 25, 47
formulation 54 primary 28
market 73 temperature 30
bulk density 9, 12,49 dietary fibre 79
differential scanning calorimetry 215
calcium caseinate 47, 209 disodium phosphate 107
canola oil 150 distributive mixing 4
caramel 206 doctor blades 91
carboxymethyl starch 223 doctor syrups 20 I
cationic starch 223 drag flow I, 5, 6, 118
cavity mixers 12 driers 119, 136, 172
cellulose 114, 151
centre line distance 9 eel food 153
cereal ageing effects 64 egg albumen 47, 224
cereal composition 63 egg yolk 47
chewing gum 225 emulsifiers 47, 54, 113
chocolate 196, 219 energy balance 38, 83
citric acid 47, 226 enzyme inactivation 218
clamshell barrel 118, 215 enzyme reactions 222
coating 24, 79, 120, 198 equilibrium relative humidity see water
cocoa 218 activity
coextrusion 22, 127, 131, 142, 171, 198 expansion 53, 64
cohumulone 238 expansion ratio 185
252 INDEX
fabricated chips 136-139 Maillard browning 31, 56, 70, 200

fats 73 Maillefer screws 195
fat content 164 naize
feed grits 3
port 4 malt 47
rate 7 meal 75
systems 7, 116, 158, 193 waxy 57
zone 8 Maltese cross 216
fibre 59, 67, 114 marshmallow 224
fillings 132 marzipan 8
fish waste 146 meat 156
flaking 230 mechanical energy
flavour 76, 199 melt 12, 15, 61
flavour development 82, 92 methoxyl pectins 212
fondant 228 micronising cocoa beans 191
formers 96, 99, 116 minerals 79
free volume 10 moisture 3, 13, 17, 27, 32, 67, 126, 185
fried collets 123 motor size II
fructose 70 multi start screws 14
fudge 206
Newtonian flow 3
gelatine 47, 201 nitrogen solubility index 146, 183
gelatinisation 12, 57, 82 non-Newtonian fluids 25
glucose 70 nonpareils 211
glucose syrup 197
glycerol monostearate 46, 63, 69, 113 oats 40, 68, 75
grain 2 orific disc 12
graining 207 oven puffing 101
gum arabic 200, 211, 216
gums 214 paddles 12
palatability 82, 152, 161, 169, 173
hop isomerisation 239 particle size 30,61, 155
hop oil 245 pasta 29, 55, 228
humulone 238 pea starch 68
pectin 47,201,215
ice cream 226 pellets 24, 44
indirect expanded snacks 133 pepsin 107
ingredients 47, 75 pH 239
injection phosphoric acid 70
of acid 218 physically modified starch 47
of gas 9, 32 pipe dies 15
instantized cereals 107 potato
intermeshing screws 4 derivatives 63
inversion 208 flake 14
isothermal extruders 31 flour 15
granules 16
Klucel HPC 210 starch 29
Krokant 209, 229 sticks 128, 140
power 9
lactic acid 146 preconditioning 32, 39, 43
lactobacillus 143 preservatives 75
land length 26,28, 176, 198 pressure flow 26
lecithin 69, 113 pressure transducer 50
lipid 63, 149 process flowchart 38
liquers 209 product size 4
liquorice 5, 201 propylene oxide 223
locust bean gum 215 protein
low shear extruder 90 denaturation 31
lysine 56, 160 dispersibility index 65, 183
INDEX 253
protein contd starch granules 56, 62, 217

globulins 59, 65 starch swelling 41
glutenin 53, 56, 58 start up 48
prolamin 65 starve feeding 4, 7, 61
soya 64, 65, 145 steam injection 32, 89, 90, 98, 116
pumps 9 steam locks 224
stearic acid 211
raw materials see ingredients stearoyl lactylate 69
reducing sugars 207 stickiness 46, 60, 69, 84, 107, 215
residence time distribution 5, 14 sucrose 70
retention time 4, 37 sugars 47, 75, 196
reverse pitch element 35 sugar beet fibre 115
rheopectic behaviour 27 syneresis 202, 215
rice cones 2
root crops tallow ISO
rice 58, 75, 112 tapioca 29
tapioca 112 texturisation 27, 40, 65
waxy rice 58 thermal control 31
thermal stability 49
salt 70 thermocouples 32
salters 120 thixotropicity 27
scale up 16, 31, 33, 35 toasting 94
screw toffee 206
geometry 3, 6-8, 11, 17, 19, 165 toric ring 200
pitch II torque 9, IS
speed 3, 5-7, II, 14 tortilla chips 79
tip speed 36 transitube 120, 227
self-wiping 9 tricaJcium phosphate 47
semi-moist petfoods 152 troubleshooting 187
semolina 61
sensors 49 vapour lock 12
shaft diameter 9, II vegetable oil 47, 68, 75
shear 4 venting see degassing
shear stress 25 vermicelli 211
shredding 24, 81, 104 viscoelasticity IS, 140
shutdown 48 viscosity 3, 5, 6, 26
single-screw extruders I, 167 viscous heat dissipation 12, 28
skimmed milk powder 47 vitamins 76, lSI, 183
snackfood market 100 vitamin stability lSI
snackfoods 53 volumetric capacity 12, 16
snack pellets 119, 134, 230 volumetric feedrate 8, II
sodium bicarbonate 47
sodium chloride 47 water absorption 182
sorbitol 208 water activity 173
soya wear 9, 11, 13, IS, 32, 163
beans 64 wheat
flour 47 bran 47
protein 27 flour 75
specific energy consumption 16, 47, 62 gluten 27, 47, 65
specific heat capacity 33
stability 7, 15 XLT screws 14
starch 7, 67, liS, 147

The Technology of Extrusion Cooking - Frame

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The Technology of

SPRINGER-SCIENCE+BUSINESS MEDIA, B.V.

Typeset in 10/12 pt Times New Roman by Acorn Bookwork, Salisbury,

Extrusion cooking is a specialist area of food technology because of the

1 Operational characteristics of the co-rotating twin-screw extruder 1

2 Raw materials for extrusion cooking processes 52

3 Breakfast and cereal extrusion technology 73

4 Snack food extrusion 110

4.7.3 Effect of expansion forces 140

5 Petfood and fishfood extrusion 144

6 Confectionery extrusion 190

6.18 Croutons 227

7 Extrusion of brewers' hops 237

Mr E.T. Best Westreco Inc., Missouri Development Centre, 3916

Mr N.D. Frame APV Baker Ltd, Manor Drive, Paston Parkway,

Dr R.C.E. Guy Flour Milling and Baking Research Association,

Mr G. Moore 3200 Fruit Ridge Avenue, NW, Grand Rapids,

Mr G.J. Rokey Wenger Manufacturing, Sabetha, Kansas 66534,

Dr K.T. Westwood Brewing Research Foundation, Lyttel Hall,

1.1 Types of extruders

Extruders come in a wide variety of sizes, shapes and methods of opera-

1.1.1 Single-screw extruders

single-screw extruders have grooves cut into the barrel in order to

In summary, it is important to remember that the net flow through a

The greater resistance causes higher die pressure and reduction of

1.1.3 Counter-rotating twin-screw extruders

Application of these extruders in food manufacturing tends to be

1.1.4 Co-rotating twin-screw extruders

Figure 1.2 Directional flow of material along co-rotating intermeshing screws.

Table 1.1(a) Drag and pressure flow parameters for a 50 mm

30 0.25 51.1 0.508

Table 1.1(b) Drag and pressure flow

1.2 Process characteristics of the twin-screw extruder

The remainder of this chapter is dedicated to the operational character-

1.2.2 Screw design

1. volumetric flow requirement

mise production stoppage due to feed chute blockage. As an alternative to

Table 1.2 Volumetric capacity of APV Baker MPF screw elements

Total Cross-sectional Conveying

Twin lead 1.468 D2 47.6 0.699

1.2.3 Screw speed

another, for example, the residence time or product temperature will be

1.2.3.1 Specific energy consumption. It is important to understand and

By definition: S = motor power used (kW h/kg)

1.2.4 Screw configurations

1.2.4.1 Case study 1. Effect of process variables on torque, die pressure

Table 1.3 Crispbread production: screw configuration 1

2 320 220 24.5 800 79 0.149 30 60 90 120 120

Table 1.4 Crispbread production: screw configuration 2

2 320 250 25.0 850 79 0.151 30 30 60 90 90

die by increasing the barrel fill. The torque consequently increases as a

1.2.4.2 Case study 2: Corn curls. Effect of screw configuration and

Screw Water Die Product die Product bulk

1 400 2 1350 32 0.115 146 56 Coarse 1

4. Post extrusion process

J.2.4.4 Case stUlJy 4: lJirecl expalltif!lJ cereal

3. Extruder process paramelers

,f, '"'" """'

1.2.4.5 Case study 5: indirect expanded cereal. Production of breakfast

3. Extruder process parameters

Cl Transition Distribution Die

1.2.5 Die design

ques used, assuming a Newtonian fluid under isothermal conditions. The

where Q = volumetric flowrate, Po = total pressure drop and J.1 vis-

Cp = (4.2 x )+ 1.4 (1 - )

liquid injection ----~~~*~$~~~~