Aramouni, Fadi - Deschenes, Kathryn - Methods For Developing New Food Products - An Instructional Guide-DEStech Publications (2015)

METHODS
for DEVELOPING
NEW FOOD PRODUCTS
An Instructional Guide
FADI ARAMOUNI, Ph.D.

Professor of Food Science
Kansas State University
KATHRYN DESCHENES, M.S.

Food Science, Deschenes Consulting, LLC
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This work is dedicated to the several people
whose immense sacrifices and inexhaustible love
made all the difference in my life:
My mother, Violette, my father, Michel, my wife, Mary,
and my two sons, Daniel and Alexander
To my husband, Joshua, my parents,

Johnnie and Karen, and my brother, John.
Life is best spent in good company
Methods for Developing New Food Products
DEStech Publications, Inc.

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M ai n en t r y u n d e r t i t l e :
M e t h o d s f o r D e v e l o p i n g N e w F o o d P r o d u c t s : An I n s t r u c t i o n a l Gu i d e
A DE S t e c h P u b l i c a t i o n s b o o k
Bibliog rap hy: p .
In c lu d e s in d e x p . 3 7 3
Library of Congress Contro l Nu mber: 20149 47441

ISBN No. 9 78-1-60 595-112 -6
Table of Contents
Preface xi
Acknowledgements xiii
1. Overview of Food Product Development . . . . . . . . . . . 1

Idea Generation 2
Screening 2
Feasibility 3
Test Marketing 8
Commercialization 9
Product Life Cycles 10
Summary 10
Key Words 11
Comprehension Questions 11
Exercise 1.1: Market Screening 12
References 13
2. Consumer Preferences, Market Trends,

and Creativity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Consumer Preferences 15
Market Trends 17
Creativity 18
References 18
v
vi Table of Contents
3. Functionality of Food Components . . . . . . . . . . . . . . . 19

Carbohydrates 19
Lipids 32
Water 39
Proteins 40
Summary 41
Key Words 42
References 43
4. Physical and Chemical Properties of Food . . . . . . . . . 45

Acidity 45
Water Activity 51
Temperature 55
Brix 57
Color 57
Particle Size 61
Texture 62
Thermal Properties of Food 63
Density 64
Microbial Properties 64
Summary 66
Key Words 66
References 69
5. Sensory Analysis and Consumer Evaluation

in Food Product Development . . . . . . . . . . . . . . . . . . . 71
Sensory Evaluation in Food Product Development 71
Summary: How to Get the Most Out of Sensory Analysis 84
Key Words 84
References 85
6. Food Additives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Regulation of Food Additives 87
Major Uses of Food Additives 89
Table of Contents vii
Categories of Common Food Additives 93

Key Words 122
References 124
7. Formulation and Process Development . . . . . . . . . . 125

Formulations 125
Key Words 134
References 136
8. Experimental Design in Food Product

Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
Elementary Concepts in Statistics 139
Summary 144
Key Words 144
Reference 145
9. Basic Units of Operation . . . . . . . . . . . . . . . . . . . . . . . 147

Material Handling 147
Moving and Storage 148
Cleaning 148
Quality Separation 149
Peeling 150
Disintegrating 150
Separation 150
Protective Line Equipment 151
Blanching 151
Pumping 151
Mixing 152
Coating 152
Chilling 152
Extrusion 154
Frying 154
Freezing 154
Drying and Dehydration 155
Thermal Processing 156
viii Table of Contents
Canning 157
Labeling and Coding 158
Irradiation 159
Metal Detection and X-Ray Diffraction 159
Summary 159
Key Words 159
References 160
10. Regulatory Considerations . . . . . . . . . . . . . . . . . . . . . 163

Cities and Counties 163
States 165
The FDA 166
The USDA 166
Federal Trade Commission 168
Summary 181
Key Words 182
References 183
11. Packaging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185

Levels of Packaging 185
Steps to Determining Packaging 187
Packaging Material 190
Issues and Concerns 195
Summary 196
References 197
12. Economic Feasibility Analysis . . . . . . . . . . . . . . . . . . 199

New Business Analysis 201
Summary 215
Key Words 215
References 216
13. Confidentiality and Intellectual Property Rights . . . 217

Patents 217
Copyright 219
Table of Contents ix
Trademarks 220
Trade Secrets 220
Confidentiality 221
Summary 222
Key Words 223
References 224
14. Shelf-Life Testing and Date Coding . . . . . . . . . . . . . . 225

Intrinsic Factors 225
Extrinsic Parameters 228
Types of Deterioration 229
Shelf-life Dating 232
Shelf-life Testing 234
Summary 237
Key Words 237
References 238
15. The Essentials of Marketing Food Products . . . . . . . 239

Organizing Marketing Functions 240
Consumption 244
Participants in the Marketing Process 250
Test Marketing 252
Summary 272
Key Words 274
References 275
16. Labeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

Parts of a Food Label 277
Summary 295
Key Words 296
References 297
17. Controlling the Quality of New Food Products . . . . . 299

Importance of Quality Control 299
Summary 309
x Table of Contents
Key Words 310

References 311
18. Safety Concerns for New Food Products . . . . . . . . . 313

Microbial Contamination 313
Bacterial Causes of Food-borne Illness 319
Physical Contamination 329
Summary 332
Key Words 332
References 333
19. Pre-Requisite Programs, HACCP, and

Audit Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
Pre-requisite Programs 335
Auditing 341
Hazard Analysis Critical Control Point (HACCP) 341
Summary of Auditing 352
Key Words 352
References 353
Appendix A: Guide to the Code of Federal Regulations 355

Appendix B: Creating a Focus Group Moderator’s Guide 357
Appendix C: Guide to Product Development Competitions 365
Appendix D: Conversion Tables 371
Index 373
About the Authors 377
Preface
T HE ideas in this text include and yet transcend the concepts nor-
mally offered in food science courses. They speak to practical and
business issues, such as food marketing, product feasibility and industry
expectations for oral and written communication. Much of the applied
technology covered herein is derived from consultation with experts
in areas such as these. While the book aspires to provide a review
and overview of information required by a well-informed specialist
in the food industry, no single volume can cover everything. Hence,
the book is a stepping-stone and guide for the readers’ own work and
research.
The content and organization of this book were originally developed
and delivered for a capstone course at Kansas State University. Students
who participated in the course and applied its ideas have won many
competitions and awards, including:
• First place four years in a row at the American Association of Cereal

Chemists Product Development Competition
• First place in Danisco Ingredients R&D Competition
• Third place three times in the IFT’s Student Division’s Annual Prod-
uct Development
• Grand Prize in the Disney Healthy Snack for Kids
• First place in the Almond Board of California Competition
• First place twice in the Cherry Marketing Institute’s New Food Prod-
uct Competition
• Dairy Management’s Most Creative Product Award
xi
xii Preface
• Finalists in Raisin Board of California Bread Competition three

years in a row
• Finalists in Research Chefs of America Competition
• Finalists in Dairy Institute Competition
For students the book provides the framework for understanding

and appreciating the complexity of food development projects. As the
foregoing list attests, the book also forges tools for success in working
individually or on teams to create or enhance food products and product
lines.
This text also offers challenges and opportunities for instructors, not
only in capstone but in other courses. Because product development
is by its nature a broad and interdisciplinary set of tasks, the teacher
is called upon to present information from specialties that are not his
or her own. Just as the book encourages teamwork among students, it
also lends itself to team teaching, with instructors from different depart-
ments. The book should help students consolidate what they know in a
given area and also venture into new subject matter. In every instance
the book invites readers to apply what they know to developing new
products and at the same time learn from others what must yet be mas-
tered. In this context, it is recommended that students have ready access
to other texts, including ones covering the basics of food chemistry,
statistics, sensory analysis and food processing, which are referenced in
the pages that follow.
Acknowledgements
T HE authors would like to express their sincere appreciation to the fol-

lowing people for their imput on the textbook material: Dr. Thomas
Herald (food chemistry), the late Dr. Carole Setser (sensory testing), Dr.
Donald Erickson (financial feasibility), and Dr. Elizabeth Boyle (HAC-
CP). Their advice and expertise were very useful in the completion of this
project. Finally, a big thank you to Ms. Katie Altstadt, this book would
not have been possible without her hard work and editing skills.
xiii
CHAPTER 1
Overview of Food Product Development
Learning Objectives
• Learn the steps involved in food product development.
• Know the definitions of acid, low-acid, and acidified foods along
with examples of each.
• Know the feasibility barriers to product commercialization.
F OOD product development involves more than just creating the

perfect recipe. Companies must plan extensively, work hard, and
research for an extended period of time in order to produce new food
products. Prior to starting a new development venture, it is imperative
to develop specific objectives and timetables that integrate the future
direction of the business. Companies engage in new product develop-
ment with the hopes of gaining new customers, expanding into new
geographic markets, increasing profits, elevating brand excitement, or
increasing market shares.
Companies large and small introduce thousands and thousands of
new food products each year. The time spent developing new food
products ranges from 6 months to 5 years, depending on the degree of
new technology and innovation. For example, line extension develop-
ment that utilizes equipment that is already in place at a manufacturing
facility usually takes less time to develop than a new product that needs
a custom processing line. The failure rate of new products, which is
defined as a product no longer on store shelves after five years, can be
as high as 90% in some grocery categories.
Larger companies rely on a product development team that includes
food scientists, food engineers, regulatory specialists, marketing ex-
perts, and purchasing gurus, while smaller companies may not even
have a research and development department. Smaller companies may
1
2 OVERVIEW OF FOOD PRODUCT DEVELOPMENT
FIGURE 1.1. The process of product development.
rely heavily on outside resources, such as universities and independent

laboratories in order to create successful products.
IDEA GENERATION
Companies use varying techniques to generate ideas for new products.

Marketing teams may be charged with the central development of ideas
with supplementation of researcher input. Ideas may also come from con-
sumer input. Some companies may not need this step, especially if they
thrive on regenerating competitor’s products. An example of this is hav-
ing a store brand product that is very similar to a name brand product
that is offered. Ideation sessions using participants from all departments
can also be a part of corporate idea generation. After idea generation, the
major steps in developing a new food product may be divided into four
phases: screening, feasibility, test marketing, and commercialization. Idea
generation should be completed by gathering information about trending
ingredients and consumer wants by attending trade shows, keeping up
to date on new product releases by other companies, scanning research
articles and trade publications, and monitoring grocery shelves.
SCREENING
After an idea has been created, the steps of product development

Feasibility 3
begin. Screening is the most critical step in a product development proj-

ect. Thorough testing of product concepts can assist a firm in deciding
whether to invest time and money into a venture, or to abandon the
efforts completely. Project ideas should be congruent with organiza-
tional goals. Project managers should screen ideas throughout the de-
velopment project in order to gauge if the marketplace has shifted in
its acceptability of the concept, ingredient availability, and regulatory
factors. Smaller companies may call on outside firms to assist in market
screening.
Questions for Screening Concepts

Companies can begin by asking a series of questions such as:
• Who will use the product?
• How will it be used?
• What preparation is necessary for the consumer?
• How will the consumer benefit from it?
• Does it have any other uses?
• Who is the competition? How is the product different?
• Where will the product be available?
• How will people find out about the product?
• What will the price be?
Collaboration of departments during the screening step helps to

evaluate individual areas involved in product development including
financial and legal considerations, process and equipment availability,
purchasing power and ingredient accessibility, shifts in the market-
place, and consumer perceptions. Examining markets and conducting
consumer research are vital to product screening.
Consumer testing is essential when screening products. Without con-
sumer testing, companies have no way of knowing consumer needs,
desires, and willingness to purchase. Initial screening may reveal useful
information for later marketing schemes.
FEASIBILITY
Feasibility considerations for a business include regulations, tech-

nology, and finances. By setting up an interdepartmental team, the tools
will be available to answer initial questions of attainability that may be
introduced at any stage during the development process.
Regulations
At the start of a project, firms must be cognizant of the state and/

or federal agencies that regulate a product. In general, products sold
locally (which do not cross state lines) are regulated by state agencies.
A product crossing state lines comes under the United States Food and
Drug Administration (FDA) or the United States Department of Agri-
culture (USDA) jurisdiction depending on the type of food. Some states
allow small food processing businesses to be conducted out of a per-
son’s home, but the processing area must be separated from the living
quarters by solid walls, and there should be no direct entrance from the
living quarters to the food processing area. Some local governments
prohibit in-home commercial food processing, so awareness of local
zoning laws is of utmost importance.
Food—as defined in 21 CFR 321 (f)—is “a raw, cooked, or processed
edible substance, ice, beverage, or ingredient used or intended for use or
for sale in whole or in part for human consumption, or chewing gum.”
Standards of identity state the requirements of individual food products
as defined in the code of federal regulations. An individual product must
meet certain guidelines in order to use a specific name. “Applesauce”,
for example, has strict guidelines on ingredient inclusion in order for
it to be labeled as such (21 CFR 145.110). “Applesauce” must have
a soluble solids content (measured by a refractometer) of at least 9%
if unsweetened and of 16.5% if sweeteners are added. Apples should
be the primary ingredient of the product, but optional ingredients such
as water, salt, apple juice, organic acids, nutritive carbohydrate sweet-
eners, spices, natural flavorings, and a color additive/color preserving
agent can be added in distinct quantities. The FDA and USDA release
publications that give the guiding principles of labeling products under
their jurisdiction titled “Food Labeling Guide” and “The Food Policy
and Labeling Guide” respectively.
Meat and poultry products that contain more than 3% fresh meat, or
at least 2% cooked poultry, and that are intended for sale in interstate
commerce are regulated by the USDA Food Safety Inspection Service
(FSIS). The FDA regulates all other food products with the exception
of seafood, which is regulated by the Department of Commerce and the
FDA.
Due to the potential hazard of botulism, special regulations apply for
heat processed, low-acid canned foods, and acidified foods in hermeti-
cally sealed containers (Code of Federal Regulations CFR 108, 113 and
Feasibility 5
114). Acid foods are those that naturally have a pH below 4.6 and/or
a water activity below 0.85. These regulations are based upon the mi-
crobiological activity of Clostridium botulinum and Staphylococcus
aureus. Low-acid canned foods are defined as processed foods with a
pH greater than 4.6 and a water activity greater than 0.85 with the ex-
ception of alcoholic beverages. Water activity (aw) is a measure of the
water available for microbial growth in a food. Acidified foods are low-
acid foods to which acid(s) or acid food(s) are added to reduce the pH
to 4.6 or below with an aw greater than 0.85. All processors of these
foods must take an FDA-approved course of study often referred to as
the Better Process Control School. In addition, companies must also
provide specific processing information for FDA approval. Products
such as jams, jellies, and barbecue sauces usually have pH values low
enough that they do not fall under these regulations. Most canned veg-
etables and pickled products are subject to low-acid food regulations.
Other regulated areas that require attention fall under two general
categories: health safeguards and economic safeguards. Health safe-
guards protect against the issues of adulteration, natural toxicants, food
additives, residues, and unsanitary processing or holding practices.
Economic safeguards include the issues of labeling, especially with
respect to misleading or false statements, and net contents. More in-
formation on these subjects will be covered in Chapter 10, Regulatory
Considerations.
Technology
In order to launch a new food product, the necessary equipment, fa-

cilities, and processes needed to manufacture a product must be estab-
lished. When products are found to not be technologically feasible, the
project should be terminated.
Formulation
Varying ingredients, processing parameters, and packaging options

will be utilized in order to find the best combination to create the de-
sired product. Sound statistical analysis and good record keeping are
critical at this step. After some initial trials, an experimental design will
cut down on the number of prototypes to be developed which will save
time and money. All formulas and experiments should be detailed in a
laboratory notebook. Each entry should include all necessary details.
This is beneficial when projects are temporarily delayed, last for long
periods of time, or may be passed to other developers at the organiza-
tion.
Ingredients
Considerations when choosing ingredients include whether the com-

modity will be available for purchase year-round or seasonally. Product
developers will generally consider more than one supplier of the same
product to test quality and cost effectiveness. Larger companies may
need to find more than one supplier of the same product to fulfill needs.
If more than one supplier is used, tight product specifications must be
followed by all suppliers.
Processing
If there is an existing facility, what equipment do you already have?

Companies usually try to produce newly developed products on equip-
ment that is already acquired if possible. New equipment is a big capi-
tal expense, so new product development projects are often based on
expanding product lines using existing facilities and equipment. For
this reason, product developers should be aware of what equipment is
available in the location that the product will ultimately be produced.
If the product will be produced in more than one plant, considerations
should fall on what the differences are in the available equipment and
how they can be reconciled to produce commercially similar products.
Facilities
The facility that is available for processing should be considered.

If the company has acquired a new plant, the water supply and sew-
age systems will need to be inspected. The conditions inside the plant,
such as temperature and relative humidity control, should be taken into
account. Facilities in areas with high humidity and heat in the sum-
mer without controls for these conditions may have to modify operating
conditions to produce quality foods.
Packaging
Packaging is an important part of a consumer’s appeal for a prod-

Feasibility 7
uct, especially with first time purchases. It is important to consider how

consumers will view the packaging and if it will convey the product’s
quality goals, such as being a high quality premium product or a generic
grade. Marketing, product developers, and packaging engineers should
consider the types of packaging materials that are being used on com-
petitors’ products and how to set themselves apart.
Distribution
Products that require special distribution needs include frozen and

refrigerated foods. Organizations should consider the cost of special
distribution. Other distribution considerations include the radius in
which the product will be available. Will the product have nationwide
or regional distribution? The distribution radius can also influence the
packaging needs.
Shelf Life
Shelf life is the determination of how long a product will hold its qual-
ity as perceived by customers. The shelf life of a product is important
when considering distribution channels. Shelf life can be determined
through the use of accelerated or real time testing. More information
about shelf life and its testing will be given in Chapter 14.
Safety
New product developers should consider the safety risks of their

products. History of outbreaks and published safety risks of certain
product categories can help give clues on risk factors of which proces-
sors should be cognizant. For example, peanut butter producers must
use controls to test for possible salmonella contamination after a large
outbreak in early 2009 caused over 400 people to become ill and at least
five deaths. Some products are susceptible to the growth of spoilage and
pathogenic microorganisms. Allergens and physical contaminants, like
metal shavings from processing equipment, can pose safety threats to
consumers as well.
Finances
Before a food product is created for sale, an understanding of all

production and marketing costs is required. A detailed cost analysis

should be made prior to manufacture. The two types of costs to con-
sider include fixed costs and variable costs. Annual fixed costs are those
that will not change in any one year, regardless of the level of produc-
tion. These costs include equipment, building, property taxes, and other
items that do no fluctuate due to changes in production. Variable costs
are expenditures that vary with the volume of production, such as hired
labor, raw ingredients, packaging materials, fuel, electricity, utilities,
and other items used during production. Variable costs should be care-
fully examined prior to test marketing and commercialization to imple-
ment a unit price in order for the new product to make a profit.
TEST MARKETING
Should your screening and feasibility tests indicate a product’s po-

tential for launch, the next logical step is development of the product
and test marketing. Purchasing equipment at this stage is not advisable.
The main cost should be packaging and labeling material, promotion,
and ingredients. Large companies rely on pilot plants to manufacture
smaller batches of new food products for test marketing. For start-up
companies, pilot plants at several regional universities or community
centers can be used at minimal charge. Alternatively, the test product
could be manufactured at an approved food processing facility in your
area with capable equipment.
Consumer tests at this stage are sometimes conducted as in-home
use tests. Consumers assess the likes and dislikes of the product prior to
the organization launching a larger marketing scheme. Market testing is
most effective when planned well in advance with the help of an expert
in the field. Ask for assistance from marketing specialists who can de-
vise a plan and interpret the results of your test. Test marketing should
address formulation, processing, and packaging.
At the time of test marketing, a final formula is no longer a “recipe”
and should be expressed in a weight percent basis. Multiple sources for
all ingredients should be located. These should be of high quality with
very little variability between shipments.
The process should be adequate to deliver a high quality, safe prod-
uct. Check for state or federal regulations on processing parameters,
such as final internal temperature, for specific products. Packaging
should be appealing to the consumer and, at the same time, provide
Commercialization 9
protection from contamination. The use of code packaging can be help-

ful in keeping track of shelf life and distribution.
Documentation will be critical to assess the success or failure of your
market test. Records should be kept for all processing steps and controls
including quality and temperature of raw ingredients, final cooking
temperature, weight of every ingredient used in the batch, chemical and
physical tests performed on net content of containers, and the number
of defective units.
For test marketing, it is best to limit the distribution area. The target
market should be defined by now. Questionnaires should be provided
for consumers to evaluate the quality of your product. Keep in touch
with store managers selling your product, and take frequent trips to de-
termine who is buying it and where it is displayed in the store. Keep a
detailed record of the market test and ask for help in analyzing the data
to determine whether you should take the next big step—commercial-
ization.
COMMERCIALIZATION
Should your market test prove successful, the product will be ready
to commercialize. The product can still be produced at an existing food
processing plant; otherwise, the main concern at this step is to find a
location to manufacture the product. To set up a processing facility, a
firm must address issues that include finding a location, building, equip-
ment, utilities, and personnel. Consumer concerns during test market-
ing should be taken into consideration, and a second test may be con-
ducted if deemed necessary.
Product promotion should be an integral part of commercialization.
Companies with the leverage to fund national marketing schemes may
use many avenues to get their products noticed. Common methods of
marketing new products include savings coupons, national television
advertisements, internet advertisements, and product placement strate-
gies. The promotion strategies are product- and target-market depen-
dent.
Finally, product maintenance should be included in commercializa-
tion. It should concentrate on quality improvement and profit improve-
ment. Quality factors are maintained by noting potential defects in the
product as it is handled in processing, distribution, and display. Cutting
your costs rather than raising the price of your product can achieve
profit improvement without deterring potential consumers. Investigat-

ing ways to improve process efficiency, save on labor costs, and find
alternate suppliers of ingredients is essential to boost profits. While the
product is new, solicit consumer response to help identify alternative
flavors and packaging.
PRODUCT LIFE CYCLES
Products go through cycles during the duration of their sales. During

the introductory period when the product is first launched, companies
heavily promote their products in order to attract customers. In-store
demonstrations are sometimes used to attract customers that may not
try the product otherwise. Discounts and coupons can help spike sales
of a new product as well. In this introductory period, the costs on the
company are high and the returns are minimal.
The next phase in the cycle is a strong growth period. At this time,
repeat buyers may decide to purchase the product on a regular basis.
Word of mouth from customers may begin to attract other new cus-
tomers. Expansion to new markets may assist in growing sales. Costs
continue to be high, but profits are improving.
The next phase is a decline in the growth rate. Repeat buyers decline,
new markets have been tapped out, the competition begins to grow,
and there are new costs associated with trying to attract attention to the
product. Profits are still good in this phase.
The stability period sees no growth in sales due to consumer fatigue.
There is little excitement about the product, and sales stagnate. Costs
and profits break even, but profits may begin to decline.
In the product decline phase, competitive products begin to beat out
the product, and promotions are too costly to be beneficial. Sales of
the product decline, and the product becomes costly to maintain. The
product is unprofitable. At this point, companies must decide if it is
necessary to cease manufacturing the product.
SUMMARY
Product success is dependent on many factors. Realistic goals for a

product and sound financial analysis can make a product more apt to
prosper. Collecting ample product research assists in creating products
that fit consumer desires as well as ones that are competitive in the mar-
ketplace. A good business plan with adequate lists of all necessary tools
is essential to building a realistic, profitable business/product. Product
development also takes a bit of consumer acceptance, correct timing,
and luck.
KEY WORDS
Acid foods—processed foods that naturally have a pH below 4.6 and/or

a water activity below 0.85.
Acidified foods—low-acid foods to which acid(s) or acid food(s) are
added to reduce the pH to 4.6 or below with a water activity greater
than 0.85.
Food—as defined by the FDA in 21 CFR 321 (f), “a raw, cooked, or
processed edible substance, ice, beverage, or ingredient used
or intended for use or for sale in whole or in part for human
consumption, or chewing gum.”
Hermetically sealed container—as defined by FDA in 21 CFR 113.3 (f),
“a container that is designed and intended to be secure against the
entry of microorganisms and thereby to maintain the commercial
sterility of its contents after processing.”
Low-acid canned foods—processed foods in hermetically sealed
containers with a pH greater than 4.6 and a water activity greater
than 0.85 with the exception of alcoholic beverages.
Shelf life—the determination of how long a product will hold its quality
as perceived by customers.
Water activity (aw)—the measure of the water available for microbial
growth in a food.
COMPREHENSION QUESTIONS
1.1. What are the four steps in product development?
1.2. What three types of feasibility should product development teams

be concerned about?
1.3. Find the standard of identity for ketchup from Title 21 CFR.
(Hint: Go to FDA.gov and search for 21 CFR, then search within

21 CFR.) Give the ingredients allowed and the allowable labeling
of ketchup.
1.4. What must a producer do in order to make their product if it is

considered a low-acid or acidified food and it has a pH greater
than 4.6 and a water activity greater than 0.85?
EXERCISE 1.1: MARKET SCREENING
Market screening means distinguishing profitable ideas and market

opportunities by assessing the saturation of a certain market. This is a
tedious and time-consuming exercise, yet it is probably one of the most
important steps in product development.
Step 1: Choose one of the following categories:
• reduced-fat, salty snacks
• ethnic condiments
• “gourmet” dessert items
• healthy beverages
• single-serve, shelf stable lunch foods
• home meal replacement entrees
• frozen side dishes (high in vitamin A, iron, or calcium)
• breakfast on the run items containing meat
• kids “gimmick” items
• soy-based foods
You may also come up with your own category that matches
your interest
Step 2: Go to the grocery store where you usually do your shopping

and prepare a simple sketch diagram of the store indicating lo-
cation of food items by category.
Step 3: For the food category you chose, make a list of ALL products
available. List suppliers, prices per unit and per serving, fla-
vors, packaging sizes/options, national or regional brands, any
distinct properties about the product, and the location in the
store. Note that some product categories may be spread around
the store including in front displays.
References 13
Step 4: Discuss all potential competing products not from the same
category. For example, if you are screening gourmet items in
the dessert section of the store, you may want to look also at
dessert yogurt or pudding products in the refrigerated case. In-
dicate any consumer and market trends that you have observed
in this category or that you have read about. Be sure to check
professional magazines and trade journals for recent trends and
include any such references in your report.
Step 5: Without trying any of the products in your category at the gro-
cery store and based solely on first impression, separate them
into one of three categories: would definitely buy, may buy,
would definitely not buy.
Step 6: Choose your favorite and least favorite products and list the
reasons why you chose each. Purchase these two items.
Step 7: Try your favorite and least favorite products being careful to
follow the manufacturer’s recommendations for preparing the
foods. What two things do you like most and what two things
do you dislike most about each? Which of the products would
you buy again?
Step 8: Based on your market screening, come up with one or more

ideas for a new product in this category. These may be new
flavors, different packaging options, or completely new con-
cepts. In thinking about new products, consider the list of ten
questions discussed under “screening” at the beginning of the
chapter and keep in mind current consumer trends.
REFERENCES
Fuller, G.W. 1994. New Food Product Development: From Concept to Mar-
ketplace. Boca Raton, FL: CRC Press.
KSU and Kansas Department of Commerce and Housing. 1998. Reference
Guide for Kansas Food Processors.
Nelson-Stafford, B. 1991. From Kitchen to Consumer: The Entrepreneur’s
Guide to Commercial Food Production. San Diego, California: Academic
Press.
CHAPTER 2
Consumer Preferences, Market Trends,

and Creativity
Learning Objectives
• Learn about influences of consumer preferences.
• Explore market trends.
• Become more familiar with activities that stimulate creativity and
new idea generation.
T HEinvolvement of food scientists in the creative process of new

product development varies in the industry. No matter the direct in-
volvement, it is important to be aware of trends in the market, consumer
preferences, and how concepts are developed in an organization.
CONSUMER PREFERENCES
A myriad of influencers assist in the decisions of consumers to

purchase or pass on a product. Consumers are influenced by religion,
ethnicity, age, non-religious beliefs, and their experiences. Product
developers should understand their target markets in order to devise a
product that meets consumer standards. It is important to understand the
restrictions of some diets prior to development.
Age
Age affects consumer preferences because of experiences or the sci-

entific beliefs of that era. For example, if you grew up eating margarine
and being told that it was a better alternative to butter, there is a chance
that you may choose margarine in the grocery store rather than butter. In
addition, age also brings unique food choices. Prunes are more readily
consumed by aging consumers, while fruit snacks shaped like the latest
15
16 CONSUMER PREFERENCES, MARKET TRENDS, AND CREATIVITY
children’s movie hit are more likely to be eaten by a younger demo-

graphic. With the baby boomer generation aging, there is a push to cre-
ate products strictly geared toward this group. With age also comes diet
restrictions that correspond with illness, such as diabetes, heart disease,
and high blood pressure.
Religion
Religious denominations can affect the preference of the foods con-

sumed. Catholics and some Protestant sects may fast or abstain from
eating meat on certain holidays. Traditionally, those who are Catholic
may substitute fish items for meat on Fridays during the Lenten season,
the 40 days before the Easter holiday.
Those who practice Islam may only consume foods that meet halal
standards. Foods that are not permitted are referred to as “haram.” Foods
that are haram include any items containing alcohol, pork, animals not
slaughtered according to standards, and items containing gelatin.
In the Jewish faith, those practicing eat according to kosher laws.
Kosher law does not permit the consumption of pork products, crusta-
ceans, animals not slaughtered according to standards, and items con-
taining gelatin. In addition, there are guidelines for eating baked goods
and eating meals with both meat and dairy in them.
Ethnicity
Ethnic background can affect food choice. For example, having a

family with Hispanic roots would likely result in an affinity for differ-
ent types of food than someone who is from India. The types of food
that are consumed as a child help shape the foods that are craved as
an adult.
Non-religious Beliefs
Have you ever asked a vegetarian why they practice vegetarianism?

Common answers to this question include the belief that animals are
mistreated, that it is healthier, or that excess farm animals contribute to
the pollution of our earth. Those who devote their eating habits to local
or organic foods may also have beliefs that contribute to their decision
to live a certain way. Those who keep restrictive diets may think that
this contributes to overall wellness.
Market Trends 17
Income
As customers begin to make more money, shopping behaviors gen-

erally change. Customers with lower incomes tend to shop at different
stores than those with excess funds. Having extremely low income usu-
ally prohibits shoppers from being organic and local consumers explic-
itly, while higher income has consistently been linked with those who
commonly purchase these types of foods (Zepeda and Nie 2012).
Community
Some cities have cultures that support different eating patterns. If

you live in a city with a farmer’s market on every other block, there
is a higher likelihood of you purchasing your foods there. People who
live in states that produce a lot of a certain type of food product usually
consume a little more of that product. For example, those who live in
Kansas would eat less fish than those who live in Maine.
MARKET TRENDS
Market trends stem from many sources—celebrity diets, the latest

scientific research, or popular ingredient trends. Companies produc-
ing foods should try to be on the front end of trends so that new prod-
ucts come out with the newest trends. Diet-based trends can come and
go quickly, but play on what consumers desire. It can be financially
beneficial to produce products that align with the latest customer de-
mands.
Hot trends in 2014 included, gluten free, ancient grains, and re-
designing packaging to be more environmentally friendly. Consum-
ers with purchasing power may decide to purchase one product over
another merely for personal belief, the power to make a better world
through earth-friendly purchases, or to purchase from companies that
make efforts to give back. New product ideas that disregard the current
consumer fixations are generally less successful than others unless they
can gain market attention through low prices or catchy marketing.
As a new product developer, it is important to be cognizant of the
ever-changing trends in the food industry, to constantly ask how a new
product will fit into the current scheme of products, and to know that
assessing market needs is important.
18 CONSUMER PREFERENCES, MARKET TRENDS, AND CREATIVITY
CREATIVITY
Unfortunately, not every person is born with innate creativity. Com-

panies can facilitate creativity in their employees by encouraging it. A
certain amount of creativity can be “taught” through short courses that
introduce techniques for brainstorming. The best ideas are sometimes
found by accident or with a team putting their heads together. The most
important piece of brainstorming for a new product is to not discourage
any ideas that seem out of touch or not so great to others. Ideation ses-
sions should include a “no putting down” rule to help facilitate an open
environment. When you have a great idea, hammer out possible details
of how the product would be packaged and how it would be marketed
to the public.
2.1. Give two examples of current hot market trends. Give a product
that you would create to fit in these trends.
2.2. What is the best way for you to think creatively? Are you an in-
nately creative person?
REFERENCE
Zepeda, L. and Nie, C. 2012. What are the odds of being an organic or lo-
cal food shopper? Multivariate analysis of U.S. food shopper lifestyle seg-
ments. Agriculture and Human Values, 29(4), 467–480.
CHAPTER 3
Functionality of Food Components
Learning Objectives
• Learn the functionality of carbohydrates, lipids, water, and pro-
teins.
• Roles of food components in systems.
• Learn about reactions that can occur in food systems.
U NDERSTANDING the internal components of foods helps product

development teams formulate stable, palatable food products. The
major food components consist of carbohydrates, lipids, proteins, and
water. These major components together make up 97% of the mass
of foods (Vieira, 1999). This chapter will not dwell on the chemical
and molecular structure of these compounds as such information is
best found in food chemistry textbooks. Instead, we will focus on the
functionality of these components as it relates to food product devel-
opment. Understanding the traits of foods helps predict reactions dur-
ing food processing and assists in trouble shooting unforeseen hurdles.
An infinite variety of minor food components can be present including
vitamins, minerals, and food additive components consisting of fiber,
gums, and emulsifiers. By understanding the functional components of
each ingredient and their interactions during processing, product devel-
opers can add helpful ingredients or eliminate unnecessary ones.
CARBOHYDRATES
A carbohydrate is an organic compound composed of carbon, hydro-

gen, and oxygen. Carbohydrates, the most abundant organic molecules
on earth, serve as the main source of energy for animals. Each gram of
19
20 FUNCTIONALITY OF FOOD COMPONENTS
carbohydrate produces 4 kilocalories of energy. Sugar and starches are

the main sources of carbohydrate energy.
Types of Carbohydrates
Simple sugars, or monosaccharides, are the most basic units of car-

bohydrates. Glucose, fructose, and galactose are examples of monosac-
charides. Sugar molecules consisting of 2–10 monosaccharide units are
called compound sugars or oligosaccharides. Sucrose (table sugar) is
a disaccharide composed of glucose and fructose. Other oligosaccha-
rides include maltose (in corn syrup), lactose (milk sugar), raffinose,
and stachyose (soybeans). Polysaccharides are carbohydrates that consist
of more than ten monosaccharide units. These may be made of a single
monosaccharide, such as glucose in starch, or more complex being made
of multiple monosaccharides, as found in xanthan gum. Table 3.1 below
details the functions of mono- and oligosaccharides in food systems.
Sweeteners
Formulations for products include sweeteners which impart desir-

able flavors, colors, and sweetness. Processed foods in the United States
are noted for containing added sugars, which can contribute to a higher
than recommended daily sugar intake. Studies by the Center for Disease
Control’s National Center for Health Statistics have found that children
consume the most added sugar calories in processed foods (Ervin et al.
2012).
Sweeteners can be nutritive or non-nutritive in nature. Nutritive
sweeteners are those that add calories to food. Common nutritive sweet-
eners used in the food industry include table sugar, high fructose corn
syrup, agave nectar, and honey. Non-nutritive sweeteners contribute ei-
ther a very small amount of calories or no calories at all. Sweeteners
that do not supply calories are often used in reduced calorie options.
TABLE 3.1. Function of Mono- and Oligosaccharides in Food.

Function Example
Hydrophilicity Ability to bind water and control water activity, humectancy
Binding of flavors ligands Sugar-water + flavorant → sugar-flavorant + water
Contribute brown color Maillard browning reaction
Contribute sweetness Sucrose, corn syrups and dextrose
Carbohydrates 21
Reducing sugars are those with reducing ends that will react with
copper ions and initiate the Maillard reaction under certain conditions.
The Maillard reaction results in brown color formation and toasted
flavors. Higher cooking temperatures increase the rate of this reaction
(Side 2002). The Maillard reaction can be desirable or undesirable, de-
pending on the application. This reaction is further discussed later in
this chapter.
Carbohydrate Sugars
Brown sugar is partially refined sucrose with a distinctive brown col-

oration—the result of residual molasses still present in the sugar. The
sugar is characterized based on its color, and may come in light and
dark varieties depending on the molasses concentration. Brown sugar
contains more water than table sugar.
Corn syrup is a viscous, clear sweetener that is made of glucose and
short polymers that can improve the humectancy of baked goods. Hy-
drolyzing corn starch produces corn syrup. Dextrose equivalent (DE)
is used to distinguish varieties of corn syrup. The DE is the amount of
total reducing sugars expressed as dextrose and calculated as a percent-
age of the total dry product. Hydrolyzed starch with a DE of less than
20 is considered maltodextrin. Maltodextrins are used as thickeners and
stabilizers.
Fructose is a monosaccharide that can be used in place of sucrose.
Hydrolyzing sucrose, resulting in the split of the simple sugars fructose
and dextrose, produces fructose. Crystalline fructose has a sweetness
level at 1.3 relative to sucrose (represented as 1). Fruits contain fruc-
tose, hence the reference to this sugar as “fruit sugar.” The solubility of
fructose is higher than sucrose and dextrose at all temperatures. Fruc-
tose contributes to the browning of baked goods because it is a reducing
sugar.
Glucose is a monosaccharide found in grains, fruits, and blood. It is
commercially produced by completely hydrolyzing starch. Glucose is
commercially available in a syrup and is commonly used in fermenta-
tion and confectionary applications.
Polyhydric alcohols contain several hydroxyl groups, enabling them
to be used as sweeteners. They are commonly used in chewing gums
and hard candies. Examples of polyhydric alcohols are sorbitol, man-
nitol, xylitol, and maltitol. These sugar substitutes are non-cariogenic,
but may have a laxative effect when consumed in large quantities.
TABLE 3.2. Description of Common Carbohydrate Sweeteners.

Name Description
Agave syrup The nectar of the agave plant, which is sweet.
Brown rice syrup A not-as-sweet syrup created from cooking brown rice with
enzymes to create a sweet syrup product; half as sweet as sugar.
Brown sugar Partially refined sucrose.
Corn Syrup Sweet syrup of glucose and short polymers produced by
hydrolysis of corn starch. DE above 20.
Fructose Monosaccharide used in place of sucrose.
Glucose A monosaccharide found in grains, fruits, and blood, and produced
commercially by hydrolyzing starch completely.
Grape juice The juice from grapes made into a concentrated form, which is
concentrate sometimes used to sweeten products in which added sugar is
undesirable.
“Higher” sugars Sugar molecules containing two or more glucose units.
(oligosaccharide)
High fructose corn Especially sweet corn syrup made by using isomerase to convert
syrup (HFCS) some glucose to fructose.
Invert sugar A blend of mixed sized sugars with a collective DE of less than 20.
Liquid sugar Sucrose in enough water to keep a product fluid.
Maltodextrins A blend of mixed sized sugars with a collective DE of less than 20.
Maltose A disaccharide of two glucose units produced commercially by
partial hydrolysis of starch.
Molasses Sweetener produced as a byproduct of the refining of sucrose.
Pear juice The juice from pears made into a concentrated form which is
concentrate sometimes used to sweeten products in which added sugar is
undesirable.
Powdered sugar Pulverized granulated sugar with cornstarch.
Reducing sugar Sugars with reducing ends that will react with copper ions and will
initiate the Maillard reaction under certain conditions.
Sucrose A disaccharide produced by condensation of glucose and fructose.
Table sugar Refined sucrose.
Turbinado sugar Unrefined sugar which still retains some of the brown color
from molasses containing particles, sometimes referred to as
“raw sugar.”
Dextrose equivalent is the amount of total reducing sugars expressed

as dextrose and calculated as a percentage of the total dry. The acid
conversion has a practical limit of 55 DE, since above this value, dark
color and bitter taste become prominent. Glucose syrup is a concen-
trated solution obtained from starch and has a DE of 20 or more. When
the product has a DE of less than 20, it is named maltodextrin. Malto-
dextrins are used as thickeners and stabilizers.
Carbohydrates 23
Case Study: Consumer Perception of High Fructose Corn Syrup

High fructose corn syrup at one time was just an ingredient you
found in your food. Consumers purchased corn syrup in the store,
and its reputation was neutral. The consumer perception was that it
was just liquid sugar. In 2006, consumers were not very familiar with
HFCS (Borra and Bouchoux 2009). The impression of corn syrup
changed when media outlets began to print articles alluding to a
link between obesity and the sweetener (White 2009). Although a
weak association between HFCS and obesity was found in some
studies, the public used this as a tell-tale sign that they should not
consume products containing HFCS. As a result, many companies
began frantically replacing HFCS with other sweeteners. Consum-
ers’ perceptions, based on fact or fiction, drive the market to act
upon their current views.
1. How might changing from HFCS to another sweetener affect a

product’s quality?
2. What sweetener would be best suited to take the place of HFCS

and why?
Other Components of Carbohydrates
Starch
Starches are dense, insoluble carbohydrate molecules that serve a

variety of functions in food systems. Starch is generally composed of
two polymers: amylose and amylopectin. Amylose is a straight chained,
smaller molecule, while amylopectin is highly branched. The charac-
teristics of amylose and amylopectin are detailed in Table 3.3. Starches
vary in their amylose and amylopectin compositions, making each na-
TABLE 3.3. Amylose and Amylopectin Characteristics.

Amylose Amylopectin
Shape Linear Branched
Linkage α–1,4 (some α–1,6) α–1,4 and α–1,6
Molecular Weight < 0.5 million 50–500 million
Films Strong Weak
Gel Formation Firm Non-gelling to soft
Color with Iodine Blue Reddish Brown
tive starch have different characteristics. Starches are generally insolu-

ble in cold water, but heat increases solubility (Vieira 1999).
Starches used in food are derived from corn, wheat, rice, potato, and
waxy maize. They are added to food systems to thicken or gel. The vari-
able composition of the starches leads to differing functional properties
among starch types. Modification of food starches creates starches that
are fit for a variety of food processing conditions—from the high heat
of canning procedures to stability through freeze thaw cycles (Vieira,
1999).
Starches used for thickening act like balloons, taking up water and
space (Imeson 2010). The balloon action of the starch creates higher
viscosity in the system (Vieira 1999). Potato starch is an effective thick-
ening starch, while wheat starch is the least effective in increasing vis-
cosity (McWilliams 2001).
Starches used for gelling must be broken in the system in order to
form a gel. Gel strength and retrogradation characteristics are depen-
dent on the amylose and amylopectin makeup of the starch (Imeson
2010). To form a gel, heat is used to dissociate the molecules and the
gel structure is formed during cooling. Wheat starch, potato starch, and
rice starch form strong, medium, and weak gels, respectively (McWil-
liams 2001).
Modified Starches
Modified starches are starches that have been altered from their na-
tive state through physical or chemical means. Modification allows
starches to serve more targeted functions in food systems. Applications
for modified starches include emulsification, thickening, or the preven-
tion of crystallization due to freezing of food products. Modified starch-
es are commonly made from tapioca, corn, and potatoes.
Pre-Gelatinized Starch. Pre-gelatinized starch is created by the heat-
ing of a starch suspension above its gelatinization temperature followed
by suspension drying. This process provides a product that gels and
is soluble in cold water. Products that commonly use pre-gelatinized
starch include instant puddings, cake mixes, whipped desserts (in com-
bination with gelatin), and instant potatoes and rice (McWilliams 2001).
Acid Modified Starch. Acid-thin boiling starches are obtained by
treating starch with acid in water suspensions at sub-gelatinization tem-
peratures. A property of acid modified starch includes decreased viscos-
ity modification and decreased gel strength. Acid modified starches are
Carbohydrates 25
used in the manufacture of gum candies and confections where a hot

mixture must flow and then cool to form a firm gel.
Oxidized Starch. Thin boiling starches are produced by subjecting
the starch to an alkaline (sodium hypochlorite) treatment below gela-
tinization temperatures. Oxidized starch is used as a lower-viscosity
filler for salad dressings and mayonnaise. Unlike thin boiling starch,
oxidized starch does not retrograde nor does it set to an opaque gel
(McWilliams 2001).
Cross-linked Starch. Cross-linking is created through covalent bond-
ing of two starch molecules to make a larger molecule. The starch gran-
ule gelatinization temperature increases in proportion to the extent of
cross-linking, while the swelling power decreases (McWilliams 2001).
Cross-linked starch is used when high starch stability is demanded. These
starches are used in fruit paste fillings and salad dressings due to their
ability to resist acid hydrolysis and remain stable at extreme pH values.
Other Starch. Freeze thaw stability of products distributed or retailed
frozen can be maintained through the use of starch phosphates or starch
ethers (McWilliams 2001). Starch phosphates and starch ethers are gen-
erated through chemical means. Both products can be used to obtain
non-opaque pastes and improve the quality of foods that are distributed
or retailed frozen.
Applications for Starches
Baking applications use starches widely, but they are also used in
other processed food applications. Starches can replace up to 30% of
flour in cakes to improve volume, symmetry, and tenderness. Cakes
also use starches to control the viscosity of the batter, a correlating fac-
tor in cake structure. Cookies use starch to control spread and thickness.
Canned goods utilize starch to help give a clear flavor release in baby
foods and improve texture and mouth feel of pudding products. Dry
mixes use starch products to control the absorption of fat and water.
Starches control the spread and thickness of a pancake made from dry
mixes. Starches are even added to control the viscosity, body, and tex-
ture of sour cream and dips. Ready to eat cereals may use starches to
achieve the desired puffiness or flake strength.
Maltodextrins
Maltodextrins are starches that are further hydrolyzed to have a dex-

TABLE 3.4. Functions of Maltodextrins and Their Applications.

Function Food Application
Agglomerating agent Water soluble gums
Binder Frozen meat analogs, granola bars
Bulking agent/carrier Artificial sweeteners, dry milk flavoring mixes, dry sauce/soup
mixes, spice blends
Coatings Dry roasted peanuts, panned candies
Crystallization inhibitor Confections, frozen foods/desserts
Fat replacers Bakery fillings, fat free confections, salad dressing, yogurt
Processing aid Cheese powder, extruded products
trose equivalent of less than 20. Maltodextrins can be prepared from

any starch. As the dextrose equivalent goes up, the degree of polymer-
ization decreases and the hygroscopicity, solubility, sweetness, freezing
point, and browning efficiency increase. Lower dextrose equivalents
lead to an increase in viscosity, binding ability, and crystal formation
inhibition.
Maltodextrin’s multifunctional uses are detailed in Table 3.4. They
are used as a binder in granola bars and meat analogs. With the use of
artificial sweeteners that are less bulky and sweeter than sugar, malto-
dextrin can be used to provide bulk in these products. Frozen applica-
tions and confections utilize low dextrose equivalent maltodextrins to
reduce crystal formation.
Fiber
Fiber consumption decreased as a result of the processed food revo-

lution and increased intake of refined grain products. Fiber includes
substances, including plant cell walls, that are indigestible by human
enzymes in the stomach. The intake of certain fiber has been shown to
reduce the risk of heart disease and some cancers.
Soluble and insoluble fibers are found in the same foods, but each
functions differently. Soluble fiber is partially digested and provides
some calories. Soluble fiber is also credited with reducing cholesterol
levels (McWilliams 2001). Insoluble fibers speed up the time it takes
for food to go through the body and add bulk to stools, but no energy
is received from their ingestion (McWilliams 2001). Citrus fruit, oats,
and legumes provide soluble fibers, while wheat and rice provide in-
soluble fibers (McWilliams 2001). Health professionals in the United-
Carbohydrates 27
States and elsewhere have recently been recommending a higher intake

of fiber by consumers mainly through inclusion of more whole grains
in the diet.
High Fiber Ingredients include:
• Beta Glucan
• Inulin
• Corn Bran/Corn Fiber
• Oat Bran
• Oat Fiber
• Wheat Bran
• Wheat Fiber
• Psyllium
Hydrocolloids (Gums)
A hydrocolloid is a long-chain molecule that dissolves or swells in

water and brines. Hydrocolloids improve water-holding capacity, struc-
ture, mechanical properties, and adherence in food applications. Table
3.5 details common hydrocolloids and their sources—including plants,
seaweeds, microorganisms, and animals.
Carrageenan is a hydrocolloid derived from red seaweed. There are
three main classes of carrageenan used in food applications: kappa,
iota, and lambda, all of which are soluble in hot water. Carrageenan is
best used in foods that have pH above 4.3. The most common applica-
tion of this additive is in dairy based products such as chocolate milk
and yogurt, but it is also utilized in the meat industry for hot dogs and
hamburgers. Carrageenan can also be used alongside other hydrocol-
loids to produce the desired texture in food systems.
Xanthan gum is derived from microorganisms. It is soluble in hot or
cold water and useful in a wide pH range. Temperature has no effect on
the viscosity of xanthan gum solutions. The gum functions better with
careful preparation to hydrate the additive. The most effective method
of preparing proper xanthan gum dispersions is using a mixer with a
high shear rate. Xanthan gum can be found in salad dressings, bever-
ages, and baked goods.
Cellulose is a polysaccharide chain of repeating glucose units. The
hydroxyl groups can be substituted with methyl, hydroxylpropylmeth-
yl, or carboxymethyl groups. These cellulose ether derivatives are “cel-
lulose gums.” It is used in low-calorie foods as a binder and a thickener.
Cellulose retards crystal growth, inhibits syneresis, contributes mouth

feel, and is odorless and tasteless.
Alginate is found in the form of alginic acid, a polymer. Alginate
solutions gel quickly when used with calcium ions (calcium citrate).
Bakery fillings and artificial cherries use alginate as a gelling agent.
Alginic acid is insoluble in water.
Food scientists employ hydrocolloids in food systems to form prod-
ucts that have textures and consistencies that are desirable to the con-
sumer. With the wide varieties of products and uses in the hydrocolloid
group, choosing a specific product may take research, trial, and error.
Suppliers can assist in finding the best hydrocolloid for specific applica-
tions.
Bulking Agents
Food systems utilize bulking agents to create products that take up

more volume. Foods modified for special dietary needs, such as fat free
or sugar free applications, especially need bulking agents. Commonly
used bulking agents include maltodextrin, hydrocolloids, and polydex-
trose.
Maltodextrins are non-sweet, nutritive (4 kcal/g) carbohydrates
that have a DE of less than 20. Polydextrose (1 kcal/g) is a polysac-
charide gum that functions as an emulsifier, crystal inhibitor, viscos-
ity improver, flavor retention, water activity control, and retards stal-
ing. Polydextrose is also used as a bulking agent, a sweetener, and a
humectant. Hydrocolloids can also be used to give a thickening or
viscosity-building effect.
Chemical Reactions of Carbohydrates
Chemical reactions involving carbohydrates include caramelization,

the Maillard reaction, gelation, starch gelatinization, and retrodegrada-
tion. Some carbohydrates are formulated into food for their ability to
react, while other reactions are undesirable.
Caramelization
Caramelization is the direct heating of carbohydrates, usually sugars

and sugar syrups. The reaction is facilitated by small amounts of acids
and certain salts. Sucrose melts at 160°C (320°F) and breaks down into
TABLE 3.5. Hydrocolloids and their Sources, Characteristics,
and Applications.
Source Examples Characteristics Application
Guar gum Non-gelling, increases Desserts, baked goods,
viscosity, water binding ice cream stabilizer,
salad dressings
Gum Arabic Dissolves in hot or cold Candies, soft drinks,
Plants water, soluble, emulsify- beer (foam stabilizer)
ing agent
Locust bean Soluble in water above Ice cream stabilizer,
gum 95°C, gels with xanthan bologna, cheese, sauce,
gum processed meat
Carrageenan Protein binding, traits Pet food, low sugar jam,
dependent on types chocolate milk, bakery
fillings
Alginate Irreversible gel with Salad dressing, lemon
Seaweed calcium in cool water, pie, fruit for baking
thickener, emulsifier
Agar Strong gelling agent, Stabilizer in puddings,
insoluble in color water, cheese, sherbets
very soluble in hot water
Xanthan Gum Soluble in hot or cold Frozen dough, me-
water, stable to heat and ringues, ice cream,
pH, good freeze thaw gluten free baked goods
Microorganisms stability
Gellan gum Strong gels, soluble in Icings
hot water, gels upon
cooling
Gelatin-derived Strong gels Gelatin dessert products,
Animals protein prepared marshmallows
from collagen
Cellulose gum Water soluble, thickener Bulking agent in low
in cool water, thins with calorie foods
heat
Microcrystalline Stable to acids, in- Oil replacement in emul-
Cellulose creases film strength, sions
stabilizer
Synthetic
Methylcellulose Soluble at cool tem- Batters for fried foods,
peratures, gels at high sauces, gluten free
temperatures baked goods
Hydroxypropyl Soluble at cool tem- Batters for fried foods,
Methylcellulose peratures, gels at high gluten free baked goods
temperatures
Sources: Imeson 2010; McWilliams 2001; Igoe 1989.
29
glucose (glucosan and levulosan) anhydride. Caramelization of sucrose

requires a temperature of 200°C (392°F). As sucrose is heated, it loses
some of its water molecules and the final product of caramelization (as
heating continues at greater than 200°C) is C125H188O80 which is called
caramelin. Caramelin is a dark, bitter, and insoluble pigment. This
product is to be avoided. Prior to the production of caramelin, desirable
flavors occur which are the result of a number of sugar fragmentation
and dehydration products, including diacetyl and acetic acid. Baking
soda is often used to help remove the bitter flavor from caramelization
reactions.
Commercial types of caramel color include acid-fast, brewer’s color,
baker’s color, and others. Acid-fast caramel color uses an ammonium bi-
sulfite catalyst to produce a cola color. Brewer’s color is the product of
heating a sucrose solution with ammonium ions. Through the pyrolysis
of sucrose, a burnt sugar color is produced which is called baker’s color.
The Maillard Reaction
The Maillard reaction is a non-enzymatic browning reaction occur-

ring when a protein and a reducing sugar are heated or stored together
over time. This reaction is significant in foods due to its ability to affect
color, taste, and texture. The Maillard reaction occurs to produce desir-
able color during the browning of meat, or the undesirable browning
of spray dried egg whites or fruit. The Maillard reaction also produces
flavors that are desirable in some applications, such as the flavors in
bakery items and roasted coffee. Later stages of the Maillard reaction
may result in the development of toxicity in the foods and the reduction
of nutritional value.
The Maillard reaction occurs when proteins and reducing sugars
are joined together, leading to the onset of brown pigments. The Mail-
lard reaction cannot occur without the existence of protein and reduc-
ing sugars. It is important for food product developers to know that all
monosaccharides are reducing. Table sugar (sucrose) is not a reducing
sugar, but lactose and maltose are. The browning reaction is catalyzed
by heat. In some cases, the occurrence of the Maillard reaction is incor-
rectly referred to as “caramelization.”
Starch Gelatinization
Native starch granules are insoluble in cold water due to the associa-
Carbohydrates 31
tion of amylopectin with amylose to form regions of crystalline micelles.

However, they can swell slightly and become partially hydrated. As the
granules are heated, the weak hydrogen bonding in the crystalline mi-
celle is disrupted. The crystal starts to swell and provide a sticky starch
suspension with highly-swollen intact granules dispersed in a solution
of free starch molecules (granules released during swelling). Continued
swelling of the starch granules causes a breakdown in internal crystal
structure. The amylose molecule is then solubilized, partially leaching
out from the swollen starch granule into solution. The solubilized amy-
lose begins to form an intergranular matrix which causes an increase
in viscosity. Molecular associations among the amylose molecules and
with other constituents (lipids, proteins, etc.) occur. The swollen starch
granules may break down into fragments and are more susceptible to
mechanical shearing. Changes in gelatinization take place starting at
126°F (52°C) depending on the type of starch. A continuous increase in
temperature causes the granule to collapse and rupture. The degree of
starch hydration depends on temperature, pH, shear, and concentration
of water to starch.
Gelation
Gel formation occurs when hydrogen bonds with the straight chained
amylose and water. This occurs, for example, as a starch paste is cooled.
The starch chains become less energetic and the hydrogen bonds be-
come stronger, giving a firmer gel. As a gel ages or if it is frozen and
thawed, the starch chains have a tendency to interact with each other
and force out water. The release of water out of the gel is called syn-
eresis. Amylose content and the molecular size of the amylose fraction
influence the tendency of starches to thicken or gel. Gelling is a func-
tion of amylose, while swelling is a function of amylopectin. Gelation
is demonstrated in gelatins, pie fillings, and puddings.
Retrodegradation
Retrogradation is the crystallization of a starch chain in the gel.

During storage, amylose molecules reassociate and hydrogen bond-
ing occurs. Amylose is more susceptible to retrogradation than amy-
lopectin. Retrodegradation, which is chiefly responsible for the stal-
ing of bread, is generally a slow reaction even though it starts soon
after bread is baked. Additives such as DATEM can be included in
baked goods formulations as antistaling agents. Also, packaging in

good moisture barrier films can also slow down the retrogradation
process.
LIPIDS
Lipids are defined as water-insoluble organic substances found in an-

imal and plant tissues which are widely classified as fats and oils. Lipids
that are solid at room temperature are referred to as fats, while liquids
are called oils. Lipids are extractable by nonpolar solvents (chloroform,
hexane, and ether). Lipids consist of (1) fatty acids, (2) glycerides, (3)
non-glyceride lipids, and (4) complex lipids.
Lipid Applications in Food
The principal functionality of lipids in a food system is to provide

body, mouth feel, plasticity, moistness, color, and flavor. Both fats and
oils can be incorporated into foods or used as a medium for process-
ing. The type of fats used in new food products impact the shelf-life
and stability of the product, along with influencing sensory character-
istics.
Baked Goods
The volume and textural characteristics of baked goods are directly

related to the type and amount of lipids present in the system. When lip-
ids are incorporated, they are dispersed throughout the batter or dough.
The dispersed lipid tenderizes the baked product by coating ingredients
and interfering with the development of gluten and starch structures
that provide rigidity in baked goods.
The dispersal of lipids varies with the type of baked product. For
example, cake fat is finely dispersed, while large dispersements of fat
are allowed in pastry dough to achieve flakiness. In pastries, expansion
of water vapor separates the layers of dough to create the flaky texture.
Lipids contribute to the enjoyment of foods, but also significantly in-
crease the amount of kilocalories. Lipids provide 9 kcal/g, the highest
of any food component (Shewfelt 2009). For this reason, some compa-
nies producing baked goods have replaced lipids with other ingredients
that mimic the mouth feel of lipids.
Lipids 33
Confectionary Products
Confectionary products use fats and oils from various sources to in-
crease viscosity, prevent or promote crystallization, and provide desired
sensory effects. In crystalline candies, lipids increase the viscosity of
the syrup and interfere with the growth of sucrose crystals. Amorphous
candies, such as toffee and caramels, use a high proportion of lipids
to prevent the crystallization of sucrose. Lipids serve as the base for
coatings and for some confections. In confections, lipids improve the
sensory characteristics by providing the desired mouth feel and flavor,
while helping to suspend solids, such as sugar.
Colloids and Emulsions
Colloids are mixtures that are not homogeneous, yet not heteroge-
neous. Colloids consist of particles (solids, liquids, or gases) suspended
in a medium, which can be a solid, liquid, or gas. Types of colloids
include liquid in liquid (salad dressing), liquid in solid (jelly), gas in
liquid (foam), and gas in solid (meringue). In contrast with colloids,
emulsions are dispersions of one liquid in another which are not readily
soluble. The components of emulsions are called the continuous phase
and the dispersed phase. The continuous phase represents the fluid that
is more prevalent in the mixture. As demonstrated in Figure 3.1, the
dispersed phase is suspended in the continuous phase.
FIGURE 3.1. Demonstration of the phases in emulsions.

TABLE 3.6. Types of Emulsions.

Type of Emulsion Example
Oil in water Milk, soups, sauces
Water in oil Butter, margarine
The most important variables determining emulsion properties are

the type of emulsion, droplet distribution (e.g., smaller drops gener-
ally giving more stable emulsions), composition of thickness of the
surface layer around the droplets, and composition of the continuous
phase. The viscosity of the continuous phase has a pronounced effect
on creaming. Types of emulsions and examples of processed foods are
listed in Table 3.6.
Emulsion capacity is the ability of a protein solution or suspension
to emulsify oil. Emulsion capacity is determined by electrical conduc-
tivity, for example, testing how much corn oil could be emulsified into
100 mL of protein solution. Emulsion capacity is expressed as the maxi-
mum volume of oil (mL) that can be emulsified by a protein without
phase inversion or collapse of emulsion. To test for it, oil is added at a
given rate until viscosity decreases or inversion occurs.
Emulsion stability is the ability an emulsion has to remain stable
and unchanged against coalescence. Emulsion stability is limited to the
temperature, gravitational field strength, and the concentration of oil in
the emulsion. Emulsion stability is commonly measured in terms of the
amount of oil and/or cream separating from an emulsion during a cer-
tain period of time at a stated temperature and gravitational field. The
time required for a specified degree of breakdown to occur is also used
as a measure of stability. Another simple test is to take 100 g of fat and
slowly add water while mixing with an electric beater until the emul-
sion breaks. Record volume of water taken up by 100 g of fat.
Processing with Lipids as a Cooking Medium
The use of oil as a cooking medium is utilized in the processing of

many foods including potato chips and donuts. The type of lipid chosen
as a cooking medium is important because some oils are capable of de-
terioration at low temperatures. Shortenings and butter are poor frying
lipids because they have low smoke points and rapid rancidity forma-
tion. Oils are usually the best choice for frying, but not all oils are suit-
able for these applications. To process foods using oil, maintenance of
Lipids 35
the oil and temperature control is essential. Temperature control affects

how much oil the food product absorbs. Suppliers can generally direct
their clients to the best oils for frying applications.
Characteristics of Lipids
Crystallization
Plasticity of fat is a physical characteristic, such as spreadability

(margarine) and depends on the amount of solids and melting point.
Fat can be visualized as a mass of interlocking crystals (solid phase)
holding a liquid phase. The plasticity of fat depends on the proper pro-
portion between the solid and the liquid phase. In a plastic fat, such as
hydrogenated shortening, the solid phase consists of crystals of fat sur-
rounded by a liquid phase of oil.
Hydrogenation
Hydrogenation is a process for improving the oxidative and thermal

stability of fats and oils, and for converting vegetable oils to plastic fats
with a desired level of hardness. Hydrogenation involves the catalytic
addition of hydrogen to double bonds of fatty acids. After hydroge-
nation, liquid shortenings are charged with inert nitrogen gas, cooled
rapidly, and agitated.
Deterioration of Fats
The quality of lipids is affected by chemical reactions and treatments

over the life of the product. Chemical degradation occurs due to rancid-
ity, leaving disagreeable odors and flavors in the fatty substance. Heat
and storage conditions are major factors in the breakdown and quality
degradation of lipids.
Rancidity
Lipids in which rancidity has occurred produce off-flavors that are

undesirable for most consumers. Types of rancidity include lipolysis
(hydrolytic rancidity) and oxidative rancidity. Rancidity reactions occur
in the presence of specific environmental factors. Oxidative rancidity
needs oxygen to occur, while lipolysis requires the presence of water.
TABLE 3.7. Types of Rancidity.

Type of Rancidity Description Prevention Strategies
Lipolysis (hydrolytic Water present in product splits the • Reduce water content
rancidity) glycerol from the fat molecules. • Use packaging with
moisture barrier
Oxidative rancidity The uptake of oxygen by an • Chelating agents
unsaturated fatty acid. • Antioxidants
• Prevention of temperature
and light abuse
The hydrolysis of ester bonds in lipids may occur by enzyme ac-

tion (lipase) or by heat (frying)/moisture resulting in liberation of free
fatty acids. Free fatty acids are unstable pieces of lipids. Ultimately, the
breaking off of free fatty acids causes rancid odors and flavors. This
reaction is common in products with higher moisture and fat present in
the same system, such as butter.
Molecules of fat containing unsaturated fatty acid are more prone to
oxidative rancidity. Oxidative rancidity can only occur in the presence
of oxygen, but having metals such as copper and iron can perpetuate
the reaction (McWilliams 2001). Light and warm temperatures can also
accelerate this type of rancidity. The unpleasant odor of rancid lipids is
attributed to the formation and breakdown of hydroperoxides.
Antioxidants are very effective in slowing down oxidation and in-
creasing the induction period. Antioxidants such as butylated hydroxy-
anisole (BHA), butylated hydroxytoluene (BHT), and tertiary butyl-
hydroquinone (TBHQ) reduce oxidation by preventing radical chains
through the donation of a hydrogen atom. Other antioxidants, such as
ethylenediaminetetraacetic acid (EDTA) and citric acid, slow down ran-
cidity by binding metals in the food system. Food scientists choosing
antioxidants should consider the legal status, type of fat or oil, applica-
tion method, and ease of dispersion. Environmental factors can also
slow down degradation. Vacuum or modified atmosphere packaging,
monitoring temperature, and excluding light can all retard the onset of
rancidity.
Effect of Heating Fats
Along with accelerating oxidative rancidity, heating also causes

polymer formation. The free fatty acids from lipolysis continue to de-
Lipids 37
grade and form polymers as free fatty acids couple together (McWil-
liams 2001). Polymer formation results in increased viscosity which
may increase foaming in frying fat.
Smoke point is different for each fat and gradually changes through-
out its life. Fats and oils can be heated to high temperatures when they
are fresh, but degradation by heat causes the smoke point to drop over
time. Reductions in smoke point temperatures are caused by hydrolysis
of free fatty acids causing excess glycerol to accumulate. The smoke
point of fat depends on the percentage of free glycerol in the fat, or the
ease with which the molecules are hydrolyzed to free glycerol. Mono-
glycerides hydrolyze more readily than triglycerides.
Quality Determinants of Lipids
The quality of fats is determined by color, sensory properties, and

shelf stability. Color testing can be done with the Lovibond method, a
comparison to color standards, or by using a spectrophotometer. Sen-
sory properties including odor and degree of rancidity can be tested
through organoleptic sensory testing procedures. Rancidity and quality
degradation are also determined through other analysis methods that
are detailed in Table 3.8. Shelf stability of oils is tested through the
Schaal oven storage protocol, an accelerated test that determines shelf-
life characteristics over time. The oils being tested are stored at a set
temperature over time and tested periodically for off odors and tastes.
TABLE 3.8. Tests Used for the Determination of Lipid Oxidation.

Test Measures Use
Peroxide Value The formation of peroxides by Quality testing of packaged
millequivalents (meq) of peroxide products such as chips
and peanuts
Free Fatty Acid Free fatty acids content, hydrolytic Liquid fats
rancidity
Chromatographic Free fatty acids Liquid fats
Analysis
Thiobarbituric Acid Formation of monoaldehyde, shown Any foods susceptible to
(TBA) Analysis to correlate with peroxide formation; oxidation, especially meats
correlates well with sensory testing
over time
Iodine Value Degree of unsaturation (higher iodine Characterizing oil
number = more unsaturation)
Source: Nielsen 1998.
Specialty Fats and Fat Substitutes
Medium Chain Triglycerides
Medium chain triglycerides are specialty fats composed primarily

of saturated 8 and 10 carbon fatty acids (caprylic and capric). These
fats exhibit the following characteristics: (1) low viscosity, (2) bland
odor and taste, (3) colorless, (4) heat stable, (5) not metabolized
through the gut but rather in the liver, like carbohydrates, and (6) 8.3
kcal/g.
Due to their unique traits, MCT have many food applications. They
are used as flavor carriers due to their bland odor and taste that will
not interfere with the main flavor contributor. In confectionary appli-
cations, these fats provide gloss and prevent sticking due to their low
viscosity. MCT have been directly substituted for vegetable oils in salad
to create a reduced calorie product.
Fat Replacers and Substitutes
Fat replacers are important to the food business as more and more
customers look to trim their waistline. The obesity problems in the
United States have prompted the food industry to find better tasting
alternatives in substituting fat, while retaining the desired texture and
taste qualities. Many fat replacing products are on the market, but
there are a few that are of interest. As with other additives, it is im-
portant to work with suppliers to find the best additives that fit in the
food system.
Olestra. Olestra (sucrose polyesters) is a mixture of hexa, hepta,
and octesters of sucrose with long chain fatty acids from vegetables
that have been used to replace fat. The first product to use Olestra was
potato chips. Olestra is stable during heating and provides texture and
mouth feel similar to the products they are replacing. The biggest ben-
efit of the fat replacer is that it is not digested or absorbed, therefore
it provides 0 calories. But, the side effects include stomach cramping
and diarrhea.
Maltrin. Maltrin (040 Maltodextrin) is a spray-dried non-sweet car-
bohydrate made from hydrolyzed corn starch. The product has a bland
flavor and smooth mouth feel. It contributes 4 kcal/g of product. This fat
replacer can be used in many different types of foods including baked
goods, frozen desserts, and dressings.
Water 39
WATER
Water is the key ingredient in any food product, as it controls the

appearance, texture, and flavor of foods. The high content of water in
fruits and vegetables provides crunch and crisp texture, while the water
holding capacity of meat influences color and texture. In addition, it is
a dispersion medium for food and makes possible ionization of acids
and bases as demonstrated by the leavening action of baking powder in
bakery products. In the presence of water, acids can hydrolyze sucrose
to glucose and fructose, which is desirable in fruit pectin jellies and
bread dough. Microorganisms spoil high moisture foods quickly. Tap
water has a pH range of 7.5–8.5.
Factors Affecting Boiling Point of Water
The boiling point of water is affected by atmospheric, geographic,

and other factors. Altitude affects the boiling point. For each 960 feet
increase above sea level, the boiling point decreases 1°C because of a
decrease in air pressure. Increased barometric pressure increases the
boiling point. For example, cloudy days with lower barometric pressure
may, therefore, decrease boiling point. Steam pressure, as in a pressure
canner, may also raise the boiling point above 100°C (212°F). Adding
solutes also increases boiling points and reduces freezing points. Sugar,
for example, increases the boiling point by 0.52°C (0.94°F) per gram in
a solution, whereas salt increases the boiling point by 1.04°C (1.87°F)
per gram due to ionization.
Types of Water
The basic types of water are soft and hard. Soft water is classified as
water with some organic matter but no mineral salts. In contrast, hard
water contains both organic matter and mineral salts. Distilled water
contains no mineral salts or organic matter.
An effective method for reducing mineral salts in water is heating.
Mineral salts are eliminated upon boiling, which can eliminate hard-
ness. Heat converts soluble bicarbonates into insoluble carbonates and
removes unwanted Ca2+ and Mg2+ ions. More permanent hardness in
water is caused by the presence of Ca, Mg, and FeSO4 which do not
precipitate upon boiling. Instead, these insoluble salts decrease cleans-
ing effectiveness of hard water. Hard water in cooking can interfere

with tenderizing.
PROTEINS
Proteins are complex macromolecules that are made up of the 21

amino acids. In food systems, they provide structure and function
through the creation of foams, increasing gel strength, and extending
water-holding capacity. Proteins are major components in animal foods
and body fluids such as meat and milk. Proteins have high nutritive
value. The roles of proteins in food include:
1. Bind large amounts of water

2. Decrease viscosity of food system
3. Confer cohesiveness and elastic properties to dough
4. Emulsifying agents
5. Contribute to color
6. Enzymatic activity
7. Form food foams
Functions of Proteins in Food
The role of proteins in food is vast. Protein is responsible for bind-

ing large amounts of water in the food system, which in turn can
decrease the viscosity of a food system. Protein is responsible for
providing a cohesive, elastic network in dough. Some proteins act
as emulsifying agents. The Maillard reaction needs proteins in order
to occur. Thus, proteins are partially responsible for the formation of
pleasant, volatile flavoring compounds and brown pigments in food
products. Proteins have a vital role in the development of food foams
such as egg white foams, as well as having high water holding capac-
ity. Proteins in meat contribute to color. For example, myglobin is
responsible for the red color in meat. Examples of proteins in food are
given in Table 3.9.
Proteins are easily changed through heat processing and chemical
agents, which can be witnessed in everyday cooking applications. For
example, the coagulation of egg whites from heat is an example of a
physical agent changing a food. Another example of protein change
Summary 41
TABLE 3.9. Proteins in Food.

Type of Protein Source Properties
Albumins Egg white, milk Coagulate when heated, soluble
in water
Globulins Meat and legumes Coagulate when heated, limited
water solubility
Glutenins Wheat Helps give structure, elastic
protein
Prolamins Wheat, rye, and Protein with low lysine values
other grains
Fibrous proteins (i.e., collagen) Meat and poultry Insoluble
Casein Milk Begins to precipitate at pH 4.6
is the shrinking of steaks when they are cooked—because the protein

chains shrink, the meat shrinks as well.
Proteins have minimum functionality at certain pH values. Each pro-
tein has an isoelectric point, which is the pH at which the protein has
its minimum solubility. Fluid sources of protein, like milk, are likely to
coagulate at the isoelectric point. The isoelectric point is the pH value
where a protein has a net charge of zero in solution. The protein be-
comes more positively charge as the pH goes below its isoelectric point.
Coagulation is the process of precipitating proteins that leads to aggre-
gation of the molecules (McWilliams 2001).
Denaturation can also occur due to exposure to heat, acids or sol-
vents (Vieira 1999). Denaturation is a change in the structure without
breaking of covalent bonds that is accompanied by decreasing solu-
bility (McWilliams 2001; Vieira 1999). When denaturation occurs, the
function of the protein is altered. The denaturation of proteins is desir-
able in some food processing applications. Cheese and yogurt are the
products of denaturation in fluid milk (Vieira 1999).
SUMMARY
The components of whole foods and ingredients are important to un-

derstand when adding to foods. Food scientists should investigate and
consult with suppliers about what traits will aid in creating the targeted
food item. Understanding the science behind ingredient functionality in
a product system will lend to higher prototype success rates.
KEY WORDS
Caramelization—the direct heating of carbohydrates, usually sugars

and sugar syrups, to facilitate the melting and breakdown of sugar
into glucose.
Coagulation—precipitating proteins that lead to aggregation of the
molecules.
Colloids—consist of particles (solids, liquids, or gases) suspended in a
medium, which can be a solid, liquid or gas.
Denaturation—the process of precipitating proteins that leads to
aggregation of the molecules.
Dextrose equivalent (DE)—the amount of total reducing sugars
expressed as dextrose and calculated as a percentage of the total
dry product.
Emulsions—dispersions of one liquid in another which are not readily
soluble.
Emulsion capacity—the ability of a protein solution or suspension to
emulsify oil.
Emulsion stability—the ability an emulsion has to remain stable and
unchanged against coalescence.
Isoelectric point—the pH at which the protein has its minimum
solubility
Maillard reaction—occurs when proteins and reducing sugars are
joined together, leading to the onset of brown pigments which is
catalyzed by heat.
Reducing sugars—sugars with reducing ends that will react with copper
ions and initiate Maillard reaction under certain conditions.
3.1. Answer True or False:

a. Sucrose is commonly responsible for Maillard browning re-
actions.
b. Hydrogenation makes lipids both less stable and solid.
3.2. What is emulsion capacity and how does one test for it?
References 43
3.3. Fill in the following blanks:

a. _________________ is also referred to as glucose.
b. _________________ is often used to help remove the bitter
flavor from caramelization reactions.
c. _________________ is the protein found in eggs.
d. _________________ and _______________ are the proteins
found in wheat, while _____________ is the protein found
in corn.
3.4. Give the meaning of the abbreviation DE and explain the term.
3.5. How would a producer eliminate hardness of their water?
3.6. List three ways to modify starch.
3.7. What is the relative sweetness of the following compared to su-

crose?
a. Fructose
b. Honey
c. Aspartame
d. Acesulfame Potassium
e. Sucralose
f. Molasses
3.8. List five functional properties of sugar in foods.
3.9. Define isoelectric point.
3.10. List two types of emulsions and give an example of each.
3.11. List four types of colloidal systems. Give an example of each.
REFERENCES
Borra, S., and Bouchoux, A. 2009. Effects of science and the media on con-
sumer perceptions about dietary sugars. The Journal of Nutrition, 139(6),
1214S–S1218.
Ervin, B.R., Kit, B.K., Carroll, M.D., and Ogden, C.L. 2012. Consumption of
added sugar among U.S. children and adolescents (Data Brief No. 2012-
1209). Atlanta: U.S. Department of Health and Human Services National
Center for Health Statistics.
Igoe, R.S. 1989. Dictionary of food ingredients. New York, NY: Chapman &
Hall.
Imeson, A. 2010. Food stabilisers, thickeners and gelling agents. John Wiley
& Sons.
McWilliams, M. 2001. Foods: Experimental perspectives. Upper Saddle Riv-
er, New Jersey: Prentice-Hall.
Nielsen, S.S., ed. 1998. Food analysis. Gaithersburg, Maryland: Aspen Pub-
lishers, Inc.
Shewfelt, R.L. 2009. Introducing food science. Boca Raton, FL: CRC Press.
Side, C., ed. 2002. Food product development based on experience. Ames,
Iowa: Iowa State Press.
Vieira, E.R. 1999. Elementary food science. Gaithersburg, Maryland: Aspen
Publishers.
White, J. 2009. Misconceptions about high-fructose corn syrup: Is it uniquely
responsible for obesity, reactive dicarbonyl compounds, and advanced gly-
cation endproducts? The Journal of Nutrition, 139(6), 1219–1227.
CHAPTER 4
Physical and Chemical Properties of Food
Learning Objectives
• Role of chemical properties on characteristics of food.
• Role of physical properties on characteristics of food.
• How to determine chemical and physical properties of foods.
F OOD SCIENTISTS must pay close attention to the properties of the

foods being developed in order to determine quality, create stan-
dards for production, and ensure safety. The properties of raw ingredi-
ents may need to be measured as they are brought into a plant, from the
protein content of a new year’s harvest of wheat to the brix of grapes
for wine. The properties of a food’s raw ingredients contribute to the
overall quality of the final product and should be measured for process-
ing stability.
ACIDITY
Many foods, including yogurt, need an acidic environment for prepa-

ration. Other foods, such as sauerkraut and pickles, need an acid envi-
ronment to kill harmful bacterial and enhance flavor. The basic con-
cepts for understanding pH and acidity start with the Bronsted-Lowery
theory, which states that an acid is a proton donor, (H+) and a base is a
proton acceptor (OH–). The reaction of an acid and a base will yield salt
and water. This is considered a neutralization reaction.
Acid and base reactions can cause dissociation/ionization in dilute
solutions. Strong acids, including hydrogen chloride (HCl), will ionize
in solution to H+ and Cl– and strong bases will ionize to Na+ OH–. Weak
45
46 PHYSICAL AND CHEMICAL PROPERTIES OF FOOD
FIGURE 4.1. The reaction of an acid and a base.
acids (acetic acid) and weak bases (ammonia) only slightly dissociate.
Most foods contain a mixture of weak acids. The origins of acids in
food products include natural occurrence (e.g., tartaric acid in grapes),
production by microorganisms (e.g., Aspergillus niger produces citric
acid), or addition during manufacture (e.g., acetic acid added to pick-
les). Fumaric acid is added to tortillas to lower the pH, which increases
the effectiveness of mold inhibitors and helps with machinability.
Acidity in foods can be measured in two ways: pH or titratable acid-
ity. With pH, active or effective acidity is expressed as a function of
hydrogen ions that exist in solution at any one time. Strong acids almost
completely dissociate, while acetic acid (weak acid) has little dissocia-
TABLE 4.1. Role of Acid and Bases in Food Systems.

Role of Acid Acid Used Example
Chemical leavening Tartaric acid, sodium Baked goods
aluminum phosphate
Chelating agents Citric acid, EDTA Canned beans, fats and oils, bever-
ages
Microbial inhibitor Sorbic acid, benzoic acid Food and drinks
Pectin gel formation Citric acids Jams, jellies
Flavor Hyrdronium ion, short Any food item with sour taste, sour
chain fatty acids, malic candy apples, phosphoric acid (com-
acid, phosphoric acid, monly added in cola drinks), citric acid
citric acid (added to fruit drinks to assist in tangy
flavor)
Role of Base Base Used Example

Chemical leavening Sodium bicarbonate Baked goods
Enhancement of Sodium hydroxide Ripe olives (darker color and remove
color and flavor bitterness), pretzels (alter browning
and smoothness), tortilla dough
Sodium bicarbonate Peanut brittle (enhances Maillard reac-
tion, CO2 makes porous structure),
cocoa processing (gives darker color)
Promotes gelation Tetra-sodium pyro- Instant milk-gel puddings
phosphate + disodium
phosphate + calcium
Peeling of root and Sodium hydroxide Potatoes
tuber skins (3% at 80°C)
Acidity 47
tion. Titratable or total acidity is measured through a titration in which

all of the hydrogen molecules in the solution are replaced by a metal
(neutralization of the acid with an appropriate amount of base).
pH
pH is an indicator of the amount of acid or base present in a food

system. The pH scale ranges from 0 to 14. The pH scale is based on the
negative logarithm of the H+ or OH– concentration in solution. The pH
of pure water is equal to 7. The pH of blueberry juice is 3. Keep in mind
that a decrease in pH value of one integer corresponds to an increase
in [H+] of ten times the original value. The value pH 2, for example,
represents a [H+] of 0.01 moles per liter.
The majority of foods are acidic. In food production, the pH of food
products is sometimes altered using an acidifying agent in order to meet
safety standards and extend shelf-life. The pH of food can be lowered
by adding agents such as citric, malic, or fumaric acid.
Determining the pH of a Product
To test the pH of a product pH meters are most commonly used. In

order for pH meters to operate properly, it is important to maintain the
instrument in good working condition. Meters should be calibrated be-
fore each use using two point calibration (using two different standard
buffers, commonly at pH 4.0 and 7.0). After the instrument is calibrat-
ed, it should be immersed in the product to be tested. Always follow the
manufacturer’s instructions when using and maintaining a pH meter.
Most pH meters are equipped with automatic temperature compensa-
tion (ATC) that correct for slight changes in temperature. The sensitiv-
ity of pH meters is very important to consider, especially when measur-
ing canned foods close to pH 4.6. A rather ineffective way to test the
pH of products is with pH strips, which are inaccurate and imprecise.
When testing the pH of solid foods, surface pH meters or other ap-
proved methods can be used. Approved methods for determining the
pH of solid foods can be found in the American Association of Cereal
Chemists (AACC) or Association of Analytical Communities (AOAC)
approved methods. A general method to test the pH of solids is to mix
with a small amount of deionized water and thoroughly mix or stomach.
Surface and probe pH meters are available to test the pH of solid foods
as well.
TABLE 4.2. Description and pH Ranges of Common Foods.

Description pH Range Product Examples
Alkaline 7.0–9.6 Egg white, hominy, soda crackers
Neutral 6.5–7.0 Milk, chicken meat
Low acid 5.3–6.5 Bacon, canned vegetables, fresh meat
Medium acid 4.5–5.3 Canned soup, soft cheese, ravioli
Acid 3.7–4.5 Mayonnaise, yogurt, orange juice, tomatoes, berries
High acid pH < 3.7 Pickles, most canned foods, lemon juice
pH and Microorganisms
All microorganisms have a minimum, maximum, and optimum pH

for growth. Bacteria tend to prefer high pH (above 4.6), while molds
and yeasts prefer lower pH. It is important to note that Clostridium
botulinum grows and produces deadly neurotoxins as low as pH 4.8
(upper pH for acid foods is 4.6). Products may have a certain buffering
capacity, making pH change over time. In addition, the growth of molds
and yeasts in canned foods using acids as an energy source can cause
the pH of the product to rise. This can make the product more suscep-
tible to bacterial growth and would be a concern if the pH goes above
4.6 due to the risk of botulism.
pH determines the method of processing. For example, low acid
foods such as green beans require pressure canning to get to tempera-
tures 240–250°F in order to destroy spores of Clostridium botulinum.
Fruits and vegetables have lower pH values; meats and milk are close
TABLE 4.3. Legal Definition of Low Acid, Acidified, and Acid Foods.
Legal Classification Definition pH aw
Low acid food Any foods, other than alcoholic beverages, with > 4.6 > 0.85
a finished equilibrium pH greater than 4.6 and
a aw greater than 0.85. Tomatoes and tomato
products having a finished equilibrium pH less
than 4.7 are not classified as low-acid foods
(21 CFR 113.3).
Acidified food Low-acid foods to which acid(s) or acid food(s) < 4.6 > 0.85
are added and have aw greater than 0.85 and a
finished equilibrium pH of 4.6 or below
(21 CFR 114.3).
Acid food Foods that have a natural pH of 4.6 or below < 4.6
(21 CFR 114.3).
Acidity 49
Case Study: The “Cheesecake in a Jar” Dilemma

The product development team at Company X was in the process
of developing a line of “cheesecake in a jar” products for sale dur-
ing the holiday season. Initial testing in our laboratory indicated that
the product as formulated had a pH of 5.6 and a aw of 0.87 making
it, by definition, a low acid food. To manufacture a safe product, this
would require processing in a retort under pressure at a tempera-
ture of 250°F. As expected, the quality of the cheesecake, especially
texture and color, deteriorated drastically such that the product was
not acceptable. The recommendation was made to add chemical
preservatives to the formulation and market the product refrigerated.
Company X insisted on having a shelf stable product. Therefore, the
cheesecake was acidified to a pH of 4.5 and processed in a boiling
water bath. The resulting product taste was deemed unacceptable by
the company sensory panel and described as “too acidic for a cheese-
cake”. What was the alternative? Bringing the water activity down to
< 0.85, so the product is aw controlled. This was achieved by putting
less cream in the formula and adding more sugar to bind the water.
A water activity of 0.83 was targeted and the jars were processed in
boiling water bath for extended shelf-life. The cheesecake was less
moist and sweeter, but it still scored high in a sensory test.
to neutrality; and egg white may have a pH up to 7.9. A fresh egg has
a pH of approximately 7.6. However over time, H2CO3 in the albumen
breaks down and forms CO2, which escapes through the shell and in-
creases the pH. The pH values of common foods are listed in Table 4.2.
The legal definition of a canned acid food is any food with a pH of
less than 4.6 as seen in Table 4.3. If a product has a pH of greater than
4.6 and a aw of greater than 0.85, then the product is considered a low-
acid canned food. The pH value of 4.6 is based upon the growth of the
pathogen Clostridium botulinum which produces spores than can ger-
minate at a pH of 4.8, but not at 4.6.
Food Fermentation and Acid Production
Fermentation is the conversion of a biodegradable food constituent

(carbohydrates, sugar) by controlled biochemical decomposition (mi-
crobiological) into a more stable substance (e.g., acid) capable of pre-
venting or inhibiting further microbial activity (glucose → lactic acid).
As a result of this conversion, the stability of the product is increased
both by removing the degradable piece and converting it into a natural
preservative. Fermented products such as sauerkraut are exempt from

the low acid food regulations. “Fermented foods (such as some kinds
of sauerkraut, cucumber pickles, and green olives) are low-acid foods
subjected to the action of acid-producing microorganisms to reduce the
pH of the food to 4.6 or below. . . . We do not require processors of fer-
mented foods to register their establishment(s) and foods they process
(using Form FDA 2541) if these foods do not also meet the definition
of an acidified food (or if these processors do not process other foods
subject to 21 CFR part 113 or part 114). We also do not require such
processors to provide us with information on scheduled processes for
their foods (using Form FDA 2541a)”. However, “low-acid foods to
which acid(s) or acid food(s) are added and that have a pH of 4.6 or
below and a water activity above 0.85 are acidified foods subject to the
requirements in 21 CFR 108.25 and part 114, irrespective of whether
the low-acid food is also subjected to the action of acid-producing mi-
croorganisms” (21CFR108.25).
pH and Food Quality
The pH of foods also has an effect on the qualities of foods. Canned

vegetables have a relatively high pH, making it necessary to can them at
higher temperatures. Cooked green vegetables receive their olive green
cooked color because under acidic conditions the Mg+2 is removed from
the chlorophyll molecule causing a color change. Angel food cake gets
its distinctive white color because the cream of tartar retards browning
reactions and influences the anthoxanthin pigment. The addition of acid
decreases the net negative charge on pectin molecules in fruit jellies,
allowing them to be less repelled by each other. Sugar also further sta-
bilizes pectin cross bonding.
TABLE 4.4. Acids and their Molecular Weights and

Milliequivalent Weights.
Acid Molecular Weight Meq. Wt
Citric acid 192 0.064
Acetic acid 60 0.06
Lactic acid 90 0.09
Malic acid 134 0.067
Oxalic acid 90 0.045
Tartaric acid 150 0.075
Water Activity 51
FIGURE 4.2. Equation for the calculation of titratable acidity.
Titratable Acidity
Titratable acidity (TA) is an approximate measure of total acidity

determined through the amount of an alkaline solution it takes to neu-
tralize the acid. Titratable acidity is a commonly controlled param-
eter used in the QC of fresh fruit products, fermented foods, and soft
drinks. This is because food flavors are influenced by the degree of
acidity. (TA values may be as low as 0.5% in some cheeses to as high
as 6.0% in vinegar). TA is normally expressed as % dominant acid
in food (e.g., lactic in whole milk or buttermilk, citric in soft drinks,
acetic in vinegar).
The brix/acid ratio is more commonly used as an index of flavor.
Brix is a measure of percent soluble solids. Using the proportion of
brix to acid is a better determinant of food flavor and quality than brix
or acid measurements alone (Nielsen 1998). The fruit industry relies
widely on this measurement to determine ripeness and optimum har-
vest times.
WATER ACTIVITY
Controlling the amount of available water for microbial growth and

spoilage has been a technique for centuries. Water activity (aw) repre-
sents the amount of water available for chemical reactions and microbi-
al growth. aw is important to control in foods because it determines the
stability of foods and influences odor, color, flavor, texture, and shelf-
TABLE 4.5. Water Activity (aw) of Common Foods*.

aw Range Product Examples
> 0.98 Fresh meat and fish, milk, canned vegetables
0.93–0.98 Evaporated milk, bread, lightly cured meats
0.85–0.93 Semi-dry salami, mature cheese, sweetened condensed milk
0.60–0.83 Dried fruit, jams, jellies, dried salted fish
< 0.6 Chocolate, crackers
*aw values range from 0 to 1 (pure water).
life of a product. Water can act as a solvent in foods and is highly reactive
in chemical and biochemical reactions such as non-enzymatic browning
(Nollet 2004). The values of aw in foods can assist in predicting microbial
activity as well (Chinachoti and Vittadini 2006). aw is a much more ac-
curate indicator of food stability compared to moisture content.
aw and microbial growth are highly correlated. Microorganisms can
be beneficial in some foods, but can be very detrimental in others—
especially when organisms are pathogenic. Spoilage organisms cause
foods to become unappetizing, but consumption would probably not
lead to a hospital stay. On the other hand, pathogenic bacteria can be
present in foods that look and tastes completely appetizing. aw is impor-
tant to control the growth of all microorganisms. Water must be present
for most microbes to grow. Reducing aw can limit the quantity of water
that can be used by microorganisms. Bacteria does not grow at aw below
0.91 (except Staphylococcus aureus, which grows at a aw of 0.86 under
certain conditions) (Nollet 2004). The minimum aw for mold growth
and spoilage yeasts are 0.70 and 0.88, respectively (Nollet 2004). Table
4.5 shows the water activity of common foods.
When product developers are looking to modify the aw of a product,
ingredients can be added to bind water. Sugar, salt, and some gums are
effective binders of water, helping to reduce aw. Foods with aw below
0.85 are likely to be stable at room temperature even with pH values
above 4.6.
Determining the aw of a Product
The most common method for determining aw is using a dew point

aw meter. The dew point method is determined by reflecting an infrared
beam on a mirror located in the instrument. The dew point temperature
of the sample is determined, which can be used (along with the sample
temperature) to figure the aw. Other methods that are used include water
holding capacity and freezing point depression studies, but the most
widely used is the dew point meter due to getting results in less than
five minutes and acceptable accuracy (Nollet 2004). Handheld dew
point aw meters are also available for use on processing lines or other
applications where portable instruments are more convenient. All aw
meters should be calibrated prior to use and kept in good working order.
Calibration is usually done with supplier provided solutions of sodium,
potassium, or lithium chloride. The mirror in dew point meters can get
dirty, causing skewed results.
Water Activity 53
TABLE 4.6. Percentage Moisture of Common Foods.

Approximate % Moisture Product Examples
79–96 Vegetables
81–91 Fresh fruits
63–75 Meat, poultry, fish
1.5–3 Nuts
16 Butter, salted
35 White bread
10–12 Flour
3.8 Ready to eat cereals
4.3 Crackers
10 Macaroni pasta
*Based on information from the USDA Nutrient Database for Standard Reference. Release 24 ( 2012), http://
ndb.nal.usda.gov/.
Moisture
Moisture, like aw, is important for determining shelf life. Higher

moisture products are more perishable than those with lower moisture
content. Some water is more easily released from a food system than
others. Water can exist as free water, adsorbed water, or bound wa-
ter (Nielsen 1998). Free water is that which is available for microbial
growth, while adsorbed water is being employed and used in the sys-
tem. Bound water is chemically secured by another compound through
hydration. Adsorbed water is more difficult to release than free water,
and bound water is that which will not be released. Table 4.6 shows the
approximate moisture in common products.
Moisture can be determined through direct or indirect methods. Di-
rect methods include removing the moisture through oven drying, the
Karl Fischer titration method, or desiccation. Indirect methods include
the dielectric method, infrared analysis, and the microwave absorption
method.
Direct Methods for Moisture Determination
Oven Drying. Weighed samples are heated under controlled condi-

tions, then the weight is determined following drying. Calculation of the
moisture is determined by the amount of weight lost over the amount
of weight in the beginning of the experiment. Oven drying, though, is
highly dependent on the type of oven used and the conditions within the
oven. Oven drying results are dependent on the environmental factors

of the study such as temperature control, airflow, and the pans that are
used (Nielsen 1998). Disposable pans with fiber glass covers are com-
monly used. Pans should be handled very carefully with tongs and nev-
er touched by human hands. Forced draft ovens can be used to decrease
drying times. Oven drying is one of the most common methods used,
although there are significant disadvantages to this method, including
sample variability, difficulty in removing all water, loss of volatile com-
pounds, and decomposition of sample (Nollet 2004).
Vacuum Oven. Vacuum ovens provide the most accurate drying
method to determine moisture content (Nollet 2004). Vacuum drying,
with its reduced pressure, can eliminate the time needed to complete
moisture analysis. Advantages over the oven drying method include
higher reproducibility, lower heating temperatures, and uniform heat-
ing (Nollet 2004).
The Karl Fischer Titration Method. This method has become a stan-
dard in moisture determination of low moisture foods because of its
selectivity, precision, and speed (Nollet 2004). The Karl Fischer titra-
tion method is the routine test for the determination of moisture in dried
fruits and vegetables, candies, chocolate, roasted coffee, oils and fats,
or other foods with high sugar or protein (Nielsen 1998). To determine
the moisture concentration, a reagent of iodine, pyridine, sulfur diox-
ide, and methanol is used (Nollet 2004). The endpoint of the titration
with water occurs when a brown color appears. Official methods for
determining moisture content of foods are given in the AOAC official
methods. Automated equipment is available for this test (Nielsen 1998).
Desiccation. A method that is accurate with volatile compounds is
chemical desiccation (drying out). This method is best employed when
using a strong moisture absorbing chemical substance in a desiccator
(Nollet 2004). The effectiveness of the moisture absorption is depen-
dent on the chemical used. Recommended desiccating agents include
calcium sulfate, phosphorus pentoxide, barium oxide, and magnesium
perchlorate. Calcium sulfate is widely used, but it is not as effective as
the other compounds.
Indirect Methods for Moisture Determination
Dielectric Method. The moisture content of foods can be measured

using electrical currents (Nielsen 1998). In this method, the sample’s
ability to change the current is measured by placing it between two
Temperature 55
metal plates with opposite charges (Nollet 2004). This method is com-
monly used for grain products.
Infrared Analysis. Infrared spectroscopy provides insight into food
composition by measuring the absorption of radiation by food products
(Nielsen 1998). When determining the moisture content of foods, the
food product being tested has a unique set of bands. The bands from the
food product analysis are compared to standard concentrations of water
and matched to determine the amount (Nollet 2004).
Microwave Absorption Method. Microwave absorption methods are
popular in food companies to rapidly measure the moisture and make
adjustments to the food prior to moving to the next processing step.
New technologies used can determine the moisture of a food product
in about 10 minutes with the accuracy of a 5 hour vacuum oven test
(Nielsen 1998). Factors affecting microwave absorption readings in-
clude leakage of microwave energy, the temperature of the sample, par-
ticle size, and soluble salts present in the sample (Nollet 2004). The
microwave method gives rapid readings, but is not as accurate as alter-
native methods.
TEMPERATURE
Food processors must pay close attention to temperature guidelines

in order to destroy potentially hazardous and spoilage microorganisms
in foods that are perishable.
Meats and other products that are cooked should reach the minimum
temperatures recommended as shown in Table 4.7. Ground meats have
a higher recommended heating temperature due to greater surface area
and higher projected microbial loads. Other foods that require proper
heating are eggs.
Foods that require refrigeration should be held at a temperature less
than 41°F (5°C). Regulating food storage areas and checking tem-
TABLE 4.7. Proper Cooking Temperatures for Meat Products.

Proper Cooking
Temperature Type of Food
165ºF (74ºC) Poultry
160ºF (71ºC) Ground meat of all types
145ºF (63ºC) Seafood, steaks, and other cuts of pork, beef, veal, or lamb
FIGURE 4.3. Demonstration of the temperature danger zone.
peratures periodically is important. Frozen foods should be held at a

temperature that keeps them thoroughly frozen. Both refrigeration and
freezer units fluctuate in temperature, and should be held at temperature
so that food is always in the safe zone. The temperature danger zone
(Figure 4.3), between 41°F (5°C) and 135°F (57°C), has been estab-
lished because this is where pathogenic bacteria can survive and grow.
Pathogens grow very quickly between temperatures of 70°F (21°C) and
120°F (49°C). Food service operations must establish hot holding and
cold holding procedures and check temperatures.
Although the temperature that products are heated to is vital, tem-
perature and time go hand in hand. If a processor wishes to heat a prod-
uct to a lower temperature, they may do so if the product is heated for a
longer amount of time. Time and temperature recommendations should
be made through a process authority or governmental guidance.
Determining the Temperature of a Product. Temperatures of products
should be determined throughout processing, especially if the heating
process is a vital step in the prevention of food borne illness in the prod-
uct. Temperatures are recorded through in-line detectors or thermom-
eters. Thermometers should be calibrated at the beginning of each shift
in order to ensure their accuracy. One common way to calibrate stem
thermometers is using the ice point method by putting them in an ice-
Color 57
water bath and adjusting the temperature to 32°F or 0°C. Care should
be taken if calibrating a thermometer by the boiling point method. A
reading of 212°F should be obtained at sea level, but the boiling point
of water changes with altitude (it decreases by about 1°F for each 500
ft. elevation) and barometric pressure. Many food processing plants and
food service establishments also have their thermometers calibrated by
the manufacturer once per year. The temperature at which products are
processed also affects quality parameters such as the color, flavor, and
texture when developing a product. Product developers should also
be aware of regulations governing the heat treatment of certain foods.
These will be covered in the chapters on unit operations and on food
laws and regulations.
BRIX
The Brix value is a measurement of soluble solids content. A refrac-

tometer is used to measure the solids content, expressed as the degrees
(°) Brix, the equivalent to the weight of sugar. The refractive index, the
ratio of the speed of light in a vacuum to the speed of light in a particu-
lar substance, is referred to as its refractive index. The refractive index
is then calculated to °Brix, which relates it to the percentage of sucrose
(Nollet 2004). Most refractometers are set to express the readings as a
percentage of sucrose in the product. The accuracy of refractometers is
dependent on the temperature, product composition, the concentration
of solids, and the purity of the sample (Nollet 2004). Brix is used in
research and development and processing to test the solids of raw mate-
rials like grapes and potatoes, and as a quality factor in jams and jellies.
COLOR
Color is a vital component in quality standards and consumer accep-

tance. Foods with unexpected colors are generally not well received. To
consumers, color is representative of the flavors of food—for example,
yellow has come to represent lemon, and green for lime or apple flavors.
Increased color intensity has also been shown to increase the perceived
flavor of food products (Francis 1999). In addition to flavor character-
izations, the quality and perceived freshness of foods (especially meats,
fruits, and vegetables) is initially determined by the color of the product
(Lawless and Heymann 2010). Some products, such as soft drinks and
ice creams, have unattractive or a low intensity of natural color, therefore
adding colorants helps to provide an appetizing product (Francis 1999).
Color is the perception by the human brain of pigments created by
light that is reflected from or transmitted through an object (Francis
1999; Lawless and Heymann 2010). The perception of a certain visual
color is affected by the background in which it is seen, the individual
viewer, and the spatial arrangement. The spatial color perception vari-
ation can be illustrated by the perceived change in color from a paint
chip that has broken off from a wall in your home—the color on the
walls is a little different than you expected. Hues are the properties of
colors by which they can be perceived as ranging from red through
yellow, green, and blue, as determined by the dominant wavelength
of light. Lightness is the dimension of color of an object by which the
object appears to reflect or transmit more or less light. Saturation is
the vividness of the hues, and their degree of difference from a gray
of the same lightness.
Methods of Color Measurement. Methods of color measurement can
be visual or instrumental. Visual color differences can be determined
using consumer testing or descriptive analysis by a trained panel. Oth-
er visual color grading systems include the Munsell system as well as
standards made out of glass or plastic. Instrumental measurements are
done using spectrophotometers, tristimulus colorimeters, or other spe-
cialized colorimeters.
The Munsell system is a three dimensional color system that is com-
prised of colored chips. It was first devised in the 1900s to be a mathe-
matical system of color comparisons. The three dimensions are hue (H),
value (V), and chroma (c) (Lawless and Heymann 2010). The Munsell
system contains 1,225 color chips for visual matching purposes (Fran-
cis 1999). Other visual standards can also be used, such as painted pa-
per chips, plastic color standards, or glass standards (mostly used for
sugar products) (Lawless and Heymann 2010).
A common instrument for measuring color is the Hunter Lab Color-
imeter. The Hunter color system measures colors using L, a, and b val-
ues. L corresponds to lightness and darkness, while the a and b values
correlate with red-green and yellow-blue spectrums, respectively. Red
is positive on the a spectrum, while green is represented by negative a
values. Yellow is positive for b values; negative b values corresponds
to blue. Hunter Lab instruments rapidly give these values based on the
Hunter diagram for comparative purposes.
Color 59
Plant Pigments
Classes: Chlorophyll, Carotenoid, Flavonoid
I. Chlorophyll:
A. Green pigment important in photosynthesis
B. Contained in the chloroplast
C. Fat soluble
D. Occurs in large quantities in nature
E. Sensitive to light and changes in pH
F. Not permitted for use as a food color in the United States
Stability during processing:
Chlorophyll is sensitive to acid degradation in the presence of heat.
II. Carotenoid:
These yellow, red, and orange pigments are widespread in plants and
animals. Carotenoids are fat soluble and found in carrots, red tomatoes,
paprika, and red salmon. Their stability in food is maintained by limit-
ing exposure to air.
FIGURE 4.4. The Hunter color system.

Carotenoids are classified into two groups:

A. Carotenes-carotenoid hydrocarbons
Carotene: group of Carotenoids containing only hydrogen
and carbon in a polymer of isoprene. For example, β-carotene-
carotene, lycopene. Lycopene is found in tomatoes, pink grape-
fruit, and watermelon and is the most predominant carotenoid.
1. Carotenoids are precursors of vitamin A
B. Xanthophyll (or oxycarotenoids)-oxygen-containing deriva-
tives
Xanthophyll: group of Carotenoids containing some oxygen
as well as hydrogen and carbon in a polymer of isoprene. In or-
anges about 50% of the Carotenoids are xanthophylls. Annatto
is the plant pigment extracts that when heat treated undergoes
some isomerization from trans to cis creating an oil-soluble red
color.
III. Flavonoid: These are intensely colored water-soluble orange, red,
and blue pigments responsible for the color of grapes, strawber-
ries, raspberries, blueberries, cranberries, apples, roses, and Indian
corn. Flavonoids are more stable under acidic conditions.
Types of Flavonoids: Anthocyanin, Anthoxanthin, Anthocyani-
din
Discoloration of Flavonoid
Color reactions:
• Canned pears and white potatoes may turn pink as a result of a high
processing temperature and delayed cooling.
• Bananas, apples, cherries, or avocados may exhibit a browning/
blackening due to bruising, cut, or exposed surface due to polyphe-
nol oxidases (group of enzymes capable of oxidizing flavonoid com-
pounds to cause browning).
Disadvantages in the use of naturally colored foods as ingredients in

other food products:
• Beet and cranberry juices will color foods red, but they also impart
an undesirable flavor or an astringent taste.
• Low pigment concentration, low stability, and poor color uniformity.
Particle Size 61
Synthetic
These colors are the primary sources of commercial colorants.

• F&C Dyes. These are water soluble compounds. They are manufac-
tured in the form of powders, granules, liquids, blends, pastes, and
dispersions. Good manufacturing practices suggest that they be used
at less than 300 ppm.
• F&C Lakes. These are aluminum hydrate extensions of dyes formed
by chemically extending the corresponding dye onto an aluminal
hydrate substratum. The dye content generally varies from 10% to
40%. The color of lakes is manifested through dispersion rather than
solubilization as for dyes. Typical applications include icings, coat-
ings, donut mixes, hard candy, and gum products.
PARTICLE SIZE
Particle size affects the texture, density and mouth feel of certain
foods (Smith 2011a). The particle size of flour affects the character-
istics of baked goods made from it. Particle size can be determined
through sieves, photo analysis, or laser diffraction. Sieves are a very
manual determination of particle size. Screens are stacked from large
at the top to small at the bottom in order to determine the particle size
differences throughout the flour. The material on each sieve is weighed
to determine the percentage of particles that represents a certain size.
Photo analysis provides much faster analysis—a picture is taken and
then analyzed using computer software.
Rheology
Rheology is the study of the flow and changing of shape of products

(Nielsen 1998). For example, the rheological properties may describe
the flow of the milk from the carton or the breaking of hard candy.
Stress and strain of products are important factors in determining rheo-
logical properties. Many qualities of food are called rheological prop-
erties including viscosity, viscoelasticity, shear rate, and strain testing.
The measurement of these attributes can help determine how easy a
sauce will flow out of the bottle or compare the ability of a tortilla prod-
uct to roll or stretch. Rheological properties are also important for plant
applications, such as flow through pneumatic valves.
TABLE 4.8. Common Rheological Tests Used in Product Development*.

Test Purpose
Farinograph Consistency of dough
Brabender Dough extensibility
Tarr-Baker Jelly Tester Firmness of pectin jellies
Warner-Braxler Shear Tenderness of meat
Armour Tenderometer Tenderness of meat
Bloom Gelometer Gel strength for pectin jellies
Rotary Viscometer Measures torque and viscosity
Brabender Struct-o-Graph Snapping of product
Penetrometers Firmness of cheeses, tenderness of fruits/vegetables,
force required to penetrate a material
Instron Compression, tensile, harness, and impact testing;
gives Instron Texture Profile (ITP)
Bailey Shortometer Snapping properties of baked goods
Bostwick Consistiometer Measures consistency and flow rate
Line spread test Consistency of liquids
Texture Profile Analysis (TPA) Fracturability, cohesiveness, adhesiveness, springi-
ness, hardness, gumminess, and chewiness (Imitative
test that has action similar to human eating)
*Source: Bourne 1982; Smith 2011b.
TEXTURE
Texture represents those qualities that are experienced by the tongue,

palate, and teeth when you are eating (Vieira 1999). These textural at-
tributes include structure, mouth feel, ease of breakage—all factors that
contribute greatly to the liking of food products. How good would po-
tato chips be without their crisp texture? Children sometimes display a
disapproval of some textures, including the crust of bread and the skin
of apples.
One goal of food processing is to make foods easier to eat (Bourne
1982). For example, wheat is milled into flour and used in formulated
foods to make baked goods. Other food processes that modify texture
include freezing, dehydration, canning, and evening tenderizing meats.
When developing food products, many ingredients can be added to
modify the texture of foods: lipids in cake to increase tenderness, pectin
in jelly to form a gel, or calcium chloride to make firm pickles.
Texture can be grouped into two categories: the rheological prop-
erties and the sensory properties. Rheological properties are generally
measured through instrumental procedures, while sensory attributes are
Thermal Properties of Food 63
measured through sensory panels, although some texture analysis in-

struments can bridge the gap between the two.
Viscosity
Viscosity is an especially important factor in the creation of fluid foods.

Viscosity, by definition, is the tendency to resist flow through internal fric-
tion (Bourne 1982). Though this definition seems to include liquid foods,
such as soda, and to eliminate solid foods, viscosity can be measured in
some solid foods that have liquid characteristics under stress. Measur-
ing the flow of foods is important when food engineers are measuring
the ability to transport ingredients through pneumatic pipes. Measuring
rheological properties goes far beyond viscosity, and includes measuring
gel strength, consistency, extensibility, hardness, cohesiveness, and other
attributes. The Rapid Visco Analyzer (RVA) is an effective instrument
widely used for determining the cooked viscous properties (pasting pro-
file) of starches, grain products, flours, and foods.
Sensory
Sensory tests measure the perceived properties of food using human

instruments. Sensory texture profiling is a common tool that is com-
pleted by a trained panel. Panelists are carefully selected, and trained to
rate attributes of food such as hardness, fracturability, chewiness, gum-
miness, adhesiveness, and viscosity. Other sensory tests used in sen-
sory analysis to measure texture include squeeze tests in which panel-
ists squeeze a food product or viscosity and consistency measurements
where panelists stir a sample with their finger or a spoon. (Meullenet et
al. 1998). Sensory analysis is covered more thoroughly in Chapter 5.
The correlation between texture profiling by a sensory panel and a
texture profile analysis by an instrument has been found to be signifi-
cant in some areas, and insignificant in others. Hardness and springi-
ness factors from sensory data correlate with instrumental data, while
cohesiveness and chewiness did not correlate (Meullenet et al. 1998).
Even when sensory and instrumental results do not correlate, both sets
of readings are valuable.
THERMAL PROPERTIES OF FOOD
Food undergoes phase transitions that affect the texture, structure,

and function of the product. These three transitions are (1) water/ice,
(2) protein denaturation, and (3) starch gelatinization (Peleg and Bagley
1983). Many transitions take place in the presence of heat. Glass transi-
tion (Tg) is a change in amorphous solids from a hard state to a rubber-
like phase. The Tg should be considered, especially when developing
low moisture or frozen foods. Tg measurements can be complicated if
the new product being developed is encapsulated or coated with an ed-
ible film. Additionally, some foods may have more than one glass tran-
sition temperature.
Differential Scanning Calorimetry
Differential Scanning Calorimetry (DSC) is a method for study-

ing the thermal properties of food and ingredients that quantifies and
records data regarding the amount of heat involved in physical state
changes. DSC works by comparing the changes in enthalpy in a sample
as compared with a reference material, and can measure starch gelati-
nization temperatures and protein denaturation points. DSC is used in
the food industry to study the amount of freezable/non-freezable water
in the system, Tg in wheat, influence of water on a variety of starches,
changes in phase transitions with the addition of ingredients, and the
gelatinization of starches (Nielsen 1998).
DENSITY
The density (or specific gravity) of foods can be an important calcu-

lation for the quality of some foods, including baked goods and fresh
vegetables. Density measures the mass of a unit per its volume. For
example, the density of peas or corn is determined for grading purposes.
The vegetables are first weighed in air, then weighted in a solvent (wa-
ter), and the specific gravity is calculated (Nielsen 1998). The USDA
Agricultural Marketing Service determines grading standards, but indi-
vidual companies may have internal standards of quality.
MICROBIAL PROPERTIES
The microbial properties of food are widely dependent on the products

being tested. Food products such as yogurt naturally support and thrive on
non-pathogenic bacteria to create their unique taste. Microbial standards
for bacteria are regulated by governmental standards for some products.
Microbial Properties 65
Microbial testing is vital in some product operations due to high risk

for contamination. Pathogenic microbial contamination can lead to food
borne illnesses that can cost companies their reputation and substantial
amounts of money.
Processors and regulators can both set unofficial standards for par-
TABLE 4.9. Defect Action Levels for Common Foods.

Product Defect Action Level
Apple Butter • Average of mold count is 12% or more
• Average of four or more rodent hairs per 100 g of apple butter
• Average of five or more whole or equivalent insects (not
counting mites, aphids, thrips, or scale insects) per 100 g of
apple butter
Apricots, canned • Average of 2% or more by count has been damaged or
infected by insects
Beets, canned • Average of 5% or more pieces by weight with dry rot
Berries, canned or • Average mold count is 60% or more
frozen • Average of 4 or more larvae per 500 g or average of 10 or
more whole insects or equivalent per 500 g (excluding thrips,
aphids, and mites)
Broccoli, frozen • Average of 60 or more aphids, thrips, and/or mites per
100 g
Cinnamon, ground • Average of 400 or more insect fragments per 50 g
• Average of 11 or more rodent hairs per 50 g
Corn, sweet, canned • Insect larvae (corn ear worms, corn borers) two or more 3
mm or longer larvae, cast skins, larval or cast skin fragments
of corn ear worms or corn borer, and the aggregate length of
such larvae, cast skins, larval or cast skin fragments exceeds
12 mm in 24 lb
Olives, pitted • Average of 1.3% or more by count of olives with whole pits
and/or pit fragments 2 mm or longer measured in the longest
dimension
Black olives, • 10% or more olives by count showing damage by olive
imported fruit fly
Peanut Butter • Average of 30 or more insect fragments per 100 g
• Gritty taste and water insoluble inorganic residue is more
than 25 mg per 100 g
Tomatoes, canned • Average of 10 or more fly eggs per 500 g or 5 or more fly
eggs and 1 or more maggots per 500 g or 2 or more maggots
per 500 g
Wheat flour • Average of 75 or more insect fragments per 50 g
Source: FDA Defect Levels Handbook (revised 1998).
ticular products which are referred to as “guidelines.” Microbiologi-

cal guidelines set an approximate or a maximum level for the micro-
bial load that should be attainable when good manufacturing practices
and proper plant procedures are met (Banwart 1989). Defect Action
Levels are addressed by FDA in 21CFR110 subpart G, § 110.110:
Natural or unavoidable defects in food for human use that present no
health hazard. The defect action levels are listed in the Defect Levels
Handbook, which is available on the FDA website. If foods are found
to be above the defect action levels, the food can be deemed adulter-
ated. Some examples of common defect action levels are given in
Table 4.9.
Food producers may set more strict specifications at the request of
buyers or retailers. Specifications may have a limit way lower than the
FDA’s prescribed action levels in order to satisfy buyer’s needs. Food
processing standards are based on the type of food that is being pro-
duced. Ready to eat products must be handled carefully to ensure that
they contain a lower microbial load than a product that is meant to be
cooked.
SUMMARY
The properties of food contribute to the processing techniques used,

safety of the product, and the sensory properties. Product developers
should be cognizant of the properties of their raw materials and food
product. Taking measurements often to determine the importance of
each property is recommended, especially if its effect is unknown. The
properties of food products are quite important when it comes to safety
and taste.
KEY WORDS
Brix—a measure of percent soluble solids.

Density—the mass of a unit per its volume.
Differential Scanning Calorimetry (DSC)—a method for studying
the thermal properties of food and ingredients that quantifies and
records data regarding the amount of heat involved in physical state
changes.
Fermentation—the conversion of a biodegradable food constituent
(sugar) by controlled biochemical decomposition (microbiological)
into a more stable substance (e.g., acid) capable of preventing or

inhibiting further microbial activity.
Hues—the properties of colors by which they can be perceived as
ranging from red through yellow, green, and blue, as determined by
the dominant wavelength of light.
Hunter color system—measures colors using L, a, and b values. L
corresponds to lightness and darkness, while the a and b values
correlate with red-green and yellow-blue spectrums, respectively.
Lightness—the dimension of color of an object by which the object
appears to reflect or transmit more or less light.
Munsell system—a three dimensional system color system that is
comprised of colored chips.
pH—an indicator of the amount of acid or base present in a food system
based on a scale of 0 to 14 and determined by the negative logarithm
of the H+ or OH– concentration in solution.
Saturation—the vividness of the hues, and their degree of difference
from a gray of the same lightness.
Titratable acidity—approximate measure of total acidity in a sample
determined through by the amount of an alkaline solution it takes to
neutralize the acid, which is expressed as free hydrogen ions and as
hydrogen ions till bound to undissociated acids.
Viscosity—the tendency to resist flow through internal friction.
Water activity (aw)—the amount of water available for chemical
reactions and microbial growth.
4.1. Answer True or False:

a. Egg whites are one of the only foods that are not naturally
acidic.
b. If vinegar has a pH of 2 and orange juice a pH of 3, the vin-
egar is 100 times more acidic than the orange juice.
c. There are no microorganisms that can grow below a aw of
0.91.
d. Food should never be held between 21°F and 145°F, also
called the temperature danger zone.
4.2. Match the following acids to the foods in which they are com-
monly used in.
a. Citric ___Tortilla
b. Malic ___ Orange juice
c. Fumaric ___ Pepsi Cola
d. Phosphoric ___ Sour apple candies
4.3. Fill in the blanks:
a. Most pH meters are equipped with __________________ that

correct for slight changes in temperatures.
b. ___________________ should be calibrated at the beginning
of each shift in order to ensure their accuracy.
c. Cinnamon is allowed to have an average of ____ insect frag-
ments per ____ gram sample according to the FDA’s Defect
Action Levels.
d. In the Hunter color system, L refers to ______ and ________,
a corresponds to the __________-________ spectrum, and b
corresponds to the _________-_________ spectrum.
4.4. What type of equipment would be used to measure the ° Brix of

a product?
4.5. Legally define an acid food and give the two microorganisms for
which this definition is based upon.
4.6. Describe the difference between hydrolytic and oxidative rancid-

ity.
4.7. Discuss the relation of pH to microbial growth in foods.
4.8. How many times more acidic is cranberry juice (pH of 3.2) com-
pared to banana pineapple juice (pH of 4.2)?
4.9. Choose one natural pigment and discuss the effects of pH on that
pigment.
References 69
REFERENCES
Bourne, M.C. 1982. Food texture and viscosity. New York: Academic Press.
Chinachoti, P., and Vittadini, E. 2006. Water stress of bacteria and molds from
a NMR water mobility standpoint. In M.d.P. Buera, J. Welti-Chanes, P.J.
Lillford and H.R. Corti (eds.), Water properties of food, pharmeceutical,
and biological materials (pp. 167–190). Boca Raton, FL: Taylor & Francis
Group, LLC.
Francis, F.J. 1999. Colorants. St. Paul, MN: American Association of Cereal
Chemists, Inc.
Lawless, H.T., and Heymann, H. 2010. Sensory evaluation of food: Principles
and practices. New York: Springer.
Meullenet, J., Lyon, B.G., Carpenter, J.A., and Lyon, C.E. 1998. Relationship
between sensory and instrumental texture profile attributes. Journal of Sen-
sory Studies. 13(1), 77–93.
Nielsen, S.S. ed.. 1998. Food analysis. Gaithersburg, Maryland: Aspen Pub-
lishers, Inc.
Nollet, L.M.L. ed.. 2004. Handbook of food analysis. New York, NY: Marcel
Dekker, Inc.
Peleg, M., and Bagley, E.B. eds.. 1983. Physical properties of foods. Westport,
Connecticut: AVI Publishing Company, Inc.
Smith, B. 2011a. Particle size. Manhattan, KS: Kansas State University.
Smith, B. 2011b. Texture analysis. Manhattan, KS: Kansas State University.
CHAPTER 5
Sensory Analysis and Consumer Evaluation

in Food Product Development
Learning Objectives
• What the basic sensory attributes are.
• How companies use sensory analysis in product development.
• What sensory tests are commonly used.
S ENSORY ANALYSIS is an essential tool in product development to

measure product differences, perceived characteristics of products,
and the acceptability of the products. Sensory analysis is a scientific
discipline used to evoke, measure, analyze, and interpret reactions to
material characteristics and food traits as they are perceived by sight,
smell, taste, touch, and hearing (Stone et al. 2012). Product develop-
ment relies on the work of sensory scientists to find out consumer pref-
erences and how changes made to the food affect perception and liking.
Sensory traits include everything from appearance to texture. Ap-
pearance attributes include color, size, shape, and opaqueness or clarity
of the product. The aroma of the product is important with some types
of products. Are there any off-odors? Texture is an important piece of
the eating experience and sensory testing. Is the product crunchier than
the consumer expected? Does it stick to the consumer’s teeth? Panelists
measure flavor as well. Does the flavor match the concept? Is it what
the consumer expected?
SENSORY EVALUATION IN FOOD PRODUCT

DEVELOPMENT
Sensory evaluation is an important piece of research and develop-

71
72 SENSORY ANALYSIS AND CONSUMER EVALUATION
FIGURE 5.1. A basic overview of the sensory tests explained in this chapter for a food
scientist doing product development. There are many more sensory tests that are appli-
cable to product development.
ment. The sensory appeal of a food must meet consumer expectations

in order for the product to be a success. The results of sensory analysis
tests determine whether a product moves forward in development or if
the project is scrapped.
Sensory analysis techniques provide tools for product developers
to determine the acceptability of a product, preferences of consumers,
and implications of ingredient or processing changes. Acceptability and
preference tests are subjective tests that can be carried out in a variety
FIGURE 5.2. The objective or goals of a study are the basis for determining which sen-
sory test should be used.
of ways including in-home use, focus groups, and central location tests
(Fuller 2011). Objective sensory tests completed by trained panelists
include discrimination testing and descriptive analysis.
Companies can rely on data from properly executed sensory tests
to determine if a new or reformulated product is fit to launch into the
market or if the company should spend their dollars elsewhere. For ex-
ample, focus groups can aid in idea generation, concept definitions, and
product design. Two types of sensory tests are used in the selection of
ingredients: difference testing and the triangle test.
Difference testing is used to determine if the flavor ingredients make
a significant change in the flavor formulation. Triangle tests, for ex-
ample, can be used to predict whether a larger population will be able to
detect formulation or processing changes. If the objective is to replace
an ingredient without changing the flavor, a similarity test is appropri-
ate. Similarity tests are conducted the same as difference tests, but the
statistical analysis determines the beta risk rather than the alpha risk.
Difference and similarity tests are valuable in cost reduction projects
where formulas are changed slightly to reflect lower ingredient costs
for the company. Consumers can also provide guidance for continued
product development. For example, ranking studies can be used to rank
several prototype flavors or formulations developed together with two
or three products (flavors) already on the market. To ensure test results
are accurate, randomizing order of presentation or presenting samples
sequentially are methods for controlling error.
Types of Sensory Tests
The type of sensory test used is highly dependent on the goals of the
study. Companies should define the goals and consider what sensory
tests may be applicable prior to starting trials. Figure 5.2 shows com-
mon objectives of sensory testing and which test should be utilized for
each objective.
Analytical Tests
Analytical tests measure the attributes of a product through quantita-

tive and qualitative measures using highly trained personnel. Testing
procedures and the participants are highly dependent on the test objec-
tive. Analytical tests involve distinguishing between products, and in
some cases, their attributes.
Trained panels are a part of some companies, while others train contract
panels for specific projects. In order to keep a panel well trained, regular
meetings are necessary. Trained panelists (or members of a company)
should never determine the acceptability of products due to a significant
amount of bias. Trained panel members should be housed in a controlled
sensory facility. These members should be taught the correct procedures
for testing and learn through repetition of tasting products that they will
be consistently reviewing. With minimal orientation, you can conduct ac-
ceptability and preference tests, simple difference tests, and difference
from control tests. Minimal training is required for scaling of selected,
easily recognizable characteristics. For detailed product descriptions, ex-
tensive training and monitoring of panelists is a must and requires con-
siderable investments in time and money. The cardinal rule in sensory is
that trained panelists should be used to provide product descriptions, and
consumers should be used for acceptability (affective) tests.
Discrimination Tests
In order to have meaningful difference tests, one essential quality is

that samples are identical except for the one attribute under consider-
ation. If not, ratings will be based on information other than that about
which you are trying to learn. Examples of discrimination tests for dis-
tinguishing differences in products are the triangle, two-out-of-five,
duo-trio, and difference from control, among other difference and simi-
larity tests. Attribute difference and similarity tests include paired com-
parison, pair-wise ranking, multiple paired comparison, simple ranking,
and the rating of several samples. Panelists that have been screened for
sensory acuity are suited to participate in discrimination tests (Lawless
and Heymann 2010). The goal of discrimination tests is to establish if
there are product or attribute differences.
Triangle test. This test is a simple test to distinguish differences in
products. Companies may wish to test products made in different pro-
cessing facilities (or a cost-reduced product versus original formula-
tion) to see if any differences are realized. In this test, three samples are
presented simultaneously or successively. Two of the samples are the
same, representing a single lot and the third represents another lot and
might be different. The subject is required to pick the sample that he
believes is different. The orders in which samples are presented must be
balanced or randomized to prevent any bias. In order to obtain reliable
results, at least 12 responses should be obtained.
FIGURE 5.3. Triangle tests are presented with three randomized samples. Two of the
samples are identical to one another, and the participant should pick the one that is dif-
ferent.
Duo-trio tests. The sample set is like that for the triangle test; how-
ever, now one of the identical samples is identified as the “control,”
and the panelist must choose the unidentified sample that is different
from the control. The control can remain constant in the test, or can be
alternated between the two samples. The duo-trio test, as a rule, should
have no less than 16 participants. The ideal number of participants is
more than 32.
Two-out-of-five test. Like the other discriminative tests, the two-out-
of-five test is used to identify differences in samples. Panelists are given
five samples and asked to identify the two that are different from the
other three. Because five samples are used, the panelists have less op-
portunity to guess the correct samples by chance. The chance of pick-
ing the two correct samples is one-tenth, much lower chances than the
paired comparison (one-half) or the triangle test (one-third).
FIGURE 5.4. Duo-trio tests are presented with one reference and two randomized sam-
ples. The panelist should identify which sample is different than the control.
Paired comparisons for attributes. This method employs a standard

external to the test itself. Two samples are presented, and the panelist
chooses one of the samples on the basis of the specified characteristic or
attribute. An example of a question that might be asked in a paired com-
parison test is: Which of the samples is sweeter? Panelists would usu-
ally taste several pairs of samples, stating which is more of an attribute.
Pair-wise ranking test for attributes. The ranking of several samples
that are grouped into pairs to test differences of a single attribute, such
as sweetness. Samples are presented in randomized pairs (using every
possible combination on each panelist). The panelist indicates which of
the paired samples is more of the attribute for each of the pairs until all
possible combinations have been scored.
If four different juice drink formulas are being evaluated for sweet-
ness, called A, B, C, and D, and there are 12 participants for the pair-
wise ranking test, then there would be six different pair combinations:
AB, BA, BC, CB, CD, and DC that would be served in a different order
for each participant. Each sample in the whole study should be given a
separate three-digit code to eliminate any bias.
Difference from control tests. This test combines some aspects of
difference testing with some scaling. Subjects are asked to rate the size
of difference between each sample and a control on a scale. Some test
samples can be the same as the control. The scale ranges from no dif-
FIGURE 5.5. Paired comparison tests are used to determine if attributes are different in
two products. An example ballot is given showing how a paired comparison test might
be given.
ference to extreme difference. The mean difference from control for

each sample and for the blind controls is calculated and the results are
analyzed using analysis of variance. Using analysis of variance will
determine which samples are statistically different. This test can also be
used to determine the degree of difference between samples.
Descriptive Tests
Descriptive tests involve both the discrimination and description of

the characteristics of products. Such tests typically require fewer panel-
ists and more training. Panels can be as small as six people and as large
as 20, but a typical number of participants is from 10 to 12 Stone et
al. 2012). Generally, small sensory programs will not become involved
with such tests except perhaps some scaling of selected key attributes
(generic descriptive scaling). Descriptive tests can be ranked against
chemical and physical attributes from instrumental data. Common tests
include Quantitative Descriptive Analysis® (QDA®), flavor profiling,
and texture profiling.
Every company uses its employees to evaluate products at some
point. Biases can occur because of vested interests in the products, but
employee training, careful test design, and application of statistics can
lessen the concerns. Likes and dislikes cause biases more than any other
item, so training is necessary to prevent their influence in analytical
tests. The ability of trained individuals to detect differences with great
accuracy helps companies make unerring conclusions in projects, thus
serving as an invaluable tool in research and development (Stone et al.
2012).
Training panelists is vital to descriptive analysis along with deter-
mining scales. The use of language is important to quality attribute
analysis. Defining the meaning of words used in testing so that the en-
tire panel understands is critical to provide valid information. Physical
reference standards and training are important to determine, although
easily understood attributes such as sweet or bitter taste, or firmness
can be assessed with minimal panelist training. Just as instruments need
calibration, trained panel members should undergo regular sensory ex-
ercises and screenings to ensure quality readings.
A simple numerical scale is only one of the types of scales that can be
used, but it is easily understood and uncomplicated for participants. An
example of a scale for rating the intensity of a single attribute is given
in the following explanation:
In order to rate the level of sweetness of a product, panelists could be given refer-
ences of sweet solutions of 2%, 5%, and 15% sucrose (sucrose (weight)/distilled
water (volume)) that correspond to values on a scale of 2, 6, and 9, respectively.
When using a panel, the panelists should verify the rankings for all
reference materials by adjusting their position on the hedonic scale if
there is a disagreement. All panelists might agree and determine that the
5% is really not that sweet and use the 5% solution as the reference for
the scale value of 5. Before moving the reference point, all participating
panelists should agree and rate the unknown samples using the same
reference values. Longer scales can be shortened and the reference val-
ues adjusted accordingly. Generally, less trained panelists have less dif-
ficulty with somewhat shorter 7- or 9-point scales.
Flavor Profile Method. Trained panelists can be used to determine
the profiles of products and the intensity of attributes. Prior to begin-
ning the assessment of a product, panelists are trained on reference
foods and their traits on a relevant scale. Then, six screened panel-
ists carefully study the product and discuss its attributes in an open
session (Stone et al. 2012). When the panelists come to an agreement
about the descriptive traits of the product, the results are shared in the
form of a report.
Texture profile method. After the flavor profile method was devel-
oped, the General Food Company developed the texture profile method.
This method defined specific reference materials and scales that could
be used for all tests. Terms that describe textural characteristics were
defined and categorized in order to produce universally uniform de-
scriptions (Stone et al. 2012). Texture profiling is completed in a similar
way to the flavor profile method—using reference materials for a tex-
tural attribute of a food such as hardness, viscosity, and adhesiveness.
Limitations to texture profiling include the separation of textural traits
from the whole food and the rigidness of the reference scaling.
Quantitative Descriptive Analysis®. This is a descriptive analy-
sis technique that uses a panel of 10–12 highly trained participants to
characterize and compare products. Participants are trained on a certain
product and agree upon references prior to testing. Each panelist indi-
vidually rates products on a line scale, and then all individual scores are
compiled on a chart (Stone et al. 2012). Graphical representation, such
as the one seen in Figure 5.6, can be created for the QDA® to represent
how samples scored compared to one another. QDA® analysis repre-
sents all sensory data including textural and flavor profiles.
FIGURE 5.6. Based on the statistical results for QDA®, a graphical representation, of-
ten called a sensory map or “spider web,” can be devised to illustrate the relationship
between samples. The gray concentric shapes on the plot represent an attribute scale
without anchors, with the very center being zero (Stone et al. 2012). Each colored line in
this illustration represents a different sample.
Affective Tests
Affective tests assess the personal response by potential consumers

to a product, a product idea, or specific product attributes. Consumers
are used for these tests. Affective tests of acceptability and preference
measure subjective attitudes about a product. All participants should be
screened for product usage prior to participation in a study (i.e., cereal
studies should use participants that eat cereal). As suggested by Stone
et al., (2012), sensory scientists should consider the following criteria
prior to beginning an affective test:
• Objectives of the research

• Tests to be executed (to fulfill objective)
• Criteria for consumer participation
• Essential outcomes of the test
Quantitative Affective Tests
Popular examples of quantitative acceptability tests are hedonic

scale tests and paired-preference tests. Preferences and acceptability in
consumer tests have an obvious connection—if significantly more con-
sumers rate product A higher in preference than product B, then product
A would be the more acceptable product. Before companies invest time
and equipment into the development of a food, “unbranded sensory re-
search” can be completed to assess true liking and the potential for re-
peat purchases (Stone et al. 2012).
Central location testing is done using persons not involved in techni-
cal or marketing aspects of the product with 25–50 respondents. Or-
ganizations may also enlist in-home use tests in order to measure the
acceptance and use of a product in an unbiased setting. Because the
environment cannot be controlled in these tests, the sample size should
be larger (75–200). The overall goal of quantitative affective sensory
tests is to determine what the best product is for the target audience.
Paired preference test. Participants are asked to choose one of the
samples over another. Samples are offered simultaneously and asked
which is preferred. Multiple samples should be randomized and given
unique three-digit codes. The paired preference test is easy for partici-
pants to understand, but information about why a consumer may not
like the sample is not apparent. Similar testing can also be completed
with proper randomization on more than two samples. This testing is
called multiple pair preference test.
Hedonic tests. Hedonic tests are a scale method for measuring the
level of liking for foods. Samples are presented in succession, and the
subject is asked to indicate how much he likes or dislikes each one on a
scale. The traditional scale developed by the U.S. Army Food and Con-
tainer Institute in the 1940s is verbally anchored with nine categories,
as seen in Figure 5.7 (Lawless and Heymann 2010). Many variations
are used, such as eliminating the neutral category, use of more like than
dislike categories, more or fewer categories, replacement of verbal cat-
egories with caricatures such as smiley faces, and others. Smiley faces
are commonly used for tests involving children. Some variations can
cause drastic changes in responses. The standard 9-point scale is the
safest and easiest to analyze and interpret for novice panelists. No fewer
than 25 panelists (repetitions) should be used even for indications of ac-
ceptability early in the product development cycle. This test can be used
for in-home use tests.
FIGURE 5.7. The 9-point hedonic scale is commonly used in sensory testing to deter-
mine liking. An example of commonly used markers is given in this illustration.
Ranking tests. For three or more samples, a relative order of prefer-

ence can be determined. Neither this test nor the paired preference test
indicates whether any of the products are liked or disliked. These tests
indicate the order in which they are “preferred.” The samples are pre-
sented in balanced or random order. The rank sums are calculated and
evaluated using Friedman’s test (Meilgaard et al. 1990).
Qualitative Affective Tests
Qualitative affective consumer tests aim to collect information from

consumers regarding their acceptability of products or product con-
cepts. Qualitative affective tests are used to gather data directly from
consumers. A sensory department may conduct focus groups or con-
sumer interviews as a solo exercise or following quantitative affective
tests.
Focus groups. A group 6–12 of pre-screened consumers that fit into a

certain target audience can be used to conduct a focus group. Research
and development departments may utilize focus groups to gather in-
formation about the acceptance of product concepts. Developers can
establish sensory attributes that fit with consumer perception of an idea.
Another use is to gather information about a product prototype that the
participants use in their home prior to the focus group meeting. Several
focus groups with the same or varying target audiences can be con-
ducted for the same concept.
Conducting a focus group first entails establishing what points are
important to the research and determining the objectives. Organizers
should devise a moderator’s guide that includes the purpose of the
study, introductions, and guidelines for participation, questions, activi-
ties, and closing statements. Generally, questions regarding broad prod-
uct behaviors begin the session, followed by more direct ones. Focus
groups generally last from 2 to 3 hours; therefore activities that generate
discussion are encouraged.
Moderators are trained discussion leaders that generate conversation
and keep the group discussing the topic at hand. Talented moderators
can assist in getting quiet participants to give their opinion and also
keep talkative participants from overtaking the group. Prior to conduct-
ing a focus group, the moderator and test coordinator should validate
the goals of the study and establish key components that should be cov-
ered.
Focus groups should be conducted in a controlled environment with
sufficient lighting, limited distractions, and a viewing area separated
by a two-way mirror for those conducting the study. Audio recording
or videotaping sessions can help organizers recall key points after the
panel is completed.
Interviews. Companies can conduct interviews with targeted con-
sumers about how they use a product or what they think about a product
concept. These interviews are sometimes conducted after other sensory
testing to gather more detailed information about the product’s accept-
ability. Interviews could also be conducted following in-home use tests.
The interviewer should be trained to conduct consumer research and
interviewees should be screened prior to participation.
Focus groups can suggest a direction that the business might take and
give insight on the consumer perception of an idea, but they should not
be used as a basis for financial decisions. The data from focus groups
is not definitive and may be biased due to the low count of participants.
Sensory Tests for Product Matching
Some companies try to mimic competitor’s products. When trying to

match a competitor’s product, it may be useful to enlist sensory tests.
Focus groups can help determine what the key attributes of the product
are along with the expectations of the product for consumer liking. De-
scriptive tests can answer what the attributes of the benchmark product
are and describe how prototypes differ from the competitor’s product.
After changes to the prototype have been made or several mock-ups are
ready, descriptive tests can help determine which is closest to the target
sample. Difference testing can also be used to determine if the proto-
type matches the benchmark model.
Sensory Tests for Product Reformulations
Companies often reformulate products to meet nutritional or cost ini-

tiatives or due to a change in the ingredient supply chain. Consumers
come to expect products to have certain sensory characteristics, and do
not always appreciate change. Therefore, it is essential for organiza-
tions to evaluate product changes and their effect on consumer liking.
Difference tests can be used to indicate if consumers will notice a dif-
ference in the product. Descriptive analysis can determine if quality
would be affected, and what changes have occurred. Acceptability test
can evaluate how much change can occur in the product before con-
sume acceptability declines.
Utilizing Sensory Tests to Determine Shelf Stability
Sensory tests are used to determine the length of shelf life for new
or reformulated products. Companies need to successfully determine
shelf life in order to gather information about when they should ad-
vise distributors and retailers that the product may not be of acceptable
quality. Although microbiological hazards are of interest in shelf life
testing, other changes can occur that would make products unpalatable
for consumers. Typical modes of failure include texture change, loss of
color, nutritional loss, or change in functional properties (Fuller 2011).
Textural changes can be noticed in products such as crackers that may
stale. Although stale crackers are unacceptable to the consumer, it is un-
likely that they would pose any microbiological hazard. Sensory testing
can be utilized in this case to measure the degree of staling or consumer
Case Study: What Would You Do?

A company is developing an apple flavored hard candy. They have
developed two concepts that they believe to fit the concept, so they
plan a consumer panel utilizing a central location test with over 100
participants. When the sensory scientist arrives at the test, the facility
has the aroma of bleach. The scientist quickly attempts to find other
accommodations for the test, but risks not obtaining the number of
participants needed due to a change in accommodation. What would
you do?
acceptability to the end of shelf life. Loss of functional properties can

be characterized as the loss of ability to leaven in the case of yeast, or to
set in the case of pectin or gelatin desserts.
SUMMARY: HOW TO GET THE MOST OUT OF

SENSORY ANALYSIS
Sensory data can easily become erroneous. In order to repeatedly

acquire sufficient data, a sensory scientist and statistician should work
together to eliminate common mistakes. Errors can usually be con-
trolled through the use of solid experimental design. Balancing and
randomizing the order of presentation can help eliminate bias. Experi-
ment replications should be completed when necessary, and sample
sizes should be as recommended in order to obtain statistically sig-
nificant results that a business can use to make decisions. Sensory
analysis is a powerful tool that enlists trained professionals and con-
sumers, and assists organizations in advancing their business to fulfill
the target market’s desires.
KEY WORDS
Affective test—assess the personal response by potential consumers to a

product, a product idea, or specific product attributes.
Analytical test—measure the attributes of a product through quantitative
and qualitative measures using highly trained personnel.
Consumer testing—using untrained, unbiased consumers to assess
liking or preference of products.
References 85
Descriptive analysis—involves both the discrimination and description

of the characteristics of products that typically require fewer
panelists and more training.
Duo Trio test—one of the identical samples is identified as the “control,”
and the panelist must choose the unidentified sample that is different
from the control.
Focus group—a group 6-12 pre-screened consumers that fit into a
certain target audience that are asked about their opinions, beliefs,
and habits.
Hedonic scale—a scale used in market research and sensory analysis to
measure the level of liking of products.
Triangle test—three samples are given wherein two are the same,
representing a single lot, and the third represents another lot and
might be different.
5.1. Explain the triangle test.
5.2. Explain the difference between affective and analytical tests.
5.3. Name one of the two methods for controlling error in sensory
analysis.
5.4. As a product development technician for a national food com-

pany, you have reformulated one of your best selling products
to have a lower cost formulation. The goal of this project was
to create a lower cost formulation without sacrificing consumer
likeness. Explain how you would ensure that you are meeting this
goal. Give specific examples of tests you would recommend to
the rest of your team.
5.5. When should a company use consumers for sensory tests and
when should they use a trained panel?
REFERENCES
Fuller, G. 2011. New food product development from concept to marketplace.

Boca Raton, FL: Taylor & Francis.
Lawless, H.T., and Heymann, H. 2010. Sensory evaluation of food: Principles

and practices. New York: Springer.
Meilgaard, M., Civille, G.V., and Carr, B.T. 1991. Sensory evaluation tech-
niques. Boca Raton, FL: CRC Press.
Stone, H., Bleibaum, R.N., and Thomas, H.A. 2012. Sensory evaluation prac-
tices. San Diego: Academic Press.
CHAPTER 6
Food Additives
Learning Objectives
• Learn about the different categories of additives.
• Know how to find regulations regarding additives.
• Learn the types of food additives and their uses in foods.
• Learn the implications of the Delaney Clause.
F OOD ADDITIVES are included in products for many reasons—to im-

prove the nutritional quality, improve the sensory characteristics,
increase acceptability, enhance freshness and shelf life, or to assist in
processing. A food additive is defined as any substance, natural or ar-
tificial, that is added to a food product during any phase of production,
including processing, packaging, and storage. The FDA groups food
additives into four categories: (1) direct additives, (2) indirect additives,
(3) prior-sanctioned, and (4) generally recognized as safe additives.
Currently, more than 2,800 different substances are intentionally added
to the food supply, while as many as 10,000 other substances constitute
the category of incidental food additives.
REGULATION OF FOOD ADDITIVES
Regulating and policing food additives is the responsibility of the

FDA. Requirements on quantities and quality of the products must be
met in order for the substances to be used. Food additives are tested for
safety on at least two animal species—usually mice and rats—in order
to receive approval. Scientists determine the no observable effect level
(NOEL), which corresponds to the highest dose of an additive produc-
ing no unexpected adverse health problems in the laboratory animals.
87
88 FOOD ADDITIVES
Results are extrapolated to humans usually with a safety factor of 100—

10 times for differences between species and 10 times for differences
within species.
Direct additives are those that are purposefully added to foods in or-
der to serve a function. For example, lemon flavoring added to prepack-
aged lemon bars is an intentional ingredient to enhance the taste. Pro-
visions for direct food additives (found in 21 CFR Part 172.5) include
not adding substances in a greater amount than “reasonably required”
to achieve the nutritional goal, physical attribute, or sensory quality de-
sired. The FDA may approve the safety of substances for nutritive use,
while not endorsing claims regarding effectiveness. The list of direct
food additives found in 21 CFR Part 172 details individual ingredients
that are permitted in foods, and specific guidance for each ingredient.
Dried yeasts, listed in 21 CFR Part 172.86, can be added directly to
foods provided the folic acid content does not exceed 0.04 mg/g of
yeast. Prior to including any ingredient in a formula, a product devel-
oper should review any regulations regarding its use.
The Delaney Clause, a 1958 amendment to the Federal Food, Drug,
and Cosmetic Act (FFDCA), states that additives exhibiting the ability
to cause cancer cannot be used as an ingredient in food. This prevents
the intentional addition of a compound that has been shown to cause
cancer in animals or humans. The Delaney Clause pertains to all food
additives, including pesticides. If a carcinogenic pesticide is found in
a processed food tested by the FDA, it should be deemed adulterated.
It is important to note that the Delaney Clause is only enforceable on
food additives.
Certain substances are considered “safe” according to experts. Ap-
proximately 600 “Generally Recognized as Safe” (GRAS) substances
are used in the food industry. GRAS substances include spices, natu-
ral seasonings, baking powder, citric acid, malic acid, mono- and di-
glycerides, and many others. Determination of an additive as GRAS
does not qualify it for use in all applications; the limitations of usage
are listed in the Code of Federal Regulations (21 CFR Ch.1 Part 182,
184, 186).
In the situation of non-GRAS substances, approval by the FDA is
granted upon submission of scientific data showing that the substance
is harmless in the intended food application at a specific level. The FDA
sets limits on the type of foods in which the additive may be used and
the maximum concentration of the additive. Therefore, a food addi-
tive may be permitted at a level of 100 parts per million (ppm) in one
food, 50 ppm in another, and not allowed in the third. For example,
BHT, listed in 21 CFR § 172.115, can be used in emulsion stabilizers
for shortening at a level of 200 ppm, while the amount allowed in dry
breakfast cereals is 50 ppm.
Manufacturers must present information in a petition to the FDA for
a new substance to be approved for addition to foods. A petitioner must
establish that the new ingredient is necessary in the production of a spe-
cific food product, and is safe. FDA petitions take time to be accepted,
but companies that provide all vital information can drastically speed
up the lag time.
MAJOR USES OF FOOD ADDITIVES
Food additives must have a purpose to be added to a product. Food

additives should not be used to cover up or deceive the consumer. Ma-
jor uses for food additives include preservation, enrichment, improve-
ment in color and flavor, alteration of texture, and processing and/or
preparation aid.
Preservation
A main function of food additives is to preserve safety and quality.

Without the addition of preservatives, products would spoil at a more
accelerated rate than expected by the American consumer and some
may present risk of foodborne illness. The typical consumer is used to
fresh, high quality products. In order to achieve freshness for a longer
period of time, additives are included in products to ensure consumer
satisfaction. Without preservatives, it would be more common to see
bread veiled in mold or milk containing sour or off flavors.
Because the nutrient content of food provides a supportive medi-
um for microorganisms, preservatives are added to control microbial
growth. Included in the vast array of preservatives used for the sole
purpose of limiting microbial interactions are organic acids and their
salts, sulfites, nitrites, parabens, and a host of other compounds. These
compounds help to increase shelf life and reduce the risk of foodborne
illnesses.
Some ingredients that can act as antimicrobial agents also have other
functions. For example, salt and sugar are common ingredients in food
but can assist in reducing microbial growth by decreasing the amount of
90 FOOD ADDITIVES
water available. Acidulants that reduce the pH of the product can help
reduce microbial growth because acidic environments less than 4.6 tend
to harbor much less growth. Lysozymes, present in eggs and milk, are
naturally present antimicrobial agents.
Choosing a preservative is an important part of developing foods.
It is important to inhibit the growth of pathogenic microorganisms in
the shelf life of the food in order to eliminate the risk of recalls due
to contamination. Food scientists should know the limiting factors of
microorganisms (pH, water activity, heating) that could possibly thrive
in the product. Ready to eat products should be treated with great care.
Enrichment
Enrichment is yet another function that food additives perform. En-

richment refers to the addition of certain nutrients in amounts that do
not exceed those found in the food before processing. Foods with an
“enriched” claim must contain at least 10% more of the Recommended
Daily Intake (RDI) for vitamins or minerals or the Daily Recommended
Value (DRV) for protein, dietary fiber, or potassium (expressed as a per-
cent of the Daily Value) per reference amount customarily consumed
than an appropriate reference food similar in nature.
Vitamin degradation can occur in processes, such as milling, can-
ning, and heating, as well as freezing and storage. Various cereal grain
products are enriched to restore the original amount of nutrients prior to
processing. A typical example of an enriched product is bread. Without
the addition of thiamine (B1), riboflavin (B2), and niacin (B3), bread
would be deficient in these B-complex vitamins as well as the mineral
iron. Enriching helps ensure that proper proportions of nutrients are
contained in the final product. Flour (21 CFR 137.165) and bread (21
CFR 136.115) have more specific regulations in order to use the claim
“enriched.”
Fortified foods are similar to enriched, but the vitamins and minerals
were not present in the food prior to processing. Like enriched foods,
fortified products should have 10% more vitamins or minerals (based
on RDA) and dietary fiber, protein, and potassium (based on DRV) than
a product without fortification. A common example of a fortified prod-
uct is vitamin D milk. Fortified foods are generally represented as hav-
ing vitamins and minerals given as a percentage of the RDA. Nutrition
labels are required on products that make nutritive claims or have added
nutrients.
Improvement in Color
Eating food involves a wide variety of sensory experiences with

texture, flavor, odor, and color. Consumers rely on colors to identify
flavors and determine acceptance of products. Just imagine you are in
the grocery store looking for produce or meat—how do you determine
which product to buy? Most shoppers look at the commodity, smell it,
and choose the item that best fits their perception of “good.” In this way,
color also pertains to consumer perception of safety.
Color is an important factor in food choice, and is therefore, utilized
by the food industry to make foods more appealing. The motivations for
adding colorants, natural or synthetic, are to:
• Create attractive appearance by restoring natural colors that are lost

during processing or storage
• Give color to foods with little color otherwise, such as ice creams,
confections, and soda drinks
• Produce consistent color when raw materials may vary in color in-
tensity
Improve Flavor
Flavoring agents include both natural and synthetic compounds used

to incorporate flavor. Synthetic flavor additives can be found in a wide va-
riety of products. Methyl salicylate and benzaldehyde are two commonly
used synthetic flavors that impart wintergreen and cherry flavoring, re-
spectively. Artificial flavors (or artificial flavoring) are any substances
that are used to impart flavor that are not derived from spices, fruit or
fruit juices, vegetable or vegetable juices, edible yeast, herb, bark, bud,
root, leaf or similar plant material, meat, fish, poultry, eggs, dairy prod-
ucts, or fermentation products. A statement of artificial flavoring must be
given when artificial products are used. Naturally flavored products can
be listed on the label as using naturally derived flavor ingredients, while
artificially derived flavors must be declared on the principle display panel
(the part of the package that consumers usually see first) as “artificially
flavored” in letters not less than one half the size of the food name.
Plant extracts, essential oils, herbs, spices and other substances head
the list of natural flavors used by industry. Natural flavorings are essen-
tial oils, oleoresins, essence or extractives, protein hydrolysate, distil-
late, or any product of roasting, heating, or enzymolysis, which con-
92 FOOD ADDITIVES
tains the flavoring constituents derived from natural substances (listed

in the definition of artificial flavor) whose significant function in food is
flavoring rather than nutritional value.
Spices, a form of natural flavoring, can be listed by their common
names. Labels refer to common ingredients added for flavor as “spice.”
Spices that are also used for coloring purposes, such as saffron, pa-
prika, and turmeric, can be listed as “spices and coloring.” Dehydrated
aromatic vegetables, such as garlic, celery, and onion powders, are rec-
ognized by consumers as food and should, therefore, be listed by their
common names.
Flavor enhancement technologies have become more readily used in
the food industry. With the task of reducing sodium in process foods,
bitter blocker technologies have been a source of experimentation in
the food industry due to potassium chloride, a product with notable bit-
terness, being a readily available substitute. Adenosine Monophosphate
(AMP) is one of the compounds that has been found to block the bitter
taste of foods that can lend to better tasting foods (such as naturally bit-
ter grapefruit juice). Monosodium glutamate (MSG), a flavor enhancer
used in processing, is commonly used in broths, snacks, and Chinese
food to heighten the umami taste. MSG is the salt form of glutamic
acid, an amino acid. Although flavor enhancers are not new to food pro-
cessing, developments are continually being made. Disodium guanylate
(21 CFR 172.530) and disodium inosinate (21 CFR 172.535) are also
added to foods as flavor enhancers.
Alteration of Texture
Recipe modification involves more than simply reducing or elimi-

nating the amount of fat in a formulation. Gels, gums, and water-based
shortening substitutes are used to eliminate fat and caloric intake with-
out sacrificing texture, mouth feel, and other sensory characteristics of
the food. Additives that fulfill the qualifications of texture manipulation
contribute desirable characteristics to the food. The food manufacturer
utilizes countless approved ingredients and chemicals to help modify
texture in complex food systems.
A simple compound, such as sucrose or table sugar, can be used in
varying concentrations to achieve a variety of results. Sugar affects tex-
ture differently depending upon its concentration. In a dilute solution, it
adds body and mouth feel to soft drinks, while in higher concentrations
it crystallizes and adds brittleness to hard candies.
Processing Aids
FDA regulations (21 CFR Part 173) define secondary direct food ad-
ditives as substances that are required during the manufacture or pro-
cessing of a food and are ordinarily removed from the final food. Re-
sidual carryover to the final food is likely, but no functional changes in
the food are seen. Secondary direct food additives are consistent with
FDA’s definition of a processing aid and are not declared as an ingredi-
ent in food products due to the small quantity present. Processing aids,
in theory, should not present any risk to human health.
Because secondary direct additives and processing aids do not di-
rectly affect product attributes, they do increase efficiency of producers.
The USDA and the FDA classify additives as processing aids if they
meet three criteria:
1. Substance is added, but then removed and is not a significant ingre-
dient in finished food.
2. Substance is added to food, then changed into a component of food
present in insignificant quantity that does not alter the structure of
the food.
3. Substances that are added during processing but are only present in
insignificant quantity and do not alter the finished product’s struc-
ture or function.
Common functions of processing aids include antimicrobial func-
tions, clarifying agents, and substances to help remove skins on roots
and tubers, and antifoaming products. Processing aids that are com-
monly used in the food industry include fruit and vegetable washes such
as chlorine rinses, decolorization agents (dimethylamine epichlorohy-
drin copolymer, used for refined sugar) and ingredients for strength-
ening baked goods (sodium stearoyl lactylate, used in frozen baked
goods). Although processing aids are not listed as ingredients, they are
regulated in the same manner as all other food additives. The USDA has
stated that food producers may not categorize an additive as a process-
ing aid without consent.
CATEGORIES OF COMMON FOOD ADDITIVES
Food additives have been used to flavor, preserve, and perform vari-
ous functions for thousands of years. However, additives can be the
94 FOOD ADDITIVES
source of misinformation and confusion in consumers. Classification

of additives is based on the function of the additive, but individual ad-
ditives may serve more than one purpose. The following is a simple
classification of food additives according to function.
Acidulants
Acidulants are pH-adjusting/controlling chemicals that assist in en-

hancing flavors, controlling microorganism growth, and gelling and
coagulation. Properties of food acidulants such as solubility in water,
taste characteristics, and physical form, help the processor choose an
acidulant to add to a product. Common food acidulants utilized in the
food industry are acetic, adipic, ascorbic, citric, fumaric, lactic, ma-
lic, phosphoric, and tartaric acids. While many of these acidulants are
derived from fruits and vegetables, fermentation and chemical synthe-
sis are also methods of generating acidulants. Common acidulants are
listed in Table 6.1. Acids are added to foods in order to inhibit microbial
growth, initiate coagulation of milk to make cheese, provide flavor (as
in wines), and act as a chelating agent. As a product developer, you
need to account for the form that the acid will be added in the formula;
commonly an aqueous solution. The time the acid will be introduced in
TABLE 6.1. Common Acidulates Used in Foods.

Acidulant Common Uses
Acetic Acid Pickling applications, condiments, baked goods, chewing
gum, and dressings
Adipic Acid Jellies, jams, for leavening, dairy products, frozen desserts
Ascorbic Acid Fruit drinks, soft drinks, bread dough
Citric Acid, anhydrous Candy, gelatin, alcoholic beverages, fruit drinks
Citric Acid, monohydrate Wide variety of foods and beverages
Fumaric Acid Wine, confections, soft drinks, pie fillings, cakes mixes
Lactic Acid Salad dressings, biscuits, ready to eat meats, infant formu-
las
Malic Acid Fruit juices, sauces, processed meat products, confections,
ciders, soybean products
Phosphoric Acid Sodas and other carbonated beverages, cheese and beer
making
Succinic Acid Bakery items, dry mixes, confections, dairy products,
sauces
Tartaric Acid Baking powder, chewing gum, cocoa powder
the process is also important. For example, if acid is added prematurely

in jelly making, the result will be a clumpy gel.
Anti-Caking Compounds
Compounds added to dry mixes to prevent clumping and keep pow-

ders free flowing are called anti-caking agents. These additives adsorb
excess water in order to create a more appealing and useful product for
consumers. Anti-caking agents not only keep high fat foods (especially
boxed mixes) from caking together, but also serve as a processing aid.
These compounds are very fine powders that are used to separate crys-
tals of substances which would otherwise adhere.
Anti-caking agents can be found in dry mixes (cakes, cheese sauce,
etc.), shredded cheese, powdered sugar, instant soups, and table salt.
Natural ingredients, such as potato starch, cellulose, and sugar beet fi-
ber, have also been used for anti-caking purposes. Examples of com-
monly used anti-caking agents are listed in Table 6.2.
Anti-foaming Agents
Making processing changes, by using mechanical defoaming

equipment, or by using chemical anti-foam agents, can control foam,
an accumulation of bubbles created when certain gases are released
into a liquid. Chemical anti-foams have proven to be the most effec-
tive and economical means of controlling this processing menace.
Defoaming agents (21 CFR 173.340) can be used in the processing
of foods as long as regulations are followed. Effective anti-foaming
agents have low surface tension, disperse easily, have low solubility,
and have no odor. Anti-foaming agents may be used in deep fat fry-
ing oil, cocoa, fermentation systems, jam and jelly making, and other
processes.
Most anti-foam agents are generally comprised of silicone and are
mostly classified as secondary direct additives (processing aids), sub-
stances whose functionality is required during the manufacture that are
ordinarily removed from the final food or found in small percentag-
es. Products in which anti-foams are specifically approved for use are
canned pineapple juice, yeast, sugar beets, sliced potatoes, fermenta-
tion processes, and fruit butters, jellies, and preserves. Consulting with
anti-foam ingredient suppliers for the best anti-foam in processing is
recommended.
TABLE 6.2. Anti-Caking Compounds and their Regulations.
Regulations
Anti-Caking Compound in 21 CFR Limitations on Use
Calcium silicate 172.410, Up to 2% in foods, but up to 5% in baking
182.2227 powder
Iron ammonium citrate 172.430 Cannot exceed 25 ppm in salt
Silicon dioxide 172.480 Not to exceed amount needed to prevent
caking, and cannot be used over 2% of final
food
Yellow prussiate of soda 172.490 Can be used in salt in the amount needed
for anti-caking effect, and not over 13 ppm
Aluminum calcium silicate 182.2122 Not to exceed 2% of salt
Magnesium silicate 182.2437 Not to exceed 2% of table salt
Sodium aluminosilicate 182.2727 Not to exceed 2% of finished food
Sodium calcium alumino- 182.2729 Not to exceed 2% of finished food
silicate, hydrated
Tricalcium silicate 182.2906 Not to exceed 2% of table salt
Potassium acid tartrate 184.1077 Allowed for use in baked goods, confections
and frostings, gelatins and puddings, hard
candy, jams and jellies, soft candy
Calcium chloride 184.1193 0.2% for cheese, gravies, and sauces,
0.32% for coffee and tea, 0.05% for food
categories not specified in regulation*
Calcium sulfate 184.1230 0.5% for frozen dairy desserts and mixes,
0.4% for gelatins and puddings, 0.07% or
less for all other food categories*
Magnesium carbonate 184.1425 Not to exceed amount needed to prevent
caking
Magnesium oxide 184.1431 Not to exceed amount needed to prevent
caking
Propylene glycol 184.1666 97% for seasonings and flavorings, 5% for
nuts and nut products, 24% for confections
and frostings, 2% for other food categories*
Sorbitol 184.1835 75% in chewing gum, 98% in soft candy,
12% in all other foods
Carnuba wax 184.1978 Can be used in baked goods and baking
mixes, confections and frosting, chewing
gum, gravies and sauces, and soft candy
*Only foods that may need anti-caking agent are listed. Other limits are found in the Code of Federal Regula-
tions.
96
Anti-oxidants
Anti-oxidants, as the name implies, serve to prevent or minimize

oxidation. Oxidation is the loss of electrons and gain of O2, which can
cause off odors and quality degradation. Techniques to reduce oxidation
include: (1) the addition of free radical stoppers, (2) the addition of free
radical inhibitors, (3) packaging to remove oxygen, or (4) inhibiting
catalysts of oxidation like moisture and light.
Common anti-oxidants naturally present in food include lecithin, vi-
tamin E, tocopherols, and certain sulfur-containing amino acids. Leci-
thin is commonly found in soybeans and is obtained for commercial use
by solvent extraction. Although anti-oxidants can be traced to natural
sources, synthetic chemicals are much more effective. Synthetic antiox-
idants commonly used include BHA, BHT, TBHQ, and propyl gallate
(PG). BHA, BHT, and TBHQ all work to reduce oxidation by acting as
free radical stoppers. Another anti-oxidant, EDTA acts to inhibit free
radicals. Considerations when choosing an antioxidant include:
• Potency
• Solubility
• Discoloration
• pH
• Type of process
• Flavor and odor
• Legal and regulatory status
Anti-oxidants are usually added directly into fats and oils. Suppliers
of fats and oils are skilled at using these additives. Food companies can
have them added prior to receiving these ingredients. For nuts and cere-
als, anti-oxidants are dissolved in solvent before being sprayed onto the
foods. Packaging materials can also deliver anti-oxidants. Anti-oxidants
can be included in paperboard, polyethylene, and wax paper materials.
Food processors should keep in mind that processing steps can destroy
anti-oxidants; therefore timing of addition is important.
Anti-oxidant effectiveness is product dependent. Tocopherols are
very effective on animal fats and oils, especially in frying processes.
They have become the anti-oxidant of choice for product developers
looking for a “clean” label and claiming that the product is “all natural.”
Vegetable oils are protected well from oxidation by TBHQ. Baking ap-
plications can benefit from a BHT, BHA, and tocopherol anti-oxidant
cocktail. Nut products are well protected by a variety of anti-oxidants,
TABLE 6.3. Antioxidants and their Regulations.
Regulations
Antioxidant in 21 CFR Limitations on Use
Anoxomer 172.105 Not more than 5,000 ppm based on fat or oil
content
BHA 172.110 50 ppm: Dehydrated potatoes, potato flakes,
sweet potato flakes, dry breakfast cereal*
2 ppm: Beverages and desserts prepared from
dry mixes (or 90 ppm in dry mix)
32 ppm: Dry diced glazed fruit
200 ppm: Stabilizers for shortening*
1,000 ppm: Active dry yeast
BHT 172.115 50 ppm: Dehydrated potatoes, potato flakes,
sweet potato flakes, dry breakfast cereal*
200 ppm: Stabilizers for shortening*
10 ppm: Potato granules
Ethoxyquin 172.140 5 ppm: Uncooked fat of meat from animals
(excluding poultry)
3 ppm: Uncooked liver and fat of poultry
0.5 ppm: Uncooked muscle meat of animals,
poultry eggs
100 ppm: Chili powder, paprika, and ground
chili
4-Hydroxymethyl-2,6- 172.150 Can be used alone or in combination with other
di-tert-butylphenol anti-oxidants at a level that should not exceed
0.2% of the oil or fat content of the food
TBHQ 172.185 Can be used alone or with BHA and BHT, but
should not exceed 0.2% of the oil and fat con-
tent of the food
THBP(2,4,5-trihydroxy- 172.190 Can be used alone or in combination with other
butyrophenone) antioxidants at a level that should not exceed
0.2% of the fat or oil in food
Isopropyl citrate 184.1386 Can be used in margarine, non-alcoholic bever-
ages, and fats and oils
PG 184.1660 Should not exceed 0.2% of the oil or fat content
of the food
Propylene glycol 184.1666 97% for seasonings and flavorings
5% for alcoholic beverages, nuts, and nut
products
2.5% of frozen dairy products
24% for confections and frostings
2% for other food categories
Sodium carbonate 184.1742 Should not be used at levels that exceed
necessity
Stannous chloride 184.1845 Maximum level of 0.0015% or less
Stearyl citrate 184.1851 Can be used in margarine, non-alcoholic bever-
ages, and fats and oils
Tocopherols 182.3890 None
98
but TBHQ is commonly used for nut oil and butters. Dry breakfast cere-
als commonly use BHA and BHT incorporated into packaging material
to help protect flavor.
Bases
Like acidulants, bases provide a means of adjusting or controlling

pH. Certain processes incorporate adjusting the pH into the unit opera-
tion. The vegetable industry often submerges vegetables in a 1% lye
solution at elevated temperatures to loosen the skins. Because the cost
of lye and of treating lye-containing waste waters can be appreciable,
processors often use less expensive techniques such as hot water scald-
ing, steaming, or direct exposure to gases or flame.
Bases also play a key role in color development, alteration of texture,
and removal of bitter compounds in certain products. Sodium hydrox-
ide, a base commonly used in the food industry, is often added to ripe
olives to assist in darker color development and removal of bitter com-
pounds. When dipped in a 1.25% sodium hydroxide solution prior to
baking, pretzels display a more desirable brown color and a smoother
texture than without this treatment. The sodium hydroxide converts to
sodium bicarbonate in the baking process through its reaction with car-
bon dioxide (NaOH + CO2 → NaHCO3).
Dough Conditioners and Strengtheners
Additives added to baking processes include dough strengtheners,

leavening agents, yeast nutrients, anti-oxidants, sweeteners, thickeners,
emulsifiers, enzymes, preservatives, and vitamins. In dough systems,
the formation of a gluten network and retention of carbon dioxide are
important. Dough conditioners help control the baking process and cre-
ate the best crumb structure, volume, and shelf-life.
Gluten networks can be improved through the use of oxidizing
and reducing agents. Oxidants improve bread strength, while reduc-
ing agents improve dough extensibility and improve softness. Oxidiz-
ing agents are calcium peroxide, potassium iodate, azodicarbonamide
(ADA), ascorbic acid, calcium iodate, potassium bromate, and calcium
bromate. Under-oxidized products lead to soft, weak, sticky, and hard
to work with dough, and bread with low volume, weak crust, and un-
even grain and texture. Over-oxidized products lead to tight dough that
tears easily. The bread from an over-oxidized dough will result in small
100 FOOD ADDITIVES
volumes, large holes in the bread, and uneven grain. Reducing agents,
which can cut down mixing time, are generally used alongside oxidants.
Commonly used reducing agents include coated ascorbic acid, sodium
metabisulfite, sorbic acid, and L-cysteine hydrochloride. Ascorbic acid
acts as an oxidizing agent in the presence of oxygen, and a reducing
agent in the absence. Coating the ascorbic acid can delay action to en-
sure the product acts as a reducing agent.
Bleaching Agents
Bleaching agents have an important use in the bakery industry, pri-

marily in flour milling and bread making. Benzoyl peroxide is applied
to wheat flour to remove plant pigments and produce a white product.
Hydrogen peroxide is used in the dairy industry to create more desirable
color characteristics, especially in milk. Hydrogen peroxide is removed
before the milk is packaged and transported through the use of the en-
zyme catalase.
Chelating Agents (Sequestrants)
Chelating agents are needed to form a complex with unwanted trace

metals and render them inactive. The most problematic metal ions in
foods are iron, copper, nickel, and zinc because discoloration, turbidity,
and oxidation can occur in their presence. Because chelating agents are
used to control the reactions of trace metals in food systems, they are
often termed “metal scavengers.” Common chelating agents and their
solubility are listed in Table 6.4.
Without chelating agents, discoloration would occur in foods such as
potatoes where the iron reacts with phenolic compounds in the presence
TABLE 6.4. Chelating Agents, their Solubility, and Regulations.

Solubility
Product (g/100 ml H2O) Regulation in 21 CFR Part
EDTA—CaNa2 • 2H2O 40 172.12
EDTA—Na2H2 • 2H2O 10 172.135
Citric Acid 160 184.1033 (GRAS)
Potassium citrate • 2H2O 167 184.1625 (GRAS)
Sodium citrate • 2H2O 71 184.1751 (GRAS)
Source: Smith 1991.
of oxygen. Citric acid and polyphosphates are commonly used in the

food industry to prevent discoloration, but the most effective seques-
trant is EDTA, which can be used in food as disodium EDTA or calcium
EDTA. Applications of chelating agents include adding phosphates in
soft drinks to chelate heavy metal ions that interfere with carbonation
and using EDTA in mayonnaise to protect flavor. Other specific applica-
tions of chelating agents are detailed in Table 6.5.
Clarifying Agents
The beverage industry relies on clarifying agents to prevent cloudi-

ness in the final product. Agents such as bentonite are used in process-
ing juices, wines, vinegar and other liquids. This helps provide an at-
tractive, clear liquid that appeals to consumers.
Emulsifiers
To stabilize oil and water systems, product developers use emulsi-

fiers. They prevent phase separations because they have both a hydro-
philic and a hydrophobic side. Emulsifiers are active in almost every
stage of the baking process. Emulsifiers compensate for abuse from
under- and over-mixing (if not too extreme) as well as excessive fer-
mentation time, therefore these additives are desirable in automated
processes. Emulsifiers used in the baking industry include mono- and
diglycerides, sodium stearoyl-2-lactylate, calcium stearoyl-2-lactylate,
lecithin, and polysorbate 60.
Depending on the application, emulsifiers can be acquired in liquid,
semi-solid, and powder form. The most common source of lecithin is
soy which has to be declared on the label as soy lecithin, a potential
concern for those with soy allergies.
Product formulators can avoid the addition of artificial emulsifiers
by relying on egg yolk in some baked goods and condiments. Egg yolk
is rich in phospholipids and forms the emulsifying backbone in mayon-
naise.
Enzymes
Enzymes have specific functions based on the food system applica-

tion being utilized due to the need for specific substrates. As biological
catalysts, they lower the energy required in biochemical reactions and
TABLE 6.5. Chelating Agents and Common Uses.
Category Food Chelating Agent Function
Carbonated Calcium EDTA Flavor retention
beverage (in can)
Beverages
Alcoholic bever- Calcium EDTA Flavor retention, color reten-
ages—Distilled tion, product clarity
Dairy Skim milk Disodium EDTA Prevent fats from separating
Vegetable oil Potassium citrate, Preservative
Sodium citrate
Lard Potassium citrate, Preservative
Fats & Oils Sodium citrate
Mayonnaise Calcium EDTA, Preservative
Disodium EDTA
Salad dressing Calcium EDTA Preservative
Frozen fish Potassium citrate, Color retention, slows rancid-
Sodium citrate ity
Clams (canned) Calcium EDTA Color retention
Fish Crabmeat (canned) Calcium EDTA Color retention, prevents
struvites
Shrimp Calcium EDTA Color retention, prevents
struvites
Beef, cooked Disodium EDTA Anti-bacterial
Chicken, cooked Disodium EDTA Flavor improver
Meat & Poultry
Pork, fresh Potassium citrate, Color retention, flavor reten-
Sodium citrate tion
Apple slices Disodium EDTA, Prevents browning
Potassium citrate,
Sodium citrate
Bananas Disodium EDTA Inhibits discoloration
Fruit
Frozen fruit Potassium citrate, Color retention, flavor reten-
Sodium citrate tion
Fruit spreads, Disodium EDTA Color retention
artificially colored
Black eyed peas, Disodium EDTA Color retention
canned
Chickpeas, canned Disodium EDTA Color retention
Kidney beans, Disodium EDTA Color retention
canned
Potatoes, canned Calcium EDTA Color retention
Vegetables
Potatoes, frozen Disodium EDTA Color retention
Mushrooms, Calcium EDTA Color retention
canned
Cabbage, pickled Calcium EDTA Color retention, flavor reten-
tion, improves final texture
Cucumbers, pickled Calcium EDTA Preservative
Eggs Egg product Calcium EDTA Preservative
102
accelerate the rate of the reaction. Enzymes are utilized extensively in

the food industry for a variety of applications. Groups of enzymes used
in food processing are:
1. Oxireductases. Act as catalysts in oxidation or reductions.

2. Transferases. Catalyze the shift of one chemical group to another.
3. Hydrolases. Aid by speeding the reaction of hydrolytic splitting of
substrates.
4. Lyases. Removal or addition of groups to their substrates without
hydrolysis.
5. Isomerases. Catalyze intramolecular rearrangement.
6. Ligases. Aid in the joining of two substrate molecules. Also called
“synthetases”.
The environment of an enzyme affects the catalytic activity. Factors

that can affect this are: (1) temperature, (2) pH, (3) concentration of the
enzyme and substrate, (4) the presence of inhibitors or activators, and
(5) the amount of time in the system (also referred to as residence time).
Food scientists should be aware of the following characteristics in order
to take advantage of the greatest enzymatic activity.
Temperature can be important when controlling enzymatic activity.
Acceleration or retardation of the desired reactions can occur with in-
creasing temperatures. If the temperature goes above the temperature
of denaturation for that specific enzyme, the enzyme will no longer be
active. The optimal pH also varies for an enzymatic reaction. Some
enzymes need a very specific pH, while others can catalyze in a wide
range. During production, it is essential to add the enzyme in a range
that is appropriate for the desired function.
TABLE 6.6. Emulsifiers Used in Baked Goods.

Typical Use
Emulsifier Levels Limit (by FDA)
Mono- and diglycerides 0.15–0.75% No limit*
Sodium stearoyl-2-lactylate (SSL) 0.25–0.5% 0.5% based on flour basis
Calcium stearoyl-2-lactylate (CSL) 0.25–0.5% 0.5% based on flour basis
Lecithins No limit
Polysorbate 60 0.15–0.4% 0.5% in bread, 0.46% in cakes
*Some types of mono- and diglycerides may have more strict regulations. Refer to 21 CFR for more informa-
tion..
TABLE 6.7. Enzymes Used in Food Processing.
Product
Category Enzyme Enzyme Group Usage Function
Amylases Hydrolase Bread, other Increase fermentation to
baked goods improve loaf volume. Also
benefits crust color and
Cereals crumb structure
Proteases Hydrolase Biscuits Reducing mixing time need-
ed for baked goods through
modification of gluten
Amylases Hydrolase Brewing Decreases viscosity of mash
in brewing, aids in conver-
sion of starch to sugars
Tannase Hydrolase Brewing Removal of polyphenolics
Glucanases Hydrolase Brewing Assist in filtration, act as
Alcoholic extra sugar for fermentation
Beverages Proteases Hydrolase Brewing Add nitrogen for growth
of yeast, help in filtration
process
Pectinases Hydrolase Wine Used to clarify; increase
the yields of extraction and
decreased press times
Cellulases Hydrolase Coffee, Tea Used to break down cel-
Non- lulose
alcoholic Coffee Eliminates gelatinous coating
Beverages Pectinases Hydrolase Cocoa Separation of pulp from
beans
Catalase Oxidoreductase Milk To remove H2O2 in milk
Cheese Casein coagulation
Dairy Proteases Hydrolase Evaporated Stabilizes
Milk
Lipase Hydrolase Cheese Used to develop flavor
Meat & Proteases Hydrolase Fresh meat Tenderizes, removes oil from
Fish and fish tissue of fish
Glucose Oxidoreductase Dried egg Removes glucose
oxidase products
Eggs Lipases Hydrolase Various egg Improves emulsification
applications properties and stabilizes egg
white foaming properties
Amylases Hydrolase Juice Remove starches to improve
Fruits & extraction
Vegetables Vegetables Tenderizes
Naringinase Hydrolase Citrus juice Reduces bitter taste
Cellulase Hydrolase Vegetable Hydrolyses cell walls
Fats & Oils
Oils
104
Enzymes are typically present in small concentrations, therefore act-

ing as the limiting factor of the reaction. In food systems, the enzyme
concentration is usually indicative of the rate of reactions. Although
enzyme concentration can keep catalytic functions from occurring,
compounds in the product may have an effect on enzymatic activity
as well. Inhibitors are those chemical compounds in the system that
deter enzymatic reactions from occurring. Metals, like copper, iron, or
calcium, can affect enzymatic reactions by acting as inhibitors. Enzyme
activators can also be present in the system by making the environment
more stable or increasing its function as a catalyst. The catalytic reac-
tion must also have enough time at the controlled environment to be
completed.
A common use of enzymes is in the bakery industry where amylase
functions to accelerate the fermentation process. Yeast must have fer-
mentable carbohydrates to produce carbon dioxide and leaven bread.
Flour naturally contains α-amylase and β-amylase, but more α-amylase
may be needed. This enzyme can be added by incorporating malt flour,
fungal amylases (Aspergillus, usually added in a tablet or powder
form), or bacterial amylases (Bacillus species). Other common uses of
enzymes in applications can be found in Table 6.7.
When a food scientist is choosing an enzyme for a specific product,
the following factors must be considered: cost, legal status, availability,
and convenience. As with many additives, some enzymes have received
GRAS status while others have limitations to use.
Flavoring Agents
Flavoring agents can be broken down into food flavors and flavor en-
hancers. Food flavors include more than 1,200 different flavoring mate-
rials and constitute the single largest category of food additives. Natural
flavoring substances include herbs, spices, essential oils, and plant ex-
tracts. However, today there is more emphasis on the use of synthetic
flavors because they are more economical compared to natural flavors.
Flavor enhancers or potentiators are also considered flavoring agents.
Unlike food flavors, which contribute flavor, flavor enhancers do not
have flavor in themselves. Flavor enhancers serve to intensify the flavor
of other compounds present in foods. MSG, the most commonly used
potentiator in the food industry, is an example of a flavor enhancer.
The use of MSG remains controversial due to the sensitivity of some
individuals to this additive. In addition, food scientists developing new
106 FOOD ADDITIVES
products should be familiar with labeling regulations concerning fla-

vors. Artificially flavored packaged food must declare that they contain
“artificial flavors” on the Principal Display Panel (PDP).
Food Colors
Color is a strong visual tool used to evaluate food products. Food

colors may be added to products for several reasons:
• To restore the original appearance of the food

• To ensure uniformity of color due to natural variations in color in-
tensity
• To intensify colors to the level associated with a specific food type
• To help protect flavor and light-sensitive vitamins during shelf stor-
age
• To give an attractive appearance to foods otherwise unattractive or
unappetizing
• To help preserve the identity or character by which a food is recog-
nized
• To serve as visual indication of quality
Food products may attain their final color from several sources, in-
cluding natural or artificial sources. Naturally occurring plant pigments,
such as carotene, chlorophyll, and lycopene, help impart hues of or-
ange, green, and red, respectively. Animal pigments, including myo-
globin and heme, exist and serve to incorporate color in products such
as meat. Certain red colors, such as kermes and lac, are derived from
insects (Food Additive 1991). Certain algae and fungi also produce
color and can be incorporated into specific foods. Without the addition
of vegetable dye, Cheddar cheese would lack its familiar orange color.
Although these colorants come from natural sources, these are not cat-
egorized as “natural colorants” because a “natural” color can only be
derived from the food itself.
Artificial colorants are synthetically manufactured and the primary
source of commercial colorants. Artificial colorants must be approved
by the FDA, and are named with the prefix FD&C (food, drug, and
cosmetic). Currently, there were nine approved synthetic color addi-
tives. Artificial colors can be in lake form or as a pure colorant. Lakes
are dyes that have been precipitated with an insoluble base to create
a colorant that is insoluble in most solvents. Lakes can be prepared
TABLE 6.8. Colorants Exempt from Certification in Food Products.

Colorant Hues Derived From Regulation (21 CFR)
Annatto Reds, Yellows Tropical shrub 73.30
Beet juice concentrate Red to yellow Beets 73.260
Beets (dehydrated) Red to yellow Beets 73.40
Cabbage (red) Red Red cabbage 73.260
Caramel Brown Heating of sugar 73.85
Carmine Red Lake of cochineal 73.100
Carrot oil Yellow Carrots 73.300
Cochineal extract Red Bodies of female 73.100
cochineal insects
Fruit juice concentrates Various Fruit 73.250
Grape color extract Red to blue Grapes 73.169
Grape skin extract Red to blue By-product of wine 73.170
processing
Paprika Red Peppers 73.340
Saffron Yellow Crocus sativus 73.500
Turmeric Yellow to Dried, ground herb 73.600
green yellow
Vegetable juice Various Various vegetables 73.260
out of all approved FD&C colors except Red #3. Physical and chemi-
cal properties of certified food colors include hue range, compatibility
with food components, and their stability to light, oxidation, and pH
change. FD&C Blue #1 (brilliant blue), FD&C Green #3 (fast green),
FD&C Red #40 (erythrosine), and FD&C Yellow #6 (sunset yellow) are
examples of synthetic colors used in the food industry (Francis 1999).
Sources of naturally occurring colors are endless, but economics may
influence whether to use a natural or synthetic food color. Although
naturally occurring colors are often used in food products, artificial col-
oring is a viable alternative. The use of artificial colors can be more
economical than natural colors, and synthetic colors generally excel in
coloring power, color uniformity, and color stability (Francis 1999).
Food Irradiation
Food irradiation, a method of exposing foods to radiation, is an al-

ternative to chemical substances for food preservation. Although food
irradiation can be seen as a processing method, it falls under food addi-
tives in an FDA regulation found in the 1958 Food Additive Amendment
to the FFDCA. Applications for irradiation include sprout inhibition,
108 FOOD ADDITIVES
insect disinfestations, sterilization, pasteurization, shelf-life extension,

and elimination of parasites. Although irradiation has been authorized
for many processes, costs associated with the procedure can be high and
acceptance from the general public has been low for most commodities.
Gases
Industrial gases have a variety of uses and functions in the food in-
dustry, with nitrogen and carbon dioxide being the two most widely
used. The presence or absence of certain gases can directly influence
shelf stability, color, texture and flavor of a product. By controlling the
amount or level of gases in a food’s environment, the processor can
increase the product’s longevity. The combination of gas flushing and
food preservation methods (freezing, irradiation, dehydration) yields a
high quality product. Gas flushing is commonly used in the packaging
of potato chips and meat.
Freezing or chilling
Carbon dioxide and nitrogen are used in the freezing and chilling of
foods because of their cryogenic traits. Cryogenic refers to very low
temperatures. To freeze or chill foods, liquid nitrogen or carbon dioxide
(in liquid or solid state) is allowed to come in contact with the food to
be chilled and upon contact the cryogens will go through a change of
state. Changing of state releases the heat from the product being chilled
and the carbon dioxide or nitrogen is released as a gas. Special handling
procedures are needed for both of these additives.
TABLE 6.9. Colorants Certified by the FDA.

Colorant Name Hue Regulation
Citrus Red No. 2 (only used on citrus fruit) Red 74.302
FD&C Blue No. 1 (Brilliant Blue) Greenish Blue 74.101
FD&C Blue No. 2 (Indigotine) Deep Blue 74.102
FD&C Green No. 3 (Fast Green) Bluish Green 74.203
FD&C Red No. 3 (Erythrosine) Bluish Red 74.303
FD&C Red No. 40 (Allura Red) Yellowish Red 74.340
FD&C Yellow No. 5 (Tartrazine) Lemon Yellow 74.705
FD&C Yellow No. 6 (Sunset Yellow) Reddish Yellow 74.706
FD&C Lakes (All except Red No. 3)
Sources: Francis 1999; Smith 1991.
Controlled Gas Atmospheres
The controlling of a gaseous environment can help maintain product

integrity during storage and shipping. There are two options when al-
tering gases—modified atmosphere or modified atmosphere packaging
(MAP). Modified atmosphere is the continuous control of storage con-
ditions under particular atmospheric conditions. MAP means replacing
the normal air in a package with specific gases, which are allowed to
change over time as a result of product changes, bacterial activity, and
the penetration of gases through the packaging material.
Modified atmosphere storage is used to prolong the life of fruits and
vegetables, meat, and nuts. After harvest, fruits and vegetables begin
aerobic respiration in which they absorb oxygen and begin to degrade.
Aerobic respiration can be slowed through the depletion of oxygen
present during storage. The best conditions for storing fruits and veg-
etables is dependent on the type of product. Meat, poultry, and fish all
utilized a modified atmosphere in order to extend their shelf-life. Poul-
try is best kept under an atmosphere of 30–60% carbon dioxide and
1–5% oxygen, while fish is better at 40–110% and 0–2% respectively.
Red meats are best with a higher concentration of oxygen (30–50%
carbon dioxide, 50–80% oxygen). Higher oxygen helps preserve the
bright red color of meats. Myoglobin reacts with oxygen creating oxy-
myoglobin, the bright red pigment that indicates freshness and quality
to the consumer. Nuts and snack products with nuts are usually packed
in nitrogen atmospheres which prevents rancidity caused by deteriora-
tion of oil from occurring.
Other Uses
Carbon dioxide is a commonly used additive in the beverage indus-

try to make soda and other carbonated beverages. Carbonated bever-
ages are usually carbonated under pressure in order to allow for a
higher rate of carbon dioxide incorporation. This process is respon-
sible for the fizz in these products as well as some of the sharp flavor.
Nitrous oxide is commonly used as a propellant in cans of whipped
cream.
Ozone, a strong oxidizing agent, is another gas used in the food in-
dustry. Recycled poultry chill water is commonly treated with ozone to
destroy objectionable odors, flavors, and to sterilize. Ozone is generally
generated at the plant location using ozone generators.
110 FOOD ADDITIVES
Humectants
The primary purpose of humectants is to bind water that may be

present in a food system to retain proper moisture, fresh flavor, and
texture. Humectants such as glycerol, propylene glycol, and sorbitol are
often added to products such as candies, shredded coconut, and marsh-
mallows. Sucrose (table sugar) and salt also fall into this classification
as additives due to their ability to bind water.
Leavening Agents
Leavening agents, such as baking soda, baking powder, and yeast

play an important role in the bakery industry. Leavening agents, which
produce carbon dioxide, assist in providing the light texture in baked
goods such as cakes and breads. Chemical leavening agents work by a
reaction of an acid and a soda, while biological forms (like yeast) work
by fermenting carbohydrates in the system. In both cases, carbon diox-
ide is released into the baking system.
Chemical leavening enhances the production of carbon dioxide in a
system. In order for a chemical leavener to perform, there must be a car-
bonate that is present as a sodium or potassium salt. There are delaying
and fast acting chemical leavening agents. The delaying agents release
about 20% of the carbon dioxide during mixing and the rest during bak-
ing. An example of this is sodium aluminum phosphate. Monocalcium
phosphate is a fast acting agent, and it will release 80% of the carbon
dioxide during mixing.
The most common chemical leavening agents are baking soda and
TABLE 6.10. Chemical Leavening Agents and Common Applications.

Chemical Leavening Agent Applications
Monocalcium phosphate monohydrate Pancake, cookie, and angel food cake mixes;
double acting baking powder
Sodium acid pyrophosphate Doughnuts, refrigerated dough, baking pow-
der, mixes
Sodium aluminum phosphate Baking mixes
Sodium bicarbonate Baking mixes, cake mixes, pancakes, cookies
Dicalcium phosphate dihydrate Cake mixes
Sodium aluminum sulphate Used in combination with fast acting leavener
Sources: Smith 1991.
baking powder. Baking soda is made up of only sodium bicarbonate,

therefore, in order to produce carbon dioxide, an acidic ingredient
must be added in order for it to react. Baking powder, however, is
sodium bicarbonate and an acid together. The acid included in bak-
ing powder is generally cream of tartar. Baking powder can be single
or double acting. The double acting baking powder can be used in
dough while it sets and then rises more in the oven as temperatures
increase.
Sweeteners
Sugar is a common word to describe fructose, sucrose, dextrose, lev-

ulose, invert sugar, molasses, brown sugar, and honey. Table sugar or
sucrose is the most widely known sweetener. With increasing obesity,
cutting out carbohydrates and sugar have been a great focus of the food
industry. Sugar is also associated with incidence of dental caries. There
are a wide variety of sweeteners used to replace table sugar. Sugar re-
placers can provide carbohydrates or be non-nutritive. Sugar is a great
provider of bulk, as mentioned later in this chapter. Therefore, the use
of intense sweeteners to replace sugar may require the addition of bulk-
ing agents like maltodextrin.
Sugar substitutes that do not contribute calories are called non-nutri-
tive. Approved non-nutritive sweeteners include aspartame, acesulfame
potassium, saccharin, sucralose, and neotame. Aspartame is commonly
used in snack foods such as gelatin desserts, diet soft drinks, and other
snacks. Acesulfame potassium is approved for use in dry food products
and is relatively heat stable. Saccharin can be utilized in low-calorie
products such as jams, beverages and desserts, but it can impart a bitter
aftertaste and also must have a notice when used warning of heightened
incidence of bladder cancer in rats after its consumption. Many of these
sweeteners are used in combination with one another to create a taste as
close to sucrose as possible.
Polyols are sweeteners commonly referred to as sugar alcohols that
have low to no cariogenicity. These sweet ingredients are also bulk-
ing agents. Xylitol, mannitol, and sorbitol are natural polyols, making
their consumer appeal higher than other artificial sugar alcohols. These
ingredients are commonly used in sugarless chewing gums. Excessive
consumption of sugar alcohols may have a laxative effect. Some require
a warning to this effect on the PDP of a package if more than 15 g of the
polyol is contained per serving.
112 FOOD ADDITIVES
TABLE 6.11. Carbohydrate Sweeteners and their Applications.

Sweetener Description and Applications
Brown sugar Partially refined sucrose
Corn syrup Sweet syrup of glucose and short polymers produced by hydrolysis
of corn starch; dextrose equivalent (DE) above 20
Fructose Monosaccharide used in place of sucrose, sweetness level at
140–170 (compared to sucrose at 100)
Glucose A monosaccharide found in grains, fruits, and blood, and produced
commercially by hydrolyzing starch completely; less sweet than
sugar (degree of sweetness: 75)
Oligosaccharides Sugar molecules containing two or more glucose units; invert
sugar: sweeteners produced by catalyzing an aqueous sucrose
solution to produce equal quantities of glucose and fructose
Liquid sugar Sucrose in enough water to keep product fluid
Maltodextrin A blend of mixed sized sugars with a collective DE of less than 20
Maltose A disaccharide of two glucose units produced commercially by
partial hydrolysis of starch
Molasses Sweetener produced as a byproduct of the refining of sucrose from
sugarcane
Powdered sugar Pulverized granulated sugar with cornstarch
Sucrose A disaccharide produced by condensation of glucose and fructose
Table sugar Refined sucrose
Fat Replacers
Presently, there are three primary types of fat substitutes being ex-
tensively researched. Reducing the fat of foods can result in a high de-
gree of sensory trait changes therefore, fat replacers must deliver prod-
ucts with the desired textural attributes and taste. Fat replacers include
carbohydrate-based replacers, protein-based substitutes, and synthetic
compounds (Olestra and caprenin). Although many of these substi-
tutes are only partially metabolized by the body, translating into 1–4
calories/g, they cannot be classified as non-nutritive food additives.
Carbohydrate-based fat replacers can be fully, partially, or non-di-
gestible. These additives are usually used in combination with more
than one product in order to achieve the desired texture. Reduced fat
products that may use these products are dairy based frozen desserts,
salad dressings, baked products, snacks, and frostings. Carbohydrate fat
replacers can be one or more of the following products: xanthan gum,
gellan gum, pectin, microcrystalline cellulose, pectin, tapioca dextrin,
maltodextrin, or polydextrose.
Protein-based fat replacers produce the most similar mouth feel as
fat. Egg whites and wheat can be microparticulated and used as fat re-
placers. These are easily used in ice creams and salad dressings, but
can be undesirable due to allergenic tendency in consumers. (Eggs and
wheat are two of the eight most common food allergens.)
Olestra (manufactured by Proctor & Gamble) is a sucrose based
product that is too big to be split by lipase, causing it to pass through the
digestive system. This product has been known to cause negative side
effects such as anal leakage and the possibility of blocking the uptake
of fat-soluble vitamins. Olestra was used in many reduced calorie fried
snack products in an effort to reduce the fat contents.
Bulking Agents
Bulking agents can be used when fat, sugar, or other components

have been eliminated or reduced in a product. These additives are
generally made of starch or fiber to minimize volumetric and textural
effects. Bulking agents can consist of many different starches and
grains, but should be unreactive and bland in the food system, as their
purpose is not to flavor. When sugar (a bulking agent) is replaced
with some non-nutritive sweeteners (especially with higher sweetness
levels), bulking agents such as maltodextrin can be added to make up
for lost volume.
TABLE 6.12. Characteristics of Common Sweeteners.

Sweetener Sweetness* Other Characteristics
Saccharin 300–400 Petroleum based with metallic aftertaste
Aspartame 200 4 calories/g; not heat stable, sweet aftertaste
Acesulfame potassium 200 Heat stable, slight bitter aftertaste
Cyclamate 130 Heat stable, distinct aftertaste
Maltitol 65 Non-cariogenic, used in sugar-free chocolate
and other confections, hygroscopic, inhibits
crystallization
Mannitol 50 Slow absorption rate, does not promote tooth de-
cay, may have laxative effect in large quantities
Sucralose 600–800 pH and heat stable, non-caloric
Sorbitol 50 Slow absorption rate, does not promote tooth de-
cay, may have laxative effect in large quantities,
humectant properties, high viscosity
Stevioside 300 Anise aftertaste, slow sweetness onset
Xylitol 100 Cooling effect, used commonly in chewing gum;
laxative effect in large quantities
114 FOOD ADDITIVES
Nutrient Supplements
Vitamins and mineral supplements are added to foods to improve

nutritional quality or to replace nutrients lost during processing. Many
common food items are enriched including flour and white bread.
Margarine, milk and salt are additional examples of foods to which
vitamin A, vitamin D, or iodine have been added. Adding nutrients
has decreased the number of people suffering from vitamin and min-
eral deficiencies such as beriberi (thiamin deficiency), pellagra (niacin
deficiency), scurvy (vitamin C deficiency), and goiter (iodine defi-
ciency).
Vitamins
In order to add vitamins to a food, it is important to understand the

traits of vitamins. Fat soluble vitamins are A, D, E, and K, which can be
added to water-based foods when used with gelatin or sugar. These vita-
mins in water-soluble form usually contain antioxidants. All fat soluble
TABLE 6.13. Fat Soluble Vitamins and Their Usage.

Product
Vitamin Chemical Names Usage Considerations
Retinol Oils and fats, liquid milk, Soluble in fat and oil
Vitamin A Retinyl acetate milk powder, infant for-
Retinyl palmitate mula, breakfast cereals
Ergocalciferol Liquid milk, milk powder,
Vitamin D2
oil and fats
Liquid milk, milk powder, Can be found in oil blends
Vitamin D3 Cholecalciferol oil and fats, breakfast (soluble in oil) and dry pow-
cereals ders (water dispersible)
Tocopherol
dl-alpha- Antioxidant in oils, fats, Fat and oil soluble
Tocopherol and sausages
Vitamin E dl-alpha- Fortification of infant Water dispersible

Tocopheryl-acetate formula, confectionary,
oils and fats, fruit drinks,
flour, liquid milk, milk
powder, breakfast cereal
Phytonadione Fortification of infant for- Can be found in oil blends
Vitamin K1 mula, liquid milk, oil and (soluble in oil) and dry pow-
fats, dietary products ders (water dispersible)
TABLE 6.14. Water Soluble Vitamins and Their Usage.

Vitamin Chemical Names Product Usage
Thiamin Flour, breakfast cereal, infant formula, soup,
Vitamin B1 Thiamin hydrochloride milk drinks, pasta, meal replacement products
Thiamin mononitrate
Riboflavin Flour, breakfast cereals, sugar, cocoa confec-
Vitamin B2 Riboflavin-5’-phosphate tions, soups, infant formula, fruit drinks, oils
sodium salt and fats, and meal replacements
Pyroxidine
Vitamin B6
Pyroxidine-hydrochloride
Nicotinic Acid Flour, breakfast cereal, infant formula, fruit
Niacin
Niacinamide drinks, pasta, meal replacement products
Pantothenic Pantothenic acid Infant formula, breakfast cereals, fruit drink,
Acid Calcium-D-pantothenate milk drinks, meal replacement products
Vitamin B12 Cyanocobalamin Infant formula, meal replacement products,
Biotin Biotin and substitute foods
Infant formula, breakfast cereals, fruit drinks,
Folic Acid Pteroylglutamic acid
milk drinks, meal replacement products
Infant formula, breakfast cereals, fruit drinks,
milk drinks, meal replacement products, fruit
Ascorbic acid juices, soft drinks, beer, wine, canned fruit and
vegetables, potato products, dairy products
Curing agent in cured meats, fortification for
Sodium ascorbate
Vitamin C dairy products
Calcium ascorbate Breakfast cereals, low sodium dietetic prod-
ucts
Ascorbyl palmitate Antioxidant in oils, fats, fat-based products,
uncured frozen sausage, processes potatoes,
extruded cereals
vitamins should be stored in a cool environment, or even a refrigerator.

Vitamin A is highly sensitive to oxygen, light, and heat, and should be
tested every 6 months to ensure potency of the additive. The oil based
forms of Vitamin A have higher stability than dry products. Vitamin E,
when added to food as a source of nutrients, should be used as Vitamin
E acetate, its esterified form. Vitamin E in its alcohol form is used as an
antioxidant. Vitamin K is not a very common nutritive additive, except
in infant formula and some meal replacement products. All oil-based
vitamin additives can crystallize in cool temperatures, and should be
brought to room temperature before use.
Water soluble vitamins include vitamins C and the B vitamins. B
vitamins include thiamin (B1), riboflavin (B2), niacin/niacinamide, py-
116 FOOD ADDITIVES
Case Study: Vitamin Rich Dairy Drink

A group of students worked on a dairy drink for a national competi-
tion for months. The guidelines were simple—create any dairy bev-
erage that would expand current offerings. The students created a
yogurt drink for children that they worked on for months. When it came
to the final presentations and report, the group lost major points for
over-fortifying the drink with vitamin D. What is the limit on vitamin D?
What other food additives can legally be added to a dairy drink? What
if it was labeled as a supplement?
roxydine (B6), cyanobalamin (B12), folic acid, pantothenic acid, and

biotin. Water soluble vitamins come in dry forms, and are quite stable.
Expected shelf life is at least 1 year. When adding vitamins to food
products, it is important to ensure that the vitamins will be viable the
entire shelf- life. Therefore, overages of vitamins are included in the
product. Food scientists accounting for losses of vitamins must con-
sider the method of packaging, the nature of the product, losses during
processing, and how the product will be stored throughout shelf life.
Fortified and enriched products should be tested during the develop-
ment stages to ensure vitamin contents are accurately stated. This test-
ing can be done at an accelerated testing condition of 35°C (95°F) and
relative humidity of 45%, taking vitamin assays at day 0, week 1, week
2, and every month for about 3 months.
TABLE 6.15. Vitamins and their Stability in Varying Environments.

Optimum Light Mineral Heat
Vitamin pH Exposure Exposure Oxidation Stability
Vitamin A >6 Yes Yes Yes Semi
Thiamin (B1) 3–4.5 No Sulfite No No
Riboflavin (B2) — Yes No No Yes
Niacinamide — No No No Yes
Pyroxidine (B6) — No Yes No Semi
Vitamin B12 4–5 Yes No Yes Semi
Biotin — No No No Yes
Pantothenate 5–7 No No No Semi
Vitamin C 5–7 No Yes Yes No
Vitamin D — No No Yes Semi
Vitamin E — No No No Yes
Vitamin K 4–7 Yes No No Yes
Source: Smith 1991.
TABLE 6.16. Minerals, their Additives, and Conditions

for Usage in Food.
Conditions for Usage
Water Bioavailability
Mineral Additive Solubility Taste in Pure Form
Ferrous sulfate anhydrous High Metallic High
Ferrous fumerate Moderate Slight High
Iron Ferric orthophosphate Not Tasteless Low
dihydrous
Reduced iron Not Metallic Moderate
Calcium carbonate Not Chalky Moderate–Low
Calcium glycerophosphate Moderate Tasteless —
Calcium lactate High in hot Tasteless Moderate
Calcium pentahydrate water
Calcium phosphate tribasic Not Tasteless Moderate–Low
Calcium Phosphate Not Tasteless Moderate–Low
dibasic
Magnesium oxide Moderate Chalky Moderate
Moderate– Slightly High
Magnesium Magnesium carbonate
can give off chalky
hydroxide
bubbles
Zinc Zinc sulfate monohydrate High Astringent Moderate
Cupric gluconate High Astringent Moderate
Copper
monohydrate
Minerals
Minerals may also be added to food products. A food scientist should

be aware of the pH, moisture content, particle size, solubility, taste,
odor, color, and interactions with vitamins in a food product before add-
ing minerals. The bioavailability and safety of minerals should be con-
sidered. Cost analysis should be done when adding minerals because
the cost of adding minerals may outweigh the benefit. During process-
ing and storage, there is very little mineral loss. Overages for minerals
are generally not significant.
Stability issues can occur with the addition of minerals in a product.
Off odors, colors, and tastes can occur with mineral addition, especially
with iron. Dry food products generally have fewer stability issues. In
high moisture foods, mineral addition can threaten vitamin and lipid
stability.
118 FOOD ADDITIVES
Preservatives
This class of food additives contains a variety of compounds. The

compounds aid in the extension of shelf-life by inhibiting microbial
growth or by minimizing the destructive effects of oxygen, metals, and
other factors that may lead to rancidity.
A common and historical example of a preservative is salt. Salt’s
effectiveness to suppress microorganisms lies in the fact that only mi-
crobes with a high tolerance for salt (halophiles such as Staphylococcus
aureus) can survive.
The most important preservative utilized in the meat industry is ni-
trite. Nitrite inhibits the growth of the deadly bacterium Clostridium
botulinum and is used extensively in cured meat products. Current
trends for natural curing of meats have led to the use of celery pow-
der as a natural source of nitrates. Sodium benzoate or potassium ben-
zoate are typically added to soft drinks. Mold inhibitors like calcium
and sodium propionates and sorbates are used in bakery items, such
as breads and cakes, while natamycin and sorbic acid are utilized in
cheeses to prevent molds. Fumigants, such as ethylene oxide and ethyl
formate, are used to control microorganisms on spices, nuts, and dried
fruits. Sulfur dioxide, which controls browning of fruits and vegetables
caused by enzymes, is yet another example of a preservative.
Stabilizers and Thickeners
Stabilizers and thickeners are food additives that provide uniform

consistency and improve the color, texture, and flavor in candies, choc-
olate milk, artificially sweetened beverages, ice cream, and other frozen
desserts. Other examples of thickeners and stabilizers include vegetable
gums such as carrageenan and guar, pectin, agars, starches, and gela-
tins. Without stabilizers and thickeners, ice crystals form in ice cream
and other frozen desserts more quickly, particles of chocolate separate
from chocolate milk, and volatile flavor oils evaporate in cakes, pud-
dings, and gelatin mixes.
Surface Active Agents
Surface active agents (also known as surfactants) are a group of food

additives that include emulsifiers, antifoaming compounds, and wetting
agents that modify the physical force on the surface of foods. Emulsi-
TABLE 6.17. Preservatives and Their Uses in Food.
Preservative Antimicrobial Action Uses in Food
Broad fungicide GRAS
Sorbic Acid Bacteriocide—aerobes, NOT lactic
acid bacteria
Fungicide Should not exceed 0.1% in
Yeast inhibition food
Benzoic Acid Bacteriocide—food poisoning bac-
teria, spore forming bacteria, NOT
spoilage bacteria
Bacteriocide—mostly gram +
Parabens
Bacteriocide—mostly gram +
Fungicide, but does not control No limits
Propionic Acid
yeast
Bacteriocide—especially inhibits Smoke, cured sablefish,
Nitrous Acid Clostridium botulinum, and also salmon, shad—200 ppm
(nitrites) Lactobacillus, Bacillus, Clostridium sodium nitrite, 500 ppm
perfringens, and Salmonella
Sulfur Dioxide Bacteriocide Cannot be used in meats,
Bacteriocide food recognized as a source
Sodium Sulfite
of vitamin B1, or fruits and
Sodium Bisulfite Bacteriocide vegetables to be served raw
Potassium Bisulfite Bacteriocide or fresh
Cannot be used in meats,
food recognized as a source
Potassium
Bacteriocide of vitamin B1, or fruits and
Metabisulfite
vegetables to be served raw
or fresh
0.00005% for alcoholic bever-
ages (21 CFR 170.3 (n)(2))
Sodium Thiosulfite Bacteriocide
0.1% for table salt (21 CFR
170.3 (n)(26))
Can be used in baked goods,
nonalcoholic beverages, dairy
products, fish products, meat
products, milk products, and
Manganese Sulfite Bacteriocide
poultry products
May be used in infant formu-
las in accordance with section
412(g) of the FFDCA
Bacteriocide Maximum of 250 ppm; used
Gram + bacteria, lactic acid in pasteurized processed
Nisin
bacteria, streptococcus, Bacillus, cheese products, including
Clostridium those with fruit, nuts, or meat
(continued)
119
TABLE 6.17 (continued). Preservatives and Their Uses in Food.
Bacteriocide Milk intended for cheese mak-
Best on Gram—bacteria ing—0.05%
Hydrogen
(coliforms), also works against Whey, modified using electrodi-
Peroxide
Staph. and lactic acid bacteria alysis method, 0.04%
Least effective against Gram +
Bacteriocide Salted fish
Gram—rods, such as
Sodium Chloride
Pseudomonas. Lactic acid
bacteria
Dressings (including mayon-
naise, salad dressings, and
Calcium disodium Bacteriocide sauces)—75 ppm
EDTA Gram—bacteria Sandwich spread—100 ppm
Potato salad—100 ppm
Oleomargarine—75ppm
Dressings (including mayon-
naise, salad dressings, and
Disodium EDTA
sauces)—75 ppm
Sandwich spread—100 pm
Only BHA:
Dry diced glazed fruit—32 ppm
Dry mixes for beverages and
desserts —90 ppm
Active dry yeast—1,000 ppm
Beverages and desserts pre-
pared from dry mixes—2 ppm
Most Gram + (S. aureus,
Bacillus, Clostridium) BHA alone or in combination
BHA
Some gram—(Pseudomonas with BHT:
fluorescens, Vibrio) Dehydrated potato shreds—50
ppm
Dry breakfast cereals—50 ppm
Emulsion stabilizers for shorten-
ings—200 ppm
Potato flakes—50 ppm
Potato granules—10 ppm
Sweet potato flakes—50 ppm
BHT alone or in combination
with BHA:
Dehydrated potato shreds—50
ppm
Dry breakfast cereals—50 ppm
BHT Clostridium botulinum, S. aureus
Emulsion stabilizers for shorten-
ings—200 ppm
Potato flakes—50 ppm
Potato granules—10 ppm
Sweet potato flakes—50 ppm
(continued)
120
TABLE 6.17 (continued). Preservatives and Their Uses in Food.

TBHQ alone or in combination
with other antioxidants:
The total antioxidant content of a
food containing the additive will
TBHQ B. subtilis, S. aureus, most fungi
not exceed 0.02% of the oil or fat
content of the food, including the
essential (volatile) oil content of
the food.
Clostridium botulinum, most fungi The total antioxidant content of a
food containing the additive will
not exceed 0.02% of the oil or fat
Propyl Gallate
content of the food, including the
essential (volatile) oil content of
the food.
Bacteriocide Can be used in cheeses, sauc-
es, salad dressings, sausages,
soups, deli salads, salsas, pasta,
Cultured dextrose tortillas, muffins, cereal bars,
sour cream, yogurt, and hash
brown potatoes at 2% or less of
the total finished volume
fiers are used to keep water and oil from separating in products such as
margarine, salad dressing, ice cream, and other emulsions. Lecithin, a
natural emulsifier obtained from soybeans, and mono- and diglycerides,
head the list of emulsifiers used in the food industry. Emulsifiers, com-
posed of chains of unsaturated fatty acids, are capable of depressing
foam and serve as antifoaming agents in dairy products and egg pro-
cessing. An example of an emulsifier that also falls into the detergent
category is sodium lauryl sulfate. This compound functions as a whip-
ping aid in marshmallows and angel food cake mixes. Wetting, the pro-
motion of liquid spread over a surface, is another important function of
surface active agents. This is important in dessert mixes, drink mixes,
and instant breakfast drinks. Surface active agents are used to create
emulsions or to improve the consumer quality attributes of foods, such
as the hydration of an instant drink mix without clumping.
Consumer Expectations and Demands
Consumption trends in food products change from year to year due to

the newest concern in health, the next fad diet, and the latest super food.
122 FOOD ADDITIVES
One consistent growing concern is the consumer desire for a healthier

lifestyle. With an increasing demand for healthier food products, pro-
cessors have a responsibility to adjust current conventional products
to fit consumer needs and desires including lower fat and lower calo-
rie products. Producers can use food additives to assist in modifying a
cookie formulation originally containing 35% fat to contain only 5%
or to extend the shelf-life of flour tortillas by using a potassium sorbate
spray. Food processors must be in touch with consumer expectations of
tastes when modifying tastes and nutrition along with what the current
views are on specific food additives. When contemplating the addition
of food additives, food scientists should consult ingredient companies
on what the best additive would be and test the new ingredient against
a previously formulated control.
KEY WORDS
Delaney Clause—1958 amendment to the Federal Food, Drug, and

Cosmetic Act (FFDCA) stating that additives exhibiting the ability
to cause cancer cannot be used as an ingredient in food.
Food irradiation—a method of exposing foods to radiation in order to
extend preservation
No observable effect level (NOEL)—corresponds to the highest dose of
an additive producing no unexpected adverse health problems in
the laboratory animals.
Oxidation—the loss of electrons and gain of O2, which can cause off
odors and quality degradation.
Surface active agents (surfactants)—a group of food additives that
include emulsifiers, antifoaming compounds and wetting agents
that modify the physical force on the surface of foods.
6.1. Define the term “food additive.”
6.2. What does the acronym GRAS stand for and give an example of
a GRAS food?
6.3. Name the type of enzyme that is commonly used as a tenderizing

agent in meats.
a. Monosodium glutamate is an example of a _____________.
b. _______________, present in eggs and milk, are naturally

present antimicrobial agents.
6.5. List one example additive in each of the following categories.
a. Antioxidant
b. Emulsifier
c. Base
d. Antimicrobial
e. Binder
f. Chelating agent
g. Anticaking
h. Thickener
i. Bulking agent
j. Curing agent
6.6. Name three sources of gums and provide an example of each.
6.7. List three strategies to reduce oxidation and give an example of

each.
6.8. List four functional properties of acids in foods.
6.9. What is the difference between a dye and a lake?
6.10. What is the difference between baking soda and baking powder?
6.11. Name the three classes of plant pigments.

124 FOOD ADDITIVES
REFERENCES
Ash, M., and Ash, I. 1995. Handbook of food additives. London, England:
Gower.
Smith, J.S. ed. 1991. Food additive user’s handbook. Glasgow: Blackie.
Francis, F.J. 1999. Colorants. St. Paul, MN: American Association of Cereal
Chemists, Inc.
Igoe, R.S. 1989. Dictionary of food ingredients. New York, NY: Chapman &
Hall.
CHAPTER 7
Formulation and Process Development
Learning Objectives
• Sequence for the formulation of new products.
• Where to find basic formulas.
• Learn important concepts for laboratory experiments and
calculations.
N EW PRODUCTS start as ideas with a final goal to make a food prod-

uct that is feasible, cost effective, and meets consumer needs. Ba-
sic recipes become scaled-up formulas with extensive experimentation,
which in turn become merchandise on the shelf of a grocery store. A
great deal of effort is involved in the progression of a product prototype
to a full-scale production.
FORMULATIONS
Marketing has a new idea for a product! This concept is assigned to a

product developer who starts researching, experimenting, ordering sam-
ples from suppliers; otherwise known as the road to the first prototype.
When creating a new product, the first tangible products will be made
on a bench top or in small scale. The first ingredients combinations will
be in the form of recipes, perhaps based on a cookbook recipe, ingre-
dient suppliers, or food processing literature with base formulas. The
basic recipe, sometimes referred to as the gold standard formula, will
be converted into a formula that can be scaled up into production. When
recipes are transformed into formulas, they should be expressed in nu-
meric units in terms of percentage by weight/weight, weight/volume, or
by percentage flour basis (also called baker’s percentage). Flour basis
125
126 FORMULATION AND PROCESS DEVELOPMENT
is widely used in the baking industry. These formulas are based on the
percentage of ingredients as compared to the amount of flour. When us-
ing flour basis, the flour or flours used always amount to 100%. Bakers
use this formulation so that they can easily characterize whether recipes
are sweeter or saltier than others.
To calculate the mass from a baker’s weight percentage formula for
a chosen flour weight:
Desired ingredient weight =

(flour weight × baker’s percentage of ingredient)/100%
To calculate the mass of an ingredient that you will need in baker’s

percentage:
Baker’s percentage of ingredient =

100% × (ingredient mass/flour mass)
The FDA have established standards of identity for some food

products. Standards of identity specify ingredients and additive limits
allowed for use within a certain food. For example, mayonnaise must
contain a minimum of 65% oil by weight and use only egg as an emulsi-
fier. Products that do not meet the standard of identity must use alterna-
tive names. The USDA states the identities of its products in the Food
Standards and Labeling Policy Book from the FSIS which can be found
on their website, www.fsis.usda.gov.
Ingredient Sourcing
Choosing suppliers for ingredients is an important piece of devel-

oping a new product. Products can only meet quality as good as their
ingredients. In established businesses, contracts for ingredients and ap-
proved suppliers may already be in place. New businesses must seek out
sources of ingredients that meet quality standards and volume require-
ments. Ingredient quality is not necessarily uniform for all products.
Some products and processes are more susceptible to quality defects
and need the highest quality possible, while other’s processes are for-
giving of slight changes. Variability between ingredient lots should be
kept at a minimum for color, flavor, and moisture contents, and should
be discussed prior to investing in a contract for ingredient sourcing.
Other issues in ingredient sourcing include shelf life, safety, and avail-
ability.
Formulations 127
Rules and Regulations
When creating new food products, knowledge of the rules and regu-
lations regarding certain products is essential. Rules and regulations are
set up by the government to ensure the safety of the food supply. If a
company is not compliant with regulations, the government may seize
products or a governing agency may suggest a recall. USDA regulates
the cooking temperature for products containing meat. The FDA for
low acid canned foods and acidified canned foods defines processes.
Processes must be filed with the FDA in order to be compliant. Product
development teams should ensure that their production plans follow all
guidelines before investing money on insufficient equipment.
Process Development
The process for a food is greatly dependent on many factors includ-

ing what kind of food is being produced. A new process may need to
be created for concepts that have not been successfully created. When
creating a new process, it is important to carefully plan experiments and
keep a detailed experiment notebook. External variables that remain
constant in all experiments should remain controlled. Some develop-
ment projects may require newly designed equipment. Order of ingredi-
ent addition is important in the production of most products, and should
be noted. For example, when calcium is added to low-sugar jelly that
uses low methoxyl pectin, it should be introduced at the end of the pro-
cess to eliminate premature gelling. Speeds of production may also be
an important factor. Other processing traits to factor in include tempera-
ture, time, color, moisture, pressure, viscosity, pH, humidity and more.
The processes for many foods have long been established, therefore it
may be beneficial to refer to literature about the basic unit operations
for the product of interest.
Scale Up
Scaling up from a recipe provides many challenges for product de-

velopment technicians. The process of moving a product and process
from a small scale production like a bench-top or pilot plant to full scale
production[cm66]. The recipes are first tested in batches in an industrial
kitchen. After a good formula is found, the product is attempted in pilot
plant batches using similar equipment to what a plant would have, but
in a fraction of the size. This allows product developers to more closely

replicate the plant atmosphere and determine equipment and processes
that are capable of producing a quality product. Formulas that are scaled
up should begin incorporating ingredients that may prolong shelf life or
make the product more appealing such as stabilizers and preservatives.
Pilot plant experiments can also help to pinpoint any potential difficul-
ties that may be seen in the use of the production plant. The road from a
bench-top product to a large scale product may sharply modify the taste
of the product. Final products rarely taste like the product prepared in
bench-top experiments.
Scale-Up Challenges
Product developers encounter many problems in the scale-up stage.

Even with excellent background information and feasibility studies on
similar new products, it is important to log challenges and attributes of
the food with different formulas while keeping some samples for later
reference. Developers should make changes to the formula one at a time
in order to grasp the effects of each modification.
Raw materials are highly variable. Ingredients may vary signifi-
cantly from one variety to another and even from one supplier to the
next. Some products must be analyzed in order to determine the basic
components that may change with each growing season. For example,
wheat flours change from year to year and should be tested as ingre-
dients are changed to the new crop. Formulas may need to be slightly
modified.
Due to the great challenge to make targeted launch dates for prod-
ucts, scale up may be hurried by other players on the product develop-
ment team. Large grocery chains have strict deadlines for taking new
product. If the company misses these dates, they may have to delay the
launch date or risk higher costs for specialty placement in a store. This
puts pressure on a developer to quickly scale up and move along with
a project. Conflicts between food technologists and marketing depart-
ments may arise due to contrasts in goals. Food technologists have a
duty to create the best product possible that ensures a quick transition
from the pilot plant to production, while marketing may want product
as soon as possible to begin consumer testing and test marketing.
Equipment needs are unique for processing and may require modifi-
cation for unique products. Special equipment and new processing lines
are expensive and take time to create. A developer should use equip-
Formulations 129
ment that is the most comparable to that available in the processing

plant. Focus in smaller scale production should be on product attributes
such as moisture content, time, and temperature so that these can be
replicated, if possible, at the production facility. If a product is launched
in the marketplace and fails, equipment costs will not be recovered.
Important Experimentation Concepts and Calculations
In order to obtain a reproducible product that meets regulatory and

consumer standards, basic lab knowledge and techniques are necessary.
Simple calculations must be made in order to determine what level of
food additives should be used, or if a producer must claim the use of
sulfites on a product. Planning experiments using statistical designs and
keeping current data legibly in a lab notebook are essential in the cre-
ation of a successful new food product.
Accuracy and Precision
Both precision and accuracy are important when creating a new food
product. Precision is defined as the agreement among a series of experi-
mental measurements. Therefore, it relates to the reproducibility of the
experiment. Accuracy is the agreement of the experimental values with
the established or “true” value. Precise measurements are not necessar-
ily accurate. For example, if you took pH readings of four different jars
of salsa from a batch you manufactured at the same time and your read-
ings were 3.52, 3.51, 3.52 and 3.50, the measurements may be consid-
ered precise, but your pH meter may be 0.5 points off if not calibrated
properly, and the actual pH could be 3.00 or 4.00. Instruments used for
taking experimental data should be calibrated and maintained as recom-
mended by the manufacturer. If instruments are not accurate when mov-
ing from the pilot plant to the production facility, the food technologist
may find unexpected results.
Working with Chemicals
To protect against accidental chemical injury, you should dissolve

concentrated acid and base solutions under a hood. Add the acid slowly
to the water and stir. Pouring water rapidly into a concentrated acid
solution causes a violent reaction that may lead to an explosion! Wear
goggles to protect your eyes.
Dilutions
There are several conventions for indicating the method of dilution.

For example, “1–5 dilution” can indicate two different cases. First, 1
part of the original solution could be diluted with 4 parts of solvent to
give a final diluted volume of 5 parts. This dilution is one-fifth, since
the concentration of the diluted solution is one-fifth of the concentration
of the original solution. However, “1–5” also could indicate that 1 part
of the original solution is diluted with 5 parts of solvent to give a solu-
tion with one-sixth of the original concentration. The latter convention
is more suitable and is more frequently used because the dilution factor
is immediately apparent. In this case, it is best to read “dilute 1:5” as
dilute 1 part solution with solvent to give 5 parts of total volume.
Concentrations of Acids and Bases
Molarity (M) is an indication of the number of moles of a solute in

1 L of solution, while normality (N) represents a solution of an acid or
base which contains 1 g of replaceable H+ per liter or OH– per liter. The
product of the N of an acid and the degree of ionization equal its [H+].
A 1.0 N acid, which is 100% ionized, contains 1g of H+/L. All of the
replaceable hydrogen is present as H+. It’s [H+] is 1 mole/L and it has
a pH of 0.
Normality is more convenient than molarity when considering solu-
tions that react with one another; it takes into account the number of
replaceable hydrogen atoms or hydroxyl groups.
In terms of active acidity, 0.1N HCl is not equal to 0.1N CH3COOH.
(Approximately 100% of HCl ionizes, while about 0.1% of CH3COOH
TABLE 7.1. Milliequivalent Weights of Commonly Used Acids.

Molecular Weight Millequivalent
Acid (MW) Weights (meq. wt)
Citric acid 192 0.064
Acetic acid 60 0.06
Lactic acid 90 0.09
Malic acid 134 0.067
Oxalic acid 90 0.045
Tartaric acid 150 0.075
Source: Food Additive 1991.
Formulations 131
ionizes.) However, since both solutions are 0.1N, they react to the same
extent with a base in titration (total acidity).
Total/titratable acidity is a commonly controlled parameter used in
the quality control of fresh fruit products, fermented foods, and soft
drinks. This is because food flavors are influenced by the degree of
acidity. Titratable acidity values may be as low as 0.5% in some cheeses
to as high as 6.0% in vinegar. In industry, it is normally expressed as %
dominant acid in food (e.g., lactic in whole milk or buttermilk, citric in
soft drinks, acetic in vinegar).
Titratable Acidity (TA) = volume of base (mL) × N × meq.wt. acid
× 100 vol. in mL or wt. in g of sample
Sample Calculation 1
1. A baker needs to prepare 50 lb. of bread.

a. How much salt needs to be added at 2%?
b. How much calcium propionate (a mold inhibitor) is needed at
0.3%?
Solution:
a. 2 lb. salt/100 lb. bread × 50 lb. bread = 1 lb. salt
b. 0.3 lb. propionate/100 lb. bread × 50 lb. bread = 0.15 lb. pro-
pionate
2. A plant uses 200 ppm by weight of smoke flavoring in processing

barbecue sauce.
a. How much flavoring is needed for a 250 lb. batch of barbecue
sauce?
b. How much flavoring is needed for a 45 gal. batch if 1 tbsp. of
sauce weighs 15 g?
Solution:
a. Given: 200 ppm = 200 mg/kg
250 lb. × (.454 kg/1 lb.) = 113.5 kg of barbecue sauce is pre-
pared
113.5 kg × (200 mg/1 kg) = 22,700 mg of flavoring or 22.7 g
of smoke flavoring
b. Converting 45 gal. to kg of barbecue sauce:
45 gal. × (16 c/gal) = 720 c
720 c × (16 tbsp./1 c) = 11,520 tbsp.

11,520 tbsp. × (15g/1 tbsp.) = 172,800 g
172,800 g/1,000 = 172.8 kg of barbecue sauce
172.8 kg × (200mg/1 kg) = 34,560 mg of smoke flavoring or
34.56 g
3. A manufacturer of low-sugar syrup wants to add 0.08% of so-

dium benzoate and 200 ppm of xanthan gum (by weight) to her
product. How much will she need of each for an 800 kg batch?
For a 300 lb. batch? For a 200 gal. batch (1 tbsp. of syrup weighs
18 g)?
Solution:
Step 1. Find how much sodium benzoate is used in 800 kg batch:
800 kg × (0.08/100) = 0.64 kg sodium benzoate
Step 2. Given 200 ppm = 200 mg/kg

Calculate how much xanthan gum in 800 kg batch
800 kg × (200mg/kg) = 160,000 mg or 160 g of xanthan
Step 3. Calculate for sodium benzoate in a 300 lb. batch

300 lb. × (.454 kg/1lb) = 136.2 kg
136.2 kg x (0.08/100) = 0.109 kg benzoate or 109 g
Step 4. Calculating for xanthan gum in a 300 lb. batch

300 lb. (0.454 kg/1 lb.) = 136.2 kg
136.2 kg (200 mg/ kg = 27,240 mg of xanthan or 272 g
Step 5. Calculating for a 200 gal. batch

200 gal. (16 c/1 gal) = 3,200 c
3,200 c (16 tbsp./1 c) = 51,200 tbsp.
51,200 tbsp. (18g/1 tbsp.) = 921,600 g syrup or 921.6 kg.
921,600 g (200 mg/kg) = 184,320,000 mg of xanthan or 184 g
Step 6. Calculating amount of sodium benzoate for 200 gal. batch.
921,600 g x 0.08/100 = 737 g
Formulations 133
TABLE 7.2. Control Gluten-Free Dinner Roll Formulation.

Ingredients Flour Basis (%) Overall Percentage (%)
Sorghum flour 70 33.78
Native potato starch 30 14.48
(Total flour) (100) (47.26)
Sucrose 4 1.93
Butter 4 1.93
Non-fat dry milk 4 1.93
Xanthan powder 1.5 0.72
Salt 1.75 0.84
Water 90 43.43
Instant dry yeast 2 0.97
TOTAL 207.25 100
Sample Calculation 2: Adjusting Moisture in a Gluten-Free

Dinner Roll Formulation
After preliminary work to determine the ingredients used to obtain

an optimal gluten-free (GF) dinner roll formulation as well as the bread-
making procedure, the following final control formulation was estab-
lished as seen in Table 7.2.
The main objective of the study was to examine the improvement
induced by three types of egg ingredients (fresh shell eggs, dried whole
eggs, and egg whites) as well as carob germ flour on GF bread roll’s
physical and sensory characteristics.
Levels of 30% on a flour basis of fresh eggs or its equivalent in egg
ingredients and 10% on a flour basis of carob germ flour where chosen
to be tested based on previous study (Bize 2012).
As the base formula does not contain eggs, adjustments needed to be
made to get identical moisture content and dough consistency in control
as well as egg-containing formulas. A formula containing 30% of fresh
shell eggs on a flour basis was used as a reference for the calculations.
The moisture content of fresh shell eggs, commercial egg whites, and
whole dry eggs were determined using an electronic moisture analyzer
(MX-50 moisture analyzer, A&D Company Ltd, Tokyo). This method
indicated a moisture content of 76.73% for fresh shell eggs, 4.96% in
dried whole eggs, and 87.39% in the egg whites.
To calculate the amount of water to add in the formula containing
30% of fresh shell egg the following calculation was used:
Water percentage calculation in formula containing 30% fresh shell egg

Percentage of water necessary in formula (%) = x
Water percentage in control (%) = y
Moisture brought by shell eggs (%) = z
x=y–z
Where y = 90% and z = 23% (egg percentage in formula (%)
× egg moisture content (%))
Thus x = 67%
Then, to determine the water adjustments required in the other bak-
ing formulas (Table 7.4) a reconstitution table, which was adapted from
a previous study (Yiu 2002), was used (Table 7.3).
After calculation of the quantities of egg ingredients and water nec-
essary, the following final formulas were established:
KEY WORDS
Accuracy—the agreement of the experimental values with the

established or “true” value.
Baker’s Percentage—formulas are based on the percentage of
ingredients as compared to the amount of flour.
Molarity (M)—an indication of the number of moles of a solute in 1 L
of solution.
TABLE 7.3. Reconstitution Calculation for Egg Containing Formulations.

Fresh Shell Egg Dried Whole Egg Egg Whites
Moisture y (%) 76.73% 4.96% 87.39%
Solids (%) 23.27% 95.04% 12.61%
Fresh egg moisture (%) × total solids (%) = m 72.92% 9.68%
1 – 0.7673 = n 0.2327 0.2327
m/n = x 313.38 41.58
x – y = z (water in ml per 100 g of egg sample) 307.42 –45.81
z/(z + 100) × 100 = p (water percentage to be added 75.52% –84.54%
per 100 g of egg sample)
Fresh egg (%) from formula × (100 – p) = egg 7.35% 55.36%
ingredient (%) in baking formula
(Fresh egg (%) × p) + fresh egg moisture (%) = 89.65% 41.64%
water(%) in baking formula
Key Words 135
TABLE 7.4. Final Gluten-Free Dinner Roll Formulas without

Carob Germ Flour.
Formulation 1 Formulation 2 Formulation 3 Formulation 4
Ingredients Control Fresh Shell Egg Fresh Shell Egg Egg Product
Egg ingredient 0% 30% 7.35% 55.36%
Water 90% 67.00%a 89.65% 41.64%
Sorghum flour 70% 70% 70% 70%
Potato Starch 30% 30% 30% 30%
Sucrose 4% 4% 4% 4%
Butter 4% 4% 4% 4%
Non-fat dry milk 4% 4% 4% 4%
Xanthan 2% 2% 2% 2%
Salt 2% 2% 2% 2%
Yeast 2% 2% 2% 2%
aAmount of water in reference shell egg formula (Formulation 2) was calculated using the equation given in
the text.
Normality (N)—represents a solution of an acid or base which contains

1 g of replaceable H+ per liter or OH– per liter.
Precision—the agreement among a series of experimental measure-
ments.
Standard of Identity—specifies ingredients and additive limits allowed
for use within a certain food.
TABLE 7.5. Final Gluten-Free Dinner Roll Formula with

Carob Germ Flour.
Formulation 5 Formulation 6 Formulation 7 Formulation 8
Ingredients Control Fresh Shell Egg Fresh Shell Egg Egg Product
Egg ingredient 0% 30% 7.35% 55.36%
Water 105% 82.00%a 104.65% 56.64%
Sorghum flour 60% 60% 60% 60%
Potato Starch 30% 30% 30% 30%
Sucrose 4% 4% 4% 4%
Carob germ flour 10% 10% 10% 10%
Butter 4% 4% 4% 4%
Non-fat dry milk 4% 4% 4% 4%
Xanthan gum 2% 2% 2% 2%
Salt 2% 2% 2% 2%
Yeast 2% 2% 2% 2%
aCarob-containing formulas required a water adjustment.
7.1. Fill in the blanks:
1 tbsp. =_____ tsp. =_____fl oz = _____ml

1 gal. =_____ c =_____tbsp. =_____1
1 cc of water = _____ml =_____g
1 c of water =_____ fl oz =_____ml =____ g
l lb.=______ kg =_______ g
158°F=______°C –40°F =______°C
7.2. A manufacturer of low-sugar syrup wants to add 0.08% of so-

dium benzoate and 200 ppm of xanthan gum (by weight) to her
product. How much will she need of each for an 8,000 kg batch?
For a 3,000 lb. batch? For a 200 gal. batch (1 tsp. of syrup weighs
6 g)?
7.3. Convert the following pizza dough formula into baker’s percent
(% flour basis).
Ingredient Pounds Ounces Baker’s %
Flour 40 —
Salt — 11.2
Sugar — 12.8
Compressed yeast — 9.6
Olive oil 1 3.2
Water 23 3.2
REFERENCES
Bize, M., 2012. An evaluation of the role of eggs and DATEM on the qual-
ity of Gluten-free sorghum bread. Masters’ thesis, Kansas State University
Library.
Food additive user’s handbook. 1991. In Smith J. S. (ed.). Glasgow: Blackie.
Graf, E., and Saguy, I.S. (eds.). 1991. Food product development from concept
to marketplace. New York: Van Nostrand Reinhold.
Houben, A., Hochstotter, A., Becker, T. 2012. Possibilities to increase the
quality in gluten-free bread production: an overview. European Food Re-
search Technology, volume 235, pages 195–207.
References 137
Lazaridou, A., Duta, D., Papageorgiou, M., Belc, N., Biliaderis, C.G. 2007.
Effects of hydrocolloids on dough rheology and bread quality parameters
in gluten-free formulations. Journal of Food Engineering, Vol. 79, pages
1033–1047.
Mine, Y. 2002. Recent advances in egg protein functionality in the food sys-
tem. World’s Poultry Science Journal, Vol. 58, pp. 31–39.
Ott, R.L., Longnecker, M.T. 2004. A first course in statistical methods. Brooks/
Cole-Thompson, Belmont, CA, USA. Pages 381–400.
Sabanis, D., Tzia, C. 2010. Effect of hydrocolloids on selected properties of
gluten-free dough and bread. Food Science and Technology International,
Vol. 17, pages 279–291.
Sciarini, L.S., Ribotta, P.D., León, A.E., and Pérez, G.T., 2010. Influence of
Gluten-free Flours and their Mixtures on Batter Properties and Bread Qual-
ity. Food Bioprocessing Technology, Vol. 3, pages 577–585.
Shieh, G., Jan, S.L. 2004. The effectiveness of randomized complete block
design. Statistica Neerlandica, Vol. 58, no. 1, Pages 111–124.
CHAPTER 8
Experimental Design in Food Product

Development
Learning Objectives
• How to use the appropriate statistical design to get meaningful
results from your product development experiments.
• To reduce time and cost involved in testing new formulations,
ingredients, or treatments by using reliable statistics.
ELEMENTARY CONCEPTS IN STATISTICS
I T is beyond the scope of this chapter to teach statistics, a subject that

is covered by numerous classes on most campuses. The information
provided below assumes that the reader is familiar with the subject,
and the following will address the issue of how to use this knowledge
in product development. Experiments in the product development pro-
cess, as in most processes, involve the gathering of data, which is used
to make inferences about a certain variable or its effects. It is generally
hoped that data gathered follows the normal distribution, i.e., the clas-
sic “bell-shaped” curve. The total area under the normal distribution is
equal to 1 with the center being the mean of the distribution. A standard
normal distribution will have a mean of 0 with a standard deviation of
1. The empirical rule regarding the standard deviation from the normal
distribution is that:
• Area in μ < σ = 0.6826
• Area in μ < 2σ = 0.9544
• Area in μ < 3σ = 0.9974
As an example, what this refers to is that the probability that a val-
ue falling within 1, 2, or standard deviations of the mean is 68.26%,
95.44%, and 99.74% respectively.
139
FIGURE 8.1. Normal distribution curve.
Inferences for Normal Distributions
The above figure is used to define the value α called the confidence
level. Therefore, in a set of data where α = 0.05, the probability that the
interval of values obtained experimentally covers the true value of the
parameter is 95%.
Hypothesis Test
When running an experiment in product development, you are often

trying to test a certain hypothesis, such as: if for cost reasons you want
to replace sugar with corn syrup in your cake formulation, will it affect
cake volume? Therefore, the hypothesis test is the procedure to help
you draw a conclusion about a certain parameter:
A hypothesis test consists of 5 steps:
1. Null Hypothesis, Ho
Ho, μ = μo, in this case, the volumes of the cakes will be the same
2. Alternative Hypothesis, Ha
Ha: μ < μo and μ > μo (one-tailed test); the volume of the cake with
corn syrup will be greater or smaller than the cake made with sugar
μ ≠ μo (two-tailed test); the volumes of the cakes will be different

Practically, you make three cakes with sugar and three with corn
syrup, keeping all other factors the same, and measure the vol-
umes of the cakes. You will then run an analysis of the means of
the two treatments, and go to the third step.
3. Test statistic (t or z-value): you test whether these means are the
same using an appropriate statistical tool such as a student t-test.
The results will tell you if the null hypothesis is correct: i.e., there
is no difference in cake volume, or if it is to be rejected: i.e., there
is a difference (step 4).
4. Rejection Region: You can also tell from the t-test whether the vol-
ume of the cake with the syrup is significantly larger or smaller
than the control.
t > tα
t < –tα
|t| > tα/2
5. Draw your conclusion.
Special Notes on Inferences
• Rejection region depends on specification of desired α (Type I error),

most commonly α will be either 0.05 or 0.01.
• Alternatively, we can compute a p-value for the test statistic.
—The
— p-value is the probability of observing a test statistic value
as extreme as the observed value, assuming that Ho is true.
—A — small p-value therefore indicates that such an extreme test sta-
tistic is unlikely to occur when Ho is true, leading us to believe
that Ho is wrong.
• Failing to reject a null hypothesis does not mean the Ho is necessarily
true. Remember it is just a question of probability.
Logarithmic Scales
Special consideration must be given to pH and microbiological

counts as they are based on logarithmic scales. Differences may be un-
der or over significantly. Changes in microbial counts can multiply very
quickly. For example, if you are testing the effect of two acidifying
ingredients on the pH of a salsa and your statistical analysis indicates
no significant differences with the two means: 4.55 and 4.66. That may
be true mathematically, but it makes a very big difference in the safety
of the salsa and its regulation. The salsa with a pH of 4.55 will be con-
sidered acid or acidified and does not support the growth of botulism
while the salsa with a pH of 4.66 will be considered a low-acid food.
In the case of microbial growth, any differences less than 1 log are
considered insignificant due to the nature of microbial growth.
Statistics Basics
• Random sample—random implies that each sample in the population

has an equal chance of being selected.
• Sample mean—a measure of the “central tendency” of the sample. It
is the sum of a set of measurements divided by their number.
• Sample variance (s2) and standard deviation (s)—measure the
“spread of the sample.” The standard deviation is commonly consid-
ered the more useful of these, because its units are the same as those
for the sample.
• Estimation—the process of using a quantity computed on a sample
to provide information regarding the corresponding population quan-
tity. We often use the sample mean to estimate the population mean
and the sample variance to estimate the population variance.
Experimental Designs
The design of experiments is essential in successful food product

development projects. Well-designed studies save money and are easier
to analyze. The statistical design of experiments provides confidence
that the information you collect is reliable. Experimental design is used
mostly in formulating product, process development, sensory testing,
and test market analysis.
Completely Randomized Design (CR)
Completely randomized design (CR) is an experimental design in

which the analyst randomly assigns the samples to different procedures.
For example, if you are trying to find the best chocolate chip out of four
samples that will produce the best taste for a cookie recipe, you could
make three cookies with each of the four chocolates, and assign the 12
cookies randomly to four judges to score them on chocolate flavor.
Randomized Complete Block Design (RCB)
A randomized complete block design (RCB) is a restricted random-

ization of treatments in which the units are sorted into blocks, and the
treatments are randomly assigned to units within each block. The block
design is considered complete if each treatment is assigned to at least
one unit in each block. Otherwise the block design is incomplete. In
general, we have t treatments, b blocks, so in a RCB we have t × b ex-
perimental units.
In the previous example, you will use a panel of four judges to test
four cookies; each made with a different chocolate, and with all other in-
gredients maintained the same. Each judge is going to test every cookie
three times, randomly assigned, and scores them. Scores are tabulated
and data is analyzed for differences among the means.
The advantages of RCB over CR are that these tests reduce vari-
ability of treatment comparisons by allowing them to be made on more
similar units within a block. Variability in experimental units can be in-
troduced deliberately by including a wide variety of blocks, thus broad-
ening the population about which inferences can be made. RCB tests
are easy to construct and easy to analyze. This type of design is also
flexible to the number of treatments and blocks. If the number of treat-
ments is large, you may not be able to find enough similar units to call
a block, therefore making other tests a better choice.
Factorial Design: Handling Many Factors Simultaneously
Usually a set of “alphabetic” factor notation will be used to talk about

any kind of factorial structure in general (Table 8.1).
Factor A has a levels, Factor B has b levels, and so on. When we
refer to a factorial structure, we refer to it generically by its level. If we
have 3 levels of Factor A and 4 levels of Factor B we call this a 3 × 4
factorial structure.
The number of treatment combinations is just the product of the lev-
TABLE 8.1. Factorial Design Set Up.

Factor Name Number of Levels Subscript on y or μ
A a i
B b j
C c k
els of the factors: t = a × b × c. Factorial designs can be run in any of

the following types:
1. Full factorial design

2. Fractional factorial design
3. Response surface design: very commonly used in product develop-
ment
4. Mixture designs
Questions to Consider in Factorial Design
• Questions you might want to answer:

—Is
— there a Factor A effect?
—Is
— there a Factor B effect?
—Is
— there any interaction between the different factors?
• Example: you are working on developing a new cherry pie and you
want to test the following:
—3— levels of sugar (high/low)
—2— suppliers of cherries
—Butter
— (B) or margarine (M)
—You
— can have a 3 × 2 × 2 full factorial design, resulting in 12 dif-
ferent treatments.
SUMMARY
Experimental design in new product development can save compa-

nies time and money. By starting with an experimental plan, the product
development team can develop a schedule to test each variable in the
experiment. Taking detailed notes during all experiments is necessary
in case the project is temporarily put on hold or team members are not
able to fulfill the entire project.
KEY WORDS
Estimation—the process of using a quantity computed on a sample

to provide information regarding the corresponding population
Reference 145
quantity. We often use the sample mean to estimate the population

mean and the sample variance to estimate the population variance.
Random sample—random implies that each sample in the population
has an equal chance of being selected.
Sample mean—a measure of the “central tendency” of the sample. It is
the sum of a set of measurements divided by their number.
Standard deviation (s)—the standard deviation is commonly considered
the more useful of these, because its units are the same as those for
the sample.
8.1. Give two advantages of the RCB over the CR design.
8.2. Design a study to correspond to a certain variable you are testing

in your own product. Explain why you chose the design you did.
REFERENCE
Hubbard, M.R. 1990. Statistical quality control for the food industry. New
York: Van Nostrand Reinhold.
CHAPTER 9
Basic Units of Operation
Learning Objectives
• The basic operational units used to produce food products.
• How to sort for quality at receiving.
• Which processes to choose for manufacturing your new product.
Ainto smaller units and that contributes to transforming raw materi-

unit operation is a physical processing step that cannot be divided
als into food products. These include events that take place in every step
of food processing including handling and shipping materials, receiving
the materials, cleaning and sanitation of equipment, and all process-
ing methods. The reasons for processing food are to prevent spoilage,
eliminate waste, preserve quality, convenience, making foods available
out of their seasonal availability, and to increase the value of the prod-
uct (Gould 1996).
MATERIAL HANDLING
Material handling is the primary operation in most food plants. Ma-

terial handling is all movement, packaging, and storing of materials
including non-food materials such as packaging material, cleaning
chemicals, and sanitation supplies. Material handling operations bind
together operations that are productive and non-productive (Gould
1996). Material handling begins with raw material handling and ends
with the transportation of foods from the processing plant. Efficient ma-
terial handling leads to elimination of waste and cost savings for the
organization.
147
148 BASIC UNITS OF OPERATION
TABLE 9.1. Attributes to Check at Receiving.

Attribute Signs of Damage
Quality Torn packages, off-odor, off-color, heavy ice crystals
(on frozen foods)
Condition Obvious defects, expiration dates, type of product requested
Internal characteristics Sugar content, soluble solids, pH, temperature
MOVING AND STORAGE
After products are accepted at receiving, the raw materials should

be moved into storage facilities. If products are delivered on pallets, a
forklift can be used to move the material off the delivery vehicle. Other
methods of unloading products include unloading by hand and by use
of special equipment, like a truck lift. If liquid or powder products are
being delivered, pumps may be utilized to move the product (Gould
1996).
Just as moving products is dependent on the type of product that is
received, storage is also dependent on product factors. Dry, wet, refrig-
erated, frozen, food, and non-food storage areas should all be desig-
nated within the facility. Storage bins can be utilized for some products.
These bins should be designed to operate in a first-in, first out (FIFO)
method, so that the material that was received last is not used until all
other product received before it is used.
CLEANING
Cleaning is the removal of foreign materials and unwanted product

from the raw commodity: soil and dirt, stones, insect eggs, product de-
bris, and pesticide residue (Gould 1996). There are two basic methods
of cleaning—dry and wet. Cleaning methods that best remove unwant-
ed material are commodity specific. Cleaning processes are sometimes
done in the harvest field.
Dry Cleaning
Dry cleaning usually involves removing stones and other debris from
the field, separating the wanted and unwanted materials (Gould 1996).
One of the most economical methods of dry cleaning is air separation,
Quality Separation 149
where light debris is blown off of the product. Other methods of dry
cleaning include magnetism and physical methods such as separation
by hand (Fellows 2000). Dry cleaning is more cost effective than wet
cleaning, but it can result in the creation of dust, which can be a hazard
(Fellows 2000).
Wet Cleaning
Wet cleaning involves using water to solubilize the unwanted mate-

rial from the wanted material. Examples of wet cleaning procedures
include flotation washing, ultrasonic cleaning, spraying, and soaking
(Fellows 2000). Wet cleaning is most effective to remove insect eggs,
spray residues, rotted areas, and dirt. The water used for wet cleaning
should be potable and free of organic and inorganic residues. In some
cases detergents, acids, or alkalis are added to the wet cleaning solution.
A common addition to wet cleaning water is chlorine. Wet cleaning
is more effective at removing pesticide residues and dirt, and for the
elimination of soil from roots and tubers (Fellows 2000).
QUALITY SEPARATION
Quality separation involves sorting products by specific parameters

and quality traits for the product. Size, color, absence of defects, matu-
rity, and internal factors such as sugar content, solids content, and acid-
ity can be parameters by which products are sorted (Goul, 1996). Qual-
ity separation is done with the goal of eventually grading the products
(Gould 1996). Shapes and sizes are sorted by using screens or sieves.
Machines that sort color and look for defects can do vision separation.
Weight sorting can also be done through the use of a detector that redi-
TABLE 9.2. Quality Separation Examples by Type.

Type of Separation Example
Solid from solid Peeling of apples
Solid from liquid Filtration of apple juice
Liquid from solid Pressing of grapes for juice
Liquid from liquid Centrifuging oil from water
Gas from solid or liquid Canning
Source: Hui 2004.
rects those products that are too heavy or light. Weight sorting is com-
monly used in egg processing—thus the small, medium, large, and ex-
tra large eggs found at the grocery store.
PEELING
Peels are a protective outer covering on fruits and vegetables that

may or may not be edible. Even if peels are edible, they may be unat-
tractive to consumers. The six common methods for removing the outer
peels of commodities are: (1) pliers, peeling spoons, or hand held knife,
(2) mechanical knife, (3) brushing with abrasive material, (4) grinding
of peel, (5) chemical peeling with alkalis or acids, and (6) steam or high
pressure (Gould 1996). Peeling applications that are best suited are de-
pendent on the type of fruit or vegetable being processed and the ease
of product damage.
DISINTEGRATING
Disintegrating is the process of dividing product masses into smaller

parts. Disintegration can change the form of the food product, or do
so with little change. Product disintegration that does not change the
product significantly includes husking (such as corn), shelling (such
as peas or nuts), pitting (such as cherries or peaches), coring (such as
cabbage or apples), and snipping and destemming (such as green beans,
strawberries, and blueberries) (Gould 1996). Other disintegration pro-
cesses change the form of the product. These processes include cutting
or shredding (such as lettuce for packaged products), crushing (such
as fruit for pie filling), juicing or extracting (such as apples for apple
juice), homogenization (such as milk homogenization to disperse fat
globules), and sheeting (corn for corn chips).
SEPARATION
Separation is different from quality separation in that it is about

separating intrinsic parts of the food into various components. These
separation techniques include filtration, the process of separating com-
ponents of food through clarification, sieving, sedimentation, or other
Pumping 151
methods (Gould 1996). Deaeration, removal of air dissolved in food, is

another separation method that is important in food processing. Deaera-
tion decreases the likelihood of enzymatic browning and foaming and
is performed by passing liquid or particulate product through vacuum
chambers (Gould 1996).
PROTECTIVE LINE EQUIPMENT
Protective line equipment is installed on the processing line in or-

der to eliminate the likelihood of contamination from other materials
(Gould 1996). Sieves and screens can be installed in-line to eliminate
any materials that may be left after quality separation. Sifters are used
for products such as flour and salt as a function of quality and to prevent
foreign material. Magnetic and metal detectors are commonly used at
the end of the line to ensure no metal contamination has occurred. Many
of the machines used in processing are metal, which sometimes results
in metal shavings in products.
BLANCHING
Blanching, a short heat treatment of products, is used to inactive

enzymes, which cause discoloration, texture changes, and flavor loss
(Gould 1996). Blanching is usually completed in preparation for oth-
er processing treatments. Fruits and vegetables each have their own
blanching process which is based on four factors: (1) the type of fruit
or vegetable, (2) size of the pieces, (3) blanching temperature, and (4)
method of heating (Fellows 2000). The most common blanching pro-
cesses are through steam and hot water treatments. To test for adequate
blanching, a peroxidase test can be used in vegetables. Peroxidase is an
enzyme in vegetables that causes discoloration. Blanching helps fruits
and vegetables to retain flavor and color, while softening texture.
PUMPING
Pumping foods is an effective method for moving liquid or semi-liq-

uid foods from one unit operation to the next. A wide variety of pumps
are available, therefore it is important to know the capabilities of the
pumps installed in processing facilities. Important attributes that all

pumps should have are the ability to break up foods and ease of clean-
ing in place (Hui 2004).
MIXING
The objective of mixing is to combine two or more ingredients. The

blending of ingredients can be done as a batch or continuous method.
Mixing can be done in kettles with or without steam jackets, vacuum
cookers or concentrators, flow mixers, paddle or arm mixers, or tum-
bling mixers (Gould 1996). Mixing can be used to mix solids with sol-
ids (dry cake mix) or even to incorporate air into liquids (egg white
foam or ice cream) (Hui 2004).
COATING
Coating enhances food products by giving flavor, altering texture,

bettering the appearance, providing convenience, or increasing offer-
ings of a food commodity (Fellows 2000). The process of coating usu-
ally does little damage nutritionally to the foods (in the way of lost
vitamins in processing), but can add a significant amount of calories.
Three methods for coating foods are enrobing, dusting, and pan coating.
Enrobing involves immersing the product to be coated into a tempered
coating (such as chocolate or compound coating), while dusting is done
using dry seasonings or sugars that are released out of a hopper with a
mesh screen. Pan coating is common in sugar confections processing
with the use of a revolving pan and a top sprayer.
CHILLING
Chilled food should be held at temperatures between 30°F (–1°C)

and 40°F (4.4°C) (Fellows 2000). Enzymes and microorganisms are not
killed at reduced temperatures in most cases, but their growth is slowed
which helps increase the shelf life of the products. Reduction in heat
leads to the slowing of microbiological and biochemical deterioration
(Fellows 2000). Some products have strict temperature controls that
should be kept including products with uncooked meats. Chilling sys-
Chilling 153
TABLE 9.3. Types of Coatings and Uses.

Types of Coating Description How it is Used
Batter A mixture based on flour Products are enrobed by batter prior to
and water that may have breading so that the breadcrumbs stick
added seasonings to the product
Breading Ground previously baked Products dipped in batter are then
products dusted with bread crumbs prior to
further processing
Seasoning Herbs, spices, and Dusted onto products before or after
cheese added during or processing to enhance flavor
after processing
Sugar Coatings Sweet coatings made Liquid sugar syrups combined with or
with sugar that coat the without flavors are sprayed onto prod-
outside of products ucts after processing and drying; used
in ready to eat cereal production
Pan coating is a batch operation where
the product builds up a sugar coating
by using a revolving pan
Hard coating is the process of slowly
building a hard outer shell; mostly used
in confectionary applications
Soft coating is a mixture of sugar and
anti-crystallizing agents that make a
soft coating; used on jelly beans
Compound or Chocolate or other Enrobing used to cover sweet foods,
chocolate coatings flavored coatings that are like confections or ice cream; added as
added to products outer coating or dipped on one side
Vitamins Fortifies product with vita- Added during processing or sprayed on
mins and/or minerals the finished product
Source: Gould 1996; Fellows 2000.
tems include air chilling, water chilling, or rapid chilling using liquid
carbon dioxide or liquid nitrogen.
Fresh foods such as fruits and vegetables rely on chilling to extend
a relatively short shelf life. With that, fruits and vegetables must also
be stored at the proper temperatures to prevent chilling injury. Chilling
injuries, including external browning and skin blemishes, occur when
the product is held at a temperature below its optimum (Fellows 2000).
Different products have different optimum temperatures, e.g., bananas
have a much higher optimum than broccoli. Banana chill injuries can
occur below 53°F (12°C), while broccoli’s optimum temperature is
above 32°F (0°C).
Shelf lives of processed chilled foods are dependent on the type of
food, degree of microbiological retardation and enzyme deactivation
during processing, hygiene control during process, and the tempera-

tures throughout the product’s life from processing to distribution and
storage (Fellows 2000). Processed low-acid (pH >4.6) chilled foods re-
quire strict hygienic standards during processing and packaging to help
resist microbiological contamination (Hui 2004). Microbiological test-
ing and shelf life studies should be completed to determine the proper
time that products should spend on the shelf. Chilling times are also
important; many microorganisms like to grow in temperatures between
40°F (4.4°C) and 70°F (21°C).
EXTRUSION
Extrusion is the process of forcing material through an orifice at high

temperatures. The moisture content of the material is usually between
20% and 40% percent (Gould 1996). Popular products that are made
with extrusion include puffed, ready to eat cereals and snacks and pasta.
Extrusion uses high temperatures for a short amount of time to preserve
foods and gelatinize starches (Gould 1996). Extruders use dies at the
orifice opening that aid in producing new and unique shapes. Extruders
come in many types including single screw, twin screw, and co-extrud-
ers for filled products (Hui 2004).
FRYING
Frying is the process of cooking with hot oil. During this process,
75–95% of water in the product is replaced with oil (Gould 1996).
Common fried products available to consumers include potato chips,
chicken nuggets, and doughnuts. Frying oils are usually at about 400°F
(Gould 1996). Frying is a unit operation to modify texture and flavor, as
well as to preserve (Fellows 2000). Shallow fryers and deep fat dryers
are the most commonly used equipment for frying applications (Fel-
lows 2000). The oil quality and temperature have great effect on the
quality of the fried food that is processed. Frying can be done in batches
or as a continuous operation.
FREEZING
Freezing is the process of moving heat of the product, and freezing

Drying and Dehydration 155
the product quickly to reduce the formation of crystals on the product

(Gould 1996). Freezing is completed when the water inside the food
product goes from the liquid phase to the solid phase. Freezing is a
method of preservation due to its reduction of water activity and low
temperatures (Fellows 2000). The freezing of products allows consum-
ers to store meat, fish, fruits, and vegetables in their home for extended
periods of time without spoilage.
The quality of frozen foods is dependent on the time and temperature
of freezing rates, especially fruits and vegetables (Gould 1996). In ad-
dition, some foods are better preserved when they have a pre-blanching
step.
Methods of freezing foods include still air freezing, forced air freez-
ing, cooled-liquid freezing, and direct contact freezing. Because ice has
a greater volume than water (by 9%), products should be expected to
expand after freezing (Fellows 2000).
DRYING AND DEHYDRATION
Drying and dehydration are used to release moisture out of products

and obtain products with lower water activity, thus better shelf stability.
Drying and dehydration are completed by using heat and controlled rel-
ative humidity and airflow conditions (Gould 1996). The temperature
used to dry and dehydrate food is dependent on the properties of the
food and should be controlled to prevent undesirable discoloration and
off-flavors. Packaging for dried products should have good moisture
barriers; any change in moisture content of dried foods can cause rapid
spoilage (Fellows 2000). The equipment types for drying include (1)
cabinet dryers, (2) conveyor (continuous dryers), (3) fluidized bed dry-
ers, (4) spray dryers, (5) sun drying, and (6) drum dryers (Gould 1996).
Cabinet dryers usually have stacked trays that can be loaded with
product (Gould 1996). Air is forced over the product through vents in-
side the dryer. Cabinet dryers are relatively inexpensive, but do not dry
products very quickly. Cabinet dryers are commonly used in smaller
scale production facilities or in pilot plants (Fellows 2000).
Conveyor (continuous) dryers use a mesh conveyor belt to pass food
through a controlled chamber. The chamber should have controlled rela-
tive humidity and heat. These dryers can have different zones of airflow
and heat throughout the process, making customized drying schemes
possible for a wide variety of products (Fellows 2000).
Fluidized bed dryers use forced air along with a bed that moves vig-
orously to create movement of the product in order to achieve uniform
drying. These dryers can be used in continuous operations. Fluidized
bed dryers are best used for foods that are easily fluidized and non-
susceptible to breakage, such as instant coffee, dried coconut, sugar,
yeast, and some ready to eat breakfast cereals (Fellows 2000).
Spray driers are used to dry liquid products through high heating.
Products with 40–60% moisture are atomized and released into a heated
chamber (300°F [150°C] to 575°F [300°C]) (Fellows 2000). The prod-
uct is dried in a matter of seconds. The particle size of the product must
be very small in order to dry effectively. This process is used for dried
milk.
Sun drying is one of the oldest methods of food preservation. Heat
from the sun is used to drive the moisture out of foods, and to create a
unique product. The disadvantages of sun drying include the amount of
time it takes and poor control. Many developed and developing coun-
tries use these techniques using varying sophistication. Tomatoes (for
sun dried tomatoes) and grapes (for raisins) are products that are still
commonly sun dried.
Drum dryers have a heated, hollow steel drum that rotates and dries
by contact (Fellows 2000). These dryers have high drying and energy
efficiency and can be used on products that have larger particle size that
those that use spray drying. Products that are dried using drum dryers
include instant potatoes and instant soup mixes.
Freeze drying is an expensive process used for high dollar items such
as instant coffee. The product is frozen prior to drying. Following dry-
ing, the pressure is dropped to allow the frozen water to undergo subli-
mation. By skipping the liquid phase, cell structure is better maintained
and product quality is higher than other drying methods.
Drying causes significant changes in the nutritional content, eating
quality, and texture of foods (Fellows 2000).
THERMAL PROCESSING
Thermal processing is important to ensure the microbial safety of

products. When creating sauces and similar products, the time neces-
sary for heating in kettles is dependent on the pH of the product. Anoth-
er example of thermal processing includes hot fill operations for low pH
products. Baking is completed through continuous operations or batch
Canning 157
operations. Cooking in ovens completes the cooking of meat products.

Heat exchangers are used in jacketed kettles.
CANNING
Canning is a safe method for preserving foods through heating. The

amount of heat that needs to be applied to a product depends on the
particle size, container size, viscosity, pH, and water activity (Gould
1996). Low acid foods (pH >4.6) can be susceptible to the growth of
Clostridium botulinum, a pathogen that produces toxins that can lead to
serious illness and death. The FDA to be processed using heat and pres-
sure (retorted) and to have a process, filed by the manufacturer, require
low acid canned products. Thermal processing can cause changes in the
texture and flavors of foods, but creates very safe products with long
shelf lives.
In canning, producers must find three values—the D, z, and F val-
ues—through processing experiments or published data in order to
obtain the proper heating requirements. The D value is the time at a
specific temperature that it takes in order to kill 90% of the microbial
population. The z value is the number of degrees required for thermal
death time curve of the microbial population to pass 1 log cycle. The z
value is a measurement of microbial thermal resistance (2009). The F
value is the number of minutes at a specific temperature required to de-
stroy a specific number of organisms at a specific z value. The F value
is the capacity of the heat treatment to produce a sterile product.
High Pressure Processing
High pressure processing has become more popular in recent years.

This technology uses higher pressures in processing, allowing a reduc-
tion in processing temperature with the same kill effect on microorgan-
ism. High pressure processing has been explored in many areas of food
production. The advantages of using high pressure are that foods that
are given a high-pressure treatment undergo less change than typical
thermal processing.
Aseptic Processing
Aseptic filling has become more popular, making way for new pack-
aging materials and longer shelf lives. In aseptic filling, the process
is all enclosed and highly automated. Aseptic containers can be made
from paperboard, foil, or extruded polyethylene (Gould1996).
Filling
Filling is the process of packing food into packaging materials. Fill-

ing is an important unit operation when it comes to customer satisfac-
tion (Gould 1996). Under-filling and over-filling packaging containers
can cause government compliance issues and company losses, respec-
tively. The technology of filling can vary from hand packing to sophisti-
cated rotary piston fillers. The type of filling equipment needed depends
on the type of product and its packaging. Products are filled based on
net or gross weight (Fellows 2000).
Container Closing
Container closing is very important in canning. Hermetically sealed

containers, which are those that are packed airtight packaging, are
the key to safe canned products. Closures protect against leakage of
product and against microorganism contamination. Excluding oxygen
from the package prevents molds and yeast growth. Metal cans are
first sterilized through the use of hot water and steam, filled, passed
through a steam tunnel, then the air is removed to create a vacuum.
Glass jars use a similar process, but instead use a steam capper to cre-
ate a vacuum.
LABELING AND CODING
Labeling requirements should be carefully followed by the company

and researched prior to production. Labeling includes all information
located on the exterior package.
Coding is important for tracking products throughout distribution.
Date coding can help retail grocery stores determine when a product
should be taken off the shelves and assist companies in determining
what products may be affected by a recall. With sufficient tracking
systems, the manufacturers of goods can assist in locating potentially
dangerous goods. Spraying an individualized lot code onto packaging
during packaging using an ink spray generally completes coding.
Key Words 159
IRRADIATION
Irradiation is a processing technique that uses radiation to rid prod-

ucts of microorganisms. Although irradiation has had some consumer
backlash, there are many advantages to this process. Irradiation uses
little to no heating, therefore the texture and flavor properties of food
are not affected (Fellows 2000). Disadvantages of the process include
worker safety, the possibility of resistance by microorganisms, and
the public’s fears of radiation treatments and how it might affect their
health (Fellows 2000). Irradiation has been used in the US for eliminat-
ing insects on products such as wheat, potatoes, fruits, vegetables, tea,
and spices as well as use for the elimination of pathogenic microorgan-
isms in pork, chicken, turkey, and red meats (Fuller 2011).
METAL DETECTION AND X-RAY DIFFRACTION
Metal detection and X-ray technologies are used to determine if any

physical contamination has entered the product. Because manufactur-
ing equipment is comprised mostly of metal machinery, contamination
by metal can be likely. Metal detectors and X-ray diffraction technol-
ogy can be important last steps in processing to ensure safety. Metal
detectors should be calibrated routinely when they are used in a produc-
tion line.
SUMMARY
The basic units of operation given in this chapter are some of the
most widely used in food processing. Other units of operation are ap-
plicable to the food industry, and can be found in a variety of resources
including the referenced material.
KEY WORDS
FIFO—meaning first in, first out; a method of using the first received
items before using items received afterward.
Protective line equipment—installed on the processing line in order to
eliminate the likelihood of contamination from other materials.
Quality separation—sorting products by specific parameters and

quality traits for the product.
Unit operation—a physical processing step that cannot be divided into
smaller units that contributes to transforming raw materials into
food products.
9.1. Define blanching. Name one test to test for adequate blanching.
9.2. Consider that your product concept will be produced at the com-
mercial level. List the first five unit operations in the manufactur-
ing process.
9.3. Name two physical and two chemical indicators of harvest matu-
rity in fruits and vegetables.
9.4. Define D, z, and F values used in canning.
9.6. _______________ and ______________ are completed by using

heat and controlled relative humidity and airflow conditions.
9.7. ____________________ _____________________ has become

more popular, making way for new packaging materials and lon-
ger shelf lives.
9.8. Coating enhances food products by giving ____________,

altering ___________, bettering the appearance, providing
____________, or increasing the offerings of a food commodity.
REFERENCES
Fellows, P.J. 2000. Food processing technology—principles and practice (2nd

edition). Woodhead Publishing.
Gould, W. 1996. Unit operations for the food industries. Timonium, MD: CTI
Publications, Inc.
References 161
Hui, Y.H. 2004. Food plant sanitation and quality assurance. In J. S. Smith,
and Y.H. Hui (eds.), Food processing principle and applications (pp. 151–
162). Ames, IA: Blackwell Publishing.
CHAPTER 10
Regulatory Considerations
Learning Objectives
• Learn how city, state, and federal government regulate food.
• Understand the changes that the Food Safety Modernization Act
brought forth in FDA regulated foods.
• Comprehend where to look up essential regulations.
A FTER the decision to develop a food product, the research into the
regulator requirements of each ingredient and product category
comes next. Food producers may have to comply with federal, state,
and city policies, depending on the location of their operation.
Various aspects of food regulations are controlled by corresponding
U.S. government agencies (detailed in Table 10.1) including the FDA,
divisions of the USDA, a division of the U.S. Department of Commerce,
the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF), the
U.S. Environmental Protection Agency (EPA), and the Federal Trade
Commission. These agencies have the right to enforce laws enacted
by congress as well as their own regulations and policies to protect the
safety of consumer’s health, safety, and economic well-being.
CITIES AND COUNTIES
City and county governments may enforce certain standards of

sanitation or have codes permitting or preventing the sale or produc-
tion of certain items. Food procurement policies for local govern-
ments may tax foods with higher sugar or sodium in order to promote
healthier options. Some of these more local laws are not applicable to
pre-packaged foods, but are fully enforced in food service establish-
163
164 REGULATORY CONSIDERATIONS
ments. City or county officials may, however, be an integral part in

uncovering wider issues in food processing or tracing the source of
food outbreaks. Cities are generally more involved in food hygiene
and sanitation of food service establishments such as retail establish-
ments (Bauman 1991).
TABLE 10.1. Agencies and Their Responsibilities.

Agency Responsibilities
Cities and Counties Usually just involved in food hygiene and sanitation at the
retail level. Involved mostly in local retail stores, restau-
rants, catering businesses, and other institutions within
their territory.
State Agencies Each state has its own food policy and enforcement
agency which may be housed in the state department of
agriculture, health, or consumer affairs; States may have
their own regulations on some sanitary measures.
FDA Requirements for manufacturing at large.
Regulates all food, food products, non-alcoholic beverages
and wine beverages containing < 7% alcohol except:
• egg products
• meat including products with 3% or more red meat or
red meat products
• poultry including products with 2% or more poultry or
poultry products
• alcoholic beverages
• public drinking water
U.S. Department of Agriculture
Food Safety and Inspec- Regulates egg products, meat including products with 3%
tion Service (FSIS) or more red meat or red meat products, and poultry includ-
ing products with 2% or more poultry or poultry products.
Animal and Plant Health Regulates fruit, vegetables, and other plants.
Inspection Service
(APHIS)
Federal Grain Inspection Conducts mandatory grading for grains including barley,
Service, (part of Grain oats, wheat, corn, rye, flaxseed, sorghum, soybeans, and
Inspection Packers and triticale.
Stockyard Association
(GIPSA))
Agricultural Marketing Grades food products including meat and poultry, fruits
Service (AMS) and vegetables, cotton, tobacco, eggs, and dairy.
Agricultural Research Conduct scientific research on foods and plants to help
Service (ARS) provide safe healthy food as well as assessing the nutri-
tional needs of the public.
(continued)
States 165
TABLE 10.1 (continued). Agencies and Their Responsibilities.

Agency Responsibilities
U.S. Department of Commerce

National Oceanic and Regulates fisheries, offers sanitation inspections, and
Atmospheric Association grades fish and fish products.
(NOAA)
National Marine Fisheries Assesses the status of fish stock, ensures fishery regula-
Service (NMFS) tions are met, and promotes sustainable fishing practices.
U.S. Department of Treasury
Bureau of Alcohol, Regulates all alcoholic beverages except wine beverages
Tobacco, Firearms, and with < 7% alcohol.
Explosives (ATF)
Environmental Protection Determines safety of pesticides and tolerance levels for
Agency pesticide residues.
Federal Trade Commis- Ensures the truthfulness of content claims along with FDA/
sion USDA.
STATES
State regulatory agencies may be housed in the department of agri-

culture, department of health, or department of consumer affairs. State
agencies generally have similar duties to federal agencies—inspecting
facilities, ensuring sanitation and health standards are being met, and
enforcing regulations. State agencies are more concerned with foods
that will not enter interstate commerce, as they may be the only agency
that that oversees a company that does not sell beyond state borders.
States work with federal agencies to help control and trace widespread
food safety problems and outbreaks.
Case Study: New York City Bans Trans Fat

New York City’s trans fat ban took effect in July 2007. Under
this rule, “no food containing partially hydrogenated vegetable oils,
shortenings, or margarines with 0.5 grams or more trans fat per
serving may be stored, used, or served” within the New York City
jurisdiction. The regulation does not apply to pre-packaged foods
such as potato chips. What implications may this have on restau-
rants? How can suppliers better serve their NYC customers with this
issue? How might this regulation change the way NYC inspectors
do their job?
THE FDA
The FDA is the primary agency with responsibility for food being
moved between states. The FDA is not responsible for meat or meat
products with > 3% meat or meat products or > 2% poultry or poultry
products; these are the responsibility of the USDA. The FDA oversees
the periodic inspections of facilities, analysis of samples, and other reg-
ulatory procedures to forward the nation’s public health interest.
FDA inspections occur less frequently than USDA inspections. Fac-
tory inspections usually consist of reviewing files, records, and pre-
senting the facility and worker credentials. The actual inspection of
the facility includes a walk-through of the grounds. The inspector may
request to take samples, pictures, and even interview personnel. The
inspector will then meet with a manger to review your results. Compa-
nies should prepare for inspections by creating a plan detailing who is
authorized to receive the notice of inspection and who will accompany
the inspector. The plan can also detail the rules that are pertinent to the
facility.
A warning letter from FDA would detail the information gathered by
a representative of the organization regarding a violation. This warning
gives producers the opportunity to correct any violations without facing
enforcement actions by the agency, seizure, or civil penalties.
Injunctions, a civil judicial process to stop prevent violations of the
law, can occur when a health hazard is present, significant violations are
found by the same person, voluntary recalls are refused, and seizure is
uneconomical. Injunctions are most common when there has been a his-
tory of hazardous activity that has not been resolved through voluntary
measures.
Seizure of products occurs when repeated violations have occurred,
unsanitary conditions are found, and the health of the public may be in
danger. Products that are found to be adulterated or misbranded may
also be subject to seizure. When products are seized, they are held by
the FDA until further notice. The FDA has made it clear in recent years
that it has the intention to seize products if warning letter issues are not
cleared up.
THE USDA
The USDA is involved in many aspects of food inspection, quality

The USDA 167
grading, promotion, and research. The USDA regulates foods products

with meat (> 3% meat or meat products or > 2% poultry or poultry
products). The USDA FSIS has extensive oversight of the meat, poul-
try, and egg facilities, with an inspector present when food is being
processed in some cases.
The USDA Animal and Plant Health Inspection Service (APHIS)
has a mission to protect and promote U.S. agricultural health through
regulating genetically engineered organisms and administering the Ani-
mal Welfare Act, among other activities. To protect agricultural health,
APHIS works to defend America’s animal and plant resources from ag-
ricultural pests and diseases. The task of APHIS is important because
if the Mediterranean fruit fly, a major agricultural pest, was left un-
checked, its damage could result in several billions of dollars in produc-
tion and marketing losses annually. Foot-and-mouth disease or highly
pathogenic avian influenza are also issues that APHIS tries to control
in domestic animals. If these diseases threaten the animal food supply,
foreign trading partners may invoke trade restrictions creating loss for
producers. When a pest or disease of concern is detected, APHIS has
developed emergency protocols and partners in state and regional areas
in order to quickly manage or eradicate the outbreak.
The Federal Grain Inspection Service (FGIS), a program under the
Grain Inspections, Packers, and Stockyard Administration (GIPSA), fa-
cilitates the marketing of U.S. grain and related agricultural products
through the establishment of quality standards. These standards help
to assess grains, regulate handling practices, and manage a network of
laboratories that provide official inspection and weighing services. Fed-
eral laboratories inspect grains that are meant for export, while state and
private laboratories check domestic grains (USDA 2009).
The USDA Agricultural Marketing Service (AMS) is responsible for
the grading of all products (excluding fish). The voluntary grading of
products can be done if a company wishes to prove that its products
meet quality standards set by the USDA. Many products have detailed
grading sheets with specific testing criteria, which can be found on their
website www.ams.usda.gov.
The USDA Agricultural Research Service (ARS) attempts to develop
solutions to agricultural problems, assess the nutritional needs of the
public, and to help sustain agricultural practices. The ARS forms part-
nerships with other agencies, universities, and private corporations for
the betterment of food and agriculture. The ARS upholds national pro-
grams in the areas of nutrition, food safety, food quality, animal produc-
tion and protection, natural resources, sustainable agriculture, and crop

production and protection.
The ATF
The ATF regulates the production, distribution, and sale of alcoholic

beverages. The Federal Alcohol Administration (FAA) Act of 1935 re-
quired those who engage in the business as a producer, importer, or
wholesaler of alcohol beverages to have a permit. The FAA Act also
aimed to ensure that labeling and advertising of alcohol beverages pro-
vide adequate information to the consumer concerning the identity and
quality of the product. The agency also focuses on the prevention of
misleading labeling or advertising that may result in potential for con-
sumer deception regarding the product. The mandatory warning state-
ment on alcoholic beverages started with the passing of the Alcohol
Beverage Labeling Act of 1988.
The EPA
The EPA sets tolerances for pesticides for use on crops, in manu-
facturing plants, and in homes. These regulations are also in effect for
foods imported into the United States. The agency also approves sani-
tizers and antimicrobial materials permitted for use in food processing
facilities and in home use on food plants (Bauman 1991).
The EPA also creates public drinking water standards. Public water
systems must meet minimum standards including having levels below
the maximum contaminant levels of certain chemicals, turbidity, and
microorganisms in order to be deemed safe (Nielsen 1998).
FEDERAL TRADE COMMISSION
The Federal Trade Commission shares jurisdiction with FDA and

USDA to ensure the truthfulness of nutrient contents and health claims
in food advertising. The FTC is involved with the prevention of trade
restraints such as price fixing, boycotts, illegal combination of competi-
tors, and other unfair methods of competition.
If a new food product overstates the vitamin content in the package,
both the FTC and FDA/USDA would have a case against your organi-
zation. The wide-reaching goal of the FTC is to maintain fair trade.
Rulemaking Process
A proposed rule is published in the Federal Register to explain the

reasons behind new regulatory actions. The proposed rule will act as a
draft of the regulation. After the draft has been published, a period of 30
days will be allowed for comments to be made by industry professionals,
experts, and the public. Comments are carefully taken into consideration
and the rule may be modified at this time to include significant issues.
Suggestions and questions provided during the comment period are gen-
erally addressed by the enforcing agency during the issuance of the final
rule. The final rule is published in the Federal Register with an effective
date for implementation. In order to make accommodations for smaller
companies, enforcing agencies may give exemptions or provide alterna-
tive effective dates that allow greater time or lower costs for companies in
which the capital to comply would be burdensome to the business.
All rules that are enacted are annually categorized into the CFR. The
CFR is available in print and online through the U.S. Government Print-
ing Office (www.gpo.gov). Title 21 of the CFR relates to products un-
der FDA supervision, while 9 CFR lists regulations for food products
under USDA. All rules for standard of identities, allowed ingredients,
and specific rules regarding products can be found in the CFR.
Regulations Governing Food
Food regulations help protect the public by providing safeguards for

their health and economic interests. Regulations continue to be modi-
fied to maintain a safe food supply. The first laws vaguely aimed at
keeping foods pure and wholesome. These laws have morphed into de-
tailed documents regarding specific ingredients. Food producers should
be aware of the regulations that govern their products or face serious
consequences from product or plant seizure to consumer injury and
death.
FD&C Act of 1938
Food products that are imported, exported, or cross state lines are
regulated by the FD&C Act of 1938. The FD&C Act details the prohibi-
tion of adulterated and misbranded food in all of the food supply. This
regulation also gave the FDA oversight of foods with the understand-
ing that food should be produced under reasonably sanitary conditions.
TABLE 10.2. Food Regulations throughout Time in the United States.
Federal Pure Food and 1906 First law related to food supply.
Drugs Act Only substances that are not likely to be injurious
were allowed to be used in foods.
Federal Meat Inspection Act 1906 Requires mandatory pre- and post-slaughter
inspections for meat processors.
Established sanitation standards.
Established recordkeeping procedures.
Grade “A” Pasteurized Milk 1924 Gave standards for milk processing.
Ordinance Raw milk must: (1) be cooled to 7°C or less within
2 hr. of milking, (2) not exceed 100,000 per ml
prior to comingling with other milk, not to exceed
300,000 per ml as commingled prior to pasteuriza-
tion, (3) test negative for drugs, (4) have a somatic
cell count less than 750,000 per ml.
Federal Alcohol Administra- 1935 Began the Federal Alcohol Administration (now
tion Act housed under the ATF).
Requires permit to produce, distribute, or whole-
sale alcoholic beverages.
Mandates labeling.
Food, Drug, and Cosmetic 1938 Prohibits adulteration and misbranding of foods.
Act Authorizes the government to regulate food safety
and quality.
Requires food package to contain name of prod-
uct, net weight, and the name and address of the
manufacturer or distributor.
Requires list of ingredients.
Prohibits misleading labeling statements.
Replaced the Federal Pure Food and Drugs Act
of 1906.
Poultry Products Inspec- 1957 Requires inspection of poultry products intended
tion Act for human consumption.
Ratites (such as ostrich) were added to this list in
2001.
Food Additives Amendent 1958 Authorizes the oversight of health claims.
(contains Delaney Clause) Requires food additives to be approved by the
government prior to use.
Companies must prove that food additives are
safe prior to use.
Fair Packaging and Label- 1966 Joint effort between FTC and FDA.
ing Act Requires companies to distribute accurate infor-
mation on consumer goods.
Authorizes regulations to prevent consumer
deception (or to facilitate value comparisons) with
respect to descriptions of ingredients, slack fill of
packages, use of “cents-off” or lower price label-
ing, or characterization of package sizes.
(continued)
170
TABLE 10.2 (continued). Food Regulations throughout Time

in the United States.
Egg Products Inspection Act 1970 Inspection requirements set for shell eggs
and egg products (USDA).
Required continuous inspection programs
for plants that break, dry and process
shell eggs into liquid, frozen, or dried egg
products.
Rule on Mandatory Nutrition 1973 Requires a nutrition label to be present on
Labels with Claims foods that have a health claim or added
nutrients.
Safe Drinking Water Act 1974 Created drinking water standards enforce-
able by the EPA.
EPA creates the standards, while states
enforce them.
Nutrition Labeling and Education Mandatory food labeling is required for most
Act foods.
Standardized serving sizes are established.
Uniform health claims are created.
Public Health Security and 2002 Requires the establishment and mainte-
Bioterrorism Preparedness and nance of records by persons who manu-
Response Act of 2002 facture, process, pack, transport, distribute,
receive, hold, or import food in the United
States.
Food Safety Modernization Act 2011 Mandatory re-registration of companies in
even years.
Frequency of FDA inspections defined.
Fees are defined for re-inspections.
Source: Nielsen 1998; Bauman 1991.
The FD&C Act contains general requirements for all foods, drugs, and
cosmetics and specifics regulations for some foods.
With the understanding that crops cannot be grown without defects,
the FDA maintains defect action levels that are published in the Defect
Levels Handbook available on their website (www.fda.gov). An example
of defect action levels include the allowance of 30 or less insect frag-
ments and 1 rodent hair per 100 grams of peanut butter. It is unlawful for
processors to mix higher defect products with those that meet the stan-
dard. The methods of analysis are also included in the handbook. These
defect action levels can help determine if a product is adulterated.
Food Safety Modernization Act
The Food Safety Modernization Act (FSMA) was signed into law on
January 4, 2011. The regulation’s aim is to promote the safety of the

food supply. In addition, the FDA’s enforcement rights were outlined
and more defined timing of inspections were outlined. The FSMA
made changes to the FDA’s enforcement abilities as well, making it
possible for the agency to mandate recalls. Companies saw changes
in recordkeeping procedures, fees, and company registration require-
ments.
Targeted Inspections
According to the FSMA, facilities will be identified according to risk

factors associated with the types of food the facility handles, history
of recalls and incidence of illness, and the effectiveness of the haz-
ard analysis and preventative controls that the facility keeps. Domestic
high-risk facilities must be inspected at least one time in the 5 years
after enactment, and not less than once every 3 years thereafter. High
risk facilities are those that have had previous recalls or outbreaks. All
facilities not indicated as high-risk should be inspected once in the 7
years after enactment and not less than once every 5 years after the
initial inspection.
Hazard Analysis and Risk-Based Preventative Controls
Facilities must conduct a written hazard analysis in order to effec-

tively analyze any known or foreseeable threats to food safety. Preven-
tative controls shall be placed to reduce or eliminate the probability of
the realized hazards. Measures to diminish these risks could include
critical control points. The developed plan should include corrective
action measures, verification procedures, and recordkeeping activities.
A designated team member in charge of the facility should re-evaluate
the written analysis if any significant changes are made to processing, if
new risks are introduced, or, at a minimum, every 3 years. This require-
ment was effective July 2010. An exemption to very small businesses
is expected to be made.
Detainment and Suspensions
The FDA, through the enactment of FSMA, now has the right to take
products into custody if there is “reason to believe” that the products
“may” cause harm to humans or animals. In addition, the suspension of
registration for companies is now allowed if there is “reasonable prob-

ability” that the food produced could cause illness or harm to humans
or animals. If there are grounds to continue suspension after a hearing
(which must be held within 2 days of issuance), the FDA would be re-
quired to supply a corrective action plan demonstrating how to amend
the matter for which suspension was given.
Recalls
The FDA now has the authority to mandate a recall. In the event of a
recall event, a $224 hourly fee will be assessed for activities associated
with the order. These activities could include conducting recall audit
checks, reviewing periodic status reports, analyzing the status reports
and the results of the audit checks, conducting inspections, traveling to
and from locations, and monitoring product disposition.
Fees
Beginning in 2012, an hourly fee of $224 will be assessed for rein-

spection. The revisitation fee will be assessed if it is due to a deficiency
in the regulations outlined in the FD&C Act. The fee will cover costs
incurred while ensuring that corrective actions have been implemented
and that the firm is in compliance on deviations found during an initial
inspection. Time spent directly on re-inspection activities will be sub-
ject to fees including compliance reinspection at the facility, time spent
making preparations and arrangements for the reinspection, travel to
and from the facility, analysis of records, analysis of samples, prepara-
tion of reports or examining labels, and performance of other activities
found necessary to determine compliance of violation found during the
initial inspection. The FDA recognizes that this may be a burden on
some small businesses and has proposed guidelines for requesting re-
duced fees in certain cases.
Registration
All food companies must register with FDA biannually, between Oc-
tober 1 and December 31 of each even numbered year. The renewal pro-
cess will be an expedited form for companies without changes since the
previous registration. This regulation is already in effect, but companies
will have to begin the reregistration.
Health Safeguards
The U.S. government has created safeguards in order to protect pub-

lic health and safety. For this reason, food becomes adulterated if it
“contains any poisonous or deleterious substance which may render it
injurious to health” (US Code Title 21, Ch 9, section 342 (a)).
Food additives must be approved by the FDA prior to usage. By defi-
nition, food additives are “any substance the intended use of which re-
sults or may reasonably be expected to result—directly or indirectly—
in its becoming a component or otherwise affecting the characteristics
of any food.” Additives can be classified as “generally recognized as
safe (GRAS)” or approved. GRAS substances have been certified as
safe either through scientific findings or through use before 1958. Other
approved food additives can be used directly or indirectly with spe-
cific limitations. Food scientists and product developers should focus
on regulations prior to finalizing formulas for new products, including
the addition of vitamins and minerals.
Synthetic colorants must be made from approved batches tested and
certified by the FDA (How Safe 2007). These synthetic colorants are
easy to pick out on an ingredient statement as there are only a few:
FD&C Blue Nos. 1 and 2, FD&C Green No. 3, FD&C Red Nos. 3 and
40, FD&C Yellow Nos. 5 and 6, Orange B, Citrus Red No. 2. Naturally
derived color additives do not require certification and can be added as
detailed in 21 CFR 73 Listing of Color Additives Exempt from Certi-
fication. Examples of naturally derived colors are caramel color, grape
skin extract, annatto extract, and dehydrated beets.
Foods can also be deemed as adulterated if they contain pesticide
residues that are above the permitted levels or not authorized by EPA.
The EPA sets the maximum levels or “tolerances,” but these levels are
enforced by the corresponding agency—USDA enforces meat, poultry
and eggs, while FDA implements the limits on other foods. Tolerances
set by the EPA are published in the Federal Register and later added to
iTitle 40 of the CFR. Food packaging should also be made of approved
materials. Packaging materials should be made of materials that will not
leach harmful chemicals into products.
Mandatory Food Safety Plans
The Food Safety Modernization Act mandates companies to de-

termine hazardous functions in their business and determine preven-
tative measures. This hazard analysis should take into account points
in processing where products are likely to be contaminated. For each
point of potential contamination, companies should enforce preventa-
tive measures to help ensure their product is wholesome and unadulter-
ated. This system is a modified version of the hazard analysis critical
control points (HACCP) system, which is mandatory for meat, poultry,
seafood, and juice producers. HACCP plans are configured for each
product that a plant produces, taking into consideration the chemical,
biological, and physical hazards that could threaten the safety of the
item. Hazards that are likely to occur in an operation are determined
and controlled through processing standards and recorded. More about
HACCP will be covered in the Chapter 18.
Economic Safeguards
Damaged foods cannot be disguised as wholesome through color-

ing or flavoring. Food labels and labeling should not be misleading to
the consumer. Misleading consumers can range from listing erroneous
health benefits on the packaging, not providing the amount of prod-
uct that is listed on the package, or using undeclared ingredients in the
product. Food should be labeled using a common name that consumers
can understand. The regulations set by the U.S. government are in place
to protect the economic interests of consumers and set a level playing
field for producers.
Nutrition Labeling
In order to get national uniformity in labeling of food products, the

U.S. Congress and FDA took action in 1990, which resulted in the Nu-
trition Labeling Education Act (NLEA). This act is designed to pro-
vide consumers with necessary information to make informed and wise
decisions about their diet and to give food processors the incentive to
improve the nutritional quality of their products (21 CFR 101.9). The
NLEA authorizes preemption of any existing state regulations and also
authorizes states to take action in the federal courts to enforce the label-
ing law.
The law requires that labeling information be prominently displayed
on the package in common terms that most consumers can understand.
Required labeling information includes the size of font, type of font,
location, and other information which is detailed in 21 CFR 101.
Packaged food must have the name, street address, city, state, and zip
code of the manufacturer, packer, or distributor. The net amount of food
in the package should be declared on the front panel of the food packag-
ing in the English system and U.S. gallon, but the metric system may
also be used in addition to the English units. The common name of the
food should be listed on the front of the package. For example, if a new
dairy drink product developed by your company is named “Moo Moo
Guzzler,” then you would have to list that it is a chocolate flavored dairy
drink. The ingredients of the food must also be listed by their common
name in order of weight on the packaging. More information about food
labeling is given in the Chapter 16.
Exemptions to Mandatory Nutrition Labeling
So what foods require nutrition labeling? Foods that have added vi-
tamins or minerals or make claims about the nutritional quality of their
food must have a nutrition facts panel displayed on the package. Many
food products are exempt from providing nutrition information. These
include foods manufactured by small processors with fewer than 200
employees and fewer than 200,000 units sold. Businesses must file an
exemption notice with the FDA and claim a small business exemption
based on the number of employees and units of products. No exemption
is allowed for a company that has more than the required number of
full-time employees, regardless of the number of units sold. Exemp-
tions for certain food types are also made, which is covered in Chapter
16.
Sanitation
According to the FD&C Act, foods should not be exposed to unsani-

tary conditions that have the potential to contaminate the product. Food
should be free of filth—rat, mouse, and other animals hairs or excre-
tions, whole insects, insect parts, or other repulsive materials (Nelson-
Stafford 1991). Foods also have the potential to be contaminated during
transit, making collaboration with transportation carriers essential. As
mentioned earlier in this chapter, the FDA sets tolerance levels on filth
for foods which can be found in the Defect Levels Handbook.
To outline the requirements needed to maintain a sanitary operation,
the FDA published the Current Good Manufacturing Practice (CGMP)
Regulations. These CGMP regulations detail expectations for personnel
(21 CFR 110.10), plants and grounds (21 CFR 110.20), sanitary opera-
tions (21 CFR 110.35), sanitary facilities and controls (21 CFR 110.37),
equipment and utensils (21 CFR 110.40), processes and controls (21
CFR 110.80), and warehousing and distribution (21 CFR 110.93).
Food Standards
Food standards have been created in the interest of both consumers

and the food industry. Standards of identity define the types of food
that can use a specific name, the ingredients that are allowed, and in
some cases, physical attributes that must be met. The goal in establish-
ing standards of identity is to create a uniform guideline for certain
foods so that foods with the same name are similar in form. Applesauce,
for example, has a standard of identity that includes that it should be a
product “prepared from comminuted or chopped apples, which may or
may not be peeled and cored, and which may have . . . one or more of
the optional ingredients.” (21 CFR 145.110) Optional ingredients that
may be added are limited to water, apple juice, salt, organic acids for
acidification, nutritive carbohydrate sweeteners, spices, natural or arti-
ficial flavors, color additives to characterize (but not to conceal damage
to food), and erythorbic acid or ascorbic acid as an antioxidant preser-
vative in an amount not to exceed 150 parts per million or Ascorbic
acid (vitamin C) in a quantity such that the total vitamin C in each 113
g (4 ounces) by weight of the finished food amounts to 60 mg. No other
ingredients can be added to applesauce or it will be disqualified from
using the name “applesauce.” Products that do not meet this standard
may be called by any other identifying name that infers it is a product
similar to applesauce—like “cooked apple slices.” Meat product stan-
dards are found in 9 CFR.
Fill of container standards give direction to companies on how far a
container should be filled and how to measure this. Methods for deter-
mining the fill requirements for solid and liquid foods are given in 21
CFR. For example, shelled nuts sold in a rigid containers should have
a fill of 85% according to 21 CFR 164.120. Methods for determining
what an 85% fill is are detailed in the previously mentioned section of
the CFR.
Standards of quality, defined by the FD&C Act, give minimum stan-
dards for the quality of certain product in order for their use in com-
merce. Standards for grades are different than standards of quality
because they give quality determinations based on a scale. Voluntary
grading is done by the USDA AMS. Quality standards were developed

using measurable attributes that aim to describe the value of a prod-
uct. Beef quality standards are based on marbling, color, firmness, tex-
ture, and age of the animal. Standards for each product are outlined by
the USDA AMS using their quality standards for grading (available at
TABLE 10.3. Grading Standards for Dairy as given by USDA AMS.

Examples of Grading
Grade Standards Symbols
AA, A, B, C Official USDA grades for dairy products,
such as U.S. Grade AA for butter and
cheddar cheese, are based on nationally
uniform standards of quality developed by
the Standardization Branch.
Grading standards vary with the product
being graded, e.g., butter only has grades
AA, A, and B, while cheddar cheese has
all of the respective grades, plus C; Swiss
and Ementaller cheese just use grades A,
B, and C.
Extra Grade or These standards promote uniformity in
Standard Grade Federal grading services and are some-
times used by dairy plants in their quality
control programs. The official USDA grade
shield indicates the product’s quality level
by use of letters such as AA, and A, or in
this case the words “extra” and “standard.”
Examples of products graded with this
system are cottage cheese, instant nonfat
dry milk, and dry whole milk.
As with the AA grading system, each prod-
uct has a different grading system based
on uniform standards.
Quality Approved Product specifications measure quality by
establishing minimum acceptable require-
ments for dairy products not covered by
an official grade standard. Specifications
are a guide to quality for consumers, are
routinely referenced in government pro-
curement documents, and form a basis for
trade across the United States.
The official USDA quality approved shield
can be applied to packages of dairy
products meeting the requirements of a
specification.
Source: Based on information from the USDA AMS Grading, Certification, and Verification website, which is
located at www.ams.usda.gov.
www.ams.usda.gov). There are eight grades of beef and three grades

each for chickens, eggs, and turkeys. Standards for fruits, vegetables,
nuts, and other specialty products make more than 312 standards. Eggs,
for example, are graded AA, A, and B for their respective quality as
well as by size. Dairy grading symbols and classifications can be seen
in Table 10.3.
Canned Goods
Low acid canned foods and acidified foods have special regulations
due to their risk of potentially harmful bacteria or their toxins in food,
especially Clostridium botulinum. The specifications for low acid and
acidified foods are shown in Table 10.4.
Low-acid foods are heat processed foods with pH > 4.6 and aw >
0.85. Tomatoes or tomato products with a pH of less than 4.7 are not
considered low acid foods. Acidified foods are low acid foods in which
acidifying agents or acid foods have been added to in order to bring the
pH < 4.6 (and aw > 0.85.) Producers of low acid and acidified foods
must file a scheduled process for each product being manufactured. A
scheduled process is a detailed form describing the processing method
chosen for a food in order to achieve and maintain a food that will not
promote the growth of microorganisms. Information for filing a process
is located on the FDA website—www.fda.gov.
Global Regulatory Considerations
With the expansion of global trade in all areas of commerce, food

is no exception. The U.S. imports foods so that consumers can enjoy
a variety of fruits and vegetables the whole year. At the same time,
many companies export their products in order to expand the market.
When products are being created with the intent to sell beyond national
borders, product developers should be aware of international standards
and regulations as well as differences in taste preferences and consumer
trends.
Importing Foods into the United States
Companies importing food into the United States must follow all reg-
ulations of the U.S. government and meet all standards that companies
domestically do. All imported food is considered interstate commerce,
TABLE 10.4. Classifications of Foods as Defined in 21 CFR 114.

Specifications
Classifications of Hermetically Sealed Canned Goods pH aw

Low-Acid Foods above 4.6 above 0.85
Acidified Foods less than 4.6* above 0.85
Acid Foods less than 4.6 above 0.85
Water Activity Controlled Foods Not considered below 0.85
*pH is only less than 4.6 after an acidifying agent or acid food is added.
and is therefore subject to labeling and sanitary requirements. The FDA

has no jurisdiction over the importing companies, but may reject the
food if it does not comply with U.S. regulations. Importers can import
foods into the United States as long as the facilities that produce, store,
or otherwise handle the products are registered with FDA and present
prior notice of incoming shipments. Imported food products are subject
to FDA inspection when offered for import at U.S. ports of entry.
As a part of the Public Health Security and Bioterrorism Prepared-
ness and Response Act of 2002 (the Bioterrorism Act), importing com-
panies must register with the FDA and give prior notice of shipments.
Having notice allows the FDA and border control agents to most effec-
tively conduct inspections and protect the country against any potential
threats to our food supply.
Exporting Food from the United States
Exporting food to other countries requires a knowledge of interna-

tional importation policies, specifically the regulations that govern the
product being exported to a specific country. The FDA will provide ex-
port certificates for food governed by them to indicate a specific product
is marketed and sold in the United States, meets all standards, and is
eligible for export. The USDA operates the Foreign Agriculture Service
(FAS), which works to expand and maintain access to foreign markets
for U.S. agricultural products by removing trade barriers and enforc-
ing U.S. rights under existing trade agreements (U.S. Department of
Agriculture Foreign Agriculture Service 2012). Some countries require
export certificates from the originating country. The Codex Alimetarius
are open-ended rules (or “food code” in Latin) that aim to “harmonize
standards” for international trading (Walston 1992). The regulations are
adjusted based upon recommendations of committees for various com-
Summary 181
Case Study: Genetically Modified Ingredient Labeling in the EU

U.S. food companies that wish to export to the European Union
(EU) must test their raw materials to ensure that no genetic modifi-
cation has taken place. Proper raw material testing for certification
against GM commodities is required because products in the EU
must be labeled if they contain GM products (Fagan 1999). The
United States and the EU agencies have drastically different opin-
ions on how GM products should be handled. Some grocery chains
in the United States are also pushing for GM labeling on products.
What effect might this have if you are hoping to sell your product in
this large chain? How would you label your product to tell customers
that the product does not use GM ingredients?
How might the label “GMO free” be misleading?
What are the disadvantages to GM products? What are the advan-
tages?
How do you feel about the use of biotechnology and GM ingredi-
ents?
modities. Product developers for foods that are being shipped to vari-
ous countries or currently unknown countries should at least meet the
Codex Alimentarius standards. It may also be important to recognize
the religious and cultural background of your buyers. For example, if
your product is being exported to a predominantly Muslim region, the
product may need to be certified by a specific agency to be considered
halal. The origination of raw materials can be very important. Finding
buyers for products can be a challenge, but certain trade shows, trade
groups, and organizations can help connect potential buyers with sell-
ers.
SUMMARY
Food producers and product developers should consider the regula-

tions that might bind their product from the development stage. Com-
panies should define their target markets prior to formulating food in
order to meet regulatory needs from the commencement of the project.
Knowing the regulations prior to beginning a product can save the com-
pany money and the developer much headache. Considerations should
include everything from the usage level of additives to the origin and
treatment of raw ingredients.
KEY WORDS
Fill of Container—standards that give direction to companies on how

far a container should be filled and how to measure this. Methods
for determining the fill requirements for solid and liquid foods are
given in 21 CFR.
Food, Drug, and Cosmetic (FD&C) Act of 1938—regulates food
products that are imported, exported, or cross state lines are
regulated by the FD&C Act of 1938, prohibits the sale of adulterated
and misbranded food in all of the food supply.
Food Safety Modernization Act—signed into law on January 4,
2011, this act aims to promote safety in the food supply, outlines
FDA’s enforcement rights, and defines timing of inspections, and
changed recordkeeping procedures, fees, and company registration
requirements.
Product recall—issued by the company in order to take product off of
the market due to safety risks to the consumer.
Seizure—when repeated violations have occurred, insanitary conditions
are found, and the health of the public may be in danger, products
are taken and held until further notice or proof of safety.
Scheduled process—a detailed form describing the processing method
chosen for a food in order to achieve and maintain a food that will
not promote the growth of microorganisms as well as controls for
pH and other factors that are important to discourage pathogenic
bacteria.
Standards for Grade—give quality determinations based on a scale;
different than standards of quality because they give quality
determinations based on a scale.
Standard of Quality—minimum standards for the quality of certain
product in order for their use in commerce.
10.1. What agency under the USDA is responsible for inspecting meat
and poultry products? Spell out the full name.
10.2. What is the maximum allowable fat content for ground beef?
(Hint: Found in 9 CFR.)
References 183
10.3. Answer True or False to the following questions:

a. The FDA is responsible for inspecting egg processing facili-
ties.
b. Regulations regarding food additives are the same for all
countries.
c. Trans fat labeling is required.
10.4. The Pasteurized Milk Ordinance calls for raw milk to have the
following standards regarding:
a. Temperature
b. Bacterial limits
c. Drugs
d. Somatic cell count
10.5. Name the official USDA grades for fruits and vegetables.
10.6. What changes did the Food Safety Modernization Act initiate
into food regulations?
REFERENCES
Bauman, H.E. 1991. Safety and regulatory aspects. In E. Graf, and I.S. Sa-
guy (eds.), Food product development from concept to marketplace (pp.
133–144). New York: Van Nostrand Reinhold.
Fagan, J. 1999. GM food labeling. Nature Biotechnology, 17(9), 836.
How safe are color additives? 2007. U.S. Food and Drug Administration.
Nelson-Stafford, B. 1991. From kitchen to consumer: The entrepreneur’s
guide to commercial food production. San Diego, California: Academic
Press.
Nielsen, S.S. 1998. U.S. government regulations and international standards.
In S. S. Nielsen (ed.). Food analysis ( pp. 17–38). Gaithersburg, Maryland:
Aspen Publishers, Inc.
The regulation to phase out artificial trans fat in New York City food estab-
lishments (2006). No. HPD1X25551) The New York City Department of
Health and Mental Hygeine.
U.S. Department of Agriculture Foreign Agriculture Service. 2012. About
FAS.
Walston, J. 1992. C.O.D.E.X. spells controversy. 24, 28–32.
CHAPTER 11
Packaging
Learning Objectives
• The purpose and functions of packaging.
• Packaging materials commonly used in foods.
• Active packaging applications.
P ACKAGING acts as a barrier to protect food and is a very important

factor in the shelf-life, quality preservation, and marketing scheme
of many products. Packaging and labeling help to communicate the nu-
tritional quality, the name of manufacturer, and the health benefits, and
can act as a dispersing and dispensing unit. Packaging should not be
overlooked during the product development process.
The function of packaging is to contain, protect, preserve, distrib-
ute, identify, and provide convenience for consumers (Mauer and Ozen
2004). Packaging is a relatively low cost way of protecting products
from damage that can be incurred during shipping. Packaging also sends
a message about what sort of product is within its walls. If a product
created by a company is meant to be sold at a premium, but the packag-
ing doesn’t appear premium, consumers that have never purchased the
product may pass it by for something more visually appealing. During
the development phases, potential packaging designs can be evaluated
by consumers to test the strength of packaging and concept agreement.
LEVELS OF PACKAGING
When you buy pre-packaged cookies at the grocery store, the cookie
(food) is usually packaged inside a plastic tray or bag within a box
185
186 PACKAGING
or outer wrapper. The plastic tray or bag is referred to as the primary

packaging, while the outer box or wrapper is referred to as the second-
ary packaging. Primary and secondary packaging are both seen by the
consumers at their retail provider. When the products are delivered to
a store, they are usually packed in bigger boxes (distribution/tertiary
packaging). These corrugated boxes are usually packed full to protect
the product and to allow ease of handling to and at the store. At plants,
these tertiary/distribution packages may be packed on a pallet. The pal-
let is referred to as the unit load/quaternary package. Figure 11.1 dem-
onstrates how this might work with a cookie product that is packed in a
plastic tray and has an outer wrapper that was packed in a bigger box.
FIGURE 11.1. Demonstration of the levels of packaging for a cookie product.

STEPS TO DETERMINING PACKAGING
Step 1: Define Food Properties
In order to determine what packaging should be used, first consid-

er the type of product that you are producing. Are you making snack
crackers, cereal, beef jerky, candies, or eggs? It is important to establish
what sort of product it will be, and what the regulations are for this
particular product.
Is the product a solid, liquid, or gas? Is the liquid thin and have
good flow properties, or thick? Is it a powder? How big is it? The type
of packaging will most likely differ for products with changing flow
properties and physical form. If the product is meant to be distributed
frozen, how will the packaging be different? Is the product’s shelf-life
short? Does the product mold easily? Is the product highly acidic? Tak-
ing all of the product considerations into play is important to deter-
mine the packaging material that is most appropriate. FDA has specific
“Definitions of Food Types and Conditions of Use for Food Contact
Substances.” These are divided into 2 groups: the first deals with food
type (Table 11.1), and the second with the use conditions (Table 11.2).
Step 2: Define Package Technical and Functional Requirements
Prior to choosing packaging, it is important to consider all product

attributes and the traits that you would like a package to have. Another
important consideration is the radius of distribution. A product suscep-
tible to breakage by vibration or drops will incur significantly less dam-
age when distributed in a 100 mile radius than it will with nationwide
distribution. The way that individual packages are boxed and palletized
can help eliminate some damage.
Step 3. Define Package Marketing and Design Requirements
Packaging is a form of marketing to consumers. More sophisticated

designs may take special packaging materials; therefore packaging en-
gineers should be involved in discussing design, shape, and any special
functions that are desired for the product. Another important consider-
ation that is important is the shelf display requirements for grocers. Will
the package be displayed by a hanger as some candies are displayed?
Will the product’s package contain any features? Features include easy
188 PACKAGING
TABLE 11.1. Types of Raw and Processed Foods.

Categories of Foods for packaging
Non-acid, aqueous products; may contain salt, sugar, or both (pH above 5.0)
Acid, aqueous products; may contain salt, sugar, or both, and include oil-in-water
emulsions of low- or high-fat content
Dairy products and modifications:
Water-in-oil emulsions, high- or low-fat
Oil-in-water emulsions, high- or low-fat
Nonacid, aqueous products; may contain salt, sugar, or both (pH above 5.0)
Aqueous, acid or non-acid products containing free oil or fat; may contain salt and
include water-in-oil emulsions of low- or high-fat content
Low-moisture fats and oil
Beverages:
Containing up to 8% alcohol
Non-alcoholic
Containing more than 8% alcohol
Bakery products:
Moist bakery products with surface containing free fat or oil
Moist bakery products with surface containing no free fat or oil
Dry solids with the surface containing no free fat or oil (no end test required)
Dry solids with the surface containing free fat or oil
Source: http://www.fda.gov/Food/FoodIngredientsPackaging/FoodContactSubstancesFCS/ucm109358.htm.
open bags or resealable packaging. It may also be important to consider

the ease of recycling some products, as consumers are becoming more
environmentally conscious. Packaging is a marketing tool.
Step 4: Identify Legal and Regulatory Requirements
Legal restrictions can include regulations for the use of certain pack-
aging materials or infringing on patented technologies. All packaging
materials are given approval by the FDA, just like food additives. Other
considerations are religious restrictions, such as the kosher packaging
stipulations for Jewish customers.
Food additives that come into contact with food as part of packag-
ing are considered as Indirect Food Additives. They are regulated as
mentioned in 21CFR and include adhesives and components of coat-
ings (Part 175), paper and paperboard components (Part 176), polymers
(Part 177), and adjuvants and production aids (Part 178). Additional
indirect food additives are authorized through the food contact notifica-
tion program and some may be authorized through 21 CFR 170.39. The
FDA also maintains an “Inventory of Effective Food Contact Substance
Case Study: Package Size

When companies are thinking about what package sizes they
should distribute, they must consider who potential customers will
be. How often do you see family size bags of prunes? Probably not
very often, as prunes are generally thought to be sold to the older
demographic. In addition, family sizes in the United States have been
shrinking so companies must also consider that. Families maybe
don’t need that mega jumbo sized jar of jam for their family. Due to
these reasons, and living in the age of convenience, package sizes
are moving toward smaller or individual packaging schemes or limited
calorie packages.
(FCS) Notifications.” “The database lists effective premarket notifica-

tions for food contact substances that have been demonstrated to be
safe for their intended use. The list includes the food contact substance
(FCS), the notifier, the manufacturer of the FCS, the intended use, the
limitations on the conditions of use for the FCS and its specifications,
the effective date, and its environmental decision.” (http://www.fda.
gov/Food/FoodIngredientsPackaging/ucm112642.htm.)
Step 5: Select Potential Package Design and Materials
Potential designs should meet all marketing, design, safety, and

functional requirements. Estimated costs will be considered in this step.
TABLE 11.2. Parameters that Affect the Packaging Materials Used.

Condition of Use for Packaging
Boiling water sterilized
Hot filled or pasteurized above 150°F
Hot filled or pasteurized below 150°F
Room temperature filled and stored (no thermal treatment in the container)
Refrigerated storage (no thermal treatment in the container)
Frozen storage (no thermal treatment in the container)
Frozen or refrigerated storage:
Ready-prepared foods intended to be reheated in container at time of use:
Aqueous or oil-in-water emulsion of high- or low-fat
Aqueous, high- or low-free oil or fat
Irradiation
Cooking at temperatures exceeding 250°F
Source: http://www.fda.gov/Food/FoodIngredientsPackaging/FoodContactSubstancesFCS/ucm109358.html.
190 PACKAGING
Mock-ups can be made at this point and consumer preference may be

measured.
Step 6: Establish Feasibility of Packaging with Equipment and

Material
The packaging engineer should obtain some packaging materials to

determine whether the packaging material will function on the equip-
ment in place. In these tests it is beneficial to subject the food to the
packaging material to determine how the packaging will change the
food, or if it will provide for the minimum shelf-life requirements.
Step 7: Estimate Time and Cost Constraints
Will the cost of this packaging be recouped by product purchases?

Can the cost be cut down? Important factors in this phase are to deter-
mine when the packaging materials will be needed and when they can
be provided. Cost is an important factor in organization’s decisions.
Step 8: Shelf-Life Testing and Market Testing
In products with extended shelf-life, it will be very important to de-

termine the weaknesses of the packaging, and if it will hold up for the
product’s entire life. Consumers input may be important to establish
their preference prior to moving forward with a certain design. The
shelf-life and safety of the product should be determined prior to con-
sumer exposure. When the product design is well-accepted by consum-
ers and meets company specifications, the packaging and product can
go into full production.
PACKAGING MATERIAL
Paper and Paperboard
Paper and paperboard are widely used for packaging. Paper and pa-
perboard products include corrugated boxes and shipping boxes. Flour
and sugar are sometimes packaged in just a paper wrapping. Benefits of
using paper are that it has low cost and is lightweight (Mauer and Ozen
2004). Ready to eat cereals, many snack products, cake mixes, and
other foods are packaged in paperboard boxes. Because paper does not
have very many protective qualities, many foods are packed in a sealed
plastic bag inside a paper box. Paper can also be used for pouches of
product that is not excessively moist.
Disadvantages of using paper include that it lacks the resistance of
pests and is poor at blocking moisture and gas (Mauer and Ozen 2004).
Paper expands and contracts with its environment and is easily distort-
ed. Uncoated paperboard can absorb grease and moisture, and therefore
should not be used for products with these attributes.
Metal
Metal is commonly used in canned foods, drinks, and in metalized

films for lining plastic. The four types of metals used in the food indus-
try are: steel, aluminum, tin, and chromium.
When using tin and steel, a layer of oil is usually added to reduce the
risks of corrosion (Mauer and Ozen 2004). Steel is generally cheaper
than tin.
The most common types of metal food packaging include three piece
cans, two piece cans, and foil pouches. Three piece cans are formed out
of a tinplate or steel cylinder (with a side seam) and two end pieces. The
end pieces are curled and welded together to create a uniform container.
FIGURE 11.2. Example of a 3 piece can.

192 PACKAGING
FIGURE 11.3. Example of a 3 piece can.
Usually the body of the can has ridges to help increase the strength and
reduce collapsing with any shock (Mauer and Ozen 2004).
Two piece cans are made from aluminum or steel with one end piece.
These cans are most familiar as can used for carbonated beverages. The
advantage of aluminum is that it can be rolled very thin.
Aseptic boxes (used for juice boxes) and pouches (used for a variety
of applications) use metallic foils on the inside to protect the product.
Metal foils provide a moisture, gas, and light barrier. Metalized films
are used in the packaging of snack products, such as granola bars, chips,
and coffee. These have the option to be vacuum sealed (as commonly
seen in coffee applications).
Metal is stable under thermal heating conditions, as well as having
great barrier properties to light, gas, and moisture. Metal is also re-
cyclable and has high consumer acceptance. Generally, the insides of
metal cans are coated to prevent corrosion. This is sometimes done with
bisphenol A (BPA).
Products that most commonly utilize metal packaging are soups,
canned fruits and vegetables, and canned meats—thermally processed
shelf stable foods (Mauer and Ozen 2004).
Glass
Glass is a good packaging medium because it is non-reactive, mean-

ing it does not leech chemicals like other materials do. Glass is also
beneficial because it allows the customer to see the product. Colored

glass can be used for products that are light sensitive. Soda-lime glass
is the most commonly used glass for food packaging (Mauer and Ozen
2004). Disadvantages to using glass include the risk of breakage and the
fact that it can be heavy, which contributes to higher distribution costs.
Plastics
Plastics are very attractive packaging material due to their combi-

nation of properties. Plastics do not weigh very much, making them
more attractive for distribution costs. Plastics also do not break easily
like glass. Plastic packages can be made with convenient attributes for
consumers such as resealability and flexibility. Flexible packaging is
important for squeeze bottles such as the ones that ketchup and mustard
use for packaging. Some plastics are opaque, which can help reduce
the deterioration in some foods caused by light. The food industry has
come to depend on plastics to package many products on the shelves.
Product developers looking to pack a food in plastic should be famil-
iar with the properties of the materials and the technical terms used to
qualify these properties. In terms of potential uses, the important prop-
erties of plastic resins that should be checked or made available by the
packaging supplier are:
• Oxygen permeability (cc/100 in2 × day × atm)

• Water vapor permability (g/100 in2 × day)
• Resistance to acids, alkalis, and solvents
• Yield/thickness (m2/kg: 1 mil)
• Tensile strength (kpsi)
• Elongation at break (%)
• Tear strength (gm/mil)
• Light transmission (%)
• Heat seal temperature and service temperature
Polyethylene
Polyethylene (PET) is the most-used plastic for packaging. Densities

range from 0.89 g/cc to 0.96 g/cc. PET is most commonly used due to
its light weight; it is inexpensive, impact resistant, and relatively eas-
ily fabricated. It also has excellent water vapor and liquid containment
properties, but is not a good gas barrier and is not transparent.
194 PACKAGING
Polypropylene
Polypropylene is better as a barrier against water vapor than PET, as

well as being more transparent and having more stiffness. This plastic is
more difficult to fabricate than PET. Polypropylene is most commonly
used for making pouches and candy wrappers. It is heat resistant up to
133ºC and can be used in a microwave oven.
Other Packaging Types
Aseptic Processing
Aseptic packaging has become a popular way to package soups,

juices, and other liquid products. Aseptic processing produces a sterile
product that is then filled into a sterile container in an enclosed and con-
trolled environment. The processing temperatures for aseptic processing
are usually very high—at ultra-high temperature process (UHT) or high
temperature short time (HTST). Packaging materials and the product
are sterilized separately. Aseptic processing reduces the effect of heat
on the sensory properties of the product because of the short time it is
exposed to elevated temperatures. Packaging is sterilized through heat,
chemical treatments, or irradiation. Aseptic containers can be found in
molded PET plastic or boxes made from paper/paperboard, PET, and a
metalized foil.
Modified and Controlled Atmosphere Packaging
Modified atmosphere packaging (MAP) and controlled atmosphere

packaging (CAP) change the atmosphere in which the food is exposed
to during its shelf-life. In MAP, the atmosphere is modified only at the
time of packaging. In products with MAP, the gases inside the package
are flushed out and replaces with a mixture of carbon dioxide, oxygen,
and nitrogen. Vacuum packaging is used to reduce the amount of air in
a packaging, also extending sensory properties and shelf-life of prod-
ucts like coffee. CAP is mostly used for fresh produce. The storage
atmosphere is controlled throughout transport by automatic releaser of
certain compounds to keep the atmosphere at the controlled concentra-
tions. The optimum concentrations of gases depend on the product be-
ing produced.
Issues and Concerns 195
Active Packaging
Active packaging uses inserts in packages to help control the en-

vironmental composition inside the packaging material. Inserts in-
clude oxygen scavengers, ethylene scavengers, moisture regulators,
and antimicrobial agents (Mauer and Ozen 2004). Oxygen scaven-
gers absorb oxygen in packages to prevent product deterioration due
to the oxidation of lipids. Ethylene, a chemical that accelerates the
ripening of fruit, can also be absorbed through scavengers. Ethylene
scavengers are usually made from potassium permanganate, which
creates acetate and ethanol through the oxidation of ethylene (Mauer
and Ozen 2004). Moisture regulators are used to reduce moisture in
dry packages or packages of fresh products to reduce spoilage. Anti-
microbial agents used in packaging materials that are released from
the packaging over time. Antimicrobials used in this type of packag-
ing application include sorbates, benzoates, ethanol, and bacteriocins
(Mauer and Ozen 2004).
ISSUES AND CONCERNS
When launching a new food product, food scientists should be aware

of all consumer trends and concerns with respect to packaging. These
may include size of package, portability, ease of opening, color, envi-
ronmental issues, migration of chemicals over time or due to microwav-
ing, and recyclability.
Recyclable Materials
Some packaging materials such as glass and aluminum have already

been established as highly recyclable, while plastic materials contin-
ue to make progress in that area. If recycled plastics are to be used to
package a new food product, food scientists should check the “list of
submissions for which FDA issued a favorable opinion on the suitabil-
ity of a specific process for producing post-consumer recycled (PCR)
plastic to be used in the manufacturing of food-contact articles.” The
list includes the date of a no objection letter (NOL) from the FDA, the
company that made the request, the plastic material approved with the
limitations on the conditions of use.
196 PACKAGING
Case Study: Biodegradable Packaging Makes Noise

In an effort to cut down on waste in landfills, Frito Lay—the maker
of SunChips—spent 3 years developing packaging that was biode-
gradable (Fournier and Avery 2011) The chip bags, though environ-
mentally friendly, were very loud. The movement of the bag produced
undesirable racket for the consumer; therefore the complaints rolled
into the company. Because of these complaints, the company is back
at the drawing board for biodegradable packaging and the product is
back in less audible SunChip bags.
SUMMARY
Packaging is a very important factor in food processing that contrib-

utes to the shelf-life, quality, and appeal of products. Packaging materi-
als can add or eliminate costs, demonstrate to consumers the quality
standard of your product, and renew the product’s image. Packaging,
therefore, should be chosen with much contemplation.
11.1. What are three roles of packaging?
11.2. Match the following foods to the packaging system used.
a. Pringles _____ Aseptic

b. Juice box _____ Vacuum
c. Hot dogs _____ MAP
11.3. Describe the packaging for your product in terms of primary, sec-
ondary, and tertiary packaging.
11.4. Why would one not want to describe a package as “just plastic”?
11.5. Define Controlled Atmosphere (CA) storage. What are common

oxygen and carbon concentrations for both fruits and vegetables?
References 197
REFERENCES
Fournier, S., and Avery, J. 2011. The uninvited brand. Business Horizons,
54(3), 193–207.
Griffin, R.C., Sacharow, S., and Brody, A.L. 1993. Principles of Package De-
velopment. Malabar, FL: Krieger Pub.
Jenkins, W.A., and Harrington, J.P. 1991. Packaging Foods with Plastics.
Lancaster: Technomic Pub.
Mauer, L.J., and Ozen, B.F. 2004. Food packaging. In J. S. Smith and Y.H. Hui
(eds.), Food processing principle and applications (pp. 151–162). Ames,
IA: Blackwell Publishing.
CHAPTER 12
Economic Feasibility Analysis
Learning Objectives
• How to determine if your new product idea is feasible.
• Understanding cost analysis.
• Understanding cash flows.
F IRMS engage in new product development to make profits. Profits

are seen when the expense of production remains below the cash
made from sales. Cost analysis is essential in evaluating the potential
for profitability of a new product or venture. Product ideas must be
examined for feasibility—from safety concerns to pricing analysis. The
ability to produce a concept with an acceptable price range for the con-
sumer is of great importance. Companies should consider costs as soon
as they are realized. When actual figures are not available, estimated
costs can be employed. Estimated average costs per unit are more reli-
able when solid, factual numbers are utilized.
In order to evaluate whether or not profit is attainable, an econom-
ic understanding of total production cost is needed. Profits achieved
through new food product development ventures only produce profit
when production costs are equal to or less than the price that consumers
are willing to pay.
The development of a new food product will require an economic
understanding of total production costs. Without this information,
profitability cannot be assessed. New food products must be pro-
duced at costs equal to or less than the estimated selling price that
consumers are willing to pay over an extended period of time. Prod-
ucts entering the market will be competing with thousands of other
food products; therefore, companies must choose products that have
199
200 ECONOMIC FEASIBILITY ANALYSIS
the best chance at success. Ultimately, consumers decide which prod-

ucts will survive and which ones will not through their purchasing
activity. When consumer opinions and the competing market are fully
considered, the new product has an excellent chance to be a success-
ful investment.
From concept to consumer, supplying a new food product to con-
sumers involves many steps. The first step is determining whether or
not consumers will buy sufficient quantities over an extended time pe-
riod to justify investing in a processing plant. Then, the second step is
to develop an economic cost analysis to determine whether or not there
will be a profit or loss in selling the product. This should be determined
prior to beginning production. If there is a projected profit based on
the best available information then a business plan can be developed to
continue with the product.
As mentioned, it is necessary to know that consumers will purchase
the new product at a price equal to or greater than the cost to deliver it.
It will also be beneficial to gather information defining the price range
consumers will pay for the product and how this compares to the av-
erage cost to produce the product. In order to recoup the cost of the
production-marketing process, consumers must be willing to buy the
product. Consumers choose which products they buy based on their
needs, customs, income, and knowledge of alternative products. Prices
for products, as well as quality, make up a major part of the consumer’s
decision to buy any product. Consumers have thousands of choices, but
buy and consume a limited amount of food per day. Consumers are the
final decision makers for the purchasing of all products. Managers must
convince consumers to change their present preference to the new food
product through sophisticated marketing schemes and well-planned
promotions. Consumers want to know that a new product is better than
other products they are currently buying, and that they will be more
satisfied with their purchase.
A cash flow analysis is necessary to estimate the total capital needs
of the operation and how long the operating capital will be needed.
Capital for buildings and equipment is the most common type of money
needed to start a new business. However, it often takes about as much
operating capital as the investment capital in order to build a processing
facility and to start making products for sale. Consumers must be con-
vinced that a product is worth their hard-earned money before any cash
begins to flow into the business. New business entrepreneurs overlook
the cash flow process.
NEW BUSINESS ANALYSIS
The goal of a new business is to make a profit or a competitive re-

turn on investment. In order to estimate a profit per unit, managers
should understand the process of analyzing total annual costs and total
income. To calculate annual costs and total income, all input costs and
the amount of income from all products that are sold must be found. A
detailed cost analysis should be completed. This requires knowing and
understanding the process of analyzing total costs, which includes all
inputs for any product sold.
Using cost analysis data, break-even costs and volumes can be esti-
mated. A break-even cost is the lowest price you can charge consumers
for your product while covering production costs. In calculating the
break-even cost, a normal return on investment, often referred to as an
opportunity cost, and a manager’s salary are included in the production
cost. The minimum number of units that must be sold in order to get out
of the red at the break-even cost is called the break-even volume.
Understanding Cost Analysis
All costs must be considered when completing a cost analysis. If

they are not included, it is assumed that some other entity paid for them.
Total costs are made up of two basic types, fixed and variable. Variable
costs change during production periods, usually because of fluctuations
in orders or changes in costs of inputs. Conversely, fixed costs do not
change. Accountants and processing facilities generally use a period of
1 year for dividing fixed and variable costs; this period is used by ac-
countants for tax purposes. Financial records prepared by accountants
should be used, if available, as they contain much of the information
needed to do a cost analysis.
The estimation of production cost for cost analyses should be done
before and after production has begun. In order to price products and
manage costs, the most accurate cost information should be used. These
estimated costs can be used to maximize profit, while meeting consum-
er expectations. When costs are estimated before actual production is
started, use of the best estimates is crucial. Actual cost figures can be
used as they become available. The goal of any firm is to maximize
profits and to remain in business over an extended time period. Profit, in
this case, refers to income in addition to an acceptable return on invest-
ment or opportunity costs.
Profits can be defined as the amount of total revenue that is left after
paying the total cost of production and marketing. Economic estimates
should be done for a normal or average year and not at the beginning of
production. The fundamental formulas for a specific time period, usu-
ally 1 year, are as follows:
Total Returns TR = (Q × Pm)
Total Costs TC = FC + VC
Profit P = TR – TC
Breakeven TR = TC or TR – TC = 0
Cost per unit Pc = (TC/Q)
Average market price Pm = (TR/Q)
Break-even production Q = (TR/Pc)
Where:
• (TR) = Total Revenues equals the sum of all sales received for 1 year
priced at the door of the processing plant.
• (TC) = Total Costs equals the sum of all costs of production and man-
agement, and includes an opportunity cost for 1 year.
• (P) = Profit equals the gross income left after all costs are paid. If this
is zero then the firm is at a break-even position but still should oper-
ate as all costs are being paid in addition to a return on investment
TABLE 12.1. Costs of a Business.

Fixed Costs Variable Costs Production Revenue
Depreciable: Labor wages: Units per day Price per unit
Equipment, Itemized List per worker
buildings Labor Non-Wages: Units per year Units sold per year
Social security,
Worker’s compensation
Non-depreciable: Ingredients Inventory Shipping costs
Land, Packaging materials units stored
Building repairs,
Property taxes, Equipment repairs
Insurance Utilities
Manager wages,
Interest on loans
Storage costs
that is acceptable to the investors.

• (Pc) = Average cost per unit.
• (Pm) = Average selling (market) price received per unit.
• (Q) = Total number units produced in one year.
These figures also coincide with an accounting year for tax purposes,
and some of the same data can be used for both purposes. Some ex-
amples can be found in Table 12.1.
A spreadsheet type of analysis can be set up for any type of cost anal-
ysis. Spreadsheets will help analyze alternative investment costs be-
fore actually making the commitment. To estimate profit potential, the
manager should complete a cost analysis for each new product before
production is started and makes changes continuously after production
has started. All cost analyses should use the latest and best informa-
tion available at the time. This could be done daily, weekly, monthly
or annually, depending on the type of management decision needed for
control. Consistent, accurate cost information provides framework for
important business decisions that about how to price products and to
manage costs to maximize profits.
Total Revenue
Total revenue (TR) is the income flow for 1 year to the food proces-
sor. Total revenue will depend on the price of the goods and number
of new food items each consumer will buy. A goal of the business is
to create repeat consumers that purchase the product more than once
over a certain period. Without repeat purchases, a new consumer has to
be found for each additional unit produced resulting in lower received
profits by the processor or a higher price to the consumer to cover the
additional marketing costs.
Demand for a specific food item tends to fluctuate with price. When
there are different prices for a product, generally the higher the price co-
incides with fewer units being sold to consumers (provided they bought
any at a lower price). This inference is with the assumption that there
are no changes in the prices of substitutes and complementary foods,
income, and tastes. Consumers have thousands of choices in markets
and restaurants and are very much aware of “sale prices”; this leads to
heightened movement of these items. Consumers usually have the ob-
jective of purchasing as much as possible with limited income.
Consumers may pay higher prices for unique products. Although un-
common in the food industry, distinctive food items appeal to a specific

clientele that may be willing to pay premium price for certain catego-
ries of food such as kosher or gluten free food items. Consumers will
continue to buy unique products at a higher price if there is a positive
difference in quality. If the profit margin is great, other entrepreneurs
will likely mimic the product and enter the market with their version of
the food product.
In the event processors need to increase total revenues, options in-
clude decreasing the price with hopes of increasing the volume sold. A
slightly lower price should still remain above the cost of production.
Provided the percent change in the price is less than the percent change
in quantity sold, a lower price will result in a greater total return.
Evaluating how price changes can affect profit is a driver for cost
analysis activities. In a competitive market the individual processor is a
price taker, meaning that they cannot set their prices above competitors
and expect to sell their product. Prices may be lowered to encourage the
movement of inventory surplus, but this is usually for a short time pe-
riod. Having a drastically lower price than competitors is not in the in-
terest of the business if the product is being purchased at a higher price.
TR projections prior to production should be based on the process-
ing plant capacity for potential production volume. The average price
of competing products can be used as the price of the item as long as
the product is representative in terms of cost. It is better to err on the
conservative side with these figures than to be overly optimistic about
future prices for products that have not been produced and sold to con-
sumers. Thus, total revenue becomes a first estimate of the size of op-
eration.
Actual TR is the total income received from the sale of a new food
product in a year. TR is calculated by adding the total number of items
(Q) times the market price (Pm) for that sale. The price received for
each of the products will depend on consumers’ willingness to buy each
product at the volume of production that is best for the processing plant.
TR = (Q × Pm)
Where:
• TR = Total revenue
• Q = Number of units sold throughout the year
• Pm = Market price for each unit throughout the year
Projecting the quantity (Q) of a new food product that could be pro-
duced during 1 year is based on the most limiting factor. The limiting
factor could be the capacity of the equipment or any other constraining
production factor. Manager’s projections of production, transportation
and storage costs, along with the expected retail price will be used to
calculate the quantity expected to be sold.
The average market price (Pm) can be compared to the average cost
figure for managers to determine if profits are being made on each item.
To estimate the average selling price (Pm) per unit for 1 year, the for-
mula is:
Pm = TR/Q
Units used for analysis should be as accurate as possible and coin-

cide with the units of measure used for other business activities such as
cases, hundredweights, gallons, pounds, etc. The selling price per item
may vary throughout the year which will be reflected in the total income
received. When more than one product is being sold, the income from
each product should be kept separate in order to compare average costs
to average prices received for each item.
Cost of Production
The other piece of a feasibility study is to estimate the cost to pro-

duce the new food item. All costs have to be covered with the total
income flow. One year is used as a basis for estimating costs of produc-
tion based on the accounting time period. However, if costs for 1 week
or some other time period were wanted, the same procedures can be
used as with the annual basis but all costs would have to be divided into
the appropriate time period.
Total costs (TC) are divided into two types, fixed (FC) and variable
costs (VC). The difference between the two is based on whether or not
each cost item or expenditure is changed throughout the year because
of volume changes. For example, building costs will remain the same
whether there are a 100 or 10,000 units produced. The same is true
for machines that have a productive use of more than one year. Vari-
able costs will change when volume of production changes such as raw
material inputs, labor, electricity, and packaging. Cost analysis is most
effective when the data used to estimate cost is accurate and timely. The
general equations are as follows:
TC = FC + VC
Where:
• TC = Sum of all costs incurred during the processing of a food item
during a one year period.
• FC = Fixed costs are not affected by changes in volume produced
within the year.
• VC = Variable costs are directly affected by changes in volume pro-
duced.
To estimate an average break-even cost (Pc) per unit for a specific
time period the equation becomes:
Pc = (TC/Q)
Break-even cost per unit (Pc) is the estimated average cost per unit
over the course of 1 year, or some other designated time period required
to cover the costs of production. Any selling price (Pm) above this cost
would result in a positive or excess profit. As long as consumers are
willing to pay the higher price, excess profit should be considered a
bonus for providing a food product that is hungered for by consumers.
When the average price received (Pm) is less than the average cost of
production (Pc), managers have three decision possibilities:
1. Cease production immediately to minimize losses.
2. Continue to operate until all capital and resources are depleted.
3. Raise the price of the product to at least the cost of production
to the consumer and to see if they will pay the higher price with-
out decreasing the consumption volume. If not, there are just two
choices.
To estimate an average break-even volume of production for an aver-

age market price (Pm) for the year the equation becomes:
 TC 
Q= 
 Pm 
Examples for each part of the profit equation will be explained in

detail and how to estimate each of the variables. This can be done with
a spread sheet using a pencil or it can be set up on any one of several
computer spreadsheet programs that will do all of the calculations. This
also helps when specific costs or prices of specific items are changed or
when alternative equipment, volume, receipts, or any change is being
considered. It is a matter of organizing the data to make entries onto

a spreadsheet which allows each part to become a separate analysis
and then combined into a final break-even price or volume analysis.
The more detail in the spreadsheet the easier it is to make a change. It
is easier to add different cost items than it is to divide total estimates.
There is no universal format that can be used because each set of busi-
ness circumstances is unique. Each spreadsheet should be compatible
with the type of data available and should provide specific information
for management decisions.
Fixed costs (FC) include items that are used for more than 1 year
such as equipment and buildings. These are fixed because each piece of
equipment is useful for several years regardless of the volume per year.
Depreciation should reflect use and expected lifetime of each piece of
equipment. Building costs per year will remain the same. Land should
be included in the fixed costs if the product is to pay for the use of the
land. A salary for the manager and other personnel that are paid an an-
nual salary is fixed. Usually their salary will be the same regardless of
the volume per year.
To estimate an annual fixed cost, divide the total purchase price by
the number of years it will be used. This figure is estimated for each
machine, building, and any other item that is used more than one year.
These figures are the same from year to year unless new equipment is
purchased. Other fixed costs include a manager’s salary and opportuni-
ty cost. This is the income given up from some other type of investment
or leaving the money in the bank.
Depreciation is a method of dividing the investment costs among the
items produced over several years (Table 12.1). To calculate total fixed
costs a complete list of all equipment and buildings has to be devel-
oped. The date of purchase and total price paid for each item installed
and ready to use should be listed to insure accurate depreciation sched-
ules. These data are also necessary for tax purposes.
To start the process of estimating total fixed costs, set up a table with
at least four columns (Table 12.2). In the first column, list building as-
sets and each piece of equipment that will be used for longer than 1
year, regardless of the size and amount, and the date purchased. In a
second column, list the price paid for each item, including shipping and
installation. The third column contains the number of years each item
will be used until replaced or discarded. In the fourth column, an an-
nual cost of using each piece of equipment (depreciation) is calculated
by dividing the total purchase price by the expected number of years of
use. This is the most common for this type of analysis. There are many
different ways to estimate depreciation primarily for tax purposes. Use
the one that makes the most sense for each situation.
These estimated depreciation figures are annual costs of machinery,
equipment, and buildings. Machines will be used for different time pe-
riods based on their function and durability. Buildings are often depre-
ciated over a 20–30 year period. This allocates the cost of each piece
of equipment or building to a 1 year period. The salvage value can be
subtracted from the purchase price. However, this is not used because
old or discarded equipment is often not worth much when it is to be
replaced by a new piece of equipment.
Greater production levels can lower average fixed costs if, for ex-
ample, a greater volume is produced during the year with no change
in building or equipment. Response time to production changes will
depend on factors such as equipment capacity, availability of raw mate-
rials, labor, number of shifts, and management ability. A brief example
of a firm that produces 200,000 units is as follows:
Total annual fixed costs (FC) amount to $97,360 which are the an-
nual costs regardless of whether 1,000 units or 200,000 units are pro-
duced with the total investment of $406,000 and an opportunity cost for
the investment of, for example, 6%. This assumes that the investment
has to return 6% or $24,360 in addition to all other costs to break even
or to make a profit. The average fixed cost (AFC) per unit is $0.49 and
is calculated as follows:
FC
AFC =
Q
= $97, 360 / $200, 000
= $0.49 / unit
However, if only 1,000 units are produced, the average fixed cost per
unit increases to $97.36 per unit. This is one reason for the importance
of estimating fixed costs. The average cost per unit decreases as the
volume increases. This shows the importance of operating at or close to
the equipment capacity as long as the product can be sold.
Variable Costs
Variable costs (VC) include all inputs required to buy, process, pack-
TABLE 12.2. An Example for Estimated Annual Fixed Costs.

Investment Total Purchase Price Life of Investment Annual Costs*
Building $200,000 20 $10,000
Equipment $150,000 10 $15,000
Vehicles $56,000 7 $8,000
Manager’s salary $40,000
Total investment $406,000
Opportunity costs 6% $24,360
Total Fixed Cost (FC) $97,360
*Depreciation is often calculated differently for tax purposes. The goal of tax depreciation is to minimize tax
obligations. Straight line depreciation allocates cost over a fixed time period.
age, and transport the product to where consumers will buy it. These
costs will vary with the volume of production. Such costs include items
like labor and fringe benefits, ingredients, packaging materials, clean-
ing supplies, equipment repairs, utilities, storage, transportation, and
office personnel. All expenditures that are used during the production
of the food item during the year should be included in the cost figures.
For this example the equipment capacity is 200,000 units per year.
Assume all the ingredients for each unit cost $2. The maximum cost
would be $400,000 for ingredients. Specific ingredients can be set up
with quantities and prices of each. Changes in any ingredient costs
would automatically be reflected in a new cost for the receipt and
product. Labor would be $90,000 for 5 people working 8 hours a day
for 50 weeks plus $13,500 for fringe benefits. There are many more
variable costs that have to be included in an actual example such as
insurance, taxes, water, and many more depending on the product be-
ing produced. For this example in Table 12.3, the sum of all variable
costs is $605,300.
TABLE 12.3. An Example for Estimating Variable Cost.

Variable Costs Number of Units Cost/Unit Annual Costs
Ingredients/Unit 200,000 $2 $400,000
Labor/Hour 5 $9 $90,000
Fringe benefits 15% $13,500
Electricity/Month 12 $100 $1,200
Packaging material/Unit $0.50 $100,000
Cleaning supplies/Month 12 $50 $600
Total variable costs (TVC) $605,300
All cost items should be itemized as much as possible so the eco-

nomic impact can be estimated for different situations such as, “What
if a new piece of equipment was installed?”. If there is a change in the
type of package that changes the costs, that change can be easily evalu-
ated using electronic spreadsheets. If each worker is paid a different
wage per hour or working different numbers of hours, each can be kept
as a separate item.
Each of these cost items can be used for all types of management de-
cisions. The average variable cost (AVC) is the sum of these input costs
divided by total production (Q).
Comparing an average unit’s fixed costs and variable costs, fixed
costs are only $0.49 per until while variable costs are $3.02 per unit.
These individual cost figures are not as important as the two combined
into a break-even cost of $3.51 per unit. Adding total annual fixed costs
to total variable costs equals $702,660. This is the total annual cost to
produce 200,000 units. The $3.51 per unit average cost (Pc) is the figure
that management compares to the market price (Pm) of the product. In
order to stay in business the market price has to be equal to or greater
than $3.51 (Table 12.4).
AVC = (TVC / Q) = ($605, 300 / 200, 000)

= $3.02 / unit
If the market price received by the processor is, for example, $5 (Pm)
per unit, the volume needed to cover all costs would only have to be
about 82,252 units per year. Gross income would be $1 million if each
of the units sold for $5 per unit at a production capacity of 200,000
units. The excess profit would be $297,340. If the market price would
be $3 (Pm), the volume would have to be 234,220 units which exceed
capacity. The loss would be $102,660. With a production capacity of
200,000, this operation needs to seriously consider other alternatives if
long range prospects for the market prices were to remain below $3.51
(Pc).
Using these formulas, an estimate can be calculated for an average
annual cost that can be compared to the average annual price received
for the product. These costs are based on actual or estimated volume or
capacity of production. The importance of comparing average market
price and average cost of production cannot be over emphasized if an
entrepreneur is to remain in business.
For an entrepreneur in the real world there are two market prices that
have to be dealt with. One, the projected or anticipated market price

which managers have to use to make their production decisions. Sec-
ond, the actual average market price received based on the actual in-
voices from products sold. The accuracy of the projected price should
be compared to actual prices to determine if adjustments are needed for
anticipated prices for the next round of production.
There are also two costs of production that have to be dealt with. One
is the estimated cost based on the best information available. The sec-
ond one is based on actual production figures after the product is sold.
The accuracy of the projected costs should be compared with actual
costs. Accuracy of any cost analysis will be completely dependent on
information used in the analysis. Future expansion or product changes
can be estimated more accurately when actual data from previous years
are available. This leaves only a few variables that have to be estimated,
for example, a new processing machine with greater capacity can be
considered.
Cash Flow Procedure
Once a market price for the product and average cost per unit are
calculated, these data can be used to estimate a cash flow analysis. This
information on costs over an extended time period can be used to de-
termine the amount of money to borrow for each year or other specific
time period for any business to continue to operate. In some cases, op-
erating capital is needed only for a few months or weeks until the prod-
uct is sold. This should be done before talking with financial lending
sources. With these data, financial planning can be completed.
A cash flow statement is a projection or an actual recording of the
dollars coming in and the dollars going out of a business. It shows
where the money comes from (the inflow of cash) and where the money
goes (the outflow of cash). A cash flow procedure can estimate or proj-
ect a cash flow analysis on a monthly, quarterly, or annual basis. For
this analysis a quarterly example will be used. The same principles are
used regardless of the time period used. A projected cash flow can use
the information from the cost analysis. Each expenditure and receipt is
entered into the month or year in which it is expected to be made. This
will provide budget information to determine the financial or cash posi-
tion in any time period. Estimated costs and prices become actual cost
information as the year progresses. The actual cash flow of a business
provides important information for making cash projection flows into
TABLE 12.4. An Example Estimating Total Cost, Break Even Cost,

and Break Even Volume.
Variable Costs Number of Units Cost/Unit Annual Costs
Ingredients/Unit 200,000 $2 $400,000
Labor/Hour 5 $9 $90,000
Fringe benefits 15% $13,500
Electricity/Month 12 $100 $1,200
Packaging material/Unit $0.50 $100,000
Cleaning supplies/Month 12 $50 $600
Total variable costs (TVC) $605,300
the future. Projected cash flow shows the ability of the firm to generate
cash inflows and cash requirements of a business and it indicates timing
of both. This is often needed for a period of 8–10 years for long term
profitability and 1–3 years, usually on a monthly basis, for short term
profitability and cash requirements.
Using the new food item example from above, a short term cash flow
for 1 year can be used to indicate capital requirements for this new food
product (Table 12.4). Starting this operation requires buying a building
and equipment and then starting the operation. Assume that it takes 6
months to get the operation going, but only initially at a level of 11%
of capacity. This production is sold the third quarter. Production can be
increased to 25% of capacity and sold in the fourth quarter. It takes time
to get started and to train all of the people that will be working and to
get supplies as well as to find outlets for the product. A monthly cash-
flow analysis can also be used if it is more appropriate. Let’s assume the
new food product can be sold for $5 per unit.
TABLE 12.5. Calculating Costs.

Total Costs TC = $97,360 + $605,300 = $702,660
Average cost per unit Pc = (TC /Q)
Pc = ($702,660/200,000)
Pc = $3.51/unit
Total revenue TR = (Q × Pm)
TR = (200,000 * $5.00) = $1,000,000
Profit P = (TR – TC)
P = ($1,000,000 - $702,660) = $297,340
Return on investment ROI = P/Investment
ROI = ($297,304/$406,000) = 73.2%
Average price received for Pm = (TR/Q)
products sold Pm = ($1,000,000/$200,000) = $5.00/unit
A cash flow analysis usually starts with inflows. The number that
is expected to be sold each quarter should be projected as accurate or
as realistically as possible. In this case, the business takes 6 months to
build and start production. An example is demonstrated in Table 12.6
for quarterly cash flows. The cash inflow is estimated by multiplying
the number sold times the price/item. Cash inflow was only $111,500
for the third quarter and $250,000 the fourth quarter for a total income
for the first year of $361,500. The sum of the quarterly cash inflow and
outflow for the first year can be used for the first year cash flow projec-
tions for a longer time period such as 8–10 years.
Cash outflows for the first quarter involve buying the equipment and
buildings and other items that are needed in building a processing plant.
The manager’s salary starts but none of the processing labor. This ex-
ample would indicate that the processing would begin the second quar-
ter but nothing to sell until the third quarter. The net cash flow the first
quarter is $416,000 and additional $77,740 the second quarter. This is
buying the ingredients, labor, packaging, etc. There is a time lag be-
TABLE 12.6. Quarterly Cash Flows.

Annual
Cash Inflow Items Quarter 1 Quarter 2 Quarter 3 Quarter 4 Cash Flow
Number sold 22,300 50,000 72,300
Price/item $5 $5
Total cash inflow $111,500 $250,000 $361,500
Cash Outflow Items
Buildings $200,000 $200,000
Equipment $150,000 $150,000
Vehicles $56,000 $56,000
Manager’s salary $10,000 $10,000 $10,000 $10,000 $40,000
Variable Costs
Ingredients $44,600 $100,000 $100,000 $244,600
Labor $10,035 $22,500 $22,500 $55,035
Fringe benefits $1,505 $3,375 $3,375 $8,255
Electricity $300 $300 $300 $900
Packaging $11,150 $25,000 $25,000 $61,150
Cleaning supplies $150 $150 $150 $450
Total Cash Outflow $416,000 $77,740 $161,325 $161,325 $816,390
Net Cash Flow ($416,000) ($77,740) ($49,825) $88,675 ($454,890)
Interest 2% per Quarter ($8,320) ($10,041) ($11,239) ($29,600)
Projected Operating ($416,000) ($502,926) ($561,926) ($484,490) ($484,490)
Balance
TABLE 12.7. Annual Cash Flow Example For A Firm Producing

200,000 Units.
Cash Inflow Items Year 1 Year 2 Year 3 Year 4 Year 5
Number sold 72,300 200,000 200,000 200,000 200,000
Price/item $5 $5 $5 $5 $5
Total cash inflow $361,500 $1,000,000 $1,000,000 $1,000,000 $1,000,000
Cash Outflow Items
Buildings $200,000
Equipment $150,000
Vehicles $56,000
Manager’s salary $40,000 $40,000 $40,000 $40,000 $40,000
Variable Costs
Ingredients $244,600 $400,000 $400,000 $400,000 $400,000
Labor $55,035 $90,000 $90,000 $90,000 $90,000
Fringe benefits $8,255 $13,500 $13,500 $13,500 $13,500
Electricity $900 $1,200 $1,200 $1,200 $1,200
Packaging $61,150 $100,000 $100,000 $100,000 $100,000
Cleaning supplies $450 $600 $600 $600 $600
Total Cash Outflow $816,390 $645,300 $645,300 $645,300 $645,300
Net Cash Flow ($454,890) $354,700 $354,700 $354,700 $354,700
Interest 2% per Quarter ($29,600) ($38,759) ($13,484) $13,813 $43,292
Projected Operating ($484,490) ($168,549) $172,667 $541,180 $939,175
Balance
tween buying the ingredients and selling the products. The cash flow
analysis will record the outflow and the inflow in the time period in
which they were made and the projected operating capital will indicate
the required cash to continue to operate.
In this example, the net cash flow for the first three quarters is nega-
tive meaning there is more cash being expended for the operation than
there is income. However, in the fourth quarter there is a positive cash
inflow of $88,675. This analysis shows the importance of knowing the
amount of short term loans to buy ingredients (inputs), hire workers,
and establish a market strategy. This is often overlooked in estimating
how much operating capital will be required and for what time period.
It was demonstrated that this product had an average cost per unit of
$3.51 and an average price of $5, which would be profitable. However,
there would not be a positive cash flow after the first year if the selling
price of the product remained at $5 per unit. The profitability is clearly
demonstrated by having a projected operating balance of almost $1 mil-
lion at the end of the fifth year (Table 12.7).
SUMMARY
Economic feasibility analysis is important before major investments

are made, especially in a competitive market. This analysis will provide
an average cost per unit to be able to be compared with a market price.
The accuracy of both of these estimates becomes obvious if there is a
small margin between them.
Cost analysis is time consuming and requires focused managerial ef-
fort several times a month and at the end of the year. However, trouble
signs can be identified early. This could save a great deal of money as op-
posed to waiting for a year-end financial report that indicates a reduction
in profit or a loss for the year. A manager then has to go back through the
records to find the problem to correct it. With continuous data analysis the
problem can be identified sooner and corrected with less financial loss.
Next, a cash flow analysis to estimate the amount of operating capital
required for operation and the length of time needed for the operating
balance to become positive. Often investors can obtain capital for the
purchase of buildings and equipment, then encounter difficulty to go
back to lenders for additional operating capital. Both needs should be
presented at the same time with a projected time schedule for repay-
ment. This information will be most useful for both managers and lend-
ers in determining the probability of success of a new food product.
KEY WORDS
Cash flow statement—a projection or an actual recording of the dollars

coming in and the dollars going out of a business.
Profits—the amount of total revenue that is left after paying the total
cost of production and marketing.
Total costs (TC)—sum of all costs incurred during the processing of a
food item during a 1 year period.
Total revenue (TR)—the income flow for 1 year to the food processor.
12.1. Give an example of a fixed and a variable cost.
12.2. Why is it important to perform economic feasibility analyses?

REFERENCES
Beckman, M.D., Boone, L.E., and Kurtz, D.L. 1992. Foundations of market-
ing. Toronto: Holt, Rinehart and Winston of Canada. Alberta Agriculture.
(2002) Marketing Food In Alberta: An Access Directory. p. 43.
Kijewski, V., Donath, B., and Wilson, D.T. 1993. Pricing-Think Value Not
Cost. The Best readings from Business marketing magazine: views from the
trenches (p. 225). Boston: PWS-Kent Pub. Co.
Guiltinan, J.P., Paul, G.W., and Madden, T.J. 1997. Marketing management:
Strategies and Programs. New York: McGraw-Hill Companies.
Erikson, D. 1996. Economic analysis of a new business-doing it right. (No.
MF-2184). Manhattan, KS: K-State Research and Extension.
CHAPTER 13
Confidentiality and Intellectual

Property Rights
Learning Objectives
• Understand confidentiality issues in teams.
• Know the meaning of a patent, trademark, and copyright.
• Understand the risks of trade secrets and how to protect them.
I Nsome industries, market competitors are desperate for data regard-

ing rivals’ future business directions, formulas, and secret processing
techniques. Companies, therefore, must rely on the confidentiality of
organizational knowledge to sustain product advantage and competi-
tive edge. Because intellectual property is “property,” the owners have
a right to use their own possessions. There are four categories in which
intangible possessions can be protected—patents, trade secrets, copy-
rights, and trademarks.
PATENTS
In order to promote the progress of technology, the government of-

fers patent protection—an agreement between the public and inven-
tors that only those granted permission can use their works. Patents
can only be issued for new, useful, and non-obvious inventions. They
are used occasionally in the food business to protect unique production
processes, novel compounds or additives, or new methods to alter the
properties of foods.
Patents protect the intellectual property of the inventor, and the pat-
ent holder has the right to exclude others from making, using, or selling
the invention once granted. Patent protection can be exercised for a
217
218 CONFIDENTIALITY AND INTELLECTUAL PROPERTY RIGHTS
maximum of 20 years. Food additives and medical devices are some-

times allowed 5 extra years of protection due to delays that are incurred
from the FDA approval process. International patents are also available.
Patents in the food industry are primarily used for protecting cre-
ations in processing. Processing equipment and techniques must be
unique to the industry in order to receive protection. Recently devel-
oped ingredients such as food additives and flavor modifiers may also
receive patent protection.
Three types of patents exist in the United States—utility, design, and
plant. Utility patents are used to protect inventions or discoveries about
processes, machinery, or new ingredients. Design patents are utilized
to protect novel designs for items to be manufactured. Plant patents
can be used to protect newly discovered vegetation or newly generated
plants in novel varieties. Plant and utility patents can both be filed first
as provisional, but then must fulfill all requirements to become non-
provisional within one year.
Provisional applications for patents grant the inventor a 12-month
period to finish the non-provisional patent applications. If a non-pro-
visional patent is not filed within a period of 1 year, the application
is automatically abandoned. A provisional application that fulfills the
non-provisional application requirements receives full benefits of pat-
ent protection.
The United States Patent and Trademark Office (USPTO) approves
all non-provisional patents upon meeting all requirements. Require-
ments for patent applications include the title of the invention, a de-
scription of the invention, a declaration of the uses, and sketches, if ap-
plicable. Inventors must also take an oath that they believe themselves
to be the first creator of their invention. Considerations before filing a
patent should include:
• Will the invention become obsolete before the 20 years is complete?
• Will the value still be held by the time the patent is issued (approxi-
mately 2 years)?
• Will competitors be able to take advantage of the patent’s informa-
tion to further their work?
• Does the potential increase in revenue outweigh the cost?
Patent inventors are advised to seek legal assistance in preparing pat-
ent applications because the process can be quite complex. Before fil-
ing a patent, inventors and companies should weigh if the invention’s
protection is more valuable than the time and money spent receiving
Copyright 219
TABLE 13.1. Types of Patent Applications.

Type of Patent Description
Provisional application Offers protection of an inventor’s creations for up to a
12-month period prior to submitting the complete non-
provisional patent application
Non-provisional application Offers full patent protection
protection. The average cost of filing a patent is about $7,000. If the

patent is not accepted the first time, the applicant can file an appeal and
request reconsideration. Even without a patent, the process or invention
may be valuable intellectual property.
Patent benefits must be enforced by the owner. If a competitor is
infringing on a patent, the owner should ask the other company to cease
their current practices. Competitors who continue to exploit patent pro-
tections can be held responsible for their actions in a court of law.
Searching For a Previously Filed Patent
Inventors are encouraged to search for patents prior to seeking their

own patent protection. Patents that have been previously filed with the
USPTO can be searched via an online database found at patft.uspto.
gov. Other options for completing a patent search include Google Pat-
ent Search (www.google.com/patents) or contacting a professional at
your local or university library to assist you. The USPTO also offers
information about a patent’s current ownership.
COPYRIGHT
Copyright is the protection of works that are in a tangible medium—

whether it is dramatic performances, sounds or music, choreography,
pictures or graphics, literature or audiovisual displays. Copyright pre-
vents others from copying a work from the author, but does not impede
others from describing a process using other means. Original works,
even without a copyright notice, have the assumed rights of copyright
protection.
Copyrights do not protect ideas, scientific procedures, or technical
information. In the food industry, a written description of a food pro-
cessing procedure could be protected by copyright, but this would not
keep others from using the manufacturing process or describing the

process in a different manner.
TRADEMARKS
A trademark is a word, symbol, picture, or any combination of those

used to distinguish goods and services of one individual or organization
from those of another. Trademarks shield a name from use by competi-
tors, especially product names and slogans. Trademarks can be used to
identify the unique goods or services of a company and assure custom-
ers that the goods or services they are purchasing adhere to a standard.
The USPTO is responsible for registering trademarks. Trademarks can
be registered through the government although it is not required.
Trademarks are identifiable by the public through words, visual sym-
bols, or colors that represent a product or company. Trademarks encour-
age market competition, and assist consumers in making decisions by
way of product and brand recognition.
TRADE SECRETS
Trade secrets, by definition, are information used to create a unique

product or process that is not known by other members of industry out-
side a company. Trade secrets can also be found in business or ingredi-
ent transactions, finances, or technology. Because law does not protect
trade secrets, exposed trade secrets are an advantage to competitors.
There is no legal binding that keeps competitors from using trade secret
information if it has been leaked. Trade secrets do not contain patent-
able technology or processes, and may not even be original to the or-
ganization, which is why that is essential to protect them from public
knowledge. Even if trade secret information is not unique, it may be a
piece of the company’s value.
In order to protect trade secrets, a company should require non-dis-
closure agreements to be signed for all employees. Companies should
provide a blanket closing e-mail message and written document foot-
notes stating that the information contained in these documents may be
confidential. These e-mail notices and footnotes should be used on all
company correspondence for protection. Employees should be aware
that trade secrets are vital company information and should not be dis-
Confidentiality 221
closed by reminding employees from time to time about the seriousness

of trade secret loss.
Company policies can help alleviate trade secret loss. Clean desk
policies can help reduce trade secret leaks through contract or custo-
dial staff. Physical facility barriers should be in place at research and
development facilities. Keyed access should be set up for pilot plants
and labs where innovation takes place in order to control traffic in this
area. Cyber security should also be maintained on company intranet
sites and internal networks. Employees should be reminded that talking
in public about classified information can lead to the loss of information
to competitors.
When an employee leaves a company, it is necessary for a company
to retrieve all vital information and papers before leaving the premises.
In order to ensure all rightful data is given back at the conclusion of a
worker’s employment, the company can request a signed statement from
the employee stating that they have returned all information.
Trade secrets that are revealed through a breach of legal contracts are
punishable by law. An employee cannot receive information revealed
to competitors through bribery, theft, or a breach of secrecy, but re-
verse engineering of a product is allowed. Using public information
and analysis of the product in order to recreate a similar one completes
reverse engineering.
Economic Espionage Act of 1996
The Economic Espionage Act (EEA) of 1996 made obtaining trade

secrets through illegal means punishable by federal law. In a court of law,
the presiding judge would consider whether a non-disclosure agreement
was breeched, protections were in place to reduce theft from outside par-
ties, and the extent to which the information was disclosed.
Conspiring to obtain and use a trade secret in order to gain economic
benefit or to damage another company’s success is illegal. Companies
disclosing information to the government about a violation of the EEA
will not be forced to disclose direct secrets in open court in order to
maintain secrecy.
CONFIDENTIALITY
When researching a new concept, some disclosure of the idea to

knowledgeable individuals outside the company may be necessary. Re-

searchers assisting you can provide specific advice and pointers if they
understand the project and area of interest. Sharing an idea with other
people before a product is in the market creates a vulnerability to com-
petition. Other businesses with more assets can use your idea before
your business is fully developed. To minimize this risk, carefully check
that advisors will keep your idea confidential. It is generally advisable
to have a simple signed agreement of confidentiality. If you are consid-
ering entering discussions with potential competitors, seeking profes-
sional and legal advice is recommended in order to structure a formal
agreement of confidentiality.
Working with Outside Suppliers
Product development involves working with suppliers and other

companies in order to complete the job in the desired time frame and
budget. Organizations may enlist the help of another organization to
develop a flavor system, seasoning packet, new ingredient, or other
additive. Companies should enlist policies to protect themselves from
trade secret loss or battles over whose intellectual property the new
novel process or ingredient belongs to. In order to do so, both com-
panies should set goals and intellectual property expectations prior to
beginning a project. If at any time during a project the agreement re-
quires changes or an addendum, stop all work until an agreement is
made. Jointly operating companies should also have the other sign non-
disclosure forms for legal purposes.
SUMMARY
Protecting organizational intellectual property must be a company

priority. Careless disclosure of secrets can lead to company losses and
competitor advantage. If the organization can legally protect an asset
such as processes or formulas, it is important to do so if it makes sound
business sense. Patents, trademarks, and copyrights protect differing
works, but are all protected by the United States government. Trade
secrets are not protected by the government directly, and must be care-
fully secured by organizations in order to keep information out of com-
petitor’s hands.
Confidential information can lead to powerful competitive advan-
tage; therefore, companies should take measures to preserve classified

information. Employees and contract workers should know that the loss
of intellectual property is a serious company loss that the company re-
lies on.
KEY WORDS
Copyright—protects tangible works and prevents others from copying

a work from the author, but does not impede others from describing
a process using other means.
Non-provisional application—offers full patent protection.
Patent—an agreement between the public and inventors that only those
granted permission can use their works.
Provisional application—offers protection of an inventor’s creations
for up to a 12-month period prior to submitting the complete non-
provisional patent application.
Trademark—a word, symbol, picture, or any combination of those used
to distinguish goods and services of one individual or organization
from those of another.
Trade secrets—information used to create a unique product or process
that is not known by other members of industry outside a company.
13.1. Fill in the blank.
a. A ___________________ protects an invention.

b. A ___________________ protects an original artistic or liter-
ary work.
c. A ___________________ is a word or symbol or combina-
tion to identify the product or service as coming from a single
source.
13.2. Name some strategies that companies use to protect their trade
secrets.
13.3. What is the significance of the Economic Espionage Act of 1996?

REFERENCES
Buntrock, R.E. 2008. Patent searching made easy: How to do patent searches
on the internet and in the library. Choice, 45(7), 1179.
Carr, C., Furniss, J., and Morton, J. 2000. Complying with the economic espio-
nage act. Risk Management, 47(3), 21–24.
Kovach, K.A., Pruett, M., Samuels, L.B., and Duvall, C.F. 2004. Protecting
trade secrets during employee migration: What you don’t know can hurt
you. Labor Law Journal, 55(2), 69–84.
Rourk, C.J. 1998. A short course in intellectual property protection. Electrical
World, 212(9), 33.
CHAPTER 14
Shelf-Life Testing and Date Coding
Learning Objectives
• What is shelf-life and how is it determined.
• Importance of determining shelf-life.
• Methods of dating foods.
S HELF-LIFE encompasses several facets of food quality including

safety, nutritional value, and sensory properties. Shelf-life affects
food quality, which in turn influences the consumer’s buying decisions.
For many food companies, the ability of a food to retain its overall qual-
ity from the processing line, through distribution and marketing, and
finally to the consumer, is the result of intensive studies to predict the
“life” of a food. Shelf-life is the time frame over which a food product
can be relied upon to retain its quality characteristics.
INTRINSIC FACTORS
Certain factors that are a part of the food’s system cannot be con-
trolled. The intrinsic factors inherent within food include pH, moisture
content, water activity, nutrient content, antimicrobial agents, biologi-
cal structures, and oxidation/reduction potential.
pH
pH is the index of acidity or alkalinity of a food ranging from 0 to

14. A pH value of 7 is considered neutral, while values of 0 and 14 are
extremely acidic and basic, respectively. The lower the pH, the more
225
226 SHELF-LIFE TESTING AND DATE CODING
FIGURE 14.1. Demonstration of shelf-life time frame.
acidic the food. Some acidifying agents, such as glucono-delta lactone,

can be relied on to lower the pH of a food system without increasing the
sour taste as much as other acids. As a product developer, the desire to
lower the pH of a food for longer shelf-life should be carefully balanced
with the effects of the added acid on the sensory properties of the food
product.
The acidity or alkalinity of a food influences the type of microbial
spoilage that will occur. Most bacteria do not prosper in acidic con-
ditions, but prefer food with a pH range between 6.6 and 7.5. Foods
included within this range are red meat, chicken, fish, eggs, and veg-
etables. Spoilage of citrus fruits, tomatoes, and other food products with
a lower pH occurs as a result of mold and/or yeast growing.
Water Activity
Moisture content and water activity (aw) are also a part of food com-
position. However, the two should not be confused. aw is the amount of
unbound or “free” water in a system available to support biological and
chemical reactions. aw ranges from 0 to 1, with pure water ranking 1.
Most fresh foods have aw values close to 1, while dry foods have values
ranging from 0.2 to 0.6. Therefore, the objective of food dehydration is
to reduce the water available to support biological growth. A food may
have a high moisture content, but low aw due to other food constituents
(sugars, salt, etc.) that may bind the water, therefore rendering it un-
available. In this instance, sugar and salt serve as humectants which are
often added to bind the water. In general, bacteria require higher aw for
growth than yeast or mold. Most spoilage bacteria do not grow below
aw 0.91; however, halophilic (salt-loving) bacteria such as Staphylococ-
cus aureus have been known to grow at values as low as 0.86. Spoil-
age molds grow at much lower levels. Xerophilic (dry-loving) molds
and osmophilic (preferring high osmotic pressure) yeasts have been re-
ported to grow at aw values of 0.65 and 0.60, respectively. For the most
part, lowering the aw of a food below 0.65 eliminates the majority of the
spoilage microorganisms.
A food scientist must have the knowledge to manipulate the aw of a
new product for extended shelf-life. Managing the water of a food sys-
Intrinsic Factors 227
tem is essential to control microbial growth, texture profile, and sensory

properties. Moisture migration will result in softening or hardening of
a food, which may lead to retrodegradation or mold growth. A product
developer can alter aw in a food through the use of various process-
ing techniques, such as manipulation of time and temperature, humidity
control, or additives such as solutes, coating agents, humectants, and
hydrocolloids.
Nutrient Content
Nutrient content is another factor that influences spoilage. More

nutritious foods tend to undergo more spoilage. This occurs because
microorganisms require certain nutrients, such as vitamins and other
growth factors. Food high in protein tends to undergo bacterial spoil-
age because these microorganisms require a source of nitrogen. Several
examples include eggs, red meat, chicken, and seafood. Lipids or fats in
food also may cause problems. Foods high in lipid content, especially
unsaturated fats, may undergo oxidation. The loss of certain vitamins
and pigments often results in fading color and other undesirable events.
Antimicrobial Agents
Various foods, such as eggs, cloves, and cranberries, have built-in

defense mechanisms-antimicrobial agents that are present naturally.
Lysozyme, an enzyme present in egg white, prevents the growth of
gram-positive bacteria which include Listeria monocytogenes, Staph-
ylococcus aureus, and Streptococcus. The compounds benzoic acid
and eugenol, present in cranberries and cloves respectively, hinder the
growth of mold and some bacteria.
Biological Structures
Animals are considered to be good filters because the hides protect

and prevent the animal from invasion. Other biological structures, such
as shells on eggs and nuts, protect the inner contents. The natural cover-
ings perform functions similar to animal skin.
Oxidation/Reduction Potential
Oxidation/reduction potential is the ease by which a substrate (food)

loses or gains electrons; it involves the oxygen tension and certain other
characteristics of food. For example, steak has low oxygen penetration
compared to ground beef. Ground meat, because of its increased sur-
face area, has a higher oxygen penetration level. Therefore, ground beef
contains a higher initial microbial load. Based on the assumption that
the inner portion of a steak is intact, and no oxygen has penetrated to the
core, the inner portion of a steak may be “sterile.”
EXTRINSIC PARAMETERS
Unlike the previously described intrinsic parameters, extrinsic fac-

tors, including temperature, time, relative humidity, presence of gases,
physical stress, and other environmental parameters, can be controlled
or changed to influence a product’s shelf-life.
Temperature
Temperature is perhaps the most important extrinsic factor that

must be controlled to minimize spoilage. By keeping certain foods
hot and others cold, spoilage can be prevented or minimized. Certain
microorganisms (mesophiles) prefer room temperature, while others
(psychrophiles) are capable of existing in or on refrigerated items.
Placing meat in the refrigerator may reduce the growth of mesophiles,
but promotes the existence of psychrophiles, such as Pseudomonas.
Temperature is also an important part of various chemical reactions.
An increase in temperature often accelerates the rate of a chemical
reaction.
Time
Generally, the duration of storage has an inverse relationship to food

quality; in other words, spoilage occurs as time progresses. However,
for some processes, time is a major contributing factor to a product’s
desired quality factors. Examples include fermented foods and beverag-
es such as wine, cheese, and soy sauce. Thermal destruction of microor-
ganisms is based on time as well as temperature; the time/temperature
relationship is the basis for microbial destruction in products such as
canned goods. For this reason, time and temperature are often grouped
as one classification of extrinsic factors.
Relative Humidity
Relative humidity affects the aw within food. This factor is especially

important if altering the aw is the primary means of controlling spoilage
within a food system. All foods are different with respect to supporting
microbial growth and becoming dried out. High humidity may encour-
age the growth of molds on refrigerated foods. On the other hand, wet
heat is more effective in destroying microorganisms and inactivating
enzymes than dry heat.
Presence of Gases
Gas flushing with certain inert gases can also be an effective means of
extending the shelf-life of foods such as potato chips, meat, and fruits.
For example, controlled atmospheric storage of apples is accomplished
by increasing the relative humidity and the level of inert gases (carbon
dioxide and/or nitrogen) to about 85% and 5%, respectively. Tempera-
ture and oxygen levels are reduced to slow down respiration and the
physiological changes that accompany aging. Citrus fruits and bananas
use ethylene gas to speed ripening and color development through the
use of a controlled or modified atmospheric storage. Products utilizing
vacuum package technology include meats, cheeses, and snacks.
Physical Stress
Proper handling of the food product is essential to avoid unnecessary

spoilage from bruising and other physical abuse that may occur dur-
ing transportation and storage. Delicate snacks should be packaged and
transported in ways that reduce this type of abuse.
TYPES OF DETERIORATION
Physical Deterioration
Physical deterioration associated with aging is evident by signs such

as color fading, moisture changes, and alterations in sensory properties
including aroma and textural changes. While our senses are capable of
deciphering between desirable and undesirable characteristics in refer-
ence to color, texture, and aroma of foods, our senses cannot always de-
termine a product’s safety, nutritional value, or shelf-life. A product that

looks appealing may not be conducive to good health. Loss of quality
is the ultimate outcome when a product’s intrinsic and extrinsic factors
are out of balance.
Physical deterioration can be minimized through several techniques.
Fruits and vegetables may be blanched before freezing in order to de-
stroy enzymes that cause browning. Opaque packaging can reduce
physical deterioration by reducing the effects of light. Additives may be
used in some products to protect the loss of desired color.
Microbial Deterioration
Microbial deterioration occurs when spoilage microorganisms sur-

vive processing treatments and cause deterioration via multiplication
and propagation. Microorganisms also can produce off flavors and
slime. To counter microbial growth, products can use stringent ingredi-
ent quality controls with proper microbial testing prior to use, storage
and processing times/temperature, and food additives.
Preservation of certain foods can be accomplished by using low
temperatures (refrigeration), which slows down the proliferation of
microorganisms. In reducing the temperature to freezing or subfreez-
ing levels, these microbial activities may in fact cease. The reason for
the occurrence of this phenomenon lies in the fact that all metabolic
reactions of microorganisms are enzymatic. Furthermore, the rate of
enzyme-catalyzed reactions is dependent on temperature. Pathogenic
microorganisms may also be responsible for a decrease in shelf stabil-
ity. These particular organisms are capable of causing illness as well as
food spoilage. However, processing methods and techniques are aimed
at the destruction of these harmful microorganisms; thus, only thermo-
duric (heat processing) or thermophilic (heat loving) spoilage organ-
isms remain to cause food decomposition.
Chemical Deterioration
Chemically-based deterioration of food products often involves ox-

idative and hydrolytic reactions. It is important to distinguish between
oxidative and hydrolytic rancidity. Oxidative rancidity occurs when a
fat (especially a highly unsaturated one) is attacked by oxygen, while
hydrolytic rancidity involves enzymatic reactions. An example of hy-
drolytic rancidity is evident when milk becomes sour over a period
of time. Pasteurization of the milk eliminates pathogenic microor-

ganisms, but may not destroy the entire microflora. It is important
to remember that this type of mild heat treatment has the purpose of
eliminating disease-causing microorganisms while the thermoduric
microflora survives and with time, multiplies. These microorganisms
may possess lipases or enzymes, which act upon the fat in the milk.
As a result of this action, free fatty acids are liberated, creating the
acid flavor in the milk. Oxidative rancidity usually occurs when the
fat in the product contains many (poly) double bonds. Oxygen attacks
at the site of the double bonds, which in turn generates unstable free
radicals that catalyze the production of more free radicals. Thus, it is
a chain reaction that can quickly spread to all susceptible fatty acids.
An increase in temperature and the presence of transition metals such
as iron and copper may further increase the rate of any chemical reac-
tion.
Chemical deterioration can be controlled using a few strategies. The
first is to complete raw ingredient quality checks at receiving. Secondly,
reducing exposure time to amplifying factors can assist in minimizing
this type of deteriorations. Additives can also be used to eliminate these
reactions, such as using antioxidants to prevent free radicals. Lastly,
packaging materials like opaque materials to reduce light exposure or
packing in a modified atmosphere to reduce oxygen availability that
may cause undesirable reactions.
Biological Deterioration
Biological deterioration involves contamination of food products via

birds, rodents, or insects. These biological vectors not only devour the
food supply, but have the capacity of transmitting disease; hence, this
type of deterioration may lead to microbial problems. The cockroach,
a common pest, can carry millions of microorganisms on the hairs of
its legs. Because of the health problems associated with roaches and
other biological vectors, preventive measures, such as proper packag-
ing, must be taken to protect the food supply.
Each mode of deterioration influences a food product’s shelf-life.
Loss of food quality can be attributed to any or all of the modes of
deterioration previously described. Occasionally, the various modes of
deterioration may occur simultaneously.
Although the previously described modes of food deterioration are
the basis of food decomposition, numerous deteriorative factors exist.
Temperature, light, oxygen, moisture, dryness, natural enzymes, micro-

organisms, macroorganisms, industrial contaminants, time, and food-
to-food interactions can adversely affect certain products. These factors
are not isolated in nature. For example, microorganisms, rodents, and
oxygen may all be operating in a simultaneous manner to compromise
a food. These deteriorative factors may work together in a food sys-
tem to spoil the food supply in the warehouse, the supermarket, or the
household.
Biological deterioration can be countered through the use of qual-
ity raw ingredients and pest control programs. Raw-ingredients checks
should be completed at the time of receiving. Pest control should be
carefully maintained in a program that is fit for food manufacturing fa-
cilities. Specialized programs can be devised through the collaboration
of facility managers and pest control agencies.
SHELF-LIFE DATING
Because consumers feel they have the right to know about the prod-
uct and its shelf-life, various dating systems have been implemented
to provide information deemed necessary to purchase food items. The
purpose of dating is to inform the consumer about the shelf-life of the
product.
Many different types of dating may appear on the label of various
food products. Thus, shelf-life dating can be evident in several ways.
• Pack date: the date on which the food was manufactured

• Display dating: the date the food was placed on the store shelf
• Sell by/pull date: the date the food must be sold or removed from
the shelf
• Best if used by dating: the date of the maximum quality of the prod-
uct
• Expiration date/use by date: the date the food must be consumed or
discarded
There is no universally accepted dating system used for food in the

United States. Most perishable and semi-perishable commodities, such
as dairy products and meat, carry one type of dating system on the label.
If someone approached you with a question concerning the shelf-life of
your product, could you give an appropriate answer in response to the
Shelf-life Dating 233
question? Is a package of cupcakes dated 2 months ago fit for human

consumption?
The type of date (pack, sell, use by) is crucial in decision making
and responsive action. Because the pack date simply refers to the
date of manufacture, the product would only be 2 months old and
could probably be consumed as long as the package was intact. How-
ever, if the use-by date was 2 months ago, the contents may be unfit
for human consumption. Other considerations such as off-flavors,
decreasing nutritional value, and microbial spoilage will make the
type of dating important when evaluating a product’s shelf stability
and safety.
Shelf-Life Effects on Food Distribution and Marketing
One question often asked is whether longer shelf-life always has a

positive impact. Benefits of extending shelf-life include ease of distri-
bution and stocking, less product rotation, and less waste. Although the
advantages of beneficial results from shelf-life extension far outweigh
the disadvantages, drawbacks such as quality deterioration and diffi-
culty in tracking the product still exist.
Consumer Expectations and Demands
With increasing demand for more healthy food products, processors

have the responsibility for modifying conventional products. A conven-
tional cookie formulation may contain 35% fat; however, the consumer
may request an adapted recipe where the recipe is tailored to a fat con-
tent of only 5%. In addition, the new formulation must be palatable,
cost efficient, and stable.
Consumers fear the unfamiliar; additives, for example. The absence
of additives may result in inferior food quality, limited shelf-life and
availability of certain foods, and more danger of microbiological con-
tamination. The growing demand for natural and untreated foods with a
long shelf-life has led to increased use of packaging.
Thermo-formed packaging, gas flushing (CO2), vacuum packaging,
and other materials for prolonging shelf-life have been used with suc-
cessful results on a variety of bakery products, including cakes, breads,
and croissants. Packaging technology can extend shelf-life and fresh-
ness without incorporating artificial preservatives into the product’s
formulation.
SHELF-LIFE TESTING
Testing shelf-life can be a time consuming and costly experiment.

Normally, a food product might take from weeks to as long as months
to deteriorate making a real time shelf-life test a lengthy process. An
accelerated method of testing may be utilized in order to minimize time,
expense, and possible risk of foodborne illness. Models, equations, and
formulas are used in conjunction with special chambers to obtain ac-
curate and quick shelf-life results.
For each food product, it is important to find literature regarding the
estimated shelf-life. If a company produces a similar product, look-
ing at documents regarding its shelf-life and modes of failure may be
beneficial. Another important factor may be the average length of time
which a product spends in distribution. Testing for the endpoint of a
product in a real time shelf-life test can be completed through random
testing over the product’s life. Testing in real time takes many samples
and great length of time for most products. Accelerated shelf-life testing
involves laboratory studies where environmental conditions are accel-
erated by known factors so that the product deteriorates at a faster rate.
Based on the deterioration rate, formulas can be used to estimate the
actual shelf-life.
Temperature is a vital factor in the rates of reactions. The increase
in temperature accelerates the aging and quality deterioration of the
food. Many accelerated shelf-life testing methods use increased tem-
perature to determine shelf-life. Other environmental factors, such as
the gaseous atmosphere in which the product is tested under or the
atmosphere in the packaging can also have an effect on the rate of
deterioration.
Because shelf-life is the time in which a product has acceptable at-
tributes for consumers, it is important to measure the traits of quality
throughout testing. Physical, chemical, microbiological, and sensory
changes should be measured throughout the entire shelf study. In shelf
studies, sensory testing should be tested incrementally by asking the
question “is this product acceptable?” Tests should be administered
more frequently as the shelf-life nears the end so that the true shelf-life
can be determined.
In order to conduct a realistic shelf-life study, it is important to con-
sider the real world logistics of storing and transporting food. During
distribution, products may undergo significant abuse whether it is tem-
perature fluctuations or physical mistreatment. This is a challenge for
Shelf-life Testing 235
companies to incorporate into shelf life determination, but it can be

done through the utilization of multiple test methods.
Methods for determining shelf-life include static tests, accelerated
tests, and use/abuse tests (Fuller 2011). Static tests involve holding the
product at set environmental conditions in which it will be distributed,
and testing samples over a set time interval. Shelf-life studies should
be carefully planned with a detailed sampling plan. At pre-determined
intervals, the product will be tested using sensory, physical, and chemi-
cal analysis. Accelerated shelf life studies hold products under a range
of conditions, and subjecting each product condition to sensory (if ap-
plicable), physical, and chemical analysis at pre-determined intervals.
Labuza (1982) recommended storage conditions for accelerated shelf
life testing. Use/abuse tests can help determine the amount of damage
that a product may incur during the shipping journey among other mis-
haps. The variety of use/abuse tests are innumerable, but a common
variation is to distribute a pallet of food by normal carriers to a cer-
tain location, then sent back to determine packaging effectiveness and
whether the product could withstand abuse.
Accelerated Shelf-Life Testing
Accelerated shelf life testing (ASLT) is a method for determining

how long a product will be acceptable in a faster method than real time.
ASLT is based on the principles of chemical kinetics, which are applied
to quantify the effects that extrinsic factors have on the rate of deterio-
rative reactions. The products are subjected to controlled environmental
conditions in which one or more of the factors is maintained at a higher
level than normal. In the end, the “true” shelf life can be calculated.
Quality loss for most foods follows either a zero-order or first-order
reaction. Products that undergo zero-order reactions have deterioration
that is linear, while first-order reactions demonstrate logarithmic dete-
rioration. For a given extent of deterioration and reaction order, the rate
constant is inversely proportional to the time to reach some degree of
quality loss.
The Q10 approach uses temperatures with a difference of 10° in or-
der to determine the shelf life of foods. The Q10 value is the factor at
which a product deteriorates with a difference of 10°C. Typical Q10
values for foods are 1.1–4 for canned foods, 1.5–10 for dehydrated
foods, and 3–40 for frozen foods. As seen in Table 14.1, the Q10 value
represents acceleration as related to temperature.
TABLE 14.1. The Effect of Temperature on the Shelf-Life

of Products at Different Q10 Values.
Temperature Shelf-Life (weeks)
°C °F Q10 = 2 Q10 = 2.5 Q10 = 3 Q10 = 5

50 122 2 2 2 2
40 104 4 5 6 10
30 86 8 12.5 18 50
Take ratio of the shelf-life between any two temperatures 10°C

(18°F) apart, the Q10 of the reaction can be found:
Q10 = θst/θst+10
θst: shelf-life at temperature T°C
θst+10: shelf-life at temperature (T + 10)°C
Example of Q10 value:

A company has been conducting accelerated shelf-life testing on a
ready to eat cereal product. It is determined that the product fails quality
acceptance at 40°C at 6 weeks, and at 18 weeks for a product tested at
30°C. What is the Q10 value? What is the shelf-life?
Q10 = θst/θst+10
θst = 30°C, θst+10 = 40°C
Q10 = 18/3=3
The Q10 is 3, but how do we calculate the shelf-life?
Since the product will be held at ambient temperatures (22°C), fig-

ure the percentage difference between the ambient temperature and the
lowest test temperature. 22°C/30°C = 0.733
Take this number and multiply it by your factor 3 × 0.733 = 2.20

Take this factor and multiply it by the shelf stability time found in the
study for the same temperature 18 × 2.20 = 39.6 weeks
Will this product meet the company’s goals of a one year shelf-life
expectation?
Key Words 237
Using the equation given above, the differences give you the Q10
value, which can be charted on a graph to determine the shelf-life at
room temperature (22°C) over time. After you have calculated the Q10
at a certain temperature, you can determine what the shelf-life would be
for ambient temperatures.
Microbial Challenge Studies
Microbial challenge studies are used to simulate what happens to

a product during processing, distribution, and subsequent preparation
and handling should the product become contaminated. Tests are per-
formed through inoculating selected microorganisms into a food. The
organism used to inoculate the food is dependent on the most likely
pathogens to survive. For canned foods, a strain of Clostridium sporo-
genes is typically used due to its similar characteristics to Clostridium
botulinum. Challenge studies are generally performed on foods stored
at refrigeration or room temperatures (shelf stable), and those foods
vulnerable to spoilage organisms and/or pathogenic growth (pH > 4.6
or aw > 0.85).
SUMMARY
Shelf-life determination allows companies to gather scientific data

about when the quality of the food deteriorates and becomes unaccept-
able to company and possibly consumer standards. Effective shelf-life
studies account for distribution times. The type of date that should be
included on packaging is dependent on typical consumer usage prac-
tices.
KEY WORDS
Accelerated shelf-life testing (ALST)—a method for determining how

long a product will be acceptable in a faster method than real time.
Best if used by dating—the date of the maximum quality of the product.
Display dating—the date the food was placed on the store shelf.
Expiration date/use by date—the date the food must be consumed or
discarded.
Pack date—the date on which the food was manufactured.

Q10 value—the factor at which a product deteriorates with a difference
of 10°C.
Sell by/pull date—the date the food must be sold or removed from the
shelf.
14.1. What is the difference between intrinsic and extrinsic parame-

ters? Give an example of each.
14.2. Give the definition of the Q10 value and tell how it is used to
define a product’s shelf life.
14.3. Give an example of each of the kinds of deterioration (physical,

chemical, and microbial) that your product might be subject to.
14.4. Answer True or False to the following statements:
a. There is no universally accepted dating system in the United

States.
b. Accelerated shelf-life testing uses the Q15 value to calculate
the shelf life of food.
c. Consumer’s perception of the quality of a product over time
should help determine the product’s shelf life.
REFERENCES
Labuza, T.P. 1982. Shelf-life dating of foods. Westport, CN: Food and Nutri-
tion Press.
Steele, R. (ed.). 2004. Understanding and measuring the shelf-life of food.
Boca Raton, FL: CRC Press LLC.
CHAPTER 15
The Essentials of Marketing Food Products
Learning Objectives
• Basic concepts of marketing.
• Product outlets, retail and wholesale.
• The 4 Ps of marketing.
• How to create a marketing plan for a company.
M ARKETING is the commercial activity involved in transferring

food products from producers to consumers. Marketing a food
product seems logical and reasonable, but finding consumers to buy
a product requires overcoming hurdles: collecting accurate informa-
tion, analyzing alternative market outlets, developing different product
forms, pricing products to compete in the marketplace, and deciding the
scope of the proposed market area. Some hurdles cannot be changed
but must be understood and used. Getting the right information requires
time and hard work.
The average income of people in the United States has increased
over the past 20 years, but these increased funds have not contributed
to an increase in the quantities of food consumed. Per capita food con-
sumption has changed very little in the last 50 years. The percentage of
income spent for food has continued to decrease while the amount of
services and prepared food products has increased. Wide variations in
the level of incomes can be seen in a particular place. Ranges of income
levels are greater in urban areas where two income families are more
common. A higher income, with two adults working, allows a family
unit to buy more food preparation services. Thus, one goal of a new
entrepreneur is to provide a food product that is readily usable by the
modern family and capture as much of the value added market as pos-
sible.
239
240 THE ESSENTIALS OF MARKETING FOOD PRODUCTS
ORGANIZING MARKETING FUNCTIONS
Buying and selling is the basic function of all transactions. Sellers

can offer a product for a very high price but without willing buyers at
that price, there will be no exchange of merchandise. In like manner,
buyers can offer to buy a product for a very low price but if the seller
is unwilling to agree, there will be no transactions. For all transaction
there has to be a willing buyer and willing seller that agree on the price,
quantity, quality, and location of delivery.
Exchange Functions
The exchange function is the basic price setting stage of the market-
ing process. The volume that is available at a particular time will deter-
mine the price buyers are willing to pay. The price then determines what
the volume will be in the future. If the volume is low and consumers
want more products, the price will be driven up. Based on this informa-
tion, the processor will increase volume to take advantage of the higher
prices. If the volume is more than the consumers are willing to buy at
that price, prices will be driven down. The lower price will not cover all
the production and marketing costs which should lead to a decrease in
production. When the volume is at a level that all units are purchased at
the given price, the market is said to be in equilibrium.
When someone sells a product, they are giving up ownership of
products to a buyer at a price that is acceptable to both seller and buyer.
Prices received for products should be the same or greater than expect-
ed total costs associated with the product. Total cost estimates also in-
clude a profit or a favorable return on investment for each entrepreneur.
When buyers continue to purchase products at these prices, it signals to
continue production.
Buying and selling are the basic exchange functions of marketing.
The purchasing of products requires both parties to agree to an exchange
of a specific product quantity and quality for an agreed price. When one
party, for example, a seller, has more knowledge than the buyer, the
information could result in a higher price being offered. Buyers and
sellers should get as much information as possible about alternative
locations to purchase the product and competitive products.
All middlemen within the marketing system will consider their costs
and income from exchange as part of their business activities. If they
calculate that their total returns are equal to or greater than their total
costs, they will handle a product. Middlemen will also try to sell more
volume in their geographic area to lower their average fixed costs and
thus increase their net return. This is assuming there is no change in
fixed costs with the additional volume.
Marketing efficiency will be optimized when all buyers and sellers
have the same knowledge concerning alternative sources, uses, and
prices. Consumer satisfaction will be maximized when they can choose
between different products, qualities, and prices to maintain or improve
their quality of living.
Physical Function
Food is a biological product and as soon as it is harvested it starts a

deterioration process. Some products spoil faster than others. The ob-
jective of the food industry is to deliver products to consumers in an
acceptable state of freshness. Products must be physically processed,
stored, and transported to the consumer in an acceptable form. Eco-
nomic evaluation of a physical function will provide information to
determine whether the entrepreneur will perform that function or hire
someone else to do it.
Processing
All food products involve assembling, cooking, cutting, sorting,

mixing, and packaging various ingredients into a product form that
consumers will buy. Even fresh fruits and vegetables have to be picked,
cleaned, sorted, cooled, shipped, and displayed. A complete cost analy-
sis for each physical function by an entrepreneur should be done to
ensure that costs for additional processing will return a profit. Examples
of these value added foods include applesauce, frozen vegetables, TV
dinners, and many other items. There are many forms of food that will
satisfy consumers’ desires based on their tastes, religion, ethnic, and
income level. Successful entrepreneurs need to find the market niche of
people who want to purchase their production and marketing services
for a price that covers all costs.
Storage
All products have to be stored somewhere from the time they are
produced until the time they are sold to the consumer. Various products
will have different costs resulting from specialized storage facilities,

such as frozen, fresh, or dry products and the length of time needed for
each product. Storage will be required until these products are ready to
be placed on a retail shelf. Consumers typically do not have very much
storage in their home thus requiring frequent purchases throughout the
year.
Transportation
All products have to be transported in one form or another from the

original production location to the consumer. Costs of transporting
products from a processing plant to a retail facility will depend on the
distance and kind of transportation needed. Transportation costs will
vary by location, type of transport, and volume of products. Sometimes
there are several locations where the product may have to be shipped.
Special transportation equipment may be needed to maintain quality for
such items as bread, fresh fruit and vegetables, and canned or frozen
foods. Each producer will need to find the group of consumers who will
buy the products in specific locations and then target the advertising and
promotion to that group. Consumers can only choose and pay for the
final product after it has been delivered to a location where they shop
and at a price they are willing to pay.
Facilitating Function
The marketing system facilitates establishing quality standards, fi-

nancing, risk bearing, and information for those who use them. All of
these functions are outside the normal arena of local managers, but they
should use this information to their advantage.
Consistent grades that are recognizable are established for each food
item for food safety and quality standards. Industry, state, and/or federal
regulations to maintain safe, wholesome, and consistent food products
set these for consumers. Consumers expect wholesome and depend-
able products at the time of purchase. Consistent standards or a specific
quality grade means the same to both buyers and sellers, which also
improves communication between them.
Maintaining constant standards for each food item requires addi-
tional costs for a quality control program from the time of procurement
until the product is sold to the consumer. Product losses resulting from
spoilage during storage and transportation have to be considered as a
cost to the owner of the product. These have to be considered in the total
cost estimates. Selling lower grades can reduce some loss in revenue
or partially deteriorated products for lower prices but these outlets are
different from the higher quality outlets. Entrepreneurs should always
explore ways to meet consumers’ desires for different quality require-
ments at various prices.
Financing
Each firm in a marketing channel that buys ingredients and products

finances the products until they are sold. Each buyer assumes financial
risks while products are processed, stored, transported, and sold to the
next buyer in the marketing system. Each producer uses their capital
until products can be sold. It is only after the consumer buys the product
that the total financial obligation for the product is settled.
Risk Bearing
During each stage of food production and marketing, titleholders

bear two basic risks: price and decay, during the time it is owned by
them. Price risk can be minimized with various types of contracts, for-
ward pricing, or other pricing techniques. Spoilage can be reduced with
proper handling, storage, transportation, and scheduling.
Market Intelligence
Marketing firms, government agencies, and private brokers know

what is happening in the marketplace. There are many ways small en-
trepreneurs can obtain information, such as using telephones, computer
network pages, newspapers, magazines, catalogs, brokers, and bro-
chures. It is the responsibility of entrepreneurs to seek price and qual-
ity information that is best for their operation. Additional information
should include different market outlets and alternative products that can
be produced to meet different consumer requirements. Finding the right
marketing combinations for special niche products will depend on the
kind and type of information that is collected about the industry.
Accurate pricing, volume, and quality information is key to deci-
sion making. The marketing system provides information for specific
commodity prices, quantity, overall competition, production patterns,
and general price levels. Depending on the type of product there is
published price lists, private and/or public which can be used as price
guides. A guide for selecting price lists will depend, in part, on the vola-
tility of prices and ease of market entry by other producers.
A new cookie, for example, has little value without additional mar-
keting activities, such as advertising and transportation. In addition, in-
formation has to be collected and studied concerning competing cook-
ies. Cookies should satisfy the needs and desires of consumers at their
location, in the form they want, at an acceptable price, and at the time
they want to buy them. Sellers will also have to consider the number
of times consumers buy cookies in a week, month, or year. The num-
ber of consumers in an area and frequency of purchases will determine
the size of the market. This will require some research by the cookie
manufacturer or marketing agent to determine consumers’ acceptance
of a new cookie compared to the many different types already available.
Summary
Thousands of new food products are constantly being developed for

special niches. In reality, all food products can be substituted for one
another if the price differential or specialty attraction causes the con-
sumer to make the choice. In a competitive market, sales will depend on
the success of convincing consumers to buy products at prices that sat-
isfies them. Their choices depend on their incomes, tastes, and desires.
CONSUMPTION
The ultimate goal of production and marketing is to sell products

to consumers. The task of public consumers is to select various food
products that will be consumed by members of their household. Their
selection will depend on their incomes, tastes, ethnic background, and
knowledge of competing products. Satisfaction with the food product,
store personnel, service, availability, and conveniences are also part of
the experience of shopping in a store. Thus, each purchase is not just a
food product, but also a whole bundle of attributes that are evaluated by
each consumer.
Consumers are the final decision makers for all products being sold.
Thus, it is important to know if there is a need or desire for a new prod-
uct prior to development. Also, the price range that consumers will pay
for the product will have to be determined. The price that consumers
Consumption 245
state they are willing to pay in consumer studies should be compared

to the costs of production and marketing of the product. Consumers
choose which products to buy based on their needs, customs, income,
and knowledge of alternative products and prices. Prices for the prod-
ucts, as well as quality, also comprise a major part of the consumer’s
decision to buy any product. Each food product has a role in everyday
food consumption and it is the job of the food producer/processor man-
ager to find it.
Population Targets
The largest population of people in the United States lives in urban

areas. Concentrations of people provide an opportunity to identify spe-
cific ethnic, religious, nationality, or any number of groups that are tar-
gets of niche marketing. Finding these specialized consumers will pro-
vide stability for the product over an extended period of time. Usually
specialty products that satisfy a niche-marketing group are more stable
than items for a wider audience. Selling to the general public usually
requires substantial volume and is subject to greater competition from
all other food products. The volume of food sold is increased only by
the population increase or with expanded export markets.
Marketplace of Alternative Products and Consumer Preference
Consumers have thousands of choices when shopping in a common

supermarket. If an entrepreneur wants to develop a new bread product,
then proper considerations would include what alternatives are avail-
able to consumers. There are often more than 100 different kinds of
breads and rolls from which the consumer can choose. The number of
times a product is purchased per year will also be very important. Prod-
ucts that are used daily or weekly by a household, such as bread or milk,
do not need as large a population base as a product that may only be
purchased once a year. This can include products that are directed at one
specific holiday, like pumpkins for Halloween that will not be sold any
other time of the year. Production and availability of ingredients may
restrict year round selling opportunities. Turkeys have previously been
identified with specific holidays such as Thanksgiving and Christmas.
But now turkey producers and processors have changed consumer pref-
erences to eating turkey any time of the year in direct competition with
beef, pork, poultry, and fish.
Advertising is an important factor in getting people to know about

and purchase the product. New food products can be identified by the
specific characteristics that separate them from competing food prod-
ucts. Advertising is a means where information is passed to the con-
sumer telling them of specific product traits, how much better it is than
competing products, and the satisfaction each purchaser will receive
upon consumption. When a product is not distinguishable from oth-
ers, then advertising becomes very expensive and will not result in in-
creased sales.
Product developers and marketing managers must determine what
food products consumers really want to buy and how much they are
willing to pay. Identifying close substitutes and competitive products
can also be a beneficial marketing activity. This consumer demand in-
formation is used to determine what to produce, when to produce, and
where to sell it.
The basic principles of supply and demand in a competitive market
need to be researched in order for a new product to be a success. A sim-
plified definition of supply is producers will produce greater volumes
with increasing price levels. For example, if the cost to produce a spe-
cific product increases, producers will increase their volume to increase
their income. The definition of demand, on the other hand, is consumers
will buy less with increasing price levels. The role of the marketplace is
to transmit consumer price signals to producers so that they know how
many units to produce.
The marketplace provides information to determine the price level
and production volume that is needed to fulfill consumer’s expectations
and purchasing desires. Producers use price information from the sales
market to decide the volume to produce based on the costs of produc-
tion. Production changes cannot be made instantaneously, which can
cause excess or shortage of the product in the marketplace. Products
that are on the shelf but not selling can be sold at lower “sale” prices in
order to move merchandise. The new price is a major factor for decid-
ing future production based on costs of production. When the consumer
price level is equal to the cost of the product for a given volume, the
marketplace is said to be in equilibrium.
Production decisions are based on current prices along with prices
projected when their product reaches consumers. The uncertainties of
future prices cause managers to make “best-price estimates” based on
their knowledge of consumer demand for their product or similar prod-
ucts. Careful analysis of consumers wants and desires combined with
Consumption 247
their incomes and knowledge of their choices will help project reason-
ably accurate prices for specific food items. To remove some price un-
certainties, advanced contracts can be developed. However, contracts
are more adaptable for some products that set price or production levels
or both for delivery at a specific time and place. Forward contracts can
be developed for both inputs and products.
In a freely competitive market, regulations or other artificial barriers
should not restrict entry of new products. Each product competes on its
own merits based on the willingness of consumers to continue to buy
it over an extended period of time. In addition, the new food product
will be produced based on the availability of inputs. All these factors
become part of the decision making process for managers in deciding
what form, how much, and when to produce it and where to deliver it.
Managing Marketing Activities
The marketing manager should concentrate on marketing plans that

will best serve the company and reach consumers who will buy the
product. Managers think first of increasing sales, but to be success-
ful, they must also think about selling costs. A marketing plan should
identify all problems or hurdles to overcome moving products from
the plant to the consumer. Consumers can be found coming to roadside
stands, using a catalog, or shopping at retail stores. Marketing firms try
to find and convince consumers to buy a product at a price that is equal
to or greater than total costs. This will require looking at all marketing
functions that have to be accounted for before a product is sold. The
important factor is knowing the costs of marketing for every function
used to move products from a producer to consumers.
Various marketing functions require estimating alternative costs for
each function. The form of the food product will determine the extent
each marketing function will be used. Each function has a cost that
is unique to each product. For example, if a product is processed and
frozen, it has to be stored in a frozen state until consumers buy it.
The frozen storage space is more expensive than dry storage but the
freshness quality is maintained over a longer period of time. Product
seasonality can be extended with various types of processing such
as freezing, canning, and drying. Fresh products need to be moved
quickly to the consumers. Managers can organize marketing activities
into three basic functions such as exchange, physical, and facilitating
functions.
Costs and Personnel of Marketing Activities
One person should be responsible for making only marketing deci-

sions. Without a specialized effort, the chances of success are lowered.
Organizing a separate marketing activity for each new product is often the
difference between success and failure. Information about the different
functions and alternative outlets, different forms, and prices will have to
be collected and analyzed. This will require time spent by a marketing spe-
cialist to determine the volume and the size of the proposed market area.
Often a new entrepreneur will not have the time and interest to de-
velop a complete marketing plan. One means of establishing a market-
ing program is to engage a broker or other middleman to sell products
in conjunction with other products. A good broker can provide access
to markets that would not be available without a lot of time and effort.
Brokers usually have information concerning various market outlets for
many products. They specialize in this activity and charge a fee for
their services and they are able to sell products in market locations that
would be difficult for a small firm to find. Information concerning al-
ternative buyers, locations, prices, and alternative products is a major
input provided by brokers.
The primary job of a marketing specialist will be to develop a market-
ing plan. First, questions that need to be answered include: “Do consum-
ers want or need the food product?” “In what form?” “Where are they
located?” “What is the number of and type of competing products?” and
“What prices are consumers willing to pay?” The marketing plan should
include information about every market function for the product to reach
the consumer. Also, procedures need to be developed on how price in-
formation is to be collected for products. Information from consumers
should include acceptable qualities, volumes, as well as prices.
The most difficult part of developing a marketing plan is estimat-
ing total marketing costs. Each marketing firm or production unit uses
labor, management, land, and capital resources in various degrees of
concentration. Expenditures should be included in a cost analysis and
reflected in the difference between purchase and selling prices. Various
marketing functions will have different costs, depending on how much
of each is needed to move products from the place of production to con-
sumers. Each entrepreneur has to evaluate information using estimates
of cost and the pricing system to decide to continue operation. When a
firm is in operation for a longer period of time, these estimates can be
based on actual expenditures, which are more accurate.
Consumption 249
Organizing to Sell New Products
Marketing managers need to decide what kind of a market territory

they want to serve based on their ability to produce a new food product
and how they can use any or all of the participants in the marketing
process. Their selection will depend on different population concentra-
tions, income levels, number of competitive products, and number of
market outlets. All these should be used to develop the type of market
organization that will best serve consumers and sell the product. If these
data are too difficult to personally collect, they can be purchased from
various marketing consultants and marketing firms.
New food products are faced with problem areas that are unique for
each product. Products have to be delivered to locations where consum-
ers will be able to buy them. For some products this can be complicated,
but for others the marketing process is fairly straightforward. In any
case, managers should gather the kind of information that is needed to
fully understand and be able to choose the most profitable alternative.
To start this process, managers must have enough information about
their consumers and target markets.
Consumer Needs. Consumers have specific wants and needs based
on their incomes, which vary from high to low. They are given choices
of thousands of products, from luxury items to basic necessities. They
have many different traditions and tastes, ranging from ethnic to generic
products. Consumers affect production decisions every day. Consumers
are the final buyers and users of products. The intent of any business to
make and sell a product is to do the following:
• Make it in the form and quality that consumers want
• Make it when consumers want it
• Sell it in places where consumers want to buy it
• Sell it at prices consumers are willing to pay
Identifying Target Market. Who will most likely buy the product,
how often will they buy it, what price they are willing to pay, and where
will they be buying it? Managers have to get market information in or-
der to make the following day-to-day decisions and define their target
market, the people who are most likely to purchase the product:
• What quantity of a product are consumers willing to purchase?
• Who are the other manufacturers of similar products competing for
the same consumers?
• What prices are consumers willing to pay for various quantities of-
fered for sale?
• How quickly do products and information travel through the chan-
nels of distribution?
• How long does it take for a price increase to reach the producer?
• Based on changing price information from consumers, should pro-
duction be increased or decreased?
PARTICIPANTS IN THE MARKETING PROCESS
There are many firms involved in the marketing process. This section
focuses on “who” is involved. There are a variety of middlemen and or-
ganizations that specialize in performing various marketing functions.
There is no limitation as to the way they are organized.
Wholesalers
Wholesalers sell to retailers, other wholesalers, and industrial users

but do not sell in significant amounts to ultimate consumers. There are
two main kinds of wholesalers: agent and merchant.
Agent wholesalers arrange to have products moved from processors
to merchant wholesalers and retailers. They can also provide access to
market territories that would be available only if the producer expended
additional time and cost. This activity requires a great deal of special-
ization, and they charge fees for these services. For this fee, however,
they can help provide some diverse solutions such as alternative buy-
ers, locations, prices, products, and various market outlets. In addition,
some may specialize in a certain kind of product, different market lo-
cations, or a large number of different products in a specific location.
Meanwhile, merchant wholesalers buy and sell for their own gain based
on their knowledge of the market situation. They provide great connec-
tions to consumers. For example, merchant wholesalers buy and sell
products to retailers, other wholesalers, and industrial users. Their goal
is to use their knowledge of the system to “buy low and sell high.”
Brokers
Brokers act only as representatives for their clients. Brokers’ incomes

are from fees and commissions, which are payments for their knowl-
Participants in the Marketing Process 251
edge of market outlets and contacts. Brokers do not assume physical

control of the products. They follow directions of each principal and
have less discretionary power in price negotiation.
Retailers
Retailers buy from many processors and wholesalers to develop a prod-

uct mix that will attract consumers to their stores. They rely on consistent
quality and availability of products. They will usually mark up their price
on each product a given percent over what they pay for it. However, if
the product does not sell then they will have a “sale” of that product and
subsequently not buy as much or any for the next time period.
Alternative Retail Outlets
There are many ways to distribute products once they have been pro-
duced. Marketing alternatives include selling directly to retail outlets.
Arrangements need to be set up before full production, not after. These
include such outlets as large chain stores, mail-order sales, neighbor-
hood stores, roadside stands, and door-to-door sales. Alternative retail
outlets can help producers reach a specific consumer group with income
level suitable to the product, ethnic preferences that match the products,
and lifestyles that are served by the products. Different retail outlets are
usually defined by the size of store and variety of products.
Large Chain Stores
These stores can provide an opportunity for a larger number of con-

sumers than a local store can. They offer thousands of choices of differ-
ent products from which consumers must decide to spend their money.
Large chain stores usually require large quantities of a product deliv-
ered at specific times and specific places at predetermined prices. They
also require the product over an extended period of time. For providing
access to large numbers of customers, they often charge a shelf space
fee in addition to the percent markup. This fee is a marketing cost to
the producer.
Neighborhood Stores
These stores will often work with local producers if the managers
feel their clientele will accept the products. Each store has developed a
clientele unique to that store, and new products will have to be a part of
that image. Usually there are not a lot of different products and this is a
good way to see if consumers will buy the product.
Specialty Stores
Specialty stores are often single-line stores or discount houses,

which, like neighborhood stores, have a unique clientele. The products
must match the clientele and image of the specialty store. Consumers
patronize these stores because they want and know the quality and pric-
es of various products carried by the store. The higher quality products
usually charge higher prices, which also have higher costs.
Mail-Order (Internet) Sales
When using mail order outlets, sales volume can be controlled by the
number and type of catalogs sent. When using mail order catalogs, it is
important to know the number distributed to and the characteristics of
the readers. If, for example, 400,000 people receive a catalog and 3%
of them order the product, that means there could be 20,000 orders.
Producers need to understand and be prepared for the potential volume
of mail orders. Conversely, there could be very few sales, and there
could be many products left over. The Internet should be considered for
specific food products that can be shipped safely.
Government Contracts
Government contracts provide food to such outlets as prisons, mili-

tary bases, and government cafeterias. These can provide a good consis-
tent outlet for products. Contracts with various government purchasing
agencies can provide sales opportunities in large volumes, especially
for small or minority businesses. Government specifications must be
met in order to secure these contracts.
TEST MARKETING
Regardless of the outlet chosen, products should be subjected to

test marketing in order to gauge potential sales. The purpose of test
Test Marketing 253
marketing is to see how specific products can compete with other

brands and to get consumers reaction. Producers should work with
retail managers to decide advertising and promotion requirements to
spark consumer interest. Retail managers must have interest in the
product and be convinced that it will succeed in their establishment.
Producers and retailers can entice customers to try new products by
offering samples in a store, selling at reduced prices, or giving the
product away. Immediate feedback should be sought from consumers
to capture what consumers think of the products and any suggestions
they may have for improvement. Producers should compare compet-
ing products by purchasing them and carefully noting prices and qual-
ity standards.
Location of products within any store is very important. Certain lo-
cations receive higher consumer traffic than others. Placement deter-
mines how many consumers will see the product, which boosts sales.
Work with retail managers to get the highest exposure areas for new
products such as at the ends of aisles or at the check-out counter. Also
there is a preferred height on store shelves where people can see your
product without looking up or down. There may be different fees for
different locations in the store.
Consumer Feedback
Consumer feedback is asking friends and neighbors to provide assis-

tance when testing a new product. This is only the first step and should
not be the test used to represent consumers. It is vital to seek consumer
reaction to a product before full production begins. This process begins
in a marketing plan. Ask consumers in a store or area where there are
good represented numbers of the following questions:
• Do they like the product?

• Will they buy it again? How soon?
• Will they continue to buy it?
• What changes would they like to see in the product?
Once full production is underway, a program to obtain continu-

ous consumer reaction should be developed. Information should also
be gathered continuously in each location about the sales volume and
changes in the competitors, life cycles of the product, new products,
service to vendors, and competitors.
Remember that general information will provide general results, and

detailed information will allow for more detailed analysis and more ac-
curate results. Each manager has to decide what type of information is
needed and how much to collect to affect plant management decisions.
The more producers know about customers, the better chance they have
of satisfying customers now and into the future.
Pricing Competitively
One question to ask is whether the product is priced similarly to oth-

er competing brands but above costs of production? Once consumers
have been identified, a retail outlet has been located, and test marketing
completed, producers determine at what price a product will sell and
still be profitable. Price is the only means for generating income and
profit for the producer and all marketing functions. There is no one
method of setting prices. Costs of production do not determine the price
that consumers will pay for the product. Consumers are interested in the
lowest priced products to buy at a particular quality and volume.
Consumer demand can drive product pricing. If consumer desire for
a product is great, higher prices may be set to ration available sup-
ply for sale. As production increases, prices may have to be lowered to
sell additional volume. Knowing the costs of production and pricing a
product to cover these costs is very important in order to create profit.
Long-term revenues should be equal to or greater than long-term total
costs if the goal is to remain in business.
Marketing managers must find the price that satisfies both consum-
ers and producers. Consumers are always willing to pay lower prices
for any product. Producers are always willing to offer products for sale
at higher prices. A market price for long-term production is established
when the average price consumers will pay for any product is equal to
or above the average total cost of production.
Advertising
Advertising is a powerful tool in marketing. By definition, advertis-

ing is controlled communication between producer and consumer about
a product. Through symbols and language, it tells what a product or
service can do for the consumer. The main thrust of advertising cam-
paigns is to convince consumers that a particular product is unlike com-
peting products and that quality of life will be improved if this product
Test Marketing 255
is purchased. Campaigns can focus on differentiating a product from

similar offerings based on consumer-accepted quality differences. The
goal is to convince consumers to buy it. Consumer information can be
gathered by giving samples to consumers in stores or retail businesses.
This information can give a direct consumer response for a new product
at that location.
Regardless of the quality of a product’s advertising, it is important
to remember that a product has to compete on its own. Brand pref-
erence cannot be established if the product fails to meet consumer
expectations. A well-developed overall advertising program can tell
a consumer what a product or service can do for them compared to
similar products on the market. If consumers are convinced, they will
buy the products.
Frequency of Consumer Purchase
Frequency of consumer purchases is very important. Repeat pur-

chases are the keys to a successful outlet selection. Not all products
are purchased at the same frequency. Marketing managers need to un-
derstand how often consumers will be purchasing their products when
determining production rates, transportation, storage, etc. The most
common purchasing patterns are as follows:
• Daily or several times per week—some products, such as milk, fresh

fruit and vegetables, bread, and donuts, are usually purchased fre-
quently, meaning the producer will have to deliver the product fre-
quently. These products are usually very perishable.
• Weekly—these are generally products with a 3–6 week shelf life. For
these products, careful control of the production inventory will be
necessary. A producer must have the ability and capacity to store
products between deliveries.
• Monthly—these require a larger consumer territory if the consumer
only buys one item per month compared to one per week. Delivery
to retail stores will be less frequent and storage will have to be in-
creased, either on the shelf or in a storage room.
• Seasonally—these are products that are generally associated with a
specific growing season. These types of products are usually sold
only during the season they are available.
• Annually—specific food products that are used only with a particular
holiday, special event, or time of year.
Packaging
Packaging is designed to protect food products from spoiling and

keep them clean yet it is a great mode for product promotion. Producers
should not overlook the importance of product packaging, as it is the
consumer’s first impression of the food. When the package is appealing
to consumers, they are more likely to buy it. Consumers will buy the
product in the package they like and will not buy it in one they do not
like even though the product is the same.
Consumers decide the package size most suited to each product by
selecting certain sizes when purchasing them for their use. The size and
type of package will depend on knowing what the consumer will accept
for each type of product. Consumers are more likely to buy a smaller
package that is used immediately. A larger package can be considered if
it is used frequently but will keep its quality over several days.
All plant and animal products not sold immediately (within a rea-
sonable time) must be preserved in an appropriate way such as pick-
ling, canning, smoking, cooking, drying, or freezing. The types of
processing will determine the length of time the product can be safely
stored from the time it is processed until it is used. Storage and trans-
portation are critical to the marketing process. Obviously, different
packaged products require different types of storage and transporta-
tion facilities. Fresh products have to move quickly to consumers.
Dried products can be put into packets and moved through different
marketing channels at a slower pace without affecting the quality of
the product. They can also be shipped further to reach different con-
sumer areas. It is crucial that the package or containers maintain the
same quality of the product from the time it leaves the processor until
it reaches the consumer regardless of the type of storage and transpor-
tation required for a product.
Marketing is a general term used to describe all the steps that lead
to final sales. It is the process of planning and executing pricing, pro-
motion, and distribution to satisfy individual and organizational needs.
From this definition, it is easy to see that marketing is more than just the
process of selling a product or service. Marketing is an essential part of
business, and without marketing, even the best products and services
fail.
Marketing teams must study the marketplace in order to reduce the
risk of failure. When the needs of customers are unmet, companies fail.
They mistakenly believe that with the proper amount of advertising,
Test Marketing 257
customers will buy whatever they are offered. Marketing consists of

making decisions on the four Ps:
• Product
• Place/Distribution
• Promotion
• Pricing
Before a business owner can make decisions on the four Ps, he/she
must devise a plan. A plan provides a business with guidance on making
decisions. A marketing plan involves a six-stage process that is com-
monly referred to as strategic marketing; a strategic marketing plan is
an important part of a business plan.
Marketing Plan
A marketing plan should be developed and continuously updated

for each product. This information includes what, where, when, and to
whom products are to be sold. This information should also be used to
decide production practices, changes in products, and if needed, where
products should be sold for the greatest return and volume that can be
sold. More specifically, a marketing plan has to provide an assessment
of the product climate and guidance for how the business should inte-
grate the new product.
Business Environment
An assessment of the current business environment of a particular

area may be beyond the control of local managers, but it needs to be un-
derstood because other businesses and their practices influence the type
of marketing organization required for success. The patterns of buying
and selling are not easily changed for well-established products, but can
be more easily swayed in a new and unknown food product. Beginning
sales of a new product may have to overcome some long established
business associations. If wholesalers have worked successfully with a
given group of suppliers, it could be very difficult to convince them to
include a new product into the existing line, especially if it is similar to
some that have been handled for several years.
One way to get the interest of wholesalers or retailers is to demon-
strate an increase in profitability for them. This can be difficult if there
is no track record for the product. A completely new product should
consider small markets with direct control of marketing until a good

history can be developed. With this information it will be easier to con-
vince wholesalers to consider a new product. Also it will demonstrate
that the new product has the possibility of being accepted by consumers
for an extended time period.
Consumer Requirements
Since consumers are the ultimate purchaser of products, firms must

have an understanding of customer requirements. What customers
would be willing to purchase this product? Are they located in a central
area? Where would this product experience the most success? Impor-
tant factors to consider when addressing consumers are market terri-
tory, population concentration, income level, and the number of market
outlets.
Market territory is the physical location where the product is going
to be sold. It must be determined whether it is local, national, or some
combination in between, or in some circumstances, in foreign countries.
The population concentration in a certain market territory must also be
taken into consideration. There has to be sufficient people within a spe-
cific market area who will buy products on a timely basis. The number
of visits to a certain store people make per week is also important infor-
mation to seek out. Specific ethnic groups will pay for specialized prod-
ucts for religious or dietary needs. This will determine where to sell and
the volume each site needs to maintain consumer satisfaction and at the
same time keep the plant operating at a profitable level.
Different customers have different income levels with different
tastes and preferences for products and whether they are essential or ex-
travagant consumption. Higher income groups are willing to pay higher
prices for better quality products with less regard to prices. Lower in-
come groups are more aware of prices and do not regard quality as im-
portant. The income level in which your product will target is essential
to recognize.
The number of different market outlets should be considered. The
marketing team should consider where consumers can purchase the
product and consider if it will be in one large store, a major chain, many
small stores, roadside stands, or mail order, and now the Internet system
can be an alternative market outlet. All these need to be considered in
a marketing plan to decide which outlet will be best for the new food
product.
Test Marketing 259
Stage 1: Mission Statement
The first stage in strategic marketing is the development of a mission

statement. A mission statement is a brief description of a company’s
goals, generally no more than a few lines, that describes where the com-
pany is and where it wants to go.
A good mission statement should contain:
• Company purpose
• Target customers/markets
• Principal products/services
• Geographic domain
• Core technologies used
• Commitment to survival, growth, and profitability
• Key parts of the company’s philosophy
• Company’s desired images
Do not expect a mission statement to be developed quickly. It gener-
ally takes various revisions before a complete mission statement is writ-
ten. Overall, a mission statement should reflect the objective and image
that the company wishes to portray.
Stage 2: Overall Company Objectives
Once a mission statement has been created, the company can develop
objectives. Objectives are specific goals to be achieved by the business.
Company objectives are plans that will help a company move toward
the mission statement. A business normally creates both one- and three-
year objectives. Examples of company objectives are as follows:
To earn at least 20% after-tax rate of return on our net investment
during this year.
OR
To make our cookies the best selling cookies in terms of units sold
in Kansas.
Types of Objectives
Objectives can focus on profitability, volume, stability, and other

non-financial aspects of the business. Profitability objectives include
improving net profit as a percentage of sales, total investment, or com-

mon stock share. Volume goals may be to increase market share, grow
sales dollar, improve sales rank in the market, or increase production
capacity. Companies may also strive for great stability, meaning less
variance in annual sales volume, seasonal sales volume, and profitabili-
ty. Improving stability helps organizations to better forecast the amount
of money that will be coming into the business, as well as allow for ease
of financial planning. Non-financial goals can center on any number
of issues including technological advancement, sustainability practices,
and improved corporate image. No matter what category of objective,
they should be suitable for the business, measurable, feasible, flexible,
motivating, and include commitment and participation from employ-
ees. Companies need to ensure that they do not set too many objectives.
When too many objectives are set, the company runs the risk of having
objectives contradict and interfere with each other.
Stage 3: Competitive Strategies
Organizational objectives focus on internal motivation, while com-

petitive strategies are developed to create advantages over the competi-
tion. Examples of creating a competitive strategy include offering buy-
ers a standard product at a lower price, or making the product different
than the competition on attributes considered important to the customer.
Overall cost leadership is a strategy to reduce costs. Reducing costs
allows the producer to have a greater advantage in pricing finished
goods, making the product more competitive with others like it. Reduc-
ing costs can be achieved through producing on a large scale, designing
TABLE 15.1. Questions for the Creation of Marketing Objectives.

Suitable Do they fit with the corporate mission?
Measurable What will happen and when?
Feasible Are they possible to achieve?
Acceptable Do they fit with the values of the company and the employees?
Flexible Can they be adapted and changed should unforeseen events arise?
Motivating Are they either too difficult or too easy to achieve?
Understanding Are they stated simply?
Commitment Are employees committed to doing what is necessary to achieve
them?
Participation Are employees responsible for achieving the objectives included in
the objective setting process?
Test Marketing 261
products that are easy to manufacture or use already acquired equip-

ment, accessing low-cost raw materials, predicting a broad range of
products, and pursuing cost reductions.
Differentiation involves changing the product so it is perceived as
unique. Change can be based on technical superiority, quality, customer
support services or the appeal of more value for the money. Companies
that use differentiation position themselves or their products to be dif-
ferent than their competitors in the eyes of consumers.
Niche marketing occurs when a product is sold to a small number
of total potential customers. The specialty market is often referred to
as niche marketing, since products are marketed to a very small group
of buyers. Niche marketing requires the business owner to identify
customers with similar demands and serve their needs extremely well.
Niche marketing implies that a company will take a lower overall mar-
ket share, but possibly with higher profits on the product. Having higher
prices or producing at lower costs may achieve higher profits.
Stage 4: Marketing Objectives
Marketing objectives can only be developed after stages one through

three have been completed. These should be designed to help a compa-
ny attain overall objectives. The five basic marketing objectives are to:
• Achieve a viable level of sales or market share
• Increase market share
• Maintain market share
• Maximize cash flow
• Sustain profitability
Market share is a common term used in developing marketing objec-
tives. It refers to the percentage of the total industry sales your company
attains. For example, if a company sells 100 units of product, but total
consumption for the good is 100,000 units, the market share is 0.1%
(100/100,000). Because market share says how you measure against
your competitors, it is an important factor to consider.
Stage 5: Marketing Strategies
Marketing strategies outline exactly how marketing objectives will

be achieved. For example, if the marketing objective is to increase mar-
ket share, the marketing strategy states exactly how the market share
increase will occur. A marketing strategy is a way to give marketing

orientation to a business by deciding to position a product or service in
terms of buyer needs and wants.
Inexperienced business people often make decisions based on what
they personally like or want, leaving the customer out of the picture. A
marketing orientation brings the customer into the center of the picture.
The marketing objectives for profits, cash flow, and market share can
be achieved by increasing the number of users, increasing the rate of
purchase, retaining existing customers, or acquiring new customers.
Stage 6: Marketing Programs
Marketing programs are the detailed approaches to the four Ps (prod-

ucts, place, promotion, and pricing). Decisions regarding the four Ps
should closely follow the mission statement, company objectives, com-
petitive strategies, marketing objectives, and marketing strategies.
Place: Where will the product be offered?
Products need to be distributed after they are produced. Arrange-

ments need to be set up before full production, not after. These in-
TABLE 15.2. Marketing Strategies and How to Achieve Them.

Marketing Strategy Goals How to Achieve Goals
Increase the number of users • Building willingness to buy
• Increasing ability to buy
Increase the rate of purchase • Broadening usage occasions for the product
• Increasing level of consumption
• Increasing rate of replacement
Retain current customers • Maintaining satisfaction
• Meeting what competition offers
• Developing or increasing relationship marketing
Acquire new customers • Bundling (selling products together, usually at a
lower price than if bought separately)
• Head-to-head market dominance
• Head-to-head price/cost leadership
• Differentiating the product
• Serving a narrowly defined target market
• Flankers (new brands designed to serve new
segments)
Test Marketing 263
clude such outlets as large chain stores, mail-order sales, neighborhood

stores, roadside stands and door-to-door sales. Alternative retail outlets
can help producers to reach a specific consumer group with income
level suitably to the product, ethnic preferences that match the products
and lifestyles that are served by the products. Different retail outlets are
usually defined by the size of store and variety of products.
Promotion
Promotion includes all activities designed to inform, persuade, and

influence people when they are making the decision to buy. The objec-
tives of promotion need to be clearly stated and measurable. They must
be compatible with the objectives of the company as well as the com-
petitive and marketing strategies. Objectives vary for different products
and different situations. For example, producers must promote differ-
ently to brokers than to wholesalers. When promoting to a broker, the
producer must promote what he/she wishes the broker to present to the
wholesaler. When promoting to a wholesaler the producer simply wants
the wholesaler to purchase the product.
There are five general promotional objectives to choose from. The
five types of objectives for promotional activities are to provide infor-
mation, increase demand, differentiate the product, accentuate the value
of the product, and stabilize sales. Promotion can be carried out through
advertising, publicity, and sales promotion. Advertising is the transmit-
ting of information via media channels whether it is free or purchased.
Publicity is promotion at no cost to the company, which can be through
news stories, and television appearances. Sales promotion is any form
of communication not found in advertising and personal selling, includ-
ing direct mail, coupons, volume discounts, sampling, rebates, demon-
strations, exhibits, sweepstakes, trade allowances, samples, and point-
of-purchase displays.
Promotion Objectives
When designing a promotional plan, clearly spell out which objec-

tives to use. It is possible to have more than one objective, but it is
recommended that a company targets its audience or you run the risk of
losing focus. The most important focuses are what the message will be,
who the audience will be, and how the promotion will be measured for
success and reach.
Promotional Strategy
Once the producer has reviewed all the possible promotional tools,
he/she must devise a promotional strategy. A promotional strategy
should have clearly defined goals as well as an outline of what types of
promotion that is most desired. Throughout the plan, marketing man-
agers should make note of what promotions are successful and which
are less successful. Costs of promotion should be compared to their
audience reach in order to get the best results with the least amount of
investment by the firm.
Cost of Promotion
Sales promotion at the cost of the company has become increasingly

affordable. Inexpensive, appropriate, and effective methods of pro-
motion have emerged in the age of the Internet. Although direct mail,
window banners, and product demonstrations are all valuable promo-
tion tools for organizations, social media outlets have become a major
platform for reaching large audiences. Many social media outlets are
completely free, and can reach a large amount of potential customers
in a short amount of time. Another free method of promotion is “word
of mouth.”
Type of Advertising
Advertising is the transmitting of information through mass media.

Advertising can take place through print ads, television or radio spots,
billboards, direct mailers, Internet site advertisements, or corporate ad-
vertising. Each advertising medium has advantages and disadvantages
for the business, and can reach different groups of consumers.
Newspapers. Newspapers run ads in each of their papers in order to
help cover their printing costs. In general, newspaper advertising pro-
vides flexibility and a high amount of coverage, but it is covered over a
short amount of time. In addition, newspaper readership has declined in
recent years due to the use of the Internet for news of events and hap-
penings.
Radio. Radio advertisements have low costs, and are great for imme-
diate promotional events. The audiences for radio stations can be quite
tailored, therefore reaching a targeted audience. But, just like newspa-
per advertisements, they can be quite short lived in effect.
Test Marketing 265
Magazines. A great advantage for magazine advertisements is the

audience selections that it offers, because many magazines have readers
who fit into certain categories and therefore may not be avid readers of
other periodicals. In addition, magazines are generally kept longer than
newspapers. Although magazine advertisements have many positive
factors, they are often inflexible in matters of space and timing.
Outdoor Advertising. To receive quick communication of simple
ideas, a company might consider outdoor advertising such as bill-
boards. Outdoor advertising offers great advantages when products are
especially relevant in a geographical area. The promotion of products
that are available nearby can be beneficial along highly traveled roads.
Messages on outdoor advertising must be brief because the majority of
their viewers may be driving in cars at moderate speeds with only a few
moments to get the message.
Television. Television advertisements generally have mass coverage
especially during heavily watched events like major sporting events.
In addition, most advertisements are played repetitively, which helps
induce product excitement. Television advertisements can have high
costs.
Direct Mail. Direct mailers provide flexibility of format, can give
complete information, and offer complete personalization. In addition,
they offer a great amount of selectivity. For example, if you wanted to
send out an advertisement regarding a new sales promotion in a store,
you could choose the geographical area or could just send it to custom-
ers who have purchased from you in the past. The downfalls of this
type of advertising are cost, dependency on a quality mailing list, and
consumer resistance to this type of advertising.
Cooperative Advertising. Cooperative advertising should be looked
at as a way to enhance consumer awareness of a product (or brand) in a
local market under both the brand and the retailer’s name. Think of co-
operative advertising as retailers helping to sell a product by paying part
of the expense to promote the product in their local market. Examples
of this can be seen in super market sales advertisements that offer spe-
cial prices on specific products.
Internet Advertisements. Internet advertisements are a good way to
reach a tailored audience. Some websites have highly selective audi-
ences, like certain blogs. For example, a blog about eating gluten free
has a highly selective audience made up of those who likely eat gluten
free or live in a household with someone who does. A gluten free blog
may be the perfect place for a company that specializes in gluten free
products to invest in advertising. Internet advertisements may fluctuate

in price due to differences in the number of visitors. The advertisements
must be catchy and use a focused message, as space is usually limited.
Media Rates
Promotional and media costs are the most difficult to allocate because
their effectiveness is hard to measure in a concrete manner. Before look-
ing at the dollar costs of different promotional media, a company should
decide which media are most likely to reach the target audience, which
media suit the product image, and whether any product-specific features
make one medium more appropriate than another (i.e., a visual demon-
stration is necessary). A promotional budget should be set before consid-
ering media rates. Common errors to avoid are trying to focus on a broad
market rather than a target audience, allowing the quality of a promotion-
al piece to lapse to make it affordable, not including a measurement of
effectiveness, and just relying on one source of media. With a company’s
free access to social media outlets, marketing managers should amplify
their promotional material by providing more information online.
Trade Shows
Budgeting for a trade show and including this venue in the overall
marketing plan is a highly focused way to establish a presence in the
marketplace, gain an overview of the industry at present, and obtain a
list of serious buyers more quickly than would be possible with a tra-
ditional sales approach. Although trade shows are relatively expensive,
they are widely used in the food industry. They offer the potential for a
high return in sales and contacts if planned properly and presented well.
Several months to a year may be required to obtain a well-located booth
and prepare the appropriate materials and displays.
Preparation for a Trade Show. After choosing a trade show that fits
the business’s current needs with the largest access to distribution, set
goals for the organization to attain at the event. This will help in devel-
opment of the presentation strategy and display. Set a budget allowing
for enough personnel, accommodations, product, and travel. If the trade
show is out of the country, allow for insurance costs, and plan to spend
a day in the host country before and after the trade show. It is advisable
to choose professional design and marketing consultants to help prepare
the materials for the booth. Effective material can also be prepared by
Test Marketing 267
the company, just remember the target audience and the image the busi-
ness wishes to project. A company should prepare a high-impact display
to attract the audience, professionally prepared information handouts,
and samples of the product.
Trade show attendees should prepare a sales presentation. Exhibit
selling must be polished, brief, and convey information. If the presen-
tation lacks impact, the audience will quickly move on. Construct a
system for recording leads. Several options include lead sheets for sales
staff, a business card exchange system, or a signup sheet for more in-
formation. Many trade shows now offer easy badge scanning systems
that record contact information of those who are interested in receiving
more information. Companies should also prepare business cards for
each of the employees attending, if they are not already available. Last
but not least, ensure everyone at your booth is well informed about your
company, its product, prices, and terms of sale.
At the Trade Show. Staff should plan to present products and work
with customers the entire time they are in the booth. Ensure that ad-
equate breaks are given so the quality of presentations remains consis-
tent. The customer must relate the product to their situation. Sales staff
should encourage customers to handle and taste the product and talk
about their situation so the most relevant points about the product can
be presented. Encourage customers to take information and samples.
Be sure to prepare a plan for follow-up before the trade show, with
deadlines for recontacting interested parties. Follow-up should be im-
mediate, and it is best to let customers know in advance when and how
they can expect to be recontacted.
Publicity
Publicity provides free advertising for the producer through news

stories found in newsletters, newspapers, magazines, and television.
Sending a media release to radio, television, newspaper, and magazine
offices can attain publicity. A media release is a one-page letter identify-
ing a newsworthy event and outlining the who, what, when, where, and
why of the story. The announcement of a new business, introduction
of a new product, or any other success story related to the company
is worthy of a media release. The media will publish or announce the
story as news items, therefore this media attention is at no expense to
the organization. Publicity is one of the most effective and least costly
means of advertising.
Demonstrations
In-store demonstrations, sometimes referred to as product samplings,

are an effective and inexpensive way to promote a new or existing prod-
uct. There are three types of in-store demonstrations: (1) live demon-
stration, (2) mobile demonstrations and (3) static display.
Live demonstrations include a staffed area with activity, such as
simple preparation. They are best with a new product that requires in-
formation or answers to questions, or for a product that requires special
preparation. One advantage of a live demonstration is that you can en-
courage the customer to purchase the product.
Mobile demonstration is a form of live demonstration that occurs
when a demonstrator walks through a store offering samples. The dem-
onstrator usually has a base operation near the product sales display.
Not all stores allow for this type of demonstration.
Static displays include an area displaying the product and offering
unattended samples. One advantage of a static display is that they are
cost effective. One disadvantage is that there is no control on how much
sample is used or on the purchasing decision. This type of demonstra-
tion requires consumer familiarity with the product.
Coupons
Coupons can be an effective way to increase sales and profits, but there
are certain costs to consider including costs of physical distribution, mail-
ing, placing advertisements, and paying the retailer a handling charge for
redeeming the coupons. Managers must estimate various rates to deter-
mine the effectiveness of a coupon promotion. The estimations could be
based on past performance or on experiments that run coupons in one city
or in one part of a city. The rates that should be noted include:
• Redemption rates: the percentage of buyers responding to the incen-

tive.
• Displacement sales: sales made during a promotion that would oth-
erwise have been made to regular buyers at the regular rate.
• Acquisition rates: non-regular buyers who purchase the product dur-
ing the promotion.
• Stock-up rates: sales made during a promotion that are borrowed
from future periods because the customer stocks up on the product at
the discounted price.
Test Marketing 269
• Conversion rates: the conversion of non-regular buyers into regular

buyers.
Pricing
Pricing is much easier with one product than with multi-products.

When a single good is being produced, all fixed costs associated with
the business are applicable to that one product. When several products
are produced, fixed costs must be applied proportionately to the various
goods according to use.
Many companies want to have both extensive marketing programs
and the lowest price. In most cases, this is not feasible. The money for
the marketing programs must come from the consumer and this is not
always possible with low prices.
Traditionally, companies have used costs as the basis for setting
prices with no regard as to the value a customer places on a product or
how competitors are pricing. A market-driven company will price on
value, while keeping aware of costs. Target pricing involves studying
the competition and the customer to identify a point where the product
must be priced to be competitive. Once the target price is identified, the
company identifies a desired profit and works backward to calculate
cost at which the product must be produced to meet the profit and target
price. These calculations must take into account the target profit mar-
gin, price reductions for retailers, costs of promotion, and future dis-
tribution costs. To properly calculate the costs incurred by a company,
include current and future planned activities for distribution, promotion
and product development.
Setting Prices
To decide what price your new product should sell at, it is important
to look at the break-even analysis and the cost-volume-profit relation-
ship. Break-even analysis can be used as a tool for initially setting a
product’s price or for calculating the effects of a price change. It helps
the owner/manager understand that for certain prices, different levels
of production are required to break even (i.e., covering all variable and
fixed costs).
The break-even point is where total revenue equals total cost. Below
break-even, losses are incurred. Above break-even, profits are realized.
In the cost-volume-profit relationship, economies of scale measure the
impact of changes in volume on fixed costs. In many cases, a company’s

ability to increase the volume of output allows them to decrease the per
unit cost. The experience curve effect is where variable costs decline as
volume increases. This can cause better results from increasing the vol-
ume of products. Experience curves may be due to a more efficient pro-
duction process, higher discounts due to greater volumes of purchases
and workers becoming more efficient at the process. “Sunk” costs, such
as research and development, should be ignored when setting prices.
Pricing Strategies
Pricing strategies specify the role of price in implementing market-

ing strategy. It states what the company wants to achieve by setting a
particular price. Pricing strategies are not necessarily mutually exclu-
sive. Price strategies should be determined for each marketing strategy
set by the company and must be consistent with distribution and promo-
tion strategies.
Penetration pricing is used when lower prices can result in an in-
crease in growth in market share or an increased demand for the com-
pany’s product. Penetration pricing is setting product prices low in or-
der to stimulate sales. Other motivations for using penetration pricing
are that it may drive up sales of complementary products that are being
purchased along with the sale of lower priced products. If a company
knows that its competitor’s price structure is high and inflexible, pen-
etration pricing can be used as a benefit.
Parity pricing is setting the price near or at competitive levels, and
using other marketing variables to implement strategies. Parity pricing
is best used when total market volume is not likely to grow with lower
prices. If competitors can easily match any price decrease, parity pric-
ing is more valuable than penetration pricing.
When a company can differentiate a product in terms of higher quality
or special features, premium pricing should be utilized. Premium pricing
means setting a price above competitive levels. Premium pricing is best
used when it is difficult for competitors to enter the industry. This pricing
structure can also be used when a consumers recognize a brand as having
quality that is insurmountable by other products offered.
Monitoring Costs
A multi-product company cannot get the information it requires from

Test Marketing 271
the conventional profit and loss statement. Instead, it needs to track

costs for the company and for each product. Without product-specific
information, it cannot tell which products are doing well and which
need additional marketing support.
To gather all the relevant information, a company needs to track two
types of costs:
• Variable costs (direct costs of manufacturing): costs specific to the

manufacturing of the particular good or service under scrutiny (i.e.,
labor, raw materials and supplies).
• Fixed costs: ongoing costs that occur whether a business is shut
down for a period of time or in full production (i.e., depreciation,
insurance, taxes, selling and administration costs, utilities, and other
costs).
Calculating Mark-Ups
When setting prices, companies must take into account their own
costs as well as the various mark-ups required as a product moves to-
ward the consumer. In the food business, mark-ups are usually calcu-
lated from the retail price working back, rather than from the cost work-
ing up. As a rule of thumb, retailers’ margins average around 30% with
distributors’ margins being as high as 30%, depending on what services
are being provided.
The approach is similar when dealing with food service distributors
such as Associated Food Distributors, but with allowances made for
volume rebates. Volume rebate schedules are stepped with higher vol-
umes, which means a higher percentage volume rebate is payable by the
processor. The processor must build in anticipated costs, which will be
invoiced, to the company at year-end for the rebate based on the proces-
sor’s total sales to the food service distributors.
The processor should not jump into a volume rebate schedule with-
out first calculating the impact of the increased volumes in the form of
lower per-unit costs. Many processors offer a volume rebate schedule
that reduces profitability because the volume rebate is greater than the
cost savings of the increased output.
Pitfalls to Avoid When Devising a Marketing Plan
Care must be taken when developing a market plan. The buying pub-
lic is very picky. Producers need to understand the pitfalls of moving

too many units into anyone location based on a given price level. This
can result in a surplus at that location. In a similar manner, if there are
not enough units in a specific location and consumers want the product,
they will pay higher prices to get it.
Surplus
Products that are located in a certain market location at a given price

that is higher than consumers are willing to pay to move that volume
is called a surplus. Consumers may consider buying the surplus at a
lower “sale” price. When this occurs, retailers reduce the price offered
for additional units they order and buy. When this occurs it is a signal
to producers to send fewer units to that location. New markets need
to be found or produce at a lower cost. All of these factors need to be
considered very carefully.
Shortage
There is a shortage when consumers want to purchase more prod-

ucts than are available at specific locations at a given price level. When
this happens, consumers who want the products are usually willing to
pay a higher price to get them. This will result in local retail managers
offering higher prices to wholesalers to get additional volume. These
additional prices are offered to the processor, which is a signal to move
more units to that location. Information from all of the different loca-
tions should be combined to decide whether or not to expand produc-
tion or to relocate units from one area to another. The response time
to get additional production to consumers will depend on capacity of
the processing equipment and availability of ingredients and marketing
capacity.
SUMMARY
In the product development of food, it is important to remember that

simply having a great product will not make it a success. Marketing is
an essential piece of the product development process. Prior to produc-
tion, marketing managers should have a good idea of what image a food
will portray and how it will be viewed in the marketplace. Both product
Summary 273
developers and marketing managers have a responsibility to make sure

new food products uphold their image in the marketplace to ensure con-
sumer satisfaction.
Creating a marketing plan takes a lot of detailed work. The benefits
of doing this before starting to market a new food product, however, are
immeasurable. It will provide managers information about their product
concerning where to sell it, when to ship it, why consumers buy it, and
what price is acceptable to consumers and processors. Also, a plan will
make it much easier to borrow necessary capital for starting a business.
A well-developed marketing plan should demonstrate knowledge of the
product, how much capital will be required, cost of production, specific
market location and an understanding of the consumers’ purchasing ac-
tivities. Because lenders are interested in accurate information about a
potential investment, a well-prepared market plan reflects the manage-
ment abilities of a business.
The most difficult part of developing a marketing plan is estimating
total marketing costs. Each marketing organization uses labor, manage-
ment, land, and capital resources in various degrees of concentration.
Each expenditure item should be included in a cost analysis. If any
expenditure is not included in an analysis, it will be paid out of a pri-
vate account, which could mislead the decision maker concerning total
costs.
Various marketing functions will have different costs, depending on
how much of each is needed to move products form the place of produc-
tion to consumers. Each entrepreneur has to evaluate information using
estimates of cost and the pricing system to decide to continue operation.
When a firm is in operation for a longer period of time, these estimates
can be based on actual expenditures, which are more accurate.
By doing research necessary to create a thorough marketing plan, a
producer can understand the needs and demands of the consumer, can
identify the best potential markets, and can find the most effective and
efficient means to get their products to those markets. It is important to
remember that a marketing plan is only as good as the information it
contains. If correct data are used, the marketing plan will be a guide for
decision-making.
Total marketing and processing costs per unit have to be paid by
the consumer over an extended time period. The marketing system
has to be profitable for every marketing function and every stage. Un-
derstanding the cost of each marketing function is necessary for every
phase and has to be paid if all of the functions are to be continued.
Consumers decide about any product based on quality, price, quantity,

price of substitute products and their disposable income, tastes, and
living style.
Consumers are the final decision makers. When they decide to buy
a new food item, they are substituting it for others that they had been
buying. Often the reason for failure of some new products is not that it
is a bad product but consumers were not convinced to give up their tra-
ditional food-buying pattern. Convincing them to consider a new food
product and then to actually buy it is the objective of any marketing
program.
KEY WORDS
Acquisition rates—non-regular buyers who purchase the product during

the promotion.
Advertising—controlled communication between producer and
consumer about a product.
Break-even point—where total revenue equals total cost.
Conversion rates—the conversion of non-regular buyers into regular
buyers.
Displacement sales—sales made during a promotion that would
otherwise have been made to regular buyers at the regular rate.
Fixed costs—ongoing costs that occur whether a business is shut
down for a period of time or in full production (i.e., depreciation,
insurance, taxes, selling and administration costs, utilities, and
other costs)
Market territory—the physical locations where the product is going to
be sold must be decided.
Redemption rates—the percentage of buyers responding to the incentive.
Shortage—consumers want to purchase more products than are
available at specific locations at a given price level.
Stock-up rates—sales made during a promotion that are borrowed from
future periods because the customer stocks up on the product at the
discounted price.
Surplus—products that are located in a certain market location at a
given price that is higher than consumers are willing to pay to move
that volume.
Key Words 275
Target market—the people who are most likely to purchase the product
and who the marketing will be aimed toward.
Variable costs (direct costs of manufacturing)—costs specific to the
manufacturing of the particular good or service under scrutiny (i.e.,
labor, raw materials and supplies).
15.1. Explain supply and demand.
15.2. Name the physical functions of marketing.
15.3. Who is the target market of the product you are developing?
What outlets would reach those consumers? Where would you
advertise in order to gain customers in your target market?
REFERENCES
Beckman, M.D., Boone, L.E., and Kurtz, D.L. 1992. Foundations of market-
ing. Toronto: Holt, Rinehart and Winston of Canada. Alberta Agriculture.
(2002) Marketing Food In Alberta: An Access Directory. p. 43.
Erikson, D. 1996. Economic analysis of a new business-doing it right. (No.
MF-2184). Manhattan, KS: K-State Research and Extension.
Guiltinan, J.P., Paul, G.W., and Madden, T.J. 1997. Marketing management:
strategies and programs. New York: McGraw-Hill Companies.
Kijewski, V., Donath, B., and Wilson, D.T. 1993. Pricing-Think Value Not
Cost. The Best readings from Business marketing magazine: views from the
trenches (p. 225). Boston: PWS-Kent Pub. Co.
CHAPTER 16
Labeling
Learning Objectives
• The basic parts of a label.
• Who governs labeling?
• Regulations regarding labeling.
F OOD labeling laws cover “all labels and other written, printed, or
graphic matter (1) upon any article or any of its containers or wrap-
pers, or (2) accompanying such article” as defined in the Federal Food,
Drug and Cosmetic Act. Packages and their labels should enable con-
sumers to obtain accurate information as to the quantity of the contents
and to assist value comparisons.
The FDA enforces food labeling laws for most food products. For
meat and poultry items sold in interstate commerce, labeling regula-
tions are enforced by the FSIS of the USDA. If meat and poultry prod-
ucts are sold only within the state where they are manufactured, labeling
regulations are enforced by the state meat inspection service. A label is
defined in the Federal Food, Drug and Cosmetic Act as “a display of
written, printed or graphic matter upon the immediate container of any
article.” To comply with label requirements, the label must be clearly
visible while viewing the outside of the package.
PARTS OF A FOOD LABEL
A food label can be separated into several sections, each one with
specific information and requirements. These sections include a Princi-
pal Display Panel, an Information Panel, and an Optional Panel.
277
278 LABELING
Principal Display Panel
The Principal Display Panel (PDP) is defined as the part of a label

that is most likely to be displayed, presented, shown or examined un-
der customary conditions of display for retail sale. Labels should be
designed as large enough to accommodate all mandatory information
on the PDP without crowding or obscuring. To determine the minimum
type size of the net contents statement, the size of the PDP is based on
the size of the package according to shape as shown in Table 16.1.
The purpose of the PDP is to give consumers information about the
product. This information must include the identity of the contents and
the net quantity of the contents.
“Identity of the contents” is the statement of identity and must appear
in bold type and be the name of the food as established by law or the
accepted common or usual name of the product. This statement must be
in a size reasonably related to the most prominent printed matter on the
PDP and must be in lines generally parallel to the base of the package.
If foods meet a standard of identity, the standard establishes the com-
mon or usual name of the food that is used on the package. If neither a
standard of identity nor a common or usual name exists for a food, an
appropriately descriptive term or name commonly used by the public
for the food may be used, such as saltine or English muffin.
Net quantity of contents is a statement that shall accurately reveal the
quantity of food in the package exclusive of wrappers and other packag-
ing materials. The weight of each food ingredient, including any water
or syrup, is included in the net quantity declared on a label. In some
cases where the packing medium is normally discarded, the drained
weight is given, e.g., olives and mushrooms. If the food is liquid, the
TABLE 16.1. Principal Display Panel Size Requirements for Packages.

Type of Package PDP Size Requirement
Rectangular Height × the width of largest side
Cylindrical 40% of the height × the circumference
Special cylindrical containers 40% of the height × the circumference or the area of the
(tall or short) lid (whichever is greater)
Other shaped packages 40% of the total surface
Tapered tube 40% of the height × the average of the top and bottom
circumference
Bottles and jars Exclude heels, necks, or shoulders in determining the
height
FIGURE 16.1. Example of a Principal Display Panel.
net quantity statement must be in terms of fluid measure (gallon, quart,

pint, and fluid ounce subdivisions and milliliters or liters). If the food
is solid, semisolid, or viscous, or a mixture of solid and liquid, terms
of weight are used (pounds or ounces and grams or kilograms). Also
allowed is numerical count of the contents, or a combination of count
and weight or measure.
Common or decimal fractions may be used. Fractions are to be in
halves, quarters, eighths, sixteenths, or thirty-seconds. Fractions are
also to be reduced to the lowest terms and decimals are not to be carried
more than three places. No qualifying terms such as “jumbo” or “full”
may be used.
If the actual quantity falls below the printed declaration, the prod-
uct is considered “misbranded” and may be subject to confiscation by
FDA. Products with short fill are not allowed for retail sale, but may
be relabeled for sale to federal, state, or local government operated in-
stitutions. For additional regulations concerning short fill, see 21 CFR
101.105.
The net quantity statement must be placed in the bottom 30% of the
PDP as shown in Figure 16.1. It must appear as a distinct item sepa-
rated from other printed label information above and below by at least
280 LABELING
a space equal to the height of the lettering used in the declaration. The
use of the term “net content” is optional. There are minimum sizes for
type on PDP descriptions, which are established for the net quantity
statement. This minimum size is based on the package space available
for the principal display panel. In addition, letters may be no more than
three times as high as they are wide, and letter heights are measured
by uppercase or capital letters. If upper and lowercase or all lowercase
letters are used, the lower case letter “o” or its equivalent must meet
the minimum standard. When fractions are used, each numeral is to be
one-half the minimum height requirement. More information about all
labeling regulations can be found on www.FDA.gov.
Information Panel
The Information Panel (IP) is defined as that part of the label im-
mediately contiguous and to the right of the Principal Display Panel as
observed by an individual facing the Principal Display Panel.
If the part of the label immediately contiguous and to the right of the
Principal Display Panel is too small to accommodate the necessary in-
formation or is otherwise unusable label space, i.e., folded flaps or can
ends, the panel immediately contiguous and to the right of this part of
the label may be used.
Ingredient Legends
Ingredient legends provide a list of the common or usual names of

ingredients in descending order of predominance by weight. This in-
cludes added water. Ingredients must be listed by specific, not collec-
tive, names except for spices, flavorings, and colorings. The ingredient
legend must appear on either the IP or PDP.
A common mistake in creating ingredient legends is leaving water
out of the listing. When water is added to a food, it is considered an
ingredient. The added water must be identified in the list of ingredients
and listed in its descending order of predominance by weight. If all
water added is subsequently removed by baking or some other means
during processing, water does not need to be declared as an ingredient.
When fruit is canned in juice from concentrate, the water used to recon-
stitute the juice must be declared. Water used to adjust the brix level in
some foods does not need to be declared, as in adjusting the solids in a
tomato paste from 28° to 24° brix.
FIGURE 16.2. Demonstration of Principal Display Panel and Information Panel.
For Information Panel labeling, a print or type size that is promi-

nent, conspicuous, and easy to read should be used. Letters should be
at least one-sixteenth of an inch in height based on the lower case letter
“o” unless an exemption is permitted (21 CFR 101.2( c )(1)). The letters
must not be more than three times as high as they are wide, and the let-
tering must contrast sufficiently with the background to be easy to read.
Required information cannot be crowded with artwork or non-required
statements.
Declaration of Trace Ingredients
If a substance is an incidental additive and has no function or tech-

nical effect in the finished product, then it need not be declared on the
label as a trace ingredient. An incidental additive is usually present be-
cause it is an ingredient of another product produced on the same line.
Sulfites are considered to be incidental only if present at less than 10
ppm.
Spices, Flavorings, and Colorants
“The term ‘spice’ means any aromatic vegetable substance in the

whole, broken or ground form, except for those substances which have
been traditionally regarded as foods, such as onions, garlic and celery;
whose significant function in food is seasoning rather than nutritional;
282 LABELING
that is true to name; and from which no portion of any volatile oil or
other flavoring principle has been removed,” (CFR 101.22 (a)(2)). As
stated, spices, flavorings, and colorings may be listed by the collective
terms “spices,” “flavorings,” and “colorings” respectively. Exceptions
to this include celery, garlic, and onion, which are considered foods and
must be declared by their specific common or usual name. Paprika, tur-
meric, saffron, and other spices that are also colors should be declared
as “spice and coloring” or by their common or usual name. The com-
plete list of spices can be found in 21 CFR 101.22 and in Table 16.2.
Component Ingredients
Multicomponent foods used as ingredients may be listed two ways:

(1) parenthetical listings or (2) order of predominance. In parenthetical
listings, the ingredient may be declared by its common or usual name
followed in parentheses by a list of its ingredients used in the formula-
tion, i.e., catsup (tomatoes, vinegar, corn syrup . . .). Using order of sub-
components present in several ingredients may be combined and listed
in their proper order of predominance. This requires the percentage of
each component in a multicomponent ingredient be known so proper
order of predominance can be determined.
Artificial Flavors, Fats and Oils, and Preservatives
Artificial smoke flavors must be declared as artificial flavor or arti-

ficial smoke flavor. No reference may be made that foods containing
TABLE 16.2. Spices as Defined in 21 CFR 101.22.

Allspice Dill seed Pepper, black
Anise Fennel seed Pepper, white
Basil Fenugreek Pepper, red
Bay leaves Ginger Rosemary
Caraway seed Horseradish Saffron
Cardamom Mace Sage
Celery seed Marjoram Savory
Chervil Mustard flour Star aniseed
Cinnamon Nutmeg Tarragon
Cloves Oregano Thyme
Coriander Paprika Turmeric
Cumin seed Parsley
artificial smoke have been smoked or have a true smoked flavor. Fats
and oils must be declared by their source and common or usual name,
i.e., soybean oil. If the oil is hydrogenated or partially hydrogenated,
this process must also be stated. The addition of a preservative must
be listed by both the common or usual name and the description of its
function, i.e., sodium benzoate (a preservative).
Manufacturer, Packer, or Distributor Statement
The name and place of business of the manufacturer, packer, or dis-

tributor of the food must be on the label. It must appear on either the
PDP or the IP. According to labeling regulations, the ingredient state-
ment and the name and address of the manufacturer/packer/distributor
must be adjacent with no intervening material (CFR 101.2 (e)). The
address should include the street address, city, state, and zip code. Post
office box addresses are not allowed. The street address may be omitted
from the label if the business street address is shown in a current city or
local telephone directory.
This is required so that an interested party can locate the manufac-
turer, packer, or distributor. The requirement for including the zip code
on the label applies only to packages intended for consumers.
A minimum type size of 1/16 inch is required. If space is not avail-
able for the information panel, required declarations may be included
on the PDP.
Optional Panel
This panel is to the left of the Principal Display Panel and provides
space for items such as a company story or history statement, the UPC
bar code, and nutrition information.
Universal Product Code
The Universal Product Code (UPC) is a series of bars of varying

thicknesses used by electronic scanners to identify a product and the
price set by the seller. This bar code is a 12-digit all-numeric code that
uniquely identifies one item.
The code contains four parts. The first digit represents the manufac-
turer’s retail category or function. The next five digits are the manufac-
turer’s identification number and are unique to each individual manu-
284 LABELING
FIGURE 16.3. Example of a UPC code.
facturer. The next five digits are the item number, unique to the product,
and its pack size. The twelfth digit is a check character used to verify
the accuracy of the entire UPC. UPC bar codes are obtained through
membership in the Uniform Code Council and can now be purchased
on the internet for minimal cost.
Nutrition Labeling
To provide uniformity in labeling among the food industry, the U.S.

Congress and the FDA took action in 1990, which resulted in the Nutri-
tion Labeling Education Act (NLEA). This act is designed to provide
consumers with necessary information to make informed and wise de-
cisions about their diet and to give food processors the incentive to
improve the nutritional quality of their products (21 CFR 101.9). The
NLEA authorizes preemption of any existing state regulations and also
authorizes states to take action in the federal courts to enforce the la-
beling law. Labeling is required on FDA regulated foods, with a few
exemptions.
The requirements for providing nutrition information are based on
the package size and label space. If a package is 12 square inches or
less, the package is exempt from mandatory labeling and must not have
any nutrition claims or other nutritional information. With this small
package though, it is required that the manufacturer, packer, or distribu-
tor provide a telephone number where the information can be obtained.
With packages that are between 12 and 40 square inches, the nutrition
facts may be displayed in the tabular format if the package shape or
size cannot accommodate a standard nutrition facts panel. This size of
package can have approved abbreviations and omit the footnote and
caloric conversion table by placing an asterisk at the bottom of the la-
bel followed by the statement “Percent Daily Values are based on a
2,000-calorie diet.” If the term “Daily Value” is not spelled out in the
heading, a statement that “DV” is substituted for “Daily Value” must be
used. Packages over 40 square inches should use the standard format,
although some modifications can be made for unique shapes and lim-
ited space.
Nutrition Facts Panels
The Nutrition facts panel may be presented on any label panel when
the total surface available for labeling is 40 or fewer square inches.
Packages with more than 40 square inches of available space must place
the nutrition information on either the PDP or information panel as de-
fined in 21 CFR 101.2 unless there is insufficient space, in which case
the Nutrition Facts may be placed on any panel that may be seen readily
by consumers.
There are a few formats used to display nutrition facts panels. These
formatting differences allow for companies with small packages to have
flexibility when declaring the nutrition facts. The standard format is the
most commonly used format. The tabular label is a horizontal rendition
of the standard format, and can be used for packages that are better
wider than they are tall. Simplified versions of the tabular and standard
formats are available for use if at least eight of the following nutrients
are present in insignificant amounts: calories, total fat, saturated fat,
trans fat, cholesterol, sodium, total carbohydrate, dietary fiber, sugars,
protein, vitamin A, vitamin C, calcium, and iron.
For packages that are smaller, it may be necessary to use a linear
format nutrition facts panel. Examples of these formats can be seen in
Figure 16.4. The declaration of certain nutrients (Table 16.3) is manda-
tory. When a product does not contain little of a mandated nutrient, they
can be omitted from the statement with a qualifying statement.
Serving Size
A system has been established by the FDA based on the amounts

of food/products per eating occasion called the reference amounts cus-
tomarily consumed (RACC). The reference amounts are expressed in
household units, such as 1 slice, 1 cup, 1/4 pizza, and in discrete units
(g, oz.). If a unit weights less than 50% of the RACC, the serving size
is the number of whole units closest to the reference. If a unit weighs
more than 50% but less than 67% of the RACC, a company can choose
to use 1 or 2 servings. If an item being sold individually were more than
67% of the RACC but less than 200%, the serving size would be 1 unit.
286 LABELING
TABLE 16.3. Nutrients for Mandatory Declaration

from 21 CFR 101.9 and 9 CFR 317/381.
Specific Nutrient Declarations for Nutrition Facts Panels
Mandated Declarations Nutrients Voluntary

Calories Vitamin A Poly-unsaturated Fat
Calories from fat Vitamin C Mono-unsaturated Fat
Fat content Calcium Fatty Acids
Daily values of total fat Iron Other Carbohydrates
Saturated fat Sugar Alcohol
Trans fat Soluble Fiber
Cholesterol Insoluble Fiber
Sodium Potassium
Total Carbohydrate Other Vitamins
Dietary Fiber Other Minerals
Sugars
Protein
A company is producing cookies and would like to figure out how

many cookies are equal to a serving. The RACC for cookies is 30 g.
Each of the company’s cookies weighs 13 g; therefore they could claim
that the serving size was 2 cookies (26 grams).
Serving sizes must be declared in common household measures.
This is defined in 21 CFR 101.9(b)(5) as a cup, tablespoon, teaspoon,
piece, slice, fraction, ounce, fluid ounce, or other common household
equipment used to package food products such as a jar, tray, etc. Other
stipulations include:
• Cups: must be expressed in 1/4 or 1/3 cup increments.

• Tablespoons: must be expressed in the whole number of tablespoons
for quantities less than 1/4 cup but greater than or equal to 2 table-
spoons; fractions such as 1/3, 1/2, and 2/3 may be used between 1
and 2 tablespoons.
• Teaspoons: must be expressed in the whole number of teaspoons
for quantities less than 1 tablespoon but greater than or equal to 1
teaspoon; 1/4 teaspoon increments are used for amounts less than 1
teaspoon.
• Ounces: must be listed in 0.5-ounce increments.
Daily Values
The daily value percentages seen on nutrition facts panels are

based on the daily reference values (DRV) and recommended daily

intakes (RDI). These values assist consumers in interpreting informa-
tion about the amount of a nutrient that is present in a food and in
comparing nutritional values of food products. DRVs are established
for adults and children 4 years of age or older, as are RDIs, with the
exception of protein. DRVs are provided for total fat, saturated fat,
cholesterol, total carbohydrate, dietary fiber, sodium, potassium, and
protein. RDIs are provided for vitamins and minerals and for protein
for children less than 4 years of age and for pregnant and lactating
women. In order to limit consumer confusion, however, the label in-
cludes a single daily value term to designate both the DRVs and RDIs.
Specifically, the label includes the % DV. The only exception is that
the % DV for protein is not required unless a protein claim is made
for the product or if the product is to be used by infants or children
under 4 years of age. The daily value amounts for nutrients are listed
in Table 16.4.
FIGURE 16.4. Examples of nutrition facts panels formats.

288 LABELING
TABLE 16.4. Food Components and Recommended Daily Values.

Food Component DV Food Component DV
Total Fat 65 g Niacin 20 mg
Saturated Fat 20 g Vitamin B6 2 mg
Cholesterol 300 mg Folate 400 µg
Sodium 2,400 mg Vitamin B12 6 µg
Potassium 3,500 mg Biotin 300 µg
Total Carbohydrate 300 g Pantothenic acid 10 mg
Dietary Fiber 25 g Phosphorus 1,000 mg
Protein 50 g Iodine 150 µg
Vitamin A 5,000 IU Magnesium 400 mg
Vitamin C 60 mg Zinc 15 mg
Calcium 1,000 mg Selenium 70 µg
Iron 18 mg Copper 2 mg
Vitamin D 400 IU Manganese 2 mg
Vitamin E 30 IU Chromium 120 µg
Vitamin K 80 µg Molybdenum 75 µg
Thiamin 1.5 mg Chloride 3,400 mg
Riboflavin 1.7 mg
Source: A Guidance for Industry: A Food Labeling Guide (2009).
Abbreviations used: g: grams; mg: milligrams; IU: international units; µg: micrograms
Claims
Companies that make claims on their packages attempt to catch con-

sumers’ attention or differentiate their product by demonstrating the
nutritional, health, or function of their products. Claims should be care-
fully chosen by companies in order to eliminate the chance of FDA sei-
zure due to misbranding and misleading customers about the benefits of
the product. The two types of claims covered in this chapter are nutrient
content claims and health claims.
Nutrient Content Claims
An “implied claim” is a statement that leads a consumer to assume

or perceive something about a product. When the label contains a nutri-
ent content claim, a statement referring the consumer to the nutrition
label is needed. The nutrient content claim should have a type size no
larger than two times the name of the product. There are claims for
specific nutritional components as seen in Table 16.5. A general outline
of descriptors such as “free,” “lean,” “light,” and “reduced” have been
redefined so that consumers will be clear about their meaning (as seen
in Table 16.6).
Health Claims
A health claim is any claim made on the label or in labeling of a

food that characterizes the relationship of any substance to a disease
or health-related condition. Implied health claims include those state-
ments, symbols, vignettes, or other forms of communication that sug-
gest, within the context in which they are presented, that a relation-
ship exists between the presence or level of a substance in the food
and a disease or health-related condition (A Guidance for Industry: A
Guide to Food Labeling 2009) To help prevent the display of false
claims, the NLEA established claims about foods that are linked to
health benefits. These health claims are “qualified health claims” that
TABLE 16.5. Nutrient Content Claims for Specific Nutrients.

Ingredient Free Low Reduced
Total Fat Less than 0.5 g of fat per serving 3 g or less At least 25% less
and per reference amount per reference fat per reference
amount amount
Saturated Fat Less than 0.5 g of fat per serving 1 g or less At least 25% less
and per reference amount and less per reference saturated fat per
than 0.5 g trans fat amount reference amount
Cholesterol Less than 2 mg of cholesterol per 20 mg or less At least 25% less
serving and reference amount, the per reference cholesterol per
food contains 2 g or less of satu- amount reference amount
rated fatty acids per serving
Sodium Contains less than 5 mg of sodium 140 mg or less At least 25% less
per serving/reference amount and per reference sodium per refer-
no added salt, can also be referred amount ence amount
to as “unsalted” or “no salt added”
Sugar Food containing less than 0.5 g of Not defined At least 25% less
sugars per serving and reference sugar per refer-
amount, contains no added sugars, ence amount
must be labeled as a “low calorie”
or “reduced calorie” food, or the
term “sugar free” is accompanied
in immediate proximity by a state-
ment “not a reduced calorie food”
Calories Less than 5 calories per serving, 40 calories or At least 25% less
may also use “free of calories,” “no less per refer- calories per refer-
calories,” or “zero calories” ence amount ence amount
Source: A Guidance for Industry: A Guide for Food Labeling, a publication by FDA (2009).
290 LABELING
TABLE 16.6. Nutrient Content Claim Descriptors.

Claim Descriptor Definition
Free A product contains no amount or only a trivial amount of fat,
saturated fat, cholesterol, sodium, sugars, or calories. Syn-
onyms include “without,” “no,” and “zero”
Low Used on foods that could be eaten frequently without exceed-
ing the dietary guidelines for fat, saturated fat, cholesterol,
sodium, or calories
Lean “Lean” is used to describe the fat content of meat, poultry,
seafood, and game meats. Defined as less than 10 g of fat,
less than 4 g of saturated fat, and less than 95 mg of choles-
terol per serving and per 100 g.
Extra Lean Used to describe the fat content of meat, poultry, seafood,
and game meats. Less than 5 g of fat, less than 2 g of satu-
rated fat, and less than 95 mg of cholesterol per serving per
100 g.
Healthy Foods must meet the criteria for “low fat” and “low saturated
fat” and provide at least 10% of the daily value of vitamin A,
vitamin C, iron, calcium, protein, or fiber
High, Excellent Source, Can be used if the food contains 20% or more of the daily
or Rich In value for a particular nutrient in a serving
Good Source One serving of a food that contains 10–19% of the daily value
for a particular nutrient
More, Fortified, Contains at least 10% more than the DV of the comparative
Enriched, Added, Plus item. Can be used for the level of protein, vitamins, minerals,
dietary fiber, or potassium, but should not be used for certain
meal items
Reduced A nutritionally altered product contains 25% less of a nutrient
or of calories than the regular or reference product. However,
a reduced claim cannot be made on a product if its reference
food already meets the requirement for a “low” claim
Less A food that contains 25% less of a nutrient or calories than
the reference food; “fewer” may also be used
Source: A Guidance for Industry: A Guide for Food Labeling, a publication by FDA (2009).
have been scientifically linked to a positive effect or decrease in the

risk of disease.
Further, health claims are limited to claims about disease risk re-
duction, and cannot be claims about the diagnosis, cure, mitigation, or
treatment of disease. Health claims are required to be reviewed and
evaluated by FDA prior to use. An example of an authorized health
claim is: “Three grams of soluble fiber from oatmeal daily in a diet
low in saturated fat and cholesterol may reduce the risk of heart dis-
ease. This cereal has 2 grams per serving.” (A Guidance for Industry: A
Guide to Food Labeling, 2009).
Qualified health claims must be approved by the FDA, which is ac-

complished through a petition. Organizations can submit their desired
health claim and evidence to the FDA for approval. Approved health
claims include the link between sufficient intake of calcium and vitamin
D and a reduced risk of osteoporosis.
Accuracy of Claims
Added nutrients in fortified or fabricated foods (Class I) must pres-

ent 100% or more of the label declaration. Naturally occurring (indig-
enous) nutrients (Class II) must be at least 80% or more. Other matters
such as calories, sugars, total fat, etc., must be no more than 120% of
the label declaration.
TABLE 16.7. Qualified Health Claims.

Ingredients Health Benefit Qualifications to Use Claims
Calcium, Vitamin D Reduction in risk of • Must be “high” in calcium and Vitamin D
osteoporosis
Tomatoes and/or Prostate, ovarian, • Cooked, raw, dried, or canned tomatoes
Tomato sauce gastric, and can be used
pancreatic cancers • Tomato sauces that contain at least
8.37% salt-free tomato solids
Green Tea Cancer • Green tea-containing foods when
the food does not contain excess fat,
saturated fat, cholesterol, and sodium
• Must contain a minimum 10% green tea
Nuts Heart disease • Whole or chopped nuts that are raw,
blanched, roasted, salted, and/or lightly
coated and/or flavored
• Nut-containing products other than whole
or chopped nuts that contain at least 11
g of one or more of the nuts listed below
per RACC; eligible nuts for this claim are
restricted to almonds, hazelnuts, peanuts,
pecans, some pine nuts, pistachio nuts,
and walnuts
• Should not exceed 4 g saturated fat per
50 g of nuts
Monounsaturated Coronary heart • Products including salad dressing,
Fatty Acids from disease vegetable oil, and shortening must
Olive Oil contain more than 6 g per RACC of olive
oil
Source: www.FDA.gov.
292 LABELING
Calculating Overages to Ensure Accuracy of Nutrient Claims
The accuracy of stated nutrients should be guaranteed (with a mar-

gin of error) throughout the complete shelf-life of the product. Product
developers may have to calculate the percent overages of nutrients that
deteriorate over time, such as vitamins.
Misbranded Products
Failure to comply with labeling regulations may provide cause for

the enforcing agency to bring action against a product and the manu-
facturer. Reasons for failure of a label to be prominent and conspicuous
include, but are not limited to:
• Failure of required information on PDP or IP

• Failure to use available space for prominence
• Use of available space for information that is not required or to give
greater prominence to some required information
• Minimum type size requirement are not met
• Insufficient background contrast
• Obscuring design
• Crowding with other written, printed, or graphic material
Nutrition Databases
Software is available to help companies calculate the nutrition of

foods in development. Nutrition databases can help companies formu-
late products, especially when they have specific nutritional goals or
claims that are essential for the product’s health benefit aims. Software
programs are also available to help produce nutrition facts panels and
ingredient legends. The USDA also keeps a nutritional database with a
vast amount of information about products on the market and standard
food items called the USDA National Nutrient Database for Standard
Reference. It can be found at http://ndb.nal.usda.gov.
Exemptions from Labeling
Packaged products must meet all of the requirements for labeling

consumer products. Products that are unwrapped until selected by
the consumer are exempt from the labeling requirements. Foods sold
through vending machines must meet all the requirements for labeling,
except they are exempt from mandatory nutrition labeling.
Mail-order products are considered packaged consumer foods sold
directly to retail customers. They are subject to the same requirements
as products sold through supermarkets or other retail outlets. Manda-
tory information must not be misleading or false and must be visible to
the customer prior to opening the package, even though it may not be
available prior to purchase from a catalog. This information may appear
on the shipping container or on a separately packaged inner container.
Retail and in-store bakeries fall into two different types of categories:
1. Self-service sales
2. Displayed for sale unwrapped and packaged as ordered by the cus-
tomer
Many food products are exempt from providing nutrition informa-

tion. These include foods manufactured by small processors with fewer
than 100 employees and fewer than 100,000 units sold. The number of
employees is based on the average number of full-time employees a
company has over a 12-month period. In all cases, the exemption is lost
if an explicit or implied nutrition claim or any other nutrition informa-
tion is provided on packaging or advertising. Businesses must file an
exemption notice with the FDA and claim a small business exemption
based on the number of employees and units of products. No exemp-
tion is allowed for a company that has more than the required number
of full-time employees, regardless of the number of units sold. Other
exempt products include:
• Foods served in restaurants or other facilities where food is served

for immediate consumption
• Foods that contain insignificant amounts of all of the nutrients and
food components required on the nutrient declaration
• Raw fruits and vegetables
• Foods in small packages with total available label area less than 12
square inches
Under FDA’s current laws and regulations, no label approval is need-

ed prior to the food product’s distribution. It is the responsibility of the
food producer to comply with current food labeling regulations. Both
the FDA and USDA offer informal reviews of a food product’s label.
294 LABELING
Dietary Supplements
The law defines dietary supplements in part as products taken by

mouth that contain a “dietary ingredient.” Dietary ingredients include
vitamins, minerals, amino acids, and herbs or botanicals, as well as oth-
er substances that can be used to supplement the diet.
Dietary supplements come in many forms, including tablets, cap-
sules, powders, energy bars, and liquids. These products are available in
stores throughout the United States as well as on the Internet. They are
labeled as dietary supplements and include among others:
• Vitamin and mineral products
• “Botanical” or herbal products—these come in many forms and may
include plant materials, algae, macroscopic fungi, or a combination
of these materials
• Amino acid products—amino acids are known as the building blocks
of proteins and play a role in metabolism
• Enzyme supplements—enzymes are complex proteins that speed up
biochemical reactions
Five statements are required on the labels of dietary supplements:
(1) the statement of identity (name of the dietary supplement), (2) the
net quantity of contents statement (amount of the dietary supplement),
(3) the nutrition labeling, (4) the ingredient list, and (5) the name and
place of business of the manufacturer, packer, or distributor. All re-
quired label statements must be located on the front label panel (the
principal display panel) or on the information panel (usually the label
panel immediately to the right of the principal display panel, as seen by
the consumer when facing the product), unless otherwise specified by
regulation (i.e., exemptions).
Claims made on dietary supplements can be substantiated or unsub-
stantiated by the FDA. A health claim is an explicit or implied char-
acterization of a relationship between a substance and a disease or a
health-related condition. This type of claim requires significant scien-
tific agreement and must be authorized by the FDA. The claim can be
a written statement, a “third party” reference, a symbol, or a vignette.
A qualified health claim is supported by less scientific evidence than
an authorized health claim. The FDA requires that qualified claims be
accompanied by a disclaimer that explains the level of the scientific
evidence supporting the relationship. The FDA will permit the use of
a qualified health claim provided that (1) the FDA has issued a letter
Summary 295
stating the conditions under which we will consider exercising enforce-

ment discretion for the specific health claim, (2) the qualified claim
is accompanied by an agency-approved disclaimer, and (3) the claim
meets all the general requirements for health claims in 21 CFR 101.14,
except for the requirement that the evidence for the claim meet the
validity standard for authorizing a claim, and the requirement that the
claim be made in accordance with an authorizing regulation.
A structure/function claim describes the role of a substance intended
to maintain the structure or function of the body. Structure/function
claims do not require preapproval by the FDA. You may make the fol-
lowing types of structure/function claims under section 403(r)(6) of the
act:
• A statement that claims a benefit related to a classical nutrient defi-
ciency disease and that discloses the prevalence of such disease in
the United States
• A statement that describes the role of a nutrient or dietary ingredient
intended to affect the structure or function in humans, or character-
izes the documented mechanism by which a nutrient or dietary ingre-
dient acts to maintain such structure or function
• A statement that describes the general well-being from consumption
of a nutrient or dietary ingredient
When making a structure/function claim, a manufacturer must (1)
have substantiation that such statement is truthful and not misleading,
(2) include the disclaimer, and (3) notify the FDA no later than 30 days
after the first marketing of the product that you are making the statement
in accordance with 21 CFR 101.93. One of the following disclaimers
(exactly as shown) must be placed below the claim on the label:
• Singular: “This statement has not been evaluated by the Food and
Drug Administration. This product is not intended to diagnose, treat,
cure, or prevent any disease”
• Plural: “These statements have not been evaluated by the Food and
Drug Administration. This product is not intended to diagnose, treat,
cure, or prevent any disease”
SUMMARY
Law, regulations, and policies regarding labeling are complex and

296 LABELING
vary depending on the facility producing the food, the intended con-
sumer, packaging, and method of sales. Ensuring that your label meets
all standards is important to eliminate the risk of non-compliance.
Claims are carefully regulated; therefore companies should verify that
their product meets all guidelines before printing a misleading claim.
Requirements are different and dependent on the number of employees,
the amount of units sold, the arena for sales, the customer, and many
other factors. Thorough research of label requirements can save com-
panies from going through substantial work later or having to recall a
product for mislabeling.
KEY WORDS
Information panel (IP)—defined as “that part of the label immediately

contiguous and to the right of the Principal Display Panel as
observed by an individual facing the Principal Display Panel.”
Principal Display Panel—defined as “the part of a label that is most
likely to be displayed, presented, shown or examined under
customary conditions of display for retail sale.”
16.1. What is the principal display panel?
16.2. Name two of the three spices that also add color.
16.3. Match the following claim with its definition.
a. High ___ 25% reduction

b. Good ___ At least 33% less calories, 50% less fat, or both
c. Reduced ___ 20% or more of the DRV or RDI of nutrient
d. Light ___ 10–19% of the DRV or RDI of nutrient
16.4. A company is producing a flavored juice drink with 100% DRI

of Vitamin C. It has previously been found that the pasteuriza-
tion process for the drink destroys 25% of the total ascorbic acid.
How much Vitamin C should be added to an 8,000 fl. oz. batch?
Reference 297
16.5. The drink is given a shelf-life of 20 weeks at refrigeration. The

company studies show that 20% of the Vitamin C content is lost
at the end of that period. Recalculate the amount of Vitamin C
that should be added to the 8,000 fl. oz. batch so that the apple
juice’s vitamin contents can remain at 100% throughout the en-
tire shelf period.
16.6. When does water not have to be declared as an ingredient in food

products? Give two specific examples.
REFERENCE
A Guidance for Industry: A guide to food labeling. (2009). Retrieved October

17, 2012, from http://www.fda.gov/Food/GuidanceComplianceRegulatory-
Information/GuidanceDocuments/FoodLabelingNutrition/FoodLabeling-
Guide/default.htm.
CHAPTER 17
Controlling the Quality of New

Food Products
Learning Objectives
• The basics concepts of quality control.
• How to create a quality control system.
• What is a gold standard quality control?
Q UALITY control consists of actions taken by food processors to

adequately monitor the food product, providing a product that is
safe, compatible with the market, and accepted by consumers. Quality
assurance is the control, evaluation, and auditing of the whole food pro-
cessing system. Quality control is critical when launching a new food
product because it establishes product reputation, increases efficiency,
ensures product safety, and provides evidence of food regulation com-
pliance. Quality control should be implemented in three stages during
processing:
• Control of raw materials

• Control of the processing line
• Inspection of the finished product
IMPORTANCE OF QUALITY CONTROL
The failure to meet quality standards in food products is not well

accepted by consumers, and is therefore important in the food industry.
Consumers expect consistency in the products they purchase. Product
and company reputations are upheld by exceptional quality control.
Quality control systems help manufacturers maintain product control,
299
300 CONTROLLING THE QUALITY OF NEW FOOD PRODUCTS
sensory properties, reduce production costs, eliminate defects, and in-

crease productivity. Even when products meet company specifications,
slight differences between batches are possible as variability of ingre-
dients and processing is inevitable. Successful quality systems ensure
product safety by eliminating cases of food poisoning and related risks.
Firms can reduce the chances of recalls through strict maintenance of
quality control measures.
Quality control also increases process efficiency with the use of in-
formation provided through analysis of quality control labs. Efficiency
can be increased in regards to material and output. Analysis of qual-
ity control documents may unveil patterns in manufacturing quality
throughout processing and suggest changes in processing speed, dura-
tion before sanitation, hygiene, or sanitation issues. Worker safety and
hygiene are also a piece of maintaining quality standards.
Quality standards should be considered in the development of each
product. Research and development technologists must concentrate not
only on physical and sensory properties of the new food, but also shelf-
life and regulatory requirements. Processing equipment and process
rates also influence quality attributes. A quality representative should
assist in the development, if applicable. Quality issues that should be
addressed in the development stages are tolerance, hazard and mode of
failure analysis, shipping test and evaluation, and the creation of speci-
fications for ingredients, process, product, and packaging.
Quality Control during the Development Stage
The first step in quality control is finding out what attributes are ac-
ceptable to a consumer, and what is unacceptable. Consumers some-
times base their likes and dislikes on popular culture, making them hard
to follow at times. A list of product requirements is made from these
attributes, and interested parties look at how they can measure these at-
tributes during the production process. Some attributes that consumers
like are more complicated than others. For example, if consumers pre-
fer their store bought cookie to be free of palm oil, the ingredient listing
will give them the knowledge that the product being offered meets this
expectation. Consumers might also prefer a moist, chewy cookie, but
how will this be measured? Quality control personnel, product develop-
ers, and process engineers may have to work together to find out how
a moist, chewy cookie correlates with steps in the production process.
Quality control activities can use sensory analysis, instrumental analy-
sis, or more simple visual analysis to determine acceptability. Consum-

er preferences should be determined through consumer product liking
tests, in home use tests, or focus groups.
The quality control specifications that should be addressed during
food product development include (1) physical and sensory proper-
ties, (2) product function and nutritive values, (3) process equipment
and process rates, (4) packaging and packaging equipment, (5) com-
position, (6) microbiological limitations, (7) shelf-life, (8) labeling and
coding, and (9) regulatory requirements (Stauffer 1988). The quality
control program established by a processing facility or company should
cover all aspects of the production process including material handling,
packaging, storage, and all processing procedures. Companies can re-
duce costs and eliminate unforeseen production problems through the
creation of a thorough quality control program.
Pilot plants can be used to help determine the performance of the
food and ensure that standards are attainable prior to full production.
Pilot plants manufacturing usually allows for better, easier control of
standards due to tighter controls, smaller batches, and ideal production
environments. Pilot plants usually do not have processing problems that
lead to stoppages of the line and product holding times. Standards that
cannot be met in a pilot plant are unlikely to be met in the production
facility.
FIGURE 17.1. The process of developing quality criteria.

TABLE 17.1. Physical and Chemical Quality Factors

and Testing Methods.
Physical Factors Testing Methods
Color Spectrophotometer, colorimeter, or Munsellcolor system
Viscosity Viscometer, Bostwick consistiometer
Texture Finger feel, mouth feel, texture analyzer
Container Weight, volume, vacuum, seal integrity
Symmetry Weight, volume, length, width, diameter
Defects Count or size measurement
Chemical Factors Testing Methods
Moisture Karl Fischer titration method, oven drying, vacuum drying,
desiccation, dielectric method, infrared analysis,
microwave absorption method
Fat-Oil Ether extraction
Protein Kjeldahl Method
Carbohydrates Extraction, high performance liquid chromatography,
gas chromatography
Ash Dry ashing, wet ashing, microwave ashing
Quality Control Tools
Methods for testing quality control measures include physical, chem-

ical, sensory, and microbiological testing.
Developing Product Specifications
New food products should have product specifications that detail

the attributes of the food as well as defects. To create product speci-
fications, the quality of raw materials and their specifications must
first be determined. After the important attributes have been indicat-
ed, a uniform testing method must be found. Finding accurate testing
methods can be difficult, as many of the tests may need to be rapid,
in line assessments. All labeling and packaging guidelines should be
included in the product specifications. The regulatory status of all in-
gredients should be noted.
Product specification records can also contain defect information.
Examples of defective foods can come from the processing operation
or through consumer complaints. It is important to characterize defect
traits so that plant quality control departments can uniformly discern
“good food” from defective products.
Material Control
The raw materials used in food products are the foundation that the
product is built on. Therefore, reliable consistent ingredients are the
first quality control essential. The purchasing party of raw materials
should assess the quality of the materials from each supplier and set
tight quality expectations for raw materials. Purchasing quality raw
materials benefits the purchaser by reducing downtime, allowing the
processor to reduce the amount of inventory on hand (just in case they
need it), and eventually lead to cost savings (Stauffer 1988).
Departments should work together to ensure that the raw materials
being purchased are of sufficient quality. Purchasing, quality control,
production, and research and development all have a role in finding
suppliers that can provide a consistent product that meets company
standards at the volume needed for continuous production. Material
control begins at the product development stage by defining material
selection criteria and selecting vendors (Stauffer 1988). Through defin-
ing well-tailored and realistic material selection criteria, the purchasing
company can narrow down products and providers that may not meet
expectations. Selecting a supplier can also include performing a quality
TABLE 17.2. Raw Materials and Quality Attribute Tests.

Raw Material Quality to Test Test Procedure
Grains
Baking performance Bake testing
Flour
Protein Kjeldahl method
Meat
Color Colorimeter, Munsell Color system
Shear/Tenderness Warner Braxler
Fruits and Vegetables
Maturity Brix, Brix/Acid ratio
Color Colorimeter
Texture Texture analysis instrument
General
Smell Sensory
Infestation Visually
Taste Sensory testing
Visual appeal Sensory
audit on the vendor’s production facilities and reviewing their quality

control programs. Quality audits may also occur on a periodic basis
after product launch.
When materials are received at the production facility, a quality
evaluation procedure should be in place to assess the products being
received. Immediate inspection of raw materials can help alleviate any
question of faults. Elements of control in the receiving can include vi-
sual inspection, sampling, verification of identification marks, checking
the carriers, and logging deliveries (Hui 2004).
Controlling Quality during Production
The bulk of quality control efforts take place in the production facil-
ity to ensure that products meet consumer standards. Sampling plans
should be established. Processes for testing quality control should be
written plans that are easily understood. Unwritten plans lead to con-
fusion and misunderstandings. Control of processes takes inspection
of raw materials, verification of processes, identification of materi-
als (generally done using a labeling or tag system), calibration of test
equipment and processing instruments, and documentation.
Quality Control Systems
Quality control systems define how consumers perceive your prod-

uct. Is the company a provider of inexpensive packaged goods? Or do
you sell a premium product? Companies selling lower priced goods
may have more flexibility in quality standards for items such as packag-
ing, and may allow more variability in products. Higher end products
demand greater quality control. A written policy should be constructed
to address the quality of the products that the company produces and
specify who is responsible for controlling quality control systems. In
large organizations, quality personnel are located at the corporate of-
fices and in the manufacturing plant.
Corporate quality assurance representatives may assist with deter-
mining quality control settings for new product launches, monitor the
quality of products being made at plants, and attempt to harmonize
product attributes between manufacturing facilities.
In a manufacturing plant, quality representatives would be respon-
sible for keeping product within the outlined specification in order to
continue to produce quality products. Quality personnel can help to
detect issues with the product or the food while it is being processed.
Product that does not meet quality specifications is reworked, diverted,
or sent to other uses.
When products are found to be outside of the established specifica-
tions, the manufacturing facility should have written corrective action
procedures. Identifying the reason for food that is not of specified qual-
ity starts by assessing the quality reports.
Sampling Plans for New Products
Sampling is a necessary piece in evaluating the quality of certain raw

materials and product lots in the food industry. Because every piece of
food cannot be tested when high volumes are being produced, sampling
is the best way to achieve a picture of the quality. Quality control is
only as good as the sampling plan. Samples should, in theory, give an
accurate glimpse into the characteristics of the foods being produced.
For each quality attribute to be measured, a sampling procedure
should be considered. The optimum sampling point in the processing
procedure should be determined. How should the sample be collected?
The procedure for collecting samples is important for certain attributes,
like moisture, which can be skewed. If a sample for moisture is carried
through a plant without being sealed in an airtight bag or container,
the sample may experience drying. The frequency of sample gathering
should also be determined as well as the optimum sample size to per-
form all needed tests.
In a few instances, 100% sampling is applicable. Many operations
use checkweighers to inspect the weight of 100% of the products (Hub-
bard 1990). Many operations have begun to use more sophisticated
tools, such as electric eyes to detect missing labels, in order to improve
quality.
Spot checking is an important part of a good sampling plan. Spot
checking consists of infrequent, unplanned checks that provide more
thorough examination of the operation. Because sampling plans oper-
ate on scheduled sample times, operators come to recognize the pat-
tern of sampling. Because periodic sampling checks may be taken by
line technicians, it is important to check independent results in order
to unveil any discrepancies. Some discrepancies between quality con-
trol personnel and line technicians may find problems in processing,
while others may indicate instrument failure or the need to calibrate
instruments.
The following list are examples of sampling plans for new products:
1. Richard L. Kohls, Marketing of Agricultural Products, The Mac-
millan Company, New York, NY, 1967.
2. H.B. Maynard, Handbook of Business Administration, McGraw-
Hill Book Company, New York, NY, 1970, p 8–87.
Control Charts
Control charts are used to test if an operation’s processing is operat-

ing within the boundaries of aimed quality. Control charts should con-
tain upper and lower control points, plus a center line that can be used
as a target.
X-bar and R Charts
X-bar and R charts are the most used way to depict quality control
parameters such as variables like pH, moisture, percent solids, pounds,
or any other units that may be applicable to a process. X-bar and R
charts are beneficial when trying to control the quality of raw materials
and finished product quality (Hubbard 1990).
X-bar represents the average value of measurements (represented by
X with subscripts such as X1, X2, X3, X4, etc.). X-bar charts graph a
series of X bar measurements, averages of sample sets.
In the following example, the weights of a finished, ready to eat ce-
real product are weighed after the dryer to test for consistency and to
ensure that the weights correspond with the product specifications for
proper fill of the packaging materials. Attaining consistent weight of
product helps to make consistent packaging. It is vital to stay within
regulatory confinements (eliminating low package fills) and not give
away product (overfilling). For each sample set, five weights are taken
as seen in Table 17.3. The X-bar calculation is a simple average of all of
the weights, while the range (r) is calculated by subtracting the largest
value in the sample set from the smallest value.
The X-bar chart in Figure 17.2 shows that at times the product has
gone above the upper limit. Products that are overweight are not in the
best interest of the company, as they may cause packages to have low fill
volumes leading to the need to add additional product to the package.
When the product has a low weight, it is important to ensure that auto-
mated packaging lines are able to seal the packaging material. Improperly
TABLE 17.3. Calculations for X-bar and R charts for Ready to Eat Cereal
Finished Weights.
grams/cup of product
Sample Set 1 2 3 4 5 Average (X-bar) Range (r)

1 32 34 33 36 33 33.6 4
2 28 32 33 34 34 32.2 6
3 30 31 30 33 31 31 3
4 38 37 37 33 35 36 5
5 34 34 35 32 32 33.4 3
6 40 40 39 37 40 39.2 3
7 28 32 24 30 29 28.6 8
8 33 32 31 34 33 32.6 3
9 34 35 36 36 36 35.4 2
10 36 32 33 34 36 34.2 4
sealed packaging materials can cause product quality to deteriorate more

quickly than usual. The X-bar chart shows the changes in averages over
time, while the R chart depicts how subgroups are changing.
The R chart in Figure 17.3 depicts the ranges of the readings taken.
Some of the ranges are quite high, which could indicate some inconsis-
tencies in the process. Perhaps at sample 7 (big spike in ranges), there
was a process change or a stopped process that caused the ranges to spike.
FIGURE 17.2. Example of X-bar chart for sample set.

FIGURE 17.3. Example of an R chart for sample set.
X-bar and R charts are preferred because they are easy to prepare,
simple to understand, and helpful when diagnosing and locating prob-
lems (Hubbard 1990). These charts can be used to test the stability of
the operation and make process improvements. Other charts are used to
evaluate attributes such as defects, sensory qualities, and color through-
out processing.
Developing a Gold Standard
Quality and sensory programs go hand in hand in determining stan-

dards for food products. The primary goals of product sales are to
please a customer through sensory traits, therefore making sensory
testing an essential part of quality control. Sensory judges should be
well trained on the stipulations of the quality program, but the de-
termination of standards should be derived from consumer testing.
A gold standard represents the best available product from which all
others are judged. The gold standard can be determined through a
combination of management decisions and consumer testing data.
Consumer research should maintain numbers significant enough to
produce statistically significant results to determine the best overall
products and the desired attributes. Desired attributes can be compiled
and used to help establish consumer-based specifications. Upper and
lower quality limits should be established. Analytical measurements
and sensory tests should be defined for each attribute. Instrumental
measurements should be used if the sensory evaluations cause fatigue
Summary 309
or are repetitive, unpleasant, or dangerous. To maintain the gold stan-

dard, production samples must be collected to monitor quality. Prod-
ucts can be compared against the gold standard through maintaining a
gold standard sample if applicable or by keeping detailed notes of the
gold standard. Photographs of gold standard food may also be help-
ful if visual appeal is obvious. Testing against the gold standard can
consist of pass/fail tests, difference testing, quality ratings/scoring, or
descriptive analysis. Gold standards help to maintain high expecta-
tions of quality and determining model food.
Addressing Consumer Complaints
The satisfaction of customers is important when producing con-

sumer goods. Customer satisfaction often leads to the firm’s over-
arching goal—to make a profit. For this reason, direct contact with
consumers regarding their preferences and acceptance of products is
so important.
When consumers contact a company with product complaints, issues
should be handled quickly and carefully. Systems for handling consum-
er complaints vary between organizations, but consumer complaints
should somehow be relayed on to the quality control department to en-
sure their knowledge of the issue. Product complaints are often regard-
ing flavor, odor, foreign material, appearance, net volume or weight,
health effects, deterioration, ingredient questions, and allergen infor-
mation (Hubbard 1990). Consumer affairs personnel should obtain the
package code date or other identifying mark from the package so that
recurring instances from the same facility or lot can be documented.
All consumer complaints should be filed categorically and assessed by
the quality department to determine areas of weakness and reoccurring
issues. These complaints may also lead to the need to reevaluate a prod-
uct’s formulation and quality procedures.
SUMMARY
The quality of products is very important to consumers, and assists

in ensuring product repurchasing. Quality control parameters and sam-
pling plans can help ensure product quality and enable product success.
Evaluation of quality programs should be done on a regular basis as
well as the tracking of recurring consumer complaint issues.
KEY WORDS
Gold standard—represents the best available product from which all

others are judged.
R chart—represents the range of values for each of the measurements.
R bar charts graph a series of R measurements, which show the
range of each sample taken. Shows variability in a process.
X-bar chart—represents the average value of measurements (represented
by X with subscripts such as X1, X2, X3, X4). X-bar charts graph a
series of X-bar measurements and averages of sample sets.
17.1. What is a sampling plan and how is it used to determine accept-

able quality levels?
17.2. A granola bar is within company specification if the chocolate

drizzle covers an average of 25% of the bar with a standard de-
viation of 5%.
a. Explain what actions would be taken if a lot of product has an

average 22% drizzle and why.
b. Explain what actions would be taken if a lot of product has an

average of 34% drizzle and why.
17.3. Describe some quality attributes that can be controlled in your

raw materials and product. Give examples of tests that you could
use.
17.4. Answer whether the statements are True or False:
a. Control of raw materials is important from a food quality

standpoint.
b. Fast methods for determination of food quality are not impor-

tant.
References 311
REFERENCES
Gould, W.A. and Gould, R.W. 1988. Total Quality Assurance for the Food
Industries. Timonium, MD: CTI Publications.
Hubbard, M.R. 1990. Statistical Quality Control for the Food Industry. New
York: Van Nostrand Reinhold.
Stauffer, J.E. 1988. Quality Assurance of Food Ingredients, Processing, and
Distribution. Westport, CT: Food & Nutrition Press, Inc.
CHAPTER 18
Safety Concerns for New Food Products
Learning Objectives
• How companies ensure safety in their new products.
• The most prominent pathogenic microorganisms.
• How to prevent food safety breeches.
F OOD safety concerns emerge everyday with the news that someone
found metal or a mouse in a food product, a nationwide outbreak
of foodborne illness is causing death, or the findings that high levels
of arsenic are present in the apple juice or rice. Food safety issues that
threaten a new food product include microbial contamination or physi-
cal contamination by means of extraneous matter, product tampering,
pesticide residues, and natural toxicants.
MICROBIAL CONTAMINATION
Microorganisms are tiny living creatures, much too small to see with
the naked eye. In recent years, a number of widely reported outbreaks of
food-borne illnesses caused by microbial contamination have increased
public awareness and concern about the safety of food. The CDC es-
timates that 1 in 6 Americans get sick as the result of a food-borne
illness—this adds up to 48 million people just in the United States (Es-
timates of foodborne illness in the United States 2012).
Microorganisms are everywhere in nature and in human environ-
ments. They need food just as humans do, so they compete with us for
our food sources. Food can supply nutrients that support the growth of
microorganisms. Under the right conditions, some of those microorgan-
isms can cause human illness; others can cause the food to spoil.
313
314 SAFETY CONCERNS FOR NEW FOOD PRODUCTS
The Problem of Food-borne Illnesses
Food-borne illnesses generally cause temporary disorders of the di-

gestive tract, however, they can also lead to more serious consequences.
Precise costs of food-borne illnesses are unknown, but recent estimates
range from $4.4 billion to more than $33 billion annually from the 14
most common illnesses, which account for 95% of illnesses and 98% of
deaths from foodborne illness (Hoffman et al. 2012). Because of inef-
fective and under-resourced monitoring procedures and widely variable
costs of illness, data on actual cases and outbreaks of food-borne illness
are inaccurate and greatly under represent the actual incidence and cost
of illness.
The majority of cases of food-borne illnesses are not reported be-
cause the initial symptoms of most food-borne illnesses are not severe
enough to require medical attention, the medical facility or state does
not report such cases, or the illness is not recognized as food-borne. It
is estimated, however, that about 9.4 million episodes of food-borne
illness occurs, about 55,961 people are hospitalized, and about 1,351
deaths occur each year by the 31 major pathogens in the United States
(Scallan et al. 2011). Bacterial pathogens are the most commonly iden-
tified cause of food-borne illnesses. They are easily transmitted and can
multiply rapidly in food, making them difficult to control.
The Centers for Disease Control and Prevention (CDC) in Atlanta,
Georgia, has targeted four pathogens (E. coli 0157:H7, Salmonella en-
teritidis, Listeria monocytogenes, and Campylobacter jejuni) as those
of greatest concern. The CDC also is concerned about other bacterial
pathogens, such as Vibrio vulnificus and Yersinia enterocolitica that can
cause serious illnesses, and Clostridium perfringens and Staphylococ-
cus aureus that cause less serious illnesses but are very common.
Viral pathogens are often transmitted by infected food handlers or
through contact with sewage. Hepatitis A and Norwalk viruses are
proven to cause food-borne illnesses.
Public health officials believe that the risk of food-borne illnesses is
increasing. Because of our large-scale food production and distribution
system, products that may be contaminated can reach a greater number
of people. In addition, new and more virulent strains of previously iden-
tified harmful bacteria have appeared in the past several decades. Some
of these organisms are resistant to usual controls, such as refrigeration.
Employee turnover, the need for constant training and supervision,
and other factors in the foodservice industry can increase the risk of
foodborne illness. Mishandling or improper preparation at any step in

the food system, including the home, can be the culprit for causing seri-
ous illness.
In general, animal foods such as beef, pork, poultry, seafood, milk,
and eggs are more frequently identified as the source of outbreaks in
the United States than non-animal foods. Increasingly, however, pro-
duce such as apples, lettuce, potatoes, onions, garlic, sprouts, berries,
melons, and tomatoes have been associated with food-borne illnesses.
Not Just the Flu
Many food-borne illnesses are brief and cause flu-like symptoms:

nausea, vomiting, and minor aches and pains. In a small percentage of
cases, more serious illness and death can result. Food-borne infections
can spread through the bloodstream to other organs. Complications also
result when diarrhetic infections act as trigger mechanisms in certain
individuals, causing an illness such as reactive arthritis to flare up. In
other cases, no immediate symptoms appear, but serious consequences
eventually develop. About 2–3% of all cases of food-borne illness lead
to serious consequences.
Salmonella enteritidis can lead to reactive arthritis, serious infec-
tions, and deaths. In recent years, outbreaks have been caused by the
consumption of many different foods of animal origin, including beef,
poultry, eggs, milk and dairy products, pork, and peanut butter. The larg-
est outbreak occurred in the Chicago area in 1985 and involved more
than 16,000 laboratory-confirmed cases and an estimated 200,000 total
cases. Some of these cases resulted in reactive arthritis. One institution
that treated 565 patients from this outbreak confirmed that 13 patients
developed reactive arthritis after consuming contaminated milk. In ad-
dition, 14 deaths may have been associated with the outbreak. More
recent outbreaks include a peanut outbreak in late 2008 that involved
Case Study: Jack-in-the-Box Outbreak of 1994

An outbreak in 1993 at the Jack-in-the-Box fast food chain affected
more than 700 people. Fifty-five patients, including four children who
died, developed hemolytic uremic syndrome, which is characterized
by kidney failure. The culprit in this incident was E. coli 0157:H7, most
commonly transmitted to humans through eating undercooked ground
beef. E. coli 0157:H7 can cause kidney failure in young children and
infants.
529 illnesses, 116 hospitalizations, and possibly 8 deaths. The peanut

butter was used by many national and multinational companies, result-
ing in many recalls. A huge Salmonella enteritidis outbreak occurred in
late 2010 involving shell eggs. The outbreak resulted in approximately
1,939 illnesses from two producers of eggs in Iowa.
Listeria can cause meningitis and stillbirths and has a fatality rate of
20–40%. All foods may contain these organisms, particularly raw poul-
try and unpasteurized dairy products. The largest outbreak occurred in
1985 in Los Angeles, largely in pregnant women and their fetuses. More
than 140 cases of illness were reported, including at least 13 cases of
meningitis. At least 48 deaths, including 20 stillbirths or miscarriages,
were attributed to the outbreak. Soft cheese produced in a contaminated
factory environment was confirmed as the source. A more recent out-
break occurred in the summer of 2012 involving cantaloupe grown in
Colorado that was responsible for 147 illnesses and 33 deaths.
Campylobacter may be the most common factor for Guillain-Barre
syndrome, which is now one of the leading causes of paralysis from
disease in the United States. Campylobacter infections occur in all age
groups, with the greatest incidence in children under 1 year of age.
Most cases occur individually, primarily from poultry, not during large
outbreaks. About 4,250 cases of Guillain-Barre syndrome occur each
year and about 425 to 1,275 cases are preceded by Campylobacter in-
fections.
Growth and Prevention of Microorganisms
Microorganisms are everywhere. When fruits, vegetables, and other

crops are harvested and when livestock are slaughtered or milk is taken
from cows, microorganisms are present. Further contamination occurs
as commodities move through the food system.
Microorganisms grow rapidly. A single microorganism can quickly
grow into a large load—1 becomes 2, 2 become 4, 4 become 8, 8 be-
comes 16, and so on. This is called logarithmic growth. The time it
takes a bacterial cell to reproduce is called the generation time.
If we start with the 20th generation containing 524,288 bacteria, it
takes only one generation to reach 1,000,000 bacteria, which is a large
enough population to cause spoilage to begin in food products. If the
equipment, personnel, and product are clean, the initial numbers of bac-
teria will be lower and we may begin with the 15th generation of 16,384.
In this instance, the shelf-life will be five times longer than before.
There are four distinct phases that occur in the growth curve: lag, log
or growth phase, stationary or resting phase, and death phase. Bacteria
need about 4 hours to adapt to a new environment before they begin
rapid growth. In handling food, this means we have less than 4 hours to
make a decision to cool the food, heat it, or eat it. For example, when
chickens arrive at the dock of a fast food outlet, at a restaurant, or at
your home, you must decide whether to heat and eat them, to refrigerate
them at a low temperature (chickens freeze at 28°F) for a short period of
time, or to wrap and freeze the chicken for longer storage. If you don’t
decide, the bacteria will enter the log phase of growth, multiplying rap-
idly, causing food to spoil or creating an opportunity for food-borne
illnesses.
Spoilage bacteria produce the slime, toxins, off-colors, and odors
associated with food spoilage in the log phase of growth. Pathogenic
bacteria can grow and produce large numbers of toxic compounds,
and these are usually not detected by off odors, flavors, etc. Remem-
ber, the 4 hours bacteria remain in the log phase is approximate and
cumulative.
As microorganisms grow, they tend to form colonies of millions of
individual cells. Once a colony forms, the food available to each cell
is limited and excretions from these millions of cells become toxic to
a microbe. This is the stationary phase. Some of the cells now begin to
die. If we can control bacterial growth, we can control the major cause
of food spoilage and food-borne illness.
Keeping initial bacteria levels low is important. A food product that
starts with 100 microorganisms per gram may have a shelf-life of 12
days before it develops off odors, slime, and spoilage. When the initial
number is 5,000 per gram, the shelf-life of that same foodstuff may be
shortened to 7 days. Because so much depends on the initial number of
bacteria, temperatures, and handling practices, a specific shelf-life for a
category of food products is difficult to determine.
Good personal hygiene, sanitizing equipment, controlling tempera-
ture, and using chlorinated water where possible are all practices that
help keep initial numbers low. Different microorganisms require differ-
ent combinations of the factors listed in Table 18.1.
Nutrients
Like all living things, bacteria require food to live, but they need
only very small quantities. Some protein or fat left on the wall of a
TABLE 18.1. Requirements for the Support of Microorganisms.

Requirements for Microorganism Growth (FAT TOM)
F Food to meet growth requirements
A Acid conditions to support growth. Acidity level
favors certain organisms over others
T Time at conditions to allow growth
T Temperatures that support growth
O Oxygen (or no oxygen) depending on organism
M Moisture
processing plant, grease on the blade of a knife, or food residues on the

wheel of a can opener or on a cutting board are a feast for microorgan-
isms as well as for larger pests.
Acidic/Basic Conditions
Every microorganism has an optimal pH (acid) concentration for

growth. Yeasts and molds favor more acidic conditions than bacteria.
Time
Some organisms grow faster than others. Under ideal conditions,

certain bacterial populations can double in as short as 9 minutes; others
require hours. Bacteria that reproduce most quickly will dominate.
Temperature
Temperature is probably the single most important factor in prevent-

ing microbial food spoilage. Generally speaking, the cooler the food is
kept, the longer shelf-life it will have. A thermometer in the refrigerator
is a necessity. Maintain the temperature at 35–40°F. Remember, how-
ever, that some foods, such as tomatoes and lettuce, will freeze or be
damaged at 32–33°F.
Different bacteria require different temperatures for maximum
growth. Some bacteria will grow at refrigerated temperatures. Others
will only grow at moderate temperatures. Warm-loving bacteria grow at
temperatures above 140°F. At temperatures above and below the opti-
mum, they grow and reproduce at a slower rate. Food spoilage bacteria
grow best at environmental temperatures of 70–100°F. A good “rule
of thumb” is to double the shelf-life of a food that needs refrigeration,
lower the temperature 18°F. That is, for every 18°F decrease in storage
temperature, food will last twice as long.
Oxygen Use
Microorganisms are considered aerobic if they can use oxygen, an-

aerobic if they grow best without oxygen, and facultative if they can
grow well with or without oxygen.
Moisture
All living things require moisture, and bacteria are no exception.

Perishable foods requiring refrigeration usually have very high mois-
ture contents. Moist food left over for long periods of time provides
adequate moisture for bacterial growth. Bacteria need water because
their only means of obtaining food is by absorption similar to that of a
sponge. This process cannot be accomplished without moisture, which
explains why foods such as dried milk, dried soups, and cereals do not
spoil microbiologically. The organisms are there, but they can’t eat.
Companies should perform challenge studies when producing pro-
cessing parameters and periodically throughout the life of a product.
Challenge studies are studies where the product is inoculated with a
bacteria prior to processing, then allowed to go through the processing
procedure in order to determine the success that the processing tech-
nique has on eliminating the bacteria. The bacteria chosen for the study
should be similar to those that would be expected to thrive in the prod-
uct.
BACTERIAL CAUSES OF FOOD-BORNE ILLNESS
Bacillus cereus
The disease: Two distinct syndromes may occur. In one, the toxin
produced results in diarrhea, and in the other, the toxin causes vomit-
ing. Generally, the diarrheal toxin is associated with consumption of
puddings, starchy sauces, or vegetables such as mashed potatoes. The
emetic syndrome is most frequently associated with cooked rice.
The organism: Bacillus cereus forms heat-resistant spores so it can
survive the initial cooking of starch-based products. The spore can then
germinate if cooked products are not kept hot (140°F or higher) before
serving.
Control: Avoid holding freshly cooked hot grain foods and vegeta-
bles any longer than necessary before serving. Keep cooked foods hot
to prevent spore germination or refrigerate and chill rapidly. Reheat
previously cooked rice and vegetable dishes to 165°F prior to serving.
Avoid slow cooling and reheating.
Campylobacter jejuni
The disease: Campylobacter jejuni has been recognized for years as

a cause of abortion in sheep. Campylobacteriosis or Campoylobacter
enteritis in humans is now more common in the United States than sal-
monellosis. Common symptoms include profuse and sometimes bloody
diarrhea, nausea, cramps, headache, and fever. Onset is within 2–5
days after eating contaminated food. The illness may last 2 or 3 days,
but it can last weeks or months with complications such as meningitis,
cholecystitis, a urinary tract infection, and reactive arthritis. Death is
rare. The organism, C. jejuni, is found in the intestinal tract of animals,
with an almost 100% occurrence in poultry. Raw meats and poultry are
important sources, along with raw milk and untreated water supplies.
The majority of cases have occurred after consuming raw milk, under-
cooked poultry, or raw meat.
Control: The organism requires reduced oxygen levels and can sur-
vive several weeks of refrigerator temperatures. It is easily killed by
heat and is inhibited by acid, salt and drying. To control C. jejuni, drink
only pasteurized milk; avoid cross-contamination of cooked or ready-
to-eat foods by utensils, equipment, or cutting surfaces not properly
cleaned and disinfected after contact with fresh, uncooked meats or
poultry, and use good personal hygiene. Wash hands after handling raw
meats to avoid transmitting organisms to other foods and utensils.
Clostridium perfringens
The disease: Ingestion of food containing large numbers of vegeta-

tive cells of Clostridium perfringens is necessary for illness to occur. In
the intestines, the vegetative cells can form spores and release toxins.
Diarrhea and severe abdominal pain are the usual symptoms. Nausea is
less frequent. Fever and vomiting are unusual. Death is uncommon, but
has occurred in older, debilitated people.
The organism: Spores of C. perfringens are found in soil. The or-

ganism is also part of the normal intestinal content of animals and hu-
mans. C. perfringens requires protein for growth and will grow with or
without oxygen. Spores are common in raw foods, and they are heat-re-
sistant. Cooking foods will destroy vegetative cells, but not necessarily
the spore forms of the bacteria. In addition, cooking drives off oxygen,
kills competing organisms, and heat shocks the spores. Then, the re-
maining spores may germinate, resulting in rapid growth of new veg-
etative cells, especially in foods that have been allowed to cool slowly
with inadequate refrigeration. If food is inadequately reheated, ingested
organisms could then cause illness.
Control: Illness can be prevented by proper handling of foods,
particularly meats, poultry, stews, roasts, meats, pies, casseroles, and
gravies. Cook items and then cool them rapidly in shallow pans in the
refrigerator. Avoid cooling gravy, stews, or chili in deep cooking pots.
If foods are to be held hot, keep the temperature above 140°F. Thor-
oughly reheat leftovers (to 165°F) before eating. Use good personal
hygiene.
Clostridium botulinum
The disease: Food-borne botulism results from eating food in which

Clostridium botulinum has grown and produced neurotoxins. The toxin
is absorbed and binds to nerve endings. It causes vomiting and diarrhea,
fatigue, dizziness, and headache. In later stages, there is constipation,
double vision, and difficulty speaking and swallowing. Involuntary
muscles become paralyzed. Cardiac and respiratory failure, and ulti-
mately, death occurs. Today, because of rapid treatment, botulism is
fatal in fewer than 10% of cases. Infantile botulism, affecting infants
under 14 months, is another type of botulism, first identified in 1976.
This disease can occur after infants ingest bacterial spores which colo-
nize and produce toxins in the intestinal tract. Spores have been found
in honey and syrups and have been implicated in some cases of infantile
botulism. Other non-food items may be sources of spores. Symptoms of
infantile botulism include constipation followed by lethargy, poor feed-
ing, weakness, drooling, weak cry, and loss of head control.
The organism: C. botulinum spores are widely distributed in soils,
shores, and bottom deposits of lakes and streams, gills and viscera of
fish, and seafood. They can be found on fruits and vegetables, as these
items often are in contact with the soil. Spores have also been found in
honey and corn syrup. Meats and vegetables can provide nutrients for
growth and toxin production.
Control: Conditions favoring growth and toxin production by C.
botulinum include high moisture, low-salt, low-acid (pH greater than
4.6), low-oxygen foods such as canned or vacuum-packed products,
and storage at room temperature. Foods commonly involved include
canned vegetables, fish, meats, chili sauce, chili peppers, tomato rel-
ish, and salad dressing. The majority of outbreaks have been caused by
home-processed foods. Other foods include foil-wrapped baked pota-
toes held at warm, not hot temperatures (above 140°F); cooked onion
also held at warm temperatures; and garlic in oil mixtures stored at
room temperature. C. botulinum spores are heat-resistant. Therefore,
canned meat, poultry, fish, and low-acid vegetables (i.e., corn, beans,
spinach, and beets) require pressure canning to achieve a high enough
temperature (240–250°F) for sufficient time to destroy spores.
It is important for home canners to use research-based processing
methods. Oven, microwave, or open-kettle canning are inadequate.
Avoid use of home vacuum packaging machines to seal low-acid, high-
moisture refrigerated products. Store leftover foods and commercially
vacuum packaged meats in the refrigerator or freezer. Avoid feeding
honey and corn syrup to infants.
Escherichia coli 0157:H7
The disease: At least four types of Escherichia coli can cause gas-
trointestinal disease in humans. One type causes infantile diarrhea; an-
other can cause traveler’s diarrhea, associated with travel in foreign
countries.
Another type causes a dysentery-like illness similar to shigellosis,
and a fourth type, 0157:H7, produces hemorrhagic colitis, a severe ill-
ness characterized by bloody diarrhea and severe abdominal cramps.
Hemolytic uremic syndrome (HUS) can be a complication in children
and is a leading cause of acute kidney failure.
The organism: This organism is a normal component of the gastro-
intestinal tract. The major source of the bacteria in the environment is
the feces of humans. Feces and contaminated water are the most likely
sources for food contamination. For years, E. coli was considered harm-
less to health and was used as an indicator of fecal contamination in
food and water.
Control: Foods that have been implicated in E. coli 0157:H7 out-
breaks of food-borne illness include mold-ripened cheeses, inade-

quately cooked ground beef, lettuce, and unpasteurized apple bever-
ages. Good sanitation practices in the manufacture of products such as
cheese, good personal hygiene when working with food, cooking meat
thoroughly (155°F is the 1995 Food Code recommendation for foodser-
vice and 160°F is the FSIS recommendation for consumers at home),
and avoiding recontamination after cooking or processing will control
E. coli 0157:H7.
Listeria monocytogenes
The disease: Listeria monocytogenes causes the disease listeriosis.

Before the 1980s, it was associated with abortions and encephalitis in
sheep and cattle. The disease in humans begins with nausea, headache,
fever, and vomiting. In severe cases, meningitis, abortion, stillbirth,
and perinatal septicemia can occur. The disease is rare in non-pregnant
healthy adults; however, adults with the following conditions are more
susceptible: neoplasm, AIDS, alcoholism, Type 1 diabetes, cardiovas-
cular disease, renal transplant, and corticosteroid therapy. The mortality
rate is about 30% in the unborn, newborn, or immune compromised.
Outbreaks have been associated with consumption of milk, certain soft
cheeses, and coleslaw made from contaminated cabbage that had been
fertilized with infected sheep manure. Post-pasteurization contamina-
tion can also be a cause of outbreaks.
The organism: L. monocytogenes is widely distributed in soil, veg-
etation, water, and animals. The organism can survive for long periods
in soil, silage, feces, and milk and other dairy foods. It grows well in
sewage. Use of sewage sludge and effluent on edible crops is hazard-
ous, as is the use of manure from infected livestock.
Listeria is capable of growing at refrigerator temperature, but it is
sensitive to heat. It also tolerates high concentrations of salt. Because
of its wide distribution in nature, its ability to survive for long periods,
and its ability to grow under refrigeration, L. monocytogenes could
be an important cause of food-borne illness in the future, particularly
as the popularity of ready-to-eat, refrigerated foods continues to in-
crease.
Control: To control the organism, control its occurrence in raw
food materials and follow good sanitation practices in food processing
plants. Use pasteurized milk and avoid post-pasteurization contamina-
tion of milk. Cook foods thoroughly.
Salmonella
The disease: Salmonellosis is the classic example of food-borne

infection. There are actually three types of diseases caused by Salmo-
nella: Enteric fever caused by S. typhosa, in which the organism, in-
gested with food, finds its way into the bloodstream and is excreted in
the stools; septicemia caused by S. cholerasuis in which the organism
causes blood poisoning; and gastroenteritis caused by S. typhimurium
and S. enteritidis, which is a true food-borne infection. In this case,
large numbers of organisms are ingested with food and cause localized
infection of the intestinal tract with no invasion of the bloodstream.
Symptoms of salmonellosis include nausea, vomiting, headache,
chills, diarrhea, and fever. In most cases the disease is short-lived, and
the person recovers. It can be fatal, however. Those at greatest risk in-
clude the very young, the aged, and those whose health status is poor.
Mortality rate from enteric fever is high. Salmonella typhi is the com-
mon cause of enteric fever, but any of the more than 2,000 different
Salmonella organisms are capable of causing enteric fever. In addition
to the acute effects of Salmonella infection, it is now known that serious
chronic rheumatoid or cardiac problems may occur after recovery from
the acute disease.
The organism: Salmonella are widely distributed in both wild and
domestic, warm- and cold-blooded animals. It is estimated that some
40% of all poultry are contaminated. The disease in humans reflects the
close human association with animals.
Meat and poultry are the most important sources of Salmonella. Be-
cause Salmonella are very heat-sensitive, they are destroyed by normal
cooking and pasteurization processes. They will, however, survive long
periods of time in dried or frozen foods. When frozen foods are thawed,
these organisms can grow again.
Control: In homes and foodservice sites, human salmonellosis can
be prevented by proper handling of meats, poultry, and other animal
foods. Keep raw foods away from cooked foods to avoid cross-contam-
ination. Cook animal foods thoroughly and hold at either cold (below
40°F) or hot (above 140°F) temperatures. Avoid drinking unpasteurized
milk. Thaw turkeys, roasts, fish, and other meats in the refrigerator,
not on the countertop. A number of recent outbreaks of salmonellosis
have been due to processing errors, particularly in the handling of milk,
cheeses, and deli meats. Problems of this nature are controlled by more
attention to sanitation and quality control at the processing plant.
Shigella
The disease: Shigellosis, also known as bacillary dysentery, is caused

by several bacteria of the genus Shigella. Symptoms include diarrhea,
abdominal pain, vomiting, and fever. Generally, food-borne shigellosis
involves a short incubation time (7–36 hours), but symptoms persist
for 3–14 days. As few as 10–100 organisms have been shown to cause
illness. Secondary infections occur frequently. Recently, shigellosis has
become a problem in day-care centers.
The organism: Shigella organisms are generally considered fragile.
They are readily killed by heat used in processing or cooking, and they
do not survive well in acidic foods (pH below 4.6). They can survive for
extended periods, however, in certain foods. Most outbreaks result from
contamination of raw or previously cooked foods during preparation in
the home or in foodservice settings. Often, the source of the contami-
nation is traced to a carrier with poor personal hygiene. In fact, the “4
Fs” involved in the transmission of Shigella are food, finger, feces, and
flies.
Control: Infected food handlers are the most likely source of contami-
nation of food by Shigella, so good personal hygiene is necessary to con-
trol the organism. Other control measures include use of properly treated
water, sanitary disposal of sewage, and control of flies and rodents.
Staphylococcus aureus
The disease: Staphylococcus organisms are capable of producing

very heat-resistant enterotoxin. The toxins, rather than the actual bacte-
ria, are responsible for causing food-borne illness. Common symptoms
include nausea, vomiting, cramps, sweating, chills, weak pulse, shock
and lowered body temperature. Recovery usually occurs within 2 days.
The organism: S. aureus is found in the nose and throat and on
the hair and skin of more than half of the healthy population. Infected
wounds, lesions, boils, and mucous spread by coughs and sneezes of
people with respiratory infection are other sources of contamination.
Any food that requires handling in its preparation can become contami-
nated. The skins and hides of animals can also harbor Staphylococcus
organisms and may contaminate foods from these animals at slaughter.
Foods that best support growth include protein-rich foods such as meats,
poultry, and fish; cream sauces; salads such as ham, turkey, and potato;
puddings; custards; and cream-filled pastries. S. aureus bacteria are not
a problem in raw foods because other harmless bacteria crowd them

out. The harmless bacteria may be destroyed in heated foods, leaving a
niche for S. aureus should the food become contaminated. In addition,
many of these cooked foods are handled and prepared in final form after
cooking, which permits the food handler to contaminate foods whose
harmless bacteria have already been destroyed. In mayonnaise-type sal-
ads (ham, egg, etc.), the acidity of the mayonnaise inhibits the growth
of Staphylcocci. But because other low-acid ingredients are mixed with
the mayonnaise, the acid level may be diluted sufficiently to support
growth of S. aureus. Salt and sugar added to certain food systems also
inhibit growth of other organisms, but do not inhibit S. aureus. The mi-
croorganism grows well at body temperature but can grow at both cold-
er and hotter temperatures. Heat processing and normal cooking will
kill S. aureus organisms, but heating does not destroy the enterotoxins.
Control: Because S. aureus bacteria are common and widespread in
humans, preventing contamination of food is virtually impossible. Con-
taminated food must be held at warm temperature for a sufficient time
to permit enough bacteria to grow and produce a level of enterotoxin to
make someone sick. Thus, temperature control is one of the most effec-
tive ways to control staphylococcal intoxication.
It is important to use good hygiene to help prevent contamination.
Cook foods thoroughly. Then, cool foods in shallow containers in re-
frigerators. Keep meat salads, potato salads, cream pies, puddings, and
pastries chilled until served. Avoid leaving foods at room temperature
for more than 2 hours.
Yersinia enterocolitica
The disease: This bacteria causes yersiniosis. The most common

form causes various symptoms of gastroenteritis, but more serious
forms can lead to polyarthritis, septicemia, and meningitis. Death from
gastroenteritis is rare, and recovery, if there are no further complica-
tions, occurs within 1 or 2 days.
The organism: Y. enterocolitica is commonly found in a wide va-
riety of animals, food, and water sources. Pigs are the most important
animal source. Food sources include raw milk, meat, poultry, shellfish,
vegetables, and tofu.
Certain strains of the bacteria produce disease, but it appears that
many of the strains are nonpathogenic. Y. enterocolitica can grow at
refrigerator temperatures, but it grows best at room temperature. It is
sensitive to heat and is destroyed by adequate cooking and by pasteuri-

zation of milk.
Control: Post-pasteurization contamination is the most frequent
cause of food-borne outbreaks. Thus, preventive measures in process-
ing plants need to include strict adherence to procedures for keeping
perishable products, such as tofu and milk, clean and cold.
Vibrio
Three Vibrio species are considered separately because each is re-

sponsible for a different disease syndrome, and their modes of causing
food-borne illness also differ.
Vibrio cholerae
The disease: Cholera causes thousands of deaths each year, primar-

ily in Asian countries. Since 1978, however, there have been numerous
reports of human illness in the United States, most of which have been
traced to consumption of raw oysters and clams. Vibrio cholerae colo-
nizes the small intestine and causes large volumes of fluid to be secret-
ed. Diarrhea results in loss of body fluids and accompanying minerals.
In severe cases, cardiovascular collapse and death may occur in a
day’s time. Organisms are excreted in large numbers and can be trans-
mitted through contaminated water supplies and by foods obtained
from those waters, particularly seafood.
The organism: Humans are the only natural sources of this organ-
ism. The organism is most commonly spread through water. V. cholerae
does not multiply in water but can survive for up to 2 weeks. It is salt
tolerant and heat-sensitive, and can be destroyed by cooking.
Control: V. cholerae is controlled by the use of clean water and by
thoroughly cooking seafood.
Vibrio parahaemolyticus
The disease: Vibrio parahaemolyticus causes an illness character-

ized by severe abdominal pain, nausea, diarrhea, and vomiting. It is the
most common food-borne illness in Japan.
The organism: V. parahaemolyticus has been found in warm coastal
waters of countries throughout the world. Most disease outbreaks occur
during warm seasons. Growth of organisms occurs while seafood is being
held for consumption. It does not grow under refrigeration. The organism
is salt-tolerant, but it is very sensitive to heat and is destroyed by cooking.
Control: Refrigeration and proper cooking are important means of
controlling V. parahaemolyticus. Consumption of raw fish and shellfish
poses risks. After cooking, it is important to avoid cross-contamination
between raw and cooked seafood. In the United States, this has been the
most frequent cause of V. parahaemolyticus infection. In Japan, how-
ever, the illness frequently involves consumption of raw seafood.
Vibrio vulnificus
The disease: This Vibrio causes two clinical forms of illness, one
affecting the blood (septicemia) and the other causing seawater-associ-
ated wound infections (progressive cellulitis). The death rate is 61% for
those with septicemia and 22% for those with wound infections.
The organism: V. vulnificus is common in marine environments and
has been found in water, sediment, plankton, oysters, and clams. It is
heat-sensitive and grows best in warm temperatures. Cooking destroys
the organism.
Control: Refrigeration and cooking of shellfish are important con-
trol measures. In addition, avoid contaminating existing cuts or causing
new wounds to hands while cleaning and harvesting shellfish.
Viral Causes of Food-borne Illness
Viruses are submicroscopic agents that cause a wide range of disease

in both plants and animals. Because they are not complete cells, they
are not capable of growing and multiplying like bacteria. Viruses that
infect the gastrointestinal tract are usually transmitted by food or water.
Human infection results from:
• Consumption of food contaminated by a food handler who was car-

rying the virus
• Consumption of raw seafood taken from waters polluted by human
wastes
• Drinking polluted water
Hepatitis A Virus
The disease: Hepatitis A is usually a mild illness with symptoms of

sudden onset of fever, nausea, loss of appetite, and abdominal discom-

fort, and is followed by jaundice. The incubation time may be 10–50
days. During the middle of the incubation period, it can be transmitted
to others. Usually, recovery is complete in 1–2 weeks. Person-to-person
transmission, as well as food-borne and waterborne transmission, oc-
curs. Adults are more susceptible to this illness. Foods become con-
taminated by food handlers who do not follow good personal hygiene
practices or by contaminated water.
Cold cuts, sandwiches, salads, fruits, shellfish, and iced drinks are
commonly implicated in outbreaks. Contamination of foods by infected
workers in food processing plants and restaurants is common.
The organism: The hepatitis A virus is made of a single molecule of
RNA surrounded by a small protein capsid.
Control: Wash hands thoroughly after using the restroom or diaper-
ing infants. Also, harvest shellfish only from unpolluted waters.
Norwalk Virus
The disease: The Norwalk virus is a more recently discovered food-

borne virus. The illness it produces is mild and characterized by nausea,
vomiting, diarrhea, and abdominal pain. Headache and low grade fever
may result. Water is the most common source of outbreaks. Shellfish
and salad ingredients are the food most often implicated.
Control: Use good personal hygiene and avoid handling food when
ill.
Summary of Microbial Contamination
This brief overview of microbial contamination does not even skim

the surface of the microbiological concerns regarding food. As a prod-
uct developer, it will be important to research the types of contamina-
tion that have previously been associated with products being created.
Action plans and the awareness of key attributes for safe production
will be vital in preventing recalls, food-borne illness outbreaks, and
monetary losses for the organization.
PHYSICAL CONTAMINATION
Physical contamination of foods can occur during storage or pro-

cessing. Common physical contaminants in food are glass, insect parts,

machine fillings (metal), and debris from fields such as rocks or sticks.
Quality control checks should be in place to eliminate the risk of con-
tamination. For example, a plant making apple cider may need to have
an in-line screen or filter to prevent pieces of apple, seeds, cores, or
stems from getting into the product. Screens or filters come in sizes
depending on the nature of the product being made. If the screen is the
only barrier to physical contaminants it should be examined often for
integrity.
Metal contamination can be detected using an in-line metal detector
after packaging. Metal can integrate into foods through their process-
ing in or on metal equipment. Equipment should be checked often for
integrity to ensure small pieces (i.e., nuts and bolts) are secured.
If products are filled in glass containers, the company should have
policies for glass breakage incidents. Common practice is to send all
open containers to waste at the time of the glass breakage.
A limited amount of insect parts are allowed in foods. To eliminate
the chances of insect contamination, proper storage and cleaning proce-
dures should be a part of the quality and safety plans.
Product Tampering
The tampering of products can be eliminated on pre-packaged foods

by incorporating tamper evident seals into the packaging scheme. Tam-
per evident packaging such as seals around bottle tops are commonly
used in the food and drug industries, but they haven’t always been pres-
ent. Tamper evident packaging includes foods in jars with “safety seal,”
clear tape around the tops of bottles, and tear away tops for resealable
packaging.
Case Study: Tylenol’s Safety Seal Now a Norm

In 1982, Tylenol capsules laced with potassium cyanide killed 7 peo-
ple in the Chicago area as the result of product tampering on store
shelves. As a result, Johnson & Johnson recalled all 31 million bottles
of the product (a loss of more than $100 million). Tylenol was praised
for their commitment to product safety, but the company was still faced
with how to eliminate product tampering. Johnson & Johnson created
a tamper resistant capsule. The FDA followed with some regulations
(mostly in the drug industry) mandating the use of tamper evident
break away components (such as the tape around the tops of bottles).
Pesticides and Other Chemical Contaminants
The consumption of high levels of pesticides are not recommended

by the EPA, who develops tolerances of pesticides on crops for food
and feed. Pesticides are regulated by the FDA, but tolerances are set
by the EPA. In addition, all pesticides used on food must be approved.
Other residual components that end up in food include sanitation
solutions, antibiotics, and indirect additives from packaging. Sanita-
tion solutions should be carefully used and labeled in a food produc-
tion facility. Standard operations for cleaning and sanitation should be
well described in written documents. Employees in charge of sanitation
should be trained. Antibiotics, sometimes used in animal food, have
been found on animal carcasses following harvest. The type of packag-
ing used for products may sometimes leech. Questions about the leech-
ing of chemicals into food products have surrounded bisphenol A (BPA)
in recent years. BPA, used for canned food liners and plastic bottles,
was found to leave trace components in food products. BPA has been
linked to increased risk of cancer in animal studies (Jenkins et al. 2009).
Natural Toxicants
Natural toxicants are compounds that are naturally present in foods

that can be harmful to humans. Organic compounds such as arsenic are
found in foods. These trace compounds are dependent on the growing
region, soil, irrigation water, previous pesticide use, growing practices,
and type of crop. Much of the exposure to arsenic is through water,
grain products, rice and rice products, fruit and fruit juices, and dairy
products (Yost et al. 2004). Arsenic is a natural part of many foods
and water sources, but exposure should be limited as elevated exposure
to inorganic arsenic has been linked to heightened risk of bladder and
lung cancers (Arsenic in drinking water linked to bladder, lung cancer
2001).
Other natural toxicants include food allergens. The eighty major
food allergens that must be labeled on U.S. products are: wheat, soy,
eggs, milk, peanuts, tree nuts, fish and shellfish. Some consumers can
have life-threatening reactions to these ingredients; therefore they are
of great importance to note on food packaging. Major recalls of foods
occur due to the failure to list allergens. In an effort to protect con-
sumers, some companies have started listing potential allergens as well
(i.e., the statement, “this food has been made on equipment that also
processes wheat, tree nuts, peanuts, etc.”). If a company is producing

two products on the same line and one has allergens and the other does
not, the company should create allergen clean up procedures in order
to produce safe, uncontaminated food or list the possibility of allergen
contamination.
SUMMARY
Contaminants in food can lead to recalls, negative press, and mon-

etary consequences. Companies should make efforts to receive high
quality safe food from producers as well as creating safety plans (cov-
ered in Chapter 19) to help ensure all product risks are controlled. As
consumer awareness of certain food issues and contaminants come into
play, it is important for food companies to move quickly to understand
the risks to products in their facilities.
KEY WORDS
Natural toxicants—compounds that are naturally present in foods that

can be harmful to humans.
18.1. Define water activity and briefly relate it to microbial growth and
chemical reactions.
18.2. What microorganism is typically used for microbial testing of

canned goods?
18.3. Discuss the relation of pH to microbial growth in foods.
18.4. Fill in the blanks in the following statements.
a. _____________ contamination can be detected using an in-

line detector after packaging.
References 333
b. _____________ _____________ bacteria are common and

widespread in humans, preventing contamination of food is
virtually impossible.
c. ______________ _____________ can cause meningitis and
stillbirths and has a fatality rate of 20–40% and is especially at
risk in ______________ _______ ______ _______________.
d. Pesticides are regulated by the ____________, but tolerances
are set by the _________.
18.5. Name the eight major allergens that must be labeled on food
products in the United States.
REFERENCES
Arsenic in drinking water linked to bladder, lung cancer. 2001. The Nation’s
Health, 31(10), 5.
Hoffman, S., Batz, M.B., and Morris, Jr. J.G., 2012. Annual cost of illness and
quality-adjusted life year losses in the united states due to 14 foodborne
pathogens. Journal of Food Protection, 75(7), 1292–1302.
Jenkins, S., Raghuraman, N., Eltoum, I., Carpenter, M., Russo, J., and Lamar-
tiniere, C.A. 2009. Oral exposure to bisphenol A increases dimethylbenzan-
thracene-induced mammary cancer in rats. Environmental Health Perspec-
tives, 117(6), 910–5.
Scallan, E., Hoekstra, R.M., Angulo, F.J., Tauxe, R.V., Widdowson, M., Roy,
S.L., et al. 2011. Foodborne illness acquired in the United States—major
pathogens. Emerging Infectious Disease.
Yost, L.J., Tao, S., Egan, S.K., Barraj, L.M., Smith, K.M., Tsuji, J.S., et al.
2004. Estimation of dietary intake of inorganic arsenic in U.S. children.
Human and Ecological Risk Assessment, 10(3), 473–483.
CHAPTER 19
Pre-Requisite Programs, HACCP, and

Audit Systems
Learning Objectives
• Learn the requirement of pre-requisite programs.
• Know what commodities have mandated HACCP.
• Recognize how audit systems work and their importance.
A LL new products must comply with safety standards. Processes

should be built on food safety programs such as the Hazard Analy-
sis and Critical Control Points (HACCP) system. The HACCP system
is widely used in the food industry, but is mandated in seafood op-
erations, meat, poultry, and juice. The HACCP system does not stand
alone—it must be used in coordination with pre-requisite programs that
define and spell out procedures for cleaning, sanitation, maintenance,
and other operational duties.
PRE-REQUISITE PROGRAMS
Pre-requisite programs are the components of an operation that set

up basic grounds for environmental and operational conditions to pro-
duce safe products. All pre-requisite programs should be revised and
revisited periodically, especially with the introduction of a new product.
Pre-requisite programs are not limited to food safety objectives, and
sometimes include other compliance issues like net content compli-
ance. Pre-requisite programs help companies meet their primary goal:
to produce a safe, wholesome, and quality product.
Good Manufacturing Practices
Good manufacturing practices (GMPs) are mandated, broad, general

335
336 PRE-REQUISITE PROGRAMS, HACCP, AND AUDIT SYSTEMS
TABLE 19.1. Differences between HACCP and Pre-requisite Programs.

Program HACCP Pre-Requisite Programs
Purpose Food safety General operations
Scope Specific Multiple area/lines
Cost of deviation Deviations have serious Deviations may not be serious
consequences
maintenance regulations that are essential to produce wholesome prod-

ucts. GMPs account for employees, equipment, processing, and envi-
ronmental considerations into an operation. GMP may also be referred
to as current good manufacturing practices (cGMPs).
GMPs were established in 1969, and were very specific. Therefore,
they were revised in 1986 to be more “umbrella” sort of regulations,
making them relevant for more operations. The regulations of 21 CFR
110 detailing cGMPs can be found at the end of this chapter.
21 CFR states that all personnel tasked with maintaining sanitation
should be educated in food safety practices. All employees should be
aware of cGMP. It is important for plants to teach the basics of this
TABLE 19.2. 21 CFR Current Good Manufacturing Practices Categories.

Part Subject
General Provisions
110.3 Definitions
110.5 Current Good Manufacturing Practice
110.10 Personnel
110.19 Exclusions
Buildings and Facilities
110.20 Plant and grounds
110.35 Sanitary operations
110.37 Sanitary facilities and controls
Equipment
110.40 Equipment and utensils
Production and Process Controls
110.80 Processes and controls
110.93 Warehousing and distribution
Defect Action Levels
110.110 Defect Action Levels
regulation in a form that they can understand. It may be beneficial for

companies to have employees sign that they have read and understand
the statements.
Personnel should be aware of disease control and maintain adequate
cleanliness. Hair and beard restraints should be used where appropriate.
Disease control is an important part of maintaining a safe environment
for food handling. Companies should produce strict and detailed return
to work policies so that employees understand what is appropriate.
Clean outer garments are important and are sometimes provided by
companies. A proper place to store street clothes should be provided.
The ability to store personal belongings assists employees in comply-
ing with company policies, such as the restriction of jewelry and street
shoes. Many companies provide steel toe shoes, or other work shoes
that should not be worn outside of the plant facility.
Buildings and facilities should be designed so that people flow from
finished product to raw product in order to prevent cross contamination
as shown in Figure 19.2. Product flow should be opposite of the flow of
employees. If employees must go from finished to raw product, there
should be sanitation procedures that are adequate to prevent the con-
tamination of finished product.
Equipment and utensils should be easily cleaned and be chosen with
the chance of metal contamination in mind. Instruments for measuring
processing parameters should be regularly calibrated.
FIGURE 19.1. Wearing hairnets and clean clothing is very important to elimi-
nate unwanted contamination. Photo by Jack Dykinga, courtesy of USDA ARS.
FIGURE 19.2. The flow of people and product should be opposite of one another to pre-
vent contamination of finished products.
Raw material handling should be done with care by inspecting dam-

aged boxes, observing for foreign material, and checking the tempera-
ture of refrigerated or frozen products. Storage of materials should be
done in a way that prevents contamination during storage. A great ex-
ample of this would be storing chicken below ground pork and whole
cuts of beef in the refrigerator based on heating temperatures of 165°F,
160°F, and 145°F respectively. The chicken will be heated to the high-
est temperature; therefore it should be stored on the lowest part of the
refrigerator. This reduces the risk of chicken contaminating the ground
pork or cut of beef, which will not be heated to 165°F.
In all cases, refrigerated foods should be kept at 40°F or less. Frozen
food should remain frozen. Hot foods should be kept above 140°F. All
cooking times should be based on both time and temperature.
Sanitizers and other potentially hazardous chemicals should be la-
beled properly and have written procedures for use based on the manu-
facturer’s recommendations. Physical hazards should be eliminated if
at all possible. This means restricting the use of jewelry, hairpieces with
metal, or other small items. Policies can be put in place such as not
keeping any items above the waist, such as pens that can potentially fall
out of shirt pockets.
GMP systems should be written documents describing policies
and procedures that employees are expected to follow. All employees
should have access to these procedures. Employees should be able to
read and understand the procedures, which may require employers to
post reminders with descriptive pictures and multiple languages.
Standard Operating Procedures
Standard operating procedures (SOPs) are descriptions of specific

tasks to be carried out in a particular operation. SOPs vary with each
manufacturing facility and every piece of equipment due to special-

ized issues. For example, some equipment is designed for cleaning in
place while others must be completely disassembled in order to main-
tain sanitary conditions. SOPs are critical in the first phase of the new
product development. These detailed task descriptions work along with
GMP to support your new product and HACCP plan. SOPs are used in
conjunction with GMP to train employees about procedures in a pro-
cessing facility.
SOPs should define 7 attributes as described in Table 19.3. Each
piece of the SOPs helps alleviate any questions about the process of do-
ing a single task. SOPs are a set of explicit instructions on how to carry
out a specific operation, while GMPs are procedures to be carried out by
a plant to prevent adulteration. Proper SOPs detail all of the important
steps so that any employee can easily do the task at hand.
The USDA FSIS mandates sanitation standard operation procedures
(SSOPs) for meat and poultry operations. SSOPs address the pre-oper-
TABLE 19.3. The Information that a SOP Should Answer

for Each Specific Task.
Example SOP: Controlling Time &
Information Clarification Temperature During Preparation
Who Who is going to perform Foodservice employees should be
the job or task trained on this SOP as well as using
and calibrating thermometers
Why The purpose for To prevent foodborne illness by limiting
competing the task the amount of time that potentially
hazardous foods are held at danger-
ous temperatures during preparation/
processing
What Identifies what the task is Chill ingredients that should be kept
cold, such as ready to eat meats and
pre-cut fruits and vegetables; limit the
time that potentially hazardous food is
kept at room temperature
How Frequent When it will be performed At least 2 internal temperatures from
and how often each pan of heated foods
Critical Time Limits Specifies any time limit As foods are kept at heated or cooled
for the task temperatures, their temperatures
should be taken at least every 2 hours
or as otherwise defined
Corrective Action Identifies what to do if the If the temperatures are not taken, then
task was not completed the food will be discarded after 4 hours
or performed incorrectly (or another appropriate defined time)
ational and operational sanitation procedures to prevent direct contami-

nation or adulteration. Each company and facility must develop his or
her own set of SSOPs addressing pre-operational and operational sanita-
tion. FSIS verifies if each plan is working or if the facility should update
their SSOP to reflect changes, such as the purchase of new equipment.
Pre-operational sanitation is procedures that are completed to clean
the facility, equipment, and utensils. These SSOPs should include de-
tailed descriptions of how to disassemble and reassemble equipment.
Cleaning and sanitation procedures should also be described using step-
by-step instructions.
Operational sanitation is procedures that eliminate the chance of con-
tamination during processing. Equipment cleaning that takes place dur-
ing production is one SSOP that would be required. Employee hygiene
issues, such as the procedure for cleaning should an employee vomit in
the processing area and when an employee can return to work following
a fever, can be described in operational sanitation as well. An SSOP for
product handling in both raw and cooked areas should be included.
The implementation and monitoring of SSOPs is necessary in or-
der to maintain compliance with FSIS and to keep sanitation in check.
Specific employees should be specified to carry out pre-operational and
operational checks through organoleptic, chemical, or microbiological
assessment. Safety managers should also have scheduled and unsched-
uled checks of all SSOP in order to ensure accuracy and employee un-
derstanding.
When deviations occur from the SSOPs, it is important to have cor-
rective action protocol for each specific task. Corrective actions should
FIGURE 19.3. An example of a hand washing GMP that might be utilized at a manufac-
turing facility.
all keep in mind the goal of producing safe, quality food, therefore en-
suring that direct product contamination has not occurred. All correc-
tive actions should be pre-determined. Activities associated with cor-
rective actions should be recorded.
AUDITING
Facility audits should take place internally and by a third party. Typi-
cal audits consist of a review of records in addition to a facility walk-
through. Auditing agencies will usually look at (Corlett 1998):
• Good Manufacturing Practices

• Basic food handling
• Consumer complaint records
• Incidence of product holds and safe disposition of held product
• Establishment of a quality assurance system
• Laboratory testing procedures and their effectiveness
• Review of regulatory inspection results and actions
• HACCP system and SSOP verifications
The Importance of Pre-Requisite Programs
SOP and GMP plans help to guard against defects in new and exist-
ing products. Having sound pre-requisite plans help to create safe and
quality new products that will assist in establishing repeat wholesale
buyers and satisfied consumers. GMP programs help to ensure that all
grounds, facilities, and employees meet the basic needs of safety, while
SOPs spell out the procedures for keeping the products safe. Product
safety should never be compromised. Pre-requisite programs are man-
aged as a system of their own.
HAZARD ANALYSIS CRITICAL CONTROL POINT (HACCP)
Hazard Analysis Critical Control Point (HACCP) is a common sense

technique to control food safety hazards. It is a preventive system of
hazard control rather than a reactive one. Food establishments can use
it to ensure safer food products for consumers. It is not a zero risk sys-
tem, but is designed to minimize the risk of food safety hazards. The
objective of the HACCP system is to make products as safe as possible

by thoroughly assessing risks in the operation, identifying hazards, es-
tablishing controls, and monitoring these controls. It has almost become
the norm to develop a HACCP plan for every new food product devel-
oped by a manufacturer. Besides helping make a safe product, HACCP
plans are routinely required by buyers of new products and are often au-
dited by representatives of these organizations. HACCP is not a stand-
alone program but is one part of a larger system of control procedures
that must be in place in order for HACCP to function effectively. These
control procedures are prerequisite programs.
The success of a HACCP program is dependent upon both people and
facilities. Management and employees must be properly motivated and
trained if a HACCP program is to successfully reduce the risk of food-
borne illness. Education and training in the principles of food safety and
management commitment to the implementation of a HACCP system
are critical and must be continuously reinforced. Instilling food worker
commitment and dealing with problems such as high employee turn-
over and communication barriers must be considered when designing
a HACCP plan.
Because many foods are agricultural products and have started
their journey to your door as animals and plants, raised in the environ-
ment, they may contain microscopic organisms. Many foods contain
nutrients that make them a place where microorganisms can live and
even grow. Some of these organisms are pathogens, which means that
under the right conditions and in the right numbers, they can make
someone who eats them ill. Raw animal foods such as meat, poultry,
fish, and eggs often carry bacteria, viruses, or parasites that can be
harmful to humans.
Also because foods are from the environment, they can contain ob-
jects such as stones that could cause injury. Food may be contaminated
naturally, for example, by the soil in which it is grown or because of
harvest, storage, or transportation practices. Some foods undergo fur-
ther processing and at times, despite best efforts, become contaminated.
These inherent hazards, along with those that can occur in your estab-
lishment, such as metal fragments from grinding, can lead to injury, ill-
ness, or death. Hazards are categorized into three categories: biological,
chemical, and physical. Examples of each are given in Table 19.4.
The National Aeronautics and Space Administration (NASA) and
the U.S. Military Natick Laboratory first developed HACCP. Pillsbury
was the first company to use HACCP as they prepared foods for the
TABLE 19.4. HACCP Aims to Define the Possible Hazards in a

Company’s Food Processing Procedure.
Hazards Occurring in Food Processing
Biological • Bacterial, parasitic, or viral contamination
• Bacterial growth
• Bacterial, parasitic, or viral survival
• Bacterial toxin production
• Bacterial, parasitic, or viral cross-contamination
Chemical • Nonfood-grade lubricants
• Cleaning compounds
• Food additives
• Insecticides
Physical • Stones
• Glass
• Metal fragments
• Packaging materials
U.S. Space Program. Safe food for astronauts was essential to prevent
illness and the Space Program demanded that the food be as close to
100% determination that the food was not contaminated. As the com-
pany saw the success of the system, they decided to enact HACCP prin-
ciples company-wide (Corlett 1998).
The HACCP system has been refined since Pillsbury first put the
program into place, adding an emphasis on process control and record-
keeping. Process control involves the maintenance of raw materials,
production, environment, personnel, storage, and distribution. Re-
cordkeeping should paint a comprehensive history of the product, and
important practice to ensure safety. In 1985, the National Academy of
Sciences (NAS) recommended that HACCP be adopted by all regula-
tory agencies and mandated for food processors. The National Advi-
sory Committee on Microbiological Criteria for Foods (NACMCF) had
been researching and drafting the principal points of the system through
the investigation of the work at Pillsbury, courses offered on the system,
and a publication of the NAS. In 1989, the HACCP principles were
standardized by the NACMCF.
Even before a company can create a HACCP plan, there is some
work to do. It is important to establish support from the company and
management prior to enforcing this preventative system. HACCP can-
not be implemented without full cooperation of the entire facility and
operation. After support for the program is established, a multidisci-
plinary HACCP team should be formed including operations super-

visors, line operators, engineers, sanitation personnel, quality control
staff, and representatives from purchasing, receiving, and distribution.
A team leader that is trained in HACCP should be defined as the
coordinator. The team will together find areas where hazards should be
controlled, and help to define measures to do so. The HACCP coordi-
nator must have management skills and the knowledge and resources
to implement the system. Resources needed may include knowledge, a
contact list of regulatory and other experts, basic forms, and of course,
a team. Outside experts can be used to help, advise, and assist in deter-
mining the best HACCP plan, but should not write the plan. Writing the
plan as a team creates a sense of ownership for plant personnel.
Prior to creating a HACCP plan, the team must assemble to describe
the food and its distribution, identify its intended use and who the con-
sumers will be, develop a flow diagram and verify the diagram. The
description of the product should include the name, recipe, formula, and
ingredients as well as the shelf-life and distribution of the product. The
intended use for consumers is also important to define. For example, is
the product ready to eat and meant for the general public or is it a cook
and eat product that is geared toward infants?
The HACCP team should create a flow chart (like the one in Fig-
ure 19.4) and have all product descriptions and specifications for each
product. The flow diagram should be a simple, clear description of the
steps in the process of turning raw products into a finished food prod-
uct. Walking the processing floor and determining if any steps are miss-
ing should complete verification. Only steps that are in the control of
the facility should be included.
After the team has a product description and flow diagram, the team
can begin addressing the seven principles of creating a plan. The entire
plan should be recorded in forms similar to examples at the FDA, USDA,
and other commodity group websites. These seven principles are:
1. Conduct a hazard analysis

2. Identify critical control points (CCP)
3. Establish critical limits for CCP
4. Establish monitoring procedures
5. Establish corrective actions
6. Establish verification procedures
7. Establish recordkeeping procedures
Principle 1: Conduct a Hazard Analysis
Conducting a hazard analysis takes the work of the whole HACCP

team. Using the processing steps, significant hazards that are likely to
FIGURE 19.4. Process flow sheets should be used to help create a HACCP plan.
FIGURE 19.5. Example of a hazard analysis form. A modified version of forms by Boyle
and Aramouni, 2003.
occur should be described along with current control measures. What

are the hazards in each person’s area of responsibility? Are there hazards
that are not being controlled? Hazards must be a risk significant enough
that if no controlled, they would present a food safety risk. Questions to
ask during a hazard analysis include (Corlett 1998):
• Ingredient risks
• Intrinsic factors of these ingredients
• Procedures used for processing
• Microbial load of the materials
• Facility design
• Equipment design and usage
• Packaging
• Sanitation procedures
• Employee health, education, and barriers for contamination
• Conditions of storage to end-user
• Intended use of the product
• Intended consumer
Principle 2: Identifying Critical Control Points
Using the processing steps and hazards defined in Principle 1, the

team should define each point, step, or procedure at which a control
can be applied and a food safety risk can be prevented, eliminated, or
reduced to an acceptable level. These points that are crucial in reducing
risk are defined as critical control points (CCP).
CCP can be located at any step in receiving, processing, storage, or
distribution. CCP are meant to be the most important controls in the
FIGURE 19.6. Example of a critical control point form for Principle 2. This example is a
modified version of forms from Boyle and Aramouni, 2003.
process because they provide management of the most critical hazards

in the operation. For example, raw meat products should probably in-
clude a CCP for the cool storage because this is an important control to
keep microbial growth and spoilage organisms from making the prod-
uct unsuitable for consumer purchase. This CCP should be to keep the
raw meet under refrigerated temperatures and should be listed. Hazards
that are controlled in a later step do not need to be labeled as CCP.
Principle 3: Establish Critical Limits
For each CCP, critical limits should be established. These critical

limits are quantitative or concrete measures for controlling the opera-
tions for the CCP. Critical limits should be based on scientific litera-
FIGURE 19.7. An example of a critical limit form and monitoring actions, HACCP prin-
ciples 3 and 4. This example is a modified version of forms by Boyle and Aramouni, 2003.
ture and/or regulatory standards. In the previous CCP of keeping raw

meat refrigerated, a critical limit that would be proper to set would
be to keep the meat at or below 40°F. Critical limits can be measured
through instrumental means or have a certain action that must be ob-
served.
An example of a critical limit not measured through instrumental
means is a company with a CCP at receiving for patulin. Patulin, a toxic
substance produced by molds, can occur in apple juice when old or
dropped apples are used. The critical limit to control this step may be to
receive a letter from a company guaranteeing that the apples purchased
do not contain patulin levels above 50 parts per billion (the actionable
limit set by FDA) and do not contain apples that have dropped from the
tree. Letters like this that state that the product meet certain specifica-
tions are called letters of guarantee (LOG). Letters of guarantee, then,
should be provided with every load of apples in order to meet the criti-
cal limit. When the process is outside of the critical limits, it is thought
to be out of control and result in consumer illness or death.
Principle 4: Establishing Monitoring Procedures
Critical limits should be monitored using written procedural oper-

ations (perhaps an SOP) at a pre-defined frequency by a designated
person. The questions in Figure 19.7 help to define exactly how mon-
itoring procedures will be carried out. Developing forms for critical
limit monitoring may be important in order to eliminate questions about
whether or not the procedure is in control or not. In line technicians
may be responsible for monitoring the pH, aw, or do a visual inspection
at designated times during their shift. By having designated personnel
monitoring certain critical limits, it helps create clear expectations as to
how monitoring procedures should be carried out.
Principle 5: Establishing Corrective Actions
What does a line technician or HACCP coordinators do if the prod-

uct tests outside the critical limit? Establishing corrective actions helps
everyone in the facility to have pre-stated step-by-step procedures when
the critical limit is not met. Options for corrective actions include re-
processing, holding the product for further analysis (microbiological,
chemical), or destroying the product. When a product does not meet
heating standards, the product can in some cases be preprocessed to
meet the correct temperature. If the apple cider company did not receive
their letter of guarantee, they may tag the product with an identifier that
states not to use the product, holding it until the company can provide
the documentation. If no reprocessing or holding can take place, the
product may need to be destroyed or put to waste.
Corrective actions should include step-by-step procedures (SOP) for
how to perform the desired actions and what is appropriate action for
every scenario. There can be more than one corrective action for each
CCP. In fact, the corrective actions should cover every possible devia-
tion because that can be brainstormed by the HACCP team.
Principle 6: Verification
Critical limits for CCP should be verified as satisfactory through

validation measurements. If a facility has a biological CCP for pos-
sible pathogens, a challenge study using inoculated product could be
completed in order to verify that possible pathogens are being de-
stroyed. Internal personnel and third party auditors should complete
periodic audits of the HACCP system. Verification procedures may
include the monitoring of instruments and equipment used to mea-
sure critical limits. Calibration should occur at a specified frequency.
For high usage instruments, such as thermometers, calibration may be
scheduled for each shift. Some instruments may need to be sent to the
manufacturer once a year or so to ensure working quality. Specified
personnel should be declared for verification procedures. The form
example is combined with principle 7 about recordkeeping in Figure
19.8.
FIGURE 19.8. An example of a critical limit form and monitoring actions, HACCP prin-
ciples 3 and 4. This example is a modified version of forms by Boyle and Aramouni, 2003.
FIGURE 19.9. An example of a form listing records and verification procedures. This
example is a modified version of forms by Boyle and Aramouni, 2003.
Principle 7: Recordkeeping
The establishment of recordkeeping procedures is important. In the

event of a regulatory audit, the documents involved in recordkeeping
can provide evidence that your procedure is safe. Recordkeeping and
documentation should be covered for all information about product
safety including test results, calibration records, inspection reports, and
monitoring records (Corlett 1998).
HACCP Summary
Whether or not HACCP is mandated for your product, it is essen-

tial to understand the basic procedures for determining hazards in your
operations. Many facilities, even those where it is not mandated, have
adopted the HACCP system as a preventative measure to keep their
products safe. New products should, at a minimum undergo a hazard
analysis and establish actionable methods for controlling the most criti-
cal attributes. HACCP cannot stand alone, therefore it should be com-
bined with sound pre-requisite and quality programs.
Audit Systems
Audit systems provide checkpoints for companies and allow for out-
side firms to critique them on their attention to food safety risks. In
May 2000, following a number of food safety scares, a group of in-
ternational retailer CEOs identified the need to enhance food safety,

ensure consumer protection and to strengthen consumer confidence.
They launched the Global Food Safety Initiative (GFSI), a non-profit
foundation, which sets requirements for food safety schemes through
a benchmarking process in order to improve cost efficiency through-
out the food supply chain. GFSI benchmarks existing food standards
against food safety criteria, and also looks to develop mechanisms to
exchange information in the supply chain, to raise consumer awareness
and to review existing good retail practices. Once formal recognition
has been given to a standard, the certificates gained from an audit to a
GFSI recognized standard are accepted by many international suppli-
ers and regional/national retailers. The GFSI recognized different food
safety schemes including those introduced by British Retail Consor-
tium (BRC), the International Organization for Standardization (ISO),
and Safe Quality Food (SQF).
Audit systems are important for manufacturers of foods because re-
tailers are requiring these certifications to accept the foods into their
operations. Due to a heightened awareness of food safety risks and the
occurrence of several large outbreaks, large retailers have focused on
the safety of their product suppliers in order to reduce the risk in their
own business.
British Retail Consortium (BRC)
The BRC is a safety and quality focused manufacturing scheme and

auditing system. Companies that wish to be certified under the BRC are
licensed through third party “Certification Bodies.” Before scheduling
an audit, a preliminary self-assessment should be taken. An optional
pre-assessment is also available in preparation for the audit. Completed
audits are given a grade of A, B, or C. If the audit is unannounced, it is
distinguished on the certification with an asterisk (*).
Safe Quality Food (SQF)
SFQ provides independent certification that a supplier’s food safety

and management meets international and domestic food safety require-
ments. It helps suppliers assure their customers that their food is han-
dled with the highest possible standards.
This system is tailored for manufacturers, wholesalers, and distrib-
uters, but it can be applied at all levels of the food supply chain. SQF
codes are divided into different producers. For example, SQF 1000 is
designed for primary producers/farmers, while SQF 2000 is geared to-
ward manufacturers, distributors, exporters, brokers, and retailers. Each
code divided into three levels of certification, showing the level of de-
velopment of the supplier’s safety and quality systems
International Organization for Standardization (ISO)
ISO develops International Standards for most industry sectors as well

as for a variety of cross-sector horizontal themes (such as metrology and
generic management systems). ISO 22000:2005 specifies requirements
for a food safety management system where an organization in the food
chain needs to demonstrate its ability to control food safety hazards in
order to ensure that food is safe at the time of human consumption.
In many cases the agencies that create auditing systems do not actually
do the auditing themselves. Third party auditing agencies are generally
responsible for completing the audits. The auditors should be accredited
to complete the audits being undertaken. AIB International, an auditing
agency, is authorized grade on these systems: BRC Global Standard, ISO
22000, FSSC 22000, and SQF 2000. AIB also offers HACCP Accredita-
tion. Another agency, Silliker Labs provides SQF 1000 and SQF 2000
certification audits globally are also approved by BRC Global Standard
for Food Safety Issue 5. Silliker Labs is also an approved training body
for SQF, BRC, FSSC 22000, and other certification processes.
SUMMARY OF AUDITING
In many cases the agencies that create auditing systems do not ac-
tually do the auditing themselves. Third party auditing agencies are
generally responsible for completing the audits. The auditors should be
accredited to complete the audits being undertaken. AIB International,
an auditing agency, is authorized grade on these systems: BRC Global
Standard, ISO.
KEY WORDS
Critical control points—crucial points in processing that are essential

for reducing risk
References 353
Good Manufacturing Practices (GMP)—mandated broad general

maintenance regulations that are essential to produce wholesome
products, found in 21 CFR 110.
Operational sanitation—procedures that eliminate the chance of
contamination during processing.
Pre-operational sanitation—procedures that are completed to clean the
facility, equipment, and utensils.
Pre-requisite Programs—the components of an operation that set up
basic grounds for environmental and operational conditions to
produce safe products.
Principal Display Panel—defined as the part of a label that is most likely
to be displayed, presented, shown or examined under customary
conditions of display for retail sale.
Standard operating procedures (SOP)—descriptions of specific
tasks to be carried out in a particular operation that vary with
each manufacturing facility and even piece of equipment due to
specialized issues.
19.1. Name four areas that Good Manufacturing Practices (GMPs) ad-
dress.
19.2. Assume your product (or a product) is ready for large-scale pro-
duction. Write a Standard Operating Procedure for the first step
in your production process.
19.3. Name the commodities that require HACCP Plans as required by

FDA and USDA.
19.4. Why is the flow of product and people important in production

facilities? Draw your own diagram for a product that you are cur-
rently developing.
REFERENCES
Aramouni, F. and Boyle, L. 2003. PowerPoint Lectures. Manhattan, KS: KSU

Department of Animal Science and Industry. Available at: http://www.

oznet.ksu.edu/meatscience/ASI690/ASI690Campus.htm.
Boyle, L. and Aramouni, F. 2003. Example HACCP Forms. Manhattan, KS:
KSU Department of Animal Science and Industry. Available at: http://
www.oznet.ksu.edu/meatscience/HACCP/forms.htm.
Corlett, Jr., D.A. 1998. HACCP User’s Manual. Gaithersburg, Maryland: As-
pen Publishers.
Appendix A:
Guide to the Code of
Federal Regulations
A FTER food laws are signed, the enforcing agency issues a pro-
posed rule, which is known as a Notice of Proposed Rulemaking
(NPRM). The proposed rule is then published in the Federal Register
where the public is allowed to view it and make comments regarding
the possible implications of the new regulation. After a comment pe-
riod of at least 30 days, an official rule will be published in the Fed-
eral Register. The final rule will have information regarding the dates
in which it will become effective for companies. Small companies, in
some cases, have a longer period to comply than larger organizations.
The FDA sometimes issues guidance documents to assist companies
in understanding how the new rules will affect their business and its
responsibilities. After the final rule has been issued, the regulation will
be filed in Federal Register and become permanent law. All permanent
laws are codified in the Code of Federal Register, where they are filed
with other laws regarding a subject. Rules and regulations regarding
food and drugs are given in Title 21 in the Code of Federal Regulations,
while rules regarding animals and animal products are found in Title 9.
The Code of Federal Regulations (CFR) is available online, and can
be accessed through www.fda.gov and the Government Printing Of-
fice’s website (www.gpo.gov/fdsys). To find specific regulations re-
garding a product, use the search tool available on the site. Guidance
regarding rules can be found on the websites of the USDA and FDA.
355
Appendix B:
Creating a Focus Group
Moderator’s Guide
W RITING a moderator’s guide begins by defining the purpose and

goal outcomes of the focus group. A purpose statement should be
written in order to give clarity of the goals to all who are assisting in
the coordination of the test. After a purpose has been defined, questions
must be carefully crafted. Key elements to understand before writing a
moderator’s guide include:
1. Clear purpose statement
2. Outline of issue areas
3. Key questions of importance for each issue area
4. A logic path for the line of questions
Steps to Creating a Focus Group Moderator’s Guide:
Step 1: Understanding the client’s true purpose for the qualitative re-
search
Step 2: Outlining the 4–6 key issue areas
Step 3: Crafting key questions for each issue area
Step 4: Submitting draft guides for client approval
Step 5: Fine tuning guide with client input
Before Writing the Guide
There are certain answers needed by a moderator before a guide can

be started. The questions that the client has to answer include:
357
358 APPENDIX B: CREATING A FOCUS GROUP MODERATOR’S GUIDE
• What has led to the need for research?

• If you could only ask one question of respondents, what is that ques-
tion?
• How does qualitative market research fit into the research continu-
um—what happened before this project?—what will happen after
this project is over?
• How does this qualitative market research project fit into the busi-
ness strategy planning? How will research be used to support deci-
sion making?
• What will be different when the research is over?
• How will the information be used and by whom?
• What happens if the answers fall into these categories:
—“I— love this product/service.”
—“I— hate this product/service.”
• Who/what kinds of people are in the focus group?
How to Write Guide Questions:
Guides should always be written with the respondent in mind. Writ-

ers and moderators must be careful not to interject their own opinions
and bias into the discussion. Here are the three points of view to con-
sider when writing a guide:
1. The moderator’s point of view
“People in other groups have been split on the issue of women in
combat. How do you feel about it?”
2. The respondent’s point of view
“Should women serve in combat units?”
3. The client’s point of view
“What do you people think about women in combat?”
Flow of the Guide
There is a natural flow for discussion guides and that flow follows
some clear guidelines, including the following:
• Move from general to specific questions within each issue area.
• Move from easy to answer to difficult to answer within each issue
area.
• Vary the question stems within each issue area.

• Vary the question types within each issue area.
• Where appropriate, vary the activities required of respondents within
each issue area.
Examples: Use interventions such as paper and pencil exercises or
notate key lists on the easel or have respondents react to specific
stimuli such as picture sorts, animation, or finished ads.
Writing Questions
Step 1: On five pieces of paper, write the name of the five issue areas
that the group will discuss.
Step 2: Start with Issue Area A: usually background questions. Allow
6–10 minutes for this section in terms of the time it takes for the
room to answer the questions.
• Write a general question about the topic that anyone in the
room can answer.
• Writer another general question that has probes. Again, any-
one can answer the question. It is very easy and non-threat-
ening.
Step 3: Move toward specific questions that relate only to that issue
area.
• Include a brief intervention; e.g., writing on the easel, or pri-
vate writing, or raising hands to indicate a “vote.”
Step 4: Move on to Issue Area B: Write one general question and then
move onto specific questions. Allot 10–15 minutes for this sec-
tion in terms of how long it takes to answer the questions. In-
clude 2–4 minutes of interventions to keep the section “inter-
esting.”
Step 5: Move on to Issue Areas C and D: Write one general question
for each and move on to specific questions. Allot 40–60 min-
utes for these two sections combined.
Step 6: Write a traditional closing issue area: Issue Area E and write in
a plan for a false close so you can meet with the client.
Editing a Guide
1. Now that you have a first draft, go back and revisit questions that
might require more probes or more instructions (to the moderator

or to the respondents)—add those probes/instructions.
2. Check format to ensure that it is easy to read and key data is in caps
or bolded.
3. Submit a good draft to the client for review, edit, and signoff!
4. Usually the first draft is to discover how close you’ve come to
interpreting the purpose of the study, translating question for the
respondents. Remember, the guide is in all likelihood the first
time the concept as a purpose has been rendered as an actionable
item.
General Subjects to Consider for Focus Group Questions:
1. General product/service usage (behavioral)

2. Likes/dislikes of products/services
3. Reactions to concrete stimuli (e.g., pictures, ads, products, posters,
concept statements, etc.)
4. Creating an idea together
5. Brand images
6. Perceived motivational aspects
7. Advantages/disadvantages of products/services
8. Perceived attributes (products or service)
9. Importance/relevance to consumers
10. Believability/credibility
11. Perceived target users
12. Similarities/differences to existing products/services
13. Image of self as user
14. Unmet needs
15. Perceived problems/barriers
16. Others as determined by the special nature of a specific project
purpose
Focus Group Moderator’s Guide Example

Month Day, Year Snack Product Guide
PURPOSE: To explore consumer perceptions of various grain-based

extruded snack products.
INTRODUCTION
A. Hello. My name is __________ and I am an employee of _________.

The researchers have asked me to moderate today’s 2 hour group
discussion, but I am not involved directly in the outcome of the
research. Our purpose today is to talk about snack foods. We’ll be
doing several things today: participating in group discussion, tast-
ing, and commenting on some snacks-in-development
B. Feel free to make any negative or positive comments about any of
the items we will be discussing. This is a free flowing discussion and
there are no wrong answers. The results of today’s discussion will be
useful to the researchers who are developing new snack foods.
DISCLOSURES
A. Facilities and observers. I want to tell you some things about this
room. Like many other research facilities in the United States, this
room has a one-way mirror. A few of the researchers involved in
this project are on the other side of the glass. They want to hear
your comments first hand so they can help with interpretation and
won’t have to wait for my report. Your comments also are being
audio taped so that I can pay attention to the discussion instead of
note taking. I am concerned about what is being said, not who made
which comments. Your name will not be used in any report about
this project.
B. Voice opinions. Your presence here is very important to the success
of this project. I want to thank you for your time, your opinions, and
courage in voicing your point of view.
C. Allowance to leave the room. At any time you may leave the room
to use the restroom, get a drink, etc. But in order to maintain the
group, I ask that only one person be up or out at a time.
D. Allergens. I will be asking you to sample some grain-based snacks
later on. Please let me know if you have any allergies at this time.
GUIDELINES FOR DISCUSSION

Now, in order to make this session work as a research session, here
are some guidelines to follow:
A. Please talk one at a time and with a voice as loud as mine. I need to
be able to pick up your voice on the tape.
B. Avoid side conversations. Usually side conversations involve some
interesting comments so I ask that any comments you make, make
them to the entire group.
C. I need to hear from everyone in the group, and let’s allow everyone
equal time so that nobody talks too much or too little.
D. There are no wrong answers, but there are different viewpoints. Say
what you believe, whether or not anyone else agrees.
E. It’s okay to disagree, but don’t put anyone down for thinking or
saying things differently than you.
INTRODUCTIONS
A. Before we start talking about snack foods, I’d like to meet each of
you. Please introduce yourself to the group. Tell us three things:
(1) your name, (2) your favorite food, and (3) who or what lives at
your home with you. Let’s begin at my left and go around the room.
B. Thank you for sharing that information with the group.
SNACKS IN GENERAL
A. Let’s begin our discussion about snack foods by thinking about
your favorite snack foods. What are they? (List on easel, markers
various colors).
B. What is it about these foods that makes them “snack foods?” What
characteristics (color, flavor, aroma-smell, textures, nutritive)?
C. What time of day do you eat snack foods?
D. How many times a day do you eat them?
E. Where are you when you are most likely to eat them?
F. What temperature are snack foods most likely to be?
G. What else are you doing when you eat snack foods?
H. Are there things that signal that it’s time to eat a snack food?
I. What are the emotional issues of eating snack food?
J. Are snacks good for you?
IDEAL SNACK
A. If you could design the perfect snack food, what characteristics

would it have?
B. Let’s talk about how it would taste.
C. Tell me what ingredient would be most important.
D. Describe the mouth feel, texture, etc.
E. What nutritional value would it have?
EXTRUDED GRAIN-BASED SNACKS

Now we are going to talk about snacks made from grain.
A. What snacks made of grain do you eat now?
B. Which do you like most?
1. What do you like about them?
2. Do you want them crunchier, less crunchy?
3. Saltier, less salty? What flavor is best?
4. Which color is most appealing? What does it remind you of?
5. What memories do you associate with this snack?
6. What nutritional benefits do grain snacks provide?
7. Is there anything negative about snacks made from grain?
EXTRUDED GRAIN PRODUCTS TO SAMPLE

A. Appearance
1. Which of the products have the best appearance?
2. How would you describe the appearance of the best products?
What does _______ tell you about the food item?
3. Size, shape?
B. Flavor/Taste
1. Which product has the best flavor?
2. Describe the flavors of the best products.
What do those flavors remind you of? Associate with other
positive things?
3. Which do you like the least? Tell me what you don’t like about
the flavor.
4. What suggestions do you have for improving the flavor? Add-
ing salt, sugar/cinnamon, etc.?
C. Texture
1. Which products do you like best based on the texture?
2. Describe the texture of the best products.
3. What is it about the texture that appeals to you most?
4. Which textures are least desirable?
D. Nutrition
1. Which products would provide the best nutrition?
2. How would you describe the nutritive value of these products?
3. What clues do you have about the nutritional value?
4. What nutritional benefits would you want these products to
provide?
E. Usage
1. Would you eat this product as a snack? Why? Why not?
2. What time of day would you eat it?
3. How would you eat it? Where?
OVERALL PREFERENCE
A. Sort samples into three groups by preference: Most, average, least

(use scorecard).
B. Of your “most preferred,” please sort them, most preferred to least.
CLOSING (EXCUSE SELF TO GET FINAL QUESTIONS FROM

OBSERVERS)
A. What final comments do you have about these snack products?

B. Thank you for participating.
Appendix C:
Guide to Product
Development Competitions
M ULTINATIONAL companies, trade organizations, and special in-

terest groups sponsor competitions in order help induce excite-
ment in their products, to support interests of consumers, and to provide
a competitive opportunity for students and professionals.
Brainstorm
When you are brainstorming ideas for a competition, ensure that they
fall into the category and follow all rules for the contest. When deciding
on an idea, ask if the idea follows market trends or would fill an area
that is lacking in the market. To do this, conduct a small informal focus
group or a consumer study with 20 or 25 people.
Focus Group
In a focus group, you can discuss the idea further and perhaps make
changes to your product before the competition deadline. Understand-
ing consumer perception of a concept is an essential piece in market-
ing the product to even a competition panel. Before meeting with a
focus group, it is important to first define the purpose and objectives
and make them as clear and succinct as possible. Next, establish a time-
line for sessions and generate open-ended questions that qualify your
overall purpose. Things to consider: Why did you choose this product?
What are the current and market trends?
365
366 APPENDIX C: GUIDE TO PRODUCT DEVELOPMENT COMPETITIONS
Formulation
After you have determined the product you will create, start by
experimenting to find a suitable formula for a prototype. Examining
several flavor combinations or differing formulas is advisable if time
allows. These formulas can be tested using consumer panels if the re-
sources and time are available. Creating a product name and slogan can
help make your product more appealing. Providing a package mock-up
complete with nutrition facts panel and ingredient statement can also
assist in providing your product vision for potential consumers and con-
test judges. Determining your target market is an important piece. In ad-
dition, go to local grocery stores if your product will be sold in the retail
setting, or do research about competing products. How will the price of
your product compare to competitors? How will your new product be
differentiated from products already on the shelf?
Guidelines for Competition Success
As simple as it sounds, it’s probably the number one reason that

teams are not successful—follow directions! Carefully read the com-
petition rules and deadlines so that your product is the highlight of the
competition, not the fact that you forgot to follow a few important rules.
In addition, follow all guidelines that are outlined in the Code of Fed-
eral Regulations regarding your product. If fortification with vitamins
is in your product description, ensure that you are not overstepping the
allowable amount. All ingredients and additives should be checked
against the regulations, just as a new product being developed com-
mercially would be researched to ensure accuracy and legality. It is also
advisable to conduct a patent search to ensure the product does not in-
fringe on previously filed patents.
If you are working with a team, it’s vital to assign a group leader and
decide on individual duties for each team member. Get to know your
team members on a personal level and listen to their ideas or input. Fre-
quent meetings should be held to discuss progress or arising problems.
Every team member should be present at these meetings and conversa-
tions should not stray to topics outside the project. Include everyone on
decisions and activities. Be sure you can do your assigned task within
the amount of time given and speak up if you are concerned you cannot
meet the deadline on your own. Also stay focused on your task; leave
management issues to the team leader. Learn to deal with members of
your team that may be difficult to work with, resolves issues as a group,
and politely accept constructive criticism.
You should be prepared for the following in a competition:
Preliminary Report
Most competitions require a short (about 5 pages), preliminary report

to select finalists. This should be absolutely perfect since it is your make
or break step. Remember, sponsors don’t go to competitions for the
taste testing; they go looking for projects that will have the most chance
of succeeding in the market place, products that will generate the most
money. It’s important that your report is clear, defines all objectives
succinctly, and describes your goal and overall purpose. One golden
rule to follow is to show your preliminary report to an independent
reader familiar with the food business and ask them: “WOULD YOU
INVEST YOUR MONEY INTO THIS PRODUCT?”
If your team is a finalist, your next steps are usually to write a final
report, make an oral PowerPoint presentation followed by a question
and answer session, and prepare a prototype for evaluation by the
judges.
Final Report
Be sure to read and follow the competition guidelines and rules for
the final report. The guideline below is a starting place and simply high-
lights subjects you should include in your presentation.
Start the report by thinking about your potential readers. What kind
of data or information will appeal to this target audience? Assign writ-
ing duties to team members; agree on individual responsibilities. Al-
ways remember your deadline and plan accordingly.
Your report should start with a title page which includes the project
title and the name(s) of the team members. Include colored images or
photos of your project as well. Next, create an executive summary that
does not exceed 1 page and highlights the products potential success.
Be sure to address all of the following in your report:
Product: Describe in detail the size, color, weight, shape, and texture
of your product. Who is the target audience? How will your product be
displayed and distributed? What kind of ingredients are in the product?
It’s helpful to include names of suppliers and ingredient specifications.
Discuss market potential, current trends, and possible competitors that

sell similar products on the market.
Process: What kinds of unit operations are involved? Describe the
process and the reason you chose it. Perhaps include a process flow
diagram that describes process specifics, materials, and equipment re-
quired for the product, and package material and methods. Be sure to
explain why you chose each unique operation.
Assessment: Perform shelf life testing: evaluate physical, chemical,
sensory, and microbial deterioration. Identify which is the “Mode of
Failure” of your product and how you will measure it: e.g., rancidity,
texture, staling. Discuss quality control procedures and your HACCP
plan.
Regulatory Issues: State all regulatory agencies involved in your
project along with any other regulatory issues that need to be consid-
ered. Describe all of your label requirements including nutrition facts,
net content, and all ingredients. Highlight potential allergens. Discuss
health or nutrient content claims. If possible, provide a mock example
of the packaging your product will be showcased in.
Financial Issues: State the fixed and variable costs of your product.
What is your projected profit margin? Estimate the amount of sales your
product will generate and its potential success. What is the estimated
capital investment?
Conclusion: Simply sum up all the main points of your presentation.
It is helpful to include tables, images, or graphs if it relates to a subject
you discussed earlier in the presentation.
Poster Presentation
Creating a poster with graphics and illustrations will increase the ef-
fectiveness of your presentation. However, be sure to use simple color
combinations and easy-to-follow graphs so it will not be distracting
to your viewers. The text should nicely contrast with the background
(consider using a white background) and be large enough to read from
a distance. While designing the poster, it’s important to remember to
utilize the top part of the poster, as the majority of viewers will see this
at eye level. Therefore, include the most important topics of the project
near the top and the less important information towards the bottom. Fol-
low all guidelines listed in the competition rules when it comes to size
of the poster. Remember to bring all necessary materials for the poster
with you to the competition location (tape, pushpins, and frame stand.)
Oral Presentation
You will be required to do an oral presentation, which is typically

formatted into a PowerPoint. This is your opportunity to sell the prod-
uct to the viewers, discuss all of the information covered in your final
report, and describe how you are going to achieve your overall goal.
Your presentation should include the following:
Introduction: Introduce yourself. Give the audience background in-

formation about your field of study and your credentials.
Other things to consider during your presentation:
• Come prepared. What equipment will you need for the presentation?
How much time is allotted for your slot?
• If you are creating a PowerPoint presentation, be sure the slides have
neutral colors, are not text heavy (avoid long sentences or large para-
graphs), and that every slide is grammatically correct.
• Practice the presentation in front of your peers. Is your presentation
too short? Does it go over the allowed time? What topics need more
time or research? Have your teachers and peers ask you questions at
the end of the presentation.
• Know key terms and what’s on your presentation. Do not simply
read off power point slides or hand written notes. Make eye contact
with your audience.
• Make sure your presentation is simple and easy to follow. Hit main
points and summarize at the end. Be sure to leave enough time to-
wards the end of the presentation to open up the room for discussion
and questions.
Summary: What are you covering during the presentation? What is

the overall goal you are trying to achieve?
Question and Answer Session
You should be prepared to answer all questions related to your prod-

uct, no matter how specific or general in nature. Make sure to assign
specific areas of expertise to appointed team members. These areas
should generally cover food chemistry, food safety/microbiology, mar-
keting, and financial issues. For example, you may be asked a question
about the color of your product which may get into general questions
on browning reactions, natural pigments, and color stability. Make your
answers short and to the point. Always ask the judge if your answer was
sufficient or if he/she needs additional clarification. If you don’t know
the answer to a certain question, ask the judges whether they can put it
in another format. If you still don’t know the answer, just state a simple
“Sorry, I do not know.”
Product Tasting
Be sure to package your product if the competition requires travel.

Judges will not accept damaged products blamed on transfer. Presenta-
tion is important. The best looking and best tasting products will win. If
your product requires a carrier (for example, you should drink a certain
kind of wine with your cheese) be sure to provide it and the necessary
materials to go with it (cups, straws, plates).
Appendix D:
Conversion Tables
Volume Measures
1t = 1/3 T = 1/6 fl oz = 4.9 ml
3t = 1T = 1/2 fl oz = 14.8 ml
2T = 1/8 cup = 1 fl oz = 29.6 ml
4T = 1/4 cup = 2 fl oz = 59.1 ml
5-1/3 T = 1/3 cup = 2-2/3 fl oz = 78.9 ml
8T = 1/2 cup = 4 fl oz = 118.3 ml
10-2/3 T = 2/3 cup = 5-1/3 fl oz = 157.7 ml
12 T = 3/4 cup = 6 fl oz = 177.4 ml
14 T = 7/8 cup = 7 fl oz = 207.0 ml
16 T = 1 cup = 8 fl oz = 236.6 ml
1 pint = 2 cups = .473 l = 473 ml
1 quart = 2 pt = .9464 l = 946 ml
1 gallon = 4 quarts = 3.785 l =
1 liter = 1.057 quarts = 0.264 gallon = 100 ml
Weight Measures
1g = .035 oz = .001 kg = 1000 mg
1 mg = .001 g
1 oz = 28.35 g (often rounded to 28g)
1 lb = 16 oz = 453.59 g = .454 kg
1 kg = 2.21 lb = 1000 g
The volume weight of water is a commonly used reference point for

other food measures.
1 T water = 15 g = 15 cc = 1000 mg
1 cup water = 237 g
1 fl oz water = 29.54g (often rounded to 30 g)
1 liter water = 1 kg = 1000g
1 quart water = 946 g
371
Index
accelerated shelf-life testing, 234–238 brix, 45, 51, 57, 66, 68, 280, 303
accuracy, 52, 55–57, 68, 77, 129, 134, bulking agents, 28, 111, 113
211, 215, 284, 291–292, 340, 366 Bureau of Alcohol, 163, 165
acid foods, 5, 11, 48, 50, 157, 179–180
acidified foods, 1, 4–5, 11, 50, 179–180 Campylobacter jejuni, 314, 320
acidulants, 90, 94, 99 canning, 24, 48, 62, 90, 149, 157–158,
acquisition rates, 268, 274 160, 247, 256, 322
active packaging, 185, 195 cash flow analysis, 200, 211, 213–215
actual TR, 204 cash flow statement, 211, 215
advertising, 168, 242, 244, 246, 253–256, central location testing, 80
263–267, 274, 293 chelating agents, 36, 46, 100–102
affective tests, 79–81 clarifying agents, 93, 101
analytical tests, 73, 85 Clostridium botulinum, 5, 48–49,
anti-caking compounds, 95–96 118–121, 157, 179, 237, 321
antifoaming agents, 121 Clostridium perfringens, 119, 314, 320
antioxidants, 36, 97–98, 114, 121, 231 coagulation, 40–42, 94, 104
aseptic arocessing, 157, 194 coating, 32, 100, 104, 152–153, 160,
audit systems, 335–336, 338, 340, 342, 227
344, 346, 348, 350–352, 354 coding, 158, 225–226, 228, 230, 232,
auditing, 299, 341, 351–352 234, 236, 238, 301
average market price, 202, 205–206, completely randomized design, 142
210–211 consumer testing, 3, 58, 84, 128, 308
container closing, 158
bacillus cereus, 319 control charts, 306
baker’s percentage, 125–126, 134 controlled atmosphere packaging, 194
bases, 39, 45–46, 99, 130, 252 conversion rates, 269, 274
best if used by dating, 232, 237 copyright, 217, 219, 223
blanching, 151, 155, 160 cost analysis, 8, 199–201, 203, 205, 211,
bleaching agents, 100 215, 241, 248, 273
373
374 Index
critical control points, 172, 335, 344, Federal Trade Commission, 163,
346, 352 168–169, 171, 173, 175, 177, 179
cups, 286, 370–371 fermentation, 21, 49, 66, 91, 94–95, 101,
104–105
daily value percentages, 286 fill of container, 177, 182
dehydration, 30, 62, 108, 155, 226 fixed costs, 8, 202, 206–207, 209, 271,
Delaney Clause, 87–88, 122, 170 274
denaturation, 41–42, 64, 103 flavonoid, 59–60
density, 61, 64, 66 flavor profile method, 78
depreciation, 207–209, 271, 274 flavoring agents, 91, 105
descriptive tests, 77, 83 focus groups, 73, 81–83, 301
desiccation, 53–54, 302 food additives, 5, 87–95, 97, 99–101,
dextrose equivalent, 21–22, 26, 42, 112 103, 105–116, 118, 121–122, 124,
dielectric method, 53–54, 302 129, 170, 174, 183, 188, 218, 343
dietary supplements, 294 food and drug, 4, 183, 330
differential scanning calorimetry, 64, 66 food irradiation, 107, 122
dilutions, 130 Food Safety Modernization Act, 163,
direct additives, 87–88, 93 171, 174, 182–183
discrimination tests, 74 Food, Drug, and Cosmetic Act, 88, 122
disintegrating, 150 food-borne illnesses, 313–315, 317
displacement sales, 268, 274 freezing, 24, 26, 39, 52, 62, 90, 108,
display dating, 232, 237 154–155, 230, 247, 256
dough conditioners, 99 frying, 34–37, 95, 97, 154
dry cleaning, 148–149
drying, 24, 53–54, 153, 155–156, 247, gas, 33, 35, 42, 108–109, 149, 187,
256, 302, 305, 320 191–193, 229, 233, 302
duo-trio tests, 75 gold standard, 125, 299, 308–310
good manufacturing practices, 61, 66,
Economic Espionage Act, 221, 224 335–336, 341, 353
emulsifiers, 19, 99, 101, 103, 118,
121–122 hazard analysis critical control point,
emulsion capacity, 34, 42 341, 343, 345, 347, 349, 351
emulsion stability, 34, 42 health claim, 171, 289–291, 294
enrichment, 89–90 hedonic tests, 80
Environmental Protection Agency, 163 hues, 58, 67, 106–107
enzymes, 22, 26, 60, 99, 101, 103–105, humectants, 110, 226–227
118, 151–152, 229–232, 294 hunter color system, 58–59, 67–68
Escherichia coli 0157:H7, 322 hydrocolloids, 27–29, 137, 227
estimation, 142, 144, 201, 333 hypothesis test, 140
exchange function, 240
expiration date/use by date, 232, 237 implied, 288–289, 293–294
exporting, 180 importing, 179–180
extrusion, 154 information panel, 277, 280–281, 283,
285, 294, 296
facilitating function, 242 infrared analysis, 53, 55, 302
fat replacers, 26, 38, 112–113 irradiation, 107–108, 122, 159, 189, 194
Federal Grain Inspection Service, 167 isoelectric point, 41–43
Index 375
Karl Fischer Titration Method, 53–54, pair-wise ranking test for attributes, 76
302 paired comparisons for attributes, 76
paired preference test, 80–81
leavening agents, 99, 110 patent, 217–219, 223–224, 366
letters of guarantee, 348 peeling, 46, 149–150
lightness, 58, 67 physical contamination, 159, 313, 329,
lipids, 19, 31–37, 42, 62, 195, 227 331
lipolysis, 35–36 physical deterioration, 229–230
Listeria monocytogenes, 227, 314, 323 physical function, 241
logarithmic scales, 141 physical stress, 228–229
low-acid canned, 5, 11 polyethylene, 97, 158, 193
polypropylene, 194
Maillard reaction, 21–22, 28, 30, 40, 42, pre-operational sanitation, 340, 353
46 pre-requisite programs, 335–342, 344,
market share, 260–261, 270 346, 348, 350, 352–354
market territory, 249, 258, 274 precision, 54, 129, 135
medium chain triglycerides, 38 preservation, 89, 107–108, 122, 155–156,
metal detection, 159 185, 230
microbial contamination, 65, 313, 315, preservatives, 49, 89, 99, 118–121, 128,
317, 329 233, 282
microbial testing, 65, 230, 332 principal display panel, 277–281, 283,
mixing, 34, 100–101, 104, 110, 152, 241 294, 296, 353
modified atmosphere, 36, 109, 194, 231 process development, 125–128, 130, 132,
moisture content, 52–55, 129, 133–134, 134, 136, 142
154–155, 225–226 processing aids, 93
molarity, 130, 134 product tampering, 313, 330
Munsell system, 58, 67 profits, 1, 10, 199, 201–203, 205, 215,
261–262, 268–269
natural toxicants, 5, 313, 331–332 projecting the quantity, 204
niche marketing, 245, 261 promotion, 8–9, 121, 167, 242, 253,
no observable effect level, 87, 122 256–257, 262–265, 268–270, 274
normality, 130, 135 protective line equipment, 151, 159
nutrient content, 89, 225, 227, 288–290, pumping, 151
368
nutrient supplements, 114 Q10 approach, 235
nutrition facts panel, 176, 284–285, 366 quality control, 131, 145, 178, 242,
Nutrition Labeling Education Act, 175, 299–309, 311, 324, 330, 344, 368
284 quality separation, 149–151, 160
quantitative descriptive analysis, 77–78
operational sanitation, 340, 353
ounces, 136, 177, 279, 286 R charts, 306–308
oven drying, 53–54, 302 random sample, 142, 145
oxidation, 36–37, 97, 100, 103, 107, 116, randomized, 74–76, 80, 137, 142–143
122–123, 195, 225, 227 ranking tests, 81
oxidative rancidity, 35–36, 68, 230 recall, 82, 127, 158, 173, 182, 296
redemption rates, 268, 274
pack date, 232–233, 238 reducing sugars, 21–22, 30, 42
376 Index
refractometer, 4, 57 total costs, 201–202, 205, 212, 215, 240,

relative humidity, 6, 116, 228–229 247, 254, 273
rheology, 61, 137 total revenue, 203–204, 212, 215, 269,
274
Salmonella, 7, 119, 314–316, 324 trade secrets, 217, 220–224
sample mean, 142, 145 trademark, 217–218, 220, 223
sample variance, 142, 145 triangle test, 73–75, 85
saturation, 12, 58, 67 two-out-of-five test, 75
scale up, 127–128
seizure of products, 166 units of operation, 147–148, 150, 152,
sell by/pull date, 232, 238 154, 156, 158–160
sensory analysis, 63, 71–72, 74, 76, 78, universal product code, 283
80, 82, 84–86, 140, 142, 144, 300 USDA, 4, 53, 64, 93, 126–127, 163,
sensory evaluation, 69, 71, 73, 75, 77, 165–169, 171, 174, 178–180,
79, 81, 83, 86 182–183, 277, 292–293, 337, 339,
sensory tests, 63, 71–73, 80, 83, 85 344, 353, 355
serving size, 285–286 USPTO, 218–220
shelf life, 7, 9, 11, 53, 83–84, 87, 89–90,
116, 126, 128, 152–154, 235, 238, vacuum oven, 54–55
255, 368 variable costs, 8, 202, 205–206, 208–
Shigella, 325 210, 212–214, 270–271, 275, 314
standard deviation, 139, 142, 145, 310 Vibrio cholerae, 327
standard operating procedures, 338, 353 Vibrio parahaemolyticus, 327
standards for grades, 177 Vibrio vulnificus, 314, 328
standards of identity, 4, 126, 177 viscosity, 24–29, 31, 33–34, 37–38, 40,
Staphylococcus aureus, 5, 52, 118, 61–63, 67, 69, 78, 104, 113, 127,
226–227, 314, 325 157, 302
surface active agents, 118, 121–122 vitamin degradation, 90
sweeteners, 4, 20–23, 26, 99, 111–113, vitamins, 19, 90, 99, 106, 113–116,
177 152–153, 174, 176, 227, 286–287,
290, 292, 294, 366
t or z-value, 141
tablespoons, 286 water activity, 5, 11–12, 20, 49, 51–53,
teaspoons, 286 67, 90, 155, 157, 180, 225–226
test marketing, 2, 8–9, 128, 252–253, wet cleaning, 149
255, 257, 259, 261, 263, 265, 267,
269, 271 X-bar, 306–308, 310
texture profile method, 78 X-ray diffraction, 159
thermal processing, 156–157
titratable acidity, 46, 51, 67, 131 Yersinia enterocolitica, 314, 326
About the Authors and
Managing Editor
DR. FADI ARAMOUNI was born and raised in Beirut, Lebanon. He

received his BS in Biochemistry in 1977 and his MS in Food Tech-
nology in 1980 from the American University of Beirut. Dr. Aramouni
earned his PhD in Food Science in 1986 from Louisiana State Univer-
sity. He joined Kansas State University in 1989 where is currently a
professor of food science. His responsibilities have been primarily to
develop and maintain a value added extension program supporting the
food processing industries in Kansas. In that role, he has helped Kansas
companies develop test and launch hundred of food products. He has
taught courses in Research and Development of Food Products, Prin-
ciples of HACCP, Advanced HACCP Principles, and Fundamentals of
Food Processing. His honors from the College of Agriculture include
the Graduate Teaching Award, Builder Award, Faculty Member of the
Semester.
KATHRYN GODDARD DESCHENES is from Ellsworth, Kansas. She

received her BS in Food Science in 2011 and received her MS in Food
Science in 2012 from Kansas State University. She has won several
national awards in Food Product Development competitions, including
first prize in the 2008 Almonds Board of California “Game Day Snacks
for Men” and the grand prize at Disney’s Healthy Snack for Children
in 2009. Kathryn has managed activities at the Kansas Value Added
Foods Lab from 2009 to 2013 as well as provided technical assistance
to food companies in product development, ingredients and packaging,
regulatory compliance, and packaging technologies. Kathryn also did
377
378 About the Authors
an internship at Kellogg’s in Battle Creek, Michigan. Kathryn is cur-

rently a regulatory compliance manager for a major food company in
Idaho where she resides with her husband, Joshua.
KATIE ALTSTADT has a BA in Fiction Writing from Columbia Col-

lege Chicago. She has edited and published an online newsletter, the
Scoop, targeting food processors in the state of Kansas.

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METHODS

FADI ARAMOUNI, Ph.D.

KATHRYN DESCHENES, M.S.

DEStech Publications, Inc.

To my husband, Joshua, my parents,

DEStech Publications, Inc.

Copyrig ht © 2015 by DEStech Publications, Inc.

No part of this pub licati on may be reprodu ced, sto red in a

Prin ted in the United States of Ameri ca

Library of Congress Contro l Nu mber: 20149 47441

1. Overview of Food Product Development . . . . . . . . . . . 1

2. Consumer Preferences, Market Trends,

3. Functionality of Food Components . . . . . . . . . . . . . . . 19

4. Physical and Chemical Properties of Food . . . . . . . . . 45

5. Sensory Analysis and Consumer Evaluation

Categories of Common Food Additives 93

7. Formulation and Process Development . . . . . . . . . . 125

8. Experimental Design in Food Product

9. Basic Units of Operation . . . . . . . . . . . . . . . . . . . . . . . 147

10. Regulatory Considerations . . . . . . . . . . . . . . . . . . . . . 163

11. Packaging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185

12. Economic Feasibility Analysis . . . . . . . . . . . . . . . . . . 199

13. Confidentiality and Intellectual Property Rights . . . 217

14. Shelf-Life Testing and Date Coding . . . . . . . . . . . . . . 225

15. The Essentials of Marketing Food Products . . . . . . . 239

16. Labeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

17. Controlling the Quality of New Food Products . . . . . 299

Key Words 310

18. Safety Concerns for New Food Products . . . . . . . . . 313

19. Pre-Requisite Programs, HACCP, and

Appendix A: Guide to the Code of Federal Regulations 355

• First place four years in a row at the American Association of Cereal

• Finalists in Raisin Board of California Bread Competition three

For students the book provides the framework for understanding

T HE authors would like to express their sincere appreciation to the fol-

Overview of Food Product Development

F OOD product development involves more than just creating the

FIGURE 1.1. The process of product development.

rely heavily on outside resources, such as universities and independent

Companies use varying techniques to generate ideas for new products.

After an idea has been created, the steps of product development

begin. Screening is the most critical step in a product development proj-

Questions for Screening Concepts

Collaboration of departments during the screening step helps to

Feasibility considerations for a business include regulations, tech-

At the start of a project, firms must be cognizant of the state and/

In order to launch a new food product, the necessary equipment, fa-

Varying ingredients, processing parameters, and packaging options

Considerations when choosing ingredients include whether the com-

If there is an existing facility, what equipment do you already have?

The facility that is available for processing should be considered.

Packaging is an important part of a consumer’s appeal for a prod-

uct, especially with first time purchases. It is important to consider how

Products that require special distribution needs include frozen and

New product developers should consider the safety risks of their

Before a food product is created for sale, an understanding of all

production and marketing costs is required. A detailed cost analysis

Should your screening and feasibility tests indicate a product’s po-

protection from contamination. The use of code packaging can be help-

profit improvement without deterring potential consumers. Investigat-

PRODUCT LIFE CYCLES

Products go through cycles during the duration of their sales. During

Product success is dependent on many factors. Realistic goals for a