USDA NIFSI Alternative Processing Technologies

(APT)October 1, 2008

Ohio State UniversityEvaluation Component

Denis O. Gray, Ph.D.

Lindsey McGowen, M.S.

Psychology Department

NC State

Overview

• Project Objectives

• Logic Model of Anticipated Effects

• Knowledge

• Education

• Commercialization

• Summary

Evaluation Rationale and Strategy

• USDA wants to know if the NIFSI project achieved its stated objectives

• Evaluation was a stated objectiveStrategy• 2003-7: Formative interim evaluation • 2007-8: Wrap up summative/impact evaluation

– Did the project achieve its stated goals?• Half-time RA: Lindsey McGowen

Motivation• Future funding from USDA may depend on our ability to

document project effects.

Objectives

1. Conduct research on alternative processing technologies that has the potential to improve the quality and safety of foods

2. Collaborate with industry, academe, government, professional associations, and other public and private organizations

3. Conduct research that fills knowledge and research gaps 4. Disseminate research results via publication in refereed journals and

other mechanisms5. Develop and implement educational and extension interventions that

support the goals of the project6. Evaluate the impact or effectiveness of the educational and/or

extension interventions7. Make plans for sustaining the interventions beyond the grant period

General Project Model

CAPPS/NIFSI

RESEARCH

EDUCATION

OUTREACH

NEW KNOWLEDGE

STATE-OF-ART

PRACTICE

AWARENESSIMPLEMENTATION

USDA NIFSI

COMMERCIAL-IZATIONIMPACT

Methodology

Research/New Knowledge• PI Knowledge Production Survey

– Bibliometric analyses

Education/State-of-Art Practice• Short Course Post-Training Feedback Web-Survey

– Participants at three NIFSI short courses

Technology Transfer & Commercialization• Modified Process/Outcome Survey

– CAPPS members on an annual basis• PI Scientific Impact and Technology Transfer Interviews

– Referencing impact on any firm

General Project Model

CAPPS/NIFSI

RESEARCH

EDUCATION

OUTREACH

NEW KNOWLEDGE

STATE-OF-ART

PRACTICE

AWARENESSIMPLEMENTATION

USDA NIFSI

COMMERCIAL-IZATIONIMPACT

3. Conduct research that fills knowledge and research gaps.4. Disseminate research results via publication in refereed

journals and other mechanisms.

Knowledge Production

Methodology• PI Knowledge Production Survey

• Bibliometric analyses

Dissemination: Literature

0

5

10

15

20

25

Journal Pubs

Journal Pubs -Submitted

Theses/Disertations

ConferencePaper/Pres

Other Pubs

Published Journal Articles• Brinley, T.A., Stam, C.N., Truong, V.D., Coronel, P., Kumar, P., Simunovic, J., Sandeep, K.P.,

Cartwright, G.D., Swartzel, K.R., Jaykus, L.A. (2007). Feasibility of utilizing bio-indicators for testing microbial inactivation in sweet potato purees processed with a continuous flow microwave system. Journal of Food Science, 72(5): E235-E242.

• Chen, H., Tang, J., Liu, F. (2007). Coupled simulation of microwave heating process using FDTD method and its experiment validation. Journal of Microwave Powers and Electromagnetic Energy(JMPEE) 41(3): 50-56.

• Chen, H., Tang, J., Liu, F. (2008). Simulation model for moving food packages in microwave heating processes using conformal FDTD method. Journal of Food Engineering, 88(3), 294-305.

• Chung, H.H., Birla, S., Tang, J. (2008). Performance evaluation of aluminum test cell designed for determining the heat resistance of bacterial spores in foods. LWT - Food Science and Technology, 41:1351-1359.

• Chung, H.H., Wang, S., Tang, J. (2007). Influence of heat transfer in tube methods on measured thermal inactivation parameters for Escherichia coli. Journal of Food Protection, 70(4):851-859.

• Kumar, P., Coronel, P., Simunovic, J., Sandeep, K.P. (2007). Feasibility of aseptic processing of a low-acid multiphase food product using a continuous flow microwave system. Journal of Food Science, 72(3): E121-E124.

• Kumar, P., Coronel, P., Simunovic, J., Sandeep, K.P. (2007). Measurement of dielectric properties of pumpable food materials under static and continuous flow conditions. P.72(4): E177-E183.

• Kumar, P., Coronel, P., Truong, V.D., Simunovic, J., Swartzel, K.R., Sandeep, K.P., Cartwright, G. (2008). Overcoming issues associated with the scale-up of a continuous flow microwave system for aseptic processing of vegetable purees. Food Research International, 41(5), 454-461.

Published Journal Articles

• Kumar, P., Coronel, P., Simunovic, J., Sandeep, K.P. (2008). Thermophysical and dielectric properties of salsa con queso and its vegetable ingredients at sterilization temperatures. International Journal of Food Properties, 11(1), 112-126.

• Mah, J.H., Kang, DH, Tang, J. (2008). Morphological study of heat-sensitive and heat-resistant spores of clostridium sporogenes using Transmission Electron Microscopy. Journal of Food Protection, 71(5), 953-958.

• Pandit, RB, Tang, J., Liu, F., Mikhaylenko, G. (2007). A computer vision method to locate cold spots in foods in microwave sterilization processes. Pattern Recognition, 40 (12):3667-3676.

• Sarang, S., Sastry, S.K, Knipe, L. (2008). Electrical conductivity of fruits and meats during ohmic heating. Journal of Food Engineering, 87(3), 351-356

• Sarang, S., Sastry, S.K., Gaines, J., Yang, T. C. S. & Dunne, P. (2007). Product formulation for ohmic heating: Blanching as a pretreatment method to improve uniformity in heating of solid–liquid food mixtures. Journal of Food Science, 72(5), E227-E234.

• Sarang, S., Sastry, S.K. (2007). Diffusion and equilibrium distribution coefficients of salt within vegetable tissue: Effects of salt concentration and temperature. Journal of Food Engineering, 82(3), 377-382.

• Tang, Z., Milhaylenko, G., Liu, F., Mah, JH., Tang, J., Pandit, R., Younce, F. (2008). Microwave sterilization of sliced beef in gravy in 7 oz trays. Journal of Food Engineering, 89(4):375-383.

• Tulsiyan, P., Sarang, S., & Sastry, S.K. (2008). Electrical conductivity of multicomponent systems during ohmic heating. International Journal of Food Properties, 11(1):233-241.

Journal Impact FactorsTitle IF Category IF1

J. of Microwave Powers & Electromagnetic Energy

not in ISI N/A

Intl Journal of Food Properties 0.615 0.911

Journal of Food Science 1.255 0.911

LWT - Food Science and Technology 1.589 0.911

Journal of Food Engineering. 1.848 0.8512

Journal of Food Protection 1.886 1.4242

Pattern Recognition 2.019 0.9022

Food Microbiology 2.039 1.7132

Food research international 2.271 0.911

Applied & Environmental Microbiology 4.004 1.5342

Average 1.95 0.9693

1 ISI Journal Categories: Comp Sci & AI; Food S&T; Microbiology; CE, Biotech & Applied Microbiology; EE2 Journal listed in multiple categories, # reported is the average median IF3 Average median IF across all categories in which journals are listed

Awards and Recognition

• NSF IUCRC Technology Breakthroughs Compendium

• Anjan Bose Outstanding Researcher Award, WSU• IFT Industrial Achievement Award (2007)• IFT Graduate Student Paper Award (2006)• IFT Association of Agricultural and Biological

Engineers• First FDA approval of microwave sterilization

Summary

• NIFSI-APT appears to have had a significant impact on knowledge production – Has produced a large number of scholarly products

including journal publications, conference papers and dissertations

– Relatively recent publication dates preclude a definitive bibliometric analysis

– Journal IF analysis demonstrates that peer-reviewed papers have been published in journals that have roughly twice the median impact of journals within their respective category

– Awards and Achievements are proxy for the quality of the science

General Project Model

CAPPS/NIFSI

RESEARCH

EDUCATION

OUTREACH

NEW KNOWLEDGE

STATE-OF-ART

PRACTICE

AWARENESSIMPLEMENTATION

USDA NIFSI

COMMERCIAL-IZATIONIMPACT

5. Develop and implement educational and extension interventions that support the goals of the project

Short Course Evaluations

CourseOn-the-

job

Evaluation

Teaching Evaluation

Training Impact Evaluation

Training Impact Evaluation

Methodology• Web-Questionnaire• Sample: 62; Responses: 18; 30%

Which APT Short Course did you attend?

0%

5%

10%

15%

20%

25%

30%

35%

40%

UC Davis, Spring 2005

UC Davis, Spring 2006

NCSU, Fall 2006

Not Sure

Sample N = 18, 100%

What best describes your current principal employer?

0%

10%

20%

30%

40%

50%

60%

70%

80% Private Sector For-Prof

Non-Prof Edu

Non-Prof Other

Gov: State/Local

Gov: Fed

Self-Employeed

Other

Sample N = 18, 100%

What is your last degree obtained?

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

High School

College: BA/BS

College: MA/MS

College: PhD/MD

Other

Sample N = 18, 100%

What is your Current Role/Position?

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

R&D

Engineering

Manufact./Production

Quality Control

Grower Group

Education

Manager

Other

Sample N = 18, Response N = 27

Priority of Expectations at time of Enrollment

0%

10%

20%

30%

40%

50%

60%

Aware Know Current APT Future APT

Not(0) Somewhat (1) Mod(2) High(3)

M=2.22 (.65)

M=2.56 (.51)

M=1.89 (.83)

M=2.11 (.83)

Sample N = 18, 100%

Current Employer’s Level of Interest & Activity

0%

5%

10%

15%

20%

25%

30%

35%

40%

None

Some (1)

Some (>1)

Substantial (1)

Substantial (>1)

Impact of Short Course on Current Job

0%

10%

20%

30%

40%

50%

60%

70%

ResearchAware

Current +/- Future +/- DecisionMaking

Share Info InfoGathering

Commerc.

No(0) Slight(1) Mod(2) Signif(3)

M=1.67(1.03) M=1.82(.64) M=1.78(.81)

M=1.94 (.81) M=2.00(.60)

M=2.06 (.64)

M=1.94 (.64)

How promising do you think APTs are in your sector?

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

OhmicM=2.12(1.05)

Micro &Radio

M=2.24(1.03)

CFMSM=1.56(1.03)

Hi-Press.M=1.31(1.30)

PEFM=1.24(.83)

Not(0)

SomeW(1)

Promis(2)

V.Promis(3)

Deploy(4)

Current Employer’s Level of Interest & Activity (v4)

34%

66%

0%

10%

20%

30%

40%

50%

60%

70%

Low InterestHigh Interest

Impact of Short Course on Current Job (v4)

0

0.5

1

1.5

2

2.5

ResearchAware

M=1.82(.64)

Current +/-M=1.78(.81)

Future +/- M=1.94(.8)

DecisionMaking

M=2(.59)

Share InfoM=2.06 (.64)

InfoGathering

M=1.94(.64)

Commerc.M=1.67(1.03)

Low Interest High Interest

How promising do you think APTs are in your sector? (v4)

0

0.5

1

1.5

2

2.5

OhmicM=2.12(1.05)

Micro &Radio

M=2.24(1.03)

CFMSM=1.56(1.03)

Hi-PressureM=1.31(1.3)

PEFM=1.24(.83)

Low Interest

High Interest

N=17 N=17 N=16 N=16 N=17

• Have you sought APT info/training since you completed the short course? – From short course instructor:

• Yes = 6 No = 12

– From other source:• Yes = 13 No = 5

• Interested in another short course?– Yes = 11 Maybe = 7 No = 0

Comments• Current Job Impact:– “I work for a consulting organization and we are often asked

for alternative processing technologies that could be used for particular products where product quality, type of package, or consumer preference may be heightened with APT.”

• Research & Commercialization Impact– Confirmed the high application cost

– Knowing about APT is critical to maintain competitive advantage

– It helped for my PHD thesis research. I took the course when i was just starting to learn about these technologies

Suggested APT Short Course Topics

• Pros /cons of the varying APT methods, • Anticipated costs of implementation/ commercialization, • Resources for available pilot facilities that can actually run these technologies and/or

resources that would be willing to prepare for pilot runs by renting, borrowing, leasing, purchasing the equipment...the pilot facilities need to be able to release product for consumer testing, and shelf life testing, etc. (a licensed GMP Food Production facility).

• Any technique that would conserve energy over existing technologies would be of interest.

• Status of the use of APT's with regulatory agencies (FDA or USDA) regarding their use

• Cost effective (cheap) technology that does not effect product quality characteristics• An overview of the APTs will be of great value• Relevant to my interests I would like to know problematics within each of the

technologies that need further research to be solved• A hands on workshop on the application of high pressure to food preservation

starting with theory and including product preparation, processing and packaging, HACCP, processing economics, product development, micro, etc. Probably two days to be held at a location with a pilot plant. All equipment supplies would be invited to participate.

Summary

• Top priority goal is knowledge; future applications more important than current

• “Moderate impact” on most job areas; ~20% give “significant impact” on commercialization– Impact more likely for “high interest” firms -- interest

in multiple APTs

• Microwave & Ohmic considered most promising – In firms with “high interest”, see more promise in

Ohmic, Microwave & CFMS

• Most are interested in future training

Commercialization

1. Conduct research on alternative processing technologies that has the potential to improve the quality and safety of foods

2. Collaborate with industry, academe, government, professional associations, and other public and private organizations

CAPPS NIFI Logic Model

CAPPS/NIFI

NEW PROJECTS

INDUSTRIALINTEREST

TRANSFER INTERACTIONS

RELEVANTRESULTS

R&DIMPACT

FOLLOW-ONFUNDING

COMMERCIAL-IZATIONIMPACT

USDA NIFI

Methodology• Modified Process/Outcome Survey

• CAPPS members on an annual basis• PI Scientific Impact and Technology Transfer Interviews

•Referencing impact on any firm

CAPPS NIFSI Logic Model

CAPPS/NIFI

•PEF•OHMIC

•HP•MICRO-WAVE

INDUSTRIALINTEREST

TRANSFER INTERACTIONS

RELEVANTRESULTS

R&DIMPACT

FOLLOW-ONFUNDING

COMMERCIAL-IZATIONIMPACT

USDA NIFI

PROJECTS

Hi Interest & Satisfaction (87%)•Hi Pressure•Microwave•Ohmic

•Increasing N of pubs• 16+ peer• 35 other

• Fact Sheets & pamphlets• 87% satis. relevance $965k in 2006-7

~$2.3M-4 yrs

62% “Mod-HiImpact•Complementary internal research• Huge Cost Avoidance

CAPPS Firms

Firms

Both

6-800 Firm2-300 Faculty

40 Gov

How firms’ R&D benefited? (2007)

• “No need to install equipments in house, saved three thousand dollars at least. No need to hire person to conduct research, saved 60-80 thousand dollars.”

• “The work on “high pressure processing of food product” is of direct interest. Samples from this project have helped to demonstrate a potential application of this technology within our company. It is not possible to quantify the benefit at this time.”

• “We have benefited by research at OSU defining surrogates for high-pressure assisted thermal sterilization. Also have CRADA with one of member companies helping to advance state of high pressure processing that is aided by CAPPS core projects and enhancements.”

• “Adding WSU new thrust to NIFSI adds value to the microwave dual use project we have with WSU and industrial partners.”

• Has answered questions about the processes and allowed our org to know that they do not have a place in our organization for our products.

– Cost avoidance value ~ $200,000 (Gray & Steenhuis, 2002)

Significant Commercialization Progress

• Ohmic, High Pressure, MW in package– Scientific progress in producing safe, high quality and faster

processed food products• Validation methods• Extended into new food products (e.g., particles)

– New Scientific Collaborations (e.g., Yousef: fungi)– Commercial progress

• Pilot; Taste; HACCP• Support for FDA filings

– Patent disclosures– Strong commercial interest with CAPPS and outside firms and

possible spinout firms– Potential for products beyond the test products

PEF

• Scientific– Surrogate microorganism for

validation– Electrode product interaction

• Technology– Pilot plant equipment

• IP– Prior IP support

• Regulatory– FDA approval

• Product/Commodity– Fruit Juice

• Adoption– Licensed Diversified Tech.

• Implementation– Genesis Foods

• Market– Other Juice Producers

• Economic – Unknown

• Other– IFT Industrial Achievement

Award– Other industrial interest

Continuous Microwave

Continuous Microwave

• Scientific– 7 peer pubs + 15 presentations– 915 mHz MW produces rapid heating and superior microbiological &

nutritional product• Technology

– Industrial Microwave Systems (IMS) Cylindrical Heating System • IP

– Multiple patents filed NCSU, IMS, USDA ARS; licensed • Regulatory

– FDA approval for continuous MW low acid food• Product/Commodity

– Sweet Potato• Dissemination

– Extensive contact via FDA, IFT– Very active role for NC Dept of Ag

Continuous Microwave• Adoption

– Yamco; Consortium of 7 NC Potato Farmers; Licensed technology– Start up: Ultraseptics

• Implementation– New Facility; Cooperative agreement counties, towns; regions; etc.: full production– $6 million investment– Second facility in process– Unused commodities Large volume self stable

• Market– Food processors

• Economic Impact– Potential huge local impact with 43% of production in NC– $290 million – 63 new jobs

• Other Applications/Nutrition– High nutritional value; International aid– Potential use with other commodities like vegetable puree, sauces, dips, salsaas, etc.– Ultraseptics start up: patent applications: monitoring and validation technology espec. with

particles; also MW equipment

Summary• Considerable evidence that the NIFSI-APT

projects have had an impact on objectives:– Improve quality and safety of foods– Collaborate with industry, government

• Considerable evidence that progress made toward commercialization– Ohmic, MW, High Pressure

• Commercial Deployment– PEF, Continuous MW

• Evidence for continuing effects• New USDA grant will help insure

continuation

Final Report, Fall 2008

Questions