USDA NIFSI
Alternative Processing Technologies
(APT)
October 1, 2008
Ohio State University
Evaluation Component
Denis O. Gray, Ph.D.
Lindsey McGowen, M.S.
Psychology Department
NC State
Overview
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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 objective
Strategy
• 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 mechanisms
5. Develop and implement educational and extension interventions that
support the goals of the project
6. Evaluate the impact or effectiveness of the educational and/or
extension interventions
7. Make plans for sustaining the interventions beyond the grant period
General Project Model
USDA NIFSI
CAPPS/
NIFSI
RESEARCH
NEW
KNOWLEDGE
EDUCATION
STATE-OFART
PRACTICE
OUTREACH
AWARENESS
IMPLEMENTATION
COMMERCIALIZATION
IMPACT
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
USDA NIFSI
CAPPS/
NIFSI
RESEARCH
NEW
KNOWLEDGE
EDUCATION
STATE-OFART
PRACTICE
OUTREACH
AWARENESS
IMPLEMENTATION
3. Conduct research that fills knowledge and research gaps.
4. Disseminate research results via publication in refereed
journals and other mechanisms.
COMMERCIALIZATION
IMPACT
Knowledge Production
Methodology
• PI Knowledge Production Survey
• Bibliometric analyses
Dissemination: Literature
25
Journal Pubs
20
15
10
5
0
Journal Pubs Submitted
Theses/Disertations
Conference
Paper/Pres
Other Pubs
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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
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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 Factors
Title
1
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
ISI Journal Categories: Comp Sci & AI; Food S&T; Microbiology; CE, Biotech & Applied Microbiology; EE
Journal listed in multiple categories, # reported is the average median IF
3 Average median IF across all categories in which journals are listed
2
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
USDA NIFSI
CAPPS/
NIFSI
RESEARCH
NEW
KNOWLEDGE
EDUCATION
STATE-OFART
PRACTICE
OUTREACH
AWARENESS
COMMERCIALIZATION
IMPACT
IMPLEMENTATION
5. Develop and implement educational and extension interventions that
support the goals of the project
Short Course Evaluations
Evaluation
Course
On-thejob
Teaching
Evaluation
Training Impact
Evaluation
Training Impact Evaluation
Methodology
• Web-Questionnaire
• Sample: 62; Responses: 18; 30%
Which APT Short Course did you
attend?
40%
35%
UC Davis, Spring 2005
30%
25%
UC Davis, Spring 2006
20%
NCSU, Fall 2006
15%
10%
Not Sure
5%
0%
Sample N = 18, 100%
What best describes your current
principal employer?
Private Sector ForProf
Non-Prof Edu
80%
70%
60%
Non-Prof Other
50%
40%
Gov: State/Local
30%
Gov: Fed
20%
Self-Employeed
10%
Other
0%
Sample N = 18, 100%
What is your last degree obtained?
50%
45%
40%
35%
High School
College: BA/BS
College: MA/MS
College: PhD/MD
Other
30%
25%
20%
15%
10%
5%
0%
Sample N = 18, 100%
What is your Current Role/Position?
45%
40%
35%
30%
25%
20%
15%
10%
5%
0%
Sample N = 18, Response N = 27
R&D
Engineering
Manufact./Production
Quality Control
Grower Group
Education
Manager
Other
Priority of Expectations at time of
Enrollment
60%
Not(0)
Somewhat (1)
Mod(2)
High(3)
50%
40%
M=2.22
(.65)
M=2.56
(.51)
M=1.89
(.83)
M=2.11
(.83)
30%
20%
10%
0%
Aware
Know
Current APT
Sample N = 18, 100%
Future APT
Current Employer’s Level of Interest
& Activity
40%
35%
30%
25%
20%
15%
10%
5%
0%
None
Some (1)
Some (>1)
Substantial (1)
Substantial (>1)
Impact of Short Course on Current
Job
70%
60%
50%
40%
30%
20%
10%
0%
Research Current +/- Future +/- Decision
M=1.94 Making
Aware
M=1.82(.64) M=1.78(.81) (.81)
No(0)
Slight(1)
Mod(2)
Share Info
M=2.00(.60)
Signif(3)
M=2.06
(.64)
Info
Commerc.
Gathering
M=1.67(1.03)
M=1.94
(.64)
How promising do you think APTs
are in your sector?
50%
45%
40%
35%
30%
25%
20%
15%
10%
5%
0%
Not(0)
SomeW(1)
Promis(2)
V.Promis(3)
Deploy(4)
Ohmic
M=2.12(1.05)
Micro &
CFMS
Hi-Press.
PEF
Radio
M=1.56(1.03) M=1.31(1.30) M=1.24(.83)
M=2.24(1.03)
Current Employer’s Level of Interest
& Activity (v4)
66%
70%
60%
50%
34%
40%
30%
20%
10%
0%
Low Interest
High Interest
2.5
Impact of Short Course on Current
Job (v4)
Low Interest
High Interest
2
1.5
1
0.5
0
Research
Aware
M=1.82(.64)
Current +/M=1.78(.81)
Future +/M=1.94(.8)
Decision
Making
M=2(.59)
Share Info
M=2.06 (.64)
Info
Gathering
M=1.94(.64)
Commerc.
M=1.67(1.03)
How promising do you think APTs
are in your sector? (v4)
2.5
Low Interest
High Interest
2
1.5
1
0.5
0
Ohmic
M=2.12(1.05)
N=17
Micro &
CFMS
Hi-Pressure
PEF
Radio
M=1.56(1.03) M=1.31(1.3) M=1.24(.83)
M=2.24(1.03)
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
• Current Job Impact:
Comments
– “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
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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
USDA NIFI
INDUSTRIAL
INTEREST
CAPPS/
NIFI
RELEVANT
RESULTS
NEW
PROJECTS
TRANSFER
INTERACTIONS
Methodology
• Modified Process/Outcome Survey
• CAPPS members on an annual basis
• PI Scientific Impact and Technology Transfer Interviews
•Referencing impact on any firm
FOLLOW-ON
FUNDING
R&D
IMPACT
COMMERCIALIZATION
IMPACT
CAPPS Firms
Firms
Both
Hi Interest &
Satisfaction (87%)
•Hi Pressure
•Microwave
•Ohmic
•Increasing
N of pubs Model
CAPPS NIFSI
Logic
• 16+ peer
USDA NIFI
PROJECTS
CAPPS/
NIFI
•PEF
•OHMIC
•HP
•MICROWAVE
• 35 other
• Fact Sheets & pamphlets
• 87% satis. relevance $965k in 2006-7
~$2.3M-4 yrs
INDUSTRIAL
INTEREST
TRANSFER
INTERACTIONS
6-800 Firm
2-300 Faculty
40 Gov
RELEVANT
62% “Mod-Hi
RESULTS
Impact
•Complementary
internal research
• Huge Cost
Avoidance
FOLLOW-ON
FUNDING
R&D
IMPACT
COMMERCIALIZATION
IMPACT
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 highpressure 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.
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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
–
–
•
Implementation
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–
–
–
•
Food processors
Economic Impact
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–
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•
New Facility; Cooperative agreement counties, towns; regions; etc.: full production
$6 million investment
Second facility in process
Unused commodities Large volume self stable
Market
–
•
Yamco; Consortium of 7 NC Potato Farmers; Licensed technology
Start up: Ultraseptics
Potential huge local impact with 43% of production in NC
$290 million
63 new jobs
Other Applications/Nutrition
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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