USDA NIFSI Alternative Processing Technologies (APT) October 1, 2008 Ohio State University

1. USDA NIFSI Alternative Processing Technologies (APT)October 1, 2008Ohio State University Evaluation Component Denis O. Gray, Ph.D. Lindsey McGowen, M.S. Psychology Department NC State

2. Overview • Project Objectives • Logic Model of Anticipated Effects • Knowledge • Education • Commercialization • Summary

3. 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.

4. Objectives • Conduct research on alternative processing technologies that has the potential to improve the quality and safety of foods • Collaborate with industry, academe, government, professional associations, and other public and private organizations • Conduct research that fills knowledge and research gaps • Disseminate research results via publication in refereed journals and other mechanisms • Develop and implement educational and extension interventions that support the goals of the project • Evaluate the impact or effectiveness of the educational and/or extension interventions • Make plans for sustaining the interventions beyond the grant period

5. General Project Model USDA NIFSI RESEARCH NEW KNOWLEDGE CAPPS/ NIFSI EDUCATION STATE-OF- ART PRACTICE COMMERCIAL- IZATION IMPACT OUTREACH AWARENESS IMPLEMENTATION

6. 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

7. General Project Model USDA NIFSI RESEARCH NEW KNOWLEDGE CAPPS/ NIFSI EDUCATION STATE-OF- ART PRACTICE COMMERCIAL- IZATION IMPACT OUTREACH AWARENESS IMPLEMENTATION 3. Conduct research that fills knowledge and research gaps. 4. Disseminate research results via publication in refereed journals and other mechanisms.

8. Knowledge Production Methodology PI Knowledge Production Survey Bibliometric analyses

9. Dissemination: Literature

10. 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.

11. 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.

12. Journal Impact Factors 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

13. 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

14. 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

15. General Project Model USDA NIFSI RESEARCH NEW KNOWLEDGE CAPPS/ NIFSI EDUCATION STATE-OF- ART PRACTICE COMMERCIAL- IZATION IMPACT OUTREACH AWARENESS IMPLEMENTATION 5. Develop and implement educational and extension interventions that support the goals of the project

16. Short Course Evaluations Evaluation Course On-the- job Teaching Evaluation Training Impact Evaluation

17. Training Impact Evaluation Methodology Web-Questionnaire Sample: 62; Responses: 18; 30%

18. Which APT Short Course did you attend? Sample N = 18, 100%

19. What best describes your current principal employer? Sample N = 18, 100%

20. What is your last degree obtained? Sample N = 18, 100%

21. What is your Current Role/Position? Sample N = 18, Response N = 27

22. Priority of Expectations at time of Enrollment M=2.22 (.65) M=2.56 (.51) M=1.89 (.83) M=2.11 (.83) Sample N = 18, 100%

23. Current Employer’s Level of Interest & Activity

24. Impact of Short Course on Current Job M=1.94 (.81) M=1.67(1.03) M=1.82(.64) M=1.78(.81) M=2.00(.60) M=2.06 (.64) M=1.94 (.64)

25. How promising do you think APTs are in your sector?

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

27. Impact of Short Course on Current Job (v4)

28. How promising do you think APTs are in your sector? (v4) N=17 N=17 N=16 N=16 N=17

29. 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

30. 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

31. 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.

32. 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

33. 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

34. CAPPS NIFI Logic Model USDA NIFI INDUSTRIAL INTEREST CAPPS/ NIFI RELEVANT RESULTS FOLLOW-ON FUNDING NEW PROJECTS TRANSFER INTERACTIONS R&D IMPACT • Methodology • Modified Process/Outcome Survey • CAPPS members on an annual basis • PI Scientific Impact and Technology Transfer Interviews • Referencing impact on any firm COMMERCIAL- IZATION IMPACT

35. CAPPS Firms Firms Both • Hi Interest & • Satisfaction (87%) • Hi Pressure • Microwave • Ohmic CAPPS NIFSI Logic Model • Increasing N of pubs • 16+ peer • 35 other • Fact Sheets & pamphlets • 87% satis. relevance $965k in 2006-7 ~$2.3M-4 yrs USDA NIFI PROJECTS INDUSTRIAL INTEREST CAPPS/ NIFI • PEF • OHMIC • HP • MICRO- • WAVE RELEVANT RESULTS FOLLOW-ON FUNDING • 62% “Mod-Hi • Impact • Complementary • internal research • Huge Cost • Avoidance TRANSFER INTERACTIONS R&D IMPACT 6-800 Firm 2-300 Faculty 40 Gov COMMERCIAL- IZATION IMPACT

36. 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)

37. 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

38. 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 PEF

39. Continuous Microwave

40. 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

41. 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

42. 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

43. Final Report, Fall 2008 Questions