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Acknowledgements xiii
Methods for Developing New Food Products_ An Instructional Guide (tạm dịch: Phương pháp phát triển các sản phẩm thực phẩm mới_ Hướng dẫn giảng dạy)
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
Comprehension Questions 18
References 18vi Table of Contents
3. Functionality of Food Components 19
Carbohydrates 19
Lipids 32
Water 39
Proteins 40
Summary 41
Key Words 42
Comprehension Questions 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
Comprehension Questions 67
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
Comprehension Questions 85
References 85
6. Food Additives 87
Regulation of Food Additives 87
Major Uses of Food Additives 89Table of Contents vii
Categories of Common Food Additives 93
Key Words 122
Comprehension Questions 122
References 124
7. Formulation and Process Development 125
Formulations 125
Key Words 134
Comprehension Questions 136
References 136
8. Experimental Design in Food Product
Development 139
Elementary Concepts in Statistics 139
Summary 144
Key Words 144
Comprehension Questions 145
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 156viii Table of Contents
Canning 157
Labeling and Coding 158
Irradiation 159
Metal Detection and X-Ray Diffraction 159
Summary 159
Key Words 159
Comprehension Questions 160
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
Comprehension Questions 182
References 183
11. Packaging 185
Levels of Packaging 185
Steps to Determining Packaging 187
Packaging Material 190
Issues and Concerns 195
Summary 196
Comprehension Questions 196
References 197
12. Economic Feasibility Analysis 199
New Business Analysis 201
Summary 215
Key Words 215
Comprehension Questions 215
References 216
13. Confidentiality and Intellectual Property Rights 217
Patents 217
Copyright 219Table of Contents ix
Trademarks 220
Trade Secrets 220
Confidentiality 221
Summary 222
Key Words 223
Comprehension Questions 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
Comprehension Questions 238
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
Comprehension Questions 275
References 275
16. Labeling 277
Parts of a Food Label 277
Summary 295
Key Words 296
Comprehension Questions 296
References 297
17. Controlling the Quality of New Food Products 299
Importance of Quality Control 299
Summary 309x Table of Contents
Key Words 310
Comprehension Questions 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
Comprehension Questions 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
Comprehension Questions 353
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 377xi
Preface
THE mally offered in food science courses. They speak to practical and ideas in this text include and yet transcend the concepts norbusiness 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 Product 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 Product Competition
• Dairy Management’s Most Creative Product Awardxii 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 departments. The book should Giúp 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 mastered. 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.xiii
Acknowledgements
THE lowing people for their imput on the textbook material: Dr. Thomas authors would like to express their sincere appreciation to the folHerald (food chemistry), the late Dr. Carole Setser (sensory testing), Dr.
Donald Erickson (financial feasibility), and Dr. Elizabeth Boyle (HACCP). 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.1
CHAPTER 1
Overview of Food Product Development
FOOD perfect recipe. Companies must plan extensively, work hard, and product development involves more than just creating the
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 development 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 development 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 experts, and purchasing gurus, while smaller companies may not even
have a research and development department. Smaller companies may
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 commercialization2 OVERVIEW OF FOOD 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 consumer input. Some companies may not need this step, especially if they
thrive on regenerating competitor’s products. An example of this is having 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
FIGURE 1.1. The process of product development.3
begin. Screening is the most critical step in a product development project. 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 organizational goals. Project managers should screen ideas throughout the development 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.
Feasibility
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 marketplace, and consumer perceptions. Examining markets and conducting
consumer research are vital to product screening.
Consumer testing is essential when screening products. Without consumer 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, technology, 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.
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?4 OVERVIEW OF FOOD PRODUCT DEVELOPMENT
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 Agriculture (USDA) jurisdiction depending on the type of food. Some states
allow small food processing businesses to be conducted out of a person’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 sweeteners, 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 hermetically sealed containers (Code of Federal Regulations CFR 108, 113 and5
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 microbiological 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 exception of alcoholic beverages. Water activity (aw) is a measure of the
water available for microbial growth in a food. Acidified foods are lowacid foods to which acid(s) or acid food(s) are added to reduce the pH
to 4.6 or below with an a
w 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 vegetables 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 safeguards 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 information on these subjects will be covered in Chapter 10, Regulatory
Considerations.
Technology
In order to launch a new food product, the necessary equipment, facilities, and processes needed to manufacture a product must be established. 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 desired 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.
Feasibility6 OVERVIEW OF FOOD PRODUCT DEVELOPMENT
This is beneficial when projects are temporarily delayed, last for long
periods of time, or may be passed to other developers at the organization.
Ingredients
Considerations when choosing ingredients include whether the commodity 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 equipment that is already acquired if possible. New equipment is a big capital 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 sewage 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 summer 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 prod7
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 competitors’ 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 quality 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 Giúp give clues on risk factors of which processors 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
Feasibility8 OVERVIEW OF FOOD PRODUCT DEVELOPMENT
production and marketing costs is required. A detailed cost analysis
should be made prior to manufacture. The two types of costs to consider include fixed costs and variable costs. Annual fixed costs are those
that will not change in any one year, regardless of the level of production. 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 carefully examined prior to test marketing and commercialization to implement 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 potential 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 Giúp of an expert
in the field. Ask for assistance from marketing specialists who can devise 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 product. 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, provide9
protection from contamination. The use of code packaging can be helpful 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 determine who is buying it and where it is displayed in the store. Keep a
detailed record of the market test and ask for Giúp in analyzing the data
to determine whether you should take the next big step—commercialization.
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, equipment, utilities, and personnel. Consumer concerns during test marketing should be taken into consideration, and a second test may be conducted 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 strategies. The promotion strategies are product- and target-market dependent.
Finally, product maintenance should be included in commercialization. It should concentrate on quality improvement and profit improvement. 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
Commercialization10 OVERVIEW OF FOOD PRODUCT DEVELOPMENT
profit improvement without deterring potential consumers. Investigating 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 Giúp 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 Giúp 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 customers. 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 products11
that fit consumer desires as well as ones that are competitive in the marketplace. 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
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Methods for Developing New Food Products_ An Instructional Guide (tạm dịch: Phương pháp phát triển các sản phẩm thực phẩm mới_ Hướng dẫn giảng dạy)
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
Comprehension Questions 18
References 18vi Table of Contents
3. Functionality of Food Components 19
Carbohydrates 19
Lipids 32
Water 39
Proteins 40
Summary 41
Key Words 42
Comprehension Questions 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
Comprehension Questions 67
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
Comprehension Questions 85
References 85
6. Food Additives 87
Regulation of Food Additives 87
Major Uses of Food Additives 89Table of Contents vii
Categories of Common Food Additives 93
Key Words 122
Comprehension Questions 122
References 124
7. Formulation and Process Development 125
Formulations 125
Key Words 134
Comprehension Questions 136
References 136
8. Experimental Design in Food Product
Development 139
Elementary Concepts in Statistics 139
Summary 144
Key Words 144
Comprehension Questions 145
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 156viii Table of Contents
Canning 157
Labeling and Coding 158
Irradiation 159
Metal Detection and X-Ray Diffraction 159
Summary 159
Key Words 159
Comprehension Questions 160
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
Comprehension Questions 182
References 183
11. Packaging 185
Levels of Packaging 185
Steps to Determining Packaging 187
Packaging Material 190
Issues and Concerns 195
Summary 196
Comprehension Questions 196
References 197
12. Economic Feasibility Analysis 199
New Business Analysis 201
Summary 215
Key Words 215
Comprehension Questions 215
References 216
13. Confidentiality and Intellectual Property Rights 217
Patents 217
Copyright 219Table of Contents ix
Trademarks 220
Trade Secrets 220
Confidentiality 221
Summary 222
Key Words 223
Comprehension Questions 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
Comprehension Questions 238
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
Comprehension Questions 275
References 275
16. Labeling 277
Parts of a Food Label 277
Summary 295
Key Words 296
Comprehension Questions 296
References 297
17. Controlling the Quality of New Food Products 299
Importance of Quality Control 299
Summary 309x Table of Contents
Key Words 310
Comprehension Questions 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
Comprehension Questions 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
Comprehension Questions 353
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 377xi
Preface
THE mally offered in food science courses. They speak to practical and ideas in this text include and yet transcend the concepts norbusiness 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 Product 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 Product Competition
• Dairy Management’s Most Creative Product Awardxii 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 departments. The book should Giúp 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 mastered. 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.xiii
Acknowledgements
THE lowing people for their imput on the textbook material: Dr. Thomas authors would like to express their sincere appreciation to the folHerald (food chemistry), the late Dr. Carole Setser (sensory testing), Dr.
Donald Erickson (financial feasibility), and Dr. Elizabeth Boyle (HACCP). 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.1
CHAPTER 1
Overview of Food Product Development
FOOD perfect recipe. Companies must plan extensively, work hard, and product development involves more than just creating the
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 development 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 development 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 experts, and purchasing gurus, while smaller companies may not even
have a research and development department. Smaller companies may
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 commercialization2 OVERVIEW OF FOOD 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 consumer input. Some companies may not need this step, especially if they
thrive on regenerating competitor’s products. An example of this is having 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
FIGURE 1.1. The process of product development.3
begin. Screening is the most critical step in a product development project. 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 organizational goals. Project managers should screen ideas throughout the development 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.
Feasibility
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 marketplace, and consumer perceptions. Examining markets and conducting
consumer research are vital to product screening.
Consumer testing is essential when screening products. Without consumer 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, technology, 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.
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?4 OVERVIEW OF FOOD PRODUCT DEVELOPMENT
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 Agriculture (USDA) jurisdiction depending on the type of food. Some states
allow small food processing businesses to be conducted out of a person’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 sweeteners, 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 hermetically sealed containers (Code of Federal Regulations CFR 108, 113 and5
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 microbiological 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 exception of alcoholic beverages. Water activity (aw) is a measure of the
water available for microbial growth in a food. Acidified foods are lowacid foods to which acid(s) or acid food(s) are added to reduce the pH
to 4.6 or below with an a
w 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 vegetables 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 safeguards 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 information on these subjects will be covered in Chapter 10, Regulatory
Considerations.
Technology
In order to launch a new food product, the necessary equipment, facilities, and processes needed to manufacture a product must be established. 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 desired 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.
Feasibility6 OVERVIEW OF FOOD PRODUCT DEVELOPMENT
This is beneficial when projects are temporarily delayed, last for long
periods of time, or may be passed to other developers at the organization.
Ingredients
Considerations when choosing ingredients include whether the commodity 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 equipment that is already acquired if possible. New equipment is a big capital 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 sewage 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 summer 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 prod7
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 competitors’ 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 quality 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 Giúp give clues on risk factors of which processors 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
Feasibility8 OVERVIEW OF FOOD PRODUCT DEVELOPMENT
production and marketing costs is required. A detailed cost analysis
should be made prior to manufacture. The two types of costs to consider include fixed costs and variable costs. Annual fixed costs are those
that will not change in any one year, regardless of the level of production. 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 carefully examined prior to test marketing and commercialization to implement 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 potential 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 Giúp of an expert
in the field. Ask for assistance from marketing specialists who can devise 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 product. 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, provide9
protection from contamination. The use of code packaging can be helpful 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 determine who is buying it and where it is displayed in the store. Keep a
detailed record of the market test and ask for Giúp in analyzing the data
to determine whether you should take the next big step—commercialization.
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, equipment, utilities, and personnel. Consumer concerns during test marketing should be taken into consideration, and a second test may be conducted 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 strategies. The promotion strategies are product- and target-market dependent.
Finally, product maintenance should be included in commercialization. It should concentrate on quality improvement and profit improvement. 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
Commercialization10 OVERVIEW OF FOOD PRODUCT DEVELOPMENT
profit improvement without deterring potential consumers. Investigating 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 Giúp 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 Giúp 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 customers. 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 products11
that fit consumer desires as well as ones that are competitive in the marketplace. 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.
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