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Thermal process calculation using

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 THERMAL PROCESS CALCULATION USING ARTIFICIAL
NEURAL NETWORKS AND OTHER TRADITIONAL METHODS

ELIANE CALOMINO GONALVES, LUIS ANTONIO MINIM1,

JANE SLIA DOS REIS COIMBRA and
VALRIA PAULA RODRIGUES MINIM

Department of Food Technology

Universidade Federal de Viosa (UFV)
Av. P. H. Rolfs, s/n Campus
36570-000, Viosa, MG, Brazil

Accepted for Publication January 25, 2006

ABSTRACT

This work aimed to develop a method of thermal process calculation of

canned food based on an artificial neural network and to compare it to the
traditional Ball and Stumbo methods. A back-propagation through time
network was used as a model of heat conduction occurring in canned food, in
order to predict the cold point temperature as a function of the autoclave and
the initial product temperature. For training the network, a dataset of the cold
point and retort temperature along time was obtained by processing a paste-
based product in autoclave. The network architecture (5-8-9-1) was selected,
presenting an excellent generalization capacity, with a mean relative error of
2.2% between the calculated F-values of the observed and predicted time
temperature data. The Ball and Stumbo methods presented higher errors as the
retort temperature was not constant. Neural network showed a great potential
for online process calculation by having advantages such as precision and
simplicity.

INTRODUCTION

The existing methods for thermal processing calculation have been exten-
sively applied in the food industry, which aim to estimate the lethality of a
given process, or alternatively, to determine an appropriate process time based
on a set of thermal conditions.
Bigelow et al. (1920) introduced a graphic procedure to evaluate the
efficiency of food thermal processing. This technique was the basis for a group

1
Corresponding author. TEL: +55-31-3899-1617; FAX: +55-31-3899-2208; EMAIL: lminim@ufv.br

Journal of Food Process Engineering 29 (2006) 162173. All Rights Reserved.

162 2006, The Author(s)
Journal compilation 2006, Blackwell Publishing
 THERMAL PROCESS CALCULATION BY ANN AND OTHER METHODS 163

of thermal process calculation methodologies, later called general methods.

Such methods integrate the lethal effects graphically or through numerical
integration based on timetemperature data. They are more precise because
real-timetemperature data are used for process calculations. However, they
are time-consuming, requiring a new set of timetemperature data for each
variation in the process conditions, product or can size. Mathematical
methods, on the other hand, are based on the characterization of thermal
penetration parameters such as the heating rate index (he) and heating/cooling
lag factors (jch/jcc) for destruction kinetics. These methods are less restrictive
than the general ones, accepting product, equipment and process parameter
variations (Stumbo 1973).
The Ball method developed in 1923 is one of the most widely used
techniques in thermal processing calculation. For the development of these
tables and graphs, the most significant considerations were to make the cooling
lag factor (jcc) to 1.41 and fh = fc. For processes which deviate from such
considerations, Balls method is obviously inaccurate. Thus, additional proce-
dures have been developed to overcome the limitations and considerations
applied in the Ball method (Germer et al. 1995; Afaghi et al. 2001).
Stumbo and Longley (1966) developed a procedure similar to Balls
method based on a new series of tables including variability with respect to
jcc. The Stumbo method eliminated some simplifications such as the cooling
lag factor (jcc) equal to 1.41. Although precise, the Stumbo method presents
a difficult calculation because it involves such tables, compared to the Ball
method, which uses only one table. This explains why the Stumbo method
has such a limited application in the food industry (Sablani and Shayya
2001).
Mathematical models based on heat transfer into canned food have been
successfully applied in thermal process and optimization (Teixeira et al.
1969a,b; Teixeira and Manson 1982; Datta et al. 1986; Tucker 1991; Teixeira
and Tucker 1997). These models require multiple input data related to the food
product and system such as thermal diffusivity of the food product, heat
transfer coefficient of the heating and cooling medium, and processing con-
ditions. When these parameters are known, timetemperature data at any
specific location of the product can be obtained by solving a system of
nonlinear, algebraic equations.
While the use of phenomenological models requires the knowledge of
such parameters and simultaneous solution of a large number of nonlinear,
algebraic equations demanding time-consuming iterative processes; the use of
the model based on a neural network technique is simpler and faster, requiring
a sequential solution of a number of algebraic equations. Evidently, neural
networks become more attractive for application in real-time estimates and
process control.
164 E.C. GONALVES ET AL.

(k 1)
x 1(k 1) x0

x 2(k 1)
w jk0
w jk1
w jk2
x 3(k 1)
w jk3 x jk
w jkn
x (nk 1)

FIG. 1. TYPICAL BACK-PROPAGATION ELEMENT

x kj , current output state of jth neuron in layer k; w kj , weight on connection joining the ith neuron in
layer (k - 1) to jth neuron in layer k; x k1
i
, input from the ith neuron in layer (k - 1).

Artificial Neural Networks

Artificial neural networks (ANN) are inspired by the nervous biological
architecture consisting of relatively simple systems working in parallel to
make quick decisions. ANN consists of a great number of computer elements,
the so-called nodes or artificial neurons, which are disposed in a parallel
structure. Those elements are connected by means of artificial synapses sym-
bolized by a matrix of numbers (weights), which can be adjusted by a learning
process. The typical back-propagation network always has an input layer
containing one node for each independent variable, an output layer containing
one node for each dependent variable and at least one hidden layer. There is no
theoretical limit on the number of hidden layers, but typically there will be one
or two. Each layer is fully connected to the succeeding layer. During learning,
information is also back-propagated through the network and used to update
the connection weights. A back-propagation element (Fig. 1) therefore trans-
fers its inputs as follows:

x kj = f ( w kji xik 1 ) = f ( I jk ) (1)
j

where x kj is the current output state of jth neuron in layer k, wijk is the weight on
connection joining the ith neuron in layer (k - 1) to jth neuron in layer k, I jk is
the weighted summation of inputs to jth neuron in layer k and f is a differen-
tiable function, such as sigmoid or hyperbolic tangent. The aim of the learning
processes is to minimize the global error E of the system by modifying the
weights. Given the current set of weights w kji, we need to determine how to
change them in order to decrease the global error. This can be done using the
gradient descent as follows:
 THERMAL PROCESS CALCULATION BY ANN AND OTHER METHODS 165

E
w kji = h (2)
w kji

where h is the learning coefficient. The critical parameter d that is passed back
through the layers is defined by:

E
d jk = k (3)
Ij

which can be considered a measure of the local error at processing element

(PE) j in layer k.
The partial derivatives in Eq. (2) can be calculated using the chain rule
and Eqs. (1) and (3):

E E I jk ( k 1)
= = d j xi
k
(4)
w kji I jk w kji

Combining Eqs. (2) and (4) together gives:

w kji = h d jk xi( k 1) (5)

Assuming the global error E of the form:

E = (1 2) (d j o j )
2
(6)
j

where d is the desired output specified by a teacher, and o is the actual output
produced by the network with the current set of weights. It can be shown that
the error d is obtained for the output layer accordingly to Eq. (7) and for any
hidden layer accordingly to Eq. (8):

d j = ( d j o j ) f ( I j ) (7)

d j = d l w jl f ( I j ) (8)
l

As described in Eq. (6), E defines the global error of the network for a
particular inputoutput pattern. An overall global error function can be defined
as the sum of all pattern-specific error function.
166 E.C. GONALVES ET AL.

Many works dealing with neural networks applications on food thermal

processing may be found in the literature (Mittal and Zhang 2000; Afaghi et al.
2001; Chen and Ramaswamy 2002; Mittal and Zhang 2002; Chen and
Ramaswamy 2003).
Gonalves et al. (2005) applied ANN as a model of the dynamic behavior
of the process sterilization of canned food. A recurrent back-propagation
through time (BPTT) and Jordan networks were developed and the authors
concluded that the BPTT network had a better generalization performance.
This work aimed to develop a mathematical model using the neural
network technique as a potential alternative to the existing methods for thermal
processing calculations. The major characteristic of this model is to predict
cold point temperature of the canned product along time, based on the initial
conditions of the product and process, and the autoclave temperature during
processing. The ability of the ANN model in computing the processing time
under variable retort conditions were examined and compared with the Ball
and Stumbo methods.

MATERIALS AND METHODS

Data Generation
The product used in the thermal processing was a paste of liver, composed
of 20% pork liver, 60% pork meat and 20% water, prepared in a cutter
(Mainca, Barcelona, Spain).
Product-containing cylindrical cans of 340 g were processed in a non-
continuous vertical retort, using steam as the heat medium. In order to monitor
the cold point temperature during the process, the cans were prepared by
inserting a type-T thermocouple in their geometrical centers. After filling and
sealing, the cans were kept in a thermal bath so that the initial temperature
could be homogeneously adjusted before the process began. A proportional-
integral controller (Spirax Sarco, Cheltenham, England) was used to control
the process temperature. In order to record the time and temperature, a data
acquisition system (Field Logger, Novus, Porto Alegre, Brazil) was used, with
an accuracy of 0.5C. At the end of the sterilization, cooling was initiated with
air pressurization to avoid inflation of the cans, until reaching a temperature
below 100C. The cooling process continued until the cold point reached 40C.
In order to obtain a set of experimental data, a factorial design was applied
using four levels of retort temperature (113, 117, 121 and 125C), three levels
of initial product temperature (25, 35 and 45C) and three levels of time elapsed
after the beginning of the process to apply disturbances (10, 30 and 50 min).
Disturbances applied to the retorts temperature were kept for three minutes
 THERMAL PROCESS CALCULATION BY ANN AND OTHER METHODS 167

TABLE 1.
SOME OPERATIONAL CONDITIONS USED IN THE GENERALIZATION OF THE NETWORK

Process Operational conditions

Autoclave temperature (C) Initial product temperature (C) Disturbance (min)

A 113 25 10
B 117 45 50
C 121 45 50

and performed with an interruption of the steam feed. This was made to
simulate faults that may happen in a real process. The time and temperature at
the center of the product were recorded every 20 s.

ANN Modeling
NeuralWorks Professional II/Plus (NeuralWare Inc., Pittsburg, PA) was
employed for ANN modeling. A BPTT network with logistic sigmoid trans-
fer function was applied, along with variable learning rate and momentum
coefficient. This algorithm represents an extension of the standard back-
propagation, in which the output yj,t+1 is reefed through recurrent loops to the
input layer yj,t. In order to predict the cold point temperature along the time,
the retorts temperature, process time and current and past temperature of the
cold point (TR, ti, Ti-1 and Ti-2, respectively) were used as an input variable.
Although there are some techniques to optimize the architecture of a neural
network (constructive, pruning, genetic algorithms), it is still a trial and error
task. We have used the constructive method because it is simple. The soft-
ware we have used permits us to apply pruning, but the results were con-
fused. A set of 25,112 data obtained within the products thermal processing
for network training was selected. Simultaneously, the test step was per-
formed using a set of 8968 data. This is an important stage, because the
overparameterization of the network can be avoided. To verify its generali-
zation capacity, the trained networks were used to predict the temperature
profile of the cold point and, consequently, the process lethality (F)-value of
the process, using a set of 4298 data, which were not used in the training and
test stages (see Table 1).
The sterilizing lethality of the process (F) was calculated accordingly to
Eq. (9), with the reference temperature TREF = 121.1C and z = 10.0C:
(Ti TREF )
n

F = 10 z
t (9)
i =1
168 E.C. GONALVES ET AL.

ti

TR

Ti T i+1

T i1

T i2

FIG. 2. TOPOLOGY OF THE BACK-PROPAGATION THROUGH TIME NETWORK

ti, process time; TR, retort temperature; Ti, cold point temperature; Ti, Ti-1, Ti-2, cold point
temperature at time ti, ti-1 and ti-2, respectively; Ti+1 cold point temperature at time ti+1.

The efficiency of the model developed from the neural network technique
was tested and compared with the results obtained by the Ball and Stumbo
methods.

RESULTS AND DISCUSSION

ANN Development
For developing the ANN, the number of hidden layers and PEs was
investigated by the trial and error method. The networks topology that pre-
sented the lowest mean squared error (MSE) is shown in Fig. 2 and it con-
sisted of two hidden layers with eight and nine nodes on the first and second
layer, respectively. As observed by Cybenko (1989), a network with a single
hidden layer is enough to approximate any continuous function, while a
network with two or more hidden layers is enough to approximate any math-
ematical function. It must be observed that two hidden layers can make the
network training easier and can lead to a better performance. The lethality is
an exponential function of temperature; therefore, even a slight deviation
of the predicted temperature causes a considerable effect on the lethality,
mostly when the cold point temperature is higher than 100C. Thus, using
two hidden layers resulted in a superior predictive model as compared to
using one hidden layer, and it also permitted to calculate lethality with a
very low error. Figure 3 presents the predicted and observed temperature at
the cold point along the time. A good agreement is observed in all phases of
the process, indicating the high performance of ANN in extracting the main
characteristics of the process.
 THERMAL PROCESS CALCULATION BY ANN AND OTHER METHODS 169

FIG. 3. PREDICTED VERSUS OBSERVED TEMPERATURE AT THE COLD POINT ALONG

THE TIME
TP, predicted temperature; T, observed temperature.

Figure 4 shows the temperature profile at cold point over the time, for the
processes A, B and C (see Table 1). A good similarity between the experimen-
tal values and those predicted by the neural networks can be observed. A
critical point in the prediction of cold point temperature is when heating is
finished and the cooling phase starts. Great changes take place in the process,
because the retort temperature changes abruptly. At this moment, a slight
deviation in the predicted temperature may occur. However, as destruction
kinetics is an exponential function of temperature, the effect on lethality will
be enhanced. This can be observed in Fig. 5, which presents the accumulated
lethality along time. In this case, a slight deviation of the F-value was observed
for the process A, B and C, but with an error less than 2.3% (see Table 2). Of
course, this is a small error, which represents a difference of a few seconds in
the total heating time.
Table 2 presents the F-value calculated with the observed time
temperature data and using the Ball, Stumbo and ANN methods. It was
observed that the ANN developed in this work presented deviations below
2.3% when compared to the F-value determined using the experimental
timetemperature data. On the other hand, Balls and Stumbos methods
170 E.C. GONALVES ET AL.
Temperature (C)

Temperature (C)

Time (min) Time (min)

Temperature (C)

Time (min)

FIG. 4. AUTOCLAVE AND COLD POINT TEMPERATURE OF THE PRODUCT ALONG TIME
, autoclave; , observed; , predicted.

were found to present superior errors, as they are not appropriated for
process calculation using variable retort temperature conditions. These
results show the great applicability of ANN model in routine calculations
of process time, as variable retort temperature always prevails. This of
course is because of faults in the steam temperature that frequently happen,
and also because of the activity of a process control system. Another inter-
esting feature of the ANN model is that the trained model is simple and
easily implemented in any commercial software for control of thermal
sterilization.
 THERMAL PROCESS CALCULATION BY ANN AND OTHER METHODS 171

FIG. 5. COMPARISON BETWEEN THE EXPERIMENTAL ACCUMULATED LETHALITY

VALUES AND THAT PREDICTED BY THE NEURAL NETWORK
, observed; , predicted; LA, lethality.

TABLE 2.
COMPARISON BETWEEN THE CALCULATED F-VALUES, USING THE EXPERIMENTAL
TIMETEMPERATURE DATA AND THE METHODS OF BALL, STUMBO AND ANN

Process F-values Error (%)

Experimental Ball Stumbo ANN Ball Stumbo ANN

A 1.722 1.4902 1.618 1.762 13.46 6.04 2.26

B 4.318 3.9400 4.529 4.411 8.74 4.66 2.12
C 6.591 6.9820 6.891 6.702 5.60 4.37 1.66

F-value, process lethality; ANN, artificial neural networks.

172 E.C. GONALVES ET AL.

CONCLUSION

This work studied the possibility of developing a neural model as an

alternative to the existing methods for thermal processing calculation in vari-
able retort temperature conditions. A set of experimental data was generated
for training a recurrent BPTT network. The network topology 5-8-9-1 was best
suited to the problem under study by showing an excellent capacity of gener-
alization for new process conditions as well as disturbance situations in the
autoclave temperature, with a mean relative error of 2.2% between the
observed and predicted F-values. ANN presented a better performance in
predicting the F-value than those both by the Ball and Stumbo methods. The
neural network model showed a great potential for online calculation of
thermal processing compared to the other techniques. The ANN model pre-
sents advantages of precision and simplicity, and the trained model could be
easily implemented in commercial control software.

ACKNOWLEDGMENT

The authors wish to thank FAPEMIG (CAG 7722002) for the financial
support.

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