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Advances in Baking Technology

Advances in Baking Technology

Edited by
Technical Foods Consultant

Springer-Science+Business Media, B.V.

First edition 1993

1993 Springer Science+Business Media Dordrecht
Originally published by Chapman & Hall in 1993

Softcover reprint of the hardcover 1st edition 1993

Typeset in 10/12pt Times by ROM Data Ltd, Falmouth, Cornwall

ISBN 978-0-7514-0055-7 ISBN 978-1-4899-7256-9 (eBook)
DOI 10.1007/978-1-4899-7256-9
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Fundamentally, baking may seem to be a rather static topic: mix flour, water,
leavening and various flavoring materials, and heat the mixture to gelatinize starch
and denature the protein. However, this millenia-old process has been undergoing
rapid change during this century, and even more during the last two decades.
Numerous new ingredients have been developed for improving the nature of the
finished baked product. New methods for heating the mixture are being used. In
addition the demands of the consumer for decreased calories, increased fiber levels,
decreased fat and sodium content, and more convenient products, have engendered
numerous product development projects.
We have selected topics that address many of these developments in baking
technology. The authors have been drawn from both Europe and North America,
to reflect the fact that technology applications today are relevant on an international
basis. The ingredients covered range from the most basic (wheat and rye flour) to
the latest fads (dietary fiber, fat replacers). Processes include basic bread production (but with recent innovations in the plant), as well as newer methods, such as
microwave baking, extrusion, and freezing of doughs and products. Those tests
more useful in product development, such as rheological measurements of dough
and finished baked goods, as well as sensory evaluation, are also discussed in some
The topics should be of interest to anyone involved in developing baked products,
in translating laboratory developments to practical production, or in ensuring the
quality of ingredients purchased and the products made for sale. In short, we
address the concerns of those people involved with technical and technological
aspects of the bakery industry.


We would like to recognize those people who have contributed to the usefulness
of this book by reviewing chapters for us: Dr. John deMan, Mr. WulfDoerry, Dr.
Patrick Dreese, Dr. Elizabeth Gullett, Dr. Tony Hunt, Dr. Simon Jackel, Mr. Bill
Knightly, and Dr. G. Mittal.


Dr M.C. Bourne

Department ofFood Science and Technology, Cornell

University, Geneva, New York 14456-0462, USA


European Process Plant Ltd. Correspondence to

59 Lawers Crescent, Polmont, Falkirk FK2 ORQ


Grain Industry Research Group, Department of Food

Science, c/o St Paul's College, University of
Manitoba, Winnipeg, MB, R3T 2N2, Canada

DrJ. Holas

SEDBA Ltd, Jankovcova 18, 170 37 Prague 7,


Dr B.S. Kamel

Atkemix Inc (ICI Specialty Chemicals), PO Box 1085,

Brantford, Ontario N3T 5T2, Canada

Dr J. Kratochvil

Flour Milling and Baking Research Association,

Chorleywood, Herts, WD3 5SH, UK


2230 Grandview Terrace, Manhattan, Kansas 66502,


Mr R.C. Miller

R.D.2, Box 413, Auburn, New York 13021, USA

Professor J.G. Ponte

Kansas State University, Manhattan, Kansas 66506,


Dr J.Ptihoda

Institute of Chemical Technology, Department of

Carbohydrate Chemistry and Technology, Technicka
5, 166 28 Praha 6, Czechoslovakia

Dr V .F. Rasper

Department of Food Science, University of Guelph,

Guelph, Ontario N1G 2W1, Canada

Dr M.G. Scanlon

Department of Food Science, University of Manitoba,

Winnipeg, MB, R3T 2N2, Canada

Dr C.S. Setser

Department ofFoods and Nutrition, Kansas State University, Manhattan, Kansas 66506, USA

MrR. Silva

Imperial Holly Corporation, Sugarland, Texas 774870009, USA

Mr R.F. Schiffmann

R.F. Schiffinann Associates Inc, 149 West 88 Street,

New York 10024, USA

Dr C.E. Stauffer

631 Christopal Drive, Cincinnati, Ohio 45231, USA


Wheat and wheat flours



Wheat classification
World wheats
1.3.1 Production
1.3.2 Morphology and composition
1.3.3 Utilization
1.3.4 World wheats
1.4 Wheat milling
1.4.1 Hard wheat milling
1.4.2 Soft wheat milling
1.4.3 Automation and optimization in milling
1.5 Wheat flours
1.5.1 Flours for bread and similar products
1.5.2 Flours for pastry, cookies and cakes
1.5.3 Flours around the world
1.6 Conclusions


Rye flour, wholemeal breads and rye breads







World rye production

Technological aspects of rye flour composition and component
2.3 Nutritional aspects of rye production and consumption
2.4 Methods of rye quality assessment
2.5 Milling of rye
2.6 Baking technology of rye products





Advances in breadmaking technology








3.1.1 Ingredients
3.1.2 Dough mixing and development
3.1.3 Processing and baking equipment
Basic facts on breadmaking
3.2.1 General information
Breadmaking processes
3.3.1 Introduction
3.3.2 Bread type and quality
3.3.3 Dough development (maturing) process
Bulk fermentation processes
3.4.1 Process parameters
3.4.2 Forms of bulk fermentation process
Mechanical development processes
3.5.1 US systems
3.5.2 The Chorleywood Bread Process
Activated dough development process
3.6.1 Introduction
3.6.2 Main features of Activated Dough Development
Spiral mixing for no-time doughs with ascorbic acid
3.7.1 Origin of process
3.7.2 Reasons for the popularity of spiral mixers
3.7.3 Spiral mixing process recipes
3.7.4 Australian no-time dough process
Potassium bromate - the effects of its ban in the UK
Further breadmaking processes
3.9.1 American sponge and dough
3.9.2 Brews
3.9.3 The green dough process
3.9.4 Standard Dutch bread
3.9.5 Dr Calvel's autolysis process
3.9.6 German sour dough process
3.1 0.1 Flour
3.10.2 Dried gluten
3.10.3 Emulsifiers
3.10.4 Soya flour
3.10.5 Fats
3.10.6 Sugar
3.10.7 Malt flour and fungal a-amylase




Compound dough additives (also called bread

improvers and dough conditioners)
3.10.9 Yeast
3.11 Processing equipment
Chorleywood Bread Process
Spiral mixers
Dough handling plant
Moulding/panning methods
Final proof
3.11.6 Proof time
Retarding and retarder proving
Dough handling prior to baking
3.11.10 Baking
3.11.11 Bread cooling and packaging
3.12 Developments in retail baking
Instore baking
Bake-off units
Part-baked products for retail sale


Frozen dough production





Ingredients, formulation
Other ingredients
Dough processing
Chemically leavened products
Freezing and storage
Freezing doughs
Use in the bakery
Thawing and proofmg
Baking and finishing


Dough rheology and physical testing of dough




Fundamental dough rheology
Dough and gluten rheology at elevated temperatures
Rheology of other flour systems
Rheology of spongy systems
Concluding remarks


Texture measurements on fmished baked goods




BBIRA biscuit texture meter
Texture profile analysis (TPA)
Texture press
Other tests


Enzymes as dough improvers






7.1.1 General improving effects on doughs
7.1.2 Characteristics of commercial enzyme preparations
7.1.3 Improvements of baked products
7.1.4 Flour components altered by enzymes
7.2.1 a-Amylase
7.2.2 Glucoamylases
7.2.3 General properties of amylases
7.2.4 Individual improving functions of amylases
Proteolytic enzymes
7.3.1 Modification of doughs by proteases
7.3.2 Functional effects of proteolytic enzymes
Pentosanases and cellulases
7.4.1 Functionality of cellulases and pentosanases


7.4.2 Functionality ofpentosanases in cookie and cracker

Glucose oxidase
7. 7
Sulfhydryl oxidase
Enzyme-based replacers ofbromate


Emulsifiers in baking





Classification and regulation
8.2.1 Classification
8.2.2 Regulation
Synthetic food emulsifiers
8.3.1 Mono- and diglycerides
8.3.2 Mono- and diglyceride derivatives
Function of surfactant in baked products
Mechanism of surfactant function in different baked goods
8.5.1 Emulsification and foam stabilization
8.5.2 Starch interaction
8.5.3 Protein interaction
8.5.4 Physical states of emulsifiers in water
Staling of bakery foods
8.6.1 Theories of staling
8.6.2 Theories of bread staling
8.6.3 Cake staling
8.6.4 Measurement of staling
Concluding remarks
Further reading


Lecithin and phospholipids in baked goods




Review oflecithin chemistry
9.2.1 Lecithin the natural emulsifier
9.2.2 Lecithin in baking
9.2.3 Lecithin in breadmaking
9.2.4 Lecithin in cakes


9.2.5 Lecithin in doughnuts

9.2.6 Lecithin in cookies
9.2.7 Lecithin as a release agent
9.2.8 Lecithin as an anti-oxidant
Miscellaneous bakery applications
9.3.1 Bakery coatings
9.3 .2 Dry mixes
9.3.3 Lecithin- regulatory aspects
9.3.4 Lecithin- specifications
Lecithin- chemical modification
Lecithin- enzyme modification
Lecithin- fractionation
Final comment

10 Sensory evaluation




Sensory properties of bakery products

1O.l.l Introduction
l 0.1.2 Flavor
10.1.3 Texture
10.1.4 Appearance
10.2 Methodology
10.2.1 Test categories
10.2.2 Mechanics and panel operations
10.3 Statistics for sensory studies
10.3.1 Experimental design
10.3.2 Data analysis and interpretation
10.3.3 Relationships of sensory data to instrumental measures
10.3.4 Validity checks for sensory studies
10.4 Conclusion

11 Microwave technology in baking






Process advantage of microwave systems
11.2.1 Advantages of microwave heating
11.2.2 Criteria for the selection of a microwave
processing system
Microwave heating fundamentals


11.3 .1 Electromagnetic waves
11.3 .2 Heating mechanism
11.3 .3 Interaction of microwave fields with materials
11.4 Equipment for microwave processing
11.4.1 The power supply and generator
11.4.2 Applicators
11.4.3 Control systems
11.4.4 Economics of microwave processing systems
11.5 Microwave systems for industrial processing in the baking industry 304
11.5.1 Baking
11.5.2 Proofing
11.5.3 Pasteurization
11.5.4 Thawing
11.6 Radio frequency (RF) baking
11.7 Microwave ovens
11.7 .1 Characteristics of microwave ovens
11.7 .2 Microwavable baked products
11.8 The future of microwave baking in industry

12 Extrusion of baked products



Elements of extrusion processing

Principles of extrusion
12.2.1 Screw extrusion
12.2.2 Lamella (roller) and piston (ram) extruders
12.2.3 Operating lines
12.3 Extrusion processes in baking operations
12.4 Baking and extrusion cooking
12.5 Some fundamental principles
12.5.1 Laminar flow and shear
12.5.2 Product uniformity and residence time distribution
12.6 To extrude or to bake- a further comparison
12.7 Conclusions


13 Fats and fat replacers





Natural fats
13.2.1 Chemical structure
13.2.2 Extraction and refming


Bakery shortenings
13.3.1 Traditional shortenings
13.3.2 Tailored fats
13.3.3 Shortening properties
13.4 Shortening functionality
13.4.1 Bread, rolls
13.4.2 Danish, puff pastry
13.4.3 Cakes, muffins
13.4.4 Biscuits
13.4.5 Crackers
13.4.6 Deep-fried snacks, doughnuts
13.5 Nutritional implications
13.5.1 Obesity
13.5.2 Serum cholesterol and cardiovascular disease
13.5.3 Prostaglandins
13.6 Fat replacement in baked foods
13.6.1 Low and non-caloric lipids
13.6.2 Protein-based replacers
13.6.3 Carbohydrate-based replacers
13.6.4 Process changes

14 Dietary fiber, analysis, physiology and calorie reduction





Structure of dietary fiber
14.2.1 Insoluble dietary fibers
14.2.2 Soluble dietary fibers
14.2.3 Analytical methods
14.2.4 Dietary fiber sources
14.3 Applications of fiber in baked goods
14.3.1 Water absorption and retention
14.3.2 Bread - high fiber and reduced calorie
14.3.3 Cakes, muffins
14.3.4 Biscuits, crackers
14.4 Physiological effects of dietary fiber
14.4.1 Weight reduction
14.4.2 Control of diabetes
14.4.3 Cancer reduction
14.4.4 Decrease in blood cholesterol
14.4.5 Physical gastrointestinal tract disorders
14.4.6 Some adverse effects of fiber




1 Wheat and wheat flours


1.1 Introduction
Wheat is the world's most important food grain. It provides about 20% of the total
food calories and proteins to the people of the world. It is the main staple in 43
countries for at least 35% ofthe world's population. Dependence upon wheat varies
widely with geographic region: in Europe over 30% of the food calories are derived
from wheat, while in some South-East Asian countries, where rice is the staple,
less than 10% of the calories would be derived from wheat.
Wheat cultivation extends from the very southern regions of South America and
Australia to a latitude of about 60 north. It is grown over a wide range of elevations
from sea level to over 3000 meters in Ecuador and Eastern Africa. The worldwide
distribution of wheat production is shown in Figure 1.1.
The type of wheat grown and the yield depend on growing conditions. Warm
day temperatures with a maximum of about 30C and cool night temperatures are
most suitable. The amount and especially the distribution of rainfall affect yield
and the class of wheat grown. For optimum yield, 22-25 em annually is considered
minimum, while 7 5-100 em is maximum. Durum wheat is generally grown in the
drier areas.
Productivity depends also on soil fertility. The dark or medium brown soil zones
of the world are considered to be best for wheat growing. In recent years, wheat
growing has been extended to lighter and poorer soil zones by the use of chemical
Depending on where it is grown, wheat can be planted during a variety of
seasons. In general, however, wheats are divided into two types according to
growth habit, winter and spring, depending on whether they are planted in autumn
or spnng.
The length ofthe wheat-growing season depends to a certain extent on the region
of growth. For example, varieties of bread wheat which mature in 95 days in
Western Canada may require as long as 150 to 160 days in Mexico. Early maturity
is important in Canada and parts of the Commonwealth of Independent States
(formerly USSR) where the frost-free growing season is about 115 days.


1.2 Wheat classification

All wheats belong to the genus Triticum of the family Gramineae, tbe'grass'
family. The genus is subdivided into a large number of species which are classified
into three groups according to the number of chromosome sets in their genome.
These groups are diploid (2n = 2x = 14), tetraploid (2n = 2x = 28) and hexaploid
(2n = 6x =42). The major classes of world wheats are of the hexaploid type. The
general name of the domesticated hexaploid wheats is 'common' wheat and that
of the tetraploid group is 'durum' wheat. A small amount of diploid einkorn wheat
is grown in some Asia Minor countries.
In addition to the botanical classification, a variety of classifications of common
wheats has evolved, based on agronomic, physical and end-use characteristics.
Through extensive usage the classes have become commonplace in the wheat
industry. Some of the more important technological classifications are based on
the following criteria:

Kernel hardness: hard or soft.

Kernel vitreousness: vitreous (hard and glassy), piebald or starchy (mealy).
Bran color: white, amber, red or dark.
Growth habit: spring or winter.
Area of growth: for example, Danube Basin, Kansas, Queensland and
Physical properties of the dough (gluten content or baking quality): strong
or weak.
Variety: for example, Marquis, Gabo and Atle.

For more precise description, composite designations are commonly used.

Some examples are:

Canadian hard red spring.

US dark northern spring.
US hard red winter.
Argentinian Plate.
Queensland prime hard.

Most of the world's wheat (95%) is of the common hexaploid type known
botanically as Triticum aestivum L. em. Theil. The grain may be either hard or
soft in texture, and brownish-red or white in color. While hard wheats are
commonly called 'bread' wheats and valued highly for this purpose, the soft-textured varieties are used for pastry, crackers, sweet goods and many other baked
products. These wheats and flours milled from them are the subjects of this
Durum wheat is grown principally in North Central United States, Canada,
northern Africa, Middle East, Commonwealth oflndependent States, India, Italy,
Argentina and France. This type of wheat is often referred to as 'macaroni' wheat
because it is especially suited for macaroni (pasta) products. The grain may be


either amber or brownish-red in color. Durum is sometimes called 'hard' wheat

because of the typically flinty nature of the grain, but this term leads to confusion
because varieties of common wheat may be equally hard. Milled products from
durum wheat will not be discussed in this chapter despite the fact that durum flour
is used to make bread in southern Italy, Sicily and some Middle Eastern and North
African countries.

1.3 World wheats

1.3.1 Production
The world's wheat-growing areas are heavily concentrated in the northern hemisphere but significant quantities are grown in the southern hemisphere especially
in Australia and Argentina (see Figure 1.1 ). The Commonwealth of Independent
States, the USA and The People's Republic of China are the leading wheat
producers (Table 1.1 ).
Most of the wheat is used in the country where it is grown but substantial
amounts (approximately 20% of total world production) are exported to other
countries. The principal exporting countries are the USA, Canada, Australia and
Argentina. The European Community, especially France, has become a significant
exporter. In 1990-91, the USSR was the major importer of wheat and wheat flour,
followed by The People's Republic of China, Japan, Egypt, Brazil and the European Community. In the latter, much of the wheats imported were obtained from
other European Community countries.

Figure 1.1

World wheat-growing regions- indicated by darkened areas.


Table 1.1 World production of wheat

People's Republic of China
United Kingdom
Germany (West)

1990 production
( 1000s tonnes)
104 000
95 500
73 600
33 000
14 500
14 500
14 000

583 700
Source: Canada Grains Council (1990).

1.3.2 Morphology and composition

In the context of milling wheat into flour, the flrst processing step in the conversion
of wheat into a baked food product, the wheat kernel can be divided into three
relatively distinct morphological parts (Figure 1.2): (i) the endosperm, which forms
about 83% of the kernel; (ii) the bran, which forms 14% and (iii) the germ, which
forms 3%. Each of the three parts is made up of two or more distinct tissues. For
example, the endosperm comprises the starchy endosperm and the aleurone layer.
This layer is mostly separated with the bran during milling. The bran is made up
of at least six different tissues and the germ includes the embryo and the scutellum.
The composition of the three morphological parts differs markedly quantitatively (Table 1.2) and qualitatively. The proximate composition of the endosperm
of an average hard (bread) wheat comprises approximately 75% starch, 12% water,
10.5% protein, 1.5% lipid and 1% minerals, vitamins and other components. For
each constituent there is a fairly wide range of values depending on the class of
wheat (e.g. hard or soft), the area of growth, the climate and the wheat variety. The
composition of flour will follow the composition of the endosperm but will also
reflect contamination by other parts of the wheat kernel, the extent depending on
the efficiency of the milling process.
Table 1.2 Composition of whole grain, endosperm, bran, and germ
Dry matter
Protein (N x 5.7) 12.8
From Bushuk (1986).
"Percentage of total in the grain.




Jt ... ciiC II fffl4



lfetc.ll o

...... ,

G~ ......


foi> Ptto t ho



t. ... ._.,

'.,wt-- -- -


, ,.1....,, .....

.... c.,

...., ,..,_ ., Go- .tw...

- ,,,_,..
Creo Je

~~~o!!ft- Pigment



Figure 1.2 Longitudinal and cross sections of a wheat kernel.

Each of the four constituents comprises a large number of components, most of

which contribute to the processing of the flour into a food product and to the quality
of the final product. For example, the starch is stored in the wheat kernel in the
form of granules ranging in size from 2 to 25 1-1m in diameter. In chemical
composition, the wheat starch contains about 25% amylose-the linear polymerand 75% amylopectin-the branched polymer.

Table 1.3 Modified Osborne solubility fractionation
of proteins of hard red spring wheat endosperm
0.05 N Acetic acid



"From Bushuk (1986).

The most important constituents of flour in relation to its use for bread are the
proteins. The proteins of wheat are unique in many ways but especially in amino
acid composition and in molecular structure which are responsible for the ability
of the proteins to form a viscoelastic gluten, when mixed with water, so that the
flour can be successfully converted into bread. The total protein of wheat flour can
be separated into five fractions (Table 1.3) by the modified Osborne fractionation
procedure (Chen andBushuk, 1970). It has been shown thatthe amount of insoluble
glutenin in a bread flour is directly related to its breadmaking potential as measured
by loaf volume (Orth and Bushuk, 1972).
Endogenous enzymes, which are a minor component of flour proteins, can
contribute significantly to the flour's breadmaking potential. The main enzymes so
involved are the amylases and proteases. In flours milled from sound wheat, the
activities of these enzymes are usually too low to be of significance. In actual
practice, the amylase activity, required for optimal gas production during fermentation, is adjusted by the addition of malted barley flour or of special enzyme
preparations of fungal or bacterial origin. Flours milled from sprout-damaged
wheat may contain amylase and protease activities that are too high for optimal
breadmaking potential.
Lipids are a minor constituent of flour that contribute significantly to its
breadmaking potential through their ability to interact with the starch and the
proteins in the formation of a dough with appropriate rheological properties for
bread production. Many bread and biscuit formulations include added fat for
optimal dough performance, texture and keeping quality of the bread.

1.3.3 Utilization
Of the 1990 world wheat production of 584 million tonnes, 65% was consumed
as human food, mainly in the form of bread and other baked products. The actual
food product that is manufactured depends largely on the class of wheat and its
protein content (Figure 1.3). The key distinctive feature of wheat classes in
relation to their utilization is their kernel hardness which controls both the
millability of the wheat and some technologically important characteristics of
the flour such as particle size and the degree of starch damage (discussed later


Class of Wheat

Flour Use

I --~












Foam Ca<es. Very

R<:h Layer Ca<es

Figure 1.3 Protein content and uses of flour milled from major classes of wheat.

in this chapter). Bread is baked primarily from flour of hard wheats of high
protein content while cookies, crackers and cakes are made from low protein
flours milled from soft wheats.

1.3.4 World wheats

The characteristics of world flours used for the production of baked goods depend
on the wheat from which they are milled and on the milling process used.
Accordingly, it is appropriate to describe in this chapter, in general terms, common
wheats (as distinct from durum) grown by the major wheat-growing and/or exporting countries. Commonwealth of Independent States. More than 20 types of wheat are

grown in the area which until recently has been known as the USSR. About 90%
of the production is of the hard red type, most of which is milled for the production
of bread. Within this type, two classes are grown. Spring habit class (Type I) is
grown mainly in the regions north of the Caspian Sea and east of the Volga River.
Winter habit class (Type IV) is grown in the regions bordering the Black Sea, in
the Ukraine and Moldavia (now Moldova). Small quantities (<I 0%) of soft white
spring (Type III) and soft white winter (Type V) wheats are also grown in widely
spread regions.
The hard red spring and the hard red winter wheats of the USSR are similar in
overall quality to the equivalent classes of US wheats (see section When
grown under normal conditions, spring wheats contain 12-16% (dry basis) protein;
the hard red winter wheats are somewhat lower in protein content. In dough mixing


characteristics, these wheats would be classified as 'strong'. Because of their hard

and vitreous kernel texture, the flours of these wheats tend to have a high level of
damaged starch. Commercial flours are classified according to their ash content.

1. 3. 4. 2 The People's Republic ofChina. Despite the fact that The People's Republic
of China (PRC) is the world's second largest wheat producer, very little factual
information is available in the literature on the types of wheat grown. One third of
the population of this country consumes products derived from wheat as the main
staple. A significant proportion (c. 50%) of the wheat is consumed as noodles and
steam bread.
Most of the wheat grown in PRC is fall sown and is of both white and red color.
Soft and semi-hard kernel types are grown. In the northern provinces, hard red
spring wheat is grown. Protein contents are typical of the classes; lower for the soft
wheats (9-11 %) andhigherforthe hard wheats (12-14%). Flour is generally milled
to a high extraction (c. 75 to 85%) and hence is of higher ash content.
1.3.4. 3 USA. The USA grows four classes of common wheat and one class of durum
wheat. Over the past decade the distribution of production among the four classes
within the common group was as follows: hard red winter, 4 7%, hard red spring,
17%, soft red winter, 17%, and white wheat (spring and winter), 13%. The
remaining 6% of the total production has been durum wheat.
Flours milled from different classes of wheat vary in protein content and several
other attributes (e.g. particle size and starch damage) which are related to grain
hardness. The range of protein content and usage of the flour from the four classes
of wheat vary widely (refer to Figure 1.3). Ash content (or possibly color) of the
flour is a standard specification, which, for a given wheat, is directly dependent on
the rate of flour extraction in the milling process.
1. 3. 4.4 India and Pakistan. India and Pakistan are major wheat producers but their
wheats are not widely known internationally because the entire production is
consumed domestically. Both countries have shown a dramatic increase in production during the 1970s resulting from the introduction of high yielding semi-dwarf
varieties which were developed in Mexico. The majority of the wheat grown in this
region is hard, white grained spring wheat which is sown in the autumn in order to
take advantage ofthe winter rains. The grain is normally very dry when harvested
and has a highly vitreous texture. Protein contents are relatively low (8-1 0%) but
the milled flours have a high water absorption due to exceptionally high level of
starch damage in the flour. Most of the wheat is milled into the so-called 'atta' flour
cpresenting about 90% extraction. The flours are used to produce 'chapattis', the
local bread-type product. France. Until recently, most of the French wheat production was used
domestically where per capita consumption has remained quite high (about 85
kg/annum). In recent years due to increased overall production in the European


Community because of a guaranteed minimum 'Intervention' price, France has

become a significant exporter of wheat.
French wheats are predominantly of the red winter type, semi-hard grained and
relatively low in protein content (11-13%). They are of good milling quality and
of medium dough strength which is quite adequate for the production of French
bread (baguette). Sprouting damage is a potential major problem in the northern
regions of France. Sprout-damaged wheats are segregated in commercial grading
according to the falling number test.

1. 3. 4. 6 Canada. Canada grows four classes ofcommon wheat: hard red, hard white,
soft red and soft white. Most of the production is of the spring type; small quantities
of winter wheats are grown, hard red type in Alberta and soft white in eastern
Canada. Of the spring wheat grown, about 90% is of the hard red class. For
commercial segregation, Canada has officially defined criteria for eight visually
distinguishable 'grading' classes:
Canada Western Red Spring (hard).
Canada Western Amber Durum.
Canada Prairie Spring (hard white and hard red).
Canada Utility (hard red).
Canada Western Soft White.
Canada Western Red Winter (hard).
Canada Eastern Red Winter (soft).
Canada Eastern White Winter (soft).
Of the eight classes, only the Canada Western Red Spring (CWRS) and Canada
Western Amber Durum (CWAD) are of major significance in the export market.
They are well known for their high quality and uniformity. This is achieved by
strict quality control in the registration of new varieties and in commercial grading.
The CWRS wheats are normally high in protein content ( 13-16%) and have strong
dough mixing characteristics. Because of these properties, they are usually
blended with weaker domestic or imported wheats to improve their breadmaking potential.

1. 3. 4. 7Australia. Australia grows common wheat of the white type ranging in grain
hardness from soft to hard. These wheats have a high international reputation
because of their low moisture content (10-12%). Commercial grain is segregated
into four grading classes according to kernel hardness and protein content. The hard
wheats are graded as Prime Hard, Hard or Standard White on the basis of protein
content. The 1991-92 specifications for the protein content were above 13% for
the Prime Hard, 11.5-12.9% for Australian Hard No. 1 and 11.0-11.4% for
Australian Hard No. 2. Wheats going into these two grades must be of approved
variety. The protein content of the Standard White grade ranges from 9.5 to 11%.
Australian Soft grade consists of low protein soft wheats of specified varieties
grown in specific regions. Flour of soft wheat grown in Western Australia is



uniquely well suited for the production of Chinese-type noodles which are very
popular in Japan. Argentina. Common wheats grown in Argentina are of high quality with
medium protein content ( 11-15%). Kernels of these wheats are long, thin and red
in color. Commercial wheat is segregated into two groups: hard (duro) and
semi-hard (semi-duro). In the export market, Argentinian wheats are identified by
the area of production or the port of export as Rosafe, Bahia Blanca or Buenos
Aires. In terms of dough strength, these wheats fall into the medium class among
world wheats.

1.4 Wheat milling

The miller plays a crucial role in ensuring that the baker receives a flour of
consistently high quality with properties that satisfy the requirements of the baked
product. Without the miller making correct decisions on wheat selection and mill
machinery operation, the flour produced can give dough handling problems for the
baker and fail to deliver optimum quality in the baked product to the consumer.
Because of this pivotal role of the miller between wheat grower (section 1.3) and
flour user (section 1.5) a brief overview is given of the flour milling process; a
fuller account has been given by Bass ( 1988). Although simpler mills (such as disc
mills) produce part of the world's flour, only the roller milling system will be dealt
with here since its flexibility permits production of a whole range of flours (from
whole wheat to finely ground top patent flours).

1.4.1 Hard wheat milling

Judicious wheat selection by the miller is important in order to produce flours
suitable for desired end-use and to ensure mill profitability. Selection is made on
the basis of properties, price and availability.
Non-wheat contaminants that might impair flour quality are removed, and the
wheats cleaned to reduce insecticide residue levels and to remove dirt that might
darken the flour and increase its bacterial count. Wheats are then 'conditioned' by
water addition (up to 17% moisture). This operation toughens the bran and
decreases the fracture strength of the endosperm (Glenn eta/., 1991) to assist flour
quality control during the milling process.
Production of flour from the cleaned and conditioned wheat is carried out on a
large number of size reduction and separation machines. However, for simplification these machines can be divided into three systems: the break rolls and their
associated sifters, the purification system, and the reduction rolls and their sifters.
The objectives of the break system are to break open the wheat grain and remove
starchy endosperm from the grain in pieces as large as possible. This task occurs
on the earlier break rolls, while on later break rolls the bran is cleaned of any



adhering starchy endosperm. Although the goal of the break system is separation
of components, not crushing of stocks, some flour is inevitably produced during
the fracture process. This 'break flour' is usually sifted out at each roll stand sifter
and the endosperm stocks (graded according to particle size) sent to the purifiers.
In operating the break rolls, the miller must strike a balance between extracting the
maximum amount of starchy endosperm from the grain (hence increasing profitability) versus undue contamination of the break flours due to bran break-up (hence
impairing flour quality).
In the purification system, endosperm stocks from the break roll sifters are
cleaned of light bran and the stocks separated according to particle size and
endosperm purity. The separations on the purifiers dictate to which reduction rolls
stocks are sent to, which influences the amount of flour produced from individual
reduction roll stands.
The reduction system is primarily concerned with the gradual reduction of the
pieces of endosperm into particles of flour size by grinding on successive smooth
roll stands. Concomitantly the water absorption properties of the flour can be
manipulated by altering the starch damage of the flour that is released at specific
reduction roll stands. A secondary task of the reduction system is removal by the
sifters of those components that are not derived from the starchy endosperm. The
major fraction separated, designated as shorts (or wheatfeed), contains much of the
aleurone layer of the grain plus small amounts of the outer layers of bran tissues.
As a minor fraction, part of the germ can be separated after being flattened on the
reduction rolls. The majority of the flour produced in the mill comes from the first
three or four reduction roll stands.
The individual 'machine' flours from each roll stand are different in composition, and thus different in baking properties. Since the aleurone and pericarp layers
contain higher mineral (ash) levels than the starchy endosperm the ash content of
the machine flours has been used to indicate the efficiency of the miller in
separating bran and starchy endosperm; the higher the ash content, the greater the
bran content in the flour and hence the poorer the baking quality. The machine
flours are grouped into three or four flour streams according to ash content (Figure
1.4). Typically, the first stream is made up from the first three or four reduction roll
flours. This stream constitutes approximately 60% of all flour produced and has a
low ash content (e.g. 0.38%). The earlier break flours and later reduction flours,
accounting for approximately 30% of flour production, are combined to form
the next flour stream. The higher ash content (e.g. 0.48%) of this stream reflects
incorporation of greater amounts ofbranny material in the flour. The final one or
two streams are formed from the later break and tail-end reduction flours, the higher
ash content of the stream( s) again indicative of greater bran contamination.
The appearance and baking qualities of the flour streams can be improved by
addition ofbleaching agents and flour improvers; the lower the quality of the stream
the greater the levels added. The maximum level, and indeed the legality, of various
bleaching and improving agents varies from country to country. Many countries
require that flours be fortified with vitamins and minerals (calcium and/or iron). If



Braal< System

Roduchon System



8 2 00





Figure 1.4 Generalized schematic for mill producing three flour streams from individual machine
flours. Stock movement is predominantly down and to the right from individual sifters (denoted by
D )to individual roll stands (denoted by 0 0 ).

the flour has insufficient protein to satisfy the baker's requirements gluten is added,
often in conjunction with automatic near infrared (NIR) monitoring devices to
control the level of gluten addition. Fungal/bacterial a.-amylase or malt flour may
also be added at the mill to improve the baking quality of the flour.
The flour streams in a given mill run are combined in various proportions to
make up flours which will satisfy the bakers' requirements (Figure 1.4). A straight
run flour is one where all flour streams are combined (A, B and C) while a top
(short) patent flour might only include the first stream (A). These flours would be
suitable as bread and cake flours, respectively. Other combinations of the streams
might be designated by different terms such as longer patents or various clears
(Inglett and Anderson, 1974). Whole wheat flour production requires that the
straight run flour be mixed with the bran and shorts/wheatfeed, usually with the
bran reduced in particle size to improve baking quality.
1.4.2 Soft wheat milling
There are inherent differences in the manner in which the starchy endosperm cells
of hard and soft wheats fracture when subjected to stress (Pomeranz and Williams,
1990). In hard wheats, cell contents are firmly bound together so that fracture
occurs between the cells. In soft wheats, adhesion between protein and starch
granules is poorer so that fracture planes run among the cells, often releasing
individual starch granules from the cell matrix and forming stocks with irregularly
shaped particles. The latter phenomenon creates problems for millers because such
particles have poorer flow properties than hard wheat particles. Poorer stock flow



reduces mill capacity compared to milling of hard wheats and can contribute to
mill down-time because of having to clear stock blockages. The amount of flour
extractable from soft wheat is lower because of poorer separation at the starchy
endosperm/aleurone interface.
A mill dedicated to milling of soft wheats is designed with less purification and
fewer reduction rolls, the latter because of the easier particle size reduction of soft
wheat endosperm. Pin-mills in addition to roller mills may be used for cake flour
production where particle size must be small (15--40 ~-tm) without starch damage
being increased. In many countries cake flour baking properties are improved by
chlorination of the flour.
1.4.3 Automation and optimization in milling
Rising milling costs, concern for mill personnel working conditions, implementation of new technology, and especially the desire to produce flour that will satisfy
the customers' requirements have all contributed to changes in milling technology.
A more detailed discussion of many of these developments has been given by
Schoch (1991 ).
Computers are now extensively used in gristing of wheats to generate least-cost
wheat formulations that will still produce high quality flour. Computer memory is
used to store roll gap and feed rate settings that the miller finds by experimentation
produces optimal flour quality for particular grists. These settings can be recalled
later and the roll gaps and feed rate automatically set (generally by pneumatic
operation), thus eliminating the need for mill personnel to perform manual mill
adjustment every new mill run.
Redesign of mill equipment and technological innovations have also changed
milling practices. Recycling of air in pneumatic cleaning machines and pneumatic
stock conveying systems has reduced energy costs plus reduced noise in the mill
without losing dust suppression capacity in the mill. Savings in capital equipment
and in space have been achieved by directing the ground stocks from one set of
rolls straight to another set of rolls. Although this procedure is contrary to conventional milling practice where stocks are size graded and flour removed on a sifter
prior to stocks being directed to the next roll stand, milling results are the same as
those on the conventional system (Schoch, 1991).
A new development in milling technology for the break system is the use of
abrasion machines to selectively remove bran layers from the outside inwards
rather than the conventional method of opening up the grain. Use of such equipment
considerably shortens the break system. The manufacturers of the new equipment
claim increased flour extraction from the grain without loss of flour quality; see
Sugden ( 1991) and Satake ( 1990) for more detailed accounts.
The desire to meet increasing standards of quality assurance in the production
of flour for the customer will ensure that on-line quality assessment procedures and
specific flour formulations will continue to grow in importance. On-line NIR
control of flour gluten addition has already been mentioned, but NIR can also be



used to monitor flour moisture and color. Other on-line spectroscopic techniques
such as X-ray fluorescence and fluorescence imaging are also being investigated
by some millers as alternatives to ash or color assessment of the degree of bran
contamination in the flour.
Increasingly, mills are being equipped with batch or continuous flour blending
systems. The advantages conferred are the ability to even out irregularities in the
quality of wheat received and to ameliorate variations in milling, but especially to
tailor flour specification for individual customer requirements at short notice. After
flour blending in such a system only those additives specified by the customer are
added to the flour.

1.5 Wheat flours

1.5.1 Flours for bread and similar products

Flours used for pan bread production will generally be milled from hard wheats of
high protein content, although in many countries soft wheats are more suited to
optimum quality in the type of bread that is most popular. Suitability of the flour
for particular end-use is determined by a number of quality tests.
The first quality tests that bread flours must pass are sensory; for white loaf
bread the flour should be creamy-white and bright, flow easily when poured and
have no unnatural or undesirable odors. Since it is the unique functional properties
that gluten possesses that allow formation ofbread with good volume and uniform
crumb cell structure (Cotton and Ponte, 1973) much emphasis is placed on protein
content and quality. A minimum protein content in the flour is often specified,
typically 10-12% for white bread, but much higher (up to 16-18%) for wholewheat/variety breads (Galliard, 1986). The strength of the gluten (important in the
baking process itself) and tolerance of the dough to mixing stress (important in
dough handling in the bakery) are two important protein quality parameters that
can be derived from a farinograph analysis of the flour (Schiller, 1984). In many
countries protein quality is assessed by parameters derived from the alveograph
rather than the farinograph.
The water absorption required to produce a dough of a certain consistency is
also an important flour specification, affected by protein quality and quantity,
moisture content and level of damaged starch (Farrand, 1969). Milling of hard
wheats inevitably increases starch damage over that of soft wheats leading to
increased water absorption (Evers and Stevens, 1985). Starch damage levels should
be sufficiently high that desirable improvements in loaf volume and crumb tenderness can occur, but not so high that dough handling and fermentation problems are
encountered (Pomeranz, 1988). No-time dough development processes, such as the
Chorleywood Bread Process, permit greater water absorption in achieving acceptable dough consistency so starch damage is achieved by greatly increasing roll
pressures on head reduction rolls and then employing 'flake disruptors' to break



up the flakes formed from the endosperm pieces. Water absorption for wholewheat
flours is also high in order to achieve optimal dough consistency.
The amount of non-starchy endosperm in the flour is estimated by the measurement of ash content or flour color. As greater amounts of aleurone, testa, nucellus
and pericarp tissues are included in the flour, dough handling problems can occur
and the loaf volume potential of the flour decreases.
Other specifications may be made on bread flours, depending on the type of
bread being made and whether additives have been added at the mill (Mailhot and
Patton, 1988).

1.5.2 Flours for pastry, cookies and cakes

Generally flours for pastry, cookie and cake production will be milled from soft
wheats oflow protein content. The compositional characteristics of soft wheats and
their structural characteristics (which dictate fracture and deformation modes
during milling) give rise to flours possessing suitable properties for attainment of
good quality in pastry, cookies and cakes.
Protein content in the flour should be low, especially for cookies and cakes
where only 7% protein might be specified. Protein strength, which tends to be weak
in many soft wheat varieties, is suited for pastry, cookies and cakes since the gluten
does not develop to any great extent during mixing, and low water absorption is
required for all three types of baked goods. In some countries, natural protein
strength of the flour is weakened by the addition of reducing agents such as sodium
Soft wheat endosperm structure influences particle fracture during milling so
that flour starch damage is low and flour particle size is small. The former
contributes to low water absorption which increases the spread in cookies, while
the latter is important to quality in cake flours. Further increases in flour fineness
can be achieved by air classification (Loving and Brenneis, 1981 ).
Ash contents of flours for pastry and cookies cover the range 0.40--0.48%
(Mailhot and Patton, 1988), the specification necessary to exclude certain millstreams which are known to decrease cookie spread (Minor, 1984). Ash contents
for cake flours are very low (0.29-0.40%, depending on type), indicating that only
the best machine flours or the best flour stream can be used for cake-flour
production. Indeed, in Germany where chlorination is prohibited, the production
ofhigh-ratio cake flour requires the selection and mixing of special machine flours
(Greenwood et al., 1981 ).

1.5.3 Flours around the world

The composition and properties of flours used in a given country will be influenced
by a number of factors. Probably the most important is the type of wheats grown
in the country (section 1.3) and their suitability for desired end-uses. In those



countries where wheat must be imported, either because there is insufficient wheat
of suitable types, or there is insufficient wheat generally, then complex political
and economic factors will influence which wheats are imported to make up the
shortfall. The diversity of consumer preference around the world coupled with the
range of flour types used in a given country means that the information in this
section will be a general overview rather than a detailed description of all world
flour types.
In Europe (including Russia and other countries of the Commonwealth of
Independent States) the majority of wheat milled is used for bread flour production
(Stear, 1990). In Scandinavian countries and northern and eastern European
countries many breads are made from blends of rye and wheat flour; consumer
preference for the amount of rye in the blends differing within regions of a given
country as well as between countries. Bread flours which require stronger glutens
(and/or greater protein content) are being increasingly milled from stronger European varieties traded between countries. Average bread flour protein contents vary
within European countries, e.g. France and Spain, 10--11 %; Britain and The
Netherlands, 11-11.5%; and Russia and Germany, approximately 12%. An abundance oflower protein soft wheat in most parts of Europe ensures sufficient good
quality flour for cake and cookie production.
Since wheat is a temperate crop most wheat milling in Africa takes place in the
North African countries and South Africa. In the North African countries as a
whole, the majority of the wheat (domestic and imported) is used for baking of flat
breads, usually from higher (85%) extraction rate flours. A small proportion of soft
wheats, either imported or locally grown, is used to produce lower extraction rate
flours for cookies and cakes, while a substantial proportion of wheat is consumed
as semolina and couscous in Algeria. In South Africa, modem roller mills use
domestic wheat to produce four main flour types: white, brown, wholewheat and
cake flours. The two former flours account for 67% of all flour produced.
In the Middle East, the two principal flour milling nations are Iran and Turkey.
The majority of flour in Iran is consumed in a variety of flat breads made from soft
wheats milled to high (85%) extraction rates. In Turkey, a self-sufficient wheatgrowing nation, 80% of the flour is milled in modem mills; the remaining 20% is
milled in small stonemills. Over 75% of the flour is used for bread production,
consumed as various European-style loaves. Another Middle Eastern country
worthy of mention is Saudi Arabia which went from being a net importer of wheat
in 1983 to exporting approximately 2 million tonnes by 1988, mainly to other
Middle Eastern and African countries. The flour from Saudi wheat is similar in
quality to US hard red winter wheat flour with a protein content of 10--12% and a
high falling number value.
In Pakistan domestic wheats are milled to flours principally for chapatti flour
('atta'). With increasing urbanization there is a growing trend towards flour
production in modem mills. The majority (85-87%) of flour production in India
(again principally for chapattis) is performed on some 200 000 'chakki' (disc



wholemeal) mills in rural areas. However, since India is the world's second largest
cookie-consuming nation, over 600 roller mills produce high quality flour for
cookies. The majority (75%) ofBangladeshi wheat is imported; both domestic and
imported wheat are ground on chukki disc mills for chapatti flour.
Chinese mills produce two main flours-special and standard. The extraction rate
of standard flour is of the order of 85%, and is used primarily for steamed bread
and dumpling production. Because a variety of hard and soft wheats are grown in
different wheat-growing regions of China, the texture of products such as steamed
bread can vary substantially, depending on the flour from which it was baked. As
in China, noodles, both Chinese and Japanese types, constitute an important
end-use for flours produced in Japan. In addition, pan-bread, cookie and cake flours
are also produced in substantial quantities. Since over 80% of the wheat milled in
Japan is imported, the suitability of a particular flour for the end-product often
reflects the characteristics of the imported wheat. For example, low enzymic
activity, good 'starch quality' and white color of Australian wheats contribute to
the favorable appearance and texture properties of noodles made from flour milled
from Australian wheat (Simmonds, 1989).
In the ASEAN trading bloc countries most wheat is imported, primarily from
Australia. Very large state-of-the-art mills have been built in this region to produce
flours from the imported wheat for a number of end-uses. The principal products
from such flours include noodles, bread, flat breads and cookies with the proportions varying from country to country. Although the vast majority of Australian
wheat is exported for various end-uses, domestic consumption is primarily for
breadmaking and starch and gluten manufacture.
In North America a large variety of flours are produced, ranging from low
protein low extraction rate patent flours for cake production, to strong high protein
spring wheat flours for variety bread production. Although flour protein quality
and quantity varies according to region, an average US flour protein content would
be approximately 12% with the Canadian average being nearer to 13%. Highly
efficient roller mills produce most of the flour. The types of wheat received at the
mill are closely monitored in order to optimize the baking quality of the flour for
customer requirements. Mexican mills account for approximately one seventh of
all flour milled in North America, much of this from domestic wheats to produce
bread flour. Other central American countries generally import US wheat to
supplement domestic supplies for flour production, mainly used for bread.
South American flours may be produced almost exclusively from domestic
wheats (Chile, Argentina) or with the vast majority of wheat imported (Peru,
Colombia). The USA, Canada and Argentina are the principal exporters to South
American countries. In many countries, e.g. Chile, Brazil and Venezuela, white
breads produced from the flour are similar to French baguettes, e.g. pan frances,
marragueta. Low granulation wheat farina is also widely used for pasta production,
while flat breads, noodles and crackers may constitute the end-use for a sizeable
proportion of the flour milled, depending on the country.



1.6 Conclusions
Wheat is an adaptable crop, able to grow under widely varying conditions. Its low
moisture content and relatively robust grain structure make it suitable for long-term
storage and transportation over long distances. Its processing into flour can be
carried out on simple size reduction apparatus or in sophisticated large capacity,
highly automated mills. In modem mills, size reduction, component separation and
reb lending is being increasingly optimized to ensure that the flour meets the exact
requirements of the customer. The flours produced from this processing operation
can be tailored to meet subsequent processing requirements to produce a wide
variety of baked goods.
Such factors will ensure that wheat continues to be the major food crop,
providing nutrients and variety in the diets of the growing world population of the
Bass, E.J. (1988) Wheat flour milling. In Wheat: Chemistry and Technology, Volume II, 3rd edn, ed.
Pomeranz, Y., American Association of Cereal Chemists, St Paul, MN, pp. 1-68.
Bushuk, W. (1986) Wheat: chemistry and uses, Cereal Foods World, 31,218-226.
Canada Grains Council (1990) Statistical Handbook 90, Canada Grains Council, Winnipeg.
Chen, C.C. and Bushuk, W. (1970) Nature of proteins in Triticale and its parental species. I.
Solubility characteristics and amino acid composition of endosperm proteins, Can. J. Plant Sci., 50,
Cotton, R.H. and Ponte, J.G. Jr. (1973) Baking industry. In Wheat: Production and Utilization, ed.
Inglett, G.E., Avi Publishing Company, Westport, CT, pp. 199-332.
Evers, A.D. and Stevens, D.J. (1985) Starchdamage,Adv. Cereal Sci. Techno/., 7, 321-349.
Farrand, E.A. (1969) Starch damage and alpha-amylase as bases for mathematical models relating to
flour water absorption, Cereal Chem., 46, 103-116.
Galliard, T. (1986) Wholemeal flour and baked products: chemical aspects of functional properties. In
of Chemistry, London, pp. 199-215.
Glenn, G.M., Younce, F.L. and Pitts, M.J. (1991) Fundamental physical properties characterizing the
hardness of wheat endosperm,.!. Cereal Sci., 13, 179-194.
Greenwood, C.T., Guinet, R. and Seibel, W. (1981) Soft wheat uses in Europe. In Soft Wheat:
Production, Breeding, Milling, and Uses, eds. Yamazaki, W.T. and Greenwood, C.T., American
Association of Cereal Chemists, St Paul, MN, pp. 209-266.
Inglett, G.E. and Anderson, R.A. (1974) Flour milling. In Wheat: Production and Utilization, ed. Inglett,
G.E., Avi Publishing Company, Westport, CT, pp. 186-198.
Loving, H.J. andBrenneis, L.J. (1981) Soft wheat uses in the United States. In Soft Wheat: Production,
Breeding, Milling, and Uses, eds. Yamazaki, W.T. and Greenwood, C.T., American Association of
Cereal Chemists, St Paul, MN, pp. 169-207.
Mailhot, W.C. and Patton, J.C. (1988) Criteria of flour quality. In Wheat: Chemistry and Technology,
Volume II, 3rd edn, ed. Pomeranz, Y., American Association of Cereal Chemists, St. Paul, MN, pp.
Minor, G.K. (1984) Soft wheat flour characteristics, Cereal Foods World, 29, 659-660.
Orth, R.A. and Bushuk, W. (1972) A comparative study of the proteins of wheats of diverse baking
qualities, Cereal Chem., 49, 268--275.
Pomeranz, Y. (1988) Composition and functionality of wheat flour components. In Wheat: Chemistry
and Technology, Volume II, 3rd edn, ed. Pomeranz, Y., American Association of Cereal Chemists,
St. Paul, MN, pp. 219-370.



Pomeranz, Y. and Williams, P.C. (1990) Wheat hardness: its genetic, structural, and biochemical
background, measurement, and significance, Adv. Cereal Sci. Techno/., 10, 471-548.
Satake, R.S. (1990) Debranning process is new approach to wheat milling, World Grain, 8(6), 28-32.
Schiller, G.W. (1984) Bakery flour specifications, Cereal Foods World, 29,647--651.
Schoch, H.J. (1991) Recent developments in flour milling, 8th World Congr. Food Sci. Techno/., Oct.
1, Toronto (abstract).
Simmonds, D.H. (1989) Wheat and Wheat Quality in Australia. CSIRO, Australia.
Stear, C.A. (1990) Handbook ofBreadmaking Technology. Elsevier, London.
Sugden, D. (1991) Implications ofTkac and Timm wheat pre-process, the flour millers' view, Milling
Flour Feed, 184(3), 32-38.

Further reading
Grains and Oi/seeds: Handling, Marketing, Processing. 2nd edn (1975) Canadian International Grains
Institute, Winnipeg.
World Grain. (1983-1991) Sosland Publishing Company, Kansas City, MO.

2 Rye flour, wholemeal breads and rye breads


2.1 World rye production

In comparison with other cereals, rye is produced in smaller quantities, and can be
grown in regions with a cooler climate and on soils of lower fertility. In the past,
the traditional regions of rye production were central and eastern Europe. In 1990
total world production of rye reached 37 million tonnes. It has increased continuously in the last decade. This trend is quite different from the 1960s when world
production dropped from 35 to 31 million tonnes (Bushuk, 1976). During the last
10 years production has increased to 150% of that in 1980 (see Figure 2.1).
Figure 2.1 shows that the increase was reached mainly by increasing yields of
harvested grain from 1.6 t!ha in 1980 to 2.2 t!ha in 1990. The area harvested also
increased, but not so significantly as other characteristics of world rye production.
Rye is not produced all over the world and there were considerable disproportions
between the producing regions in 1990 (Figure 2.2). Three continents, Europe






Figure 2.1 Comparison of world rye production per year, total production areas, and average yield
in 1980s (average of decade) and in years 1988, 1989 and 1990.



Figure 2.2 Comparison of rye production (millions oftonnes per year) in 1990 (in the order of decreasing quantity) in regions: fonner USSR, Europe (without USSR), Asia, North and Central America.

(without the USSR), Asia, and North and Central America are compared to the USSR
in this figure. More than half of the world production came from the USSR and over
36% from Europe. However, it can be supposed that a main part of the former USSR
rye production came from its European republics. Consequently, the rest of the world
produces less than 10% of the total world production. If we compare the changes in
the regions during the last I0 years, we can see that the greatest increase has also been
due to the augmented rye crop in the USSR (Figure 2.3).
A comparison of nine countries with the greatest rye production is shown in
Figure 2.4. All countries with production higher than 0.25 million tonnes per year
were included in this figure.

--- - -
























Figure 2.3 Comparison of changes in rye production per year in 1980s (average of decade) and in
years: 1988, 1989, 1990 in North and Central America, Europe (without USSR), fonner USSR and
total world.




Figure 2.4 Comparison of rye production (millions oftonnes per year) in 1990 (in the order of decreasing quantity) in the countries: former USSR, Poland, Germany, China, Canada, Czechoslovakia,
Denmark, Austria, USA.

Generally, the main region of rye production has remained for many decades in
East and Central Europe. But compared to the situation in the 1960s, two countries
have become more significant according to the survey of the greatest producers in
1990. As seen in Figure 2.4, China and Canada have reached fourth and fifth place
respectively, with production of approximately 1 million tonnes per year.

2.2 Technological aspects of rye flour composition and component properties

The composition of rye grain is not too different from that of soft wheat grain (see
Table 2.1) except for the soluble pentosans content. Protein content in rye flours is
similar to that of weak wheat flours. While a continuous gluten structure can be
developed even in dough from weak wheat flour, this is not possible with rye flour.
Rye protein does not form continuous gluten structure during mixing of dough. No
significant differences have been reported in rye protein molecular weights or
structures in comparison to wheat proteins. But a greater proportion of water- and
salt- soluble proteins, and less alcohol- and acetic acid-soluble proteins were found
in rye flour (Bushuk, 1976) (Figure 2.5). Behaviour of rye flour during dough
Table 2.1 Contents of some important matters in rye
in percentage on 15% moisture basis (by different
1.7- 2.1



Figure 2.5 Comparison of rye and wheat protein part by solubility in water, salt solution, alcohol
and acetic acid (Bushuk, 1976).












Formation of

No network


(temp. 60-70C}
Building of
crumb structure














starch gel



Protein network +




solidified gel
of polysaccharides

Figure 2.6 The scheme of water movement and colloid changes during the stages of dough processing and baking in rye and wheat dough.



mixing can be explained by the differences in colloidal properties due to competition for water by other components. In normal wheat dough, gluten formation
begins its swelling due to water absorption and mechanical mixing. At ambient
temperature wheat gluten is a dominant absorbing material and retains water until
the protein is denatured by heat in the oven. The water is then utilised for
gelatinisation of starch with increasing temperature (Figure 2.6)
Rye protein neither forms dough structure nor is a main water-absorbing
component in dough. A significant proportion of the water is bound by rye
pentosans at ambient temperature. A substantial proportion of rye starch does not
swell at this temperature. Consequently, the physical properties of rye dough
depend mainly on water-binding substances and differ from those of wheat dough
properties during dough mixing and fermentation. The basic protein network of
wheat dough is more rigid and elastic as wheat gluten has rubber-like properties.
In rye dough no continuous elastic network is present and water is bound mainly
by soluble pentosans. The relative water absorption capacity of pentosans is much
higher than that of wheat protein. Pentosans tend to form a colloidal solution with
water but in normal rye dough they do have not enough water to form it. They can
form a highly-concentrated, jelly-like substance that is very sticky and which plays
an important role in keeping all parts of dough together. Rye or rye-wheat dough
is consequently less elastic and better flowing despite its viscosity being not too
different from that of wheat dough. These differences have an important effect on
technology. For example, even in countries where free-loaf baking is used rather
than tin baking, forms are mostly used for proofing rye and rye-wheat doughs. For
wheat dough, free proofing is used most in these countries.
Rye starch, as well as wheat starch, begins to gelatinise in the oven. But the
gelatinising temperature of rye starch is lower than that of wheat starch and
gelatinisation begins at temperatures under 60C. In rye dough starch and pentosans
compete for water. Both of them form highly concentrated gels as they have not
enough water to dilute more. Hence, the final structure of rye crumb is not based
on a network of proteins but on solidified gel of polysaccharides.
In connection with the very important role of polysaccharides in crumb structure
of rye products, the effect of amylases in rye flour and grain is more pronounced.
In general, as in all other cereals, ~-amylase activity is low, but a-amylase activity
is higher in rye flour than in wheat; a-amylase activity in rye endosperm increases
with the ripening of grain, rising especially quickly in the final days of ripening.
Hence the proper time of rye harvest is very important. The danger of grain
sprouting is also very high in the rye crop. There are no precise data on sprouted
rye grain, but experience in some countries (e.g. Sweden or former GDR) shows
that the sprouted proportion of harvested rye grain exceeded 50% in some years.
In such cases the content of low molecular saccharides is increased. Usually it is
determined as reducing sugars and the result is expressed as maltose content. The
total content of mono-, di- and oligosaccharides of 2.0-2.8% for wheat and
4.5-5.0% for rye is reported for normal non-sprouted grain (Schneeweiss and
Klose, 1981 ).



2.3 Nutritional aspects of rye production and consumption

Despite rye protein having different colloid properties when mixed with water and
not forming washable gluten, its content in flour does not differ significantly from
that in soft wheat flour. In countries with high rye bread consumption it can
contribute to the higher proportion of vegetable protein in total protein consumption in the same way as consumption of other cereals. For example, in a country
with a total consumption of cereal products about 100 kg per capita per year, e.g.
Czechoslovakia, total cereal protein thus consumed can supply almost 30% RDA
of protein (of course, many people consume in total more than the RDA of protein
in food). A significant part of this protein can be of rye origin.
When we compare vegetable and animal protein consumption as an average in
the whole world and compare it to the situation in more developed countries (Figure
2.7), we can see that great disproportions still exist between developed and less
developed countries in the role that vegetable protein plays in diet. In this case
recommendations have been made to improve the balance in developed countries
from the economical point of view. It is generally known that vegetable protein can
be produced at less expense than animal protein. It is not necessary to organise a
vegetarian movement, but if we can make cereal products more interesting and with
greater variability for the consumer we can help to solve the problem. Any increase
of rye products on the market can be helpful too.
From a nutritional point of view it is necessary to pay attention to the fact that
rye protein, as with all other cereal proteins, has limiting amino acid lysine. The





Figure 2. 7 Comparison of consumption of vegetable and animal proteins in years 1962, 1970, 1980
and 1988 in North and Central America (AM), Europe (EU) and total world in average (WO).




~ 1.40

g 1.20

.... 1.oo
.5 0.80


8 0.40




Figure 2.8 Changes of content of ash, fibre, calcium, phosphorus and vitamin 82 with the increasing extraction of rye grain (Bushuk, 1976).

lack of this essential amino acid should be balanced by other lysine-rich food (e.g.
milk products).
Another nutritional effect is connected with pentosan-based polysaccharides
and especially with their solubility. In high amounts they are the exclusive matter
of rye grain and flour only, although they can be found in other cereals in smaller
quantities too. At least in part they can act in a similar way to other dietary fibre
materials. Both insoluble and soluble pentosans are present in rye grain. The
average content of total pentosans in the grain ranges from 7 to 9% d.m. (Bushuk,
1976). The insoluble part of them forms a greater part of the outer layers. The
content of soluble pento sans is 20--30% of total dietary fibre only, but they can be
found in the whole grain. Technological processes can change this ratio. For
example, during extrusion the content of soluble pentosans increases at the expense
of insoluble hemicelluloses that have decreased (Sievert et at., 1988). The effect is
enhanced by higher extrusion temperature and by the addition of lactic acid. In
addition, a considerable part of dark or whole grain flours with an ash content of
approximately l% is used in traditional rye-processing technology, thus increasing
the content of both minerals and vitamins (Figure 2.8). Regular consumption of
high-fibre products showed the following effects:
decreased bowel transit time;
altered the composition of intestinal bacteria;
reduced enterohepatic circulation of cholesterol;
delayed intestinal sugar absorption;
reduced absorption of some minerals (Martinet al., 1981 ).



Many discussions have been had on the role of phytic acid or its salts that
constitute a minor part of the kernel's outer layers, most of which are in the
aleurone layer. The approximate content ofphytic acid in the rye grain (when
recalculated from phytate phosphorus content in the rye grain) is 0.9 g/100 g.
Phytic acid is myoinositol hexaphosphoric acid and due to six phosphoric acid
parts bound in one molecule of phytic acid it has great binding capacity to
calcium, iron, copper, magnesium, etc. It was considered as an anti-nutrition
factor because of its binding essential micro elements and the formation of
insoluble and indigestible compounds (Bushuk, 1976; Davidek et al., 1990).
With the present tendency for production of high dietary-fibre products there is a
high probability of an increase of phytates content that is in positive correlation
with fibre content.
The actual nutritional effect of phytates is still discussed. It is also believed that
phytin is decomposed in the stomach so that bound metals become available
(Davidek et al., 1990, p. 483). Phytic acid is also decomposed during bread
production. The decrease was highest in sourdough (40-1 00%) and during dough
fermentation (18-99%). During baking 13-52% reduction was reported (Davidek
et al., 1990, p. 385).
Other minor compounds, such as alkyl resorcinols, are also of interest. Their
content in the dry matter of rye grains is approximately 0.10-0.12%, i.e. twice that
in wheat grains. Alkyl substituents are hydrocarbons with 15-25 carbon atoms.
There is no evidence of the toxicity ofresorcinols in adults, but they are considered
a possible danger for young children and are considered as growth inhibitors. They
were also considered to be an important reason why rye grain is not suitable for
feeding animals.
Resorcinols are also mostly located in the pericarp and were not found in the
endosperm. Consequently their effect, if confirmed, is more for products with
high-extraction flours. But the decrease of resorcino1s is also reported during breadmaking by up to 20-30% (Davidek et al., 1990, p. 417).

2.4 Methods of rye quality assessment

In standard trade control of rye only a few methods are generally used. It is usual
to determine the moisture content by drying in an oven at 130C as in other cereals
(e.g. AACC methods group 44). Some other methods have been applied but in
recent years NIR based methods have been used in mills and elevators as being the
quickest. The method is less reproducible than traditional drying and should not be
used for precise research and scientific purposes. But it is widely carried out for its
expediency and many instruments from different producers are on the market.
Usually a meal from rye grain is prepared in special laboratory mills for the
measurements, but the latest types of instruments use whole grain and a result may
be obtained in 2 or 3 minutes (TECATOR) or can be used for continuous measurement on-line in the industry (PERTEN). In principle, an instrument has to be



calibrated for the sort of cereal that is usual in the region and calibration should be
checked regularly.
Ash and protein content can be determined at the same time as moisture using
a NIR-based instrument. However, in the case of rye grain, the two properties are
not considered to be as important as in wheat.
Other usual tests in the rye grain trade differ in some countries in detail and are
given by ICC, EC or national standards. They outline the content ofbroken kernels,
other grains, damaged kernels and impurities. As in other cereals, test weight (per
unit volume), and weight of 1000 kernels are used. Sensory tests are especially
important in rye grain as rye is sensitive to deterioration by moulds or due to
improper storage conditions.
The methods already mentioned do not adequately describe the baking quality
of rye. Most of all it depends on the quality of starch, proper amylolytic activity,
and soluble pentosans content and quality. While tests of starch damage and
amylolytic activity have been well known for many years, determination of
pentosans is not yet accepted as a standard characteristic of rye baking quality,
despite the fact that it was proved to be of similar importance as amylolytic activity
(Fischer and Orlando, 1990).
Neither has the determination of water absorption of rye flour been considered
a usual standard characteristic till now. Later the absorption determination was
proposed as being suitable for test baking with either sourdough or yeast rye dough,
or rye dough acidified with lactic acid. In this case the results of test baking should
be more accurate and give better baking practice (Brummer, 1988).
There are methods for the determination of a-amylase activity or for damaged
starch separately. But to determine the complex effects of sprouting and starch
damage on the baking process, viscometric methods should preferably be used.
Amylographic results or the falling number can very precisely (and in case of
falling number also very quickly) determine technological quality of saccharides
-amylases complex in flour. In general, there is enough experience of what is an
optimum quality of this complex in order to reach best baking results, but precise
measures are not generally accepted on an international level. In some countries
an optimum falling number value 11 0 s is accepted for rye flour but some
differences result from the variations in the technologies used and different/products processed.
It can be supposed that there is a reciprocal relationship between falling number
and maltose content in rye flours. Similar results were also obtained in our
laboratory for the relation between falling number and flour acidity determined by
titration using the samples of the standard commercial rye flours from three
Czechoslovak mills with the usual rye milling system (see Figure 2.9, samples No.
2-9). It was confirmed when a negative correlation coefficient between falling number
and flour acidity was found for these eight samples. The value of the correlation
coefficient was -0.609, which is significant at the level of approximately 0.1.
The effect of milling damage on the baking quality offlour has also been evident.
The consequence of likely damage of one of the commercial samples (No. 1 in
















70 1 - 60 1-


10t -


~f--V- ,_



- V-~ ~!-

~ I-


-~ ~ -

t- ~ - ~ ~
1- ~ ~~- ~ ~ <-




t-~ 1 - ~ t-


~ -


_ [7.





Figure 2.9 Comparison of acidity and falling number of nine random samples of standard commercial Czechoslovak rye flours. Sample No. I was of deteriorated grain, the other samples were of normal grain and milling.

Figure 2.9) was observed when rye sour and dough showed extremely intensive
fermentation for a short initial period and then very slow fermentation in the period
of dough proofing. When this sample was included in computation of correlation
coefficient, the value obtained was -0.259.

2.5 Milling of rye

Milling properties of rye are different from those of wheat. Rye endosperm is
fastened more firmly to the outer layers of the kernel. Consequently, endosperm
particles have to be scraped off the broken parts of the kernel much more intensively
than is done with wheat. Hence it is not surprising that standard rye flours usually
have higher ash content than wheat flours of the same extraction.
In Central and East Europe with traditional rye bread consumption mostly rye
flours with fine granulation are used. Except for these bread products using
traditional technology a variety of special breads is produced in many countries,
where greater or lesser proportions of whole grain or coarse meal flours are used.
The schemes of rye milling differ considerably according to the tradition in a
given country and on capacity and degree of automation of a mill. In general, rye
milling is usually simpler than that of wheat milling. Coarse crushing or 'cutting'
of grain is sometimes used prior to the breaking on breaking rolls, followed by
several breaks (from 3 to 7 in different mills). While in some mills reducing steps
(from 5 to 8) follow the breaking as is usual in wheat milling, in other mills reducing



steps are omitted. Except for this, bran finishers are often used after breaks in order
to separate endosperm particles from bran by brushing.
Any of the breaking, brushing or reducing steps is followed by sifting to separate
mixture by granulation.
General characteristics of rye milling are that in most cases only corrugated rolls
are used with coarser corrugation than is used for wheat rolls, and that greater sizes
of sieves are used. Unlike wheat mills, no smooth rolls are used in rye mills.
Consequently, fine rye flours are often of coarser granulation than fine wheat
2.6 Baking technology of rye products

Several characteristics of traditional rye-bread technology can be stressed:

1. Special low-viscous suspension of sound rye flour can be prepared and left to
ferment spontaneously to make rye sour. It can be used for leavening the dough
instead of yeast. In normal production the sour is not prepared in this way. A
part of matured sour is retained (e.g. mixed with two-fold of rye flour to prepare
a crumbly mixture, that can be stored in a cooling box) as a starter from which
new sour is obtained for the next production cycle. When a new cycle is to
start, the dry mixture from the cooler is mixed with water and left to ferment.
2. Due to different dough structure, mixing of rye dough should be less intensive
and shorter as a gluten network does not develop. In rye-wheat dough with a
considerable part of wheat flour mixing is more similar to wheat dough.
3. Rye doughs are less elastic, more flowing and more sticky than wheat doughs.
4. Yields of rye doughs and products are usually higher but the specific volume of
rye products is usually lower than that of wheat products.
Two methods are used for rye or rye-wheat dough processing and leavening:
the sour dough, using a sour as leavening agent;
the straight dough, using yeast for leavening.
The sour method was used in bread making much earlier than was baker's yeast
(Tipples, 1975). The intensive research of rye sours has brought this traditional
technology from the level of empirical practice up to the controlled biotechnological process optimised to achieve the maximum quality of the fmal product.
A part of fermented sour is usually used as the starter for the sour. Its purpose
is to introduce the microflora consisting of lactic acid bacteria and yeasts. Usually
no baker's yeast is added into the sour. However, in some countries pure strains of
lactic acid bacteria and yeasts are used to start the sour fermentation process.
When only a natural sour is repeatedly used, a variety of microorganisms can
be found in it, In addition to usual yeasts Saccharomyces cerevisiae many other
yeasts strains can be found, e.g. Torulopsis, Hansenula, Candida, etc. There are
even discussions whether Saccharomyces cerevisiae should be specified as a



special yeast strain of rye sour because of its somewhat special characteristic
deviations from the normal baker's yeast.
A variety of bacteria can also be found in sour. In addition to homo- and
heterofermentative Lactobacilli, some cocci were found in some stages of sour
fermentation (Spicher eta/., 1990; Meuser eta/., 1990).
The basic biochemical processes in rye sour are alcohol fermentation of yeasts
and fermentation of homo- and heterofermentative lactic acid bacteria. The
homofermentative bacteria produce mainly lactic acid, and a small amount of acetic
acid and ethanol. The composition of metabolites ofheterofermentative lactic acid
bacteria changes with the conditions of the fermentation. The main substances
formed are lactic and acetic acids, ethanol and carbon dioxide. Formic, tartaric and
other acids, hydrogen, acetone and some other compounds might also be found.
The organic acids produced by lactic acid bacteria influence the pH value of the
sour and create suitable conditions for physico-chemical processes, such as swelling and gelatinisation of starch, hydration of proteins and glycoproteins. The pH
value of3.5 to 4.5 corresponds to the activity optimum of some hydrolytic enzymes
and, at the same time, inhibits the development of contaminating microflora. The
concentration of acids and ratio oflactic acid/acetic acid influence the organoleptic
properties ofbread.
Carbon dioxide produced by yeasts creates suitable anaerobic conditions for the
growth oflactic acid bacteria and causes the dough proofing. Some aroma components, e.g. acids, alcohols, etc., are formed during the sour fermentation; others,
such as carbonyl compounds, during baking.
The process of fermentation is controlled mainly by fermentation time and
temperature. The optimum level of active microorganisms and the desired concentration of their metabolites are achieved by the proper setting offermentation time.
For the technology of repeated sours it is important to have the microorganisms in
the fermented sour in the exponential phase of growth, i.e. in the state of maximum
activity (Spicher and Stephan, 1984; Ticha and Holas, 1983 ).
The optimum temperature for lactic acid bacteria is 35-40C, the higher
temperature being suitable for the metabolism of homofermentative bacteria. On
the other hand, the optimum temperature for yeasts is 25-28C. Therefore, the
fermentation temperature is chosen either to promote one type of microorganism
or to propagate both groups simultaneously.
The sour yield (the amount of sour made from I 00 parts of flour) has also some
effect. Thick sours yielding 170-190% are more suitable for lactic acid bacteria,
whereas in the sours of the higher yield (250--300%) the growth of yeasts is enhanced.
During the one- or multi-stage sour fermentation process the microorganisms
are multiplied to the optimum amount and ratio, and desired metabolites of
fermentation are produced. The matured fermented sour is used for dough making.
Bread obtained by this process has a typical texture and unique flavour, together
with a mild sour taste, soft moist crumb and longer shelf-life.
One of the parameters of the sour method is a ratio in which sour volume is
increased step by step to multiply the amount of micro-organisms. With small-scale





(numbers represent
wei9'ht parts)

Figure 2.10 Schematic diagram of a Czechoslovak system of sour multiplication from the starter:
w = water; fl = flour.

traditional technologies the usual ration to increase sour volume by addition of rye
flour and water was 3:1. As the conditions in modem bakeries are more precisely
controlled, contemporary intensive and effective technologies use the ratio of up
Sour methods are used in great part by large-scale and industrial bakeries. In
Central European countries two large-scale systems for the continuous supply of
ripened fermented sour to the dough mixer have been introduced.
Since the early 1960s, continuous production lines for rye-wheat mixed bread
have been introduced in large indu3trial bakeries in Czechoslovakia and Hungary.
Based on long experience and intensive research, the fermentation conditions and
parameters of repeated rye sours have been optimised (Figure 2.10). In Figure 2.10
the stage of sour multiplication in sour making as well as repeated sour making for
the period of uninterrupted dough production is shown.
The volume of sour is increased in three steps. When a sufficient amount of sour
is made, the automatic dividing system starts to dose fermented sour to the

Figure 2.11 Schematic diagram of a Czechoslovak continuous line.



lst sour fermentation tube


2nd sour

fermentation tank

Figure 2.12 Schematic diagram of a continuously working system of sour multiplying in two steps
after Meuser and Faber (I 987): w =water; fl =rye flour.

continuous dough mixer. But only two thirds of sour are used for the dough. At the
same time one third ofthis sour is dosed to the empty sour fermentation bowl, where
it is mixed with rye flour and water. An automatic sourmaking system has seven
bowls for sour fermentation. The scheme is shown in Figure 2.11. While fermented
sour is pumped out of one bowl, another empty bowl is filled with the mixture of
one third of the fermented sour with rye flour and water. Sour is fermented for
approximately three hours and an automatic system controls the periodic circulation of bowls that are filled and emptied.
Another fully continuous system of sour production was introduced in the 1980s
(Meuser and Faber, 1987; Meuser eta/., 1989; Meuser eta/., 1990; Meuser eta/.,
1991). The scheme is shown in Figure 2.12. The system is based on the fact that
more fermented and ripened sour has lower density and in great bulk volume it
moves freely to the upper part of the tank.
In this system the sour is multiplied in two steps and at the same time is
continuously inoculated to a fresh flour and water mixture. During the first step the
sour flows continuously through a tube for three hours. Fermented sour from the
tube is then divided. One (small) part is pumped back to be mixed with rye flour
and water to start new fermentation in the tube. Another (larger) part is also mixed
with rye flour and water and is pumped to a tank of greater diameter. The mixture
is then pumped into the tank from the bottom which flows very slowly up while
the fermentation continues, so that older and newer sour do not mix. Fermented
sour can be taken off from the top of the bulk in the tank and dosed to the dough
mixer. It can be taken off at different heights depending on the speed of sour flow
and volume of production. The system is used for example in the large-scale
industrial bakery Anker-Brot in Vienna.
In small- and medium-scale bakeries two methods of rye bread production
are used: either the traditional sour, with discontinuous sourmaking, or straight
dough. During the last two decades much new equipment for medium- and



Figure 2.13 Comparison of breads with a minimum of90% rye flour (R), 70% of rye and 30% of
wheat flours (RM), and 60% of wheat and 40% of rye flours (WM).

small-scale bakeries has been developed. Such sour dough equipment is usually
batch type and automatically controlled. The equipment has an automatic
weighing and metering system for all ingredients, control of temperature and
time of operations, metering and the monitoring system of temperature, acidity
or pH. This way the fermentation process as well as the yield of sour dough can
be standardised and lead to standard bread quality. Many producers, especially
in Germany and Austria, offer such equipment (Brummer, 1991). Currently,
especially in Central Europe, a method of straight dough with the addition of
rye sour concentrate as a starter is favoured. Sour concentrate is made by special
producers by drying sour. Small-scale bakeries can buy it in ready-to-use form
for doughmaking; it helps to give the rye bread taste and aroma similar to the
bread processed by the sour method. Bread is leavened by yeast. Because of the
impact of breeding and drying and the fact that the reactivation of lactic acid
bacteria takes longer than that of active dry baker's yeast, dried sour doughs
currently only give low acid-forming capacities in the dough for bread and rolls.
To ensure the baking quality of rye, these dried products should be of the highest
possible intrinsic acidity or their proportion in the recipe has to be increased
(Brummer, 1991 ). The method is favoured for small bakeries but most large
bakeries and some smaller bakeries prefer the traditional sour method
because of the better flavour and crumb properties of traditionally leavened

Figure 2.14 Typical free-loaf baked bread with 35% rye flour.



Figure 2.15 Typical free-loaf baked bread with 70% rye flour.

Figure 2.16 Typical free-loaf baked bread with minimwn 90% rye flour.

Figure 2.17 Special type of wholemeal bread with 90% of rye wholemeal flour.

Most typical production of bread in traditional rye bread regions is based on the
free-loaf baking process. Only a small part of bread is baked in tins.
Currently, a large proportion of production consists of different types of mixed
rye-wheat bread (with 50--89% of rye milled products) and wheat-rye bread (with
the same ratio of wheat). The production of pure rye bread has some problems on



an industrial scale, and usually gives a lower volume than mixed bread, as seen in
Figure 2.13 (Seibel, 1992). In Figure 2.13 breads with a minimum of90% rye flour
(R), 70% of rye and 30% of wheat flours (RM), and 60% of wheat and 40% of rye
flours (WM) are compared.
Typical free-loafbaked breads are shown in Figure 2.14 (35% rye flour), Figure
2.15 (70% rye flour), and Figure 2.16 (minimum 90% rye flour). A special type of
wholemeal bread with 90% of rye wholemeal flour is shown in Figure 2.17. The
figures represent only the most typical simple shaped breads. A great variety of rye
and mixed breads made by many local producers can now be seen in European
countries. The latest tendency in medium- and small-scale production is to produce
different shapes (often round) of these breads with an addition, in the dough and/or
on the surface, of different coarse ingredients such as seeds, e.g. sesame, sunflower,
poppy, oat flakes, etc. Many types of ready mixes are now supplied to bakeries for
such products.

Bushuk, W. (1976) Rye: Production, Chemistry, and Technology, American Association of Cereal
Chemists, St Paul, MN.
Briimmer, J. M. (1988) Erfahrungen mit der Roggenwasseraufnahme bei Roggentypenmehlen, Getr.,
Mehl u. Brot, 42, 272-276
Briimmer, J. M. (1991) Modern equipment for sourdough production, Cereal Foods World, 36,
Davidek, J., Velisek, J. and Pokorny, J. (1990) Chemical Changes During Food Processing, Elsevier,
F AO Production Yearbook (1991 ).
Fischer, J. and Orlando, D. (1990) Du nouveau dans nos connaissances des criteres de qualite du seigle,
Industries des Cereales, 44,21-22, 27-34.
Martin, D. W., Mayes, P. A. and Rodwell, V.W. (1981) Harper's Review of Biochemistry, Lange
Medical, Los Altos, CA.
Meuser, F. and Faber, Ch. (1987) Pilotanlage zur regelbaren, kontinuirlichen und gleichzeitigen
Fermentation verschiedener Sauertiege, Poster, Technische Universit!it, Berlin.
Meuser, F., Faber, Ch. and Mar, A. ( 1989) Kontinuierliche Fiihrung von Sauerteigen mit verschiedenen
Mikroorganismenkulturen und unterschiedlichen Roggenmahlerzeugnissen in einem zweistufigen
Pilotfermenter, Getr., Mehl u. Brot, 43,328-337.
Meuser, F., Faber, Ch., Vollmar, A. and Spicher, G. (1990) Studies on acid formation and growth
of microrganisms in a continuously operating _sourdough fermenter, Food Biotechnology, 4,
Meuser, F., Zense, T., Vollmar, A., Weckbecker, P. and Faber, Ch. (1991) Bau und Einsatz eines
neuartigen Fermentationssystems zur Herstellurg verschiedener Sauerteige mit variabler
Abnahmemenge, Getr., Mehl u. Brot, 45,297-302.
Perten, lnframatic NIR-measurement on-line, System PerCon-Biihler, Producer's informative brochure,
Perten Instr., Huddinge, Sweden.
Schneeweiss, R. and Klose, 0. (1981) Technologie der industriale Backwarenproduktion, Fachverlag,
Seibel, W. (1992) Personal information, A Courtesy of Federal Institute for Grain, Potato, and Fett
Research, Detmold, FRG.
Sievert, D., Seibel, W., Rabe, E. and Pfeilsticker, K. (1988) Ver!inderungen von Ballaststoffen durch
die Verfahrenstechnik der Getreidetechnologie, Getr., Mehl u. Brot, 42,259-263.
Spicher, G. and Stephan, H. (1984) Handbuch Sauerteig- Biologie, Biochemie, Technologie, BVV,



Spicher, G., Rabe, E. and Driller, K.H. (1990) Ober den Einfluss der Zugabe von Brot auf die
Sauerteigglirung, Getr., Mehl u. Brat, 44, 202-208.
Tecator, lnfratec, Whole Grain Analyzer, Producer's informative brochure, Tecator AB, Hoganiis,
Ticha, J. and Ho1as, J. (1983) In Progress in Cereal Chemistry and Technology, ed. Holas, J., and
Kratochvil, J., Elsevier, Amsterdam.
Tipples, K.H. (1978) In Grains and Oilseeds -Handling, Marketing, Processing, CIGI, Winnipeg, p.

3 Advances in breadmaking technology


This chapter is written with the approach of a practical bakery technologist. It gives
sound technical and practical reasons and explanations for changes that have taken
place in breadmaking technology but does not explain the changes in scientific
terms. Many such explanations will be contained in other chapters of this book.
Where appropriate, references will be made to differences in techniques, ingredients or products in European countries and in the USA.
3.1 Introduction

Developments in breadmaking over the last 30 years or so have been both extensive
and diverse, covering ingredients, mixing processes, methods of dough development and processing equipment, particularly in terms of automation and in the
range ofbread products available to the consumer. Some of these changes fall into
the following categories and a brief summary of the changes is given, which will
be expanded on in detail as the chapter progresses.
3.1.1 Ingredients Flour. Flour is obviously the major ingredient in breadmaking and greatly
influences the cost of baked products.
The supplementation of low protein breadmaking flours with gluten is now
common practice. This has become possible because of improvements in the
quality of commercial dried gluten, particularly in its consistency of performance
and in its ability to hydrate fully during dough mixing, and also due to improvements
in the method of continuously adding dried gluten to the flour stream during milling,
ensuring that the dried gluten is evenly distributed at the correct level.
The use ofhigher levels ofhome-grown wheats has been aided by developments
in emulsifier technology and by the formulation of a wide range of compound
dough conditioners, which are a blend of essential and improving ingredients in an
'easy to add' form.
The above developments have also helped the baker to cope with changes in the



list of permitted bread improvers, for example the ban on the use of potassium
bromate in the UK.
A much wider range of brown, wholemeal and mixed grain flours is now
available to meet the consumers' desire for a higher fibre intake, as recommended
by medical bodies in many countries. Yeast. Yeast technology has progressed to: (a) produce yeast strains which

meet the fermentation requirements ofindividual countries according to the breadmaking processes they utilise; (b) produce strains and production techniques which give
the yeast supplied to the baker consistent quality and storage life; and (c) produce yeast
strains and production methods which improve production yields and costs.
Genetic engineering is the latest technique which the biochemist may use to
improve a yeast strain.
3.1.2 Dough mixing and development

Much research has gone into replacing the laborious bulk fermentation process,
where the dough has to lie in bulk after mixing for a period of time (normally
3 hours) prior to dividing and further processing. The bulk fermentation process
was necessary to 'mature' the dough to produce bread of good quality. Mechanical
development processes such as the Chorleywood Bread Process, together with
other processes based on chemical dough development, have allowed the omission
of the bulk fermentation process, where desired, with resultant practical and
financial advantages while maintaining or improving product quality.
3.1.3 Processing and baking equipment

The biggest changes in plant bakery breadmaking are in the scale of the plant, with
fewer plant bakeries supplying a wider area, and the degree of automation.
Computer control and modem transfer systems allow fully automatic bread production to take place with a minimum of operator involvement.
The range of processing equipment suitable for the family bakery has increased
greatly, giving the family baker a better working environment, better production
control, higher output and generally lower costs. The rapid growth of supermarket
instore bakeries, with their requirement for relatively large volumes of semi-automatic processing equipment, helped to accelerate developments in the range of this
type of equipment.
3.2 Basic facts on breadmaking
3.2.1 General information

The word bread covers a considerable variety of products, with variations in recipe,



processing, weight, shape, degree ofbaking, etc., but they share the same four basic

Wheat flour, which contains unique proteins which, when hydrated with water,
form a viscoelastic protein structure called gluten. Under the influence of
mixing and further processing, gluten is capable of forming a bubble structure
in the dough which can be inflated by carbon dioxide gas produced by yeast
fermentation and expand to form the characteristic light, porous crumb structure of bread. Wheat is the only cereal with protein which forms gluten with
these properties in appreciable amounts in a dough, although rye flour contains
a small amount of gluten-forming protein. A breadmaking flour must contain
wheat protein of the required quantity and quality for the product being
produced and the breadmaking process being applied. Flour also contains
starch which is partially hydrated with the dough water. During baking the
dough protein coagulates and the hydrated starch partially gelatinises to form
the structure of the bread.
Flour contains sugars and enzymes which are important providers of
substrate for yeast fermentation.
2. Water, to hydrate the flour proteins, to be partially absorbed by the flour starch,
particularly the damaged starch fraction of the flour, and to form a water phase
in the dough in which soluble solids such as sugars, salt, soluble proteins, etc.
are dissolved and in which the yeast cells are dispersed.
3. Yeast, to aerate the dough by the production of carbon dioxide gas by anaerobic
fermentation. The yeast cell takes nutrition in liquid form through its cell walls
and produces carbon dioxide gas as a by-product of this metabolism. The
carbon dioxide gas goes into solution in the dough/water phase, which, when
saturated with carbon dioxide, releases it into gas cells in the dough, which
have been formed during dough mixing and processing.
Yeast fermentation contributes greatly to the flavour of bread through the
production of complex by-products of the fermentation process. It also produces reducing sugars which react with the dough proteins on the dough
surface under the influence of the oven heat to give the characteristic browning
of the bread crust, which is known as the Maillard process. This process creates
flavour products and a great deal of bread flavour is contained in the crust.
Hence the common conception that crusty breads taste better than lightly baked
sliced pan bread.
4. Salt, to flavour the bread, both by its own characteristic flavour and by
highlighting other flavour products in the bread. Bread without salt is insipid
to Western tastes because salt is a standard bread ingredient, the level used
being around 1.0-1.3% of the bread weight. Salt has a retarding effect on
fermentation and any change in salt level has to be matched by a change in
yeast level to maintain the same rate of fermentation.

The above is a brief description of the principal ingredients of bread and their



modes of action and this will be expanded on later in the chapter. It is perfectly
possible to make good bread from these basic ingredients, provided the flour has
a satisfactory protein content and a bulk fermentation dough maturing process is
used. However, a great many other ingredients are used by bakers and these may
be discussed under the following categories. Essential ingredients. These are ingredients which are essential in particular
breadmaking processes, or to produce particular baked products, or to permit a
lower quality flour to be used. Examples of essential ingredients are:
(a) flour oxidants and a minimum level of fat in no-time breadmaking processes;
(b) particular types of wholemeal, brown or mixed grain flours for specialist
brown breads;
(c) sophisticated emulsifiers which allow high volume crusty breads to be
produced from standard bread flour. Improving ingredients. These ingredients improve the quality of bread
products from a recipe which is already balanced to give an acceptable quality
product. Examples are:
(a) soya flour, which improves volume, crumb colour and crumb softness;
(b) malt flour and fungal a-amylase, to improve volume and crumb softness;
(c) emulsifiers, to give better dough stability during processing and baking;
(d) fat, to improve crumb softness and keeping quality;
(e) milk powder, to provide improved crust colour and nutritional value. Characterising ingredients. These are ingredients which help to characterise particular products. Examples are:
(a) flour types, wholemeal, germ-meal, wheatmeal, rye, mixed grain, etc., together with cracked wheat, soft grains , bran, pea fibre, etc. for the production
of a wide range of speciality brown and fibre-enhanced breads;
(b) fat, sugar, egg, milk powder, dried fruit, etc. in various quantities and ratios
to give soft buns and rolls, fruit bread, Danish pastries, hot cross buns,
(c) ingredients which are added in quantities which allow their names to be part
of their description, i.e. milk in milk breads, malt flour in malt breads;
(d) flavour products such as spices in hot cross buns, fruit buns and bread; seeds,
maw (poppy), sesame and carraway; tomato, cheese, etc.
The ingredients alone do not always characterise a product and a combination
of ingredients and dough processing may be required. An example of this is in the
production of Danish pastry and croissants, where the fat, normally one with a
suitable slip point (fat softening temperature point), is laminated with the dough.
This gives the characteristic flaky texture of these products.



3.3 Breadmaking processes

3.3.1 Introduction
The production ofbread is a complicated series of operations which must be carried
out to produce the particular bread product required. The operations involved can
be listed in basic terms as follows:
1. Selection of flour and other ingredients for the product to be produced.
2. Mixing of the ingredients into a dough.
3. Maturing of the dough so that it is capable of producing the bread quality
required. Maturing may be achieved during mixing of the dough by mechanical and/or chemical means, or it may be brought about by the fermentation of
the dough in bulk for a set period of time.
4. The dough has to be divided into pieces of the required size, moulded to the
shape required, placed on trays, in pans, or on canvas 'setters' for oven bottom
bread and transferred to the final prover.
5. The dough must be proved (allowed to expand) in a temperature and humidity
controlled room until it reaches the proved volume or height required.
6. The proved dough must be baked, with any decorative cutting of the dough
surfaces taking place after fmal proof.

3.3.2 Bread type and quality

By carrying out the above sequence of operations in a specific manner, bread
products of very different character can be produced. Bread products can vary in
terms of their weight, shape, volume, ingredient content, crumb texture and
softness, crust thickness and crispness, etc. To compare the quality of a particular
bread type with another of the same type, one needs to know what desirable
characteristics are required for that type of bread. A characteristic that is desirable
in one bread type may be described as a fault in another bread type. A good example
of this is the comparison between standard sliced and wrapped pan bread, which
has a fine, soft, even crumb cell structure and a thin crust, and a French baguette,
which has a very open random crumb cell structure with a thick crisp crust and
double the volume of standard sliced pan bread.

3.3.3 Dough development (maturing) process

If flour, yeast, water and salt are mixed into a dough and processed immediately
after mixing, following the dividing, moulding, proving and baking sequence
described earlier, the resultant bread will be of poor volume and with an uneven,
dense crumb cell structure. This is because the dough protein has not been
developed or matured correctly to allow it to retain the gas produced by the yeast



and expand. A dough development process is any method of mixing and handling
of the dough which gives it the following properties when it is ready for dividing
and processing into the required dough shapes:
(a) The protein structure of the dough should be in a condition which will
withstand the stresses of dividing and moulding and be capable of being
formed into the fmal shape without tearing.
(b) The dough after moulding should contain a network of gas cells which have
been formed during mixing and subsequent processing. These gas cells will
be inflated by carbon dioxide gas during final proof and the early stages of
baking (Figure 3.1).
(c) The dough protein structure surrounding the gas cells should be capable of
retaining the gas produced by the yeast during final proof and the early stages
of baking and expand evenly without rupturing.
(d) The dough must contain active yeast and sufficient substrate for the yeast
to continue producing carbon dioxide during final proof and the early stages
of baking.
To achieve these parameters various methods of dough development have
evolved and these will now be described in detail.

3.4 Bulk fermentation process

3.4.1 Process parameters

As mentioned earlier, if flour, yeast , salt and water are made into a dough and
divided and moulded immediately after mixing, the resultant bread is of poor
quality. If the dough is left to ferment in bulk prior to dividing, the character of the
dough changes, becoming more elastic and more resistant to being stretched

Figure 3.1 Result of absence of basic breadmaking requirements: left, poor cell creation - formation of gas cells in the dough during mixing prevented by mixing under high vacuum (71 0 mm); centre, yeast omitted so no gas production; right, poor gas retention - dough not developed correctly, so
bread lacks volume and has a poor crumb structure. (Courtesy FMBRA.)



without tearing. Bread quality improves with increasing bulk fermentation time,
until a maximum improvement is achieved (when the dough has reached full
maturation), after which the bread quality decreases with fermentation time. The
length of fermentation time required to achieve dough development depends on
the flour protein quantity and quality. A flour with a good protein content, such as
one milled from Canadian wheats, will require a longer fermentation time than a
lower protein flour. Protein quality and content also affects the flour's tolerance to
fermentation times, a Canadian flour giving good quality bread from fermentation
times ranging from 3-12 hours, provided steps are taken to ensure an adequate
supply of food for the yeast in the longer fermentation doughs. A lower protein
flour on the other hand may give best results in a 2-hour bulk fermentation dough
and have only a fermentation tolerance of 1-2 hours. Dough development. The development or maturing of the dough during

bulk fermentation is brought about by chemical, biological and mechanical action.
Chemical action results from the added flour improvers, such as chlorine dioxide
and ascorbic acid, which act as oxidants on the flour protein. Potassiwn bromate
was also used, very effectively, for this purpose until its ban in the UK in 1990.
Biological action results from yeast and flour enzymes which bring about desirable
changes in the dough gluten. Mechanical action -the initial dough mixing and the
stretching it receives during fermentation is thought to have some influence on
dough development. Yeast level and fermentation time. While yeast influences dough development during bulk fermentation, its other vitally important function is to produce
gas during fmal proof at a rate which will give the final prooftime required. Because
yeast fermentation rate increases with fermentation time, any decrease in bulk
fermentation time must be matched with an increase in yeast level to give the same
gassing rate during fmal proof. One-hour bulk fermentation doughs therefore have
a higher yeast level, and usually a higher temperature, than, say 3-hour doughs. Dough temperature. The rate offermentation during bulk fermentation is
also influenced by both dough temperature and the temperature of the fermentation
room. If the dough is cold because the bakery is cold, the yeast level must be
increased to ensure correct dough development and fmal proof times. Care over
dough temperature and bulk fermentation temperature is therefore very important.

3.4.2 Forms ofbulkfermentation process

The bulk fermentation process started from ancient times. Various forms of the
bulk fermentation process were used, with the following being the most popular:
(a) A 3-hour bulk fermentation time, with a short remix, called the knock-back,
after 11;2-2 hours.




A 3-hour process as above but omitting the salt at the dough-making stage
and adding it at the knock-back stage - called the delayed salt method.
Because salt has a retarding effect on fermentation, its absence allows a higher
rate offermentation prior to the knock-back.
(c) The sponge and dough process. In this process 25% of the flour is made into
a dough and left to ferment for 12-16 hours. It is then mixed into a final dough
with the rest of the ingredients, left for 30 minutes in bulk, then divided and
processed as required. Dough development in the sponge and dough method
appears to come about by the well-developed sponge part reacting with the
flour proteins in the rest of the flour during the final mix.
Sample recipes for the above processes are given as follows:

White pan bread (bulk fermentation)

Percent (on flour weight)


Soya flour*
Malt flour*
*Optional 'improving' ingredients.

Mix to a clear dough at 27C and ferment in bulk for 3 hours, keeping the dough
covered to prevent skinning (surface drying out). Knock-back, after 1 '12-2 hours of
the bulk fermentation time. The 'delayed salt' method can be applied to the above
recipe by holding back the salt addition until the knock-back stage. The salt is sieved
over the dough during the remix to ensure it is evenly dispersed.
White pan bread (sponge and dough)

Percent (of total flour)

Mix to a clear dough at 21 C and
leave to ferment for 12-16 hours
before adding to dough stage.


Percent (of total flour)

Soya flour*
Malt flour*
*Optional 'improving' ingredients.
Mix to a clear smooth dough at 27C and leave
for 30 minutes before further processing.

The above method was commonly described as a 'quarter sponge', indicating

that quarter of the flour was made into a sponge and fermented overnight before
adding to the other ingredients. The quarter sponge method means that the amount



of sponge added at the dough stage is about 50% of the flour weight in the dough.
Therefore, rather than make a specific sponge for each dough, some bakers make
the sponge in bulk and weigh off the amount of sponge required for each dough.
Although the sponge and dough process, as described above, is now rarely used
by bakers, some bakers are using the 'sponge' part as an ingredient in dough which
is made by no-time dough principles of mechanical or chemical development. In
this case, the sponge is not added to aid dough development but to add fermentation
products to the dough and give a more gassy texture to the final dough which is
beneficial in crusty breads, where the crumb structure and crust characteristics are
Variations on the above methods of applying the bulk fermentation process are
legend, with the bulk fermentation time varying from 1-24 hours with corresponding adjustments to the yeast level. Acid dough methods were also developed by
individual craftsmen, where part of the dough was fermented for several weeks to
give a high lactic acid flavour to the bread, a method which found very limited
application. Where the bulk fermentation process is used today, the bulk fermentation times are normally 1-2 hours, with yeast levels of 2.0% and 1.5% respectively of flour weight, with dough temperature 27C.
The bulk fermentation process was widely used very successfully for many
years, both by the family bakery with mainly manual processing of the dough and
by the industrial plant bakery, with automatic dividing and processing equipment.
Because of the influence of ambient temperature and humidity on fermentation,
many bakeries had air conditioned rooms in which the fermenting doughs were
stored, normally in covered dough bowls, during the bulk fermentation period
(Figure 3.2).

Figure 3.2 Air conditioned room for bulk fermentation doughs in a plant bakery. Above the bowls
is the intermediate prover. (Courtesy FMBRA.)


47 Disadvantages. The bulk fennentation process has the following disadvantages which ultimately led to the development of processes that overcame these
(a) The degree of dough development was affected by temperature change during
bulk fennentation. If the bakery was cold more yeast had to be used to maintain
correct development and nonnal final proof times.
(b) The fennenting dough took up space in the bakery.
(c) In a large bakery a great many doughs could be fennenting at one time and
were therefore liable to spoilage in the event of an equipment or oven
(d) Flour solids are lost during the bulk fennentation, being fennented by the
yeast. Softening of the dough also takes place due to the action of the flour aand P-amylase enzymes on the damaged starch fraction of the flour in the
dough. The initial water content of the dough must therefore be calculated to
take account of this softening during fennentation so that the dough is of a
satisfactory consistency at the dividing and moulding stage to ensure that it
can be processed without sticking to the processing equipment or being
damaged during processing.
(e) It takes some 4-5 hours from mixing to the end of baking using a 3-hour bulk
fennentation process. This makes it difficult for the bakery to react to short
notice orders or cancellations.
(f) The doughmaker has to start 3-4 hours before the production operators so that
doughs are ready for processing when they begin their shift.

3.5 Mechanical development processes

3.5.1 US systems
Much research work was done in the USA in the 1950s to develop breadmaking
processes which cut out bulk fennentation but retained nonnal bread quality. A
method of mechanical dough development was discovered and the technique was
used commercially in the Wallace and Tiennan 'Do-Maker' continuous mixer,
developed by Dr J. C. Baker of Wallace and Tiennan after many years of research.
The basic principles of the Do-Maker dough development system are:

1. A 'brew' of yeast, water, salt, malt flour, sugar and oxidants is prepared and
allowed to fennent for 2-4 hours at 27C. It is then chilled by passing itthrough
a heat exchanger and stored in refrigerated stainless steel tanks ready for
transfer to the continuous mixer.
2. The brew, flour and melted fat are continuously fed to a premixer where they
are fonned into a dough.
3. The dough is pumped through a developer, in which two contra-rotating



impellors intensively mix the dough to develop it, under pressures of up to

80 psi. It takes the dough about 1 minute to pass through the developer and the
intensive mixing energy imparted on the dough raises its temperature by about
14.5C. It will be seen later that this is the same temperature rise as in dough
mixed by the Chorleywood Bread Process which was developed from the
Do-Maker process but has very different operating parameters.
4. At the end of development two reciprocating knives cut the dough to the weight
required and it is deposited directly into bread pans, with no dough moulding
taking place.
5. The dough pieces are proved and baked as normal.
The Do-Maker development system is suitable for standard white pan bread and
for hamburger buns.
Other mechanical dough development systems were used in the USA, such as
the Amflow Process, which also worked on continuous mixing principles but used
a brew which contained part of the flour. Brews and ferments are also used in the
USA in conjunction with highly powered horizontal batch mixing machines,
normally water cooled, where the doughs for standard breads are made from high
protein bread flour and high levels of enriching agents such as sugar, fat and milk

3.5.2 The Chorleywood Bread Process

The British Baking Industries Research Association, now part of the Flour Milling
and Baking Research Association, were keeping up to date with research into
mechanical development in the 1950s and carrying out research work of their own
under their Director Dr George Elton, scientist Dr Norman Chamberlain, and bread
baking technologist T.H. (Bill) Collins, plus many others with scientific, baking
and engineering backgrounds. Their research work led to the discovery of a range
of vital factors in mechanical development and to three specific differences from
the Do-Maker system: (a) no brew was required; (b) batch mixing could be used
instead of continuous mixing; (c) it was important to mix the dough to a specific
energy input. Their findings were set out as the Chorleywood Bread Process in
1961, the principal parameters of which are-as follows.
1. The dough must be mixed in a high-powered, high-speed mixing machine to
an energy input of 11 watt hours per kilogram of dough (shown by research
and commercial tests to be the optimum (Figure 3.3)), the energy to be
absorbed within 2--4 minutes mixing time. The energy input is measured on a
watt hour meter, the mixer stopping automatically when the total energy set
has been consumed. Because dough is mixed to an energy input, mixing time
can vary according to the resistance of the dough to the turning of the mixing



Figure 3.3 Effect of varying the work input for Chorleywood Bread process doughs. From left to
right the work input was 7, 9, II and 13 watt hours per kilogram of dough. (Courtesy FMBRA.)


impellor. A soft dough will give a relatively smaller resistance to the rotation
of the impellor than a stiff or strong (made with high protein flour) dough and
will therefore take longer to consume the set energy level. However, the degree
of dough development will remain the same for both types of dough.
A relatively high level of oxidising agents must be used (Figure 3.4). The initial
work on the Chorleywood Bread Process used flour treated with around 15
ppm of potassium bromate at the flour mill and 75 ppm of ascorbic acid added
at the mixing stage. Commercial development of the process later saw a
combination of ascorbic acid and potassium bromate being added at the dough
mixer, followed later by the inclusion, where beneficial, of the fast acting
oxidant azodicarbonamide. The addition of oxidants is usually in the form of
a compound dough conditioner which contains the essential oxidants for the
process in a blend of fat , soya flour or emulsifier. Specialist combinations of
oxidants were developed for specific applications, potassium bromate and
azodicarbonamide being favoured for automatic plant bread production and
ascorbic acid, using bromate-treated flour, for the family bakery with a
requirement for more dough tolerance to processing time due to semi-auto-

Figure 3.4 Effect of no oxidant in Chorleywood Bread Process dough: left, no oxidant; right,
75ppm ascorbic acid. A similar drastic reduction in volume and crumb quality occurs when fat is
omitted, or too low a melting point fat is used. (Courtesy FMBRA.)



matic or manual production methods. Ascorbic acid and potassium bromate

have a synergistic effect when working together, the improvement gained by
a specific total amount of the two oxidants being greater than the same amount
of either oxidant working on its own.
3. Fat, or a suitable emulsifier, is an essential ingredient in the Chorleywood
Bread Process. A fraction of the fat, around 0.15% offlour weight, must remain
solid until the dough pieces enter the oven. Failure to add fat, or the use of a
fat with too low a melting point, leads to bread with poor oven spring and a
coarse texture. A standard bread fat can be used in the Chorleywood Bread
Process and a usage level of 0.7% on flour weight normally ensures that
sufficient solid fat is present at the end of the final proof. Lower levels ofhigh
melting point fats can be used but dispersal through the dough can be a problem
and these are normally added as part of a compound dough conditioner in
which the hard fat is finely dispersed through the other ingredients.
4. Adjust the yeast level to give the fmal prooftime required. This normally means
that double the yeast level of a 3-hour bulk fermentation dough is required.
There are two reasons for the higher yeast requirement in the Chorleywood
Bread Process:
(a) Yeast gassing rate in a dough increases with fermentation time, the
gassing rate during the third hour of fermentation being around double the
gassing rate during the first hour. Because Chorleywood Bread Process dough
only ferments during the short mixing, first proof and final proof time of 60--90
minutes, the yeast does not reach its maximum gassing rate before it is
inactivated during baking. Higher levels have to be used to give the same
gassing rate as a bulk fermentation dough when it is ready for dividing and
(b) A bulk fermented dough contains a higher amount of gas than a Charleywood Bread Process dough, even although the gas produced during bulk
fermentation is expelled and subdivided during the final moulding process. The
bulk fermentation dough therefore requires less aeration during final proof to
reach the required proof volume than the much denser Chorleywood Bread
Process dough.
A fundamental difference between the Chorleywood Bread Process and a
bulk fermentation process is that in the Chorleywood Bread Process the yeast
plays no part in dough development and its principal function is to provide a
specific rate of carbon dioxide production during final proof to achieve the
proved dough piece volume required in a specific time. This means that final
proof times can be adjusted simply by increasing or decreasing the yeast level.
This principle is put to use in several dough processing techniques, using both
the Chorleywood Bread Process and other no-time (no bulk fermentation)
processes, which will be discussed later in the chapter.



A further important function of yeast during final proof is the creation of

volatile complex by-products which contribute greatly to the flavour of the
bread and to its aroma.
5. Increase the dough water level in comparison to a bulk fermentation dough to
make up for the dough softening and loss of flour solids which takes place
during bulk fermentation. Water increase is normally around 5% but this
depends on flour quality. A reduction in flour quality is possible with the
Chorleywood Bread Process while maintaining product quality but this may
mean that the water level is not increased.
It is possible to increase the water absorption of a flour by increasing its
damaged starch content and this technique is used for Chorleywood Bread
Process flours designed for pan bread production. The higher level ofdamaged
starch allows a higher water level in the dough, while maintaining its consistency so that it is suitable for processing without sticking. The a-and-~
amylase enzymes in the flour attack the hydrated damaged starch in the dough,
converting it partially to malt sugars and releasing bound water which causes
the dough to soften. However, the dough softening takes place mainly after
the dough has been processed and placed in the bread pans and final proofhas
commenced. While high damaged starch flour is a suitable method for
achieving higher water absorption and a softer bread crumb in pan bread
designed for slicing and wrapping, it cannot be applied to crusty breads baked
without tins, such as bloomers, Viennas, etc., where the dough softening
during proof would cause the unrestrained dough pieces to flow and give an
unsatisfactory final product.
6. A higher dough temperature is employed in the Chorleywood Bread Process
than for bulk fermentation. The reasons for this are:
(a) To aid the yeast fermentation rate during final proof. As stated earlier,
yeast ferments at its lowest rate at the start of fermentation and the higher
dough temperature, in conjunction with increased yeast level, maintains final
proof time to that required by the processing plant.
(b) The higher dough temperature aids chemical and biological reactions
which are essential to complete dough development.
(c) The higher dough temperature aids relaxation of the dough during
intermediate proof, i.e. during the dough rest period between dividing and first
moulding, and final moulding.
(d) The Chorleywood Bread Process creates a 14.5C heat rise in the dough
during mixing to the required work input of 11 watt hours per kilogram of
dough. It is therefore difficult to achieve 'cool' doughs, i.e. 25-27C, without
the use of chilled water and/or a cooling water jacket on the mixing bowl. To
calculate the dough water temperature required for a Chorleywood Bread
Process dough the formula is:



Dough temperature required

Subtract the mixing temperature rise
Double the result of the above
Subtract the flour temperature
(say 16C)
Dough water temperature required 17C

31- 14.5 = 16.5
33-16=17 Vacuum. When the Chorleywood Bread Process was first introduced
commercially, a serious problem arose with commercial size mixers in that bread
with an open random crumb structure was produced. This was solved by K. Pickles,
Tweedy-Burnley, with the application of a partial vacuum (300-500 mm Hg) in
the mixing chamber. The requirement for vacuum appears to relate to bowl capacity
and mixing impellor design but has remained in use for the mixing ofChorleywood
Bread Process dough for standard sliced and wrapped bread, where a fme even
crumb cell structure is desired. Oxidation. Development work on the Chorleywood Bread Process was
based on the use of7 5 ppm ascorbic acid on flour weight added at the mixing stage
to flour which had been treated at the flour mill with around 15 ppm potassium
bromate. Thus the two oxidants worked together on the dough protein, ascorbic
acid rapidly during mixing and first proof, and potassium bromate slowly through
to the early stages of baking. As the process developed commercially, other ratios
of potassium bromate and ascorbic acid were applied and azodicarbonamide also
came into the reckoning when it was added to the permitted list of Bread and Flour
Additives in 1972 along with L-cysteine hydrochloride. Formulas of oxidants and
other ingredients were developed by bread additive manufacturers for specific
applications, i.e. standard bread, crusty bread, high volume bread, rolls, sweet
fermented goods, etc.
The choice of oxidant blends for the Chorleywood Bread Process changed
drastically in 1990, with the removal of potassium bromate from the UK list of
permitted additives in bread. It basically left azodicarbonamide, a fast acting
oxidant with a critical usage level and little dough tolerance and ascorbic acid,
which relies on a reaction with atmospheric oxygen during mixing to achieve its
oxidising form, dehydroascorbic acid. Mixing time in the Chorleywood Bread
Process is relatively short, being 2.5-3 minutes, and it is felt that the air mixed in,
in some cases, is insufficient to provide sufficient oxygen for the ascorbic acid,
particularly where vacuum is applied. It is possible for under-oxidation to occur,
even when high levels of ascorbic acid are used. Indeed that was often the reason
given, prior to the removal of bromate, for ascorbic acid being a 'safe' oxidant to
use since it was possible to use it at high levels without over-oxidation occurring.
It also appeared that bromate aided the action of ascorbic acid in some way.
Plant bakeries now use oxidant blends of azodicarbonamide and ascorbic acid.
However, since there is a trend to having food products with fewer additives, many
breads are produced with ascorbic acid as the sole oxidant. To aid oxygen availability, less vacuum is being applied during mixing and much research work has



gone into mixing in a headspace enriched with oxygen (Chamberlain, 1979). This
is a commercial possibility, but there are rigorous safety precautions that have to
be taken with the use of oxygen and mixer design considerations. It is interesting
to note that there is a limit to the level of oxygen enrichment possible, since if the
gas bubbles created in the dough during mixing contain too high a level of oxygen,
they collapse shortly after mixing as the yeast consumes the oxygen. This would
lead to bread with a very coarse crumb cell structure. It would appear that a mixer
head space enriched to 50% oxygen gives satisfactory results.
A further method of oxidation of dough with ascorbic acid would be to add it
in the dehydroascorbic acid form. However, in this form it is very unstable. Work
is being carried out at the FMBRA, Chorleywood researching the possibility of
adding a protective coating to dehydroascorbic acid which would only be released
when the product was mixed into a dough. This would, if successful, be a
tremendous advantage in the use of ascorbic acid in limited oxygen mixing systems.
However, dehydroascorbic acid would have to be approved as a permitted bread
and flour additive before it could be used in this form. Dough processing. The Chorleywood Bread Process can be used for any
type of fermented product, with the dough processing methods being the same or
similar to those for bulk fermentation doughs. There are a few changes in processing methods and these are highlighted as follows:

The dense dough is easy to divide accurately using automatic suction dividers
which divide dough pieces by volume.
(b) The dough is balled up and given 4- 10 minutes' intermediate proof. Care has
to be taken over first proof time since too long a first proof for pan bread dough
can give bread with an open crumb structure. However, this opening of the
crumb structure with increasing final proof time is put to good use for French
pain Parisien, baguettes and Vienna bread, which are given an extended first

Figure 3.5 Crumb structure of pain Parisien made by the Chorleywood Bread Process. The dough
was given an extended first proof followed by gentle moulding to preserve the open random gas cell
structure in the dough. (Courtesy FMBRA.)



proof of up to 20 minutes to create a very open crumb structure (Figure 3.5).

This is followed by gentle final moulding to conserve the open texture. The
creation of crumb cell structure in bread by the Chorleywood Bread Process
and by other processes, together with changes in processing which can alter
the final bread crumb cell structure, has been researched in detail by Collins
of the FMBRA, Chorleywood (Collins, 1982).
(c) The dough is moulded as required for the type of bread being produced. Final
moulding of Chorleywood Bread Process dough for pan bread is simply to
achieve the dough piece shape and does not subdivide gas cells in the dough,
as happens with bulk fermented dough.
(d) The dough is proved for the required time to achieve the proof volume
required. As stated earlier, proof time is a function of dough yeast level and
can be altered by yeast level adjustment.
(e) Baking is carried out as required for the product being produced. Because
Chorleywood Bread Process dough contains more residual sugars than bulk
fermented doughs, it may colour quicker in the oven. Care is required in
selecting the baking temperature, particularly for crusty bread, to ensure that
the correct degree of crust colour and crispness is achieved in combination
with the correct baking of the bread crumb. Too high a temperature for crusty
bread will cause the crust to achieve the degree of colour required before it
has reached the correct degree of crispness and the crumb is baked properly.
Removing the bread therefore from the oven when it has coloured correctly
will lead to the crust going soft quickly and possible crumb collapse.

3.6 Activated dough development process

3.6.1 Introduction

This is a further no-time dough process but one which does not rely on high energy
mixing to achieve dough development. The dough can be mixed on low speed and
spiral mixing machines and dough development is brought about by the action of
a reducing agent, L-cysteine hydrochloride, in conjunction with oxidants such as
potassium bromate and ascorbic acid, on the flour protein. L-Cysteine, together
with suitable oxidants, are therefore essential ingredients in the process, as is fat,
for the same reasons it is essential in the Chorleywood Bread Process.
The use of cysteine as a method of rapid dough development was first proposed
in a paper by the American researchers Henika and Zenner in 1960. It was
introduced as a commercial process in the USA in 1962 by the Foremost Dairy
Inc., with their bread additive 'Reddisponge', which contained cysteine and oxidants dispersed in a whey powder base. The name 'Reddisponge' indicated that the
process was designed to replace the sponge stage, which normally took 4 hours, in the
American sponge and dough process. The process allowed a straight dough to be
produced which could be processed after a short bulk fermentation time of20 minutes.



The principles of dough development by cysteine were researched in the UK by

the Flour Milling and Baking Research Association (FMBRA), together with the
development departments of dough improver suppliers. The FMBRA gave the
process the generic name Activated Dough Development (ADD) and published
reports for its members in 1966 on the essential features of the process for use in
producing bread products. The main features of the Activated Dough Development
Process are similar to the Chorleywood Bread Process but with some significant
3.6.2 Main features ofActivated Dough Development

The recipe must contain cysteine and additional oxidant. Popular levels of use,
based on flour weight, in commercial production were: 35 ppm cysteine, 50
ppm ascorbic acid, and 40 ppm potassium bromate (total level; 15 ppm
bromate added by the miller and 25 ppm by the baker).
The above chemicals are normally included in commercial compound
improvers which contain the essential ingredients together with improving
ingredients such as soya flour and are formulated to allow a convenient usage
rate for the baker, usually 1% on flour weight for standard bread.
2. The recipe must contain fat or an emulsifying agent, or a blend of the two. A
standard bread fat, not an emulsion, can normally supply the fat requirement
of the process when used at 1.0% of flour weight. The fat requirement of the
process is normally contained in a compound improver, which contains a lower
level of high melting point fat dispersed through the other ingredients for even
dispersion in the dough.
3. Additional dough water must be used in comparison to a bulk fermentation
process to make up for the loss of flour solids and dough softening that takes
place during fermentation. The additional water level is 3--4% above that used
in a 3-hour bulk fermentation dough.
Although the Activated Dough Development allows extra water to be added
in comparison to a bulk fermented dough, it does not also allow a reduction in
flour quality, as can be done with the Chorleywood Bread Process, without it
affecting bread quality.
4. Extra yeast and a higher dough temperature must be used to maintain final
proof times for the reasons described in detail for the Chorleywood Bread
Process. Dough mixing. Any mixer suitable for bulk fermentation doughs can be
used for Activated Dough Development, although a slightly longer mixing time
may improve dough development, particularly in terms of the low speed mixers.
Mixing times vary according to the mixer design but the following can be taken as
a guide: low speed twin arm mixer 20-25 minutes; spiral mixer 8-10 minutes (3
minutes slow speed, 5-7 minutes fast speed); high speed mixer 2 minutes mixing,
with the dough being left in bulk for 10 minutes before processing.


ADVANCESINBAKINGTECHNOLOGY Processing. The dough is processed straight from the mixer, unless mixingtime is very short as for the high speed mixer. After dividing and first mould a
10-minute intermediate proof is given before the final mould. The dough is
processed through to final baking according to the variety being produced. Use of the process. The Activated Dough Development Process was used
by family bakeries and instore bakeries for the full range of bread products. It did
not find popularity in plant bakeries for standard bread production because the
Chorleywood Bread Process was already well established in these bakeries and had
additional benefits to the Activated Dough Development Process. The process did
find favour in some larger bakeries for the production of crusty breads and rolls,
where it was felt it was easier to produce the more open texture characteristic of
the crumb structure using the Activated Dough Development Process than with the
Chorleywood Bread Process. This may be related to the higher level of gas
produced during Activated Dough Development mixing time, giving therefore a
more gassy dough at the dividing and moulding stages, which, unless finely sheeted
and tightly moulded, will give bread with an open crumb structure. Loss of use ofActivated Dough Development and further uses ofcysteine.
The removal in 1990 of potassium bromate from the UK list of permitted bread
and flour improvers effectively marked the end of the Activated Dough Development Process. This is because the beneficial effects of cysteine, bromate and
ascorbic acid are not achieved in the absence of bromate, or by replacing bromate
with azodicarbonamide. This has not meant that cysteine has become redundant as
a flour improver, since it is used as a dough relaxation agent in many products. An
example of this is in the production of pinned-out (flattened) products such as baps,
morning rolls and teacakes produced on roll plants with no intermediate proof
stage. The inclusion ofcysteine in the recipe assists product processing in two ways:
(a) It helps to relax the dough during the short space of time between dividing,
moulding and pinning, preventing stress damage to the dough.
(b) It causes the pinned product to flow during fmal proof, allowing the initial
pinning of the dough piece to be less severe.

3.7 Spiral mixing for no-time doughs with ascorbic acid

3. 7.1 Origin ofprocess

The use of spiral dough mixers for the production of no-time doughs began on the
continent of Europe with no known origin of use. The dough recipe generally
included a proprietary compound improver which contained ascorbic acid, fat,
emulsifier and an enzyme preparation such as fungal a-amylase or malt flour.



Dough development is achieved by the very thorough mixing action of the spiral
mixer in combination with the action of ascorbic acid as a dough oxidant. Ascorbic
acid is changed to its active oxidant form dehydroascorbic acid under the influence
of the enzyme ascorbic acid oxidase and atmospheric oxygen. The level of air
mixed into the dough during mixing determines the level of conversion of ascorbic
acid to dehydroascorbic acid. The spiral mixing action is very efficient at blending
air into the dough during mixing.
The emulsifier aids dough stability and product volume, particularly important
for crusty bread and rolls, and the fungal a-amylase aids oven spring and therefore
product volume.
Spiral mixers initially replaced low speed mixers because they were cleaner and
easier to use and mixed the dough in a shorter time, i.e. 8-10 minutes compared to
20-30 minutes. The main users of spiral mixers are the small-to-medium size
bakeries and instore bakeries. The initial use of spiral mixers was for bulk
fermentation and Activated Dough Development doughs, plus the use of the
continental no-time dough system based on ascorbic acid. Many family bakeries
and instore bakeries also changed from high speed mixing, using the Chorleywood
Bread Process, to spiral mixing.
3. 7.2 Reasons for the popularity ofspiral mixers
The dough temperature rise in the high speed mixer is 14.5C if optimum
development is given. This makes it difficult to maintain reasonable dough
temperatures in warmer weather without the use of chilled water. The increasing use of flour silos, which tend to give higher flour temperatures than bagged
flour, increased this difficulty. Many family bakeries and instore bakeries
were beginning to install dough retarder and retarder provers, which meant
that the strict maintenance of dough temperature, with perhaps the use oflower
dough temperatures, was important. Dough temperature rise in the spiral
mixer is much less than in a high speed mixer, being around 8C over an
8-minute mix. It is therefore fairly easy to mix to any temperature down to
say 26C, without the need for chilled water.
(b) The family bakery and instore bakery tend to require more tolerance in the
dough to processing time than the plant bakery with fully automatic processing equipment. Dough development in a spiral mixer with ascorbic acid as the
oxidant is not as complete as development in the Chorleywood Bread Process
and the Activated Dough Development Process. The spiral mixed dough
therefore has some tolerance to delays during dividing and further processing.
There is also less chance of over-oxidation with ascorbic acid than there is
with potassium bromate and azodicarbonamide.
(c) One of the advantages ofthe mixing action of a spiral mixer is that it blends
copious amounts of air into the dough during the mixing process. This means
that there is a good supply of oxygen available to react with the ascorbic acid




to produce the active oxidant dehydroascorbic acid. This makes the spiral
mixer more suitable for no-time dough production using only ascorbic acid
as the oxidant than the low speed single and twin arm dough mixers which
are poor in their ability to blend in oxygen in the form of atmospheric air.
(d) It should be noted that yeast absorbs oxygen very rapidly in a dough and
therefore competes with the ascorbic acid for atmospheric oxygen. This is why
the action ofblending in air during mixing in a spiral mixer is so important to
dough development, there being ample supplies of oxygen continually available despite the rapid absorption of oxygen by yeast as part of its metabolism.
The availability ofoxygen does not in fact have any measurable effect on yeast
gassing activity, or on the production of new cell material. The yeast will
simply use any available oxygen rapidly, then revert to anaerobic fermentation
when the supply of oxygen has been exhausted. To ensure that the ascorbic
acid can make full use of the available oxygen in a dough mixed on a low
speed mixer, it is possible to delay the yeast addition until the later stages of
dough mixing, say during the last 5 minutes of a 20-25 minute dough mixing

3. 7. 3 Spiral mixing process recipes

The basic recipes for spiral mixers are similar to those for the Chorleywood Bread
Process and the Activated Dough Development Process but generally ascorbic acid
is the sole oxidant used. A wide range of compound improvers are available which
are multi-purpose, the usage level being changed according to whether standard
pan bread, crusty bread or high volume bread and rolls are being produced.
As stated earlier, dough development using the spiral system is not as complete
as for the Chorleywood Bread Process and the process would not be suitable for
the production of standard sliced and wrapped bread, both in terms ofbread quality
and production economics. The process is however satisfactory for the full range
of bread products produced by the family and instore bakeries, where a more open
crumb cell structure is desirable, particularly for crusty bread, and the products
command a better selling price, allowing a higher quality flour and a more
expensive compound bread improver, perhaps containing an emulsifier, to be used
to maintain bread quality.

3. 7.4. Australian no-time dough process

It is interesting that the Australian no-time dough method using low speed mixers
and ascorbic acid was introduced by the Bread Research Institute of Australia in
1964 as a method of producing acceptable commercial bread (Marston and Gray,
1964). The recipe proposed by the Bread Institute had the normal additional yeast,
water and fat content for no-time doughs, with ascorbic acid added at the dough
stage at a level of 100 ppm on flour weight. The dough is mixed on low speed



mixers for an extended time over bulk fermented doughs and the dough temperature
is higher at 30C-32C. The dough is processed immediately after mixing, using
the same processing methods as for bulk fermented doughs.

3.8 Potassium bromate - the effects of its ban in the UK

Potassium bromate was used as a flour improver in the UK from the early 1900s
until its removal from the list of permitted bread and flour improvers in 1990.
Initially potassium bromate was used as a flour improver for the bulk fermentation process, conferring improved gas retention and stability to the dough. The
development of the Chorleywood Bread Process and Activated Dough Development saw further levels of potassium bromate being added at the doughmaking
stage, normally in combination with ascorbic acid and, in more specialised formulations, azodicarbonamide. The normal level of addition of potassium bromate by
the flour miller was 15 ppm on flour weight but this could be amended to control
changes between wheat grists, helping to give flours of consistent quality.
Bread flours may also be treated with chlorine dioxide, which has a mild
oxidation effect and acts as a bleaching agent, and bleached with benzoyl peroxide,
which simply makes the flour, and the resultant bread crumb, whiter. However,
because of media, retailer and consumer pressures for products with fewer nonessential additives, the treatment of flour with chlorine dioxide and benzoyl
peroxide is becoming less common. This means that the plant bakeries mainly rely
on ascorbic acid and the fast acting oxidant azodicarbonamide for bread production
by the Chorleywood Bread Process and the family and instore bakeries rely on
ascorbic acid for bread production by bulk fermentation, the Chorleywood Bread
Process, the spiral mixer process, or using a low speed mixer for a no-time dough.
As stated earlier, ascorbic acid must react with oxygen during mixing to be
effective as an oxidant. The mixing time and mixing action in the Chorleywood
Bread Process may not, depending on mixer design, provide sufficient oxygen for
full conversion ofthe ascorbic acid and could lead to under-developed doughs. The
degree of under-development is unlikely to affect the family and instore bakery but
is more serious for the plant bakery, with close control of quality and costs. The
family and instore bakery may use an emulsifier-based additive to counteract the
Attempts have been made to increase the level of oxygen (Chamberlain, 1979)
in the mixer headspace in the Chorleywood Bread Process, following work by the
FMBRA, with improved results. Oxygen is now a permitted bread ingredient in
some countries, but the process is costly and many safety factors have to be
observed with the use of oxygen.
Chlorine dioxide is a useful improving treatment for bulk fermented doughs in
the absence of potassium bromate, improving product volume and crumb structure.
Ascorbic acid may also be added at the mill at 15-25 ppm to improve bulk
fermented doughs and as part of the oxidant level of no-time doughs.



3.9 Further breadmaking processes

3.9.1 American sponge and dough

A 4-hour sponge, followed by intensive mixing in high energy horizontal mixers,

or continuous mixers, is popular in the USA. The flour protein is generally higher
than that used in the UK and the recipe contains higher levels of enriching agents
such as fat, sugar and milk products. The bread is of high volume with a fine even
crumb structure. Dough development is achieved by a combination of fermentation
of the sponge and mechanical development during dough mixing.

3.9.2 Brews

Brew systems are also popular in the USA, the brew containing sugar, yeast,
oxidants and emulsifier. Since the brew contains no flour, the fermentation does
not contribute towards the development of the fmal dough. The brew would appear
to have the following benefits:
(a) It allows the yeast to achieve its maximum rate of activity before it is added to
the dough. As already stated, yeast gassing rate increases with fermentation time.
(b) By-products of fermentation are created in the brew and these may contribute
to the fmal flavour of the product.
(c) The acidity of the brew changes as fermentation proceeds and many users of
the brew system use the measurement of the total titratable acidity (TTA) of
the brew as a means of testing when it is ready to be chilled to retard further
fermentation and acidity build up and is ready for use.
The TTA level may affect product flavour and it is felt by users to be
important for final dough development and the product crust colour, perhaps
due to its effect on the Maillard reaction during baking. The brew system is a
popular method of hamburger bun production, where standard product volume and crust colour are important quality factors.
(d) The final dough is mixed on high energy horizontal batch mixers or on
continuous mixers as for the sponge and dough process, with development
taking place due to the mechanical energy imparted on the dough in the
presence of oxidants. The dough is processed immediately, or shortly after,

3.9.3 The green dough process

This is a bulk fermentation method developed in the late 1950s by the Institute for
Grain, Flour and Bread, Wageningen, Holland. It involves a considerable number
of operations in handling the dough and, where used by large-scale bakeries, it



requires a large amount of processing equipment. The basic principles of the

process are as follows:
(a) The Dutch bread dough recipe is similar to that of bulk fermentation but
usually contains emulsified bread fat, a low level of sugar and extra yeast.
(b) The dough is mixed more thoroughly than for a bulk fermented dough, either
in a 'speeded up' low speed mixer or more popularly in recent times, in a spiral
mixer. Dough temperature is similar to a bulk fermentation dough at 26-

(c) The dough is divided immediately after mixing, the dense dough giving good
divider accuracy, moulded round and passed into the pockets of a travelling
intermediate prover. The dough pieces spend 35-40 minutes in the intermediate prover, are transferred to a conical moulder to be balled up again and are
transferred to a second travelling intermediate prover. Rest time in the second
intermediate prover is again 35-40 minutes before the dough pieces are passed
through a final moulder, panned up and passed to the final prover.
Dough development by the green dough process (described as such because the initial dough is 'green', i.e. unfermented) is achieved by the bulk
fermentation of the individual dough pieces. It does involve a considerable
number of dough pieces being in the intermediate proving system at any one
time, i.e. at a throughput of 30 pieces per minute and two 35-minute intermediate proof stages, over 2000 dough pieces are in the intermediate provers at
any one time. This calls for good temperature and humidity control in the
intermediate provers and trouble free transfer systems.

3.9.4 Standard Dutch bread

While discussing a Dutch breadmaking process, it is interesting to note that Dutch
bread must still be sold on a minimum dry solids weight basis rather than simply
by total weight. The Dutch baker must evaluate what dough piece weight he
requires to give a particular dry solids weight in the final bread. The higher the
water level in the dough, for instance, the higher his scaling weight must be. Charts
are available to assist him with the calculation.
Provided the initial dough piece weight is sufficient to give the required dry
solids weight, the baker does not have to concern himself with the degree of weight
loss during baking and cooling affecting the final product weight, since the dry
solids content will remain the same.
The above contrasts greatly with most other countries, where minimum and
average bread weight when sold is the legal control. This means that well baked
crusty breads such as baguettes, bloomers, etc. must be scaled heavier at the dough
dividing stage than lightly baked bread for slicing and wrapping. Great care must
also be taken to ensure baking and cooling consistency to avoid excessive weight
loss in individual or batches of products.



3. 9. 5 Dr Calve/ 's autolysis process

This rapid dough development method was developed in France in 1956 by a
Professor Calvel and is now used, with adaptations, by a number of high output
bakeries in France, Spain and Italy for the production of baguettes and similar
crusty breads. Spiral mixing systems are used in these automated production
The Calvel autolysis method involves three mixing stages:

1. The mixing of the flour and water only on fast speed on the spiral mixer. It is
recommended that the hydration of the flour is achieved as quickly as possible
during this stage, hence mixing on fast speed, and mixing is complete when
the gluten is fully hydrated and a clear dough obtained.
2. The dough is now left in bulk to rest and this, together with the initial mixing
time, is described as the time when autolysis proceeds, which means the
absorption of water by the flour protein and starch.
3. The final stage is the addition of yeast, salt and other dough ingredients and an
intensive mixing of the dough is given to complete the dough development.
The Calvel process would appear to have been adopted by some high output
plants using modem spiral mixers of high output. The author is aware of fully
automatic spiral mixing systems, where the mixing bowls rotate on a carousel,
stopping at various processing points, i.e. Position 1, flour and water addition;
Position 2, mixing of flour and water, say 3 minutes on fast speed; Positions 3 and
4, dough rest positions, say 15 minutes each, with yeast and other ingredients added
at the end of the rest period in Position 4; Position 5, final dough mixing, say 6
minutes on fast speed; Position 6, bowl elevation and dough tipping. The empty
bowl continues to Position 1 to start the cycle again.
The above plant gives a continuous production of dough, the output depending
on the mix size, with 1200 kg dough output per hour and above possible.
Dough development on the Calvel system is by mechanical action during final
mixing in the presence of ascorbic acid as the oxidant. The initial mixing may aid
the conversion of ascorbic acid to dehydroascorbic acid since it takes place in the
absence of yeast and the ascorbic acid is not competing with the yeast for the
available atmospheric oxygen.
Users of the system claim the following advantages over a one-stage mixing
system: softer but less sticky doughs which are easier to process; improved product
volume; softer crumb; longer shelf-life; better flavour.
The process times given above are guides only, users being very guarded about
the actual times they use. It is also possible to use energy input as a measure of
dough development rather than simply mixing to a specific time.

3.9. 6 German sour dough process

The use of a 'sour' as a dough ingredient is widely used in Germany, Sweden,



Denmark and a few other countries for the production of rye breads. The purpose
of the sour is to:
(a) Increase the acidity of the dough to inhibit a-amylase activity during the early
stages of baking. This is because rye starch gelatinises at an earlier stage in
baking than wheat starch and is therefore susceptible for a longer time to attack
by a-amylase and the possibility of excessive dextrin production. The flour
diastatic activity must also be carefully controlled.
(b) To add flavour to the rye bread. A portion of sour may also be included in
wheat flour crusty roll recipes for this purpose.
(c) To help form the structure of rye bread, both by its effect on wheat gluten in
the dough and on starch gelatinisation during baking, which is very important
since there is very little gluten to coagulate to provide protein structure and
gelatinised starch is an important part therefore of rye bread structure. Sour production. There are many methods of making a sour, the purpose
of which is to build up a high level of acidity in a slack rye flour and water mixture
by lactic acid fermentation. In traditional methods the sour is started with a pure
culture of lactic acid bacteria, followed by successive stages of making the new
sour from part of the previous day's sour, the process carrying on for many months
before a new starter sour is made from a further pure culture oflactic acid bacteria. Proprietary sours. It is possible to buy premanufactured dried sours
(Trockensauer) in powder form ready to be added directly to the dough ingredients.
These consist of sour dough extracts, food grade acids (lactic, acetic, tartaric and
citric) and pregelatinised starch. Sour usage level. The amount of sour in the recipe is directly related to the
level of rye flour in the rye flour/wheat flour mixture, the higher the level of rye
flour the more sour in the recipe.
3. 9. 6. 4 Dough mixing and processing. The higher the rye flour level the shorter the
mixing time. Rye dough is soft and sticky and requires special handling techniques
for dividing and moulding. Special methods of proving and baking are also
required, although standard methods for wheat flour bread can be used when the
ratio of rye to wheat flour is low, i.e. 20/80.

3.10 Ingredients
3.10.1 Flour

To make any bread product the flour specification must meet the product and
process requirements. Protein quality and quantity, water absorption, a-amylase



activity, starch damage, etc. have to be matched with product and process requirements, and with the influence of other ingredients in the recipe. DATAEM
emulsifier and dried gluten are two products which may be included in a recipe to
strengthen and stabilise the dough and allow a weaker flour to be used. The
Chorleywood Bread Process allows a lower protein flour to be used in comparison
to one for a bulk fermentation process but the flour quality must still match the
product requirement. Crusty bread and rolls will need a higher protein flour than
standard sliced and wrapped bread.
The changes in permitted flour oxidants have already been discussed and it has
to be said that these changes have been met by the industry without too many
problems or loss of quality but at increased ingredient cost.
3.10.2 Dried gluten

It has already been stated that dried gluten is widely used as a flour protein

supplement at the flour mill. However, it is also an important ingredient added by

the baker to some products. Traditionally, dried gluten was a useful ingredient in
oven bottom crusty bread and rolls, helping to give the dough the strength it needs
to stand up well during proof and baking. It is still used for this purpose, although
it has largely been replaced by specialist emulsifiers. However, the combined
benefits of dried gluten and DATAEM emulsifiers are employed in many products,
in particular wholemeal breads and specialist brown and white breads which may
contain added fibre, whole grains, softened grains, cracked wheat, seeds, etc. which
need the improved dough stability, gas retention and product volume provided by
these products.
Dried gluten is popular for products in which a minimum of additives is required
for marketing reasons. Gluten is listed as wheat protein on the product label, which,
together perhaps with ascorbic acid (vitamin C), has more appeal for some
customers than a label containing E number emulsifiers and other oxidants.
3.10.3 Emulsifiers

Emulsifier technology has progressed greatly in recent years, particularly in the

manufacture of emulsifiers in an active state which are easy to use and can be
blended into compound dough additives.
Emulsifiers have played an increasingly important role in bread production and are
used to: (a) increase dough stability and gas retention; (b) improve product volume,
particularly in crusty and high volume breads, where emulsifiers may be an essential
ingredient; (c) allow weaker flours to be used, where standard bread quality would not
be possible without a suitable emulsifier being included in the recipe; (d) aid dough
stability, gas retention and volume in brown, mixed grain and high fibre breads; and
(e) improve crumb softness and keeping quality in enriched morning goods- teacakes,
soft rolls, fruit buns, etc. The following describes some common emulsifiers. Further
details of these and other emulsifiers are given in chapter 8.



3.1 0. 3.1 Glyceryl monostearate (GMS). GMS has been used for many years as an
improver in bread, rolls and enriched morning goods. It has powerful emulsifying
properties and has an ability to complex with starch, slowing down the rate of
product staling (crumb firming).
GMS can be added as a crumb softener, reducing the fat required for that
purpose. In certain soft roll and enriched products produced on a national scale,
and where sale and consumption may be 3-4 days after manufacture, the emulsifier
level is adjusted to give the crumb softness required for the product when consumed, taking into account staling during the 2-3 days. The product may in fact be
too soft for eating immediately after manufacture but will be in the correct condition
when sold.
GMS was previously sold in powder form and had to be hydrated with hot water
to change it to its active crystalline state. It is now available in an active hydrated
form and is used as a component in compound dough additives. Powdered GMS
products are also available which are said to be 'self hydrating' and can be added
dry to a recipe or included in a compound dough additive.
3.1 0.3.2 Lecithin. Lecithin is fairly widely used on the Continent for its properties
of improving dough stability and tolerance, and loaf volume and texture. It is
expensive and a sticky substance to handle and its use may be declining in favour
of emulsifiers contained in compound dough additives. An alternative improver is
soya flour (section 3.10.4), of which lecithin is a component.
3. 10.3.3 Diacetyl tartaric acid esters of monoglycerides. Commonly called
DATAEM, this has become the most important emulsifier compound used in many
The popularity of DATAEM is due to its ability to complex with the flour
proteins and increase the strength of the gluten, giving it better stability and
improved gas retention properties. The use of the improving properties of
DATAEM is wide ranging. (a) It enables good volume products to be made from
low protein flour. (b) It allows high volume crusty rolls and bread to be made from
flour which would previously have had to be high protein or supplemented with
dry gluten. DATAEM is also widely used in low density 'aid to slimming' breads,
which are at least double the volume of standard breads. (c) A further use of
DATAEM is in brown breads, particularly those with inert materials (materials
which do not contribute to the dough strength and have to be carried). This includes
bread with added bran, pea fibre, whole cereal grains, cracked wheat, softened
grains, seeds, etc. DA T AEM aids dough stability and tolerance, allowing it to be
handled through automatic plants, and aids gas retention through final proof and
the early stages of baking. The successful marketing of wholemeal, specialist
brown breads and improved fibre white breads has been largely due to their being
made with a volume, crumb firmness and keeping quality which is similar to white
bread. This meets customer preferences and is largely made possible with the use
of DAT AEM and other recipe and processing changes.



3.1 0. 3. 4 Stearoyl-2-lactylates. These emulsifier compounds have both starch complexing and protein complexing properties and can therefore be used to improve
dough stability and gas retention, as well as crumb softness and keeping properties.
However, they do not appear to be as cost effective or as good as GMS or DATAEM
when used for their respective purposes and have not achieved a high level of use
in comparison to them.

3.10.4 Soya flour

The benefits of full fat, enzyme-active soya flour in breadmaking have long been
recognised, soya flour improving dough handling, stability and gas retention and
giving better oven spring, product volume and improved crumb texture and colour.
The benefits conferred by soya flour are attributed to: (a) its lecithin content
which has valuable emulsifying properties; and (b) the action of the soya flour
enzyme lipoxygenase which can have a bleaching effect on flour carotenoids
through a series of complex reactions with flour lipids and atmospheric oxygen and
can aid oxidation of the flour proteins by a similar series of reactions.
Soya flour is a popular base for compound dough additives used for all
breadmaking processes, containing the essential ingredients in a well dispersed and
easy to add form, while conferring its own improving functions to the dough.

Fats may be added to a dough to: (a) confer the essential fat requirement of no-time
breadmaking processes; and (b) improve the crumb softness of the product. As
stated earlier, the fat requirement ofno-time doughs may be met by adding standard
fat at a level which ensures some fat remains unmelted at the end of final proof.
The level is around 0. 7-1% for a fat with a slip point of 43C. A lower level of a
high melting point fat can be used and this is normally included in a compound
dough additive to ensure even dispersion in the dough. Fat levels in enriched goods
can range from 5-15% of flour weight and above. The fat level can be reduced
when GMS or stearoyl-2-lactylate are included in recipes for enriched morning

3.10.6 Sugar
Sugar has two possible roles in breadmaking: (a) as a substrate for the yeast during
fermentation; and (b) to confer sweetness to particular products, i.e. fruit buns,
doughnuts, Danish pastries, etc.
Flour contains around 1.5% of sugar, consisting of sucrose and monosaccharides, and these can be metabolised directly by the yeast enzymes. When the supply
of the flour's natural sugar has been exhausted the yeast will metabolise maltose
sugar, which builds up in the dough due to the combined action of the flour's
diastatic enzymes a- and J3-amylase on the damaged starch fraction of the flour in



the dough. Yeast will only metabolise maltose if there is no further source of
sucrose or its derivatives left in the dough. If sucrose, glucose or dextrose are added
to the dough as ingredients, the yeast will metabolise these before maltose. In shortprocess doughs therefore with added sugar, the yeast may not use the maltose in
the dough. Where sugar is not added to bread recipes, the yeast relies on natural
sugars and on maltose for its substrate. Provided the diastatic activity of the flour
is satisfactory, either naturally or supplemented with malt flour or fungal a.-amylase, and there is an adequate level of damaged starch, there will be an ample supply
of substrate for the yeast, even in long overnight bulk fermentation doughs. It would
be unusual to have a lack-of-gassing problem with today's breadmaking ingredients and processes. However, manufacturers of compound dough additives may
include dextrose sugar and the yeast nutrients calcium sulphate and ammonium
chloride as a safeguard to ensure continuing fermentation in high volume products,
which contain a high yeast level and have to be expanded to at least double the
volume of standard bread during a similar proof time. It further ensures an adequate
supply of gas during the early stages ofbaking when the fermentation rate increases
as the dough temperature rises, until the yeast is thermally inactivated. Good gas
production during the early stages of baking is vital to ensure good oven spring.
Additional sugar is added to certain doughs for sweetening purposes and the
level can range from 5-20% of flour weight. Sugar has a retarding effect on yeast
activity because it increases the osmotic pressure of the dough liquid phase and
extra yeast must be added in direct proportion to additional sugar to ensure adequate
gas production.
Sugar increases product volume and will increase crust colour unless an adjustment is made to the oven temperature. Dextrose monohydrate is commonly used
as an alternative to sucrose in plant bakeries on cost grounds. There are proprietary
glucose products which are widely used for their improving effect on crumb
softness and other quality factors.
3.1 0. 7 Malt flour and fungal a.-amylase

During fermentation amylolytic (also called diastatic) enzymes attack the damaged
starch fraction of the dough flour. In simple terms these consist of two enzymes,
a.- and ~- amylase, which react with the damaged starch to form, ultimately,
maltose, which can be utilised by yeast as a fermentable sugar. Flour contains ample
supplies of ~-amylase but may have to be supplemented with a.-amylase. Two
sources of supplementation are possible: (a) enzyme-active malt flour, which
provides cereal a.-amylase and (b) fungal a.-amylase.
Both sources of a.-amylase will be satisfactory supplements for a flour deficient
in a.-amylase and ensure that there is an adequate supply of maltose, if required,
for yeast metabolism. It is interesting to note that yeast will only turn to maltose as
a source of substrate if its supply of natural flour sugars, or added sucrose, runs out.
Maltose production is particularly important for long fermentation doughs and for
no-time doughs for high volume products, where high yeast levels are used and



considerable dough gassing is required to achieve the desired product volume. This
in turn means a high level of substrate is required by the yeast.
There is an important difference between the action of cereal and fungal
a-amylase during the early stages of baking. During baking the hydrated flour
starch in the dough starts to gelatinise, making it available for attack by the
a-amylase enzymes; in the same way it can attack damaged starch in the dough
during fermentation but at a much higher rate. a-Amylase produces dextrins, sticky
substances which in the dough are further broken down. If excessive breakdown
of the gelatinised starch occurs during baking, excessive levels of dextrins are
produced, giving the bread a very sticky crumb which can cause problems with
bread slicing. The action of a-amylase on the gelatinised starch releases water,
causing softening of the gelatinised starch structure, and this appears to generate a
better oven spring. However, if excessive dextrin production and softening takes
place, excessive oven spring occurs which, in combination with the weak sticky
crumb, causes excessive volume and collapse of the sides of the bread.
It is desirable therefore to have controlled a-amylase activity during the early
stage of baking for the beneficial effects it has on oven spring. Fungal a-amylase
is more heat sensitive than cereal a-amylase and is inactivated by the increasing
dough temperature before excessive conversion of gelatinised starch to dextrin
takes place. Fungal a-amylase is therefore considered a safer source of a-amylase
than cereal a-amylase and has replaced malt flour as an ingredient of many
compound dough additives.
The use of fungal a-amylase as an improving ingredient in most types of bread
products has increased greatly over the last few years, it conferring improved
volume and crumb softness on the resultant bread. The usage level is small, being
around 120 ppm on flour weight, compared to malt flour at around 1800 ppm on
flour weight.
The malt flour discussed above is a high diastatic activity type which has a high
a-amylase activity. Other malt flours and extracts are available with low or no
diastatic activity. These are used in brown breads, where they add colour and
flavour, and in malt breads, which are characterised by a sticky crumb and a high
malt flavour.
3.10.8 Compound dough additives (also called bread improvers and dough conditioners)

These are commercial products which are blends of the essential ingredients
required for a breadmaking process, together with improving ingredients such as
soya flour, fats, emulsifiers, etc., the actual formulation depending on the
breadmaking process and the product, or range of products, which are to be
produced. The ingredients in the compound dough additives are balanced to give
a particular rate of usage, with 1% and 2% of the flour weight being popular.
Until recently, compound dough additives were available to suit: (a) the
Chorleywood Bread Process; (b) Activated Dough Development; (c) bulk fermen-



tation; and (d) a universal product, suitable for the Chorleywood Bread Process, a
no-time dough using spiral or low speed mixers, a short-time bulk fermentation
Within each dough processing category products are available for: standard
bread, crusty bread and rolls, high volume bread; brown bread; soft rolls, teacakes
etc; sweet fermented goods such as buns, fruit bread, doughnuts, etc. Some
products are designed for one particular type of fermented product, while others
are designed to cover a range of products by varying the usage rate, i.e. 1% for
standard bread, 1.5% for crusty bread, 2% for high volume breads, rolls, hamburger
buns, etc.
With the removal of bromate in 1990 from the UK permitted improver list, the
Activated Dough Development process is no longer used and has been replaced
with the spiral mixing process using ascorbic acid, contained in a compound
additive, as the dough oxidant. This product can also be used for producing a
no-time dough on low speed mixers provided a thorough mixing is given and in
high speed mixers using the Chorleywood Bread Process.
The range of compound dough additives available is phenomenal, with some
products generally based on soya flour, and others generally based on fat and
emulsifier. Although all manufacturers' formulations must conform to the permitted list of additives, and therefore must be similar in composition, each formula is
jealously guarded. Expertise between manufacturers in blending ingredients and
in utilising sophisticated emulsifiers in their formulas can lead to advantages in use
between products. Example formulas. Two examples follow of the formulation of compound

dough additives, one designed for standard pan breads produced on semi- or
automatic processing equipment, the other for a full range of products produced by
all processes, but giving a wide dough tolerance and stability:


Standard pan bread improver for Chorleywood Bread Process: soya flour,
vegetable fat, flour improver E300 (ascorbic acid). Use at 1% of flour weight
and mix dough to 11 watt hours per kilogram.
Specialist general purpose additive for all processes and a wide range of
fermented products; soya flour, dextrose; emulsifier E472e (DATAEM); flour
improvers E300 (ascorbic acid) and 927 (azodicarbonamide). Use at following
levels: pan bread l %, bloomer and Vienna bread 1.5%; hamburger buns,
morning rolls, baguettes 2%. Mix dough as follows: Chorleywood Bread
Process- 11 watt hours per kilogram or mix for 2~-3 minutes if high speed
mixer has no watt hour meter; spiral mixer- 3 minutes slow speed, 5-7 minutes
fast speed; twin arm low speed mixer 25-30 minutes; planetary mixer with
dough hook, straight or spiral- 10-15 minutes 2nd speed or 20-25 minutes
1st speed.
All the above doughs are processed immediately after mixing.


ADVANCES IN BAKING TECHNOLOGY Flour treatment. A fundamental effect on the range and usage of compound dough additives has been the recent availability of both treated flour (flour
oxidant, ascorbic acid, added at the mill, with or without treatment with benzoal
peroxide and chlorine dioxide) and untreated flour (no flour oxidant added or
treatment with benzoal peroxide or chlorine dioxide given). Some flours are also
available with no flour improver added at the mill but the flour is treated with
chlorine dioxide and/or benzoal peroxide.
When using a compound dough additive it is important to know if the flour is
treated or not, to ensure that the combined level of oxidant in the flour, if treated,
and the level of oxidant in the additive does not (a) exceed the legal maximum or
(b) cause over-oxidation of the dough. A dual range of compound dough additives
has evolved therefore, one to be used with treated flour, the other with untreated
flour. Dual purpose additives are also available, designed to be used at a higher rate
with untreated flours. The reason for the availability of treated and untreated flours
is because many bakeries, to meet a certain demand for products with a minimum
of additives, are making bread and other products with untreated flour and adding
only ascorbic acid at the dough stage in the form of a compound dough additive.
Some bakers also feel that it is better for them to add the full ascorbic acid
requirement at the dough stage, rather than the miller add part and they add part. Calcium propionate. A further component of some compound dough
additives, which has fallen out of favour, is calcium propionate, an inhibitor of
mould and rope (crumb deterioration due to the Bacillus subtilis bacteria). This is
again due to a desire to cut the number of declared additives in bakery products,
particularly those with E numbers. Vinegar has replaced calcium propionate as a
preservative in bread because it is felt that:
(a) Vinegar has better appeal on a label than declaring calcium propionate, or its
E number E282, as a preservative.
(b) Vinegar can be listed as an ingredient of bread and not as a preservative. Concentrates. A further form of compound dough additives is concentrates but these contain almost all the ingredients required for particular fermented
products except flour, yeast and water. For most products the concentrate, with
flour, yeast and water, is sufficient but some enriched products such as fruit buns,
doughnuts, etc. may require additional fat and/or sugar. The concentrate may be
supplied in bags ready to be weighed out as required, or in colour-coded sachet
packs, the usage rate being one sachet per 16 kg of flour. Sachets are a method of
adding concentrate which is popular with supermarket instore bakeries, ensuring
that there are no problems caused by inaccurate weighing of the separate ingredients or using the wrong concentrate.



3.10.9 Yeast Yeast forms. As already stated, yeast confers flavour to bread through the
by-products of fermentation, provides gas to expand the dough during final proof
and the early stages ofbaking, and when used in a bulk fermentation process, yeast
aids dough development.
The most widely used form of yeast is compressed, which contains 70% water.
A drier granular yeast was used for a period of time by plant bakers but had a
problem of rapid temperature rise when exposed to the air due to the yeast reacting
with atmospheric oxygen. This could cause rapid quality deterioration and granular
yeast had to be used with great care after the 12 kg bag was opened. Cream yeast
is now favoured by many plant bakeries, containing around 85% moisture and
delivered in chilled stainless steel containers for metering directly into the mixing
machine. This saves the cost of the operations of passing the yeast through rotary
surface filters to remove water, then passing the partially dehydrated yeast through
an extruder and cutter to give it the compressed block form.
New forms of dried yeast are available which can be added directly to the dough
ingredients without having to hydrate it before addition. The additional cost of this
dried yeast over compressed and cream yeast makes it uneconomical for commercial bread production where supplies of fresh yeast are readily available. It is widely
used in areas of the world where fresh yeast availability is a problem and/or ambient
temperatures cause delivery and storage problems for fresh yeast. Complete bread mixes. The instantly active dried yeasts are used in
complete bread mixes for home and catering use, with only water requiring to be
added. The flour for these mixes is normally specially dried to a 7-8% moisture
content to prevent deterioration of the dried yeast during storage of the mix.
This type of dried yeast is also sold in 6 or 7 g sachets for home use. The sachets
are made from a high quality plastic and foil laminate, flushed with nitrogen to
remove oxygen and sealed well to prevent leakage.
3.1 0. 9. 3 Fermentation. The action of yeast in a fermenting dough is a very complex
biological activity, with enzymes playing a vital part in the production of carbon
dioxide gas to aerate the dough. To illustrate the roles of the three principal
enzymes, the following simplified description of their action is given.

(a) Invertase. This is located on the surface of the yeast cell and converts sucrose
to glucose and fructose, termed monosaccharides or simple sugars. Invertase
action is very rapid and sucrose in the dough is converted to glucose by the
end of the mixing stage.
(b) Maltase. This is located inside the yeast cell and converts maltose to glucose.
Maltase will only act when the supply of monosaccharides derived from
sucrose, or added to the dough, has been exhausted.
(c) Zymase complex. Zymase is a mixture or complex of enzymes located inside



the yeast cell which convert glucose, fructose and other monosaccharides to
carbon dioxide and ethyl alcohol.
While the rate of enzyme activity and therefore carbon dioxide production varies
with temperature, the level of substrate available to the yeast cell does not affect
its gassing rate. Provided there is no deficiency in substrate, adding more in the
form of sucrose or glucose as recipe ingredients will not cause an increase in gas
production. The yeast will produce gas at the same rate and will only ferment the
added sugar if it requires it in the later stages of proof or early stages of baking.

3.11 Processing equipment

3.11.1 Chorleywood Bread Process
About 85% of bread sold in the UK is made by the Chorleywood Bread Process
using fully automatic batch mixing systems. The mixers are microprocessor
controlled and linked to flour, water and minor ingredient feeds, with the yeast
being fed in as cream yeast or added as compressed yeast. The dough is mixed to
a specific work input and dough throughput is regulated by the microprocessor in
relation to the required plant output. A sensor in the divider hopper feeds information to the microprocessor when a new charge of dough is required and this prevents
doughs being made too quickly and having an excessive dwell time in the hopper,
with adverse effects on bread quality. A dough consistency meter may also monitor
any changes that may be necessary in the dough water content. A visual display
monitor will give the mixer operator information on the recipe in use, process
requirements, current position in the mixing cycle, dough throughput, etc., and give
him warning of any process or equipment fault.

Figure 3.6 A batch of bread dough being tipped from a Biplex mixer, suitable for the Chorleywood
Bread Process, into a dough elevator which transfers it to the dough divider hopper. (Courtesy APV
Baker Ltd.)



Tweedy of Burnley became the principal manufacturer of automatic mixing

systems for the Chorleywood Bread Process and an excellent and interesting
account of the history of their involvement in the commercial development of the
process, and in the process itself, is contained in Breadmaking: the modern
revolution (Williams 1975). Baker Perkins also became a leading supplier of
mixing systems for the process and later developed a further model, the Biplex
(Figure 3.6), which operates at a lower work input, around 7.5 watt hours per
kilogram of dough, than the standard 11 watt hours per kilogram. Tweedy and
Baker Perkins are now part of APV Baker Limited.
The only continuous mixer to have any lasting success in the UK was the Oakes
Continuous Mixer/modifier, manufactured by E.T. Oakes Ltd. It operated fully on
the mixing principles of the Chorleywood Bread Process and the dough was
divided, balled up, given a first proof and moulded as for dough from a batch mixer.
Several Oakes continuous mixers operated very successfully for many years,
producing excellent bread. The reasons given for the demise of the Oakes mixer in
favour of batch mixers were: it did not achieve the same yield as batch mixers; it
was less versatile; the use and selection of oxidants was more critical than with
batch mixers.
High speed mixers suitable for the family baker were developed by several
companies and are still available today but with a smaller choice of manufacturer
and sizes of models. Most of the high speed mixers designed for family and instore
bakeries operate on timers only and not work input measurement. This is not in line
with the strict principles of the Chorleywood Process but gives satisfactory results
for the type of bread produced by these bakeries on semi-automatic methods, the
process having some tolerance to slight under- and over-mixing. However, it is
important for the baker using a timer only to keep a close check on dough
temperatures since the temperature rise during mixing is a good guide to dough
development, based on the fact that 11 watt hours work input per kilogram of dough
gives a l4.5C dough temperature rise during mixing. If the set mixing time,
normally 2.5-3 minutes, gives a higher temperature increase than this the mixing
time is reduced and it is increased if the temperature rise is lower.
3 .11. 2 Spiral mixers

The spiral mixer is used by the vast majority of family bakeries, instore bakeries
and by plant bakeries for the production of crusty rolls and bread. The spiral mixer
replaced the low speed traditional mixer and in some cases high speed mixers,
where the use of the spiral was advantageous for processing or product reasons.
Spiral mixers are available in a very wide range of dough capacities and in fixed
bowl and removable bowl models. They have two mixing speeds, with automatic
timing and changeover from slow to fast speed. Mixing time is usually 3 minutes
slow and 5 minutes fast speed.
Fully automatic spiral mixing plants are available which give a continuous
output ofbatchs of dough, with automatic ingredient feed and mixing cycle, with



microprocessor link to the processing plant and discharge to the divider hopper as
required by the plant throughput. One manufacturer, SanCassiano ofltaly, has the
facility to inject liquid carbon dioxide gas through a narrow hole in the spiral mixing
element of special models of their mixers for dough cooling purposes.
Spiral mixers were initially used for bulk fermentation, Activated Dough
Development and no-time doughs using continental compound additives based on
ascorbic acid and emulsifiers. Many more products based on ascorbic acid became
available which had applications in high speed and spiral mixers; these were in fact
universal products, since they could be used in low speed mixers and for short-time
bulk fermentation processes. Part of the reason, as mentioned earlier, for the
development of these products was the desire by some producers and retailers for
bread products with a minimum of additives, ascorbic acid being the most acceptable oxidant from a product-labelling point of view.
It would seem indeed fortunate, with the ban on the use of potassium bromate
in the UK, that the spiral mixer is so suited to systems which rely on ascorbic acid
as the sole oxidant, and is already used by so many bakers.
Low speed and general purpose mixers are also used as above with varying
degrees of success. Emulsifier-based additives may be used to improve dough gas
retention where dough development is incomplete.

3.11.3 Dough handling plant Dividers. Dough dividers are available for all sizes of production, from
the 1200 an hour output of the family bakery to the 5000 or more of a plant bakery
model. Most dividers operate on a volumetric principle, which means that any
inconsistency in the density of the dough will give weight variations. Modem
no-time dough mixing systems give a dense, consistent density dough which aids
divider accuracy.
After dividing, the dough pieces are balled up and transferred to an intermediate prover to relax before final moulding. Intermediate provers are always part
of dough dividing/moulding plants for bread but are frequently omitted from roll
dough processing plants. Final moulders. The operation of a final moulder for bread consists
basically of sheeting the dough through one or more pairs of rollers, rolling it up
'Swiss roll' style and rolling it to the length required. Models range from single
pair of sheeting rollers with a short rolling out area, to models with four pairs of
sheeting rollers, a long moulding length and an automatic panning station.
Roll plants may have fmal moulders for finger rolls and a pinning station for
haps, etc. The larger plants have automatic panning of the dough pieces, with
collation of the products into a format to suit the number required on the trays.





Figure 3.7 Examples of single- and four-piece bread moulding. (Courtesy FMBRA.)

3.11.4 Moulding/panning methods

The way a moulded dough piece for pan bread is put into the pan affects how the
cross section of the Swiss roll moulding develops as the final texture of the bread.
Four-piece panning of the dough piece has been a popular method of improving
final bread crumb structure for many years.
Courtesy of T.H. Collins of the FMBRA Chorleywood, the illustrations in
Figures 3.7 to 3.9 demonstrate with the aid of two colours of dough, the cross
section of ' single-piece' and 'four-piece' dough and bread. The bread illustrations
are particularly interesting, showing the movement of the dough during final proof
and baking, which is very different for the two panning methods.

Figure 3.8 Cross section of one-piece (left) and four-piece (right) dough in the baking pan, using
two-coloured dough to illustrate the difference between them. (Courtesy FMBRA.)



Figure 3.9 Cross section showing 'movement' of dough during proof and baking: left, single piece
moulding; right, four piece moulding. (Courtesy FMBRA.)

3.11.5 Final proof

The aim of the final proof is to create a warm and humid atmosphere to prevent
'skinning' or surface drying out of the product and to maintain or increase the dough
temperature to aid yeast fermentation during the final proof period, the fermentation rate being directly related to dough temperature. It is important to maintain
consistent final proof temperatures in automatic proving systems to ensure that the
dough has risen to the required proof height in the fixed final proof time before
automatic transfer to the oven. Proving temperatures for most products are in the
temperature range of 40-50C, with a relative humidity of 80-85%. Lower
temperatures may be used for crusty breads, high volume breads and specialist
brown breads which contain high yeast levels. The longer slower proof gives
improved dough stability during proof and prevents too rapid proving due to the
high yeast level, the higher yeast level giving improved oven spring during the
early stages of baking. For crusty breads it is also felt that the longer proof creates
fermentation by-products and enzymic action on the flour protein which improve
the crust structure and colour, and the flavour of the product. Temperature. Final proof temperatures of25-40C may be used in the
above applications and the use of provers with refrigeration facilities to 'reduce'
the prover air temperature when the bakery ambient temperature is higher than the
required proving temperature is popular in France for French breads. Overnight. An 'overnight' final proving method is used by some bakers,
particularly in Scotland, for the production of small weight products such as crusty
rolls, baps and pinned morning rolls. The dough is made with a very low yeast
level, 0.5-0.8%, processed and left to prove at ambient temperature for 8-16 hours,
the time depending on the individual bakery's method of operation. The shorter the
final proof time the higher the yeast level required and vice versa. The important
criteria for overnight proof are as follows:
(a) A no-time dough process must be used to ensure full development of the dough



at the processing stage. A bulk fermentation process is not possible because

of the low yeast level and it is important to use a process where the yeast level
can be adjusted at will according to changes in ambient temperatures and/or
in the overnight proof time.
(b) The products must be protected from skinning during fmal proof. This can be
achieved by: ( 1) proving in the bakery proving cabinet or room, with the
heating and humidity switched off. The heating and humidity can be timed to
switch on during the last hour or so of proof to aid completion of dough
expansion; and (2) proving under polythene rack covers at bakery ambient
(c) Check predicted overnight ambient temperature in the bakery and adjust yeast
level accordingly.
The advantage of overnight proof is that products can be produced at low-pressure production times ready for baking in the morning at peak production times.
The long slow proof also gives wide proof tolerance, allowing baking to be carried
out over a relatively wide baking period at the end of the final proof time. This
allows a much higher volume of products to be proved overnight than the bakery
oven capacity but they can be baked in several batches with little difference in
product quality between the first and last batches baked. The overnight proof also
creates additional fermentation flavour in the final product.
The main disadvantage of overnight proof is the uncertainty of bakery ambient
temperature according to weather conditions. The better the bakery insulation and
heating, the more consistent will be the ambient conditions and fewer changes will
be needed in the yeast level of overnight doughs.

3.11.6 Proof time

The overnight proof system is a good example of how final proof time is directly
linked with the proving temperature and the level of yeast in the dough. Increasing
proof temperature, within limits, will reduce final proof time and vice versa.
Increasing yeast level, within limits, will reduce proof time, and vice versa. Altering
yeast level to adjust final proof time is possible with no-time doughs but more
difficult with bulk fermented doughs, because yeast level is linked to dough
development. The 'within limits' cautions stated above refer to proof temperatures
or yeast levels which would create problems such as: (a) too high a dough
temperature during proof which would cause skinning or thermal death of yeast
cells; and (b) too high a yeast level which would give problems in processing the
dough, i.e. too much gas production before final moulding.

3.11. 7 Retarding and retarder proving

The relationship between dough temperature and dough gassing rate has been put
to good use in dough retarders for many years. By cooling the dough pieces after
processing to the traying-up stage, the rate of fermentation can be reduced to a



minimum and the proving of the dough pieces postponed or, as it is commonly
called, retarded, until a later time. This allows products to be made one day for
proving and baking the next day, although in some cases it is possible to retard for
up to three days.
There are two methods of applying dough retarding:
1. Having a separate refrigerated dough retarding cabinet or room in which the
products are retarded, followed by transfer to a proving cabinet or room when
2. Having a combined retarder prover, which has dual control equipment to
provide retarding (chilled) conditions when required and proving (heated)
conditions when required, with automatic changeover from retarding to proving conditions. This allows a timing system to be set to give proved products
ready for baking at any preset time.
Both systems have advantages and disadvantages and both have a place in
today's bakery.
The separate retarder is useful where a large number of racks of products have
to be retarded in relation to the oven capacity of the bakery. A large volume of
morning rolls, for example, can be produced during the day, placed in the retarding
room and removed at intervals during the night for proving and baking.
The retarder prover has the advantage that products are ready for baking at any
preset time, with no manual transfer from the retarder to the prover. However, since
all the products in the retarder prover are ready for baking at the same time, the
bakery oven must be able to cope with the capacity of the retarder prover. It is
possible to vary the yeast level in batches of products for a retarder prover to
alter final proof time and allow one batch to be ready for baking before another.
This allows the installation of a retarder prover with a higher capacity than the
bakery oven capacity but requires careful adjustment of yeast levels in the

3.11. 7.1 Retarding temperature. The normal operating temperature for a separate
retarder is 1-4C. Lower temperatures can be used but they can cause excessive
recovery and final proof times. On removal from the retarder, the dough pieces are
best left at ambient temperature for a short recovery period before transfer to the
final prover. Too low a retarding temperature, or insufficient recovery time, can
lead to large temperature differentials between the dough piece core and the
proving temperature. This gives uneven proving and inferior fmal products.
Retarder provers allow much more variation of retarding temperatures because
they give more control over recovery and final proof times and temperatures. The
lower the retarding temperature the longer and more controlled the recovery and
fmal proof times and temperatures to avoid wide temperature differentials between
the dough piece centre and the proving temperature. This is particularly important



for large dough pieces for bread which require low temperature retarding at -5C
or below to prevent proving taking place before the dough piece has been cooled
to the centre. It may also be necessary to decrease the yeast level in bread for
retarding to further prevent dough gassing during cooling.
The combination of low retarding temperature and large dough pieces, which
reheat slowly, makes it necessary to reheat the dough pieces in a slow two-stage
operation. The first stage, and this varies from model to model and with the
individual baker's requirements, may take the dough piece temperature from -5C
to +10C in 2 hours, called the recovery stage. In the next stage, the temperature
rises to 25-30C, the proving stage, and this may take 2-4 hours for the dough
pieces to reach their required proved volume. So the process of recovery and
proving may take 4-6 hours. This may seem a long time but it does not affect bakery
production, since it is a case of programming the retarder prover with the timing
required to give products ready for baking at a certain time, so whether or not the
unit starts the recovery and proving process 4 hours or 6 hours, or whatever, before
that time, makes no difference to the time set for the products to be baked. This
differs greatly from a separate retarder and prover operation, where a 4- or 6-hour
recovery and proving period would be unacceptable since it would make the baking
of the products too long a time after the products were removed from the retarder
and negate any production advantage in using a retarder system. Separate retarder
operations are therefore restricted to small dough pieces which will heat up quickly
when transferred to the prover and yeast levels are adjusted to give a 50- to
80-minute fmal proof time.
The long recovery and final proof times at relatively low temperature in retarder
provers are judged to give improved bread volume, appearance and flavour. It is
of course possible with smaller dough pieces to reduce recovery and proving times
in retarder provers and retarding at 1-4C and proving at 25-40C can reduce
recovery and final prooftime to 1-2 hours, depending on dough yeast level.
For successful retarding and retarder proving, it is important to have:
(a) Sufficient retarding (refrigeration) capacity for the product load, taking into
account product weight and shape, i.e. a 400 g bloomer or pan loaf dough
piece will take longer to cool than a 400 g baguette dough piece, which is
much thinner and has a larger surface area.
(b) Air distribution during cooling should be gentle and even to avoid surface
drying out of the product and uneven cooling.
(c) The unit should be designed to maintain a high humidity during retarding to
prevent skinning.
(d) In retarder provers, the unit should change automatically from retarding to the
recovery and proving functions, with full control over time, temperature and
humidity. Many retarder provers now employ microprocessors to monitor and
control these functions very accurately. A typical example is shown in Figure



Figure 3.10 A Williams multi-chamber retarder prover with microprocessor control.

3.11.8 Dough handling prior to baking

Many bread products require certain additions and handling methods after proof. Toppings. Seeds: these are popular to give flavoursome finishes to products. Sesame seeds are a standard topping for hamburger buns and for some
varieties of crusty bread and rolls. Poppy (maw) seeds are used on bloomer and
plaited breads and on crusty rolls. Carraway seeds are used as an ingredient in some
varieties of rye bread.
Flour: white flour is used to dust farmhouse and Danish breads before cutting
and for morning rolls. Brown flour, cereal flakes and bran are used as toppings for
brown breads. Cutting. The cutting ofthe dough surface after final proof is an integral
part of the processing of some bread varieties. The characteristic cuts in bloomer
bread, Vienna bread and rolls, farmhouse, baguettes, coburgs, etc. are well known.
The cuts help to characterise the product. They release stresses in the dough during
oven spring, open up during dough expansion to increase the crust area of the bread
and bake out to give an attractive appearance to the product and improved flavour. Turning. Some products are turned over partly through the baking time.
These include muffins, barmcakes and stottie cakes. Turning the product over
greatly changes its appearance compared to it being baked without turning, and the
additional baking of the top and bottom crust on the sole of the oven increases the
product crust flavour.



3.11.9 Steaming
The correct steaming of crusty breads is very important to achieve maximum
product volume, and a crust which has a good gloss and colour and is attractive
and flavoursome.
To achieve these characteristics, the dough piece must enter an oven chamber
which is full of steam. The steam condenses onto the cold dough surface, giving
up its latent heat of vaporisation which causes the dough surface to boil. This
gelatinises the starch, which covers the dough surface in a shiny film. It is essential
that a sufficient volume of steam is in the oven when the products are loaded to
condense onto the dough surface before its temperature increases above the dew
point of the steam. If insufficient steam is in the oven, or it enters the oven after
the dough piece has heated up, the product will have a poor crust gloss and
A steam filled oven chamber also allows the product to expand evenly before
its structure is set by the increasing temperature. Steam is released from the oven
partly through baking to allow drying off of the crust to give it maximum crispness.
Most deck and rack ovens have integral steaming systems. These consist ofheat
exchangers into which water is sprayed automatically when steam is required. This
creates a large volume oflow pressure steam very rapidly, meeting the need for a
high injection of steam into the oven chamber in a short space of time.
Steam for large travelling ovens is fed from pressure boilers. Where the boilers
operate at high pressure the steam is injected with water in the feed line to the oven
chamber to reduce its pressure and temperature and make it more suitable for
condensing onto the dough surface when it enters the oven.

3.11.10 Baking Tunnel ovens. The tunnel oven is used by plant bakeries because it is
ideal for continuous production and automatic transfer systems. Much research has
gone into improving the heating system in travelling conveyor tunnel ovens, to get
a better heat transfer to the products to reduce baking times and to improve fuel
economy. For bread baking the combined system of radiant heat from air-heated
radiators above and below the tunnel baking area, and force-convection heated air
blown from vents adjacent to the radiators, is the most popular. The baking time in
this type of oven may be, for example, 10 minutes less for 800 g (baked weight)
bread than when baking the same product in a conventional deck oven. Heat
recovery systems may also be built into the heating and steam evacuation areas,
with the recovered heat being used for partial space or water heating.
The tunnel oven is available in specific length sections, each section having its
own heating and control systems. One or more sections can be chosen to give the
baking length required and further sections may be added later if a higher baking
output is required. Conveyor widths vary, 3 metres being popular. The installation



Figure 3.11 800g bread leaving a tunnel oven, the straps of pans being transferred to depanning
and cooling equipment by conveyors. (Courtesy APV Baker Ltd.)

of a tunnel oven is normally part of an automatic baking system and will include
loading, steaming, unloading, depanning, pan return and bread transfer-to-cooler
systems (see Figure 3 .II). Conveyor ovens. The principle of this proving and baking system is that
trays or pans of products remain inline on a metre-wide conveyor during travel
through the proving and baking chambers, with the same in-line conveyor format
applying to the production lines. Advantages claimed for the system are: ease of
use; it can be automated; the products all pass through the same zones in prover
and oven, so there is no proving or baking variations due to uneven conditions, as
can occur in conventional proving and tunnel baking systems.
The conveyor proving and baking system seems particularly popular for hamburger bun production (Figure 3.12) but is also used for pan bread. Rack ovens. The use of rack ovens has increased greatly in the UK over
the last 20 years, in family bakeries, instore bakeries, plant producers of crusty
goods, meat pie factories, etc. The design of most rack ovens has improved greatly,
giving baking results which are more akin to those from deck ovens than previously.
The development of special trays and materials for crusty breads has helped, as has
improved steaming and heat transfer systems.
The saving in labour and in fuel costs with rack ovens in comparison to deck
ovens is a major factor in their popularity.
Oven capacity in a rack oven does vary according to product, the higher the
product the less capacity in the rack. Rack capacities in the oven can range from a
single rack to thirty or more in tunnel rack models.



Figure 3.12 Fully proved (risen) hamburger buns being transferred from a conveyor prover to an inline conveyor oven. (Courtesy APV Baker Ltd.) Deck ovens. The multi-deck electric oven is by far the most popular oven
for family bakeries and instore bakeries in the UK. Its versatility, each deck being
separately controlled, and its ability to bake all products well, are the main reasons
for its popularity. It is also compact, giving a good baking capacity for the area it
takes up. The most popular models are shallow depth, taking one baking tray deep,
so no peel is required for loading and unloading; deck capacity may be 1 to 6 tray
Larger models ofelectric, oil and gas-heated deck ovens are available,some with
loading devices for 'setters' for the production of oven bottom bread. Deck ovens
have advantages over rack ovens and vice versa, and therefore many family and
instore bakeries have a combination of deck and rack ovens.
3.11.11 Bread cooling and packaging

Cooling is an important part of the breadmaking process and has to be carried out
with care to ensure that the product is properly cool before packaging to prevent
condensation occuring and possible mould problems resulting; that the correct
moisture level is left in the product, both to maintain eating quality and avoid short
weight if excess moisture is lost; that the product is in a stable condition after
cooling to be sliced, wrapped or bagged, etc. Travelling carrier and spiral coolers
are popular, with control of temperature and moisture extraction.


ADVANCESINBAKINGTECHNOLOGY Vacuum cooling. A method of vacuum cooling has found favour for some
specialist, as well as normal cooling applications. The cooling principle of the
process is that a rack of products is put in a vacuum chamber and the air extracted.
The low pressure causes a vast increase in moisture evaporation from the product,
giving up its latent heat of vaporisation. This has a rapid cooling effect on the
product and careful control of the dwell time in the vacuum cooler prevents
excessive moisture loss.
Vacuum cooling is particularly good for products which are very unstable and
prone to collapse until they cool and the protein and starch structure stabilises. An
example of this is some varieties of malt breads, with a high malt sugar and dextrin
content. When products of this nature are subjected to vacuum conditions they are
held under negative pressure and hold their shape until their structure sets. This
principle allows products to be made which would collapse under normal cooling
3.1J.II.2 Packaging. Bread slicing principles have stayed fairly static but with
improvements in machine design with new components and engineering skills. The
biggest change has been the move from wax and cellulose film wrapping to bagging
of bread. Some wrapping remains for particular products or because of the preference of a particular baker or retailer, but bagging predominates. Packaging films
and laminates are available for all requirements, from the perforated packaging of
crusty bread to retain crust crispness, to morning goods packaging in low moisture
transmission films to preserve product softness.

3.12 Developments in retail baking

3.12.1 Instore baking

The growth of instore bakeries in supermarkets has been considerable over the last
20 years. The development of no-time breadmaking processes and the availability
of small capacity semi-automatic processing equipment has accelerated the popularity ofinstore bakeries. The no-time dough processes allow quick reaction to daily
trading trends, with extra products being produced within 11;2-2 hours of the start
of dough mixing. The semi-automatic equipments allows a clean, low-labour
operation and consistent product quality. Recipes. Complete dough additives have also been produced in sachet
form, containing all the dough ingredients required except flour, yeast and water.
Each sachet is designed to be used with a set quantity of flour, e.g. one sachet to
16 kg of flour, which is half the weight of a standard 32 kg bag of flour. Therefore,
two sachets are required per 32 kg bag of flour. Sachet colour may depict particular


85 Equipment. Standard equipment in a medium-size instore bakery may

include: water meter for tempering and measuring dough water; spiral dough mixer
or high speed mixer; small bread make-up plant-divider, intermediate prover,
moulder; French stick (baguette) moulder; semi-automatic divider moulder for roll
production; proving room and/or retarder prover; baking ovens- a combination of
a multi-deck electric oven, 15-tray capacity or higher, and a single or two rack
capacity rack oven is a popular choices; bread slicer; cake mixing machine; utensil
washing machine; cream aerating machine; etc. The equipment type and range can
vary between supermarket groups. Product range. The main production in instore bakeries is bread and rolls,
including many speciality brown and Continental breads. To widen the product
range without increasing the production equipment required, many instore bakeries
make use of commercially available frozen unbaked products such as croissant and
Danish pastry. These products simply require defrosting, proving and baking,
although these operations have to be carried out carefully to achieve maximum
product quality.
To provide a range of confectionery products in the instore bakery, ready made
bases for eclairs, cream buns, sponges, pastry cases, meringues, etc. are readily
available, requiring only to be creamed and any desired topping to be applied and
they are ready for sale.

3.12.2 Bake-offunits
In a further effort to get the final baking of the product before the eyes of the
consumer, bake-off units have been opened in supermarkets, convenience stores,
airport terminals, bus and railway stations, shopping centres and petrol stations.
The bake-off unit bakes the product only and does not have the equipment to make
the product from the basic raw materials, as in an instore bakery. Indeed, the space
available would make this impossible in any case and, with expensive sites, the
size of the bake-off unit is kept to a minimum.
The bake-off unit may use two types of product - frozen unbaked dough and
part-baked bread. Frozen unbaked dough. The dough for frozen dough is processed to the
final moulding stage, with the minimum opportunity for the yeast to start to
ferment, then blast frozen to -l8C and packed in polythene-lined containers. The
need for rapid processing of the dough is because once the yeast starts to ferment
it is easily damaged by the freezing process and gives poor gassing activity when
the dough is defrosted. The larger the dough piece the more difficult it is to freeze
rapidly to the centre and sophisticated processing and freezing techniques have
been developed by frozen dough manufacturers.



Dough handling. The correct handling of frozen dough products at the bake-off
unit is important to maintain product quality and normally consists ofthe following:
(a) Defrosting of batches of frozen dough for the next day's bake-off production
in a dough retarder at 2--4C overnight. The dough pieces rise slowly in
temperature from -l8C to 2--4C, with no large temperature differential
between the dough piece surface and its core, particularly important with large
dough pieces. The defrosted dough pieces are removed from the retarder as
required during the day, transferred to a final prover and baked when they
have risen to the required proof height.
(b) A retarder prover may also be used for defrosting and proving frozen dough.
However, this completes the operation with no product transfer, the proved
products being ready for baking at any preset time. It is common to use the
retarder prover for the first batch of products to be baked, then using it as a
prover only for proving further batches ofproducts transferred from the dough
retarder. When production is complete the retarder prover is switched to the
retarding mode and filled with frozen dough for defrosting and proving overnight
and again providing the first batch of bake-off products the next morning. Part-baked products. For part-baked products, the dough is processed to

the fmal baking stage but the baking conditions are adjusted to give the minimum
of crust formation and colour. Two methods of achieving this are possible: (a) bake
at a low temperature for the normal baking time, cutting proof time to account for
extra expansion in the oven due to the lower baking temperature and therefore the
longer it will take for the dough structure to set and the yeast to be inactivated; and
(b) bake at a high temperature to set the dough structure quickly but remove from
the oven before the crust has set or coloured.
The choice of these two methods will depend on the cross sectional area of a
product - the thicker the product the more difficult it is to set the dough structure
at the product centre before the crust starts to form and set. It would seem that the
high temperature, quick baking, method is most suitable with thin products such
as baguettes, petit pain and croissants, and the low temperature, standard or
extended baking time, method for thicker products such as small bloomers, Vienna
loaves, etc. Part-baking is most successful with products which have a large surface
area in relation to crumb area such as baguettes, where the heat can penetrate
quickly to the crumb centre to set it without setting the crust.
Part-baked products are easily damaged because of their lack of crust and they
are susceptible to mould growth because of their relatively high moisture content.
For storage and distribution purposes therefore part-baked products are normally
blast frozen, packed in polythene-lined boxes and stored at -l8C. This gives the
product a long frozen storage shelf-life, good stability and ease of use at the
bake-off unit, the product being baked directly from frozen. The final baking ofthe
product has two purposes: (a) it completes the formation and colouring of the crust;
(b) it refreshes the crumb of the product, reversing the process of staling. However,



it is widely recongised that the crumb ofre-baked part-baked bread stales quickly
and part-baked bread should be consumed fairly quickly after re-baking.
The major advantage part-baked products have over frozen dough products for
a bake-off operation is that only baking-off is required, with no capital costs for
retarders and provers, saving on the space they take up and the labour costs of their
operation. The range of part-baked products is more limited however than frozen
dough products and some bake-off units use a combination of frozen unbaked and
part-baked products.
3.12.2. 3 Size ofbake-offunits. These vary from a small unit in an airport or railway
station baking-off part-baked petit pain, croissant, etc. to a large bake-offunit in a
supermarket producing a large volume ofbread, rolls, croissant, Danish pastry, etc.
from frozen dough and to a more limited extent from part-baked products. The
large scale instore bake-off operation is popular in the USA and in some parts of
Europe, particularly Holland, the attraction being the removal of the mixing and dough
processing part of instore baking operation. This is, of course, offset by the extra cost
of frozen dough and part-baked products over products made from scratch.
3.12.3 Part-baked products for retail sale

Some companies have specialised in the production of part-baked products for

retail sale. These can be packed individually, or in groups of products, i.e. six
part-baked rolls, and sold from the deep freeze counters in supermarkets.
However, gas flushing of packs is also used for a long storage life at ambient
temperatures. The products are packed in nitrogen or carbon dioxide gas flushed
polypropylene blister packs which are hermetically sealed to a very high standard.
The gas flushing removes oxygen from the headspace inside the pack and prevents
mould development, even at ambient temperature. The hermetic seal and non-permiable packaging prevents moisture loss from product. The packed product has a
shelf-life of several months at ambient temperature.
Product staling, in terms of starch retrogradation causing increasing crumb
firmness to a terminal level, takes place during storage. However, this process is
reversed during there-baking of the product, giving a crumb softness similar to a
freshly baked product. The refreshed crumb will stale at a higher rate than the crumb
of a freshly baked product but since there-baking is being done by the consumer,
it is likely that the product will be consumed fairly quickly after re-baking.

Chamberlain, N.( 1979) Gases- the neglected bread ingredients, British Society of Baking, Conference
Proceedings, November.
Collins, T. H. ( 1982) Breadmaking Processes, The Master Bakers' Book ofBreadmaking, ed. Brown,
J. Turret-Wheatland Ltd, Rickmansworth, Herts., pp 1-46.
Marston, P. E. and Gray, H. W. (1964)Bread Institute ofAustralia Newsletter, July, No. 172a.
Williams, A. ed. (1975) Breadmaking: The Modern Revolution, Hutchinson Benham, London, pp. 25-39.

4 Frozen dough production


4.1 Introduction
The use of frozen dough by retail bakers for production of fresh bread, rolls, and
Danish pastries offers economic advantages and convenience as compared with the
traditional practice of 'scratch' baking (weighing out individual ingredients, then
mixing, shaping, fermenting and baking). Improvements in frozen dough quality
have made its use increasingly attractive. It has become a mainstay of supermarket
'deli' bakeries; it is difficult to find qualified bakers to supervise the proper mixing
and baking of the many products offered by these retail outlets, but any reasonably
responsible worker can properly proof and bake-off frozen dough products. For
more complicated items, such as Danish or croissants, those aspects of production
that require much time and skill are handled by the manufacturer, rather than being
left to relatively inexperienced deli personnel, resulting in superior product quality.
The frozen dough manufacturer can practice economies of scale (in purchasing raw
materials, in processing, and in automated equipment) that are not available to the
small baker. Even with the added costs of freezing and frozen storage and transportation, the final product cost to the baker is likely less than for similar scratch
product, if the costs of labor and overhead are taken into account.
Basing a successful bakery operation on frozen doughs requires, first of all, good
quality in the dough itself. The prime factor is retention, by the dough, of good
baking qualities such as adequate ovenspring and internal crumb structure, during
storage for several weeks in the frozen state. Two decades ago, when frozen doughs
were first widely offered for commercial use, the keeping quality was rather
marginal; 4 to 6 weeks was considered the maximum time that a dough could
maintain desirable characteristics. Currently, the best manufacturers will warrant
good results with their products for up to 16 weeks, ifthe dough has not been abused
during transportation and storage in the bakery. (Some experimental studies have
shown good dough stability for 24 weeks in storage, but this level of performance
is not yet seen in routine production.) Thus the onus, in the first place, is upon the
Probably more frozen dough is ruined during transportation (in trucks with
inadequate refrigeration capability) and in the bakery (by improper handling or
storage) than at any other stage of the process. It is important that the manufacturer
keep a careful watch on the trucks used, and also set up a program to train bakers
on proper storage and dough handling. The supervisor of the bakery must take



seriously their responsibility, and ensure that all employees realize the importance
of good practices, i.e. not allowing the temperature ofthe dough pieces to fluctuate
before they are actually thawed and made into baked product. With proper care,
baked goods made from frozen dough probably have higher quality, on the average,
than scratch-made baked products.

4.2 Ingredients, formulation

4.2.1 Flour

As in the case of any baked food, good flour quality is basic to making a good
quality product. Because of the stress exerted by the process of freezing, storing,
and thawing, flour for frozen doughs must have higher strength than that required
for similar, non-frozen, items. During frozen storage the gluten slowly deteriorates
in quality. This is shown by scanning electron microscopy (SEM) and extensigraph
measurements on frozen, thawed doughs. SEM microphotographs show progressive breakdown of the gluten membranes, with formation of fibrils (Varriano-Marston et al., 1980). SEM examination of doughs weakened by other means (i.e.
over-mixing, treatment with reductants) showed similar changes in gluten structures. Extensigraph measurements, on yeasted doughs that had been frozen and
then thawed, showed a decrease in resistance to extension, i.e. the dough was
somewhat slacker (Inoue and Bushuk, 1991).
The causes for these changes are still conjectural. As yeast cells die during
storage, reducing agents (in particular, glutathione) are released. These weaken the
gluten by cleaving some of the disulfide linkages present in gluten proteins. This
hypothesis is supported by the fact that larger than normal amounts of oxidants
contribute to improved shelf-life of frozen doughs. The direct effect of lowered
temperatures on gluten cannot be discounted. Hydrophobic bonding plays an
important role in gluten integrity and strength, and hydrophobic interactions are
weakened as temperatures are lowered. This decrease in the forces stabilizing
gluten may contribute to the slow deterioration of gluten properties in frozen
storage. It has also been proposed that ice crystals formed during freezing physically disrupt many of the gluten membranes. To date these latter two hypotheses
have not received convincing experimental support.
The manifestations of gluten weakness with increasing storage time are fourfold: ( 1) thawed dough requires longer times to proof to a constant height;
(2) proofed loaves show progressively less ovenspring; (3) baked loaves display
a flattened top, with a 'mushroom' profile; and (4) the internal structure ofthe baked
bread becomes coarser. While longer prooftimes can, in part, be due to a decreasing
concentration of yeast cells because of cell death during storage (see section
4.2.2), the other three symptoms are typical of bread made with a weak flour.
These have been observed in studies on frozen bread doughs (usually one pound
loaves), but the same phenomena would be expected to occur in any yeasted dough



product (e.g. rolls, croissants or Danish pastry) although they might not be quite so
In making high quality frozen bread doughs, it is imperative to purchase a strong
grade of flour. In the United States a spring wheat patent flour, with at least 12%
protein, is recommended. Where such a strong flour is not available, the addition
of vital wheat gluten is necessary. In fortifying with this ingredient, it is necessary
to keep two facts in mind. First, wheat gluten is only 75% protein, so 4 kg of vital
wheat gluten contribute 3 kg of protein to a dough. Second, gluten protein in the
isolated form is somewhat less functional than the same amount as found in the
original flour matrix. Thus, to fortify 100 kg of flour at 10% protein to a strength
equivalent to the 12% protein flour mentioned above requires the addition of at
least 4 kg of vital wheat gluten. This added cost contributes markedly to good
storage shelf-life of the frozen dough.

4.2.2 Yeast
When regular compressed yeast is frozen it is surprisingly resistant to cell disruption and death (Bruinsma and Giesenschlag, 1984). However, when it is mixed into
a dough it becomes more susceptible to damage, for reasons that are not yet
completely clear. Part of the difference may be a difference between dormant and
actively metabolizing cells. If yeast is activated, say in a sponge prior to dough
mixing, the resulting dough has a very short shelf-life in the frozen state; after only
a few weeks the thawed dough barely proofs at all.
Two possible explanations for this behavior have been suggested. The first is a
physical effect. During freezing ice crystals form first in the aqueous phase
surrounding yeast cells, and subsequently in the cytoplasm (internal aqueous phase)
of the cells. The ice crystals (particularly those formed internally) may physically
puncture the outer membrane of the cell, causing it to lose the cytoplasmic contents,
and die. Dormant cells have a somewhat thicker membrane than activated cells,
and so are more resistant to this kind of damage.
The second explanation turns attention to the metabolic products formed by
yeast and bacteria during fermentation (in a sponge or preferment broth), namely
ethanol, acetic acid, lactic acid, and smaller quantities of esters such as ethyl acetate
and ethyl lactate. During freezing of the dough aqueous phase these materials are
concentrated in unfrozen solution. (This phenomenon is used to make a strong hard
cider; the fermented cider is partially frozen, and the liquid portion, with elevated
alcohol content, is decanted from the ice crystals.) The concentrated solution of
organic compounds can cause autolysis of yeast cells, i.e. rupture of the cell
membrane and cell death. Again, activated yeast cells are more susceptible to this
autolytic action (Hsu et al., 1979).
Marked differences among strains of Saccharomyces cerevisiae have been
noted, with respect to their susceptibility to freezing damage. The reasons for this
are still unclear, although they seem to be related to the concentration of certain
cytoplasmic solutes. Thus Hsu et al. (1979) found that the proof time for frozen,



thawed dough was related to the protein content of the yeast; at 53% protein
(percentage based on total dry solids), proof time was between 170 and 240
minutes, while at 64% protein, proof time was around 80 minutes. Neyreneufand
Vander Plaat (1991), on the other hand, found that a yeast containing only 46%
protein was the most stable during frozen storage, while another sample containing
55% protein rapidly lost activity throughout the 13-week storage period. The lower
protein stable yeast in this study contained 17% trehalose (dry solids basis).
Trehalose is reported to be a cryoprotective agent (Dunas, 1988; Vander Plaat,
1988). Manufacturers of yeast are actively searching for improved yeast strains,
and hopefully more research results concerning the reasons for resistance to
freezing damage will be published in due time.
At the present time a good grade of regular baker's compressed yeast (30%
solids) is the best choice for making frozen yeast-raised dough. Instant dry yeast
(95% solids) does not work as well in this application. The cool dough temperature
inhibits rehydration of the dry yeast cells. It also 'cold shocks' the yeast, and
fermentation after the dough is thawed is slower than expected. A semi-dry yeast
(75% solids) is currently marketed in Europe, in a crumbled, frozen form. This
product is claimed to work as well as, or better than, compressed yeast.
Yeast levels in frozen dough formulations are higher than for the same doughs
intended for immediate baking. Thus, a frozen bread dough requires 4--6% yeast
(flour basis), compared to the normal usage of around 3%. Similar adjustments are
made in other doughs (croissants, Danish pastry, etc.). The higher initial concentration of yeast cells compensates, in part, for the inevitable partial loss of fermentation capability during freezing and storage.

4.2.3 Emulsifiers
Monoglycerides may be included in frozen dough formulations. They exert a
certain amount of shortening effect during baking, and of course retard staling of
the finished baked product. Thus the type and amount to use is the same as for the
same dough intended for immediate bake-off. There is no indication that monoglycerides contribute to improved stability of doughs in frozen storage.
Dough strengtheners (also sometimes called dough conditioners) make a positive contribution to enhanced shelf-life in frozen storage (Wolt and D' Appolonia,
1984). The ones used are sodium stearoyllactylate (SSL) and/or diacetyl tartrate
esters of monoglycerides (DATAEM), at levels of 0.5-1% (flour basis). The
function is the same as in a regular dough, i.e. the dough strengthener enhances the
interactions between gluten proteins, increasing the ability of the dough to retain
gas (carbon dioxide) formed during proofing, and also increasing the amount of
ovenspring. In addition, the grain of bread containing SSL is somewhat finer than
that of the control (without the additive).
No detailed work on interactive effects of dough strengthener with flours of
varying strengths has been reported. It might be predicted that the improving effect
of SSL or DAT AEM would be greater with a weak flour (i.e. one with a protein



content around 10%) than with a strong flour (say, protein content of 13%). From
a practical standpoint such knowledge would be useful to a frozen dough manufacturer who has to deal with variations in quality of the flour supply. It might be
possible, when stronger flour is available, to use less dough strengthener (and thus
save money). This would contribute to more uniform performance of the frozen
product in the hands of the baker, over a period of time.
4.2.4 Oxidants
The deleterious effects, on dough, of time in frozen storage are somewhat overcome
by the presence of oxidants at levels greater than those used for scratch products.
A typical US patent bread flour, milled from hard red winter wheat, might require
25 ppm (parts per million, flour basis) of potassium bromate plus 50 ppm ascorbic
acid, for optimum results in the bakery. If that same flour were used to make frozen
bread dough, the manufacturer might put 45 ppm bromate and 100 ppm ascorbic
acid in the dough. This necessity for higher oxidation levels stems from two factors.
First, frozen doughs are essentially no-time doughs, and products made in this way
require more oxidation (for good results) than products that receive substantial
fermentation before molding and proofing. Second, the progressive death of yeast
cells during storage releases reducing materials (especially glutathione), that cause
some gluten weakness when the dough is thawed and proofed. More oxidant is
needed to offset this reducing action.
In countries that do not permit the use of potassium bromate in bread, other
sources of oxidative strengthening of gluten must be sought. Given the current
limitations on allowed additives, lipoxygenase enzyme is the only practicable
alternative (in addition, of course, to ascorbic acid). In the absence of published
research on the capability of lipoxygenase to extend the storage life of frozen
dough, the addition of 1% enzyme active bean (fava or soy) flour to the dough is
4.2.5 Other ingredients
Extremely lean doughs deteriorate more rapidly in frozen storage than doughs that
contain sugar and shortening. If a lean French-type bread is being manufactured,
the inclusion of 0.5-1% vegetable oil in the formula will extend the shelf-life by
several weeks; the baked-off bread still has the desired crisp crust and chewy
internal texture. In a regular white pan bread, increasing the shortening level to 5%
gives shorter proof times and better ovenspring in the bakery. Sugar or high-fructose com syrup has the same stabilizing effect, as well as decreasing proof time of
the thawed dough (by acting as yeast food) and increasing the browning of the crust.
The amount of sugar may range from 2% to 10%, depending upon the level of
sweetness desired in the final bread.
Mix time reducers are not recommended. Whether reducing agents (such as
L-cysteine) or proteases, they decrease gluten strength, a condition that is antithet-



ical to retention of good loaf volume potential during storage. In general, water
absorption is slightly lower in doughs intended for freezing; decreasing absorption
by 2-3% (from the level that is considered optimum for immediate bake-oft)
shortens the time required to mix the dough to optimum consistency.
Several additives have been suggested for inclusion in frozen doughs; gums
(xanthan, carboxymethyl cellulose), glycerol, and glutamic acid have been claimed
to improve dough shelf-life. Careful research has indicated no significant advantage from the use of any ofthese materials (Dubois and Blockcolsky, 1986a).

4.3 Dough processing

4.3.1 Mixing
For reasons discussed earlier, dormant yeast cells apparently are more resistant to
freezer kill than cells that are actively metabolizing. Frozen doughs made using a
sponge and dough process have drastically shorter shelf-lives than those made with
a cool, straight dough process. Various recommended practices for mixing frozen
doughs are aimed at maintaining yeast dormancy to as great an extent as possible.
Three practices have been shown to be especially effective (Dubois and
Blockcolsky, 1986b). (1) Cool the dough ingredients and the mixer to achieve a
final dough temperature of no more than 20C. (2) Hold out the salt until the gluten
is near full development. (3) Delay yeast addition until the dough is partially mixed. Dough cooling. In yeast-raised doughs only two ingredients- flour and
water- have any practical influence on dough temperature. The amounts of other
ingredients are too small to have any effect. In normal practice flour is held in a
bulk silo until use, and its temperature is governed by climatic factors. However,
while refrigerating the silo is probably uneconomical, there is no requirement that
the silo be located outside the plant, where it receives the direct rays (and heat) of
the sun during the day. In other words, while designing a frozen dough plant, plan
to put the silos inside the structure. If external flour silos already are in place, then
erect a lightweight, inexpensive structure to shade them from the sun. Simple fans,
circulating air past the silos, will help dissipate thermal energy from the flour,
reducing the requirements for refrigeration in the mixing room during production
Dough temperatures are usually adjusted by changing the temperature of the
water. In warm weather this means that chilled water, or even ice, must be available,
while in cold weather the water may need to be warmer than ambient. Making the
proper adjustment to water temperature may be done systematically. The final
temperature of a mixed dough depends upon four factors: flour temperature (FT);
water temperature (WT); room temperature (RT); and a machine friction factor
(FF). The friction factor or machine allowance is defined as the value used to
compensate for the heating-up of dough or batter during mixing. A perfect machine



has an efficiency of 100%. There is no such machine because some energy is used
to overcome friction. This energy is converted into heat that must be factored into
dough or batter temperature calculations. The friction factor is determined for each
individual mixer by using water of normal temperature and noting the temperature
rise during mixing. Substitute the temperature values in this formula:
FF = (3 x ActT)- (RT + FT + WT)
where ActT is the actual temperature of the dough at the end of mixing.
To calculate the water temperature needed to obtain a desired dough temperature
(DesT), measure room temperature and flour temperature, and substitute these
values (plus the value for FF determined earlier) in the formula:
Calc WT = (3 x DesT)- (RT + FT + FF)
If the calculated water temperature (Calc WT) is lower- colder- than the
available tap water temperature (Tap WT), then ice is added. The weight of ice plus
tap water equals the total weight of mix water required. The amount of ice to use
is calculated as follows:
Weight of ice = _,_(W-'-'-='el"gc:::ht'
'". -o=-=f-'w_:_:a.:_:_te=rL)_x_,_(T=-=a::...:p_WT'-'--=._-_C=-=a=lc.:__:_WT~)
Tap WT + 80
As an example, suppose the total weight of water needed for a dough is 60 kg, the
Tap WT is 21 oc, and the Calc WT is 4C. The calculation is:

(21- 4)}/(21 + 80) = 1020/101 = lQJ kg

In the plant, 10 kg of ice and 50 kg of water would be added to the dough for
Sometimes extraneous cooling is required. The amount of cooling applicable
through water chilling and/or ice addition may not adequately compensate for high
flour and ambient temperatures during a spell of very hot weather. If a mistake has
been made, and it is noted that dough temperature is too high after a minute or two
of mixing, extraneous cooling is needed. This may be of two types. The first is a
refrigerating jacket on the mixing bowl. This equipment capability is most often
available on the large, US-style horizontal mixers, such as those made by Peerless,
Day, or Baker Perkins, to name a few manufacturers. A few high speed mixers
(Stephan, Tweedy) can be purchased with cooling jackets built into the wall of the
mixing bowl. Spiral mixers, with revolving and/or removable bowls, do not have
this capability. A refrigerated jacket can remove quite a bit of thermal energy from
a dough. If an adjustment is being made during the middle of a mix (say, to correct
an error), mixing at slow speed for 2 minutes, with the refrigerant valve fully open,
may lower the dough temperature by 5C or more. In fact, one must take care so
that the dough does not freeze to the inner wall of the mixer.
Another form of extraneous cooling, useful when the mixer is not refrigerated,
or for the occasional time of extreme hot weather, is cryogenic cooling. After



loading the flour and other dry ingredients into the mixer, liquid nitrogen or carbon
dioxide under pressure is injected into the covered (but not tightly sealed) mixer.
Then chilled ice/water is added, and mixing proceeds normally. The cryogenic fluid
is, in a sense, a kind of 'super-ice', which acts more quickly because the fluid does
not have to slowly melt as does ice.
Cryogenic cooling uses liquid nitrogen, which has a boiling point of -196C (or
liquid carbon dioxide, which converts to solid 'dry ice snow', which in turn
sublimes at -78C) to absorb heat from the flour. Vaporization of liquid nitrogen
requires 48 calories per gram, heat energy which is supplied, of course, by the flour
and the mixer. The still-cold gas continues to cool flour as it warms up, and the
(completely nontoxic) gas is finally vented to the atmosphere at a temperature in
the range of 0C. The process of converting 1 g of liquid N2 to 1 g of vented gas
takes up about 98 calories in total, which is equivalent to the cooling supplied by
11!4 g of ice.
Carbon dioxide is liquid only under pressure. When this liquid is sprayed onto
the flour in the mixer it immediately converts into solid 'dry ice' snow, which
sublimes. The cold C02 gas in the mixer further cools the flour before it is finally
vented to the atmosphere. Conversion of 1 g ofliquid C02 to dry ice, followed by
sublimation, requires a heat input of 142 calories; warming the gas to 0C takes up
a further 11 calories, for a total ofl53 calories, equivalent to 1.9 g of ice. The choice
between the two cryogenic fluids usually comes down to one of economics and
If cryogenic fluid is used to cool a partially mixed dough that is too warm, it
should be injected into the mixer in small portions rather than a steady stream. Good
mixing between each injection spreads the cooling influence evenly throughout the
dough, preventing formation of local cold pockets, which would be harmful to
overall quality. Delaying ingredient addition. In the absence of salt the gluten in a dough
develops more rapidly than when the salt is present from the beginning of the mix.
Bakers frequently take advantage of this property of wheat gluten, to shorten the
time necessary for fully mixing a dough; the salt is withheld, and added only after
the gluten has fully developed, then started to relax. By this stratagem, mixing time
may be reduced by as much as 25%. In the present context, shorter mixing time
means a smaller frictional contribution to dough warming, hence it is quite
During the 10 minutes or so of dough mixing, yeast cells are beginning to
hydrate (absorb water) and activate. The more this period can be shortened, the
more dormant the yeast will be in the dough. Thus, the yeast, crumbled (but not
slurried in water!), is added to the dough only after the mixing process is well
underway. The yeast is not added at the same time as the salt, since there is too
much opportunity for exposure of yeast cells to local high concentrations of salt,
with resultant osmotic shock and cell death.
To illustrate these recommendations (Dubois and Blockcolsky, 1986b), suppose



a dough mixed normally (i.e. with all ingredients added initially) requires 12
minutes for full development. Holding out the salt allows faster development, and
typically it would be added after 8 minutes of mixing, with 1 minute further mix
to finish development. The yeast is added approximately halfway through this
cycle, or about 5 minutes after the beginning of mixing. In the study quoted, the
next best method was to add all the ingredients initially and mix the dough to full
development. Adding yeast initially but holding the salt (for later addition), or
adding the yeast and salt together, after partial development, gave poorer results.

4.3.2 Makeup Bread, rolls. After the straight dough is mixed, it is immediately divided,
shaped, and transported to the freezer. The makeup room should be air conditioned,
to help keep the dough cool. Intermediate fermentation, both between mixing and
dividing, and between dividing and shaping, is kept to a minimum. Dough batch
sizes should be small (consistent with production efficiency), to keep makeup time
short. Spiral mixers, producing 160 kg of dough per batch, are preferable to larger
horizontal mixers, in which batch sizes are typically 400-1000 kg. Ordinary
dividing and shaping equipment is used. The dough is slightly stiffer than a normal
dough (because of the somewhat lower water absorption), and the sheeting rollers
and pressure plate of the molder are set somewhat wider than normal, so that the
dough is not tom during the sheeting and molding operations. The molded bread
(or roll) pieces may be placed on racks, for subsequent transfer to the freezer. It is
preferable for the pieces, at the end of the molding table, to be placed on a conveyor
and transported immediately to the freezer. This obviates any fermentation that
might take place while the rack is receiving a full load of dough pieces. Laminated doughs. For products made by the roll-in process, to give
alternate layers of dough and fat (Danish, croissants, etc.), dough temperature is
not allowed to exceed 20C. The mixed dough is divided into pieces of appropriate
size (e.g. 10 kg each) and retarded (cooled to perhaps 10C) before beginning the
roll-in process. The 'book' should also be retarded part way through the process if
dough temperature begins to rise to near 20C.
This low roll-in temperature requires a roll-in fat with a wide plastic range. It
must be soft enough to spread uniformly between the dough layers at retarder
temperatures (10-15C), and yet maintain some percentage of solids at prootbox
temperature (35-40C), during preparation for final bake-off. If the fat is too hard
to spread evenly below, say, 20C, then the dough temperature during roll-in will
be warm enough that some yeast activation (and incipient fermentation) may take
place. This shortens the storage shelf-life of the frozen dough. Alternatively, a fat
that is soft enough to be rolled in at l5C may have a melting point of only 32C.
In this case the fat turns completely to oil in the prootbox, the layers of dough knit
together during proofing, and the finished baked product does not have the desired
flaky texture. To reiterate, using a roll-in fat with a relatively narrow plastic range



causes problems, in the manufacturing plant, during frozen storage, or in the

4.3.3 Chemically leavened products
A number of non-yeast leavened baked products are sold to bakers in the unbaked
form, either frozen or refrigerated. These include biscuits (cookies, in US parlance)
and gateaux (cakes). The advantage to the baker is the possibility of producing a
variety of flavors and types of these baked products, without holding a large number
of ingredients in stock, and without having to weigh and mix ingredients for several
different doughs, with the attendant chances for mistakes.
The leavening system for these products comprises a source of carbon dioxide
(sodium bicarbonate, soda) and leavening acids to release the carbon dioxide as the
gas, at the correct point in the baking cycle. The choice of leavening acids is the
same as for scratch-mixed product (Stauffer, 1990), and will not be discussed here.
However, the acids should be selected from the group including sodium acid
pyrophosphates, sodium aluminum phosphate, and sodium aluminum sulfate;
traditional acidulants such as cream of tartar and monocalcium phosphate react too
quickly to be effective in these systems. In the frozen state the chemical leavening
system is stable indefinitely (unlike the system involving yeast), and the great
attention paid to time/temperature profiles during freezing and storage of yeastraised doughs (see section 4.4) is unnecessary.
The formulation and mixing of these doughs and batters is the same as for
product intended for immediate bake-off. However, some thought should be given
to the packaging of the product before freezing, keeping in mind that the baker will
want to use the product with a minimal amount of thawing time before baking. For
example, biscuit dough is best frozen in the shape of cylinders. The baker takes a
cylinder from the freezer and cuts it into round slices for panning and baking. If
each dough piece weighs 15 g, then a convenient cylinder weight would be 360 g,
yielding two dozen biscuits. The size of such a dough cylinder would be
approximately 24 em long by 4 em diameter. It could be formed by extrusion
through a die (with a 4 em opening), and after cutting to length, the individual
cylinders are wrapped in a single layer of parchment paper, then placed on a
rack for freezing.
Frozen batters for gateaux are less often found in commercial practice, perhaps
because complete dry mixes, to which the baker adds only water, have been
developed to a high degree of technical excellence, and are quite convenient to
store and use in the small bakery. Nevertheless, in situations where such dry mixes
are not available but facilities for manufacturing and storage of frozen batter exist,
frozen cake batters can be sold to, and used by, the small baker. In this case an
amount of batter that will make two layers, approximately 800 g, is a convenient
package size. The batter components will segregate somewhat during freezing and
thawing, and the thawed batter must be briefly mixed to re-blend before it is
dispensed into the baking pans. A useful package consists of a heavy plastic bag;



after thawing the contents can be kneaded to re-b lend, then a comer of the bag is
snipped open with scissors and batter is poured into the pans for baking.

4.4 Freezing and storage

4.4.1 Equipment
Freezing equipment may be divided into four types: quiescent (typical storage areas
for frozen foods); blast (cold air is circulated through the chamber at velocities of
I 00-400 m per minute); impingement Gets of cold air are blown over the product
surface); and cryogenic (liquid nitrogen or liquid carbon dioxide is sprayed on and
around the product). These have been examined in detail in numerous treatises on
freezing of foods (Tressler eta!., 1968; Mallett, 1992), so the present discussion is
limited to those characteristics that are pertinent to frozen bakery doughs.
Quiescent freezers blow air over refrigerating coils and then through the storage
area at a relatively low velocity (0-25 m per minute). The transfer of heat from
product newly introduced to the storage area, to the refrigerator cooling coils, is
relatively slow. However, residence times are typically for days to weeks, and the
rate of heat transfer is sufficient to minimize temperature transients due to the
introduction of warm air, as workers add or remove product to the storage shelves.
The most commonly used freezing method is blast freezing. Dough pieces are
placed on trays on racks, or else conveyed on a spiral conveyor, and introduced

Figure 4.1

Cutaway drawing of a blast freezer, with a spiral conveyor. (Courtesy Northfield
















20 40 80 80 100 120 140 180 180

Freezing Time, min

Figure 4.2 Rate at which the center temperature of a 500 g dough piece drops, under three different conditions. A, conventional freezer, -l8C; B, blast freezer, -21 C; C, Blast freezer, -37C.
(Redrawn from Lehmann and Dreese, 1981.)

into the freezer (Figure 4.1 ). Refrigerated air is blown over the product at a high
linear velocity, cooling the product. A temperature gradient from the core to the
surface is established. Because of the salt, sugar, and other solubilized material, the
freezing point of the internal water is depressed to about -3 to -SC. The core
temperature of dough is rapidly reduced from 20C to -SC, but freezing liberates
heat of fusion that must be removed, and a plateau in the plot of temperature versus
time is observed (Figure 4.2) (Lehmann and Dreese, 1981 ). When all the water has
frozen the temperature again decreases rapidly.
The rate at which the dough temperature drops depends upon the rate at which
calories are removed by the air. Colder air, and/or higher air velocity, both remove
heat more efficiently. The temperature difference between curves A and Bin Figure
4.2 is small, but the time required for the core temperature to reach -5C is 160
minutes in the quiescent freezer (operated at -l8C), and 90 minutes in the blast
freezer (operated at -21 C). When the blast freezer is run at -37C, the freezing
time is further reduced to 6S minutes (curve C).
Impingement freezers use a high velocity jet of cold air, directed onto the surface
of the bakery product (Figure 4.3). The equipment configuration is a tunnel; product
is conveyed beneath the jets, where the insulating layer of warmer air is stripped
from the surface. The result is improved heat transfer from product to air, and faster
cooling. Moisture loss is said to be even less than with blast freezers.
Cryogenic freezing uses liquid nitrogen, which has a boiling point of -196C
(or liquid carbon dioxide, which converts to solid 'dry ice snow', which in tum
sublimes at -78C) to absorb heat from the baked product. Product is conveyed



Figure 4.3 Cutaway drawing of an impingement freezer, showing high air velocity at the surface of
the piece being frozen. (Courtesy Northfield Corporation.)

through a tunnel, and is first exposed to cold N2 gas. After the initial cooling product
continues further down the tunnel to a region where it is lightly sprayed with liquid
N2 at -200C (Figure 4.4). Vaporization of the liquid requires 48 calories per gram,
heat energy which is supplied, of course, by the product. The still-cold gas is then
blown through the tunnel, countercurrent to incoming product, and the (completely
nontoxic) gas is finally vented to the atmosphere at a temperature in the range of
-50C (warmer in more efficient tunnel designs). The process of converting 1 g of
liquid N2 to l g of vented gas takes up about 86 calories in total. Cooling l g of
dough from 20C to -5C, plus freezing the 0.42 g of water present, requires the
removal of 46 calories. Thus, l kg of liquid N2 will freeze 13/4-2 kg of dough,


Liquid Nitrogen
Cold gas flow

Cooling zone






Figure 4.4 Depiction of a cryogenic tunnel, cooled by liquid nitrogen.



depending upon the efficiency with which the interior of the tunnel is insulated
from the surrounding room.
Carbon dioxide is liquid only under pressure. When this liquid is sprayed into
the cryogenic tunnel it immediately converts into solid 'dry ice' snow, which
sublimes. The spraying is done near the entrance end of the tunnel, so product is
quickly cooled by this blizzard. The cold C02 gas is moved around the tunnel to
help further cool product, and is finally vented to the atmosphere. Conversion of
1 g ofliquid C02 to dry ice, followed by sublimation, requires a heat input of 142
calories; warming the gas to -50C takes up a further 4 calories, for a total of 146
calories. Thus, 1 kg ofliquid C02 will freeze more than 3 kg of dough. The choice
between the two cryogenic fluids usually comes down to one of economics: the
availability and price (current and forecast) for the respective cryogens. Finally,
cryogenic freezing is fast. Where conventional blast freezing may take more than
an hour to lower the core temperature of a 500 g dough piece to -5C, a liquid N2
tunnel requires about 3 minutes to accomplish the same temperature drop. It is not
clear, at this time, whether this is advantage in terms of retaining quality during
storage (see section 4.4.2).
4.4.2 Freezing doughs

Recommended methods for freezing bread doughs have ranged from gentle to 'hit
'em hard and fast'. The most comprehensive published report on the influence of
freezing conditions on frozen dough shelf-life is summarized in part in Figure 4.5
(Lehmann and Dreese, 1981 ). The individual525 g (18.5 ounce) dough pieces were


-18C Storage Freezer

Core Temp.





-20'C Blast Freezer

-5C Core Temp.


-20'C Blast Freezer

-20'C Core Temp.








-45'C Blast Freezer

-5'C Core Temp.

\o /

I ,800


-45'C Blast Freezer







Weeks in Storage Freezer at 18C

Figure 4.5 Loaf volume obtained from 500 g dough pieces, frozen under different conditions, and
stored for up to 20 weeks. (Drawn from data in Lehmann and Dreese, 1981.)



frozen to the indicated core temperatures, then bagged and stored at -l8C.
Samples, taken at the indicated times, were thawed, proofed, and baked. The loaf
volume of the finished bread is shown. In all cases the dough was proofed to
constant height (16 mm above the pan rim); the proof time increased with longer
storage, being about 50% greater after 20 weeks than at 1 week. The lower loaf
volumes indicate decreased ovenspring, i.e. weaker gluten strength.
In the quiescent freezer the dough pieces required 180 minutes to reach a core
temperature of -7C. In the blast freezer at -20C, the core temperatures were -5C
after 90 minutes and -20C after 170 minutes. In the -37C blast freezer, core
temperatures were -5C at 70 minutes and -20C at 90 minutes. Rapid freezing to
a lower core temperature harms dough keeping quality; for storage up to 11 weeks
all the doughs gave the same loaf volumes, but after that time the samples frozen
to an initial core temperature of -20C degraded rapidly. From these data it is
apparent that the gentle approach to dough freezing is preferable. The quiescent
frozen dough is marginally superior to the one blast frozen to -5C core temperature, but the lower throughput might make it economically unattractive.
The above freezing times were obtained with unwrapped dough pieces in the
freezer. This is the normal practice, primarily from the standpoint of efficient
freezing (wrapped dough pieces take roughly 50% longer to freeze), but also so
that the dough does not freeze to the wrapping material. Frozen dough pieces should
be bagged (in polyethylene bags) and stored at -15C to -20C. Colder storage
temperatures (-34C) are definitely harmful to product quality (Hsu eta/., 1979).
No studies have been published on frozen laminated doughs, in the depth of
those quoted above. However, given that these doughs also depend upon maintaining yeast viability to make a good quality finished product, it seems reasonable to
use the same parameters for freezing and storing Danish, croissants, and similar
dough products.
Since yeast viability is not a problem with chemically leavened doughs, freezing
parameters are less of a factor. If the plant is making both yeast leavened and
chemically leavened product, the blast (or cryogenic) freezer may be used for both
types, if this presents no production scheduling difficulties. Rapid freezing is
convenient for items such as cake batters, in that separation of batter components
is minimized. On the other hand, if a plant (or production line) is being constructed
for the production of only chemically leavened products, it is economically feasible
to install only a quiescent storage freezer; the packaged biscuit dough or batter is
placed directly into the storage area for freezing. Of course, the refrigeration
capacity must be adequate to deal quickly with the larger amount of heat energy
being introduced with each pallet of product.
4.4. 3 Storage

After product exits the main freezer it is packaged and moved to the storage freezer.
This is a quiescent freezer maintained at -15C to -20C. The internal temperature
equilibrates throughout the product over a period of 6 to 12 hours. When the dough



pieces have been frozen through, it is important to prevent internal temperature

fluctuations. Even at these low temperatures a certain amount of moisture migration, via sublimation, is possible. The introduction of partially frozen product, and
the warm air that enters the freezer each time personnel enter to add or remove
product, raises the air temperature of the freezer space. If the refrigeration capacity
of the storage freezer is too small to quickly remove this added heat, the surface of
the dough pieces may warm by as much as soc during the course of the work day.
The temperature gradient between this surface layer and the core of the dough piece
favors moisture migration, and the osmotic pressure (concentration of salt and
sugar) changes. This causes a certain amount of yeast cell death, as discussed in
more detail above. To sum up, the air temperature in the storage freezer should
never rise above -lSC; if it does, a larger refrigeration unit should be installed.
Transportation of frozen product from the central warehouse to the point of
usage is not usually thought of as a part of storage, but it should be. At the bakery
the product is usually returned to a freezer, to be thawed and used some days later,
so the transfer process affects the overall quality retention of the frozen dough.
While a certain amount of temperature fluctuation is unavoidable, every effort
should be made to minimize it. The trucks used should have high-capacity mobile
refrigeration units, and loading and unloading operations should be planned to
minimize the influx of warm air into the truck interior. Also, transportation routes
should be designed to minimize elapsed time between the warehouse and the
receiving dock. Frozen dough should not be unloaded unless it is immediately
transferred to the bakery freezer. Finally, the efficiency ofthe freezer at the bakery
should be as high as possible; product that has kept its good baking quality potential
for 2 months at -20C in the central warehouse can lose it in 2 weeks at -1 0C.

4.5 Use in the bakery

4.5.1 Thawing and proofing
As with freezing, numerous methods for thawing frozen bread dough have been
proposed, but the only published systematic investigation was done at the American
Institute of Baking (Dubois and Blockcolsky, 1986b). Basically, dough may be
thawed at three temperatures: soc (e.g. in a retarder or refrigerator); 20-2SC
(room temperature); or 30-40C (proofing chamber). Three factors are considered
by the baker: the time required to thaw the dough piece (a matter of scheduling);
the time required to proof the bread to height (affecting operational efficiency);
and the volume, external appearance, and internal grain of the baked bread (product
quality). Achieving the best possible final product quality is (or should be)
paramount in the baker's estimation. Operating efficiently (and thus minimizing
costs) is the next consideration. Scheduling- as it affects efficiency, quality, and
having enough product on the shelf to meet customer demand - should be
subordinate to the other two factors.



Dubois and Blockcolsky investigated four thawing procedures: 16 hours at 5C;

24 hours at 5C; 1 hour at 22C; and directly from the freezer to the proofing
chamber at 32C. As expected, the warmer the dough when the panned bread was
placed in the proof box, the shorter the time required for the dough piece to proof
to a height 16 mm above the pan rim. For example, for dough that had been stored
for 16 weeks at -23C, proof times using the four procedures were 101 minutes, 61
minutes, 147 minutes, and 182 minutes, respectively. The volumes of loaves
(assessed over the entire storage period of 24 weeks) were best for the doughs
thawed for 16 hours in the retarder; the overall specific volume was 6.06 ml/g. The
other three methods gave slightly lower results, with average specific volumes
ranging from 5.88 ml/g for bread produced by thawing 24 hours at 5C, to 5.82 and
5.84 ml/g for the other two thawing methods. All four specific volumes are quite
acceptable for US-style white pan bread. The thawing procedure showed only
minor and inconsistent effects on the other quality factors (external appearance,
internal grain).
To summarize, for best quality, dough should be thawed for 16 hours in the
retarder. Proofing time will be approximately 50% greater than ifthawing is for 24
hours. If proof chamber capacity is the limiting factor in bakery production, the
longer thawing time has only a minimal effect on product volume. An unexpectedly
large demand on a particular day is probably best handled by taking dough directly
from the freezer to the proof box. The total time required to obtain fully proofed
dough is less than if dough is thawed at room temperature first, and the quality
factors are equivalent. Finally, it is important to cover dough pieces as they are
thawing in the retarder. If they are left uncovered overnight, a dry skin develops
on the surface, which produces unsightly patchiness on the crust of the baked
Proof box temperatures are in the range of 32-43C, with a relative humidity
about 75%. The higher proofing temperatures may be used with smaller dough
pieces (for example, croissants or small Danish rolls), while larger pieces (pan
bread weighing 400 g) require lower proof temperatures. If bread is proofed at
higher temperatures, the large temperature gradient (the center of the dough piece
may be barely above 0C) will cause the outer part of the dough to over-proof
relative to the center, and the baked bread will have a close, under-proofed center,
and coarse grain near the crust. The relative humidity recommended is slightly
lower than usual. At a higher relative humidity (say, 85-90%) some condensation
on the surface of the cold dough piece is likely to occur, which causes blisters and/or
light blotches to appear on the crust during baking.
Occasionally reference is made to 'reworking' thawed doughs. This is most
often tried with dough that has been stored longer than its useful shelf-life.
When thawed, proofed and baked the product has low volume and coarse grain.
The response of the experienced baker is to try to improve volume and grain
by sheeting and molding the dough piece. Unfortunately, experience has shown
that this ploy is not effective; once the dough has lost its gluten strength during
extended frozen storage, further mechanical work does not reverse the process.



The only practical recommendation is to charge off the outdated frozen dough
to experience, and make sure that such overlong storage does not happen in the
Chemically leavened doughs and batters also must be thawed, but proofing, of
course, is not a consideration. Since these products are stable at 5C, it is possible
to thaw enough biscuit dough for several days' baking, and hold it in the refrigerator
until required. Cake batter, on the other hand, depends upon entrained air bubbles
for a fine grain in the baked layer. Holding a thawed batter for several days is likely
to lead to partial separation of solid and liquid phases, and loss of air (or at least,
coalescence of air bubbles, which has much the same effect of coarsening crumb
grain). Thus it is a better practice to hold frozen cake batter at room temperature
until the ice crystals have disappeared, then briefly remix it, dispense to the pans,
and bake.
4.5.2 Baking andfinishing

In general the conditions for baking, cooling and packaging products made from
frozen yeasted doughs are the same as those made from scratch. In other words,
after a frozen bread dough has been thawed and proofed, it is essentially indistinguishable from a proofed freshly-made dough.
Chemically leavened products, on the other hand, may require slightly longer
bake times, if they are at refrigerator temperature when placed in the oven. This is
more noticeable for thicker product, such as layer cake batter in a 20 em round pan,
than for a biscuit dough piece, cut to a thickness of 1 em. Beyond this slight
adjustment, no other changes in baking practice need be made.

Bruinsma, B.L. and Giesenschlag, J. ( 1984) Frozen dough performance. Compressed yeast- Instant dry
yeast, Bakers Dig., 58 (6), 6-10.
Dubois, D.K. andB1ockco1sky, D. (1986a) Frozen bread dough, effect of additives, Tech. Bull. Am. Inst.
Baking, 8 (4), 1-7.
Dubois, D.K. and B1ockcolsky, D. (1986b) Frozen bread dough, effect of dough mixing and thawing
methods, Tech. Bull. Am. /nst. Baking, 8 (6), 1-7.
Dunas, F. (1988) Screening for a yeast strain for frozen bread dough. In Cereal Science and Technology
in Sweden, ed. Asp, N.G., Lund University, Lund, Sweden, pp. 130-136.
Hsu, K.H., Hoseney, R.C., and Seib, P.A. (1979) Frozen dough. I. Factors affecting stability of yeasted
doughs, Cereal Chern. 56, 41~24.
Inoue, Y. and Bushuk, W. (1991) Studies on frozen doughs. I. Effects of frozen storage and freeze-thaw
cycles on baking and rheological properties, Cereal Chern., 68, 627-631.
Lehmann, T.A. and Dreese, P. (1981) Stability of frozen dough- effects of freezing temperatures. Tech.
Bull. Am. Inst. Baking, 3(7), 1-5.
Mallett, C.P., ed. (1992) Frozen Food Technology. Blackie and Son Limited, Glasgow.
Neyreneuf, 0. and Vander Plaat, J.B. (1991) Preparation of frozen French bread dough with improved
stability, Cereal Chern. 68, 60-66.
Stauffer, C.E. ( 1990) Functional Additives for Bakery Foods, Van Nostrand Reinhold, New York.
Tressler, D.K., Van Arsdel, W.B. and Copley, M.J., eds. (1968) The Freezing Preservation ofFoods,
4th edn, Vol. 4, The AVI Publishing Company, Westport, CT.



Vander Plaat, J.B. (1988) Baker's yeast in frozen dough. State of the art. In Cereal Science and
Technology in Sweden, ed. Asp, N.G., Lund University, Lund, Sweden, pp. 110-129.
Varriano-Marston, E., Hsu, K.H., and Mahdi, J. (1980) Rheological and structural changes in frozen
dough, Bakers Dig., 54 (1), 32-35.
Wolt, M.J. and D'Appolonia, B.L. (1984) Factors involved in the stability of frozen dough. II. The
effects of yeast type, flour type and dough additives on frozen dough stability, Cereal Chern., 61,

5 Dough rheology and physical testing of dough


5.1 Introduction
The earliest written documents on the baking quality of wheat and wheat flour
provide evidence that even centuries ago bakers and millers were well aware of the
inherent differences in the baking potential of flours milled from different wheats.
After wheat gluten was first isolated and described by Beccari in 1728 (Bailey,
1941 ), it became evident that it was the quantity and quality of this unique
component which was primarily responsible for the observed differences. A
century later, the interest in the physical properties of wheat gluten provided an
impetus for designing the first testing instrument, the aleurometer. Since the
instrument, reported by Boland in 1836 (Muller, 1975), measured the volume
expansion of a gluten ball heated in an oil bath, its procedure may be more
appropriately described as a simulation of a baking test rather than a test of physical
properties. It was Jago's viscometer (Jago, 1895) which first attempted to measure
the true physical properties of dough. Tests with this instrument were arranged so
'that, in doing the work of forcing the dough through the aperture, both the stiffuess
and tenacity of the dough were called into play as resisting agents'. Jago used the
same viscometer for experiments which, in today's rheology terms, could be
described as structural relaxation tests. The tests 'were made in order to determine
the rate at which softening of the flour occurs during the time it remains in the
Following Jago' s viscometer, other testing devices were designed among which
those associated with the names of Kosutany and Rejto (Kosutany, 1907) and
Hankoczy (1920) can be considered the forerunners of today's empirical or
imitative instruments that are now used in cereal testing and research laboratories
all over the world (Table 5.1). Most of these instruments were developed in the
first half of this century when the progressive mechanization, and later automatization, of the cereal processing plants created a need for a better understanding of
the properties of the handled material, and when a stricter control of the process,
as well as the quality of the final product, became essential factors for success in
commercial operations. In quality testing, the use of these instruments is based on
a 'three-phase' system (Table 5.2), the concept of which reflects the relevance of
the individual physical qualities of dough at the three principal stages ofthe baking
process: dough mixing, fermentation and handling, and oven rise during baking
(Brabender, 1956; Brabender and Pagenstadt, 1957).



Empirical and imitative rheological measurements
Type of
measurement Characteristics
Parameters proven useful,
but not well defined,
inexpensive, fast,rugged
Back extrusion
Table 5.1


Conditions simulate application, Farinograph

usefulness based on experience

Typical measured
Mixing time

Adapted from Menjivar (1990), with permission.

The design of the empirical and imitative instruments, their procedures, and the
methods of interpreting the results obtained are described in full detail in a number
of comprehensive reviews and technical handbooks (Shuey and Tipples, 1980;
D'Appolonia and Kunerth, 1984; Bushuk, 1985; Bloksma and Bushuk, 1988;
Weipert, 1988a;FaridiandRasper, 1987;Rasper, 1991;RasperandPreston, 1991).
The value ofthese instruments goes beyond the scope of quality testing work. Over
the years, they have provided cereal scientists with an enormous aid in their studies
of dough structure/functionality relationships, in the evaluation of the effects on
these relationships of various ingredients, additives and treatments, and in a variety
of other research endeavours. The relative ease of their use, the rugged design
which allows for a simple maintenance, and the well-established relationships
between the test results and the behavior of flour or dough at the respective stages
of the actual technological process, are factors which made these instruments so
popular. There are, however, some drawbacks and limitations associated with their
use which, unless carefully examined, could easily lead to erroneous conclusions
in interpreting the test results.
It is the unpredictability of the sample geometries and the complexity and
non-uniformity of strains to which the tested material is subjected which make the
results unique to each instrument and, in most cases, preclude their interpretation
in fundamental physical terms. It also has been repeatedly pointed out that the rates
of shear and extension to which dough is subjected in these instruments are not
representative of those in the corresponding stages of the technological process
Table5.2 'Three-phase' concept of flour testing

Stage of
the process

Phase 1

Development time
Mixing tolerance
Blending of grain

Phase 2
Oven rise
Resistance to extension

Phase 3
(Oven rise)

Flour improvers


Pasting temperature
Paste viscosity

Amylolytic enzymes
Blending of flours
Adapted from Brabender and Pagenstadt (1957), with permission.



(Bloksma, 1990a). While shear rates during farinograph mixiny may be of the same
order as those in dough mixing for bulk fermentation (10 s- ), a more powerful
instrument, such as the Brabender Do-Corder (Nagao, 1986), would be required to
test dough under shear rates which characterize mechanical dough development
(10-100 s -1). A discrepancy of three orders of magnitude may be seen between
the rates of extension associated with the two widely used load/extension instruments, the Brabender extensigraph and the Chopin alveograph (10- 1-1 s- 1)3' and
those at which dough is deformed during fermentation or oven rise (10-4-10- s- 1).
In a critical assessment of the empirical and imitative tests by Bloksma (1990b),
attention has been drawn to two factors which, unless properly understood, could
easily lead to incorrect conclusions in looking for correlations between physical
characteristics determined by these tests on the one hand, and the baking performance of the tested flour on the other. These two factors are the range of application
and the direction of effects. With respect to the former, water absorption of flour
determined by farinography may serve as an example to illustrate its importance.
Generally, higher farinograph absorptions of flours milled within the normal range
of extraction rates for white flours are taken as a sign of a better baking quality.
This relationship, however, loses its significance with flours of higher extractions,
in which case higher absorption values are an indication of the presence of
components of a high water absorptive capacity but, at the same time, with a
detrimental effect on flour baking quality. As for the direction of effects, Bloksma
explains the potentially misleading nature of this factor with the example of dough
resistance to extension. This property can be either increased by treating flour with
an appropriate oxidizing agent or reduced by the addition of fat to the dough
formula. Despite the opposite directions of the resulting effects on the mentioned
property, both treatments are known to improve the quality of the baked loaf.
With all these drawbacks and intricacies, empirical and imitative tests give us
results which, in many cases, relate to the technological performance of the tested
material more closely than results of tests performed under better controlled
conditions. In analyzing this somewhat intriguing subject, Bloksma ( 1990b) introduced an 'indirect cause and effect' concept by suggesting that the instruments,
instead of measuring a property directly important for the behavior of dough during
the technological process, measure other properties closely correlated with the
quality determining factors. This concept becomes especially relevant when the
results of the tests are used for the identification offactors responsible for a specific
behavior of the tested material. As stated above, higher farinograph absorptions of
wheat flours are generally considered a sign of better baking quality. Rather than
attributing this better quality directly to the higher absorption, protein content of
the tested flour should be seen as the property which independently influences both
its absorption capacity and baking behavior. Similarly, longer dough development
times characteristic offlours with a better baking performance should be considered
a reflection of at least two primary factors. The first one relates to the theories
linking better baking performance with the presence in flour of longer molecules
of glutenin which require a longer time for proper alignment during mixing than



the shorter protein molecules. The size of flour particles appears to be the second
factor. Better loaves are usually baked from flours milled from harder wheats
which, compared to flours of softer wheats, are characterized not only by a larger
particle size, but higher protein values. While the larger flour particle size causes
a slower absorption of water during mixing and, hence, a longer dough development time, it is the quantity and quality of protein which is the primary factor linked
to the better baking performance.
Over the past decade, there was a considerable effort put into modernizing the
empirical and imitative instruments and fmding new avenues for broadening their
applicability. In order to avoid the labor-intensive analysis of the recorded curves
and to reduce the potential for errors arising from subjective judgment by the
operator, the mechanical measuring systems were replaced with electrical sensing
devices (e.g. strain gauges, potentiometers), which, apart from enhancing the
sensitivity and the range of the instrument, permit automated acquisition of data
and their subsequent analysis and storage by a computer. The computerized
Brabender farinograph (Sietz, 1983, 1989) and the RCV4 Relaxocalculator, coupled with the Chopin alveograph MA82 (Faridi and Rasper, 1987) have become
well established in cereal testing laboratories. Electronic recording and corresponding software are now also available for the Brabender extensigraph (Rasper and
Preston, 1991) and the Brabender amylograph. Considerable activity was focused
on the mixograph, originally designed in 1933 (Swanson and Working, 1933).
Apart from fitting the instrument with a suitable type of sensing device, the
researchers evaluated computerized procedures that would smoothen the often
broad recorded trace of mixograph mixing and, with the application of an optimally
suitable mathematical function, would allow for the extraction of the most relevant
indices from the recorded data (Rubenthaler and King, 1986; Gras et al., 1988,
1990; Navicks et al., 1990; Neufeld and Walker, 1990; Steams and Barta, 1990).
Other improvements in the design of the instrument were also reported. Although
fluctuation in temperature was identified as the chief source of variation in
mixograph results a long time ago (Heitzer et al., 1951), no concerted effort had
been made towards temperature control of the instrument until recently, when
Shelke and Walker (1990) modified the 10 g mixograph bowl by fitting it with a
jacket connected to a temperature-controlled water bath. The earlier downscaling
of the 25 g mixograph bowl to the 10 g (Finney and Shogren, 1972) and 5 g flour
sample size (Finney, 1989), was followed by the development of a 2 g flour sample
mixer (Rath et al., 1990). This direct drive mixer uses the epitrochodial mixing
motion of the mixograph and can be easily linked to a computer for automated
interpretation of the results. The mixer not only provides the breeders with a
possibility of early-generation testing of single plant samples based on dough
properties, but permits numerous applications in studies when only minute quantities of the test material are available.
As for the broadening of the applicability range of the established instruments,
reference could be made to the combination of the Chopin alveograph with the
computerized Relaxocalculator RCV4 which, apart from the standard alveogram



parameters, permits for the measurement of stress relaxation times of doughs

biaxially extended to a preselected level of deformation. Although this modification opens new avenues for both quality testing and research, relatively little work
has been reported on its use since its introduction (Launay, 1979, 1990; Rasper,
Another modification that could considerably broaden the applicability range
of a widely used instrument concerns the Brabender extensigraph and its use in
physical testing of fermenting doughs. In the past, a number of researchers reported
on extensigraph tests involving fermenting doughs without mentioning any modifications to the instrument or its standard procedure (El-Dash, 1978; Moss, 1980;
Pizzinatto and Hoseney, 1980; Varriano-Marston et al., 1980; Doescher and
Hoseney, 1985a,b; Wu and Hoseney, 1989, 1990). There was no mention of any
difficulties in handling the fermented dough or unusual behavior that would
interfere with the test. Yet, Kilborn and Preston (1982) pointed out two problems
which may be encountered. First, the doughs tend to tear in the extensigraph
molder, and second, the conventional dough holders cannot efficiently accommodate the increased volume of fermenting dough test pieces. Because the clamps for
holding the dough do not permit free expansion, the dough tends to flow to the
centre and out of the holders as it expands. Subsequently, the mentioned researchers
modified the molding process and designed a special dough holder which they later
used in studying the effects of fermentation time, inherent flour strength, and salt
level on extensigraph properties of full formula doughs (Casutt et al., 1984). More
recently, the same technique was applied by Inoue and Bushuk (1991) in studying
the effects of storage and freeze-thaw cycling on rheological properties of frozen
yeasted doughs. The discrepancies between their results and those reported earlier
in a similar study on the same subject, but carried out with the standard equipment
(Varriano-Marston et a!., 1980), may be due partly to the different type of flour
and different storage conditions used in the respective studies, but also to the
mechanical conditions of the test. They may, therefore, serve as an example to
underline the importance of paying attention to specific details in the design of the
testing instrument and its procedure, if the instrument is to be used in a test for
which it was originally not intended.
Apart from broadening the applicability of instruments that have long been
established as tools of cereal testing methodology, the potential of introducing
some other instruments has also been investigated. The use of a combination of the
Kramer shear press cell and the Instron universal testing machine was reported in
measuring the physical properties of cracker doughs prepared from varietal flours
of varying quality (Creighton and Hoseney, 1990a, b). The measurements produced
curves which offered two force readings: (i) the peak force, taken as an indication
of dough stiffness; and (ii) the shoulder force, considered to be a function of dough
elasticity or development (Figure 5.1). Doughs which produced good quality
crackers (low stack heights) had both force values decreased at longer fermentation
times, while the shoulder force values of doughs yielding poor quality crackers
(high stack height and weight) increased. The results agreed with previously





A typical force vs. time curve recorded by a combination of Kramer shear test cell and
Instron universal testing machine for cracker dough sponge. (From Creighton and Hoseney, 1990a,
with permission.)

Figure 5.1

observed changes in the extensigraphic properties of cracker sponges during

fermentation, specifically, the drastic decrease in their extensibilities (Pizzinato
and Hoseney, 1980; Doescher and Hoseney 1985a, b; Wu and Hoseney, 1989). The
technique has proven sufficiently sensitive to confirm earlier findings regarding
the softening of the sponges during fermentation caused by changes in their pH due
to proteolytic activity (Pizzinato and Hoseney, 1980; Wu and Hoseney, 1989).
Alongside with work aimed at improving the instrument's performance and
broadening the range of its applicability, new ways for a more meaningful and
efficient interpretation of the measured data were also explored. A newly proposed
index for a quick qualitative evaluation of farinograms termed the 'quality number'
(Iaquez, 1990), and the suggestion for the use of a parameter based on the first
derivative ofthe pressure/time curve in interpreting alveograms (Addo et al., 1990),
may be seen as examples of such efforts.

5.2 Fundamental dough rheology

Since the days when the fundamentals of dough rheology were first outlined by
Schofield and Scott-Blair in the early 1930s (Schofield and Scott-Blair, 1932,
1933a, b), an army of researchers have been attempting to obtain a sound insight
into the relationships between the complex structure of dough and its rheological
behavior. Many of the reported studies were carried out with the ultimate objectives



of defining those rheological properties which have an immediate impact on the

functionality of dough and could, therefore, be used as reliable predictors of its
behavior during the baking process, as well as the quality of the fmal product.
Progress in reaching these objectives has been slow and not always free from
controversy. Apart from the great structural complexity of dough, the researchers
had to cope with difficulties in creating conditions which would allow for working
with a geometrically defined sample and uniform deformations.
As a viscoelastic material, dough combines the properties of a Hookean solid
with those of a non-Newtonian viscous fluid. Since the ratios of stress vs. strain
(apparent modulus) and stress vs. strain rate (apparent viscosity) are not constant,
the rheological behavior of dough is generally considered non-linear and, in
characterizing this behavior, both the viscous and elastic components have to be
determined as functions of strain and strain rate (Bagley and Christianson, 1986).
Most of the past studies employed techniques based on transient loading
patterns, mainly the creep test and the stress relaxation test. The former uses stress
applied suddenly and maintained at the applied level with strain measured as a
function of time, whereas the latter is based on measuring changes with time in
stress resulting from the maintenance ofa rapidly developed strain. Comprehensive
reviews summarize the results of these studies (Faridi, 1985; Faridi and Faubion,
1986, 1990; Bloksma and Bushuk, 1988; Faubion and Hoseney, 1990). More
recently, techniques based on the transient (static) loading patterns were surpassed
in popularity by those utilizing the dynamic loading patterns based on the application of a continuously changing stress or strain. The adaptation ofthese techniques,
originally used as methods in polymer methodology (Ferry, 1980), was greatly
facilitated with the recent availability of commercially made oscillatory rheometers
with computerized processing of measured data.
In dynamic oscillatory measurements, the form of the change in strain or stress
is sinusoidal with two variables in the measurement - the frequency and the
maximum amplitude of the shear strain. The measured responses of the material
are the maximum amplitude of the shear stress and the phase difference between
the applied strain to the stress wave. The experiment can also be approached from
the reverse direction, in which a sinusoidal shear stress is applied and the strain is
measured. In either case, the parameters measured should be the same.
The theory underlying these measurements, the instrumentation, and its applicability to dough, has been the subject of recent reviews (Rao, 1984; Faubion et
a!., 1985). The technique offers the advantage of a simultaneous conversion ofthe
measured data into both the dynamic storage modulus (G') and the loss modulus
(G"), which represent the energy elastically stored and dissipated, respectively,
during each deformation cycle. The G" /G' ratio, termed the loss tangent, is then
taken as a measure of the ratio between the viscous and elastic responses of the
tested material. The absolute validity of these conversions, however, can only be
claimed if the behavior of the tested material is linear. Although many studies
showed that dough could behave like a linear viscoelastic material at the extremely
low strains associated with the oscillatory tests, it also became evident that the



range of strains at which linear behavior may be expected would depend on the
type of the tested material, the dough mixing procedure and the test technique used
(Hibberd, 1970a,b; Smith et al., 1970; Hibberd and Parker, 1975a; Navicks et al.,
1982; Szczesniak et al., 1983; Faubion et al., 1985; Weipert, 1989, 1992).
The effect of the amplitude of the deforming strain on the relative magnitudes
of the moduli is another factor to be carefully considered in order to avoid any
misinterpretation of the measured data. While at strains below 0.1% the G' values
exceed those of G", a reversion in the relative values of these two moduli, well
known from tensile tests (Funt Bar-David and Lerchenthal, 1975), occurs when
higher strains are applied; such a reversion signifies a change from the behavior of
a viscoelastic solid to that of an elastoviscous liquid (Szczesniak et al., 1983). The
earlier observed positive dependence ofG' on the frequency of oscillation (Hibberd
and Wallace, 1966; Smith et al., 1970) was confirmed by some more recent studies
which also showed that the pattern of this dependence is practically identical for
doughs from both hard and soft wheat flours (Figure 5.2) (Dreese et al., 1988b).
Like empirical or imitative tests, dynamic oscillatory measurements were not
spared criticism with respect to the mechanistic differences between the kinematic
conditions during the test and any type of deformation to which dough is subjected
during the actual breadmaking process. The deformations of the dynamic oscillatory measurements are very low (0.1-5% compared with those experienced by
dough in the breadmaking process which may range from 100% during sheeting,
to 1000% during fermentation and oven rise, and 500 000% during mixing
(Menjivar, 1990).









0 3 L-----:o:-L:.1:---~1--........l1o=------l


Figure 5.2 Rheological properties of doughs from hard red winter and soft winter wheat flours.
(From Dreese et al., 1988a, with pennission.)








Figure 5.3 The effect of moisture content in flour-water doughs on their rheological properties.
(Numbers indicate percent moisture.) (From Dreese et al., 1988b, with permission.)

Over the past decade, a great variety of factors known for their effects on the
behavior of dough, became the subject of dynamic oscillatory investigations. One of
them was the water content in dough. Its negative effect on both G' and G", although
not manifested at the same rate for both moduli (Figure 5.3), has long beenrecognized.
However, the dispute among researchers whether or not an interaction exists between
the effects of water content and testing frequency, seems to remain unresolved
(Hibberd, 1970a,b; Hibberd and Parker, 1975b; Navicks et al., 1982; Dreese et al.,
1988b). Another factor investigated was the time of mixing. The earlier observations of the dependence ofboth moduli on the time of mixing (Bohlin and Carlson,
1980) were confirmed by the work of Dreese eta/. (1988b) who, in view of the
similarity in the reduction of G' values by either prolonged mixing or excessive
absorption, came forward with a hypothesis relating the lower G' of doughs mixed
past their optimum development to the reduced water binding capacity of gluten.
Their speculation was strengthened by the fact that similarities were also found in
the appearance and feel of doughs which were either over-mixed or prepared with
water in excess of their optimum absorptions. More recently, Mani eta/. (1992),
when evaluating the rheometric properties of doughs mixed in different mixers,
found the rate of decrease in G' with mixing time dependent on the severity of
mixing. They found a strong correlation between the storage modulus and the
optimum mixing time indicated by farinograms, while the optimum mixing times
indicated by mixograph curves were one minute longer than the rheologically
established optimum; the latter correlated with the baking performance data.



Considerable interest was displayed by researchers in the potential of the

oscillatory tests for distinguishing between flours of varying inherent qualities. In
comparing two flours with similar chemical compositions and insignificant differences in mixing properties, but of different baking qualities, Abdelrahman and
Spies (1986) measured lower values of all three parameters, i.e. G',G" and loss
tangent, for dough prepared from higher-quality flour. Although the two tested
flours differed in their absorptions, the results gave no evidence which would link
the measured differences in rheological properties with water content in dough. If
water was the controlling factor, its higher content in dough mixed from the
higher-quality flour would have necessarily resulted in an increased tangent. Apart
from displaying a higher ability to detect subtle differences in inherent flour
qualities, which remained undetected by a conventional mixing test, the dynamic
measurements provided a proof of the simultaneous contribution of both the
viscous and elastic rheological components of wheat dough to its baking quality.
The observed greater sensitivity of oscillatory measurements in the detection of
differences in inherent flour qualities, compared to the sensitivity of an empirical
mixing test, may be found in contrast with reports on a rather marginal response of
dynamic moduli to treatments of flour with oxidizing or reducing agents. A
fast-acting agent like KI03, for which the effect on the tensile properties of wheat
doughs is well documented (Bushuk and Hlynka, 1962), had only a minor effect
on the storage modulus, G', of flour-water doughs (Dreese et al., 1988b). A
somewhat stronger response was seen when commercial gluten-water doughs were
treated with cystein. In this case, the decrease in G' and increase in the tangent,
characteristic ofthe reduction of cross-linking in a polymer system, was consistent
with the generally accepted theory of the cystein-induced 'softening' mechanism
through breaking or inhibiting the formation of disulfide links between gluten
forming proteins. A marginal response to oxidizing agents was also reported by
Davies et al. (1991) who, when comparing results of oscillatory and tensile tests
on gluten treated with KBr03 and ADA, found the tensile test more responsive to
the treatment than the oscillatory one, especially in the case ofKBr03 treatment.
With ADA-treated gluten, there was a slight increase in G' at temperatures in excess
of35C, while G" remained practically unchanged.
Lindhal and Eliasson (1992) compared the rheological properties of doughs
prepared from durum wheat flour and two flours milled from bread wheat grain,
one of them milled using the standard bread wheat milling process, the other
prepared by the durum wheat milling process. At water addition levels of 45%,
differences in the qualities of durum wheat and bread wheat were observed in that
a higher loss tangent was obtained for dough prepared from the latter. Testing the
individual flour streams from the bread wheat milling process revealed that doughs
of similar rheological behavior could be obtained by manipulating particle size
distribution and damaged starch content, even when the streams differ considerably
in protein content. The opposite, however, was observed with flour streams milled
under the conditions of durum wheat milling. In this case, the rheological qualities
of doughs prepared from streams of a similar protein content could be related to



particle size and damaged starch. A correlation between the storage modulus, G',
and the amount of damaged starch was found at starch damage levels up to 10%.
The study emphasized the role of the milling process in controlling the rheological
qualities of the milled product.
In reviewing the achievements in the field of dough rheology, the efforts in
designing the best fitting rheological models, their use in analyzing and defining
the rheological behavior of the tested material (Launay eta!., 1989; Launay, 1990;
Mackay and Ofoli, 1990), and their implications to processing operations (Gogos
and Bhakuni, 1991; Kokini et al., 1991) should not remain unmentioned.

5.3 Dough and gluten rheology at elevated temperatures

One of the advantages of the oscillatory rheometers is the relative ease with which
temperature can be included into the test as an experimental factor. Measurements
on dough at elevated temperatures open new avenues for research in an area of
dough rheology which, until recently, has been minimally explored because of
difficulties encountered in arranging for a simultaneous, uniform heating of the
dough mass and its testing. Dreese and his colleagues (Dreese et al., 1988a) adopted
the electrical resistance technique of Junge and Hoseney (1981) by using the
rheometer top and bottom plates as electrodes and the dough as the resistor. This
arrangement allowed them to uniformly raise the temperature of a relatively small
mass of dough up to 90C under controlled conditions. From data obtained during
heating and reheating flour-water doughs, the researchers were able to detect an
irreversible increase in G', accompanied by an irreversible decrease in tangent,
when the temperature of the dough reached 55C (Figure 5.4). The occurrence of
identical changes in gluten-starch doughs, the dependence of these changes on the
quantity of starch in the dough (Figure 5.5), and their absence from gluten-water
doughs (Figure 5.6), were indicative of the involvement of starch gelatinization at
temperatures between 55 and 75C. Since the changes in the moduli could not be
duplicated by changing water content in the dough, it was speculated that a
mechanism other than a simple absorption of water by the gelatinizing starch
could be implicated. Hydrogen bonding between starch and gluten molecules was
suggested as one of the possible mechanisms. Previously, Bloksma and Nieman
(1975) also considered starch gelatinization the primary reason for changes in
the rheological properties of dough upon heating in the above mentioned
temperature range, while LeGrys eta!. ( 1980), when working with gluten-water
doughs, attributed the increase in G' during heating to increased gluten crosslinking.
The same researchers (Dreese eta/., l988c) used the resistance heating procedure in comparing the dynamic rheological properties of commercially produced
gluten and hand washed, lyophillized gluten prepared in the laboratory. Differences
found between these two glutens appeared to be caused primarily by a difference
in washing procedure and to a lesser extent to differences in the drying procedure.

















Figure 5.4 The effect of heating on G' (at 5Hz) and loss tangent of flour-water doughs. Heat, first
heating. Reheat, heated after dough had been heated to 90C and cooled. (From Dreese eta/. l988a,
with permission.)




.f 4.0




1- 0.3

z 0.2

1- 0.1


Figure S.S The effect of first heating on G' (at 2Hz) and loss tangent of doughs from gluten-starch
blends. (Figures correspond to the percent gluten in the blend.) (From Dreese et al., 1988a, with permission.)














Figure 5.6 The effect of first heating and reheating on G' (at 2Hz) of gluten-water doughs. (From
Dreese et a/., 1988a, with permission.)

Removing measureable amounts of marginally soluble components from the

commercial gluten increased its storage modulus G'.
A 'recording baking test' was described by Weipert (1988 a,b, 1989, 1992) in
which oscillatory rheometry was adopted for monitoring rheological behavior of
dough under the conditions of continuously rising and falling temperatures. The
test was performed with the Rheometries RDAII having the surface of the two
parallel plates (2.5 em diameter, 2 mm measuring gap) covered with a fine emery
cloth to prevent slippage of the dough. Heating and cooling (3 C/min) was done
by hot and cold air, respectively, and liquid nitrogen. To avoid drying out of the
dough, the edges of the plates were sealed with a high melting-point lubricating
paste. A typical record of the changes in the measured rheological properties in the
course of the test is shown in Figure 5. 7. Changes in the values of complex modulus
G* and loss tangent of doughs from varietal flours of distinctly different baking
qualities are shown in Figure 5.8 and Figure 5.9. Throughout the whole test, dough
108 c---------------------- ----,


........ "


-- G'



TIME, min
Figure 5. 7 Changes in rheological properties of wheat dough during the 'recording bake test'.
Complex modulus G* = (G' 2 + G" 2) 112 (From Weipert, 1988a, with permission.)













TIME, min
Figure 5.8 Changes in complex modulus (G*) of wheat doughs prepared from varietal flours of
different baking quality (Obelisk dough, soft and slack; Okapi dough, short and 'snappy'). Changes
recorded during the 'recording bake tests'. (From Weipert, 1988b, with permission.)

prepared from Okapi flour, subjectively evaluated as 'short' and 'snappy', was
characterized by higher values of complex modulus G* and lower values of the
tangent, compared with the 'moist' and 'slack' dough from Obelisk flour. The wide
applicability of this procedure was further demonstrated by experiments showing
the effects of added sugars on the rheological properties of pastry dough. The delay
in the onset temperature of starch gelatinization in the presence of the sugars,
evidently due to the competition for water between starch and the added sugar, was








Figure 5.9 Changes in loss tangent of doughs prepared from varietal flours of different quality
(Obelisk dough, soft and slack; Okapi dough, short and 'snappy'). Changes recorded during the
'recording bake test'. (From Weipert, 1988b, with permission.)







cf 105


TIME, min

Figure 5.10 The effect of sugars on the viscosity (eta*) of pastry dough as recorded by the 'recording bake test'--= no sugar;--- = sucrose; -.-.-=lactose. (From Weipert, 1992, with permission.)

clearly visible from changes in dough viscosity (eta*) with increasing temperature
(Figure 5.10). Unlike lactose, sucrose caused consistent reduction in viscosity
readings relative to the unsweetened control.
The technique of oscillatory rheometry at changing temperatures was also used
by researchers at the Unilever Laboratory in Shambrook, England, when studying
the relationships between the structure of puff pastry and flour protein quality
(Davies et al., 1987, 1991; Attenburrow et al., 1990). The study involved four
varietal flours, two of which formed doughs with many well defined thin layers,
free from holes and defects. Upon baking, these doughs produced an excellent
pastry 'lift' withstanding the steam pressure generated by heat. In contrast, the other
two flours produced doughs with thick, ill-defined layers, yielding a final product
of inferior quality. In relating this functional behavior to the quality of gluten, the
researchers used two approaches, one utilizing oscillatory rheometry, the other
based on transient tensile deformations. By using a Rheometries mechanical
spectrophotometer with test plates enclosed in a circulating air oven (heating rate
1C/min), they were able to monitor the changes in the dynamic moduli of the
hydrated glutens over a temperature range between 25 and 100C. At the ambient
temperature, glutens from the better quality flours displayed greater elastic properties (lower tangent values) than the other pair. It appeared that these properties
provided the mechanical strength necessary for the dough to be rolled out into
unbroken laminates of uniform thickness (approximately 30J.L). Both moduli decreased steadily when the glutens were heated until approximately 60C, at which
point there was a slight increase (Figure 5.11 ). While G' continued the trend of
slow increase at rising temperatures (above 60C), the increase in G" was soon
reversed into a steady decrease. The slow increase in G' at temperatures above 60C
was evidently due to the gelatinization of starch still present in the glutens after



good quality
poor quality











Figure 5.11 Effect of temperature on dynamic storage (G') and loss (G") moduli of single variety
wheat glutens. (Adapted from Attenburrow et al., 1990, with permission.)

they had been extracted from the respective doughs. Gelatinization of the residual
starch granules masked the onset ofheat-setting ofgluten proteins, primarily glutenins,
the occurrence of which was detected by simultaneously conducted extractibility tests
using sodium dodecyl sulfate as the extracting agent. Starch gelatinization was,
however, unlikely the cause of the sharp increase in G' close to 90C, which presumably, was the result of protein cross-linking via disulfide bonding. The consequent
changes in loss tangent are shown in Figure 5.12. It may be noted that the varietal
differences between the glutens were minimized at temperatures above 80C.

-.... .....,



~' ~

............. ood quality



--- g

poor quality





, .....

' ..




Figure 5.12 Effect of temperature on tangent values of single variety wheat glutens. (Adapted from
Attenburrow et al., 1990, with permission.)



The other approach was based on testing the same glutens in simple tensile mode
after they had been heat-set at temperatures covering a range between 90 and
140C. Results of these tests, performed with an Instron universal testing machine,
were expected to assist in defining those rheological properties of gluten that are
required for a sufficient dough 'lift' to occur during baking. It appears reasonable
to assume that the heat-set dough laminates must possess enough strength to resist
the steam pressure, yet remain extensible for a sufficiently long time. With
increasing heat-setting temperature and a longer duration of the heat-setting
process, breaking stress and the tensile modulus increased, while breaking strain
decreased. Although there were some differences in the relative values of the
parameters for the four tested varieties, the overall evaluation of the experimental
data led the researchers to a conclusion that pastry 'lift' during baking was more
closely related to the differences in the rheological properties of gluten measured
at ambient temperatures rather than to the tensile properties of the gluten samples
exposed to the temperatures of baking.
More reading on the rheological properties of gluten in relation to its behavior
during the baking process can be found in a comprehensive treatise of this subject
by Eliasson (1990).

5.4 Rheology of other flour systems

The potential of dynamic measurements in the continuous monitoring of changes
in rheological properties during the baking process was also exploited in studies
concerned with the functionality of cake batters. Shelke et al. (1990) used for this
purpose a combination of resistance heating and oscillatory-probe viscometry. The
Oscillatory Probe Viscometer (Nametre Co., Metuchen, NJ) uses the principle
of 'surface loading', whereby a vibrating surface experiences a force that is a
function of the viscosity of the liquid in contact with the surface (Fitzgerald et
al., 1988). A typical viscosity-temperature record obtained by this viscometer
for the AACC-formula cake batter (Figure 5.13) agrees with the three-stage
theory of cake baking as proposed by Mizukoshi (1986). The initial decrease
in viscosity with the increasing temperature characterizes the first stage of
reduced foam stability when foam drainage and bubble coalescence may occur.
During this stage no starch gelatinization or protein denaturation take place.
The subsequent rapid increase in the viscosity signals the beginning of the
second stage when the most drastic changes in the rheological properties of the
batter may be expected due to starch gelatinization. According to Mizukoshi
(1986), the shear modulus of the continuous phase increases and, thus, stabilizes
the bubble structure and reduces foam drainage. In the last stage, when starch
gelatinization is almost completed and protein coagulation is accelerated,loss
modulus reaches its maximum, but storage modulus keeps increasing. The
expansion of the batter ceases but the strengthening of the structure continues
until the end of baking.




... 15










Figure 5.13 Viscosity-temperature profile of the AACC cake batter during heating. A, viscosity at
ambient temperature; B, minimum viscosity of heated batter; C, onset temperature of rapid viscosity
increase; D, rapid viscosity increase. (From Shelke eta/., 1990, with permission.)

The procedure by Shelke eta/. (1990) was found suitable for monitoring the
effects of various ingredients, such as sugar, shortening, emulsifiers and hydrocolloids. As an example, Figure 5.14 shows the effects of sugar type and concentration
on the onset temperature of gelatinization, in which respect sucrose was found to
be more effective than either glucose or fructose. Another example (Figure 5.15)
shows the effects of egg white. This ingredient had no measurable effect on the
onset temperature of gelatinization, but distinctly enhanced the viscosity of the
batter, especially when used fresh rather than dried. Experiments with shortening
and emulsifiers provided data documenting the differences in the mechanism by
which these two ingredients influence the functionality of cake batters. The
addition of shortening lowered the batter viscosity during heating and reduced the
rate at which the viscosity increased during 'setting', evidently due to a restricted
swelling of starch granules (Ghiasi et a/., 1983). On the other hand, higher
viscosities at ambient temperatures as well as throughout the whole heating process
were recorded with batters treated with any of the tested emulsifiers (PGMS,
lecithin, mono- and diglycerides). Unlike shortening, the emulsifiers did not reduce
the rate of viscosity increase after the onset of gelatinization. The positive change
in batter viscosity at ambient temperature, evidently a result of a more efficient
incorporation of air during mixing, and the higher viscosities of the batter during
heating have a beneficial effect on the quality of the batter by preventing coalescence, migration and loss of the air cells before the batter assumes the more rigid










SUGAR, % flour wt.

Figure 5.14 Effect of increasing levels of sucrose, glucose or fructose on the onset temperature of
rapid viscosity increase of heated cake batter. (From Shelke et al., 1990, with permission.)

sponge texture of the final product. Consequently, a higher volume and better
textural properties of the final product are obtained. An increase in batter viscosity
was also achieved by the addition of hydrocolloids (xanthan gum, guar gum and
CMC). The most noticeable difference between the viscosities ofbatters with and
without the hydrocolloids was seen at temperatures at which the viscosity readings
on the recorded curves were passing through the minima. At this stage, xanthan
gum displayed the most positive effect compared to the other two hydrocolloids at
equivalent levels.



Figure 5.15 Viscosity-temperature profiles of the AACC cake batters containing fresh or dried egg
whites. (From Shelke et al., 1990, with permission.)



The oscillatory-probe/variable temperature technique was used by Hansen et al.

(1990,1991) to measure rheological properties of heated starch-water systems as
they undergo sol to gel transformations during cooling. The low shear strains, at
which the oscillatory probe viscometer operates, allowed these measurements to
be performed without disrupting the integrity of the gels. The approximate temperature of the transformations was easily read from the loss tangent/temperature plots
which, at the same time, clearly evidenced the dependence of this temperature on
the starch solids concentration in the system.
5.5 Rheology of spongy systems
The dynamic oscillatory rheometer was also found to be a valuable tool in studying
rheological properties of spongy materials such as bread crumb or cakes. Persaud
et al. (1990a), using this technique to study the changes in bread crumb properties
during storage, noticed that the range of strains over which the crumb behaved like
a linear material varied with the age of the crumb. With a 3-hour old crumb, the
linear behavior was only observed at strains not exceeding 0.6%, while with the
older crumb the linearity range extended to strains as high as 4%. Beyond the 0.6%
strain limit for the 3-hour old crumb, the G" values increased with increasing strain.
Since this increase in G" was not accompanied by any significant change in G', the
tangent values increased considerably once the linearity limit was exceeded. The
factor responsible for this apparent enhancement of the viscous component was not
identified. Whatever the factor may be, its contribution to the rheological behavior
of the crumb declined with time of storage to a point where it became detectable
only at very high levels of strain. The temperature of storage (4, 25 and 40C)
did not seem to have any effect on the limits of the linearity range but had a definite
effect on the values of both G' and G", as well as on the rate at which these moduli
changed during storage. The trends displayed by the moduli bore similarity to the
firmness curves obtained previously by static compression tests (Maga, 1975). At
the ambient temperature (25C), both moduli increased with time of storage, but,
because of a faster increase in G' relative to G' ', there was a decrease in the tangent
values. This decrease did not happen when the storage temperature was raised to
45C, in which case the tangent values remained practically unchanged throughout
the whole storage period (120 h). While the rheological behavior of the crumb at
ambient temperature may well agree with the theory of polymer systems relating
the increase in G' and the accompanying decrease in the tangent to the development
of cross-linking (Ferry, 1980), results obtained at the 45C temperature would
suggest the involvement of another mechanism. In adopting the polymer theory,
hydrogen bonding in starch crystallites due to retrogradation would be considered
the type of cross-linking involved. The above researchers, however, did not find
the change in G' at 45C as high as they would expect at this temperature,
approximately 8C below the melting point of the retrograded crystallites, when
annealing of starch should be reaching its maximum (Yost and Hoseney, 1986).



Furthermore, they considered the increase in G" with strains above 4% unlikely to
be due to breaking of the starch crystallites.
Persaud et a/. ( 1990b) reported results which indicated differences in mechanisms by which shortening and two selected surfactants (Sodium stearoyllactylate
(SSL) and hydrated monoglyceride (HMG)) affected crumb properties. At low
levels of surfactant (0.375% SSL, 1% HMG), the rate of change in G' with time of
storage (at 25C) of the surfactant-treated crumb was significantly lower than that
of the control. After 72 h, there was a clear difference in G' between the treated
and control crumbs. Evidently, the surfactant acts by delaying the loss of viscous
flow properties associated with the ageing ofbread. The separation of the surfactant-treated and untreated crumb became even clearer at higher levels of surfactant
(0.5% SSL, 2.4% HMG). Loss tangent of crumb treated with HMG or a HMG-SSL
combination was practically the same as that of the control throughout the whole
ageing period. Loss tangent of the SSL-treated crumb decreased slightly but was
still higher than that of the control. With surfactants present at the higher levels,
there was no significant difference between the G' values of the surfactant-treated
crumb and the crumb of the control with 3% shortening added, despite a 'softer
feel' of the treated crumbs.
Persaud et a/. ( 1990b) also reported on the rheological behavior of aged bread
during its refreshing by heating in a conventional oven or a microwave oven.
Conventional heating brought both the G' and tangent values of the aged bread
crumb close to those of the fresh sample, but only a partial reversal in G',
accompanied by a marked increase in the tangent, was seen with samples heated
with the microwave energy. The increase in the elastic component (G') of the
microwave-heated crumb, coupled with an even larger increase in the viscous
modulus (G"), may explain the toughness or leatheriness that is characteristic of
microwave-treated breads. These observations led the researchers to a speculation
that two processes may affect the rheological properties of the crumb during
microwave heating. First, the loss of moisture, and second, the absorption of
microwave radiation. They considered the latter likely responsible for the changes
in the flow properties, while the former for changes in G'.
In connection with the discussion on the rheological measurements on bread
crumb, the recent comments by Nussinovitch and his colleagues (Nussinovitch et
a/., 1990) regarding the preferability of tensile deformations over the generally
used compression deformations, deserve to be mentioned. The researchers consider
results of compression tests to be not only too dependent on the test conditions, but
difficult to interpret in physical terms. They point out that stresses involved in
compression tests do not compare in their magnitude to those needed to tear the
material apart as happens during chewing. A testing procedure based on the use of
the Instron universal testing machine in tensile mode was used on a number of
bread crumb samples, but the limited volume of reported data did not allow to
satisfactorily verify the researchers premises. Nevertheless, some of the results are
worth mentioning, mainly because of their somewhat unexpected nature. There
was an absence of any relationship between the sample density and the ultimate



tensile force, despite large differences in the densities and compressibilities of the
tested samples. Neither was any consistent pattern found in plots of the deformation
at failure versus the ultimum tensile force. Such relationships would be expected
from the experience with compression tests (Hibberd and Parker, 1985; Dahle and
Sambucci, 1987; Kamel, 1987; Walker et al., 1987; Baker and Ponte, 1987; Baker
et al., 1988). Nussinovitch and his colleagues concluded that density alone might
not serve as a reliable measure of the structural integrity of bread crumbs or other
spongy materials, and that, at least with some of their tested materials, strength and
deformability were independent mechanical attributes.
In this context, reference should also be made to the work ofPeleg et al. (1989)
who designed a mathematical model with constants which can be used to quantitatively characterize the compressive behavior ofbread and other spongy materials.
These materials, when compressed, even at strains as large as 75-85%, rarely
exhibit gross failure due to the ability of the cell walls to collapse inward, thus
increasing the sponge density and, consequently, strength. The cell walls, however,
can either be fractured or buckled. It is the collapse of the cells which may explain
some specific regions in the stress-strain relationships unique for spongy foods
(Ashby, 1983; Gibson and Ashby, 1988; Attenburrow et al., 1989). More recently,
it was demonstrated by Peleg (1991) that the 'degree of elasticity' of bakery
products can be assessed quantitatively by cycles of compression and decompression tests, and by expressing the results in terms of the fraction of the recoverable
work. When dry cellular solids such as bread or spongy baked products exhibit
jagged stress-strain relationships, the degree of jaggedness can be quantified by
the conversion of these relationships to a Fourier transform or by the Fractal
dimension of their contour.
5.6 Concluding remarks

Although many of the results which emerged from the use of advanced rheometric
techniques were predictable and only confirmed the previous findings of researchers who worked under the conditions of a less sophisticated instrumentation, a
considerable wealth of new knowledge has been generated over the past several
years. The techniques, by allowing us to analyze the tested material for its
individual rheological components, to describe these components in well-defined
physical terms, and to monitor their changes during heating or cooling, helped us
to gain a deeper insight into the structural and rheological nature of dough and some
other flour systems. We may, however, still be anxious to ask how close this new
knowledge has brought us to the ultimate goal of relating the individual rheological
properties to the behavior of the tested material during the technological process,
and whether we have learned how to use the measured data in predicting the final
product quality. Does the new knowledge agree with the concept of the practical
significance of the individual rheological properties of dough to the bread baking
process, as it was so concisely outlined by Hlynka (1970) more than two decades



ago? Does it provide any supporting or conflicting evidence for a newer concept
which points out two properties of dough as being critical for producing a high
quality loaf- a sufficiently high viscosity, which is a condition met practically by
every dough, and the ability to remain extensible for a long enough period of time
during baking (Bloksma, 1990a)? Will the rheometric measurements prove to be
more suitable for quality testing work than the popular empirical and imitative
tests? It appears that definite answers to these questions are still being sought and
that many challenges are yet to be conquered in this quest.

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6 Texture measurements on finished baked goods


6.1 Introduction
Texture is one of the three major quality attributes of foods. It is derived primarily
from the response of the tactile senses to the food. The other two quality attributes
of food are appearance, which is the response of the visual sense, and flavor, which
is the response of the chemical senses in the tongue and the nose.
Texture is primarily a sensory attribute. One ofthe great pioneers in the field of
texture stated, 'By definition, texture is a sensory property. Thus it is only the
human being that can perceive, describe and quantify texture. Furthermore, it is
generally recognized that texture, just like flavor, is a multiparameter attribute'
(Szczesniak, 1987). Nevertheless, instrumental methods for measuring textural
properties are widely used because they can be performed more rapidly, cost
less than sensory methods, and are more consistent from day to day. However,
all instrumental methods must ultimately be calibrated against the human
Although there are many definitions of texture the following one has been
widely used: 'The textural properties of a food are that group of physical characteristics that are sensed by the feeling of touch, are related to the deformation,
disintegration and flow of the food under the application of a force, and are
measured objectively by functions of force, time and distance.' This definition
restricts the meaning to those properties that can be felt in the mouth or the hand
and excludes physical characteristics such as temperature, optical and electrical
properties that have nothing to do with texture (Bourne, 1982, p.ll ).
A wide variety of methods have been developed for measuring textural properties of foods (Bourne, 1982). This list can be reduced in length and simplified when
one is discussing baked goods. Table 6.llists the major principles that are used for
measuring the textural properties of baked goods. Each one of these will be
discussed in the following sections.

6.2 Deformation
The deformation test measures the distance that a food is compressed under a
standard compression force, or the force required to compress a food a standard
distance. This test simulates the gentle squeezing by the hand that customers apply



Table 6.1 Test principles used for measuring texture of baked goods
Force or distance
Bread and other leavened products
Crackers, hard cookies and other
brittle foods
Most unleavened goods
Cookies and crackers
Bread, cake
Cookies, pastries
Texture press
Texture profile analysis Several
All products

to bread and many other food items in the supermarket. The sensory description of
this test is usually the feeling of 'softness' or 'firmness.'
The American Association of Cereal Chemists (AACC) developed a standard
method (74-09, first approved on October 8, 1986) for measuring bread firmness
by using the deformation principle (AACC, 1983). Briefly, the test is conducted as
follows for white pan breads:
1. A Universal Testing Machine, fitted with a 36 rom diameter aluminum plunger,
is set to travel with a crosshead speed of 100 mm/min and a chart speed of 500
rom/min. Full-scale force is usually I kg, but this may be increased or
decreased depending on the softness of the product. Method 74-09 presently
specifies that the Instron machine be used for this test. In fact, other universal
testing machines with equivalent capability (such as the Lloyd Instruments
Inc. and Texture Technologies Corp. instruments) would be equally satisfactory.
2. One slice of bread 25 rom thick or two slices, each 12.5 rom thick, are used.
The slices can be cut by hand or by machine. The two or three end slices are
not used, and the crust is not removed from the slices that are compressed.
3. The center of the bread slice is compressed 40%; that is, from 25 rom height
to 15 rom height.
4. The force to achieve a 25% compression (6.2 rom actual compression= 31 rom
along the chart) is read off the chart (see Figure 6.1). The force may be
expressed in kilograms or newtons force (1 N = 101.9716 g). Since the
kilogram is a measure of mass, not force, this author recommends using the
true SI unit of force, the newton (N).
The AACC Method 74-09 describes two ways to measure firmness:
CFV I is measured 31 rom from the point at which the force curve moves
off the base line.
CFV II is measured by extrapolating a straight line from the initial slope of
the curve to the abscissa (x-axis), and measuring 31 rom from this point.
The little tail between the start of CFV I and CFV II represents incomplete
contact of the compression plunger with the bread. This incomplete contact may
occur when a bread surface is not exactly horizontal or when the aluminum plunger


Table 6.2 Bread firmness by AACC Method 74-09

Control SSL

Control SSL






Source: Data from Baker and Ponte (1987).

Notes: Firmness is expressed in grams force using a
standard sponge dough bread formula. SSL is sodium
stearoyllactylate added at 0.5% of the flour weight.

is slightly misaligned. In many cases the two readings will be almost equal, but on
some occasions the difference may be large. This author prefers to use CFV II as
the more reliable reading, because it eliminates errors caused by any initial
incomplete contact between the plunger and the bread surface.
With suitable adaptations this test can be used for other leavened goods, such
as cakes and doughnuts, and other types ofloafbread. Adaptation depends on the
geometry and nature of the product and may include changing the degree of
compression or thickness of the test sample, removing the crust, or changing the
size of the compression plunger. Walker eta/. (1987) reported on the use of this
procedure on cake.
Table 6.2 shows the mean values from six laboratories, which measured the
firmness of two different bread formulations over a period of7 days using AACC
Method 74-09. Note the consistent pattern of increasing firmness with time. For




31 mm Extension= a 25% Compression

Crosshead Extension

Figure 6.1 Firmness curve for white pan bread compressed in a universal testing machine. (CFV =
compression force value.) (From AACC, 1983, Copyright by the American Association of Cereal



Table 6.3 Comparison of Universal Testing Machine and Baker

Compressimeter for bread firmness tests
Universal Testing
Machine (UTM)
First approved
12.5 mrn
Bread thickness
Rate of compression
Not specified
Compression plate
32 mrn square
36 mrn diameter
Force measurement
Spring scale

the control, the firmness on day 7 was 95% greater than on day 1, while for sodium
stearoyllactate (SSL) the firmness was 90% greater on day 7. The firmness on day
4 is 51-61% higher than on day 1. Table 6.2 also shows that the formula bread that
contained 0.5% of the flour weight of SSL was always substantially lower in
firmness than the control formula, which contained no added SSL.
One more notable feature on Table 6.2 is that the CFV II values are always
greater than the CFV I values, the differences ranging from 8-27 g. A careful study
of Figure 6.1 shows that this difference is to be expected. The vertical line for CFV
I is always to the left of the vertical line for CFV II, and since the forcecompression curve always has a positive slope, the CFV I intercept on the force
curve will always be less than the CFV II intercept.
Although AACC Method 74-09 is now the approved method for measuring
bread firmness, some of the earlier methods for measuring firmness are still in use.
The Baker Compressimeter developed by J.C. Baker in 1939 is the best known of
the earlier methods (Platt and Powers, 1940) and is still an official AACC Method
(7 4-1 0). A comparison between the Baker Compressimeter and the Universal
Testing Machine (UTM) is given in Table 6.3.
The main differences between the two methods are:
Method 74-10 uses one 12.5 mm thick slice ofbread while the UTM uses two
12.5 mm thick slices or one 25 mm thick slice. However, the Baker has the
capability of using two 12.5 mm slices.
2. The Instron has a superior capability for controlling compression speed and
recording the force-time relationship.
3. The Baker Compressimeter costs much less than UTMs. However the Baker
measures only compressibility whereas UTMs can be set up to perform a
number of different types of tests.
4. Method 74-10 specifies a 32 mm square compression plate whereas Method
74-09 specifies a 36 mm diameter circular plate. There is a small difference in
area (1024 mm2 versus 1018 mm2). The F. Watkins Corporation of Caldwell,
New Jersey who manufacture the Baker Compressimeter can provide a circular plate 36 mm diameter upon request.

Kamel (1987) reviewed the use of the Baker Compressimeter and concluded
that it is still a useful instrument. It is widely used in the baking industry. In a study



that used both the Baker Compressimeter and the UTM, Kamel et al. (1984) found
that both instruments ranked samples in the same order but the UTM method gave
force values that were 8% to 39% higher than the Baker method. Therefore it is
difficult to compare results obtained by the two methods.
Penetrometers are small, inexpensive instruments that were designed to measure
the firmness or yield point of solid fats, mayonnaise and similar products (Bourne,
1982, p. 155-159). Two corporations in America and several corporations in
Europe manufacture penetrometers. These instruments measure the distance a cone
of standard shape and weight penetrates into the product under the force of gravity
for a standard time. Bourne (1973) pointed out that penetrometers are distancemeasuring instruments and that when the cone is replaced with a flat disc, the
instrument can be used to measure deformability of foods that are reasonably
compressible. This would include bread and other leavened baked goods. Maleki
and Sieber ( 1972) adapted a penetrometer to measure compressibility of bread and
reported a correlation coefficient of r = 0.88 between penetrometer readings and
sensory softness.
Kamel and Rasper (1986) measured firmness ofbreads by the Baker Compressimeter and by a penetrometer in which the cone was replaced with the same size
compression disc (36 mm) as used in the Baker Compressimeter. Penetrometer
readings decrease as the bread ages and becomes firmer because the penetrometer
measures the distance of compression under a standard force. In contrast, the Baker
readings increase as the bread ages because the compressimeter measures the force
required to compress the bread a standard distance of 25% (see Bourne, 1982,
p. 86). Kamel and Rasper ( 1986) found that the coefficient of variation of readings
made on ten slices of bread ranged from 13.8% to 19.4% for the penetrometer
measurements and 4.9% to 7.7% for the Baker Compressimeter.
The main advantage of the penetrometer method is the low cost of the instrument. It is not an AACC approved method.
Some engineering aspects on the use of compression tests to study bread staling
were recently published by Kou and Chinachotti ( 1991 ). These researchers used a
Universal Testing Machine to compress canned bread at a rate of 10 mm/min,
which is one tenth ofthe speed used by the standard AACC method. They converted
the force-time curve so obtained into a stress-strain curve using deformations up
to 80%. They found that the stress-strain curves are typically sigmoidal similar to
the curves published in the AACC Standard Method 74-09. At equal degrees of
compression the engineering stress increased as the bread was aged from 1 to 8
days. The engineering stress of 8-day-old bread was found to be 280% higher than
for day-old bread. Bread that had been continuously held in a compacted state
before testing showed smaller differences in the engineering strain.
Kou and Chinachotti (1991) evaluated two shape constants of the compression
curve C2 and C3 but these showed no clear trends with the ageing of the bread.
These authors also measured the percent recoverable work which is defined as
the ratio between the area under the decompression curve and the area under the
compression curve. The percent recoverable work steadily decreased as the bread



was aged up to 10 days. The greatest change in recoverable work was found with
a 10% compression. All compressions greater than 10% were lower in percent
recoverable work and changed more slowly than for the 10% compression.
6.3 Snapping

The snapping-bending test measures the force needed to bend and snap brittle foods
such as cookies (biscuits) and crackers. The principle was first described as a
Shortometer by Davis ( 1921 ).
The sample is laid across two vertical rails that support it in a horizontal position.
A third bar mounted above the sample and equidistant between the supporting rails
is lowered until the sample breaks and the force is measured. The test can be
satisfactorily performed in any Universal Testing Machine fitted with a suitable
triple bar assembly (see Figure 6.2). The Structograph (C.W. Brabender Co.) is
designed specifically to perform this test.
The force required to snap the specimen depends primarily on two factors:
1. The strength of the sample.
2. The dimensions of the sample.

Bruns and Bourne (1975) established the validity of the following equation that
was originally developed for construction materials for symmetrical food bars with
rectangular cross section:
F= 2 crcbh



F = snapping force

=the breaking stress which is the material characteristic of the sample

Figure 6.2 Test assembly for snapping crackers.



b =width of the bar

h =thickness of the bar
L =length of the bar (distance between the supporting rails)
Since the breaking stress is the property that needs to be measured, this equation
can be rearranged to give:




The length, L, of the specimen is controlled by adjusting the distance between

the supporting rails. For some products that are cut by machine, such as crackers,
the width and height (band h) may be fairly constant, in which case F is directly
proportional to the breaking strength of crc. In some cases the height and width can
be standardized by cutting the specimen to size. It is highly desirable to shape the
sample to standard dimensions whenever it is practical. If b or h vary and cannot
be standardized, however, it is advisable to use equation (6.2) to correct for
dimensional variations. Note that the breaking force F is proportional to the square
of the thickness, and hence a small change in thickness can cause a large change
in the snapping force.
For bars with cylindrical cross sections such as pretzels and bread sticks the
snapping equation becomes
F= C1c



where R is the radius of the specimen. In these cases the snapping force F is
proportional to the cube of the radius, hence the force is strongly affected by small
changes in specimen diameter.
Loh (1985) gives an example of the use of equation (6.3) on pretzel sticks. The
snapping forces of pretzels A and B were 4.6 kg and 4.2 kg, respectively. However,
the radius of pretzel A was 7.0 mm and pretzel B was 5.3 mm, and the calculated
breaking stress crc (in 106 Pa) was 2.1 for A and 4.5 for B. Pretzel B is more than
twice as strong as pretzel A, even though the snapping force for the larger diameter
A is 10% higher than for B.
Gaines et al. (1992a) reported that the snapping test differentiated the increase
in hardness of wire-cut cookies as they aged up to 3 days after baking.

6.4 Puncture
The puncture test measures the force required to push a probe into a food. The probe
is usually cylindrical, but other shapes are occasionally used. This test is one of the
easiest and fastest to perform. A number of simple commercial instruments have
been developed that use the puncture principle. Universal Testing Machines can
also be set up to perform puncture tests.



Table 6.4 Puncture force of some commercial baked

Punch Diameter (mm)
1.02 mm
Anisette toast
Anisette sponge
Bread sticks
Cheese snack sticks 6.9
Egg biscuits
Ginger snaps
Graham crackers
Molasses cookies
Ritz crackers
Sugar cookies
Vanilla wafers
White melba toast

2.36 mm


Source: Data from M.C. Bourne (1990).

Notes: Puncture force measured in newtons. Each figure is the mean of 20-32 tests. The cheese snack sticks
and Melba toast fractured under the 2.36 mm diameter
punch, which voided the test result.

The puncture principle is widely used on fruits, and it is also used on gels, fats,
vegetables, and some dairy and meat products (Bourne, 1979). The force required
to make the punch penetrate into the food is generally considered to be a measure
of its hardness or firmness. In view ofthe versatility of this test, it is surprising that
it has not been applied more to cereal products. The author believes that the puncture
principle has the potential for much wider application to cereal foods. Table 6.4 lists
the puncture force found for a number of commercial baked cereal products.
The puncture test operates on the assumption of semi-infinite body geometry;
that is, the size of the sample is so much larger than the punch that no edge, end,
or bottom effects influence the result. Even a small item can be punctured if a small
enough punch is selected.
Bourne (1966) showed that the puncture force is proportional to both the area
and the perimeter of the punch and to two different textural properties of the food.
The relationship is described by the following equation:



F = puncture force
Kc = compression coefficient of the food
Ks = shear coefficient of the food
A = punch area
P = punch perimeter
C = a constant
The validity of this equation has been experimentally verified for a number of
foods (Bourne, 1966; Bourne, 1975a).



Figure 6.3 Use of a low cost hand-operated instrument to perform the puncture test on a cookie.

For most foods C is zero within the limits of experimental error. For some foods

Ks is very small. In these cases the puncture equation simplifies to



That is, the puncture force is directly proportional to the punch area. It seems
likely that Ks is close to zero for hard-baked goods such as pretzels and crunchy
cookies and that equation (6.5) would be applicable to these products.
Perhaps one reason why the puncture test has not been more widely used on
cereal products is that hard-baked goods are prone to fracture or shatter when
subjected to puncture. This problem can be overcome by using a smaller diameter
punch. The author has found that even the most highly fracturable cereal product
can be satisfactorily punctured if the punch diameter is sufficiently small.
For thin baked products such as cookies and crackers the puncture test is best
performed by placing the sample on a horizontal metal anvil containing a hole about
twice the diameter of the punch. When the punch moves down, it should go through
the product and into the hole. For research purposes a Universal Testing Machine
such as the Lloyd or Instron are commonly used. For quality control measurements
in the bakery less expensive instruments can be used; for example, the Chatillon
Corporation have a range of low cost hand-operated instruments that are
considerably cheaper than the Universal Testing Machines and easier to operate

(see Figure 6.3).



Gaines et al. (1992a) performed puncture tests on sugar snap cookies made
with four different flours and found significant differences in puncture force
between many of the samples. Gaines et al. (1992b) reported that the puncture
test measured differences in cookie hardness due to wheat cultivar, wheat class, class
blending, ingredients, shortening, age, kernel shrivelling and flour protein content.
Shrivelled kernels and increased protein content were most strongly associated
with harder cookies.
Hong and Brabbs ( 1984) used a puncture test to differentiate between the hard,
crisp outer layer and the soft, chewy inner layer of cookies with shelf-stable
dichotomous texture.

6.5 BBIRA biscuit texture meter

The British Baking Industry Research Association biscuit tester is designed to
measure the hardness ofbiscuits (cookies) and crackers (Wade, 1968). In operation
a stack of biscuits is placed in the sample holder and pressed with constant force
against a small circular saw blade that is rotating at 15 rpm. The time taken to make
the saw cut through the stack is recorded by a counter, which stops when the
operation is complete. A brush is positioned behind the saw to clean the teeth. That
unit is housed in a fiberglass cover with a door to enable the operator to gain
access to the working elements. The door has a Perspex window in it to enable
the operator to watch the saw cut operation. This instrument is essentially a
comparator; standards must be established experimentally for each type of
cookie or cracker.

A widely used test for bread is the volume of a standard weight loaf. In reality this is
a measure of the density. The loaf volume meter consists of a metal box connected
through a vertical rectangular chute to a hopper cot:taining rapeseed. A standard loaf
ofbread is placed in the box, which is closed, a slide in the chute is pulled out and the
rapeseed is allowed to fill the box. A calibrated scale on the Pyralin face of the volume
meter column gives the direct reading of the volume ofthe bread in cubic centimeters.
This device is widely used in the baking industry to measure loaf volume, which is
one index of quality of the loaf(Cathcart and Cole, 1938; Funk et al., 1969).
The standard volume meter consisting of a box 5 5;8 x 11 518 in. is desi~ned for
the lib loafofbread and can read volumes between 1675 and 3000 em. Other
sizes available are the 'pup size,' measuring 400-1000 cm3, 'a micro' size,
measuring 100-270 cm3, a 'half-pound size', measuring 900-1500 cm3, a 1 1;2lb
size measuring 2475-3800 cm3, and a 'round cake' size, designed for cakes with
measuring volumes of 500-1607 cm3. A dummy loaf of standard size is provided
with each volume meter to calibrate the rapeseed level in the hopper.



6.7 Texture profile analysis (TPA)

A group at the General Foods Corporation Technical Center pioneered this test
that compresses a bite-size piece of food two times in a reciprocating motion that
imitates the action of the jaw, and extracts from the resulting force-time curve
a number of textural parameters that correlate well with sensory evaluation of
these parameters (Friedman eta/., 1963; Szczesniak eta/., 1963 ). This is a highly
destructive test. In contrast to the deformation test described earlier which uses
a small compression, the degree of compression for TPA should be high; that is
generally 80-90%. This test measures a number of textural properties and gives a
more complete description of the texture than one-point measurement tests can
The original texture profile analysis was performed with a General Food
Texturometer. Most TPA is now performed in Universal Testing Machines such
as the Lloyd or the Instron (Bourne, 1978). Although this test provides much more
information on the textural properties of a food, the lengthy time required to
evaluate the various parameters from the curve kept it as an academic exercise for
many years. However, with the advent of computers the time requirement to extract
the data from the curves has been greatly reduced and automated. It is likely that
TPA will be more widely used in the future in both research and quality control
Figure 6.4 shows a generalized texture profile analysis curve obtained in a
Universal Testing Machine. The height of the force peak on the first compression
cycle is defined as hardness. Fracturability (originally called 'brittleness') is
defmed as the force of the first significant break in the curve on the first bite. The
ratio of the positive force areas under the first and second compressions 'area 1'
and 'area 2' is defined as cohesiveness. The negative force area of the first bite,
'area 3 ', the work necessary to pull the compressing plunger away from the sample,
is defmed as adhesiveness. The distance that the food recovers in height between
the end of the first bite and the start of the second bite is defined as springiness
(originally called 'elasticity'). If the product is adhesive, the distance it stretches
during the upstroke at the end of the first compression is defined as stringiness.
Two other parameters are derived by calculation from these measured parameters:
gumminess is defined as the product of hardness x cohesiveness; chewiness is
defmed as the product of gumminess x springiness (which is hardness x cohesiveness x springiness).
An updated account of the developments and changes since the technique was
originally introduced has been given by Szczesniak ( 1975). Breene ( 1975) has also
given a good review of texture profile analysis techniques.
The manner in which TPA can qualitatively distinguish between foods is shown
in Figure 6.5, which shows differences between (a) apple; (b) Philadelphia cream
cheese; (c) pretzel; and (d) frankfurter. It is not necessary to go into the details of
the differences, but it is clear that the TPA curves show major differences between
these four foods.








Area I



Figure 6.4 A generalized Texture Profile Analysis curve obtained with a Universal Testing Machine. (Reproduced from Food Technology, 32(7), 63, 1978. Copyright by Institute of Food Technologists.)

An example of the quantitative and qualitative differences between three cereal

foods is shown in Figure 6.6, which compares results for a pretzel, a com curl and
a bread stick (Bourne, 1975b). The TPA curves for the pretzel and the bread stick
are qualitatively almost identical. On the first bite, both show an initial very steep
rise in force, indicating a rigid non-deformable product, followed by a succession
of rapid declines in force, which indicates a series of catastrophic failures. The force
curves for the second bites are small, indicating very low cohesiveness and
springiness. Quantitatively, the major difference between them is the peak force
(hardness) on the first bite. For the pretzel this force is about 350 N, and for the
bread stick it is about 110 N. The pretzel is more than three times harder than the
bread stick.
The com curl shows an initial steep rise in force but not nearly as steep as the
bread stick and pretzel. As compression continues, there is a succession of small
sudden drops in force indicating a series of minor fractures. The trend line of the
force curve is almost horizontal, not steeply negative as for the pretzel and the
bread stick. A com curl is a highly aerated product, and as it is compressed, one
layer after another collapses in succession; this response is unlike that for the
pretzel and bread stick, which fracture right through into progressively smaller
The maximum force on the first bite of com curl is 30 N, which shows that its
hardness is much lower than that of the pretzel and bread stick. The force curve for
the second bite of the com curl is of medium size, indicating medium cohesiveness
and springiness. To summarize, the com curl disintegrates in a different manner,




TIME . .





I '-...





J '-----




Figure 6.5 Texture profile analysis curves for: (a) apple; (b) cream cheese; (c) pretzel stick and (d) frankfurter. (From Bourne, 1978. Copyright Food and Nutrition Press.)





















f I~<,! 811















Figure 6.6 Texture profile analysis curves on 10 mm high pieces of: (a) pretzel stick; (b) bread
stick; and (c) com curl. (From Bourne, 1975. Copyright AVI Publishing Co.)

and it has a lower stiffness, much lower hardness, and greater cohesiveness and
springiness than the bread stick and the pretzel.



6.8 Texture press

The texture press, formerly known as the Kramer Shear Press, is a versatile and
well-known instrument consisting of a metal box with ten Vs inch-wide slits in the
bottom (Kramer eta/., 1951; Bourne, 1982, pp. 136-141 ). A set often l!s inch-wide
blades moves down through the box, compressing, shearing, and extruding the
food. Although originally designed for measuring the firmness of fruits and
vegetables, it has been used for some bakery products.
Zabik's group reported texture press data for butter cakes (Gruber and Zabik,
1966), angel cake (Brown and Zabik, 1967) and sugar snap cookies (Zabik eta/.,
1979). Stinson and Huck (1969) found that the texture press gave a correlation
coefficient of r = 0.92 with sensory evaluation of pastry tenderness. Matthews and
Dawson ( 1963) used this instrument to measure the texture ofpastry and chemically
leavened biscuits.

6.9 Other tests

In recent years several researchers have been developing new kinds of tests or
re-examining old tests and taking a more fundamental approach to the problem of
measuring texture. This work is still in the developmental stage but some ofit shows
promise for improved tests in the future and hence they are worth noting briefly at
this time.
Tensile tests are not widely used with foods, which is understandable because
the process of mastication involves compression of the food between the molars.
Also there are often problems in conducting tensile tests. A conventional tensile
test assumes that the sample fractures almost instantaneously in a plane that is
approximately perpendicular to the plane of the applied tension. The maximum
force is the tensile strength of the material. Many foods subjected to tension do not
fail suddenly; fracture begins with a small crack that slowly spreads across the
sample over a comparatively long period of time and the crack may or may not be
perpendicular to the plane of the applied tension. Several cracks may appear and
spread simultaneously. This type ofbreak makes it difficult to obtain a meaningful
interpretation of the tensile force measurement.
Nevertheless, a number of attempts have been made with tensile measurements.
Perhaps the first for cereals was the work ofPlatt and Kratz (1933) who cut pieces
ofbread and cake into a standard shape, held them between large spring paper clips,
and ran water into a small bucket attached to the lower clip until the piece of bread
broke and then measured the volume of water.
Recently Nussinovitch eta/. ( 1990) took a fresh look at tensile testing of sliced
bread. These researchers cut dumbbell-shaped specimens from sliced bread, taped
the ends with adhesive tape and performed tensile tests in a Universal Testing
Machine. Five different types of breads were used: pumpernickel, rye, white,
oatmeal and whole wheat. Large differences were found in the ultimate tensile force



between these types of bread. The rate at which the tensile test was performed had
a large effect upon the ultimate force. The coefficient of variation varied rather
widely from 3=34%.
The elasticity of bread crumb is an important textural quality attribute that has
been difficult to quantify. Nussinovitch et al. (1992) subjected cylindrical specimens ofbread crumb (25 mm diameter x 25 mm high) to compression in a Universal
Testing Machine and measured the total area under the compression curve, defining
it as irrecoverable work, and also the area under the decompression force-time
curve, which is defined as recoverable work. The total work per unit volume
increased exponentially with the imposed strain while the percent recoverable
work, calculated from the area under the decompression curve, decreased exponentially with the strain. The loss of elasticity that accompanies bread ageing was
clearly manifested in the percent recoverable work at all imposed strains. The
authors conclude that the percent recoverable work appears to be a convenient and
meaningful quantifier of the degree of elasticity of bread crumb. Its magnitude
depends on the imposed deformation level and probably on the deformation rate
and perhaps other factors. The best differentiation between samples appeared to be
found at about 20% strain.
An important rheological development in recent years has been in dynamic
oscillatory testing where the shear stress is measured while the test sample is
subjected to a low amplitude, small strain oscillatory torque. It is a nondestructive test. The shear stress-time curve is broken out into two components: ( 1) the
stress component in phase with the shear strain is defined as the storage modulus
G' -a measure of the elastic component or solid-like behavior of the product;
(2) the stress component that is 90 out of phase with the shear strain is defined
as the loss modulus G"- it is a measure of the viscous component or fluid-like
behavior of the product. The ratio G"/G' is defined as the loss factor or loss
Persaud et al. (1990) measured the dynamic rheological properties by small
amplitude oscillatory shear of white pan bread during the first 120 hours after
baking when stored at 4, 25, and 45C. The storage modulus G' increased with
storage time, the rate of change was most rapid at 4C and least rapid in bread stored
at 45C. The loss tangent showed little change with age. The storage modulus G'
also showed significant differences between straight-dough white breads made
from two different commercial bread flours.

AACC (1983)Approved Methods ofthe American Association ofCereal Chemists: Method 74-09. First
approved 10/8/86, revised 11/4/87. American Association of Cereal Chemists, St Paul, MN.
Baker, A.E. and Ponte, J.G. (1987) Measurement ofbread firmness with the universal testing machine.
Cereal Foods World, 32, 491-493.
Bourne, M.C. (1966) Measurement of shear and compression components of puncture tests. J. Food
Sci., 31, 282-291.



Bourne, M.C. (1973) Use of the Penetrometer for deformation testing of foods. J. Food. Sci., 38,
Bourne M.C. (1975a). Method for obtaining compression and shear coefficients of foods using
cylindrical punches. J. Tex. Stud, S, 459-469.
Bourne, M.C. ( 1975b) Texture properties and evaluations of fabricated foods. In Fabricated Foods, ed.
G. E. Inglett, AVI, Westport, CT. Ch.ll, pp. 127-158.
Bourne, M.C. (1978) Texture profile analysis. Food Techno/., 32(7), 62-66, 72.
Bourne, M.C. (1979) Theory and application of the puncture test in food texture measurement. In Food
Texture and Rheology, ed. P. Sherman, Academic Press, London, pp. 95-142.
Bourne, M.C. (1982) Food Texture and Viscosity. Concept and Measurement, Academic Press, New
Bourne, M.C. (1990) Practical texture measurements of cereal foods. Dough Rheology and Baked
Product Texture, eds. H. Faridi andJ.M. Faubion. VanNostrand and Reinhold, New York, Ch. 15,
pp. 557-571.
Breene, W.M. (1975) Application of texture profile analysis to instrumental food texture evaluation, J.
Tex. Stud., 6, 53-82.
Brown, S.L. and Zabik, M.E. ( 1967) Effects ofheat treatments on the physical and functional properties
ofliquid and spray-dried egg albumen, Food Techno/., 21, 87-92.
Bruns, A.J. and Bourne, M.C. (1975) Effects of sample dimensions on the snapping force of crisp foods.
Experimental verification of a mathematical model, J. Tex. Stud., 6, 445-458.
Cathcart, W.H. and Cole, L.C. ( 1938) Wide-range volume measuring apparatus for bread. Cereal Chern.
Davis, E.E. ( 1921) Shortening: Its definition and measurement, Ind. Eng. Chern., 13, 797-799.
Friedman, H.H., Whitney, J.E. and Szczesniak, A.S. (1963) The texturometer-a new instrument for
objective texture measurement, J. Food Sci., 28, 390-396.
Funk, K., Zabik, M.E. and Elgidaily, D.A. (1969) Objective measurements for baked products, J. Home
Econ., 61, 119-123.
Gaines, C.S., Kassuba, A. and Finney, P.L. (1992a). Instrumental measurement of cookie hardness I.
Assessment of methods. Cereal Chern., 69, 115-119.
Gaines, C.S., Kassuba, A., Finney, P.L. and Donelson, J.R. (1992b) Instrumental measurement of cookie
hardness II. Application to product quality variables, Cereal Chern., 69, 120-125.
Gruber, S.M. and Zabik, M.E. (1966) Comparison of sensory evaluation and shear-press measurements
ofbutter cakes, Food Techno/, 20., 968-970.
Hong, C.A. and Brabbs, N.J. (1984) Doughs and cookies providing storage-stable texture variability.
US Patent No. 4455333.
Kamel, B.S. (1987) Bread firmness measurement with emphasis on the Baker Compressimeter. Cereal
Foods World, 32, 472-476.
Kamel, B.S. and Rasper, V.F. (1986) Comparison ofPrecision Penetrometer and Baker compressimeter
in testing bread crumb firmness. Cereal Foods World, 31, 269-274.
Kamel, B.S., Wachnuick, S. and Hoover, J.R. (1984) Comparison of the Baker Compressimeter and the
Instron in measuring firmness of bread containing various surfactants. Cereal Foods World, 29,
Kou, Y. and Chinachotti, P. (1991) Structural damage in bread staling as detected by recoverable work
and stress- strain model analysis. Cereal Foods World, 36, 888-892.
Kramer, A., Aarnlid, K., Guyer, R.B. and Rogers, H. (1951) New shear-press predicts quality of canned
Iimas. Food Eng., 23(4), 112-113, 187.
Loh, J. ( 1985) Rheology of soft wheat products. In Rheology ofWheat Products, ed. Faridi, H., American
Association of Cereal Chemists, St Paul, MN, p. 210.
Maleki, M. and Sieber, W. (1972) Uber das Altbackenwerden von Brot. I. Bezienhungen Zwischen
Sensorik Penetrometer und Panimeter beim Messen des Altbacken werdens von Weizenbrot.
Getreide Mehlu. Brot, 26, 58.
Matthews, R.H. and Dawson, E.H. (1963) Performance of fats and oils in pastry and biscuits. Cereal
Chern. 40, 291-302.
Nussinovitch, A., Roy, I. and Peleg, M. (1990) Testing bread slices in tension mode. Cereal Chern., 67,
Nussinovitch, A.; Steffens, M., Chinachotti, P. and Peleg, M. (1992) Effect of strain level and storage
time on the recoverable work of compressed bread crumb. J. Tex. Stud., 23, 13-24.



Persaud, J.N., Faubion, J.M. and Ponte, J.G. (1990) Dynamic rheological properties of bread crumb. I.
Effects of storage time, temperature, and position in the loaf. Cereal Chern., 67, 92-96.
Platt, W. and Kratz, P.D. (1933) Measuring and recording some characteristics oftest sponge cakes.
Cereal Chern., 10,73-90.
Platt, W. and Powers, R. (1940) Compressibility of bread crumb, Cereal Chern., 17,601-621.
Stinson, C.G. and Huck, M.B. (1969) A comparison offour methods for pastry tenderness evaluation,
J. Food Sci., 34,537-539.
Szczesniak, A.S. (1975) General Foods texture profile revisited- ten years perspective. J. Tex. Stud.,
6, 5-17.
Szczesniak, A.S. ( 1987) Correlating sensory with instrumental texture measurements- an overview of
recentdevelopments,J. Tex. Stud., 18,1-5.
Szczesniak, A.S., Brandt, M.A. and Friedman, H. H. (1963) Development of standing rating scales for
mechanical parameters of texture and correlation between the objective and sensory methods of
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Wade, P. (1968) A texture meter for the measurement of biscuit hardness. In Rheology and Texture of
Foodstuffs, Monograph No. 27, Soc. Chern. Industry, London, pp. 225-234.
Walker, C.E., West, D.I., Pierce, M.M. and Buck, J.S. (1987) Cake firmness measurement by the
universal testing machine, Cereal Foods World, 32,477-480.
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snap cookies, Cereal Chern., 56,29-33.

7 Enzymes as dough improvers


7.1 Introduction
The objectives of the application of enzymes in baking technology are the optimization of dough properties and the quality improvement of bakery products
(Barrett, 1975; Dubois, 1980a, b, c; Krueger and Lineback, 1987; Hammer, 1992).
7.1.1 General improving effects on doughs

The effects on doughs that can result from the application of enzymes include: (a)
generation of fermentable sugars to increase the fermentation rate by the action of
amylases; (b) reduction of dough mixing time by proteases; (c) increases or
decreases of dough stability by oxidases and proteases, or sulfhydryl reductases,
respectively; (d) adjustment of dough extensibility, an important property in proper
handling and machining of doughs- addition of proteases enhances the extensibility while oxidases reduce this property, producing less extensible and drier doughs;
and (e) alteration of the dough consistency during processing by the action of
amylases on starch, proteases on gluten, and pentosanases on pentosans.
The dough modifications of physical properties have to be optimized for various
products, formulations and processing conditions by adjusting the use levels of
enzymes or their proportions when combinations of enzymes are used. Generally,
for standard products the baking technologist can depend on the supplier's recommendation. However, for fme-tuning or when using a new enzyme, product, type
of operation or flour, baking tests need to be conducted to ascertain the benefits of
the enzyme. These types of tests should establish optimal effects of the enzyme in
dough and the final bakery product. Also, when a special function is claimed for
the enzyme, this special effect has to be established.
7.1.2 Characteristics ofcommercial enzyme preparations

Commercial enzyme preparations are not pure enzymes. They are marketed with
a label statement of the main activity strength. Some secondary activity present
may sometimes be obtained from the supplier upon request. As will become evident
from this discussion the secondary enzyme may affect the performance of the
preparations. Consequently, enzymes of the same type and activity strength from
different or even the same manufacturers may differ in their performance. This is



especially true for the less common enzyme preparations. Even if the entire list of
activities present were available, we could not predict with certainty the reaction
of the preparation in the baking application. This is due to our limited knowledge
of the function of enzymatic reactions in dough systems and also to the lack of
adequate analytical methods for estimation of the enzyme activities on complex
foods. It is also essential to realize that the functional - beneficial or adverse - effect
of enzymes in complex food systems may be the result of synergistic action of more
than a single activity. Also, the physico-chemical condition of the substrate (e.g. starch,
protein) affects the progress of the enzymatic reactions (Dubois 1980a, b, and c).
7.1.3Jmprovements ofbaked products

It is generally accepted that the optimized physical dough properties are reflected

in the quality parameters of the baked products. When properly adjusted, the
improvements effected by enzymes are evident from loaf volume and external (loaf
symmetry, smoothness of break and shred) and internal (texture, grain quality)
characteristics of breads. An important effect of certain enzymes is the reduction
of crumb firmness which extends the shelf-life and the period of marketability of
the products. A highly important factor of enzyme applications is their potential
effect on flavor and aroma of product, which has to be closely evaluated with each
new preparation (Barrett, 1975; Dubois, 1980b; Chamberlain et al., 1981 ).
7.1.4 Flour components altered by enzymes

The major flour components that can be altered enzymatically to produce functional changes are starch, protein, pentosans and, to a lesser degree, lipids. Amylases attack starch, proteins can be modified by proteases, oxidases and reductases,
pentosans by pentosanases, and cellulose components by cellulases (Fox and
Mulvihill, 1982; Drapon and Godon, 1987).
As already mentioned, it is important to recognize that the enzyme preparations
used by the baking industry are not pure enzymes. They contain, in addition to the
main activity, secondary activities which can significantly contribute to the improving function of the commercial preparation and/or catalyze a sequence of
reactions of functional and organoleptic significance.

7.2 Amylases (Krueger and Lineback 1987)

The common feature of amylases is their attack on the same substrate, starch. All
of them readily hydrolyze gelatinized or damaged starch but are generally ineffective on native starch granules. In hard wheat flour the level of starch damage caused
by the mechanical action of the milling process is about 7% (flour basis) for typical
hard wheat flours and 3% (flour basis) for typical soft wheat flours. These damaged
granules are susceptible to amylolysis in doughs prior to baking (Kulp, 1975).



7.2.1 a.-Amylase (E. C.; a.-1,4-glucano hydrolase)

The enzymolysis of starch in doughs is catalyzed by the combined action of both
a.-amylase and 13-amylase. The action of a.-amylase proceeds by an endo-splitting
mechanism, producing starch fragments consisting of dextrins, oligosaccharides,
and the disaccharide maltose. The 13-amylase, an exo-splitting enzyme, produces
maltose molecules and 13- limit dextrins. Each of the enzymes produces a limited
hydrolysis when acting singly. However, when acting jointly, the yield of maltose
increases substantially. Both enzymes cleave a.-1 ,4-glucan bonds and do not attack the
1,6-bonds of the amylopectin. The profiles of residual oligosaccharides depend on the
source of the amylases which may be functionally important (Linko and Linko, 1986).
The 13-amylase is present in flours at levels adequate to support an optimal degree of
the amylolytic action when a sufficient a.-amylase activity is provided. Additional
supplementation of 13-amylase enzyme has no beneficial effect either on the rate of
amylolysis, or on dough properties and product quality (Gerhartz, 1990).
On the other hand, supplementation with a.-amylase is generally practiced, using
a diastatic barley malt, or a fungal or bacterial a.-amylase. In the USA diastatic malt
is commonly added to flour at the mills; fungal amylases, although permitted in
the USA are rarely added at the mills (Dubois, 1980b,c). Sources of a.-amylases. The a.-amylase used to supplement amylolytic
activity in flours is derived from cereal, fungal and bacterial sources.
Cereal a.-amylasepreparations. These preparations include malted barley flour,
malted wheat flour, various diastatic malt syrups, or powders derived from these
types of malts. Malted flours are produced by the germination of barley or wheat
grains. The process increases the level of a.-amylase, making malts and product
from them excellent sources of this enzyme. In malting, the grain kernels are first
moistened and allowed to germinate for several days, after which they are dried
and the sprouts' rootlets removed. The malted grain is then milled into flour having
approximately the same particle size as wheat flour.
The malted barley flour is used in flour mills to supplement wheat flours destined
for the production of yeast-leavened bakery products, when these flours are
deficient in amylolytic activity.
The enzymatic strength of malted flours is expressed in degrees Lintner COL).
Generally a 200L malt flour is added to an unmalted flour, free from sprout-damage, at the mill at a level of0.15% flour basis.
The degree Lintner is estimated by a chemical analysis which determines the
ability of the material to produce maltose from a special soluble starch. Alternatively, the diastatic strength of malt is expressed in Sandstedt - Kneen - Blish
(SKB) units. This method also detects the degree of starch conversion colorimetrically. One hundred 0 L approximate 62.5 SKB units. Dry malt extract (up to
200L) and malt syrups (up to 60L) are also commercially available as sources of
diastatic activity (AACC, 1983). Non-diastatic malt extracts and syrups are also
produced for the enhancement of flavor and color.



The milling and baking industries generally assess the diastatic activity of flours by
means of amylograph and falling number tests (AACC, 1983) Both methods are based
on the relationship of peak viscosity of starch slurry and the enzyme activity level: the
more enzyme present, the thinner is the hot paste viscosity. When the amylograph is
used, values of 400--600 BU (Brabender Units - arbitary consistency units of farinagraph) are considered optimal for bread baking flours (higher values indicate a lack,
and lower values an excess of activity). A falling number (FN) of about 400 indicates
a normally malted flour (Ranum and De Stefanis, 1990). Due to the low heat stability
of fungal amylases, their activity in flours has to be tested by modified amylograph
and falling number tests (AACC, 1983). These tests utilize a standard pregelatinized starch as part of the substrate (Perten, 1984).
Fungal a-amylase preparations. Enzymes of importance to the baking industry
that are produced from fungi include (i) amylases; (ii) proteases; and (iii) pentosanases. Which of these activities predominates in the respective preparation
depends on the strain, cultivation condition and purification steps. Fungal amylases
are prepared by the controlled fermentation of the mold Aspergillus oryzae. The
enzyme is extracted from the fermented brew, purified to an acceptable degree,
concentrated and then diluted to a standard a-amylase activity. a-Amylase preparations are relatively pure, containing low levels of proteases, pentosanases,
cellulases, oxidases, etc. The levels of secondary activity vary with the process of
preparation and the manufacturer of the enzyme.
Bacterial a-amylases. The bacterial a-amylase used in the baking industry is a
product of the growth of Bacillus subtilis. As with most of the bacterial amylases,
this type of enzyme shows high heat stability. It is very difficult to control the
addition level ofbacterial amylase in breads and similar products since an excessive
dosage will produce gummy bread crumb. Also, the residual activity often survives
the baking process even when the original dosage has been optimized. When the
residual activity is present in the baked bread and the crumb property of the freshly
baked breads is judged acceptable, gumminess may develop during storage,
especially when the breads are kept at higher than room temperature. Experiments
conducted at the author's laboratory with bacterial enzymes from different manufacturers generally confirmed the softening effect of the enzyme, but also the
problem of gumminess.

7. 2. 2 Glucoamylases (E. C. 3. 2.1. 3; 1, 4-a-D-glucan glucohydrolase).

This enzyme cleaves both a-D-1,4- and a-D-1,6-glycosidic bonds of amylopectin
and amylose (Pazur and Kleppe, 1962). It is an exo-acting enzyme starting
hydrolysis from the non-reducing end of the starch molecules and removes glucose
units by a multi-chain mechanism. The released glucose is in a a-configuration.
The hydrolysis of the a-1 ,4-bonds proceeds rapidly but that of the 1,6-bonds at
lower rate (Pazur and Ando, 1960).
Most commercially available glucoamylase preparations are isolates from



fennentations ofAspergillus sp. or Rhizopus sp. (Ueda, 1988). Glucoamylases from

certain fungal species are able to hydrolyze raw starch granules. From published
literature it appears that this ability depends on the components of this enzyme.
Hayashida et al. (1982) found a raw-starch affinity site on the component I of
amyloglucosidase from A. awamori var. kawachi and demonstrated that this side
was essential for raw-starch digestion. Similarly, Ueda (1988) established that
fungal glucoamylase contains at least two components. According to his data, the
glucoamylase component, designated I, has a stronger action on a-1 ,6-bonds and
is more active on raw-starch granules than the glucoamylase II.
The affinity site was assumed to be involved in the initial step of the raw-starch
digestion process according to Hayashida eta/. ( 1982). The action of this component may not be required, however, for the starch digestion, as is indicated by Abe
eta/. ( 1990). These workers demonstrated that upon proteolysis, the enzyme almost
completely lost its ability to be absorbed on raw starch, but its ability to digest raw
starch was only partially diminished.
Glucoamylases do not have a strong effect on starch because they attack the
starch polymers on non-reducing ends. This type of attack proceeds at a substantially lower rate than that effected by the action of a-amylase. However, if
a-amylase is also present the rate of starch hydrolysis increases. The a-amylase
breaks starch to smaller dextrins and generates more non-reducing ends for
glucoamylase to attack. This is the case with soluble substrates, gelatinized or
damaged starch. If the substrate is native starch granules as in flours, the removal
of starch molecules from the starch granule surface by glucoamylases enhances the
activity of a-amylase (Fujii et al., 1988).
Several amylases have been found to digest raw starch. Abe et al. (1988a) produced
a raw-starch digesting enzyme from Aspergillus sp. K-27 which contains
glucoamylase and a-amylase activities. As pointed out in the preceding discussion,
starch digestion by this enzyme is the result of a synergistic action ofboth activities.
Aspergillus sp. K-27 amylase also acts synergistically with the Rhizopus delemar
glucoamy1ase III, but not with glucoamylase II. The a-amylase component of
this enzyme acts well on the amylose-lipid complex, which is resistant to the
action of glucoamylase. It is believed that this explains its raw-starch digesting
ability (Abe eta/., 1988b).
A raw-starch digesting enzyme, also having a-amylase and glucoamylase
activities, was produced from Chalara paradoxa. The a-amylase and
glucoamylase parts of the enzyme had pH optima of 5.5 and 5. 0, respectively. Both
enzymes had temperature optima at 45C and digested rice or com starches at high
rates. The digestion rates of sago and com starches were slower. The hydrolysis
was due to the synergistic action of these two enzymes (Monma et a/., 1989).
Recently, a preparation containing a combination of a-amylase and
glucoamylase from a special fungal source (Aspergillus sp. K-27, marketed as
Diabase by Daikin Industries, Japan) was developed by Professor Hisukuri from
Kogoshima University, Japan. This preparation readily attacks raw starch granules,
yielding predominantly glucose at high rate. Most commercial a-amylase



preparations also contain as a secondary activity glucoamylase which enhances the

rate of glucose formation and subsequent fermentation. However, glucoamylases
from these sources rarely attack raw starch granules since this action is confined
to glucoamylases from special sources only (Bergmann et al., 1988).
Glucoamylases are also likely to be present in commercial amylase and other
fungal preparations, since they commonly occur in Aspergillus spp. These activities, present as secondary enzymes or intentionally blended into the commercial
preparations, may enhance the formation of glucose in the doughs. However, there
is no published information on the raw-starch digesting ability of the
amyloglucosidases in these preparations. The commercially available
glucoamylases (e.g. Sperzyme, product ofGenencor, Int., Schaumburg, IL, USA)
are marketed for production of glucose syrups.
7.2.3 General properties ofamylases

In Table 7.1 the main properties that affect the activities of amylases are given. The
following two property parameters are of major technical importance: (i)pH
optima; and (ii)thermal stabilities (Becket al., 1957). pH Optima. To estimate the potential activity in a bakery food and predict
the action of an enzyme, we need to know the pH of the medium in which the
respective enzyme is expected to function. As a guide for estimation the pH values
encountered in bakery operations are presented in Figure 7 .1. Most of the pH values
ofbread doughs are on the acid side, below the enzyme optima. The activity curves
of amylases are sufficiently broad to permit the enzyme to act sufficiently during
fermentation. When the acidity of the dough drops during fermentation the
amylolytic activity diminishes. This is no problem for wheat breads fermented by
bakers' yeast. In breads fermented with sours, an excessive drop in pH may
inactivate the a-amylase activity. This response to high acidity may be beneficial
when using flours milled from sprout-damaged flours. This corrective measure is
suitable for rye breads and some sour dough specialty bakery products, where the
Table 7.1 Properties of a-amylase and glucoamylase
a-amylase liquefying saccharifying malt"
a -amylaseb a -amylaseb
Optimum pH
Optimum temperature
Molecular weight (D)
Thermal stability
Adsorption on raw

51 000

Yamamoto (1988a).
byamamoto ( 1988b).
0 Shinke (1988).
dSaha and Zeikus (1989).



47 300




51-{i0C 60-{i6C 40-60C
41500 50000--112000



Acid Condition


Alkaline Condition


Range of




or Cracker


Av. Soda

Figure 7.1 pH values of baking flours, doughs and products (Courtesy of American Institute of

acidity is acceptable to the consumers; in production of standard US white pan

breads this pH adjustment would produce adverse flavor changes. Heat stability of amylases. The effectiveness of amylolysis depends on heat

stability of the enzymes and on the susceptibility of starch granules to this attack, which
is related to the gelatinization temperature. The heat stability ofamylases, compiled by
Hammer (1992), is shown in Table 7.2. The gelatinization of starch granules is a phase
transition which occurs within a certain temperature range measurable only in dilute
water dispersions. Presence of certain solutes, e.g. sugars, tends to elevate the gelatinization range. Generally, it is estimated that starch gelatinization is initiated at 56C
and completed at 72C ( 140-160F). Water concentration in the system also tends to
influence gelatinization. There is a sufficient level of water in bread doughs to meet
the water requirement for starch gelatinization. In certain bakery low moisture products,
e.g. cookie doughs, low levels of water inhibit starch gelatinization, and hence the
action of enzymes that can act only on gelatinized starch (Kulp et al., 1991 ). The
overall changes in bread doughs are depicted in the baking time/temperature
profile of a bread dough (AlB data) (Figure 7.2).
Since the raw-starch granules of flour serve as a substrate for the action of
amylases (except in the case of raw-starch digesting enzymes) only when gelatinized, the gelatinization temperature range of starch is ofthe utmost importance.
As predictable, the fungal preparations show little amylolytic action during
baking because they become heat inactivated prior or during the initial stages of
starch gelatinization. The cereal amylases are active during the temperature interval
at which the starch undergoes gelatinization. The new generation of fungal and as
bacterial enzymes of the intermediate heat-stability type shows similar heat stability


Table 7.2 Temperature characteristics of starch degrading enzymesa
Sound wheat

Malted wheat









aFrom Hammer ( 1992).

bTopt= Temperature of optimum activity (pH 5-6).
cTso=temperature at which 50% of the enzyme is inactivated.

cereal amylases. The classical B. subtilis bacterial amylase, as the most heat-resistant amylase of this group, still shows some activity at 90C, and a residual activity
often remains in baked products (Miller et al., 1953).
A recently introduced new generation ofamylases from selected strains ofB. subtilis
(Novo Nordinsk) or genetically modified fungi (e.g. Aspergillus niger (Enzyme
Biosystems, Ltd.)) shows heat stability similar to that of barley amylase (Hebeda et
al., 1990); these enzymes are referred to as intermediate heat-stability amylases.
According to the manufacturers these types of enzymes are functional in retarding
staling without causing crumb gumminess generally encountered in the use of the
heat stable a-amylase. The anti-firming effect is attributed to modification of starch













Figure 7.2

Interior temperature of bread during baking (Courtesy of Dr R. Bennett, American Institute of Baking.)



in flour by reducing its tendency to retrograde. The absence of gumminess is

attributed to the pattern of hydrolysis. The low molecular saccharides are formed
without a generation of intermediate molecular-size oligosaccharides, which are
believed to cause crumb gumminess and stickiness. This property was also verified
for the Novo preparation in baking experiments at the American Institute ofBaking,
as will be detailed further in section
Duxbury ( 1990) reported on the development of another approach to the control of
bread staling by enzyme, resulting from the research ofRohm Tech Inc., Maiden, MA.
Their products are a fungal preparation ofa.-amylase with the ability to dextrinize starch
above its gelatinization temperature (preparation Veron F 25) or combination of a heat
sensitive fungal amylase with unspecified secondary activities (Veron ESL). Use of
typical surfactants can provide additional benefits (Veron ESP Super) (Anon, 1988).
7.2.4 Individual improving functions ofamylases
7.2.4. I Generation offermentable solids. The original purpose of flour supplementation with amylases was the generation of fermentable solids, mainly maltose, by
amylases from starch. Maltose is fermentable when hydrolyzed into glucose by the
action of maltase (yeast, flour). This role of amylases is of a minimal significance
in most US bakery formulations today, due to the presence ofhigh levels of sugars
in modem yeast-leavened bakery formulas; for example, white pan bread formula
contains 8-10% sugar (flour basis), while hamburger buns contain 12% (flour
basis) of fermentable solids in the form of sucrose or high fructose syrup. In






F Fructose
G Glucose
M Maltose







G, 50% Flour

Fermentation Time, Hr.

Figure 7.3 Fermentation course of sugars (glucose, fructose, maltose) in flour brews (From Kulp, 1986)



European fonnulations the sugar generating function ofamylases is still highly important.
As is evident from Figure 7.3, the simple sugars, when present along with
maltose, are fermented preferentially at a high speed- higher than that of maltose.
Thus for modem high speed baking processes, the fermentation process requires
addition offermentable sugars, since the generation rate offermentable sugars from
starch by amylolytic reactions is insufficient.
Flour supplementation with a-amylases increases bread volumes. This effect
has been shown with fungal, malt and bacterial a-amylases (Rubenthaler et al.,
1965; Maninder and Joergensen, 1983; Kuracina et al., 1987). It is uncertain
whether the volume increase is attributable to formation of additional sugars or
modification of dough rheology by the primary and/or secondary activities of the
amylase preparations. This latter alternative explanation is supported by Cauvain
and Chamberlain's (1988) observation that fungal amylase increases the loaf
volume by extending the period of dough expansion during the baking step.
A high level of a-amylase produces inferior crumb grain. This is especially true
for supplementation with bacterial amylase (Conn et al., 1950; Rubenthaler et al.,
1965; Kuracina et al., 1987). Optimal levels, however, of fungal a-amylase improve
crumb grain (Maninder and Joergensen, 1983; Cauvain and Chamberlain, 1988).
Crust color and flavor are also improved by additions of amylases. The rheological properties of doughs are improved by amylases, as reflected in better
symmetry of loaves and more unifonn break and shred. The extension of shelf life
of breads will be detailed in section Application of raw-starch digesting enzymes. In his presentation on enzymes, Hammer (1992) at the 9th International Cereal and Bread congress, Paris,
pointed out that the action of glucoamylase deserves further studies in baking
applications. Previous investigations by Pomeranz et al. (1964) demonstrated that
at reduced sucrose levels (2% sucrose) white pan bread comparable to control bread
(6% sucrose) could be produced with addition of glucoamylase and a-amylase.
Positive results were also reported by Bussiere and de la Gueriviere (1974).
Adding glucoamylase to breads supplemented with bacterial enzyme decreases
crumb stickiness (presumably by degrading the stickiness-causing dextrins generated
by the bacterial amylase). Beneficial effects were also claimed by Grarnpp eta!. ( 1972).
Presently this enzyme is used predominantly for brewing and/or starch liquefaction.
Valjakka (1992) studied a commercial preparation of Aspergillus sp. K-27
(Diabase) (see section 7.2.2). In her study (Figure 7.4) a certain crumb softening
effect in bread, comparable with the performance of other fungal enzymes (not
shown), was detected. It was less pronounced than that ofbacterial enzyme (Figure
7.5). This study also established the possibility of a partial replacement offennentable
sugars in the white pan bread fonnula with this enzyme. Figures 7.6, 7. 7 and 7.8 depict
this effect. Figure 7.6 shows the beneficial effect of the enzyme (added at 0, 0.02 and
0.125% (flour basis) and sucrose levels (0, 2 and 6% (flour basis). In Figures 7.7 and
7.8 external and internal characteristics of breads baked from a formula containing
2% level of sucrose and the varied levels ofthe enzyme are presented.





0-00% RSDE

e-e 0.020 % RSDE

6.-6. 0.125% RSDE

A-A 0.250 % RSDE









Time (days)
Figure 7.4 Effect of raw-starch digesting enzyme (RSDE) on firming of bread crumb (white pan
bread). (From Valjakka, 1992.)

At the optimal level of the enzyme and the 2% sucrose, the breads were
comparable to the control bread in all respects, including proofing times.
Alternatively, the sugar as an ingredient can be reduced or replaced when
conventional fungal amylases are used with pregelatinized starches as a substrate
in bread formulas.



~-~0 5\: Bacterial enzyme


6.-" 0.15% Boctoriol onzym~

A-A 0.25% Bacterial enzyme










0.05 % Bacterial enzyme




Time (days)
Figure 7.5 Effect of bacterial amylase (B. subtilis) on firming ofbread crumb of white pan bread.
(From Valjakka, 1992.)









0 % Sucrose

6 % Sucrose

2 % Sucrose

CZJ 0 % RSDE EZZl 0.02% RSDE (X] 0.125% RSDE ~ 0.250% RSDE
Figure 7.6 Loaf volumes of breads baked from formulas with varied sugar levels and varied doses
of raw-starch digesting enzyme. (From Valjakka, 1992.)

Although the generation of fermentable sugars is not the primary role of

supplementation with amylases, these enzymes are used for improvement of
external characteristics, better crust color, more uniform crumb grain, silky texture
and better keeping qualities. Extension ofshelf-life. The extension of shelf-life is an important property

of amylases. The bacterial amylase which produces a dramatic softening effect
causes an excessive crumb gununiness unless the dosage and the storage temperature



Figure 7.7 External appearance of breads with 2% sucrose and varied levels of raw-starch digesting enzyme. (From Valjakka, 1992.)



Figure 7.8 Internal appearance of loaves in Figure 7.7. (From Valjakka, 1992.)

conditions of the supplemented bakery product can be kept within reasonable limits.
New amylases of intermediate heat stabilities are promising as anti-staling
agents. This is evident from the data of a study conducted at the American Institute
of Baking (AlB), shown in Figure 7.9. These enzymes do not survive the baking
process; consequently they do not produce crumb gumminess in storage (e.g. Anon,
1989; AlB, 1990; Duxberry, 1990; Wasserman, 1990). Mechanism of the anti-firming action ofamylases. The anti-firming effect
of amylases was explained by Martin and Hoseney ( 1991 a,b), who suggested a new
mechanism ofbread staling. The classical mechanism, proposed by Schoch ( 1965),
attributed the crumb firming to a gradual retrogradation of the amylopectin component of starch (Schoch and French, 1947; Kulp and Ponte, 1981 ). The new theory
proposes (Figure 7.10) that the crumb firming is caused by progressive cross-bonding between the protein fibrils and swollen starch granule residues, mediated by
the amylose molecules leached out during baking (compare left upper and lower
frames) . This cross-bonding can be restricted by certain low molecular dextrins
(shown as dextrins in the right frame) produced by certain amylases.
The dextrins of degree of polymerization of 4 to 9 show anti-staling properties
(Figure 7.11). They were detected in extracts from breads baked from doughs
supplemented with bacterial or fungal amylases (Figure 7 .11 (a)). Breads with these
enzymes also firmed at slower rates than the controls without added enzymes. An
alternative mechanism of the anti-firming action of heat-stable a-amylase (B.
subtilis) was proposed by Zobel and Senti (1959). They attributed this effect to
cleavage oflinkages in starch gels and amorphous starch granule regions. Similar
results were reported by Dragsdorfand Varriano-Marston (1980).
On the other hand, cereal enzymes had no anti-firming effect and the extracts
from breads treated with these enzymes did not contain these types of oligosaccharides (Figure 7.11(b)).


Grams Force



.......... .



0.3glkg flour








Figure 7.9 Firming ofbread crumb of white pan bread treated with intermediate heat-stability amylase:* w/0.75% monoglycerides;** w/0.19% monoglycerides. (American Institute of Baking, 1990.)

Figure 7.10 A mechanism of bread firming and illustration of anti-firming effect of amylases.
(From Martin, 1989.)







c:J Coni~
!ZJ 2$ SM B/loaf

1!111 I 00 SK /loaf







c:J Con~
!ZJ 2ll



rz2l .lll









Figure 7.11 Profiles of saccharides in extracts from breads treated with (a) bacterial amylase and
(b) cereal amylase (malt). (From Martin and Hosney, 199lb.)

7.3 Proteolytic enzymes (Stauffer, 1987b)

These enzymes are of cereal, fungal and bacterial origin. In contrast to amylases,
they do not differ greatly in heat stability. All of them are inactivated during baking
(Figure 7.12). However, they differ in two other respects: (i) in their attack on
proteins; and (ii) in their pH optima (Table 7.3).
The attack of the enzymes on proteins may proceed either by the exo- or
endo-splitting mechanisms, as is shown in Figure 7.13.
This difference is important in selecting the suitable enzyme for the desired
purpose. When the reduction of mixing time is the objective of the application, an
endo-acting enzyme would be preferred since cleavage of internally located peptide
bonds would have a more dramatic rheological effect than a removal of a terminal
amino acid by the action of a exo-acting enzyme. On the other hand, liberation of
free amino acids will have a great influence on color of the product because the
free amino acids readily undergo Maillard-type reactions with reducing sugar to
form color compounds. Exo-acting enzymes may also contribute to the flavor and
aroma of the product since many flavorants undoubtedly result from Maillard-type
interactions of sugars and various fermentation intermediates.
The pH optima of the proteolytic enzymes vary and depend on the sources of
the enzymes. The pH activity optima ofproteases are shown in Table 7.3.
The estimation of the activities of the proteolytic enzymes to be used in
various bakery applications cannot be based on objective analytical tests because
gluten is not a practical substrate for analytical purposes. For determination of
Table 7.3 Properties ofproteases for baking applications
Aspergillus oryzae
Bacillus subtilis
Common name
pH optimum range
6.5- 8.0
4.5- 9.0
pH stability range
5.5- 10.5
Temperature optimum 45-55C
45- 55C.
Effective temperature




IBoctoriiiiPIOIOIFtlllpiPIOIOI PIUICftolla

I Flda




175 F

I Popoln






Figure 7.12 Temperatures of inactivation of various proteases. These conditions illustrate the inactivation range (represented by the dark shaded bars) of the various proteases under laboratory conditions with a 15 min exposure time on specific substrates. These can only be used as guidelines under
production conditions. The inactivation range can be shifted by, for example, the presence or absence of cations, oxidizing agents or substrate conditions. (From Anon, 1988.)

activities hemoglobin, gelatine, casein and soya proteins are mostly used. From
Table 7.4 it is evident that the activity values differ for various substrates.
The applications of proteolytic enzymes in baking include: (i) reduction of
mixing times; and (ii) modifications of rheological parameters of doughs, mainly
extensibility and improvement of the dough flow. Baking experiments need to be
conducted to optimize the enzyme levels for various products and production
conditions. It should be remembered that the basis of the functional effect of
proteases is the cleavage of peptide bonds, which causes formation of smaller
fragments, peptides and amino acids. These then interact more readily during
mixing. An excessive depolymerization of the gluten proteins weakens the dough


Figure 7.13 Endo- and exo- protease attack on protein molecules. (From Anon, 1988.)


Table 7.4 General comparative reactivity of proteases (at their optimum pH)
Reference (papain)
Bacterial (neutral)
Bacterial (alkaline)
Fungal (acid)
Fungal (neutral)









Soya protein

and produces the expected ill-effects associated with this condition. One should
also be aware that this reaction is not reversible: the peptide bonds cannot be
restored and neither can the original rheological condition be regained, which is in
contrast to the use of chemical reducing agents. In the latter case the reducing agents
cleave disulfide bonds in protein molecules into sulfhydryl groups. This reaction
can be reversed by addition of oxidants, which are used in this case at higher levels
to keep the reaction within optimal limits.

7.3.1 Modification ofdoughs by pro teases

The action of proteolytic enzymes on gluten proteins is more complex than that of
amylases on starch; proteases split the peptide linkages in protein molecules. This
action reduces dough mixing times, mellows the doughs and enhances dough
extensibility. These effects are important in machining of doughs, e.g. sheeting and
laminating, and in modification of the general dough flow. Consequently, these
enzymes are used in production of breads, crackers, hamburger buns, rolls, etc.
A complicating reaction of proteolysis is the formation of certain peptides that
contribute a bitter taste to the product. This adverse effect can be removed by the
action of exo-acting proteins. Certain preparations of the proteolytic enzymes are
marketed with this claim. The proteolytic enzymes generally contain both endoand exo-splitting activities. A high degree of the latter activity is required to remove
the bitterness-forming peptides. The level of exo-splitting activity is enhanced
either by the selection of microorganisms or optimization of the cultivation
conditions of the microorganisms for the synthesis of the exo-splitting enzymes
(Stauffer, 1991).
In selecting enzymes for a specific application, the pH of the medium (dough,
batter, product) should be considered. As guide for this purpose pH conditions are
shown in Figure 7 .1.
The pH conditions affect the activity ofproteases in cracker fermentation. Wu
and Hoseney (1989) demonstrated that of the variables involved, the pH of cracker
sponges was most effective in reducing their resistance to extension. This effect
was attributed to the action of proteolytic enzymes, because the optimum pH of 4.1
coincided with the reported optimum activity pH of indigenous flour protease.



7.3.2 Functional effects ofproteolytic enzymes Mixing time reduction. Under proper conditions of temperature, pH and
flour strength the dough mixing requirements can be shortened as much as 25%. This
level of mixing time reductions is about average; additional reduction may excessively
weaken the doughs and cause production problems and product quality deteriorations. Improved machining characteristics of doughs. Doughs for processing in
high speed mechanized bakeries have to be pliable and extensible. Protease
treatment improves sheeting and decreases 'buckiness' (dough tightness). Examples of this protease-improving effect are observed in common yeast-leavened
products, such as pizza doughs (Weme, 1987), saltine crackers (Wu and Hoseney,
1989) and similar products. Gas retention. The gluten films of doughs treated with optimal amounts of
proteases are more extensible than those without the enzymes and retain more gas. Improved pan flow. This benefit is important in bun and roll production
where the small dough piece must spread rapidly and evenly to fill the cup during
proofing and early stages of baking. Finished product quality. The mellowing of doughs produces bakery foods
that have better symmetry, crumb grain and crumb texture. It is also claimed that
the use of proteases produces some extension of shelf-life through improved crumb
softness. Crust color. The generation of free amino groups contributes to enhancement of crust color through the Maillard reaction.
7.3.2. 7 Flavor improvement. The formation of bitter tasting peptides may occur as
discussed in section 7.3 .1. Their removal may be accomplished by the action of
exo-splitting proteases. The involvement ofMaillard-type products in the generation of various flavors offers possibilities in applications of the enzymes in flavor
improvements. The possible pathways that can be visualized are: ( 1) Maillard-type
reactions, which may include interactions of amino acids with reducing sugars or
analogous compounds: (2) flavor production as a result of interaction of carbonyl
compounds arising from yeast fermentation by the Ehrlich's reaction, with various
amino acids liberated by the proteolytic cleavage of proteins.

7.4 Pentosanases and cellulases

Wheat flour contains about 3.5 to 5% pentosans and depending on its milling
extraction rate, rye flour contains 9% pentosans.




Figure 7.14 Water-soluble arabinoxylan (A= arabinose, X= xylose).

The endosperm pentosans consist of xylose units with arabinose side chains
(Figure 7.14). They consist of water-soluble and water-insoluble fractions, the
soluble pentosans being of a smaller molecular size and less branched than those
of the insoluble component. In addition to the carbohydrate structure, some
proteins are associated with pentosans. Of interest is the presence of ferulic acid
(Fausch et al., 1963) in this fraction (Figure 7.15). Ferulic acid is involved in
oxidative gelation of wheat flour water-soluble pentosans (Hoseney and Faubion,
1981). A part of the insoluble pentosans is embedded in a cellulose matrix, which
protects the degradation of pentosans from the action of enzymes unless it is
removed or modified. This complication has been observed (Kulp, 1968) when
studying the enzymolysis of pentosans by the action of Aspergillus spp. and
Trichoderma viride. The author was able to degrade the insoluble pentosans appreciably only when a cellulase active on unmodified cellulose (CX) was present as in
meicelase, a preparation from Trichoderma viride (Figure 7.16).
This observation was utilized in the application ofpentosanases by a research group
from Genencor, which developed a special species of Trichoderma (T. reesei) for an
effective degradation of pentosans and baking application (Anon, 1990).
7.4.1 Functionality ofcellulases and pentosanases

The major function of pentosanases on wheat flours is their effect on flour

absorption and dough softening. The degradation of pento sans reduces the water
absorption capacity of dough by releasing the water bound to pentosans. This
change causes softening but not stickiness of doughs during processing.
In experimental evaluations of various pentosanase preparations, the present



Figure 7.15 Structure of ferulic acid.




.!::! 40



~ 30 ...... .




No Enzyme






Digestion Time, Hours

Figure 7.16 Solubilization of water-insoluble pentosan-rich wheat flour fraction. (From Kulp,

author observed very little improvement in white pan bread applications but found
beneficial effects in rye breads. Possibly specialty breads, especially in those
containing substantial amounts of whole grains, high extraction flour streams,
and different fiber materials, may also benefit from addition of this activity.
However, except for white pan and rye breads, no clear-cut published data are
Rye flours contain high levels of slowly hydrating pentosans which affect
the dough viscosity. Excessively high pentosan contents of flours increase the
dough viscosity above normal, and yield breads of poor volumes and undesirable dry crumb (Pezoa et a!., 1984). Although rye flours contain cellulases
(Rohrlich and Hitze, 1970) their activity may be insufficient to correct this
problem. In these cases additions of pentosanases may be required (Sproesser, 1986).
Extensive studies were conducted to determine the effect of pento sans on starch
retrogradation (Kim and D' Appolonia, 1977a). They observed that pentosans had
a definite effect on retrogradation of starch gels upon aging. In a subsequent study
(Kim and D 'Appolonia, 1977b) of bread staling, these workers observed that
pentosans decreased the staling rate, with the water-insoluble pentosans exerting a
more pronounced effect than the water-soluble pentosans. This is in conflict with
claims that pentosanases retard staling.
7.4.2 Functionality ofpentosanases in cookie and cracker manufacturing

Degradation of pentosans releases free water and softens the dough (Holas eta/.,



1973). This change can be accomplished by the action of pentosanases in

combination with cellulases. The effect of a commercial preparation of this type
of enzyme on the dough consistency of snack cracker doughs is shown in Figure
7.17. As is. evident, the untreated dough softens during rest time. When the
enzyme is added, the softening is accelerated. In order to keep the dough within a
rheologically acceptable consistency for machining purposes one has to compensate
for this excessive softening by reducing the formula water. This change in the water
level in the dough has a beneficial application. By formulating the doughs with
reduced amounts of water it is possible to shorten the subsequent baking time and
thus save energy.
Pilot plant experiments at the American Institute of Baking demonstrated that
an enzyme from Finnsugar Bioproducts (now Cultor Ltd) was able to reduce
the baking times by 15-20% for snack crackers and saltine crackers. Similar
results were found with the Trichoderma reesei preparation, a product of
The softening effect of the enzyme can be utilized in other areas of baking
technology, e.g. in pretzel manufacturing and in certain extrusion processes.
The effect of enzymes on cookie spread and cookie dough consistency was
reported by Gaines and Finney (1989). Of the 17 commercial enzyme preparations
tested, several preparations from Trichoderma reesei were most effective in maintaining stability of cookie dough consistency and cookie size. The protease papain
was most effective in increasing cookie spread when cookies were baked from hard
red winter and hard spring wheat flours.
Force, grams

700 ............................................................................................. .




Control-normal water
0.012gE-1 0% water

-e- 0.125E-5% water

200 ............................................................................................. .
100 ............................................................................................. .



Time, hours



Figure 7.17 Cookie dough softening effect ofpentosanase/cellulase (From Cultor, Ltd.)



7.5 Lipoxygenase
Lipoxygenase is an enzyme of soy flour and is presently used for its bleaching
effect caused by oxidation of flour pigments. This reaction changes the natural
yellow pigments of flour, and the crumb of bread baked from flours treated in
this manner have a clean white color. In contrast to white pan bread, macaroni
and other pasta products require retention of yellow pigments. This is achieved
by selection of durum wheat flours which are low in lipoxygenase activity. The
substrates for this enzyme are polyunsaturated fatty acids containing a cis,cis1,4-pentadiene group. The catalysis requires the presence of molecular oxygen.
The fatty acids that meet the substrate requirement include linoleic (9, 12-octadecadienoic ), linolenic (9, 12, 15-octadecatrienoic) and arachidonic ( 5,8, 11,14eicosatetraenoic) acids (Eskin et al., 1977; Faubion and Hoseney, 1981; Stauffer,
1987 a). An increase of dough stability caused by lip oxygenase was also reported
(Hoseney et al., 1980).
When using this enzyme as a dough oxidant or part of a dough improving
oxidation system, the presence of a suitable substrate and oxygen is required for
successful application. Certain bromate replacers are formulated with this enzyme
as a component.

7.6 Glucose oxidase

This enzyme (Figure 7.18) is of fungal origin (Aspergillus niger) and shows a high
specificity for the beta form of glucose. It reacts with the beta form about 160
times faster than with the alpha form. This specificity is not a problem in food
technology since mutarotase usually accompanies glucose oxidase used in food
(Stauffer, 1987a)
Glucose oxidase is a newcomer to the baking industry. It is being investigated in
conjunction with other enzymes and ascorbic acid in bromate replacers. Commercial
glucose oxidase preparations contain substantial secondary activities including
catalase (Figure 7.18), arabinase, mannanase, galactomannanase, pectinase and
amylases (alpha and beta), which complicate the application and evaluation of
the enzyme.

7.7 Sultbydryl oxidase

The activity of this enzyme has been detected by following the disappearance of
the thiol groups by amperometric titration with silver nitrate in commercial fungal
enzyme preparations and also in flour, mainly located on the surface matter
adhering to starch granules in flours (Figure 7.19) (Kulp, 1980).
Alternatively, activity can be tested for by measuring the depletion of molecular
oxygen from a test mixture containing reduced glutathione (Young and Nimmo, 1972).


Glucose + 02


ox1 ase

gluconic acid + H202

Figure 7.18 Reactions of glucose oxidase and catalase.

7.8 Enzyme-based replacers of bromate

A considerable effort is being made in the search for a suitable bromate replacer. This
is due to regulatory problems with bromate in the USA and various EC countries. From
the inspection of the commercial products which reached the market as well as from
reports of various investigations, the following conclusions can be drawn:
(1) No single enzyme activity has been found to replace the oxidative effect of
bromate. The problem is that bromate is a slow acting oxidant while the
oxidases are fast acting.
(2) When enzymes are used, they are used as combinations of chemical oxidants
(ascorbic acid, azodicarbonamide, benzoyl peroxide) with fungal amylases or
blends of fungal proteases and fungal amylases. The function of the enzymes
in these systems is not clear and their effect may be due to secondary activities,
e.g. oxidative enzymes.

~ 60





iii 40




112 140 168

Doh-tone, MG

196 224








Figure 7.19 Oxidation of glutathione by secondary enzyme activities of commercial amylase or

protease; also by potassium bromate (Kulp, 1980).



Table 7.5 Oxidation of flour thiol with oxidases

Reactive SH-groups

Control flour
Glucose oxidase (1000 U/kg) supplemented flour
Glucose oxidase (1 000 Ulkg}+ Sulfhydryl oxidase (77 U/kg) supplemented flour

1. 925

From Haarasilta et al. (1991).

Cultor Ltd reported in 1991 (Haarasilta et al., 1991) the effect of ascorbic acid
and oxidases on sulfhydryl groups of flour (Table 7.5). Glucose oxidase, used singly
and in combination with sulfhydryl oxidase effectively oxidized the flour thiol.
However, in baking (Figure 7.20) this combination became fully effective only when
cellulase was also used. It is the author's speculation that cellulase liberates some
pentosans containing ferulic acid from the cellulose matrix in flour. When released,
this acid acts as a typical COrUugated double bond compound (Hoseney, 1984) and
causes a further beneficial effect. A similar combination of ascorbic acid with oxidases,
pentosanases and amylases is being marketed by Gist-Brocades. An enzyme-based
bromate replacer was also introduced by Rohm Tech (Malden MA) (Anon, 1991).
Cultor Ltd (1989) also applied for a European patent claiming dough improvements
and bromate replacement potential of enzyme preparations containing hemicellulases
and/or cellulases combined with glucose oxidase, or sulfhydryl oxidase and glucose
oxidase, preferably used in combination with lecithin.


















50 min

Proofing Time


Figure 7.20 Effect of oxidases and cellulases on bread volume: = glucose oxidase+ SH-oxidase; E':l = glucose oxidase + SH -oxidase + cellulase. (From Haarasilta et a!., 1991.)



7.9 Summary

Today, when we purchase a preparation we learn only about the main activity of a
purchased preparation; the activity on the label may not be the main functional and
technological reason why we are using the preparation. Thus, a great deal of
research on the defmition ofthe role of various components of the enzyme systems
is required. This information is not necessary for satisfaction of our intellectual
curiosity, but is essential for designing of new enzyme systems and rational
applications of their activities in production of various bakery and food products.
AACC, (1983) American Association of Cereal Chemists. Approved methods, St Paul, MN.
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Abe, J., Nakajima, K., Nagano, H. and Hizukuri, S. (1988b) Properties of the raw-starch digesting
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Abe, J., Nakajima, K. and Hizukuri, S. (1990) Alteration of the properties of Aspergillus sp K-27
glucoamylase on limited proteolysis with subtilisin. Carbohydr. Research, 203,129.
American Institute of Baking (AlB) (1990) Evaluation of Novamyl. Unpublished Report to Novo
Nordisk, Danbury, Ct., American Institute of Baking, Manhattan, KS.
Anon (1988) Veron FD SUPER and Veron ESL -New Developments for Modern Baking Technique.
Enzyme-Report, Roehm-Enzymetechnologie,p. 13.
Anon (1989) Shelflife of breads increases with enzyme systems. Food Engineering, 61 (3), 57-58.
Anon (1990) Biotechnology enzyme firm embraces innovation. Food Technology, 44 (9), 117.
Anon (1991) Enzymes for baking improve volume. Food Processing, 52, 134-135.

Barrett, F.F. (1975) Enzyme uses in the milling and baking industries. In Enzymes in Food Processing,
ed. Reed, G., Academic Press, New York, pp. 301-348.
Beck H., Johnson, J.A. and Miller, B.S. (1957) Studies of soluble dextrin fraction and sugar content of
bread baked with alpha-amylase from different sources. Cereal Chern., 34, 211-217.
Bergmann, F.W., Abe, J. and Hizukuri, S. (1988) Selection of organisms which produce raw-starch
degrading enzymes. Appl. Microbial. Biotechnol., 27, 443.
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technologie de panification industrielle. Ann. Techno/. Agric., 23, 175.
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alpha-amylase in baking. Cereal Chern. 27, 191-205.
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S., Pullinen, T. and Tammersalo-Karsten, 1., Helsinki, Finland.
Dragsdorf, R.D. and Varriano-Marston, E. (1980) Bread staling: X-ray diffraction studies on bread
supplemented with alpha-amylase from different sources. Cereal Chern., 57, 310-314.
Drapon, R. and Godon, B. (1987) Role of enzymes in baking. In Enzymes and their Role in Cereal
Technology, eds. Kruger, J.E., Lineback, D. and Stauffer, C.E .. American Association of Cereal
Chemists, St Paul, MN, pp. 281-324.
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Dubois, D.K. (1980b) Enzymes in baking. II. Applications. Research Department Technical Bulletin 2
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American Institute of Baking, Manhattan, KS.



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quality. CRC Crit. Rev. Food Sci. Nutr., 9, 1-40.
Faubion, J.M. and Hoseney R.C. (1981) Lipoxygenase: its biochemistry and role in breadbaking. Cereal
Chern., 58,175-180.
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wheat flour. Nature, 199,287.
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and Technology, Vo1.7 (3), ed. Pomeranz, Y., American Association of Cereal Chemists, St Paul,
Fujii, M., Homma, T. and Taniguchi, M. (1988) Synergism of alpha-amylase and glucoamylase on
hydrolysis of native starch granules. Biotechnol. Bioeng., 32,910.
Gaines, C.S. and Finney, P.L. (1989) Effects of selected commercial enzymes on cookie spread and
cookie dough consistency. Cereal Chern., 66, 73-78.
Gerhartz, W. (1990)Enzymes in Industry, VCH, Weinheim, Germany.
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Hayashida, S., Kunisaki, S., Nakao, M. and Flor, P.O. (1982) Evidence for raw-starch affinity site of
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Holas, J., Tobolar, J. and Hampl, J. (1973) The effect of some high-molecular polysaccharides on
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8 Emulsifiers in baking

8.1 Introduction
The industrialization of the food processing industry, including baked goods, was
the result of consumers demanding high quality, convenience, longer shelf-life,
easier storage conditions and high appeal to sight, touch, taste and smell. Other
socioeconomic factors such as increased disposable income, need to save time and
effort, access to food stuff at any time and portionability have also been factors.
New trends such as more natural, healthier (saturated vs. unsaturated fats, animal
vs. vegetable fats, low cholesterol), more nutritious, environmentally friendly,
freshness, lower fat content, high fiber, reduced level ofrefmed sugar, microwavable products, no bromate, clean label and low sodium are just examples of what
consumers are demanding. The healthy food market products in the US are worth
$30 billion and increasing by 6% annually; the reduced fat and caloric foods and
beverages represent 70% of this market (Osnabrugge, 1988). To meet the above
demands, the food product development and baking scientists and technologists
are forced to use functional food additives such as gums, modified starches, enzyme
and enzyme-treated protein, fat replacers, microglobular protein emulsifiers and
many others to achieve their goals. The consumption of food additives is forecast
to grow by 5.8% annually between 1988 and 1995; surfactants represent 16.6% of
the total food additive consumption in 1988. In the US the consumption of
surfactants was 103 million kg and expected to grow to 136 million kg (annual
growth rate of 4.9%).
The dollar value of food surfactants will be over $500 million between 1990
and 1995 for an annual increase of2.3% (Anon, 1991).
Emulsifiers in foods can perform a variety of functions. The most important
involves the reduction of surface tension at oil- water interfaces, interactions with
starch and protein components and modification of the crystallization of fats and
oils (Table 8.1 ). Selection of a proper type of emulsifier for a given food product
is normally based on experience and experimental tests or by trial and error. In
baked product applications, surfactants exert a variety of specific functions. Other
effects can also be obtained; many of these may overlap in any given application.
It is essential that correct choice of surfactant type and dosage be made to ensure
optimum performance. The major functions of surfactants in food are listed below:
(a) Emulsifying and stabilization of a water in oil (w/o) such as margarine,



butter or cake, and oil in water (o/w) such as salad dressing and whipped
(b) Starch complexing (antistaling).
(c) Protein interaction.
(d) Viscosity modifiers.
(e) Foaming and aeration.
(t) Texture modification.
(g) Lubrication.
(h) Crystal modification.
(i) Wetting.
G) Solubilizing.
(k) Demulsification.
(1) Palatability improvement.
(m) Suspensions.
(n) Dispersion.
Synthetic and natural surfactants have been increasingly used to improve the
quality of yeast raised, chemically leavened and non-leavened baked goods. In
these products emulsification is often of secondary importance but starch complexing, protein strengthening and aeration are of primary importance.
The precise definition for surfactants that impart softening or conditioning to
the dough is not universally available in the baking industry but it is commonly
implied that surfactants do aid in the development ofless tacky, more extensible
doughs which process through machinery without tearing or sticking, or which
result in baked product of finer crumb structure and improved volume and
The onset of firming of a loaf of bread, cake and other baked goods will occur
several hours after baking and increase progressively with time. The effectiveness
of a particular surfactant may not become apparent until the second or third day or
even longer; these types of surfactants are referred to as softeners. The term softener
has become generic for many surface active agents, although the term may be
somewhat of a misnomer in that there exists a controversy as to whether the
compounds actually soften bread or only retard the rate of crumb firming. Their
function as crumb softening agents is closely related to their interaction or complex
formation with starch, particularly the linear amylose fraction to retard bread
staling. Surfactants may also slow the rate of bread firming by forrning a complex
with the amylopectin fraction within the starch granule.
Most baked products possessing a moist, spongy crumb are subject to a progressive deterioration in quality. As a general rule, the higher the practical moisture
content of the fresh product, the more pronounced are the changes that occur upon
staling. Products such as bread, yeast-raised sweet goods and cakes stale to a much
greater extent than do products such as cookies and crackers. The losses attributable
to bread staling are economically of great significance.
The term dough conditioner/strengtheners implies an action directly upon the


Very good (o/w)


Polyglycerol esters
Propylene glycol esters

Very goodg

Very goodg


Very good

Very goodg

Very goodg


Very goodg

Very good
Very goodg

Very good
Very good



Aeration and
foam stabilityd
Very goodf


Slight (o/w)
Sorbitan esters
Sodium stearoyllactylates
Very good (o/w)
Adapted from Birnbaum (1981).
~n bread and pasta and potato products.
cDough conditioning effect in yeast-raised products.
din topping fats, whipped desserts and bakery products.
Retardation of bloom in chocolate and cocoa coatings; in sponge and layer cakes.
rAlpha crystal form.
gAlpha tending.


Very good (o/w)

Very good (o/w)
Good (w/o)

Very good (o/w-w/o) Slight

Diacetyl tartaric acid esters
Lactic acid esters

Citric acid esters

Table8.1 Functional effects of surfactants in food products

Distilled mono glycerides
Saturated types
Very good (w/o)
Unsaturated types
Aceto glyceride



Table 8.2 Worldwide manufacturers and suppliers of food emulsifiers

1 2 3 4 5 6 7 8 9 10 11
Mitsubishi Kasei, Japan
VanDenBergh (Durkee),
Holland, USA
Mazer-PPG, USA, Europe
Food Industries Ltd, UK
Quest Intern'! UK, USA
Arancia, Mexico
Witco (Humko Chern.
Div., USA)
Riken Vitamin, Japan
Bunge, USA
Glyco, USA
ADM, Arkady, USA
Kao Corp, Japan


Eastman Chern, USA


Henkel, Germany

Grindsted, Denmark


Amer. Ingred., USA





ICI-Spec. Chern., USA,

Canada, UK
Puratos, Belgium
Cda.Packers, Canada
Anderson Clayton, USA
Rhone Poulenc, France
Croda, UK
Nippon Fat, Japan
Number index
1. Mono- and diglycerides and ethoxylated monoglycerides.
2. Distilled monoglycerides.
3. Sucrose ester.
5. Lecithins.
6. SSL and CaSL.
7. Citric, acetic, lactic esters of mono- and diglycerides.
8. Datem ester.
9. Polyglycerol.
10. Polysorbate, sorbitan ester.
11. Succinylated monoglycerides.

Trade name
Santone, Durlac,
Durfax, Ourem
Hymono, Admul
Admul, Hyfoama
Atmul, Polycon,
Dimul, Atmos
Rikemal, Riken
Vrest, Estric
Elasdo, Panilpus,
Excel, Emasol,
Myrverol, Myvacet,
Myvatex, Myvatem
Lactem, Monomuls,
Acetem, Lamegin
Dimodan, Panodan,
Amidan, Promodan
Starplex, Emplex,
Verv, Alphadim
Atmul, Atmos, Tween,
Canamulse, Soyalec

colloidal character of the dough either through modification of its gluten, its state
of oxidation or the surface tension between its aqueous and fat phase. These could
impart many functional qualities to the dough to improve its processing characteristics (machinability) or the quality of the bread from it. Most dough strengtheners
have some crumb softening characteristics, while many crumb softeners exhibit
some degree of dough strengthening. Dual purpose conditioner/softener are not
merely mixtures of softeners or conditioners blended together for convenience, but



are precise combinations known to act in a complementary way to produce a

synergistic effect.
Due to the high number of surfactant producers worldwide and to the number
of different trade or brand names, and due to the rapid changes occurring in the
industry by amalgamation and changing identity, the selection of particular emulsifiers could be very confusing and costly to the final users due to constant testing
of products and formula modification. The information provided in Table 8.2 is an
example of several multinational specialty chemical producers and blending operations that can supply food grade surfactants; it also provides examples of their
trade names and the type of surfactant they produce.
The aim of this chapter is to provide a practical aspect of the use of synthetic
surfactants, to list the different products available and their basic chemistry and
functions in bread, cake, cookie and crackers, and to provide information related
to the staling phenomena associated with baked products.

8.2 Classification and regulation

Emulsifiers used in the food industry were originally naturally occurring material
such as gums, polysaccharides, saponins, lecithin, lipoproteins, licorice, bile salts,
wool wax and casein protein. Although these materials have certain functionalities
they are not capable of performing the diverse functions needed in today's complicated food formulations. Lecithin and its modified products are still being used,
but the synthetic food emulsifiers are more commonly utilized. The first reported
use of synthetic food emulsifiers, mono- and diglycerides, as a component for
emulsifiable shortenings was reported in 1921. At present, mono- and diglyceride
is the most utilized surfactant in baked goods and other food applications. Most of
the synthetic surfactants utilized in food application are nonionic types because of
their ability to perform well under a variety of pH conditions, but a few anionic
products are also employed. Commercially produced synthetic emulsifiers are not
a single, pure compound but rather a mixture of many homologs (isomers).
The terms surfactant, surface-active agents, emulsifiers and emulsifying agents
are all encountered in the literature and are used interchangeably, although this may
not reflect exactly what the term means. The terms emulsifier or emulsifying agent,
strictly speaking, define chemicals which are capable of promoting emulsification
or stabilization of emulsion or foams by interfacial action. In other foods such as
bread the term emulsifier may be misleading, since the actual function in the
product may not be at all connected with emulsification, but with interaction with
other food components such as starch and protein.
Changing the relatively non-polar, water-insoluble fat, oil or fatty acid constituent to a surface-active derivative normally requires modifying the molecular
structure by adding a more polar and more water-soluble fraction to the molecule,
thereby giving the product some hydrophilic characteristics. The long chain fat
contributes the hydrophobic nature to the molecule and the hydroxyl or carboxyl



groups contribute the hydrophilic nature to the molecule. By selecting the appropriate modification of the fat molecule, the relative degree of hydrophilic lipophilic balance (HLB) can be achieved thereby affecting the performance of the
surface-active agent. In addition, because the hydrophilic portion of the molecule
is polar, it will also be attracted to other polar constituents offoods such as proteins
or starches. Thus the surface-active agent can function as a coupling agent between
dissimilar and normally insoluble constituents of food. Because of structural
differences between surfactants, the products are generally more effective in one
particular function than another. Therefore, in many food systems, blends of
surfactants are more commonly used to accomplish the desired technical effects.

8.2.1 Classification
Surfactants can be classified according to:
1. The nature of their charge
(a) Anionic: surfactants that carry a negative charge on the active portion of
the molecule such as SSL. Anionic type surfactant can be markedly
influenced by pH and ionic strength.
(b) Cationic: surfactants carrying a positive charge on the active portion of the
(c) Non-ionic: uncharged molecule having lipophilic and hydrophilic seg
ments (monoglycerides ). This type of surfactant is relatively insensitive to
pH and salt concentration in an aqueous phase.
(d) Amphoteric: surfactants species that can be either cationic or anionic on
the same moiety depending upon the pH of the solution (lecithin).
(e) Zwitterionic: both positive and negative charge may be present in the
surface-active portion.
2. Based on hydrophilic -lipophilic balance (HLB), the system ranks surfactants
according to an HLB number which is seen as the relative power ofthe polar
head group with respect to the hydrophobic tail. In other words, it is an
expression of an emulsifier's relative or simultaneous attraction for water and
oil. A strongly lipophilic emulsifier such as PGMS has low HLB, whereas a
strongly hydrophilic emulsifier such as polysorbate has a high HLB. The HLB
scale ranges from 1-20 with emulsifiers in the 2-8 range tending to be oil
soluble while those in the 14-18 range tend to be water soluble.
Another important physical property of the emulsion system is the phase
inversion temperature which is the point at which an o/w emulsion inverts to
a w/o system.
3. Based on solubility:
(a) Water loving or water soluble.
(b) Oil loving or oil soluble,
(c) Ampholytic, water insoluble surfactant.



4. Based on functional groups: saturated/unsaturated fatty acid chain, acids,

alcohols, ethylene oxide, amines, etc.

8.2.2 Regulation
Food surfactants used in the United States are regulated by the Food and Drug
Administration (US FDA 21CFR, 182, 172, 184) (Food Chemical Codex (FCC),
1981; Code ofFederal Regulations, 1986), and in Canada by the Canadian Food and
Drug Act. In Japan the use is strictly regulated and it has to be publicly announced as
food additives. In Europe, emulsifiers are regulated by the European Food Emulsifier
Manufacturers Association (EFEMA, 1976) and given an EC number. South Korea,
Mexico and Taiwan also have some type of approval list for each surfactant. Many
other countries utilize the FAO/WHO Codex Alimentarius Commission (FAO, 1979)
which classifies emulsifiers as food additives. Table 8.3 lists the HLB, acceptable
daily intake (ADI) and the regulation status for emulsifiers commonly used in baked
products. In the US food additives are defined in one of the following categories:
GRAS (generally recognized as safe). Additives which have been in use for
many years. Their safety is generally based on extensive toxicological test data or
Table8.3 HLB number, ADI, regulation status, and EC and US FDA Regulation Code for emulsifiers used in baked products

21 CFR





Modified lecithin
Ethoxylated monoglyceride
Sorbitan monostearate
Succinylated monoglycerides
Sucrose esters
Lactic acid esters of
Polyglycerol esters of fatty acid
Propylene glycol esters of
fatty acid
Sodium stearyllactylate



Not limited
Not limited







Not limited
















Not limited



Calcium stearoyllactylate
Diacety I tartaric acid esters
of mono-diglycerides
Sodium stearoyl fumarateb
Acetic acid esters of monoand diglyceride


GRAS 184.1400
GRAS 182.4505

ADI: acceptable daily intake mg/kg body weight.

All above emulsifiers are approved in Japan except those marked with b.




based on continuous use for an extended period of time. Those products can be
used in almost any food product without restriction, at levels intended to achieve
the technical or physical function required. Their use may be limited if they conflict
with a standard of identity. Other emulsifiers are regulated as direct food additives
substances, meaning they have specific regulations that permit their use in specific
products at specific maximum use levels, method of manufacture and analytical
constants. These include:
GMP (Good manufacturing practice). Use not limited as to quantity or application.
Restricted. Use limited to specified maximum levels in specific applications.
Indirect. Not added directly to food but may contact food via packaging or
processing such as pan release aid in baking.
Incidental. Surfactants used as a functional additive in an ingredient but not
functional in secondary application.

8.3 Synthetic food emulsifiers

8.3.1 Mono- and diglycerides

Mono- and diglycerides are the most commonly used emulsifiers in the food industry,
especially in baked goods. They carry a GRAS status and their use is limited to
application requirement and to standard of identity. In 1985 approximately 515 5 tons
of glycerol esters were produced in the United States; monoglycerides are estimated
to constitute approximately 75% of all the food emulsifiers used in the US, and the
volume used in food was 110 million kg annually. They are produced commercially
by direct esterification, glycerolysis or transesterification of fats of vegetable origin
(rapeseed, cotton, palm, and soya oil) or animal fats (lard, tallow or fish oil). They
can also be prepared from fully or partially hydrogenated fats and oils or fatty acids
such as stearic, oleic, palmitic and others with glycerin.
The reaction is carried out in the presence of an alkaline catalyst (lime, NaOH
or KOH) and results in an equilibrium mixture of mono- di- and triglycerides and
glycerine. The a-monoglyceride is the primary product; however, 5-8% of the total
monoglyceride found in most products at room temperature is reported to be
P-monoglyceride. The equilibrium ratio of a to p decreases with increasing
temperature. The P-monoglyceride content at reaction temperatures of210C and
250C for low and high mono, respectively, would be expected to be several times
the 5-8% level and to decrease as the reaction mass is cooled.
Excess glycerine added during the reaction is used to push the equilibrium
toward higher monoglyceride content. At the end of the reaction the catalyst is
neutralized, excess glycerine stripped off and the product cooled as quickly as
possible to minimize reversion to a lower monoglyceride content. When fatty acids
are used, the acid must be esterified with glycerine and the water of the reaction
removed continuously via vacuum or inert gas sparge.









Fatty acid





CHz-0-C-( CH3) 16-CH











Figure 8.1



Structural formulas of raw material and finished monoglycerides.

Glycerine is more soluble in lower molecular weight fats and slightly more
soluble in unsaturated than saturated fats. Reaction at higher temperatures (above
250C) to increase glycerin solubility leads to decomposition and discoloration of
the final products. The vacuum steam sparge process or mechanical agitation as
well as vacuum steam sparge can be used. Nitrogen and C02 sparge are also used
in the process to prevent oxidation and color degradation. Activated carbon, filter
aid, antioxidant and bleaching clay may also be used. Recently Zlatanos et al.
(1985) developed a method that can potentially produce monoglycerides of 90%
yield by a continuous process utilizing a reaction of glycidol and carboxylic acid.
No significant difference in functionality in baking exists between mono- and
diglyceride prepared from fats of animal or vegetable origin. The selection of raw
material depends on cost, availability and customer requirement. The manufacture
of mono- and diglyceride utilizing fatty acid is generally more expensive than the
transesterification process and is usually used only in the preparation of specialty
monoglycerides where a different fatty acid distribution is desired than that
obtainable directly from a fat.
Commercial plastic monoglyceride contains 50% monoester, 40% diester and
10% triglyceride. The total monoglyceride content of a given product is usually
10% higher than the reported a-monoglyceride content. The product contains
several species such as 1-monoglyceride, 1,3 diglyceride, 2-monoglyceride and 1,2
diglyceride (Figure 8.1 ). In the monoglycerides, if the fatty acid is attached to the
middle carbon the molecule is symmetrical (~-monoglyceride ), but if the fatty acid



is attached to either terminal carbon, the molecule is unsymmetrical (a.-monoglyceride). At a high temperature the ratio of the isomers is 82 : 18, while at room
temperature the ratio is 95: 5. Both a.- and ~-isomers were found equally effective
in retarding bread staling (Knightly, 1988). In diglycerides the fatty acid can be
attached to any two of the three positions as shown in Figure 8.1. Since mono- and
diglycerides are both hydrophilic (containing hydroxyl groups) and lipophilic (fatty
acids), they are partially soluble in both water and fat, strongly absorbed on the
triglyceride/water interface and readily form a liquid crystal phase in association
with water. The a.-crystalline form is the most effective in terms of functionality.
Monoglycerides are more effective than diglycerides in reducing surface tension,
while it has also been speculated that diglycerides are helpful in dispersing
Distilled monoglycerides can be obtained by molecular distillation of a regular
mixture of mono- and diglycerides. The process involves either a centrifugal or a
wiped falling film type molecular distillation unit. A product containing 90-97%
monoglyceride can be obtained with very little breakdown of the products. This is
possible due to the extremely thin films and very high vacuums present in the
molecular type still, coupled with a very short distillation path. A low iodine value
distilled mono in beaded form has been developed that can hydrate and disperse
rapidly and directly in food systems containing water. The monoester content in
commercial products can vary from 25-90%, their iodine value range from 1-120
depending on raw material used and a melting point range from 40-70C. They
are available in powder, beaded , flakes, plastic, liquid or hydrate forms. The most
common commercial products are 20-30,40-44,54-58 and 88-93% a.-monoglycerides. Mono- and diglycerides are lipophilic, nonionic emulsifiers and function as
emulsifiers and stabilizers. Their FCC specification consists of acid value 6 max.,
residue on ignition 0.5% max., free glycerine 7% max., heavy metals 10 ppm max.
and arsenic 3 ppm max.; a.-monoglyceride, iodine value, total monoglyceride,
hydroxyl value, saponification value are specified by vendors.
8.3.2 Mono- and diglyceride derivatives

Many emulsifiers can be produced by reacting numerous chemical compounds with

one or more of the free hydroxyl groups of the mono- and diglycerides to form
different surfactants that have varied HLB values and functions. These include:

Citric acid esters of mono- and diglyceride.

Lactic acid esters of mono- and diglyceride.
Acetic acid esters of mono- and diglyceride.
Succinylated monoglycerides
Ethoxylated mono- and diglycerides.
Diacetyl tartaric acid esters of mono- and diglyceride.

These food emulsifiers have many proven uses; some of them are not used in baked
goods and therefore will not be discussed in this chapter.


189 Succinylated monoglyceride. This is a lipophilic nonionic emulsifier,

regulated for use in food, as emulsifier and starch and protein complexing agent.
The molecular weight of succinic acid ester of monostearate is 458. It is produced
by succinylation of mono- and diglyceride (usually distilled) with succinic anhydride. The FCC specifications for the product are:
Succinylated mono glycerides (%)
Free monoglyceride (%)
Acid value
Iodine value
Hydroxyl value
Bound succinic acid (%)
Free succinic(%)
Total succinic(%)
Heavy metals, max.
Arsenic, max.

3.0 max.
14.8 min.
3.0 max.
10 ppm
3ppm Lactylated monoglyceride. This is a lipophilic, nonionic emulsifier, regulated as GMP and used as emulsifYing and aerating agents. It is obtained by the
reaction of one or two moles of lactic acid and mono glycerides. The final product
usually contains 7-12% a-monoglycerides, with an acid value of 5 max. The major
difficulty in the production of such products is caramelization due to high temperature. Some objectionable by-product may be formed and have to be removed by
washing or vacuum distillation. They are one of the few emulsifiers to have atending characteristics. For this reason, they are used to improve aeration or foam
stability in whipped topping, cake and in shortening used in cake mixes. The most
popular commercial product is glyceryllactyl palmitate. Diacetyl tartaric acid esters o.fmono- and diglycerides (DATAEM). More
hydrophilic than mono- and diglycerides, anionic and are listed as GRAS.
DAT AEM are obtained by the reaction at 100-130C between a mono glyceride
(preferably distilled type) and diacetyl tartaric acid anhydride (made from 1 mole
tartanc acid and 3 moles acetic anhydride). The physical properties ofDATAEM
depend on the fatty acid composition of the raw materials and the quantity of
esterified tartaric acid. DATAEM are hygroscopic and have a melting point range
of20-50C. Their FCC specification includes:
Acid value
Residue on ignition
Saponification value
Tartaric acid(%)
Acetic acid (%)
Fatty acid (after saponification)(%)
Glycerol (after saponification)(%)
Heavy metals, ppm
Arsenic, ppm

0.01 max.
56 min.
12 min.
10 max.



They function as emulsifiers and starch and protein complexing agents, and are
excellent o/w emulsifying agents owing to the added carboxylic group. DATAEM
have an excellent ability to bind gluten in wheat doughs and thus improve the ability
of the gluten to hold gas bubbles. Ethoxylated mono- and diglycerides (EMD). Polyoxyethylene (20) monoand diglycerides are hydrophillic, non-ionic, and regulated products. They are not
allowed in the EC countries nor in Canada. EMD are FCC products and function
as dough conditioners, emulsifiers and aerating agents in cakes, cake mixes, bread,
icing and icing mixes.
They are manufactured by a reaction in an autoclave between mono- and
diglyceride (40-50% a-monoglyceride) with ethylene oxide (20-40 moles of
ethylene oxide per mole of a-monoglyceride). The approximate molecular weight
is 480-590. The reaction conditions are similar to those used in ethoxylated
sorbitan esters. Their FCC specifications include the following:
Acid value
Hydroxyl value
1,4 dioxane
Oxyethylene content (%)
Heavy metals, ppm
Arsenic, ppm
Stearic, palmitic and myristic acid(%)

1 max.
pass test
10 max.

Polyoxyethylene (8) stearate is an ethoxylated stearic acid and is allowed in

Canada in unstandardized bakery foods such as rolls at a level of0.4% (flour basis)
as an emulsifying, gelling, stabilizing and thickening agent. Sucrose ester (SE). Sucrose esters are potentially valuable non-ionic emulsifiers that possess both polar and non-polar groups. They are non-ionic and made
by the reaction of sucrose and methyl esters of fatty acids. During the reaction with
three or less fatty acids, the fmal products are an effective emulsifier, with a wide
range of HLB values from 2-18. Sucrose polyesters can be obtained by the same
process where by six or more of the eight sucrose hydroxyl groups have been
esterified with fatty acids. These types of product are not surfactants but rather a
large polymer that can be used as a fat substitute. SE are nontoxic, odorless,
tasteless, nonirritating, easily digested and biodegradable under aerobic and anaerobic conditions. These products can be manufactured by different methods.
I. Transesterification with basic catalyst and solvent such as dimethylformamide.
2. Microemulsion process.
3. Interesterification of molten sucrose and fatty acid methyl esters at 1701800C using a catalyst such as lithium, sodium or potassium salt. The soap



acts both as catalyst and solubilizer. The excess soap is removed with citric
The type of fatty acid methyl ester used and the ratio of sucrose to methyl ester
significantly affects the product yield and provides a wide range of products.
Sucrose esters (SE) are FCC products, functioning as emulsifiers, starch complexing and aerating agents. Their specifications are acid value 5 max., water 4%
max. and free sucrose of 2%. SE are very popular in Japan and the Far East. Due
to their high cost they have not penetrated the North American market, although
they are approved for use in food in Japan, Italy, the UK, Belgium, Spain,
Switzerland, France, US and Canada. Depending on the product HLB, SE can be
used in many baked products such as cookies, crackers, cakes, breads, rolls and
biscuits. Sucrose esters with an HLB value of 14 were very effective in replacing
wheat flour lipids and 3% shortening in bread; product with an HLB value of 1 was
ineffective (Chung et al., 1976). SE was also found to improve volume and
tenderness in white layer cake; in sponge cake, products with an HLB of 11-15
were most effective. They increased volume and tenderness, and produced more
desirable texture. Hydration ofSE prior to use improved cake volume significantly
compared to addition in powder form (Ebeler and Walker, 1984; Pierce and Walker,
1987). Pomeranz et al. (1969a,b) added wheat glycolipids and SE to bread wheat
flour that allowed 16% fortification with soy flour and other rich protein additives
without loss in bread physical properties. The SE increased absorption and dough
viscosity, and helped in counteracting the deleterious effect of soy flour on volume,
crumb grain and softness. They also produced a shortening sparing effect, strengthened dough, improved gas retention and reduced proof time. Tsen et al. ( 1973)
showed that 25% of shortening in cookies can be replaced with less than 1% SE,
therefore producing lower caloric value. Walker (1984) and Watson and Walker
(1986) found that sucrose monolaurate and monopalmitate were much more
effective dough strengtheners than the monocaprylate or monoarachidate. The
monomyristrate, monostearate and monooleate esters were almost as effective as
monolaurate esters, but the caprylate ester had somewhat less crumb softening
ability. Sucrose monostearate was effective but not as effective as SSL or mono- and
diglyceride. They suggest that the crumb softening effect ofSE seems to diminish
as the fatty acid chain length decreases from C18 to C8. Mixing tolerance and
farinograph to peak time can be increased with emulsifier concentration and HLB
value. These values decreased with SSL, while SE showed no apparent significant
effect on water absorption. SSL and SE tended to increase mixograph optimum
mix time and mixing tolerance (Walker, 1984; Watson and Walker, 1986). Polyglycerol esters (PGE). The manufacture of PGE involves glycerol

polymerization under alkaline conditions at elevated temperatures (230-260C}
to form polymers 2-10 glycerol moieties in length. The polymerized glycerol is
then reacted by esterification with the desired fatty acid such as stearic, oleic,
palmitic or edible fat to form the different types of polyglycerol ester such as



triglycerol monostearate, octaglycerol monooleate, octaglycerol monostearate,

triglycerol monopalmitate, hexaglyceryl dipalmitate, hexaglyceryl distearate, and
decaglycerol dioleate. These products can provide a wide range (4-14) ofHLB
values. The polymerization and esterification reactions are carefully controlled to
obtain the desired physical, chemical and functional properties. Polyglycerol esters
are multifunctional, a property that allows them to be used as fat substitutes as well
as emulsifiers in whipped topping, icing, antibloom agents in confectioneries and
texture enhancers in cake mixes. PGE are bland in taste, have a mild odor, excellent
color and have a varying consistency (solid, liquid and plastic form). They impart
excellent properties to cake batter, increasing cake volume and producing uniform
cell structure. In cake shortening they are used in combination with distilled
mono glyceride. PGEs have been shown to be a good replacement for polysorbate
in certain food applications.

8.3.2. 7. Sodium and calcium stearoyllactylate (SSL and CaSL). The lactylate esters
such as SSL or CaSL are anionic, regulated emulsifiers. They can be manufactured
by different methods. The most common is by reacting stearic acid of 50-90%
content with the required amount of food grade lactic acid (usually 88%) with good
heat stability at 180-200C in the presence of the desired sodium or calcium base
for neutralizations. The water of reaction is removed continuously, either by
reacting under reduced pressure or by inert gas sparge. Nitrogen and C02 are also
used to produce good color products. The lactylic acid monomer predominates in
the final product the dimer; trimer and tetramer are also formed.
The calcium salt is lipophilic (HLB 5) and is readily soluble in oil; SSL is
hydrophilic in nature and carries an HLB value of 11-12 (it has also been given an
HLB value of20 because it is readily water soluble and resembles soap in action).
SSL and CaSL are permitted at 0.5% level of flour weight in the US while in Canada
they are allowed at 0.375% max. of flour weight. In Europe they are permitted in
certain countries and carry EC numbers (E481 and E482). CaSL is permitted in
Japan but SSL is not approved. Both are FCC products and have the following
Acid value
Calcium content(%)
Ester value
Total lactic acid(%)
Sodium content (%)





The two products are commercially produced in the USA, Canada, Australia,
Brazil, Mexico, South Korea, Europe and other countries. They are available in
fine powder (cryogenically ground) and sprayed or bead form; both types vary
significantly in particle size distribution. SSL or CaSL have an approximate caloric
value of 32.3 kJ/g and have molecular weights of 450 and 467 for SSL and CaSL



Stearyllactylates are used in baking as dough conditioning agents in both yeast

and chemically leavened bakery products and in prepared mixes. They tend to form
a complex with both starch and protein. Complexing with starch allows for
effective antistaling agents in bread while their interaction with protein (gluten)
results in a finer crumb structure, increased volume, and better crust in the finished
loaf. The lactic acid portion of the molecule contributes sufficient additional
polarity and solubility to the molecule so that the product is functional over the
relatively neutral pH ranges found in most foods. SSL or CaSL are different from
the lactylated monoglyceride.
The acid form of the product is also approved as a food additive but is little used
because it is inherently more expensive to produce and has no apparent functional
advantages. Sodium stearylfumarate (SSF). The lipophilic, anionic, regulated emulsifier

functions as a dough conditioner. Its use in baked products has been very limited. It is
manufactured by the reaction of stearyl alcohol and fumaric acid and neutralized with
proper sodium salts (CzzH39Na04). It is a fine white powder with a molecular
weight of 390.54. SSF is an FCC product with the following specification:
Saponification value
Arsenic (as As) ppm
Heavy metals(%)
Lead, ppm
Sodium stearyl maleate(%)
Stearyl alcohol(%)

0.002 max.
0.25 max.
0.5 max.

8. 3.2. 9 Sorbitan esters. The free hydroxyl group ofcyclized sorbitol (sugar alcohol)
is reacted with fatty acid using catalysts at certain temperatures and specified
reaction conditions. The fatty acid can be lauric, palmitic, stearic or oleic; the
anhydrization of the sorbitol occurs concurrently with the esterification. Sorbitan
monostearate (SPAN 60) and sorbitan tristearate (SPAN 65) are the types most
commonly used in food application. They are lipophilic, nonionic and regulated
emulsifiers. Span 65 is allowed in the EC countries under EC 491 Annex II; in the
United States it is not allowed, but recently a petition has been submitted for its
approval. Sorbitan monostearate is an FCC product with the following specifications:
Acid value
Hydroxyl value
Saponification value
Assay(%), Polyols
Fatty acids
Fatty acid(%)

1.5 max.
29.5-33.5 g (per 100 g of sample)
71-75 g (per 100 g of sample)



Sorbitan esters are used as emulsifiers, aerating agents and lubricants in cake,
cake mixes, cake icing, cookies, filling and whipped topping, in confectionery and
shortening as antiblooming and fat crystal modifiers by retarding or inhibiting the
reversion of crystalline fat to a more stable form. Theses are made by modifying the sorbitan esters to different degrees with ethylene oxide under autoclave conditions. A small amount of
base catalyst is used. The vessel should be well agitated and well cooled because
the reaction is exothermic; the temperature of the reaction is kept at l20-l40C
and ethylene oxide pressure is maintained at 40-80 psig. The reaction continues
until the desired amount of ethoxylation is obtained. The ester is rearranged
continuously during the reaction and the fmal product can be a mixture ofpositional
isomers. The process is also controlled to produce products with the least amount
of 1,4 dioxane. The nature of the fatty acid with which the alcohols are esterified,
the degree of esterification, and the amount of ethylene oxide used will determine
the type of the final product (typical20 moles of ethylene oxide). Polysorbate 60,
65 and 80 are hydrophilic in nature with high HLB values. They are used in many
food applications, especially in nonstandardized products such as whipped topping,
cakes and cake mixes. In cake, polysorbates improve volume, produce finer and
more uniform grain and impart tenderness without incurring fragility. In bread
polysorbate 60 is allowed in the United States as a dough conditioner. In icing the
polysorbate will increase lightness by improving emulsification of the fat and
hydrocolloidal phase to prevent oiling off or sticking to the wrapper. Propylene glycol esters (PGMS, PGME). Propylene glycol mono- or
diesters are a.-tending emulsifiers. They are prepared by enzymatic methods or by
direct esterification of propylene glycol with double or triple pressed stearic acid,
hydrogenated tallow or 70-90% stearic acid. The fmal product varies in its
monoester content from 45-90%. These products in more concentrated form
(distilled) can also be made by propoxylation of stearic acid. They are lipophilic,
have a low HLB of 2-3, nonionic, regulated as GMP and are available in solid,
flakes, powder or plastic form. Their typical characteristics are as follows:
Monoester content (%)
a.-Monoglyceride (%)
Iodine value
Acid value
Free propylene glycol(%)
Soap (as potassium stearate) (%)

5 max.
1.5 max.

1.5 max.

They are added usually during manufacture of fats and shortening for specialty
use in baked goods. They are also used in cakes, cake mixes, and sometimes in
bread (Nash and Brickman, 1972). Other uses are in combination with distilled
monoglyceride to obtain excellent cake batter behavior resulting in increased cake



volume and unifonn structure. Their use in whipped topping stems from their
aerating and foam stabilizing properties.

8.4 Function of surfactant in baked products

A wide range of surfactants of different chemical types, and combinations of them,
can be utilized in the production of yeast-raised, chemically leavened, and many
other baked goods to aid in their production, improve certain qualities, or to provide
specific functions. The factors that may be considered when choosing a surfactant
are the type of bakery product, the desired effect, the best physical fonn of
incorporation, cost and specific manufacturer. Surfactants for the baking industry
are available in votated, plastic, bead, powder and liquid fonn. Their usage level
varies depending on function desired, regulation and types of product produced.
They can be categorized in five distinct groups.

Filling and icing. Many bakery products rely on the use of fillings and
icings, the structural properties of which can be suitably modified by the
use of an appropriate emulsifier that provides the following functions:
(a) controls syneresis (weeping);
(b) increases volume;
(c) improves moisture retention;
(d) improves stiffness of icing;
(e) improves appearance, texture and mouthfeel;
(f) reduces mixing time;
(g) aids aeration and improves yield;
(h) gives longer shelf-life.
2. Cakes and other sweet goods. Emulsifiers can function in various ways to
satisfy the properties required in a wide range of cake and sweet goods
fonnulations. The type and usage level of emulsifiers can vary considerably
depending on the products produced. Emulsifier can provide one or a
combination of the following functions:
(a) increase cake volume;
(b) provide unifonn texture, better crumb structure;
(c) softness and tenderness;
(d) reduce egg/shortening;
(e) increase shelf-life and retard staling;
(f) flavour dispersion and release;
(g) reduce mixing time;
(h) improve perfonnance of dried egg in cake mixes;
(i) stabilize foam;
G) emulsification.
3. Bread and rolls. The major functions of the different types of surfactant in
bread and rolls is to provide softening, volume, strengthening and overall
quality as shown in Table 8.4. These surfactants can provide benefits in



Table8.4 Function of dough strengtheners/crumb softeners in bread and rolls

DATAEM esters
Ethoxylated mono glycerides
Polysorbate 60
Sucrose esters
Succinylated monoglycerides
Mono- and diglycerides
Hard monoglyceride
Soft monoglyceride
Modified lecithin
Polyoxyethylene 8-stearate
Stearoyllactoyllactic acid
Sodium stearyl fumarate
"Permitted in Canada in rolls.


Very good

Very good
Very good
Very good
Very good
Very good
Very good
Very good

Very good
Very good


Very Good
Very Good

Very good
Very good
Very good
Very good
Very good

Very Good

Very good

both dough stage and the final finished products as summarized below:
Dough benefits:
(a) gluten complexing to improve machinability (extensibility);
(b) improved gas retention resulting in lower yeast requirements, better
ovenspring, faster proof and increased volume;
(c) greater resistance to mixing and mechanical abuse;
(d) increased water absorption;
(e) improved handling stability and rate of proof;
(t) improved hydration rate of the flour and other ingredients;
(g) improved tolerance to variations in flour and other ingredient quality.
Product benefits:
(a) improved loaf volume;
(b) bind with starch to retard the rate of crumb firming or staling;
(c) better texture and fmer grain and increased uniformity in cell size;
(d) improved symmetry;
(e) stronger side walls;
(t) improved slicing characteristics;
(g) shortening reduction or utilization of liquid vegetable oil;
(h) produce brighter crumb.
Cookies and crackers. Emulsifiers are used in limited degree in the
formulation of cookies and crackers in spite of the many desirable
benefits which can be obtained both during manufacturing and in finished product, such as their effect on cookie spread as shown in Table
8.5. Due to increased understanding and knowledge of the advantages
and characteristics of surface active agents, synthetic emulsifiers are
making inroads into this segment of the baking industry through product



Table 8.5 Effect of 0.5% emulsifier on cookie spread

Spread ratio
Ethoxylated monoglyceride
Succinylated mono glyceride
Sodium stearoyllactylate
Sucrose monopalmitate
Sucrose mono- and distearate
Sucrose distearate
Sorbitan monostearate
Polysorbate 60
Source: Adapted from Rusch (1981 ).

development. Synthetic emulsifiers may effect flakiness and tenderness, and provide antistaling in cookies and crackers. (Staling is not as
significant in such products because they contain lower moisture.)
Greasiness of cookies can be reduced with the addition of small amounts
of emulsifiers to the dough. Emulsifiers may also reduce the shortening
requirements and increase the shortening effect of fats, by promoting
the tendency of fat to cream and spread among slightly moist particles
of sugar, flour and other ingredients. Emulsifiers tend to make cookies
drier and improves their machinability, making better impression and
reducing the number of cripples. Their overall advantages are summarized
(a) reduction in egg usage;
(b) reduction of shortening (shortening sparing effect);
(c) increase shelf-life;
(d) impart tenderness and more rapid flavor release;
(e) gluten complexing to improve machinability;
(t) improve aeration and gas retention during creaming;
(g) improve hydration rate of flour and other ingredients;
(h) improve volume, texture and spread.
5. Ready bakery mixes. A range of cold water dispersible surfactants is
available for use in cake mixes where rapid reconstitution and aeration are
necessary. Various carrier dispersed emulsifiers are also available for
incorporation into prepared mixes where cold water dispersibility is not
required. These include mixes for muffins, doughnuts, cookies, biscuits,
bread and rolls. The most common surfactants used are PGMS, SSL,
lactylated monoglycerides, sorbitan esters, polysorbate 60, PGE, SE and
monoglycerides. These surfactants or their blends provide the desired
function in the different products as described previously.
Although triglycerides are not emulsifiers, chemically they do play a significant role as a major ingredient in baked goods. The types of fats and oils that
have been used are butter, lard, tallow, margarine and partially hydrogenated
vegetable shortening. In recent years a major shift to liquid vegetable oil has been



increasing steadily, especially in breads and rolls. Work is also underway to utilize
oil in cake and other baked products.
Emulsifier and fats and oils complement each other functionally in the different
baked goods; in many cases emulsifiers are added directly to shortening or
margarine that is intended for use in the baking industry. Different surfactants or
their combination are used to provide specialized function in baker's shortening
(multipurpose), fluid shortening, consumer shortening, cake mix shortening and
icing and filling shortening. The level of emulsifier can vary from 2-14%.
The solid-to-liquid ratio in fats has a functional importance in baked product.
Lard has been the preferred fat source in the past and present especially in pies
and other products. The reason is that lard consists of 70 : 30 liquid-to-solid
ratio at room temperature. The 70% liquid provides lubrication to promote
tenderness and the 30% solid provides a matrix to entrap the oil fraction.
Immobilizing the oil fraction keeps it from leaking into the dough during mixing
and proofing and thereby provides strength during proofing and baking, and
helps entrap the air and C02 in baked products. When switching to liquid oil,
with the selection of a good emulsifier system, the same results can be obtained
with a reduced level of oil. Therefore a 30% reduction in the total fat used can
be achieved.
Polar lipids display favorable effect, whereas nonpolar lipids are found to
be detrimental to baking quality. Therefore the ratio of the polar to nonpolar lipids
is important in bakery foods. Polar lipids at 0.5% level were found to be as effective
as 3% shortening in retarding bread firming. Nonpolar lipids did not provide much
effect. Polar lipids were also found to concentrate in the aqueous phase of the dough
surrounding the gas bubbles (mesophase structures) and provide a foam stabilizing
function. Many other benefits to the products and process can be obtained by
utilizing liquid vegetable oil (Jackels, 1981; Knightly, 1981; Hartnett, 1977;
Hartnett and Thalheimer, 1979).
Product benefits:
(a) better batter aeration;
(b) impart greater softness;
(c) provide apparent moistness;
(d) better grain, texture and volume;
(e) longer shelf-life;
(f) better eating qualities.
Process advantages:
(a) pumping, metering and bulk handling;
(b) reduce usage level;
(c) availability (not necessarily lower cost);
(d) consumer preference for all vegetable and polyunsaturated labeling;
(e) automated operation to maintain speed;
(f) reduce labor cost by running continuous operation.



With the utilization of liquid oil in different products the use of emulsifiers to
balance the functionality becomes a significant task.

8.5 Mechanism of surfactant function in different baked foods

In baked foods emulsifiers can improve final product characteristics and facilitate
processing. Research related to the mechanism of emulsifier action in a wide range
of applications related to different cereals products has been reviewed (Schuster
and Adams, 1984; Kamel, 1992; Stauffer, 1990; Tenney, 1978; Rusch, 1981;
Knightly, 1973 and 1988, Krog and Lauridsen, 1976; Shepherd and Yoell, 1976).
These mechanisms include the following.
8. 5.1 Emulsification and foam stabilization

Bakery emulsions are important due to their beneficial effect on palatability,

mouthfeel, texture, and general appearance in foods systems. The role of an
emulsifying agent and other biological micromolecules such as protein, gums, and
starch is to provide both emulsifying and/or stabilizing capabilities. The effect of
other factors such as pH, nonsurface active ions and the influence of physical
factors on emulsion stability is also of significant importance. In any emulsion
preparation, many factors have to be considered. These include the selection of
emulsifiers, formula development, experimental planning, HLB requirement, hidden aeration, complexity, ingredient uniformity and shelf-life.
Emulsifiers are chemicals that promote the formation of an emulsion and
therefore they aid in the subdivision of particles of the discontinuous phase in a
bakery product. This function is of significant importance in the production of
batters for cake, cake doughnuts and waffles. Bakery emulsions are usually of the
o/w type, where the continuous phase is polar and the discontinuous phase is
non-polar (fat or oil). In foams such as icing, the discontinuous phase is usually
made up of air bubbles and the continuous phase may be either aqueous (egg white)
or lipid. The o/w emulsion in cookies, cakes and crackers is also considered an
aerated emulsion (air in liquid) because air is incorporated during the creaming
process to improve stiffness, volume stability, and whipping rate of the foam.
Air bubbles are initially held in the fat phase regardless of the method of mixing.
Large amounts of air can be incorporated into liquid oil but, unfortunately, it can
not be retained. If the fat used has a high melting point, then little air can be
incorporated. All bakery surfactants promote foam formation and the incorporation
and subdivision of air into the liquid phase (Wootten et al., 1967; Del Vecchic,,
1975). The gas/liquid interface in bread will also aid in the generation of fine grain
crumb in bread (Junge et al., 1981).
Surfactants used in bakery products can perform more than one function, in any
given product. They are basically dough conditioners but will promote emulsification, air incorporation and subdivision, and crumb softness as shown in Table 8.1.



Food emulsions are inherently unstable, even in systems that appear to be

perfectly stable, because many factors that are essential to stability, such as the
number of droplets, droplets size distribution, and droplets arrangement in space
are constantly changing with time. The stability of an emulsion is affected by
inversion, creaming, and demulsification. The basic factors in emulsion destabilization involve creaming, flocculation, coalescence, emulsion phase inversion
(discontinuous phase will become continuous), and Ostwald ripening (the growth
of larger particles at the expense of smaller ones). These factors are mostly
applicable to simple emulsions. In the case of a complex system such as in baked
products some of the above factors may not be relevant. The stability of any
emulsion will depend on a variety of factors as discussed by Krog and Lauridsen
(1976), Artz (1990) and Shepherd and Yoell (1976):

Interfacial strength.
lnterdroplet friction.
Relative phase densities.
Particle size.
Surface charge on particles.
Aggregation phenomena.
External phase structure.
Viscosity of the continuous phase.
Absorption of solid particles to the surface of the emulsified phase.
Formation of a mono- or multimolecular layer at the interface between the
emulsifier phase and the continuous phase due to emulsifier addition.

In bread and rolls the interface between the continuous aqueous phase of a dough
and insoluble components (starch, gluten) are due to suspensions of solid internal
phase in liquid external phase. Crumb softeners will interact with molecules or
granules of gelatinized starch and slow the rate at which they recrystallize and
hence contribute to the retention of crumb softness. This interaction will occur at
the solid/liquid interface, while dough strengtheners will interface with gluten
proteins and enhance the rheological characteristics of the dough. This interaction
also occurs at the solid/liquid interface.
In the selection of emulsifiers for certain applications, it is important to choose
the ones that absorb strongly at the solid/solid/liquid interface. Absorption at the
o/w interface is advantageous since such absorption will cause a reduction in the
interfacial energy. The pronounced reduction in the surface energy has been found
to influence the stability of the emulsion and facilitate the emulsification process.
It was found that stability of o/w emulsions was increased with increasing surface
viscosity and surface elasticity.
In cake batter emulsification, the means of incorporation of air into the batter
and the retention of these air bubbles throughout the baking process is the key to
obtain good quality. The superglycerinated shortenings, such as those containing
monoglyceride, will help in subdividing the air bubbles and creating smaller ones
that are more efficiently retained by the shortening phase. This produces a more



uniform nucleation for leavening gas throughout the batter during baking. The foam
stabilization by protein is contributed by gluten, milk, and egg whites. Liquid oil
will inhibit the foam formation. When a-tending emulsifiers are incorporated in
the oil they concentrate at the interface of the oil and aqueous phase, and, as the
solubility limit is exceeded, they crystallize to form a thick interfacial film of
emulsifier in the a-polymorphic forms. A solid film at the o/w interface effectively
encapsulates the oil during air incorporation, thus preventing destabilization.
Aeration may occur in either the fat phase or the aqueous phase, depending on
the shortening used. A nonemulsified shortening will invariably give a fat-based
aeration, whereas it is possible to form an aqueous phase aeration from the same
recipe if the shortening contains added emulsifier. As fat melts, air is no longer
stabilized in the fat droplets, and will pass out into the aqueous phase and be
stabilized by some other agent with little coalescence of bubbles. The factors that
affect coalescence in o/w emulsions include the surface layer (nature and thickness), globule size, crystallization, droplet size, amount of surfactant, and fat or oil
When two oil droplets make contact, which can be facilitated by mixing during
the creaming process, they coalesce into a larger droplet, reducing total surface
area and total interfacial energy. Emulsifiers, therefore, act to prevent the droplet
contact that will lead to coalescence and will aid in the stabilization ofthe thin layer
of water between the oil droplets. This phenomena can be achieved by several
mechanisms as suggested by Wootton et al. (1967), Stauffer (1968, 1990), and
Krog (1975):
1. Electrostatic
If the surfactant is anionic, then the surface of both oil droplets carries a
negative charge and they are mutually repelled by electrostatic effects. This
type of stabilization is sensitive to ionic strength and high salt concentration
which will lead to coalescence and rapid emulsion breakdown.
2. Anchoring
When the hydrophilic portion is quite large such as in polysorbate or EMG,
the chain is anchored at the surface of the oil droplet by the lipophilic tail.
This type will hydrate strongly and generate a layer of 'bound' water around
the droplet preventing coalescence. This type of stabilization is relatively
insensitive to salt concentration.
3. Stearic hindrance
Stearic hindrance is generated by an a-tending surfactant such as PGMS,
lactylated monoglyceride, and acetylated mono- and diglyceride. These
surfactants form a layer at the oil/water interface, and physically prevent
the contact of oil droplets from coalescing even though their surfaces may
be touching. This will stabilize the emulsion and keep the lipid phase from
preventing air incorporation during cake batter mixing and during creaming
in cookie processing.



Lowering the interfacial tension favors foam fonnation. The stability ofthe foam
will depend on the stability of the film of water between the air bubbles. This can
be achieved by utilizing a proper emulsifier. In bread, the incorporation of gas into
the dough is necessary in order to get a reasonable crumb grain. The closeness of
the finished bread grain will depend upon the extent of further subdivision of the
foam. Proteins are amphiphilic molecules and are necessary to make cake with
good volume and crumb structure (Howard, 1972). Addition of an emulsifier, such
as PGMS, will isolate the shortening in the cake from the air/water interface thus
promoting the action of the egg to enhance cake volume (Wootton et al., 1967). In
cookies, during the creaming stage, a foam or air incorporation in fats is fonned.
The size of the occluded air bubbles is decreased if the proper type of emulsifier is
incorporated in the shortening. This behavior results in a finer grain in the cookies.
In icing, air bubbles that are entrapped in the plastic mass are stabilized by
absorption of the solid sugar particles at the air/oil interface. The presence of
monoglyceride emulsifier in the shortening interferes with this process. Icing made
with emulsified shortening is more dense (less air incorporation) than those made
by using shortening without emulsifiers (Hartnett, 1977).

8.5.2 Starch interaction

Starch and protein are amphiphilic in nature and consist of helical regions in their
structure. Emulsifiers, such as SSL, mono-and diglyceride, DATAEM, and sucrose
ester, will fonn a complex with such regions and hence retard starch crystallization
in bread crumb, thereby slowing firming. The fonnation of a complex with the
protein will aid in dough strengthening. The straight chain hydrophobic portion of
emulsifiers will complex with the helical sections of amylose and amylopectin.
This complexation has very significant advantageous consequences for bakery
products. Lagendijk and Pennings (1970) reacted amylose and amylopectin with
excess monoglycerides after extracting the uncomplexed portion. They detennined
the amount of bound material for different types of fatty acid and concluded that
amylose bound the best to monopalmitin followed by monostearin, monomyristin,
monoolein, and monolinolein, respectively. Amylopectin was found to bind increasingly more to the saturated fatty acids of the monoglycerides such as
monoarachidin, monostearin, and monopalmitin. Batres and White (1986) perfonned similar experiments. They reacted monoglyceride with amylopectin and
found the most significant interaction with monopalmitin followed by
monomyristin and the least with mono stearin. Krog ( 1971) reacted 5 mg of
different types of surfactant with 100 mg of amylose at 60C and calculated the
amylose complexing index (ACI). The data for monoglycerides obtained showed
that monomyristin complexed the most, followed by monopalmitin, followed by
monostearin. Other types of surfactant produced a wide range index as shown in
Table 8.6. He postulated that the low results obtained with the stearate -type esters
were due to their inability to fonn the particular lamellar mesophases that promote
such interaction. Morad and D'Appolonia (1980) found that the inclusion of



Table 8.6 Complex formation between amylose and food emulsifiers

Distilled monoglycerides, 90--92% (!-monoester)
Lard, hydrogenated
Lard, unhydrogenated, 45% monoolein
Soya bean oil, hydrogenated, 85% monostearin
Soya bean oil, unhydrogenated, 55% monolinolein
Mono-diglycerides, 45% monoester
Organic acid esters of mono glycerides
Lactic acid esters
Succinic acid esters
Diacetylated tartaric acid esters
Distilled PGMS, 90%
Sucrose esters (monostearate)
Polysorbate 60
Na stearyl-fumarate
Krog, N. (1971) Die Starke/Starch 23, 206.



monoglyceride in bread formulae decreased soluble amylose in the crumb by 50%

but did not significantly change the amount of amylopectin that was solubilized.
De Stefanis et al. ( 1977) showed that a surfactant acting as a crumb softener formed
a complex with both the amylose fraction and amylopectin fraction of starch in
bread. They concluded that surfactants of different chemical structures differ
widely in their effect on crumb firmness. Kim and D' Appolonia (1977b) found that
the amount of amylopectin in bread crumb decreases as bread ages. Although the
amount of amylose in soluble starch from fresh bread is small, it sharply decreases
during the first day of storage. Thereafter, the change in amylose is minor and the
amylopectin alone controls the retrogradation process.
Starch retrogradation is influenced by a number offactors. The most important
to the bakers are temperature, specific volumes, and moisture. Lorenz et al. ( 1982)
performed lengthy experiments using white bread to determine the effect of 11
different emulsifiers as crumb softeners. The bread was stored for up to 6 days at
1oo, 25, 40, and 50C. They found that the highest storage temperature produced
lower firming rates while bread stored at lower temperatures firmed faster. They
concluded that a proper surfactant system could be utilized to retard firming at a
wide range of storage temperatures. At 10 and 25C they found that PGMS, EMG,
polysorbate 60, and succinlyated monoglycerides were the most effective. Rogers
et al. (1988) found the moisture to be inversely proportional to the rate of firming
in baked products. Riisom et al. ( 1984) suggested that DATAEM seems to reduce
crumb firmness by affecting crumb cell wall thickness and elasticity with only
limited effect on starch retrogradation. Gawrilow ( 1977) developed a mathematical
model to predict the effect of added emulsifiers on bread quality and Osman et a/.
( 1961) investigated several types of emulsifiers for their amylose complexing
capacity. The found that all emulsifiers tested formed a complex with amylose



Table8.7 Relative performance of different surfactants on specific volume and compressibility of

white bread using shortening
Specific Compressibility, g force at
index (hours)
storage time (hours)
Mono- and diglyceride (54% min.
x-mono, plastic)
Mono- and diglyceride (52% min.
x-mono, bead)
Distilled mono glyceride
Ethoxylated mono- and
Polysorbate 60
Hydroxylated lecithin
Distilled PGMS
Succinylated mono- and
Mono glyceride and polysorbate 5.80
SSL and distilled mono- and
diglyceride blends
Sucrose esters
Sodium stearoyl fumarate
"Data is an average of 60 loaves.
"Data is an average of 40 compression determinations.
Level of surfactant as recommended by manufacturer.

except diglycerides. Crumb softeners seem to reduce the water migration by

complexing with the starch and absorbing to its surface (Pisesookbuntemg and
D' Appolonia, 1983). The amount of complexing that occurs with amylose correlates well with the crumb softening effect in bread (Krog and Jenson, 1970;
Lagendijk and Pennings, 1970). The data shown in Table 8. 7 demonstrate the
comparative effect of surfactant on loaf volume and compressibility after 24, 96,
and 168 hours' storage at room temperature (251 C) in comparison to a control.
Shortening was used at 3% in a straight dough formula. All surfactants tested
produced better specific volume and softening effect compared to the control
without surfactant.

8.5.3 Protein interaction

When emulsifiers complex with the wheat gluten, as in yeast-raised doughs, a
strong protein network is formed that allows the carbon dioxide produced during
fermentation and proof times to be retained. This complex formation results in
better texture and increased volume. Most surfactants used as dough conditioners
are anionic in nature. Their lipophilic tail will bind to the protein hydrophobic
surface (40% of gluten amino acids are hydrophobic). This binding will promote
aggregation of gluten protein in the dough by neutralizing the positive charges on
the surface of the gluten. This phenomena could also contribute to the unfolding



of the protein and further the binding of surfactant and therefore promote dough
Chemical binding through the disulfide bond can also contribute to dough
strength. Excess amount of surfactants in dough can lead to gluten solubilization.
Generally, nonionic or amphoteric surfactants have little or no solubilizing effect,
while the anionics are more effective. Bernardin (1978) found that SSL binds to
gluten very favorably. pH and salt concentration were found to have an effect on
this interaction. De Stefanis et al. (1977) found that surfactant will bind rather
strongly to the native gluten but will not bind to the heat denatured protein after
baking. They also found that 50% of the native lipids and surfactants added to a
mixed dough are bound to the protein. The rest are uncomplexed and freely
extractable. Tsen (1971) confirmed the binding of flour protein to CaSL, SSL,
polysorbate 60, and sodium stearyl fumarate. The amount of extractable protein
was reduced measurably in dough containing CaSL, SSL, SSF. The reducing effect
on protein extractability could be intensified with increasing levels of CaSL and
Tenney (1978) measured dough strengthening properties of surfactant by the
introduction of mechanical abuse to the proofed dough. He dropped the pan from
a height of approximately 10 em and repeated this three times. After baking and
cooling the loaf, he found that CaSL produced the best volume followed by EMG,
Polysorbate 60, SSL, and succinylated monoglyceride. These were measured
relative to control. He also found that surfactants are about 10 fold more effective
than triglycerides in producing loaf volume enhancement; utilization of0.2-0.4%
surfactant produced the same effect as 3% shortening. Tsen and Weber (1981)
studied the effect of dough conditioner on proof time using sponge and dough and
straight dough procedures. They found that 0.5% SSL or CaSL reduced proof time
by 5-8 min, while polysorbate 60 or ethoxylated mono glycerides increased proof
time several minutes, compared to a control without dough conditioners. Bechtel
et al. (1956) and Thompson and Buddemeyer (1954) suggested that the effectiveness of CaSL might be caused by a colloidal binding of the CaSL to flour protein.
They also showed that CaSL added to wheat gluten and baked into bread cannot
be recovered. CaSL inhibits the transition temperature of dilute starch-water
mixtures in the amylograph and sharply increases the maximum paste viscosity.

8.5.4 Physical states ofemulsifiers in water

Surfactants that are most effective as dough conditioners have the ability to form
gels in water at dough mixing temperatures. These includes SSL, ethoxylated
monoglycerides, polysorbate, distilled monoglycerides, and succinylated monoglycerides. The significance of this finding is to alert bakers to the fact that
crystalline (powdered) surfactants, which have been introduced commercially in
recent years, must go into solution in the water phase of the dough before they can
react with flour components. Powdered surfactants may not function well in all
doughs. This depends on the formulation, amount of water, order of addition of



ingredients, temperature, and extent of mixing. Conditions that favor hydration,

such as more mixing or more water, will allow the surfactant to function with
improved capability. Emulsifier and water mixtures form a number of different
physical structures (mesophases) dependent upon the emulsifier water ratio and the
temperature of the system. The phase diagrams of a surfactant could provide very
useful information in product development when a certain surfactant system is
needed to perform the best function under the use conditions. The mesophases of
mono-and diglycerides were studied extensively by Krog and Larsson ( 1968). They
were found to crystallize in bilayers and produce different lamellar structures. This
behavior is important to bakers because there is evidence that lamellar mesophase
is very efficient in promoting the interaction between mono glyceride and amylose
and providing antistaling effect (Krog and Jensen, 1970). When less water is
available in the gel after cooling, the a-crystalline form of monoglyceride will
transform into the more stable ~-crystalline yielding a suspension of the ~-crystals.
When higher water is present in the system, and at the proper temperature, the
lamellar mesophase is transformed to a lamellar dispersion. Cubic mesophases
(viscous isotropic) are formed at high temperature, when water is present as spheres
totally surrounded by monoglyceride. Saturated monoglycerides form lamellar
mesophases as the main structure found under practical conditions. In cases of
unsaturated monoglycerides, the cubic phase is the predominant one at lower
temperature. At lower water concentration, the spherical water (micelles) is farther
apart and therefore the viscosity of the system becomes lower approaching that of
the melted surfactant.
The hexagonal mesophase can be formed by unsaturated monoglyceride and
other surfactants such as SSL, polysorbate, and EMG. Anionic derivatives of
mono- and diglyceride, such as succinic monoglyceride and DATAEM ester, can
form lamellar mesophases under most conditions. Addition of oil to a mixture
consisting of GMS and water (which form a lamellar mesophase) will complicate
the matter and convert the system into a hexagonal structure. In practical applications, a lamellar mesophase product can be made by adding anionic surfactant such
as SSL at 3% to stabilize the hydrated 20-25% distilled monoglyceride in 72%

8.6 Staling of bakery foods

8. 6.1 Theories ofstaling

During storage, bakery foods undergo a number of changes in properties, all

detrimental to quality. Decreased consumer acceptance with ageing, other than
those changes induced by microbial spoilage, is defined as staling (Bechtel eta!.,
1953). Herz (1965) identified a number of changes in crumb properties associated
with staling, including: decreased crumb moisture, increased crust moisture, increase crumb crumbliness, loss of flavor, increased starch crystallinity, decreased



soluble starch, increased firmness, decreased hydration capacity of crumb, and

decreased enzyme susceptibility.
Staling of bakery foods generates two major concerns. Economically, losses to
the baking industry from stale, unsaleable bread are estimated in the order of 8%
of total production (Kulp and Ponte, 1981 ). Losses of cake products may be
assumed to be at least as high. Also, as bakery foods stale in the possession of the
ultimate consumer, decreased consumer satisfaction with the bakery food is an
obvious consequence.
8.6.2 Theories ofbread staling

The mechanisms of staling have been studied for over a century. Boussingault
(1852), perhaps the first investigator in this field, demonstrated that sealed bread
stored in a glass tube, to prevent moisture loss, still became stale; thus, bread staling
was not just a drying-out process due to moisture loss.
Early researchers emphasized the role of starch in the staling process. Katz
( 1928) utilized X-ray diffraction techniques to show that starch in bread retrograded
with time in a manner similar to that of a starch gel. He concluded that starch was
involved in increased starch crystallinity, and thus starch was mostly responsible
for crumb firming. This supported the earlier work of Ostwald (1919), who agreed
that starch was the most important factor in bread staling, but disputed the
mechanism of retrogradation; instead, he suggested that changes in the starch gel
were due to internal aggregation and dehydration, with subsequent loss of water
by syneresis.
An important milestone in understanding the role of starch in staling was
reached by Schoch ( 1945), who successfully separated and described the properties
of amylose and amylopectin components of starch. Utilizing this knowledge,
Schoch and French (1947), in a classic work, suggested that the heat-reversible
aggregation of amylopectin was the principal cause of bread staling. This aggregation was said to be due to intra- and intermolecular attractions between linear
side-chains of amylopectin, an association less rigid than that involved in retrogradation of the amylose component of starch. Fig1rre 8.2 illustrates the model of
Schoch and French (1947), and shows that amylose quickly associates in bread
soon after baking, affecting initial firmness, but playing no further role in bread
firming; amylopectin, on the other hand, gradually associates during storage. This
change leads to increased firmness during ageing of the bread.
Other investigators have stressed the role of starch in bread staling; for example,
Prentice eta/. ( 1954), Mciver eta/. ( 1968), and Colwell eta/. ( 1969). Erlander
and Erlander (1969) hypothesized that crumb firming was caused by aggregation
ofboth amylose and amylopectin, a process which could be inhibited by complexing
of the starch polymers with lipids and proteins. Differential thermal analysis
was utilized to obtain further evidence that recrystallization of amylopectin was
responsible for crumb firming. Axford and Colwell (1967) found an endothermic peak that developed in bread as it aged; further, the rate of increase in the






A '" ~








Figure 8.2 Mechanism of bread staling. (From Schoch and French, 1947 .)

endothermic peak was related to an increase in crumb firmness as a function of

More evidence emphasizing the importance of starch crystallization was accumulated by the use of a theory of phase change kinetics developed by Avrami ( 1939,
1940, 1941). Avrami's theory evolved (Kulp and Ponte, 1981) into an equation,
put forth by Comford eta!. (1964), as follows:

= (EL- Et)I(EL- Eo) = exp (-kt)

In this expression, 0 represents noncrystalline material present after time t; k

represents crystal growth; n represents nucleation that yields a new phase and can
be expressed by integers 1-4; EL is the limiting modulus; Et is the modulus at time
t; and Eo the modulus at zero time.
Kim and D 'Appolonia ( 1977 a, b) reported the Avrami exponent to be about 1
for bread made with several flours, varying in protein, stored at 21 -35C, and
concluded that bread staling involved changes analogous to starch crystallization
of crumb.
Table 8.8 summarizes values from other workers who also utilized the Avrami
theory to study either bread or starch gels. These workers obtained n values of about
1, suggesting that retrogradation of bread or starch gels involves instantaneous
nucleation, followed by rodlike growth of crystals (Kulp and Ponte, 1981 ). It is
noteworthy that differential thermal analysis, a technique which indicates starch
crystallinity, has also been used in the application of Avrami's equation to support
data obtained with modulus measurements (Axford and Colwell, 1967; Mciver et
al., 1968; Colwell et al., 1969).



Table8.8 A vrami exponent and time constant of bread and starch gels, compared


exponent (days)

of measurement



Starch gel 1.02

Starch gel 0.90




Starch gel 0.98



Elastic modulus

Mciver eta/. (1968)

Axford and Colwell
Kim and D' Appolonia


Elastic modulus

Willhoft (1971a)


Elastic modulus
Elastic modulus
Elastic modulus

Willhoft (1971a)
Comfordetal. (1964)
Axford et al. (1968)

Starch gel
<24h <1.00
Starch gel
<24h >1.00


Despite the abundance of evidence implicating starch crystallization, as the

major component of bread firming, a number of investigators have suggested that
other mechanisms may also have a role in the staling phenomenon. For example,
Kim and D' Appolonia (1977a) stated that although bread staling at 21 oc was
primarily due to starch crystallization, at 30 and 35C starch crystallization was
slower, and that some other factor in addition to starch had an important role in
staling. Willhoft (197la, 1972), Breaden and Willhoft. (1971), and Cross et al.
(1971) indicated that gluten, as well as starch, was also involved in bread ageing.
These investigators, who studied model systems, reported that regions of crystallinity developed within physically discrete starch granules, and that migration of water
from the continuous gluten phase to the starch occurred.
Willhoft (197la) developed an equation for firming that included starch retrogradation, softening of starch granules because of moisture absorption, and rigidification of gluten.

Ghiasi et al. (1984) also reported that starch crystallization is not solely
responsible for crumb firming. These workers compared the rate of crystallization
by differential scanning calorimetry (DSC) with the rate of bread firming by
compression measurements, and found that crystallinity increased the first three
days then leveled off, while crumb firmness increased in a linear fashion up to
seven days. Rogers eta!. ( 1988) studied starch retrogradation and crumb firmness
in bread with moisture between 22% and 37%. The rate of starch retrogradation as
determined by the enthalpy of melting in the DSC was not found to correlate well
with the rate of crumb firming.
Earlier workers found that crystallinity and bread firming were not necessarily
related in certain systems (Zobel and Senti, 1959; Dragsdorf and Varriano-Marston, 1978). Both groups supplemented bread with bacterial a-amylase, known to
make bread softer, and studied the resulting bread crumb by X-ray diffraction, to
determine the extent of starch crystallinity. Zobel and Senti (1959) proposed that
the interruption of the continuity of the starch network by the action of the bacterial
amylase reduced its rigidity.



Figure 8.3 Model of a mechanism of bread firming and the role of starch swelling. (From Martinet
al., 1991.)

Recently, Martinet a/. (1991) approached the problem of bread firming by

baking bread in an electric resistance oven. Bread baked to 95C in this oven did
not firm; however, temperature and baking time above 95C were directly related
to crumb firming, as was the hydration capacity of the crumb. Factors such as
shortening and monoglycerides affected starch swelling, which in turn was related
to bread firming rate. On the basis of this work, the authors proposed the bread
firming mechanism illustrated in Figure 8.3. In this model, protein fibrils represent
the continuous gluten phase while the discontinuous phase is represented by starch
remnants and partially leached amylose. Interactions (cross links) occur between
gluten and starch during baking; during staling (bottom portion of Figure 8.2), the
crumb loses kinetic energy, and interactions increased in number and strength.
Monoglycerides and shortening decrease starch swelling (upper portion of Figure
8.3 ), which leads to decreased solubilization of starch molecules. This, in turn, leads
to decreased exposure of starch granule surfaces to gluten, and subsequent reduction of cross-linking with protein. According to this hypothesis, the firming rate is
This section has provided a relatively brief summary of some of the work done,
and theories proposed, on the staling and/or firming of bread. Staling is obviously
a complex phenomenon, and, clearly, a full understanding of the underlying causes
of staling remilins a distant goal. When this understanding is achieved most likely
it will show that staling is a consequence of a number of reactions.



8. 6. 3 Cake staling
Cake staling is certainly of interest to the baking industry, but relatively very little
work in this area has been published (Kulp, 1989), and only a brief summary is
herein presented. A study by Kulp and co workers (1959) indicated that starch
retrogradation was an important factor in layer cake staling. Other workers supported this view (Guy, 1983; Maxwell and Zobel, 1978). However, the storage
temperature of cakes did not influence firming as would be expected if retrogradation had a primary role in cake staling. Pence and Standridge (1958) and Hodge
( 1977) found that cake firming was reduced at lower storage temperatures, which
does not support starch retrogradation as a factor in cake staling, but perhaps
suggests that other physicochemical changes in cakes may be involved. Emulsifiers
clearly act as crumb softeners in cake systems, but their mechanism may be more
complicated than that in bread systems, the staling of which is usually explained
on the basis of complexation with starch polymers, mainly amylose (Kulp, 1989).
Other components in cake may be involved in secondary changes that affect
physical properties in cakes.

8. 6.4 Measurement ofstaling

Staling, as defined by Bechtel eta/. (1953), encompasses many changes in bakery
products and, as reported earlier, can only be determined by sensory evaluation.
For many purposes, such as routine evaluation of ingredient or processing effects,
sensory evaluations are time-consuming and expensive, and other means are often
sought to monitor the onset and extent of staling, such as a standardized sensory
evaluation method. The Staleness of Bread-Sensory Perception Test has been
developed by the American Association of Cereal Chemists (AACC, 1983a).
Many measuring methods based on the various changes occurring in bread
properties during staling have been described in the literature, and some have been
reviewed by Bechtel (1955), Maga (1975), and Kulp and Ponte (1981). Among
methods not primarily based on compression of bread slices, tests have been
proposed based on: crumb crumbliness, farinograph consistency, crumb absorptive
capacity, amylograph consistency, soluble starch, crumb opacity, enzyme susceptibility, starch crystallinity, and changes in X -ray diffraction patterns. Conductance
and capacitance techniques of bread have been used by Kay and Willhoft (1972).
Guy and Wren (1968) devised a technique using a preparative ultracentrifuge to
make a gas-free pellet of crumb which was then measured for firmness. Whole
loaves have been the subject of testing, either by using the Instron Universal Testing
Machine (Bishop and Wren, 1971), or by the application of a known gas pressure
to the outside surface of bread (Willhoft, 1971 b). The amylograph pasting properties of bread crumb slurries were used in the study of firming (Yasunaga et a/.,
1968), as were differential thermal analytical procedures (Axford and Colwell,
1967; Fearn and Russell, 1982; Ghiasi eta/., 1984).



While many changes take place during staling that lead to decreased consumer
acceptance, changes in crumb firmness are perhaps the one change most people
typically equate with overall staling. Most methods and instruments utilized to
objectively measure 'staling' actually evaluate bread crumb texture, in an attempt
to emulate the way the consumer subjectively determines the same property, which
is by squeezing or compressing a sample of bread (Ponte and Faubion, 1985). The
widespread use of compression techniques to objectively measure bread firming
as one index of staling is also a reflection of the relative ease with which these
measurements may be made.
A correlation does exist between subjective and instrumental measures of crumb
texture, as shown by a number of authors (e.g. Axford et at., 1968; Spies, 1990).
In common with all textural measurements, the basis for these tests is the relationship between an applied force and the resulting sample deformation. The first
important instrument of this type was that designed by Platt (1940), and subsequently improved to become the Baker Compressimeter, approved as the testing
instrument for the AACC standard method (AACC, 1983b). Among the instruments that have been introduced later, have been the RHM loaf testing machine
(Gates, 1976), the GRL Compression tester (Kilborn et at., 1982), the Voland-Stevens LFRA Texture Analyzer (Texture Technologies Corp., Scarsdale, NY), and
the Instron Universal Testing Machine (Instron Corp., Canton, MA). These instruments have incorporated increased capabilities, allowing, for example, variations
in loading rate and the option of following time-deformation relationships (Lasztity, 1980). All these instruments operate on the same basic principle, utilizing
parallel plate geometry to apply uniaxial compression to a sample of bread crumb.
Compression measurements have been made by two general approaches, leading to the two types of curves depicted in Figure 8.4 (a and b). Softness is defined
as the measurement of deformation obtained under conditions of constant load as










0 0~-----2~0-----~~--~

TIME (houra)

TIME (houra)

Figure 8.4 Typical (a) 'softness' aud (b) 'firmness' curves. Softness is defonnation under constant
load; firmness is force required to achieve constant deformation. (From Ponte and Faubion, 1985.)



a function of time, leading to an equilateral hyperbola as shown in Figure 8.4(a).

Firmness, in contrast, is defined as the force required to yield a constant deformation, resulting in a curve that approaches linearity as in Figure 8.4(b). Most
compressibility tests today appear to be made as a measure of firmness (Ponte and
Faubion, 1985). Bice and Geddes (1949) pointed out that softness curves are
difficult to interpret, since their slopes are complicated functions of both rate of
change with time and the original firmness of the test sample. In contrast, firmness
data are linear plots whose slopes are relatively simple, direct functions of rates of
changes in firmness. Furthermore, softness curves appear anomalous in that great
textural changes seem to occur during the first 24 hours of storage, which, in fact,
is not the case. Organoleptic changes seem to agree more closely with those
suggested by the firmness curve. None the less, softness measurements with a
penetrometer have been shown to be reliable and an inexpensive means to measure
changes in bread crumb (Kamel and Rasper, 1986).
Baker eta/. (1987) compared four instruments, the lnstron Universal Testing
Machine (UTM), the Bakery Compressimeter (BC), the Voland Stevens LFRA
Texture Analyzer (VS), and the Bloom Gelometer (BG) for testing bread firmness.
The authors pointed out that the choice of instruments for any testing procedure
depends on several factors, including cost, versatility, and the sensitivity desired.
Results obtained indicated that the firming ofbread as a function of time could well
be followed by the four instruments studied. No one instrument was clearly the
most sensitive under all conditions tested. However, the UTM provided higher
reproducibility than the other instruments. The instruments yielded results with
different absolute values and, thus, the results could not be interchanged; when the
firmness results were analyzed, all correlations were acceptable but the best
coefficients were between the UTM and BC. Kamel eta/. (1984) compared the BC
and UTM for measuring bread firmness, and reported the BC to be valid and
reliable, but to be limited in capabilities. The UTM is advantageous in that the
application of compression rates is linear and force-time relationships can be
directly related to force-compression curves, and reproducible deformation rates
are maintained.
Baker and Ponte (1987) reported a method for measuring bread firmness with
the UTM, based on a study of the AACC Committee on Bread Firming Measurement, which led to AACC Method 74-09, Bread Firming by Universal Testing
Machine (AACC, 1983c). The essentials of the method are as follows:
1. The rate of compression or crosshead speed of the UTM is set at 100
mm/min, and the chart speed is 50 mm/min. Full scale force is usually 1
kg, but this can be varied to accommodate various samples.
2. A 36 mm diameter, flat aluminum plunger is used to compress the 25 mm
thick crumb sample (can be two combined 12.5 mm thick slices). Two end
slices from the loaves are first discarded, and crust is not removed from the
test slices.
3. The force measurements are taken off the place on the curve (Figure 8.3)




where a 25% compression (6.2 mm actual compression= 31 mm along the

chart) occurs. The force may be expressed in kilograms or newtons force
(1 N = 101.9716 g). Since the kilogram is a measure of mass, not force, using
the true SI unit of force, the newton (N) is recommended (Bourne, 1990).
Two compression force values, CFV-1 and CFV-11, are measured for each
compression. CFV-1 is measured 31 mm from the point at which the force
curve moves the base line. CFV-11 is measured by extrapolating a straight
line from the initial slope ofthe curve to the abscissa (x-axis), and measuring
31 mm from this point.

Other bakery foods can be measured by this test, although test modifications
may be required depending on sample characteristics. Modifications could include
instrument parameters such as plunger dimension or compression depth, or sample
preparation. Walker et al. (1987) utilized this procedure on cake samples.
Sample preparation is of considerable importance in measurements of bread
texture, given the heterogeneous nature of bread. If proper care were not exercised,
greater differences could be found within loaves than between loaves representing
different treatments.
Lack of homogeneity in bread is due, at least in part, to differences in temperature rise in bread as it is baked. Marston and Wannan (1976) clearly showed that
the temperature rise in the center of baking bread is slower than that of the outer
portions, undoubtedly due to the insulating properties of dough. This temperature
gradient could be expected to influence gradients in yeast and enzyme activities.
V arriano-Marston eta/. ( 1980) utilized techniques such as microscopy, enzymatic
hydrolysis, and X-ray diffraction to show that the degree of starch gelatinization
was different in the outer portions of the loaf compared to that of the center. Not
surprisingly, therefore, several workers have shown that crumb firmness is not
homogeneous throughout a loaf of bread. Ponte et al. (1962) showed that center
slices are firmer than end slices.
Hibberd and Parker (1985) considered factors that influence variability in
compression measurements. Figure 8.5 from their study shows clear firmness
differences in bread depending in which direction compression is directed, and
which portion of the loaf is tested.
Thus, compression measurements must be performed on the same slices from
loaf to loaf in a test series, to aid reproducibility. The plunger should also avoid
areas close to the crust, which can affect measurements, as can sizeable holes in
the crumb. Also, as pointed out by Kamel et al. (1984), it would be desirable to
account for differences in moisture content and specific volume among loaves, if
possible, since these factors can influence compression results in a test series.
As indicated in the preceding discussion, the methods and instruments used to
objectively evaluate bread crumb texture, with few exceptions, involve uniaxial
compression of the sample between parallel plates. The deformations utilized are
typically greater than 20% of the sample thickness, and the force necessary to
achieve the required deformation (or the deformation resulting from constant force)







, / __ .........





I /"::








_ ............... '




.. ........ ''
I (.-'/. .-.
,' /_....


. /


II/ . :/

,," . .>

/ . /


,,--- 6.


- - 5.





Figure 8.5 Plots of force vs. compression for the first compression cycle for 'fresh' bread crumb.
Compression direction: ( 1.) parallel to lateral axis, middle position; (2.) parallel to lateral axis, end
position; (3.) parallel to vertical axis, middle position; (4.) parallel to vertical axis, end position; (5.)
parallel to long axis, middle position; and (6.) parallel to long axis, end position. (From Hibberd and
Parker, 1985.)

is the measurement of firming. Results obtained from such tests are expressed in
empirical units, since bread crumb is not entirely elastic under the large deforming
stresses employed, and because results depend on sample size and/or shape. The
tests performed with these instruments have been obviously useful given the great
amount of research, both theoretical and applied, carried out over many years. None
the less, the tests remain empirical and it would be highly desirable to measure the
fundamental rheological properties ofbread crumb. Dynamic testing methodology
is one approach that does provide results in fundamental units.
Dynamic rheological tests have been used for some years in studies of the
mechanical properties of polymers. More recently, these techniques have caught
the interest of food rheologists (Faubion eta!., 1985), and have been used to study
dough (Dreese et al., 1988; Abdelrahman and Wollerman, 1988).
Persaud and co-workers (1990a,b) have extended dynamic testing to bread
crumb. In dynamic stress-strain testing, a sinusoidal strain (or stress) is applied to
the sample (11-13 mm thick) and the resulting sinusoidal stress (or strain) response
is observed. The stress and strain waves are usually detected on an oscilloscope,
and from these responses the properties of the material can be determined. Figure
8.6 shows data obtained by dynamic testing of bread crumb samples stored at
different temperatures. In this plot, G' is the shear storage modulus (elastic
component), G" is the shear loss modulus (viscous component), and the loss
tangent is G" /G' (Persaud eta!., 1990b). The data show that the extent and patterns
of change in G' were not the same at each storage temperature. The changes in G'




























AGE ( Hours )
Figure 8.6 Effects of storage at 4(0) 25(0) and 45C(.A.) on log G' and tangent of bread crumb.
(From Persaud et al., 1990b.)

with age followed a pattern similar to that obtained for firmness by current
empirical methods of compression. Interestingly, beyond 48 h. storage, the tangent
of the crumb stored at 25C approached the values of crumb aged at 4C; thus,
ageing changes both the elastic (G') and viscous (G") components of the crumb's
response to deformation.
Dynamic rheological methodology appears to offer many possibilities for study
of bakery foods, and undoubtedly more studies will be undertaken in the near
8. 7 Concluding remarks

While surfactants remain a large part of the food additive market, the industry
already has a good range of products to work with. The development of new
chemicals is very unlikely due to high cost. Therefore, most of the development in
this area will be concentrated on blending or modifying existing products to make
them synergistic and more functional to solve a particular problem.
In the future, and if a development is desired by the surfactant producers, it
would be con~entrated in the all-natural and biotechnology arena. Use of enzymes
to produce emulsifiers will probably receive more attention. Several esters have
been prepared by enzymatic interesterification, such as sucrose ester and modified



lecithin. Major advantages of enzymatic processes are: avoiding high temperatures

used in traditional methods of emulsifier production, energy saving, and better
quality (especially in odor and flavor of the final products). Surfactant use is
growing steadily in bakery products. Their utilization could play a significant role
in new product development and in solving problems arising from new technology.
The following topics are of major importance, at present, where emulsifiers can
play a significant role:
(a) The use ofliquid oil instead of shortening or animal fat in cookie and
crackers and other baked goods.
(b) Crystal structure modification for shortening used in cookie and cracker
(c) Stabilizing emulsion or suspensions required for automated continuous
mixing systems.
(d) Improved quality of mixes for home use and for microwave oven recipes.
(e) Improving tolerance to different levels and qualities of protein in respect
to dough machinability and oven.
(f) Produce high quality products oflow caloric value by reducing shortening,
increasing fiber or bulking agent, or utilizing other grain flour or protein
(g) Surfactants could play a significant role in replacing bromate, which has
already been banned in the UK.
(h) Aid in the reduction of gluten use in bread and other products.
( i) Aid in the reduction of egg and sugars in sweet goods.


The authors gratefully extend their thanks and appreciation to Miss Kelly
Fitzpatrick for her endless effort in typing and correcting part of this manuscript.

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Further reading
Blanshard, J.M., Frazier, P.F. and Galliard, T. (1985) Chemistry and Physics of Baking, Materials,
Processes and Products, Royal Society of Chemistry (No.56), London.
Breyer, L.M. and Walker, C.E. (1983) Comparative effects of various sucrose fatty acid esters upon
bread and cookies, J. Food Sci., 45(3), 955-958.
Bruinsma, B and Finney, K.F. (1984) Various oils, surfactants and their blends as replacements for
shortening in bread making, Cereal Chern., 61(4), 279-280.
Charalambous, G. and Doxastakis, G. (1989) Food Emulsifiers, Chemistry, Technology, Functional
Properties and Applications, Elsevier, New York.
Cloke, J.D., Davis, B.A. and Gordon, J. (1984) Water loss during reheating of fresh and stored cakes



made with saturated and unsaturated monoglycerides, Cereal Chern., 61(4), 371-374.
Dickinson, E. and Steinsby, G. (1988)Advances in Food Emulsion and Foams, Elsevier Science, Essex,
Dubois, D.K. ( 1979) Dough strengtheners and crumb softeners II. Product types and functions, American
Institute ofBaking, 1(5), 1.
Finney, K.F. (1945) Methods of estimating and the effect of variety and protein level on the baking
absorption of flour, Cereal Chern., 22, 149.
Garti, N. (1988) Effect of surfactants on crystallization and polymorphic transformation of fats and fatty
acid. In Crystallization and Polymorphism ofFats and Fatty Acid, ed. Garti, Nand Sato, K., Marcel
Dekker, New York, pp. 267-303.
Gerard, L. Hasenhuettl (1991) Emulsifiers for the food industry. In Introduction to Fats and Oils
Technology, ed. Wan, P., American Oil Chemists Society, Champaign, Ill, pp. 165-182.
Griffin, W.C. and Lynch, M.J. (1968) Surface active agents. In CRC Handbook ofFood Additives, ed.
Furia, T.E., The Chemical Rubber Co., Cleveland, Ohio, pp. 414-460.
Randleman, A.R., Conn, J.F. and Lyons, J.W. (1961) Bubble mechanics in the thick foams and their
effects on cake quality, Cereal Chern., 38(5), 294--305.
Hutchinson, P.E., Balocchi, F. and Del Vecchio, A.J. (1977) Effect of emulsifiers on the texture of
cookies,.!. Food Sci., 42(2), 39-41.
Joensson, T. and Toemaes, H. (1987) The effect of selected surfactants on bread crumb softness and its
measurement, Cereal Foods World, 32(7), 482-485.
Kamel, B.S. (1987) Bread fimmess measurement with emphasis on Baker compressimeter, Cereal
Foods World, 32(7), 472-476.
Kamel, B.S. (1991) Emulsifiers. In Food Additives User's Handbook, ed. Smith, J., Blackie, Glasgow,
pp. 169-201.
Kao Corporation (1983) Suifactants (1983) A Comprehensive Guide. Published and edited in Japan by
Kao Corporation, p. 500.
Knightly, W.H. (1989) Lecithin in baking applications. In Lecithins; Sources, Manufacture and Uses,
ed. Szuhaj, B.F., American Oil Chemists Society, Champaign, Ill., pp. 174--196.
Knightly, W.H. and Lynch, M.J. (1966) The role ofsurfactants in baked foods, Bakers Digest, 40(1),
Kosaka, T. andYamada, T. (1977) New plant and new application of sucrose esters. In Sucrochemistry,
ed. Hickson, J.L., ACS symposium series 41, American Chemical Society, Washington, DC, pp.
Krog, N. (1977) Function of emulsifiers in food systems,.!. Am. Oil Chern Soc., 54, 124--131.
Krog, N.J., Riisom, T.H. and Larsson, K. (1985) Application in the food industry. In Encyclopedia of
Emulsion Technology, Vol. 2: Applications, ed. Becher, P., Marcel Dekker, New York, p. 521.
Leissner, 0. (1988) A comparison of the effect of different polymorphic forms oflipids in breadmaking,
Cereal Chern., 65(3), 202-207.
MacDonald, I.A. and Lensack, G.P. ( 1967) Fluid liquid shortenings formulation and evaluation in bakers
cakes, Cereal Sci. Today, 12(1).
Manley, D.J.R. (1983) Emulsifiers. In Technology of Biscuit, Cracker and Coo/des, Ellis Horwood,
Chichester, UK.
Moore, W.R. and Hoseney, R.C. (1986) Influence of shortening and surfactants on retention of carbon
dioxide in bread dough, Cereal Chern., 63(2), 67-70.
Painter, K.A. (1981) Functions and requirements of fats and emulsifiers in prepared cake mixes,.!. Am.
Oil Chern. Soc., 58, 92-95.
Pomeranz, Y. (1985) Lecithin. In Baking in Lecithins, eds. Szuhaj, B.F. and List, G. R., American Oil
Chemists Society, Champaign, Ill., pp. 289-322.
Pomeranz, Y., Huang, M. and Rubenthaler, G.L. (1991) Steamed bread role of lipids, Cereal Chern.,
68(4), 353-356.
Seib, P.A., Hoover, W.J. and Tsen, C. C. (1977) Sucrose esters in bakery foods. In Sucrochemistry, ed.
Hickson, J.L., ACS Symposium Series 41, American Chemical Society, Washington, DC, pp.
Stutz, R.L., Del Vecchio, A.J. and Tenney, R.J. (1973) The role of emulsifiers and dough conditioners
in foods. Food Product Development, 11, 19-23.
Tsen, C. C. (1974) Fatty acid derivatives and glycolipids in high-protein bakery products,.!. Am. Oil
Chern. Soc., 51, 81.

9 Lecithin and phospholipids in baked goods


9.1 Introduction
Surfactants are critical additives in the commercial manufacture of food products.
Along with the rest of the food industry, the baking industry has gradually moved
from the 'craft' stage to the 'industrial' scale. Baked goods ranging from bread to
cakes and most types of products in between are now made under assembly line
conditions. The heavy machinery used exerts unusual stress on the raw materials,
the most important of which is wheat flour, which includes wheat protein and wheat
starch (Birnbaum, 1977). Modem day economic and market conditions result in
baked goods being consumed over a longer period and often not fresh 'out of the
oven'. Surfactants and emulsifiers are terms used interchangeably for ingredients
which are 'surface active'. These ingredients help the baker meet new challenges
in production and marketing and still give the customer a wholesome and freshtasting baked product.
The food industry and market is large and spread out and consequently needs a
substantial amount of surfactants for technical reasons. About 160 million kg of
surfactants are used annually in the United States, of which about 91 million kg are
used by the baking industry (Schuster and Adams, 1984). Overall, the baking
industry in particular and the food industry in general predominantly use chemical
surfactants which have specific and consistent functionality. Only a comparatively
small segment uses natural surfactants.
European bakers on the other hand have been more craft oriented, operating
from smaller bakeries and to markets closer to their production base. The emphasis
has been on organoleptic properties contributed by freshness as perceived through
flavor, crust and crumb characteristics, rather than on extended shelf-life. Natural
surfactants have traditionally been more commonly used as they contributed to the
wholesome character of baked goods as well as satisfied the limited functional
needs of the European craft baker. The advent of political changes has opened up
larger and more widespread markets with an increasing amount of baked goods
made in mechanized plant bakeries.
The advantage of chemical surfactants is that they are tailor-made to meet
specific functional needs. However, an increasingly health-conscious consumer
has made the nutritional content of food a critical marketing criteria. Natural
surfactants have actual as well as perceived advantages as nutritional food additives. But the functional abilities of natural surfactants are often not as good as or



as specific as those of chemical surfactants. Natural surfactants, due to their

'naturalness', tend to vary in component levels and therefore in functionality. The
challenge is to satisfy the demands of a nutritionally conscious consumer as well
as the functional needs of the quality-and cost-conscious baker.
Lecithin is the most widely used natural surfactant. It has well-known nutritional
properties, both therapeutic as well as medicinal. Researchers have reported that
ingested lecithin levels may have a positive effect on improved learning and
memory with the potential to be of assistance in treating Alzheimer's disease
(Weihrauch and Son, 1983). Others have reported that choline deficiency causes
neurological problems and that lecithin consumption raises choline levels (Wurtman et al., 1977). More important, it has the best functional profile amongst all the
natural surfactants. It is also multifunctional and versatile and has been called
'nature's wetting agent'.
One of the first references to lecithin was in 1811 when Vanquellin reported the
presence of phosphorous in fat-like substances in the human brain. Gobley (1847)
reported the presence of a complex phosphorous- containing fat-like substance in
carp egg yolk. He also found that the yolk functioned as an emulsifier and is credited
with naming this substance as 'lecithin', a derivative of the Greek word for egg
yolk - 'lethikos'.
Lecithin is a natural product obtained from both animal and vegetable sources.
The predominant constituent of lecithin both in terms of composition as well as
functionality is a combination of phospholipids. Phospholipids are vital components of animal and vegetable membranes. Minor quantities of glucosides, sugar
and sterols are also present and contribute to functionality. In natural lecithin, all
of these constituents are found dissolved in oil. Some important sources oflecithin
(a) Animal sources. The phospholipid level in beefliver is approximately 16%,
in beef brain it is approximately 3%, whole milk has 0.35% and chicken
eggs have approximately 13.7% (Aylward, 1952). Total lecithin/phospholipid level varies depending on the source as do the types and levels of
individual phospholipids. This indicates that lecithins from different
sources vary in composition and therefore functionality. A good example
of this phospholipid variation is found in different sections of chicken egg.
Table 9.1 gives some representative values (Weihrauch and Son, 1983).
Phosphatidyl choline (PC), phosphatidyl ethanolamine (PE) and phosphatidyl inositol (PI) are three different phospholipids (PL) with varying
chemical and functional qualities. Table 9.1 shows that the proportion and
types of phospholipids vary in egg yolk, egg white and whole egg resulting
Table 9.1

Phospholipid variation in different sections of chicken egg

Dtied whole egg

Dried egg white
Dried egg yolk











Table 9.2 Lecithin composition

Neutral lipids







in different functional qualities. For example, egg yolk is high in PC

content, a strong oil-in-water emulsifier; consequently it has unique
functionality as an emulsifier in cake batters.
(b) Vegetable/plant sources. Lecithin occurs naturally and in appreciable quantities in various vegetables/plants, like soybean, com, rapeseed, canola oil,
peanut, wheat, flax, sunflower, etc. Tables 9.2 and 9.3 give comparative
compositions oflecithin derived from com and soybean (Webber, 1981).
Tables 9.2 and 9.3 indicate that lecithin from vegetable sources is a blend
of phospholipids and glycolipids dissolved in oil.
Both in animal and plant sources, the presence of specific phospholipids, their
profile as well as levels will depend on the source leading to variation in functionality. Table 9.4 gives an example of the difference in phospholipid composition in
lecithin derived from different vegetable sources and includes the PL profile of egg
yolk (animal source) to illustrate the substantial variation noticed, which will
explain the difference in functionality which will be discussed later.
The major and predominant source of commercial lecithin for the food and
baking industry internationally is soybean. Soybean lecithin is preferred due to its
availability as well as its unique functionality, and through the rest of this chapter
we shall discuss soybean lecithin and its use in the baking industry. The United
States of America manufactures about 30 million kg of soy lecithin, Europe makes
another 30 million kg and the rest of the world makes about 36 million kg, i.e. a
total of over 96 million kg (List et al., 1981 ). Soy lecithin is a by-product in the
refining of soy oil. Figure 9.1 schematically shows the components and approximate proportions of phospholipids in the soybean (Silva, 1990). Since the soybean
and consequently lecithin is a natural product, its composition shows substantial
variation. These fluctuations are a result of seed variety, growing condition, and
also the oil production and refining methods. Table 9.5 was reported by Rydhag
(1979) and shows the variations within different samples oflecithin.
A major producer of soy lecithin has been the USA. Europe imported a
substantial amount of its lecithin supply from the USA, but since the late 1960s
both the quality and quantity of European lecithin has increased. South American
countries like Brazil are gradually increasing their lecithin production, but some
Table 9.3 Neutral lipid composition

Free fatty acids











Soybean meal








Crude lecithin



Soy oil

Figure 9.1 Components and approximate proportions of phospholipids in the soybean. (From Silva, 1990).


Deslimed soy oil






Table 9.4 Phospholipid types and composition (vegetable sources)

(Lennerts, 1984)
Soybean Rapeseed Safflower Egg yolk
Phosphatidyl choline (PC) 30
Phosphatidyl ethanolamine 22
Phosphatidyl insitol

reports indicate that their quality is still not consistently satisfactory (Van
Nieuwenhuyzen, 1976).
Soybean processing involves two main steps.
1. Extraction ofoil from soybean. The soybean is cleaned, dehulled, cracked
and rolled to form fine full fat flakes. These flakes are deoiled through a
process of solvent extraction and/or pressing to give approximately 20%
soy oil and 80% deoiled soybean meal. This meal may be used as such or
milled to give the soy flour commonly used in the baking industry (Figure
2. Separation of lecithin from soy oil. The important steps at this stage are:
(a) Hydration of lecithin whereby water is added to the oil. The lecithin
combines with water to form a 'sludge'.
(b) The lecithin sludge is centrifuged, resulting in a soy oil fraction with
less than l% lecithin and a lecithin-water sludge with a low oil content.
This is known as the degumming stage and the processing conditions
at this stage can affect lecithin properties and functionalities.
(c) The lecithin is fmally dried to give a product with moisture below l %.
The resultant product is unrefined, crude, natural soybean lecithin. Its
approximate composition is one third neutral oil and two thirds polar
lipids mainly consisting of phospholipids and glycolipids. This product
is a moderately viscous, oily product which can be handled like a fluid,
and is the liquid lecithin, the product commonly used as a natural
surfactant and emulsifier in the baking industry (Figure 9.3).

9.2 Review of lecithin chemistry

A composition range of liquid soybean lecithin (Stem Chemie, 1985) showed

that phospholipids constitute 55-70%, glycolipids 5-8%, and neutral lipids
Table 9.5 Variation in lecithin from different sources






Dehulled seed


Pressing I
solvent extraction

Soybean meal

Soy oil

Figure 9.2 Soybean processmg.

Soybean Oil


Figure 9.3 Crude lecithin processing.



Liquid lecithin consists of a mixture of phosopholipids and glycolipids, which

are polar lipids insoluble in acetone; these polar lipids are dissolved in neutral lipids
like oils and free fatty acids which are insoluble in acetone. Lecithin therefore is a
compound lipid. In soybean lecithin the neutral oil is predominantly soybean oil.
The basic chemical structure of a phosopholipid is given below:
C-H2-0-fatty acid


C-H-0-fatty acid


C-H20-P-O-X- (3)
The glycerol is a esterified with fatty acids in position (1) and (2), to give a
diglyceride. Fatty acids in position (1) are generally saturated and those in (2) are
generally unsaturated. Soy lecithin is high is unsaturated fatty acids and particularly
high in polyunsaturated acids. Table 9.6 gives a comparative profile of fatty acid
composition of soy lecithin and egg lecithin, which indicates that soy lecithin has
a higher level of unsaturated fatty acids compared to egg lecithin.
In position (3), the glycerol is bonded to a phosphoric acid residue to give
phosphatidic acid. When the phosphate residue at position (3) is in turn esterified
with alcohol like choline, we obtain 'phosphatidyl choline' (PC). PC is also
sometimes referred to as lecithin. When the phosphate residue is esterified with
ethanolamine, phosphatidyl ethanolamine (PE), sometimes known as cephalin, is
obtained. When the phosphoric residue is esterified with a carbohydrate group like
inositol, phosphatidyl inositol is obtained. These are the most prominent phospholipids, but it must be noted that lecithin often contains other phospholipids
depending on the source.
Among the minor components are the glycolipids. Glycolipids differ from
phospholipids in that instead of the phosphoric acid residue at position (3) we have
a sugar residue. The simplest form of this is when a simple sugar like galactose
combines to give a monogalactosyl diglyceride. The basic formulas for phospholipids and glycolipids are shown in Figure 9.4.
The chemical structure of each of these phospholipids leads to highly specific
steric arrangements. PC and PE have both a positive and a negative charge and are
therefore amphotheric. PI and the glycolipids are anionic. Lecithin therefore has
Table 9.6 Fatty acid composition oflecithin from soybean and egg
Soy lecithin
Egg lecithin
Palmitic acid
Stearic acid
Oleic acid
Linoleic acid
Linolenic acid









Phosphatidic acid

Phosphatidyl ethanolamine


X= H


Phosphatidyl choline

Phosphatidyl inositol









Figure 9.4 Basic formulas for phospholipids and glycolipids.

both a water-loving, hydrophilic property contributed by the phosphoric acid

residue and an oil-loving, lipophilic property contributed by the fatty acid residue
(Sartoretto, 1981 ). Phospholipids thus defme the surfactant and emulsifying ability
of lecithin with PC, PE, PI and the glycolipids being the important components.
Beside the presence of these phospholipids, their amounts and relative proportions
define lecithin functionality. Since lecithin is naturally occurring, it is subject to
variation. This variation is due to the history of the soybean including growing and
processing conditions used in extraction (Rydhag, 1979). Lecithin is insoluble in
water but can hydrate to form an emulsion, i.e. it swells to form a colloidal
suspension. Iflecithin is subjected to a high temperature for extended periods, there
is a possibility of chemical disintegration of the phospholipids and the possibility
that the carbohydrate may caramelize with effects on color and flavor. Lecithin is
used in many sectors of the food industry including salad dressings, spreads,
chocolate and confectionery, edible fat and oil, instant powders, mixes and in the
baking industry. Its functionality is based on its unique surfactant and emulsifying

9.2.1 Lecithin the natural emulsifier

Lecithin's ability as an emulsifier is critical in defining its functionality. An
emulsion is an intimate two-phase mixture of immiscible liquids. The most common method of making an emulsion is to break up one liquid into small globules.
This is called the dispersed phase and it is dispersed by agitation into the other
liquid which is called the continuous phase. There are a number of other types of
colloidal dispersions/suspensions which are sometimes classified as emulsions by



the baking industry. A dispersion of a gas in a liquid is called a foam (whipped

cream). A dispersion of a gas in a solid is a solid foam, a connnon example of which
is ice cream and bread. A dispersion of a solid in a liquid is called a sol, e.g. starch
or protein in water, and a reverse dispersion of a liquid in a solid is called a jel-like
jelly or sometimes called solid emulsion, the commonest examples being butter or
margarine (Becher, 1957; Fox and Cameron, 1980).
Such mixtures/suspensions will separate under normal circumstances. To facilitate the stability of such emulsions, the first method is micro-particulation, of the
dispersed phase by mechanical means like mixing and agitation. Whilst this will
give some stability, other methods are needed to ensure stability over an extended
time period. Emulsifiers are used to reduce surface tension at the interface of the
two phases to prevent coalescing of the particles of the dispersed phase.
Lecithin is the best natural emulsifier. The emulsifying properties of lecithin
depend on the surfactant properties of the phospholipids. Ethanol-soluble phospholipids like PC are good oil-in-water (o/w) emulsifiers whereas the ethanol-insoluble PLs like PI which are anionic interact with the aqueous phase and function
as good water-in-oil (w/o) emulsifiers. PE has the ability to be both o/w as well as
a w/o emulsifier with a tendency to be slightly stronger as a w/o emulsifier. Because
the phospholipids like PC and PE are amphotheric, the emulsifying potential of
lecithin is also system dependent, e.g.
(a) The oil-to-water ratio has some effect on the emulsifying characteristics.
(b) pH and salt levels also play a role and lecithin is known to work well in low
pH and/or high salt emulsions like salad dressings.
Overall, lecithin is a moderately effective emulsifier with a tendency to be a w/o
emulsifier. It is the best of the natural emulsifiers as well the most cost effective.
HLB is the hydrophilic-lipophilic balance of an emulsifier and is a measure
developed by Griffin (1954) to indicate the relationship between the water-loving
hydrophilic and the fat-loving lipophilic part of an emulsifier. HLB values are
connnonly quoted to characterize emulsifiers and express the relative attraction of
the emulsifier for water and oil respectively. It is determined by the chemical
composition and ionization capacity of the emulsifier and gives an indication of
the type of emulsion it will promote. It is difficult to assign an HLB value to lecithin
because of the variation in the phospholipids and also the fact that its emulsifying
capacity is system dependent. Crude unmodified liquid lecithin is slightly on the
water/oil side of the scale and a HLB value of around 5 may be assigned to it, whilst
deoiled lecithin tends to be around 6-7. Chemical modification like hydroxylation
and acetylation makes lecithin more hydrophilic and the pH of such chemically
modified lecithin may be around 8. Fractions oflecithin high in PC are strong o/w
emulsifiers and fractions of lecithin high in PI tend to be strong w/o emulsifiers.
Figure 9.5 attempts to place various types oflecithin on an HLB scale.
Lecithin's emulsifying abilities can be improved by synergistic combinations
with other functional ingredients. Nakamura and Mizutani (1988) report the
excellent emulsifying characteristics of a lecithin gluten complex. Hayakawa et al.





'------ Ethanol soluble fractions of lecithin high in PC/PE

- - - Chemically modified lecithin, e.g. hydroxylated
- - - Deoiled lecithin
- - - Liquid lecithin
- - - Ethanol in soluble fractions of lecithin of lecithin high in Pl/PE


Figure 9.5 HLB scale for lecithin emulsifiers.

(1988) and others have reported on the excellent emulsifier/stabilizer systems that
can be made with lecithin/xanthan gum as well as lecithin/carrageenan combinations. In such blends, the positive head groups of the phospholipids combine with
the negative ester sulphate group of the anionic polysaccharide to produce a
two-phase system with outstanding emulsifying characteristics.
Lecithin's surface activity makes it a critical and widely used ingredient in
chocolate and confectionery manufacture. It has the ability to reduce the
viscosity of chocolate and give the desired fluidity and is thus an important
processing aid. By substituting for part ofthe cocoa butter, lecithin helps reduce
costs. It is also known to retard 'bloom' formation by preventing unwanted fat
crystallization (Johnson and Peterson, 1974). The emulsifying action of lecithin
makes it an important ingredient in margarine. Margarine is classified as a w/o
emulsion, the water component coming from milk. It is theorized that phospholipids encapsulate water so that when margarine is fried/heated, the water
is gradually transferred to the surface where it evaporates rather than splatters.
Lecithin also contains PE which is a metal sequestering agent and contributes
to delaying the oxidative spoilage of margarine (Van Nieuwenhuyzen, 1981 ).
Lecithin is widely used in instantizing fat-coated powders, like whole fat milk
powder, cocoa powder, coffee whiteners, instant soups and cake mixes. Usually, lecithin is sprayed on to the product to be instantized. The lipophilic part
of lecithin combines with the fatty residue of the product and the hydrophilic
end which is directed outwards helps in facilitating 'wetting', thus giving the
fat-coated powder quick dispersion in water as well as helping to stabilize the
subsequent emulsion.

9.2.2 Lecithin in baking

Lecithin has been used by bakers both in North America as well as in Europe. In
the United States, the first substantial use oflecithin in baking was reported in the
1950s (Pyler, 1973). This was the period when the bakery business was gradually
moving into the plant baking stage. Heavy machinery like dough dividers and
moulders started to strain the dough structure. The market and distribution network
also grew, giving rise to the need to keep bakery products fresh for a longer period
of time. This need for a combination gluten complexer to increase dough strength



Bound wheat lipids






Figure 9.6 Polarity of wheat lipids.

and a starch complexer which could slow down retrogradation and retard staling
lead American bakers to use liquid soy lecithin.
European baking has been a little different in character and needs. The larger
scale plant bakeries similar to the US model have been in the minority, though there
is a noticeable growth in this sector. Traditionally, Europe has been known for its
'craft bakers'. The craft bakery product has a wholesome image which is further
bolstered by adding natural ingredients like lecithin instead of chemical emulsifiers. Bread dough processed in these small bakeries does not suffer the same
physical abuse that a bread dough endures in a plant. The shelf-life expected of this
bread is limited. Crude lecithin helps the European baker as follows:
(a) To standardize the variation in flour quality and also get a loaf of desired
texture, taste and color.
(b) European bakery products have much lower fat addition, therefore inclusion of lecithin helps develop the crusty character and typical mouth feel
without high shortening levels.
Lecithin's potential in the baking and cereal industry is based on the characteristics of its constituent phospholipids:
(a) To emulsify.
(b) To combine synergistically with other additives like monoglycerides,
gums, enzymes, etc.
(c) To complex with protein to form lipoproteins as well as with starch and
other food ingredients.
(d) Ability of some phospholipids to retard oxidation.
(e) Most important, its natural and nutritional attraction to the customer.
9.2.3 Lecithin in breadmaking

Lecithin plays an important role in dough development, gas formation through

yeast fermentation and in bread staling. Phospholipids are important constituents
ofbread flour. Published literature (Mecham, 1978; Pomeranz, 1978) indicates that
bound wheat lipids are predominantly polar lipids, which have an important effect
on the rheological properties of bread dough (Figure 9.6).



Grosskreutz (1961) suggested a model in which two protein layers would be

connected by a molecular layer of phospholipids. He further suggested that the
bonding was salt-like between the acidic group of a polar lipid (phospholipid/glycolipid) and a basic protein group. He further stated that this model could form a
three dimensional network which had the ability to withstand plastic deformation.
PI and glycolipids, two of the major polar lipids found in lecithin, are both anionic
and can combine with the alkaline or neutral atom group in gluten to form a
lipoprotein complex. This in turn strengthens the gluten network improving gas
retention and loaf volume. Daftary eta/. (1968) reported that gas retention of flour
gluten was reduced when polar lipids of flour were extracted. Both Daftary et a/.
(1968) and Hoseney eta/. (1970) discussed the possibility of a gluten-glycolipid
complex and its positive effect on the gas retention of bread dough and resultant
increase in loaf volume. Pomeranz et a/. (1969) reported that the addition of
glycolipids countered the deleterious effect of soy flour on loaf volume. This was
confirmed by Inakumara eta/. ( 1989) who indicated that defatted flour resulted in
a decrease in dough mobility and water absorption. They further reported that
addition of soybean lecithin restored the original dough characteristics, and suggested interaction between flour proteins and lecithin phospholipids. Lecithin's
emulsifying properties can also improve the water absorption of bread dough. It
helps to pick up and minimize 'free water', which in turn can optimize water
absorption leading to drier doughs and improved handling properties. Sullivan
(1940) has confirmed that small amounts of lecithin improve dough feel.
Lecithin plays a role in optimizing gas production during yeast fermentation. It
has been reported that the fermentation rate of Saccharomyces cerevisiae decreases
in the presence of ethanol. Misra and Prasad (1988) reported that phosphatidyl
serine - a phospholipid present in lecithin, and similar to PE - gave S. cerevisiae
a greater tolerance to ethanol, thus improving fermentation rate. Paskova et a/.
(1988) reported that lecithin phospholipids support the growth of yeast by suppressing the synthesis of undesirable compounds like dehydro-ergosterol.
Lecithin can improve the keeping properties of bread and retard staling. As
discussed above, Sullivan (1940) has reported the ability oflecithin to minimize
water loss in the finished loaf and thus keep the bread fresher. More important,
lecithin has some ability to complex with starch. Kawakami (1962) reported that
lecithin, when added to starch slurries at levels varying from 0.1-1 0%, decreased
the gelatinization temperature of starch. Lysolecithins account for 90% of the
phospholipids found in wheat starch. Lysolecithin is also present in soybean
lecithin though in very small quantities and has the ability to form an inclusion
complex with the amylose fraction of starch.
Lecithin becomes particularly important at a time when low fat bakery products
are in increasing demand. The emulsifying ability of lecithin helps distribute the
fat better and can help reduce shortening requirements. Based on the fact that better
distribution of fats leads to fat reduction, fat/lecithin blends can help reduce fat
levels. Pomeranz et al. (1968) reported that when phospholipids were added to a
dough containing 3% shortening, there was little improvement in loaf volume. But



when added to a dough containing 0-0.5% shortening, an appreciable increase in

loaf volume and quality was reported. Coppock et al. (1954) confirmed this by
reporting that by adding phospholipids extracted from flour back to defatted flour,
loaf volume was improved.
9.2.4 Lecithin in cakes
Fat, sugar, eggs and flour are the principal ingredients in the preparation of cake
batter. When these ingredients are added to the water an emulsion is obtained,
which is partially a w/o emulsion but predominantly an o/w emulsion with sugar
and flour dissolved/dispersed in the aqueous stage. During the mixing, aeration
takes place with air incorporated into the fat phase resulting in a complex foam
combined with the emulsion. Egg yolk is very critical in stabilizing cake batters,
primarily because of the lecithin phospholipids which are part of the lipoprotein
complex. Lecithin's emulsifying abilities help give a stable and smooth batter and
a uniform texture due to foam stabilization. Bradley (1948) reported addition of
lecithin at levels of up to 2% of the shortening level improved batter flow and cake
structure. Due to the complex nature of the batter, emulsifiers used in cake baking
need to be multi-functional so as to promote and stabilize a foam as well as o/w
emulsion. Schuster and Adams (1984) reported a number oflecithin-based combinations with a blend of monoglycerides, polyglycerol monostearate, and lecithin
phospholipids which worked well in cakes.
During the initial stages of baking, there is an emulsion inversion from w/o to
o/w. At the intermediate phase ofbaking, the air bubbles in the foam are transferred
from the fat phase to the aqueous phase. Finally, heat-setting results in firm foam
cakes with a uniform cellular structure. It is theorized that phospholipids in egg
yolk are released at this stage to stabilize this complex emulsion (Shepherd and
Yoell, 1976). PC, a strong o/w emulsifier, and PI, a good w/o emulsifier, are both
present in soybean lecithin, making it a natural combination of 'lipophilic and
hydrophilic emulsifiers to provide optimum dispersibility and improved emulsion
stability'. Lee and Hoseney (1982) report that lecithin can be worked into a
shortening syst.~m to alter the crystal characteristics and give a low specific gravity
in cake batters resulting in larger cake volumes.
Finally, it must be noted that with a growing demand for lower fat levels and
reduction in cholesterol, there is a growing need for soy lecithin to assist in meeting
these needs.
9.2.5 Lecithin in doughnuts
A cake doughnut is a fried cereal-based food. It is unique in that it has a crisp golden
brown outer crust but an inner core which is similar to a baked product. The
volume and the relationship between height and spread of the doughnut contribute
to eye appeal.
A cake doughnut formula has approximately 5-6% egg yolk, 5-6% fat, and



0.1-0.25% lecithin based on the weight of flour. Cake doughnut batter is fried in
oil, which is the heat transfer medium. Therefore, it is important for proper fat
penetration into the doughnut batter. It has been reported that the fat absorbed
through frying is proportional to the fat added in the batter. To control and optimize
fat absorption without excessive fat addition, lecithin is added. McComber and
Miller (1976) conducted trials to evaluate the effect oflecithin in fat uptake during
doughnut frying. They reported that lecithin level had a major effect on fat
absorption and that lower levels of lecithin resulted in markedly lower fat absorption and vice versa. Thus, doughnut tenderness can be optimized through lecithin
levels. This is confirmed by the work of Bean et al. (1963) who reported that the
substitution of egg yolk solids for whole egg also improved fat absorption. The
phospholipids in egg yolk, besides optimizing fat absorption, also improved
doughnut volume. Del Valle et at. (1960) reported that the polar groups oflecithin
provide areas of attraction for protein. Mac Comber and Miller ( 1976) reported that
doughs containing additional lecithin improved the spread of the final doughnut.
Thus lecithin has an important effect in optimizing fat absorption, volume and
spread. Cholesterol reduction through replacement/reduction of egg yolk is a
current need. Phospholipids can help replace egg yolk and this is discussed in
detail later.
9.2.6 Lecithin in cookies

Cookie doughs are soft and pliable with specific handling properties tailored to
processing methods used. The shortening effect of fat modifies dough consistency.
Cookie doughs generally have substantial fat levels, especially the high fat sweet
doughs. The moisture in sugar and flour can make incorporation of fat difficult.
Mixing of cookie doughs is normally carried out to ensure proper incorporation of
fat. Excessive mixing results in gluten development. Addition oflecithin at 0.250.4% based on the level of flour improves fat dispersion and thus helps reduce
mixing time. Less mixing leads to reduced gluten development, which in tum
improves short eating characteristics. Lecithin can therefore improve fat distribution, reduce mixing time, improve machinability by giving drier doughs and,
finally, improve eating quality. By modifying dough consistency, cookies with a
better spread ratio can be obtained which improve eye appeal as well as eating
qualities (Matz, 1978). Cole et al. (1960) reported that the addition of soy lecithin
at 0.5% restored quality of cookies made from defatted flours, thus indicating the
potential oflecithin to help reduce shortening levels.
9.2. 7 Lecithin as a release agent

Lecithin by itself or as part of a oil/lecithin blend is a very good anti-sticking agent

for use in baking pans, band ovens, etc. The principle is to form a barrier between
the dough and the baking surface. Lecithin helps to form such a film between the
baked product and the baking 'metal'. If an oil/lecithin blend is used, the lecithin



component stabilizes the emulsion and spreads the oil film over a larger area giving
a thinner film with less fat. Usually, lecithin is used in such blends at a level of
5-10% ofthe oil level. Shimuzu (1988) showed that a combination of edible oil
and lecithin functioned as a superior release agent especially when compared to
edible oil by itself. He optimized a blend of 5% liquid soy lecithin in 95% edible
9.2.8 Lecithin as an anti-oxidant

With the growing move towards low fat products, there has also been a consumer
demand for the use of unsaturated fats in bakery products. Unsaturated fats are
much more prone to spoilage due to oxidation. Synthetic anti-oxidants are most
commonly used because of their overall superior functionality. Butylated
hydroxyanisole (BHA) is most commonly used in baking fats. A regulation
recently proposed in the United States, called California Proposition 65, requires
products containing BHA to have a carcinogenic warning on the label. This has
given a substantial impetus to the investigation of natural anti-oxidants. Tocopherols and herb extracts are most commonly used, but they are not as effective in
vegetable oils, have a potential flavor problem and are not cost effective (Anon,
A number of researchers have investigated the potential of lecithin as a natural
anti-oxidant. Kochenderfer and Smith (1932) reported that some samples of soy
lecithin acted as weak anti-oxidants. Earlier, Bollman (1926) reported that the
removal of lecithin from oil during the refining of vegetable oil resulted in the
refined oil having a greater tendency to rancidity. When he added lecithin at a level
of 0.05-0.1% to purified oils, he noted that the rancidity was delayed. Other
researchers have also investigated the efficacy oflecithin in baked goods. Ishinada
et al. (1988) reported that addition of phospholipids to palm oil used in preparing
dough for fried foods delayed the development of rancidity in the fried food. Jiang
et al. (1988) added 2--4% phospholipids to edible oils and heated the oil to
180-200F. This oil was then used in the manufacture of crackers and pastry. They
report that the products had anti-oxidative stability of up to 44 days as compared
to 7 days for products without the phospholipids. In the United States, Zielenski
and Ebner (1989) reported that liquid soy lecithin was added at a level of250 ppm
to palm kernel oil containing 40-60% lauric acid. The lecithin was added in
combination with citric acid and an improvement in oxidative and hydrolytic
stability was reported.
The mode of the anti-oxidative action is not fully understood. Dziezic and
Hudson (1984) suggest that phospholipids act as synergists which enhance the
activity of the primary anti-oxidants. They further suggest that PE and similar
phospholipids are primarily responsible for this action. Metal ions catalyze autooxidation and PE delays this action by sequestering metal ions. Lecithin is reported
to specifically have a synergistic effect when combined with tocopherol. A product
has been marketed in Europe which combines a-tocopherol, ascorbyl palmitate



and lecithin. Combinations having lecithin and gum guaiac have been reported to
be commercially used in the United States.

9.3 Miscellaneous bakery applications

9.3.1 Bakery coatings
Chocolate coatings are a very common and important addition to baked goods like
cakes, doughnuts and other sweet goods. Enrobing/coating of baked goods improves the appearance, enhances the flavor and extends the shelf-life. Soy lecithin
is very unique in its ability to control the viscosity of coatings. Optimization of
lecithin levels can help to balance the need for sufficient viscosity to ensure proper
flow with the need to minimize waste due to dripping. Finally, lecithin helps the
coating set quickly, have a non-sticky surface and sufficient structural strength.
Lecithin is added at a level of0.25-0.5%. Martin (1987) reported that a combination
of 31% cocoa butter combined with 0.3% soy lecithin gave the same fluidity as
37% cocoa butter, i.e. a substantial cost saving.

9.3.2 Dry mixes

Lecithin improves the wettability of dry mixes. It is generally added along with the
shortening or sprayed on to the dry ingredients during the blending process. In dry
bread mixes, lecithin also functions as a gluten developer as well as improving
water absorption. In cake mixes, it functions as an emulsifier and also as an
anti-oxidant (Preston, 1989). Addition oflecithin can help reduce fat levels as well
as egg yolk addition in cake mixes.

9.3.3 Lecithin- regulatory aspects

The Food and Drug Administration (FDA) in the United States (Anon, 1978) has
specified that commercial lecithin is a naturally occurring mixture of the phosphatides choline, ethanolamine and inositol. The FDA further states that lecithin may
be bleached if desired and the bleaching agent permitted is either hydrogen
peroxide or benzoyl peroxide. FDA further affirms that lecithin must meet the
specifications ofthe Food Chemical Codex (FCC).
FCC (National Research Council, 1972) states that food grade lecithin may be
obtained from soybeans or other plant sources. The consistency of native liquid
lecithin may vary from plastic to fluid depending on the level of fatty acids, oil or
other diluents. The color may vary from light yellow to brown depending on the
source of the soybean as well as whether it is bleached or not. Lecithin has a
characteristic odor and a slight beany flavor. The Code of Federal Regulations lists
lecithin as 'generally regarded as safe' (GRAS) for multiple food uses.
In Europe, lecithin is permitted as a food additive under regulation referring to



E 322. Lecithin is described as a mixture or fraction of phospholipids obtained by

physical procedures from animal or vegetable sources. Lecithin may be bleached
by the use of hydrogen peroxide as long as there is no modification of lecithin
phospholipids. In Europe, the term lecithin also covers hydrolyzed products of
lecithin obtained through the use of harmless and appropriate enzymes as long as
the final product does not have any residual enzyme activity (Official Journal of
the European Communities, 1982).
9.3.4 Lecithin- specifications

Lecithin is commercially available in the following grades:

1. Fluid lecithin -unbleached, bleached or double bleached.
2. Plastic lecithin- unbleached, bleached or double bleached.
Commercial specifications for lecithin can be summarized as follows:
01 an Nieuwenhuyzen, 1976; National Soy Bean Processors Association Yearbook,
1988-89; Lanz, 1988)
Acetone insolubles
Acid value
Hexane/benzene insolubles
Peroxide value
Color (Gardner Scale)

10 meqlkg
12-18 Acetone insoluble (AI). When lecithin is extracted with acetone, the oil and
fatty acids are removed. The insolubles are predominantly phospholipids. 'Acetone
insolubles' is a comparative indicator of the level of phospholipids in lecithin. FDA
specifies that lecithin should have at least 50% AI. Commercial lecithin is expected
to have an AI value of 60-65%. Acid value (A V). Acid value measures the total titratable acidity (TTA) by
measuring total potassium hydroxide needed to neutralize the acids in 1 g of sample.
Both phospholipids and free fatty acids contribute to acid value. Consistency of
lecithin varies from viscous to thick flowing to free flowing. Since lecithin's
flowability is often increased by addition of fatty acids, the acid value can reflect
flowability. Thus, plastic lecithin has an AV of around 30, but fluid lecithin varies
from 32 to 34. Since acid value also indicated lecithin degradation, FCC has
specified an AV of 36 as the maximum acceptable. Moisture level. Moisture level of lecithin is generally around 1% with a

maximum of 1.5% permitted in some instances. Keeping moisture as low as

possible is important because (a) Low water level improves microbial safety oflecithin.



(b) Higher moisture levels increase viscosity of lecithin making handling

difficult. Conversely, viscosity of lecithin can be reduced by lowering

moisture content to below 0.3%. Hexane/benzene insolubles. This is a reflection of the purity of native
lecithin. It measures impurities like seed particles etc. FCC specifies 0.3% as the
maximum acceptable, but modem filtration methods can now reduce impurities to
around 0.1 %. The traditional method for measuring impurities has been the benzene
insoluble method but, due to toxicity reasons, there is a growing preference for the
hexane insoluble method. Peroxide value. This measures peroxides or other products offat oxidation
which, if not controlled, can lead to flavor and odor deterioration. Color. Native crude liquid lecithin normally has a brown color due to a
combination of pigments. The color can be 'lightened' by bleaching with either
hydrogen peroxide or benzoyl peroxide. Hydrogen peroxide affects the peroxide
valve (PV) adversely, thus limiting the level of bleaching permitted. A subjective
color range called the Gardner Scale is commonly used to quantify color. Double
bleached lecithin has a Gardner color of 12, single bleached lecithin has a value of
14 and unbleached lecithin is around 18.
9.3.4. 7 Bacteriological properties
Total count (aerobic)
Bacteria of the coli aerogenous group
E. coli

1000/g maximum
50/g maximum
50/g maximum

Good lecithin generally meets these specifications. The low moisture levels in
lecithin help in maintaining an excellent bacteriological profile. Deoiled lecithin (Myers, 1954; Flider et al., 1981, 1983). Liquid lecithin
has some practical handling problems due to its viscous nature. During storage,
particularly in cold conditions, lecithin tends to stratify with the phospholipids,
forming a thick bottom layer and the oil forming a lighter top layer. This in turn
leads to variation in functionality. The handling problems can be improved by
fluidizing lecithin, through the addition of oil or other diluents. This method
minimizes separation, but does not eliminate it. More important, there is a tendency
to dilute the phospholipid level.
Deoiling, on the other hand, results in a dry powder which has both the desired
functionality and immensely improves the handling properties. FCC describes
oil-free lecithin as a product where 'the preponderance oftriglycerides and fatty
acids is removed and the oil-free powder contains 90% or more phospholipids ...



the oil-free phospholipids are soluble in fatty acids but insoluble in fixed oils'.
The process of deoiling consists of four steps as described by Flider eta/. ( 1981,
1. Separation by acetone extraction - crude lecithin is dissolved in acetone,
the oil fraction dissolves and the lecithin precipitates. Acetone flow level
and mixing time need to be optimized to minimize oil contamination in
precipitated product.
2. The precipitated material is decanted to give concentrated deoiled product.
3. The deoiled product is then granulated into large granules, fme granules or
powder. The lower the oil contamination, the better the granulation.
4. The granulated/powdered product is then dried to give a moisture level less
than 1.5%.
Deoiled lecithin has much better handling and storage properties. It has unique
functionality in products where the surface activity of the phospholipids is critical
without the negative effects of the oil. An example is whipped foams which are
damaged by the presence of triglycerides but function very well with oil-free

9.4 Lecithin- chemical modification

Among the first emulsifiers used in the baking industry in the United States were
the mono-diglycerides. By the mid 1950s, lecithin was first used by the baking
industry because of its ability to combine both with protein as well as wheat starch.
Mono-diglyceride is an excellent starch complexing agent and therefore extends
shelf-life, but it has minimal protein complexing ability. To counteract this deficiency, the emulsifier industry developed products through chemical modifications
to give specific and concentrated functionality. A particular example is ethoxylated
monoglyceride which has unique protein complexing capabilities (Birnbaum,
1977). Lecithin, by its very nature, is a non-standard product and a starch and
protein complexer of moderate ability. The lecithin industry has made efforts to
improve functionality by means of chemical modification. The major chemical
modifications of lecithin are:
(a) Acetylation. The hydrophilic character oflecithin and its ability to function
as an o/w emulsifier is dependent on the level of PC and the ratio of PC to
PE. PE tends to be slightly more of a w/o emulsifier, thus depressing the
o/w characteristics. By acetylation of PE, the o/w characteristics can be
improved. The process is basically carried out by agitating lecithin with
acetic anhydride at specific temperatures for a specific time. Process can
be carried out either prior to degumming or the acetic anhydride can be
added directly to the lecithin gum. The amino group of PE is acetylated,
but if excessive levels of anhydride are added the hydroxyl groups of



phospholipid will be acetylated which may lead to decrease in emulsifying

power (Van Nieuwenhuyzen, 1976). Acetylated lecithin is approved as
GRAS for use in food and bakery products, but must be labelled as such.
(b) Hydroxylation. Another method of improving water dispersability of lecithin is by hydroxylation. In this process, the lecithin is mixed with lactic
acid, heated to a temperature of about 50C but below the decomposition
temperature of the phospholipids and then mixed and agitated with hydrogen peroxide. Resultant product is neutralized and dried. By this process,
the double bonds of the unsaturated fatty acids are hydroxylated and some
modification ofPE is also reported. Iodine value (IV) measures the degree
of unsaturation of fats. Crude lecithin generally has an IV in the 95-100
range; hydroxylation is conducted until there is a 10% drop in IV, i.e. to
about 85 (Van Nieuwenhuyzen, 1976).
Hydroxylated lecithin is lighter in color than crude lecithin and is a better o/w
emulsifier and consequently has an improved water dispersibility when compared
to native lecithin. Hydroxylated lecithin also increases farinograph development
times and thus indicates an improvement in dough strength. Glabe and Jerston
(1968) reported that hydroxylated lecithin improved dough stability and loaf
volume in the presence of potassium bromate. They also reported that a combination of hydroxylated lecithin and carrageenan helps reduce bromate level. Some
manufacturers ofhydroxylated lecithin claim an improvement of dough handling
properties with the use of this product. It has also been used to improve whipped
toppings, and has shown synergy with mono-diglycerides.
9.5. Lecithin- enzyme modification

One of the newer and more important developments in lecithin processing has been
the recent introduction of enzyme modified lecithin (EML). EML is obtained by
the partial hydrolysis oflecithin through the use ofphospholipase A. Phospholipase
A (PL-A) is derived from human or porcine pancreas. The enzyme obtained from
porcine pancreas is commercially used and it generally hydrolyzes the phospholipid at the ester bond between glycerol and fatty acid at Cz (Figure 9.7).
The lecithin/phospholipid after hydrolysis is called lysolecithin. The enzyme is
deactivated and the EML is generally dehydrated to paste form by removal of the
triglycerides and fatty acids, or spray dried with a carrier to a powder form.
The degree of modification is a ratio of the amount oflysolecithin formed due


CHz-O-C-O-R 1

Figure 9.7 Hydrolysis of lecithin using phospholipase A (PL-A).



Table 9.7 Comparative phospholipid and fatty acid levels

oflecithin and lysolecithin"
Other PL
Other LPL




2.1 0"/o

Adapted from Nieuwenhuyzen ( 1981) and Pardun


to enzymatic hydrolysis, to the initial amount oflecithin and is expressed on a mole

basis. The amount of lecithin formed varies from 50-80 mole percent of total
phospholipids depending on the modification (Table 9.7).
Table 9.7 shows that: (a) PC and PE are more conducive to hydrolysis, and PI
is less so; (b) the level of lysophospholipid (LPL) in native lecithin is very small
as is the level of free fatty acids (FF A); and (c) EML has a substantially higher
level of FFA which needs to be extracted for obvious reasons. The typical
specifications for enzyme modified lecithin are acetone insoluble, 50 min; acid
value, 40 max; peroxide value, 10 meq/kg max; and moisture, 1% max.
LPL is a normal metabolite of phospholipid and is a intermediate both in the
synthesis and break down of lecithin/phospholipid. It is naturally present in trace
quantities in lecithin obtained from animal and vegetable sources (Rossiter, 1968).
The enzyme treatment improves the hydrophilic character ofEML as lysolecithin
is much more hydrophilic than native lecithin and is overall both a better and more
multi-functional surfactant. The consistency as well as the body of many food

emulsions depends on the fat level. As the fat level is decreased, gums and modified
starches are often used to give and maintain desired viscosity. But after a certain
level, addition of gums/starches cause emulsions to lose their flow properties. Van
Dam ( 1978) reports that lysolecithin not only improves emulsion stability but also
increases the viscosity without loss of flow properties.
Lysolecithin is more than an emulsifier. It has unique protein and starch
complexing properties which are substantially more pronounced than in native
lecithin. Morrison eta!. ( 197 5) and Weihrauch and Son (1983) have reported that
most of the lysolecithin in wheat flour is present in the starch and further that it
forms an inclusion complex with amylose, somewhat similar to mono-diglycerides.
Acker and Becker (1972) extracted lysolecithin from wheat starch and evaluated
its effect in bread baking, results of which are summarized in Table 9.8.
These results confirm the potential oflysolecithin to act as a dough conditioner.
Ohta eta!. ( 1983) confirmed the above by using EML instead of native lysolecithin.
They reported that when they added 0.4% EML to a bread dough, the resultant
bread had volume comparable to bread with SSL and loaf softness comparable to


Table 9.8 Effects oflysolecithin in bread baking
Lysolecithin level



Bread volume


bread with monoglycerides. They further indicated that an EML- gluten complex
can substantially improve gluten functionality. EML is used in food and bakery
manufacturing in Europe and Japan. In the United States it is awaiting final
approval as a GRAS substance.
Hydrolysis of phospholipids can also be conducted by acids and alkalis. However, this method is not specific and in such cases basic groups like choline and
ethanolamine may be attacked before the fatty acids are attached at the ester

9.6 Lecithin- fractionation

Lecithin is a natural blend of uniquely functional phospholipids. Being natural,
there is a variation in the amounts of the phospholipids and therefore, like most
natural products, there is a lack of standardization. It is also a blend of conflicting
functionalities, e.g. PC is a strong o/w emulsifier and PI is a strong w/o emulsifier.
When these are blended together in lecithin, they can mutually depress functionality, resulting in moderate functionality and a lack of selectivity.
As previously discussed, chemical and enzymatic modifications oflecithin help
strengthen specific functional properties. A recent development in the effort to
optimize the functionality of lecithin is fractionation into its component phospholipids. This can potentially result in a product with specific and controlled
functionality. The process of fractionation does not involve any chemical modification but only separation and concentration of individual phospholipids.
The major phospholipids in lecithin are PC, PE, and Pl. These phospholipids
have different solubilities in ethanol. PC is comparatively more soluble in ethanol
and PI the least soluble in ethanol.
Figure 9.8 schematically describes the first separation based on solubility. Crude
lecithin is a combination of phospholipids, a fraction high in PC is found in the
ethanol soluble portion and, conversely, the ethanol insoluble fraction is high in
Pl. PE is found in both fractions. Thus, if the PC level in crude lecithin is
approximately 15%, then the alcohol fractionation may result in the PC level being
increased to 25%. Further, if the original level ofPE was 15%, after fractionation
the level ofPE in the ethanol soluble fraction may be 6-10%. Besides concentrating
PC, we note that the PC : PE ratio has changed from about 1 to nearly 2.5. This
results in making the alcohol-soluble fraction increasingly hydrophilic (Silva,
1990; Van Nieuwenhuyzen 1976, 1981). Similarly, the alcohol insoluble fraction




Ethanol insoluble


Ethanol soluble


Figure 9.8 First separation oflecithin phospholipids based on solubility.

which will be high in PI content will be a potent (w/o) emulsifier. This shows that
a simple fractionation based on alcohol solubility can result in lecithin fractions
with specific, selective and standardized functionality. The second stage in fractionation involves purification by chromatography. Basic chemistry of this is not
very complicated. The problem has been to take the chromatographic separation
from the laboratory stage to an economically viable commercial process (Silva,
1990). Recent patents (Gunther, 1984) describe methods to take the ethanol soluble
fraction and conduct a chromatographic separation which results in increasingly
concentrated PC and PE. PC fractions ranging in purity from 25-92% can now be
obtained as can pure fractions ofPE. The PC: PE ratio can also be controlled.
As a result of these new methods of fractionation, it is possible to obtain pure
phospholipids. Such products, though expensive, are finding growing acceptance
in drugs and cosmetics. The technology can be modified to meet both the specific
functional needs and the economic parameters of the baking industry. Phospholipids can be made/fractionated whereby the fractions needed for specific
function are concentrated and phospholipids with detrimental properties are eliminated or reduced. FCC (National Research Council, 1972) specifies that 'refined
grades oflecithin may contain these components (PLS) in varying proportions and
combinations depending on the type of fractionation used'. Those phospholipids
derived through fractionation are particularly important in the baking industry. PC
and PE are structurally related. PC is amphotheric and is a strong o/w emulsifier.
PE is also amphotheric but tends to be more on the w/o side of the emulsifying
scale. Adjusting the PC:PE ratio helps change and control emulsifying characteristics. PI differs from other phospholipids in that it has only a negative charge as
well as a cyclic derivative of glucose and is a strong w/o. Since it is anionic, it has
the ability to complex with protein. Another important polar lipid that may be
separated in this process is a glycolipid. Glycolipids contain carbohydrate (CH)
chain attached to a ceramide. The CH may range from a simple monosaccharide
to complex structures. Most important, it contains a negative charged head group
and thus is anionic with properties similar to Pl.
Silva ( 1990) reviewed the functionality of phospholipids in the baking industry.
PC and PE are generally more effective in cakes, doughnuts, etc. and PI has more
functionality in bread dough. Important uses of fractionated lecithin are discussed
(a) Cakes.

A cake batter is a complex system, a combination suspension and


Table9.9 Lecithin phospholipids in yellow layer cakes
(specific volume specific
gravity) (cc)
Cake emulsion 1%
Sample 1
Cake emulsion 1%
Fraction =1%


Sample 2
Cake emulsion 0.5%
Fraction =0.5%
Lower figures signify softer cake.













an emulsion. As an emulsion, it is not very clear whether it is an o/w or w/o

emulsion. Through the various stages from batter mixing, through scaling
and the various baking stages there is probably a certain amount of inversion. The ideal emulsifier for such a system has been a combination of egg
yolk and chemical emulsifiers (Johnston and Favor, 1947). With the growing demand for low fat, low cholesterol and natural products, the fractionation of lecithin opens the possibility of making an emulsifier system with
multi-functional capabilities based on combinations of lecithin phospholipids. Table 9.9 summarizes some trials which indicated that lecithin
fractions high in choline but low in PI increased the volume and softness
of cakes (Silva, 1990).
Because of the better emulsifying capacity of high choline fractions, fat
distribution is improved, thus permitting reduction in fat addition. Blends
of PC and PE complement traditional chemical emulsifiers and help improve cake tenderness, volume and internal characteristics. Such lecithin
fractions can help reduce/replace egg yolk. Optimizing the properties and
levels of PC and PE and reducing the level of PI is reported to be critical
in developing fractions for use in cakes and other sweet goods.
(b) Egg yolk replacers. Egg yolk is a standard and critical ingredient in cakes
and other sweet goods. It serves as an emulsifier as well as contributes to
structure development. It is generally understood that the emulsification
depends on the phospholipids contributed by egg yolk lecithin. Table 9.I 0
compares the phospholipid profile of soy lecithin and egg yolk lecithin. Egg
yolk lecithin contains trace amounts ofPI but much higher levels ofPC and
a PC:PE ratio of approximately 4: I. Soy lecithin on the other hand contains
appreciable content of PI and a PC:PE ratio of about 1.2. Through alcohol
fractionation, it is possible to mimic the composition of egg yolk lecithin
by reducing/eliminating PI and adjusting the PC:PE ratio from 1.2 to nearly



Table 9.10 Phospholipid profiles of soy lecithin and

egg yolk lecithin (from Silva, 1990)


Soy lecithin

Egg lecithin

4.0. Complexing such combinations of soy lecithin phospholipids with

hydrocolloids, starches and gums to form lipoprotein-like complexes can
result in systems which can replace egg yolk functionality and eliminate
(c) Bread. Ability to complex with protein is the basis for a good dough
conditioner. Polar anionic surfactants like PI interact with wheat protein to
form lipoproteins. Tsen (1974) improved bread quality by adding glycolipids to protein fortified bread. Coppock eta/. (1954) reported that acetone
insoluble fractions oflecithin which are high in PI and glycolipids improved
the loaf volume and quality of bread made from defatted flour. Table 9.11
summarizes the work reported by Silva (1990) in using fractions in breadmaking. These fractions high in PI and glycolipids improve loaf volume
and characteristics in a manner similar to that of SSL. MacRitchie (1980)
also explained the potential combination of glutenin with phospholipids to
improve dough strength. PI and glycolipids have been confirmed to have
improving action when added at levels of 0.25-0.6% based on the weight
of flour. PC is an important constituent of wheat flour lipids but more work
needs to be done to ascertain its importance in breadmaking. From the data
presented in Table 9.11 he suggests that 'inositol rich fractions oflecithin',
function as dough conditioners/strengtheners.
(d) Release agents. Lecithin is a standard component of commercial release
agent blends. Such release agents tend to brown on heating due to aminealdehyde reaction between PE and aldehydes from sugar. Fractions of
lecithin with reduced levels of PE minimize the potential for browning in
a high temperature release agent.
Table9.11 Use oflecithin fractions in breadmaking
Proof time
Average loaf
Dough conditioner

Loaf volume


Monoglyceride 0.5%
Lecithin fraction-A
Lecithin fraction-Bb
Lecithin fraction-A is the ethanol insoluble fraction with high concentrations of PI and glycolipids.
~ecithin fraction-B is the deoiled version of lecithin fraction A, it is therefore phospholipid concentrated without soy oil.
Silva (1990) reports that this set of tests was done using a standard whole wheat bread formula.



(e) Wetting agents. Lecithin is commonly used as a wetting agent. Fractionation of lecithin pennits optimization of the wetting characteristics. Fat
coated powders are lipophilic and PC/PE blends will function better that
native lecithin. Further, as fat level in the powder increases, making the
powder highly lipophilic, an increase of the proportion of PC in the PC/PE
blend will further improve wetting abilities of high fat powders.
(f) Liposomes and phospholipids (Crowe and Crowe, 1988; Kajimoto and
Hanada, 1989; Lasic, 1988). A substantial amount of basic research has
been conducted in the area of phospholipid and liposomes. Whilst the basic
research has concentrated on the use of liposomes in drug therapy and
cosmetics, the potential in foods is very substantial. The main functional
components of lecithin nonnally fonn bilayers. They are 'amphipathic'
molecules with a hydrophilic head group and two hydrophobic/lipophilic
groups. When dispersed in an aqueous environment, phospholipids have a
tendency to fonn multi-lamellar vesicles (ML V), which are spherical
self-enclosed structures with diameters greater than I 000 nm and ranging
to several microns (see Figure 9.9). In MLVs, the lipophilic fatty acids are
arranged in the interior and hydrophilic head groups are oriented on the
outside towards the water phase. ML V, as the name suggests, consists of a
number of concentric spheres of lipid bilayers separated by liquid/water.
MLVs have a tendency to aggregate on standing often leading to phospholipid sedimentation.
To ensure prolonged stability, MLV can be changed into large unilamellar vesicles (LUV) and further into small unilamella vesicles (SUV), by
application of physical force like stirring, shaking, vortexing or sonication.


~n~u~;;;~;.~;;~n;~;n~;;~,,~,~'"~''- ~- ~1

J1 )))) n 1J 1ss ;;s;; IJJJh n

)II/I >I )I I )IIIII 1 1J If)) 1


Figure 9.9 Possible schematic representation of the formation ofMLVon the hydration of the dry
phospholipid film. (From Lasic, 1988.)



Liposomes/vesicles are characterized by the number of bilayer membranes and mean size/diameter of the vesicles. MLV consists of several
consecutive membrane layers with diameters above 1 !-liD. LUV, as the
name suggests, have single vesicles with a maximum diameter of 11-!m, but
generally between 150 and 400 nm. SUV, also known as liposomes, are
surrounded by one membrane and have diameters of 20-50 nm. Besides
reducing the vesicle size, a number of chemical methods are used to further
stabilize vesicles. A simple and common method to prevent aggregation is
the addition of monosaccharides. The sugar interacts with the phospholipids through the formation of hydrogen bonds with the phosphate of
the head group of the phospholipids. Liposomes are models ofbiological
cell membranes and have two important potential uses in baking - encapsulation and transport.
(i) Encapsulation. PL vesicles can encapsulate and protect the encapsulated
materials. The vesicles encapsulate part of the solvent in which the PL is
suspended. Different types of solvents can be encapsulated. Lipophilic
substances can be encapsulated because the interior of the PL bilayer is
lipophilic. Amount of oil incorporated depends on lamellarity of vesicles,
thus MLVs have a higher capacity to incorporate lipophilic material.
Hydrophilic substances can be encapsulated both in the internal and external phases of the vesicles. Hydrophilic properties result in a number of
liposome combinations, e.g. water-soluble proteins can form a protein liposome combination. The amphiphilic nature also facilitates vitamin
encapsulation, e.g. ascorbic acid.
(ii) Transportation. Vesicles interact with cells by absorption, lipid exchange
and fusion. This gives phospholipid vesicles/liposomes the ability to function as transporters depending on the relative charge on membranes and
particle size. Once inside specific cells, liposomes can be resorbed and the
encapsulated material released by physical or chemical stimuli like temperature, pH, Ca ions, etc. Liposomes are ideal biological carriers; they can
protect and deliver active components to specifically targeted intra-cellular
areas. These properties allow liposomes to be used as delivery systems in
cosmetics and medicine. European companies have taken the lead in using
liposomes for cosmetics. Such liposomes penetrate the skin, are resorbed
by the cell and improve bioavailability of encapsulated material. A number
of commercial moisturizers now use liposomes to transfer moisture for
optimum skin conditioning. In medicine, liposomes are used for drug
delivery, gene transfer, etc. to specifically targeted areas. Liposomes are
non-toxic and biodegradable. The ability of PL vesicles to protect encapsulated material, transport and then release it at specific areas and at specific
times opens up substantial potential for use in the baking industry.



Alkhalaf et al. (1989) have reported the encapsulation of proteolytic enzymes

for cheese ripening. They indicated that:
(a) Positively charged liposomes were found to be the best in entrapping
(b) Ionic liposomes were more stable than neutral liposomes and that positively charged liposomes had the best stability.
(c) Optimum conditions for release of enzyme were studied and it was reported
that pH, temperature and N aCl concentration had the most prominent effect.
Overall, it was reported that such liposomes entrapped proteinase and
accelerated cheese ripening due to more progressive proteolysis. Positive
effects on development and control of bitterness were also reported. This
opens up the potential for encapsulating bakery enzymes especially proteases to improve dough conditioning as well as shelf-life extension in baked
The author has investigated a number of other potential uses of vesicles and
liposomes in baking, and some are reported below.
1. Lecithin fractions with increased levels of PC and PC/PE blends form
vesicles in the presence of water which increases the surface activity and
helps starch complexing resulting in retardation of staling.
2. PL vesicles can be used to encapsulate yeast for preparation of frozen
doughs. Such encapsulation protects the yeast, and reduces yeast damage
during freezing and storage.
3. Phospholipids high in PC/PE levels form vesicles which improve yeast
fermentation resulting in improved gas formation. It is possible that the PC
vesicles/liposomes function as yeast food whilst the PE improves tolerance to ethanol as previously indicated. When made into vesicles, the
PL has the potential of entering the yeast cell to perform the function
mentioned above.
4. Fat substitution/reduction: liposomes are minutely small vesicles which roll
on the tongue and give the same lubrication and flavor perception as
shortening. Further, phospholipids have emulsification properties which
have been described previously and which are improved by the formation
ofliposomes. Such liposomes when combined with starch and/or hydrocolloids may form a fat replacer system for use in baked goods. Such combinations not only have the capacity to give lubrication and emulsifying but
also to help in structure formation similar to fat. Further, phospholipid/liposome-based fat replacers can be used in food systems where heat is used.
Fractions of lecithin with a high level of PC were found to give the best
liposomes for fat replacement systems. Such liposomes when mixed into
shortening used in sweet goods improved fat distribution, thus allowing fat
reduction of at least 50%.



9.7 Final comment

It is very clear that the market in the United States, Europe and the rest of the world
is looking for food emulsifiers which are natural, nutritional and uniquely functional. Lecithin is a nutritional emulsifier with moderate functionality but the best
of the natural surfactants. Through chemical and enzymatic modification, lecithin
can be made more functional and versatile. Finally, through the new technology of
fractionation, lecithin phospholipids can be derived which are natural and as good
as chemical emulsifiers in terms of their functionality.

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10 Sensory evaluation

10.1 Sensory properties of bakery products

10.1.1 Introduction

Many attributes of bakery products, like all food products, can be measured only
by sensory techniques. Because some chemicals are additive and others are
suppressive, the amount of sweetness or bitterness that a person perceives does not
relate directly to the amount of sugar, acid or bitter components measured by
chemical methods. Crispness, cohesiveness during mastication, and acceptability
are only a few of many characteristics that cannot be measured by any physical or
chemical test. Understanding the sensory perception process and the interrelationships of sensory properties to acceptability is fundamental to successful marketing
of fmished bakery products. A cognizance of the differences in assessing sensory
versus chemical or physical characteristics is essential for the appropriate, accurate
and precise measurements that are vital to making production and marketing
decisions. An unbiased appraisal of alternate ingredients and processes or of
scale-up formulation efforts assures that reliable information is obtained for those
decisions. Appropriate measurements of the interrelated sensory properties will allow
one to 'trouble-shoot' in the market place, develop products more likely to succeed
than fail, and set standards for raw materials, ingredients, and finished products.
Sensory properties include whatever we smell, taste, see, hear and feel with our
senses and are manifest in the flavor, texture and appearance of products. The
interrelationship of sensory properties is shown in Figure 10.1 (Kramer, 1972).
Periodically, users and nonusers of sensory testing will refer to it as 'organoleptic'
testing, which Pangborn (1989) charitably described as a picturesque, but archaic,
term. A recognition that sensory receptors, not organs, respond to temperature,
pain, touch, pressure and chemical stimuli indicates the need for the more precise
term, 'sensory,' to describe the discipline. Fast, reproducible estimates of a bakery
product's sensory properties by chemical, physical or instrumental measurements
can be developed only when we adequately understand the sensory processes.
10.1.2 Flavor

Flavor includes both the aromas and tastes of a food. Flavor is the result of the
chemical stimulation of taste buds in the mouth, olfactory end organs in the nose,



Figure 10.1 Representation of the overlap of sensory properties with primary properties of flavor,
kinesthetics and appearance on the periphery (adapted from Kramer, 1972 with permission of the Institute of Food Technologists).

and end organs of feeling in the mouth, throat and nose. Aromas can be perceived
separately from flavor: anyone who has smelled the aroma of freshly baked pan
bread filling a room knows this intuitively. Odors are the volatile, determinative
characteristics of flavor. Tastes are perceived orally as they go into solution; they
include sweet, sour, salty, bitter and, arguably, metallic and umami tastes. These
tastes, plus the many thousands of aromatics (volatiles perceived when the food or
beverage is in the mouth), in their various intensities, are interwoven to provide
infinite flavor experiences. Foods can have numerous chemicals that are released
during eating, but not all will be individually sensed.
Tastes can stimulate, complement or mask each other. For example, sweetness
reduces the intensity of acid and bitter, and acids enhance the intensity of bitter,
salty, and sweet tastes. If the product contains both sweet and bitter substances, the
order in which they are perceived will influence the total qualitative evaluation.
The order in which flavor notes are perceived can, in fact, vary widely with more
or less ofjust one compound. Furthermore, bitterness is not detected by about 30%
of the population, who have 'taste blindness', or a greatly reduced sensitivity, to
phenyl thiourea. Bitterness and sweetness also can be suppressed by gymnematic
acid, but maltol is an example of a flavor potentiator found in many bakery products
not usually detected by itself but that can enhance the taste intensity of other
The concept of flavor is complex and includes many identifiable and unidentifiable components. Materials can be added to provide specific flavorings and those
materials are divided into several groups including spices and herbs, essential oils
and their extracts, fruits and fruit juices, plant extracts, and synthetic flavorings. In



addition, flavor includes the feeling factors perceived from chemical stimuli, such
as the bite of pepper, the burning sensation of capsaicin, astringency from tannins,
the cooling effect obtained from menthol, or the tingle associated with carbonation
in beverages.

10.1.3 Texture
Texture is critical to a bakery product's appearance, flavor, and overall acceptability. Researchers frequently have tried to evaluate a product's texture by measuring
its physical and chemical properties. However, as stated by Kapsalis and
Moskowitz ( 1977), 'The relationship between mechanical measurements oftexture
and sensory ratings has its foundation in two inherently different measuring
capabilities: (1) the machine, which is more reproducible than the human sensor
but "too simple" to completely describe such a multidimensional attribute as
texture; and (2) the human being, which, with its immense complexity, problems
in calibration, and tendency to drift, is difficult to fit into an equation.'
Texture is 'the sensory manifestation of the structure or inner make up of foods
perceived by the tactile and kinesthetic senses of skin and muscles' (Civille and
Szczesniak, 1973). Textural characteristics of bakery products include such attributes as aerated, crispy, crumbly, gummy, soft, hard, flaky, moist, tender and tough.
If the bakery product contains fluid or semi-solid fillings, such as a fruit-filled
pastry, consistency terms that might apply include gluey, sandy, sticky, viscous,
thick and watery. Classical general definitions of the multiple textural attributes
have been presented in several discussions (Brandt et a/., 1963; Szczesniak, 1963;
Szczesniak et al., 1963, 1975). Further examples of terms that have been used for
a variety ofbakery products are given in Hansen and Setser (1990). The parameters
are divided into three groups according to the most commonly used system for
classifying textural attributes sensorially (Szczesniak 1963, 1975, 1986):
1. Mechanical characteristics are the reactions of the food to stress perceived
by the kinesthetic sense, including hardness, cohesiveness, brittleness and
2. Geometrical characteristics are related to size, shape and orientation of the
particles perceived by tactile nerves in the mouth or by touch, such as gritty,
grainy, flaky, stringy and smooth.
3. Other characteristics include the mouthfeel attributes related to the perception of fat and moisture during chewing and swallowing. These attributes
are perceived from physical stimuli and should not be confused with feeling
factors from chemical stimuli that are included in flavor perception. The fat
content can be evaluated for not only the amount present but also for the
type and rate of melting and mouth-coating. Moisture content can be
evaluated for the degree present and the rate and manner in which it is released
or absorbed. In some bakery products, the amount of moisture present is more
important than the rate at which it is released (Brandt et al., 1963).



The mechanical characteristics are further subdivided into:

(a) Primary attributes of hardness, cohesiveness, viscosity, springiness and
adhesiveness expressed popularly by terms such as soft, firm, thin, viscous,
plastic, elastic, sticky or gooey; and
(b) Secondary attributes offracturability, chewiness and gumminess involving
interactions of more than one of the primary attributes, which include the
characteristics described as crumbly, brittle, tender, tough, mealy and
The geometric characteristics of size and shape relate to discrete particles that
are relatively harder than the surrounding medium. Examples of such characteristics in order of increasing particle size are powdery, chalky, gritty, grainy and
coarse. Geometric characteristics relating to shape and orientation are associated
with the different arrangements organizing the structure within each product.
Examples include flaky, fibrous, puffy, cellular, aerated, pulpy and crystalline
(Brandt et at., 1963).
Noise is yet another component of the textural perception of a food. Vickers and
Wasserman (1979) used multidimensional scaling and found that crispness and
crunchiness were closely related when evaluated as sounds, which agreed with
work ofMoskowitz and Kapsalis (1974), who further found that crunchiness was
related to both crispness and hardness. Sounds are pertinent for some cookies and
crackers and, in some cases, might be evaluated separately from the related
mechanical textural attributes.
10.1. 4 Appearance

Appearance provides the first clue for the consumer of the product's quality.
Factors such as the length; thickness; width; particle size; and the apparent wetness,
dryness, softness, hardness or crispness of surfaces are used by consumers for
making purchasing decisions. A darker than anticipated color might lead the
consumer to assume that the product is overdone and oflow quality, which might
result in rejection of the product.
Appearance factors are divided into those related to: (a) color and the wavelength distribution of light and (b) the spacial distribution of light. The geometric
attributes include glossiness; clarity, haze, turbidity or opacity; distribution of
pieces; and surface texture.
Color is one sensory attribute that can be measured readily with instruments
(Hunter, 1976, 1987; Little, 1976). However, for any instrumental method to be
valid, it must be anchored to sensory measurements (Noble, 1975; Setser, 1984).
The dimensions of color specified by the Munsell system (1967) include hue, value
and chroma (intensity). Hue is the color family (red, yellow, or yellow-red, for
example) and is generally not a major concern in the appearance of most bakery
products. However, an off-hue, e.g. a slight reddish-purple hue in a white cake with
added beet fiber, could be a negative factor that would need to be assessed. The



color attribute that frequently is pertinent for bakery products is the lightness/darkness, or value. The lightness/darkness of the crust and of the crumb should be
assessed separately. Its assessment should not be confounded with assessments of
hue. Extremely light brown, not white even though it might be almost white, to
extremely dark brown can be assessed as the value (lightness/darkness) for a dark,
low chroma yellow-red hue (e.g. 3.5 YR 2/2 by Munsell notation, which is usually
identified as brown), whereas white would be one extreme (10) of the Munsell
value scale from white to gray to black (1).
The third dimension of color is chroma or intensity. To avoid confusion with
discussions of general sensory intensity scales, this chapter subsequently will refer
to the strength and weakness (brightness-dullness) of color as chroma rather than
intensity. Chroma refers to the saturation or degree of departure of a particular hue
from a neutral gray of the same lightness/darkness. This factor, again, usually is
not a concern with bakery products and rarely would be assessed. A dull appearance
also could be caused by decreased glossiness, a geometric factor rather than a color
Texture ofbakery products frequently has been evaluated based on appearance.
For example, Funk eta/. (1965) analyzed the texture of angel food cakes in terms
of cell size, cell distribution and cell wall thickness. Cells, including uniformity,
size and thickness of walls, are assigned 30 of the 100 total points in AACC method
10-90 for evaluating baking quality of cake flour, the 'islanding' pattern on a
cookie's top surface is evaluated in the AACC method for evaluation of cookie
flour (1 0-52), and blistering is included in the evaluation of pie shells (AACC,
1986, Method 10-60).
10.2 Methodology

Generally, the sensory test methods and principles that are used for all food
products are applicable to bakery products. Types of tests are divided into two main
categories: (1) consumer, or affective, and (2) analytical. Affective tests measure
consumer responses such as acceptance and preference, including the hedonic, or
degree of liking/disliking. Analytical tests are subdivided into two broad classes,
discriminative and descriptive. Any product evaluation process easily could use all
types of tests. For example, extensively trained panelists could be utilized to
analyze the characteristics of products in the marketplace and provide guidance for
product development, semi-trained panelists might provide diagnostic information
in the development process and for quality assurance, and untrained, unbiased
consumer panelists (external or in-house) could be used for assessing preference/acceptance.
Types of tests within each of the broad categories are indicated in Table 10.1.
Meilgaard eta/. ( 1991) published numerous tables with specific areas of application and the types of questions that can be answered for each of the specific tests;
these should be useful guides for the novice in the field. 'No one method is superior


Table 10.1 Types of methods and tests used for measuring sensory attributes









Method oflimits
Average error


Focus panels

Frequency methods





Hedonic scale (degree

of like/dislike)
Just-right scale (rate
closeness to personal
criterion of 'just right')

Paired comparison


Food-action scale

Two out of five


Paired preference

Rank preference
Multiple paired

Willingness to purchase

Spectrum method
Profile attribute
Ordering (ranking)
Interval (category, semistructured, unstructured)
Ratio (magnitude

Signal detection


to another: all have strengths and limitations and each has its appropriate usage ...
methods are neither good nor bad in themselves, but are frequently misused and
the data derived are often misinterpreted' (Pangborn, 1979). The commonly used
methods for bakery products will be described and further references will be
provided where the reader can obtain additional details and information about
specific methods and their appropriate usage. Some common mistakes and methods
that are frequently misused will be indicated to make the reader aware of problems
and concerns in relating good general sensory methodology to bakery products.

10.2.1 Testcategories Affective tests. Ultimately, the goal of product development and quality
assurance groups is to determine a product's acceptability. Consumers are asked
'Which product is more acceptable?', 'Which product is more liked?', and 'Which
product is preferred?' using difference tests or scaling. Consumer feedback is
necessary to guide product developers and to set the manufacturer's quality
assurance parameters. Affective tests, to be truly representative of consumers'
attitudes, preferences and/or acceptance of the product, require relatively large
numbers of respondents, although no magic number can be given. These recommended large numbers, along with the frequent necessity of using multiple tests,



can make this type of testing costly. In early and less critical ~tages of product
development, laboratory personnel can be, and often are, used to give preliminary
indications of acceptability. However, persons with prior knowledge of the product
should not be used because of the potential for biased responses. Minimum
numbers for laboratory type acceptance tests, ideally, are 40-50 (Sidel et al., 1981 ).
Limited studies have shown general agreement between affective product tests
using large numbers of consumers and laboratory panels if the laboratory panels
are moderately large, i.e. more than 40 persons (Gacula, 1987). Agreement between
the two types and sizes of panels tends to be more probable for disliking products
than for liking products.
Commonly, hedonic scales, paired preference tests, or ranking are used to obtain
quantitative affective test data. These data are 'subjective' because they are
influenced by each evaluator's food habits, cultural background, personality,
interpretation of the scale, recent eating history, health, age and all the factors
interacting to influence a person's individual likes and dislikes.
(a) Quantitative tests. Hedonic scales are bipolar scales that can be numerical
or facial, with or without word descriptors; typically with 5, 7, or 9 points or
categories. They are used to determine the degree ofliking (or disliking) overall or
for individual characteristics of one or more products. Examples of these scales are
given in Figure 10.2. Hedonic scales have been shown by several researchers to
give valid data (Stone, 1988; Spaeth et al., 1992) that are analyzed easily by analysis
of variance (ANOVA).
Preference tests include two-tailed (either response is appropriate) paired comparison tests that compare two products to determine which is more preferred. They
are valid for products in the same context, e.g. a comparison of the same pair of
treatments. Overall preference can be determined as well as preference of a
particular attribute, such as sweetness or crunchiness of products. James (1986)
noted that a no-difference option and a test design including like pairs as well as
unlike pairs provided more confidence in the results obtained. Triangle tests were
used for preference tests also, and they provided valid data if the order of presentation was completely balanced (James, 1986). Ranking of a group of products also
is contextual and will give relative preferences of more than two products. Essentially, the evaluator uses an ordinal scale to perform multiple paired comparisons
of a group of products to determine which is the preferred of each of the pairs.
The 'just right' test is used to compare intensities of attributes to the subjects'
personal criteria of 'just right.' Percentage distributions in each category can be
compared to another product or brand of the same product using a y} test (Vickers,
1988; Meilgaard et al. 1991).
Quantitative affective tests frequently are conducted at a central location to
control preparation and presentation techniques. However, products can be sent to
homes with instructions on the preparation and evaluation. Respondents are asked
to relate their responses by telephone or mail. Typical usage of the product is more
likely to be reflected in the latter type of test situation. For further guidance on the
use of quantitative affective testing, see Nally (1987) and Meilgaard et al. (1991).










~ ~\\





lii.E SLK:iHlLY









N-'ME _ _ _ _ _ _ _ _ _ _ _ <


Overall evaluation Place a mark in the box which you !eel best
descnbes how you like this product








lice nor





Indicate by placing a mark how you feel the product rates in

each category below







Sesame flavor

v1.., .. u1


no ........



'"'" ...., ""'' CJ CJ CJ CJ CJ CJ









Name _ _ _ _ _ _ _ _ _ _ _ Date

Figure 10.2 Variations of hedonic scales used for detennining product acceptability including seven
and five point facial (top); and three nine-point verbal scales for a single product without (middle right)
and with additional diagnostic infonnation (lower left) and for a series of products. Monadic sample
presentation helps avoid some of the errors indicated in Table I 0.5. (Adapted from questionnaires in
Guidebook for Sensory Testing, 1966 and Meilgaard et al., 1991 with pennission from Crown Cork &
Seal Co. and CRC Press, Inc.)



(b) Qualitative tests. Ambiguities in questions and responses are constant

worries in evaluations using consumers. Qualitative research is used increasingly
by sensory personnel to overcome these concerns and to understand how consumers
think about a product as they discuss it using their own terminology. Such
techniques are useful for assessing initial responses of consumers to product
prototypes, to determine the product attributes in consumer-oriented terms for
advertising, and to learn how and how long (shelf-life) consumers actually use the
product. The tests are often exploratory and emphasize discovery rather than
verification. The answers to 'why' that they provide can then be confirmed and
quantified by further testing. The techniques used include focus groups and panels,
in-depth interviews, or a combination of techniques. Conducting qualitative consumer studies requires specialized training; thus readers are referred to reviews of
techniques and considerations in planning and using qualitative testing (Kraft,
1981; Langer, 1987; Marlow, 1987; Sokolow, 1988) for further information. Analytical tests. Subjects, when trained, become parts of sensitive instruments (the panels) that provide quantitative, accurate and objective, analytical
assessments of sensory characteristics of the product. Analytical sensory testing
should not be subjective testing, contrary to what many scientists might believe;
only affective testing is subjective. Discriminative tests require less training than
descriptive tests, but conditions for appropriate usage are stringent.
(a) Discriminative tests. Forced choice difference testing is used widely. These
tests can answer the question 'Is there a difference?' or 'Is there no difference?'
between the effects of the ingredients or products that have been varied. No
information is provided regarding the type of difference or how large a difference
exists. Examples of types of difference tests are paired comparison (one-tailed, i.e.
only one response would be correct), duo-trio, triangle, signal detection and
differences from control. Small panels (12-40 persons) are used, and panelists
usually are screened for their ability to discriminate and have some knowledge of
the type ofproduct being tested. Information on the advantages, disadvantages, and
usages of several of the tests is summarized in ASTM 434 (1968), Jellinek (1985),
Meilgaard et al. (1991), and Kornheiser (1988).
If the sensory characteristic modified by the experimental conditions is unknown in advance, triangle or duo-trio tests can be used, and judges are asked to
select or match the odd sample. Specific attributes, such as hardness, crumbliness,
density, saltiness or sweetness, can be evaluated using discriminative tests. But the
researcher can only ask such questions as 'Which cookie is sweeter' (paired
difference test) if he/she knows in advance that particular sensory characteristic
will be modified and is the only characteristic modified.
Difference testing demands precision in test design and administration. It is
absolutely critical that samples are identical except for the variable being studied. The
researcher must be aware of differences existing in the product's attributes other than
the attribute in question. For example, using AACC (1986) Method 33-50 for flavor
differences will not give valid results if panelists can detect obvious visual or oral



textural differences in the product, because panelists naturally use the other attributes
as aids or clues during evaluation. Thus, the triangle test will not provide the
information that is needed regarding the test attribute (flavor, in this example) because
the responses were based on extraneous characteristics (textural, in this case). AACC
Method 33-50 gives minimal procedures for using a triangle test for detecting flavor
differences. The size, shape, color, temperature, coding and randomization, as well
as environmental conditions under which the test is conducted, must all be controlled
carefully to avoid providing extraneous information.
Similarity test methods are identical to difference test methods, but they are used
if the researcher has more need to know with a predefined level of confidence that
two products are similar than if they are different. Meilgaard eta!. ( 1991) provide
a useful discussion of this concept with examples of its usage. A large number of
responses is needed, and the statistical test emphasis is on a small ~ value for the
Type II error rather than the a value for the Type I error.
Ranking tests can be used to discriminate among several products for a particular
attribute. They are sometimes considered multiple difference tests, as mentioned
in the section on affective testing. These tests are discussed further as ordinal scales
in the section on scaling for descriptive tests.
(b) Descriptive tests. Descriptive analysis, which relies on small, highly trained
panels, is both a qualitative and quantitative method for the evaluation of a
product's characteristics. Sensory flavor, appearance and/or texture characteristics
can be described, and the intensities of the characteristics are measured. Typically,
6-12 persons, who are screened for sensory acuity and trained to perform the
descriptive tasks, will evaluate the product.
Profiling tests are used to determine qualitatively the attributes and to measure
quantitatively the intensities of those attributes. Profiling traditionally is based upon
evaluating a product for each of its characteristics. Open discussions following
individual evaluations establish the panel's composite findings or consensus profiles.
The original concept utilizing open panel techniques was criticized for producing
biased results either because of a dominant personality or the presence of a senior
panelist (Amerine et a!. 1965). Because of the concerns associated with consensus
scoring, many profile panels now use individual scaled evaluations and statistical
methods to analyze the data and determine the profiles that include similarities and
differences between two or more products; a comparison of consensus and mean
scores for profiling data has been presented by Syariefet al. ( 1985). Extensive training
of panelists, skilled panel leaders, and the use of objective reference materials,
however, give reproducible consensus profile data (Neilson et al. 1988; Chambers
and Setser, 1992) and continue to provide useful information.
Flavor profiling is the classical method used to determine all of the flavor
nuances of a product, including the characteristics present, the order in which they
are perceived and their intensity. In addition, aftertastes and an overall amplitude
(the fullness, ampleness or degree of blend of the flavors and aromas) are determined. A complete picture of the flavor of the product at any point in time is
obtained (Caul, 1957; Neilson et al., 1988). Definitions of the individual character



Table 10.2 Flavor and texture terms with definitions for profiling or determining appropriate terms
for scorecards of pan breads


Bran (red)
Bran (white)
Dairy (sweet)
Grain complex
Sweet aromatic

Optical grain
Surface moisture
Surface roughness

f .dhesiveness

Chew count
Type of breakdown

Judged on three aspects; its base (body, fullness), flavor notes (intensity, impact,
longevity) and overall effect of the two together (balance, blendedness)
Volatiles or odor of substance perceived when in oral cavity
Chemical feeling factor on tongue described as puckering/dry and associated
with tannins and alum
Fundamental taste factor
Aromatic associated with red wheat bran described as grainy, slightly dusty (dry
impression), brown and slightly sweet (part of the grain complex)
Aromatic associated with white wheat bran described as grainy, slightly musty
(damp impression), lightly brown, slightly raw and slightly sweet (slightly
petroleum-like aromatic; part of grain complex)
Sharp, caramel, almost burnt aromatic (part of grain complex)
Dark-brown, over-baked impression (sharp, acrid)
Associated with aromatics of products made from cow's milk (somewhat sweet
Overall grainy impression that could or could not be accompanied by the
individual notes of bran (red or white), brown, and sweet
General term to describe dusty/musty aromatics associated with grains (com,
oats, wheat)
Feeling factor on tongue described as devoid of sensation
Refers to perceptible factor, which is recorded in its descriptive term
Aromatic associated with a petroleum product described as clean, heavy and oily
Aromatic described as damp, musty and animal hide-like; reminiscent of a tack
Fundamental taste factor
Overall impression of the basic taste factor and aromatics associated with
perception of sharpness
Aromatics associated with impression of sweet substances such as fruit or
Overall impression of the basic sweet taste and aromatics associated with grain
(part of the grain complex)
Moderately brown, baked impression
Light, baked, wheat flour aromatic
Fermented yeast-like aromatic
Description of cell size (irregular, large/small, round/elongated), uniformity and
shape of cells, plus any other observations
Amount of moisture perceived on surface of product when in contact with upper
Degree of abrasiveness of surface particles that can be perceived by lips
Force with which sample returns to its original size/shape after partial
compression between lips
Compactness of sample (geometrical) after partial compression against the palate
and release
Degree of abrasiveness that can be perceived by tongue and palate
Degree to which product adheres to palate
Degree of force required by molars to penetrate the sample
Degree to which sample contains particles of varying sizes (geometrical)
Degree to which the mass holds together at highest point during mastication
Number of chews required to prepare sample for swallowing
Description of changes occurring during breakdown (doughy, pasty,lumpy,



Table 10.2 Continued



Ease of swallow
Molar packing

Degree sample can be readily swallowed

Amount of material left in and around molar teeth (adhesiveness)
Degree of material left in mouth (geometrical)
Description of any mouthfeel after swallow (oily/greasy; dryness)

Developed for descriptive profiles at Kansas State University; adapted from reports by Smith and
Stoneking (1986) and Chang and Chambers (1992); see Chang and Chambers (1992) for reference
product suggestions for flavor notes and Bramesco and Setser ( 1990) for a discussion of reference
products for texture notes.
"Terms can be chosen that are important for a particular product and objective and intensity rated
using any of several scaling methods.

notes are in descriptive or associative terms. Each product category has an associated glossary of terms with which all panelists are familiar. The intensity scale uses
the broad categories of)(, threshold or just recognizable; 1, slightly strong; 2,
moderately strong; and 3, strong. A plus or minus can be used with each of the
given categories to designate narrower groupings. Order ofperception is influenced
by texture and blend and is recorded in the order of tabulated notes. The temporal
aspect, which is recognized as increasingly important in descriptive studies with
expanded use of time-ordered descriptions (van Buuren, 1992), is an integral part
of the profile method. Aftertastes are reported as notable components of flavor
influencing acceptance or rejection. Amplitude can seem to be an elusive concept to
the novice, but it, too, is necessary to complete the flavor picture of a product.
Amplitude is evaluated from 0 (none) to 3 (high) degree ofblend and fullness before
the panel concentrates on the individual characternotes. Preliminary profiles developed
in an early session are refined in two or more subsequent sessions to achieve a final
composite picture. The process becomes unwieldy if numerous samples are involved,
but it can indicate exact similarities and differences for a few products.
Examples of profiling ofbakery products are found in a study by Caul and Vaden
(1972) that provided 'word pictures' of the flavor of white bread as it aged, and a
recent project by Chang and Chambers ( 1992), who described the flavors ofbreads
from white and red wheat flours. The terms and reference products used by the
latter authors provide the most extensive vocabulary yet published for describing
flavors of breads (Table 10.2). Flavor terms that have been identified for yellow
layer cakes (Frye and Setser, 1991) are given in Table 10.3.
Texture profiling based on the flavor profiling method is an established procedure that was developed at the General Foods Research Center for descriptive
evaluation ofthe texture of products (Skinner, 1988). Again, the characteristics of
the product, the order of appearance and the degree to which each is present are
determined. Modifications of the traditional procedures are frequently used.
The order ofappearance has been divided into several stages (Szczesniak, 1963).
Some stages will not be appropriate for a specific product, so the panel might
choose to omit or modify that stage. Attributes are usually evaluated in the
following order:



Table 10.3 Flavor and texture terms and definitions for descriptive scoring of yellow layer cakes
Sweet, cherry-like nutty aromatic
Amplitude (fullness Judged on three aspects: base (body, fullness); flavor notes (intensity, impact,
of flavor
longevity); and overall effect of these together (balanced, blendedness)
Medium brown aromatic with cooked impression associated with baked flour
Fundamental taste factor
Moderately dark, bark-like aromatic
Slightly chemical, dairy-related aromatic associated with top notes of diacetyl
and other imitation butter flavorings
Refers to broad range of sweet confection, generally called candy
Round, full-bodied, medium brown aromatic
General term used to describe aromatics of cooked whole egg
Light, uncooked aromatic found in commercially ground wheat
Aromatics associated with sodium bicarbonate in baked flour products
Sweet aromatics and character identified with marshmallow
Metallic aromatic
Aromatic perceived when a silver spoon is placed on the tongue
Non-specific nut-like aromatic note that was combination of several different
nuts such as pecans, hazelnuts, peanuts, walnuts, etc. unless otherwise described
Fundamental taste factor
Fundamental taste factor
Sour aromatic
Aroma that suggests the product would taste sour
Fundamental taste factor
Aromatics associated with impression of sweet substances (marshmallows,
Sweet aromatics
maple, vanillin)
Perception of round, smooth, full sensation that may or may not be accompanied
by following flavor notes: beany, brown, creamy, perfurny, sweet, woody,
Optical browning Lightness/darkness of browned crust surface; degree of browning
Amount of give obtained with finger touch; flinty hard feel to touch =high
Adhesiveness to top lip when placed on ernst
Optical cell
Spaces (holes, cells) in cake surface mostly one shape or size and generally
round or oval
Optical cell
Cell size and number of cells that make cut surface appear light/airy or not
solid, dense or crowded
Tenderness or first How readily front (from center) l-inch crumb breaks off on initial bite
bite fragility
Adhesiveness to
Using blotted lips, degree to which product sticks/adheres to lips
With blotted lips, amount of moisture/cooling perceived on surface of sample
held between both lips
Abrasiveness of crumb to tongue and palate
Force required to separate individual pieces with tongue immediately after
sample is placed in mouth; biting, chewing and compression are not part of
this attribute
Sample placed between molars and force required to completely bite through sample
Manual evaluation of amount of time for sample to recover from slow, continuous
compression to 50% original height and release
Oral springiness
Time in which sample returns to original size/shape after 50% compression
(without failure) between tip of tongue and bridge of palate
Amount of crumb adhering to teeth and palate after biting into front slice of cake
Adhesiveness to
Force required to remove product completely from palate using tip of tongue



Table 10.3 Continued.


How readily the cake can be prepared for swallowing during normal chewing;
how much ball-like mass forms that is difficult to swallow; degree to which
mass holds together after 10 chews
Degree of change in mouth moistness evaluated at its extreme point during
Initial mouth
dryness/moisture mastication
Density overall
Compactness of cake (high score indicates extremely dense product such as a
fudge brownie)
Smoothness of
Abrasiveness or coarseness of mass after mastication
chewed mass
Amount of force and effort required to chew cake and prepare to swallow
Ease of chew
Ease of swallow
Amount of force required to prepare cake for swallowing
Residual oily
Amount of oil remaining in mouth surfaces after swallowing
Residual adhesion Amount of cake crumbs sticking to or remaining in teeth after swallowing
to teeth

Cohesiveness of


from terms developed for descriptive profiles at Kansas State University (Frye and Setser,
1991; Frye and Setser, 1992) and University of Tennessee (McNeil, 1989); see Brarnesco and Setser
( 1990) for a discussion of reference products for texture notes. Terms from Brarnesco and Setser
(1990) with permission of Food and Nutrition Press, Inc.
'Terms can be chosen that are important for a particular product and objective and intensity rated
using any of several scaling methods.


Surface characteristics (can be visual).

Initial compression (perceived on first bite).
(a) mechanical characteristics such as hardness, viscosity and brittleness;
(b) any geometrical characteristics present; and
(c) other characteristics present (moistness, oiliness).

The initial compression can be subdivided into stages of: (i) partial compression,
(ii) first bite using incisors; and (iii) first bite using the molars, if the panel deems
it appropriate for a specific product.

Masticatory phase (perceived during chewing).

(a) mechanical characteristics of gumminess, chewiness and adhesiveness;
(b) geometrical characteristics present; and
(c) other characteristics present (moistness, oiliness) are evaluated.
4. Residual phase (changes made during mastication and often perceived after
(a) the rate and type of breakdown; and
(b) moisture absorption and mouth coating properties.

In addition to the mechanical characteristics and geometrical characteristics

evaluated during the initial compression and masticatory stages, auditory characteristics, such as crunchiness, crackliness or crispness, might be evaluated.
Several researchers have adapted the original general attribute rating scales to
specific cereal and bakery products, such as sponge cakes (Civille, 1977; Lee,
1980), layer cakes (McNeil, 1989), granola cereals (Civille, 1977), pan breads
(Smith and Stoneking, 1986), cheesecakes (Skinner, 1988), and cookies and rice

Table 10.4


Texture terms and definitions for descriptive scoring of cookies (biscuits)



Loose particles
Surface dryness
Uniformity of chew
Dryness (2 chews)
Particle description
(2 chews)
Moisture absorption
Cohesiveness of mass
Description of mass
Type of breakdown

Degree to which top and bottom surfaces lack bumps or particles (geometrical)
when passing tongue and lips over surface
Amount of loose particles on surface
Absence of oil on surface
Force needed to bite through the cookie
Force with which the cookie shatters
Compactness of the cross-section (geometrical)
Degree to which chew is same throughout
Degree to which sample lacks moisture
Size and shape of particles present in mouth (geometrical)

Rate with which sample absorbs saliva (moisture)

Degree to which chewed material adheres to mouth surface (adhesiveness)
Degree to which mass holds together
Description of all material in mouth including particles (geometrical)
Description of changes occurring from first bite to swallow; thermal,
mechanical, salivary
Number of chews to Number of chews required to hydrate sample and bring to state ready to
swallow (moisture absorption, hardness, cohesiveness)
Degree to which sample can be readily swallowed
Ease of swallow
Amount of material left in and around the molar teeth (adhesiveness)
Tooth packing
Degree to which mouth feels oily
Oily residual
Amount of particles left in mouth
Residual particles
Degree to which mouth feels chalky
Adapted from Meilgaard et a/., p. 169 ( 1991) and Civille and Liska ( 197 5) with permission ofF ood
and Nutrition Press, Inc.

(Civille and Liska, 1975). Work on some stressed bakery products in laboratories
at Kansas State University (Bramesco and Setser, 1990; Bramesco 1991; Frye and
Setser, 1992) and by the Sensory Analysis Center affiliated with Kansas State
University modified texture scales for reliable application to reduced-calorie layer
cakes and other bakery good evaluations. Texture terms and definitions that have
been given for white pan breads (Smith and Stoneking, 1986), layer cakes
(Bramesco and Setser, 1990; Hansen and Setser, 1990; Frye and Setser, 1992) and
for cookies (Civille and Liska, 1975) are given in Tables 10.3 and 10.4.
Scales need to be broad enough to encompass the full range of parameter
intensities; however, they also need to contain enough points to detect small
intensity differences. For example, the original scale reference (Szczesniak, 1963)
for hardness was hard candy (Charms or Life Savers); however, no bakery good is
known at that extreme, and if it is used, all product evaluations tend to be placed
within a small segment of a scale and product differentiation is not achieved. Thus,
for bakery goods, melba toast has been used as an extremely firm reference product
(Bramesco and Setser, 1990). Furthermore, the same scales might not be used for
all bakery good categories, e.g. cookies might require scales for fracturability,
uniformity of chew and grittiness that would not be applicable for the evaluation
oflayer cakes. Breads with differences in roughness (generic white pan and a whole
multi grain variety type) might be more appropriate extreme references for roughness
to evaluate bakery products than the gelatin dessert and granola bar suggested by



Munoz (1986). Similarly, more applicable extreme references for springiness than
cream cheese and gelatin also might be a white bread and a wholegrain variety
Complex interactions between product moisture and panelists' salivation were
indicated in the textural evaluations oflayer cakes by Bramesco and Setser (1990).
For example, they noted that products with high moisture content were not
necessarily evaluated similarly and products with low moisture content were
evaluated quite differently by panelists with high and low salivary flow rates.
Others have reported similar concerns. Boyar and Kilcast (1986) noted that the
physical properties of food continuously change as a result of the wetting and
diluting with saliva. Pangborn and Lundgren (1977) found that more saliva was
needed for powders than for pieces of crisp bread, emphasizing the role of saliva
as a lubricant. They suggested that composition of saliva and nutritional factors of
panelists and flavor of the product played roles in perceptions of products. However, Bramesco (1991) did not find this to be the case, although the issue is complex
and not yet resolved. Certainly, these factors need to be considered in training
panelists for descriptive testing and in establishing references to assure that
panelists are evaluating similarly. Considerable among-subject variability but good
within-judge reproducibility was noted in previous studies (Pangborn and
Lundgren, 1977; Bramesco, 1991). Possibly, timing of the evaluation could be
altered to achieve accurate evaluations (Bramesco, 1991) of the continuous
changes in the properties of the product being evaluated.
Although the well-established profiling techniques are modified frequently to
provide quantitative data, other methods have been developed to specifically
address the issue. The first of these to be developed in response to a need for more
quantitative descriptive data than was provided b~ the consensus profiling techniques was quantitative descriptive analysis (QDA )(Stone eta/., 1974; Zook and
Pearce, 1988). In this method, trained individuals identify and quantify, in order of
occurrence, the sensory properties of an ingredient or product. Development of the
language is a group process, and panelists, after selection based on performance
using test products, make repeated judgements on coded samples individually in
isolated booths. Semi-structured scales are used to measure intensities of individual
attributes, and one- and two-way ANOVA is used to assess panelists' performance
and data. Factorial designs with sufficient replications, originally 12-16, but now
sometimes as few as four, allow performance of judges, effectiveness of terms,
product differences, and possible interactions to be isolated and evaluated by
statistical analysis. Differences between panelists can be estimated without the
influence of variance of individual subjects, because every panelist judges every
product and replicate (Lawless, 1992). Results are presented graphically and
Other methods have been developed using variations of descriptive scaling of
sensory characteristics. Examples include Spectrum TM analysis (Meilgaard et a/.
1991); profile attribute analysis (Nielsen eta/., 1988); time-related descriptive
analysis or time-intensity measurements (Einstein, 1991; van Buuren, 1992); and



free-choice profiling (Williams and Langron, 1984; McEwan et al., 1989; Oreskovich et al., 1991 ). These and the generic descriptive analysis methods frequently select the attributes (appearance, flavor and/or texture) that are likely to be
different with the planned treatments or with the conditions being altered. Less
training is required for methods that limit the number of products and attributes
than for complete profiles of several types of products.
Any of the scaling techniques can be used and are suitable (Lawless and Malone,
1986a,b) for providing mean scores and allowing statistical analyses of the attributes
evaluated by descriptive studies. These can include such varied scale types as
structured category, semi-structured or unstructured line, rank order, and magnitude
estimation or ratio scales. A discussion of advantages and disadvantages of each type
of scaling technique was given by Pangborn (1984). Comparisons of rating scales
generally have indicated that each of the scales can distinguish true sample differences, if it is properly used and care is taken to avoid some of the possible psychological biases that can occur (Amerine et al., 1965; Larmond, 1977). Possible biases
and methods that can be used to avoid them are detailed in Table 10.5.
Ordinal scaling (ranking) procedures require the panelist to rank the stimuli
(sample) for a prescribed attribute, e.g. hardness from most intense to least intense
or degree of liking from none to high. The procedure is simple, but inefficient,
because of difficulties with the assigning of numbers. Such numbers give only a
relative ordering of the magnitude of the attribute and no information about the
degree of magnitude. To be done properly, the method requires many paired
comparisons [n(n-1)/2], which can be time consuming.
Category scaling involves the use of an interval scale with discrete, equally
spaced categories, labelled by numbers or word adjectives, to rate a set of products.
The use of a structured or unstructured scale and the number of categories specified
in structured scales does not affect the information obtained. All are invariant, and
a 6-point scale provides similar judgements to the 9- or 13-point scale. Shorter
scales (4 points and less) might not give enough range for discrimination, however;
and longer scales (> 11 points) can exaggerate differences and destroy scale
continuum (Gacula, 1987). Such scales are used for intensity rating as well as for
hedonic evaluations. Some uses and abuses of category scaling have been reviewed
by Riskey (1988).
Unstructured or semi-structured linear scales are also interval scales that
involve straight horizontal or vertical lines of defined length (e.g. 6 in, 10 em, or
15 em), which can have end and intermediate anchor points. A position on a line
supposedly is not remembered as easily as a word or a number, which should give
independent rather than relative judgements. Concerns about equality of intervals
are lessened with this type of scale compared to the category scale (Shand et al.,
1985). Galvez and Resurreccion (1990) compared the three variations of interval
scaling and found that unstructured line scales were more reliable and sensitive to
product differences than semi-structured line or defined category scales. The
Spectrum technique utilizes this type of scale (Meilgaard et al., 1991).



Table 10.5 Types of psychological errors and biases influencing sensory measurements
Stimulus error

Influence of irrelevant
characteristics to aid judgements
of a particular characteristic

Use uniform samples and containers and mask
unwanted differences if possible; randomize
or balance order of presentation among

Logical error

Ratings assigned because

logically associated with
other characteristics

Same as for stimulus error

Halo or convergence General impression of product

carries from one attribute
to next

Evaluate only one characteristic at a time;

balance order of presentation; training


Influence of reactions of other


Use individual booths for evaluations without

conversation and discussion

Contrast effect

Good quality before poor

Randomize or balance order of sample
quality sample can cause
presentation among panelists; use monadic
much lower ratings for second presentation of samples; use warm-up sample
and vice versa

Positional bias

Balance order of presentation among panelists

Over-selection of one sample
based on order of presentation; (Macfie et al., 1989); use monadic
common in triangle tests as
presentation of samples; use warm-up
tendency to choose middle
sample (Kim and Setser, 1980)
and in scoring as tendency for
second sample (of a set) to
receive higher or lower than
expected scores

Expectation error

Sample information that results Do not give detailed information about samples
before test; use codes (3- digit or other) and
in panelist expecting to fmd
randomize order of presentation
particular qualities; tendency
to find difference when none

Error of habit

Quality control tests that are

similar from day to day so
panelists expect similar

Contextual effects
(centering bias)

Samples are evaluated within the Sing!,; stimulus presentation; use of reference
standards; establish the just-right
'context' of related samples
concentration as center concentration in case
rather than absolute ratings
of tastes (Johnson and Vickers, 1987)

Error ofleniency

Naive subjects rate products

based on feelings about
experimenter and ignore
product differences

Vary types of product or present altered


Occurs if subjects have not been given precise

instructions; give precise and complete
directions as well as training that is

Fatigne or becoming Actually a physiological effect; Allow adequate time between evaluations;
tired and exhausted reduction in organism's ability use water or other bland materials to clear
to discriminate as a result of
palate between samples
through continual
previous testings
testing and
Adapted from numerous sources.



Ratio scaling (Kapsalis and Moskowitz, 1977) involves use of a number, which
is assigned to the first sample tested. Subsequent samples are given numerical
values proportional to the first value. This technique, also referred to as magnitude
estimation, tends to be utilized more for evaluation of a single attribute, for a taste
or flavor, or for more academic studies and less frequently for scoring multiple
characteristics of product. The technique is detailed in Moskowitz (1977), and its
usage has been the topic of numerous studies. Shand et al. ( 1985) found this method
more difficult to use than category scaling or line scaling, but equally as sensitive
to treatment differences as category scaling. Lawless and Malone ( 1986a,b) found
that it was slightly less sensitive to product changes than category scaling, although
McDaniel and Sawyer ( 1981) reported that it resulted in more statistically significant differences than a 9-point category scale. Others (Giovanni and Pangborn,
1983; Vickers, 1983) have found more similarities than differences when comparing ratio scaling to other scaling methods.
10.2.2 Mechanics and panel operations Judges (panelists). Panelists for trained panels are usually drawn from the
personnel of the organization where the research is conducted, although, ideally,
persons outside the organization can be recruited to devote all of their working time
to evaluation of products. Potential panelists are those interested in participation.
Panelists should be 'screened' for 'normal' sensory acuity (ASTM, 1981). Persons
are asked to identify suprathreshold levels of the basic tastes and common odorants.
Tables 10.6 and 10.7 provide guidelines for these. Sensitivity is determined using a
Table 10.6 Solution concentrations (weight/weight) appropriately used for identification by prospective panelists for flavor evaluations
Amount (g/liter)
Grams (water)
Citric acid
"Solutions are prepared with distilled water and should be allowed to equilibrate for
24 h before using. 25-30 ml solution is portioned into individual coded cups for tasting. Coded samples are presented in random order together with 1-2 coded water
blanks. Panelists should rinse their mouths between samples. A sample ballot is given
in the Appendix.
bForeach entry amounts in frrst row are suggested by ASTM 758 (1981); amounts in
second row given in {} were suggested by Civille and Szczesniak (1973); and
amounts in third row given in []are intermediate to low levels given by Jellinek
(1985, p. 40) in a series used for recognition of tastes.



Table 10.7 Suggested aromatics and their preparation for identification by prospective panelists for flavor evaluations
Alcohol (ethanol, vodka)
Aniseed (anethole, licorice)
Black pepper (spicy)
Cinnamon (spicy, eugenol)
Coffee (roasted)
Lemon (sour, acid, citrus)
Peppermint oil (minty)
Solvent; acetone
Vanilla (sweet)

Almond extract (sweet)

Cloves (eugenol, spicy)
Garlic (allicin, sulfury)
Honey (sweet)
Onion (sulfury)
Prepared mustard (pickles)
Tuna fish
Vinegar (sour, acetic acid)

10-15 odorous substances should be selected and placed into coded

glass vials and tightly capped. Liquids are poured onto sterile cotton
balls in the vial, whereas solids are placed directly into the vial and covered with a cotton ball. Vials should be filled one quarter to one half
full to allow headspace for the accumulation of the volatiles. Alternatively, perfume blotters can be dipped into liquid odorants, placed in
vials and capped.
~ist adapted from Desor and Beauchamp (1974) and from Watts et al.
( 1989); related odors are given in parentheses.

series of increasingly difficult (more similar products) triangle tests with products that
are identical for all but one flavor or textural characteristic (Table 10.8). Some detailed
guidelines useful for the preparation of solutions, aromatic references, and setting up
tests for training panelists are provided in Jellinek ( 1985) and Meilgaard et al. (1991,
pp. 138-142). After the initial screening, panelists should be tested on ability to
discriminate using products similar to those being studied. Some persons can be good
Table 10.8 Possible triangle difference test series of increasing difficulty to be used in selection of panelists for flavor or texture
Product (control) Same product but less sweet formulation (e.g. 80-85%
sugar level of control)
Same product but more sweet (110% sugar level of
control, for example)
Same product without salt
Same product but slightly undercooked
Same product with less oil or fat
Same product with slightly more salt
Same product with slightly more oil or fat
Same product with one of the flavorings from another supplier
Control with process change
Control-Plant 1 Control-Plant 2
Control-Plant 1
Control-Plant 2

comparisons should be in order of increasing difficulty, which can be

approximated during preliminary testing; these should be considered
only suggestions and the sensory test director would need to establish
an appropriate series of tests for selecting panelists to evaluate the particular product with which he/she is working. Testing should be done
using both 2 As and 2 Bs in the triangle sets.



discriminators for one product but less good with other products. Records should be
maintained for each potential panelist regarding his/her ability to discriminate, level
of interest in various projects, food likes and dislikes, food restrictions and allergies,
schedules and any other information that might influence a person's appropriateness
for a particular study.
Effective descriptive analysis requires a well-trained panel; using an inadequately trained panel to obtain descriptive data is one of the most common mistakes
in sensory studies. Therefore, an overview of the training process will be given in
this review. Additional details or guidelines can be found for descriptive panel
training in Zook and Wessman (1977) and Rutledge and Hudson (1990), specifically for flavor profile training in Caul (1957) and Neilson et al. (1988), and for
texture profile panel training in Civille and Szczesniak (1973). Training for all
descriptive testing involves getting panelists to a point where they understand
terminology (characteristics) to qualitatively and quantitatively describe the particular product being evaluated, attribute by attribute. Panelists' sensitivities and
memories can be increased with training. Obviously, for discrimination tests and
even for some short attribute scaling studies on single products, memory is less
critical and the extent of training needed is less than for complete product descriptions and profiling. Training is designed to help panelists make valid, reliable
judgements, independent of personal preferences.
At the early stages of the training, one should orient panelists to the basic
concepts of descriptive analysis and terminology using standard references for the
aromatics, tastes and/or texture scales (Brandt et at., 1963; Jellinek, 1985; Mufioz,
1986; Meilgaard et al., 1991; Bramesco and Setser, 1990) to demonstrate various
aroma, flavor, appearance and/or textural parameters. For example, for vanilla
flavor, commercial flavorings from a variety of sources as well as the isolated
vanillin could be presented. How basic flavor, appearance or texture parameters
manifest themselves in some product types would likely be examined in several
sessions. The texture attribute - fracturability, for instance - is manifested and
appropriately described as crumbliness in pound cakes. In bakery goods,
toothpacking properties might be the appropriate term to be considered instead of
adhesiveness that one might use to describe peanut butter.
This orientation should include a demonstration of several products within the
product-type. Most, if not all, commercially available brands of the product and
samples of different ingredient types used in commercial products should be
examined. For example, oranginess could be examined in orange peel; fresh
oranges of several varieties (Valencia and navel) and from different production
locations [Spain, Italy, Israel, Chile, and United States (Florida, California, and
Texas)]; orange flavor extracts; and several orange-flavored products. Related
citrus products such as mandarin, lemon, lime and grapefruit could be compared.
For an attribute such as surface roughness in breads or muffins containing bran,
one could provide brans of varied particle sizes that have been flaked or ground.
Each type and particle size also should be presented in the product (bread or muffm)
to be evaluated.



Discussions after evaluations allow panelists to have collective sensory experiences and establish common terms or definitions. Differences in evaluation when
chewing or biting might lead to confusion, which can be ascertained at this time.
Terminology used to describe the products should come from panel members
themselves, because all members need to feel comfortable with the descriptive
terms being used. Terms that have been used to describe the flavor and texture of
pan breads and layer cakes and texture of cookies are given in Tables 10.2, 10.3
and 10.4, respectively. Meilgaard eta/., ( 1991, pp. 163-65, 169) provide additional
terms and descriptors for bakery goods. Published terms can provide starting points
for further discussion in orienting a panel for each of these and some related bakery
products. Terminology should be consistent from product to product and tied to
reference materials. Reference materials have been given for the pan bread terms
(Smith and Stoneking, 1986; Chang and Chambers, 1992), some of the layer cake
terms (Bramesco and Setser, 1990; Hansen and Setser, 1990), and for common
aromatics and tastes (Meilgaard et al., 1991, pp. 173-175). Each training session
should focus on one or two specific characteristics; the reference standards alleviate
misunderstanding of questionable attributes on which panel members do not agree
Reference standards are important in developing appropriate terminology and
establishing intensity ranges (Rainey, 1986). References for each product attribute or
deficiency, at various concentrations or intensities, should be available and anchored
to a concise, agreed-upon defmition of that attribute. Standards also reduce the amount
of time for training and provide documentation for terminology. Well-selected
reference standards at defined points on a scale reduce panel variability across
products and with time. They can be used to check panelists' agreement on the
manifestation of certain terms. In flavor profiling, references can be pure chemicals,
but this is not possible for texture references. Using commercial materials and
products to establish levels presents inherent replicability problems for the references
with respect to time, geographical regions and manufacturers or suppliers.
Some panelists might feel strongly that an attribute is in the product, but if others
are not finding the attribute, a problem is indicated. Either panelists are not using the
same terminology, not perceiving the attribute in the same manner, or not using the
same technique for assessing the attribute. The terminology and/or process must be
clarified. The panel should practice with the developed scales anchored with selected
products until it is adept at using them and can rate a variety of products. Weeks, even
months, of daily sessions might be necessary for this stage of the training.
Panelist performance evaluations are an essential component of training to
determine discriminating, consistent performers. Products with known large differences and duplicate check samples should be presented occasionally and rated
on scales developed for actual test sessions. A set of samples, which the panel leader
knows to be different, can be evaluated by each panelist repeatedly on several
occasions, and the results can be assessed by ANOVA to identify significant
variation among panelists and among samples. A need for further training is
indicated by significant differences among panelists and a lack of significant



differences among samples (if the panel leader knows them to be different).
Individual panelists who are able to detect significant differences among the
samples with small error mean squares should be retained. If no panelist finds
significant differences among the samples for a particular characteristic, additional
training is needed for that characteristic.
Initial training is completed when panelists are comfortable with the evaluation
procedures, can discriminate among different samples repeatedly, and can provide
reproducible results; but even this stage is only a beginning. Continued practice
and monitoring are essential. Maintaining panelist performance requires constant
surveillance and effort to sustain interest and motivation of panelists. Feedback
about their performance provides motivation for panelists and should be given at
the completion of a study or earlier, if it can be done without biasing the study's
results. Monetary rewards let panelists know that their contributions were important and appreciated. Sample preparation and presentation. Excellent reviews of appropriate

sample preparation and presentation are given by Larmond (1973) and by McGill
(1979). The essential factor to remember is control, control and control. Cardello
and Segars ( 1989) showed that if sample size was not controlled, differences were
attributed to size rather than treatment. Similarly, invalid data will result if other
factors are not controlled. The training sessions are useful for determining special
and appropriate procedures for preparing and presenting samples for a particular
test and to establish the final ballot or scoring instrument.
Bakery products present a particular problem, in that they are sensitive to staling,
which has to be controlled most carefully. Generally, fresh products are suggested,
but because this is not always possible, the products in a test always should be
assessed at exact and equivalent intervals after baking and storage under meticulously controlled, precise conditions. Test location. A distraction-free location that allows panelists to concentrate on the sensory task is necessary to assure reproducible results. Concentration
is required of panel members, and all disturbances and distractions should be
eliminated during the test period. Panelists themselves should not use strong
smelling cosmetics and should wash their hands with odorless soap prior to testing.
Controlled lighting, air, noise and traffic are minimal requirements.
The test location should be away from any product preparation and cooking
areas to avoid both noise and aroma distractions associated with the preparation
area. Booths are desirable for many testing situations, but a large round table is
ideal for discussions, such as are used for determining critical attributes and their
definitions in descriptive testing or for focus groups in affective tests. With some
effort, distraction-free, appropriate spaces can be found in most facilities, and
adequate conditions can be developed without large monetary expenditures. Panel
room designs can be found in Eggert and Zook ( 1986) and Meilgaard et al. ( 1991)
for several types and sizes of testing arrangements.



10.3 Statistics for sensory studies

10.3.1 Experimental design

Accuracy of information provided by a sensory study will depend upon the
selection of an appropriate experimental design and analysis of the data. Sensory
data are difficult to analyze and interpret, and special precautions must be taken
because inherent in the testing is the use of people both as the experimental unit
(panelists/subjects) and as the instrument (judges) to measure responses (Gacula,
1987). The first step is planning sensory experiments with a clear delineation of
both the project and the test objectives. Considerations of importance in establishing the appropriate objective are reviewed in Sidel and Stone ( 1976) and Meilgaard
et al. (1991 ). Components of the experimental design to be considered after the
objective has been determined include: how the treatments are to be applied, the
number of experimental units to be used, and the determination of the population
to be sampled. The designs must provide for independent judgements of the
attributes and products.
Although an experimental design using complete randomization minimizes
correlation with time, it is not always a feasible design. Some sample pairs might
never occur in all test positions an equal number of times, so that contrast and
convergence effects are not equalized. A balanced design with the complete
permutation presented before replication should ensure that all samples are tested
in all positions equally, both early and later in a study. Thus possible time and
sequence effects can be minimized (Sidel and Stone, 1976; Macfie et al., 1989).
Block designs minimize interactive effects of judge, product, and time and should
be used more frequently than random plans for sensory studies (Sidel and Stone,
1976; Mufioz et al., 1992). Blocks are used to group evaluations according to judge,
recognizing that panelists use different parts of rating scales to express their
evaluations of the intensities. Randomized complete block designs for small
numbers of samples and balanced incomplete block designs for use when the
number of samples is too large to evaluate in one session without fatigue are
outlined briefly by Mufioz et al. (1992). Incomplete block designs guard against
session differences and, if used with four or fewer samples per session, are wise
choices when you are unsure of the appropriate design (Mayer and Mulder, 1989).
If the overall objective is to optimize a product's sensory characteristics, the
process is done generally in at least two steps; a screening step to gain qualitative
information about how the process or ingredient affects the product and the
optimization step to further determine the optimal product. To screen a large
number of variables for selection of a small number of variables for the detailed
studies, full or fractional factorial designs are useful. Examples of the use of
fractional factorial designs and their analyses for 8-15 variables are provided by
Mullen and Ennis (1985). Response surface designs (RSM) are used to determine
effects of smaller (5 or less) numbers of variables. One can determine the relationships between key variables, their interactions, and the responses. Central composite



RSM designs use sequential testing to obtain a full second-order polynomial model
with changing levels of a factor. It is important to remember that the critical factors
are not determined by this design, but that levels of preselected factors are evaluated
to determine the optimum level for achieving specific product attributes to be
measured by sensory or other methods. Mixture designs are useful if one has typical
constraints such as all ingredients in the formulation must total 100% (Dziezak
1990). Several studies (Neville and Setser, 1986; Joglekar and May, 1987; VaiseyGenser et al., 1987; Deming, 1988; Frye and Setser, 1992) utilized screening and
testing that combined fractional factorial, central composite or mixture response
surface, and multiple factor designs to optimize cake forn1ulations. Successful use
of RSM with taste panel evaluations also has been used for pie crusts (Smith and
Rose, 1963), layer cakes (Deming, 1988), and for special diet breads (Henselman
eta/., 1974; Ylimakieta/., 1991).
Replication is desirable with most sensory tests for both statistical and behavioral reasons. Error terms can be reduced by adding replication. Replicates provide
checks on the consistency ofboth individual judges and the panel. Whether one is
using instrumental or sensory assessments, one should remember that bakery foods,
like most foods, exhibit high variability from unit to unit and even from point to
point in the same unit (Bourne, 1990). For example, bread differed in firmness
depending upon the point from the crust and outer surfaces (Redlinger et al., 1985).
Consequently, a number of replicate tests are required to increase the statistical
certainty that an accurate mean value is obtained, whether the measurement is
sensory or instrumental (Bourne, 1990).
10.3.2 Data analysis and interpretation
Typical data analyses for various sensory responses and tests are given in Table
10.9. Larmond (1977) provides examples of common methods of analysis for
many representative tests. However, do not force your data to fit an analysis
because it is the one that you know. Ifthe assumptions for a statistical test procedure
are not met, look at other methods for possible alternatives. No single procedure
should be used on a 'cookbook' basis (Powers, 1984). A good statistician is
invaluable; however, the researcher is always responsible for making certain that
the statistician understands the limitations and special requirements of sensory
testing or he/she cannot be expected to give the researcher appropriate advice.
Discriminative data from difference tests are analyzed generally by the binomial
test to determine if more responses fall within the 'target' than the 'wrong'
category. Statistical tables have been published to determine easily the significance
of findings (Roessler et al., 1978). They are used wrongly if the experimenter
looking for a difference simply continues testing until enough 'wrong' responses
are obtained to be considered statistically different (O'Mahony, 1982). Sample size
refers to independent observations, and replicates from the same judges are not
completely independent. Analytically, difference testing is misused if one assumes
that no statistical difference means no preference, or conversely, no preference



Table 10.9 Some of the common methods of data analysis for standard sensory tests
Sensory test method
Typical data analysis
Interval scaling including QDA
Spectrumanalysis, hedonic
scales and other methods
employing linear scales
Just-right test
Ranking (ordinal scaling)
Discrimination tests
Similarity tests
Free-choice profiling
Reduction of number of
descriptive terms or variables

T-test for two products; analysis of variance for more than two
comparisons with mean separations by Fisher's least significant
difference, Duncan's, Newman-Keul's, Tukey's or other multiple
range tests; multivariate analysis of variance
Friedman rank sum test
Binomial distribution tests for Type I error
Binomial distribution tests for Type II error
Generalized procrustes analysis, principal components analysis
Factor and principal components analyses, cluster analysis,
discriminant analysis, multiple regression analysis, multidimensional

means that the products are indistinguishable. Furthermore, discriminative sensory

data are misinterpreted when the percent or number of respondents indicating a
difference or preference is interpreted to imply a magnitude of difference (Sidel et
al., 1981).
Ranking data frequently are analyzed using non-parametric statistics, but appropriate assumptions must be made (Joanes, 1985); thus, some of the older tables
(Kramer, 1960; Kahan et al., 1973) designed for these analyses are not recommended. The Friedman rank sum test (Hollander and Wolfe, 1973) is the proper
non-parametric test to use (Joanes, 1985; Basker, 1988; Meilgaardet al., 1991). In
addition, ranks can be converted to scores by the method ofFisher and Yates (1949)
and then subjected to ANOVA (Larmond, 1977).
Category scaling data from descriptive studies are often analyzed using
parametric tests such as ANOV A. The means of several samples are tested to
determine if they are the same or differ in some way. Variances of the samples
are assumed to be the same, so that the differences found can be assumed to be
the result of treatments. Normal populations also are assumed. Data from rating
scales generally break these assumptions, but unstructured and semi-structured
scales with fewer verbal anchors than structured scales result in minimal problems associated with unequal intervals (Shand et al., 1985). Examination of the
data by multivariate ANOVA (MANOVA), which explores each variable in
conjunction with all of the others (Powers, 1984), sometimes can give a better
perspective of true differences.
Multivariate statistical methods, particularly in the preliminary stages of profiling, also are often used for descriptive test data. For example, statistical techniques
have been applied to data sets to determine when different words are being used to
evaluate the same characteristic. Such multivariate techniques are designed to
simplifY the relationships that exist in a data set by identifYing redundancies. Thus,
factor and principal component analyses, cluster analysis, discriminant analysis,
multiple regression and multidimensional scaling are used to reduce a large number
of variables or descriptive terms to a smaller number (Powers, 1984; Cardello and
Maller, 1987). Generalized procrustes analysis (GPA) is commonly applied to
free-choice profiling data (Arnold and Williams, 1986). Principal components



analysis was used by van Buuren ( 1992) to account for variation in judge responses
in the analysis of time-intensity curves. Another important use of multivariate
analyses was suggested by Levitt (1974) and Powers (1981), who outlined techniques to relate intensities of sensory characteristics either to appropriate instrumental assessments or to overall acceptability.
Affective testing regularly involves evaluation of a single proposed new product. Gacula (1987) discussed some of the problePIS when using such monadic
designs for analyses of data from consumers. Panelists in each monadic test likely
have a different frame of reference, and questions exist regarding the validity of
comparing two products by two monadic tests. The sampling procedure is valid,
but the concern in this case is bias in the analysis of the data. Sequential monadic
testing is more powerful than a simple monadic design, because each panelist
evaluates the two products, one at a time.
1 0. 3. 3 Relationships ofsensory data to instrumental measures

Sensory measurements, as mentioned in the introduction, are uniquely appropriate

to understanding how changes in ingredients and processes modify products for
the market place. They are used because totally assessing a bakery product, or any
food product, by instrumental measures is not possible. Although an instrumental
measurement cannot be more accurate than a sensory method (Kramer, 1972), in
some instances it can provide important, reproducible data for purposes of product
development and quality assurance. The accuracy of the instrumental or chemical
procedure can be determined by its degree of correlation with the sensory response
(Kramer, 1969). Regression analysis is used to provide mathematical descriptions
of the relationship. Generally, sensory responses are based on an integration of
multiple signals. The concern is that, all too frequently, a single, isolated chemical
or physical response is used inappropriately to assess the integrated sensory
responses (Sawyer, 1971; Trant et al., 1981; Kapsalis and Moskowitz, 1977;
Szczesniak, 1968). Flavor and texture involve a spectrum of parameters, and all
instrumental measurements detect only a portion of that spectrum (Szczesniak,
1987). We respond to the numerous interactions generated by chemicals, not to a
single chemical.
Affective test values are multimodal functions (Noble, 1975), which do not
relate to instrumental measures that have linear responses. However, intensities of
specific sensory attributes do have linear functions and can be related appropriately
to instrumental measures under certain conditions (Trant et al., 1981). Cluster
analyses can be used to determine similarities and dissimilarities among sensory
and instrumental responses to stimuli changes. Discriminant and multiple regression analyses are other multivariate statistical techniques to determine which
instrumental and sensory measures will discriminate one group of products from
another (Cardello and Maller, 1987). Cardello et al. (1983) found that multiple
linear regression and multiple correlation coefficients were higher than Pearson
product-moment correlation coefficients for relating instrumental (Instron) texture



measurements to sensory texture measures. As indicated earlier, some of the visual

attributes, especially lightness/darkness, are appropriately assessed instrumentally
(Hunter, 1987) after the relationship to the sensory measurements has been determined.
Instrumental texture profile analysis (TPA; Bourne, 1978) yields compression
values that sometimes can be related to sensory texture characteristics such as
firmness in cakes and breads. However, neither hardness nor any other TPA
measurement had a high (r > 0.80) correlation with sensory measurements in a
study by Brady and Mayer ( 1985). In another study on gels, several sensory texture
characteristics, when examined by canonical analysis, principal components analysis and GP A, did not relate to any instrumental tests. Included in this group were
the terms: stickiness in the mouth or by handling, oily, ease of swallow, thin, and
leaves a residue. Conversely, hardness correlated highly with rupture deformation,
extrusion work, rupture force and cohesiveness. 'Springy by handling' related to
cohesiveness, and melting related to rupture force and rupture work (Daget and
Collyer, 1984). Szczesniak (1988) found that sensory force to slice a pound cake,
to break a piece off the slice, and to compress the slice could be determined with
the universal testing machine (Instron, Canton, MA) using the force to cut with a
single blade, a three-point bend test, and compression between two parallel plates,
respectively. Attenburrow et al. (1989) found that initial modulus (A stress/A strain)
and critical crushing stress from universal testing machine compression measurements of sponge cakes correlated highly (r =0.94 and 0.95, respectively) to sensory
hardness measured by magnitude estimation. Most fundamental rheological properties are measured under relatively low stress and strain without rupture, but the
evaluation of texture in the mouth occurs during mastication with the development
of complicated strain and rupture (Izutsu and Wani, 1985). As a result, correlations of oral evaluations of texture are much better for large-strain, failure
type instrumental tests than for the small-strain, nondestructive type tests
(Szczesniak, 1987).

10. 3. 4 Validity checks for sensory studies

The first key to valid and useful results depends on choosing the appropriate test
to meet the project's objective. Pangborn (1980) stated that incorrect selection
and/or use of methods are the most frequent errors noted in studies reported in the
literature. She detailed the most common errors: (a) poorly defmed objectives, (b)
methods that are confounded or combined to 'short-cut' proper procedures; and (c)
not distinguishing analytical from consumer-type tests. Some examples of errors
in sensory testing have been described already. In addition, Schutz (1971)
illustrated numerous sources of invalidity, both internal and external, for various
types of sensory tests. Internal validity involves the use of correct methodology
and meaningfulness of results within the specific study, and external validity is the
generalizability of the results from a particular experiment to other subjects or
related stimuli.


ADVANCESINBAKINGTECHNOLOGY Objectives. As indicated earlier, poorly defined objectives lead to use of

inappropriate tests to solve the problems. Sidel and Stone (1976) and Meilgaard et
a/. (1991, pp. 4--5, 306--311) provided valuable guidelines for defming objectives
and choosing the appropriate tests. Pangborn (1979) pointed out that usually a
sequential set of sensory tests is needed to meet one's objectives. Frequently,
newcomers to the field of sensory analysis think an appropriate answer can be
obtained with a single test method, but this is generally not the case (Hall, 1958). Confusion between analytical and affective testing. A concern in sensory
measurements is the failure to distinguish the need for a consumer-type test, which
results in using too small numbers of respondents to represent a population. Even
though a conscious effort has been made to train more persons in sensory techniques, examples are found in the recent literature that use as few as 5 to 10 persons'
responses to a product's sensory characteristics as indications of its acceptability.
For example, a blend of butter and shortening was recommended as an acceptable
replacement for lard in pie crusts on the basis of results with only nine persons who
were already familiar with the products (Darweesh eta/., 1991). Panelists can be
trained to evaluate intensity of the characteristics and valid data can be achieved
with small numbers of panelists- even as few as three (Chambers eta/., 1981 ). But
for affective judgements, like acceptability, one hopes to determine how the
population in general, and not just a few people, will respond to the product. The
affective questions and responses are valid only when tested with sufficient
numbers of people to be representative of the target population, the ultimate users
of the product (Pangborn, 1980).
(a) Quality tests. One of the most archaic practices involves quality evaluations
(Sidel et a/., 1981 ), which contain confounding in both the types of
evaluations, e.g. mixing affective and analytical judgements, and attribute
definitions that include terms such as excellent on one extreme and not
present on the other. Quality is a composite of all the characteristics of a
specific product that a group of experts, experienced for years with a wide
range of variation, considers typical and appropriate (Pangborn, 1980).
Benefits can be derived from the use of the 'expert's' knowledge, but
sensory scientists need to assist in improving the quality evaluations made
by the expert (Sidel eta/., 1981 ).
An interesting discussion has been presented by Fishken (1990) of the
problems associated with quality judgements and how sensory scientists
can assist in their improvement. What might be a sensory defect to the
expert might not be to the consumer. Quality is a matter of opinion that
continuously redefines itself with each purported improvement. Quality
tests provide a score or grade to summarize a product's proximity to a
stand3!d. But who sets the standard- the expert who knows what a 'good'
quality product should be or the consumer by what he/she accepts? Training
for quality testing is usually in the form of an apprenticeship, and from one



to six testers generally are used. Quality tests too often represent a combination (and confounding) of affective and descriptive tasks. The methods
present a variety of problems, particularly when they combine affective
judgements of excellence or acceptability along with identification and
descriptions of defects (Sidel et a/., 1981 ). This discrepancy in use of
sensory procedures operationally, at least, can be corrected by assigning
the affective task to the consumer. The expert can be retrained to use
attribute intensity scales or difference tests to determine the proximity of
products to a standard that has been defined by the consumers rather than
by the experts.
Some scoring methods used by the baking and dairy industry typically
evaluate flavor, texture, color and appearance. The score card essentially
becomes the standard by which the quality of the products is measured.
Although such score cards have some educational value, they tend to be
arbitrary and give a false sense of exactness (Bodyfelt, 1981 ). Confounding
of quality and intensity scales abound in such score cards. For example,in
the analysis of the baking quality of cake flour (Method 10-90, AACC,
1986), cake texture is subdivided into three components: (i) moistness; (ii)
tenderness; and (iii) softness. Each of the attributes has been assigned point
values. A slightly dry cake might be given 8 of 10 points for moistness, a
slightly tender cake would receive 10 of 14 points, and a slightly firm cake
would receive 8 of 10 points. The overall texture score for this example
would be 26 on the 34-point scoring system. The weights assigned to each
component are questionable. Why is the optimal value for tenderness score
14 points compared to 10 points for other attributes? In the total score,
tenderness is considered a larger component of texture than moistness and
firmness, a quality judgement that has been incorporated into the evaluation
procedure. Not all consumers (nor even all experts!) necessarily would
agree that tenderness is more important to their acceptance of a cake than
moistness. Some even consider the standard AACC white cake quite dry,
which can happen when quality standards are not based on consumer
The methodology developed for evaluating bread staling (Method 7430, AACC, 1986) has a scale range from very fresh (6) to very stale (1).
These terms also imply quality judgements. What is fresh? Furthermore,
the method of evaluation and references have not been defined; thus,
consistency of evaluation is not likely. Should the panelist measure firmness of crust, firmness of crumb, moisture migration associated with
staleness or other textural changes associated with staling? Without references or product anchors for the points on the scale, agreement by evaluators is not likely, and the responses will tend to be subjective rather than
the objective measurement that is desired.
(b) Confounded scales. Unfortunately, other AACC methods also use a mixture


of quality and intensity evaluations (Methods 10-20 for sweet yeast products and 10-31A for self-rising biscuit flour) that are certain to provide
confounded data. Terms such as ideal, optimum, objectionable, appealing
and desirable are hedonic terms and should not be used within intensity
scales. One hopes that these methods soon will be reviewed and revised to
use appropriate sensory procedures.
Care also must be taken not to confound data (Sidel eta/., 1981) by using
one scale for evaluating two different attributes. For example, foamy and
cohesive should not be anchors for the extremes of a single scale for body
of a semi-solid filling, but each attribute would need to be evaluated
separately. Pangborn (1980) cites other examples of non-linear scales. An
extreme example was given that used a scale for off-flavor with 1 =fishy,
2 =rancid, 3 =rubbery, 4 =burnt, 5 = beany, 6 =nutty, and 7 =bland. Each
term used as an anchor point actually should be evaluated as a separate
attribute, and the intensity of each can be determined.

(c) Adequacy oftraining for descriptive testing. If an analytical test is needed,

the appropriate one might be a descriptive test requiring highly trained
panelists. However, in these situations, the panelists' training frequently is
inadequate and has not been checked to ascertain that the judgements being
made are truly analytical. To determine the adequacy of the training and
orientation when using trained panelists for descriptive tests, one should
check: ( 1) agreement between an individual panelist and a panel as a whole;
(2) agreement between duplicate samples within a test period and among
test periods by each panelist and the panel as a whole; and (3) ability to
distinguish products with known differences by using the entire range of
the scale. Graphical and statistical techniques can be utilized in evaluating
performance of panelists; discussions pertaining to the use of ANOVA for
this purpose are included in ASTM 758 (1981), Rainey (1979), Stone and
Sidel (1985), and Meilgaard eta/. (1991, pp 147-148).
Principal component analysis, cluster analysis, or GPA are multivariate
methods utilized to estimate product-panelist interaction (Powers, 1984).
For example, panelists whose responses account for most of the product
variance usually will be included in the first two or three components of
principal component analysis. Procrustes analysis uses mathematical transformation, rotation/reflection of axes, and dilation to make one configuration approach another multidimensional configuration as closely as
possible. The Procrustes statistic is the sum of the square distances between
the two adjusted configurations, which can be used for comparisons by
panelists to estimate agreement within and among groups and differences
in vocabulary usage among panelists.
P~elists who are not consistent in use of scales are identified through
replications. Comparison of consensus configuration for panelists can be
achieved by principal component analysis and the Procrustes statistic to



identify anyone who is responding differently than the group (Sinesio et

al., 1990; Oreskovich et al., 1991). Powers (1988) has emphasized the
additional insight that can be gained by using univariate and multivariate
analyses jointly, which is usually true. On the other hand, even though GPA
has been utilized widely for these purposes, the simpler univariate methods
of analysis of panelist performance or cluster analysis work well and, in
many instances, make more logical sense than the time-consuming GP A
and its forcing of groupings. Inadequate data presentation. Finally, incomplete reporting of sensory

test procedures and data limit a reader's ability to assess the validity of the methods
and to replicate a study. Guidelines have been established by the Sensory Evaluation Division of the Institute of Food Technologists (1981) and by the American
Association of Cereal Chemists (1992) to assure adequate descriptions of the
sensory component of experiments. The number and source of panelists, scoring
method, coding, experimental design, and analysis should be provided. Meilgaard
et al. ( 1991) have provided guidelines and an example of an adequate report of a
sensory study for use within an organization or for a client.

10.4 Conclusion

A comprehensive approach is needed to attain and maintain high quality bakery

products for consumers. That approach should be global in the methods and sources
of information that are used, but the information that is obtained should be specific
for the product and situation. No single or easy options exist, but the risk and
failures can be minimal with adequate, proper sensory testing by a variety of
analytical and affective methods, including testing by the ultimate judge, the
consumer of the products.




Ballot for Odor [or Taste] Recognition Test

Name - - - - - - Date
Odor Recognition
[or Taste Recognition]
The covered vials contain odorous substances commonly found in the home or
workplace. Bring the vial to your nose, remove the cap, take a short sniff, and try
to identify the odor. If you need you can take 2-3 more short sniffs, then close the
vial. If you cannot think of the exact name of the substance, try to describe the odor
or something of which you are reminded. Wait at least 15-20 seconds between
samples. [Alternatively, for tasting: Please taste each of the solutions in the order
indicated on the ballot (which you will have randomized for each person), from top
to bottom. There may be one or more samples of water among the basic taste
solutions. Identify the basic taste in each coded cup. Rinse your mouth before you
begin tasting and between each sample.]





American Association of Cereal Chemists (1986) Approved Methods of the AACC: Method 10-20.
Baking test for sweet yeast products. First approval4-13-61; Method 10-31A. Baking quality of
self-rising biscuit flour. First approval 4-4-68, reviewed 10-27-82; Method 10-52. Baking quality of
cookie flour-micro method. First approval9-25-85; Method 10-60. Baking quality ofpie flour. Final
approval4-13-61, revised 10-27-82; Method 10-90. Baking quality ofcake flour. Approved 10-8-76,
revised 10-27-82; Method 33-50. Taste panel-triangle test. First approval4-4-68, revised 10-27-82;
Method 74-30. Staleness ofbread. Sensory perception test. Approved 4-13-61. AACC, St Paul, MN.
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11 Microwave technology in baking


11.1 Introduction
It is surprising that microwave heating has not met with greater success in the field
of baking. There have been some success stories, but they are few. This is all the
more surprising since the internal heating mechanism of microwave energy would
seem ideal for the ever-expanding heat insulating foam in a dough. Some major
advances have been made in the field but their commercial adoption has been
poor. This is true for most of the realm of utilization of microwave heating for
industrial purposes.
In fact, in the early days of microwave heating - the 1950s through the early
1970s - researchers in the field predicted great things for industrial microwave
heating and looked upon home microwave heating as an extravagance and a
curiosity. But reality proved just the opposite. By the early 1990s there were about
150 million microwave ovens in homes in North America, the United Kingdom,
Europe, Japan and Australia, accounting for approximately 100,000 megawatts of
output power. In the United States alone annual microwave sales account for $2
billion (US). On the other hand, there are only about 60 to 70 megawatts of
industrial microwave heating systems installed worldwide and the sale of new
microwave equipment amounts to only $25 million (US) annually throughout the
world (Schiffmann, 1992). Obviously, something went wrong in the prediction.
The reasons are numerous and complex.
Because of the overwhelming number of microwave ovens in homes, this
chapter will deal not only with industrial baking technology, but will also discuss
the baking of products by microwaves in the home, a very different situation in
terms of technical requirements than that found industrially. Still another area that
will be described briefly relates to radiofrequency (RF) heating and its application
in the baking industry which, in terms of numbers of units and megawatts of power
installed, far exceeds microwave heating systems.
The concept of heating foods with microwaves probably first occurred when it
became apparent that microwaves, in the form of radar, would heat a person. That
person, Percy Spencer of Raytheon Corporation, quickly tested the effect with a
handful of popcorn placed in a radar transmitting hom and this led to the first patent
for a microwave oven (Spencer, 1952). Soon after that followed invention, experimentation and patents on microwave heating devices, for foods and industrial
applications. The 1960s and 1970s were particularly active in the industrial



community as various discoveries led to the development of conveyorized microwave systems.

Microwave baking of bread was first reported by Fetty (1966). Other workers
in the US followed with some commercial systems for proofmg and frying of
doughnuts appearing in the late 1960s and early 1970s (Schiffmann et al., 1971).
At the same time activities in the UK by Chamberlain (1973) and others was
focused upon using microwaves to bake bread from English wheat. Other early
activities include the pasteurization of bread described by Cathcart (1946) and
Olsen (1965), a process which has become quite successful in Europe in the last
few years. These and other activities will be described in detail.
11.2 Process advantage of microwave systems
11.2.1 Advantages ofmicrowave heating
Heating with microwave energy is distinctly different from conventional heating.
Whereas conventional heating depends upon the slow march of heat from the
surface to the interior and is controlled by the differential in temperature from a
hot surface to a cool interior, heating with microwave energy is, in effect, bulk
heating in which the microwave field interacts with the material as a whole. The
heating begins immediately upon turning on the equipment and it can be very fast,
although it is often better not to be too fast. However, it is the speed of heating that
is often the major advantage and often it is possible to accomplish in seconds or
minutes what might take minutes, hours or even days with the conventional heat
processes. Those factors, which control the heating of any material are:

mass of the material;

heat capacity;
dielectric properties;
heat loss mechanisms;
(f) coupling efficiency;
(g) power generated in the material;
(h) microwave output;
(i) frequency of the microwave heating system;
(j) any auxiliary heat forms such as hot air or infrared.

All other things being equal, the speed of any process may be doubled by
doubling the output power of the microwave generator.
The advantages of microwave processing include the following (Goerz, 1970):
Process speed is increased. This is due to the direct coupling of energy
from the microwave field to the product without having to heat air, the walls of
an oven, etc.
Uniform heating may occur throughout the material. This is not always true;



however, the very large temperature gradients that normally occur in conventional
processes are usually avoided.
Efficiency of energy conversion. Nearly all of the microwave energy is
coupled into the material to be heated and is not expended in heating of the air,
conveyor, or other parts of the equipment, and this may lead to significant energy
Better and more rapid process controlling. Instanteous heat generation and
the variation of power offered by the microwave system means fast and accurate
control of the heating process.
Floor space requirements. These are usually less due to the rapid heating.
Selective heating may occur. The microwave energy couples into the solvent
but not the substrate.
Product quality may be improved. Since internal heating does not depend
upon high surface temperatures, it is possible to achieve more uniform heating
throughout the product and hence avoid the overheating and case hardening that
are common in conventional processes.
Desirable chemical and physical effects may result. Chemical and physical
reactions are promoted by heat generated by microwaves which may lead to
expansion, drying, protein denaturation, starch gelatinization, etc.

11.2.2 Criteria for the selection ofa microwave processing system

Jeppson (1968) listed the conditions which must be satisfied to provide a useful
microwave processing system:
product can't be produced any other way;
cost is reduced;
quality is improved;
yield is higher;
the raw material can be cheaper;
resulting product is more convenient to consumer;
greater product throughput is achieved;
One can add to these criteria such factors as:
(a) The timeliness of the development: does it fit the current industry need, or
is it ahead of its time?
(b) The ability to provide a product which may be successfully microwaved:
often the product one wishes to produce must be changed dramatically from
the conventional formula that is in current use.
(c) How does the incorporation of the microwave process affect all the other
parts of the production line? For example, packaging, cooling, freezing,
(d) Who has the responsibility for developing the new process, the microwave
manufacturer, or the user?
(e) Is there communication between manufacturer and user?



(f) Is the company truly ready to accept what could be an innovative new

All of these factors play a role in the acceptance of any microwave process by
a particular user or by the industry, as has been pointed out by Schiffinann (1992).
Several important baking processes either reached the market only to be withdrawn
after several years, or never reached the marketplace despite their offering distinct
advantages over conventional processing and producing products equal to or
superior to the conventional product.
11.3 Microwave heating fundamentals
11.3.1 Electromagnetic waves

We live in an atmosphere filled with electromagnetic waves at all times. Such

things as light, TV, AM and FM radio waves, ultraviolet, infrared, and microwaves
are all manifestations of these waves. All bodies in the universe above absolute
zero in temperature radiate electromagnetic waves in various portions of the
electromagnetic spectrum. The relationship between these waves is based upon
their frequency and wavelength. Microwaves are generally considered to be those
electromagnetic waves which occupy thatt,ortion of the electromagnetic spectrum
between 300 MHz to 300 GHz (300 x 10 Hertz to 300 x 109 Hertz).
All electromagnetic waves consist of two components in phase with each other
as can be seen in Figure 11.1: the electric portion of the wave, E, and the magnetic
portion of the wave, H, which is perpendicular to it. (Note that waves do not look
like this, but rather this represents the properties of the wave in space.) The

Figure 11.1 A plane monochromatic electromagnetic wave. E and H represent the electric and
magnetic components of the wave. The amplitudes Eo and Ho represent the strength of the electric and
magnetic fields at that point on line x.



amplitude of E represents the strength of the electric field at any point in space,
and that is measured in volts per unit distance. Similarly, the amplitude of the
magnetic portion of the wave gives the strength of the magnetic field at any point
in space measured in amperes per unit distance. Electromagnetic waves travel
through space at the speed of light in air or a vacuum; however, they slow down
as they pass through another media as seen in equation (11.1)

Vp= _r



Vp = the velocity of propagation
C = the speed oflight in air
e' =the relative dielectric constant of the medium.
Two wave properties of interest in microwave heating are the wavelength and
frequency. There are only two wavelengths available in the ISM (Industrial
Scientific Medical) bands of the electromagnetic spectrum which are practical for
microwave heating. These wave frequencies and wavelengths are shown in Table
The 2450 MHz frequency is that which is commonly used for home microwave
ovens, but may be used for industrial heating as well; 915 and 896 are available
only for industrial heating systems. 2450 MHz frequency is used for microwave
heating throughout the world while 915 MHz is reserved for only North and South
America, and its closely allied frequency, 896 MHz, is used in the United Kingdom.
The reasons for this have to do with government regulations concerning radio
frequency interference. There are in fact 915 MHz systems operating in other
countries; however, they must be so well shielded that no possible radio frequency
interference can be detected.
The wavelengths that are shown are nominal wavelengths for the wave propagation through air or vacuum and when microwaves pass through another medium
such as food or water the wave shortens dramatically, as can be seen in equation

A.o = wavelength in free space
A.~ = wavelength in a material.
Table 11.1 Wave frequencies and wavelengths practical for microwave heating
Frequency (j)


915 and896




As an example of this, the relative dielectric constant of water at room temperature is 78, and therefore the wavelength of 12.2 em at 2450 MHz decreases by
approximately 1/9 to approximately 1.3 em. This dramatic decrease in the wavelength has great impact upon the depth of penetration of the microwaves into
materials, as will be explained later.
A further examination of the wave in Figure 11.1 indicates that it is a wave that
changes its energy content as it travels through some medium. If we trace the E
component, for example, we see that it varies from zero to a maximum positive
voltage and then decays to zero, again building up to a maximum voltage of
negative polarity and again decays to zero. A similar effect occurs in the strength
of the magnetic field. So we see a dramatic flip-flopping of the waves' polarity and
its decay through zero, and it is this effect in the space surrounding them which
causes the stress upon molecules and ions which may be converted into heat, and
the greater the strength of the wave and its associated field, the greater will be the
heating effect.
11.3.2 Heating mechanism

At any time, within most microwave heating equipment, be it home microwave

oven or large industrial processing system, the microwave applicator is filled with
microwaves often randomly oriented, but sometimes focussed, in space and approaching the material to be heated from all sides. It is important to recognize that
these waves in themselves do not represent heat but rather are forms of energy
which are only manifested as heat through their interaction with materials. It is as
if they cause materials to heat themselves. While there are many mechanisms of
energy conversion involving microwaves, there are only two with which we are
primarily interested. These are ionic induction and dipolar rotation. Ionic induction. Since ions are charged moieties they are accelerated by
electric fields. In a solution of salt in water, for example, the sodium chloride
dissociates and there exists sodium, chloride, hydronium and hydroxl ions, all of
which can be caused to move in the direction opposite to their own polarity by the
electric field. In doing so they collide with unionized water molecules giving up
kinetic energy and causing them to accelerate and collide with other water molecules in a billiard ball fashion. As the polarity changes the ions accelerate in the
opposite direction. Because of the extremely high frequency with which this
occurs, there are large numbers of collisions and hence a great deal of energy is
transferred. There is, in effect, a two-step energy conversion: electric field energy
is converted to induced ordered kinetic energy, which in tum is converted to
disordered kinetic energy, at which point it may be regarded as heat (White, 1973). Dipolar rotation. Water is a molecular dipole since it has an asymmetric
charge center. Many other molecules are either dipolar in nature, or may become
induced dipoles because of the stresses caused by the electric field. Dipoles are



influenced by the rapidly changing polarity of the electric field. They attempt to
follow the orientation of the field; however, as the field builds up and decays
(relaxes) the dipoles return to their random orientation only to be pulled into
alignment once more as the field builds up to its opposite polarity. It is this build
up and decay of the field occurring at a frequency of many millions of times per
second and the alignment attempt of the molecule which causes frictional heating.
In this case, the energy conversion is from the electric field energy to potential
energy in the dipole and then to random kinetic or thermal energy. For a small
molecule such as water, its relaxation frequency is already higher than the microwave frequency at room temperature, so the hotter the water becomes, the less it
couples energy and the slower it heats. On the other hand, large molecules, such
as polymers, vibrate very slowly and absorb little microwave energy. It is only
when they become hot enough to reach their heat distortion temperatures that they
begin to absorb microwave energy at a very high rate which can result in runaway
heating. This runaway heating is similarly seen in the conversion of ice to water,
since the microwave absorption properties of ice are quite poor by comparison to
those of water. For this reason, it is very difficult to evenly thaw materials in a
microwave field.
The equation for the conversion of microwave energy into heat is as follows:
Pv=kfE2 E"


Pv = power developed in a unit volume of a material
k =constant defming the units of measurement used, e.g. W/cm3

f = frequency

E = electric field strength in volts per unit distance

e " = dielectric loss factor or permittivity
Note that e "=tan o. e'
tan o=loss tangent or dissipation factor.
The relative dielectric constant, e', expresses the degree to which an applied
electric field may build up within a material. The loss tangent, tan o, is a measure
ofhow much of that electric field will be dissipated into heat.
11.3. 3 Interaction ofmicrowave fields with materials

Materials may be divided into four categories depending upon how they interact
with microwave fields:
1. Conductors. These are materials with free electrons, such as metals, which
will reflect microwaves just as light is reflected by a mirror. It is these
materials which are used to contain and direct the microwaves in the form
of applicators and waveguides.
2. Insulators. These are electrically non-conductive materials, glass, paper,
plastics and air. Primarily transparent to microwaves, they are useful to



support and contain materials to be heated by the microwaves and may take
the form of conveyor belts, support trays, packages, dishes, etc. We consider these materials to be 'non-lossy dielectrics'.
3. Dielectrics. These are materials whose properties range from conductors to
insulators and as a group are referred to as 'lossy dielectrics' as these
materials will absorb microwave radiation and convert it into heat. Examples oflossy dielectrics are water, oils, syrups, dough, batter and other food
materials containing large amounts of moisture.
4. Magnetic compounds. These are materials such as ferrites which interact
with the magnetic component of the electromagnetic wave and as such will
heat. Their primary use in industrial microwave heating is in shielding or
choking devices that prevent leakage of microwave energy. Sometimes
they are used for heating in special devices such as pizza trays and browning
The ability of materials to be heated by microwave energy are affected by
various factors as described below:
Moisture content. Since the amount of free moisture in a substance greatly
affects its dielectric constant, materials of higher moisture content usually have
higher dielectric constants. The dielectric constant of water at room temperature is
78, while that of most base materials substrates is of the order of2. Thus, the larger
the percentage of water, the higher the dielectric constant, and consequently, the
better the material will heat. However, the dielectric loss will usually increase with
increasing moisture content, but then level off at values in the range of 20-30%. It
may, in fact, decrease at still higher moisture content. The dielectric constant of
mixtures can be quite complex and may lie between those of the components, but
sometimes may be higher than those of the individual components. Various other
materials such as alcohols and some organic solvents also exhibit dielectric properties that make them suitable for heating with microwaves. There is also a difference
in the microwave absorption abilities of bound and free water since bound water
is not rotationally free and therefore exhibits very poor microwave absorption.
Density. The dielectric constant of air is 1, so for all practical purposes it is
transparent to microwaves. This is especially important in baking since, as the
dough expands and gas cells form, the dough becomes more and more transparent
to the microwave energy allowing it to reach deeper and deeper into the dough
Temperature. Dielectric constants may increase or decrease with temperature
depending upon the material as shown in Figure 11.2 (Bengtsson and Risman,
1971 ). In general, a material below its freezing point exhibits very low dielectric
constant and dielectric loss and is, therefore, quite transparent to microwave
energy. Since most food materials contain large amounts of water and heating is
largely dependent upon the water content, as they become hot, the dielectric



constants tend to plateau or decrease slightly, and therefore the heating rate will
slow down. However, some foods containing large amounts of salt, such as ham,
will show an increasing dielectric loss factor with temperature. Therefore, the hotter
they become, the greater their rate of heating, which can lead to runaway heating

Frequency. Dielectric properties are affected by frequency of the applied

microwave field. Since there are only two allowed industrial frequencies, the
product developer is limited in choice. The lower frequency, 915 MHz, is often the
frequency of choice in industrial processing because it will exhibit a greater depth
of penetration as well as lower capital cost for the equipment.
Conductivity. This refers to the ability of the material to conduct electric
current by the displacement of electrons and ions as already described in detail.
The presence of ions in a food not only affects the heating rate, but also the depth
of penetration.
Thermal conductivity. This often plays a lesser role in microwave heating than
in conventional heating because of the great speed with which the former heats,
thus reducing the time during which thermal conductivity can be effective. However, if the material being heated is large in volume by comparison to the depth of
penetration, thermal conductivity must be depended upon to transfer the heat to the
interior since microwaves will not penetrate that far. It also has a role in evening
















Figure 11.2 Loss factor (e") of various food materials versus temperature CCC) as measured at 2.8
GHz. (From Bengtsson and Risman, 1971.)



out non-uniformities of heating that may occur during the microwave heating
process. An effective means of doing this may be to pulse the microwave on and
off as is commonly done during microwave defrosting in home microwave ovens.

Heat capacity (specific heat). This parameter is often neglected by the product
development scientist or engineer dealing with microwaves. However, it may be
an overriding parameter causing materials to heat much faster than one would
predict from their dielectric properties alone.
Penetration depth. The depth of penetration of microwaves into a material is
not a property of the material itself, but rather a result of its various properties. It
is of utmost importance in affecting both the temperature profile and the rate of
heating that is permissible. Since microwave heating is, in effect, bulk heating, it
is important that the energy penetrate as deeply as possible, or it will be limited to
heating only near the surface. On the other hand, it is possible for the energy to
concentrate in the center of the food and cause excess heating, drying, rupture and
burning. The parameters affecting the depth of penetration into material are shown
in equation (11.4).

A.o ve'



where D =penetration depth at which the available power has decreased to 37%
(1/e) of its value at the surface. Perhaps a simpler way of imagining this is to
consider the half-power depth (Dso) which is the depth at which the power has
decreased to 50% of its value at the surface, and is shown in equation (11.5).

_ 0.347 A.o






From these equations it is obvious that materials with higher loss factors will
have smaller depths of penetration than those with lower values. Typical of this are
materials which contain large amounts of salt as shown above. Table 11.2 shows the
dielectric loss factors and half-power depths of various food materials at 2450 MHz.
Table 11.2 Dielectric loss factor(~:") and half-power depth (Dso) of
various materials at 2450 MHz8

Water (distilled, 25C)

Water+ 0.5 M NaCl (25C)
Ice (-l2C)
Ham (precooked, 20C)
Mashed (30C)
Bread dough
aAdapted from Schiffmann, 1990b.






It is surprising that there are very little dielectric properties data on baking
materials such as flour, doughs and batters to be found in the literature. Zuercher
et al. (1990) provide data on the dielectric properties ofbread dough ('Pipin' Hot'
by Pillsbury) and bread baked from it. The relative dielectric loss and loss factor
are 20 and 9 for bread dough and 4.5 and 1.2 for the finished bread. Data are also
provided for wetter and dryer doughs and at different baking times. We may
estimate that batters and doughs, because of their relatively high amounts of water,
will exhibit rather high dielectric constants in the range of 20 to 50 and dielectric
loss factors between 5 and 20, which would make them quite microwave absorptive.
Batters would have even higher values. One might also estimate the dielectric constant
of flour to be approximately 2 to 4 while its loss factor would be on the order of0.2 to
0.8 by extrapolating from data on wheat and other agricultural products.

11.4 Equipment for microwave processing

Except in certain cases, nearly all microwave processing systems are nothing more
than large microwave ovens with conveyors running through them. A general
scheme for a typical microwave processing is seen in Figure 11.3. The major
components of the microwave system consist of a d. c. power supply, a microwave
generator, an applicator and a control unit.

11.4.1 The power supply and generator

The basic function of the generator is to convert the alternating current of 50 or 60
Hz and 120 to 480 V into the higher frequencies and voltages (4000 V or more)
desired. In microwave systems this is generally done by means of a d.c. power
supply and a tube - either a magnetron or klystron. These tubes are of constant
power output and the power to the load may be controlled by sensing the load
requirements and controlling the output power accordingly, usually by indirectly
varying the d.c. anode voltage. Microwave systems operate on a nominal fixed
frequency of 915/896 or 2450 MHz, with the frequency controlled by the tube
dimensions and geometry. The magnetrons and klystrons are capable of withstanding a reasonable amount of mismatch manifested as power reflected back to the
tube. Precautions must be taken to avoid over-heating or in other ways damaging
these tubes. This is usually done by means of ferrite circulators or isolators which
influence the magnetic field and pass microwave energy only in the forward
direction causing the reflected power to be shunted to a dummy load. This system
is highly efficient and is especially recommended for high power applications.

11.4.2 Applicators
Microwave energy generated by the tube is transported by means of waveguide or
coaxial cable into the applicator. Applicators are usually large rectangular boxes




being processed
Figure 11.3 General scheme for a typical microwave heating system.

made of stainless steel for food processing purposes, and may be either batch type
or conveyorized. When conveyorized, the entrance and exit usually include specifically designed choke systems to prevent microwave leakage, both for safety
reasons and to prevent radio frequency interference. The applicators are designed
so as to maximize the coupling of energy from the generator into the food being
heated. These applicators may also contain auxiliary heat means, such as hot air,
or steam and humidity control.
11.4.3 Control systems

Since the output power of the microwave system is governed by electrical energy,
control systems may be designed utilizing feedback loops, which will monitor some
function ofthe food load such as moisture or temperature and automatically control
the output power of the generator to give better and faster control of the product.
11.4.4 Economics ofmicrowave processing systems

Microwave heating can be quite expensive both in equipment and operating cost.
For this reason the decision to use microwaves as part of the process should only
be done with an examination of the overall costs and the return on investment.
Rarely do speed savings alone provide the economic incentive to utilize microwaves. Instead, this would need to be coupled with such things as increased
throughput, lower manufacturing cost, improved product quality, increased yield,
or other meaningful factors (Jolly, 1973, 1976).
The capital cost of microwave systems are in the order of $5000 (US) or more
per installed kilowatt (kW), which would include conveyors, control systems,
etc. Thus, a baking oven requiring 100 kW of microwave energy would cost
upwards of $500 000 (US).



Operating costs include tube replacement, general maintenance, electrical energy, water cooling and floor space costs. Tube costs, including replacement,
generally run $0.02 to $0.15 (US) per hour of operation with the lower figures
associated with high power tubes (30-50 kW magnetrons) which are commonly
used in large industrial systems. It is the tube and electrical costs which are the
major considerations in calculating operating costs.
11.5 Microwave systems for industrial processing in the baking industry

As described earlier, microwaves may be used for various processes within the
baking industry including baking, pasteurizing, defrosting, proofing and frying of
such products as doughnuts. All of these have been investigated and some have led
to successful industrial applications. The following discussion highlights both
experimental and commercial systems and also provides an historical back~round
of these situations.
What makes microwave especially interesting in bakery applications is that
most of them involve a wet batter or dough which must be made to expand under
the influence of heat. As this occurs the product becomes a better and better heat
insulator slowing the penetration of heat. For microwaves, however, this mass
becomes more and more transparent and they penetrate and heat more deeply and
rapidly. Combinations of microwaves and hot air or microwaves alone are suitable
for many baking operations.
11.5.1 Baking
11. 5.1.1 Bread. Bread baking by means of microwave energy was first reported in
the literature by Fetty (1966). The process was studied at Litton Industries and was
referred to as microwave-proof baking since it involved both proofmg the dough
to about 50% of normal operation by conventional means and then finish proofing
and baking in one operation in a microwave oven. This work was done at 2450
MHz and involved the use of thermo-formed low density polystyrene trays, since
at that time it was felt that metal bake pans were not practical. Since only microwave
energy was involved, there was no development of the typical browned crust and
so these products were of the brown and serve type.
Decareau and Peterson (1968), in an article on potential applications of microwave energy to the baking industry, referred to the energy requirement for bread
baking as 150-200 Btu/lb, and showed that microwave baking would require only
200 Btullb; however, this did not include browning and crusting. At that time, they
used a figure of 500 Btu/lb as a typical amount in conventional bake ovens. Lorenz
eta/. (1973) conducted a large number of experiments on baking with microwave
energy using Plexiglass bake pans, especially designed for these tests. Since white
breads baked in microwave ovens do not develop crust color and for that reason
are not very appealing, they concentrated their work on breads baked from



relatively dark doughs - rye, whole wheat, Boston brown and high protein breads
- which require very little, if any, additional heating in a conventional oven for
browning. Also, the study included brown and serve rolls and cookies which were
made from relatively dark doughs. The overall conclusion of this work was that no
changes in formulation ofbread and rolls were required, although fermentation and
proofing time needed to be decreased. Cookie doughs to be processed by microwave energy should be slightly stiffer than those processed conventionally. To
assure uniform baking, they should not be refrigerated before baking or contain
nuts or raisins since the latter are quite absorptive of microwave energy.
In 1967, Decareau noted the possibility of combining microwave energy and
hot air to produce typically brown and crusted loaves of bread in a shorter time
than by conventional baking methods. His review included estimates of costs and
suggested that economics of such a process would depend on savings in time, space
and equipment. New plant construction might use only one third of the space
normally required. The microwave proof-baking system became the basis of a
mobile field bakery that was being developed by the United States Army in the late
1960s (Dungan and Fox, 1969). The loaves were baked in a 6 kW, 2450 MHz
microwave oven and then later browned in a forced convection oven. A thermal
microwave oven was later developed in the program in which the oven temperature
and microwave power were controlled and proof-baking and browning were
accomplished simultaneously. This system included the use of metal bake pans.
During this time a great deal of effort was being placed upon the potential
application of microwaves for baking bread in the United Kingdom.
Chamberlain (1973) reported on work being done at the Flour Milling and
Baking Research Association in order to allow the utilization ofBritish wheat. This
wheat, which is low in protein, also has a high amylase content and is not
satisfactory for bread baking. Doughs made from such flour are too permeable to
gas and give poor volume among other deficiencies. The activity of amylase has
its maximum rate between the temperatures at which starch begins to gelatinize,
about 55C, and the temperature at which the alpha amylase is finally inactivated,
about 90C. In the conventional hot air oven, it takes approximately 10 min for a
2 lb bread loaf to traverse that temperature range and a great deal of starch
breakdown occurs in that period. The use of microwave energy at 896 MHz allowed
the traversal of that dangerous temperature zone to be made in much shorter time,
and the results were very encouraging, leading to bread which was in many ways
reasonably comparable to bread baked conventionally, with non-British flours. In
order to accomplish this work, the researchers employed special pans made of a
phenolic resin bonded asbestos, called Durestos, which is both heat stable and
microwave transparent. Again, these researchers avoided the use of metal bake
A major advance in the baking of bread is described in the series of patents by
Schiffmann eta/. (1981, 1982, 1983). These patents describe procedures for the
baking of bread utilizing metal pans and in some cases also provided for partial
proofing of the bread in the pans (Schiffmann et al., 1981 ). The work that was done



was for both conventional white bread and firm white bread (Schiffmann et al.,
1982). The conventional baking of soft white bread normally takes 18-22 min in
a hot air oven. In the procedure described in the aforementioned patents, this time
could be reduced to 6-8 min, producing loaves of comparable volume, grain
structure and organoleptic properties. The process involves the simultaneous
application of microwave energy and hot air to both bake and brown the bread. The
use of metal in microwaves has always been controversial; however, microwave
engineers have known for a long period that there is no reason for not using metal
if the system is properly designed. In the case of baking pans, the large opening of
the pan allows for good penetration of the microwave energy. It was found in this
work that the use of either 915 MHz or combinations of 915 and 2450 MHz were
quite effective in baking a loaf.
The baking of a firm white bread is described as a two-step procedure
(Schiffmann et al., 1982) in which the first stage employs conventional ovens with
the dough in standard, lidded baking pans, but for a substantially reduced time.
Oven spring and set are accomplished with the dough being confined at the top by
the lid on the pans. At this point, the lids are removed and baking is fmished in its
second stage with simultaneous application of conventional heat and microwave
energy. The entire process requires only half the conventional bake time for firm
bread, thereby allowing a doubling of throughput.
Neither of these procedures ever met with commercial success although economic forecasts for the process indicated a substantial return on investment.
Whereas the calculated energy requirement to bake a pound loaf of bread is
approximately 250 Btu/lb, Schiffmann and co-workers learned that their process
would require 400 Btu/lb. The actual microwave energy requirement was very low
on the order of 75 Btu/lb loaf. At the same time, a study of the actual energy
requirement in commercial baking ovens for the same bread was 700-1400 Btu/lb,
depending upon the particular bakery. One surprising obstacle to the adoption of
this unique system was the increased throughput which would have required the
purchase not only of a new microwave/hot air baking oven, but the mixers, the
moulder-dividers, proofers, coolers, packaging lines, etc. so the overall capital
requirements were very high.
It should be noted that it would be extremely difficult to retrofit an existing
baking oven with a microwave system primarily because ofproblems of microwave
leakage. Today, no microwave bread baking systems are in operation to this
author's knowledge. Brown and serve products. The work described earlier by Fetty (1986),
Lorenz et al. (1973) and Decareau (1967) indicates the potential for microwave
baking of brown and serve products. A patent by Schiffmann et al. (1979) also
describes a procedure for brown and serve baking utilizing microwave energy. The
advantage of all of these systems would be to allow the baking of the product in
the container in which the product may be finished baked in the home, and which
may then also serve as a serving container. This process may also include over-



wrapping so as to prevent surface contamination by mold and therefore extend

shelf-life. Numerous successful tests at 915 and 2450 MHz have been described
for use in these procedures, as noted above, although no successful commercial
applications are known. Cake baking. Although numerous studies have been done on the baking
of cakes in microwave ovens, both with and without auxiliary heat (Proctor and
Goldblith, 1948; Street and Surratt, 1961; Martin and Tsen, 1981), it appears that
no industrial system exists. The reasons for this are not clear. The economic
advantage for such a system may not be attractive enough. Companies are reluctant
to change their conventional baking procedures without a clear reason, especially
in terms of return on investment. What would perhaps be of commercial interest
would be specialty cakes baked within their serving containers to be either heated
later in home microwave or conventional ovens; or would be of a unique form, with
proper toppings and fillings, to be eaten directly from the container. Doughnut processing. One microwave baking process which was quite
successful for some time was the microwave frying of doughnuts (Schiffmann et
al., 1971). Once again, the unique interior heating properties of microwaves were
able to overcome the otherwise difficult heat transfer conditions normally found in
frying doughnuts. During the frying of doughnuts, the dough rapidly expands,
forming an open celled structure with an ablative crust on its surface thereby
restricting heat transfer from the hot fat to the interior of the doughnut. Doughnuts
are normally fried first on one side and then flipped over to be finished-fried on the
second side. When this turning occurs, the unexpanded dough which still exists at
the turner is now captured in an immovable crust and is unable to expand further,
thereby forming a dense area within the doughnut, commonly called a core. This
dense mass usually represents two thirds of the weight and only one third of the
volume and is that portion most likely to stale first. By applying microwave energy
on the first side of frying, the doughnut is allowed to expand to almost its full
volume before being turned, at which point a brown crust is formed, but no further
expansion is necessary. Microwave doughnuts, therefore, reach much larger volumes, at much shortened frying time. Frying times of approximately two thirds
normal time are possible with 20% larger volumes, or 20% less doughnut mix
required. Fat absorptions can be 25% lower than conventional. Such doughnuts
were found to be oflonger shelf-life, better sugar stability and good eating quality.
This system was developed at DCA Food Industries in the late 1960s and led to the
development and sale of numerous commercial microwave doughnut fryers. These
fryers were successful for quite some time during the early 1970s; however, after
several years, they disappeared from the scene. The reasons are quite complex and
have little or nothing to do with their performance or the quality of the doughnuts.
The financial benefits to the baker were clearly evident and their demise is rather
surprising. Also interesting to note was that this process was developed by a bakery
equipment and mix manufacturer to satisfy the needs of the customers rather than



coming from a microwave engineering company. One of the lessons one can learn
from this is that it is important that the actual user of the equipment becomes
intimately involved in its development in microwave processing.
11.5.2 Proofing
As described earlier, proofing was considered quite early as a part of the potential
microwave baking process in those situations described for proof-baking (Fetty,
1966). Bread dough was first proofed for approximately one half of its conventional
proof time, and then fmished, proofed and baked within the same microwave
applicator. The field kitchen developed for the US Army, described earlier, also
utilized a partial proofing in a conventional proofer prior to fmish proofing and
baking in the microwave thermal oven. In the patent by Schiffmann eta!., (1981)
which describes microwave proofing and baking of bread in metal pans, the
technique again utilizes first partial proofing in a conventional proofer followed by
proofing in a microwave proofer utilizing warm, humidity-controlled air. This
method reduced the proofing time by 30-40%. This was then followed by microwave baking in a separate oven, contrary to the previously named procedures which
completed proofing and baking in the same oven.
A highly successful proofing procedure was developed by DCA Food Industries
(Schiffinannet a!., 1971 ). This process replaced the usual, slow, inefficient conventional proofers with a straight line microwave conveyor, which reduced the total
proofing time from 45-4 min. Unique advantages of this proofing system were the
excellent process control, uniformity of proofing, and sanitation of the proofing
system, and were matched by excellent product quality, all ofwhich had never been
achieved by conventional means. These systems operated at 2450 MHz and varied
in output power from 2.5-1 OkW for production rates of 400-1500 dozen doughnuts
per hour. They could also be used for honey buns and other yeast-raised products.
At one time, there were more than 24 doughnut proofers in operation in the United
States, UK, and Europe. Today, none of these proofers remain, although, once
again, this has nothing to do with the performance of the equipment, or the quality
of the finished product.
11.5.3 Pasteurization
Microbial reduction by microwaves, that is pasteurization and sterilization, has
been studied in large number of food products including baked products. Early
work in this field was described by Cathcart (1946), who pasteurized various
types of wrapped bread in an RF processing system operating at 13-27 MHz.
Olsen (1965) described utilization of the microwaves at 2450 MHz for the
destruction ofbread molds. In his work, white bread was inoculated with cultures
of Aspergillus niger, Penicillium sp., and Rhizopus nigricans. The bread samples
also test the presence or absence of propionates. Following microwave treatment
it was found that bread could be successfully pasteurized for up to 21 days;



however, it was also noted that the presence of propionate was still an advantage.
Evans and Taylor (1967) reported on the extension of shelf-life of packaged
cakes by in-package microwave pasteurization at 896 MHz. The 25 kW system
was capable of processing 1 ton per hour and this treatment added 10 days to 3
weeks to the shelf-life. Actual commercial adoption of microwave pasteurization
ofbread occurred in the mid to late 1980s in Europe. Today numerous installations are available, especially in Germany, for the pasteurization of both specialty and white breads with the shelf-life extension of2 to 3 months. There are
currently perhaps 100 or more microwave bread pasteurizing systems in operation in Germany due to the changing food additive laws in the EC countries which
makes it necessary to stop using preservatives. At the same time, there is no
evidence of the adoption of this process in the United States, probably because
no strong driving force exists.
11.5.4 Thawing

Thawing is not a popular microwave industrial process, whereas tempering is.

Tempering is the raising of the internal temperature of the frozen product, such as
meat or fish, to just below the thaw point, at which point it may be further processed.
As noted above, the thawing with microwaves generally leads to non-uniform
temperature distribution and quite often may result in runaway heating. However,
Fetty ( 1966), in his discussion on microwave proofbaking, also indicated that work
had gone on at Litton on the thawing of frozen baked products and claimed that
they could be uniformly and continuously heated from 0-l45F in a 10-minute
heating cycle. He noted that, should a lower temperature such as room temperature
be desirable, a shorter heat cycle could be used. Belderock and van't Root (1967)
performed microwave thawing studies on breads, cakes and other specialty baked
goods utilizing 2450 MHz. Mayhall (1969) indicated that the use of microwave
energy for thawing bread and dough showed promise. The microwave-thawed
bread was judged less stale by a panel, and bread baked from a microwave-thawed
dough was judged to be of excellent quality.
The commercial operation utilizing microwave thawing along with other heat
sources was employed by DCA Food Industries in the development of the Retail
Doughnut System during the early 1970s. This process was developed to provide
doughnuts, danish, pastries and other high quality baked goods in high traffic areas
such as supermarkets and shopping malls. The products were baked in a central
commissary bakery, frozen and shipped to the satellites which contained a specially
constructed microwave defrosting unit capable of defrosting as many as 12 units
at a time. Since the products were finished with fillings and toppings there was no
skilled labor involved. Product quality was found to be equal to or better than
freshly prepared baked products. As many as 100 installations utilizing this system
were installed and this was quite successful for some period of time before it was
finally withdrawn from the market for internal business reasons.



11.6 Radio frequency (RF) baking

As mentioned at the beginning of this chapter, radio frequency (RF) or dielectric
heating is used quite extensively in the baking industry. RF systems differ
somewhat from microwave systems in the way the equipment is constructed. In
microwave systems, the energy is developed within the tube and then transported
to the applicator wherein it fills the applicator with random or focused microwave fields to heat the product. In an RF system, the electromagnetic field
frequencies varying from 14-40 MHz are generated between capacitor plates
through which the material to be heated is passed. These capacitor plates or
electrodes can be of different shape and dimensions and are constructed to deal
with varying thicknesses of materials. Since the wavelengths may be several
meters in RF heating as opposed to the centimeter length waves at microwave
frequencies, the depths of penetration can be quite large, and, therefore, the size
of the products to be heated may be quite large. RF heating equipment tends to
be considerably less expensive than microwave equipment and allows the use of
metal conveyors which cannot be used in microwave equipment, and these make
it especially useful in situations in which drying is the primary purpose of the
In the baking industry, RF equipment is used primarily for the finished drying
ofbiscuits, cookies and crackers. Many such systems have been described (Jones,
1987; Hulls, 1989; Holland, 1966). These systems or installations began in the late
1950s and the use of RF frequency is now accepted as a standard in most biscuit
factories in the United Kingdom, and can also be found in the United States and
Europe. This fmished drying is particularly successful since the RF field, similarly
to the microwave field, has the ability to pump water actively from the interior of
a material without over-heating the surface and thereby evaporates moisture
without case-hardening the surface which would otherwise cause checking and
other deformities in the product. Decareau (1985) also describes the use of
RF/infrared ovens for the baking of rusks, biscuits and knackebrot.

11.7 Microwave ovens

As noted earlier, the sale of microwave ovens has been so strong in the last decade
that it has achieved saturation levels of 50% and higher in homes in many countries
including USA, UK, Canada, Japan, Australia, Sweden, etc. Food service and
catering use of this appliance is also very high. This has led to the development of
numerous microwavable prepared products for both markets, and baked products
are well represented. This includes frozen, chilled or refrigerated, and room
temperature products. Some are finished products such as buns and muffins which
only need warming, or perhaps defrosting followed by warming. There are some
products, such as cakes and cupcakes, which are in dry mix form and require actual



11. 7.1 Characteristics of microwave ovens

Home microwave ovens have some major performance differences from industrial
systems beyond the obvious differences in size. All operate at a frequency of2450
11. 7.1.1 Power output. Usually the output power of a microwave oven is in
hundreds of watts and is a fixed power output, while industrial systems are tens or
hundreds of kilowatts in output and this output can be continuously and evenly
variable. To vary the power in a microwave oven requires the pulsing on and off
of the magnetron so the food product sees either high power or no power and this
is complicated by the fact that different manufacturers use different on/off pulse
times which may vary from model to model. Hence, the time base may be less than
1 s or as much as 60 s so half power could mean pulsing the microwave on and off
for under a half second each, or for 30 s each, or anything in between. The tendency
today is to use time bases of20 s or more which can be disastrous for baking. The
batter or dough increases in volume while the power is on and then collapses as it
cycles off. This microwave 'breathing' phenomenon makes it very difficult to
obtain the fine, uniform grain usually associated with baked products. On the other
hand, the full or high power setting is usually too much power so that products
baked in the microwave oven will have uneven, wild texture and may show severe
surface cracking. Special formulations are necessary and these usually produce
dense, moist cakes, muffins and the like.
11. 7.1.2 Ambient temperature. The air in a microwave oven remains cool during
microwaving unless the oven has some form of auxiliary heating by means of
forced hot air or infrared heating. This cool condition makes it difficult to achieve
the high surface temperatures required for browning and crisping (see section This, combined with evaporative cooking, makes the surface usually
cooler than the interior of the food.
11. 7.1.3 Oven to oven variation. Microwave ovens vary in many different ways:
output power, which may vary from 350-1000 W; the type and location of the
microwave feed system; the size of the oven cavity (0.3 to almost 2.0
or absence of a turntable; materials of construction; and much more (Schiffmann,
1990a). In fact, one may say that microwave ovens are really a family of perhaps
50 to 100 different appliances and this makes the development of any microwavable
food product a formidable task.


11. 7.2 Microwavable baked products

11. 7.2.1 Products to be baked. As described above, such products as cakes,
cupcakes and muffins are available which are baked in the microwave oven. These
are usually dry mix products to which the consumer may add water, shortening and



eggs. They are usually supplied with a plastic or paperboard baking pan. Often
toppings, such as icing or streusel, are also supplied. There are also some frozen
batter products, such as muffins, which are microwave baked from the frozen state.
In most cases, these products are denser and moister than conventionally baked
products. The formulas usually contain high levels of emulsifiers, modified
starches and other ingredients to add tolerance to the rapid heating requirements of
the microwave oven. Pregelatinized starches are especially important in order to
provide structure formation, otherwise the very rapid expansion caused by the
intense microwave heating will only be followed by severe collapse. Similarly, the
leavening system must be adjusted to keep pace with and not exceed the building
of structure. Baking is a complex physical/chemical event in which a large number
of reactions must occur in a carefully controlled sequence. Microwave heating is
so fast that it may prevent this and so steps must be taken, through proper
formulation, to provide alternatives.
11. 7.2.2 Reheating baked products. Numerous products such as hamburgers and
sandwiches, bread, pizza and pastries are stored in the frozen condition and then
defrosted and warmed in a single microwave step. These products may also be
refrigerated. The products are usually heated in some form of overwrap -paper or
plastic - to reduce moisture loss and provide more uniform heating. A common
problem seen in such products is toughening which leads to a rubbery, chewy or
leathery mouthfeel. The causes for this are not clear and likely are partially due to
the condition of the water within the product. However, it is probably far more
complex than this and may involve the state of gluten and starch (Hoseney and
Rogers, 1989; Rogers et al., 1990; Higo et al., 1983). The problems seem to be
controllable by means ofhigher shortening, emulsifier and water levels and several
microwave formulating base mixes have appeared in the market for this purpose.
11. 7.2.3 Browning and crisping. One of the most peculiar things encountered in
microwave ovens is the lack of browning and crisping of the surface of food
products. Both of these require high surface temperature, which is difficult to
achieve in the microwave-only oven. Further, browning requires extended heating
time and a surface water activity of approximately 0.8, while crisping requires a
water activity of 0.1-0.2 and moisture contents of less than 5% (Kats, 1988;
Schiffmann, 1990b). The air in the microwave-only oven not only stays cool but
is at high humidity. Further, the cool food surface tends to condense moisture.
The two problems can be treated somewhat separately. For browning, numerous
procedures have been followed which usually employ Maillard reaction precursors:
amino acids and reducing sugars, which are dusted or sprayed on the surface prior
to microwaving. Sometimes the use of a topping such as an icing serves to disguise
the lack of color. Usually, some flavor additions are required to provide the typical
flavors provided by browning.
Crisping is treated quite differently. This is usually done by means of special
packaging structures called 'susceptors'. These are usually ultra thin films of



metals, such as aluminum, which have been vacuum or otherwise deposited upon
a high temperature plastic film which is then bonded to paper or paperboard.
Extremely rapid resistive heating may occur in the metallized film so that contact
temperatures are approximately 200C (400F) in several seconds. This can cause
moisture loss and crisping when good contact is provided between the food surface
and the susceptor. Packaging may be in the form of flat or formed trays, bags, wrap
and more, to provide the crisping required by pizza, bread and rolls, croissants,
waffles and other products. Care must be taken to avoid too much heat and burning,
as well as venting to allow steam to escape.

11.8 The future of microwave baking in industry

If any industry is ripe for the adoption of microwave processing, it is the baking
industry. The worldwide requirements for more efficient energy usage and increased productivity fit in with the benefits of microwave processing. Where the
resistance to microwave adoption in the 1970s and 1980s was, in part, due to
unfamiliarity with and fear of microwave radiation, the presence of microwave
ovens in so many homes has, in fact, stimulated interest in their industrial use. In
fact, a bigger problem is separating out those applications which make commercial
sense from those that are no more than interesting but impractical ideas.
There is a real need for more and better research to provide fundamental data
on dielectric properties, ingredient interactions, heat transfer and modeling in
microwave baking systems. Good research work is going on at universities and
government research centers around the world as evidenced by the review paper
by Davis and Gordon (1990). Much of the earlier work and even quite a few of
today's research papers are severely flawed because of a lack of understanding of
microwave theory and experimental techniques.
The development of microwave systems usually requires far more effort on the
food product itself than the equipment (Schiffmann, 1986). As an example, the
design of the microwave doughnut proofer was a fairly simple task; however, it
took well over a year of intensive research to develop a dough system that could
be totally proofed in less than one tenth the time. This demands not only good cereal
science, and an understanding of microwave technology, but also the dedication of
time, manpower and money.
Perhaps, the 1990s will fmally fulfill the predictions of the workers in the
industrial microwave field, and, if so, there is no question that microwave baking
has a rosy future.

Badger, G.M.W. (1970) Microwave principles. Proceedings of IMP! Short Course for Users of
Microwave Power, Clifton, VA.



Belderock, B. and Van't Root, M.J. (1967) Thawing of frozen baked goods by microwaves, Brot u
Gebaeck, 11,221-224