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Basic Baking Principles

Baking is an art of science that relies on understanding the basic principles of baking and cooking process. It is
important to understand that the mixing of doughs and batters is a complex process that involves more than
just blending and combining ingredients to create a good quality baked product.

Mixing Methods and Techniques

The techniques used to mix or combine ingredients affect the baked good’s final volume, appearance, and
texture. Mixing accomplishes some or all of the following:
 Even distribution of ingredients
 Breakdown of fats and liquids, causing them to blend or emulsify
 Activation of proteins in wheat flour, causing the formation of the elastic structure called gluten
 Incorporation of air into a mixture (aeration) to help it rise and develop a light texture when baked

Blending, folding, sifting, and stirring ensures that the ingredients are well distributed in the batter. Beating,
creaming, kneading, and whipping help incorporate air for a lighter texture of the product.
The different mixing methods and the equipment used are further explained in Table 1.

Method Purpose Equipment/Tools

Agitating the ingredients vigorously to Spoon, or electric mixer with paddle
Beating
incorporate air or develop gluten attachment
Mixing two (2) or more ingredients until evenly Spoon, rubber spatula, whisk, electric
Blending
distributed mixer with paddle attachment
Combining softened butter and sugar to Electric mixer with paddle attachment
Creaming
incorporate air on medium speed
Pastry cutters, fork, an electric mixer
Incorporating solid fat into dry ingredients only
Cutting with paddle attachment, or a food
until lumps of the desired size remain
processor on pulse
Incorporating ingredients very gently, such as
Folding whipped cream or eggs, into dry ingredients, a Rubber spatula
batter, or cream
Kneading Working a dough to develop gluten Hands or electric mixer with dough hook
Passing one or more dry ingredients through a
Sifting wire mesh to remove lumps, combine, and Rotary or drum sifter or mesh strainer
aerate
Gently mixing of ingredients by hand until well
Stirring Spoon, or rubber spatula
combined
Whisk or electric mixer with whisk
Whipping Vigorously mixing ingredients to incorporate air
attachment
Table 1. Mixing Methods
Lifted and modified from: On Baking: Textbook of Baking and Pastry Fundamentals (4th ed), 2020

Controlling Gluten Development

Gluten is the tough, rubbery substance created when flour is mixed with water. Flour does not contain gluten;
only a dough or batter can contain gluten. It is formed when the proteins, gliadin (plasticity protein), and
glutenin (strength and elasticity protein) are moistened.

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In Figure 1, gluten strands form when the proteins in flour are moistened (A), then the strands start to form a
chain when the dough is kneaded (B). After mixing, the gluten chains become sheets that give the dough a
smooth, fine texture, and a stable structure (C).

Factors in Controlling Gluten Development

Gluten development is affected by many factors, including the
temperature, fat, moisture, and the type and balance of ingredients.
Controlling gluten development ensures the quality of a good baked
products.

The Importance of Moisture

Baked goods are made from doughs and batters; the moisture
content distinguishes between the two (2). A dough has low moisture
or water content. Gluten forms into which other ingredients are
embedded.
Dough is usually prepared by beating, blending, cutting, or kneading
and is often stiff enough to cut into various shapes, while a batter
Figure 1. Gluten Development
generally contains more liquids, fat, and sugar than the former. Lifted and modified from: Understanding Food:
Gluten development is minimized, and liquid forms the continuous Principles and Preparation, 6th ed., 2019

medium in which other ingredients are dispersed.

A batter bakes into softer, moister products. It is usually prepared by blending, creaming, stirring, or whipping
and is generally thin enough to pour. Some common types are cake batter, muffin batter, and pancake batter.

Selection of Flours
The type of flour should be considered in baking. Flours are classified by their protein content: strong flour or
weak flour. Because of this, strong flours like bread flour are used for bread, and weak flours like cake flour
are used for cakes.
The type of grain or cereal must also be considered as different grains have different amounts of gluten
protein. For example, wheat flour, especially hard wheat, have good-quality gluten that allows the dough to
be strong and elastic. Rye and spelt, on the other hand, contain small amounts of gluten protein. Other grains
such as corn, buckwheat, and soy contain no gluten at all. As such, high-gluten flour is added to a formula to
make good quality bread out of rye and other grains.

Fat and Other Tenderizers

Fats are called shortening because they shorten gluten strands. These tenderize the dough and batter by
surrounding gluten particles and lubricating them to prevent the strands from sticking together. This is why
pieces of French bread, which have little or no fat, are crisp, while cakes that contain a great deal of fat are
soft.
Sugar is another tenderizer that inhibits gluten development. Sugar is hygroscopic, which means it attracts
and binds with water. Water that is attracted to sugar is not available to hydrate gluten.

Leavening
Yeast fermentation strengthens the gluten as the yeast produces acids from fermenting. While it strengthens
gluten, it can also weaken the dough because, as air is produced to make the dough rise, the cell walls created
by the trapped air becomes overstretched, causing the strands to tear and lose elasticity. This is also the case
when chemical leavening agents are used.

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Temperature
Gluten develops more at warm room temperature. Thus, the ideal temperature for mixing bread dough is 21–
27°C (70–80°F). By contrast, tender products like pie doughs are best made with ice-cold water and mixed in
cold temperature to limit gluten development.

Dough Strength
The desired goal of gluten development is to achieve the proper dough strength. Dough strength can be
described as a combination of three (3) properties: extensibility, elasticity, and tenacity.
• Extensibility is the ability of the dough to be stretched.
• Elasticity is the ability of the dough to spring back when it
is stretched.
• Tenacity is the resistance of the dough to being stretched.
Bakers must learn to judge dough strength by sight and feel to
decide when the dough is properly mixed. They make this
judgment by making a gluten window or a windowpane test. To
do this, take a ball of developed dough and, using both hands,
stretch it into a thin membrane (see Figure 2).

Dough relaxation is an important technique in the production of

most doughs. After mixing or kneading, gluten becomes stretched
and tight. At this point, it becomes difficult to work or mold. A Figure 2. Gluten window
Source: Professional Baking (7th ed), 2017, p. 121
period of rest or relaxation allows the gluten strands to adjust to
their new length and shape; they also become less tight.

Heat Transfer and Cooking Methods

The application of heat through baking or cooking dough or batter
drives out moisture and creates the final result, whether it is a
crusty bread with a fluffy interior or a uniformly crisp cookie. Heat
is transferred to food and baked goods in three (3) primary ways:
conduction, convection, and radiation (see Figure 3).
Conduction is the movement of heat from one item to another
through direct contact. For example, when heat energy hits a cake
pan or baking sheet that is placed in a hot oven, heat is conducted
to the pan. The metal of the pan then conducts the heat to the
surface of the batter or dough contained in the pan.
Convection refers to the transfer of heat through a fluid, which
may be liquid or gas. Natural convection occurs because warm Figure 3. Heat transfer and flow inside an oven
gases tend to rise while cooler ones fall, causing a constant natural Lifted and modified from: Understanding Food: Principles and
Preparation (6th Ed.), 2019
circulation of heat. An example of this is the use of a conventional
oven. Mechanical convection relies on fans or stirring to circulate
heat more quickly and evenly. This can be observed in a convection oven.
Radiation is the transfer of heat energy through waves that move from the heat source to the food. It does
not require physical contact between the heat source and the food. For example, heating elements in a
conventional oven radiate heat into the oven chamber, the metal walls of which absorb the heat. These heated
walls then radiate the heat back onto the surface of food, and food placed closer to the heating element or
oven walls will cook more quickly. Other examples of radiation are infrared cooking, which uses an electric or

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ceramic heating element heated to such high temperatures that it gives waves of radiant heat that cook food
(e.g., toasters and broilers), and microwave cooking, which relies on radiation generated by a special oven to
penetrate food (e.g., microwave ovens).
Food can be cooked in air or fat (dry-heat cooking method) or in water or steam (moist-heat cooking method).
Most of the heat transfer of concern to the baker and pastry chef takes place in an oven.

The Baking Process

Many changes occur in the dough as it bakes. A pourable liquid solidifies into a tender, light cake; a sticky mass
becomes chewy cookies; and a soft, elastic dough becomes firm, crusty French bread. These physical changes
are the result of the ingredients used, the mixing methods employed, and the effect of heat during the baking
process. Below are the stages batters and doughs pass through during and after baking:
1. Fats melt. Most fats begin to melt as soon as the batter or dough is placed in a heated oven, creating
steam and dispersing fat droplets throughout the product. These fat droplets coat the starch granules,
moistening and tenderizing the product by keeping the gluten strands short. As fat melts at different
temperatures, those that melt at lower temperatures (butter) tenderize more than those that melt at
higher temperatures (vegetable shortening).
2. Gases form. A baked good’s final texture is determined by the amount of leavening or rise that occurs
both before and during baking. This rise is caused by the gases present in the dough or batter. Air and
carbon dioxide are present in doughs and batters before they are heated. This may be from air
incorporated into the dough or batter through mixing or the carbon dioxide released by the yeast or
chemical leavening agents. Gases are formed from mixing and continues until it reaches a temperature
of around 77°C or 170°F as the product is heated. Steam also forms as the moisture from the dough
or batter is heated.
3. Gases are trapped. Proper mixing ensures the appropriate protein development in a batter or dough.
The stretchable network of proteins in batter and doughs traps gases in the product, thus causing the
product to rise.
4. Starches gelatinize. Starches are complex carbohydrates present in plants and grain, such as potatoes,
wheat, rice, and corn. Flour made from these and other grains is the primary ingredient in most baked
goods. When a mixture of starch and liquid is heated, remarkable changes occur. Starches absorb
moisture up to 10 times their own weight – beginning at temperatures as low as 41°C or 105°F. When
the starch granules in batter or dough reach a temperature of 60°C or 140°F, they absorb additional
moisture and expand—this is a process called gelatinization.
5. Proteins coagulate. Proteins begin to coagulate or solidify when the dough or batter reaches a
temperature of 71°C or 160°F. These proteins are formed from amino acids that are chemically bonded
into long, loosely folded chains. In the presence of heat, these protein chains unfold (denature), which
allows them to re-bond and solidify into a solid mass. This process provides structure to most baked
goods. Proper baking temperature is important to control the points at which proteins coagulate. High
temperatures cause the protein to solidify without letting the product to expand fully, resulting in a
dense product. Low temperature will let the gas escape before the proteins coagulate, resulting in a
collapsed product. Most proteins coagulate at 71°C to 85°C (160°F to 185°F).
6. Water evaporates. Water contained in the liquid ingredients turn to steam and evaporates. This steam
is a useful leavener. As steam is released, the dough or batter dries out starting from the outside,
resulting in the formation of a pale crust.
7. Sugar caramelizes. As sugar is heated above 160°C (320°F), it breaks down and darkens. This process
of cooking sugar is called caramelization. The result is the gradual darkening of the surface of a baked
good. Caramelization is responsible for most of the flavors associated with baked goods. The process

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of sugar breaking down in the presence of protein is called the Maillard reaction, named after Louis-
Camille Maillard, the French scientist who discovered this principle. Maillard reaction is responsible
for the darkening and the development of pleasing, nutty flavors in baked goods.
8. Cooking continues. Also called as carry over cooking, the physical changes in a baked good do not
stop when it is removed from the oven. The residual heat contained in the hot baking pan and within
the product itself continues the baking process as it cools down. For example, a cookie fresh from the
oven may be soft but will continue to cook as it cools down – fats resolidify and sugar recrystallizes,
resulting in a crisp cookie.
9. Product becomes stale. It is a change in a baked good’s texture and aroma caused by both moisture
loss and changes in the structure of the starch granules or staling. Stale products have lost their fresh
aroma and become firmer, drier, and more crumbly than fresh goods. This process, known as starch
retrogradation, occurs as starch molecule cool, becoming denser and expelling moisture.

Bakery Mathematics
A recipe refers to the list of ingredients and quantity. Its primary function is to give a set of ingredients and
quantities for making a product. But it is also useful for modifying quantities and yields and determining costs
using a formula. These functions require the use of math.

Uses and Limitations of Formulas

Bakers use a relatively small number of basic mixing techniques to prepare doughs and batters. For this reason,
a baker’s formula may consist only of a list of ingredients and quantities and the name of the mixing techniques
used. A trained baker can produce a finished product with that information alone. Often, the name of the
mixing method used isn’t even necessary since the baker can tell from the ingredients and its proportions
which mixing method is needed.
Some recipes supply very little information, while others provide a great deal. But no matter how detailed it
is, a written recipe can’t tell everything, and some judgment by the cook is always required. This is especially
true in the hot kitchen because of product variation – some carrots are sweeter than others, some oysters are
saltier than others, and so on.
In the bakeshop, there is less product variation. Specifically, flour, yeast, sugar, butter, and other basic
ingredients are consistent. Nevertheless, many other factors cannot be accounted for when writing a recipe.
For example:
• Equipment varies from bakeshop to bakeshop; different mixers process dough differently, and ovens
vary in their baking properties.
• It is impossible to give exact instructions for many processes. A bread formula may indicate a mixing
time, but the exact time needed for a batch will vary.
A standardized formula or recipe is a set of instructions describing the way an establishment prepares an item.
The function of a standardized formula is to control productions, which can be done in two (2) ways:
 They control quality. Standardized formulas are detailed and specific. This ensures that the product is
the same every time it is made and served, no matter who cooks it.
 They control quantity. First, standardized formulas indicate the precise quantities for every ingredient
and how to measure that quantity. Second, it indicates exact yields and portion sizes and how to
measure and serve those portions.

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Recipe Conversion
Knowing how to convert formulas and recipes is an important skill. Unless an operation only uses a
standardized formula, a baker will be frequently required to convert formulas to different quantities. There
are two (2) ways to convert recipe yields: percentages or conversion factors.
• Using Percentages: The baker’s percentage indicates the amount of each ingredient used as a
percentage of the amount of flour used. Flour is used as a basis of the baker’s percentage because it
is the main ingredient in nearly all baked goods.
To put it differently, the percentage of each ingredient is its total weight divided by the weight of the
flour multiplied by 100%, or
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤ℎ𝑡𝑡 𝑜𝑜𝑜𝑜 𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖
× 100% = % 𝑜𝑜𝑜𝑜 𝑡𝑡ℎ𝑒𝑒 𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤ℎ𝑡𝑡 𝑜𝑜𝑜𝑜 𝑡𝑡ℎ𝑒𝑒 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓

Example: A recipe calls for 5 kg of flour and 1 kg of sugar. Adjust the recipe to fit 3 kg of flour. To
do this:
1. Find the percentage of sugar.
1 𝑘𝑘𝑘𝑘 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠
× 100% = 20%
5 𝑘𝑘𝑘𝑘 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓

2. Multiply the sugar percentage to the new flour quantity.

3 𝑘𝑘𝑘𝑘 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 × .20 = 0.6 𝑘𝑘𝑘𝑘 𝑜𝑜𝑜𝑜 600 𝑔𝑔

600 g of sugar is needed when adjusting the recipe to 3 kg of flour.

• Using Conversion Factors: To increase or decrease the yield of a formula, determine the formula
conversion factor (FCF). Once identified, the quantities of all ingredients will be multiplied by it to get
the new recipe with a new yield.
𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷 𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌
𝐹𝐹𝐹𝐹𝐹𝐹 =
𝑂𝑂𝑂𝑂𝑂𝑂𝑂𝑂𝑂𝑂𝑂𝑂𝑂𝑂𝑂𝑂 𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌
The desired yield must be expressed in the same unit of measure as the original yield. This may require
converting items into different measurements or rounding them to reasonable quantities. In some
cases, a judgment call must be on those ingredients that do not scale up or down, such as salt, spices,
thickeners, and leaveners.

Example: A recipe has a yield of 20 portions. Adjust the recipe to make 30 portions. To do this,
divide the desired yield by the original yield:
30 𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝
= 1.5
20 𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝
The FCF is 1.5. Multiply each ingredient of the recipe by 1.5 and use the new quantities to make
30 portions of that recipe.

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Problems in Converting Formulas

• Surface and volume: When a formula is adjusted, the dough’s ratio of surface to volume also changes.
For example, dough for a single loaf of bread cools down much quicker than a large batch of dough.
For this, a baker must also determine if adjustments in procedure or ingredient percentages are
needed. Using the same example, warm water is needed when making a single loaf of bread; this will
keep the small dough warm longer and help the dough ferment properly. But for large batches of
dough, cold water is used because large doughs will retain too much heat generated from mixing due
to friction.
• Equipment: A different equipment is often used when the size of formula changes. Bakers must use
their judgment to anticipate problems and modify procedures to avoid them. For example, a 1-kg
dough may be kneaded by hand, but a mixer with a hook attachment is needed for a 20-kg dough.

Cost Calculations
Foodservice operations are businesses. Chefs and bakers must be aware of the basics of food cost calculations.
Controlling costs will ensure that bakeshop operations are profitable.
Ingredient Unit Cost: This is also called the as-purchased cost or APC. Most food items purchased from a
supplier are packed and priced in bulk. In the kitchen, these packed items are broken down to be used in
different recipes. Therefore, to assign the correct costs to the recipe, it is necessary to convert purchase pack
prices to unit prices, expressed as price per single unit.
Often, the purveyor’s invoice indicates the unit cost – for example, 50 kilos of rice at Php 65.00 per kilo. The
formula below may be used if the APC is unknown:
𝑇𝑇𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜 𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 ÷ 𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 = 𝐴𝐴𝐴𝐴𝐴𝐴
Example: A 40-kg sack of potatoes costs Php 7,200.00. What is its APC?
𝑃𝑃ℎ𝑝𝑝 7,200.00 ÷ 40 𝑘𝑘𝑘𝑘 = 𝑃𝑃ℎ𝑝𝑝 180.00 𝑝𝑝𝑝𝑝𝑝𝑝 𝑘𝑘𝑘𝑘
Yield Percentage: In the hot kitchen, cooks are regularly concerned with trimming yield of ingredients like
meat, seafood, and vegetables. For example, 1 kg of whole fish yields much less than 1 kg of fish fillets.
In the bakeshop, bakers need not be concerned with trimming yield of the ingredients they use most: flour,
sugar, fats, and so on. However, it is important to be able to make the proper yield calculations for ingredients
like fresh fruits. The percentage yield of a fruit or vegetable indicates, on the average, how much of the AP
weight (as purchased weight) is left after trimming to produce the ready-to-cook item, or its EP weight (edible
portion weight). The following formula is used to determine the yield percentage:
𝐸𝐸𝐸𝐸 𝑊𝑊𝑊𝑊𝑊𝑊𝑊𝑊ℎ𝑡𝑡
× 100% = 𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
𝐴𝐴𝐴𝐴 𝑊𝑊𝑊𝑊𝑊𝑊𝑊𝑊ℎ𝑡𝑡
Example: A chef purchased 2 kg of apples. After it was peeled and cored, the apples weighed
1.8 kg. What is the yield percentage?
1.8 𝑘𝑘𝑘𝑘
× 100% = 90%
2 𝑘𝑘𝑘𝑘
Edible Portion Unit Cost: As mentioned, most of the ingredients used in baking yields 100%. But there are
some ingredients whose weight is different from when they were purchased to when they were cleaned and
trimmed. Calculating for the edible portion unit cost or EPC is important so that correct pricing is assigned in
the recipe. The formula below is used to determine the EPC:
𝐴𝐴𝐴𝐴𝐴𝐴 ÷ 𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌𝑌 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃 = 𝐸𝐸𝐸𝐸𝐸𝐸

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Example: Mangoes were purchased at Php 260.00/kg and have a yield percentage of 70%.
What is the EPC?

𝑃𝑃ℎ𝑝𝑝 260.00 ÷ 0.70 = 𝑃𝑃ℎ𝑝𝑝 371.43 𝑝𝑝𝑝𝑝𝑝𝑝 𝑘𝑘𝑘𝑘

Recipe Costs: To determine the cost of preparing a recipe, determine the cost of each ingredient first. Then,
add the costs of all ingredients to get the total cost of the formula. Follow the procedure below and refer to
Table 5 to determine the formula costs:
1. List all ingredients and quantities of the formula as prepared.
2. Determine the APC of the ingredients.
3. Convert the quantities in the formula to the same units used for the APC. Round off the converted
units to the nearest hundredths.
4. Compute for the EPC of each ingredient.
5. Calculate the total cost of each ingredient by multiplying the EPC by the number of units needed.
Round off the product to the nearest hundredths.
6. Add the ingredient costs to get the total formula cost.
7. To get cost per unit, divide the total formula cost by the number of units produced.
Recipe: Biscuit Dough
Ingredients Quantity Converted Units APC EPC Total
Bread Flour 1 lb 454 g PHP 76.50/ 1000 g PHP 76.50/ 1000 g PHP 34.73
Pastry Flour 1 lb 454 g PHP 76.50/ 1000 g PHP 76.50/ 1000 g PHP 34.73
Salt 0.75 oz 21 g PHP 10.75/150 g PHP 10.75/150 g PHP 1.50
Sugar 2 oz 56 g PHP25.00/500 g PHP 25.00/500 g PHP 2.80
Baking PHP 23.10
2.5 oz 70 g PHP 16.50/50 g PHP 16.50/50 g
Powder
Butter 14 oz 392 g PHP 145.00/227 g PHP 145.00/227 g PHP 250.40
Units Produced 1447 g Total Recipe Cost PHP 347.26
PHP .240/g
Cost per Unit or PHP
240/kg
Table 5. Formula Costing Sample

Note: This recipe does not have fruits and other ingredients that require trimming yield.

References:
Brown, A. (2019) Understanding food: Principles and preparation (6th ed.). Wadsworth Cengage Learning.
Gisslen, W. (2017) Professional baking (7th ed.). Wiley & Sons.
Labensky, S., Martel, P. & Van Damme, E. (2020) On baking: Textbook of baking and pastry fundamentals (4th ed.). Pearson.
The Culinary Institute of America. (2009). Baking and pastry: Mastering the art and craft (2nd ed.). Wiley & Sons.

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