Paper No.

: 02
Paper Title: The Principles of the Food Processing & Preservation
Module No. : 11
Module Title: Aseptic Processing & Packaging

11.0 Introduction
Aseptic processing is a high-temperature, short-time (HTST) process which results in products with
improved texture, color, flavor, and nutritional value, compared to conventional canning. Aseptic
processing is the process in which a sterile (aseptic) product (typically food or pharmaceutical) is
packaged in a sterile container in a way that maintains sterility. Sterility is achieved with a flash-
heating process (temperature between 195 and 295 °F (91 to 146 °C)), which retains more nutrients
and uses less energy than conventional sterilization techniques such as retort or hot-fill canning.
Aseptic food preservation methods allow processed food to keep for long periods of time
without preservatives, as long as they are not opened. The aseptic packages are typically a mix
of paper (70%), polyethylene (LDPE) (24%), and aluminum (6%), with a tight polyethylene inside
layer. Together these materials form a tight seal against microbiological organisms, contaminants,
and degradation, eliminating the need for refrigeration.
The first aseptic filling plant for milk was presented in Switzerland in 1961. The Tetra
Pak company later became one of the leading suppliers of processing and packaging equipment
for dairies. Aseptic techniques were common in Europe and Asia before they were introduced in
the United States in the 1980s. Aseptic processing makes worldwide export and import of new,
economical and safe food products possible. Bag-In-Box technology is commonly used because it
provides strong containers that are lightweight and easy to handle prior to being filled. Other
common package types are drink boxes and pouches.
High Temperature Short Time (HTST) processes are possible if the product is sterilised before it is
filled into pre-sterilised containers in a sterile atmosphere. This forms the basis of aseptic
processing, also known as ultra-high temperature (UHT) processing. Aseptic processing is used to
sterilise a wide range of liquid foods, including milk, fruit juices and concentrates, cream, yoghurt,
salad dressings, egg and ice cream mix. A number of systems have been introduced for true HTST
treatment, using two or more steps for heating, applying steam injection or infusion for the final
split second temperature rise up to some 150ºC, followed by very rapid evaporative and heat
exchanger cooling. Heating equipment for aseptic processing includes the following:

· Direct systems:
– steam injection
– steam infusion
· Indirect systems:
– plate heat exchangers (including tube-in-tube)
– tubular heat exchangers (concentric tube or shell-and-tube)
– scraped surface heat exchangers.
The main advantages and disadvantages of the of the direct and indirect heating methods are
summarized in Table.1 & 2.
Recent developments in the heating system technologies include tube-in-tube heat exchangers, a
development of plate heat exchangers, in which the thin-walled plates are formed into a tube and
corrugations or twists in the tubes are introduced to promote turbulent flow. One tube is inserted
inside another, which may be repeated two or more times and heat transfer takes place across the
tube walls. Incoming material is heated by sterilized product to regenerate heat and increase energy
efficiency. Steam from hot water is used for the final heating and, after initial cooling by the
 incoming material, the product is cooled with cold water. This system is relatively low cost and is
widely used, although it suffers from some drawbacks such as:
· The equipment is restricted to relatively low viscosity liquids that do not cause
· Significant fouling
· Seal integrity is critical to prevent mixing of incoming material, sterilized
· Product or heating and cooling media
· The seal strength limits the pressure that can be used
· Seals may be difficult to clean.
The process has been widely used for fruit juices, milk and dairy products. The problems
encountered in straight tube heat exchangers are largely overcome by forming a single tube into a
continuous helix or coil, which has a carefully defined ratio between the diameter of the coil and
the diameter of the tube. The coil is contained within an insulating material to minimize heat losses.
The design of the coil promotes secondary flow of liquid within the tube, and this causes turbulence
at relatively low flow rates, and high rates of heat transfer (between two and four times the rates in
tube-in-tube or shell-and-tube heat exchangers. This enables processing of heat-sensitive products
(e.g. liquid egg) and products that cause fouling of heat exchanger surfaces. The mixing action in
the coil gives a uniform distribution of particles, making the equipment suitable for salad dressings,
fruit pure´es and other foods that contain a range of particle sizes, as well as for high viscosity
liquids such as cheese sauce. Additionally, the continuous tube has no seals and is easily cleaned in
place, and the simple design is virtually maintenance-free.

Table.1 Advantages & Disadvantages of Direct Heating Systems

Steam injection Steam infusion
Advantages Limitations Advantages Limitations
· One of the fastest · The method is only · Almost instantaneous · The method is only
methods of heating suitable for low heating of the food to suitable for low
and the fastest viscosity products the temperature of the viscosity products
method of cooling steam, and very rapid
and is Therefore cooling which results
suitable for more heat in high retention of
sensitive foods sensory characteristics
and nutritional
properties
· Volatile removal is · There is relatively · Greater control over · There is relatively poor
an advantage with poor control over processing conditions control over processing
some foods (for processing than steam injection conditions
example milk) conditions
· A requirement for · Lower risk of · There is a requirement
potable steam which localized overheating for potable steam which
is more expensive to of the product is more expensive to
produce than normal produce than normal
processing steam processing steam
· Regeneration of · The method is more · Regeneration of energy
energy is less than suitable for higher is less than 50%
50% compared with viscosity foods compared with more
more than 90% in compared to steam than 90% in indirect
indirect systems injection systems
· Flexibility for · Flexibility for changing
changing to different to different types of
types of product is product is low
 low
· Blockage of the spray
nozzles
· Separation of
components in some
foods

Table.2 Advantages & Disadvantages of Indirect Heating Systems

Steam injection Steam infusion
Advantages Limitations Advantages Limitations
· Relatively · Limited to low · Few seals and easier · Limited to relatively
inexpensive viscosity liquids (up cleaning and low viscosity foods (up
to 1.5Nsm-2) maintenance of aseptic to 1.5Nsm-2)
conditions
· Economical in floor · Operating pressures · Operation at higher · Lower flexibility to
space and water limited by the plate pressures (7,000- changes in production
consumption gaskets to 10,000 kPa) and higher capacity
approximately liquid flow rates (6ms-
1
700kPa ) than plate heat
exchangers
· Efficient in energy · Liquid velocities at · Turbulent flow at tube · Larger diameter tubes
use (>90% energy relatively low walls due to higher cannot be used because
regeneration) pressure also low flow rates hence more higher pressures needed
(1.5-2ms-1) uniform heat transfer to maintain the liquid
and less product velocity and large
deposition diameter pipes have a
lower resistance to
pressure
· Flexible changes to · Low flow rates can · Any increase in
production rate, by cause uneven heating production rate requires
varying the number and solids deposits on duplication of the
of plates the plates which equipment
require more frequent
cleaning
· Easily inspected by · Gaskets susceptible to · Difficulty in inspecting
opening the plate high temperatures and heat transfer surfaces
stack caustic cleaning fluids for food deposits
and are replaced more
regularly than in
pasteurisation
· Careful initial
sterilisation of the
large mass of metal in
the plate stack is
necessary for uniform
expansion to prevent
distortion and damage
to plates or seals
· Liable to fouling
A major challenge lies in aseptic processing of particulate-containing foods, especially at particle
sizes of 5–10mm or more. The major problem is that of ensuring sterility of the fastest moving
particle without heat damage to the slower moving ones. To reduce this problem, processes have
been designed where liquid and particles are processed separately and mixed again before the
aseptic packaging stage, or where liquid and particles are moved through the heating zone at
different rates. The ‘Twintherm’ system is a semi-continuous process in which particulate food is
heated by direct steam injection in a pressurised, horizontal, cylindrical vessel that rotates slowly.
Once the particles have been held for the required time, they are cooled evaporatively, and liquid
that has been sterilised in conventional UHT heat exchangers is used to carry the treatment of
particles compared to continuous processes. The single flow fraction specific thermal processing
(FSTP) system employs a separate holding section which is a cylindrical vessel containing slowly
rotating fork blades on a central shaft. These blades form cages which hold the particles as they are
rotated around the cylinder from the inlet to discharge pipes. Liquid moves freely through the
cages, giving rapid heat transfer. This method of aseptic processing is now used for foods such as
soups, baby foods, fruit and vegetables.
11.1 Semi-aseptic processes
There are a number of other similar processes to aseptic processing which may be labelled minimal
processing compared to conventional canning, in that heat treatment is done in direct contact
between heating medium and food. One example is the old Flash-18 process, in which people
actually worked inside a pressure vessel in which food was heat sterilised in open cookers and
packed hot inside the vessel. A modern, automated version of this is the Pressure-Pac system. In the
Vatech system, food is packed and autoclaved in only partially sealed cans, so that steam penetrates
into the food and drains all liquid from the can, after which the can is sealed under pressure and
cooled.
For bulk pasteurisation of vegetables in combination with semi-aseptic modified atmosphere
packaging, two interesting methods are claimed to be in commercial use. One applies vacuum
steam followed by vacuum cooling, and the other applies heat below 60ºC under CO2 overpressure.
It appears that pasteurisation by heat or other means in combination with packaging under clean
room conditions (semi-aseptic) is attracting increasing interest today. Interesting new process
equipment that can be used in such applications are spiral steam heaters and coolers, also using
impingement steam jets, and microwave and short-wave infrared tunnels.
In the APV high heat infusion system, the very heat-resistant Bacillus sporotherm durance is
inactivated by a heating step from 125º to 150ºC in 0.2 seconds in a steam infusion chamber,
followed by a very precise 2.0 seconds holding time. Upstream, the product is preheated to 70ºC
followed by vacuum cooling, after which the product is again preheated, now to 125ºC, prior to the
steam infusion. Compared to other UHT systems this is claimed to avoid any fouling, and energy
regeneration is claimed to be up to 75% higher. The advantages and disadvantages of high heat
infusion are summarised in Table.3. High heat infusion is used mainly for dairy products such as
UHT milk, lactosereduced milk, flavoured milks, various sauces and dressings.

Table 3. Advantages and Disadvantages of High Heat Infusion

Advantages Disadvantages
· Its capacity to kill heat-resistant spores · Products undergo more severe chemical
damage compared to the normal infusion
process
· Longer operating times, due to reduced · In milk production the process also requires
fouling downstream homogenisation for the longest
possible shelf-life to be obtained
· Increased safety, because the flash
chamber (and in some cases the
 homogeniser) is placed prior to UHT
treatment
· Increased cost efficiency, especially in
energy costs and the cost of maintenance,
inspection, etc.
· The possibility of aseptic flavour
addition, giving the technology an
advantage in the production of flavoured
milk or ice cream mixes, for example
· The capacity to manufacture a wider range
of products

11.2 Aseptic Packaging

UHT-treated products have to be packaged under conditions which prevent microbiological
contamination, i.e. aseptically packaged. With some high-acid foods (pH<4.5), it may be sufficient
to cool the product after UHT treatment to just below 100°C, fill it into a clean container, seal the
container and hold it at that temperature for some minutes before cooling it. This procedure will
inactivate microorganisms that may have been in the container or entered during the filling
operation and which might grow in the product. The filled container may need to be inverted for
some or all of the holding period. However, in the case of low-acid foods (pH>4.5) this procedure
would not be adequate to ensure the sterility of the product. Consequently for such products, aseptic
filling must involve sterilising the empty container or the material from which the container is
made, filling it with the UHT-treated product and sealing it without it being contaminated with
microorganisms.
In the case of rigid metal containers, superheated steam may be used to sterilize the empty
containers and maintain a sterile atmosphere during the filling and sealing operations. Empty cans
are carried on a stainless steel conveyor through a stainless steel tunnel. Superheated steam, at a
temperature of approximately 260°C, is introduced into the tunnel to sterilise the cans. They then
move into an enclosed filling section, maintained sterile by superheated steam. They are sprayed on
the outside with cool sterile water before being filled with the cooled UHT product. The filled cans
move into an enclosed seaming section, which is also maintained in a sterile condition with
superheated steam. The can ends are also sterilised with superheated steam and double-seamed onto
the filled cans in the sterile seaming section. The filled and seamed cans then exit from the tunnel.
The whole system has to be presterilised and the temperatures adjusted to the appropriate levels
before filling commences. This aseptic filling procedure is known as the Dole process. Glass
containers and some plastic and composite containers may be aseptically filled by this method.
Cartons made from a laminate of paper/aluminium foil/polyethylene are widely used for UHT
products such as liquid milk and fruit juices. This type of packaging material cannot be sterilised by
heat alone. A combination of heat and chemical sterilant is used. Treatments with hydrogen
peroxide, peracetic acid, ethylene oxide, ionising radiation, ultraviolet radiation and sterile air have
all been investigated. Hydrogen peroxide at a concentration of 35% in water and 90°C is very
effective against heat-resistant, spore forming microorganisms and is widely used commercially as
a sterilant in aseptic packaging in laminates. Form-fill-seal systems are available as shown in the
figure.1.
 Figure.1: Principle of aseptic packaging system

The packaging material, a polyethylene/paper/polyethylene/foil/polyethylene laminate, is unwound

from a reel and a plastic strip is attached to one edge, which will eventually overlap the internal
longitudinal seal in the carton. It then passes through a deep bath of hot hydrogen peroxide, which
wets the laminate. As it emerges from the bath, the laminate passes between squeeze rollers, which
express liquid hydrogen peroxide for return to the bath. Next, a high-velocity jet of hot sterile air is
directed onto both sides of the laminate to remove residual hydrogen peroxide, as a vapour. The
laminate, which is now sterile and dry, is formed into a tube with a longitudinal seal in an enclosed
section which is maintained sterile by means of hot, sterile air under pressure. The product filling
tube is located down the centre of the laminate tube. The presterilised product is fed into the sterile
zone near the bottom of the tube, which is heatsealed. The air containing the vaporised hydrogen
peroxide is collected in a cover and directed to a compressor where it is mixed with water, which
washes out the residual hydrogen peroxide. The air is sterilised by heat and returned to the filling
zone.

In another system, the laminate is in the form of carton blanks which are erected and then sterilised
by a downward spray of hydrogen peroxide followed by hot sterile air. This completes the
sterilisation and removes residual hydrogen peroxide. The presterilised product is filled into the
cartons and the top sealed within a sterile zone. Similar systems are available to aseptically fill into
preformed plastic cups. The lidding material is sterilised with hydrogen peroxide or infrared
radiation before being heat-sealed onto the cups within a sterile zone. Thermoform filling systems
are available to aseptically fill into polymer laminates. The web of laminate passes through a bath
of hydrogen peroxide and then is contacted by hot sterile air which completes the sterilisation,
removes residual hydrogen peroxide and softens the laminate. The laminate is then thermoformed
into cups and filled with presterilised product within a sterile zone. The sterilised lidding material is
applied before the cups leave the sterile zone. Thermoforming systems are usually used to fill small
containers e.g. for individual portions of milk, cream and whiteners etc.

11.3 Conclusion
Aseptic processing has been a boon to the food processing sector, enabling both growth and
innovation. In aseptic processing, food is stored at ambient temperatures in sterilized containers
free of spoilage organisms and pathogens. The results of this food technology come in all shapes
and sizes, from the consumer packages of milk on the shelves of the supermarket to the huge
containers full of orange juice transported around the world by cargo ships. Over the last couple of
decades, aseptic bulk storage and distribution has revolutionized the global food trade. For
example, more than 90 percent of the approximately 24 million tons of fresh tomatoes harvested
globally each year are aseptically processed and packaged for year-round remanufacture into
various food products. The construction of new aseptic facilities continues around the world, and an
up-to-date understanding of the technology is essential for a new generation of food scientists and
engineers alike.