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High Pressure Cold Pasteurization

Chapter · December 2016

DOI: 10.1016/B978-0-08-100596-5.21075-5

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 High Pressure Cold Pasteurization
Deepti Salvi, Noopur S Gosavi, and Mukund V Karwe, Rutgers University, New Brunswick, NJ, United States
Ó 2016 Elsevier Inc. All rights reserved.

Introduction 1
High Pressure Processing 1
High Pressure Processing Equipment and Working 1
Commercially Available High Pressure Processing Products 3
Development of High Pressure Processing as a Preservation Technique 3
Mechanism of Microbial Inactivation During High Pressure Processing 3
Kinetics of Microbial Inactivation During High Pressure Processing 4
Factors Affecting Microbial Inactivation During High Pressure Processing 5
Regulatory Status of High Pressure Processing as a Cold Pasteurization Technique 5
Remarks on High Pressure Processing as a Cold Pasteurization Technique 6
References 6

Introduction

The National Advisory Committee on Microbiological Criteria for Foods (NACMCF, USA) defines pasteurization as:

Any process, treatment, or combination thereof, that is applied to food to reduce the most resistant microorganism(s) of public health significance to
a level that is not likely to present a public health risk under normal conditions of distribution and storage.

Traditionally, thermal treatment, which employs the use of high temperatures, has been used for pasteurization of a variety of
foods, such as milk and fruit juices. The high temperatures involved in the thermal treatments to reduce the microbial load cause
losses of color, flavor, aroma, and nutritional quality. To preserve the sensory and the nutritional quality of the pasteurized foods,
cold pasteurization treatments that cause effective inactivation of target microorganisms at lower treatment temperatures, without
significantly altering the nutritional and sensory quality, are necessary. High-intensity pulsed electric field, ionizing radiation, high
pressure processing (HPP), power ultrasound, ultraviolet light treatment, high-intensity pulsed light, oscillating magnetic fields,
X-ray treatment, membrane filtration, and cold atmospheric pressure plasma are some examples of cold pasteurization
treatments that have been explored. However, HPP is one such cold pasteurization treatment that has been industrially
employed for selected food products and has gained commercial acceptance over the past decade. This article focuses on the
applicability of HPP as a cold pasteurization treatment.

High Pressure Processing

HPP, also known as high hydrostatic pressure processing, is a nonthermal, batch processing technology that subjects foods in sealed,
flexible packages to pressures typically between 100–1000 MPa for a time period between a few seconds to 30 min. HPP is usually
performed at room temperature, but can also be carried out at lower (as low as 0
C initial temperature) and higher temperatures (up
to 90
C initial temperature; though this elevated temperature HPP, also referred to as HPTP, HPTS, or PATS, has not yet been
commercially employed). In rare cases, which are for academic research, HPP has been applied at subzero temperatures, for
example, for a process called pressure shift freezing. The high pressures used in HPP have little to no effect on the covalent bonds
in the foods (Tauscher, 1998, 1999). Therefore, HPP retains the quality of food products in terms of micronutrients, color, flavor,
and aroma. Consequently, HPP foods are often referred to as minimally processed foods with “freshlike” properties.

High Pressure Processing Equipment and Working

A HPP unit typically consists of four main componentsda pressure vessel that is built to withstand extreme high pressures, a pump,
a pressure intensifier, and a pressurization fluid which in most cases (commercially) is clean, filtered water. The operating param-
eters for a HPP unit are the target pressure (in kpsi or MPa), the hold time (sec or min) at the target pressure, and the processing
temperature (
C).
The standard steps involved in HPP treatment are shown in Fig. 1. The food product, usually in flexible packaging, is loaded into
the pressure vessel and the vessel is completely filled with the pressurization fluid to eliminate air pockets in the system. The pressure
vessel is sealed with closures at both ends, and the pressure is steadily increased with the help of a pump and an intensifier by

Reference Module in Food Sciences http://dx.doi.org/10.1016/B978-0-08-100596-5.21075-5 1

2 High Pressure Cold Pasteurization

Figure 1 Steps involved in a typical high pressure processing treatment. From http://hpplosangeles.com/.

pumping more water into the already filled system, until the target pressure is reached. It can take anywhere between a few seconds
to a few minutes to reach the final desired high pressure, depending on the vessel size, product fill ratio, and the pump power. The
temperature of the food increases during the pressurization step at an approximate rate of (3–9
C)/100 MPa, depending on the
composition of the food and the operating temperature prior to compression. Once the target pressure is reached, the pressure
is held at that level for a specified period of time (hold period) and depressurized after the hold period.
A schematic graph of pressure and temperature variation during high pressure treatment is shown in Fig. 2. For most food prod-
ucts, which are liquids or soft solids, the pressure applied to the product during HPP is uniform throughout the food sample, irre-
spective of the shape, the size, and the composition of the food.
The volume of the pressure vessel ranges from 5 mL for laboratory research to 50 L at pilot scale to a current maximum of
525 L at industrial scale. The orientation of the pressure vessel can be vertical or horizontal. Due to the ease of loading and unload-
ing, and separation of treated versus untreated samples, horizontal HPP units are more popular in the food industry. An industrial
scale 300 L horizontal HPP unit manufactured by Hiperbaric (Burgos, Spain) is shown in Fig. 3.

Pressure hold
Temperature,°C
Pressure, MPa

Time, min

Figure 2 The variation of pressure (MPa) and temperature (
C) during a typical high pressure treatment.

Figure 3 A 300-L high pressure processing unit manufactured by Hiperbaric. From http://www.hiperbaric.com/en.
 High Pressure Cold Pasteurization 3

Commercially Available High Pressure Processing Products

Vegetable and fruit products, such as juice, salsa, dressing and guacamole; meat products such as ready-to-eat meats and poultry;
and seafood such as shellfish and fish products, are some of the commercially available HPP food products in the United States
(Ferstl and Ferstl, 2013). Initially, in 1990, commercially pasteurized products included fruit jams and vegetable sauces in Japan
and Italy (Purroy, 2014). In the United States, avocado products have been dominating the HPP product sector since approximately
2000; however, today, the HPP-processed food sector has become a lot more diverse. HPP-pasteurized avocado products have
shown extension of shelf life by inactivation of spoilage microorganisms as well as inactivation of polyphenoloxidase (PPO)
enzymes, while retaining the original color, flavor, and nutrients. HPP-pasteurized juices and smoothies are also popular due to
their freshlike sensory qualities and shelf life extension in the United States, Australia/New Zealand, and Europe. Juices
processed by HPP cannot be labeled as fresh as per US FDA guidelines.
HPP is a suitable cold pasteurization technique for refrigerated seafood without any addition of chemical additives. High yield of
meat while retaining raw quality and flavor profile is an added advantage of HPP treatment in shellfish such as mussels, crabs,
oysters, lobsters, and clams. Other examples of HPP-pasteurized and refrigerated products include RTE meals, soups, salad
dressings, salads, yogurt, cheese, baby food, and dips and salsa (Purroy, 2014). In June 2016, the New South Wales Food
Authority in Australia approved cold pasteurization of raw milk, making cold-pressed milk the latest HPP product in the market
(The Food Authority in New South Wales, 2016b).

Development of High Pressure Processing as a Preservation Technique

In 1899, Bert Hite demonstrated the first application of HPP in foods. He showed that HPP treatment at 600 MPa for 1 h delayed
souring of raw milk by 4 days at room temperature (Hite, 1899). Hite et al. (1914) also performed high pressure experiments on
fruit juices and cut vegetables for extension of shelf life. However, HPP remained a nascent technology for a long period after that.
Between 1982 and 1988 researchers Daniel Farkas, Dallas Hoover, and Dietrich Knorr from the University of Delaware showed inac-
tivation of a wide range of pathogenic and spoilage microorganisms under pressures up to 350 MPa using a cold isostatic press. First
commercial application of HPP occurred in 1991 at Meidi-ya Food Factory in Japan, for high acid products including apple, straw-
berry, and kiwi jams. A 5-log CFU mL1 to 6-log CFU mL1 reduction was reported for yeasts (Saccharomyces cerevisiae and Zygosac-
charomyces rouxii) and bacteria (Staphylococcus spp., Salmonella spp., and a coliform) for strawberry jam treated at 294 MPa for
20 min (US FDA, 2014). The pressure-processed strawberry jam was shown to retain 95% of the vitamin C compared to the unpro-
cessed jam, and was shown to have a better sensory acceptability (US FDA, 2014). The U.S. Army conducted research in the early
1990s on high pressure preservation of spaghetti with meat sauce, Spanish rice, yoghurt with peaches, and a fruit mix.
Over the last three decades, HPP research has advanced, been accepted commercially, and approved as a cold pasteurization
technique for selected food products by regulatory agencies. Over the years, HPP has been demonstrated to be an effective inacti-
vation technique for a variety of pathogenic and spoilage microorganisms, yeasts, and molds, in various food systems (Styles et al.,
1991; Patterson et al., 1995; Carpi et al., 1995; Patterson and Kilpatrick, 1998; Butz et al., 1996; Yuste et al., 2000; Vercammen et al.,
2012). HPP has shown to improve the safety of food products by inactivating pathogenic microorganisms, such as Escherichia coli
O157:H7, Listeria monocytogenes, and Salmonella (Patterson et al., 1995). HPP has also been proven as an effective technique to
extend the shelf life of food products by inactivating spoilage microorganisms, such as lactic acid bacteria, yeasts, and molds (Ferstl
and Ferstl, 2013). Along with microbial inactivation, HPP has been demonstrated to inactivate several deteriorative enzymes such as
PPO and peroxidase (POD) in combination with mild to moderate heat treatment (Chakraborty et al., 2014), thus extending the
shelf life and retaining the quality of food products. A summary of the microbiological inactivation studies performed is shown
in Fig. 4.
The past and current research has shown that HPP is an effective nonthermal technology for inactivation of vegetative bacteria
and extension of shelf life. However, HPP at room temperature has been proven ineffective in inactivating most bacterial spores. The
inactivation of spores under HPP, especially for low-acid foods, requires elevated temperatures (60–90
C initial temper-
ature; ¼ 90–121
C target temperature under pressure). Hence, HPP has been commercially to date only used to manufacture
cold pasteurized products and not sterilized products.

Mechanism of Microbial Inactivation During High Pressure Processing

The inactivation of vegetative pathogenic and spoilage microorganisms during HPP is mainly caused by an alteration in cellular
morphology and inhibition of cell division under pressure (US FDA, 2014). Some of the mechanisms of microbial inactivation
under HPP are listed below:
1. Cell membrane rupture: The extreme high pressure employed in HPP causes cell injury by rupturing the cell membrane under high
pressures. Several studies have reported membrane damage as an important trigger for cell death under high pressure. The
alteration of cell permeability due to HPP affects the ion exchange in the cell and causes impairment of homeostatic and barrier
functions of cells (Mor-Mur and Yuste, 2005).
4 High Pressure Cold Pasteurization

Figure 4 Summary of microbial inactivation under different high pressure processing conditions.

2. Biochemical reactions: Inactivation of microbial key enzymes such as membrane-bound ATPases under pressure results in alter-
ation of ion movement in the cell (Mor-Mur and Yuste, 2005).
3. Genetic mechanisms: As enzymes are affected by HPP, DNA replication mechanism and transcription and translation into proteins
are inhibited (Mor-Mur and Yuste, 2005). Cell division has been shown to slow down with an increase in pressure (US FDA,
2014). Although nucleic acids are more resistant to pressure, DNA and ribosomic RNA have been observed to be degraded by
pressure for some microorganisms (US FDA, 2014; Mor-Mur and Yuste, 2005).

Kinetics of Microbial Inactivation During High Pressure Processing

Microbial inactivation kinetics under high pressure at constant temperature is often assumed to be linear, i.e., first order; however, in
many cases it is nonlinear. Inactivation curves for some microorganisms under pressure in food may demonstrate a shoulder,
a possible first-order inactivation period, and then tailing (US FDA, 2014). For situations in which HPP-induced inactivation
can be approximated as linear or first order, researchers have used DP-value and pressure resistance constant “zp,” similar to the
decimal reduction time (D-value) and the thermal resistance constant “z” commonly used in thermal inactivation kinetics, to
calculate process lethality caused by pressure. The effect of pressure on DP-value for an isothermal process is given by Eq. (1) as
follows:
 
DP P  PR
log ¼ (1)
DPR zP
where, DP ¼ decimal reduction time (s or min) at pressure (P), DPR ¼ decimal reduction time (s or min) at a reference pressure (PR),
and, zp ¼ the pressure increase (MPa) required to accomplish a 90% reduction in the decimal reduction time (D-value).
The DP-value, the time required to achieve a 90% reduction of the microorganism population at a reference pressure, is
a comparative measure of the pressure sensitivities of different bacteria. In general, spoilage and pathogenic microorganisms
in their vegetative state show less resistance to pressure compared to bacterial spores, which is also evident from their DP-
values. For most of the vegetative microorganisms the DP-values reported by the US FDA are between 0.6 and 7.5 min in
the pressure range of 300–700 MPa, while for bacterial spores the DP-values range from 2 to 16.77 min in the pressure range
of 424–827 MPa (US FDA, 2014). The DP-value depends on the type of microorganism, composition of food, and processing
conditions such as pressure and temperature. Table 1 shows DP-values of selected pathogenic microorganisms in different food
substrates.
Use of the model given by Eq. (1) assumes that the temperature during HPP remains constant. However, this assumption does
not hold true for materials that undergo compression, such as liquids and semisolids (as well as many solids), and hence, there is
a need to incorporate the effect of pressure and temperature in the inactivation kinetics.
 High Pressure Cold Pasteurization 5

Table 1 DP-values for selected pathogenic microorganisms in different substrates under high pressure

Microorganism Substrate Pressure DP-value References

Salmonella enteritidis Meat 450 MPa 3 min Patterson et al. (1995)

Salmonella typhimurium Milk 350 MPa 3 min Patterson et al. (1995)
Yersinia enterocolitica Milk 275 MPa 3 min Patterson et al. (1995)
Escherichia coli O157:H7 Milk 400 MPa (50
C) 3 min Patterson and Kilpatrick (1998)
Staphylococcus aureus Milk 500 MPa 2.5 min Patterson and Kilpatrick (1998)
S. aureus Meat 500 MPa 3 min Patterson and Kilpatrick (1998)
Listeria monocytogenes Milk 375 MPa 3 min Patterson et al. (1995)

All experiments were conducted at ambient temperature, unless stated otherwise.

An alternative model to describe the influence of pressure on microbial inactivation rates based on the Eyring equation is given
as follows (Doona et al., 2016):

P  PR
lnðkÞ ¼ lnðk R Þ  DV (2)
RTA
where k ¼ reaction rate constant (min1) at pressure (P), kR ¼ reaction rate constant (min1) at reference pressure (PR),
DV ¼ change in molar activation volume (m3 mol1), P ¼ processing pressure (MPa), TA ¼ absolute temperature (K), R ¼ gas
constant (8.314  106 m3 mol1 MPa1 K1).
The activation volume constant (DV) is used to describe pressure dependence of inactivation kinetics. Negative value of DV
implies that the reaction rate constant increases exponentially with an increase in pressure, i.e., the inactivation of microorganisms
is favored at higher pressures (Doona et al., 2016; Gogou and Taoukis, 2015).

Factors Affecting Microbial Inactivation During High Pressure Processing

HPP inactivation characteristics depend on various factors such as type of microorganism, properties of food (composition, fat
content, pH, and water activity), and processing parameters (pressure, temperature, processing time and rate of compression)
(US FDA, 2014). Some of these factors are briefly discussed:
1. Type of microorganism: Gram-negative bacteria are usually more pressure susceptible than Gram-positive bacteria, although
exceptions exist (US FDA, 2014). It is also reported that cocci are more resistant than rod-shaped bacteria (Considine et al.,
2008). Yeast and molds are HPP sensitive, while ascospores of heat-resistant molds are extremely pressure resistant (Considine
et al., 2008).
2. Composition of food: Microbial resistance to pressure (termed as “baro resistance”) has been reported to increase with increase in
fat, protein, mineral, and sugar content of the food. High fat content in foods has been known to provide a shielding effect to the
microorganisms, increasing their pressure resistance and consequently lowering the inactivation under pressure (The Food
Authority in New South Wales, 2016a).
3. pH of food: As the pH of food decreases, the pressure sensitivity of the microorganisms increases resulting in higher rates of
microbial inactivation under high pressure. In acidic foods (pH < 4), HPP at 580 MPa has been shown to inactivate 6-log
CFU g1 of E. coli O157:H7, Listeria spp., Salmonella spp., and Staphylococcus spp. (The Food Authority in New South Wales,
2016a). Microorganisms in low-acid (pH > 4.6) foods are known to have higher pressure resistance. However, addition of
bacteriocin-based biopreservatives may alter this effect (Alpas and Bozoglu, 2002).
4. Water activity of food: Lower activities have been shown to have a protective effect on the microorganisms, making them more
pressure resistant. Oxen and Knorr (1993) have demonstrated significant drop in the inactivation of microbes suspended in
foods when water activity dropped from 0.98–1.00 to 0.94–0.96.
5. Processing temperature: Temperatures in the range of 45–50
C have been shown to greatly improve the inactivation rates of food
pathogens and spoilage microorganisms under HPP (US FDA, 2014). Higher temperatures (80–120
C) in combination with
high pressure have shown to be effective in the inactivation of spores of pathogenic and spoilage microorganisms.

Regulatory Status of High Pressure Processing as a Cold Pasteurization Technique

An extensive literature available for microbial inactivation using HPP has shown that HPP can be an effective kill step for most
microorganisms in their vegetative state. However, the evaluation of HPP as a cold pasteurization technique is difficult, since
a wide variety of combinations of the parameters (target pressure, processing time, processing temperature, pH, water activity,
food composition) have different effects on different microorganisms in different food systems. The relationship between the
HPP parameters and the microbial inactivation are not always linear, hence validation of HPP inactivation remains a critical
 6 High Pressure Cold Pasteurization

step. The US FDA has approved a limited number of pressure–time combinations for 6-log reduction of key food pathogens in acid
foods held at room temperature and in low-acid refrigerated foods. High water activity acid foods with pH less than 4 and pH
between 4–4.5 have shown commercial sterility at high pressure treatment of 580 MPa for 3 and 15 min, respectively (US FDA,
2014). USDA and US FDA specified critical processing parameters for HPP, which include target pressure, initial temperature of
the product, time at target pressure, initial temperature of the pressurization fluid, time to achieve target pressure, product pH,
decompression time, and product water activity (Ferstl and Ferstl, 2013). The US FDA recommends calibration of pressure and
temperature transducers periodically against traceable instruments and testing to determine the frequency of calibration as a func-
tion of the number of pressure cycles (US FDA, 2014).

Remarks on High Pressure Processing as a Cold Pasteurization Technique

HPP is proving to be an excellent technique for cold pasteurization to inactivate many spoilage and pathogenic microorganisms
while maintaining freshlike qualities. HPP can meet food safety standards of pasteurization and is approved by regulatory agencies
for selected food products. HPP products are being perceived as minimally processed and are gaining popularity. However, to
expand the applications of HPP to a broader range of food products, the main challenges that would have to be overcome are
(1) high initial cost of the HPP equipment and (2) ineffectiveness of HPP in inactivation of pressure-resistant spores. The issue
of the high cost can be resolved as the demand for HPP food increases and the technology to develop high capacity of HPP vessel
is advanced. Further research to overcome the challenges in inactivation of pressure-resistant spores for shelf-stable foods is needed.

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