Functional foods
Concept to product
Edited by
Glenn R. Gibson and Christine M. Williams
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List of contributors ..................................................... xiii
List of abbreviations .................................................... xv
Introduction 1
Part I General issues
1 Defining functional foods ........................................ 9
M.B. Roberfroid, Universite¡ä Catholiquie de Louvain, Brussels
1.1 Introduction . . ................................................ 9
1.2 Functional foods: defining the concept . . . . . . ................. 11
1.3 Functional food science ...................................... 16
1.4 Communicating functional claims . . . . ........................ 19
1.5 Case studies . . ................................................ 22
1.6 Food technology and its impact on functional food
development . ................................................ 24
1.7 Future trends . ................................................ 25
1.8 References . . . ................................................ 25
2 EU legislation and functional foods: a case study ............... 29
P. Berry Ottaway, Consultant, Berry Ottaway and Associates Ltd,
Hereford
2.1 Introduction . . ................................................ 29
2.2 Product description . . . . ...................................... 29
2.3 Product positioning in the European market ................. 30
2.4 Product composition . . . ...................................... 30
Contents
2.5 Functional claims . ........................................... 36
2.6 Packaging . . . . . . . . ........................................... 38
2.7 Labelling . . . . . . . . . ........................................... 39
2.8 Manufacture . . . . . . ........................................... 40
2.9 References . . . . . . . . ........................................... 40
3 US legislation and functional health claims ..................... 43
M.K. Schmidl and T.P. Labuza, University of Minnesota
3.1 Introduction . . . . . . ........................................... 43
3.2 Definitions . . . . . . . . ........................................... 44
3.3 Nutrient modification and specific nutrient claims . . . . . . ..... 46
3.4 Disease-specific or disease-prevention (health) claims . . ..... 47
3.5 The Food and Drug Administration Modernization Act 1997 55
3.6 Medical foods . . . . ........................................... 56
3.7 The Dietary Supplement Health and Education Act 1994 . . . 57
3.8 The controversy over labeling . . ............................. 64
3.9 Advertising and the Federal Trade Commission . . . . . . . . ..... 65
3.10 Future trends . . . . . ........................................... 66
3.11 Further reading . . . ........................................... 67
3.12 References . . . . . . . . ........................................... 67
Part II Functional foods and health
4 Colonic functional foods ......................................... 71
R.A. Rastall (University of Reading), R. Fuller (Russett House,
Reading), H.R. Gaskins (University of Illinois, Champaign, Urbana)
and G.R. Gibson (University of Reading)
4.1 Introduction . . . . . . ........................................... 71
4.2 What are colonic functional foods? . . . . ...................... 72
4.3 How are colonic foods metabolised? . . ...................... 73
4.4 Probiotics . . . . . . . . . ........................................... 75
4.5 Prebiotics . . . . . . . . . ........................................... 77
4.6 Synbiotics . . . . . . . . ........................................... 81
4.7 Health aspects of functional colonic foods . . . . ............... 82
4.8 Host¨Cmicrobe interaction .................................... 85
4.9 Conclusion . . . . . . . ........................................... 89
4.10 References . . . . . . . . ........................................... 89
5 Coronary heart disease .......................................... 97
J.A. Lovegrove and K.G. Jackson, University of Reading
5.1 Introduction . . . . . . ........................................... 97
5.2 Coronary heart disease and risk factors ...................... 100
5.3 Relevant lipid particles . . .................................... 104
5.4 Diet and coronary heart disease: the evidence ............... 111
5.5 Effects of probiotics on blood lipids: the evidence . . . . . ..... 118
viii Contents
5.6 The effects of prebiotics on coronary heart disease .......... 124
5.7 The effects of synbiotics on coronary heart disease .......... 130
5.8 Future trends . ................................................ 130
5.9 Sources of further information and advice . . ................. 131
5.10 References . . . ................................................ 132
6 Anti-tumour properties .......................................... 141
I.T. Johnson, Institute of Food Research, Norwich
6.1 Introduction . . ................................................ 141
6.2 The nature of tumour growth . ............................... 143
6.3 Models of carcinogenesis . . . . . ............................... 145
6.4 Diet and gene interactions . . . . ............................... 146
6.5 Mechanisms of action: nutrients . . . . . ........................ 148
6.6 Mechanisms of action: phytochemicals . . . . . ................. 153
6.7 Mechanisms of action: other factors . ........................ 156
6.8 Conclusion: the role of functional food . . . . . ................. 159
6.9 Future trends . ................................................ 160
6.10 Sources of further information and advice . . ................. 160
6.11 References . . . ................................................ 161
7 Functional foods and acute infections: probiotics and
gastrointestinal disorders ........................................ 167
E. Isolauri and S. Salminen, University of Turku
7.1 Introduction . . ................................................ 167
7.2 The background . . . . . . . . ...................................... 168
7.3 Probiotics and the immune system . . . ........................ 172
7.4 Probiotic functional foods and the treatment of
gastrointestinal disorders . . . . . . ............................... 175
7.5 Future trends . ................................................ 176
7.6 Sources of further information and advice . . ................. 177
7.7 References . . . ................................................ 177
Part III Developing functional food products
8 Maximising the functional benefits of plant foods .............. 183
D.G. Lindsay, Institute of Food Research, Norwich
8.1 Introduction . . ................................................ 183
8.2 The concept of functionality . . ............................... 184
8.3 Functional effects deliverable by plants . . . . . ................. 185
8.4 Plant sources of functional compounds . . . . . ................. 187
8.5 The delivery of functional effects . . . . ........................ 188
8.6 Enhancing functional effects . . ............................... 188
8.7 Factors affecting the intake of functional compounds . . . . . . . . 192
8.8 Enhancing macronutrient quality . . . . . ........................ 192
8.9 Enhancing micronutrient quality . . . . . ........................ 197
Contents ix
8.10 The effects of food processing . . ............................. 202
8.11 Future trends: the work of NEODIET . ...................... 204
8.12 References . . . . . . . . ........................................... 205
9 Developing functional ingredients: a case study ................ 209
A.-S. Sandberg, Chalmers University of Technology, Gothenburg
9.1 Introduction: the nutritional properties of peas . . . . . . . . . ..... 209
9.2 Improving pea protein . . . .................................... 212
9.3 Processing issues in improving pea protein . . . ............... 213
9.4 Adding improved protein to food products . . . ............... 215
9.5 Evaluating the functional and sensory properties of improved
pea protein in food products . . . . ............................. 217
9.6 Future trends: the work of NUTRIPEA ...................... 221
9.7 Sources of further information and advice . . . . ............... 224
9.8 References . . . . . . . . ........................................... 228
10 Functional fats and spreads ...................................... 233
E.A.M. de Deckere and P.M. Verschuren, Unilever Research,
Vlaardingen
10.1 Introduction . . . . . . ........................................... 233
10.2 Functional ingredients and chronic diseases: applications in
fats and spreads . . ........................................... 234
10.3 Fatty acids . . . . . . . . ........................................... 234
10.4 Spreads containing fish oil . . . . . ............................. 240
10.5 Modified fats and oils . . . .................................... 241
10.6 Phytosterols . . . . . . . ........................................... 243
10.7 Antioxidants . . . . . . ........................................... 245
10.8 Low (zero) fat spreads . . . .................................... 247
10.9 Inulin . . ..................................................... 249
10.10 Calcium ..................................................... 249
10.11 Conclusions . . . . . . . ........................................... 250
10.12 References . . . . . . . . ........................................... 250
11 Functional confectionery ........................................ 259
E.F. Pickford and N.J. Jardine, Nestle¡ä Product Technology Centre,
York
11.1 Introduction . . . . . . ........................................... 259
11.2 Types of functional confectionery . . . . . ...................... 261
11.3 The current market in functional confectionery . . . . . . . . . ..... 261
11.4 The development and manufacture of functional confectionery
products ..................................................... 268
11.5 Marketing and retailing functional confectionery . . . . . . . ..... 278
11.6 Summary . . . . . . . . . ........................................... 284
11.7 References . . . . . . . . ........................................... 285
x Contents
12 Probiotic functional foods ........................................ 287
T. Mattila-Sandholm and M. Saarela, VTT Biotechnology, Espoo
12.1 Introduction: the health benefits of probiotic foods .......... 287
12.2 Selecting probiotic strains . . . . . ............................... 292
12.3 Pilot testing in clinical human trials . ........................ 297
12.4 Processing issues in developing probiotic foods . . . .......... 302
12.5 Future trends . ................................................ 303
12.6 Sources of further information and advice . . ................. 305
12.7 References . . . ................................................ 306
13 Dietary fibre functional products ................................ 315
F. Guillon (URPOI, Centre de Recherches INRA, Nantes), M. Champ
(UFDNH, Centre de Recherches INRA, Nantes), and J.-F. Thibault
(URPOI, Centre de Recherches INRA, Nantes)
13.1 Introduction . . ................................................ 315
13.2 Defining dietary fibre . . ...................................... 316
13.3 Sources of dietary fibre ...................................... 321
13.4 Processing dietary fibre ingredients . . ........................ 329
13.5 Processing foods containing dietary fibre . . . ................. 337
13.6 The physiological effects of dietary fibre . . . ................. 340
13.7 Recommended intakes of dietary fibre . . . . . . ................. 350
13.8 Conclusions and future trends . ............................... 351
13.9 Bibliography . ................................................ 355
Index .................................................................... 365
Contents xi
Defining functional foods
What are functional foods? The complexities involved in definition are a key
theme in Chapter 1 of this book. This suggests the following working definition
which seeks to isolate the significance of both ¡®functional¡¯ and ¡®food¡¯ in our
understanding of the term:
A food can be regarded as ¡®functional¡¯ if it is satisfactorily demon-
strated to affect beneficially one or more target functions in the body,
beyond adequate nutrition, in a way that improves health and well-being
or reduces the risk of disease.
This definition suggests that a product must remain a food to be included within
the category. On this basis a functional food can be:
? a natural food
? a food to which a positive component has been added, or from which a
deleterious component has been removed
? a food where the nature of one or more components has been modified.
The idea of ¡®functionality¡¯ reflects a major shift in attitudes to the relationship
between diet and health. Nutritionists have traditionally concentrated on
identifying a ¡®balanced¡¯ diet, that is one ensuring adequate intakes of nutrients
and avoiding certain dietary imbalances (for example, excessive consumption of
fat, cholesterol and salt) which can contribute towards disease. It is important
that this lies behind all sound nutritional principles and guidelines. However, the
focus is now on achieving ¡®optimised¡¯ nutrition, maximising life expectancy and
quality by identifying food ingredients which, when added to a ¡®balanced¡¯ diet,
Introduction
improve the capacity to resist disease and enhance health. Functional foods are
one of the outcomes of this.
The functional foods market
Functional foods first emerged in Japan in the early 1980s. Estimates of the
value of the functional foods market vary enormously, depending on how the
category is defined. Some estimates suggest the world market has grown from
US$7¨C10 billion in 1995 to over US$15 billion in 2000, with annual growth
rates averaging 10%. Japan has traditionally accounted for around half of all
functional food sales (an estimated US$3¨C4 billion in 1996), although this
proportion is decreasing as the European and US markets expand. The US
market was worth about US$8 billion in 1997 with growth at around 5% per
annum. Sales of functional foods in Europe in 1997 have been estimated at
US$1.7 billion, growing to around US$2 billion by 2000.
There have been a number of important forces driving this growth. These
include:
? new research on the links between diet and the prevention of chronic disease
? ageing populations in many developed countries, and an increasing concern
about managing the health of this age group who are more prone to disease
(and particularly such degenerative disorders as cancer, heart disease,
osteoporosis, diabetes and stroke)
? growing pressure on public health spending, leading to a greater emphasis on
prevention and more individual responsibility for health care provision
? increased health consciousness among consumers and concern about their
dietary intake
? improvements in food science and technology
? changes in the regulatory framework governing this area.
Classifying functional foods
As a result of increasing market growth, there is a huge possible range of
functional foods. These include:
? soft drinks such as energy and sports drinks
? cereal and baby foods
? baked goods
? confectionery
? dairy products, especially yoghurts and other fermented dairy products
? spreads
? meat products
? animal feeds.
2 Functional foods
These functional foods offer varying types of benefit and act in differing ways.
One way of categorising their mode of operation is as follows:
? vitamin and mineral fortification
? cholesterol reduction
? dietary fibre
? probiotics, prebiotics and synbiotics
? antioxidants
? phytochemicals
? herbs and botanicals.
Examples of products fortified with vitamins and minerals include calcium-
fortified confectionery and fruit drinks, and calcium-enriched milk with folic
acid. Folic acid, for example, is documented as a vital nutrient in early
pregnancy that guards against spina bifida, while the importance of calcium has
been recognised in counteracting osteoporosis. Given the prevalence of
osteoporosis among the increasing proportion of elderly people in developed
countries, improving calcium intake has been seen as particularly significant in
this sector of the functional foods market. Research has concentrated not just on
ways of increasing levels of calcium intake but also in improving the efficiency
of calcium absorption.
A number of ingredients are associated with inhibiting the absorption of
cholesterol which is thought to be a major factor in cardiovascular disease. This
category includes omega-3 fatty acids and plant sterols. Examples of products in
this area include a margarine containing plant sterol fatty acid esters designed to
reduce cholesterol absorption, and omega-3 enriched eggs produced by chickens
fed a micoalgal feed ingredient.
Dietary fibre comprises the non-digestible structural carbohydrates of plant
cell walls and associated lignan. Consumption of fibre has been linked to a
reduced risk of certain types of cancer, for example consumption of wheat bran
which has been linked to a reduced risk of colon cancer. High-fibre products
include a whole-wheat pasta with three times the fibre of regular pasta.
A probiotic can be defined as a live microbial food supplement which
beneficially affects the host by improving its intestinal microbial balance.
Probiotics are thought to have a range of potential health benefits, including
cholesterol-lowering, cancer chemopreventative and immune-enhancing effects.
Probiotics are viewed currently as the world¡¯s biggest functional food products.
This sector of the functional foods market has been stimulated in recent years by
the development of prebiotics, short chain oligosaccharides which enhance the
growth of beneficial bacteria already in the gut, and synbiotics which combine
pro- and prebiotic characteristics. The field of gut health is now an area of
intense research in functional food science.
Cancerous and other mutations can occur as a result of oxidative damage to
DNA caused by free radicals generated as a damaging side-effect of aerobic
metabolism. Plant and animal cells defend themselves against these effects by
deploying so-called antioxidant compounds to trap or quench free radicals and
Introduction 3
hence arrest their damaging reactions. Antioxidants thus play a role in the
body¡¯s defence against cardiovascular disease, certain (epithelial) cancers,
visual impairments, arthritis and asthma. Antioxidants include vitamin E,
carotene, vitamin C and certain phytochemicals. Functional products incorpor-
ating antioxidant supplements include sports bars containing vitamins C and E
as well as a blend of several carotenoids (alpha- and gamma-carotene and
lycopene).
Plant foods are rich in micronutrients, but they also contain an immense
variety of biologically active, non-nutritive secondary metabolites providing
colour, flavour and natural toxicity to pests and sometimes humans. These
¡®phytochemicals¡¯ have been linked to reducing the risk of chronic diseases such
as cancer, osteoporosis and heart disease. They include glucosinolates and
phenolic compounds like flavonoids which are very effective antioxidants.
Examples of products including phytochemicals are children¡¯s confectionery
containing concentrates of vegetables such as broccoli, Brussels sprouts,
cabbage and carrots.
More recently, herbs and botanicals such as ginkgo, ginseng and guarana
have been linked to improved physical and mental performance. These may lead
to a new generation of ¡®performance¡¯ functional foods including these and other
components such as creatin, caffeine and tryptophane. Products in this area
include beverages, chewing gum and sports bars. One product that combines a
range of functional claims is a fruit juice designed for the sports market
containing carnitine, an amino acid to assist the body in producing energy and in
lowering cholesterol, calcium to improve skeletal strength and chromium
picolinate to help build lean muscle mass.
Key issues in functional foods: the structure of this book
The functional food industry and interested scientists face a number of key
challenges:
? agreeing standards for the validation of claims about the health benefits of
functional foods
? ensuring a regulatory framework which balances consumer protection in the
way that functional claims are validated and communicated with the freedom
for the industry to develop functional products profitably and effectively
? identifying and screening potential functional ingredients for development
? assessing the technological and commercial feasibility of new product ideas
? building in appropriate systems for validating product safety and functional
benefits, for example through clinical human trials
? scaling up for commercial production.
This collection of chapters addresses this range of issues. Chapter 1 looks at the
key issues of definition and an appropriate methodology for substantiating
functional claims. It outlines the idea of identifying ¡®markers¡¯ in demonstrating
4 Functional foods
the impact of a functional ingredient on a target function in the body, and also
addresses the problem of how the results of such verification procedures can be
communicated effectively to consumers. Chapters 2 and 3 then consider the
current regulatory framework in the EU and the US respectively, including
current controls on making health claims for functional products.
Part II of this book consists of a series of chapters summarising the current
state of research on the links between functional foods and health. An
understanding of this is obviously critical to the claims that manufacturers can
make about functional products. Chapter 4 looks at colonic functional foods:
probiotics, prebiotics and synbiotics. It describes current research on their mode
of operation and health benefits. Chapter 5 considers the contribution of
functional foods to the prevention of coronary heart disease, identifying the role
of dietary factors and considering the impact of antioxidants, probiotics,
prebiotics and synbiotics. In Chapter 6, the role of functional foods in preventing
cancer is discussed, looking particularly at antioxidants, phytochemicals and
dietary fibre. Finally, Chapter 7 looks at the effects of functional foods on acute
disorders, assessing the role of probiotics in enhancing the immune system and
in prevention and treatment of gastrointestinal disorders.
In Part III the focus shifts to product development issues. Chapter 8 considers
the range of plant sources of functional compounds and the impact of processing
on these compounds. It also discusses methods of enhancing functional
properties such as genetic modification, and includes case studies illustrating
improvements to plant macronutrient and micronutrient content. Building on
this, Chapter 9 provides a case study of the identification of a functional plant
ingredient, preparation and processing issues, applications in food and
measurement.
Two chapters assess the issue of selecting a functional ingredient. Chapter 10
considers the research and processing issues involved in identifying a target
functional ingredient from the range on offer, concentrating on functional fats
and spreads. In Chapter 11, the functional confectionery market is used to
analyse the process of product development from market analysis through to
formulation, testing and marketing. The final chapters look at processing issues.
Chapter 12 discusses probiotic foods and such issues as selecting strains, pilot
testing in clinical trials and commercial production. Chapter 13 looks at dietary
fibre functional foods, discussing sources, processing and measurement of
functional properties.
Introduction 5
Part I
General issues
1.1 Introduction
To understand functional food it is first necessary to understand how the science
of nutrition itself has changed. Nutrition has progressed from the prevention of
dietary deficiency and the establishment of nutrition standards, dietary
guidelines and food guides, to the promotion of a state of well-being and
health and the reduction of the risk of disease.
1.1.1 Nutrition: a science of the twentieth century
1
Even though ¡®diet¡¯ and ¡®food¡¯ are very old terms, probably as old as human
beings, the term ¡®nutrition¡¯ is rather modern, appearing for the first time in the
nineteenth century. Nutrition is multidisciplinary as it integrates and applies
broad and available knowledge (including basic science) about foods and/or
nutrients and their effects on body physiology with the aim of improving the
state of well-being and health.
During the twentieth century, essential nutrients have been discovered and
nutrient standards, dietary guidelines and food guides established, mainly if not
exclusively with the aim of preventing deficiencies and supporting body growth,
maintenance and development. More recently, in the last 30 years, recommen-
dations have also been made that we should aim to avoid excessive consumption
of some of these nutrients since their potential role in the etiology of
miscellaneous (mostly chronic) diseases has been recognised.
2
These advances
are reflected in:
? Nutrient standards,
3
the recommended daily allowances (RDAs) or reference
nutrition intakes (RNIs) which are the ¡®average daily amounts of essential
1
Defining functional foods
M.B. Roberfroid, Universite¡ä Catholique de Louvain, Brussels
nutrients estimated on the basis of available scientific knowledge to be
sufficiently high to meet the physiological needs of nearly all healthy persons¡¯.
? Dietary guidelines,
4
which are ¡®advice on consumption of foods or food
components for which there is a related public health concern¡¯, mostly when
RDAs or RNIs are not available. These are expressed in relation to total diet,
often in qualitative terms (more/less/increased/reduced . . .), based on
consensus research findings relating diet and health.
? Food guides,
5
which are ¡®the translation of nutritional standards and dietary
guidelines in terms of recommendations on daily food intake¡¯. These form a
conceptual framework for selecting the kinds and amounts of foods of various
types that, together, provide a nutritionally satisfactory diet. They are based
on nutrient standards, composition of foods, food intake patterns and factors
influencing food choice.
Through these developments, one of the major contributions of nutritional
science in the twentieth century has been the concept of the balanced diet, ¡®an
appropriate mixture of food items that provides, at least, the minimum
requirements of nutrients and a few other food components needed to support
growth and maintain body weight, to prevent the development of deficiency
diseases and to reduce the risk of diseases associated with deleterious
excesses¡¯.
6
1.1.2 Nutrition: a science for the twenty-first century
At the turn of the twenty-first century, the society of abundance, which
characterises most of the industrialised world, faces new challenges from an
uncontrollable increase in the costs of health care, an increase in life expectancy,
improved scientific knowledge and development of new technologies to major
changes in lifestyles (Table 1.1). Nutrition has to adapt to these new challenges.
As a consequence, nutrition as a science will, in addition to keeping an emphasis
on balanced diet, develop the concept of optimum (optimised) nutrition.
7
Optimum (optimised) nutrition will aim at maximising the physiological
functions of each individual, in order to ensure both maximum well-being and
health but, at the same time, a minimum risk of disease throughout life. In other
words, it will have to aim at maximising a healthy lifespan. At the same time, it
will have to match an individual¡¯s unique biochemical needs with a tailored
selection of nutrient intakes for that individual. Such a selection will be based on
Table 1.1 The challenges for nutrition at the beginning of the twenty-first century
? Application of new scientific knowledge in nutrition
? Improved scientific knowledge on diet¨Cdisease relationships
? Exponential increase of health-care costs
? Increase in life expectancy
? Consumer awareness of nutrition and health relationships
? Progress in food technology
10 Functional foods
a better understanding of the interactions between genes and nutrition.
8
These
interactions include: polymorphism and interindividual variations in response to
diet, dietary alteration and modulation of gene expression, and dietary effects on
disease risk. These interactions play a role both in the modulation of specific
physiological functions and/or pathophysiological processes by given food
components, as well as in their metabolism by the body. They control the
responsiveness of a particular individual to both the beneficial and deleterious
effects of their diet.
Even though a balanced diet remains a key objective to prevent deficiencies
and their associated diseases and to reduce the risk of the diseases associated
with excess intake of some nutrients, optimum (optimised) nutrition will aim at
establishing optimum (optimised) intake of as many food components as
possible to support or promote well-being and health, and/or reduce the risk of
diseases, mainly for those that are diet-related. At the beginning of the twenty-
first century, the major challenge of the science of nutrition is thus to progress
from improving life expectancy to improving life quality/wellness.
On the road to optimum (optimised) nutrition, which is an ambitious and
long-term objective, functional food is, among others, a new, interesting and
stimulating concept inasmuch as it is supported by sound and consensual
scientific data generated by the recently developed functional food science
aimed at improving dietary guidelines by integrating new knowledge on the
interactions between food components and body functions and/or pathological
processes.
1.2 Functional foods: defining the concept
Functional food cannot be a single well-defined/well-characterisable entity.
Indeed, a wide variety of food products are or will, in the future, be characterised
as functional food with a variety of components, some of them classified as
nutrients, affecting a variety of body functions relevant to either a state of well-
being and health and/or to the reduction in risk of a disease. Thus no simple,
universally accepted definition of functional food exists. Especially in Europe,
where even the common term ¡®dietary fibre¡¯ has no consensual definition, it
would be unrealistic to try to produce such a definition for something as new and
diverse as functional food. Functional food has thus to be understood as a
concept. Moreover, if it is function driven rather than product driven, the
concept is likely to be more universal and not too much influenced by local
characteristics or cultural traditions.
9
1.2.1 Functional food: an international overview
Japan is the birthplace of the term ¡®functional food¡¯.
10
Moreover, that country
has been at the forefront of the development of functional foods since the early
1980s when systematic and large-scale research programmes were launched and
Defining functional foods 11
funded by the Japanese government on systematic analysis and development of
food functions, analysis of physiological regulation of function by food and
analysis of functional foods and molecular design. As a result of a long decision-
making process to establish a category of foods for potential enhancing benefits
as part of a national effort to reduce the escalating cost of health care, the
concept of foods for specified health use (FOSHU) was established in 1991.
These foods, which are intended to be used to improve people¡¯s health and for
which specific health effects (claims) are allowed to be displayed, are included
as one of the categories of foods described in the Nutrition Improvement Law as
foods for special dietary use. According to the Japanese Ministry of Health and
Welfare, FOSHU are:
? foods that are expected to have a specific health effect due to relevant
constituents, or foods from which allergens have been removed, and
? foods where the effect of such an addition or removal has been scientifically
evaluated, and permission has been granted to make claims regarding the
specific beneficial effects on health expected from their consumption.
Foods identified as FOSHU are required to provide evidence that the final food
product, but not isolated individual component(s), is likely to exert a health or
physiological effect when consumed as part of an ordinary diet. Moreover,
FOSHU products should be in the form of ordinary foods (i.e. not pills or
capsules).
In the meantime, but mainly in the 1990s, a variety of terms, more or less
related to the Japanese FOSHU, has appeared worldwide. In addition to
functional foods, these include more exotic terms such as ¡®nutraceuticals¡¯,
¡®designer foods¡¯, ¡®f(ph)armafoods¡¯, ¡®medifoods¡¯, ¡®vitafoods¡¯, etc., but also the
more traditional ¡®dietary supplements¡¯ and ¡®fortified foods¡¯. According to
Hillian
11
these terms intend to describe ¡®food substances that provide medical or
health benefits including the prevention and treatment of disease¡¯. As discussed
in an editorial of the Lancet,
12
these are ¡®foods or food products marketed with
the message of a benefit to health¡¯ and they ¡®sit in the murky territory between
food and medicine¡¯.
13
For the editors of two other books entitled Functional
Foods, these terms cover ¡®foods that can prevent or treat disease¡¯
14
or ¡®foods or
isolated food ingredients that deliver specific nonnutritive physiological benefits
that may enhance health¡¯.
15
For these authors, these terms are interchangeable.
But it appears that these terms either describe quite different entities that cannot
be covered by a single heading or are formulated in such a general and broad
sense that they lose specificity and become too vague to be really useful.
? Nutraceuticals have been described as ¡®any substance that is a food or part of
a food that provides medical and/or health benefits, including the prevention
and treatment of disease¡¯
16
or ¡®a product produced from foods but sold in
powders, pills and other medicinal forms not generally associated with food
and demonstrated to have physiological benefits or provide protection against
chronic disease¡¯.
17
12 Functional foods
? Vitafoods are defined by the Ministry of Agriculture, Fisheries and Food
(MAFF) as ¡®foods and drinks to meet the needs of modern health conscious
consumers which enhance the bodily or mental quality of life, enhance the
capacity to endure or flourish or to recover from strenuous exercise or illness.
They may also increase the healthy status of the consumer or act as potential
deterrent to health hazard¡¯.
18
? Dietary supplements have, at least in the USA, a more elaborate definition
which covers ¡®a product intended to supplement the diet and that bears or
contains one or more of certain specified dietary ingredients (vitamins,
minerals, herbs or other botanicals, amino-acids, a dietary supplement) to
supplement the diet by increasing total dietary intake, a concentrate,
metabolite, constituent, extract or combination. It is a tablet, capsule,
powder, softgel, gelcap or liquid droplet or some other form that can be a
conventional food but is not represented as a conventional¡¯.
19
However, in
France the definition is more restrictive, being ¡®a product to be ingested to
complement the usual diet in order to make good any real or anticipated
deficiencies in daily intake¡¯.
20
Functional food has as many definitions as the number of authors referring to it.
These definitions go from simple statements such as:
? foods that may provide health benefits beyond basic nutrition
21
? foods or food products marketed with the message of the benefit to health
12
? everyday food transformed into a potential lifesaver by the addition of a
magical ingredient
13
to very elaborate definitions such as:
? food and drink products derived from naturally occurring substances
consumed as part of the daily diet and possessing particular physiological
benefits when ingested
11
? food derived from naturally occurring substances that can and should be
consumed as part of the daily diet and that serve to regulate or otherwise
affect a particular body process when ingested
22
? food similar in appearance to conventional food, which is consumed as part
of a usual diet and has demonstrated physiological benefit and/or reduces the
risk of chronic disease beyond basic nutritional functions
17
? food that encompasses potentially helpful products including any modified
food or food ingredient that may provide a health benefit beyond that of the
traditional nutrient it contains
23
? food similar in appearance to conventional food that is intended to be
consumed as part of a normal diet, but has been modified to subserve
physiological roles beyond the provision of simple nutrient requirements.
Whatever definition is chosen, ¡®functional food¡¯ appears as a quite unique
concept that deserves a category of its own, a category different from
nutraceutical, f(ph)armafood, medifood, designer food or vitafood, and a
Defining functional foods 13
category that does not include dietary supplement. It is also a concept that
belongs to nutrition and not to pharmacology. Functional foods are and must be
foods, not drugs, as they have no therapeutic effects. Moreover their role
regarding disease will, in most cases, be in reducing the risk of disease rather
than preventing it.
1.2.2 Functional food: a European consensus
9, 24, 25
The unique features of functional food are:
? being a conventional or everyday food
? to be consumed as part of the normal/usual diet
? composed of naturally occurring (as opposed to synthetic) components
perhaps in unnatural concentration or present in foods that would not
normally supply them
? having a positive effect on target function(s) beyond nutritive value/basic
nutrition
? may enhance well-being and health and/or reduce the risk of disease or
provide health benefits so as to improve the quality of life including physical,
psychological and behavioural performances
? have authorised and scientifically based claims.
It is in that general context that the European Commission¡¯s Concerted Action
on Functional Food Science in Europe (FUFOSE), which actively involved a
large number of the most prominent European experts in nutrition and related
sciences, has been coordinated by the International Life Science Institute ¨C ILSI
Europe. It developed in early 1996 to reach a European Consensus on ¡®Scientific
Concepts of Functional Foods¡¯ in 1998.
9
To reach that final objective, three
major steps were undertaken:
1. Critical assessment of the science base required to provide evidence that
specific nutrients and food components positively affect target functions in
the body.
2. Examination of the available science from a function-driven perspective
rather than a product-driven one.
3. Elaboration of a consensus on targeted modifications of food and food
constituents, and options for their applications.
24
In that context, ¡®target function¡¯ refers to genomic, biochemical, physiological,
psychological or behavioural functions that are relevant to the maintenance of a
state of well-being and health or to the reduction of the risk of a disease.
Modulation of these functions should be quantitatively evaluated by measuring
change in serum or other body fluids of the concentration of a metabolite, a
specific protein or a hormone, change in the activity of enzymes, change in
physiological parameters (e.g. blood pressure, gastrointestinal transit time, etc.),
change in physical or intellectual performances, and so on.
The major deliverables of that Concerted Action are three publications:
14 Functional foods
1. Functional Food Science in Europe reviews the published literature to
define the state of the art with respect to specific body systems, the
methodologies to characterise and quantify specific related functions, the
nutritional options modulating these functions, the safety implications
related to these nutritional options, the role of food technology in nutritional
and safety aspects and the science base required for providing evidence that
specific nutrients positively affect function.
24
2. Technological Aspects of Functional Food Science reviews the impact of
processing, the importance of the source of materials to prepared food
products, processing options to modulate functionality, safety implications
of materials and processes, and process monitoring of functions.
25
3. Scientific Concepts of Functional Foods in Europe: a consensus that
proposes, for the first time, a consensual framework for the development of
functional foods and for the elaboration of a scientific basis for claims.
9
As already indicated above, because functional food is a concept rather than a
well-defined group of food products, that consensus document proposes a
working definition:
A food can be regarded as functional if it is satisfactorily demonstrated
to affect beneficially one or more target functions in the body, beyond
adequate nutritional effects, in a way that is relevant to either improved
stage of health and well-being and/or reduction of risk of disease. A
functional food must remain food and it must demonstrate its effects in
amounts that can normally be expected to be consumed in the diet: it is
not a pill or a capsule, but part of the normal food pattern.
9
The main aspects of this working definition are:
? the food nature of functional food that is not a pill, a capsule or any form of
dietary supplement
? the demonstration of the effects to the satisfaction of the scientific
community
? the beneficial effects on body functions, beyond adequate nutritional effects,
that are relevant to improved state of health and well-being and/or reduction
of risk (not prevention) of disease
? the consumption as part of a normal food pattern.
The definition encompasses all main features of functional foods identified
above; it is aimed at stimulating research and development in the field of
nutrition so as to contribute adequately to the scientific knowledge that will be
required to define optimum (optimised) nutrition by elaborating new dietary
guidelines. However, it should be emphasised that a functional food will not
necessarily be functional for all members of the population, and that matching
individual biochemical needs with selected food component intakes may become
a key task as we progress in our understanding of the interactions between genes
and diet.
8
From a practical point of view, a functional food can be:
Defining functional foods 15
? a natural food
? a food to which a component has been added
? a food from which a component has been removed
? a food where the nature of one or more components has been modified
? a food in which the bioavailability of one or more components has been
modified, or
? any combination of these possibilities.
1.3 Functional food science
Being foods, functional foods need to be safe according to all criteria defined in
current food regulations. But in many cases, new concepts and new procedures
will need to be developed and validated to assess functional food risks. In
Europe, some, but certainly not all, functional foods will be classified as ¡®novel
foods¡¯ and consequently will require the decision tree assessment regarding
safety that is described in the EU Novel Food Regulation.
26
However, it must be emphasised that this regulation does not concern the
nutritional properties or the physiological effects of these novel foods. It is
strictly a safety regulation. The requirement for safety is a prerequisite to any
functional food development. Indeed, the risk versus benefit concept, which is
familiar to pharmacologists developing new drugs, does not apply to functional
foods except perhaps in very specific conditions for disease risk reduction when
the scientific evidence is particularly strong. As described in the European
consensus document:
9
The design and development of functional foods is a key issue, as well
as a scientific challenge, which should rely on basic scientific knowl-
edge relevant to target functions and their possible modulation by food
components. Functional foods themselves are not universal and a food-
based approach would have to be influenced by local considerations. In
contrast, a science-based approach to functional food is universal . . .
The function-driven approach has the science base as its foundation ¨C in
order to gain a broader understanding of the interactions between diet
and health. Emphasis is then put on the importance of the effects of
food components on well-identified and well-characterized target func-
tions in the body that are relevant to well-being and health issues, rather
than, solely, on reduction of disease risk.
By reference to the new concepts in nutrition outlined above, it is the role of
Functional Food Science to stimulate research and development of functional
foods (see Fig. 1.1).
By reference to basic knowledge in nutrition and related biological sciences,
such a development requires the identification and, at least partly, an
understanding of the mechanism(s) by which a potential functional food or
functional food component can modulate the target function(s) that is/are
16 Functional foods
recognised or proven to be relevant to the state of well-being and health, and/or
the reduction of a disease risk. Epidemiological data demonstrating a
statistically validated and biologically relevant relationship between the intake
of specific food components and a particular health benefit will, if available, be
very useful. The conclusion of that first step will be the demonstration of a
functional effect that should serve to formulate hypotheses to be tested in a new
generation of human nutrition studies aimed to show that relevant (in terms of
dose, frequency, duration, etc.) intake of the specified food will be associated
with improvements in one or more target functions, either directly or indirectly
in terms of a valid marker of an improved state of well-being and health and/or
reduced disease risk. If well supported by strong scientific evidence, the
conclusion could be a recommendation for improved or new dietary guidelines.
The new-generation human nutrition studies should be hypothesis driven but,
in many cases, they will differ quite substantially from what is classically
referred to as clinical studies.The main differences are that nutrition studies aim
at testing the effect of a food as part of the ordinary diet; they may concern the
general population or generally large, at-risk target groups; they are not
diagnostic; or symptom based; and they are not planned to evaluate a risk versus
benefit approach. Most of these studies will rely on change(s) in validated/
relevant markers to demonstrate a positive modulation of target functions after
(long-term) consumption of the potential functional food. A (double) blind type
of design based on parallel groups rather than crossing-over will generally be
appropriate. Data from these studies should be collected and handled according
to good standards for data management, and data analysis should prove
statistical as well as biological significance. Finally, the long-term consequences
of interaction(s) between functional foods and body function(s) will have to be
carefully monitored.
1.3.1 Markers: key to the development of functional foods
The development of functional foods will, in most cases, rely on measurements
of ¡®markers¡¯. These markers need to be identified and validated for their
MT70MT111MT111MT100
MT73MT100MT101MT110MT116MT105MT102MT105MT99MT97MT116MT105MT111MT110
MT77MT101MT99MT104MT97MT110MT105MT115MT109
MT70MT117MT110MT99MT116MT105MT111MT110
MT67MT108MT97MT105MT109
MT70MT117MT110MT99MT116MT105MT111MT110MT97MT108MT32MT101MT102MT102MT101MT99MT116
MT72MT121MT112MT111MT116MT104MT101MT115MT105MT115MT45MT100MT114MT105MT118MT101MT110MT32MT104MT117MT109MT97MT110MT32MT110MT117MT116MT114MT105MT116MT105MT111MT110MT32MT115MT116MT117MT100MT105MT101MT115
MT69MT110MT104MT97MT110MT99MT101MT100MT32MT102MT117MT110MT99MT116MT105MT111MT110
MT68MT105MT115MT101MT97MT115MT101MT32MT114MT105MT115MT107MT32MT114MT101MT100MT117MT99MT116MT105MT111MT110
Fig. 1.1 The strategy for functional food development
Defining functional foods 17
predictive value of potential benefits to a target function or the risk of a
particular disease. Markers of correlated events are ¡®indicators¡¯ whereas markers
representing an event directly involved in the process are ¡®factors¡¯.
9
When
related to the risk of disease, indicators and even factors might, in some
instances, be equivalent to ¡®surrogate markers¡¯ defined as a biological
observation, result or index that predicts the development of chronic disease.
27
The more that is known about the mechanisms leading to health outcomes, the
more refined will be the identification of the markers and their appreciation. The
markers should be feasible, valid, reproducible, sensitive and specific. They can
be biochemical, physiological, behavioural or psychological in nature. However,
dynamic responses might be as useful as, or more useful than, static or single
point measurements. In many cases, a battery of markers might be needed in
order to create a decision tree from multiple tests (see Fig. 1.2).
These markers, most of which still need to be identified and validated, will
relate to:
? Exposure to the food component under study by measuring serum, faecal,
urine or tissue level of the food component itself or its metabolite(s), or the
concentration of an endogenous molecule that is directly influenced by the
consumption of the food component.
? Target function(s) or biological response such as change in serum or other
body fluids of the concentration of a metabolite, a specific protein, an
enzyme, a hormone, etc.
These first two markers are either indicators or factors.
? An appropriate endpoint of an improved state of well-being and health and/or
reduction of a disease risk. Such a marker is likely to be a factor rather than
an indicator.
? Individual susceptibility or genetic polymorphism controlling the metabolism
and/or the effect of the food component under study.
8
MT67MT111MT110MT115MT117MT109MT112MT116MT105MT111MT110MT32MT111MT102
MT102MT117MT110MT99MT116MT105MT111MT110MT97MT108MT32MT102MT111MT111MT100
MT77MT97MT114MT107MT101MT114MT115MT32MT111MT102
MT116MT97MT114MT103MT101MT116MT32MT102MT117MT110MT99MT116MT105MT111MT110MT47
MT98MT105MT111MT108MT111MT103MT105MT99MT97MT108MT32MT114MT101MT115MT112MT111MT110MT115MT101
MT77MT97MT114MT107MT101MT114MT115MT32MT111MT102
MT101MT120MT112MT111MT115MT117MT114MT101
MT77MT97MT114MT107MT101MT114MT115MT32MT111MT102
MT105MT110MT116MT101MT114MT109MT101MT100MT105MT97MT116MT101
MT101MT110MT100MT112MT111MT105MT110MT116
MT73MT109MT112MT114MT111MT118MT101MT100MT32MT115MT116MT97MT116MT101
MT111MT102MT32MT104MT101MT97MT108MT116MT104
MT97MT110MT100MT32MT119MT101MT108MT108MT45MT98MT101MT105MT110MT103
MT82MT101MT100MT117MT99MT101MT100MT32MT114MT105MT115MT107
MT111MT102MT32MT100MT105MT115MT101MT97MT115MT101
MT111MT114
Fig. 1.2 Markers for functional food development
18 Functional foods
To further develop these markers, a state-of-the-art literature review will be
necessary to identify, define and characterise potential markers. Furthermore,
the basic scientific knowledge underpinning these markers will be evaluated.
The next step will include assessment of their relevance to physiological
function, to well-being and health and eventually to disease risk. A validation
will then be necessary both for the methodology and biological relevance.
Finally, classification as indicator or factor will be made and potential dietary
modulations demonstrated. New techniques such as those used by molecular and
cellular biologists will be useful in identifying target groups who could benefit
from the consumption of specific functional foods.
1.4 Communicating functional claims
1.4.1 A communication challenge
As stated in the European consensus on scientific concepts of functional foods:
9
As the relationship between nutrition and health gains public acceptance
and as the market for functional foods grows, the question of how to
communicate the specific advantages of such foods becomes increas-
ingly important. Communication of health benefits to the public,
through intermediates such as health professionals, educators, the media
and the food industry, is an essential element in improving public health
and in the development of functional foods. Its importance also lies in
avoiding problems associated with consumer confusion about health
messages. Of all the different forms of communication, those concerning
claims ¨C made either directly as a statement on the label or package of
food products, or indirectly through secondary supporting information ¨C
remain an area of extensive discussion.
It is also the opinion of C.B. Hudson that ¡®the links between nutrition science
and food product development will flow through to consumers only if the
required communication vehicles are put in place¡¯.
28
However, the commu-
nication of health benefits and other physiological effects of functional foods
remains a major challenge because:
? science should remain the driving force;
? messages ¨C claims ¨C must be based on sound, objective and appropriate
evidence; and
? evidence must be consistent, able to meet established scientific standards and
plausible.
Moreover, communication in nutrition generally comes from multiple sources
that are sometimes contradictory, creating an impression of chaos. And chaotic
information often generates ignorance and easily becomes misinformation (see
Fig. 1.3).
Defining functional foods 19
1.4.2 The scientific challenge
Regarding functional foods, claims associated with specific food products are
the preferable means of communicating to consumers. In application of the
fundamental principle, any claim must be true and not misleading; it must be
scientifically valid, unambiguous and clear to the consumer. However, these
basic principles should be safeguarded without becoming a disincentive to the
production of functional foods or to their acceptance by consumers. Even though
a general definition of ¡®claim¡¯ is widely accepted in the field of nutrition as ¡®any
representation, which states, suggests or implies that a food has certain
characteristics relating to its origin, nutritional properties . . . or any other
quality¡¯,
29
one of the difficulties in communicating the benefits of functional
foods is that distinct types of claims exist, and that in particular the term ¡®health
claims¡¯, which is traditionally used to communicate the benefits of foods, is
defined differently in different parts of the world.
Seeking clarity, Codex Alimentarius
29
has recently classified and defined
four different categories of claims, but excluding the term ¡®health claim¡¯:
1. Relate to dietary guidelines.
2. Relate to nutrient content.
3. Are comparative (reduced, less, more . . .).
4. Describe nutrient function (contains . . ., that contributes to the development
of . . .).
These claims refer to known nutrients and their role in growth, development and
normal functions as well as to the concept of adequate nutrition. They are based
on established, widely accepted knowledge but they do not refer to a particular
effect over and above that expected from consuming a balanced diet. These
claims are thus not really helpful to communicate the specific benefits of
functional foods. Indeed, the claims for functional foods should be based on the
MT67MT104MT97MT111MT116MT105MT99
MT105MT110MT102MT111MT114MT109MT97MT116MT105MT111MT110MT63
MT80MT117MT98MT108MT105MT99
MT97MT117MT116MT104MT111MT114MT105MT116MT105MT101MT115
MT67MT111MT110MT115MT117MT109MT101MT114
MT111MT114MT103MT97MT110MT105MT115MT97MT116MT105MT111MT110MT115
MT77MT101MT100MT105MT97
MT83MT99MT105MT101MT110MT116MT105MT115MT116MT115
MT73MT110MT100MT117MT115MT116MT114MT121
MT79MT116MT104MT101MT114MT115
Fig. 1.3 The communication challenge for functional food development
20 Functional foods
scientific classification of markers (indicators and/or factors) for target functions
and on the effects on these markers. If such an effect, which goes beyond what
could be expected from the established role of diet in growth, development and
other normal functions in the body, concerns a target function or a biological
activity without direct reference to a particular disease or pathological process,
claim will be made for an enhanced function. But, if the benefit is clearly a
reduction of the risk of a disease or pathological process, claims will be made for
disease risk reduction. These two types of claims, which are specific for
functional foods, are the type A and type B claims respectively as they are
described in the European consensus on scientific concepts of functional foods.
9
The type A claim is similar to the ¡®structure/function claim¡¯, whereas the type B
claim can be regarded as equivalent to ¡®health claim¡¯ in the USA respectively.
The type B claim also corresponds to ¡®health claim¡¯ in Sweden.
30
In its last
proposed draft recommendations for the use of health claims, Codex
Alimentarius has included type A and type B claims and defined them as:
31
? Type A or claims that concern specific beneficial effects of the consumption
of foods and their constituents on physiological or psychological functions or
biological activities but do not include nutrient function claims. Such claims
relate to a positive contribution to health or a condition linked to health, to the
improvement of a function or to modifying or preserving health.
? Type B or ¡®risk of disease reduction claims¡¯ that concern the reduction of a
disease risk related to the consumption of a food or a food constituent in the
context of the daily diet that might help reduce the risk of a specific disease
or condition.
One of the major issues still to be resolved, especially with these two types of
claims, concerns the biological level at which evidence can be accepted as
¡®satisfactorily demonstrating¡¯ an enhanced function or reduction of disease risk.
This evidence should rely on all data available that can be grouped into three
categories:
? biological observations,
? epidemiological data, and
? intervention studies, mostly based on markers.
For any given specific food product, supporting evidence for enhanced function
or reduction of disease risk might not be available or even not necessary from all
three areas.
9
All supporting evidence should, however, be:
? consistent in itself;
? able to meet accepted scientific standards of statistical as well as biological
significance, especially dose¨Ceffect relationship, if relevant;
? plausible in terms of the relationship between intervention and results,
especially in terms of mechanism(s) of action;
? provided by a number of sources (including obligatory human studies) that
give consistent findings able to generate scientific consensus.
Defining functional foods 21
1.5 Case studies
This section is aimed at illustrating the concepts of functional food by focusing
on three major target functions for which relevance to the state of well-being and
health as well as the reduction of risk of disease is established or very likely. It
summarises the conclusions of expert groups that have recently reviewed the
published literature to define the state of the art with respect to these specific
body functions; they have identified and reviewed nutritional options
modulating these functions and have critically assessed the science base
required for providing evidence that specific nutrients positively affect target
functions.
9, 24
1.5.1 Gastrointestinal functions
9, 32
The gastrointestinal target functions which are associated with a balanced
microflora together with an optimal gut associated lymphoid tissue (GALT) are
relevant to the state of well-being and health and to the reduction of the risk of
diseases. The colonic microflora is a complex ecosystem, the functions of which
are a consequence of the combined action of the microbes that, besides
interacting with the GALT, contribute to salvage of nutrient energy and produce
end-metabolic products like short chain fatty acids (SCFAs) that play a role in
cell differentiation, cell proliferation and metabolic regulatory processes. It is
generally assumed that the group of potentially health-promoting bacteria
includes principally bifidobacteria, and lactobacilli which are and possibly
should remain the most important genera in humans. Changes in the
composition of the faecal flora, a recognised surrogate marker of the residual
colonic microbiota, can be considered as a marker, indicator and factor, of large
bowel functions. They might play a role in gastrointestinal infections and
diarrhoea, constipation, irritable bowel syndrome, inflammatory bowel diseases
and colorectal cancer.
Probiotics (e.g. lactobacilli or bifidobacteria) and prebiotics (like chicory
inulin and its hydrolysate oligofructose) are recent concepts in nutrition that
have already and will in the future be used to support the development of
functional foods targeted towards gut function. Their effects include:
? stimulation of the activity of the GALT (e.g. increased IgA response,
production of cytokines);
? reduction in the duration of episodes of rotavirus infection;
? change in the composition of the faecal flora to reach/maintain a composition
in which bifidobacteria and/or lactobacilli become predominant in number, a
situation that is preferred;
? increase in faecal mass (stool bulking) and stool frequency;
? increase in calcium bioavailability via colonic absorption (e.g. inulin).
22 Functional foods
1.5.2 Defence against reactive oxidative species
9, 33
The generation of reactive oxidative species (ROS) is a general feature of any
aerobic organism both during development and normal functions or pathological
changes. These ROS can damage essential macromolecules like DNA, lipids and
proteins by initiating or promoting oxidative processes. Many of these
(bio)chemical reactions are thought to be involved in miscellaneous pathological
processes such as cataract, some cancers, cardiovascular diseases, rheumatoid
arthritis and some neurodegenerative conditions. But it is becoming more and
more evident that ROS also play an essential role in regulating gene expression
and in participating in cell signalling. Maintaining a balance between production
and destruction of ROS is thus a key element in well-being and health and it is
likely to play a role in reducing the risk of disease. Examples of target functions
for functional food development in relation to the maintenance of such a balance
are:
? preservation of the structure and functional activity of DNA that can be
evaluated by measuring DNA integrity (COMET assay), damaged DNA
bases (e.g. 8 OH desoxyguanine) or specific gene expressions;
? preservation of structural and functional integrity of circulating lipoproteins
by measuring either lipid hydroperoxides or their derivatives (e.g.
malondialdehyde) or oxidised low-density-lipoproteins in plasma;
? preservation of structural and functional integrity of proteins.
The major functional foods to rebalance oxidative processes are:
? vitamins (especially tocopherols, ascorbic acid and carotenoids);
? polyphenols such as flavonoids.
1.5.3 Psychological and behavioural functions
9, 34
Some foods or food components provide an important function by changing
mood or mental state. They are involved in creating more a sense of ¡®feeling
well¡¯ than ¡®being well¡¯. Target functions for such foods and food components
are:
? appetite, satiation and satiety, the most widely used markers of which are
either visual analogue scales to evaluate subjectively sensations such as
hunger, desire to eat and fullness or quantitative assessment of energy and/or
nutrient intake;
? cognitive performance for which several markers are used like reaction to
single stimulus test or complex interactive inputs;
? mood and vitality by focusing on behaviours such as sleep and activity, as
well as feelings of tension, calmness, drowsiness, alertness assessed either
subjectively (e.g. with questionnaires) or objectively (e.g. with electro-
physiological measurements);
? stress and distress management based on changes in physiological markers
like heart rate, blood pressure, blood catecholamines, blood opioid levels.
Defining functional foods 23
The development of functional foods aimed at beneficially affecting behavioural
and psychological functions has in the past and will in the future rely on:
? modulation of the intake of macronutrients especially by substitution (e.g. fat
substitutes or intense sweeteners);
? use of components like caffeine with the aim of improving cognitive
performance;
? use of specific amino acids like tryptophan or tyrosine to reduce sleep latency
and promote feelings of drowsiness;
? activation of endogenous opioids (C12-endorphins) to reduce pain perception in
the general population.
1.6 Food technology and its impact on functional food
development
9, 25
From the point of view of food processing, the development of functional foods
will often require an increased level of complexity and monitoring of food
processing because the following will have to be considered carefully:
? new raw materials including those produced by biotechnologies;
? emerging thermal and non-thermal technologies;
? new safety issues;
? integration throughout the entire food chain especially to ensure preservation
and/or enhancement of functionality.
The main areas for technological challenge that have been identified are as
follows:
? The creation of new food components in traditional and novel raw materials
that add or increase functionality. Examples of such challenges are: genetic
modifications, use of under-utilised or unconventional natural sources (e.g.
algae, seaweeds), development of bioreactors based on immobilised enzymes
or live micro-organisms.
? The optimisation of functional components in raw material and in foods to
ensure maximal preservation of the component(s), to modify function, to
increase their bioavailability. Examples of such challenges are: development
of membrane-processing techniques, use of controlled and modified atmo-
spheres, use of high hydrostatic pressure, high-intensity electric field pulse
technology or ultrasound treatments.
? The effective monitoring, throughout the entire food chain, of the amount and
functionality of the component(s) in raw materials and foods. Examples of
such challenges are: monitoring of microbial viability and productivity for
probiotic functions, development of sensitive markers to record changes in
speciation and interactions with food components during processing,
especially fermentation.
24 Functional foods
1.7 Future trends
By reference to the conclusions of the FUFOSE concerted action,
9
future trends
are as follows:
? Components in foods have the potential to modulate target functions in the
body so as to enhance these functions and/or contribute towards reducing the
risk of disease, and functional food science will contribute to human health in
the future provided that evidence is supported by sound scientific, mostly
human, data.
? Nutritionists and food scientists have the possibility through the development
of functional foods to offer beneficial opportunities related to well-being and
health and reduction of risk of disease. Such a new approach in nutrition is
strongly dependent upon the identification, characterisation, measurement
and validation of relevant markers as defined above. The design of such
studies still needs to be carefully analysed and specifically developed by
reference to, but differently from, classical clinical studies that have been
elaborated to help in developing drugs, not food products.
? Major target functions in the body that are or can be modulated by specific
food products will have to be identified or characterised. The basic science to
understand these functions and how they relate to well-being and health or a
particular pathological process needs to be developed so as to give the
necessary scientific base to develop new functional food products.
? Progress in food regulation, which is the means to guarantee the validity of
the claims as well as the safety of the food, will have to be made.
Optimised nutrition is a major challenge for nutritional science in the twenty-
first century. The development of functional foods is part of this challenge but
elaboration of claims should remain basically a scientific challenge, and not
primarily a marketing one. The proper scientific validation of functional claims
is critical to the success of functional foods, both for the benefit of human health
and of the food industry.
1.8 References
1 WELSCH, S. ¡®Nutrient standards, dietary guidelines and food guides¡¯.In
Present Knowledge in Nutrition, E.E. Ziegler and L.J. Filer eds, Washington
DC, ILSI Press, 1996.
2 Food and Nutrition Board Diet and Health, Implications for Reducing
Chronic Diseases, Washington DC, National Academy Press, 10th edn,
1989.
3 Food and Nutrition Board Recommended Daily Allowances, Washington
DC, National Academy Press, 10th edn, 1989.
4 US Department of Agriculture/Department of Health and Human Services
Nutrition and Your Health: Dietary Guidelines for Americans, Home and
Defining functional foods 25
Guide Bulletin No. 232, Washington DC, US Government Printing Office,
4th edn, 1990.
5 US Department of Agriculture/Department of Health and Human Services
The Food Guide Pyramid, Home and Guide Bulletin No. 252, Washington
DC, US Government Printing Office, 1992.
6 JAMES, W.P.T. Healthy Nutrition: Preventing Nutrition-related Diseases in
Europe, WHO, Regional Publications European Series, 1988, 24,4¨C6.
7 MILNER, J. ¡®Functional foods: the US perspective¡¯, 17th Ross Conference on
Medical Issues, Am J Clin Nutr, 2000, 71, 1654S¨C59S.
8 KOK, F.J. ¡®Functional foods: relevance of genetic susceptibility¡¯.In
Proceedings of Forum on Functional Food, Council of Europe Publications,
Strasbourg, 1999, 217¨C29.
9 DIPLOCK, A.T., AGGETT, P.J., ASHWELL, M., BORNET, F., FERN, F.B., ROBERFROID,
M.B. ¡®Scientific concepts of functional foods in Europe: consensus
document¡¯, Br J Nutr, 1999, 81 supp. 1 S1¨CS28.
10 KUBOMARA, K. ¡®Japan redefines functional foods¡¯, Prepared Foods, 1998,
167,129¨C32.
11 HILLIAN, M. ¡®Functional foods: current and future market developments¡¯,
Food Technol Internat Europe, 1995, 25¨C31.
12 RIEMERSMA, R.A. ¡®A fat little earner¡¯, Lancet, 1996, 347, 775¨C6.
13 COGHLAN, A. ¡®A plateful of medicine¡¯, New Scientist, 1996, 2054,12¨C13.
14 GOLDBERG, I. Functional Foods, Designer Foods, Pharmafoods, Nutraceu-
ticals, New York, Chapman & Hall, 1994.
15 MAZZA, G. Functional foods: Biochemical and Processing Aspects,
Lancaster PA, Technomic, 1998.
16 DEFELICE, S.L. ¡®The nutraceutical revolution, its impact on food industry
research and development¡¯, Trends Food Sci Technol, 1995, 6,59¨C61.
17 Health Canada. Policy Options Analysis: Nutraceuticals/Functional Foods,
Health Canada, Health Protection Branch, Therapeutic Products Programme
and Food Directorate, Ottawa, 1997.
18 Ministry of Agriculture, Fisheries and Food Food Advisory Committee
Review of Functional Foods and Health Claims, London, 1996.
19 Federal Register ¡®Diet Supplement Health Education Act (DSHEA)¡¯, Publ
L, Washington DC, 1994, 103¨C417.
20 Ministe`re de la Sante¡ä Publique, Re¡äpublique Franc?aise De¡äcret De¡äfinissant et
Re¡äglementat les Comple¡äments Alimentaires, 14 October 1997, 97¨C964.
21 IFIC Foundation ¡®Functional foods: opening the door to better health¡¯ Food
Insight, November/December 1995.
22 SMITH, B.L., MARCOTTE, M., HARMAN, G. A Comparative Analysis of the
Regulatory Framework Affecting Functional Food Development and
Commercialization in Canada, Japan, the European Union and the United
States of America, Ottawa, Intersector Alliance Inc., 1996.
23 Food and Nutrition Board, Institute of Medicine, National Academy of
Sciences. In Opportunities in the Nutrition and Food Sciences, P.R. Thomas
and R. Earl eds, Washington DC, National Academy Press, 1994.
26 Functional foods
24 BELLISLE, F., DIPLOCK, A.T., HORNSTRA, G., KOLETZKO, B., ROBERFROID, M.,
SALMINEN, S., SARIS, W.H.M. ¡®Functional food science in Europe¡¯, Br J Nutr,
1998, 80, supp. 1 S1¨CS193.
25 KNORR, D. ¡®Functional food science in Europe¡¯ Trends in Food Sci Technol,
1998, 9, special issue, 295¨C340.
26 European Commission Novel Food Directive, 97/258/CEE.
27 Keystone ¡®The Keystone national policy dialogue on food nutrition and
health: executive summary¡¯, J Nutraceuticals, Functional and Medical
Foods, 1997, 1,11¨C32.
28 HUDSON, C.B. ¡®The food industry¡¯s expectation¡¯,InHealth Claims:
Substantiation and Research Needs, ILSI¨CAustralasia, 1994, 9¨C11.
29 Codex Alimentarius Codex General Guidelines on Claims, 1991, CAC/GL
1¨C1979 Revision 1.
30 Swedish Nutrition Foundation Health Claims in the Labelling and
Marketing of Food Products: The Food Industry¡¯s Rules (Self-Regulatory
Programme), Lund, 1996.
31 Codex Alimentarius. Proposed Draft Recommendation for the Use of
Health Claims, Geneva, WHO, 1999.
32 SALMINEN, S., BOULEY, C., BOUTRON-RUAULT, M.C., CUMMINGS, J.H., FRANCK,
A., GIBSON, G.R., ISOLAURI, E., MOREAU, M.C., ROBERFROID, M., ROWLAND, I.
¡®Functional food science and gastrointestinal physiology and function¡¯, Br J
Nutr, 1998, 80, supp. 1 S147¨CS171.
33 DIPLOCK, A.T., CHARLEUX, J.L., CROZIER-WILLY, G., KOK, F.J., RICE-EVANS, C.,
ROBERFROID, M., STAHL, W., VINA-ROBES, J. ¡®Functional food science and
defense against reactive oxidative species¡¯, Br J Nutr, 1998, 80, supp. 1
S77¨CS112.
34 BELLISLE, F., BLUNDELL, J.E., DYE, L., FANTINO, M., FERN, E., FLETCHER, R.J.,
LAMBERT, J., ROBERFROID, M., SPECTOR, S., WESTENHO
¨
FER, J., WESTERTERP-
PLANTENGO, M.S. ¡®Functional food science and behaviour and psychological
functions¡¯, Br J Nutr, 1998, 80, supp. 1 S173¨CS193.
Defining functional foods 27
2.1 Introduction
Food law always lags behind innovation and developments, sometimes by more
than a decade. This was particularly true in the late 1990s with advances in
nutritional science and the general acceptance that some aspects of foods can
contribute to health in other ways than by an adequate supply of classical
nutrients.
From a relatively slow start, the concept of a functional food has been gaining
ground world-wide, and has also been attracting the attention of the major
multinational food companies. Within Europe there has been increasing
recognition of functional foods by the national authorities, particularly in the
area of health claims for foods.
The composition and proposed marketing of many functional foods can
introduce a number of anomalies in the application of current EU food
legislation and the following is a case study of the proposed introduction of such
a product.
2.2 Product description
The product, which was in an advanced stage of development in a country outside
the EU, was also being considered for the European market. The concept of the
product was a powdered beverage mix which could be made up with milk, water
or fruit juices and which provided not only protein, carbohydrate and fat, but also
a wide range of micronutrients, added fibre sources and fructo-oligosaccharides.
The fructo-oligosaccharides were added for their prebiotic benefits.
2
EU legislation and functional foods
A case study
P. Berry Ottaway, Consultant, Berry Ottaway and Associates Ltd,
Hereford
The micronutrients included all those listed in the directive on nutrition
labelling (90/496/EEC)
1
plus a number of other trace minerals such as selenium,
copper and manganese. The antioxidant vitamins C, E and beta-carotene were
present at levels of daily intake above the recommended daily allowances
(RDAs) used for nutrition labelling purposes in Europe. In addition the
formulators of the product wanted to add other carotenoids such as lycopene and
lutein as additional in vivo antioxidants.
The product was to be available in three flavours with the appropriate
colours. The marketing objective in the country of origin was to market the
product not only as a nutritious beverage but also to position it for
convalescents, athletes and as a meal replacement for weight control purposes.
2.3 Product positioning in the European market
The definition of the product from the marketing point of view was found to be
critical. Some of the recommended uses fell into the definition of dietetic as
given in the directive on foods for particular nutritional uses (89/398/EEC)
2
known as the PARNUTS directive. There is a specific directive in force,
96/8/EC,
3
which controls both the composition and labelling of foods marketed
as meal replacements for use in weight control diets. The composition of such
meal replacements must comply with very detailed criteria with respect to the
energy, protein, carbohydrate, fat and micronutrient content. The product as
developed did not meet all the criteria so the decision had to be made to market
it as a convenient healthy beverage applicable to a range of lifestyles.
2.4 Product composition
A detailed investigation had to be carried out on every component, whether
ingredient or additive, to ensure compliance with the various European laws.
2.4.1 Protein
The protein contribution was made up of both isolated soya protein and casein
(milk protein). The specifications and origins of both had to be checked. To
comply with the Council Regulation (EC) No. 1139/98 on the labelling of
genetically modified soya or maize,
4
the provenance of the soya had to be traced
and certification obtained that it did not contain genetically modified protein or
DNA.
There is a European Directive 83/417/EEC laying down the specification and
quality criteria for caseinates and the ingredient had to be checked for
compliance.
5
30 Functional foods
2.4.2 Fat
The fat contribution was supplied from an oil high in polyunsaturated fatty acids
plus some lecithin. The specification and typical analyses of the oil were
obtained to ensure that permitted maximum levels of erucic acid in the oil were
not likely to be exceeded. Erucic acid is a normal constituent of seed oils which
has been shown to have detrimental effects on health if consumed in large
quantities. There is a limit for erucic acid from oils used in compounded foods
where the overall fat content of the food exceeds 5%. The details are given in
Directive 76/621/EEC,
6
with the method of analysis in Directive 80/891/EEC.
7
Directive 76/621/EEC also gives a derogation for member states to apply the
provisions of the directive to foods where the total fat content is equal to or less
than 5%.
Due to the high polyunsaturated content of the oil it was more susceptible to
oxidation (rancidity) than many oils used in such products. The presence of a
number of mineral salts in the product also increased the risk of rapid rancidity.
Permitted antioxidants for fats and oils are given in the directive on additives
other than colours and sweeteners (95/2/EC).
8
As the proposed source of the oil
was North America, discussions had to be conducted with the suppliers to ensure
that the oil was adequately protected using only the antioxidants and permitted
levels given in the directive. As European law in this area differs significantly
from that in the USA, this caused considerable problems which were only
resolved by changing to a different grade of oil to that originally preferred.
Legal complications were also encountered with the lecithin. In early 1999,
when the work was being carried out, Regulation (EC) No. 1139/98 on the
labelling of genetically modified (GM) soya and maize was in force but the
proposed exclusion list for highly processed soya and maize derivatives had not
been adopted. The original source of lecithin proved positive when tested for
DNA from GM soya. Alternative supplies were offered from South America but
these were found to have differences in their functional characteristics from the
original source. The legal requirement to label the lecithin containing the GM
DNA was based on its primary function in the product. At that time, the
regulation only covered food ingredients from GM soya and maize and
specifically excluded additives and flavourings. Lecithins are approved additives
and appear in Annex 1 to Directive 95/2/EC as being generally permitted in
foodstuffs.
According to the formulator of the product, the lecithin had been included for
two reasons: the first was technological, to improve wetting-out characteristics
when the powder was mixed into the liquid; and the second was nutritional, to
provide a source of phospholipids. This situation, where substances can have
dual roles in foods as additives and nutrients, is not uncommon in European food
law. The decision was originally made in early 1999 that the primary function of
lecithin in the product was as a technological additive and the marketing
department had the option not to make the label statement on the GM source.
This option was negated in January 2000 when the European Regulation (EC)
50/2000 on the labelling of additives and flavourings from GM sources was
EU legislation and functional foods 31
adopted.
9
However, while the decision was made to specify the lecithin as an
additive, its contribution had to be added to the total fat content given in the
nutrition information on the label. Directive 90/496/EEC on nutrition labelling
specifically includes phospholipids in the definition of fat.
2.4.3 Carbohydrate
The main carbohydrate component of the product consisted of a mixture of
dextrose, fructose and maltodextrin. As these ingredients can be produced from
maize, the GM status of each had to be determined. The product was also found
to contain relatively small amounts of sorbitol, principally as a component of
some compounded ingredients. Under European law the definition of
carbohydrates for labelling purposes includes the polyols, of which sorbitol is
one, but requires the energy calculation for the contribution from sorbitol to be
made with a different factor. Carbohydrates (excluding polyols) must be
calculated on the basis of 4kcal/g whereas polyols are at 2.4kcal/g. Also, for the
purposes of nutrition labelling, the statement of carbohydrate content had to be
subdivided into sugars, polyols and starch. The legal definition of sugars
includes all monosaccharides and disaccharides in the foods, but excludes
polyols.
2.4.4 Fibre
The added fibre and fructo-oligosaccharides presented a number of legal
problems, particularly in the quantification of the fibre content. There is no
formal definition of dietary fibre in European food law. When Directive
90/496/EEC was adopted, the definition of fibre was given as follows:
fibre means the material to be defined in accordance with the procedure
laid down in Article 10 (of Directive 90/496/EEC) and measured by the
method of analysis to be determined in accordance with that procedure.
This statement resulted from a major disagreement in 1990 among the
member states as to what constituted dietary fibre. Almost ten years later this
had not been resolved. The debate has revolved around the specific components
of non-digestible plant matter that collectively contribute to the dietary fibre
content and should be included in the analysis. An early definition of dietary
fibre was ¡®the plant polysaccharides and lignin which are resistant to hydrolysis
by the digestive enzymes of man¡¯. There are more recent schools of thought that
fibre should be defined more closely as ¡®non-starch polysaccharides (NSP)¡¯.
NSPs are the major fraction of fibre and are chemically identifiable. The British
authorities are in favour of the definition being NSP as measured by the Englyst
method, while some other member states prefer to use a concept of fibre that
includes other substances such as lignin. There are a number of ways of
chemically determining the fibre content of foods depending on the definition
used and the components included in the definition.
32 Functional foods
The British authorities have consistently insisted that the quantitative
declaration of fibre content given on the label should be based on NSP
measured by the Englyst method. Since the adoption of the directive on nutrition
labelling in 1990, they have been persistent in trying to persuade the other
member states to agree to accept a definition based on NSP. This has not
succeeded and in 1996 the British Ministry of Agriculture, Fisheries and Food
issued a statement saying that although they still regarded the Englyst method,
or one giving the same results, as the official method in UK law, manufacturers
could label with fibre content determined by other methods such as the AOAC,
provided the method of analysis was declared on the label.
10
However, it was
also stated that claims for fibre could only be made on values determined by the
Englyst method. This meant that in order to make a claim for a high fibre
content for the product in the UK, it had to contain at least 6g per 100g of NSP
measured by the Englyst method. If the AOAC method, commonly accepted by
other EU countries, had been used, the actual declaration of fibre content on the
label would have been much greater, but no claim for it could be made on the
pack or in advertising. In 1999 the British government issued proposals for the
labelling of fibre to be based on the AOAC method. Unfortunately, as a result of
a long consultation period, these proposals had not been introduced into law by
the time the product was launched.
A further complexity surrounding the fibre claim was that the product
contained significant amounts of inulin and other fructo-oligosaccharides which
have been shown to have a beneficial (prebiotic) effect on the gut microflora.
The status of these substances in terms of labelling have been the subject of
considerable debate in Europe, particularly in the UK. In 1997 the British
government Committee on the Medical Aspects of Food Policy (the COMA
Committee) was asked to consider the inclusion of inulin and oligofructose in
the UK definition of dietary fibre for labelling purposes. In a statement in April
1998 the committee reported that it had agreed to retain the existing definition
based on NSPs, but to consider additional categories for declaring resistant
starch and non-digestible oligosaccharides on product labels. A year later the
committee was asked to reconsider its decision and reported again in April 1999
that, having reviewed submissions in support of the application, the committee
was not convinced by the evidence presented and concluded that inulin and
oligofructose should not be included in the definition.
11
This decision meant that
these substances could not be added to the fibre content for the UK label and had
to be declared separately on the statement of nutritional information. These
differences in the definition of fibre meant that there would have to be a
dichotomy in the marketing strategy between the UK and the rest of Europe.
2.4.5 Micronutrients
The proposed addition of a wide range of micronutrients caused considerable
problems. The fortification of foods with vitamins and minerals is one aspect of
European food law that is still under discussion and has not yet reached the stage
EU legislation and functional foods 33
of a draft directive. The complexities of legislating in this area were outlined in a
European Commission discussion paper in 1997.
12
Across Europe there has been no consistent approach to the addition of
vitamins and minerals to foods. Some countries, such as the UK and the
Netherlands, have relatively liberal policies while others, such as Spain and
Ireland, impose very strict controls. Throughout the EU, there are 15 different
sets of laws covering the addition of vitamins and minerals to foods and they
all differ in detail from each other. Some of these differences are very
significant.
Many countries use the RDA as a basis for the legal control of vitamins or
minerals. For example, Germany permits vitamins, excluding vitamins A and D,
to be added to foods up to 3 C2 RDA per daily intake of the food. The addition of
vitamins A and D to foods is prohibited, with only some specific exceptions.
Belgium has complex legislation with vitamins A and D at 1 C2 RDA, the B
vitamins, C and E at 3 C2 RDA and most others at 2 C2 RDA, and formal
notification is required. Spain and Ireland both impose an upper limit of
1 C2 RDA on micronutrients in foods. In addition, French law does not permit the
addition of micronutrients to foods but permits restoration of vitamins at levels
between 80% and 200% and minerals at between 80% and 120% of the natural
content of the food before processing, although the addition of micronutrients to
foods for particular nutritional uses (PARNUTS products) is allowed in France.
Some countries only permit micronutrient addition to foods on the basis of
individual product authorisations. A further complication was that some of the
countries only allowed the addition to foods of the 12 vitamins and 6 minerals
that appear in the Annex to Directive 90/496/EEC. This list does not include the
trace elements copper, manganese and selenium which appear in the specific
PARNUTS directives and are recognised as being essential in these foods.
These complexities meant that the added micronutrient content of the product
either had to be reduced to the lowest common denominator from each country¡¯s
requirements or a marketing decision had to be made to market the product
initially in those countries where the legislation was most compatible with the
original product concept. Eventually, the latter option was preferred as the first
substantially reduced both the number of micronutrients that could be added to
the products and also their level of input.
Once the list of micronutrients had been determined, the chemical forms in
which they could be added also had to be checked. This was important as, for the
minerals particularly, some of the salts and organic forms of the nutrients are not
officially recognised in many countries in Europe. The only guideline that was
available was the draft list and opinion of the European Commission¡¯s Scientific
Committee on Food relating to approved nutrient sources for PARNUTS
foods.
13
This draft was published in May 1999, almost exactly ten years after the
requirement for such a list was given in Article 4(2) of the PARNUTS Directive
89/398/EEC.
34 Functional foods
2.4.6 Novel foods and novel ingredients
The original proposal for the product included a number of substances, such as
the carotenoids lutein and lycopene, that were to be added for their in vivo
antioxidant functions. The list of those to be considered consisted of a number of
plant extracts including some with high levels of polyphenols.
The first task was to check each proposed substance on the list for
acceptability, both in terms of their status with regard to the Council Regulation
(EC) No. 258/97 on novel foods and novel ingredients,
14
and to the national
situation in the countries of intended sale.
Although the Regulation 258/97 had been in force for over two years at the
time the review was carried out, the situation was found to be very confused.
The main criterion for classification as a novel food or ingredient is that the
substance had not previously been used for human consumption in the European
Community to a significant degree. Unfortunately, no formal definition of the
phrase ¡®to a significant degree¡¯ had been agreed between the European
Commission and the 15 member states. Interpretations varied from that which
accepted evidence that the substance had been on sale in a food product in one
member state before 15 May 1997 (the date that the regulation came into force),
to evidence of a large distribution and sales in more than one member state.
The main problem encountered was that although evidence of prior sale in the
UK and the Netherlands could be found for some of the substances, enquiries
determined that they were not considered acceptable for use in food products in
other countries such as Germany and France. The investigations highlighted a
major weakness in the system. The intention of Regulation 258/97 is that novel
foods and novel ingredients are reviewed and approved by the competent
authority in the member state of intended first sale. This is carried out with the
knowledge of the other 14 member states who are notified of the application by
the European Commission. Once approved, the substance should be accepted
throughout the EU. No provision was made in the regulation or in any other
European food legislation for mutual recognition of foods and ingredients that
have been introduced into one of the national markets a few years before the
regulation came into force. This has left a number of ingredients, including some
on the proposed list for the product, in a situation where approval for use still has
to be obtained on a country-by-country basis.
The lutein and lycopene were an anomaly. Both carotenoids have been
approved for use as food colourings in Europe, but with restricted levels of
input. They both appear in Annex V of Directive 94/36/EC on colours for use in
foodstuffs and their permitted use is restricted to specified categories of food and
drink.
15
The category that most closely defined the product was ¡®non-alcoholic
flavoured drinks¡¯ and the maximum level given for lutein and lycopene was
100mg/l either individually or in combination. The calculation is based on the
pure dye content of the colour. Therefore, if both carotenoids were used in
compliance with the directive, the maximum allowable level of each would be
50mg/l of the ready-to-consume drink. There is no official recognition of either
lutein or lycopene in any other area of European food law. In terms of the
EU legislation and functional foods 35
proposed formulation, an acceptable level of both carotenoids could be achieved
within the limits given in the directive on colours but it was noted that, in order
to comply with the legislation in some countries, these ingredients would have to
be listed as colours in the declaration of ingredients on the label.
2.4.7 Colours and flavours
Both food colours and food flavourings are controlled by European directives.
The proposed colours and the levels of use had to comply with Directive
94/36/EC. As many of the proposed colours were carried on a base or were in
the form of a lake, details of the pure dye content of each had to be obtained to
enable the appropriate calculations to be made.
The situation with flavourings was that the flavouring components and source
materials used in their production came under the requirements of Directive
88/388/EEC as amended.
16
This directive includes a list of substances that are
considered undesirable from the point of view of human health and are therefore
restricted.
As most food flavourings are compounded proprietary mixtures, certification
had to be obtained from each of the proposed suppliers that their flavouring
complied with the requirements of the directive.
2.5 Functional claims
One of the important aspects of the product concept was that both nutrition and
health claims could be made for the product. This is a very difficult legal area
and the problems have been highlighted by recent developments in the
functional food market.
European food legislation in the form of the directive on food labelling
79/112/EEC
17
specifically prohibits the attribution to any foodstuff of the
property of preventing, treating or curing a human disease, or any reference to
such properties. In this context, human disease has been interpreted as any
ailment, injury or adverse condition, whether in body or mind. Under EU
Directive 65/65/EEC,
18
the medicines directive, any claim expressed or implied
that a product can prevent, treat or cure a disease or condition is regarded as a
medicinal claim and the product has to be treated in law as a medicine. Similar
legislation applies in most countries of the world.
As there is often a very fine line dividing medical claims and health claims,
much rests on the semantics and presentation. A statement that folic acid helps
prevent neural tube defects in the foetus would be considered a medical claim if
made for a food or food supplement. By saying that folic acid helps with the
development of a healthy nervous system in the foetus, the claim becomes a
health claim. Both claims are scientifically correct, but the first relates to the
prevention of an adverse condition and can only be made for an authorised
medicine.
36 Functional foods
Since 1980 there have been a number of abortive attempts by the European
Commission to introduce pan-European legislation on health claims. After a
series of fruitless meetings through the early 1990s with no agreement reached
by the then smaller number of member states, the European Commission
abandoned its plans for a European directive on claims. This meant that the
individual national regulations have continued to remain in force, resulting in a
diversity of approaches across the EU.
In the absence of pan-European legislation on claims, there has been
considerable activity in a number of member states of the EU. For complex legal
reasons these developments have been either in the production of Codes of
Practice or agreements between the food industry and the national regulatory
authorities. Codes of Practice on health claims have been introduced into
Sweden,
19
Belgium,
20
the Netherlands
21
and the UK.
22
In Spain, a voluntary agreement on health claims has been signed between the
Spanish food industry and the Ministry of Health.
23
In France, the French
Conseil National de l¡¯Alimentation (National Dietary Council) has been
considering evidence from consumer groups, scientists and industry and in
1998 drafted an opinion and proposals on claims linking diet and health.
24
While
all six countries have taken slightly different approaches to obtain the same
objectives, all the codes and agreements agree on the major points.
There is general consensus that some provision should be made to allow
health claims for foods and that these should be in addition to the currently
permitted nutrient function claims (e.g. calcium is required for healthy bones
and teeth).
There is also general recognition that health claims could be made for foods
containing substances other than the traditionally recognised nutrients. A good
example of such a case is where the cholesterol-lowering effects of a fat-based
spread with the brand name Benecol are attributed to plant stanol esters, which
are, at present, not recognised as nutrients.
The codes or agreements require that the claims are substantiated by
appropriate scientific evidence. With the exception of the Belgian code, the
others require a review and acceptance of the scientific evidence in support of
the claim to be carried out by a panel of independent experts.
The most detailed requirements are given in the British code on health
claims. This requires that the claim must be based on a systematic review of all
the available scientific evidence relating to the validity of the claim, including
published scientific literature. The conclusions of the review must be based on
the totality of the evidence and not just that which supports the claim. The
evidence must also be based on the most methodologically sound human studies
and not just biochemical, cellular or animal studies, although other sources of
information such as epidemiological evidence and animal, biochemical or
cellular studies should be used to support the substantiation.
The evidence must be able to demonstrate that the food will contribute to a
positive and significant physiological benefit when consumed by the target
population as part of their normal diet. The claimed effect must be achievable
EU legislation and functional foods 37
with the consumption of a reasonable amount of the food on a regular basis or by
the food making a reasonable contribution to the diet.
Expressed in the British and Dutch codes and implicit in the others is that the
food as presented to the consumer must be demonstrated to produce the desired
effects. The use of surrogate studies or reliance on bibliographical evidence only
would not be acceptable.
It is also important that it can be demonstrated that the claimed effect is
maintained over a reasonable period of time and is not just a short-term response
to which the body later adjusts. The exceptions allowed are for health claims that
are for situations that are only relevant for a short- or medium-term benefit. A
good example is the requirement for folic acid pre-conceptually and for the first
12 weeks of pregnancy in the case of neural tube defects.
These stringent requirements for health claims resulted in considerable
discussion between the development and marketing teams of the company as it
became apparent that further studies would be required to support the
substantiation. A cost¨Cbenefit appraisal had to be carried out by the marketing
department to see if the cost of acquiring the extra data was likely to be returned
from additional sales if the claim was made.
2.6 Packaging
The proposed packaging had not only to be tested for the barrier properties in
terms of product stability but also checked for compliance with a number of
laws.
The first group of legislation that had to be checked was that dealing with
materials and articles in contact with food. Council Directive 89/109/EEC
25
as
amended is the framework directive which lays down a general requirement
that all materials that come into contact with food should not transfer their
constituents to food in quantities that could endanger human health or make
the food unacceptable to the consumer. The directive also restricts the use of
vinyl chloride monomer in the manufacture of food-grade plastics and places
controls on the use of regenerated cellulose film coming into contact with
food.
Under the framework directive there are a number of more specific directives,
including Commission Directive 97/48/EC
26
on plastic materials and articles in
contact with food and directives on the methods of testing the migration of the
constituents of plastics to foods.
As the inner surface of the packaging that came into contact with the product
was a plastic, these directives were particularly relevant and certification of
compliance to the directives had to be obtained from the supplier of the
packaging.
Although not directly part of European food law, the requirements of the
directive on packaging and packaging waste (94/62/EC) also had to be
considered.
27
38 Functional foods
Aspects of this directive have a direct relevance to the packaging of the
product. The main ones to be considered were the requirements that the
packaging used must be the minimal subject to the safety, hygiene and
acceptance for the packed product and for the consumer. The packaging used
must be recoverable through at least one of the following:
? material recycling
? incineration with energy recovery
? composting or biodegradation.
The directive also permits packaging to be reusable, but this was not appropriate
for the product concept. Any noxious or hazardous substances in the packaging
must be minimised in any emissions, ash or leachate from either incineration or
landfill.
Within the directive there is also a very specific requirement for heavy metal
limits in packaging or any of its components. These limits, which refer to the
total concentration of cadmium, mercury, lead and hexavalent chromium, refer
to packaging in general and not just to that which comes into contact with food.
The heavy metal limits were 250 parts per million (ppm) by weight for any
packaging used on or after 30 June 1999 and these reduce to 100ppm by weight
on or after 30 June 2001. Again, assurances had to be obtained from the
manufacturers of all the components of the packaging that their products
complied with the directive, both in terms of recovery and the ability to meet the
heavy metal limits.
Instructions also had to be given to the packaging designers to ensure that the
requirements for minimalisation of the packaging were taken into consideration.
2.7 Labelling
Once the pack design had been agreed it was important that all the legal
requirements could appear on the label in the appropriate manner. The list of
compulsory requirements is given in Directive 79/112/EEC (as amended) and
the main ones include the name of the product as a generic name, the list of
ingredients, instructions for use, a statement of minimum durability, storage
conditions and the name of the manufacturer, packer or seller established within
the EU. The declaration of minimum durability, in this case a ¡®Best before end:¡¯
statement and the storage conditions, were based on the results of the product
shelf-life trials.
In the case of the declaration of ingredients, the marketing department had a
preference to exercise the option of declaring the additives by their generic
names as given in the directives instead of using the ¡®E¡¯ numbers for the
additives.
As the original development of the product had taken place in North
America, many of the values in the nutrition labelling had to be adjusted to the
European requirements given in Directive 90/496/EEC. Not only were the
EU legislation and functional foods 39
factors for calculating the energy content from the energy nutrients different
between the two continents but there were also significant differences in the
calculation of the activity of a number of vitamins. For example, the thiamin
(vitamin B
1
) level had been originally calculated on the basis of input of the
salt, whereas in Europe the declaration is as the amount of the thiamin cation
present. There was also a major discrepancy in the calculation of vitamin A
activity in betacarotene.
The formulation was checked to ensure that the composition did not trigger
any statutory warnings or statements such as those required in Directive
94/35/EC on sweeteners where the presence in a product of the intense sweetener
aspartame or polyols require prescribed warning statements. The national
requirements in this area also had to be taken into consideration. For example,
in the UK there is a voluntary agreement between the British Department of Health
and the food industry that products containing added vitamin A (as retinol) should
carry a warning for pregnant women if the vitamin A content of the recommended
daily intake of the product exceeds 800C22g. The contribution of betacarotene to the
vitamin A content is excluded from this requirement.
2.8 Manufacture
The manufacture of the product was a dry-blending process followed by the
spraying into the mix of oil and lecithin. While it was envisaged that the
production for the launch of the product would be carried out in North America,
there was a requirement to find a suitable production facility in Europe.
As part of the evaluation of potential contract manufacturers, a technical,
quality and hygiene audit was carried out on the main contenders. The hygiene
part of the audit was designed to ensure that all the requirements of Directive
93/43/EEC
28
on food hygiene were in compliance. This included confirmation
that a hazard analysis and critical control point assessment (HACCP) had been
carried out by the company as required by the directive.
2.9 References
1 European Council Directive 90/496/EEC on nutrition labelling for
foodstuffs. O.J. of E.C. L276/40 of 6 October 1990.
2 European Council Directive 89/398/EEC on foodstuffs for particular
nutritional uses. O.J. of E.C. L186/27 of 30 June 1989.
3 Commission Directive 96/8/EC on foods intended for use in energy-
restricted diets for weight control. O.J. of E.C. L55/22 of 6 March 1996.
4 European Council Regulation (EC) No. 1139/98 on compulsory labelling of
certain foodstuffs produced from genetically modified organisms. O.J. of
E.C. L159/4 of 3 June 1998 as amended by Commission Regulation (EC)
No. 49/2000. O.J. of E.C. L6/13 of 11 January 2000.
40 Functional foods
5 European Council Directive 83/417/EEC relating to caseins and caseinates.
O.J. of E.C. L237/25 of 26 August 1983.
6 European Council Directive 76/621/EEC on the maximum level of erucic
acid in oils, fats and foodstuffs for human consumption. O.J. of E.C. L202/
35 of 28 July 1976.
7 European Council Directive 80/891/EEC on method of analysis for
determining the erucic acid content of fats and oils. O.J. of E.C. L254/35
of 27 September1980.
8 European Parliament and Council Directive 95/2/EC on food additives other
than colours and sweeteners. O.J. of E.C. L61/1 of 18 March 1995.
9 European Commission Regulation (EC) No. 50/2000 on the labelling of
foodstuffs containing additives or flavourings that have been genetically
modified. O.J. of E.C. L6/15 of 11 January 2000.
10 Ministry of Agriculture, Fisheries and Food (UK). Definition and
Determination of Dietary Fibre. Letter and statement dated 1 May 1996.
11 Food Safety Information Bulletin, MAFF, UK. Definition of Dietary Fibre.
Bulletin No. 109, June 1999.
12 European Commission DG III. ¡®Addition of vitamins and minerals to foods
and food supplements ¨C a discussion paper¡¯. III/5934/97, 1997, Brussels.
13 Scientific Committee on Food of the European Commission. Opinion on
substances for nutritional purposes which have been proposed for use in the
manufacture of foods for particular nutritional uses. SCF/CS/ADD/NUT/20/
Final of 12 May 1999.
14 European Parliament and Council Regulation (EC) No. 258/97 concerning
novel foods and novel food ingredients. O.J. of E.C. L43/1 of 14 February.
15 European Parliament and European Council Directive 94/36/EC on colours
for use in foodstuffs. O.J. of E.C. L237/13 of 10 September 1994.
16 European Council Directive 88/388/EEC on flavourings used in foodstuffs
and source materials used in their production. O.J. of E.C. L184/61 of 15
July 1988.
17 European Council Directive 79/112/EEC relating to the labelling,
presentation and advertising of foodstuffs. O.J. of E.C. L33/1 of 8 February
1979.
18 European Council Directive 65/65/EEC relating to proprietary medicinal
products. O.J. of E.C. 22 February 1965.
19 Federation of Swedish Food Industries et al. Health Claims in the Labelling
and Marketing of Food Products. Food Industry¡¯s Rules (Self-Regulating
Programme). Revised programme of 28 August 1996.
20 Federatie Voedingsindustrie/Fe¡äde¡äration de l¡¯Industrie Alimentaire (Bel-
gium). Health Claims Code of Conduct, draft, 21 October 1998.
21 Voedingscentrum (Netherlands). Code of practice assessing the scientific
evidence for health benefits stated in health claims on food and drink
products. April 1998.
22 Joint Health Claims Initiative (United Kingdom). Code of Practice on
Health Claims on Foods. Final text, 9 November 1998.
EU legislation and functional foods 41
23 Joint ¡®Ministerio de Sonidad y Consumo¡¯ (Ministry of Health, Spain) and
Federacio¡än de Industrias de Alimentacio¡än y Bebidas (Spanish Federation of
Food and Drink Manufacturers) agreement on health claims on foods of 20
March 1998.
24 Conseil National de l¡¯Alimentation (France). Alle¡ägations faisant un lien
entre alimentation et sante¡ä. Avis No. 21, 30 June 1998, Paris.
25 European Council Directive 89/109/EEC relating to materials and articles
intended to come into contact with foodstuffs. O.J. of E.C. L40/30 of 11
February 1989.
26 European Commission Directive 97/48/EC on plastic materials and articles
in contact with food (O.J. of E.C. L222 of 12 August 1997) amending
Council Directive 82/711/EEC. O.J. of E.C. L297/26 of 23 October 1982.
27 European Parliament and Council Directive 94/62/EC on packaging and
packaging waste. O.J. of E.C. L365/10 of 31 December 1994.
28 European Council Directive 93/43/EEC on the hygiene of foodstuffs O.J. of
E.C. L175/1 of 19 July 1993.
42 Functional foods
3.1 Introduction
With the enactment of the Orphan Drug Act (ODA) of 1988 (Pub. L. 100¨C290),
1
Nutrition Labeling and Education Act (NLEA) of 1990 (Pub. L. 101¨C535 ),
2
Dietary Supplement Health and Education Act (DSHEA) of 1994 (Pub. L. 103¨C
417),
3
and the Food and Drug Administration Modernization Act (FDAMA) of
1997 (Pub. L. 105¨C115),
4
food laws and regulations have been substantially
reformed,
5¨C8
opening up entirely new opportunities to promote both the health
benefits of foods and to design so-called ¡®functional foods¡¯ and ¡®nutraceuticals¡¯
which can provide targeted nutritional, disease-preventing or health benefits to
the consumer. These new legislative mandates and the regulations that follow
helped to clarify a somewhat confusing situation. For example, in 1963, the US
government seized a table sugar product, which was essentially sucrose fortified
with 19 vitamins and minerals, on the basis that the addition of these nutrients
were of no value since they were already available in the US diet. The courts
(US v. Dextra Brand Sugar 231 F. Supp 561; 2/21/63) overturned the
government action on the basis that it should not interfere with commerce and
the product was neither misbranded nor adulterated. The company was
responding to the consumer concern at that time that some products were
considered to be empty calories (containing no vitamins or minerals); thus
fortifying the sugar brought it into the ¡®healthy¡¯ food category.
In the US, any statements or claims on a packaged food are covered under the
Federal Food, Drug and Cosmetic Act (FFDCA). These statements on the label
are considered labeling, and as such, any false or misleading statements are
considered to be ¡®misbranding¡¯. In addition, any promotional material, such as a
book, in close proximity to the food at point of sale has also been considered to
3
US legislation and functional health
claims
M.K. Schmidl and T.P. Labuza, University of Minnesota
be labeling and subject to the law under the FFDCA. In fact the federal
government has seized products on this point of law and the Supreme Court has
ruled this to be constitutionally correct (US v. Kordel 397 US 1; 1970). Section
403(a)(1) of the FFDCA declares as misbranding any false or misleading
statements. In addition, Section 201(n) also makes a food misbranded if the label
fails to reveal facts material to the product. The latter came into play prior to the
requirement for nutrition labeling on all foods, when in 1974, the Food and Drug
Administration (FDA), the agency responsible for administering the FFDCA,
decided that if one made a nutrient claim on the label, then the label had to have
a specific nutrient-based table containing information on calories, fat, protein,
carbohydrates and eight vitamins and minerals, i.e. more encompassing than just
saying ¡®contains a high amount of vitamin C.¡¯ In 1990, the US Congress
enhanced this by passing NLEA, thus essentially requiring nutrition labeling for
all processed foods on the basis that the specific label was material to the facts
about any food, not just if specific content claim were made.
3.2 Definitions
Because laws and regulations have become extremely complex in the US, we
will introduce the subject with the definition of a few key terms. ¡®Content
claims¡¯ in labeling refer to such adjectival descriptors of food characteristics as
¡®low fat,¡¯¡®low sugar,¡¯¡®reduced calorie,¡¯ and ¡®healthy.¡¯ No mention of disease is
involved. ¡®Health claims¡¯ prose is a bit of a misnomer because it involves label
claims referring to specific diseases or conditions such as ¡®osteoporosis,¡¯
¡®cardiovascular disease,¡¯ and ¡®hypertension.¡¯ Such claims are better categorized
as disease-specific claims. ¡®Structure¨Cfunction claims¡¯ refers to claims that may
also be made on conventional food or dietary supplement labels if products
qualify. No mention of disease or symptoms of disease may be stated, e.g.
¡®Calcium builds strong bones.¡¯
When Congress (the House and Senate) votes to pass a new law (a
Congressional Bill), it becomes a public law and is first denoted as Pub. L. xx¨C
yy where Pub. L. is Public Law, xx denotes that number of the Congress (note
each Congress is two years in length) and yy denotes the bill number in order of
passage over the two-year period, thus FDAMA is PL 105¨C115 or the 115th bill
passed by the 105th Congress in their two-year term. After the President (the
Executive Branch of the three-part US government structure) signs the
legislation, it becomes an Act; thus we have the Federal Food Drug and
Cosmetic Act (FFDCA) of 1938 (21 USC 301¨C394) as amended (many times)
and the Wholesome Meat Act of 1967 (21 USC 672). Once published, an Act
officially becomes an official statute (e.g. the FFDCA is 52 Statute 1040 et seq.).
Eventually statutes get published in the United States Code (USC), thus the
FFDCA became 21 USC 301¨C394. Because Acts are broad and non-specific, the
President of the USA is given the responsibility of the carrying out the Acts
through promulgation (creation) of regulations as done by the various regulatory
44 Functional foods
departments. These regulations give details and are more specific. As noted for
foods, the main administrative organization within the Executive Branch is the
Food and Drug Administration which is part of the Department of Health and
Human Services. Within the FDA, the critical administrative branch related to
food is the Center for Food Safety and Applied Nutrition (CFSAN). Meats are
not legally foods and meat labeling is under the control of the Food Safety and
Inspection Service (FSIS) of the United States Department of Agriculture
(USDA). As required by the Administrative Procedure Act (APA) of 1946, all
regulations proposed by the Executive Branch of the government must go
through a public proposal process, instituted by publishing in the Federal
Register (FR). The FR is published every working day of the year and provides
an enormous array of notices by every administrative unit. It is imperative that
anyone dealing with label claims keeps abreast of the proposed and finalized
regulations as any changes can affect their business. The FR process allows all
affected citizens and organizations to make public comment, and gives the
agency a chance to respond.
Once due process is complete in a rather complex procedure of reproposals
and a finalized regulation, the regulation has the power of law, unless
reinterpreted by the courts (the third part of the US legislature¨Cexecutive¨C
judicial government design). The US Court¡¯s job is to resolve disputes based on
US Constitutional issues, thus they must take into consideration the intent of
Congress (legislature) and the concept of whether such regulation is arbitrary,
capricious and not ripe for adjudication. The latter point means that although
there might be a potential effect of the regulation on a party, unless someone can
prove that actual harm has occurred or definitely will occur, the regulation
stands as law. The seminal case of Abbott Labs v. Gardner (38 US 136; 1967)
set the standard for the ripeness test. Thus if it were a misbranding issue due to a
claim, the FDA would have to seize product because it felt the claim was illegal
and then the regulation could be challenged. In addition, one might propose that
the regulation precludes a claim that you want to make, and if you are going to
print a label, prevention of the potential use of the label causes financial harm.
Challenging regulations in court is not an uncommon way in which the
regulation becomes better defined. Once a regulation is promulgated, it then gets
published as an official regulation in an appropriate title (21 Code of Federal
Regulations (CFR) for foods, 9 CFR for meats).
It should be noted that the court system has three tiers. The lowest courts are
known as District Courts, with 94 courts spread over the whole USA, US
possessions and territories. The next tier is the US Circuit Court of Appeals
(CCA), of which there are 11 plus one for the District of Columbia, the latter of
which hears cases arising out of conflict with regulations. The final court of
appeal is the US Supreme Court. The Supreme Court (SC) gets close to 3,000
cases a year, but hears only 250¨C300 of them. These are designated by granting
certiorari (agreement to hear the case). The rest are sent back to the Circuit
Court for retrial or the SC states that they agree with the CCA decision. Very
few food cases get to the US Supreme Court.
US legislation and functional health claims 45
Another important aspect of the US system of law, i.e. legislature¨Cexecutive¨C
judicial, is that the courts have the final say (at least until Congress passes a new
law) as to what a law means. In what may seem to be a trivial matter, but
important to health and nutrition claims, the FFDCA defines food in the Section
201(f) as ¡®articles used for food and drink for man and animals and chewing
gum.¡¯ This rather circular definition obviously has some limitations but served
its purpose for almost 80 years until its definition was challenged in a US court
case, NutriLab, Inc. v. Schweiker. The opinion was published October 5, 1982
and upheld by the Circuit Court of Appeals (713 F. 2nd. 335, 7th Circuit August
23, 1983). In essence, the Circuit Court said that the word ¡®food¡¯ means ¡®items
consumed for taste, aroma or nutritive value.¡¯ It should be noted, based on
agreements between US federal agencies, that a product with < 3% meat is a
food (3% or more meat comes under the Wholesome Meat Act), if < 2% poultry
it is a food (i.e. 2% or more of poultry in a food brings it under the Poultry
Inspection Act) and if in a sandwich form, it is a food if it has < 16% meat. One
can thus see why US food laws and regulations are so confusing to the
international community.
3.3 Nutrient modification and specific nutrient claims
Nutrient modification claims (nutrient descriptors) have been developed for
products for which there is a calorie, cholesterol, fatty acids, sugar, sodium or
cholesterol reduction. These are claims used to attract the consumer and as such
usually appear as a statement on the front panel of the food package. Because of
the complexity of these rules, they will not be repeated here but a few examples
are provided in part, e.g. the labeling of products for which the level of calories
has been modified (21 CFR 101.60 et seq.; 58 FR 49020; September 18, 1993).
A claim of ¡®free of calories¡¯ (or a trivial amount) can be made if there is less
than 5 calories; a low-calorie food must be less than 40 calories for a serving
size over 30 g (or > 50 g as prepared); and a reduced caloric claim requires it to
be 25% lower than a reference value of a product in the same category. The ¡®free
of¡¯ claim is one that is confusing to consumers because the product may not be
entirely free of ¡®x¡¯. An example is a commercial ¡®fat-free¡¯ butter substitute that
has these words on the front label whereas the nutrition facts statement shows
that it contains approximately 0.5 g fat which is the allowed upper limit for a fat-
free claim and that it has 5 calories from fat (21 CFR 101.60(b)(1)(i)).
For specific nutrient claims, such as ¡®an excellent source of vitamin C,¡¯ 21
CFR 101.62 requires the product to have at least 20% of the RDI or DRV
whereas when claiming the product as a good source, there must be between
10% and 19% of the value. The regulations also have preclusions that disallow
the use of a content claim for one nutrient when other nutrients present in the
food would make the product have less of a health benefit, e.g. one can claim a
lite sodium product only if the sodium reduction is > 50% and the fat content is
less than 3 g per serving (21 CFR 101.56). Importantly, the FDA revoked many
46 Functional foods
standards of identity (formulas) for foods, including those for most dairy
products, based on petitions from both industry and consumer organizations,
such that terms like ¡®skim¡¯ now are consistent with the new labeling practices,
i.e., lower fat milk now has to provide the percentage fat content on the front
label panel.
USDA¡¯s final rules governing nutrition labeling of meat and poultry products
(now 9 CFR part 317, 320 and 381) states that FSIS¡¯s nutrition labeling final
regulations for meat and poultry products, as authorized by the Federal Meat
Inspection Act, the Wholesome Meat Act and the Poultry Products Inspection
Act, will parallel to the extent possible, FDA¡¯s nutrition labeling regulations
promulgated under the Nutrition Labeling and Education Act. Consequently,
USDA labeling in the marketplace is almost identical to FDA-labeled products.
USDA¡¯s regulations provide for ¡®voluntary nutrition labeling on single-
ingredient, raw meat and poultry products and by establishing mandatory
nutrition labeling for all other meat and poultry products, with certain
exceptions.¡¯ USDA accepted most of FDA¡¯s nutrient-content claim definitions
but had a problem with lipids, simply because meat and poultry by nature
contribute significantly to lipid intake. USDA therefore emphasized additional
adjectival descriptors such as ¡®lean¡¯ and ¡®extra lean.¡¯ For example, 9 CFR
317.362 states: ¡®The term ¡®¡®lean¡¯¡¯ may be used on the label or in labeling of a
meat product, provided that the product contains less than 10 grams fat, less than
4 grams saturated fat and less than 95 milligrams cholesterol per 100 grams and
the Reference Amount Customarily Consumed (RACC) for individual foods and
per 100 grams and labeled serving size for meat-type products.¡¯ It should be
noted that FDA also has ¡®lean¡¯ claims (21 CFR 101.62 (e)(2)) for meal products
or main dish products (such as a frozen dinner) which requires less than 10 g
total fat, less than 4 g saturated fat and less than 95 mg of cholesterol in a
serving. Extra lean claims require less than 5 g total fat, less than 2 g saturated
fat and less than 95 mg cholesterol in a serving.
3.4 Disease-specific claims or disease-prevention (health)
claims
Up until 1993, FDA regulations (21 CFR 101.9 (i)(1)) prevented any food label
from bearing a disease-specific/disease-prevention or health-related claim. If it
did, the FDA considered the product to be a drug, i.e. a drug is any article that ¡®is
intended for use in the diagnosis, cure, mitigation, treatment or prevention of
disease in man or other animals¡¯ (FFDCA Section 201 (g)). Thus in the case
mentioned earlier, NutriLab, Inc. v. Schweiker, the government seized a
NutriLab product, a starch blocker, because it was intended to affect the
structure/function of the body in the prevention of a disease, obesity.
On January 6, 1993 and amended several times, FDA¡¯s final rules (21 CFR
101.14; 58 FR 44036; August 18, 1993, 59 FR 24232; May 10, 1994, 62 FR 15390;
May 1, 1997) for disease-specific/disease-prevention claims were issued. Under
US legislation and functional health claims 47
these rules one may petition FDA to issue a regulation to approve a ¡®health claim,¡¯
but FDA will issue such a regulation only when it determines, based on the totality
of publicly available scientific evidence, including evidence from well-designed
studies conducted in a manner that is consistent with generally recognized
scientific procedures and principles, that there is significant scientific agreement,
among experts qualified by scientific training and experience to evaluate such
claims, that the claim is supported by such evidence, i.e. that there is a national
health risk and that the ingredient has been shown scientifically to reduce that risk
(21 CFR 101.14(b)). In addition to this very high standard of scientific proof that
FDA will require to issue such a regulation, an approved ¡®health claim¡¯ may be
used in labeling for any product that meets the conditions set forth in the
regulation, not just the petitioner¡¯s product.
9, 10
It should be noted that in 63 FR
14349 (April 25, 1998), FDA revised the food labeling definition of ¡®healthy¡¯ to
permit processed fruits and vegetables and standardized enriched cereal grain
products (to which iron, thiamin, niacin and riboflavin have been added, in the
appropriate levels) that conform to bear this term.
The model health claims that appeared in 21 CFR 101.71 (et seq.) through
December 2000 are as follows:
1. Calcium and Osteoporosis: Regular exercise and a healthy diet with
enough calcium helps teen and young adult white and Asian women
maintain good bone health and may reduce their high risk of osteoporosis
later in life (21 CFR 101.72; 58 FR 2665; January 6, 1993). In order to
make the claim on the label the food must satisfy the following specific
nutritional standards:
? The food must be ¡®high¡¯ in calcium.
? The calcium must be assimilable.
? Dietary supplements must meet United States Pharmacopeia (USP)
standards for disintegration and dissolution, or if no USP standard
applies, appropriate assimilability under the conditions of use must be
stated on the product label.
? The food or supplement must not contain more phosphorus than calcium
on a weight per weight basis.
2. Dietary Lipids and Cancer: Development of cancer depends on many
factors. A diet low in total fat may reduce the risk of some cancers (21 CFR
101.73; 58 FR 2787; January 6, 1993). In order to make the claim on the
label the food must satisfy the following specific nutritional standards:
? The food must meet the requirements for a ¡®low fat¡¯ food.
? Fish and game meat may meet the requirements for ¡®extra lean¡¯ instead
of ¡®low fat.¡¯
3. Sodium and Hypertension: Diets low in sodium may reduce the risk of high
blood pressure, a disease associated with many factors (21 CFR 101.74; 58
FR 2820; January 6, 1993). In order to make the claim on the label the food
must satisfy the following specific nutritional standard:
? The food shall meet the requirements of a ¡®low sodium¡¯ food.
48 Functional foods
4. Dietary Saturated Fat and Cholesterol and Risk of Coronary Heart Disease:
Development of heart disease depends upon many factors, but its risk may
be reduced by diets low in saturated fat and cholesterol and healthy
lifestyles (21 CFR 101.75; 58 FR 2739; January 6, 1993). In order to make
the claim on the label the food must satisfy the following specific
nutritional standards:
? The food must meet the requirements for a ¡®low saturated fat,¡¯¡®low
cholesterol¡¯ and ¡®low fat¡¯ food.
? Fish and game meat may meet the requirements for ¡®extra lean¡¯ instead
of ¡®low fat¡¯ food.
5. Fiber-Containing Grain Products, Fruits and Vegetables and Cancer: Low
fat diets rich in fiber-containing grain products, fruits and vegetables may
reduce the risk of some types of cancer, a disease associated with many
factors (21 CFR 101.76; 58 FR 2537; January 6, 1993). In order to make
the claim on the label the food must satisfy the following specific
nutritional standards:
? The food must meet the requirements for a ¡®low fat¡¯ food.
? The food must meet the requirements for a ¡®good source¡¯ of dietary fiber
without fortification.
? Food must be, or contain, a grain product, fruit or vegetable.
6. Fruits, Vegetables and Grain Products that contain Fiber, particularly
Soluble Fiber, and Risk of Coronary Heart Disease: Diets low in
saturated fat and cholesterol and rich in fruits, vegetables and grain
products that contain some types of dietary fiber, particularly soluble
fiber, may reduce the risk of heart disease, a disease associated with
many factors (21 CFR 101.77; 58 FR 2552; January 6, 1993). In order to
make the claim on the label the food must satisfy the following specific
nutritional standards:
? The food must meet the requirements for a ¡®low saturated fat,¡¯¡®low
cholesterol,¡¯ and ¡®low fat¡¯ food.
? The food must contain at least 0.6 gram soluble fiber per reference
amount customarily consumed without fortification. The content of
soluble fiber must be declared on the nutrition information panel.
? The food must be or contain a grain product, fruit or vegetable.
7. Fruits and Vegetables and Cancer: Low fat diets rich in fruits and
vegetables (foods that are low in fat and may contain dietary fiber, vitamin
A and vitamin C) may reduce the risk of some types of cancer, a disease
associated with many factors. Broccoli is high in vitamins A and C and it is
a good source of dietary fiber (21 CFR 101.78; 58 FR 2552; January 6,
1993). In order to make the claim on the label the food must satisfy the
following specific nutritional standards:
? The food must meet the requirements of a ¡®low fat¡¯ food.
? The food must qualify as a ¡®good source¡¯ of vitamin A, vitamin C or
dietary fiber without fortification.
? The food must be or contain a fruit or vegetable.
US legislation and functional health claims 49
8. Folate and Neural Tube Defects: Healthful diets with adequate folate may
reduce a woman¡¯s risk of having a child with a brain or spinal cord birth
defect (21 CFR 101.79; 61 FR 8752; April 15, 1996). In order to make the
claim on the label the food must satisfy the following specific nutritional
standards:
? The food shall meet or exceed the requirements for a ¡®good source¡¯ of
folate (i.e., provides 10 to 19 percent of the daily value per reference
amount of food).
? Dietary supplements shall meet the United States Pharmacopeia (USP)
standards for disintegration and dissolution, except that if there are no
applicable USP standards the folate in the dietary supplements shall be
shown to be bioavailable under the conditions of use stated on the
product label.
? The food shall not contain more than 100 percent of the RDI for vitamin
A as retinol or preformed vitamin A and vitamin D per serving or per
unit.
9. Dietary Sugar Alcohol and Dental Caries: For packages with total surface
area available for labeling of less than 15 square inches: ¡®Useful only in not
promoting tooth decay.¡¯ For packages with total surface area available for
labeling of 15 or more square inches: ¡®Frequent between meal consumption
of foods high in sugars and starches promotes tooth decay. The sugar
alcohols in (name of food) do not promote tooth decay¡¯ (21 CFR 101.80;
61 FR 43433). It should be noted that sugar free (sorbitol) chewing gum
manufacturers had been using the claim ¡®Does not promote tooth decay¡¯ for
almost 30 years with no interference from the FDA. The promulgation of
this claim thus gave regulatory credence to this practice. In order to make
the claim on the label the food must satisfy the following specific
nutritional standards:
? The sugar alcohol in the food must be xylitol, sorbitol, mannitol,
maltitol, isomalt, lactitol, hydrogenated starch hydrolysates, hydroge-
nated glucose syrups, erythritol or a combination of these.
? The food must contain less than 0.5 gram of sugar per reference amount
customarily consumed and per labeled serving.
? The sugar-alcohol containing food must not lower plaque pH below 5.7
by bacterial fermentation either during consumption or up to 30 minutes
after consumption as measured by in vivo tests.
10. Soluble Fiber From Certain Foods and Risk of Coronary Heart Disease:
Diets low in saturated fat and cholesterol that include soluble fiber from
(name of whole oat or psyllium source and, if desired, the name of the food
product) may reduce the risk of heart disease (21 CFR 101.81; 61 FR 296;
January 4, 1996, 62 FR 15343; April 31, 1997, 63 FR 8103; February 18,
1998).
10
It should be noted that with respect to soluble fiber, 21 CFR
101.17 warns that the label should state that the consumer should consume
adequate quantities of water if the fiber source is from psyllium. One
should also note that the oat health claim was promulgated first and when
50 Functional foods
the psyllium claim was finalized, the two were combined, thus in effect
there are actually 11 promulgated final health claim regulations found in
the Federal Register. In order to make the claim on the label the food must
satisfy the following specific nutritional standards:
? The food product must contain one or more of the whole oat foods: oat
bran, rolled oats or whole oat flour, and the whole oat foods shall contain
at least 0.75 grams of soluble fiber per reference amount customarily
consumed of the food product; or psyllium husk (as defined in the
regulations), and the pysllium food shall contain at least 1.7 g of soluble
fiber per reference amount customarily consumed of the food product.
? The amount of soluble fiber must be declared in the nutrition label.
? The food must meet the requirements for a ¡®low saturated fat,¡¯¡®low
cholesterol¡¯ or ¡®low fat¡¯ food.
11. Soy Protein and Risk of Coronary Heart Disease (see below).
None of the above health claims can be made under 21 CFR 101.14 (a) (5) if
the product contains: > 13 g total fat, > 4 g saturated fat, > 60 mg cholesterol or
> 480 mg sodium, per reference amount customarily consumed and per labeled
serving size. For meal-type products, similar claims can be made but the above
restrictions are > 26 g total fat, > 8 g saturated fat, > 120 mg cholesterol and
> 960 mg sodium per labeled serving. For main dish products, these levels are
> 19.5 g fat, > 6 g saturated fat, > 90 mg cholesterol, or > 720 mg sodium per
labeled serving. It should be noted that the CFR for each claim contains all the FR
notice references. For those interested in the scientific basis used to establish each
claim they should obtain these FR notices. Very importantly, FDA also issued the
so-called ¡®jelly bean¡¯ rule (21 CFR 101.14 (e) (6)) precluding adding an ingredient
to a food so as to be able to make a health claim, if the original food contains less
than 10% of the RDI or DRV for vitamins A and C, iron, calcium, protein, or
dietary fiber before supplementing. The FDA has suggested this requirement is
problematic and could be modified in the future to allow claims for some vitamin-
fortified foods. This rule does not apply to dietary supplements. Finally, in 21
CFR 101.71, FDA specifically has stated that since there was no significant
scientific agreement there can be no claims made (yet) for dietary fiber and cancer
(58 FR 53296; 1993), dietary fiber and cardiovascular disease (58 FR 53298;
1993), antioxidants and cancer (58 FR 53302; 1993), zinc and immune function
and omega 3-fatty acid and cardiovascular disease (58 FR 53304; 1993). Because
the timetable was vague as to the time period in which FDA had to publish a final
regulation on any health claim once it was first published, the dietary supplement
industry sued (Nutritional Health Alliance v. Shalala 953 F. Supp. 526; S.D.N.Y.
1997). This forced FDA to promulgate 62 FR 12579 (March 17, 1997) and 62 FR
28230 (February 22, 1997) in which they agreed to a 270-day time period between
initial FR proposal and final regulation with two possible 90-day extensions.
Furthermore, several courts overturned parts of 21 CFR 101.71 dealing with the
above ban on claims for dietary fiber and colorectal cancer (21 CFR 101.71(c)),
the antioxidant vitamins and cancer, omega-3 fatty acids and coronary heart
US legislation and functional health claims 51
disease (21 CFR 101.71(e)) and a claim in (21 CFR 101.79(c)(a)(i)(g)) regarding a
statement that the effectiveness of a specified amount of folate per serving from
one particular source for reducing risk of neural tube defects was better than
another source (61 FR 8752, 8760; 1996; Pearson and Shaw v. Shalala; 164 F. 3d
650; DC Cir. 1999; National Council for Improved Health v. Shalala (122 F. 3d
878; 10th Cir. 1997; Nutritional Health Alliance v. Shalala 144 F. 3d 220, 2d Cir
1998) Circuit 98-5043; US Appl. Lexis 464). The legal overturning of the
regulations was directed towards dietary supplements but it appears it may also
apply to conventional foods. The court said that fears that claims would be
misleading could be addressed effectively through disclaimers, rather than through
suppression of the claim, thus the courts in these cases found that both foods and
dietary supplements could carry a disclaimer if a health claim is made. Allowing
of the ¡®disclaimer¡¯ along with the health claim would therefore allow for non-
violation of the First Amendment, allowing commercial free speech. The agency
was directed to reconsider these health claims and provide guidance on what
information is needed to meet the ¡®significant scientific agreement¡¯ standard for
approval of health claims and not to do so would be in violation of the First
Amendment related to commercial free speech (59 FR 395, 405, 422¨C23; 1994).
Thus the courts said to FDA that the disclaimer could carry the burden as to the
level of scientific support for the claim v. against the claim. The court was
concerned, however, that this could lead to consumer confusion. The court also
reiterated that if FDA denied a claim, it would be subject to review by the court. In
addition, in an earlier case (Pearson v. Shalala 14 F. Supp 2d.10 D.C. 1998), the
issue of improper procedures with respect to promulgation of the regulations
under the APA were raised but the court felt that the time line to get approval was
appropriate.
Other instances in which part of these regulations were challenged include (1)
National Council for Improved Health v. Shalala (122 F. 3d 878; 884¨C85; 10th
Cir. 1997) in which the case against the government was thrown out on the basis
that there was no particular injury to the parties, and (2) Nutritional Health
Alliance v. Shalala (144 F. 3d 220, 225¨C227; 953 F. Supp. 526 (S.D.N.Y.); 1997
2nd Cir 1998 cert. denied; U.S.L.W. 3113¨C3122, December 7, 1998) in which
the case was thrown out on the basis of it being unripe for adjudication since the
challengers did not try to go through the normal regulatory proposal procedure
even though that could take up to 540 days as noted above. For a good review of
the implication of commercial free speech on dietary supplement claims see
Sidale.
11
These cases thus support the principle that one can have appropriate
health claims and structure¨Cfunction claims on both conventional foods and
dietary supplements, if they qualify. Structure¨Cfunction claims require a
different type of wording but also must be truthful and not misleading and
will be discussed later in this chapter. Note that in a Federal Trade Commission
(FTC) action on advertising (American Home Products Corp. v. FTC 695 F. 2d
681, 684, 696¨C702; 3d Cir. 1983) the FTC required the advertiser of an
unsubstantiated claim to have a disclaimer that said that the claim was open to
substantial question.
52 Functional foods
On November 10, 1998 (63 FR 62977) the FDA also proposed allowing a health
claim about the role that soy protein may have in reducing the risk of coronary heart
disease (CHD) on the labels and labeling of food containing soy protein. This
proposal is based on the agency¡¯s determination that soy protein, as part of a diet
low in saturated fat and cholesterol, may reduce the risk of CHD. In proposing this
health claim, FDA concluded that foods containing protein from the soybean as part
of a diet low in saturated fat and cholesterol may reduce the risk of heart disease by
lowering blood total cholesterol and LDL-cholesterol. The amino acid content in
soy protein is different from that of animal protein and most other vegetable
proteins, and appears to alter the synthesis and metabolism of cholesterol in the
liver. Because soy protein occurs in or can be added to a wide variety of foods and
beverages, it is possible to eat soy protein-containing products as many as four times
a day (three meals and a snack), according to the FDA. Studies show that 25 g soy
protein per day has a cholesterol-lowering effect. Therefore, for a food to qualify for
the health claim, each serving of the food must contain at least 6.25 g soy protein, or
one-fourth of the 25 g amount shown to have a cholesterol-lowering effect. This
claim is different than the claim of ¡®maintains healthy cholesterol¡¯ on ¡®Take
Control
TM
¡¯ a Promise(r) margarine-like product being marketed as a conventional
food as of May 1999. In this case, Unilever (through T.J. Lipton) used the self-
declaration allowance to deem a soy lipid sterol as a Generally Recognized As Safe
(GRAS) substance so it could be added to foods. Its mode of action is through the
inhibition of cholesterol absorption in the gastrointestinal tract.*
An interesting sidebar related to claims came on February 5, 1999 when the
Bureau of Alcohol, Tobacco and Firearms (BATF) approved statements for wine
labels that referred to health effects of wine consumption. The statements were
amended versions of those submitted over three years ago by the Coalition for Truth
and Balance, an ad hoc group of 12 US wineries. Use of the labels are voluntary.
The two BATF-approved statements are: ¡®The proud people who made this wine
encourage you to consult your family doctor about the health effects of wine
consumption¡¯ and ¡®To learn the health effects of wine consumption, send for the
Federal Government¡¯s Dietary Guidelines for Americans, Center for Nutrition
Policy and Promotion, USDA, 1120 20th Street, NW, Washington DC 20036 or
visit its website.¡¯ As noted in their press release from BATF, under existing law,
BATF can only deny labeling statements if they are false or misleading, and since
these were not and, more importantly, they were not direct health claims, the
statements were allowed after they had done a survey on wine drinkers. BATF does
not intend to go through the FR public notice process for this action. They will,
however, seek federal legislation to strengthen their authority over alcoholic
beverages. According to the definition in the FFDCA, drink is food and thus should
* Since this chapter was written, the FDA proposal for a health claim on soy protein (63 FR 62977
November 10, 1998) was finalized on October 26, 1999 (64 FR 57700). This allows for a health
claim related to soy protein and coronary heart disease. The regulation appears as 21 CFR 101.82 and
requires at least 6.25 grams of soy protein per serving such that a person can acheive 25 grams per
day (4 servings). All other restrictions on fat, sodium, calories, etc. apply.
US legislation and functional health claims 53
be regulated by the FDA. However, since BATF already has inspectors in alcoholic
beverage manufacturing facilities and the presence of alcohol inhibits pathogenic
growth, FDA beginning in 1938 deferred all authority to them, although the FDA
still could seize adulterated product. In 1974 FDA asked BATF to issue ingredient
labeling requirements for alcoholic beverages. Since they refused, FDA terminated
their memorandum of understanding with BATF in 1975 (40 FR 54536) and were
going to pursue such practice. The alcoholic beverage industry sued to prevent this
(Brown Forman Distillers v. Mathews 436 F supp 5, 1976; Brown Forman Distillers
v. Califono, DC West KY, 1979) and won the action to prevent FDA from doing so.
In 1980 BATF did propose labeling requirements (46 FR 40538) but withdrew the
proposal in 1982 (48 FR 11884) after significant objection by the liquor industry.
It appears that most consumers find the new labels easier to understand, but
considerable concern about label accuracy remains. In many cases, consumers are
downright suspicious of health or other claims, particularly because of the plethora
of often-conflicting health claims to which they are subjected in the media based on
analysis of research studies showing opposing effects of various foods, ingredients
or nutrients, e.g., the positive v. negative value of drinking coffee. Many believe
that the label information is at the discretion of the manufacturer and that such
information is not strictly regulated by FDA. At best, one can reasonably conclude
that implementation of the NLEA has been only a modest success in terms of
education, in spite of the enormous efforts devoted to its implementation.
12
In some regards, FDA has been a bit overzealous in implementing the wording
in the labeling for disease-specific claims. For example, consider the regulation for
calcium and osteoporosis. Most manufacturers would simply like to claim that
¡®calcium helps prevent osteoporosis,¡¯ when their food product contains a
reasonable amount of calcium. However, the FDA regulation provides several
model label statements that they anticipate should be used. For example, one such
model for foods exceptionally high in calcium that can be used for most calcium
supplements states: ¡®Regular exercise and a healthy diet with enough calcium helps
teen and young adult white and Asian women maintain good bone health and may
reduce their high rate of osteoporosis later in life. Adequate calcium intake is
important, but daily intakes above about 2,000 mg are not likely to provide any
additional benefit.¡¯ Given the limited space on food labels, the statement is too
long. In addition it ignores the large population of African American women who
also might benefit from use of calcium and an Asian American group objected to it
on the basis that it discriminated against Asian women. Thus, there are not a lot of
disease-specific claims being made in the marketplace at present. For the most
part, the American public seems nutritionally illiterate, and they will remain so
until the schools make nutritional education an integral part of health and science
education. The food label does not substitute for such education although it can be
used as a means in the process. This brings up another interesting twist in the US
legal system as was noted earlier. Since about the 1950s, the government seized
food products if pamphlets, flyers, books, etc. were in close proximity to the
product and such material contained disease-related claims specific to the product.
The US targeted this mainly on supplement products (for example US v. Kordel
54 Functional foods
335¨C345; 69 S. Ct. 106; 1948; US v. Kordel 397 US 1; 90 S. Ct. 763; 1970). Since
the last case mentioned, the FDA has had little action in this area although it
remains as a Sword of Damocles on promotional material in close proximity to the
product when held for sale. This promotional material was also considered in
DSHEA, as will be seen.
3.5 The Food and Drug Administration Modernization Act
1997
The FDA Modernization Act amended the FFDCA to allow an alternative
procedure for a nutrient content claim or a health claim that is the subject of a
published authoritative statement by a scientific body of the US government
with official responsibility for public health protection or research directly
relating to human nutrition (such as the National Institutes of Health or the
Centers for Disease Control and Prevention or the National Academy of
Sciences). The person who wants to use the claim must give FDA at least 120
days¡¯ prior notice, including the exact claim to be used, a copy of the
authoritative statement and a balanced representation of the scientific literature
related to the claim. The FDAMA authorized FDA to exercise its discretion to
allow use of the new nutrient content claim at the time that FDA publishes the
FR proposal to permit use of the claim for public comment. This authority could
also be used to remove an existing claim at the proposal stage.
With regard to this new method for health claims, the claim must be stated in
a manner such that the claim is an accurate representation of the authoritative
statement and in a manner that the claim enables the public to comprehend the
information provided in the claim and to understand the relative significance of
such information in the context of a total daily diet. FDA published the
regulations pursuant to this as a guidance document in 63 FR 32102, June 11,
1998. This document is available in the Compliance Policy Guides Manual
(CPGM). Because of concern by Congress for these rules, FDA on 1/21/99 (64
FR 3250) published a proposed regulation for this process which would
comprise 21 CFR 101.90. The health claim may be made only if the food does
not contain a nutrient in an amount that increases the risk to persons in the
general population and/or the risk of a disease or health-related condition that is
diet related, taking into account the significance of the food in the total daily
diet. In addition, the health claim may not be false or misleading in any
particular, which includes a prohibition on failure to reveal facts that are
¡®material in the light of¡¯ the claim. FDA will continue to be the final arbiter
about whether such a health claim may be made because the claim may be made
only until either (a) FDA issues a regulation prohibiting or modifying the claim
or finding that the requirements to make the claim have not been met, or (b) a
District Court of the US finds, in an enforcement proceeding, that the
requirements to make the claim have not been met. In addition, FDA has the
authority to make a proposed health claim regulation effective immediately
US legislation and functional health claims 55
upon the date of publication of the proposal.
4, 13
Finally FDAMA revised the
requirement for referral statements. Previously, referral statements such as ¡®see
side panel for nutrition information¡¯ on the front panel of a food label were made
whenever a disease prevention claim or a nutrient descriptor claim was made for
a food. Under FDAMA this will no longer be true. Such a referral statement will
be required only if FDA makes a determination that the food contains a nutrient
at a level that increases the risk of disease. This provision will significantly
reduce label clutter, and significantly increase the incentive for useful nutrition
information in labeling.
3.6 Medical foods
One type of food product that may bear a ¡®disease claim¡¯ is the medical food. A
medical food is defined as a food that is specially formulated for the feeding of a
patient who has a special medically determined nutrient requirement, the dietary
management of which cannot be achieved by the modification of the normal diet
alone and the food is labeled to be used under the supervision of a physician or
under medical supervision (Orphan Drug Act 1988 (Pub. L. 100¨C290)).
The medical food¡¯s label and labeling may bear information about its
usefulness for the dietary management of a disease or medical condition for
which distinctive nutritional requirements, based on recognized scientific prin-
ciples, are established by medical evaluation (21 CFR 101.9 (j) (8)).
1, 14, 15, 16
A
food is subject to this exemption only if:
? It is a specially formulated and processed product (as opposed to a naturally
occurring foodstuff used in its natural state) for the partial or exclusive
feeding of a patient by means of oral intake or enteral feeding by tube.
? It is intended for the dietary management of a patient who, because of
therapeutic or chronic medical needs, has limited or impaired capacity to
ingest, digest, absorb, or metabolize ordinary foodstuffs or certain nutrients,
or who has other special medically determined nutrient requirements, the
dietary management of which cannot be achieved by the modification of the
normal diet alone.
? It provides nutritional support specifically modified for the management of
the unique nutrient needs that result from the specific disease or condition, as
determined by medical evaluation.
? It is intended to be used under medical supervision.
? It is intended only for a patient receiving active and ongoing medical
supervision wherein the patient requires medical care on a recurring basis for,
among other things, instruction on the use of the medical food (21 CFR 101.9
(j) (8)).
If a food qualifies as a medical food, it is exempt from the pre-approval
requirements that otherwise generally apply for FDA approval of health claims
and nutrient content claims used in labeling. It also is not a drug even though it
56 Functional foods
is used in the management of a disease (e.g. low phenylalanine products for
those with phenylketonuria disease). A company that is responsible for a
medical food must possess data that are sufficient to show that no claim made on
the label or in other labeling is either false or misleading in any particular
manner. However, there is no requirement to notify FDA that one is
manufacturing or marketing a medical food or to obtain FDA approval or even
notify FDA with respect to the use of medical food labeling claims. A medical
food is not authorized to bear a claim to cure, mitigate, treat or prevent a disease
¨C such a claim would create drug status for the product. Instead a medical food is
permitted to make a claim to address a patient¡¯s special dietary needs that exist
because of a disease. This type of claim is distinguished from a claim to treat the
disease. The distinction should be kept in mind in developing any labeling
claims for a medical food.
1, 15
Typical medical food products include foods
useful in the treatment of:
? Genetic disorders, e.g., phenylketonuria, celiac disease, maple syrup urine
disease.
? Stress conditions, e.g., surgery, chemotherapy, radiation therapy, burns.
? Cancer and HIV/AIDS patients.
? Neurological disorders, e.g., Alzheimer¡¯s disease.
? Gastrointestinal disorders, e.g., Crohn¡¯s disease, ulcerative colitis.
3.7 The Dietary Supplement Health and Education Act 1994
Beginning in the early 1950s, the FDA became increasingly concerned about
what it felt were illegal label and formulation claims on vitamin and mineral
products. In 1973, it promulgated an especially threatening regulation to the
dietary supplement industry which resulted in a strong Congressional lobby
effort to change the law (38 FR 2143, 2152, January 19, 1973 and 38 FR 20708;
38 FR 20730, September 2, 1973). In addition the industry had several portions
of the regulations overturned in court, dealing with limits or levels of addition of
ingredients (National Nutritional Foods Association v. FDA, 504 F. 2d 761, 2d
Cir 1974 and National Nutritional Foods Association v. Kennedy 572 F. 2d 377;
2d Cir. 1978). Because of this FDA was forced to withdraw ¡®all¡¯ of the above
regulations (44 FR 16005, March 16, 1979). Congress also acted, upon the
urging of Senator Proxmire of Wisconsin, by passing the Vitamin¨CMineral
Amendment of 1976 which prohibited FDA from imposing any limits on the
level of safe vitamins and minerals in dietary supplements, from classifying
them as drugs, and from limiting any combination thereof. This very hard hand
slapping forced the issue and FDA discontinued going after dietary supplement
manufacturers.
However, when NLEA was passed, FDA again began to stake their claim on
these products. FDA published several regulations suggesting that NLEA
applied (58 FR 33700, June 18, 1993; 58 FR 53296, October 14, 1993; 59 FR
US legislation and functional health claims 57
395, January 4, 1994). During the period between 1992 and 1994, there again
was extensive pressure on Congress by the industry to amend NLEA and the
FFDCA to preclude any FDA action on dietary supplements which included
vitamins, minerals, specific metabolic compounds and herbal supplements. On
October 7, 1992, Congress passed an amendment to the FFDCA (Dietary
Supplement Act 1992, Pub. L. 102¨C571; 106 Stat. 4491, 4500) to create a
moratorium which inhibited the FDA from applying NLEA requirements on
dietary supplements. Following passage of this Act, until passage of the Dietary
Supplement Health and Education Act 1994, many US Senators and the House
of Representatives claimed to be receiving more mail, more phone calls, and
generally more constituent pressure on this subject than on anything else,
including health-care reform, abortion or the budget deficit.
17
Not surprisingly, given all this pressure, Congress eventually passed the
Dietary Supplement Health and Education Act (DSHEA) 1994 (Pub. L. 102¨C
571). The House of Representatives approved the measure by unanimous
consent on October 7, 1994 and the Senate approved it, also by unanimous
consent on October 8, 1994. The President signed it into law on October 25,
1994.
16
FDA has published over 25 Federal Register notices pursuant to this
law, some of which have been finalized as regulations.
The new law, like virtually all legislation and the regulations pursuant to it
(62 FR 49826; 62FR 49883; 62 FR 41886; 49859; 63 FR 23633), is a
compromise. It does not include all of the restraints on FDA regulation of
dietary supplements that the sponsors had originally wanted. Furthermore, it
imposes some significantly new requirements for such products. Nevertheless,
viewed as a whole, this legislation is a very favorable development for those
who want to sell or consume a free range of dietary supplements including
vitamins, minerals, herbs, other botanicals, amino acids and other similar dietary
substances as mentioned earlier. The latter could be any compound in any
metabolic pathway.
¡®Dietary supplements¡¯ are now defined by Sec 201(ff) of the FFDCA as
amended by the DSHEA as products intended to be ingested in the form of a
tablet, capsule, powder, softgel, gelcap or liquid droplet (or, if not in such form,
are not represented for use as a conventional food or as a sole item of a meal or
the diet) and which contains one or more of the following dietary ingredients: a
vitamin, mineral, herb or other botanical, amino acid or other dietary substance
for use to supplement the diet by increasing the total dietary intake, including a
concentrate, metabolite, constituent, extract, or combination of any of the
above.
3
Thus under Section 3(c) of DSHEA, a food containing an added
supplemental ingredient can be sold as a dietary supplement as long as it does
not claim it is a food and does state on the front panel that it is a dietary
supplement. This thus supersedes the 1976 Vitamin Mineral Amendment which
disallowed a food from the category (Section 411(c)(3) of the FFDCA). To
further distinguish the product as a dietary supplement, a new type of panel was
required called ¡®Supplement Facts¡¯. Thus a chicken soup-like product with
added echinacea can be sold as a dietary supplement if it states on the front panel
58 Functional foods
of the label ¡®a hot liquid preparation with echinacea¡¯, suggesting that it is not a
food but rather an item to supplement the diet, and the front panel also has the
required words ¡®Dietary Supplement¡¯. It should also be noted that FDA
additionally promulgated several definitions in 62 FR 49868, September 23,
1997 including descriptors such as ¡®high potency¡¯ and the definitions for ¡®high in
antioxidants,¡¯ claims that might be used on the front principal display panel.
While an unapproved health claim is generally not permitted on the label or
other labeling of a food (including a dietary supplement) unless the claim meets
the FDA approved health claims or FDAMA requirements previously discussed,
for dietary supplement products only, there is an exception that permits four
types of statements of nutritional support to be made on the label or in other
labeling. These statements of nutritional support are as follows:
1. A statement that claims a benefit related to a classical nutrient deficiency
disease and discloses the prevalence of such disease in the USA.
2. A statement that describes the role of a nutrient or dietary ingredient
intended to affect the structure or function of the body in humans.
3. A statement that characterizes the documented mechanism by which a
nutrient or dietary ingredient acts to maintain such structure or function.
4. A statement that describes general well-being from consumption of a
nutrient or dietary ingredient.
3, 17, 18
Any of the above four types of statements of nutritional support may be made in
labeling for a dietary supplement without the approval of a health claim regulation
under 21 CFR 101.71, if the manufacturer has substantiation that such statement is
truthful and not misleading. In addition the labeling must carry a prominent
disclaimer which states that: ¡®This statement has not been evaluated by the Food
and Drug Administration. This product is not intended to diagnose, treat, cure or
prevent any disease.¡¯ The manufacturer must notify the FDA no later than 30 days
after the first marketing of the dietary supplement with a structure¨Cfunction
statement that such a statement is being made.
3, 16
Of further importance, FFDCA,
Section 403 (b) et seq. made it clear that the FDA should not use the Kordel
decision mentioned earlier to prevent separate published material from being sold.
This new section thus allows publications to be in close proximity, but physically
separated from the product. It also requires that such printed material should
present a balanced view of the available scientific literature on the dietary
supplement. The publication also cannot promote a particular manufacturer or
brand of a dietary supplement and this cannot be subverted by applying a sticker to
the publication or on the product. Most importantly, 403 (k) puts the burden on the
FDA to establish proof that the material is false or misleading.
The new claims allowed for dietary supplements are generally referred to as
¡®structure¨Cfunction¡¯ claims. Over 4,000 statements of nutritional support have
now been filed with FDA by companies that have told the agency that they are
using such a statement in labeling. FDA has responded to a few hundred,
through a ¡®courtesy letter,¡¯ in those instances where the agency believes that the
claims were improper ¡®disease¡¯ claims. The firm is told either to drop the claim
US legislation and functional health claims 59
or to contact the FDA Drug Center for more information. Obviously in these
cases the FDA feels that the claims make the product a drug, and thus it is illegal
since the product has not gone through the drug approval process and the
product is both adulterated and misbranded.
To provide guidance to industry, in April 1998, FDA proposed a rule stating
criteria to determine when a structure¨Cfunction claim for a dietary supplement
constitutes an impermissible disease claim (63 FR 23624).
19
The proposal
generated more than 100,000 comments from manufacturers, trade associations,
health-care professionals, consumers, Congress and other federal, state and local
governmental agencies. The overwhelming majority of the respondents were
highly critical of the proposal. The proposed rule first expands FDA¡¯s definition of
disease to be ¡®any deviation from, impairment of, or interruption of the normal
structure or function of any part, organ or system (or combination thereof) of the
body that is manifested by a characteristic set of one or more signs or symptoms,
including laboratory or clinical measurement that are characteristic of a disease.¡¯
FDA states in the preamble that the laboratory or clinical measurements that are
characteristic of a disease include elevated cholesterol fraction, uric acid, blood
sugar and glycosylated hemoglobin and that characteristic signs of disease include
elevated blood pressure or intraocular pressure. The agency then proposed ten
criteria for identifying disease claims that would be impermissible for a dietary
supplement unless the products were to comply with drug requirements or with an
applicable health claim regulation*:
1. Claimed effect on a specific disease or class of diseases. FDA¡¯s examples
of such claims (disease claims) include: protection against the development
of cancer; reduces the pain and stiffness associated with arthritis; decreases
the effect of alcohol intoxication; alleviates constipation. Claims that FDA
acknowledges would not be disease claims include: helps promote urinary
tract health; helps maintain cardiovascular function and a healthy
circulatory system; helps maintain intestinal flora; promotes relaxation.
2. Claimed effect on signs or symptoms. The second type of disease claim
identified by FDA is a claim of an effect on signs or symptoms (presenting
symptoms) that are recognizable to the health-care professional or
consumers as being characteristic of a specific disease or of a number of
different specific diseases. Examples of these claims are: improves urine
flow in men over 50 years old; lowers cholesterol; reduces joint pain;
relieves headache. Examples of claims that FDA acknowledges are not
disease claims because the signs or symptoms are not by themselves
sufficient to characterize a specific disease or diseases include: reduces
stress and frustration; improves absentmindedness. FDA also states that if
the context did not suggest treatment or prevention of a disease, a claim
that a substance helps maintain normal function would not ordinarily be a
*FDA promulgated final regulations for structure functions claims in 65 FR 999-1050 on January 6,
2000. The summary document is extensive in describing the claims and does not preclude them from
use on conventional foods. The regulation appears as 21 CFR 101.93.
60 Functional foods
disease claim. The agency gives as examples of these appropriate claims:
helps maintain a healthy cholesterol level that is already within the normal
range; helps maintain regularity. However, the agency was concerned that
the only reason for maintaining normal function is to prevent a specific
disease or diseases associated with abnormal function.
3. Claimed effect on a consequence of a natural state that presents a
characteristic set of signs or symptoms. These are claims about certain
natural states (pregnancy, aging, menstrual cycle) that are not diseases but are
sometimes associated with abnormalities that are characterized by a specific
set of signs or symptoms that are recognizable to health-care professionals or
consumers as constituting an abnormality of the body. FDA gives as
examples of these abnormalities: toxemia of pregnancy; premenstrual
syndrome; abnormalities associated with aging such as presbyopia; decreased
sexual function; Alzheimer¡¯s disease; or hot flashes. Examples of claims that
FDA acknowledges would not be disease claims are, for example: for men
over 50 years old; to meet nutritional needs during pregnancy.
4. Claimed effect on disease through name of products, claims about ingredients
in product, citation of publication, use of disease term, illustrations.
Examples of names of products that the FDA feels would constitute a
disease claim include: Carpaltum (carpal tunnel syndrome); Raynaudin
(Raynaud¡¯s phenomenon); Hepatacure (liver problems). Names that FDA
states do not imply an effect on disease include: Cardiohealth; Heart Tabs. A
claim that a dietary supplement contains an ingredient that has been regulated
primarily by FDA as a drug and is well known to consumers for its use in
preventing or treating a disease (e.g. aspirin, digoxin and laetrile) would be a
disease claim. Citing a title of a publication or other reference if the title
refers to a disease use would be a disease claim. Pictures, vignettes, symbols
or other illustrations that suggest an effect on disease are also said by FDA to
be disease claims. FDA gives the following as examples: electrocardiogram
tracings; pictures of organs that suggest prevention or treatment of a disease
state; the prescription symbol (Rx); or any reference to prescription use.
5. Claims that products belong to a class of products intended to diagnose,
mitigate, treat, cure or prevent disease. This category includes identifying
a product as antibiotic, antimicrobial, laxative, antiseptic, analgesic,
antidepressant, antiviral, vaccine or diuretic. In contrast, FDA states that
acceptable identifiers would be: rejuvenative; revitalizer; adaptogen.
6. Claim that product is substitute for therapy product. These include claims
that a product has the same effect as that of a recognized drug or disease
therapy, for example, Herbal Prozac. Prozac is an approved prescription
drug used for depression.
7. Claim that product augments a particular therapy or drug action. These
are claims that a product should be used as an adjunct to a recognized drug
or disease therapy in the treatment of disease. For example, a claim for use
as part of your diet when taking insulin to help maintain a healthy blood
sugar level.
US legislation and functional health claims 61
8. Claim that product has a role in body¡¯s response to disease or to a vector
of disease. These are claims that a product augments the body¡¯sown
disease-fighting capabilities. Examples include: supports the body¡¯s
antiviral capabilities; supports the body¡¯s ability to resist infection. This
category also includes claims that a product is intended to affect the body¡¯s
ability to kill or neutralize pathogenic microorganisms, or to mitigate the
consequences of the action of pathogenic microorganisms on the body (i.e.
the signs and symptoms of infection). In contrast, FDA states that an
example of an acceptable claim in this area would be ¡®supports the immune
system.¡¯
9. Claimed effect on adverse events associated with disease therapy. These
are claims that a product treats, prevents or mitigates adverse events that
are associated with a medical therapy or procedure and manifested by a
characteristic set of signs or symptoms. Examples of these disease claims
identified by FDA are: reduces nausea associated with chemotherapy; helps
avoid diarrhea associated with antibiotic use; to aid patients with reduced
or compromised immune function such as patients undergoing chemother-
apy. On the other hand FDA acknowledges that ¡®helps maintain healthy
intestinal flora¡¯ would be an acceptable claim for a dietary supplement.
Such a claim can be found on quite a number of fermented dairy-based
dietary supplements which contain bifidobacteria.
10. ¡®Catch-all¡¯ provision. FDA states that any claim that otherwise suggests
an effect on a disease or diseases is also a disease claim.
19
One month after the publication of the above proposed regulation on
structure¨Cfunction claims (May 20, 1999) FDA issued a notice to Pharmanex
Inc. (Siam Valley, CA) that their dietary supplement product, Cholestin, was a
drug and therefore misbranded. At that time, the product label stated that it could
reduce both total cholesterol and LDL cholesterol by 10%. Cholestin is a
fermented red yeast rice product that was imported from China where it was
used to both color foods and in traditional Chinese medicine (TCM). The yeast
fermentation produces a compound, mevinolin, exactly the same compound as a
drug called Mevacor(r) (lovastatin). This was manufactured by Merck and
approved in 1987 to inhibit cholesterol synthesis in the liver and thereby reduce
cholesterol levels in the blood. In 1998, the FDA asked the Bureau of Customs
to prevent (blocklist) the major ingredient at all ports of entry into the US, i.e.
preventing Pharmanex from getting their raw material to manufacture their
dietary supplement. Subsequently Pharmanex sued the US (Pharmanex v.
Shalala case 2:97 CV 0262K DC Utah) to overturn that decision. On February
16, 1999 the DC agreed and overturned the FDA decision, declaring that
Cholestin is a dietary supplement on the basis that DSHEA, 21 USC Section
321(ff)(3)(B)(I) declares that a dietary supplement does not include ¡®an article
that is approved as a new drug under Section 355 . . . which was not before such
approval . . . marketed as a dietary supplement or as a food.¡¯ Thus the courts
ruled that this section only applies to new drugs and Cholestin is a dietary
62 Functional foods
supplement which was used as such in China before passage of DSHEA. What
this says is that a dietary supplement may contain a substance with drug-like
activity, but if that substance was being used or marketed as a supplement by
one party prior to DSHEA, the fact that it was also marketed as a drug by
another party prior to that time does not make the supplement a drug. This case
followed the standard set by Fmali Herb, Inc. v. Heckler (715 F. 2d 1383;
D.C.N.C., September 15, 1983). Prior to Fmali, FDA held that foods, herbs, and
botanicals not consumed in the US prior to passage of the 1958 Food Additives
Amendment were either an unapproved food additive, or if not such, then the
company introducing it had to either get a GRAS declaration or go through the
food additive process. In 1973, FDA thus prevented a sassafras herb tea from
being marketed because it contained safrole, an unapproved food additive that
was a carcinogen (US v. Select Natural Herb Tea Civ #73-1370 RF; D.C. Cal;
July 15, 1973). The Fmali case essentially overturned the blocklist that FDA
instituted on a Korean herb (renshren-fenwang-jiang) on the basis that the Food
Additives Amendment did not apply only to the US, i.e., if a product was
consumed safely somewhere in the world prior to 1958, it can be imported into
the US. It should also be noted that FDA instituted a new self-affirmation
process for GRAS declaration (62 FR 18938; April 17, 1997) which has not been
finalized. Thus some new, never before used herb would have to be declared
GRAS before its use in food or it could be more easily introduced as a new
dietary ingredient under DSHEA, as will be mentioned below. FDA has decided
to appeal the Pharmanex decision to the Circuit Court. This certainly makes the
decision of what is a drug versus a dietary supplement in the US market up for
further legal interpretation.
As a final note to this section, the current laws and regulations and their
interpretation have created a watershed for new products. It is not clear from
DSHEA or the relevant regulations as to what data the manufacturer must
have in order to substantiate the claim on the label (21 CFR 101.9(c)). The
current feeling is that claims are being made based on single research articles
or fairly uncontrolled in house clinical studies, perhaps bringing us to the
climate in the 1950s. In addition, under DSHEA a manufacturer of a dietary
supplement may use any ingredient in the product as long as they notify the
FDA 75 days prior to its use (62 FR 49886 now in 21 CFR 190.6). Moreover
these ingredients are exempted from the GRAS or the food additive definition,
including the Delaney Clause (Section 409 (c) (3)(a)) which in itself prevents
use of potential carcinogens as ingredients (Section 201 (s)(6)). Furthermore,
DSHEA requires that the burden of proof on safety exists with the FDA (see
Section 402 (f)(1)(D)); i.e., the manufacturers are not required to prove safety
before introduction into the marketplace. Thus, ingredients that are not
approved for use as a food additive (see Section 409 of the FFDCA) can be
added to a dietary supplement as long as the manufacturer has some data in
their files as to its safety and toxicity. For example, the compound stevioside,
a sweetener extracted from the leaves of chrysanthemum species, though
petitioned for, has not been approved for use in foods, but is now found in
US legislation and functional health claims 63
several dietary supplements in the US market. Thus based on the Fmali case
discussed above, the leaves of the stevia plant could be imported and used in a
dietary supplement, but using the effective compound in a purified form
(stevioside) would be illegal since the compound has neither GRAS nor an
approved food additive status unless petitioned for (e.g., the soy oil sterol
mentioned earlier). It is also likely that stevioside could be declared as a new
dietary supplement ingredient under 21 CFR 190.6 and be used in
supplements.
3.8 The controversy over labeling
There is some controversy, as mentioned earlier, over whether the labeling of a
food other than a dietary supplement may include a structure/function claim.
The FDCA recognized that a food may be intended to affect the structure or any
function of the body. Accordingly, it has long been felt that a food may make a
label claim or other labeling representation about its dietary impact on the
structure or function of the human body, provided that the particular claim used
does not also suggest that the food will cure, mitigate, treat, or prevent disease
(which would give it drug status) and provide further that the claim does not
trigger some other requirement for FDA preclearance. In practice, FDA
generally has tolerated a few claims of this type over the years, without asserting
that the claim creates drug status or is a health claim. For example, claims that
calcium helps build strong bones, protein helps build strong muscles and bread
builds strong bodies in twelve ways have been made in food labeling and have
been tolerated by FDA as appropriate claims about the impact of a food on the
structure or function of the body. As noted before, the same was true about
certain sorbitol-containing chewing gums that claimed ¡®does not promote tooth
decay.¡¯ This latter claim was legitimatized when FDA allowed this as one of the
ten approved health claims.
To make the situation even more confusing, on December 7, 1998 the US
Supreme Court declined to review a US 2nd Circuit Court of Appeals decision
on the FDA prohibition of the ¡®health claims¡¯ on dietary supplements
(Nutritional Health Alliance v. Shalala 953 F. Supp 526; S.D.N.Y.; 1997).
The court basically upheld the practice that although such a claim is within the
Constitutional allowance of commercial free speech, if the FDA felt there was
not significant scientific agreement of the benefit, for a product in particular,
then it can deny the use of the claim.
In principle, these structure¨Cfunction claims can be extended to other truthful
and non-misleading statements. For example, it would appear to be potentially
defensible to claim that a substance in a food helps maintain a normal, healthy
cardiovascular system without triggering either drug status or requirements for
approval of a health claim. However, there is some uncertainty about how far
this type of structure¨Cfunction claim can be pushed before FDA will assert either
drug status or an unapproved health claim status.
64 Functional foods
A preamble statement on FDA¡¯s final labeling rules on dietary supplements,
in the Federal Register of September 23, 1997 (62 FR 49860) stated:
FDA points out that the claim that cranberry juice cocktail prevents the
reoccurrence of urinary tract infections is a claim that brings the product
within the ¡®drug¡¯ definition whether it appears on a conventional food
or on a dietary supplement because it is a claim that the product will
prevent disease. However, a claim that cranberry products help to main-
tain urinary tract health may be permissible on both cranberry products
in conventional food form and dietary supplement form if it is truthful,
not misleading and derives from the nutritional value of cranberries. If
the claim derives from the nutritive value of cranberries, the claim
would describe an effect of a food on the structure or function of the
body and thus fall under one exception to the definition for the term
drug. The claim is not a health claim because no disease is mentioned
explicitly or implicitly.
20
FDA¡¯s statements in this regard may not be entirely consistent with
governing law, regulations or the court¡¯s varied interpretations. There is at least
some basis for concluding that a food can have other uses, as acknowledged by
the courts with respect to prunes and coffee in Nutrilab, Inc. v. Schweiker. The
major food trade associations are in favor of an interpretation that would treat
conventional food in the same regulatory manner as dietary supplements in this
respect. This then brings up the vision that the grocery store will eventually
supplant the medical care system and the pharmacy.
3.9 Advertising and the Federal Trade Commission
Information and claims about a food in the print or electronic media are
considered to be advertising, while information on the food label is labeling.
This was resolved in 1938 by the Wheeler-Lea Act (52 Stat 111) and reaffirmed
in 1966 with the Fair Packaging and Labeling Act (Pub. L. 89¨C755; 80 Stat
1296) which excluded food labeling from being considered advertising. The
prior sections covered the laws and regulations with respect to labeling which is
under the aegis of misbranding under the FFDCA or the Wholesome Meat Act.
Advertising is covered under the Federal Trade Commission Act (15 USC 52¨C
56) passed in 1914 and amended many times. The Act created a stand-alone
commission, the FTC, to deal with unfair and deceptive practices in advertising,
thus control of advertising goes beyond mere ¡®truth,¡¯ it also includes
¡®unfairness.¡¯ There are no requirements for preclearance of advertising claims
by the FTC. Instead, the FTC maintains that an advertiser should be in
possession of a reasonable basis of substantiation for an advertising claim from
the time that the claim is first made (no allowance to claim now and then
substantiate later). Under its current policies and practices, the FTC would assert
that an advertiser should be in possession of competent and reliable scientific
US legislation and functional health claims 65
evidence to substantiate a claim of health-related benefit. Competent and
reliable scientific evidence means tests, analyses, research studies, or other
evidence based on the expertise of professionals in the relevant area, that have
been conducted and evaluated in an objective manner by persons qualified to do
so, using procedures generally accepted in the profession to yield accurate and
reliable results. This is exactly the question the courts made in several of the
FDA cases discussed earlier, i.e. what level of science constitutes substantiation?
The FTC maintains that an advertiser should possess substantiation for all
objective claims that it makes, whether explicit or implicit. The FTC sometimes
alleges that an objective claim has been made implicitly and should have been
substantiated, although the surprised advertiser does not believe that the alleged
claim was made at all.
20, 21, 22
Insofar as a company repeats, in advertising, particular claims that are
appropriate under FDA¡¯s rules for use in labeling, the company is likely to be in
compliance with the FTC¡¯s standards for advertising. In particular, the FTC has
stated that it would not likely question the use in advertising of a health claim or
a nutrient content claim covered by an FDA regulation.
23
In addition, if a
company has sufficient data to substantiate other types of health-related claims
for FDA purposes, the data are likely to satisfy the FTC. Occasionally, it may be
possible to include in advertising a claim that is not necessarily appropriate for
use in labeling. For example, a company may have sufficient data to substantiate
a health claim but the claim has not been approved by FDA for use in labeling.
Because there are no requirements for FTC preclearance of health claims used in
advertising, the company could use the claim in advertising if the claim can be
adequately substantiated. The FTC has recently published a guidance document
for industry with respect to advertising dietary supplements, which reaffirm the
above principles.
24
One key difference in FTC actions is the ¡®cease and desist¡¯ principle (FTC
Act Section 6 (f)). In a rather complicated process, if the FTC finds fault with a
company and the company agrees to this fault, the company can agree to cease
and desist from using the same advertisement in the future. This action and
acceptance then becomes no admission of guilt. FTC cease and desist decisions
are published in the Federal Register. Several interesting cases include: FTC v.
ITT Continental Baking (36 FR 18521; 1971) for advertising of a thin sliced
bread useful for weight reduction; FTC v. TJ Lipton (38 FR 18366; 1973) for
advertising of gelatin as nutritious; and more recently FTC v. Body Gold (62 FR
11201; March 11, 1997) for advertising of a dietary supplement based on
chromium for weight loss.
3.10 Future trends
Although the complex set of US laws may seem unduly restrictive, there is
clearly a trend towards allowing more information to be available to the
consumer, on some basis of substantiation. As demand from the consumer rises
66 Functional foods
and is recognized by the US Congress, FDA will undoubtedly have to adapt its
regulatory policies to accommodate unique foods. The market then will only
continue to increase in dollar value and size.
3.11 Further reading
For additional reading on interpretation of the Food Drug and Cosmetic Act that
relates to health claims and dietary supplements, see the following:
HUTT, P.B. and HUTT II, P.B. ¡®A history of government regulation of adulteration
and misbranding of food.¡¯ Food Drug Cosmetic Law Journal, 39: 2¨C73, 1984.
HUTT, P.B. ¡®Government regulation of health claims in food labeling and
advertizing.¡¯ Food Drug Cosmetic Law Journal, 41(3): 52¨C63, 1986.
HUTT, P.B. and MERRILL, R.A. Food and Drug Law: Cases and Materials, 2nd edn,
Mineola Press, Long Island NY, 1991.
3.12 References
1 US Congress. 100th Congress. Orphan Drug Amendments of 1988. Pub. L.
100¨C290. Amendment of Section 526(a)(1) of the Federal Food, Drug and
Cosmetic Act, 21 U.S.C. 360bb(ax1). Library of Congress, Washington,
DC, 1988.
2 US Congress. 101st Congress. Nutrition Labeling and Education Act of
1990. Pub. L. 101¨C535. Amendment of Section 403 of the Federal Food,
Drug and Cosmetic Act, 21 U.S.C. 343. Library of Congress, Washington,
DC, 1990.
3 US Congress. 103rd Congress. Dietary Supplement Health and Education
Act of 1994. Pub. L. 103¨C417. 108 Stat/4325-4335, Library of Congress,
Washington, DC, 1994.
4 US Congress. 105th Congress. Food and Drug Administration Moderniza-
tion Act of 1997. Pub. L. 105¨C115. 111 Stat. 2296, Library of Congress,
Washington, DC, 1997.
5 FDA. ¡®Food labeling regulations implementing the Nutrition Labeling and
Education Act of 1990, final rule, opportunity for comments.¡¯ Fed. Register
58 2066-2963, 1993.
6 FDA. ¡®Food labeling; mandatory status of nutrition labeling and nutrient
content revisions; format for nutrition label.¡¯ Fed. Register 58 2079, 1993.
7 FDA. ¡®Food labeling; establishment of date of application.¡¯ Fed. Register 58
2070, 1993.
8 FDA. ¡®Food labeling; serving sizes Final rule.¡¯ Fed. Register 58 2070, 1993.
9 FDA. ¡®Labeling: General requirements for health claims for food. Proposed
rule.¡¯ Fed. Reg. 56:60537-60689, 1991.
10 FDA. ¡®Authorized health claims.¡¯ 21 Code of Federal Regulations, 1999,
US legislation and functional health claims 67
Part 101.72(e)¨C101.81.
11 SIDALE, M. ¡®Dietary supplements and commercial free speech.¡¯ Food and
Drug Law Journal, 48: 441¨C55, 1993.
12 OWE, S. ¡®Functional foods: Consumers are ready, are we?¡¯ Society for
Nutrition Education symposium, Montreal, Quebec, July 26, 1997.
13 HUTT, P.B. ¡®A guide to the FDA Modernization Act of 1997.¡¯ Food
Technology, 52(5): 54, 1998.
14 HATTAN, D.G. and MACKEY, D. ¡®A review of medical foods: Enterally
administered formulations used in the treatment of disease and disorders.¡¯
Food Drug Cosmetic Law J., 44: 479¨C501, 1989.
15 SCHMIDL, M.K. and LABUZA, T.P. ¡®Medical food. A scientific status summary
by the Institute of Food Technologists Expert Panel on Food Safety and
Nutrition.¡¯ Food Technology, 46: 87¨C96, 1992.
16 MUELLER, C. and NESTLE, M. ¡®Regulation of medical foods: toward a rational
policy.¡¯ Nutrition in Clinical Practice, 10: 8¨C15, 1995.
17 MCNAMARA, S.H. ¡®Dietary supplement legislation enhances opportunities to
market nutraceutical-type products.¡¯ Journal of Nutraceuticals, Functional
& Medical Foods,1:47¨C59, 1997.
18 NESHEIM, M.C. ¡®The regulation of dietary supplement.¡¯ Nutrition Today,
33(2): 62¨C8, 1998.
19 FDA. ¡®Regulations on statements made for dietary supplements concerning
the effect of the product on the structure or function of the body; proposed
rule and dietary supplements: Comments on report of the commission on
dietary supplement labels.¡¯ Fed. Reg. 63:23624-23632, 1998.
20 FDA. ¡®Food labeling regulation, amendments; food regulation uniform
compliance date; and new dietary ingredient premarket notification; final
rules.¡¯ Fed. Reg. 62: 49826-49868, 1997.
21 Federal Trade Commission Act. Part 5, 12, 1984.
22 Consolidated Book Publishers Inc. v. Federal Trade Commission,53F.2d
942, cert. denied, 286 US. 553, 1931.
23 FTC. ¡®Food advertising enforcement policy statement.¡¯ 59 Fed Reg 28388,
1994.
24 FTC. ¡®Business guide for dietary supplement industry released by FTC
staff.¡¯ FTC File No 974506, Washington, DC, 1998.
68 Functional foods
Part II
Functional foods and health
4.1 Introduction
The microbiota of the human gastrointestinal tract plays a key role in nutrition
and health.
1, 2
Through the process of fermentation, gut bacteria metabolise
various substrates (principally dietary components) to form end products such as
short chain fatty acids and gases. This anaerobic metabolism is thought to
contribute positively towards host daily energy requirements. The human large
intestine is the body¡¯s most metabolically active organ, a fact attributable to the
resident microflora and its activities. Usually, the human host lives in harmony
with the complex gut microbiota. However, under certain circumstances like
antimicrobial intake, stress, poor diet and living conditions, the microflora
¡®balance¡¯ may be upset. Moreover, the normal fermentative process may
produce undesirable metabolites like ammonia, phenolic compounds, toxins, etc.
The gut flora is also susceptible to contamination from transient pathogens,
which further upset the normal community structure. These factors can have
consequences that may onset gut disorder, which can be manifest through both
acute and chronic means. As such, the large intestine is a prime focus for
functional foods that serve to fortify normal gut function, and help to prevent
dysfunction.
It is clear that the colonic microbiota is susceptible to manipulation through
dietary mechanisms that target specific bacterial groups.
3
There is current
interest in the use of dietary components that help to maintain, or even improve,
the normal gut microflora composition and activities. This is a critical aspect of
functional food science, which targets benign, or even beneficial, gut bacteria.
One much-used approach is probiotics. Here, live microbial additions are
made to appropriate food vehicles like yoghurts or other fermented milks.
4¨C6
4
Colonic functional foods
R.A. Rastall (University of Reading), R. Fuller (Russett House,
Reading), H.R. Gaskins (University of Illinois, Champaign, Urbana),
and G.R. Gibson (University of Reading)
The micro-organisms used in this respect are usually lactic acid bacteria such as
lactobacilli and/or bifidobacteria. It is proposed that probiotics exert certain
advantageous properties in the gastrointestinal ecosystem. These are thought to
include improved resistance to pathogens, reduced blood lipids, positive
immuno-modulatory properties and better protection from chronic gut
disorder.
7, 8
To be effective, probiotics should remain viable and stable, be able
to survive in the intestinal ecosystem and the host animal should gain
beneficially from harbouring the probiotic.
9
Prebiotics serve a similar purpose to probiotics in that they aim to improve
the gut microflora community structure. A prebiotic is a non-digestible food
ingredient that beneficially affects the host by selectively stimulating the growth
and/or activity of one or a limited number of bacteria in the colon, that may
improve the host health.
10¨C12
As such, the approach advocates the targeting of
selected indigenous bacteria through non-viable food ingredients. A further
aspect is the development of synbiotics, which combine and therefore exploit the
two concepts and seek to enhance probiotic survival by using a selective
metabolic adjunct.
10
4.2 What are colonic functional foods?
A complex, resident gastrointestinal microflora is present in humans. While the
transit of residual foodstuffs through the stomach and small intestine is probably
too rapid for the microflora to exert a significant impact, this slows markedly in
the colon.
13
As such, colonic micro-organisms have ample opportunity to
degrade available substrates, of which around 70g/d may be derived from the
diet. These can be recognised as ¡®colonic foods¡¯, metabolism of which occurs
through the anaerobic metabolic process known as fermentation. Table 4.1
shows approximate levels of colonic foods in the typical Western diet.
Fermentation by gut bacteria consists of a series of energy yielding reactions
that do not use oxygen in the respiratory chains. The electron acceptors may be
Table 4.1 Type of substrates available for bacterial growth in the human large intestine
Substrate Estimated quantity (g/d)
Resistant starch 8¨C40
Non-starch polysaccharides 8¨C18
Unabsorbed sugars 2¨C10
Oligosaccharides 2¨C8
Chitins, amino sugars, synthetic carbohydrates,
food additives ?
Dietary protein 3¨C9
Mucins ?
Bacterial recycling ?
Sloughed epithelial cells ?
72 Functional foods
organic (e.g. some products of the fermentation) or inorganic (e.g. sulphate,
nitrate). As carbohydrates form the principal precursors for fermentation, ATP is
usually formed through substrate level phosphorylation by saccharolytic micro-
organisms. Principal sources of carbon and energy for bacteria growing in the
human large intestine are resistant starches, plant cell wall polysaccharides and
host mucopolysaccharides, together with various proteins, peptides and low
molecular weight carbohydrates that escape digestion and absorption in the
upper part of the gastrointestinal tract (Table 4.1). A wide range of bacterial
endo- and exo-glycosidases, proteases and amino-peptidases degrade these
complex polymers, forming smaller oligomers and their component sugars and
amino acids. Intestinal bacteria are then able to ferment these intermediates to
other metabolites (discussed in section 4.3). The hydrolysis and metabolism of
carbohydrates in the large gut is influenced by a variety of physical, chemical,
biological and environmental factors (Table 4.2). Of these, it is probably the
nature and amount of available substrate that has most significance, making diet
the principal and easiest mechanism by which the fermentation profile may be
influenced.
4.3 How are colonic foods metabolised?
Bacteria resident in the large gut depend upon a supply of fermentable substrate
for their growth and activities. Principally, this is provided by the diet, although
there is also a contribution from endogenous sources like mucins and
chondroitin sulphate.
2
Any foodstuff that resists digestion in the upper
gastrointestinal tract (stomach, small intestine) can serve as a colonic food in
that it feeds the resident microbiota. Dependent on the type of fermentation that
occurs, this may have positive or negative implications for host health.
In terms of end products, a variety of different metabolites arise in the large
bowel, some of which exist transiently. The principal products of carbohydrate
fermentation are short chain fatty acids (SCFA) and gases. The majority of these
end products (95¨C99%) are absorbed into the blood stream.
14
Major SCFA
produced are acetate, propionate and butyrate. It is thought that acetate is cleared
in peripheral tissues such as muscle. Propionate is largely broken down in the
Table 4.2 Factors affecting colonisation and growth of bacteria in the gut
Physicochemical Microbial
Amount and type of substrate Competition between species for colonisation
sites and nutrients
pH of gut contents Inhibition through metabolic end products, e.g.
acids, peroxides
Redox potential Specific inhibitory substances, e.g. bacteriocins
Bile salts
Immunological events
Colonic functional foods 73
liver, whereas butyrate acts as the primary source of fuel for colonocytes. The
systemic metabolism of SCFA in the liver is thought to contribute about 7¨C8%
of host daily energy requirements
14
¨C which in itself confirms the significant
role of gut micro-organisms in human nutritional processes. Other organic acids
such as succinate and pyruvate act as ¡®electron sink¡¯ products whose further
bacterial metabolism, to SCFA, serve to increase fermentation efficiency in the
large gut.
Gases are also derived by bacterial action in the large intestine. Principally,
these are hydrogen, carbon dioxide, methane and hydrogen sulphide.
15
While
gas formation is usually considered to be the terminal stage of food digestion, it
remains an enigmatic process through the ¡®balance¡¯ of H
2
generation/
metabolism. A number of possible fates occur for intestinal H
2
in that it may
be excreted or further metabolised by gut bacteria. In the latter case, sulphate
reducers (producing H
2
S), methanogens (expiring CH
4
) and acetogens
(excreting acetate) may all be involved. Microbial competition for the
availability of these gases is of much scientific interest from both the ecological
and clinical perspectives. Studies on gut microbial diversity are leading to the
description of new bacteriological interactions, as well as improved recognition
of how hydrogenoptrophic organisms interact. Medically, H
2
and its fate have
been, at least tenuously but usually scientifically, linked with pneumatosis
cystoides intestinalis, ulcerative colitis and bowel cancer.
15
Predominant end products of protein fermentation are SCFA, including
branched chain forms, as well as phenolic compounds, ammonia and some
amines.
16
These metabolites have been associated with various clinical states
such as tumourigenesis, schizophrenia, migraine.
17
In very general terms, the
metabolites of a saccharolytic metabolism in the gut are benign, whereas those
that arise from proteolysis can be detrimental.
18
As such, there can be positive or
negative outcomes associated with gut bacterial fermentation. As dietary
residues form the principal substrates for this metabolic process, careful
consideration of foodstuffs may allow a more benevolent microbiological
function. This necessitates a clear understanding of microbial composition and
activities. Future baseline studies that use a molecular approach towards bacteria
characterisation will have clear relevance in this respect.
19
Hitherto, our knowledge of gut flora composition has been derived from
studies where the microbiota has been determined through the use of ¡®selective¡¯
agars followed by phenotypic identification. While this gives an unrealistic
measure of the full diversity, the general picture has been agreed. It is accepted
that the ¡®normal¡¯ colonic flora contains around 400¨C500 different microbial
species. The main numerically important group seem to be the bacteroides, with
substantial contributions also from bifidobacteria, clostridia, fusobacteria,
eubacteria, lactobacilli, coliforms, peptococci, peptostreptococci, anaerobic
streptococci, methanogens, sulphate reducers and acetogens.
1, 2, 13
Numerically, the large gut bacterial population can be as high as 10
12
per
gram of faecal material. As there is usually 100¨C200 g of contents in the typical
adult colon, this makes the hindgut the most heavily colonised, and
74 Functional foods
metabolically active, area of the human body. As such, the conventional
function of the large gut as being largely an organ for the storage and excretion
of waste material, as well as offering some absorptive capacity, has been
replaced with the realisation that it has an authentic and important role in
nutrition.
The normal flora of the human colon contains components that can be
considered to be pathogenic in nature as a result of their proteolytic activities.
Moreover, the organ is the site of infection for transient pathogens, such as
various parasites, viruses and bacteria.
20
Major food-borne bacterial pathogens
include campylobacters, salmonellae, Listeria and certain strains of Escherichia
coli, such as the verocytoxin producing E. coli (VTEC) O157, responsible for
various outbreaks including the notorious Wishaw episode (in 1996) involving
21 fatalities.
It is also hypothesised that certain components of the gut flora may be
involved in the aetiology and/or maintenance of more severe gut diseases such
as inflammatory bowel disease (ulcerative colitis, Crohn¡¯s disease), colon cancer
and pseudomembranous colitis.
20
It has also recently been demonstrated that the
important stomach pathogen H. pylori can be isolated from faeces.
21
This
bacterium has been implicated in type B gastritis, the formation of gastric and
duodenal ulcers and stomach cancer. However, the pathological role (if any) of
H. pylori carriage in the colon has not been determined. As will be discussed
later, a number of resident bacteria may be of some benefit to host health.
10
Generally, the various components of the large intestinal microbiota may be
considered as exerting pathogenic effects or they may have potential health-
promoting values. Examples include lactobacilli and bifidobacteria, both of
which are present in the human colon in significant numbers.
2
Probiotics,
prebiotics and synbiotics are all approaches to the improvement of host health by
the fortification of selected bacteria in the gut. Because of the huge impact that
food has on hindgut interactions, the way in which this ¡®balance¡¯ may be
controlled is through appropriate use of diet.
4.4 Probiotics
The most tried and tested manner in which the gut microbiota composition may
be influenced is through the use of live microbial dietary additions, as probiotics.
In fact, the concept dates back as far as pre-biblical ages. The first records of
ingestion of live bacteria by humans are over 2,000 years old.
22
However, at the
beginning of this century probiotics were first put onto a scientific basis by the
work of Metchnikoff at the Pasteur Institute in Paris.
23
Metchnikoff
hypothesised that the normal gut microflora could exert adverse effects on the
host and that consumption of ¡®soured milks¡¯ reversed this effect. Metchnikoff
refined the treatment by using pure cultures of what is now called Lactobacillus
delbrueckii subsp. bulgaricus which, with Streptococcus salivarius subsp.
thermophilus, is used to ferment milk in the production of traditional yoghurt. A
Colonic functional foods 75
formal probiotic definition is a live microbial feed supplement which
beneficially affects the host animal by improving its intestinal microbial
balance.
4, 7
This has recently been modified by a European working party on
gastrointestinal function foods to ¡®a live microbial food ingredient that is
beneficial to health¡¯.
3
This implies that health outcomes should be defined and
proven, which is not an easy task. Most research has been directed towards the
use of intestinal isolates of bacteria as probiotics. Over the years, many species
of micro-organisms have been used. They consist not only of lactic acid bacteria
(lactobacilli, streptococci, enterococci, lactococci, bifidobacteria) but also
Bacillus spp. and fungi such as Saccharomyces spp. and Aspergillus spp.
Main positive effects associated with probiotics include cholesterol and/or
triglyceride reduction, anti-tumour properties, protection against gastroenteritis,
improved lactose tolerance and stimulation of the immune system through non-
pathogenic means.
8
Over half the world¡¯s population is unable to utilise lactose
effectively. The basis for improved digestibility of lactose in probiotics may
involve C12-galactosidase activity of the bacteria or a stimulation of the host¡¯s
mucosal C12-galactosidase activity. Various claims have been made for beneficial
effects of probiotics against infectious diarrhoea conditions. The manner in
which probiotics improve colonisation resistance may be due to the production
of strong acids/other anti-microbial compounds, immune stimulation,
metabolism of toxins and/or occupation of potential colonisation sites. Bacterial
enzymes, which convert pre-carcinogens to carcinogens, are produced in the gut
but their involvement in the pathogenesis of cancer is unclear. However, some
probiotics (in vitro) are effective at decreasing the activities of such enzymes.
Studies to show that probiotic supplementation can affect plasma cholesterol
concentrations, and consequently the incidence of coronary heart disease, have
given very equivocal data.
24
Probiotic use in animals may take the form of powders, tablets, sprays and
pastes. In humans, the most commonly used vector involves fermented milk
products and ¡®over the counter¡¯ freeze-dried preparations of lactic acid bacteria
in capsules. Recently, the market has expanded to include other foods such as
flavoured drinks and pharmaceutical preparations such as tablets. Selection
criteria for efficacious probiotics are listed in Table 4.3.
One of the most problematic areas is survival of the live micro-organism after
ingestion. Many of the purported health-promoting aspects of probiotics rely on
good culture viability. The rather variable nature of much probiotic research
Table 4.3 Selection criteria for probiotics
? Must exert a beneficial effect on the consumer
? Non-pathogenic and non-toxic
? Contain a large number of viable cells
? Survive in the gastrointestinal tract
? Good sensory properties
? Preferably be isolated from the same species as the intended use
76 Functional foods
may, at least partly, be explained by poor culture survival in vivo. It is possible
that certain commercially used probiotic strains (e.g. Lactobacillus acidophilus,
Lactobacillus casei, Bifidobacterium infantis, Bifidobacterium bifidum) may
survive well when exposed to gastric acid or certain small intestinal secretions.
However, as mentioned earlier, the large intestine is occupied by a very diverse
and metabolically active microbiota. In this case (and if, as is usual, the colon is
the target organ), the survival of the probiotic is questionable, particularly as the
live feed addition may have been compromised in the upper gastrointestinal
tract.
A major problem with establishing the survivability of a probiotic is the need
to specifically detect the added organism against the background of the
indigenous microflora. This can now be overcome, however, by the use of
molecular biological techniques.
A strain-specific oligonucleotide probe can be constructed, given appropriate
sequence information on the probiotic micro-organism. Certain diagnostic
regions of 16S rRNA genes are targeted and the oligonucleotide probes can be
fluorescently labelled. Such probes can be used to reliably quantify probiotic
populations using direct (in situ) fluorescent microscopy (FISH).
25
Another
approach that is still being developed is the use of genetic fingerprinting of the
micro-organisms that grow on culture plates. DNA is isolated from colonies
growing on agar plates and subjected to PCR-based AFLP (amplified fragment
length polymorphism) analysis.
26
The resolution of AFLP is at least an order of
magnitude greater than other commonly used fingerprinting methods and
facilitates clear differentiation of the probiotic from any indigenous strains of
the same species. Molecular methods such as these are an essential strategy, as
in the past, studies have failed to address the problem of distinguishing between
added (probiotic) and indigenous strains.
4.5 Prebiotics
Prebiotics allow the selective growth of certain indigenous gut bacteria. Thus,
the prebiotic approach involves administration of a non-viable food component
and considers that many potentially health-promoting micro-organisms such as
bifidobacteria and lactobacilli are already resident in the human colon. To be an
effective prebiotic a colonic food must:
10
? neither be hydrolysed nor absorbed in the upper part of the gastrointestinal
tract;
? have a selective fermentation such that the composition of the large intestinal
microbiota is altered towards a healthier composition.
A good prebiotic would utilise the gut bacterial fermentation and physiology in a
very tailored manner. While the obvious way in which this can be achieved is
through stimulation of the indigenous beneficial flora, there is further potential
for enhanced functionality. This may be through anti-infective as well as
Colonic functional foods 77
attenuative properties.
12
These aspects are under investigation. Future research
will identify multi-functional prebiotics.
4.5.1 Commercially available prebiotics
The prebiotic activity of fructose-containing oligosaccharides (FOSs) has been
confirmed.
27¨C31
As such, these prebiotics are the European market leaders. This
is because these carbohydrates have a specific colonic fermentation directed
towards bifidobacteria, which are purported to have a number of health-
promoting properties.
1, 10
Bifidobacteria are able to breakdown and utilise
fructo-oligosaccharides due to their possession of the C12-fructofuranosidase
enzyme, providing a competitive advantage in a mixed culture environment like
the human gut.
32
FOSs have proven prebiotic effects in human trials.
12
Galacto-oligosaccharides (GOSs) are another class of prebiotics that are
manufactured and marketed in Europe as well as Japan. These consist of a
lactose core with one or more galactosyl residues linked via C121 C33 3, C121 C33 4
and C121 C33 6 linkages.
33
They have found application in infant formula foods as
they are naturally present (albeit in very low quantities) in human milk.
A different class of galacto-oligosaccharides, used as prebiotics in Japan, are
those isolated from soybean whey. These soybean oligosaccharides (SOSs) are
built up of galactosyl residues linked C111 C33 6 to a sucrose core.
33
Gluco-oligosaccharides can also act as prebiotics. Isomalto-oligosaccharides
(IMOs) are comprised of glucosyl residues linked by C111 C33 6 bonds.
33
Strictly
speaking, these oligosaccharides are only partially prebiotic since they are
metabolised by humans. They are, however, very slowly metabolised and the
bulk of isomalto-oligosaccharide added to a food passes through to the colon.
Xylo-oligosaccharides (XOSs) are also used as prebiotics in Japan. These
consist of xylosyl residues linked by C121 C33 4 linkages
33
and are much more acid
stable than other prebiotics. For this reason, they have found application in soft
drinks which tend to be acidic.
An interesting prebiotic oligosaccharide is lactosucrose (LS). This is a hybrid
molecule between sucrose and lactose: GalC121 C33 4GlcC111 C36 2C11Fru.
33
This non-
reducing oligosaccharide is a very promising prebiotic with rapidly developing
applications in Japan.
Dietary fibres (e.g. from wheat, maize, rice, soya) have always been
considered to have a beneficial effect on gut function and colonic bacteria, but
this is a generalised stimulatory effect and such polysaccharides are not
selectively fermented in the colon.
4.5.2 Commercial manufacture of prebiotics
Currently, most oligosaccharides are produced using enyzmatic reactions, either
by building up the desired oligosaccharide from readily available sugars by
transglycosylation or by the hydrolysis of large polysaccharides.
34
Major
exceptions are lactulose, which is produced by the alkali catalysed isomerisation
78 Functional foods
of lactose, soybean oligosaccharides which are directly extracted from soybean
whey by the Calpis Food Industry Co. (Tokyo) and inulin, which is extracted
from chicory by several companies in Europe, of which Orafti (Tienen,
Belgium) is the most significant.
4.5.3 Future aspects
Some future developments for prebiotic research are given below. At the present
time we do not know enough about the structure¨Cfunction relationships among
oligosaccharides to realise all of this potential. In addition, we will need
innovations in the manufacturing technology in order to produce more
sophisticated oligosaccharides at prices that the food industry can afford.
Research in this area is currently in progress.
Incorporation into a wider range of food vehicles
The advantage of prebiotics is that they do not rely on culture viability in a given
product. As such, any food normally containing carbohydrates is potentially
receptive to the approach. The food technologist is thus faced with less of a
challenge in terms of efficacy of use and consumer acceptance, and can exert
more creativity in the design of novel products. Cereals, biscuits, infant formula
feeds, weaning foods, confectionery, cakes, savoury products, spreads and pastes
are all amenable to incorporation of prebiotics.
Multiple biological properties
Bifidobacteria are known to inhibit the growth of various pathogens in vitro.
This occurs due to several mechanisms and can be dubbed the ¡®Bifidobacterium
barrier¡¯ (Fig. 4.1):
? Production of SCFA results in a hostile environment for pathogens such as E.
coli.
? Bifidobacteria produce anti-microbial agents active against Gram negative
and Gram positive pathogens.
35
Fig. 4.1 The bifidobacterium barrier. The diagram indicates different mechanisms
whereby bifidobacteria may inhibit pathogen persistence in the gut.
Colonic functional foods 79
? Bifidobacteria bind to various cell-surface glycolipids, occupying receptor
sites for pathogens.
36, 37
? Bifidobacteria are reported to produce anti-adhesive glycans and proteins,
inhibiting the binding of pathogens to their cellular receptors.
36
Recently, the fact that oligosaccharides act as cellular receptors for pathogens
has led to the development of therapeutic oligosaccharide-based agents directed
against gastrointestinal (GI) pathogens.
38
These are complex (and expensive)
drugs. There is, however, potential in using soluble oligosaccharides as ¡®decoy
oligosaccharides¡¯ in food. The idea is that invading pathogens would bind to the
soluble oligosaccharide as well as the cellular receptor, thus inhibiting
colonisation. Until an economic manufacturing technology for such
oligosaccharides is developed (under way at the present time) the value of
this approach cannot be determined. Of particular interest in this regard would
be oligosaccharides such as manno-oligosaccharides. These are receptors for
type 1 fimbriated pathogens such as E. coli, Salmonella sp., Shigella sp., etc.
Such oligosaccharides can be manufactured using enzymatic techniques,
39, 40
and their potential as anti-adhesive prebiotics is currently under investigation.
Low dosage forms
The intake doses of FOSs which have elicited a bifidogenic effect in human
studies range from 4 to 40 g/d.
12
However, it is important that the minimal
operative dose is used, such that unwanted side-effects like flatulence are
reduced. The target organisms for prebiotic use are not gas producers. As such,
if distension difficulties arise after prebiotic ingestion, it is due to a non-selective
metabolism which, most likely, would arise from too high a dosage. Low dosage
forms will depend upon highly selective fermentation by the target organisms.
The food industry would find it useful to have different prebiotics that have a
range of minimum active doses. This would maximise flexibility with respect to
the type of food vehicle that could be developed.
Persistence through the colon
Most prebiotics are metabolised in the proximal (right side) colon, making this a
very saccharolytic region of the gut. In contrast, the distal (left side) colon is much
more proteolytic, with relatively high levels of the pro-carcinogens and toxins
discussed above. A very desirable property in a prebiotic would be the ability to
induce a saccharolytic metabolism throughout the length of the colon. This may be
achievable by producing prebiotics with an appropriate molecular weight
distribution such that low molecular weight molecules were metabolised in the
left side and high molecular weight molecules were more slowly metabolised and
reached the right side. This is represented diagrammatically in Fig. 4.2.
Physiological advantages
Other physiological properties could be identified that would be desirable in a
prebiotic. These would include, for instance, non-carcinogenic properties, i.e.
80 Functional foods
not being amenable to fermentation by oral bacteria to produce acid. An ideal
prebiotic would also have a low calorific value. The definition of a prebiotic
given above states that it should not be metabolisable by humans, and therefore
have no calorific value. This is not always achieved in practice, for instance the
isomalto-oligosaccharides are partially metabolisable by humans and have some
calorific value.
Useful technological properties
If prebiotics are to make a significant impact on human health they must be
incorporated into a wide range of foods. If this is to be realised, they must also
be useful food ingredients as well as possessing useful biological (prebiotic)
activity. It is possible to identify desirable technological properties in a
prebiotic. Ideally they would be available with a range of viscosities, and a range
of sweetness. They would also have good preservative and drying
characteristics.
4.6 Synbiotics
A synbiotic is a marriage of the concepts of probiotics and prebiotics. A
synbiotic consists of a live microbial food additive together with a prebiotic
oligosaccharide. The advantages are that a commercial probiotic with known
benefits can be used and the prebiotic aids the establishment of the organism in
the complex colonic environment. There is thus great flexibility in the choice of
probiotic micro-organisms and oligosaccharide and the best combination for a
specific desired outcome can be determined.
Fig. 4.2 A schematic representation of persistent prebiotics. Most prebiotics are
predominantly metabolised in the saccharolytic area of the right colon. However, most
gut disorders are of distal origin. It is therefore more desirable that prebiotic fermentation
occurs in the left side; this may be achieved through the action of slowly metabolised or
persistent forms.
Colonic functional foods 81
The survival of the probiotic part of a synbiotic can be determined in vitro
using a model of the human gut.
41
The system has been validated against gut
contents from sudden death victims and gives a very close analogy to bacterial
activities and composition in different areas of the hindgut. The system consists
of three vessels, of increasing size, aligned in series such that a sequential
feeding of growth medium occurs. The vessels are pH regulated to reflect in vivo
differences. As such, vessel 1 has a high availability of substrate, bacteria grow
quickly and it is operated at an acidic pH, similar to events in the proximal
colon. In contrast, the final vessel resembles the neutral pH, slow bacterial
growth rate and low substrate availability that is characteristic of distal regions.
After inoculation with faeces, an equilibration period is followed by
identification of the bacterial profiles that have developed in response to their
imposed conditions. Survival experiments with and without different prebiotics
can then be carried out.
Determining the survival of a synbiotic suffers from the same problems of
identification against the indigenous background flora as probiotics discussed
above. Much the best way of achieving this is to use molecular markers as
described above. If the survivability is determined in the in vitro gut model
system, then an alternative approach can be considered. This is to incorporate
detectable marker genes into the target species. At the present time the best such
marker gene is the green fluorescent protein (GFP) from the jellyfish Aequorea
victoria. The protein emits green light when excited with blue light and has the
advantage that no exogenous substrates or cofactors are required. Epifluorescent
microscopy is then used to demonstrate GFP expression.
4.7 Health aspects of functional colonic foods
There needs to be a clear distinction between functional and health claims that
are levelled against colonic foods. It is our contention that targeting of the
human colon with probiotics, prebiotics or synbiotics and/or manipulation of the
gut flora composition are functional aspects of intestinal microbiology. The
desirability of identifying concomitant health advantages is obvious.
4.7.1 Colonic cancer
In humans, the colon is the second most frequent site for carcinonoma formation. It
is thought that tumours arise 100 times more often in the colon compared to the
small intestine. This has led to speculation that the hindgut microflora are involved
in colonic cancer onset. Some large intestinal bacteria are able to produce
carcinogenic, or tumour-promoting, compounds during their metabolism.
42
Dietary
strategies that lead to a reduction in the accumulation of such products, and hence
their effects, are worthy of attention. Two approaches are possible.
First, some bacterial metabolites may offer a protective role in
tumourogenesis. For example, butyrate, which is a common fermentation end
82 Functional foods
product, has received attention as a stimulator of apoptosis and as a preferred
fuel for the healthy gut mucosa.
43
In this case, it would be desirable to increase
overall butyrate levels in the large gut and the prebiotic approach offers such
potential.
44
The fermentation of resistant starches forms relatively high
quantities of butyric acid. However, it is important that careful consideration
is given to the nature of the bacteria stimulated by prebiotics; starches, for
instance, are well fermented by clostridia, which may also be pathogenic. Less
specifically, the overall carbohydrate load in the large intestine has relevance, as
an increased bulk of gut organisms may have the effect of aiding excretion of
toxic materials from the bowel.
Second, it may be possible to ¡®subvert¡¯ certain entities of the microbiota such
that their metabolism favours more benign end products. The shift away from a
proteolytic fermentation by clostridia and/or bacteroides to a saccharolytic one
is an obvious example. Another is the direct inhibitory effect that lactic acid
bacteria may have on bacteria that produce pro-carcinogenic faecal enzymes
such as azoreductase, nitroreductase and C12-glucuronidase.
Similarly, dietary lipids may enter the colon in reasonable amounts and it is
accepted that the faecal stream contains lipid-derived carcinogens, which are
formed by bacterial activities. These include diacylglycerol, which is thought
mainly to be produced by the activities of certain clostridia.
45
In conjunction
with bile salts, an intake of some lipids (e.g. phosphatidylcholine) gives rise to
the formation of diacylglyercol at physiologically significant quantities. The
result of an accumulation of this metabolite may be the activation of protein
kinase C, which is thought to be a potent stimulator of mucosal cell
proliferation; it may be possible to advocate certain prebiotics that reduce in
situ levels of this tumour promoter.
4.7.2 Immunological effects
The immunomodulatory capabilities of lactic acid bacteria have received much
attention.
46
It is thought that such bacteria act as adjuvants, able to stimulate
both non-specific host defence mechanisms and some cells involved in the
specific response.
47
The result is often an increased phagocytic activity and/or
elevated immune molecules such as secretory IgA, which may affect pathogens
such as salmonellae. Most attention in this respect has been diverted towards the
intake of probiotics
48
and interactions between cell wall components and
immune cells. It is also hypothesised that the immune stimulation may exert
effects against tumour cells.
8
It is more difficult to envisage specific effects
through the prebiotic approach, where the target organ is very heavily colonised
with a wide variety of bacteria.
4.7.3 Systemic effects on blood lipids
It is thought that elevated cholesterol levels in the blood represent a significant
risk factor for coronary heart disease. In this context, there is some evidence that
Colonic functional foods 83
lactic acid bacteria may be of use for reducing total and low density lipoprotein
(LDL) cholesterol levels. The mechanisms whereby lactic acid micro-organisms
are able to reduce blood lipid concentrations have not been definitively
proven.
24
However, the following aspects are identifiable:
? The formation of certain bacterial end products of fermentation (e.g. acetate
and propionate possible in combination with L-lactate) may affect systemic
lipid and cholesterol levels.
? Lactic acid bacteria may be able to directly assimilate cholesterol. This has
been hypothesised from some in vitro experiments, but is a source of
contention in that the data are conflicting.
? Deconjugation of bile salts may increase their faecal excretion, although this
would mainly be a small intestinal effect and therefore not a target for the
prebiotic concept.
? Lactic acid bacteria may interfere with cholesterol absorption from the
intestine.
4.7.4 Effects on pathogens
The lactic microflora of the human gastrointestinal tract is thought to play a
significant role in improved colonisation resistance.
49
There are a number of
possible mechanisms in operation:
? Metabolic end products such as acids excreted by these micro-organisms may
lower the gut pH, in a microniche, to levels below those at which pathogens
are able compete effectively.
? Competitive effects from occupation of normal colonisation sites.
? Direct antagonism through natural anti-microbial excretion.
? Competition for nutrients.
The outbreak of E. coli O157 in Lanarkshire, Scotland, at the end of 1996
resulted in 21 fatalities and was one of the world¡¯s most serious food poisoning
incidents ever. The deaths have highlighted the continuing concern of bacterial
gastroenteritis to consumers, the food industry, researchers and the medical
profession. In recent laboratory tests we have also shown that some
bifidobacteria exert powerful antagonistic effects towards E. coli O157. The
inhibition was variable in species of bifidobacteria, with Bifidobacterium
infantis and B. longum exerting the greatest effect on E. coli. The possibility
exists therefore that increased levels of bifidobacteria (and consideration of the
species type) in the large gut may, along with other factors such as immune
status, offer improved protection.
Above the age of about 55 years, faecal bifidobacterial counts are known to
show a marked decrease in comparison to those of younger persons.
50
It may be
of some relevance that the UK fatalities during the E. coli outbreak all involved
the elderly, while hundreds of people in different age groups reported the
infection. A potential correlation exists with reduced pathogen resistance,
84 Functional foods
decreased numbers of bifidobacteria in the elderly and the production of natural
resistance factors. In essence, the natural gut flora may have been compromised
through reduced bifidobacterial numbers and have a diminished ability to deal
with pathogens. If prebiotics are used to increase bifidobacteria or lactobacilli
towards being the numerically predominant genus in the colon, an improved
colonisation resistance ought to result, but has not been proven. Moreover,
oligosaccharides themselves may act as anti-infective agent through the
occupation of bacterial ligands for pathogen colonisation/receptor sites.
38
The prebiotic concept may be extrapolated further by considering an
attenuation of virulence in certain food-borne pathogens. For example, the plant
derived carbohydrate cellobiose is able to repress the pathogenicity of Listeria
monocytogenes through down regulation of its virulence factors.
51
As such, this
organism is avirulent in its natural habitat of soil, where it is exposed to rotting
vegetation and therefore cellobiose. In the human body, an absence of cellobiose
may allow the virulence factors to be expressed, and it is possible that further
incorporation of this disaccharide to foods susceptible to Listeria contamination
could reduce this virulence.
4.8 Host¨Cmicrobe interaction
4.8.1 Therapeutic use of probiotic organisms
Interest in the administration of beneficial organisms to compete with ¡®toxin-
producing¡¯ bacteria in the intestine has persisted since Metchnikoff¡¯s writings
concerning the benefits of drinking fermented milk at the beginning of the
twentieth century.
23, 52
The premise is that when the microbial balance is shifted
in favour of pathogenic bacteria, such as in times of stress, antibiotic
compromise, or dietary changes, the intake of probiotic organisms has the
potential to re-establish microbial equilibrium, and if given routinely, may
prevent pathogenic invasion.
There is increasing evidence that probiotics increase host immunity to a range
of intestinal pathogens including E. coli, Salmonella and Shigella,
53
and may
prevent antibiotic-induced pseudomembranous colitis by C. difficile.
54
Some
Lactobacillus strains can also activate macrophages
55, 56
and enhance natural
killer cell activity in mice.
57
The findings of Perdigon and co-workers,
55
which
demonstrate that both Lactobacillus casei and L. bulgaricus given perorally
enhanced peritoneal macrophage function in mice, is particularly illustrative,
because a marked difference in macrophage phagocytic activity was observed in
response to the two microbial species; phagocytic activity was enhanced by
peroral administration of L. casei, a resident gut bacterial species, but not by L.
bulgaricus, a species that does not survive in the intestinal tract. This finding
offers an impressive example of the ability of non-pathogenic, indigenous
microbial species to enhance the immunological function of the host. The use of
organisms generally recognised as safe (GRAS) and which provide the host with
resistance to pathogenic colonisation and enhance immunological function is
Colonic functional foods 85
therefore a therapeutic alternative which merits further experimentation and
elucidation. Most knowledge on the contributions of normal gut bacteria to the
structure and functions of the intestinal immune system is derived from a
substantial literature on germ-free rodents.
4.8.2 Characteristics of germ-free mice
Animals living under sterile, germ-free (GF) conditions have immunologically
relevant physical characteristics which make them distinguishable from
conventional (CV) animals, which harbour a normal population of
autochthonous bacteria. The caecum, for example, is much larger in GF than
in CV mice as a result of water retention.
58
On the other hand, many
immunologically relevant organs, such as the small intestine and mesenteric
lymph nodes, are smaller and weigh less in GF animals.
59
This decreased size
may be the result of lower water content and leukocyte populations in the
mucosal and submucosal layers.
59, 60
In addition to decreased size, the lymph
nodes, spleen and other lymphoid tissues have few germinal centres,
60¨C62
sites
within lymph nodes and other lymphoid tissues where antigen presentation
occurs, leading to B cell proliferation and the differentiation of antibody-
secreting plasma cells. Those germinal centres that are present in GF animals are
suspected to result from (a) basal activity, (b) antigens in the diet, or (c) a
response to endogenous viruses which are present even in GF colonies.
61, 63
The
thymus, though following a pattern of growth and regression similar to that
observed in CV animals, grows at a slower rate in GF animals and never reaches
the sizes attained in CV mice.
64
The smaller thymus in GF animals can be
expected to affect long-term immunity adversely, as there will be fewer T helper
(TH) cells to activate B cells, resulting in an absence of memory cells. A parallel
can be drawn between this condition in the GF mouse and the elderly, where
decreased immune function can be partially attributed to the paucity of T cells
which results from the involution of the thymus with age. Cell-mediated
immunity has not been well characterised in GF mice. However, evidence does
exist for delayed type hypersensitivity and normal allograft responses in GF
mice.
64¨C66
Regarding humoral immunity, GF mice have low levels of
immunoglobulins
67¨C69
and little or no detectable IgA.
70
GF mice do respond
to antigen with antibodies, but at lower concentrations than CV mice.
71, 72
GF
mice are also five times more resistant to LPS-induced lethality than CV mice.
73
It has been demonstrated that transfer of T cells from CV to GF mice lowered
this resistance, which led to the hypothesis that Gram-negative bacteria in the
gut contribute towards production of a T cell population which regulates B cell
responses to lipopolysaccharides (LPS).
74
Substantial differences have been
demonstrated between GF and CV animals regarding the numbers and function
of macrophages, which are among the cell types most responsive to microbial
alterations. For example, relative to CV animals, macrophages from axenic
animals (a) are fewer in number,
75
(b) are less active metabolically,
76
(c) are less
capable of antigen degradation,
77, 78
(d) are less responsive to chemotactic
86 Functional foods
stimuli,
79¨C81
and (e) have diminished tumoricidal capabilities,
82¨C83
and (f) have
decreased microbicidal activity toward certain pathogens such as Listeria spp.
and E. coli.
66
It is of note that macrophages are identified as being responsive to
micro-ecological changes in early GF work and in our recent attempts to identify
host components that are responsive to the intestinal microbiota.
The physiological differences between GF and CV animals invite speculation
of the role played by the conventional microbiota in the development of
immunity in the host. The existence of GF animals, which can be associated
with members of the normal microbiota, can therefore serve as valuable tools for
understanding interactions between the host and specific members of the
autochthonous microbiota, as well as interactions between different members of
the microbiota. A detailed description of microbial¨Chost and microbe¨Cmicrobe
interactions using a differential model will allow more precise characterisation
of host responses to foreign inflammatory or immunogenic agents and the ability
of probiotic organisms to provide protection to the host.
4.8.3 Characterisation of microbial populations in CV mice
The constituent members and the relative proportions of the species making up
the autochthonous microbiota can vary according to animal species and strain,
the age of the individual, diet, the external environment and stress. The
microbiota in all regions consists of obligate anaerobes, but significant
populations of micro-aerophilic and facultative anaerobes are also present.
84
Gram-positive genera (lactobacilli) generally dominate the regions proximal to
the stomach; Gram-negative and Gram-positive microbiota (Bacteroides,
fusiforms) tend to inhabit the more distal regions. It should be noted, however,
that bacteria that inhabit the more proximal regions are eventually passed down
to the more distal areas. Moreover, characterisation of compartmental
populations of microbes in CV mice is therefore an indication of those species
that are found in those compartments at the highest numbers, but not necessarily
the species that have highest affinity for the local environment. Given the
difficulties with assigning particular species to specific localities of the GI tract,
a complete microbial ¡®census¡¯ of the various GI compartments is lacking.
4.8.4 Reassociation of GF mice with members of the autochthonous
microflora
The eventual outcome of microbial association of GF mice is subject to various
factors; GF mice have physiological characteristics, such as different oxygen
tensions and degrees of proteolytic activity, which account for differences
between GF and CV mice in microbial adhesion potentials along the intestinal
epithelium.
85, 86
When only one microbe is introduced to a GF animal, it will
attain numbers far higher than those seen in CV animals and will generally
colonise both the small and large intestines, perhaps due to retarded peristalsis in
GF animals.
84
The order of introduction can also determine the dominant species
Colonic functional foods 87
that persist. Furthermore, competition between introduced species may produce
unexpected alterations in microbial composition.
87
4.8.5 Immunological changes in GF mice upon introduction of autochtho-
nous bacteria
Upon introduction of the complete repertoire of autochthonous microbiota, GF
animals develop a physiology comparable to that observed in CV animals:
within two days the caecum becomes smaller and thicker-walled, with more
solid contents than GF animals; the spleen, lymph nodes, and Peyer¡¯s patches
develop germinal centres and begin to grow, reaching CV dimensions within a
week of association; the lamina propria is thickened and becomes more cellular;
and serum immunoglobulin concentrations increase.
88, 89
Coliforms, which
colonise the host immediately following exposure, are believed to be responsible
for these changes, whereas strict anaerobes are not observed until much later.
90
Differential host responses to specific bacterial species has led Dubos et al.
91
to
suggest that, among the bacteria normally found in the host intestine, some are
truely symbiotic and constitute the autochthonous microbiota, while other
microbial types present in the gut gain access to the host due to their presence in
the environment but do not establish a symbiotic relationship with the host.
Many subsequent studies have shown that the host reaction to individual species
is dependent on the microbial species, with some species provoking a strong
immunological response, and others producing little, if any, noticeable change
on the host.
88, 89, 92¨C97
A representative study is that of Carter and Pollard,
88
where GF mice were monoassociated with either Lactobacillus casei,
Clostridium difficile,orBacteroides fragilis var. vulgatus. Upon sacrifice,
antibody titres against the microbial strains utilised in the experiments could not
be demonstrated in the mice remaining germ-free. The L. casei-associated mice
were similar to the GF controls, with thin-walled, watery caeca, small Peyer¡¯s
patches with sparse, small germinal centre zones, and with mesenteric lymph
nodes and spleen resembling GF mice. The B. vulgatus-monoassociated mice
developed caeca characteristic of CV mice, but the Peyer¡¯s patches neither
increased in size nor develped germinal zones. After two weeks, small germinal
zones had developed in the MLN, as well as weak antibody response to B.
vulgatus. The C. difficile-associated mice developed CV characteristics within
2¨C5 weeks, as opposed to the two days required for CV animals.
Although the monoassociation of gnotobiotic animals with native microbial
strains appears to have no effect on the host immune system, as seen in the
Carter and Pollard study,
88
this may be an artefact of using a GF model with
only one microbial species. Indeed, studies performed by Moreau et al.
95
indicated that, although many autochthonous strains are non-immunogenic when
monoassociated with GF animals, when two or more strains are associated with
the animals they do induce an increase in IgA+ plasma cells.
88 Functional foods
4.9 Conclusion
Functional foods probably first arose through the necessity to supplement the
diet with vitamins. Certainly the first generation of functional foods involved
the addition of trace minerals to appropriate foodstuffs, with cereals being a
popular vehicle for use. It is the case that most current thinking and product
development is centred towards gastrointestinal activity and microbial
interactions specifically. Probiotics have a long history of use in humans,
but have never realised their full potential. This is probably because of some
poor science that has been associated with the concept. Often trials have been
carried out in a very subjective manner. Today, the concept of gut flora
modulation is enjoying new popularity and it is imperative that well-
conducted human studies are used to test and validate probiotics, prebiotics
and synbiotics. These should have rigorous control and include appropriate
placebo. New advances in molecular biology allow a highly sophisticated
tracking of the microbiota changes in response to dietary intervention.
Similarly, this chapter has reviewed the use of certain animal models for
probiotic use. Here, many hypotheses have arisen on immunological status.
Again, these need to be confirmed in humans. It is implicit that any effects
seen through the use of functional foods identify a plausible mechanism of
effect.
It is important that diet fulfils all the nutritional requirements of humans;
however, an added bonus may be the health-enhancing effects. While the
population ages and pharmaceutical expenses increase, the route of using diet
for the prophylactic management of disorder is an attractive concept ¨C especially
when the human gut is considered.
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72 OLSON, G.B. and WOSTMANN, B.S. ¡®Lymphocytopoiesis, plasmacytopoiesis
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and cellular proliferation in nonantigenically stimulated germfree mice¡¯, J
Immunol, 1966, 97, 267¨C74.
73 KIYONO, H., MCGHEE, J.R. and MICHALEK, S.M. ¡®Lipopolysaccharide regulation
of the immune response: Comparison of responses to LPS in germfree,
Escherichia coli-monoassociated and conventional mice¡¯, J Immunol, 1980,
124,36¨C41.
74 MCGHEE, F.R., KYONO, H., MICHALEK, S.M., BABB, J.L., ROSENSTREICH, D.L. and
MERGENHAGEN, S.E. ¡®Lipopolysaccharide (LPS) regulation of the immune
response: T lymphocytes from normal mice suppress mitogenic and
immunogenic responses to LPS¡¯, J Immunol, 1980, 124, 1603¨C11.
75 WOOLVERTON, C.J., HOLT, L.C., MITCHELL, D. and SARTOR, R.B. ¡®Identification
and characterization of rat intestinal lamina propria cells: consequences of
microbial colonization¡¯, Vet Immunol Immunopathol, 1992, 34, 127¨C38.
76 HEISE, E.R. and MYRVIK, Q.N. ¡®Levels of lysosomal hydrolases in alveolar and
peritoneal macrophages from conventional and germ-free rats¡¯, Fed Proc,
1966, 25, 439 (abstract).
77 BAUER, H., PARONETTO, F., BURNS, W.A. and EINHEBER, A. ¡®The enhancing
effect of the microbial flora on macrophage function and the immune
response: a study in germfree mice¡¯, J Exp Med, 1966, 123, 1013¨C24.
78 HOROWITZ, R.E., BAUER, H., PARONETTO, F., ABRAMS, G.D., WATKINS, K.C. and
POPPER, H. ¡®The response of the lymphatic system to bacterial antigen:
studies in germfree mice¡¯, Am J Path, 1964, 44, 747¨C56.
79 ABRAMS, G. and BISHOP, J.E. ¡®Normal flora and leukocyte mobilization¡¯, Arch
Path, 1965, 79, 213¨C17.
80 JUNGI, T.W. and MCGREGOR, D.D. ¡®Impaired chemotactic responsiveness of
macrophages from gnotobiotic rats¡¯, Infect Immun, 1978, 19,553¨C61.
81 MORLAND, B., SMIEVOLL, A.I. and MIDTVEDT, T. ¡®Comparison of peritoneal
macrophages from germfree and conventional mice¡¯, Infect Immun, 1979,
26,1129¨C36.
82 MELTZER, M.S. ¡®Tumoricidal responses in vitro of peritoneal macrophages
from conventionally housed and germ-free nude mice¡¯, Cell Immunol, 1976,
22,176¨C81.
83 JOHNSON, W.I. and BALISH, E. ¡®Macrophage function in germ-free, athymic
(nu/nu), and conventional-flora (nu/+) mice¡¯, J Reticuloendothelial Soc,
1980, 28,55¨C6.
84 TANNOCK, G.W. ¡®Influences of the normal microbiota on the animal host¡¯,In
Gastrointestinal Microbiology, R.I. Mackie, B.A. White and R.E. Isaacson
(eds), vol. 2, pp. 537¨C87, New York, Chapman and Hall, 1997.
85 DUCLUZEAU, R. and RAIBAUD, P. Ecologie microbienne du tube digestif,
Paris, Masson, 1979.
86 NORIN, K.E., MIDTVEDT, T. and GUSTAFSSON, B.E. ¡®Influence of intestinal
microflora on the tryptic activity during lactation in rats¡¯, Lab Anim, 1986,
20,234¨C7.
87 LEE, A. ¡®Neglected niches the microbial ecology of the gastrointestinal tract¡¯.
In Advances in Microbial Ecology, K.C. Marshall (ed.), vol. 8, pp. 115¨C62,
94 Functional foods
New York, Plenum Press, 1984.
88 CARTER, P.B. and POLLARD, M. ¡®Host responses to ¡®¡®normal¡¯¡¯ microbial flora
in germfree mice¡¯, J Reticuloendothel Soc, 1971, 9, 580¨C7.
89 WAGNER, M. ¡®Serological aspects of germfree life¡¯, Ann N Y Acad Sci, 1959,
78, 261¨C71.
90 MAYHEW, J.W. and POLLARD, M. unpublished observations reported in P.B.
Carter and M. Pollard, ¡®Host responses to ¡®¡®normal¡¯¡¯ microbial flora in
germfree mice¡¯, J Reticuloendothel Soc, 1971, 9, 580¨C7.
91 DUBOS, R., SCHAEDLER, W., COSTELLO, R. and HOET, P. ¡®Indigenous, normal,
and autochthonous flora of the gastrointestinal tract¡¯, J Exp Med, 1965, 122,
67¨C75.
92 CARTER, P.B. and POLLARD, M. ¡®Studies with Lactobacillus casei in
gnotobiotic mice¡¯.InGermfree Research: Biological Effect of Gnotobiotic
Environments, J.B. Heneghan (ed.), pp. 379¨C83, New York, Academic
Press, 1973.
93 BALISH, E., YALE, C.E. and HONG, R. ¡®Serum proteins of gnotobiotic rats¡¯,
Infect Immun, 1972, 6, 112¨C18.
94 FOO, M.C. and LEE, A. ¡®Immunological tolerance of mice to members of the
autochthonous intestinal microflora¡¯, Infec Immun, 1972, 6, 525¨C32.
95 MOREAU, M.C., DUCLUZEAU, R., GUY-GRAND, D. and MULLER, M.C. ¡®Increase in
the population of duodenal immunoglobulin A plasmocytes in axenic mice
associated with different living or dead bacterial strains of intestinal
organs¡¯, Infec Immun, 1978, 21,532¨C9.
96 MORISHITA, Y. and MITSUOKA, T. ¡®Antibody responses in germ-free chickens
to bacteria isolated from various sources¡¯, Japan J Microbiol, 1973, 17,
181¨C7.
97 WELLS, C.L. and BALISH, E. ¡®Modulation of the rat¡¯s immune status¡¯, Can J
Microbiol, 1980, 26, 1192¨C8.
Colonic functional foods 95
5.1 Introduction
Coronary heart disease (CHD) is one of the major causes of death in adults in the
Western world. Although there has been a trend over the past 15 years towards a
reduction in the rates of CHD in the major industrialised nations (including
USA, Australia and the UK) due to better health screening, drug treatment,
smoking and dietary advice, there has been an alarming increase in CHD in
Eastern Europe.
CHD is a condition in which the main coronary arteries supplying the heart
are no longer able to supply sufficient blood and oxygen to the heart muscle
(myocardium). The main cause of the reduced flow is an accumulation of
plaques, mainly in the intima of arteries, a disease known as atherosclerosis.
This is a slow but progressive disease which usually begins in childhood, but
does not usually manifest itself until later life. Depending on the rate of the
narrowing of the arteries and its ultimate severity, four syndromes may occur
during the progression of CHD. These include angina pectoris, unstable angina
pectoris, myocardial infarction and sudden death. Angina pectoris literally
means a ¡®strangling sensation in the chest¡¯ and is often provoked by physical
activity or stress. This pain, which often radiates from the chest to the left arm
and neck, is caused by reduced blood flow in the coronary artery but this pain
fades quite quickly when the patient is rested. Unstable angina pectoris occurs as
the condition worsens and pain is experienced not only during physical activity
but also during rest. This type of angina is thought to involve rupture or fissuring
of a fixed lesion which, when untreated, leads to an acute myocardial infarction.
The condition is responsible for a large proportion of deaths from CHD and
occurs as a result of prolonged occlusion of the coronary artery leading to death
5
Coronary heart disease
J.A. Lovegrove and K.G. Jackson, University of Reading
of some of the heart muscle. Disturbances to the contraction of the heart can lead
to disruption in the electrical contraction of heart muscle and the heart may go
into an uncoordinated rhythm (ventricular fibrillation) or may completely stop.
Sudden death from a severe myocardial infarction occurs within one hour of the
attack and is generally associated with advanced atherosclerosis.
A number of risk factors known to predispose an individual to CHD have
been categorised into those that are not modifiable, such as age, sex, race and
family history, and those that are modifiable, such as hyperlipidaemia (high
levels of lipids (fat) in the blood), hypertension (high blood pressure), obesity,
cigarette smoking and lack of exercise. Epidemiological studies examining CHD
risks in different populations have observed a positive correlation between an
individual¡¯s fasting cholesterol level (i.e. cholesterol level before eating a meal),
especially elevated levels of low density lipoprotein (LDL) cholesterol and
development of CHD.
1
Low levels of high density lipoprotein (HDL) cholesterol
have been shown to be another risk factor for CHD since an inverse relationship
exists with CHD development. This lipoprotein is involved in reverse
cholesterol transport, carrying cholesterol from cells to the liver for removal
from the body and a low level of HDL cholesterol reflects an impairment in this
process.
A recently recognised risk factor for CHD is an elevated level of
triacylglycerol (TAG; major fat in the blood) in both the fasted and fed (post-
prandial) state and the strength of this association has been demonstrated in a
number of observation studies.
2
The atherogenic lipoprotein phenotype (ALP) is
a newly recognised condition that describes a collection of abnormalities of both
classical and newly defined risk factors which predisposes an apparently healthy
individual to an increased CHD risk.
3
The lipid abnormalities of the ALP are
discussed in more detail in section 5.3.3. The development of techniques by
which to characterise the LDL subclass of individuals with CHD and those
without CHD has enabled the prevalence of those with ALP to be identified in
the population. Heritability studies have revealed that 50% of the variability in
expression is due to genetic factors, with the remainder being associated with
environmental influences such as diet, smoking and a sedentary lifestyle.
Individuals with CHD and those with a high risk of developing the condition
are treated in a number of ways to help lower their LDL cholesterol and TAG
concentrations while elevating their HDL cholesterol. Many lines of evidence
suggest that adverse dietary habits are a contributory factor in CHD and so the
first line of treatment for individuals with moderately raised cholesterol (5.5¨C7.0
mmol/l) and/or TAG (1.5¨C3.0 mmol/l) levels is to modify their diet. This is
implemented by reducing the percentage of dietary energy derived from fat to
approximately 30%, with a reduction of saturated fatty acids (SFAs) to 10% of
the dietary energy derived from fat. Candidate fats for the replacement of a large
proportion of SFAs include polyunsaturated fatty acids (PUFAs) of the n-6
(linoleic) series and monounsaturated fatty acids (MUFAs). Although both
PUFAs (n-6 series) and MUFAs have been shown to decrease total cholesterol
and LDL cholesterol levels, MUFAs have also been shown to maintain or
98 Functional foods
increase HDL cholesterol concentrations when they are used to substitute SFAs
compared with n-6 PUFAs. PUFAs of the n-3 series (eicosapentaenoic acid
(EPA) and docosahexaenoic acid (DHA)) have been shown to reduce plasma
TAG levels in both the fed and fasted states and reduce thrombosis when added
to the diet, but they do not usually reduce total and LDL cholesterol levels.
Individuals with cholesterol levels above 8.0 mmol/l and/or TAG levels
above 3.0 mmol/l require not only dietary modification but also lipid-lowering
drugs to help reduce their disorder. Drugs that are available are effective in a
number of ways, including the following:
? reduced synthesis of very low density lipoprotein (VLDL) and LDL (e.g.
nicotinic acid)
? enhanced VLDL clearance (e.g. benzafibrate)
? enhanced LDL clearance (e.g. cholestyramine) and hydroxy-methyl-glutaryl
CoA (HMG-CoA) reductase inhibition (e.g. simvasatin).
A recently available drug, fenofibrate, has been shown not only to reduce
cholesterol and TAG levels, but also increases HDL cholesterol concentrations
and is able to shift the LDL class profile away from the more atherogenic small
dense LDL. These drugs are more aggressive and although they cause greater
reductions in lipid levels compared with dietary modification, they are often
associated with unpleasant side-effects. Therefore this supports the need for
effective dietary strategies that can reduce circulating lipid levels in both the fed
and fasted state and which offer long-term efficacy comparable with most
effective drug treatments. One dietary strategy that has been proposed to benefit
the lipid profile involves the supplementation of the diet with prebiotics,
probiotics and synbiotics which are mechanisms to improve the health of the
host by supplementation and/or fortification of certain health promoting gut
bacteria.
A prebiotic is a non-viable component of the diet that reaches the colon in an
intact form and which is selectively fermented by colon bacteria such as
bifidobacteria and lactobacilli. The term ¡®prebiotic¡¯ refers to non-digestible
oligosaccharides derived from plants and also synthetically produced oligo-
saccharides. Animal studies have shown that dietary supplementation with
prebiotics markedly reduced circulating TAG and, to a lesser extent, cholesterol
concentrations. The generation of short chain fatty acids (SCFAs) during
fermentation of the prebiotic by the gut microflora has been proposed to be one
of the mechanisms responsible for their lipid-lowering effects via inhibition of
enzymes involved in de novo lipogenesis. Of the human studies conducted to
date, there has been inconsistent findings with respect to changes in lipid levels,
although on the whole there have been favourable outcomes.
A probiotic is a live microbial feed supplement which beneficially affects the
host animal by improving its intestinal microbial balance and is generally
fermented milk products containing lactic acid bacteria such as bifidobacteria
and/or lactobacilli. The putative health benefits of probiotics include improved
resistance to gastrointestinal infections, reduction in total cholesterol and TAG
Coronary heart disease 99
levels and stimulation of the immune system.
4
A number of mechanisms have
been proposed to explain their putative lipid-lowering capacity and these include
a ¡®milk factor¡¯ which has been thought to inhibit HMG-CoA reductase and the
assimilation of cholesterol by certain bacteria.
A combination of a prebiotic and a probiotic, termed a synbiotic, is receiving
attention at present since this association is thought to improve the survival of
the probiotic bacteria in the colon. However, further well-controlled nutrition
trials are required to investigate the mechanisms of action and effects of
prebiotics, probiotics and synbiotics.
Manufacturers in the USA and Europe are starting to explore the commercial
opportunities for foods that contain health-promoting food ingredients
(probiotics, prebiotics and synbiotics). Issues considered important to the
continuing development of the growing market include safety, consumer
education, price and appropriate health claims. Until recently, most of the food
products marketed were probiotics incorporated into dairy products. However,
with the increasing interest in prebiotics, a more diverse food market has been
opened up since prebiotics can be incorporated into many long-life foods
ranging from bread to ice-cream. Although there is increasing interest in the use
of prebiotics, probiotics and synbiotics as supplements to the diet, there is a need
to ensure that claims for these products are based on carefully conducted human
trials, which exploit up-to-date methodologies
5.2 Coronary heart disease and risk factors
Diseases of the circulatory system account for an appreciable proportion of total
morbidity and mortality in adults throughout the world. In 1990, CHD accounted
for 27% of all deaths in the UK and stroke for 12%. The rates of mortality due to
CHD throughout the world vary. For example, in one study among men aged
40¨C59 years, initially free of CHD, the annual incidence rate (occurrence of new
cases) varied from 15 per 100,000 in Japan to 198 per 100,000 in Finland.
5
In
addition to different rates of disease of the circulatory system between countries,
the conditions assume varying degrees of importance in developing and affluent
countries. Rheumatic heart disease is common in developing countries, whereas
CHD has assumed almost epidemic proportions in affluent societies.
Fig. 5.1 shows trends in CHD standardised mortality rates for the USA,
Australia and the UK. Rates in the majority of countries are reducing, but the
decline in CHD mortality in the UK began later than in the USA and Australia.
6
However, in Eastern Europe, rates of CHD are increasing dramatically, which is
in contrast to many other parts of the world. Improved surgical procedures, more
extensive use of cholesterol-lowering drugs and other medication, a reduction in
smoking and increased health screening are in part responsible for this
downturn. In addition, changes in diet, and especially in the type of fat
consumed, may also have had a beneficial impact on disease incidence.
100 Functional foods
5.2.1 Pathology of CHD development
The underlying basis for clinical cardiovascular disease is a combination of
atherosclerosis and thrombosis. Atherosclerosis is a condition in which the
arterial lining is thickened in places by raised plaques as a result of excessive
accumulation of modified lipids, and of the proliferation and migration of
smooth muscle cells from deeper layers of the arterial wall. The atherosclerotic
plaque usually develops at a point of minor injury in the arterial wall. Tissue
macrophages (a type of white blood cell) are attracted to this point of damage
and engulf and accumulate LDL particles from the blood. Recent studies have
shown that LDL particles that have become oxidised are more likely to be taken
up and cause cholesterol accumulation in macrophages. The cholesterol-loaded
macrophages are transformed into lipid-laden foam cells, which remain in the
arterial wall. At a later stage, the plaque becomes sclerosed and calcified (hence
the term ¡®hardening of the arteries¡¯).
Formation of an atherosclerotic plaque can occlude one or more of the
arteries, mainly the coronary and cerebral arteries, resulting in CHD or a
stroke, respectively. In addition, a superimposed thrombus or clot may further
occlude the artery. An example of an artery that has atherosclerotic lesions
and has been completely occluded by a thrombus is shown in Fig. 5.2. Blood
clot formation is in part determined by a release of eicosanoids from platelets
and the vessel walls. PUFAs released from platelet membranes are
metabolised into thromboxane (an eicosanoid) which stimulates platelet
aggregation and vasoconstriction. Simultaneously, the vessel walls also
release PUFAs which are converted to prostacyclins (antagonistic eicosa-
noids), which inhibit platelet aggregation and cause vasodilation. The balance
between production of thromboxane and prostacyclin, and the relative
Fig. 5.1 Comparisons in the mortality from CHD in the UK, USA and Australia (1970¨C
88). Data between the years 1978 and 1979 were by a change in classification from ICD8
to ICD9 (adapted from WHO, 1989).
Coronary heart disease 101
potencies of these two eicosanoids, will determine the extent of the blood clot
formed.
Two major clinical conditions are associated with these processes: angina
pectoris and coronary thrombosis or myocardial infarction. Angina pectoris is
characterised by pain and discomfort in the chest, which is brought on by
exertion and stress. It results from a reduction or temporary block in the blood
flow through the coronary artery to the heart and seldom lasts for more than 15
minutes. A coronary thrombosis results from prolonged total occlusion of the
artery, which causes infarct or death of some of the heart muscle and is
associated with prolonged and usually excruciating central chest pain.
A variety of cells and lipids are involved in arterial thrombus, including
lipoproteins, cholesterol, TAG, platelets, monocytes, endothelial cells, fibro-
blasts and smooth muscle cells. Nutrition may influence the development of
CHD by modifying one or more of these factors and this will be discussed in
more detail in section 5.4. For the purposes of this chapter the disease of the
Fig. 5.2 Atherosclerotic plaque and thrombus completely occluding a coronary artery.
102 Functional foods
circulatory system that will be addressed is CHD, with little discussion of other
CVD such as strokes.
5.2.2 Risk factors for the development of CHD
CHD is a multifaceted condition which has no single cause. The term ¡®risk
factor¡¯ is used extensively, and often very loosely, to describe features of
lifestyle and behaviour, as well as physical activity and biochemical attributes,
which predict the likelihood of developing disease. Potential risk factors are
continually being refined as research into the aetiology of CHD progresses. The
known risk factors for development of CHD can be categorised into those that
cannot be modified, those that can be changed, those associated with disease
states and those related to geographic distribution, as shown in Table 5.1.
Some risk factors have a greater influence on CHD development than others.
It has been demonstrated that there is a strong and consistent relationship
between total plasma cholesterol and CHD risk.
7
The positive association is
largely confined to the LDL fraction, which transports about 70% of cholesterol
in the blood. In a large prospective study published in 1986, a fivefold difference
in CHD mortality, over a range of plasma cholesterol levels, was observed in the
US population.
7
In a recent cholesterol-lowering drug trial in a healthy
population, a reduction of 20% and 26% in total and LDL cholesterol
respectively was associated with a 31% reduction in the five-year incidence of
myocardial infarction and CHD death.
8
It is this relationship between the plasma
cholesterol levels and its link with CHD that forms the basis of most dietary
guidelines, which recommend reductions in total fat and SFA intakes.
Table 5.1 Risk factors for the development of coronary heart disease
Unmodifiable Being male
Increasing age
Genetic traits (including lipid metabolism abnormalities)
Body build
Ethnic origin
Modifiable Cigarette smoking
Some hyperlipidaemias (increased plasma cholesterol and
triacylglycerol)
Low levels of high density lipoprotein (HDL)
Obesity
Hypertension
Low physical activity
Increased thrombosis (ability to clot)
Stress
Alcohol consumption
Diseases Diabetes (glucose intolerance)
Geographic Climate and season: cold weather
Soft drinking water
Coronary heart disease 103
If an individual presented with any one, or a combination, of risk factors it is
not inevitable that that person will suffer from CHD. The ability to predict the
occurrence of a myocardial infarct in individuals is fraught with complications.
An obese, middle-aged man who suffers from diabetes, consumes a high-fat diet,
smokes 40 cigarettes a day and has a stressful job, may never suffer from CHD;
whereas a slim, physically active non-smoker who consumes a low-fat diet may
die from a myocardial infarct prematurely. Despite this anomaly, individuals and
populations are deemed at increasing risk of CHD according to the severity and
number of identified risk factors. Table 5.2 shows the relative risk and yield of
cases.
9
The purpose of relative risk scores is in prediction, as it clearly contains items
that cannot be modified. However, for the purpose of intervention, one must go
beyond the items used to predict risk and consider issues such as diet, body
weight, physical activity and stress (factors not used in the scoring system), as
well as blood pressure and cigarette smoking, which are taken into account.
General population dietary recommendations have been provided by a number
of bodies which are aimed at reducing the incidence and severity of CHD within
the population. Those specifically related to dietary factors are discussed in
detail in section 5.4.
5.3 Relevant lipid particles
5.3.1 Plasma lipoprotein metabolism
Plasma lipoproteins are macromolecules representing complexes of lipids such
as TAG, cholesterol and phospholipids, as well as one or more specific proteins
referred to as apoproteins. They are involved in the transport of water-insoluble
nutrients throughout the blood stream from their site of absorption or synthesis,
to peripheral tissue. For the correct targeting of lipoproteins to sites of
metabolism, the lipoproteins rely heavily on apoproteins associated with their
surface coat.
The liver and intestine are the primary sites of lipoprotein synthesis and the
two major transported lipid components, TAG and cholesterol, follow two
Table 5.2 Relative risk and yield of cases in the top fifth of the ranked distribution of
risk factors in the men from the British Regional Heart Study after five years of follow-
up. (Adapted from Shaper et al., 1986.)
Factor Relative risk Yield in top fifth (%)
Age 4.7 34
Total cholesterol 3.1 31
Systolic BP 3.0 36
Diastolic BP 3.1 34
Body Mass Index (BMI) 1.8 28
¡®Smoking years¡¯ 5.1 38
104 Functional foods
separate fates. TAGs are shuttled primarily to adipose tissue for storage, and to
muscle, where the fatty acids are oxidised for energy. Cholesterol, in contrast, is
continuously shuttled among the liver, intestine and extrahepatic tissues by
HDL.
10
Human lipoproteins are divided into five major classes according to
their flotation density (Table 5.3). The density of the particles is inversely
related to their sizes, reflecting the relative amounts of low density, non-polar
lipid and high density surface protein present. The two largest lipoproteins
contain mainly TAG within their core structures. These are chylomicrons
(CMs), secreted by the enterocytes (cells of the small intestine), and VLDL,
secreted by the hepatocytes (liver cells). Intermediate density lipoprotein (IDL)
contains appreciable amounts of both TAG and cholesterol esters in their core.
The two smallest classes, LDL and HDL, contain cholesterol esters in their core
structures and the mature forms of these particles are not secreted directly from
the liver but are produced by metabolic processes within the circulation. LDLs
are produced as end products of the metabolism of VLDL, whereas components
of HDL are secreted with CMs and VLDL. The lipid metabolic pathways can be
divided into the exogenous and endogenous cycles, which are responsible for the
transport of dietary and hepatically derived lipid respectively.
11
Exogenous pathway
Following the digestion of dietary fat in the small intestine, long chain fatty acids
are absorbed by the enterocyte. The nascent CM particle consists of a core of
TAG (84¨C9% of the mass), cholesterol ester (3¨C5%) and surface free cholesterol
(1¨C2%) and on the surface, phospholipids (7¨C9%) and apoproteins (1.5¨C2.5%).
12
Following secretion, the TAG component of the CM particle is hydrolysed by
lipoprotein lipase (LPL) bound to the luminal surface of the endothelial cells in
adipose tissue and muscle. Approximately 70¨C90% of the TAG is removed to
produce a cholesterol ester-rich lipoprotein particle termed a CM remnant.
13
As
the core of the CM remnant particle becomes smaller, surface materials,
phospholipids, cholesterol and apolipoproteins are transferred to HDL to
maintain stability of the particle. Uptake of these particles probably requires
interaction with hepatic lipase (HL) which is situated on the surface of the liver.
HL further hydrolyses the TAG and phospholipid components of the CM remnant
before uptake by a receptor-mediated process in the liver.
14
The remnants are
endocytosed and catabolised in lysosomes from which cholesterol can enter
metabolic pathways in hepatocytes, including excretion into the bile (Fig. 5.3).
Endogenous pathway
VLDL provides a pathway for the transport of TAG from the liver to the
peripheral circulation. Two subclasses of VLDL are released from the liver,
VLDL
1
(large TAG-rich lipoprotein) and VLDL
2
(smaller, denser particles).
LPL in the capillary bed extracts TAG from the secreted VLDL
1
but less
efficiently when compared to CMs.
15
LDL receptors on the surface of the liver
recognise the VLDL
2
particles and mediate the endocytosis of a fraction of these
particles. Prolonged residency of some VLDL particles in the plasma results in
Coronary heart disease 105
Table 5.3 Structure and function of lipoproteins (adapted from Erkelens, 1989)
Lipoprotein Structural apolipoproteins Apolipoproteins attached Function
CM B-48 A-I, A-IV, C-I, C-II and C-III Carries exogenous TAG from gut to adipose
tissue, muscle and liver
CM remnant B-48 C-I, C-II, C-III Carries exogenous cholesterol to the liver and
periphery
VLDL (VLDL
1
and VLDL
2
) B-100 C-I, C-II, C-III and E Carries endogenous TAG to the periphery
IDL B-100 E Carries endogenous cholesterol to the periphery
LDL B-100 - Carries cholesterol to the liver and periphery
HDL
2
and HDL
3
A-I and A-II C-I, C-II, C-III, E, LCAT Reverse cholesterol transport
and CETP
Note:
Abbreviations: CM, chylomicron; VLDL, very low density lipoprotein; IDL, intermediate density lipoprotein; LDL, low density lipoprotein; HDL, high density
lipoprotein; LCAT, lecithin cholesterol acyltransferase; CETP, cholesterol ester transfer protein.
further metabolism by LPL, and to some extent HL, to form the higher density
IDL. HL, on the surface of hepatocytes, further hydrolyses IDL with eventual
formation of LDL.
16
LDL is a heterogeneous population consisting of larger
LDL species (LDL-I and LDL-II subclass) and smaller denser LDL particles
(LDL-III). LDL can be taken up by LDL receptors present on the surface of
hepatocytes and on extrahepatic cells.
Reverse cholesterol transport
A function of HDL is to trigger the flux of cholesterol from peripheral cells and
from membranes undergoing turnover to the liver for excretion. The process of
reverse cholesterol transport is mediated by an enzyme, lecithin cholesterol
acyltransferase (LCAT), bound to species of HDL particles. It acts by trapping
cholesterol into the core of the nascent HDL following interaction of this
particle with a cell surface protein. The cholesterol is transferred to HDL
3
,
which in turn is converted to HDL
2
. This particle can follow one of two
pathways (direct or indirect) to deliver cholesterol to the liver.
17
In the direct
pathway, the HDL
2
is removed via receptor-mediated endocytosis by the LDL
receptor or via selective uptake of cholesterol ester from the HDL particle by the
liver. The cholesterol ester transfer protein (CETP) is involved in the indirect
pathway and transfers cholesterol ester to lower density lipoproteins (CMs and
VLDL), in return for TAG, and is followed by their uptake by the liver (neutral
lipid exchange) (Fig. 5.3).
The balance between the forward (exogenous and endogenous pathways) and
the reverse pathway, which is tightly regulated by the secretion rates of the
lipoproteins, determines the concentration of cholesterol in the plasma.
Fig. 5.3 Simplified overview of lipoprotein metabolism showing the inter-relationships
between the exogenous and endogenous pathways.
Coronary heart disease 107
5.3.2 Classical lipid risk factors in coronary heart disease
Many epidemiological studies have shown a positive correlation between fasting
total cholesterol levels, especially LDL cholesterol levels and CHD mortality.
1
Accumulation of LDL in the plasma leads to a deposition of cholesterol in the
arterial wall, a process that involves oxidative modification of the LDL particles.
The oxidised LDL is taken up by macrophages which eventually become foam
cells and forms the basis of the early atherosclerotic plaque. It has been
estimated that every 1% increase in LDL cholesterol level leads to a 2¨C3%
increase in CHD risk.
18
The role of cholesterol lowering as a public health
strategy in the primary prevention of CHD was unequivocally supported by the
findings of the West Scotland Heart Study.
8
This lipid-lowering trial involved
6,595 middle-aged men with moderately raised cholesterol levels (5.8¨C8.0
mmol/l) but without any history of CHD. The study showed a 22% reduction in
overall mortality and a 33% reduction in cardiovascular mortality in men
receiving the active drug (prevastatin) compared with a placebo, in a five-year
follow-up. Total cholesterol levels were reduced by 20%, with LDL cholesterol
levels being reduced by 26% on the active drug treatment.
HDL cholesterol levels may influence the relationship between total
cholesterol levels and CHD risk. A strong inverse relationship between fasting
plasma HDL levels and the risk of development of CHD has been reported.
18
On
average, HDL cholesterol levels are higher in women than in men. Factors that
may lead to reduced HDL cholesterol levels include smoking, low physical
activity and diabetes mellitus; whereas those that increase levels include
moderate alcohol consumption. The Mu¨nster Heart Study, carried out between
1979 and 1991, investigated cardiovascular risk factors, stroke and mortality in
people at work. Examination of fasting lipid parameters at the beginning of the
study and with a follow-up six to seven years later demonstrated that HDL
cholesterol concentrations were significantly lower in the group with major
coronary events compared to the group that was free of such coronary events.
Low HDL levels reflect a compromised pathway for the excretion of cholesterol
and have been associated with a fivefold increase in risk of CHD compared to
normal HDL values.
19
5.3.3 Newly recognised risk factors
Elevated fasting and post-prandial TAG levels
Almost all of the epidemiological evidence for CHD risk has been determined
from fasting lipoprotein concentrations, obtained following a 12-hour overnight
fast. However, individuals spend a large proportion of the day in the post-
prandial state when the lipid transport system is challenged by fat-containing
meals. The magnitude and duration of post-prandial TAG concentrations
following a fat load has been correlated with the risk of development of CHD.
This has been shown in patients with CHD who show a more pronounced and
prolonged TAG response following a meal compared with matched people
without CHD, even though both groups showed similar fasting TAG
108 Functional foods
concentrations.
2
The strength of the association between TAG levels and CHD
has been demonstrated in a number of observational studies.
20
In the
Framingham study, individuals were segregated according to their HDL
cholesterol levels (classical risk factor) and it was observed that the group
with the highest TAG and lowest HDL cholesterol concentrations had the
greatest risk for CHD.
21
This also agreed with the observation by O¡¯Meara et
al.,
22
where the highest magnitude of lipaemia was found in individuals who had
high fasting TAG compared with lower fasting TAG concentrations. Although
univariate analysis has demonstrated the association between TAG concentra-
tions and CHD risk, multivariate analysis, including other lipid parameters and
especially HDL cholesterol levels, has abolished this statistical significance.
However, this statistical correlation is a controversial issue since an inverse
relationship exists between the levels of TAG and HDL cholesterol levels due to
their metabolic interrelationships. Recent findings from the Mu¨nster Heart Study
have demonstrated, using multivariate analysis, that total cholesterol, LDL
cholesterol, HDL cholesterol and log-transformed values of TAG showed a
significant age-adjusted association with the presence of major coronary events.
This correlation with TAGs remained after adjustment for LDL and HDL
cholesterol levels.
19
Therefore, a single measurement of these lipid parameters
in an individual may provide insufficient information and so underestimate any
association between these variables.
Elevated levels of chylomicrons and chylomicron remnants
The development of specific methods to differentiate between the exogenous
and endogenous TAG-rich lipoproteins, CMs and VLDL, in post-prandial
samples has enabled the atherogenicity of these lipoproteins to be investigated.
A recent finding by Karpe et al.
23
has provided evidence that a delayed uptake
of small CM remnants is associated with the progression of atherosclerosis. The
abnormal clearance of CMs and CM remnants after a fat load have been
implicated directly and/or indirectly with the presence of CHD. This may reflect
the ability of CM remnants to infiltrate the arterial wall directly. The mechanism
whereby CM remnants provide the building blocks of arterial lesions are thought
to occur by one of two processes. First, the CM remnants may bind and penetrate
the arterial surfaces (just in the same way as plasma LDL), therefore the rate of
atherogenesis should be proportional to the plasma remnant concentrations.
Second, CMs may be absorbed and then degraded to remnants on the arterial
surface.
24
In each instance, the reaction leading to the endocytosis of remnants
by smooth muscle cells may take place at sites where local injury has removed
the endothelium.
The magnitude of post-prandial lipaemia is dependent on a number of factors
including rates of clearance by peripheral tissue and receptor-mediated uptake of
the remnants by the liver. Defects in any of these processes will cause an
accumulation of CMs and their remnants which in turn can influence
endogenous lipoproteins known to be atherogenic. In particular the transfer of
TAG from CMs to LDL and HDL and a reciprocal transfer of cholesterol esters
Coronary heart disease 109
to the CMs by CETP may increase the atherogenic lipid profile. This is known
as neutral lipid exchange. The transfer of cholesterol ester to CMs and VLDL
makes them resistant to lipase action which impedes the normal metabolism of
these TAG-rich lipoproteins. The cholesterol ester-enriched CM remnants are
then able to be taken up by the macrophages in the arterial lesion. LDL and
HDL, on the other hand, become suitable substrates for LPL and HL, causing a
reduction in the size of these particles. This results in the development of an
atherogenic lipoprotein profile in which the TAG-rich lipoproteins become
cholesterol ester-enriched, LDL size is reduced and HDL cholesterol levels are
reduced. The small dense nature of the LDL makes it unrecognisable by the
LDL receptors in the liver and so makes it a favourable candidate for uptake by
scavenger receptors present on macrophages in the arterial lesion.
25
Elevated levels of small dense LDL (LDL-III)
It has long been established that elevated circulating LDL cholesterol levels
represent a major risk factor for the development of CHD. Recently, with the use
of density gradient ultracentrifugation techniques, LDL has been separated into
three major subclasses. These are subdivided as light large LDL (LDL-I),
intermediate size LDL (LDL-II) and small dense LDL (LDL-III).
26
In healthy
normolipidemic males, a preponderance of LDL-II are seen, with only a small
percentage of LDL-III being present.
A number of case control and cross-sectional studies has examined the
relationship between LDL subclass and risk of CHD.
27
In studies in men with
CHD, or those who had survived a myocardial infarction, it was demonstrated
that small dense LDL-III was more common in the men with CHD than without.
In 1988, Austin et al.
26
proposed that a preponderance of LDL-III in young men
was associated with a threefold increase in CHD. However, more recently, a
greater relative risk of CHD associated with raised LDL-III has been proposed.
28
The increased atherogenicity of small dense LDL-III is thought to be due to the
increased residency of these particles in the circulation due to their slow uptake
by the LDL receptor in the liver and peripheral tissues. This allows time for the
small dense LDL to infiltrate into the intima of the arterial wall where it is
thought that these particles are retained by extracellular matrix components
before oxidation of the LDL particles occur. The modified small dense LDL-III
is then taken up by the scavenger receptor on macrophages leading to the
subsequent formation of foam cells.
29
Atherogenic lipoprotein phenotype
The ALP is a collection of lipid abnormalities which confers an increased risk of
CHD upon normal, healthy individuals. It has been proposed that 30¨C35% of
middle-aged men in the Western world may be affected.
3
In the fasting state,
this phenotype is characterised by a moderately raised TAG concentration (1.5
to 2.3 mmol/l), low HDL concentration (less than 1 mmol/l) and a predominance
of small dense LDL-III (greater than 35% of LDL mass) and HDL particles. It is
important to note that total cholesterol levels are usually in the normal range or
110 Functional foods
are only moderately raised. The atherogenic nature of the ALP may arise from
the impairment of the removal of TAG-rich lipoproteins (CMs and VLDL)
leading to the conversion of small, atherogenic cholesterol enriched remnants,
LDL and HDL by neutral lipid exchange. It is generally considered that this
collection of lipid abnormalities is closely associated with the insulin resistance
syndrome.
30
5.4 Diet and coronary heart disease: the evidence
There is a substantial, diverse and generally consistent body of evidence linking
diet with cardiovascular disease. The evidence is most extensive for the
relationship between CHD and dietary fat. Diet is believed to influence the risk
of CHD through its effects on certain risk factors described in Table 5.1, for
example blood lipids, blood pressure and probably also through thrombogenic
mechanisms. More recently, evidence suggests a protective role for dietary
antioxidants such as vitamins E and C and carotenes, possibly through a
mechanism that prevents the oxidation of LDL cholesterol particles.
5.4.1 Dietary lipids and CHD risk
Epidemiological and clinical evidence clearly shows that the likelihood of death
from CHD is directly related to the circulating level of total cholesterol (and
more specifically LDL cholesterol). More recent evidence suggests that an
exaggerated postprandial TAG response to fat-containing meals is also a
significant risk factor for CHD.
2
Numerous studies have shown that the kinds
and amounts of fat in the diet significantly influence plasma cholesterol levels.
In the Seven Countries Study, mean concentrations of cholesterol of each group
were highly correlated with percentage energy derived from SFAs, and even
more strikingly related to a formula that also took into account the intake of
PUFAs (see Fig. 5.4).
5
Since this research, numerous other studies have supported the relationship
between dietary intake of saturates and the raised plasma cholesterol levels.
However, not all SFAs are equally potent in raising plasma cholesterol. Palmitic
acid (16:0), the principal SFA in most diets, and myristic (14:0) are the most
effective at elevating cholesterol; whereas stearic (18:0), lauric acid (12:0) and
medium chain fatty acids (8:0 and 10:0) have little effect on plasma cholesterol
levels.
31
The cholesterol response to a particular SFA may depend in part on the
TAG structure,
32
and in part on LDL receptor activity.
33
The mechanism that is
responsible for the increase in plasma cholesterol due to SFAs is at present
unclear, but a reduction in the LDL receptor activity is one possibility. It has
been recommended that the average contribution of SFAs to dietary energy be
reduced to no more than 10%.
34
The current UK dietary intake is shown in Table
5.4. A considerable reduction from current levels of intake of dietary SFAs
(average 33%) would be required to meet this recommendation.
35
Coronary heart disease 111
The effect of the ingestion of different fatty acids on plasma cholesterol
levels is varied and is summarised in Table 5.5. Substitution of SFAs by MUFAs
or n-6 PUFAs significantly reduces LDL cholesterol levels although n-6 PUFA
are more effective in this respect. There has been doubt as to whether MUFAs
Fig. 5.4 Relationship of mean serum cholesterol concentration of the cohorts of Seven
Countries Study to fat composition of the diet expressed in the multiple regression
equation, including intakes of saturated and polyunsaturated fatty acids (A = Zregnjamin,
B = Belgrade, C = Crevalcore, D = Dalmatia, E = East Finland, G = Corfu, J = Ushibuka,
K = Crete, M = Montegiorgio, N = Zutphen, R = Rome, S = Slavonia, T = Tanushimara,
U = USA, V = Velika Kisna, W = West Finland). (Adapted from Key, 1980.)
Table 5.4 Dietary intakes of selected nutrients for men and women aged 16¨C64 years.
(Adapted from Gregory et al. 1990.)
Nutrients Men Women
% total energy % total energy
Total energy (KJ) 10462 7174
Fat (g) 102 37.6 74 39.2
SFA (g) 42 15.4 31 16.5
MUFA (g) 31 11.6 22 11.8
n-3 PUFA (g) 1.9 0.7 1.3 0.7
n-6 PUFA (g) 13.8 5.1 9.6 5.1
trans FA (g) 5.6 2.0 4.0 2.1
P:S ratio 0.40 0.38
Cholesterol (mg) 390 280
Carbohydrate (g) 272 41.6 193 43.0
Alcohol (g) 25 6.9 6.9 2.8
Fibre (g) 24.9 18.6
112 Functional foods
are effective in cholesterol-lowering or whether the observed decrease in plasma
cholesterol was simply due to a replacement of SFAs. Some studies have
suggested that the effect of oleic acid (cis 18:1) (the major MUFA in the diet)
and linoleic acid (18:2) (major n-6 PUFA in the diet) on LDL cholesterol are
similar, and that the greater effect of linoleic acid on total cholesterol is through
reduction of HDL cholesterol.
36
In addition to this it has been reported that
PUFAs incorporated into lipoproteins can increase their susceptibility to
oxidation if there is insufficient antioxidant protection. Despite the beneficial
lowering of LDL cholesterol associated with increased dietary PUFA, it has
been proposed that the decreased levels of beneficial HDL cholesterol and
greater susceptibility of lipoproteins containing n-6 PUFA to oxidation, result in
pro-atherogenic effects of diets in which n-6 PUFA provide greater than 10%
energy.
37
Substitution of saturates by oleic acid would avoid this and therefore
MUFAs have theoretical advantages over PUFAs. It has long been recognised
that, in Mediterranean populations, there is a significantly lower risk of CHD.
5
Their diet traditionally contains high amounts of olive oil in addition to fruit and
vegetables compared to the UK diet. It has been speculated that a higher intake
of MUFAs could contribute to the lower rate of CHD within this population.
However, it could also be due to the higher antioxidants found in the fruit,
vegetables and within virgin olive oil itself, in addition to other dietary and
lifestyle factors. Research into the reasons for this link between the
Mediterranean lifestyle and CHD risk is necessary to explain this observation
fully.
As regards CHD, trans fatty acids appear to act similarly to SFA in their
effects on blood cholesterol except that trans FA decreased HDL whereas SFA
have little effect on HDL. In a trial conducted to compare the effects of different
fatty acids, elaidic (trans 18:1), the principal trans fatty acid found in the diet,
was found to decrease HDL and increase LDL levels significantly.
38
Some
epidemiological evidence also supports these findings. Hydrogenated fats are a
major dietary source of trans FA and are abundant in vegetable margarines and
processed foods. However, due to the reported link between CHD risk and trans
Table 5.5 Effects of fatty acids on plasma lipoprotein concentrations
Fatty acid Total LDL HDL Triacylglycerol
cholesterol cholesterol cholesterol
Saturated FA Increase Increase Neutral Neutral
n-6 PUFA Decrease Decrease Decrease NA
n-3 PUFA Unchanged Unchanged* Increase Decrease
Trans FA Increase Increase Decrease NA
MUFA Decrease Decrease Neutral Neutral
Cholesterol Increase Increase NA NA
Notes:
FA ¨C fatty acid. PUFA ¨C polyunsaturated fatty acid. MUFA ¨C monounsaturated fatty acid. NA ¨C not
available. * May increase in hyperlipidaemics.
Coronary heart disease 113
fatty acids, the level of these fatty acids has been substantially reduced in many
margarines and manufactured foods.
The weight of evidence supports the view that raising cholesterol content of
the diet increases plasma cholesterol, primarily LDL cholesterol, although there
is considerable inter-individual response. Studies in humans over the past 25
years have indicated a threshold for an effect at an intake of about 95 mg/4300
KJ with a ceiling at about 450 mg/4300 KJ. Excess cholesterol is either not
absorbed or suppresses endogenous production. As daily intake (Table 5.4) is at
the lower end of this range, it is recommended that current dietary cholesterol
intakes, measured per unit of dietary energy, should not rise.
34
In contrast to dietary SFAs, MUFAs, n-6 PUFAs and trans fatty acids whose
effects on cardiac health primarily reside in their ability to modify plasma LDL
and HDL cholesterol levels, the benefits of an increased intake of n-3 PUFA lie
in their ability to reduce thrombosis and decrease plasma TAG levels. The low
incidence of CHD in Greenland Eskimos and Japanese fishermen, despite a high
fat intake (fat providing 80% of dietary energy), has been attributed to their
intake of marine foods high in EPA (20:5, n-3) and DHA (22:6, n-3).
39
In the
DART trial, individuals who had suffered a previous myocardial infarction were
advised to consume 1¨C2 portions of fatty fish per week. After a two-year follow-
up period, a 29% reduction in mortality from CHD was reported in those advised
to consume the fatty fish.
40
Evidence has shown that fasting TAG levels and post-prandial (following a
meal) TAG levels are a significant risk factor for CHD.
2
The mechanism is not
fully understood but is believed to be associated with the TAG-rich lipoprotein
particle (CM and VLDL) remnants which are potentially atherogenic. High
Table 5.6 Recommended daily intakes of dietary fat and fatty acids of the EEC and UK
and the average daily consumption of these nutrients (% dietary energy)
Total fat SFA PUFA MUFA Trans FA
Recommendations
European 20-30
1
10
1
0.5
2
(n-3) NR NR
(EEC, 1992) 2.0
2
(n-6)
UK <35 <10 0.2g/day (n-3) NR 2
(DH, 1994) 5.0 (n-6)
Current intake
UK (1990) 39 16 5 (n-6) 12 2
USA (1985) 37 13 7 (n-6) 13 -
France (1985¨C7) 36 15 6 (n-6) 13 -
Germany (1988) 40 15 6 (n-6) 12 -
Netherlands (1988) 40 16 7 (n-6) 15 -
Notes:
1. Ultimate goal.
2. Population reference intake.
NR ¨C no recommendations.
114 Functional foods
levels of these remnants can contribute towards an increased risk of neutral lipid
exchange (see section 5.3) which will in turn lead to an accumulation of small
dense, more easily oxidised LDL-III, and a decreased circulation of beneficial
HDL particles. Supplementation studies with n-3 PUFA have observed a
significant reduction in blood TAG levels.
41
The proposed mechanism for this
decrease in TAG is a reduction in the level of VLDL synthesis by the liver and
an increased clearance of TAG-rich particles from the blood by the enzyme LPL
(the enzyme that hydrolyses TAG within VLDL and CMs).
Fatty acids from the n-3 PUFA series also have a beneficial effect on
thrombogenesis (blood clot formation). The utilisation of n-3 PUFAs instead of
n-6 PUFAs in the production of eicosanoids (substances involved with the
formation of blood clotting) can significantly reduce the rate of blood clot
formation and thus reduce the risk of myocardial infarction. In addition, n-3
PUFA ingestion may result in the reduction in cardiac arrhythmias.
42
Sudden
cardiac death is a serious problem in Western countries and no drug treatment, to
date, has had any significant effect on incidence. Epidemiological studies have
shown a reduced incidence of sudden death with n-3 PUFA intake, and animal
and limited human evidence also suggests an anti-arrhythmic effect.
43
At the present time most of the national and international guidelines for
population intakes of dietary fat are based on the known adverse effects of SFAs
in raising blood cholesterol levels with some consideration given to possible
benefits of n-3 PUFAs on thrombosis. Table 5.6 shows the dietary guidelines of
the European Community
44
and those of the UK Committee of Medical Aspects
of Food Policy.
34
These recommendations are aimed at both the food industry
and the general population. Due to high SFA intake compared with those
recommended, which reflect consumer resistance to these recommendations,
future recommendations may take greater account of the benefits of substituting
SFAs with MUFAs, and the overall significance to human health of the absolute
and relative amounts of n-6: n-3 PUFAs.
5.4.2 Carbohydrate intake and CHD risk
Recommendations for reductions in total fat in the diet have important
implications for dietary carbohydrate intake. There is little variation in the
proportion of energy derived from dietary protein; therefore there is a reciprocal
relationship between the contributions of dietary fat and carbohydrate to energy.
The metabolic effects of exchanging carbohydrate for fat depend mainly on the
degree of substitution. Diets where about 60% of food energy is derived from
carbohydrate are associated with lower HDL levels and higher TAG levels, and
despite lower LDL levels have been suggested to be associated with a higher risk
of CHD.
45, 46
However, a smaller increase in dietary carbohydrate levels to
accommodate a reduction in dietary fat to 30% of energy has been reported to
result in a small rise in TAG levels and no fall in HDL levels,
46
resulting in an
overall positive benefit in CHD risk.
Coronary heart disease 115
5.4.3 Non-starch polysaccharides and CHD risk
Four prospective studies have shown an inverse relationship between dietary
¡®fibre¡¯ intake and CHD. The studies have varied in the source of ¡®fibre¡¯ that was
found to be effective. Morris et al.
47
found that cereal fibre was inversely related
to cases of CHD, whereas others found that vegetable sources of fibre were
associated with decreased risk.
48
On the contrary, a two-year intervention study
in men who had suffered a previous heart attack, found no effect of increasing
cereal ¡®fibre¡¯ intake on subsequent risk of mortality from cardiovascular
disease.
40
The effect of a number of soluble NSPs which are selectively digested
by the colonic gut microflora (classed as prebiotics) on the blood levels of
cholesterol and especially LDL cholesterol will be discussed in detail in section
5.6.
5.4.4 Antioxidant nutrients and CHD risk
The cells of the body are under constant attack by activated oxygen species,
which are produced naturally in the body. The protection of cells from the
detrimental effects of these species is due to defence mechanisms, component
parts of which are, or are derived from, the micronutrients called ¡®antioxidants¡¯.
These include the essential trace elements selenium, zinc and magnesium, and
vitamin C and the various forms of vitamin E (the tocopherols and the
tocotrienols). In addition, betacarotene, and other carotenoids, such as lutein and
lycopene (present in large amounts in tomatoes) and flavonoids, present in red
wine, tea and onions, probably also play a role.
There is a large body of evidence supporting a protective effect of the
antioxidant vitamins E and C.
49
There are, however, inconsistencies in the
amount of these antioxidants associated with reduced risk of CHD; this is
especially the case for vitamin E. One explanation for these discrepancies is that
vitamin E may be a marker for a diet that contains other dietary constituents
(such as carotenoids and flavonoids) which have antioxidant potential. When
vitamin E is taken in isolation as a supplement, higher levels might be necessary
to achieve the same effect as diets that contain combinations of antioxidants. No
specific recommendations on the levels of antioxidant intake have been given
but a diet rich in vegetable and fruit and containing nuts and seeds is
recommended.
50
The beneficial effects of red wine and olive oil on CHD risk
could in part be attributed to antioxidants such as flavonoids and polyphenols
contained within these foods.
5.4.5 Sodium and potassium and CHD risk
Sodium intake appears to be an important determinant of blood pressure in the
population as a whole, at least in part by influencing the rise in blood pressure
with age.
51, 52
A diet lower in common salt and higher in potassium would be
expected to result in lower blood pressure and a smaller rise in blood pressure
with age. Salt is the predominant source of sodium in the diet, with
116 Functional foods
manufactured foods contributing to 65¨C85% of the total salt ingested. Blood
pressure is an important risk factor for the development of CHD and strokes. It
has been recommended that the population should reduce its salt intake by 3 g/
day by reducing salt at the table and also the consumption of processed foods.
Moreover, higher potassium levels within the diet are believed to reduce the
blood pressure and foods such as fruit and vegetables, which contain this
mineral, should be taken in higher amounts.
5.4.6 Alcohol and CHD risk
The debate surrounding the benefits of alcohol consumption and, more
specifically, red wine consumption and the risk of CHD is one that has been
running for many years. There is evidence that high consumption of alcohol is
related to increased mortality, especially from CHD. However, alcohol
consumption appears to be associated with relatively low risk of CHD across
a variety of study populations. The benefit that is associated with alcohol
consumption is almost entirely due to the increased levels of HDL cholesterol
which is associated with reduced CHD risk.
53
However, other factors such as
lower platelet activity, reducing the risk of thrombosis, and antioxidant
properties of some drinks such as red wine have also been suggested. The
proposed benefit of red wine over other drinks would only explain the potential
increase in antioxidant levels as the effect of alcohol on HDL and haemostatic
factors have been attributed to alcohol itself. A consumption of two units (one
unit is equivalent to 8 g alcohol) a day of alcohol is believed to be beneficial in
the risk of CHD, but the debate continues.
54
5.4.7 Coffee and CHD risk
For over 20 years it has been suspected that caffeine or coffee consumption
may contribute to the development of CHD, but the evidence remains
inconsistent. There is little evidence that caffeine itself has any relation to
CHD risk but there are other components of coffee, which might in part
account for some observed associations. The Scandinavian practice of boiling
coffee during its preparation appears to generate a hypercholesterolaemic
fraction. Significant levels of these compounds have also been found in
cafeteria coffee which have been found to increase plasma LDL cholesterol
levels.
55
The relevance of this to the UK population, whose consumption of
boiled coffee is very low, is unclear.
5.4.8 Diet and CHD risk
The diet is one of the modifiable risk factors associated with CHD risk.
Recommendations for reducing total fat (especially saturated fat), increasing
NSP intake and consumption of fruit and vegetables is advice that is likely to be
associated with overall benefits on health. However, there is great inertia for
Coronary heart disease 117
dietary change, and many new products that claim to reduce the risk of CHD and
other chronic diseases, without altering lifestyle factors such as diet, clearly
attract a great deal of attention.
5.5 Effects of probiotics on blood lipids: the evidence
Current dietary strategies for the prevention of CHD advocate adherence to low
fat/low saturated fat diets.
34
Although there is no doubt that under experimental
conditions, low fat diets offer an effective means of reducing blood cholesterol
concentrations, on a population basis they appear to be less effective, largely due
to poor compliance attributed to low palatability and acceptability of these diets
to the consumer. Due to the low consumer compliance, attempts have been made
to identify other dietary components that can reduce blood cholesterol levels.
These have included investigations into the possible hypocholesterolaemic
properties of milk products, usually in a fermented form. The role of fermented
milk products as hypocholesterolaemic agents in humans is still equivocal, as
the studies performed have been of varying quality, design and statistical
analysis with incomplete documentation being the major limitation of most
studies. However, since 1974 when Mann and Spoerry
56
showed an 18% fall in
plasma cholesterol after feeding 4¨C5 litres of fermented milk per day for three
weeks to Masai warriors, there has been considerable interest in the effect of
probiotics on human lipid metabolism.
56
5.5.1 Evidence from the Masai
As epidemiological evidence suggested that an environmental agent that
contributed to hypocholesterolaemia had been introduced into the Western
world around 1900, Mann and Spoerry intended to investigate the effect of an
exogenous surfactant material, known to be hypercholestrolaemic in animals.
56
The authors¡¯ original intention was to feed 4¨C5 litres of pasteurised European
milk fermented with a wild culture of Lactobacillus to 24 male Masai warriors,
for six days out of every week. However, demand rose to over 8.3 litres per day
(23,000 KJ/day) and an exercise programme was started to prevent weight gain.
However, eight of the subjects gained considerable weight (> 5 lb) after feigning
injury to avoid this exercise. The eight subjects who gained weight surprisingly
had a significant fall (18.2%) in serum cholesterol of 0.73 mmol/l. The total
group¡¯s mean cholesterol level also significantly decreased (9.8%), as shown in
Table 5.7. Although the marked reductions in serum cholesterol were striking,
considering the weight increase (usually associated with a raised cholesterol
concentration), this study is now considered simply as a curiosity. Due to the
introduction of an exercise programme and the inability to control food intake,
the work cannot lend much to the causality of the findings.
118 Functional foods
Table 5.7 Human studies to evaluate the hypocholesterolaemic properties of fermented milk products
Author Subjects (n) Product (vol/type) Duration Total cholesterol LDL cholesterol
Mann et al.
56
24M 8.3 l lacto/yog 3 weeks C09.6% (P<0.001) NA
Mann
57
3 M 1F 4 l WMY 12 days C016.8% (P<0.05) NA
3M 2F 2 l SMY 12 days C023.2% (P<0.05) NA
Howard and Marks
58
10 3 l 3 weeks 5.5% (P<0.05) NA
Hepner et al.
59
6M 4F 720 ml (A) 4 weeks C05.4% (P<0.01) NA
5M 3F 720 ml (B) 4 weeks 8.9% (P<0.01) NA
Rossouw et al.
68
11M 2l yoghurt 3 weeks +16% (P<0.01) +12% (P<0.001)
Thompson et al.
61
13 11 UPY 3 weeks NS NS
Bazzare et al.
111
5M 16F 550g yoghurt 1 week C08.7% NA NA
Massay
62
30F 480 ml yoghurt 4 weeks NS NS
Jaspers et al.
64
10M 681 g yoghurt 2 weeks C011.6% transient (P<0.05) NS
McNamara et al.
63
18M 16 oz LFY 4 weeks NS NS
Agerbaek et al.
65
58M 200 ml UPY 6 weeks C06.1% (P<0.001) C09.8% (P<0.001)
Richelsen et al.
66
47M 43F 200 ml UPY 21 weeks NA C09% transient (P<0.05)
Sessions et al.
60
78M 76F 200 ml UPY 12 weeks NS NS
Bertolami et al.
67
11M 21F 200 ml UPY 8 weeks C05.3% (P<0.004) 6.2% (P<0.001)
Notes:
F = female; M = male; WMY = whole milk yoghurt; UPY = unpasteurised yoghurt; SMY = skimmed milk yoghurt; PY = pasteurised yoghurt; LFY = low fat yoghurt;
NA = data not available; NS = not significant.
Source:
Adapted from Taylor and Williams.
112
5.5.2 Evidence for the ¡®milk factor¡¯
As a follow-up to the Masai trial, Mann fed a small group of US volunteers (n =
4) 4 litres per day of yoghurt (microbiological activity unspecified) over a 12-
day period and reported a significant fall of 37% in serum cholesterol values
(however, the tabulated data indicated only a 16.8% fall).
57
When intake of the
yoghurt was reduced to 2 litres the hypocholesterolaemic effect was maintained,
although an intake of 1 litre per day resulted in a return to baseline cholesterol
levels. The rate of cholesterol biosynthesis was monitored by measuring the
specific activity of plasma digitonin-precipitated sterols, two hours after a pulse
of [
14
C] acetate. A 28% fall in acetate incorporation was reported by 16 days
after a 12-day ingestion of the high dose of yoghurt (4 litres per day). Mann
proposed the presence of a ¡®milk factor¡¯ to explain the fall in serum cholesterol,
such as a 3HMG-CoA reductase inhibitor.
57
Investigating possible candidates
for the ¡®milk factor¡¯, Howard and Marks fed lactose C6 Ca/Mg, cheese whey or
yoghurt to volunteers over a two-week period.
58
The yoghurt, but not the lactose
C6 Ca/Mg or cheese whey, significantly reduced plasma cholesterol by 5.5%.
However, this trial was subject to the same problems of lack of dietary control
with substantial changes from the volunteers¡¯ habitual diet resulting in a number
of confounding factors.
Most of the early studies introduced confounding factors due to the lack of
control of the subjects¡¯ diet. Hepner et al.
59
performed a study that attempted to
control for these. This was a cross-over study in which 720 ml of yoghurt and 750
ml milk were given to the subjects for a four-week period. Significant reductions
in plasma cholesterol were observed after the first week of both supplementation
periods.
59
The observation that cholesterol levels can significantly fall after
acceptance onto a study has been well documented. This is probably due to a
conscious or even unconscious modification of the diet by the volunteer due to an
awareness of dietary assessment. In an attempt to reduce this, baseline run-in
periods are essential.
60
Of the early negative studies that have been published,
those of Thompson et al.,
61
Massay
62
and McNamara et al.
63
incorporated a run-
in period. The study performed by McNamara et al.
63
was one of the more
carefully designed studies. They investigated the effects of the ingestion of 480
ml unspecified yoghurt and reported no significant cholesterol reduction. This
was a well-controlled study which included a three-week run-in period and four-
week intervention period, and investigated the effect of 16 oz of a low fat yoghurt
(unspecified microbiological nature) and a non-fermented milk concentrate (as a
control). Dietary intake and body weight remained constant and there was no
change in serum cholesterol, LDL, HDL or TAG levels.
63
From the studies
mentioned above it can be concluded that there is little evidence that fermented
milk products affect serum lipid parameters per se.
5.5.3 Probiotic effect on lipid parameters
Hepner et al.
59
were the first to attempt to discern whether the presence of live
bacteria was important for the reported affects of yoghurt on lipid parameters.
120 Functional foods
The aim of the study was to compare the effects of 750 ml pasteurised and
unpasteurised yoghurt, using milk as a placebo. After a 12-week intervention
period, all treatments significantly reduced plasma cholesterol levels, with milk
resulting in a lesser reduction. Unfortunately, the nutritional and microbiological
content of the products used was not reported which severely hampers
comparison with other study data. Thompson et al.
61
assessed a wide range of
milk-based products including milk laced with Lactobacillus acidophilus (titre
1.3 C2 10
7
counts/ml), buttermilk (a milk product fermented with Streptococcus
cremoris and Streptococcus lactis ¨C titre 6.4 C2 10
8
counts/ml) and a yoghurt
(fermented with Lactobacillus bulgaricus and Streptococcus thermophilus ¨C titre
1.2 C2 10
9
counts/ml). One litre of supplement was fed for a three-week period,
but no significant change was reported in serum total cholesterol, LDL or HDL.
The possible importance of variation in yoghurt cultures stimulated Jasper et
al.
64
to assess the effect of 681 g/day of three strains of a yoghurt fermented with
a 1:1 ratio of Lactobacillus bulgaricus and Streptococcus thermophilus. Two
strains (CH-I and CH-II) were taken separately over a 14-day period and two
batches of a third strain (SH-IIIA and SH-IIIB) were taken separately over 14
days and 7 days which ran consecutively, with a 21-day ¡®washout period¡¯
between each of the intervention periods. Body weight remained constant in the
subjects and there were only differences in the dietary intakes in minerals and
vitamins. Significant falls in serum total and LDL cholesterol levels occurred
after one week with one strain (CH-II) and two weeks with SH-IIIA strain.
These transient changes could be explained by the effect of commencing a study
as discussed previously, or this could be a true difference between the
efficacious properties of different strains and indeed different types of
probiotics.
Agerbaek et al.
65
tested the effect of 200 ml per day of a yoghurt that
contained Enterococcus faecium which was shown to have hypocholesterolaemic
properties when tested on animals. The study was a parallel design, and the active
yoghurt was tested against identical yoghurt that had been chemically fermented
with an organic acid (delta-gluco-lactone). The intervention period was for a six-
week period in 58 middle-aged men with moderately raised cholesterol levels
(5.0¨C6.5 mmol/l). They observed a 9.8% reduction in LDL cholesterol levels
(P < 0.001) for the live yoghurt group, which was sustained over the intervention
period (Table 5.7). This was a well-controlled study, which excluded many
variables such as age, sex and body weight. However, an unforeseen skew in the
randomisation resulted in a significantly different baseline total and LDL
cholesterol levels in the two groups. The fall in these parameters observed in the
live yoghurt group could be ascribed to a regression towards the mean. Another
study performed using the same yoghurt and a similar design for a longer period
(six months) was carried out in 87 men and women aged 50¨C70 years.
66
It was
reported that at 12 weeks there was a significant drop in LDL cholesterol levels
in the group taking the active yoghurt. These reductions were not sustained and
this was partly explained by a reduction in the titre of the yoghurt at 12 weeks.
At the end of the study, a non-significant reduction in LDL or total cholesterol
Coronary heart disease 121
levels was observed between the two groups. A recent publication investigating
the same product used a 200 g/day ingestion of the yoghurt, for an eight-week
period in a randomised double-blind placebo controlled trial, with 32 patients
who had mild to moderate hypercholesterolaemia. The patients were asked to
follow a lipid-lowering diet for eight weeks and were then given the test or
control product for two eight-week periods. The results showed a significant
reduction of 5.3% (P = 0.004) for total cholesterol and a 6.2% (P = 0.01)
reduction in LDL cholesterol levels after the active product. However, the
authors did question whether the average reduction of approximately 5% for
total and LDL cholesterol was clinically important.
67
A similar trial of the same product containing E. faecium was conducted in 160
middle-aged men and women with moderately raised cholesterol.
60
The study was
a randomised, double-blind, multi-centre, placebo controlled parallel study.
Volunteers consumed 200 ml per day of either the active or chemically fermented
yoghurt for a 12-week period. Stratified randomisation was used to ensure that the
groups were comparable for age, sex, body mass index (BMI) and baseline fasting
cholesterol levels. The importance of not changing their dietary habits and lifestyle
during the study was emphasised and adherence to the protocol confirmed by
dietary assessment. Due to the importance of the titre of the bacterial content of the
yoghurt, this was monitored throughout the study. The levels were found to be no
lower than 1 C2 10
6
counts/ml at any time tested. During the two-week run-in
period, both groups showed significant reductions in blood cholesterol levels
(P<0.05), but thereafter there was no further change in either of the groups or
between the groups at any of the time points. These data are consistent with the
conclusions drawn by Rossouw et al.
68
which indicated that apparent effects of
some probiotics on blood cholesterol levels may be attributed to reductions in
blood lipids observed in subjects who commence an intervention trial. While these
reductions are well recognised but are difficult to prevent, they highlight the
importance of the inclusion of a run-in period within such studies.
5.5.4 Possible mechanisms of action
Before the possible mechanisms are considered, it is important to highlight that
since viable and biological active micro-organisms are usually required at the
target site in the host, it is essential that the probiotics not only have the
characteristics that are necessary to produce the desired biological effects, but
also have the required viability and are able to withstand the host¡¯s natural
barriers against ingested bacteria. The classic yoghurt bacteria, Streptococcus
thermophilus and Lactobacillus bulgaricus, are technologically effective, but
they do not reach the lower intestinal tract in a viable form. Therefore, intrinsic
microbiological properties, such as tolerance to gastric acid, bile and pancreatic
juice are important factors when probiotic organisms are considered.
69
The mechanism of action of probiotics on cholesterol reduction is unclear,
but there are a number of proposed possibilities. These include physiological
actions of the end products of fermentation SCFAs, cholesterol assimilation,
122 Functional foods
deconjugation of bile acids and cholesterol binding to bacterial cell walls. The
SCFAs that are produced by the bacterial anaerobic breakdown of carbohydrate
are acetic, propionic and butyric. The physiological effects of these are
discussed in more detail in section 5.6.3.
It has been well documented that microbial bile acid metabolism is a peculiar
probiotic effect involved in the therapeutic role of some bacteria. The
deconjugation reaction is catalysed by conjugated bile acid hydrolase enzyme,
which is produced exclusively by bacteria. Deconjugation ability is widely
found in many intestinal bacteria including genera Enterococcus, Peptostrepto-
coccus, Bifidobacterium, Fusobacterium, Clostridium, Bacteroides and Lacto-
bacillus.
70
This reaction liberates the amino acid moiety and the deconjugated
bile acid, thereby reducing cholesterol reabsorption, by increasing faecal
excretion of the deconjugated bile acids. Many in vitro studies have investigated
the ability of various bacteria to deconjugate a variety of different bile acids.
Grill et al.
71
reported Bifidobacterium longum as the most efficient bacterium
when tested against six different bile salts. Another study reported that
Lactobacillus species had varying abilities to deconjugate glycocholate and
taurocholate.
72
Studies performed on in vitro responses are useful but in vivo
studies in animals and humans are required to determine the full contribution of
bile acid deconjugation to cholesterol reduction. Intervention studies on animals
and ileostomy patients have shown that oral administration of certain bacterial
species led to an increased excretion of free and secondary bile salts.
73, 74
There is also some in vitro evidence to support the hypothesis that certain
bacteria can assimilate (take up) cholesterol. It was reported that L.
acidophilus
75
and Bif. bifidum
76
had the ability to assimilate cholesterol in in
vitro studies, but only in the presence of bile and under anaerobic conditions.
However, despite these reports there is uncertainty whether the bacteria are
assimilating cholesterol or whether the cholesterol is co-precipitating with the
bile salts. Studies have been performed to address this question. Klaver and
Meer
77
concluded that the removal of cholesterol from the growth medium in
which L. acidophilus and a Bifidobacterium sp. were growing was not due to
assimilation, but due to bacterial bile salt deconjugase activity. The same
question was addressed by Tahri et al.,
78
with conflicting results, and they
concluded that part of the removed cholesterol was found in the cell extracts and
that cholesterol assimilation and bile acid deconjugase activity could occur
simultaneously.
The mechanism of cholesterol binding to bacterial cell walls has also been
suggested as a possible explanation for hypocholesterolaemic effects of
probiotics. Hosona and Tono-oka
79
reported Lactococcus lactis subsp. biovar
had the highest binding capacity for cholesterol of bacteria tested in the study. It
was speculated that the binding differences were due to chemical and structural
properties of the cell walls, and that even killed cells may have the ability to
bind cholesterol in the intestine. The mechanism of action of probiotics on
cholesterol reduction could be one or all of the above mechanisms with the
ability of different bacterial species to have varying effects on cholesterol
Coronary heart disease 123
lowering. However, more research is required to elucidate fully the effect and
mechanism of probiotics and their possible hypocholesterolaemic action.
5.6 The effects of prebiotics on coronary heart disease
5.6.1 Prebiotics
In recent years, there has been increasing interest in the important nutritional
role of prebiotics as functional food ingredients. This interest has been derived
from animal studies that showed markedly reduced TAG and total cholesterol
levels when diets containing significant amounts of a prebiotic (oligofructose
(OFS)) were fed. A prebiotic is defined as ¡®a non-digestible food ingredient that
beneficially affects the host by selectively stimulating the growth and/or the
activity of one or a number of bacteria in the colon, that has the potential to
improve health¡¯.
80
Prebiotics, most often referred to as non-digestible
oligosaccharides, are extracted from natural sources (e.g. inulin and OFS) or
synthesised from disaccharides (e.g. transgalacto-oligosaccharides). The most
commonly studied of the prebiotics include inulin and OFS which are found in
many vegetables, including onion, asparagus, Jerusalem artichoke and chicory
root (Dysseler and Hoffem).
81
These consist of between 2 and 60 fructose
molecules joined by C122-1 osidic linkages, which, due to the nature of this type of
linkage, escape digestion in the upper gastrointestinal tract and remain intact but
are selectively fermented by colonic microflora. Inulin is currently found as a
food ingredient of bread, baked goods, yoghurt and ice-cream because it
displays gelling and thickening properties and helps to improve the mouth feel
and appearance of lower energy products.
81
In Europe, the estimated intake of
inulin and OFS is between 2 g and 12 g per day.
82
5.6.2 The effect of prebiotics on lipid metabolism in humans
Several studies that have investigated the effects of prebiotics on fasting plasma
lipids have generated inconsistent findings (Table 5.8). In studies with
individuals with raised blood lipids, three studies showed significant decreases
in fasting total and LDL cholesterol, with no significant changes in TAG
levels,
83¨C85
whereas one recent study in type II diabetics did not observe any
change in cholesterol levels.
86
In normolipidaemic volunteers, only one study
has demonstrated significant changes in both fasting TAG (C027%) and total
cholesterol (C05%) levels with inulin
87
with another study showing a significant
decrease only in TAG levels.
88
However, Luo et al.
89
and Pedersen et al.
90
have
reported no effect of OFS or inulin treatment on plasma lipids levels in young
healthy subjects. In a group of middle-aged men and women, lower plasma TAG
levels were observed at eight weeks compared with a placebo.
91
It was
suggested that the lack of lipid lowering noted in the studies of Pedersen et al.
90
and Luo et al.
89
may be due to insufficient duration of supplementation. In the
study by Jackson et al.,
91
follow-up blood samples were taken four weeks after
124 Functional foods
Table 5.8 Summary of human studies to examine the effects of fructan supplementation on blood lipids
Author Subjects Fructan Dose Study design Duration Vehicle Significant changes
observed in
blood lipids glucose
Yashashati et al.
83
8M and 10F OFS 8 g DB, parallel 2 wks Packed coffee drink C35TC C35glucose
NIDDM Canned coffee jelly C35LDL-C
Hidaka et al.
84
37 (M & F) OFS 8 g DB, parallel 5 wks Confectionery C35TC NS
hyperlipidaemic
Canzi et al.
87
12 M Inulin 9 g Sequential 4 wks Breakfast cereal C35TAG N/A
normolipidaemic C35TC
Luo et al.
89
12 M OFS 20 g DB cross-over 4 wks 100 g biscuits NS NS
normolipidaemic
Pedersen et al.
90
66 F Inulin 14 g DB cross-over 4 wks 40 g margarine NS N/A
normolipidaemic
Causey et al.
88
9 M Inulin 20 g DB cross-over 3 wks Low fat ice-cream C35TAG NS
normolipidaemic
Davidson et al.
85
21 M and F Inulin 18 g DB cross-over 6 wks Chocolate bar/paste C35LDL-C N/A
hyperlipidaemia or coffee sweetener C35TC
Alles et al.
86
9 M and 11 F OFS 15 g SB cross-over 3 wks Supplement not specified NS NS
Type II diabetes
Jackson et al.
91
54 M and F Inulin 10 g DB, parallel 8 wks Powder added to TAG C35insulin
normolipidaemic food and drinks
Notes:
M, male; F, female; DB, double blind; N/A, not measured; NS, not significant; SB, single blind; TC, total cholesterol; LDL-C; LDL cholesterol; OFS, oligofructose;
TAG, triacylglycerol.
completion of the inulin supplementation period by which time the concentra-
tions of TAG had returned to baseline values, supporting the conclusion that
inulin feeding may have been responsible. These findings are in line with
observed effects of inulin on lipid levels in animals in which the predominant
effect is on TAG rather than cholesterol concentrations.
Raised post-prandial TAG concentrations have also been recognised as a risk
factor for CHD.
2
Data from studies in rats have shown a 40% reduction in post-
prandial TAG concentrations when diets containing 10% OFS (w/v) were fed.
92
However, very little information regarding the effect of prebiotics on post-
prandial lipaemia in human subjects are available, although one recent study in
middle-aged subjects has shown no effect of inulin treatment on post-prandial
TAG levels.
93
The marked reduction in fasting lipid levels, notably TAGs, observed in
animal studies have not been consistently reproduced in human subjects. Only
two studies in normolipidaemic subjects have shown significant reductions in
fasting TAG levels with inulin,
87, 88
with one study showing a significant effect
of inulin treatment over time on fasting TAG levels compared with the placebo
group.
91
The amount of fructans used in the human studies in Table 5.8 varies
between 9 g and 20 g and this amount is small compared to that which is used in
animal studies (50¨C200 g per kg of rat chow of OFS),
94
which is equivalent to a
dose in humans of approximately 50¨C80 g of OFS/inulin per day. The prebiotic
nature of OFS and inulin restricts its dosage in humans to 15¨C20 g per day since
doses greater than this can cause gastrointestinal symptoms such as stomach
cramps, flatulence and diarrhoea.
90
It is not known whether, at the levels used in
human studies, significant effects would be observed in animals.
95
The types of food vehicles used to increase the amount of OFS/inulin in the
diet differ. In the case of Luo et al.,
89
100 g of biscuits were eaten every day and
for Pedersen et al.,
90
40 g of margarine was consumed which may have
contributed to the negative findings in blood lipids. In the case of Davidson et
al.,
85
significant changes in total and LDL cholesterol levels were observed over
six weeks with inulin in comparison with the placebo (sugar). The percentage
change in each of the lipid parameters was calculated over each of the six-week
treatment periods and, unexpectedly, there was an increase in total cholesterol,
LDL cholesterol and TAG during the placebo phase. Non-significant falls in
these variables were observed during inulin treatment and so when the net
changes in the variables were calculated (change during inulin minus change
during control treatment) there were significant differences in total and LDL
cholesterol between the two treatments. The authors attributed the increase in
total and LDL cholesterol levels in the placebo phase to be due to the increased
intake of SFAs in the chocolate products that were used as two of the vehicles in
the study.
85
In later studies, the use of inulin in its powder form enabled it to be
added to many of the foods eaten in the subjects¡¯ normal diet without any need
for dietary advice, thus avoiding changes in body weight. Since inulin has water
binding properties, in its powder form it could be added to orange juice, tea,
coffee, yoghurt and soup.
91
126 Functional foods
The significant relationship between subjects¡¯ initial TAG concentration and
percentage change in TAG levels over the eight-week study demonstrated by
Jackson et al.
91
lends support to the hypothesis that initial TAG levels could be
important in determining the degree of the TAG response to inulin. The lack of
response in some individuals may be as a result of them being less responsive to
inulin, variations in their background diet, or non-compliance with the study
protocol. Speculation as to possible reasons for variability in response would be
aided by a better understanding of the mechanism of action of inulin on plasma
TAG levels.
The length of the supplementation period used in the studies in Table 5.8 may
be another factor for inconsistent findings in changes in TAG levels in human
subjects with inulin. The studies were conducted over two to eight weeks, with
significant effects occurring in only two studies conducted over three to four
weeks.
87, 88
The lack of lipid lowering noted in the studies of Alles et al.,
86
Pedersen et al.
90
and Luo et al.
89
may be due to insufficient duration of
supplementation. In the study of Jackson et al.,
91
a trend for TAG lowering on
inulin treatment was seen some time between four and eight weeks and this
reflects the time needed for the composition of the gut microflora to be
modified. A four-week wash-out seemed to be sufficient for the TAG
concentrations to return to baseline values. This may provide an explanation
for the significant findings in TAG levels in the studies of Canzi et al.
87
and
Causey et al.
88
who used 3¨C4 week sequential and cross-over designs with very
short wash-out periods.
While some of the studies, to date, support beneficial effects of inulin on
plasma TAG, the findings are by no means consistent and more work is required
to provide convincing evidence of the lipid-lowering consequences of prebiotic
ingestion.
5.6.3 Mechanism of lipid lowering by prebiotics
Prebiotics have been shown to be an ideal substrate for the health-promoting
bacteria in the colon, notably bifidobacteria and lactobacilli.
96
During the
fermentation process a number of byproducts are produced including gases
(H
2
S, CO
2
,H
2
,CH
4
), lactate and SCFAs (acetate, butyrate and propionate). The
SCFAs, acetate and propionate enter the portal blood stream where they are
utilised by the liver. Acetate is converted to acetyl CoA in the liver and acts as a
lipogenic substrate for de novo lipogenesis, whereas propionate has been
reported to inhibit lipid synthesis.
97, 98
Butyrate, on the other hand, is taken up
by the large intestinal cells (colonocytes) and has been shown to protect against
tumour formation in the gut.
99
The type of SCFAs that are produced during the
fermentation process is dependent on the microflora which can be stimulated by
the prebiotic. Inulin has been shown to increase both acetate and butyrate levels,
whereas synthetically produced prebiotics, for example galacto-oligosacchar-
ides, increase the production of acetate and propionate and xylo-oligosacchar-
ides increase acetate only.
99
Coronary heart disease 127
Inulin and OFS have been extensively studied to determine the mechanism of
action of prebiotics in animals. Early in vitro studies using isolated rat
hepatocytes suggested that the hypolipaemic action of OFS was associated with
the inhibition of de novo cholesterol synthesis by the SCFA propionate
following impairment of acetate utilisation by the liver for de novo
lipogenesis.
98
This is in agreement with human studies in which rectal infusions
of acetate and propionate resulted in propionate inhibiting the incorporation of
acetate into TAGs released from the liver.
100
Fiordaliso et al.
101
demonstrated
significant reductions in plasma TAGs, phospholipids and cholesterol in
normolipidaemic rats fed a rat chow diet containing 10% (w/v) OFS. The
TAG-lowering effect was demonstrated after only one week of OFS and was
associated with a reduction in VLDL secretion. TAG and phospholipids are
synthesised in the liver by esterification of fatty acids and glycerol-3-phosphate
before being made available for assembly into VLDL, suggesting that the
hypolipidaemic effect of OFS may be occurring in the liver. The reduction
observed in cholesterol levels in the rats was only demonstrated after long-term
feeding (16 weeks) of OFS. Recent evidence has suggested that the TAG-
lowering effect of OFS occurs via reduction in VLDL TAG secretion from the
liver due to the reduction in activity of all lipogenic enzymes (acetyl-CoA
carboxylase, fatty acid synthase, malic enzyme, ATP citrate lyase and glucose-
6-phosphate dehydrogenase), and in the case of fatty acid synthase, via
modification of lipogenic gene expression (see Fig. 5.5).
102
Fig. 5.5 Hepatic fatty acid metabolism
128 Functional foods
5.6.4 The effect of prebiotics on glucose and insulin levels
Very little is known about the effects of prebiotics on fasting insulin and glucose
levels in humans. Of the supplementation studies conducted in humans, a
significant reduction in glucose was observed in NIDDM subjects
83
and a trend
for a reduction in glucose was observed in hyperlipidaemic subjects
84
with OFS.
However, a recent study has reported no effect of OFS on blood glucose levels
in type II diabetics.
86
A significant reduction in insulin levels was observed in
healthy middle-aged subjects with inulin, although this was not accompanied by
changes in plasma glucose levels.
91
The effect of the ingestion of acute test
meals containing OFS on blood glucose, insulin and C-peptide levels in healthy
adults showed a trend for a lower glycaemic response and peak insulin levels
following the OFS enriched meals.
103
The mechanism of action of prebiotics on lowering glucose and insulin levels
has been proposed to be associated with the SCFAs, especially propionate. A
significant reduction in post-prandial glucose concentrations was observed
following both acute and chronic intakes of propionate-enriched bread.
104
The
effect of propionate intake on post-prandial insulin levels was not investigated.
A recent animal study has shown an attenuation of both post-prandial insulin and
glucose levels following four weeks of feeding with OFS. These effects were
attributed to the actions of OFS on the secretion of the gut hormones, glucose-
dependent insulinotropic polypeptide (GIP) and glucagon-like peptide 1 (GLP-
1).
92
These hormones are secreted from the small intestine (GIP) and the
terminal ileum and colon (GLP-1) and contribute to the secretion of insulin
following a meal in the presence of raised glucose levels.
105
In summary, the mechanisms of action of prebiotics, especially inulin and OFS,
have been determined largely from animal studies. Present data suggest inhibition
of de novo lipogenesis as the primary mode of action of prebiotics in mediating
their lipid-lowering effects via down regulation of the enzymes involved. If this is
the case, more modest or inconsistent effects might be expected in humans, in
whom de novo lipogenesis is extremely low, or variable depending on their
background diet. In animal studies, rats are fed a diet that is low in fat and high in
carbohydrate and so de novo lipogenesis is an up-regulated pathway in these
animals for the synthesis of fatty acids. It is interesting to note that when rats are
fed OFS along with a high fat diet typical of the Western-style diet, TAG levels
are thought to be decreased by a different mechanism involving the enhanced
clearance of TAG-rich lipoproteins. An increased GIP secretion in OFS-treated
rats was observed by Kok et al.
92
and this gut hormone has been shown to enhance
the activity of LPL, the principal enzyme involved in the clearance of TAG-rich
lipoproteins following the ingestion of fat.
106
The release of GIP and GLP-1 in the
intestine and colon may act as mediators of the systemic effect of prebiotics such
as inulin and OFS, on blood lipid, insulin and glucose levels. However, further
work is required to determine the metabolic pathways that are influenced by
prebiotics. Their effect on gastrointestinal kinetics such as gastric emptying and its
modification of the levels of TAG-rich lipoproteins (CMs) and glucose in the
circulation has recently been proposed as a potential modulator of systemic
Coronary heart disease 129
effects.
107
Therefore the design of future studies to investigate the effect of
prebiotics in humans should consider the choice of subjects, length of
supplementation period and type of vehicle used to increase the intake of
prebiotics in the diet, as these variables may influence the outcome of the study.
5.7 The effects of synbiotics on coronary heart disease
5.7.1 Synbiotics
A synbiotic is defined as ¡®a mixture of a prebiotic and a probiotic that
beneficially affects the host by improving the survival and the implantation of
live microbial dietary supplements in the gastrointestinal tract, by selectively
stimulating the growth and/or by activating the metabolism of one or a limited
number of health promoting bacteria¡¯.
108
The use of synbiotics as functional
food ingredients is a new and developing area and very few human studies have
been performed looking at their effect on risk factors for CHD. Research
conducted so far with synbiotics have looked at their effect on the composition
of the gut microflora. In one study in healthy subjects, a fermented milk product
containing a Bifidobacterium spp. with or without 18 g of inulin was given daily
for 12 days.
109
The authors concluded that the administration of the fermented
milk product (probiotic) substantially increased the proportion of bifidobacteria
in the gut, but that this increase was not enhanced by the addition of 18 g of
inulin. The composition of the gut microflora was then assessed two weeks after
completing the supplementation period and it was found that subjects who
received the fermented milk product and inulin maintained their bifidobacterial
population in the gut compared with the subjects receiving the fermented milk
product only. Although a synergistic effect on bifidobacteria in the gut was not
observed with the synbiotic, these results suggest that either there was better
implantation of the probiotic or a prebiotic effect on indigenous bifidobacter-
ia.
109
Maintenance of high numbers of bifidobacteria in the gut may be
beneficial in terms of healthy gut function; however, its effect on the lowering of
blood lipid levels remains to be investigated. A more recent study has shown
that a lower dose of prebiotic (2.75 g) added to a lactobacillus fermented milk
was able to increase significantly the number of bifidobacteria when fed over a
seven-week period in healthy human subjects.
108
If this effect was a result of the
synbiotic product used in this study, the use of lower doses of prebiotics that can
be used in synbiotic preparations should help to reduce gastrointestinal
complaints observed when a prebiotic is used alone and improve the
acceptability of these types of products by the general public.
5.8 Future trends
In recent years, a number of food manufacturers in the USA and Europe have
been interested in the commercial opportunities for foodstuffs containing health-
130 Functional foods
promoting probiotics and prebiotics. These food ingredients have received
attention for their beneficial effects on the gut microflora and links to their
systemic effects on the lowering of lipids known to be risk factors for CHD,
notably cholesterol and TAG. Early attention was given to the incorporation of
probiotics into dairy products such as fermented milk products (Yakult and
Actimel Orange milk drink) and yoghurts, whose market is currently estimated
at US$2 billion.
110
Prebiotics are currently gaining interest and this has opened
up the market away from the dairy industry to other areas of the food industry
since prebiotics can be baked into bread, cereals, cakes, biscuits and even added
to soups. Synbiotics have also generated interest with some food manufacturers
who are exploiting the effects of combining a prebiotic with a probiotic
(Symbalance and PROBIOTIC plus oligofructose).
While consumers are interested in the concept of improving their health and
well-being through diet, this is not quite so straightforward as originally thought.
Recent bad press regarding food safety and the introduction of GM foods has
made the public sceptical about new ingredients in foods. For progress to be
made, the consumers need to be educated about the various health benefits and
how they will be able to use these products in their own diet without adverse
consequences. Although the introduction of probiotics onto the supermarket
shelves are slowly being accepted in the UK population, carefully controlled
nutrition studies need to be carried out to determine the beneficial effects of
prebiotics, probiotics and synbiotics before substantial health claims can be
made.
To make these foods attractive to the consumer, the products need to be
priced in such a way that they are accessible to the general public. The low doses
of prebiotics and probiotics needed to help maintain a healthy gut microflora
should be made available to the general public, whereas products that contain
higher amounts of prebiotics in order to help reduce blood lipids will need to be
restricted in order for the appropriate population group to be targeted.
5.9 Sources of further information and advice
5.9.1 General biochemistry and metabolic regulation text books
DEVLIN, T.M. Textbook of Biochemistry with Clinical Correlations, 3rd edn, New
York, John Wiley, 1992.
FRAYN, K.N. Metabolic Regulation: A Human Perspective, London, Portland
Press, 1996.
5.9.2 Published reports on dietary intake and coronary heart disease
Department of Health, Nutritional Aspects of Cardiovascular Disease, Report
on Health and Social Subjects, no. 46, London, HMSO.
Coronary heart disease 131
5.9.3 Prebiotic, probiotic and synbiotic information
ADAMS, C.A. ¡®Nutricines¡¯, Food Components in Health and Nutrition,
Nottingham, Nottingham University Press, 1999.
HASLER, C.M. and WILLIAMS, C.M. ¡®Prebiotics and probiotics: where are we
today?¡¯, BJN, 80, supp. 2.
LEEDS, A.R. and ROWLAND, I.R. Gut Flora and Health: Past, Present and Future,
International Congress and Symposium Series 219, Royal Society of
Medicine, 1996.
SADLER, M.J. and SALTMARSH, M. Functional Foods: The Consumer, the Products
and the Evidence, Bath, Bookcraft, 1997.
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ROBERFROID, R.M. and DELZENNE, N. ¡®Dietary oligofructose lowers
138 Functional foods
triglycerides, phospholipids and cholesterol in serum and very low density
lipoproteins in rats¡¯, Lipids, 1995, 30, 163¨C7.
102 DELZENNE, N.M. and KOK, N. ¡®Effect of non-digestible fermentable
carbohydrates on hepatic fatty acid metabolism¡¯, Biochem Soc Trans,
1998, 26, 228¨C30.
103 RUMESSEN, J.J., BODE, S., HAMBERG, O. and GUDMAND-HOYER, E. ¡®Fructans
of the Jerusalem artichokes : intestinal transport, absorption, fermentation,
and influence on blood glucose, insulin, and C-peptide responses in
healthy subjects¡¯, Am J Clin Nutr, 1990, 52, 675¨C81.
104 TODESCO, T., RAO, A.V., BOSELLO, O. and JENKINS, D.J.A. ¡®Propionate lowers
blood glucose and alters lipid metabolism in healthy subjects¡¯, Am J Clin
Nutr, 1991, 54,860¨C5.
105 MORGAN, L.M. ¡®The role of gastrointestinal hormones in carbohydrate and
lipid metabolism and homeostasis: effects of gastric inhibitory polypeptide
and glucagon-like peptide-1¡¯, Biochem Soc Trans, 1998, 26, 216¨C22.
106 KNAPPER, J.M., PUDDICOMBE, S.M., MORGAN, L.M. and FLETCHER, J.M.
¡®Investigations into the actions of glucose dependent insulinotrophic
polypeptide and glucagon-like peptide-1 (7-36) amide on lipoprotein
lipase activity in explants of rat adipose tissue¡¯, J Nutr, 1995, 125,183¨C8.
107 DELZENNE, N. ¡®The hypolipidaemic effect of inulin: when animal studies
help to approach the human problem¡¯, BJN, 1999, 82,3¨C4.
108 ROBERFROID, M.B. ¡®Prebiotics and synbiotics: concepts and nutritional
properties¡¯, BJN, 1998, 80 (supp. 2), S197¨CS202.
109 BOUHNIK, Y., FLOURIE, B., RIOTTOT, M., BISETTI, N., GAILING, M., GUIBERT, A.,
BORNET, F. and RAMBAUD, J. ¡®Effect of fructo-oligosaccharides ingestion
on fecal bifidobacteria and selected metabolic indexes of colon
carcinogenesis in healthy humans¡¯, Nutrition and Cancer, 1996, 26,21¨C9.
110 YOUNG, J. ¡®European market developments in prebiotic- and probiotic-
containing foodstuffs¡¯, BJN, 1998, 80 (supp. 2), S231¨CS233.
111 BAZARRE, T.L., WU, S.L. and YUHAS, J.A. ¡®Total and HDL-cholesterol
concentration following yoghurt and calcium supplementation¡¯, Nutri-
tional Reports International, 1983, 28, 1225¨C32.
112 TAYLOR, G.B.J. and WILLIAMS, C.M. ¡®Effect of probiotics and prebiotics on
blood lipids¡¯, BJN, 1998, 80 (supp. 5), S225¨CS230.
Coronary heart disease 139
6.1 Introduction
Cancer is as old as the human race but what little evidence is available suggests
that it was probably a relatively rare disease in the ancient world. In most
populations, the principal causes of death are infant mortality, infectious disease
and the chronic conditions of old age ¨C principally cancer, heart disease and
stroke. Deaths from the first two causes tend to decline dramatically with
increasing prosperity, so cancer and cardiovascular disease inevitably cause a
larger proportion of deaths in industrialised countries than they do in the
developing world. Nevertheless, the precise reasons for the high levels of death
from cancer experienced today in developed countries are controversial. Since
cancer is largely a disease of old age, its prevalence will inevitably rise with the
average longevity of the population but other factors seem to be at work in
prosperous countries. Even in the nineteenth century it was possible for Tanchou
to propose that increasing rates of cancer were a characteristic of urban
societies,
1
and careful international studies of age-corrected rates for cancer
continue to support this view.
2
A classic illustration of the historical association
between increased industrialisation and cancer rates is provided by Japan, where
until quite recently rates of breast and colorectal cancer were four to five times
lower than in the USA and many countries of Northern Europe, whereas
stomach cancer was several times more common. Since 1970 rates of breast and
bowel cancer have risen steeply in Japan, but stomach cancer, as in many other
industrialised countries, has declined. The explanation for these changes must lie
in some aspect of environment or lifestyle, but despite decades of
epidemiological and laboratory investigation we are still far from understanding
the factors that determine the risk of cancer at sites other than the lung.
6
Anti-tumour properties
I.T. Johnson, Institute of Food Research, Norwich
In their classic epidemiological analysis of this issue, Doll and Peto
3
estimated that diet was responsible for approximately 35% of cancers in the
West; however, the uncertainty attached to this estimate was very high, and the
precise causes virtually unknown. More recently, in an encyclopaedic report on
nutrition and cancer, the World Cancer Research Fund
4
has confirmed the
central importance of diet as a major determinant of many forms of cancer
across the globe, and stated that the sharp increase in cancer rates in the
developing world should be regarded as a global public health emergency.
The interactions between diet and the biological processes leading to the
development of cancer are extremely complex but one can envisage three
general factors that are potentially important in any human population. The first
is the presence in food of carcinogenic compounds which play an active role in
damaging cells and inducing tumours. This topic is largely beyond the scope of
this chapter, but in any case its relevance to Western industrialised societies is
questionable. Although there are many proven carcinogens in our diets, the
human body is equipped with efficient defences, and the level of exposure is
usually far too low to be of relevance to health. One obvious exception to this
rule is the chronic exposure of many of us to ethanol from alcoholic drinks, but
the decision to drink alcohol lies in the hands of the consumer, and there is
evidence that there are protective effects of alcohol against heart disease,
5
and
these may well outweigh the adverse effects on cancer.
The second issue is the adequacy of nutrient intake, and the possibility that
certain deficiencies might influence an individual¡¯s susceptibility to cancer. The
risks of cancer tend to be greater at the lower end of the socio-economic scale in
many Western countries. The reasons for this are complex; part of the reason
may be that though there is little evidence that this is due to malnutrition in the
classical sense, it remains possible that optimal levels of certain nutrients may
be higher than is currently accepted. Finally, susceptibility to cancer may be
increased by an inadequate intake of biologically active food components that
exert anti-carcinogenic effects, but which are not currently classified as
nutrients in the conventional sense. Over the past two decades a large body of
epidemiological evidence in favour of a protective effect of plant foods has
appeared and become generally accepted by nutritionists and regulatory
bodies.
4, 6, 7
The widespread promulgation of public health measures to
encourage the consumption of five 80 g portions of fruits and vegetables per
day has been one outcome of this consensus, and another has been a remarkable
growth of interest in the possibility that the active principles in fruits,
vegetables and cereals might be incorporated into functional foods. The purpose
of this chapter is to review the nature of cancer, to explore the various ways in
which diet can influence the initiation and development of this group of
diseases, and to consider the potential role of functional food in their
prevention.
142 Functional foods
6.2 The nature of tumour growth
The existence of cancer and the distinction between benign and malignant
tumours were recognised by the early Greek physicians, who coined the term
¡®carcinoma¡¯, derived from the Greek karkinos, meaning ¡®crab¡¯, alluding to the
creeping crab-like behaviour of a spreading tumour. The development of
microscopy eventually led to the recognition that tumours contained cells that
differed fundamentally in appearance and behaviour from those of the
surrounding tissue. Oncology, the scientific investigation and clinical treatment
of tumours, was founded in the early years of this century but it is only within
the last two decades that the development of the cell and molecular sciences has
enabled biologists to begin to acquire a deeper understanding of tumour biology.
Much of this insight has been gained through the use of isolated tumour cells
grown in vitro, and of animal models of carcinogenesis, which enable tumours to
be studied within the complex environment of living tissue. Both of these
approaches have their limitations and we are still far from a full understanding
of cancer in human beings.
All cancers are diseases of abnormal cell proliferation, development and
death. During the earliest stages of human life all of the embryonic cells divide
constantly, and differentiate to form the specialised tissues and organs.
Throughout infancy and childhood cell proliferation continues at whatever
rates are necessary to fulfil the requirements of growth, but as maturity is
reached organs such as the central nervous system, muscles and skeletal tissues
cease to grow, and cell division becomes minimal. However, certain tissues
continue to proliferate throughout life. These include the blood-forming tissues,
the epithelia which line the surfaces of the body exposed to the environment, the
glandular tissues which produce secretions, and the sexual organs which produce
new reproductive cells. Cancer can affect virtually any organ of the body but
tissues such as those of the lungs and gut, which have characteristically high
rates of cell division and chronic exposure to the external environment, are
particularly vulnerable.
6.2.1 Tumour cell biology
A tumour can be defined as any focal accumulation of cells beyond the numbers
required for the development, repair or function of a tissue. Tumours may be
benign or malignant. The former are usually relatively slow growing, but more
importantly the cells tend to retain much of the specialisation and spatial
localisation of the tissue from which they are derived. In contrast, malignant
cells are characterised by a loss of differentiation, faster growth and a tendency
to invade surrounding tissues and migrate to other organs to form secondary
tumours or metastases. Thus cancer may be defined as the development, growth
and metastatic spread of a malignant neoplasm. Malignant tumours derived from
epithelial cells are called carcinomas, and those derived from connective or
mesenchymal cells are called sarcomas. It is usually the secondary tumour that is
Anti-tumour properties 143
lethal, so the early diagnosis of malignant primary tumours is essential for
effective treatment.
6.2.2 Molecular biology
Regardless of their function in the body, all cells carry a complete set of genetic
instructions for the development and function of the whole organism. The subset
of genes which is expressed by any particular cell type determines its phenotype,
the precise details of the structure, specialised functions and life cycle of the cell
which enable it to exist in harmony with other cells as part of a tissue. The
events that occur during the early stages of cancer development usually involve
damage to the DNA coding for such crucial genes.
With the exception of certain cancers of childhood which often affect
growing tissues such as the brain or bones, carcinogenesis ¨C the development of
cancer from normal cells ¨C is usually a relatively slow process which occupies a
substantial proportion of the lifetime of an individual. Tumour cells invariably
contain a number of mutations affecting genes controlling the rate at which cells
divide, differentiate or die, or the efficiency with which DNA damage is
repaired.
8, 9
Such mutations may be inherited though the germ-line, and these
form the basis for a number of recognised familial cancer syndromes, but most
of the genetic abnormalities detectable in sporadic cancers, which are far more
common, are somatic mutations acquired during carcinogenesis. Such damage
may result from exposure to radiation or chemical mutagens, or through the
effects of molecular species such as oxygen free radicals generated by the
normal metabolism of the body. Whatever the source of the DNA damage,
however, the defining characteristic of a pro-carcinogenic mutation is that it
favours the proliferation and survival of an abnormal population of cells that
have the potential for further evolution towards the malignant state.
10
Chemical
carcinogens such as those present in tobacco smoke tend to be electrophiles ¨C
substances that can react easily with electron-rich regions of cellular proteins
and DNA. The products formed by such interactions with DNA are called
adducts. These are stable compounds which disrupt the synthesis of new DNA
when the cell next divides, so that the sequence of genetic code in that region is
damaged and the new cell carries a mutation. Many chemical carcinogens must
be activated to an electrophilic form before they can act and, ironically, this
often occurs as part of the sequence of events employed by the cell to detoxify
the parent molecule or pro-carcinogen.
Many of the target genes that undergo mutation during carcinogenesis have
been identified and their functions and interactions with other genes are at least
partially understood.
11
The proto-oncogenes were first identified through their
near-homology to the critical DNA sequences present in certain cancer-causing
viruses which, when inserted into mammalian cells, would transform them into
tumours. These so-called viral oncogenes have evolved through the ¡®capture¡¯
and exploitation of mammalian genes by viruses. In their original form such
genes are essential components of normal mammalian cellular physiology and
144 Functional foods
are expressed, usually to facilitate increased cellular proliferation, only at
critical stages in the development or function of a tissue. When such ¡®proto-
oncogenes¡¯ are activated inappropriately within the mammalian genome,
without the intervention of a virus, they are termed ¡®oncogenes¡¯. This can
occur because of a mutation to the control sequence for the gene, causing over-
expression of the normal product, or a mutation in the coding sequence itself,
giving rise to a product that functions normally but which cannot be broken
down. For example, the K-ras gene, which codes for a protein-regulating cell
proliferation, is mutated and hence abnormally expressed early in the
development of approximately 40% of human colorectal carcinomas.
12
In contrast to the proto-oncogenes, over-expression of which creates
conditions that favour tumour growth, it is the loss of expression of a tumour-
suppressor gene that facilitates development of malignant characteristics in a
cell. The p53 gene is a good example.
13
The p53 product is a protein of
molecular weight 53 kD, which functions as a regulator of cell proliferation, and
as a mediator of programmed cell death in response to unrepaired DNA damage.
The absence of p53, or its presence in a mutated and therefore non-functional
form, allows cells bearing other forms of DNA damage to continue dividing
rather than undergoing apoptosis.
14, 15
There are familial forms of cancer caused
by an inherited p53 defect, and acquired mutations of this gene are among the
most common genomic abnormalities found in a variety of human cancers.
According to the ¡®two hit hypothesis¡¯ for the functional role of tumour-
suppressor genes, mutations at both alleles are required to fully inactivate the
tumour suppressor activity of such genes.
16
However, another important
mechanism for the induction of genetic abnormalities has attracted attention
in recent years. Cytosine bases in the DNA backbone can acquire a methyl group
which, if they lie within the promoter region of a gene, can cause it to be
¡®silenced¡¯ or, in effect, switched off.
17
This is a normal mechanism for the
regulation of gene expression but it is becoming clear that abnormal DNA
methylation can also occur and be transmitted across successive cell divisions.
This provides a so-called ¡®epigenetic¡¯ mechanism for the inactivation of genes
regulating tumour suppression or DNA repair, which can contribute to the
complex series of events leading to the development of a tumour.
18
6.3 Models of carcinogenesis
The simplest experimental model of carcinogenesis is the three-stage model
consisting of initiation, promotion and progression.
19
At the initiation stage, a
single cell is thought to acquire a mutation and then divide repeatedly so that the
mutation is passed on to a clone of daughter cells, thus forming a focal lesion
that can survive and grow at the expense of neighbouring cells. During
promotion, the normal constraints on proliferation and spatial organisation
within the affected tissue are disrupted further, and the appearance of further
mutations to proto-oncogenes and tumour suppressor genes leads to a
Anti-tumour properties 145
progressive loss of differentiation and orderly growth. The genes involved in this
transition to cancer, and the functions they perform, are under intensive
investigation and are particularly well characterised in the intestinal epithe-
lium.
20
At the progression stage the lesion has made the transition to malignancy and
can give rise to secondary tumours at remote sites. Animal models have been
used to identify specific carcinogenic substances which can act as mutagens at
the initiation stage but do induce malignancy on their own, promoters which
cannot initiate tumours but do accelerate tumour development after initiation,
and complete carcinogens, which can do both. As we shall see later, this
approach has also been used to identify inhibitors of carcinogenesis and to
delineate their mode of action. The difficulty with animal models of
carcinogenesis is that they usually require the application of large doses of
carcinogens and promoters to groups of rodents, so that a high tumour yield is
obtained during the course of the experiment. Such techniques are a poor model
for induction of human cancers because these are usually caused by very
prolonged exposure to a complex array of unknown carcinogenic stimuli over
the course of a lifetime. However, there is no doubt that much of the
fundamental understanding of tumour biology that has been gained from animal
studies applies also to human disease.
6.4 Diet and gene interactions
As we have seen, carcinogenesis is a prolonged multi-stage process which
usually occurs over many years. Because of its complexity there are, in
principle, many critical steps at which food-related substances or metabolic
processes may interact with the sequence of events so as to accelerate, delay or
even reverse it. Diet-related anti-carcinogenesis can usefully be classified into
blocking mechanisms, which operate during the initiation phase of carcinogen-
esis, and suppressing mechanisms, which delay or reverse tumour promotion at a
later stage.
21, 22
A schematic illustration of these concepts and a summary of the
mechanisms through which they may act is given in Fig. 6.1.
The principal blocking mechanism through which dietary constituents are
thought to act is modulation of the Phase I and Phase II biotransformation
enzymes which are expressed strongly in the gastrointestinal mucosa and in the
liver and act as a first line of defence against toxic substances in the
environment.
23
Phase I enzymes such as the cytochrome P450 complex catalyse
oxidation, reduction and hydrolytic reactions, thereby increasing the solubility
of potentially toxic compounds. However, this phase may also create
electrophilic intermediates and hence activate pro-carcinogens. Phase II
enzymes such as glutathione S-transferase act on the products of Phase I
metabolism to form conjugates, which generally reduces their reactivity and
increases their excretion. Thus, the biological activity of a carcinogen will often
depend upon the relative activities of the Phase I and II enzymes involved in its
146 Functional foods
Fig. 6.1 Hypothetical sites of interaction between anti-carcinogenic substances in the diet and the progressive stages of carcinogenesis. Blocking
agents are those acting to prevent initiation, whereas suppressing agents act to inhibit the development of tumours from initiated cells. (Reproduced
from Johnson et al., 1994).
21
metabolism. Pharmacological and dietary treatments can be used to block Phase
I enzymes and enhance Phase II activity, so as to minimise the activation of
carcinogens and increase their excretion. There is good evidence from
experimental animal studies that this strategy can reduce DNA damage and
tumour yield.
24
Experimental animal studies have also shown that some substances can
inhibit the appearance of tumours, even when given days or weeks after
exposure to a chemical carcinogen.
25
Hence the mechanism of action cannot
involve protection against DNA damage, but instead be due to some reduction in
the rate at which initiated cells develop into tumours (Fig. 6.1). Suppression of
carcinogenesis may involve inhibition of mitosis and increased expression of the
differentiated phenotype, which serves to reduce the clonal expansion of
initiated cells, or an increased susceptibility to undergo programmed cell death
or apoptosis, which can eliminate pre-cancerous cells from the tissue.
26, 27
6.5 Mechanisms of action: nutrients
6.5.1 General nutrition
Although prolonged energy, protein or micronutrient malnutrition may increase
an individual¡¯s risk of developing cancer, perhaps by reducing the effectiveness
of the immune system, life expectancy in societies with large malnourished
populations is low, and infectious diseases are more likely to be the principal
causes of illness and mortality. In prosperous Western societies, over-
consumption of energy, coupled with inadequate exercise, appears to be a
major risk factor for cancer. The World Cancer Research Fund report on diet and
cancer
4
made some general recommendations on food supply, eating and related
factors. For individuals, the general advice was to consume nutritionally
adequate and varied diets based predominantly on fruits, vegetables, pulses and
minimally processed starchy foods. Overweight, defined as body mass index
(BMI: weight in kg/[height in metres]
2
) in excess of 25 is associated with a rise
in the relative risk of most cancers, and frank obesity is particularly associated
with cancers of the breast and endometrium. For these reasons the report
recommended that BMI should be maintained between 18.5 and 25. The
committee did not consider that fat consumption was directly associated with
cancer risk, but it did recommend that fat should contribute no more than 30% of
total energy consumption, so as to reduce the risk of weight gain.
The general recommendations on energy and fat intake are similar to those
for the avoidance of heart disease and are not in themselves very relevant to the
concept of functional foods. However, the recommendation to consume a variety
of fruits and vegetables is based partly on the putative presence of diverse
protective factors in plant foods. This concept does provide, at least in principle,
a rationale for the development of functional products with desirable biological
effects beyond the simple provision of nutrients at a level that prevents
symptoms of deficiency.
148 Functional foods
6.5.2 Antioxidant nutrients
As mentioned earlier, mutations can occur as a result of oxidative damage to
DNA caused by free radicals generated as a damaging side-effect of aerobic
metabolism.
28
Superoxide radicals are formed by the addition of an electron to
molecular oxygen. These highly reactive species can then acquire a further
electron and combine with protons to form hydrogen peroxide. In the presence
of transition metal ions such as Fe2
+
and Cu2
+
, hydrogen peroxide can break
down to give even more highly reactive hydroxy radicals which may damage
DNA directly, or participate in self-propagating chain reactions with membrane
lipids. Plant and animal cells defend themselves against these effects by
deploying so-called antioxidant compounds to trap or quench free radicals and
hence arrest their damaging reactions. A variety of defence systems based on
both water- and lipid-soluble antioxidant species and on antioxidant enzymes are
deployed throughout the intra- and extracellular environment, at the sites most
vulnerable to pro-oxidant damage. Many of those in the human body are
dependent upon antioxidants derived from the diet. The theory that free radicals
are a major cause of human cancer and that the risk of disease can be reduced by
increased consumption of food-borne antioxidants has prompted an enormous
growth of interest in antioxidant nutrients and other antioxidant substances in
food.
29
It is worth noting, however, that the role of mutagenesis due to oxygen
free radicals in the pathogenesis of human cancers remains largely hypothe-
tical,
28
and attempts to prevent cancer by intervention with high doses of
antioxidant vitamins have been largely unsuccessful.
30, 31
Vitamin E
The major lipid-soluble antioxidant is vitamin E, first isolated from wheatgerm
oil and obtained principally from nuts, seed oils and cereals. Vitamin E is
actually a collective term for eight compounds: a-, b-, g- and d- tocopherol, and
a-, b-, g- and d- tocotrienol, but RRR-a-tocopherol, accounts for 90% of
endogenous vitamin E activity in humans. All the tocopherols and tocotrienols
contain a hydroxyl-bearing aromatic ring structure, which enables them to
donate hydrogen to free radicals, and thus act as biological antioxidants. The
unpaired electron which results from hydrogen donation is delocalised into the
ring structure of the tocopherol, rendering it relatively stable and unreactive.
Chain reactions initiated by hydroxy radicals can be broken by the formation of
a stable radical as a result of interaction with vitamin E.
32
Vitamin E is readily
incorporated into cell membranes, which, being rich in polyunsaturated fatty
acids, are highly susceptible to damage by free radicals derived from metabolic
activity. In humans, frank symptoms of vitamin E deficiency are only seen in
premature infants or malabsorption states, but intakes higher than are required to
protect against deficiency may provide additional protection against free-radical
mediated DNA damage. Epidemiological studies show a strong inverse
correlation between risk of cancer and vitamin E intake at the population level,
but the association is not corroborated by studies of individuals taking
supplements.
33
Moreover a well-controlled investigation designed to test the
Anti-tumour properties 149
hypothesis that dietary supplementation with vitamins C and E would reduce the
recurrence of adenomas in patients who had undergone polypectomy showed no
evidence of a protective effect.
31
Similarly a prolonged placebo-controlled
intervention with vitamin E or vitamin E and beta-carotene failed to prevent the
development of lung cancer in smokers.
30
Carotenoids
Approximately 500 carotenoids have been identified in vegetables and fruits
used as human foods, but the vast majority of these compounds occur at low
concentrations and are probably of little nutritional importance. By far the most
well-known and intensively studied of the carotenoids is beta-carotene,
34
which
is a precursor for vitamin A, but the increased interest in dietary antioxidants in
recent years has focused attention on other carotenoids such as lycopene and
lutein which are abundant in tomatoes and coloured vegetables.
35, 36
The
molecular structure of the carotenoids includes an extended chain of double
bonds which enables them to function as antioxidants. Carotenoids are released
from plant foods in the small intestine and absorbed in conjunction with dietary
fat. Beta-carotene is converted into vitamin A by enzymes in the intestinal
mucosa but it is detectable in human plasma, at levels that are related positively
to the dietary intake of fruits and vegetables, and at least ten other carotenoids
have also been recorded in human blood.
There is good epidemiological evidence for an inverse association between
intake of carotenoids and lung cancer, and weaker evidence for protective effects
against cancers of the alimentary tract.
37
The possibility that carotenoids might
express antioxidant activity in human tissues, thereby protecting cell membranes,
proteins and DNA against damage by free radicals, provides a plausible rationale
for these associations, but once again the causal link has not been proven and the
possibility remains that carotenoids are acting as markers for fruit and vegetable
intake which may be beneficial for other reasons.
36
Intervention trials with beta-
carotene have proved disappointing. The Alpha-Tocopherol Beta-Carotene
(ATBC) study, which involved over 29,000 male smokers, and included a
cohort given 20 mg beta-carotene daily for up to eight years, produced no
evidence for a protective effect against cancer at any site. On the contrary, there
was a higher incidence of lung, prostate and stomach cancer in the beta-carotene
group.
30
Similarly the CARET study, in which subjects received 30 mg beta-
carotene and 25,000 international units of retinol per day, was terminated because
of an increase in deaths from lung cancer in the treatment group.
38
There is no
suggestion that beta-carotene is toxic in any other circumstances, even when
given at pharmacological doses for long periods to treat photosensitivity
disorders,
39
but the evidence suggests that it may act as a tumour promoter when
taken by subjects already harbouring pre-cancerous lesions induced by chronic
exposure to tobacco smoke. Under these circumstances it is obviously
inappropriate to encourage the development and consumption of functional
foods designed to provide consumers with high doses of carotenoids, but the
general advice to increase fruit and vegetable consumption remains valid.
150 Functional foods
Vitamin C
Vitamin C occurs as L-ascorbic acid and dihydroascorbic acid in fruits,
vegetables and potatoes, as well as processed foods to which it has been added
as an antioxidant. The only wholly undisputed function of vitamin C is the
prevention of scurvy. Although this is the physiological rationale for the
currently recommended intake levels, there is growing evidence that vitamin
C may provide additional protective effects against other diseases including
cancer, and the RDA may be increased in the near future. Scurvy develops in
adults whose habitual intake of vitamin C falls below 1 mg/d, and under
experimental conditions 10 mg/d is sufficient to prevent or alleviate
symptoms.
40
The recommended dietary allowance (RDA) is 60 mg per day
in the USA, but plasma levels of ascorbate do not achieve saturation until
daily intakes reach around 100 mg.
41
Ascorbate is probably the most effective
water-soluble antioxidant in the plasma. It scavenges and reduces nitrite, thus
inhibiting the formation of carcinogenic N-nitroso compounds in the stomach,
and in vitro studies suggest that it plays a protective role against oxidative
damage to cell constituents and circulating lipoproteins.
42
The epidemiolo-
gical evidence is consistent with a protective effect of vitamin C against
cancers of the stomach, pharynx and oesophagus in particular,
43
but the
evidence for causality remains inconclusive because of the sheer complexity
of the composition of fruits and vegetables, which are the main source of the
vitamin in the unsupplemented diet. Byers and Guerrero
33
considered the
collective evidence from a large series of case-control and cohort studies in
which intakes of fruits and vegetables, and of vitamins C and E from food or
from supplements, were determined. There was a strong and consistent
protective effect of fruits and vegetables against cancers of the alimentary
tract and lung and a correlation with estimated vitamin C intake based on fruit
and vegetable composition. However, there were considerable confounding
effects of other dietary constituents and the evidence for a protective effect of
vitamin C from supplements was less convincing. Most of the ascorbate in
human diets is derived from natural sources, and consumers who eat five
portions, or about 400¨C500 g, of fruits and vegetables per day could obtain as
much as 200 mg of ascorbate. Nevertheless, given the low cost and low
toxicity of ascorbate, it seems likely that there will be a continuing trend
towards supplementation of foods.
6.5.3 Folate
In historical terms, folates are among the most recently identified of the
vitamins. Wills was the first to describe a form of anaemia associated with
pregnancy and malnutrition which could be cured by yeast or liver extract.
44, 45
The active constituent of these dietary supplements was eventually isolated as
folic acid (pteroylglutamic acid), a water-soluble substance containing a
pteridine ring linked to para-aminobenzoic acid and glutamic acid. Naturally
occurring folates originate from green plants and yeast cells, and are plentiful in
Anti-tumour properties 151
liver and kidney. They are usually reduced and substituted in the pteridene
moiety, and contain up to seven glutamate residues. Dietary folates are
deconjugated to the monoglutamic form at the surface of the intestinal mucosa,
actively transported and mostly metabolised by the epithelial cells to the main
circulating form which is 5-methyltetrahydrofolic acid. The principal metabolic
role of folates and their derivatives is to act as coenzymes in reactions involving
transfer of single carbon groups during the synthesis of amino acids and DNA.
This accounts for their vital role in the support of growth, pregnancy and the
production of blood cells. It has been conclusively established that an inadequate
supply of folates during the early stages of embryonic development increases the
risk of neural tube defects,
46
and a number of foods, including breakfast cereals
and bread, are now routinely enriched with folic acid. Growing interest in the
relationship between human folate status and the long-term risk of disease will
probably ensure that this trend continues.
It is well established that folate-deficient diets are associated with increased
risk of hepatic cancer in animal models.
47
Rats fed diets deficient in methyl
donating groups have higher rates of cell proliferation, increased DNA damage
and a higher susceptibility to experimentally induced cancers, which appears to
result from changes in gene expression associated with abnormalities of DNA
synthesis.
48
The precise relationship between folate metabolism and carcino-
genesis is unclear, but the link may lie in the role that folate coenzymes play in
the control of DNA methylation. In mammals and many other organisms the
cytosine nucleotides in the DNA backbone frequently become methylated by the
enzyme DNA-methyltransferase (DNA-MTase) after replication. As mentioned
earlier, the methylation pattern of the cytosine residues is now believed to be an
important determinant of gene expression. Much remains to be learned about
this topic, but in general, loss of methylation could cause abnormal expression of
oncogenes controlling cell proliferation, whereas inappropriate methylation of
cytosine-rich regions of DNA in the promoter regions of tumour suppressor
genes could cause loss of function.
49
Issa et al.
50
demonstrated that methylation of CpG islands in the estrogen
receptor gene (ER) occurs in a very high proportion of colorectal tumours, and
that the same site-specific abnormality occurs progressively with age in the
otherwise normal colorectal mucosa of human subjects with no colorectal
neoplasia. The same authors have also shown that expression of ER in tumour
cells slows mitosis and should perhaps be regarded as a tumour suppressor gene,
the silencing of which may be an early ¡®field¡¯ event inducing hyperproliferation
and predisposing the colorectal mucosa to induction of neoplasia. There is no
direct evidence that human folate metabolism is involved with these phenomena,
but there is circumstantial evidence that inadequate folate nutrition is a risk
factor for cancer, particularly of the bowel and cervix.
51
Recently Ma et al.
52
explored the relationship between risk of colorectal carcinoma and a common
mutation affecting the activity of the enzyme 5,10-methylenetetrahydrofolate
reductase (MTHFR) in a large cohort study. The presence of a homozygous
mutation was shown to reduce the risk of colerectal cancer in men with adequate
152 Functional foods
folate levels, but the protection was absent in men with low overall folate status.
One possible explanation for this effect is that low levels of MTHFR expression
shunt folates into DNA synthesis, thereby helping to maintain normal patterns of
DNA methylation. Low levels of folate might favour hypomethylation of
cytosines, and possibly cause a compensatory upregulation of DNA-MTase,
leading to hypermethylation of CpG islands, but this remains highly speculative.
Nevertheless the growing epidemiological evidence that inadequate folate
nutrition increases the risk of cancer, whereas long-term use of folate
supplements reduces risk,
53
will ensure that interest in the preventive role of
folate-supplemented foods will continue.
6.6 Mechanisms of action: phytochemicals
The discovery that in industrialised societies diets that are deficient in fruits and
vegetables can effectively double the risk of developing many different types of
cancer has focused renewed attention on the beneficial properties of these
foods.
6, 54
As we have seen, plant foods are rich in micronutrients, but they also
contain an immense variety of biologically active secondary metabolites
providing colour, flavour and natural toxicity to pests and sometimes humans.
21
The chemistry and classification of such substances is still a matter for much
research and debate, but this has not prevented attempts to isolate and exploit
substances that have variously been termed ¡®protective factors¡¯, ¡®phytoprotec-
tants¡¯ and ¡®nutraceuticals¡¯. Commercial applications tend to be confined to the
health food market at the present time. The non-nutrient carotenoids mentioned
earlier fall into the present category, as do a host of compounds containing
phenol rings, phytosterols, sulphur-containing compounds found in onions and
their relatives, and another group of sulphur compounds, the glucosinolates from
brassica vegetables. Only a few of the more important examples will be
discussed here.
6.6.1 Phenolic compounds
A huge variety of biologically active phenolic compounds containing one or
more aromatic rings are found naturally in plant foods, where they provide much
of the flavour, colour and texture. The simpler phenolic substances include
monophenols with a single benzene ring, such as 3-ethylphenol and 3,4-
dimethylphenol found in fruits and seeds, the hydroxycinnamic acid group
which contains caffeic and ferulic acid, and the flavonoids and their glycosides
which include catechins, proanthocyanins, anthocyanidins and flavonols. The
tannins are a complex and poorly defined group of water-soluble phenolics with
high molecular weights. The daily intake of phenolic substances may be as high
as 1 g per day, but the quantity of defined flavonoids in the diet probably
amounts to no more than a few tens of milligrams per day.
Anti-tumour properties 153
Flavonoids
As long ago as 1936, Rusznya`k and Szent-Gyo¨rgi
55
proposed that the flavonols
were an essential dietary factor contributing to the maintenance of capillary
permeability. This is no longer thought to be true, but recent interest in dietary
antioxidants and metabolically active phytochemicals has focused renewed
attention on the possible beneficial effects of flavonoids.
56, 57
Flavonoids are
very effective antioxidants and it has been proposed that they protect against
cardiovascular disease by reducing the oxidation of low density lipoproteins.
There is some epidemiological evidence for this, but flavonoids are generally
poorly absorbed from food, and their effects on the overall antioxidant capacity
of the plasma remains to be established. Nevertheless flavonoids and other
phenolic substances may exert local anti-carcinogenic effects in the intestine
where, in addition to acting as intraluminal antioxidants, they may induce Phase
II xenobiotic metabolising enzymes, suppress the production of biologically
active prostaglandins by inhibiting the arachidonic acid cascade,
58
and inhibit
mitosis by inhibiting intracellular protein kinases.
59
Although briefly under suspicion as a natural carcinogen,
60
the ubiquitous
flavonol quercetin is now regarded as a possible protective factor against cancers
of the alimentary tract.
61
Phytoestrogens
The phytoestrogens are diphenolic compounds derived from plant foods and
which bear a structural similarity to mammalian estrogens.
62
The glycosides
genistin and daidzin, and their methylated derivatives biochanin A and
formononetin, which are found principally in soya products, are broken down
by the intestinal microflora to yield genistein, daidzein, and in some individuals,
equol, all of which are absorbed into the circulation, and they or their breakdown
products can be detected in human urine.
63
The lignan precursors matairesinol
and secoisolariciresinol occur more commonly in cereal seeds such as flax. They
are also degraded in the gut to yield the active lignans enterolactone and
enterodiol. These compounds exert weak hormone-like activity and may bind to
oestrogen receptors in vivo, thereby effectively blocking the more potent activity
of endogenous oestrogens. In human feeding trials with soy products,
isoflavones have been shown to modify the menstrual cycle, and there is much
interest in the possibility that these compounds could suppress the growth of
hormone-dependent tumours of the breast and reproductive organs.
62
There are
also epidemiological associations suggesting a protective effect of soy-based
diets against prostate cancer in males,
64
but once again the causal mechanisms
have not been proven and there is a strong possibility of confounding by other
dietary factors.
Genistein may also suppress tumour growth by other non-oestrogenic
mechanisms including suppression of cell turnover by inhibition of protein
kinases involved in the regulation of mitosis. On the other hand, it is less widely
recognised that genistein is an inhibitor of topoisomerase II, an enzyme that
helps to maintain the structure of DNA during mitosis. Both synthetic
154 Functional foods
topoisomerase poisons and genistein are known to be mutagenic in vitro, but the
biological significance of this is unclear.
65
There is no epidemiological evidence
to suggest any adverse effect of soy products in humans, but caution is obviously
necessary when considering the incorporation of such biologically active
compounds into functional foods.
6.6.2 Glucosinolates
Interest in glucosinolates stems from epidemiological and experimental
evidence showing that brassica vegetables such as cabbage, sprouts, kale and
broccoli seem to offer particularly strong protection against cancer of the lung
and gastrointestinal tract.
7, 66
The brassicas, and a few other edible plants drawn
from the order Capparales, are the source of all the glucosinolates in the human
diet. Around 100 different compounds have been identified, all of which possess
the same fundamental structure comprising a C12-D-thioglucose group, a
sulphonated oxime moiety and a variable side-chain.
67
Glucosinolates occur
throughout the plant, although the concentration varies between tissues, and they
are stable under normal conditions. However, when the plant tissue is physically
damaged, for example by food preparation or chewing, they come into contact
with an enzyme ¨C myrosinase ¨C which is released from intracellular vacuoles.
Myrosinase hydrolyses the glucosinolates to release glucose and an unstable
product which then undergoes further degradation to release a complex variety
of breakdown products. The most important from the nutritional point of view
are the isothiocyanates, a group of hot and bitter compounds, commonly termed
¡®mustard oils¡¯. These compounds, which are often volatile with an acrid smell,
are the principal source of flavour in mustard, radishes and the milder
vegetables.
67
High levels of glucosinolates reduce the palatability of plant
tissues for generalist herbivores such as birds and molluscs, but specialist
invertebrate herbivores have adapted to their presence and may be attracted
specifically to feed on plants containing particular compounds.
68
Glucosinolates
with an aliphatic side-chain containing a beta-hydroxy group yield isothiocya-
nates which spontaneously cyclise to form stable oxazolidine-2-thiones. These
compounds are goitrogenic to domestic livestock, and this is an important
limiting factor in the commercial exploitation of brassica feedstuffs.
69
There is ample evidence from both animal experiments and tissue cultures
studies to show that brassica vegetables and their constituents selectively induce
Phase II enzymes. Evidence for the induction of Phase II enzymes by two
classes of glucosinolate breakdown products, the isothiocyanates and indole-3-
carbinole, has been systematically reviewed recently by Verhoeven et al.
70
Particular attention has been paid to induction of Phase II enzymes by
sulphorophane, an isothiocyanate derived from broccoli,
71
but other isothiocya-
nates derived from other common brassica vegetables probably exert
comparable levels of biological activity.
72
Wattenberg
25
showed that both cruciferous vegetables and benzyl isothio-
cyanate could inhibit the appearance of tumours in experimental animals long
Anti-tumour properties 155
after the initial exposure to a carcinogen. Suppressing mechanisms are still
poorly understood but one possibility is that glucosinolate breakdown products
modulate the level of apoptosis in target tissues. Isothiocyanates have been
shown recently to induce apoptosis in tissue culture, and in the colorectal crypts
of the rat after treatment with the carcinogen dimethylhydrazine, an effect which
is associated with a reduction in pre-cancerous lesions.
27
6.7 Mechanisms of action: other factors
Apart from recognised nutrients and the emerging plethora of potentially
biologically active secondary plant metabolites or phytoprotectants, a variety of
other food-borne factors that are difficult to classify may play some role in the
prevention of cancer. For example, epidemiological evidence suggests that
consumption of a relatively high ratio of fish and poultry to red meat
significantly decreases the risk of bowel cancer.
73
The reasons for this are
unclear. Such diets may provide a favourable balance of amino acids or
minerals, a relatively low intake of potentially pro-oxidant iron, or a relatively
high intake of certain polyunsaturated fatty acids. However, far more research
will be necessary before any underlying principles can be exploited for use in
the context of functional foods.
Dietary fibre, which comprises all the non-digestible structural carbohydrates
of plant cell walls and any associated lignin, provides a further example of a
complex food-borne factor which cannot be classified as a nutrient, and which
continues to generate debate over such issues as definition and analytical
techniques. However, whatever the unresolved complexities, dietary fibre has a
lengthy history and had proved itself eminently suitable as a component of
functional food products long before the term was even coined.
6.7.1 Dietary fibre
The concept of dietary fibre as an anti-carcinogenic food constituent was first
proposed by Burkitt
74
who based his initial hypothesis on observations of
disease incidence among rural Africans, claiming that the various non-digestible
polysaccharides of plant cell walls in their traditional, largely plant-based diets
were protective against a range of diseases including cancer of the large bowel.
On the whole this hypothesis has been supported by case-control studies. The
limited evidence from large prospective studies has been somewhat less
convincing, but the recent reports from the World Cancer Research Fund,
4
the
European Cancer Prevention Organization
75
and the UK Department of Health
76
have all agreed that the evidence that dietary fibre protects against colorectal
cancer is at least moderately convincing.
Burkitt¡¯s original hypothesis was based largely on the concept of faecal bulk.
His field observations in Africa, where cancer and other chronic bowel diseases
were rare, suggested that populations consuming traditional rural diets rich in
156 Functional foods
vegetables and cereal foods produced stools that were bulkier and more frequent
than those of persons living in the industrialised West. Some cell wall
polysaccharides are readily metabolised by the faecal microflora and converted
into bacterial mass, whereas others remain intact and help to retain faecal water.
Burkitt argued that consumption of highly processed cereals subjected
Westerners to a form of chronic constipation which led to a variety of
conditions associated with straining to pass stool. Moreover a low volume of
faecal material and infrequent bowel movements would lead to prolonged
exposure of the colonic epithelial cells to faecal mutagens. In the years since it
was proposed, this hypothesis has become widely accepted by the medical
profession and the general public, and it certainly has never been disproved. The
mildly laxative effects of dietary fibre are now well recognised, and numerous
human intervention trials have confirmed that dietary supplements containing
wheat bran or isphagula can increase the volume of faecal material and reduce
the colonic transit time.
77
Human faecal water is genotoxic in vitro, and a
number of known carcinogens including heterocyclic amines and N-nitroso
compounds are present at low concentrations in the faecal stream.
78, 79
It has not
been conclusively established that these substances initiate colorectal carcino-
genesis in humans, but a high consumption of fibre will certainly tend to reduce
their concentration still further. Moreover the plausibility of the faecal bulking
hypothesis has been strengthened by epidemiological study of Cummings et
al.
80
which showed a statistically significant inverse relationship between
average stool weight and risk of bowel cancer across a range of populations. The
faecal bulking hypothesis provides the principal rationale for the current
Department of Health recommendations for dietary reference values in the UK
which suggest that adults should consume an average of 18 g fibre per day.
The realisation that colorectal carcinogenesis is a prolonged multi-stage
process involving a complex set of genetic changes has raised a host of new
questions about the interactions that can occur between the colonic epithelium,
dietary fibre or its breakdown products, and other constituents of the faecal
stream. For example, it has long been suspected that bile salts may cause chronic
irritation in the colon and hence act as endogenous tumour promoters.
81
Certainly bile salts stimulate colonic mucosal cell proliferation, both in tissue
culture and in animals. Moreover, high fat diets tend to increase the level of bile
acids in the faecal stream, and this effect could explain the adverse effect of total
fat consumption on the risk of bowel cancer.
73
Conversely, fibre may dilute
faecal bile acids by increasing bulk, and the non-fermentable particulate
components of plant cell walls may also provide a finely dispersed solid phase
upon which bile salts can be adsorbed, thereby reducing their concentration in
faecal water.
82
Those components of dietary fibre that are vulnerable to fermentation by
faecal micro-organisms may exert another, more active anti-carcinogenic effect.
The main products of carbohydrate fermentation in the colon are the short chain
fatty acids acetate, propionate and butyrate. These substances can be absorbed
and utilised as metabolic substrates.
83
Butyrate is known to be utilised
Anti-tumour properties 157
preferentially by the colonic mucosa, and a steady supply of butyrate appears to
be essential for mucosal integrity.
84
Recently it has emerged that besides
supplying metabolic energy, butyrate may increase the extent to which colonic
epithelial cells are differentiated and induce apoptosis of tumour cells.
85
If this
hypothesis is correct, then prolonged consumption of fermentable carbohydrates
may be an important dietary strategy for reducing the risk of colorectal cancer.
However, rapidly fermentable oligosaccharides may disappear too rapidly after
entering the right colon to provide a supply of butyrate to the more distal regions
of the large bowel. Lignified plant cell walls, and also starches which are
resistant to digestion in the small bowel, are fermented much more slowly and so
probably deliver butyrate to a greater surface area of mucosa.
Although the colon seems the most likely site for fibre to exert its anti-
carcinogenic effects, there is also some evidence that it may protect against
cancer of other organs, especially the breast. For example, Howe et al.
86
reviewed ten case-control studies of breast cancer and diet and concluded that a
20 g increase in fibre was associated with a statistically significant reduction in
risk of breast cancer of about 15%. This is a relatively small effect associated
with an increase in fibre consumption somewhat in excess of the average
consumption of fibre in Northern Europe and the USA, but the association raises
the interesting issue of how fibre might exert anti-carcinogenic effects in tissues
remote from the gut lumen. One possibility is that diets very rich in fibre lead to
reductions in post-prandial glucose and insulin, and lower plasma oestrogen
levels. These effects may inhibit the growth of hormone-dependent tumours.
87
In spite of the generally positive epidemiological evidence for a protective
effect of fibre against cancer, it is not entirely clear that real benefits can be
achieved at the levels of fibre consumption typical of the industrialised West. A
long-term prospective study conducted with a large cohort of American nurses
has recently failed to demonstrate any protective effect of fibre intake against
bowel cancer or adenomatous polyps,
88
perhaps because even the highest level
of fibre intake (24.9 C6 5.5 g/d in the top quintile of the population) was too low
to provide a measurable biological effect. This interpretation is supported by a
study of dietary trends and the changing rates of colorectal cancer in Japan and
the USA, showing that the steeply rising incidence in Japan in recent years
coincided with a decline in fibre intake below 20 g per day.
89
For consumers
there seems little reason to deviate from current nutritional advice to increase the
intake of dietary fibre by consuming a variety of sources including cereals,
vegetables and fruit, but it is not certain that the protective effects of dietary
fibre can be readily achieved by consumption of conventional fibre-rich foods.
High-fibre breakfast cereals are among the oldest and most well-established
functional foods on the market, but further development of such products will
require careful selection of polysaccharides to provide an optimal combination
of palatability and biological effect.
158 Functional foods
6.8 Conclusion: the role of functional food
Great progress has been made towards a better understanding of the relationship
between diet and cancer since Doll and Peto published their study on the causes
of human cancer in 1981,
3
but the practical application of this knowledge in the
fight against human disease remains frustratingly limited. As should now be
clear, cancer is not a single disease arising from one causal event. In most cases
the victim acquires the disease only after years of exposure to a host of
environmental factors which will have interacted with his or her unique genome,
throughout a large fraction of their lifespan. Even in the case of carcinoma of the
lung, which is the most frequent cause of death from cancer in most Western
countries, and which has a known and avoidable cause, it has required many
years of patient epidemiological investigation to establish this relationship
beyond doubt, and it is still not possible to predict any individual smoker¡¯s
particular level of risk with certainty. The problem of diet and cancer is
immensely more difficult because of the variety of diseases involved and the
complexity of human diets, and because the task requires the recognition and
understanding of an array of protective factors rather than any single source of
carcinogens.
As we have seen, some of the most compelling evidence for a protective
effect of diets against cancer to emerge in recent years is that for fruit and
vegetables.
6, 90
Despite the difficulties of disentangling the effects of diet from
other aspects of lifestyle such as smoking, exercise and alcohol consumption,
most authorities agree that, compared to those at the other end of the scale, the
highest consumers of fruits and vegetables in most populations have about half
the risk of developing most types of cancer.
In an age of convenience foods and pre-cooked meals, many consumers find
a high consumption of fresh vegetables difficult to achieve. At first sight this
seems to provide an excellent opportunity for the development of functional
food products which could provide the protective effects of fresh vegetables
without the need for greatly increased bulk or frequency of consumption. The
difficulty lies in the sheer complexity of plants and the bewildering variety of
diseases to which the protective effects seem to apply. There have been brave
attempts to confront this problem with the development of a unifying hypothesis
such as the dietary fibre model, or more recently the antioxidant theory, but
attempts to prove these hypotheses have failed. Diet is inescapably complex, and
food often seems to exert biological effects greater than the sum of its parts. No
doubt the anti-carcinogenic mechanisms that underlie the protective effects of
plant foods are susceptible to experimental investigation but we seem far from
the isolation of a single substance or group of substances that can be
incorporated into functional food products with any confidence.
Anti-tumour properties 159
6.9 Future trends
What of the future? First, there is ample room for optimism that the expansion of
basic knowledge in the field of human cancers and their causes will continue,
and probably accelerate. It follows that our understanding of the relationship
between conventional nutrition, other protective substances in food, and cancer
will continue to develop and provide greater insight into the role of diet across
the lifetime of the individual. With this knowledge we will be better able to
assess the role of individual foods within the diet, and hence to optimise the
composition of such foods to increase their impact.
The second major factor is the rapid progress that is being achieved in the
related fields of human genomics and the genetic manipulation of organisms
used for human food. In time, our increasing knowledge of the human genome
will shed more light on the interplay of genes and environment which
determines an individual¡¯s risk of disease, and this should lead to an increasing
degree of ¡®personalisation¡¯ of dietary advice. At the same time our ability to
manipulate the genome of other organisms will give food producers and
manufacturers the power to enhance the composition of plant foods to maximise
their protective effects. This is, of course, an optimistic assessment of future
trends; the inherent difficulties of this approach to human diets in terms of
consumer confidence must by now be obvious to all. Already it is possible to
predict much of a person¡¯s genetically determined risk of disease, but such
knowledge can be an emotional burden to the individual concerned, and an
excuse for damaging discrimination by institutions and potential employers. At
the time of writing, the issue of genetic modification of plant foods has gripped
the public imagination, and products containing such ingredients are rapidly
disappearing from the marketplace. It remains to be seen whether a second or
third generation of products carrying proven benefits to health will, given time,
become acceptable to public opinion. In any event we must try to ensure that the
premature release of commercial products that prove to be ineffectual or, far
worse, actually harmful, does not lead to a general debasement of the whole
concept of dietary strategies for the avoidance of cancer.
6.10 Sources of further information and advice
British Nutrition Foundation, Report of the Task Force on Protective Substances
in Food, in press.
JOHNSON, I.T. and FENWICK, G.R. (eds) ¡®Dietary Anticarcinogens and Antimuta-
gens: Chemical and Biological Aspects¡¯, Proceedings of Food and Cancer
Prevention III, Cambridge, Royal Society of Chemistry, in press.
Department of Health, Nutritional Aspects of the Development of Cancer,
London, HMSO, 1998.
American Institute for Cancer Research, Food, Nutrition and the Prevention of
Cancer: A Global Perspective, Washington DC, 1997.
160 Functional foods
WALDRON, K.W., JOHNSON, I.T. and FENWICK, G.R. (eds) Food and Cancer
Prevention: Chemical and Biological Aspects, Cambridge, Royal Society of
Chemistry, 1993.
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43 BLOCK, G. ¡®Vitamin C and cancer prevention: the epidemiologic¡¯, Am J Clin
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47 DIZIK, M., CHRISTMAN, J.K. and WAINFAN, E. ¡®Alterations in expression and
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and JAMES, S.J. ¡®Breaks in genomic DNA and within the p53 gene are
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50 ISSA, J.P., OTTAVIANO, Y.L., CELANO, P., HAMILTON, S.R., DAVIDSON, N.E. and
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51 FREUDENHEIM, J.L., GRAHAM, S., MARSHALL, J.R., HAUGHEY, B.P.,
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52 MA, J., STAMPFER, M.J., GIOVANNUCCI, E., ARTIGAS, C., HUNTER, D.J., FUCHS, C.,
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53 GIOVANNUCCI, E., STAMPFER, M.J., COLDITZ, G.A., HUNTER, D.J., FUCHS, C.,
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54 PATTERSON, B.H., BLOCK, G., ROSENBERGER, W.F., PEE, D. and KAHLE, L.L.
¡®Fruit and vegetables in the American diet: data from the NHANES II
survey¡¯, Am J Public Health, 1990, 80, 1443¨C9.
55 RUSZNYA
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K, S. and SZENT-GYO
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56 HOLLMAN, P.C. and KATAN, M.B. ¡®Absorption, metabolism and health effects
of dietary flavonoids in man¡¯, Biomed Pharmacother, 1997, 51, 305¨C10.
57 MANACH, C., REGERAT, F., TEXIER, O., AGULLO, G., DEMIGNE, C. and REMESY, C.
¡®Bioavailability, metabolism and physiological of 4-oxo-flavonoids¡¯, Nutr
Res, 1996, 16, 517¨C44.
58 FORMICA, J.V. and REGELSON, W. ¡®Review of the biology of quercetin and
related bioflavonoids¡¯, Food & Chem Toxicol, 1995, 33, 1061¨C80.
59 YOSHIDA, M., SAKAI, T., HOSOKAWA, N., MARUI, N., MATSUMOTO, K., FUJIOKA,
A., NISHINO, H. and AOIKE, A. ¡®The effect of quercetin on cell cycle
progression and growth of human gastric cancer cells¡¯, Febs Lett, 1990,
260,10¨C13.
60 MACGREGOR, J.T. ¡®Genetic and carcinogenic effects of plant flavonoids: an
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61 DESCHNER, E.E., RUPERTO, J.F., WONG, G.Y. and NEWMARK, H.L. ¡®The effect of
dietary quercetin and rutin on AOM-induced acute colonic epithelial
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62 SETCHELL, K.D.R. and CASSIDY, A. ¡®Dietary isoflavones: Biological effects
and relevance to health¡¯, J Nutr, 1999, 129, 758S¨C67S.
63 AXELSON, M., KIRK, D.N., FARRANT, R.D., COOLEY, G., LAWSON, A.M. and
SETCHELL, K.D.R. ¡®The identification of the weak oestrogen equol (17-
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64 DENIS, L., MORTON, M.S. and GRIFFITHS, K. ¡®Diet and its preventive role in
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65 KAUFMANN, W.K. ¡®Human topoisomerase II function, tyrosine
phosphorylation and cell cycle checkpoints¡¯, Proc Soc Exp Biol Med,
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66 VERHOEVEN, D.T., GOLDBOHM, R.A., VAN POPPEL, G., VERGAGEN, H. and VAN
DEN BRANDT, P.A. ¡®Epidemiological studies on brassica vegetables and
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67 FENWICK, G.R., HEANEY, R.K. and MULLIN, W.J. ¡®Glucosinolates and their
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68 GIAMOUSTARIS, A. and MITHEN, R. ¡®The effect of modifying the glucosinolate
content of leaves of oilseed rape (Brassica-napus ssp oleifera) on its
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69 HEANEY, R.K. and FENWICK, G.R. ¡®Natural toxins and protective factors in
brassica species, including rapeseed¡¯, Nat Toxins, 1995, 3, 233¨C7.
70 VERHOEVEN, D.T., VEREHAGEN, H., GOLDBOHM, R.A., VAN DEN BRANDT, P.A.
and VAN POPPEL, G.A. ¡®Review of mechanisms underlying
anticarcinogenicity by brassica vegetables¡¯, Chem Biol Interact, 1997,
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71 TALALAY, P., FAHEY, J.W., HOLTZCLAW, W.D., PRESTERA, T. and ZHANG, Y.
¡®Chemoprotection against cancer by phase 2 enzyme induction¡¯, Toxicol
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72 HECHT, S.S. ¡®Chemoprevention of cancer by isothiocyanates, modifiers of
carcinogen metabolism¡¯, J Nutr, 1999, 129, 768S¨C74S.
73 WILLET, W.C., STAMPFER, M.J., COLDITZ, G.A., ROSNER, B.A. and SPEIZER, F.E.
¡®Relation of meat, fat and fiber intake to the risk of colon cancer in a
prospective study among women¡¯, N Engl J Med, 1990, 323, 1664¨C72.
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London, HMSO, 1998.
77 SMITH, A.N., DRUMMOND, E. and EASTWOOD, M.A. ¡®The effect of coarse and
fine Canadian red spring wheat and French soft wheat bran on colonic
motility in patients with diverticular disease¡¯, Am J Clin Nutr, 1981, 34,
2460¨C3.
78 BINGHAM, S.A. ¡®Epidemiology and mechanisms relating diet to risk of
colorectal cancer¡¯, Nutr Res Rev, 1996, 9,197¨C239.
79 BINGHAM, S.A., PIGNATELLI, B., POLLOCK, J.R.A., ELLUL, A., MALAVEILLE, C.,
GROSS, G., RUNSWICK, S., CUMMINGS, J.H. and O¡¯NEILL, I.K. ¡®Does increased
Anti-tumour properties 165
endogenous formation of N-nitroso compounds in the human colon explain
the association between red meat and colon cancer?¡¯, Carcinogenesis, 1996,
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80 CUMMINGS, J.H., BINGHAM, S.A., HEATON, K.W. and EASTWOOD, M.A. ¡®Fecal
weight, colon cancer risk, and dietary intake of nonstarch polysaccharides
(dietary fibre)¡¯, Gastroenterol, 1992, 103, 1783¨C9.
81 NARISAWA, L.F., MAGADIA, N.E., WEISBURGER, J.H. and WYNDER, E.L. ¡®-
Promoting effect of bile acids on colon carcinogenesis after intrarectal
instillation of MNNG in rats¡¯, J Natl Cancer Inst, 1975, 55, 1093¨C7.
82 STORY, J.A. and KRITCHEVSKY, D. ¡®Comparison of the binding of various bile
salts in vitro by several types of fiber¡¯, J Nutr, 1976, 106, 1292¨C4.
83 CUMMINGS, J.H., POMARE, E.W., BRANCH, W.J., NAYLOR, C.P.E. and
MACFARLANE, G.T. ¡®Short chain fatty acids in human large intestine,
portal, hepatic and venous blood¡¯, Gut, 1987, 28, 1221¨C7.
84 ROEDIGER, W.E.W. ¡®Role of anaerobic bacteria in the metabolic welfare of the
colonic mucosa in man¡¯, Gut, 1980, 21, 793¨C8.
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colonic epithelial cells: an energy source or inducer of differentiation and
apoptosis¡¯, Proc Nutr Soc, 1996, 55, 937¨C43.
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breast cancer¡¯, JNCI, 1990, 82, 561¨C9.
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2), S63¨CS7.
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ROSNER, B., SPEIZER, F.E. and WILLET, W.C. ¡®Dietary fibre and the risk of
colorectal cancer and adenoma in women¡¯, New Engl J Med, 1999, 340,
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mortality: a chronological comparison between Japan and the United
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Epidemiology¡¯, Cancer Causes Control, 1991, 2, 325¨C57.
166 Functional foods
7.1 Introduction
The primary role of the gastrointestinal tract is digestion and absorption of
nutrients. In addition, its epithelial layer forms an important interface between
the body and the external environment. The gastrointestinal tract is constantly
exposed to harmful antigens such as allergens and potentially pathogenic micro-
organisms. A unique defence system has developed to resist uncontrolled and
excessive penetration by these substances.
1, 2
Mucosal immunity has developed
two important lines of host defence: immune exclusion as performed by
secretory antibodies, and specific immunosuppression to avoid local and
peripheral inflammatory responses.
Immunophysiological regulation in the gut (Fig. 7.1), and the normal
interaction between the internal environment and foreign antigens, depends on
the establishment of indigenous microflora. As a result, in the healthy host, the
gut-associated lymphoid tissue enables the generation of an efficient immune
response to pathogens while concomitantly maintaining hyporesponsiveness to
dietary antigens. In gastrointestinal disease, the two opposite functions of the
gastrointestinal tract, antigen absorption and the barrier function, are in conflict.
This is particularly clear in food allergy (dietary antigens disturb the barrier) and
chronic inflammatory bowel disease (inflammation in the mucosa interferes with
the absorption of nutrients).
Probiotics, defined as live microbial food ingredients beneficial to health,
3
are normal commensal bacteria of the healthy human gut microflora. Probiotic
functional foods are an attractive means of maintaining the nutritional state of
the host with impaired gut barrier functions. Promotion of the gut barrier
function is ensured by normalisation of increased intestinal permeability and
7
Functional foods and acute infections
Probiotics and gastrointestinal disorders
E. Isolauri and S. Salminen, University of Turku
altered gut microecology. Improvement of the intestinal immunological barrier
is manifest in enhanced intestinal immunoglobulin (Ig)A responses, providing a
first line of immune defence against foreign micro-organisms, and alleviation of
intestinal inflammatory response, as well as in re-establishment of the balance of
pro-inflammatory and anti-inflammatory cytokines, which direct immune
responses by promoting the activation of antigen-specific and non-specific
effector mechanisms.
7.2 The background
7.2.1 Antigen handling in the gastrointestinal tract
The small intestine is challenged by a myriad of potentially harmful
intraluminal antigens as well as rapid and constant changes in the composition
of the antigen load. The mucosal barrier in the gut excludes most antigens.
1
Together with non-immunological factors such as saliva, gastric acid,
peristalsis, mucus, intestinal proteolysis, intestinal flora and epithelial cell
membranes with intercellular junctional complexes, the secretory immuno-
globulin system contributes to the exclusion of antigens. Nevertheless, there are
specialised antigen transport mechanisms in the villous epithelium. This creates
a second line of defence, immune elimination, which directs towards the
Fig. 7.1 Proposed effects of probiotics mediated through the intestinal tract.
168 Functional foods
removal of antigens that have penetrated the mucosa and controls antigen
transfer.
Antigens are absorbed across the epithelial layer by transcytosis. The main
degradative pathway entails lysosomal processing of the antigen. A minor
pathway allows the transport of unprocessed antigens.
4
Peyer¡¯s patches are
covered by M cells, and antigen transport across this epithelium is characterised
by rapid uptake and reduced degradation. Antigens are then presented to
subjacent lymphocytes or transported to interfollicular T cell areas of Peyer¡¯s
patches or mesenteric lymph nodes. These differentiate into effector cells, which
mediate active immune suppression and promote the differentation of IgA-
secreting B-cells. As a result of a specific absorption process across the
intestinal mucosa, most dietary antigens are excluded or actively eliminated (see
Fig. 7.1).
7.2.2 Microbes and gut defence
The vast majority of intraluminal and mucosal micro-organisms are normal
components of the gut microflora and facilitate barrier function of the
gastrointestinal tract. This barrier function, commonly referred to as colonisation
resistance, prevents colonisation of the gut with potential pathogens. Thus, a
main function of the microflora is as part of the host¨Cmicrobe interactions taking
place in the gastrointestinal tract. This interaction may be disturbed in
gastrointestinal inflammatory states in such a way that specific members of
the normal microflora become either pathogenic or opportunistic pathogens, the
pattern of infection that may be caused by commensal or other normally non-
pathogenic agents, when host defence mechanisms are compromised. The
difference between a normal microbe and an opportunistic pathogen depends on
microbial virulence factors and host health status.
To become a pathogen, a microbe has to fulfil one or more of the following
criteria:
? be able to survive in the gastrointestinal tract and to invade the surface
epithelium
? to multiply in numbers to break the colonisation resistance
? to invade or translocate the epithelium to cause diseases
? to have the ability to be detrimental to the host
? to elaborate cellular or other toxins.
Attachment of pathogens may happen in different ways (including by specific
receptors), resulting in the penetration of the microbe through the mucus and
adherence on the epithelium by surface proteins or different pili-like structures.
To have an effect on the host, the microbe has to compete with the resident
microflora for nutrients and invade host cells. For this purpose probiotics,
beneficial members of the gut microflora, may compete for adhesion sites and
protect the host by producing antimicrobial components and/or bacteriocins.
Functional foods and acute infections 169
7.2.3 Competition between pathogens and probiotics
Both probiotics and pathogens may adhere to intestinal mucus and intestinal
mucosa. Both need to survive gastric conditions and to multiply in the gut for
any effects on health. This may also result in the competitive exclusion of the
pathogen by an effective probiotic, either by means of colonising the surface,
production of anti-microbial substances or by direct interaction with the
pathogen. In this respect, intestinal bacteria are very different and even closely
related strains may behave differently.
Some strains of probiotic lactic acid bacteria have been described in cases of
clinical infection.
5
In most, if not all cases, bacteremia has been described in
immunocompromised patients and patients with rapid, fatal, underlying disease.
In such cases, lactobacilli may be identified, perhaps since they are among the
most common bacteria in the gastrointestinal tract and mucosal surfaces of the
human. They do not appear to have pathogenic potential, but rather fight
pathogens as has been described in several articles on successful probiotics.
6
Consequently, it is important to select probiotic bacteria that are safe and
effective.
For organisms that are pathogenic, some virulence factors may be needed.
Such virulence factors have not been found when studying lactic acid bacteria
in clinical bacteremia cases.
5, 6
Enterococci such as Enterococcus faecium are
known to be causes of infection in humans and they are identified in clinical
cases over one hundred times more often that lactic acid bacteria or
bifidobacteria. Even so, they are classified as opportunistic unlike accepted
pathogens such as Shigella or Salmonella. In case of such pathogenic microbes,
probiotics have been shown to protect the host and selectively inhibit the
transfer and translocation of such pathogens. In other cases, lactic acid bacteria
may be able to protect the host by binding microbial toxins in the
gastrointestinal tract.
7
Thus, probiotic lactic acid bacteria and bifidobacteria
can act as promoters of a strong gut mucosal barrier and improved protection
against disease.
All intraluminal and mucosal bacterial antigens, both harmful and
beneficial,
3
elicit specific responses in the gut-associated lymphoid tissue. This
has been explained by their capacity to bind to epithelial cells and thus allow
antigen entry via enterocytes, escaping tolerance induction in Peyer¡¯s patches.
Strong adhesion has been associated with enhanced gut immune responses.
Inflammatory responses associated with pathogenic bacteria are also explained
by triggering phagocytic activity and the generation of pro-inflammatory
cytokines such as interleukin (IL)-6, IL-12 and interferon-C13. Elimination of
pathogenic agents from the mucosae also involves the interaction of IgA
antibodies with the inflammatory response.
Recent data suggest that immune responses directed towards indigenous gut
microflora and probiotics differ from that directed to pathogens. Evidence exists
of distinctive B-cell populations secreting different types of IgA to these
microorganisms.
8
Distinct microbial factors and the evolving immune responses
may explain the persistence of the gut microflora in the intestine and the
170 Functional foods
beneficial effects of probiotics, while pathogens are effectively eradicated from
the gut lumen and mucosa.
7.2.4 Immune regulation in the gastrointestinal tract
The surface of mucosal membranes is protected by a local adaptive immune
system. The mucosal immune system consists of a protective network of tissues,
lymphoid cells and effector molecules.
9
The gut-associated lymphoid tissue
comprises an important element of the total immunological capacity of the host
in recognising and selectively handling foreign antigens for the initiation of
immune responses. The regulatory function of the intestinal immune response
takes place in different compartments: aggregated in follicles and Peyer¡¯s
patches, distributed within the mucosa and in the intestinal epithelium, as well as
in secretory sites. The best-characterised component of the mucosal immune
defence is the secretory IgA system. IgA antibody production is abundant at
mucosal surfaces and is thought to provide the host with a first line of immune
defence. Secretory IgA is resistant to intraluminal proteolysis and does not
directly activate complement or inflammatory responses, which makes secretory
IgA ideal for protecting mucosal surfaces. In humans, there are two isotypes:
IgA1, which predominates in the small intestine, and IgA2, resistant to most
bacterial proteases and thus frequent in the colonic mucosa.
Immune regulation is directed towards hyporesponsiveness to antigens such
as food proteins, a phenomenon called oral tolerance, which is a hallmark of the
intestinal immune system. The second unique feature is the common mucosal
immune system. Immune response, initiated in the gut-associated lymphoid
tissue, affects immune responses at other mucosal surfaces including respiratory
tract and lacrimal, salivary and mammary glands. The migration of lymphocytes
into tissues is targeted by homing receptors on lymphocytes that interact with
their ligands on the endothelial cells.
Oral tolerance is the immunological hyporesponsiveness to antigens formerly
encountered by the enteric route.
10
Studies in experimental animals demonstrate
that the dose and frequency of antigen fed influence the course of acquisition of
tolerance. Feeding high doses results in clonal deletion and/or energy in the
periphery whereas feeding low doses of antigen results in active suppression
subsequent to induction of regulatory T cells in Peyer¡¯s patches. Oral tolerance
has been taken to be a concomitant effect of immune exclusion and suppression
of systemic immune response, possibly attributed to the suppressor cytokine
transforming growth factor-C12.
11
The tolerogenicity of orally administered
antigen depends on the age and immunological state of the host.
On activation, immune cells respond with release of a host of cytokines that
then direct the subsequent immune responses. CD4+T helper (Th) cells have
been divided into phenotypic subsets based on the cytokines they produce. Th1
cells secrete interferon-C13, IL-2 and lymphotoxin and promote immunity to
intracellular pathogens. Th2 cells secrete IL-4, IL-5, IL-6, IL-10 and IL-13 and
promote immune response to helminth infections as well as IgE production.
Functional foods and acute infections 171
Once an immune response begins to deviate toward either the Th1 or Th2
phenotype, there is potential for further polarisation of the immune response by
the cytokines themselves: IL-4 is obligatory for the establishment of the Th2-
type immunity, which leads to enhanced IgE production, eosinophilia and atopic
disease. Thus the Th1 or Th2 subset, respectively, has the capability to promote
its own expansion while preventing that of the other.
Many of the immunoregulatory aberrations favouring sensitisation instead of
the maturation of oral tolerance prevail in early infancy. The immature
immunological protection manifests itself in reduced capacity to generate IgA-
producing cells. In the newborn, the cytokine production profile is directed away
from cell-mediated immunity toward humoral immunity, and the abundance of
IL-4-generating cells may divert the immunological T-cell memory to Th2
phenotype, which leads to enhanced IgE production and possibly to atopic
sensitisation. The constitutively polarised immune regulation partly explains the
increased risk of atopic disease in infancy.
12
The immature gut barrier may lead
to aberrant antigen transfer and immune responses and thus explain the
vulnerability to breakdown of oral tolerance at an early age.
1
At an early age,
such antigens are frequently derived from food, and allergic reactions to foods
are common.
13
The predisposition to acute gastrointestinal infectious disease is
again associated with immaturity and dysfunction of the gut defence barrier.
Intestinal permeability can be secondarily increased as a result of
inflammation in the intestinal mucosa induced by viruses, bacteria or dietary
antigens. A greater amount of antigens may traverse the mucosal barrier and the
routes of transport may be altered. During the ensuing mucosal dysfunction, the
normal pattern of antigen handling is impaired, which may evoke aberrant
immune responses and lead to inflammatory response beyond the
gastrointestinal tract, as well as sensitisation to intraluminal antigens ¨C
abrogation of tolerance to indigenous microflora and dietary antigens.
14
7.3 Probiotics and the immune system
The indigenous gut microflora are an important component of the gut defence
barrier. The capacity to generate IgA-producing cells increases in response to
the establishment of the gut microflora.
15
First, the micro-organisms have been
shown to translocate to mesenteric lymph node, but the number of translocating
bacteria begins to drop with the onset of specific IgA response, reflecting
maturation of the intestine¡¯s immunological defence mechanisms.
Gut microflora have been shown to induce and maintain oral tolerance in
experimental animal models.
16
In contrast to control mice, germ-free animals
maintain a production of IgE antibodies to orally administered dietary antigens.
The IgE response could be corrected by the reconstitution of the microflora at
the neonatal stage, but not at a later age. These results suggest that, in affecting
the development of gut-associated lymphoid tissue at the neonatal stage, the gut
microflora direct the maturation of the oral tolerance mechanisms.
172 Functional foods
Recent studies following the microflora development in vaginally born
infants and in infants born by caesarean section indicate major differences in
culturable microflora (Gro¨nlund, unpublished data). Colonisation was associated
with the maturation of humoral immune mechanisms, particularly of circulating
IgA- and IgM-secreting cells.
The recognition and the regulation of the immune response to antigens is an
important mechanism for the prevention of life-threatening infections and
inflammatory responses. Faced with the fact that foreign antigens constantly
challenge the intestine¡¯s mucosal surfaces, it is obvious, as recently
demonstrated,
17
that even in health, intestinal T cells express activation markers
and spontaneously secrete pro-inflammatory cytokines. Thus any interference
with the mucosal barrier function brings about a risk of disease.
Probiotic functional foods can improve specific physiological functions in the
human gastrointestinal tract, for example the host immune defence, and thereby
reduce the risk of contracting certain avoidable illnesses.
7.3.1 Probiotics and the modulation of the immune system
Probiotic bacteria have been shown to promote the endogeneous host defence
mechanisms. In addition to effects on the non-immunological gut defence,
characterised by stabilisation of the gut microflora,
18
probiotic bacteria have
been shown to enhance non-specific host resistance to microbial pathogens.
19
Several strains of lactic acid bacteria have been shown to induce in vitro the
release of pro-inflammatory cytokines, tumour necrosis factor-C11 and IL-6,
reflecting stimulation of non-specific immunity.
20
Enhanced phagocytosis has
also been reported in humans by Lactobacillus acidophilus strain La1
21
and
Lactobacillus rhamnosus GG.
22
Phagocytosis is responsible for early activation
of the inflammatory response before antibody production. Recently, probiotic
bacteria were shown to modulate phagocytosis differently in healthy and allergic
subjects, in the former an immunostimulatory effect while in the latter down
regulation of the inflammatory response was detected,
22
substantiating the
immunoregulatory role of the gut microflora in the gut-associated lymphoid
tissue.
Probiotic strains have been shown to modulate the host¡¯s specific humoral
immune responses to potentially harmful antigens, and thereby further
promote the intestine¡¯s immunological barrier.
19
Oral introduction of
Bifidobacterium bifidum has been shown to enhance the antibody response
to ovalbumin,
23
and Bifidobacterium breve to stimulate IgA response to
cholera toxin in mice,
24
and an increased humoral immune response including
an increase in rotavirus-specific antibody-secreting cells in the IgA class has
been detected in children with acute rotavirus diarrhoea who received
Lactobacillus rhamnosus GG during the acute phase of diarrhoea compared
with controls.
25
The mean serum rotavirus IgA antibody concentrations at the
convalescent stage were also higher in those receiving Lactobacillus
rhamnosus GG.
26
In accordance, oral introduction of lactobacilli to suckling
Functional foods and acute infections 173
rats sensitised with cow milk increased the number of cells secreting
antibodies to C12-lactoglobulin.
4
Recently, probiotics have been shown to modulate the hosts¡¯ immune
responses to foreign antigens with a potential to dampen hypersensitivity
reactions.
19
Unheated and heat-treated homogenates were prepared from
probiotic strains, including Lactobacillus rhamnosus GG, Bifidobacterium
lactis, Lactobacillus acidophilus, Lactobacillus delbru¨ckii subsp. bulgaricus
and Streptococcus thermophilus.
27
The phytohemagglutinin-induced
proliferation of mononuclear cells was suppressed in these homogenates
compared to controls with no homogenate indicating that probiotic bacteria
possess heat-stable anti-proliferative component(s), which could be
therapeutically exploited in inflammatory conditions.
7.3.2 Prevention of gastrointestinal infection
Oral introduction of probiotics can enhance non-specific host resistance to
microbial pathogens and thereby facilitate the exclusion of pathogens in the gut.
This was clinically manifested in a reduction in the number of diarrhoeal
episodes in infants given Lactobacillus helveticus and Streptococcus
thermophilus-fermented formula
28
or Lactobacillus acidophilus and
Lactobacillus casei-fermented milk
29
compared to a group given non-fermented
formula or milk. In a like manner, Saavedra et al.
30
also demonstrated this effect
in a double-blind, placebo-controlled trial in hospitalised infants given a
standard infant formula or a formula supplemented with Bifidobacterium
bifidum and Streptococcus thermophilus. Over a 17-month follow-up, 31% of
the patients given the standard infant formula, but only 7% of those receiving the
probiotic-supplemented formula, developed diarrhoea, and the prevalence of
rotavirus shedding was significantly lower in those receiving probiotic-
supplemented formula.
Anti-microbial treatment disturbs colonisation resistance of the gut micro-
flora, which may induce clinical symptoms, most frequently diarrhoea. Evidence
from the available studies indicates that probiotic fermented milks may be of
value in the prevention of antibiotic-associated diarrhoea. The preventive
potential of probiotics on antibiotic-associated diarrhoea in children was
recently studied.
31
To avoid confusion caused by recent anti-microbial
treatments, the incidence of diarrhoea after single anti-microbial treatment and
the effect of probiotics was evaluated in children with no history of anti-
microbial use during the previous three months. The incidence of diarrhoea was
5% in the group given Lactobacillus rhamnosus GG and 16% in the placebo
group, substantiating the efficacy of the probiotic approach.
The value of probiotic preparations for the prophylaxis for traveller¡¯s
diarrhoea has been studied using Lactobacillus acidophilus, Bifidobacterium
bifidum, Lactobacillus bulgaricus and Streptococcus termophilus,
32
but the
results have been conflicting, due to differences in probiotic species and vehicles
used, in dosage schedule, as well as in travel destinations in which the studies
174 Functional foods
have been conducted. Recent double-blind, placebo-controlled studies indicate,
however, that there is evidence that some strains of lactic acid bacteria may
provide protection against traveller¡¯s diarrhoea.
33
7.4 Probiotic functional foods and the treatment of
gastrointestinal disorders
7.4.1 Treatment of gastrointestinal infection
Rotavirus is the most common cause of acute childhood diarrhoea. Rotavirus
infection results in partial destruction of the intestinal mucosa, with loss of
microvilli, and alterations in the composition of the intestinal microflora.
Lactobacillus rhamnosus GG as a fermented milk or as a freeze-dried powder
has been shown to reduce significantly the duration of diarrhoea compared to
fermented-then-pasteurised milk product as a placebo.
34
The beneficial clinical
effect was accompanied by stabilisation of the indigenous microflora,
18
reduction in the duration of rotavirus shedding
35
and reduction of increased
gut permeability caused by rotavirus infection.
4
In addition to these effects on
the non-immunological gut barrier, the gut immune defence was also promoted
by probiotic therapy as documented by a significant increase in IgA-secreting
cells to rotavirus.
25, 26
The specific IgA response could contribute to the
preventive potential of probiotics, and also against reinfections.
7.4.2 Treatment of inflammation
There is an increasing appreciation of the role of cytokines in regulation of the
inflammatory responses at local and systemic levels. Ingestion of probiotic
bacteria has the potential to stabilise the immunological barrier of gut mucosa by
reducing the generation of local pro-inflammatory cytokine such as tumour
necrosis factor-C11.
Intestinal inflammation is constantly accompanied with imbalance of the
intestinal microflora. There is also evidence to suggest that the trigger for the
inflammatory response or maintenance of the inflammation could be the
bacterial flora residing in the gut. Durchmann et al.
36
have confirmed that
healthy individuals are tolerant to their own microflora, and that such tolerance
is abrogated in patients with inflammatory bowel disease. In support of this,
alteration of the properties of the indigenous microflora by probiotic therapy
reversed some disturbances of the gut immune responses characteristic of these
conditions.
37
Thus probiotic therapy may help balance the gut microbial
environment,
18
and thereby prevent the generation of inflammatory mediators, a
secondary response of the gut-associated lymphoid tissue to altered intraluminal
milieu, which may sustain the loss of intestinal integrity.
38
The intestinal microflora contribute to the processing of food antigens in the
gut. Probiotic bacteria-derived proteases have the ability to degrade cow milk
casein and thereby to generate peptides with suppressive effects on lymphocyte
Functional foods and acute infections 175
proliferation in healthy individuals.
39
To characterise the immunomodulatory
effect of probiotics in allergic inflammation, a study was made to investigate
whether caseins degraded by probiotic bacteria-derived enzymes could modulate
the cytokine production by anti-CD3 antibody-induced peripheral blood
mononuclear cells in atopic infants with cow milk allergy.
40
Unhydrolysed
casein increased the production of IL-4 in cultures from patients with atopic
dermatitis while Lactobacillus rhamnosus GG-hydrolysed casein reduced the
production of IL-4. These results indicate that probiotics modify the structure of
potentially harmful antigens and reduce their immunogenicity.
To evaluate the clinical effect of probiotic therapy in food allergy,
41
infants
with atopic dermatitis and challenge-proven cow milk allergy were given
extensively hydrolysed whey formula or an extensively hydrolysed whey
formula containing probiotics. There was a significant improvement in the
clinical course of atopic dermatitis in the group given probiotic-supplemented
elimination diet, and in parallel, markers of intestinal
41
and systemic
42
allergic
inflammation decreased significantly. Parallel results have been obtained in
milk-hypersensitive adults.
22
In these, a milk challenge in conjunction with a
probiotic strain prevented the immunoinflammatory response characteristic to
the challenge without probiotics.
7.5 Future trends
Probiotic functional foods may offer a new direction in the search for future
treatment and prevention strategies as well as nutrition for patients with
intestinal barrier dysfunction such as food allergy and inflammatory bowel
diseases. For this purpose, identification of the effects of candidate probiotics on
the immunophysiological regulation in the gastrointestinal tract is of utmost
importance. Recent studies comparing the effects of different probiotic strains
indicate that strain-specific mechanisms exist.
27
Therefore, disease-specific
probiotic functional foods may be developed.
Thus far studies on probiotic functional foods have focused on yoghurts and
fermented drinks and juices; however, possibilities for alternatives are
numerous. Improved understanding on the microbe¨Chost interactions again
may uncover novel probiotic strains for such products.
Safety studies have indicated no significant risk or virulence factors attached
to probiotic lactic acid bacteria or bifidobacteria. Recommendations for the
relevant procedures have been made outlining the targets and the steps necessary
in the safety assessment of both natural and novel probiotics. These
recommendations cover mainly probiotics from traditional sources and include
also a discussion on how the novelty of a probiotic should be defined and taken
into account in safety assessment procedures.
43
Table 7.1 summarises important
studies and methodologies that can be applied to probiotic safety assessment. It
is also important to consider the possibilities of using non-viable probiotic
microbes and microbe preparations for disease-specific applications as also non-
176 Functional foods
viable probiotics have been reported as effective ingredients for many
applications.
44
Such preparations may require less safety studies as non-viable
bacteria are not likely to cause infections.
7.6 Sources of further information and advice
Further sources of information can be obtained, for example, from the functional
foods working group documents
3
and the consensus document.
45
These reviews
and statements were developed by an ILSI Europe-coordinated, EU-sponsored
programme on functional food science in Europe and cover extensive state-of-
the-art reviews on probiotics. Recent compendiums on probiotic properties and
different uses can be found in references 19, 38, 46 and 47.
7.7 References
1 SANDERSON, I.R. and WALKER, W.A. ¡®Uptake and transport of macromole-
cules by the intestine: possible role in clinical disorders (an update)¡¯,
Gastroenterol, 1993, 104, 622¨C39.
2 BRANDTZAEG, P. ¡®Molecular and cellular aspects of the secretory
immunoglobulin system¡¯, APMIS, 1995, 103,1¨C19.
3 SALMINEN, S., BOULEY, C., BOUTRON-RUAULT, M.C., CONTOR, L., CUMMINGS,
J.H., FRANCK, A., GIBSON, G.R., ISOLAURI, E., MOREAU, M.C., ROBERFROID, M.
and ROWLAND, I. ¡®Functional food science and gastrointestinal physiology
and function¡¯, Br J Nutr, 1998, 80, S147¨C71.
4 ISOLAURI, E., MAJAMAA, H., ARVOLA, T., RANTALA, I., VIRTANEN, E. and
ARVILOMMI, H. ¡®Lactobacillus casei strain GG reverses increased intestinal
permeability induced by cow milk in suckling rats¡¯, Gastroenterol, 1993,
105, 1643¨C50.
Table 7.1 Examples of studies and safety effects with probiotic bacteria
Type of study Effects
In vitro studies Invasion potential, prevention of pathogen invasion
Mucus degradation
Influence on pathogen growth
Animal studies Safety assessment in animal models
Clinical studies Side-effects or harmful effects, safety of probiotic use in
disease-specific conditions
Epidemiological studies Probiotic-related infections, surveillance of safety of
product in use
Functional foods and acute infections 177
5 SAXELIN, M., CHUANG, N.H., CHASSY, B., RAUTELIN, H., MA
¨
KELA
¨
, P.H.,
SALMINEN, S. and GORBACH, S.L. ¡®Lactobacilli and bacteremia in Southern
Finland 1989¨C1992¡¯, Clin Infect Dis, 1996, 22, 564¨C6.
6 KIRJAVAINEN, P.V., CRITTENDEN, R.G., DONOHUE, D.C., HARTY, D.W.S., MORRIS,
L.F., OUWEHAND, A.C., PLAYNE, M.J., RAUTELIN, H., SALMINEN, S.J. and
TUOMOLA, E.M. ¡®Adhesion and platelet aggregation properties of bacteremia-
associated lactobacilli¡¯, Infec and Immun, 1999, 67, 2653¨C5.
7 EL-NEZAMI, H., KANKAANPA
¨
A
¨
, P., SALMINEN, S. and AHOKAS, J. ¡®Ability of
dairy strains of lactic acid bacteria to bind food carcinogens¡¯, Food Chem
Toxicol, 1998, 36, 321¨C6.
8 MESTECKY, J., RUSSELL, M.W. and ELSON, C.O. ¡®Intestinal IgA: novel views on
its function in the defence of the largest mucosal surface¡¯, Gut, 1999, 44,2¨C
5.
9 MCGHEE, J.R. ¡®Mucosa-associated lymphoid tissue¡¯. In P.J. Delves and I.M.
Roitt (eds) Encyclopedia of Immunology, London, Academic Press, 1998, 3,
1774¨C80.
10 STROBEL, S. and MOWAT, A.M. ¡®Immune responses to dietary antigens: oral
tolerance¡¯, Immunol Today, 1998, 19,173¨C81.
11 WEINER, H.L., FRIEDMAN, A., MILLER, A., KHOURY, S.J., AL-SABBAGH, A.,
SANTOS, L., SAYEGH, M., NUSSENBLATT, R.B., TRENTHAM, D.E. and HAFLER,
D.A. ¡®Oral tolerance: immunologic mechanisms and treatment of animal and
human organ-specific autoimmune diseases by oral administration of
autoantigens¡¯, Annu Rev Immunol, 1994, 12, 809¨C37.
12 COOKSON, W.O.C.M. and MOFFATT, M.F. ¡®Asthma: an epidemic in the absence
of infection?¡¯, Science, 1997, 275,41¨C2.
13 ISOLAURI, E., TAHVANAINEN, A., PELTOLA, T. and ARVOLA, T. ¡®Breast-feeding
of allergic infants¡¯, J Pediatr, 1999, 134,27¨C32.
14 ISOLAURI, E. ¡®Cow milk allergy¡¯, Environ Toxicol Pharmacol, 1997, 4, 137¨C
41.
15 SHROFF, K.E., MESLIN, K. and CEBRA, J.J. ¡®Commensal enteric bacteria
engender a self-limiting humoral mucosal immune response while
permanently colonizing the gut¡¯, Infect Immun, 1995, 63, 3904¨C13.
16 SUDO, N., SAWAMURA, S., TANAKA, K., AIBA, Y., KUBO, C. and KOGA, Y. ¡®The
requirement of intestinal bacterial flora for the development of an IgE
production system fully suscepticle to oral tolerance induction¡¯, J Immunol,
1997, 159, 1739¨C45.
17 CAROL, M., LAMBRECHTS, A., VAN GOSSUM, A., LIBIN, M., GOLDMAN, M. and
MASCART-LEMONE, F. ¡®Spontaneous secretion of interferon and interleukin 4
by human intraepithelial and lamina propria gut lymphocytes¡¯, Gut, 1998,
42,643¨C9.
18 ISOLAURI, E., KAILA, M., MYKKA
¨
NEN, H., LING, W.H. and SALMINEN, S. ¡®Oral
bacteriotherapy for viral gastroenteritis¡¯, Dig Dis Sci, 1994, 39, 2595¨C600.
19 Reviewed in OUWEHAND, A., SU
¨
TAS, Y., SALMINEN, S. and ISOLAURI, E.
¡®Probiotic therapies: present and future¡¯, Int Semin Paediatr Gastroenterol
Nutr, 1998, 7,7¨C15.
178 Functional foods
20 MIETTINEN, M., VUOPIO-VARKILA, J. and VARKILA, J. ¡®Production of human
tumor necrosis factor alpha, interleukin-6, and interleukin-10 is induced by
lactic acid bacteria¡¯, Infect Immun, 1996, 64, 5403¨C5.
21 SCHIFFRIN, E.J., ROCHAT, F., LINK-AMSTER, H., AESCHLIMANN, J.M. and
DONNET-HUGHES, A. ¡®Immunomodulation of human blood cells following
the ingestion of lactic acid bacteria¡¯, J Dairy Sci, 1994, 78, 491¨C7.
22 PELTO, L., SALMINEN, S., LILIUS, E.M. and ISOLAURI, E. ¡®Milk hypersensitivity
¨C key to poorly defined gastrointestinal symptoms in adults¡¯, Allergy, 1998,
53, 307¨C10.
23 MOREAU, M.C., HUDAULT, S. and BRIDONNEAU, C. ¡®Systemic antibody
response to ovalbumin in gnotobiotic C3H/HeJ mice with Bifidobacterium
bifidum or Escherichia coli.¡¯, Microecol Ther, 1990, 20, 309¨C12.
24 YASUI, H., NAGAOKA, N., MIKE, A., HAYAKAWA, K. and OHWAKI, M. ¡®Detection
of Bifidobacterium strains that induce large quantities of IgA¡¯, Microb Ecol
Health Dis, 1992, 5, 155¨C62.
25 KAILA, M., ISOLAURI, E., SOPPI, E., VIRTANEN, E., LAINE, S. and ARVILOMMI, H.
¡®Enhancement of the circulating antibody secreting cell response in human
diarrhea by a human lactobacillus strain¡¯, Pediatr Res, 1992, 32, 141¨C4.
26 MAJAMAA, H., ISOLAURI, E., SAXELIN, M. and VESIKARI, T. ¡®Lactic acid bacteria
in the treatment of acute rotavirus gastroenteritis¡¯, J Pediatr Gastroenterol
Nutr, 1995, 20, 333¨C9.
27 PESSI, T., SU
¨
TAS, Y., SAXELIN, M., KALLIOINEN, H. and ISOLAURI, E.
¡®Antiproliferative effects of homogenates derived from five strains of
candidate probiotic bacteria¡¯, Appl Environ Microb, in press.
28 BRUNSER, O., ARAYA, M., ESPINOZA, J. GUESRY, P.R., SECRETIN, M.C. and
PACHECO, I. ¡®Effect of an acidified milk on diarrhoea and the carrier state in
infants of low socio-economic stratum¡¯, Acta Paediatr Scand, 1989, 78,
259¨C64.
29 GONZALEZ, S., ALBARRACIN, G., LOCASCIO DE RUIZ PESCE, M., MALE, M.,
APELLA, M.C., PESCE DE RUIZ HOLGADO, A. and OLIVER, G. ¡®Prevention of
infantile diarrhoea by fermented milk¡¯, Microbiologie-Aliments-Nutrition,
1990, 8, 349¨C54.
30 SAAVEDRA, J.M., BAUMAN, N.A., OUNG, I., PERMAN, J.A. and YOLKEN, R.H.
¡®Feeding of Bifidobacterium bifidum and Streptococcus thermophilus to
infants in hospital for prevention of diarrhoea and shedding of rotavirus¡¯,
Lancet, 1994, 344, 1046¨C9.
31 ARVOLA, T., LAIHO, K., TORKKELI, S., MYKKA
¨
NEN, H., SALMINEN, S., MAUNULA,
L. and ISOLAURI, E. ¡®Prophylactic Lactobacillus GG reduces antibiotic-
associated diarrhea in children with respiratory infections: a randomised
study¡¯, Pediatrics, in press.
32 SALMINEN, S., DEIGHTON, M., GORBACH, S. and BENNO, Y. ¡®Lactic acid bacteria
in health and disease¡¯. In S. Salminen and A. von Wright (eds), pp. 211¨C54,
¡®Lactic Acid Bacteria: Microbiology and Functional Aspects, New York,
Marcel Dekker, 1998.
33 HILTON, E., KOLAKOVSKI, P., SINGER, C. and SMITH, M. ¡®Efficacy of
Functional foods and acute infections 179
Lactobacillus GG as a diarrheal preventive in travelers¡¯, J Travel Med,
1997, 4,41¨C3.
34 ISOLAURI, E., JUNTUNEN, M., RAUTANEN, T., SILLANAUKEE, P. and KOIVULA, T.
¡®A human Lactobacillus strain (Lactobacillus GG) promotes recovery from
acute diarrhea in children¡¯, Pediatrics, 1991, 88,90¨C7.
35 CANANI, R.B., ALBANO, F., SPAGNUOLO, M.I., DI BENEDETTO, L., STABILE, A. and
GUARINO, A. ¡®Effect of oral administration of Lactobacillus GG on the
duration of diarrhea and on rotavirus excretion in ambulatory children¡¯, J
Pediatr Gastroenterol Nutr, 1997, 24, 469.
36 DUCHMANN, R., KAISER, I., HERMANN, E., MAYET, W., EWE, K. and MEYER ZUM
BU
¨
SCHENFELDE, K.H. ¡®Tolerance exists towards resident intestinal flora but is
broken in active inflammatory bowel disease (IBD)¡¯, Clin Exp Immunol,
1995, 102, 448¨C55.
37 MALIN, M., SUOMALAINEN, H., SAXELIN, M. and ISOLAURI, E. ¡®Promotion of
IgA immune response in patients with Crohn¡¯s disease by oral bacter-
iotherapy with Lactobacillus GG¡¯, Ann Nutr Metab, 1996, 40, 137¨C45.
38 ISOLAURI, E. ¡®Probiotics and gut inflammation¡¯, Curr Opin Gastroenterol,in
press.
39 SU
¨
TAS, Y., SOPPI, E., KORHONEN, H., SYVA
¨
OJA, E.L., SAXELIN, M., ROKKA, T. and
ISOLAURI, E. ¡®Suppression of lymphocyte proliferation in vitro by bovine
caseins hydrolysed with Lactobacillus GG-derived enzymes¡¯, J Allergy Clin
Immunol, 1996, 98, 216¨C24.
40 SU
¨
TAS, Y., HURME, M. and ISOLAURI, E. ¡®Downregulation of antiCD3
antibody-induced IL-4 production by bovine caseins hydrolysed with
Lactobacillus GG-derived enzymes¡¯, Scand J Immunol, 1996, 43, 687¨C9.
41 MAJAMAA, H. and ISOLAURI, E. ¡®Probiotics: a novel approach in the
management of food allergy¡¯, J Allergy Clin Immunol, 1997, 99, 179¨C86.
42 ISOLAURI, E., ARVOLA, T., SU
¨
TAS, Y. and SALMINEN, S. ¡®Probiotics in the
management of atopic eczema¡¯, Clin Exp Allergy, in press.
43 SALMINEN, S., VON WRIGHT, A., MORELLI, L., MARTEAU, P., BRASSARD, D., DE
VOS, W., FONDE
¡ä
N, R., SAXELIN, M., COLLINS, K., MOGENSEN, G., BIRKELAND, S.E.
and MATTILA-SANDHOLM, T. ¡®Demonstration of safety of probiotics ¨C a
review¡¯, Int J Food Microbiol, 1998, 44,93¨C106.
44 OUWEHAND, A.C. and SALMINEN, S.J. ¡®The health effects of viable and non-
viable cultured milks¡¯, Int Dairy J, 1998, 8, 749¨C58.
45 DIPLOCK, A.T., AGGETT, P.J., ASHWELL, M., BORNET, F., FERN, E.F. and
ROBERFROID, M.B. ¡®Scientific concepts of functional foods in Europe:
consensus document¡¯, Br J Nutr, 1999, 81,S1¨C27.
46 SALMINEN, S.J. and VON WRIGHT, A. Lactic Acid Bacteria: Microbiology and
Functional Properties, New York, Marcel Dekker, 1998.
47 LEE, Y.K., GORBACH, S.L., NUMITA, N. and SALMINEN, S. Handbook of
Probiotics, New York, John Wiley, 1999.
180 Functional foods
Part III
Developing functional food products
8.1 Introduction
Overwhelming proportions of the world¡¯s population are dependent on plants as
their principal, if not exclusive, source of food. In such populations the
incidence of disease due to vitamin deficiencies is widespread. It has been
estimated that over 100 million children world-wide are vitamin A deficient, and
improving the vitamin A content of their food could prevent as many as two
million deaths annually in young children.
1
This is apart from the deficiencies in
iodine intake, resulting in goitre and in iron-deficient anaemia which are
estimated to affect millions in the developing world. There is also an important
need to improve the amino acid content of legume proteins that are deficient in
essential sulphur amino acids.
In contrast to the developing world, the incidence of known nutritional
deficiency disorders in the developed world is low and can be discounted as a
major cause of diet-related disease. Even in the case of vegetarians there appears
to be no appreciable problem. Nutritional deficiency diseases have been avoided
through the widespread fortification of food. Fortification is also utilised to
replace nutrients lost in the heat processing of foods and through oxidation. In
addition the use of nutritional supplements is becoming more and more common.
Diet has been implicated as an important risk factor in the initiation or
progression of those diseases that are the greatest contributors to ill health in the
developed countries, namely cardiovascular disease and cancer. It has also been
implicated as a factor in other diseases where environment influences the
outcome of the disease such as maturity onset diabetes.
One of the most striking and consistent observations, in terms of the
relationship to health, has been the decrease in cancer risk associated with an
8
Maximising the functional benefits of
plant foods
D.G. Lindsay, Institute of Food Research, Norwich
increasing intake of fruit and vegetables in the diet.
2
There appears to be no
single explanation for this effect but understanding the basis for the protective
effects of plant constituents on carcinogenesis is the subject of intensive research
internationally.
8.2 The concept of functionality
It might be argued that since fruit and vegetables are known to reduce the risk of
the development of cancer, the only action that is required is to encourage
greater consumption of these foods. Under such circumstances the need to
consider any specific enhancement of their functional benefits is pointless. This
argument ignores the fact that:
? Ninety per cent of the world¡¯s population suffers from nutritional deficiency
diseases. While for them the definition of functionality may differ from that
applied to the remaining 10% of the population, the augmentation of certain
nutrients will have health benefits.
? Consumer choice in the developed world will depend on socio-economic and
cultural constraints. The greater freedom of choice ensures that foods are
selected that are enjoyable and available and these may not always be
healthy.
? The consumption of fruit and vegetables may not provide optimal protection
against the risk of disease.
? Plant food composition is constantly changing as new varieties are marketed.
Since it is not known what the exact protective mechanisms are that can be
induced by eating fruit and vegetables, it is not possible to link composition
to specific functional mechanisms. No criteria could be applied to the
development of plant varieties, in terms of their composition, other than that
they remain the same. This is an unsatisfactory basis on which to base the
future of the plant breeding industry. Phytochemicals or vitamins vary by an
order of magnitude or more in the gene pool. It could help in the prevention
of disease to know in which direction this pool should be altered, and with
what likely consequences.
There needs to be a systematic examination of those bioactive, protective
phytochemicals (including nutrients) that will:
? improve knowledge about their uptake, metabolism and their localisation in
tissues and cells, as well as understanding the basis of their activity
? define the steps that determine their biosynthesis in the plant and their
turnover
? enable the intakes to be determined that will maximise their protective effects
without causing toxicity.
184 Functional foods
8.3 Functional effects deliverable by plants
It is really only in the last 10¨C15 years that there has been an interest in
understanding the basis for the health benefits associated with the consumption
of non-nutritive components of plant foods. Prior to this period bioactive,
secondary metabolites of food plants were considered to be undesirable. For
example, the use of the term ¡®mycotoxin¡¯ was applied to any metabolite
occurring in plants as a result of fungal growth. Many of these metabolites had
been identified because of their toxicity to farm animals, but under such
circumstances the exposure was high. It was never considered that at low
exposures to these bioactive substances there might be beneficial effects. But
there is clear evidence that one such compound, zearalenone, a product of the
growth of Fusarium moniliforme on maize, is a weak oestrogen. It is likely to
have effects following ingestion that are similar, if not identical, to those
produced through the consumption of isoflavones. Isoflavones are found in some
soya health food products and have been shown to be weak oestrogens that can
prolong the oestrus cycle in women who consume soya products. This is not
necessarily a toxic effect. Low dose exposures may result in benefits since there
is a lower incidence of hormonally related cancers in women living in societies
with a high consumption of soya.
3
There is a consistent body of data which suggests that those consumers in the
developed world who have a consistently high intake of plant-derived foods,
have a much reduced incidence of cancer and probably of other environmentally
related disease. It is hypothesised that a fundamental contributor to the causes of
these diseases is the generation of reactive oxidative species (ROS), which are
generated through normal metabolism, and in response to stress and infection as
well as exposure to some toxic chemicals.
4
ROS are highly reactive free radicals
that are generated by specific scavenging cells as a natural response to eliminate
pathogens. Under normal conditions it is essential that their production is tightly
regulated because of their toxicity to cells. Even so, it is clear that the processes
are not 100% efficient and oxidatively damaged cellular macromolecules and
their degradation products can be detected in human fluids and tissues, and their
proportion increases with age.
5, 6
Any component of the diet that is capable of acting as an antioxidant or of
inducing antioxidant protective mechanisms might be expected to offer
protection against the damaging effects of ROS generation in susceptible cells
or tissues. Similarly components of the diet that inhibit specific cell division
processes, or stimulate the immunological surveillance mechanisms could offer
protection against the adverse effects of oxidative damage.
The health benefits of consuming plant foods are likely to be attributable to a
number of effects that act in concert, rather than to be attributable to a single
group of compounds. The occurrence of high levels of antioxidant vitamins in
plants could act directly to reduce oxidative damage to human cells. Plants
synthesise several classes of antioxidants, including vitamin C, as well as
phenolic compounds, e.g. flavonoid pigments, carotenoids and tocopherols
Maximising the functional benefits of plant foods 185
(principally vitamin E). In the plant they serve as protectants against
environmental stress and in the delay and control of senescent processes.
Increasing levels could have the triple advantage of improving nutrition, on the
plant performance during growth and in post-harvest quality preservation. The
potential benefits both to farmers and consumers make them very interesting
targets for enhancement.
Apart from the direct ability of phytochemicals to inhibit free radicals, it is
known that they are capable of inhibiting certain phase I enzymes that can
activate pro-carcinogens to carcinogens (see Fig. 8.1). Phytochemicals also
upregulate the synthesis of the enzymes that deactivate carcinogens, or other
toxic metabolites, such as quinone reductase, those that inactivate free radicals
such as catalase or superoxide dismutase, or those involved with regulating the
synthesis of glutathione (glutathione reductase and glutathione peroxidase) and
its conjugation (glutathione transferase). It has also been demonstrated that
phytochemicals can inhibit cell division and stimulate immune responsive-
ness.
7
The application of targeted genetic manipulations in plants will need to
satisfy food regulatory bodies that the enhancement of levels will provide health
benefits to all sections of the population, or conversely that there will be no risks
to certain population subgroups. This will be a difficult challenge. Conventional
plant breeding may have resulted in major compositional changes in food plants,
which have not been well documented, but there is no evidence of any adverse
Key:
? Act as substrates/inhibitors of activating enzymes blocking the activation of the pro-carcinogen.
? Inactivate the ultimate carcinogenic species directly or by inducing deactivating enzymes, e.g.
quinone reductase, catalase, superoxide dismutase, glutathione peroxidase, UDP gluconosyltrans-
ferases (UDPGT), glutathione-S-transferase, etc.
? Induce specific DNA repair enzymes.
? Stimulate the process of apoptosis in initiated cells.
? Inhibit cell division or regulate the induction and activity of specific hormones or membrane
receptors for growth factors and nuclear gene expression systems.
Fig. 8.1 Potential mechanisms and sites for the inhibition of carcinogenesis by
protective phytochemicals.
186 Functional foods
health effects. Indeed the evidence is overwhelmingly for health benefits.
However, to put improvements in food quality through genetic manipulation
into a rational framework, the effect on composition will need to be evaluated.
This can only be done if it is known what the effects will be on the uptake,
distribution and metabolism in target cells and tissues. Currently there is very
little information available for most phytochemicals. At the present time it is
possible to market novel foods if they are ¡®substantially equivalent¡¯ to
traditionally consumed foods. This is a pragmatic basis for control but in order
to put the issue of nutritional enhancement into a scientific framework, much
more information about the impact of compositional changes on bioavailability
will need to be known.
8.4 Plant sources of functional compounds
While many health authorities are encouraging the consumption of five portions
of fruit and vegetables a day for the promotion of healthy eating, it is not the
case that all fruit and vegetables act as important sources of the compounds that
show beneficial effects. Some compounds are very specific to certain types of
fruit or vegetable whereas others can be widely present in plants.
Plants provide the major sources of vitamins C, E and folates in the diet. In
the Western diet practically all of the vitamin C is derived from fruit and
vegetables. It has been estimated that 85% of intake in the UK is derived from
fruit, fruit juices and vegetables. Until recently the seasonal availability of fruit
and vegetables, together with the significant losses of vitamin C that occur on
storage, meant that intakes of the vitamin were seriously deficient at certain
times of the year. Interestingly the most important contributor of vitamin C to
the diet is the potato ¨C not because it is rich in vitamin C but because of its high
consumption.
Tocopherols are found in a variety of plant foods such as nuts, seeds, plant
oils, fruits, vegetables and cereals. The most important sources are the plant oils,
especially given their wide utilisation in the manufacture of foods. Fruit and
vegetables are much poorer sources of vitamin E, ranging in levels from 0.2 to
18 mg vit. E activity as C11-TE compared with 100¨C500 mg vitamin E activity as
C11-TE. Highly processed oils can result in a loss of up to 50% of the tocopherol
content of virgin oils.
The phenolics present in plants cover a wide range of chemical classes, each
with interesting beneficial effects. Common antioxidant phenolics found in fruit
and vegetables include flavonols, anthocyanins, flavan-3-ols (catechins) and
hydroxycinnamates. Flavonols range from 4¨C100 mg kg
C01
fresh weight (f.w.)
in pome and stone fruits to 10¨C350 mg kg
C01
f.w. in berry fruits. Anthocyanins
are particularly high in cherries and berry fruits. Levels can reach up to 5,000
mg kg
C01
f.w. Flavon-3-ols range from 1 to 250 mg kg
C01
f.w. in fruits.
Hydroxycinnamates range from 10 to 1,500 mg kg
C01
f.w. in most fruits. The
flavonol content of vegetables is highest in leafy vegetables but high levels are
Maximising the functional benefits of plant foods 187
also found in alliceae and brassicae. Hydroxycinnamates are somewhat lower in
vegetables compared with fruits, with ranges varying from 1 to 1,600 mg kg
C01
f.w. The isoflavones are principally found in soybeans and products derived
from them. Lentils and flaxseed are important sources for some communities.
Most Western diets are likely to provide plant oestrogens from the lignols
present in fruit and vegetables.
Some other potentially beneficial compounds, such as organosulphides
(predominantly found in allium foods such as garlic, onions and leeks) and
glucosinolates (present in cruciferous vegetables), are of limited interest in terms
of enhancement of levels due to their strong flavours.
8.5 The delivery of functional effects
Food plants provide a regulated source of delivery of functional compounds.
Most of the bioactive substances that might provide health benefits also have
specific functions within the plant. Plant secondary metabolites function (a) as
pollinator attractants (anthocyanins, flavonoids), (b) in infestation control
(phytoalexins), and (c) as UV-protectants (carotenoids and flavonoids).
In general their production is under strict regulatory control and is tissue
specific. Any attempt to upregulate their biosynthesis substantially might result
in adverse effects elsewhere in the plant and toxicity. For example, the over-
expression of glutathione synthesis in plants can result in the symptoms of
oxidative stress in the plant.
8
Thus there is an inbuilt form of control that
automatically limits concentrations and therefore intake when consumed as a
food. This is not so with supplements.
Localisation of secondary metabolites in the cell wall or tightly bound to
other structures normally acts to limit bioavailability, or to ensure that the
phytochemical passes through the small intestine and reaches the lower bowel.
This can affect the time course of release. The problem with rapid absorption,
which could occur with supplements, is that there is the risk that the
phytochemical might be delivered to the target or non-target sites in
concentrations in excess of those required to optimise the effect. The greatest
benefits are probably achieved through slow release, so that the effects extend
for a longer period.
8.6 Enhancing functional effects
The overwhelming majority of the phytochemicals of interest, in terms of their
potential health protective effects, are synthesised in the plant by two principal
biosynthetic pathways ¨C the phenylpropanoid and isoprenoid pathways ¨C with
some common links. The phenylpropanoid pathway leads to the production of
lignins and their phenolic ester precursors, the flavones and related compounds,
and isoflavones (see Fig. 8.2).
188 Functional foods
Fig. 8.2 Phytochemical synthesis via the phenylpropanoid pathway.
The isoprenoid pathway leads to the formation of terpenes, sterols,
carotenoids, and the tocopherols (see Fig. 8.3).
The synthesis of specific metabolites, which can be very plant specific, is
controlled through highly branched pathways and is carefully regulated. Given
the wide diversity in structure and function of these metabolites in the plant,
major differences in temporal and spatial distribution of the metabolite can
occur, depending on the stage of development of the plant and between different
plant organs and cell types.
There are a number of ways in which the concentrations of functionally
active compounds can be increased by genetic manipulation. The most
traditional approach, and one that has much to recommend it, is the use of
¡®classical¡¯ plant breeding techniques. Plant varieties have not been selected to
date on the basis of nutritional qualities but there are wide natural variations that
can be found in the gene pool of crop plants. In the case of the pro-vitamin A
carotenoids, plants provide highly variable amounts depending on their colour.
Varieties of sweet potato may contain levels varying from 0.13 mg to 11.3 mg
g
C01
dry weight of betacarotene.
9
Similar variations in levels can be found in
carrots and cassava. In the case of the tomato, genes have been identified that are
associated with high and low lycopene content. Incorporation of genes that
increase lycopene content, or elimination of genes that decrease the lycopene
Fig. 8.3 Phytochemical synthesis via the isoprenoid pathway.
190 Functional foods
content, can be done by pedigree selection and back-cross programmes. Such
techniques have produced hybrids with a three- or four-fold content of lycopene
in tomato fruits.
10
Genetic engineering is now being applied to enhance levels of functional
compounds in food crops. Indeed for some purposes it will be the only approach
feasible, especially where there are widespread deficiency diseases and the
population is dependent on staple crops that are not sources of the nutrient
required. The introduction of a pro-vitamin A carotenoid into rice
11
is a major
step forward in providing health benefits to those communities where rice is a
staple food. However, there is strong opposition to the application of the
technology for food production in Europe.
Potential strategies for the enhancement of specific metabolites could target
upon the following:
? over-expression of enzymes that control the final steps in the biosynthesis of
a metabolite
? over-expression of rate-limiting enzymes
? silencing of genes whose expression causes the metabolite to be degraded
? increased expression of genes that are not subject to metabolic feedback
control
? increasing the number of plastids in a plant
? increasing metabolic flux into the pathway of interest
? expression in storage organs using site-specific promoters.
The strategy that has had the greatest success at present is the first one but
this presupposes that the metabolite of interest is the final one in a particular
pathway. In practice, if a substantial increase in the concentration of a
metabolite is required, the use of specific promoters directing the synthesis to a
particular organelle normally used for storage purposes, or where the plant
normally synthesises the metabolite, is essential. Failure to do so could cause
toxicity in the plant by interfering with the production or function of other
essential metabolites.
No strategies have yet been applied where multiple gene insertions are
necessary to produce the metabolite, or where plastid numbers have been
increased. However, rapid accumulation of sequence data of both chromosomal
DNA and expressed sequence tags of plants and other species is providing rapid
advances in knowledge of the genetic make-up and functions of several plants
and it is expected that these other possibilities will soon be feasible.
Food processing technologies, which are safe but do not involve excessive
heat treatment or the risk of oxidative destruction of vitamins, need to be applied
to assess the effects on specific functional compounds. The fact that some
compounds, such as lycopene, are actually more bioavailable following high
temperature processing than in raw or lightly processed food means that careful
attention has to be given to the factors that influence bioavailability and the
method of its production.
Maximising the functional benefits of plant foods 191
8.7 Factors affecting the intake of functional compounds
While food processing normally leads to a reduction in the levels of vitamins ¨C
the more rigorous the process, the greater the reduction in levels ¨C in some
instances processing has a dramatic effect on availability.
The diet plays an important role in the uptake of specific nutrients and
phytochemicals. Those that are lipophilic are absorbed much more readily from
a lipid-rich diet. Frying tomatoes in oil dramatically improves the uptake of
lycopene compared with the consumption of fresh tomatoes.
12
Raw carrots,
which have high levels of pro-vitamin A carotenoids, are poorer sources of
betacarotene than gently cooked carrot.
13
The bioavailability of certain trace
elements is increased on cooking or processing, such as the increased
bioavailability of iron in canned spinach.
14
The chemical form of the
phytochemical present in food is very important in determining the uptake
through the gastrointestinal tract. Quercitin-C12-glucoside is more easily absorbed
than the aglycone quercitin. Isorhamnetin-C12-glucoside, which is chemically
similar to quercitin, differing only by a single methoxyl group, is much more
readily absorbed. Flavonoid rutinosides (rhamnosyl 1-6 glucosides) are not
easily absorbed.
15
The chemical form of the phytochemical is of profound importance when
considering the biological relevance of specific chemicals and their levels in the
diet. Whilst some phenols might be better antioxidants than others when tested in
in vitro systems, this is of little significance in terms of health relevance. What
matters is whether the compounds are easily absorbed, are not quickly degraded
in tissues, and are able to reach the target sites. Flavonoids (see Fig. 8.4) that are
not absorbed undergo extensive degradation by gut micro-organisms, and may
play a limited role in preventing oxidative damage in the colon.
8.8 Enhancing macronutrient quality
The focus of much of the genetic engineering work to date has been on
improving the overall protein and lipid profiles in pulses and oilseeds. While the
impetus for this work has been principally to realise new market opportunities in
the animal feedstuffs and industrial chemical sectors, there are potential
applications with nutritional benefits.
Fig. 8.4 Structure of flavonoids.
192 Functional foods
8.8.1 Alterations in the fatty acid composition of oilseeds
The manipulation of oilseed fatty acid composition was one of the early
successes of the application of genetic engineering. Commercial cultivation of a
genetically engineered lauric oil rapeseed was achieved in 1995 in the USA.
16
This success reflected the relative ease of the manipulation of genes into
Brassicae napus, sufficient knowledge about the metabolic pathways involved
in storage oil biosynthesis, and the potential to alter composition through single
gene insertions.
The commercial driving force for this product was not, however, a nutritional
one but as a potential replacement for palm and coconut oils in soap and
detergent manufacture. There are major commercial constraints on the
modification of plant oil seeds for nutritional purposes. This is not only because
of the lack of sufficient categorical evidence for health benefits and the diversity
of needs within the population, but also because of the expense of applying the
technologies available. There is still insufficient knowledge about the full
implications of genetic modification on the biochemical regulation of lipid
biosynthesis. Special promoters must be used in any construct to ensure that the
target for modification is the oil storage bodies and not the membrane lipids that
are essential for plant growth and survival. Multiple gene insertions are also
required for some applications, increasing the overall costs of production and
seriously affecting the economic feasibility of the process.
In general commercial oilseeds accumulate long chain fatty acids containing 16
or 18 carbons with one to several double bonds, although higher chain lengths can
occur in some plants. Synthesis occurs in the plastids through a two-carbon
addition to a growing acyl-carrier protein (ACP) linked via a covalent thioester
bond eventually to C18-ACP (palmitoyl-ACP) (see Fig. 8.5). Acyl-ACP
thioesterases cleave the acyl group from the ACP. Free acyl CoAs are formed
that are transferred to the cytoplasm where further desaturation and elongation can
occur to form other fatty acids that can be utilised in triacylglycerol biosynthesis.
In general the acyl-ACP thioesterases which are present in commercial oilseeds
only cleave ACP bond at the C16:0, C18:0 and C18:1 stages.
A novel oil has been synthesised through the transfer of the California bay
tree gene for a lauryl acyl carrier protein thioesterase into rapeseed. The
thioesterase from the Californian bay tree shows maximal activity for 12C-ACP
thioesters and can intercept the biosynthesis and divert the pathway to the
formation of the free lauric acid for triacylglycerol (TAG) synthesis.
The free fatty acid pool serves as a source of fatty acids used in the synthesis
of the TAGs. Formation of TAG begins with the acylation of glyceryl-3-
phosphate catalysed by an enzyme (glycerol-3-phosphate acyltransferase),
which is most active in acylating saturated FAs. A second enzyme, lysophos-
phatidic acid transferase, is usually highly selective and shows preferential
activity towards unsaturated FAs, if these are present in the free FA pool,
resulting in the preferential insertion of the unsaturated fatty acid in the middle
of the triacylglycerol position (the sn2 position). Such lipids, known as
structured lipids, are claimed to have nutritional benefits over unstructured
Maximising the functional benefits of plant foods 193
lipids, although it is presently doubtful that these effects are superior to the
benefits that can be obtained from the mixture of various types of oil for
parenteral nutrition purposes.
17
Eicosopentanoic acid (EPA; 20:5) and docosahexaenoic acid (DHA; 22:6),
are polyunsaturated fatty acids (PUFAs) of particular interest since they are
normally only available from fish oil sources, and their isolation is expensive.
Although humans can synthesise them from the essential PUFA C11-linolenic acid
(18:3n-3), the conversion efficiency is low and consumption of EPA and DHA
directly is more efficient at increasing their levels in plasma. The nutritional
interest lies in the fact that they are beneficial as precursors for the synthesis of
certain eicosanoids that have pro- and anti-inflammatory properties.
Consumption of fish oil causes a replacement of arachidonic acid (AA) in
membranes with EPA and DHA. In most conditions AA is the principal precursor
of eicosanoids (class II) that are more potent than those derived from dihomo-C13-
linoleic acid (class I) or EPA (class III) (see Fig. 8.6). EPA-derived eicosanoids
reduce the tendency for platelets to aggregate due to the production of weaker
thromboxanes. These inhibit the stronger aggregator thomboxanes derived from
AA decreasing the risk of atherosclerosis. Also EPA inhibits C1-6 desaturase that
decrease the amount of dietary linoleic acid converted to AA. EPA and DHA
competitively inhibit the oxygenation of AA by cyclooxygenase which is the first
step in the synthesis of the Type II eicosanoids. There is evidence linking an
increased intake of these PUFAs to protection against cardiovascular disease,
18
to
improvements in the immune response,
19
and even longevity.
20
The introduction of the genes for the biosynthesis of specific C33-3 PUFAs will
be a major challenge to molecular biologists since the PUFA synthetic pathways
Fig. 8.5 Biosynthesis of plant lipids. (FAS: fatty acid synthase complex. ACP-DES:
acyl-carrier protein desaturases. TE: acyl carrier protein thioesterases.)
194 Functional foods
in algal and fungal sources of these PUFAs are poorly defined, and the enzymes
and substrates involved are uncharacterised at the genomic level. In addition the
multiple gene transfers not only add to the costs of production but can lead to
instability in gene expression (co-suppression effects).
It is difficult to predict how to engineer a plant to produce DHA given the
complexity of controlling biosynthesis in a multi-gene pathway. A significant
breakthrough has been the synthesis of C13-linoleic acid (GLA; 18:3) in tobacco as
a result of the upregulation of the C16-desaturase gene.
21
Very recently there has
been a report of the isolation of a C15-desaturase gene from yeast which converts
di-homo-C13-linolenic acid to arachidonic acid, and which is the principal
precursor for the production of the eicosonoids.
22
8.8.2 Alteration in amino acid content of proteins
Legumes are one of the most important sources of proteins in human diets. The
major protein in bean seeds is phaseolin, which comprises 40% of the total
protein content. It contains only three methionine residues and is seriously
deficient in this essential amino acid when compared with the major egg protein,
ovalbumin.
To improve the nutritional value of phaseolin, a 45bp oligonucleotide
containing six methionine codons was introduced into the third exon of the
phaseolin gene,
23
but the resulting seeds contained little phaseolin. Subsequent
three-dimensional analysis of the protein indicated that the introduction of extra
methionine residues would destabilise the phaseolin and stop it from folding
correctly during its synthesis in the vacuole.
24
Fig. 8.6 Biosynthesis of eicosanoid precursors.
Maximising the functional benefits of plant foods 195
Examination of the amino acid sequences of various related storage proteins
to phytohemagglutinin showed that there were variable and conserved regions in
the molecule. Introduction of methionine codons into the variable region by site-
directed mutagenesis did not affect the stable accumulation of phytohemagglu-
tinin into the vacuoles of the transgenic tobacco seed.
25
Care has to be taken, however, in any such manipulations from the risk of
creating sites of allergenicity. A methionine-rich albumin gene from the brazil
nut was ligated into the promoter region of the phaseolin gene and the chimeric
gene introduced into tobacco where it resulted in a 30% increase in methionine
content in the seed.
26
Similar success was found with its introduction into
soybean.
27
However, ligation of the gene into the promoter region of the
concavalin gene in French beans only produced a limited amount of the brazil
nut protein in seeds, showing the difficulty in developing generic approaches.
28
In addition the brazil nut protein has been shown to be an allergen,
29
casting
doubt over the value of pursuing such an approach. A more promising approach
is to use the protein isolated from sunflower seeds with a high methionine
content and which is not allergenic.
30
The metabolic demands that occur in expressing high levels of sulphur-rich
proteins appear to cause competition for the formation of other sulphur-
containing compounds in the plant. The total sulphur content of the legumes are
little changed as a result of these manipulations.
30
For example, in the case of
soya there is a suppression of the synthesis of other methionine-containing
proteins including a protease inhibitor protein. There is a lack of knowledge of
sulphur flux, the control of pathways of sulphur metabolism, the mechanisms by
which amino acids can be channelled from one synthetic pathway to another,
and the control of gene expression by the amino acid supply. The unexpected
reduction in protease inhibitor in soybean has a nutritional benefit, however,
since the reduction of these inhibitors in legumes increases digestibility and
improves trace element uptake.
Further information on the regulation of seed protein gene expression is
necessary to construct a strong promoter, as well as improvements in the stable
accumulation of engineered proteins into seeds of transgenic legume plants,
before nutritionally improved legumes are feasible. Above all, care will have to
be exercised in assessing the safety of the resulting food.
Other approaches that could lead to an improvement in the nutritional content
of such crops would be to upregulate glutathione biosynthesis (see Fig. 8.7).
Apart from providing an extra source of sulphur it is considered to be a key
component in the defence of the plant against oxidative stress. Its manipulation
could lead to both agronomic and nutritional benefits. The biosynthesis of
glutathione has been well studied. A number of the DNA sequences coding
important enzymes in its biosynthesis are available from bacterial, animal and
plant sources.
The upregulation of glutathione synthatase did not increase the glutathione
content of transgenic plants. But if C13-glutamylcysteine synthatase was enhanced,
there was a sevenfold increase in foliar glutathione levels. However, signs of
196 Functional foods
severe oxidative stress were evident. Plants that were engineered to contain both
genes were free of these symptoms and were associated with a decline in the
levels of C13-glutamylcysteine. These data suggest that if this intermediate in the
biosynthesis of glutathione is not allowed to accumulate, toxicity symptoms can
be avoided.
31
Interestingly, the enhancement of glutathione reductase, which catalyses the
reduction of oxidised glutathione (GSSG) to its reduced form (GSH), in one or
more of the cytosol, chloroplasts and mitochondria in cells of transgenic tobacco
or poplar, leads to improved stress tolerance and to a total increase in the foliar
concentration of glutathione in spinach. The link between an enhancement in the
capacity of a plant to reduce the oxidised form of an antioxidant (glutathione is
protective against oxidative damage) and total pool size of that antioxidant is
poorly understood but may also apply to elevation of other antioxidants, such as
ascorbate. Overall redox potential in a cell is a crucial factor in the recognition
of a stressed or normal state which could have a subsequent impact on gene
expression.
8.9 Enhancing micronutrient quality
Plants contain 17 mineral nutrients, 13 vitamins and numerous phytochemicals
that have been shown to have potentially beneficial effects on health. Almost all
human nutrients can be obtained from plant foods; the exceptions are vitamins
B
12
and D. However, the adequacy of a plant diet in delivering a health benefit
Fig. 8.7 The biosynthesis of glutathione. (GSH: reduced glutathione. GSSG: oxidised
glutathione. GR: glutathione reductase. GPx: glutathione peroxidase. C13-EC: C13-
glutamylcysteine synthatase. DHAR: dehydroascorbate reductase.)
Maximising the functional benefits of plant foods 197
will depend on bioavailability. Many plant beneficial compounds that are
associated with the plant cell wall are not easily bioavailable. Any way in which
overall levels can be increased will help overcome this difficulty.
8.9.1 Enhancement of vitamin E levels
Vitamin E consists of a mixture of tocopherols (C11-, C12-, C14- and C13-tocopherol) but
C11-tocopherol is the most important for health and has the highest vitamin
activity. The established relative activity for C11-, C12-, C14-, and C13-tocopherols are
100%, 50%, 10%, and 3% respectively. In the USA the adult recommended
allowance for vitamin E is 8¨C10 mg (C11-tocopherol) based on an avoidance of
vitamin deficiency diseases. However, current evidence suggests that an intake
of 100¨C250 mg C11-tocopherol is required if long-term disease risks are to be
avoided. This is not feasible from unsupplemented diets if general nutritional
guidelines are followed, especially since in most plants the ratio of C11-toC13-
tocopherol is fairly low.
The tocopherol biosynthetic pathway is known but only one gene, encoding
the enzyme p-hydroxyphenylpyruvate dioxygenase ¨C HPPDase ¨C is charac-
terised. The genes for HPPDase have been identified from Daucus carota and
Arabidopsis thaliana. In spite of the fact that few genes were available for use in
genetic engineering studies, a significant increase in the C11-tocopherol levels in
plants has been achieved through the over-expression of C13-tocopherol
methyltransferase (C13-TMT), the final stage in the biosynthetic pathway.
The fact that many oilseeds contain high levels of C13-tocopherol suggests that
the final step of the biosynthetic pathway is rate limited by the activity of C13-
TMT (see Fig. 8.8). The successful strategy that was adopted was to focus on the
identification of a C13-TMT gene in Synechocystis PCC 6803 which, like
Fig. 8.8 Synthesis of C11-tocopherol from C13-tocopherol.
198 Functional foods
Arabidopsis thaliana, accumulates (R,R,R)-C11-tocopherol to an extent greater
than 95% of the total tocopherol in the organism.
An Arabidopsis gene coding for the HPPDase was used to search the
Synechocystis genomic database for common identities in a single open reading
frame. A gene was located with a 35% homology to the Arabidopsis HPPDase
gene located in a predicted ten-gene operon. It was hypothesised that related
biosynthetic genes might be found within the same operon, given the fact that
related biosynthetic genes are frequently located within the same operon in
bacteria. The operon contained a candidate open reading frame that predicted a
methyl transferase activity. The C13-TMT gene was located through the
identification of a close sequence similarity to C1-(24)-sterol-C-methyltransfer-
ase as well as to other structural features common to those of a C13-TMT (e.g. an
S-adenosylmethionine binding site).
A null mutant of the gene was created that was shown not to synthesise C11-
tocopherol but to accumulate the intermediate biosynthetic precursor C13-
tocopherol. Further biochemical analysis of the gene product in E. coli confirmed
that the open reading frame encoded the Synechocystis C13-TMT. Expression of the
Synechocystis gene in E. coli showed that the recombinant protein catalysed the
methylation of C13-tocopherol to C11-tocopherol. Sequence analogy analysis was used
to identify the corresponding gene in Arabidopsis.
Arabidopsis was transformed by the Arabidopsis C13-TMT cDNA driven by the
seed-specific carrot DC3-promoter. This resulted in an increase of greater than
eightyfold in the levels of C11-tocopherol where greater than 90% of the
tocopherol content was as the C11-isomer compared with the untransformed plant.
However, total seed tocopherol levels were unchanged, indicating that C13-TMT
plays an important role in determining the composition but not the total content
of the seed tocopherol pool.
32
Given the higher potency of C11- compared with C13-
tocopherol, the possibility exists of increasing their nutritive value of a wide
range of commercially important oilseed crops.
The genomics-assisted strategy adopted in this case will be useful in
accelerating gene discovery in other secondary metabolic pathways, especially
those responsible for the synthesis of nutritionally beneficial phytochemicals. A
growing number of sequence databases are available which can be interrogated
to discover orthologous pathway genes.
8.9.2 Manipulation of carotenoid levels
The nature of the challenges faced in manipulating plant metabolites is well
illustrated through the attempts that have been made to alter carotenoid levels in
food plants.
A simplified version of the pathways leading to the synthesis of the
carotenoids principally found in food plants is shown in Fig. 8.9.
A crucial enzyme involved in their synthesis is phytoene synthase (PSY 1)
which converts geranylgeranylphosphate (GGDP) into phytoene. Inhibition of
PSY1 through the use of antisense gene-silencing techniques resulted in a 90%
Maximising the functional benefits of plant foods 199
reduction in carotenoid levels compared with wild type in the tomato.
33
Over-
expression of PSY1 results in dwarfed tomato plants.
34
This has been explained
by the increased flow of metabolites into the carotenoid branch of the isoprenoid
pathway leading to a reduction in the metabolites available for gibberellin
synthesis. The general, isoprenoid pathway is utilised by plants for the synthesis
of many important products including sterol, chlorophyll, quinone and
phytoalexin production, as well as for the gibberellins. It illustrates the complex
interactions that are occurring and the potential disbenefits arising from the
manipulation of the level of any one enzyme.
Improvements in the process can be made by ensuring that genes are
expressed in a tissue-specific manner through the insertion of specific
promoters. This has been achieved for rice where carotenoid levels have been
increased significantly through the use of the daffodil psy gene.
35
In the case of
tomato, a twofold increase in total carotenoid levels occurs using this psy
transformant which is significantly lower than for rice. In rice the daffodil psy
cDNA insertion is under the control of an endosperm-specific promoter. The
choice of promoter will very much affect the timing and tissue-specific
expression of a gene.
It has been possible to induce xanthophyll accumulation in potato tubers that
do not normally contain betacarotene.
36
The use of bacterial psy genes instead of
the daffodil psy gene in tomatoes produces a sevenfold increase in betacarotene
levels but this is at the expense of the ripening pigment lycopene which is the
predominant carotenoid in tomato.
Monsanto has introduced phytoene synthase into rapeseed and has
appreciably enhanced levels of betacarotene. Interestingly, a higher level of
C11-carotene (lutein) is also produced.
Fig. 8.9 Biosynthesis of carotenoids from GGDP.
200 Functional foods
This indicates the potential, given the right set of carotenoid biosynthesis
genes, with the correct target sequences and promoters, to accumulate
carotenoids in other plant tissues/organs/crops that currently contain little or
none. This remains a major challenge. Much more needs to be known about the
exact regulatory factors that affect carotenoid biosynthesis.
8.9.3 Improvement of iron content of plants
Although plants contain iron, it is invariably in a form that is much less
biologically available and utilisable than when it is complexed with protein as in
haemoglobin. Consequently regular meat eaters are rarely iron deficient. The
challenge to the biotechnologists was how to achieve an improvement in the
bioavailability of iron in plants. A lot of attention has been given recently to
understanding the processes controlling iron uptake into plants as well as to
engineering its uptake.
The nutritional importance of achieving this is unquestionable. It has long
been a concern in developed countries that vegan or vegetarian women are at
risk of developing anaemia. In the developing world iron-deficient anaemia is a
serious problem affecting an estimated 30% of the world¡¯s population. As if this
was not a sufficient target for the enhancement of levels, it emerges that over-
expression of ferritin in tobacco increases the plant¡¯s tolerance to oxidative
damage and pathogens, opening up the possibility of substantial increases in
productivity and environmental benefits.
37
Simultaneously it has been possible to increase the iron content of rice
through the introduction of the soybean ferritin gene into rice through
Agrobacterium-mediated transformation.
38
The ferritin gene was expressed
under the control of a rice seed storage protein glutelin promoter to ensure that
ferritin was accumulated in the seed. The protein was found to be located in the
endosperm sub-aleurone layer of the seed. The iron content of the transformed
seeds was as much as threefold higher than their untransformed counterparts.
This would be sufficient to produce 30¨C50% of the daily adult iron requirement
(13¨C15 mg/day) and in a form that is likely to be bioavailable.
A frequent problem in attempting to introduce foreign proteins is that
proteolytic degradation can occur. Ferritin is synthesised from a 32kDa
precursor into a 28kDa sub-unit and a 26.5kDa partially degraded sub-unit.
Correct assembly of the protein is required for importation of the sub-unit into
the plastid as well as for the iron storage function. The stable incorporation of
the 28kDa sub-unit was found to occur in these experiments, suggesting that the
endosperm tissue is an appropriate tissue for accumulation of foreign ferritin and
is protected from the action of plant proteases. Use of a rice-specific promoter
appears to have had the advantage not only of conferring endosperm-specific
expression of the ferritin gene but also to encourage a higher level of expression
than occurs with the cauliflower mosaic virus 35S promoter.
Maximising the functional benefits of plant foods 201
8.10 The effects of food processing
There are not a lot of published data available about the effects of food
processing on phytochemicals, other than nutrients. However, it is apparent that,
in general, the stronger the processing conditions, the greater the degradation of
specific nutrients and phytochemicals. But even under the most severe
processing conditions or cooking in the home, some compounds are remarkably
stable.
8.10.1 Processing of oils
The initial stages of refining of crude vegetable oils use water or steam to de-
gum, followed by centrifugation. Physical or chemical refining procedures can
then be used. Physical methods involve steam treatment to volatilise free fatty
acids and bleaching is normally adopted. This removes any carotenoids but
without this step the oils are less stable. A compromise has to be adopted to
remove materials producing instability and the preservation of some
antioxidants. Chemical methods involve saponification with sodium hydroxide,
followed by centrifugation.
There are considerable benefits in retaining high levels of antioxidants
throughout the processing stages to improve overall product quality and avoid
rancidity. However, the processes to produce high quality oils, that is oils
acceptable to users, require them to be low in flavour and cloudiness, and light
in colour. These demands can lead to oils that are much lower in antioxidant
content than the oilseeds from which they are derived.
Given the fact that energy costs of edible oil production are high, and that the
nutritional quality is not optimal, other processes, such as membrane separation,
are being considered. The preservation of antioxidants in oils is best achieved
through the use of stainless steel equipment since metal ions encourage the auto-
oxidation of lipids. In addition, air must be removed at temperatures below
100oC before the oil is heated to the final stripping temperature.
Virgin oils are also susceptible to oxidation, even with high antioxidant
content. It is essential to keep the peroxide value of these oils low in order to
avoid rancidity and the loss of antioxidants since, once oxidation occurs, the
process is auto-catalytic. Oil extraction using a two-phase centrifugal decanter
yields olive oil with improved quality when compared with those that use the
conventional three-phase equipment. The oils produced by the two-phase
technology have a higher content of polyphenols, ortho-diphenols, hydroxytyr-
osol and tocopherols and a higher stability.
39
8.10.2 Processing of fruits and vegetables
There has not been any systematic examination of the effects of processing on
the levels and chemical composition of many bioactive phytochemicals in plant
foods. The information that is available is mostly confined to the effects on
202 Functional foods
nutrients, carotenoids and some phenolic components of plant foods. Even so
there is incomplete information on the effects of particular processes on the
overall nutritive value of fruits and vegetables.
Although the levels of nutrients and phytochemicals can be greatly
influenced by agronomic practices, optimal processes for maintaining the
content of antioxidant vitamins in fruit and vegetables start from post-harvest
handling. Careful attention to temperature in harvesting and minimisation of
light and oxygen help reduce loss. Loss of vitamins in fresh vegetables is
invariably associated with wilting. The cold storage of vegetables with
appropriate humidity helps to preserve vitamin content. Some vegetables, such
as broccoli, are more sensitive than others, e.g. green beans, to refrigerated
storage. On the other hand, the vitamin content of fresh fruits is not stable for
long periods of time in the refrigerator. Inactivation of polyphenol oxidase also
helps to maintain antioxidant status.
39
Modified atmosphere packaging is widely used in fruit and vegetable
marketing. While the removal of oxygen and the use of plastics with low gas
permeability membranes might be expected to lead to the stability of nutrients,
carbon dioxide accumulation occurs, leading to anoxia and loss of quality.
Active packaging offers the possibility to overcome these problems from the use
of oxygen-scavenging materials such as vitamins C or E into the film. However,
this is not happening at the moment. The vitamin A content of sweet potato is
maintained after four months¡¯ storage if it is stored in an impermeable plastic
material with an oxygen scavenger in the packaging material, compared with a
retention of only 45% in permeable plastic, 62% in impermeable material with
air in the head space, and 73% in vacuum-sealed impermeable plastics.
9
Dehydration of fruits and vegetables invariably leads to a loss in nutrients
other than trace elements due to the greater surface area and exposure to oxygen
and light. Betacarotene levels are reasonably stable on processing provided that
oxygen is rigidly excluded from the process. A decrease of 30¨C55% in levels
occurs following canning because of the anoxic environment. Freeze-drying
does not significantly alter total carotenoid levels. Freezing generally preserves
carotenoids, whereas sun or solar drying leads to considerable losses. In
developing countries sufficient amounts may remain, however, to provide
vitamin A requirements.
40
The problem of vitamin A deficiency is often
attributable to the seasonable variations in availability of pro-vitamin A rich
foods.
Processing of plant foods rich in phenolic compounds can result in
increased levels of some of the phenols after processing. Raspberry juice,
prepared by a diffusion extraction process where the juice is held at high
temperatures (65o) for a long period, results in an increased content of ellagic
acid. Jam making also increases levels of this compound. Anthocyanins appear
to survive the jam-making process but conversion to other compounds occurs ¨C
probably chalcones ¨C and these compounds are not characterised. These
changes are possibly due to the release of ellagic acid from the cell walls by
hydrolysis of ellagitanins.
41
However, the changes in phenolic content can vary
Maximising the functional benefits of plant foods 203
very widely, depending on the process and compound. Technological
processes in juice and wine production can have a marked effect. Skin
fermentation of wines results in a higher content of phenols in the product but
in general the levels of total phenols in wine are less than found in juices.
42, 43
Very complex changes occur to the anthocyanins when wine is produced.
Cooking of onions and tomatoes leads to a marked reduction in the levels of
quercitin.
44
The phenolic compounds in olives are transformed depending on
the method used in their curing. It is clear that the characterisation of the
effects of processing on the concentration of phenolics in plants will need
investigating at the level of the individual process and compound since some
compounds will increase, others decrease, and a considerable number will be
transformed. The biological significance of these changes is going to be
extremely complex to unravel. The focus will have to be on those compounds
that are consumed in the greatest amounts and dietary studies will be required
to determine this.
Apart from effects on the overall levels in foods, processing can affect the
chemical composition of the food which may have biological consequences. The
carotenoids have been studied in most detail in this regard. Processing can lead
to significant losses of epoxicarotenoids (e.g. lutein-5-6-epoxide, neoxanthin
and violaxanthin, lutein and to a lesser extent the carotenes where trans to cis
isomerisation occurs (e.g. 5-cis-lycopene and 13-cis-C12-carotene), as well as to
different carotenoid by-products. The extent of these changes is dependent upon
the type of vegetable, the method of cooking, and the temperature and time
conditions. The higher the temperature and the longer the period of cooking, the
greater the change.
45
Heating of carotenoids in the presence of oxygen results in
their oxidation to apocarotenals, some of which might still possess biological
activity.
New processing techniques, such as high electric pulse fields, or high
pressure processing, especially of fruit juices, help to maintain vitamin levels.
8.11 Future trends: the work of NEODIET
The European Commission, under its Food and Agro-Industrial Research
programme (FAIR), recognised the important need to improve the nutritional
value of food in determining the research priorities for this programme. This was
not only from the perspective of providing consumers with potential health
benefits but also that of encouraging innovation in industry through the
development of new products and processes which would utilise the scientific
advances in the field of diet and health. In 1997 they supported a concerted
action on the Nutritional Enhancement of Plant Foods in European Trade
(NEODIET), in order to give the topic a higher profile throughout Europe, and
to bring together research workers in Europe with an interest in this topic.
The overall objectives of the NEODIET concerted action programme are to:
204 Functional foods
? exchange information in the area of improving the nutritional value of plant
foods through the use of genetic modification and food processing
technologies; and
? set up a network of collaboration between research scientists in academia and
industry who are working both at the EU and national level in this field.
Both the agrochemical and food industries are involved in the project to help
stimulate technological development.
8.11.1 Priorities of NEODIET
The steering committee for NEODIET decided that the initial priority areas for
the project should be on improving the trace nutrient and potential health
protective factors in plants. The particular focus is on those compounds for
which there is some evidence that intakes are not presently optimal for health
benefits, or where there is some evidence for health benefits, particularly in
relation to antioxidant properties. Attention is focused on the following:
? folates
? vitamins C and E
? carotenoids
? glucosinolates
? phytosterols
? flavonoids
? simple phenols
? certain trace elements.
The project has stimulated interest in the topic through the organisation of a
series of workshops and meetings to review the latest developments in all of the
disciplines that have to be brought together to achieve future progress. These
include molecular biologists, biochemists, nutritionists and food technologists.
A series of position papers have been produced which have reviewed the current
information on all of the priority compounds in the project in terms of the issues
raised in this chapter, and which will be a comprehensive overview of the
field.
46
The principal purpose, however, is to identify the most important
research challenges that will need to be addressed in the future to benefit
consumers. In this way it was hoped to encourage future research collaboration
throughout Europe. Further information on the project can be found on the
website http//:www.ifrn.bbsrc.ac.uk/neodiet/
8.12 References
1 World Health Organization, ¡®Global prevalence of vitamin A deficiencies¡¯,
Micronutrient Deficiency Information Systems, Working Paper No. 2,
Geneva, WHO 1995.
Maximising the functional benefits of plant foods 205
2 BLOCK, G., PATTERSON, B. and SUBAR, A. ¡®Fruit, vegetables and cancer
prevention: a review of the epidemiological evidence¡¯, Nutr & Cancer,
1992, 18,1¨C29.
3 SETCHELL, K.D.R., BORRIELLO, S.P., HULME, P. et al. ¡®Non-steroidal estrogens
of dietary origin: possible roles in hormone-dependent disease¡¯, Am J Clin
Nutr, 1984, 40, 569¨C78.
4 DIPLOCK, A.T. ¡®Antioxidants and disease prevention¡¯, Mol Aspects Med,
1994, 15, 293¨C376.
5 PAPA, S., SCACCO, S., SCHLIEBS, M., TRAPPE, J. and SEIBEL, P. ¡®Mitochondrial
diseases and ageing¡¯, Mol Aspects Med, 1996, 17,513¨C58.
6 MECOCCI, P., FANO, G., FULLE, S., MACGARVEY, U. et al. ¡®Age-dependent
increases in oxidative damage to DNA, lipids, and proteins in human
skeletal muscle¡¯, Free Rad Biol & Med, 1999, 26, 303¨C8.
7 JOHNSON, I.T., WILLIAMSON, G. and MUSK, S.R.R. ¡®Anticarcinogenic factors in
plant foods: a new class of nutrients?¡¯, Nutr Res Rev, 1994, 7, 175¨C204.
8 MULLINEAUX, P.M. and CREISSEN, G.P. ¡®Opportunities for the genetic
manipulation of antioxidants in plant foods¡¯, Trans Biochem Soc, 1996,
24,829¨C35.
9 SOLOMONS, N.W. and BULUX, J. ¡®Identification of local carotene-rich foods to
combat vitamin A malnutrition¡¯, Eur J Clin Nutrn, 1997, 51, S39¨CS45.
10 AMITOM, ¡®Role and control of antioxidants in the tomato processing
industry¡¯, EU FAIR Project (FAIR CT97-3233), http//:www.tomate.org/
Antioxidantnetwork.html
11 BURKHARDT, P.K., BEYER, P., WUNN, J. et al. ¡®Transgenic rice (Oryza sativa)
endosperm expressing daffodil (Narcissus pseudonarcissus) phytoene
synthase, accumulates phytoene a key intermediate in pro-vitamin A
synthesis¡¯, Plant J, 1997, 11, 1071¨C78.
12 GA
¨
RTNER, C., STAHL, W. and SIES, H. ¡®Increased lycopene bioavailability from
tomato paste as compared to fresh tomatoes¡¯, Am J Clin Nutrn, 1997, 66,
116¨C22.
13 ROCK, C.L., LOVALVO, J.L., EMENHISER, C. et al. ¡®Bioavailability of beta-
carotene is lower in raw than in processed carrots and spinach in women¡¯, J
Nutr, 1998, 128, 913¨C16.
14 LEE, K. and CLYDESDALE, F.M. ¡®Effect of thermal processing on endogenous
and added iron in canned spinach¡¯, J Food Sci, 46,1064¨C7.
15 AZIZ, A.A., EDWARDS, C.A., LEAN, M.E.J. and CROZIER, A. ¡®Absorbtion and
excretion of conjugated flavonols, including quercitin-4
C48
-O-C12-glucoside and
isorhamnetin-4
C48
-O-C12-glucoside by human volunteers after the consumption
of onions¡¯, Free Rad Res, 1998, 29, 257¨C69.
16 MURPHY, D.J. ¡®Engineering oil production in rapeseed and other oilseed
crops¡¯, Trends Biotechnol, 1996, 14, 206¨C13
17 VOELKER, T.A., WORREL, A.C., ANDERSON, L. et al. ¡®Fatty acid biosynthesis
redirected to medium chains in transgenic oilseed plants¡¯, Science, 1992,
257,72¨C3.
18 KROMBOUT, D., BOSSCHIELER, E.B. and DE LEZENNE COULANDER, C. ¡®The
206 Functional foods
inverse relationship between fish consumption and 20-year mortality from
coronary heart disease¡¯, New Engl J Med, 1985, 312, 1205¨C8.
19 FERNANDES, G. and JOLLY, C.A. ¡®Nutrition and autoimmune disease¡¯, Nutrn
Rev, 1998, 56, S161¨C9.
20 FERNANDES, G., YUMS, E.J. and GOOD, R.A. ¡®Influence of diet on survival of
mice¡¯, Proc Natln Acad Sci, 1976, 73, 1279¨C83.
21 REDDY, A.S. and THOMAS, T.L. ¡®Expression of a cyanobacterial C1
6
-desaturase
gene results in gamma-linolenic acid production in transgenic plants¡¯, Nat
Biotechnol, 1996, 14, 639¨C42.
22 MICHAELSON, L.V., LAZARUS, C.M., GRIFFITHS, G. et al. ¡®Isolation of a C1
5
-fatty
acid desaturase gene from Mortierella alpina¡¯, J Plant Biochem, 1998, 30,
19055¨C9.
23 HOFFMAN, L.M., DONALDSON, D.D. and HERMAN, E.M. ¡®A modified storage
protein is synthesised, processed, and degraded in the seeds of transgenic
plants¡¯, Plant Mol Biol, 1988, 11, 717¨C29.
24 PUEYO, J.J., CHRISPEELS, M. and HERMAN, E.M. ¡®Degradation of transport-
competent destabilised phaseolin with a signal for retention in the
endoplasmic reticulum occurs in the vacuole¡¯, Planta, 1995, 19, 586¨C96.
25 KJEMTRUP, S., HERMAN, E.M. and CHRISPEELS, M.J. ¡®Correct post-translational
modification and stable vacuolar accumulation of phytohemagglutinin
engineered to contain multiple methionine residue¡¯, Eur J Biochem, 1994,
226, 385¨C91.
26 ALTENBACH, S.B., PEARSON, K.W., MEEKER, G. et al. ¡®Enhancement of the
methionine content of seed proteins by the expression of a chimeric gene
encoding a methionine-rich protein in transgenic plants¡¯, Plant Mol Biol,
1989, 13, 513¨C22.
27 NORDLEE, J.A., TAYLOR, S.L., TOWNSEND, J.A. and BUSH, R.K. ¡®Identification of
a Brazil nut allergen in transgenic soybeans¡¯, N Eng J Med, 1996, 334, 688¨C
92.
28 YAMAUCHI, D. and MINAMIKAWA, T. ¡®Improvement of the nutritional quality
of legume seed storage proteins by molecular breeding¡¯, J Plant Res, 1998,
111,1¨C6.
29 MOLVIG, L., TABE, L.M., EGGUM, B.O., MOORE, A.E., CRAIG, S., SPENCER, D. and
HIGGINS, T.J.V. ¡®Enhanced methionine levels and increased nutritive value of
seeds of transgenic lupins (Lupinus angustifolius) expressing a sunflower
seed albumin gene¡¯, Proc Natl Acad Sci USA, 1997, 94, 8393¨C8.
30 MUNTZ, K. et al. ¡®Genetic engineering of high methionine proteins in grain
legumes¡¯,inSulphur Metabolism in Higher Plants: Molecular, Ecophysio-
logical and Nutritional Aspects, pp. 71¨C86, Leiden, Backhuys Publishers,
1997.
31 DOMONEY, C., MULLINEAUX, P. and CASEY, R. ¡®Nutrition and genetically
engineered foods¡¯,inNutritional Aspects of Food Processing and
Ingredients, pp. 112¨C35, Gaithersburg, Aspen Publishers Inc., 1998.
32 SHINTANI, D. and DELLAPENNA, D. ¡®Elevating the vitamin E content of plants
through metabolic engineering¡¯, Science, 1998, 282, 2098¨C100.
Maximising the functional benefits of plant foods 207
33 BROWN, C.R., RAY, J.A., FLETCHER, J.D. et al. ¡®Using antisense RNA to study
gene function ¨C inhibition of carotenoid biosynthesis in transgenic
tomatoes¡¯, Biotechnology, 1991, 9, 635¨C9.
34 FRAY, D. and GRIERSON, D. ¡®Molecular genetics of tomato fruit ripening¡¯,
Trends Genet, 1994, 9, 438¨C43.
35 BURKHARDT, P.K., BEYER, P., WUNN, J. et al. ¡®Transgenic rice (Oryza sativa)
endosperm expressing daffodil (Narcissus pseudonarcissus) phytoene
synthase, accumulates phytoene a key intermediate in pro-vitamin A
synthesis¡¯, Plant J, 1997, 11, 1071¨C8.
36 BROWN, C.R., EDWARDS, C.G., YANG, C.P. et al. ¡®Orange flesh trait in potato ¨C
inheritance and carotenoid content¡¯, J Am Soc Hort Sci, 1989, 118, 145¨C50.
37 DEAK, M., HORVATH, G.V., DAVLETOVA, G.V. et al. ¡®Plants ectopically
expressing the iron-binding protein, ferritin, are tolerant to oxidative
damage and pathogens¡¯, Nature Biotechn, 1999, 17, 192¨C6.
38 GOTO, F., YOSHIHARA, T., SHIGEMOTO, N. et al. ¡®Iron fortification of rice seed
by the soybean ferritin gene¡¯, Nature Biotechn, 1999, 17, 282¨C6
39 LINDLEY, M.G. ¡®The impact of food processing on antioxidants in vegetable
oils, fruits and vegetables¡¯, Trends in Fd Sci & Tech, 1998, 9, 336¨C40.
40 RODRIGUEZ-AMAYA, D.B. ¡®Carotenoids and food preparation: the retention of
pro-vitamin A carotenoids in prepared, processed and stored foods¡¯,
USAID, OMNI Project, 1997.
41 ROMMEL, A., WROLSTAD, R.E. ¡®Ellagic acid content of red raspberry juice as
influenced by cultivar, processing, and environmental factors¡¯, J Agric
Food Chem, 1993, 41, 1951¨C60.
42 AUW, J.M., BLANC, V., O¡¯KEEFE, S.F., SIMS, C.A. ¡®Effect of processing on the
phenolics and color of Cabernet Sauvignon, Chambourcin, and Noble wines
and juices¡¯, Am J Enol Vitic, 1996, 47, 279¨C86.
43 SCHLESIER, K., SHAHRZAD, S., BITSCH, I. and DIETRICH, H. ¡®Actively
anticarcinogenic phenolcarboxylic acids in fruit juices and wines from the
same batch of fruit¡¯, Zeitschrift fu¨r Erna¨hrungswissenschaft, 1997, 36,79¨C
80.
44 CROZIER, A., LEAN, M.E.J., MCDONALD, M.S. and BLACK, C. ¡®Quantitative
analysis of the flavonoid content of commercial tomatoes, onions, lettuce
and celery¡¯, J Ag Food Chem, 1997, 45, 590¨C5.
45 NGUYEN, M.L. and SCHWARTZ, S.J. ¡®Lycopene stability during food
processing¡¯, Proc Soc Exp Biol Med, 1998, 218, 101¨C5.
46 LINDSAY, D.G. and CLIFFORD, M.N. (eds) ¡®Critical reviews produced within
the EU concerted action ¡®¡®Nutritional Enhancement of Plant-based Food in
European Trade (NEODIET)¡¯¡¯ ¡¯, J Sci Food Agric, 2000, 80, 793¨C1197.
208 Functional foods
9.1 Introduction: the nutritional properties of peas
Legumes include peas, beans, lentils, peanuts and other podded plants that are
used as food. Legumes are rich sources of food proteins from plants and have
provided a protein source for humans and animals since the earliest of
civilisations. Peas (Pisum sativum) are known to have been cultivated since 6000
BC in the Near East
1
and at least 4,000 years ago in the New World.
2
Legumes
were traditionally an important component of the human diet as protein source
and there are numerous traditional recipes in European countries that are based
on legumes. Nevertheless, their consumption has declined steadily since the end
of World War II, partly due to their image as the so-called ¡®food for the poor¡¯
and partly due to undesirable gastrointestinal effects associated with the
consumption of legumes.
Peas are consumed both as fresh immature seeds as well as dry seeds. The
latter are mostly consumed as whole seeds after cooking. Pea flour can be used
to make a large variety of savouries, e.g. used as the basis for many soups and
curries. Recently, the green pea has become an important green vegetable, being
consumed as a fresh or processed product, either canned or frozen.
Nowadays there is a consumer trend towards more natural and ¡®healthy¡¯ foods
and the food industry is constantly searching for ways to meet the demand for
healthy wholefoods and food ingredients. The pea has an image of a traditional,
natural foodstuff and pea protein products may fulfil these requirements.
Pea seeds contain high levels of protein and digestible carbohydrates,
relatively high concentrations of insoluble dietary fibre and low concentrations
of fat. The average starch and crude protein content is about 440 (214¨C486) and
225 g per kg dry matter respectively.
3, 4
9
Developing functional ingredients
A case study
A.-S. Sandberg, Chalmers University of Technology, Gothenburg
The average protein content in Pisum sativum is reported to be 25% with a
wide variation between plants, cultivars and varieties. Selections of a high protein
content and high yield in field peas are major goals of plant breeders. Pea protein
is a good source of essential amino acids with a high content of lysine and
threonine, but like other legumes, it is deficient in sulphur-containing amino acids.
The digestibility of pea protein is between 83% and 93% as assessed by rat assays.
Dietary fibre constitutes about 63 g per kg dry matter in whole peas, and the
content of total free sugars, raffinose, stachyose and verbascose is about 125; 12,
32 and 19 g per kg dry matter respectively.
5
The range of fat content is 10¨C24 g
per kg dry matter and oleic and linoleic acid are the predominating fatty acids.
3, 6
Peas are good sources of minerals and water-soluble vitamins and are
particularly rich in B-group vitamins.
Recently, the nutritional interest for peas and other legumes has increased
because of the markedly attenuating effect on blood sugar and insulin response
and thereby their potential use for prevention and control of diabetes.
7, 8
The
digestibility of starch in legumes is restricted due to intact cell walls,
9
which
enclose the starch granules and limit interaction with amylotic enzymes.
10
However, other mechanisms may also be involved; phytic acid polyphenols
(tannic acid) and lectins can inhibit C11-amylase activity in vitro, suggesting that
an interaction with starch digestion also could occur in vivo.
11
In vitro studies
have also indicated that the protein matrix in legume products limits the
accessibility of starch to amylase.
12
A reduced rate of starch digestion attenuates
the blood glucose and insulin response after a meal.
Foods containing carbohydrates which are slow to digest and absorb are of
importance in the dietary management of diabetic patients. However, diets
characterised by such foods have also been found to improve glucose tolerance
in healthy subjects. In fact, dietary carbohydrates that cause a rapid rise in post-
prandial insulin levels are extensively discussed as a risk factor for development
of metabolic diseases.
13
The goal of diabetes therapy is to achieve normal
glycemia and to prevent late complications. The development of vascular
complications in diabetes has been related to the metabolic aberrations of
uncontrolled diabetes.
14
A dietary fibre content of 63 g per kg with 34% soluble fibre has been
reported in light-hulled peas.
15
Generally, cell wall polysaccharides of seeds
from such plants are dominated by pectic substances, cellulose, xyloglucans and
glycoproteins.
16
Viscous soluble polysaccharides, such as pectic substances, are
considered to have beneficial effects on carbohydrate and lipid metabolism in
humans
17¨C20
by improving glucose tolerance, increasing ileal fat and bile acids
excretion and decreasing blood lipids.
21
Pea fibre was shown to lower fasting
and post-prandial blood triglyceride concentrations in humans,
22
one of the
established risk factors for the development of cardiovascular disease. Except
for prevention of non-insulin-dependent diabetes, pea fibre therefore has a
potential use in the prevention of cardiovascular disease.
Anti-nutritional factors lower the nutritional value of a food by lowering the
digestibility or bioavailability of nutrients. Peas contain a number of anti-
210 Functional foods
nutritive and anti-physiological factors, which may be controlled by suitable
processing and breeding programmes. However, the level of anti-nutritional
factors is generally lower than in soybeans. The anti-nutritional factors present
in pea protein include proteinase inhibitors (e.g. trypsin inhibitors and
chymotrypsin inhibitors) and lectins. Non-protein components recognised as
anti-nutritional factors in pea include saponins, polyphenols, phytate and
raffinose oligosaccharides, although peas generally contain lower amounts of
anti-nutritional factors than soy and other grain legumes. All commercial
varieties of field peas are considered not to contain polyphenols. The utilisation
of peas is restricted due to the presence of these anti-nutritional factors. Trypsin
inhibitors decrease the protein digestibility and availability. Lectins are proteins,
or glycoproteins, with the unique ability to bind to specific carbohydrate
containing molecules on the surface of cells. Lectins have the ability to
agglutinate red blood cells
23
and to bind to the intestinal epithelium, resulting in
disruption of the brush border
24
atrophy of the microvilli
25
and reduced viability
of the epithelial cells,
26
resulting in impaired nutrient transport. Thus, lectins can
reduce the uptake of glucose and cause damage to the intestinal mucosal layer,
but as these proteins are high in sulphur-containing amino acids (and are of
importance for the yield and resistance to plant disease), inactivation of the
inhibitors by processing should be preferred to genetic selection of cultivars with
low inhibitor levels. Phytate present in peas and their protein products may
negatively affect the digestibility of pea proteins. In addition phytate and some
of its degradation products form complexes with certain essential dietary
minerals (Fe, Zn, Ca), thereby impairing their absorption.
27
Saponins adhere to proteins and have a bitter taste, generally considered
unpleasant. Moreover, saponins may deteriorate the intestinal wall through a
detergent effect.
28
Like trypsin inhibitors, selection of these anti-nutritional
factors may have an impact on resistance to plant disease. Therefore,
development of processing methods that inactivate the anti-nutritional factors
post-harvest is preferable. Flatulence is associated with consumption of legume
seeds including peas and causes some individuals to avoid these foods. Some
indigestible oligosaccharides including raffinose, stachyose and verbascose are
responsible for at least some of the flatulence of legume seeds through their
fermentation by gut bacteria. Pea protein isolate, prepared by wet processing,
contains much less of these oligosaccharides than the concentrated form.
29
Like other legume proteins, pea proteins may be a potential allergen. The
antigenicity of pea proteins is expected to be comparable to that of soy proteins.
Experience with soy proteins shows that steam heating does not reduce the
antigenicity substantially, whereas other treatments, such as proteolytic
cleavage, do. Reports indicate that around 15% of infants who have developed
allergy to cow milk protein and switched to soy formula will also be sensitised
against soy protein.
30
One of the most valuable ingredients extracted from pea is its protein
fraction, which can be extensively purified as a protein concentrate or a protein
isolate. Up until now the major outlet for protein isolate is its use as a functional
Developing functional ingredients 211
ingredient, such as an emulsifier, thickener or foaming agent. The pea protein
isolate is a valuable protein source, which has a potential to replace soy protein
and enhance the nutritional value of foods.
9.2 Improving pea protein
The digestibility of pea protein is between 83% and 93%.
31
Phytic acid present
in peas is accumulated in the pea protein fraction and may negatively affect
digestibility of the pea protein. Heating may improve the nutritional quality of
pea protein materials by increasing protein digestibility or by inactivating anti-
nutritional factors such as trypsin inhibitors or lectin. The nutritional quality of
pea protein using the protein efficiency ratio (PER) method was found to
increase slightly when cooked (boiled 1 h).
32
Although peas generally contain
lower quantities of anti-nutritional factors than other grain legumes, trypsin
inhibitors are present. Deo et al.
33
demonstrated that cooking destroyed the
trypsin inhibitor of all the peas evaluated and an improved digestibility was
found. The mode of action of chymotrypsin inhibition was expected to be very
similar to that of trypsin inhibitors. The effect of heat treatment on chymotrypsin
inhibitors in peas was similar to that for trypsin inhibitors.
34
Lectins are also heat labile. The activity was completely eliminated by
autoclaving of peas at 121oC for five minutes.
35
Removal of 65% of activity
after soaking the peas for 18 h was also reported by Bender.
36
Heating can also
improve palatability.
Biological food processing techniques increasing the endogenous enzyme
activity or adding enzymes can produce an additional and substantial reduction
of the anti-nutritional factors. Furthermore, positive effects on carbohydrate and
lipid metabolism in humans as a result of fermentation of cereals and legumes
have been found. Controlled degradation of phytate by fermentation or by the
addition of phytase has been demonstrated to increase the absorption of iron and
zinc in meals based on cereals or soy.
37¨C9
The pre-digestion of protein and formation of amino acids during
fermentation was found to increase the nutritional value of protein and improve
the amino acid composition of cereals and legumes. The fermentation process
also has the potential to degrade saponins.
Pea protein is a potential allergen.
40
Experience with soy proteins show that
steam heating does not reduce this antigenicity substantially, whereas other
treatments such as proteolytic cleavage does. Furthermore, it has been suggested
that some saponins increase the permeability of intestinal mucosal cells, thereby
facilitating the uptake of substances to which the mucosa is normally
impermeable.
41
This may lead to uptake of antigens, causing allergic
reactions.
42
The fermentation of pea protein might be a possible means of
reducing the antigenicity by hydrolysing protein and degrading the saponins.
Fermentation of indigestible oligosaccharides (by gut bacteria) including
raffinose, stachyose and verbascose is considered to be responsible for the
212 Functional foods
flatulence associated with pea consumption. These oligosaccharides tend to
concentrate in the protein fraction of air-classified pea concentrate.
43
Pea protein
isolate, prepared by wet processing, contains much less of these oligosacchar-
ides than pea protein concentrate because some of the carbohydrates are washed
away in the effluent.
29
Removal of these compounds can be performed by
ultrafiltration, addition of C11-galactosidase enzymes or fermentation by
microorganisms producing C11-galactosidase.
Selection of cultivars with high protein, high amino acid contents,
particularly methionine is of great importance. Inactivation of anti-nutritional
factors or degradation by processing should be preferred to the genetic selection
of cultivars with low content of these factors because they are of importance for
the yield and resistance to plant disease. Development of such processing
methods, post-harvest, would significantly improve the nutritional quality of pea
protein.
9.3 Processing issues in improving pea protein
9.3.1 Standard procedures for preparation of pea protein
One of the most valuable ingredients extracted from pea is its protein fraction.
The preparation of pea protein could be an alternative to the well-established
versatile soy protein products that dominate the food protein market. Soy protein
products are used to extend or replace animal protein such as meat. It is also
used as a protein source in infant formulas. Soy milk is used for replacement of
cow¡¯s milk by vegetarians and persons with intolerance to milk protein.
Depending on the low fat content of peas, the need for an oil extraction stage is
eliminated and furthermore the relatively low content of anti-nutritive
substances compared to soy is an advantage. Pea protein can be prepared in
three forms: pea flour, pea protein concentrate and pea isolate. Pea flour is
prepared by dry milling of dehulled peas. Pea protein concentrate is usually
prepared by dry separation methods, while pea protein isolate is produced by
wet processing methods.
Dry process (pea flour, pea protein concentrate)
Pea protein and starches can be efficiently fractionated by dry milling and air
classification. By fine grinding, flours containing populations of particles are
differentiated by size and density. Air classification of these flours separates the
protein (fine fraction) from the starch (coarse fraction).
43
Whole or dehulled
peas are, by this dry process, milled to very fine flour. During milling the starch
granules remain relatively intact, while the protein matrix is broken down to fine
particles. There is, however, a risk for damage of the starch granules during
milling. Air classification of the pea flour is performed in a spiral air stream into
a fine fraction containing around 75% of the protein, and a coarse fraction
containing most of the starch granules. After milling, some starch is still
embedded in the protein matrix and some protein bodies still adhere to starch
Developing functional ingredients 213
granules. By repeated milling and air classification, the separation of starch and
protein can be improved.
44
It was also found that the percentage protein in air-
classified pea fractions positively correlates with the protein content of the
original pea flour.
45
Moreover, the percentage of starch recovered in the starch
fraction as well as the percentage of protein recovered in the protein fractions
both increase with increasing protein content of the pea.
46
Furthermore, air
classifying at low speed increases protein content of the protein fractions but
also starch fractions with higher levels of protein. Air classification provides a
lower cost, effluent-free process for preparing pea protein concentrate, but not as
pure fractions as aqueous extraction.
Wet processes (pea protein isolate, pea protein concentrate)
Protein isolates (highly concentrated protein fractions) and protein concentrates
from pea can be produced by wet processing. The protein separation is based on
solubilisation of protein followed by an isoelectric process or an ultrafiltration
process
47
for subsequent recovery. Other processes include ¡®hydrophobic-out¡¯ or
¡®salting-out¡¯.
31
Variations of the isoelectric precipitation process and the ultrafiltration
process are used commercially. The different steps in the isoelectric process for
pea protein isolate are milling of the peas, solubilisation of the proteins in water,
alkali, or acid; then centrifugation to remove insoluble components. Then the
solubilised proteins are precipitated at their isoelectric pH, and collected by
centrifugation, or sieving, and dried as such or neutralised and dried.
The yield of the protein isolate prepared by isoelectric precipitation is
influenced by several factors such as particle size of the flour, the kind of
solubilising agent, as well as pH of solubilisation and precipitation. Furthermore,
the isolate composition is affected by the solubilising and precipitating pH.
Isolates precipitated below 5.3 have been found to be lower in protein content
and to have higher lipid content than those precipitated at pH 5.3.
48
Ultrafiltration with non-cellulosic membranes can be used to isolate protein
from wet slurries.
47
These membrane systems are stable over a wide range of pH
values and elevated temperature and thus offer an alternative to the conventional
acid precipitation methods. Ultrafiltration using a hollow fibre system can give
protein recoveries of 90¨C94%. An advantage is that low molecular weight
compounds such as oligosaccharides are removed by ultrafiltration.
9.3.2 Possible modifications of the procedure
Possible means to remove anti-nutritional factors in the process for preparation
of pea protein include increasing the endogenous enzyme activity by soaking the
peas, and fermentation by addition of certain starter cultures or addition of
enzymes. This kind of modification can be performed in the wet process for
preparation of isolates or the pea flour. Fermentation using lactic acid bacteria,
fungi or yeast, is traditionally used in Asian food manufacturing of soybean
based products (e.g. soy sauce, miso, tempeh). The effect of fermentation of
214 Functional foods
peas has so far mainly been studied in relation to protein quality, while
systematic studies of the possibility to optimise the reduction of anti-nutritional
factors of pea products and, in particular, pea protein for human consumption
through biological processing techniques are lacking.
The functional properties of pea proteins suggest that pea proteins have a
high potential for use in food products. The type of process used for the
preparation of pea concentrate or pea protein isolate affects functional properties
of the product. Different combinations of thermal treatment and pH should be
evaluated in order to understand the relation between process conditions and
functionality.
9.4 Adding improved protein to food products
Effective utilisation of pea proteins in foods for human consumption depends to
a large extent on consumer acceptance. Some studies have been conducted on
the potentiality of applications of pea products in food; in addition or in
substitution to flour (in bread or pasta) or to meat (in patties, hamburgers), in
textured products, soups, snacks, and in substitution to milk. The addition of pea
products influences the cooking time and texture. As such, modifications of the
formulae were sometimes necessary to have acceptable organoleptic properties.
Pea protein concentrates have been found useful for producing non-fat dry milk
replacements for the baking industry. A non-dairy frozen dessert was developed
utilising pea protein isolate with good organoleptic characteristics. In some
applications pea proteins could replace soy proteins. It would be of interest to
developed tailored pea proteins for specific applications.
Pea materials sometimes have unacceptable flavours but a pea protein isolate
with a bland flavour can also be produced. The functional requirements for a
plant protein to be useful as a meat extender include good fat and water
absorption, emulsification capacity and stability, gelation texturisability and
sensory properties.
Pea protein isolate has a high solubility, water and fat binding capacity and
emulsifying and foaming capacity to give desired texture and stability. Possible
applications are meat and fish products, biscuits and pastry making, desserts,
prepared dishes, soups and sauces, dietary, health and baby food. For use of
plant protein in infant formulas a high bioavailability of minerals, a high
nutritive value of the protein and a low antigenicity are desired.
9.4.1 Cereal and bakery products
The nutritional quality of wheat protein has been improved by addition of pea
flour or pea protein concentrate
49
to wheat flour. Replacing 20% of the wheat
flour with pea flour gives bread with excellent protein quality. However, at this
level of supplementation the bread had decreased in volume and had a relatively
poor crumb structure
50, 51
and the acceptance of the supplemented bread was
Developing functional ingredients 215
limited due to poor sensory properties.
52
Also, it was found that addition of pea
flour to yeast breads significantly affects the texture. Protein enrichment of pasta
product with pea protein has also been performed. Supplemented pasta has a
better protein quality, cooks faster and is slightly firmer.
53
The flavour was,
however, found to be somewhat inferior to that of unsupplemented wheat pasta.
For the application of pea protein in biscuits a series of experiments were first
performed to choose process type (creaming or crumbling) and formula (partial
substitution of flour or substitution of milk powder). The creaming process was
found to be the most suitable process. Colour was found to depend on protein
source but was not influenced by fat, sugar and protein content. Biscuits
containing milk powder were darker than biscuits made with pea proteins.
Hardness was influenced by protein source. Biscuits made with milk proteins
were harder than those made with pea protein. A higher percentage of protein
also increased hardness, an effect that also was found with increasing sugar
content, though not as extensive. Crispiness decreased with high amount of fat
and tended to increase with the level of sugar.
54
9.4.2 Meat products
The requirement for plant proteins to be used as extenders in meat products
include good fat and water absorption, emulsification capacity and stability,
gelation texturisability and sensory attributes. High solubility is not a
determinant of the usefulness of a plant protein in meat systems; in some cases
proteins of low solubility are engineered for use in meat systems. The use of pea
protein in meat products has mainly been in meat patties,
55
hamburgers and
sausages. Sausages extended with pea protein have improved nutritional value
compared to unsupplemented products. The optimal sensory concentration was
found to be 4¨C7%; concentrations greater than 10% were found to produce a
strong pea flavour.
31
9.4.3 Milk replacement products
There seems to be some promise in the use of pea protein concentrate as an
ingredient for producing non-fat dry milk replacement for the baking industry.
56
Also there have been attempts to produce milk substitutes.
57
Pea milk has a
potential use for replacement of cow milk by vegetarians and persons with
intolerance and allergy to cow milk and also oral nutritional supplements. Other
trials have been carried out to substitute milk powder by pea protein in desserts.
The first experiments were made according to a fractional design with five
factors: quantity of pea, starch, gum, oil and emulsifier. From the results of the
first experiments the most relevant ingredients were then selected, i.e. based
upon the quantity of pea protein and starch. These ingredients were then
optimised in order to get a dessert close to the commercial form.
54
216 Functional foods
9.4.4 Vegetable pa?te¡ä
The application of pea protein in a vegetable pa?te¡ä has been investigated.
Different quantities of pea protein, gum and starch were tested using a multivate
experimental design in order to evaluate the effect of the three factors and to
optimise the formula. The main purpose was to get as close as possible to the
reference vegetable pa?te¡ä made with whole egg. Response surface methodology
was used to find the optimum formula on physical characteristics with as high an
amount of pea protein as possible.
Textural measurements showed only small differences between the reference
and the formula. The colour of the vegetable pa?te¡ä made with pea protein was
different from the reference made with whole egg, which also was confirmed in
the sensory analysis. Moreover, other characteristics related to appearance
(brightness, firmness, straight cut, bubble size) of the pa?te¡ä were different. For
mouth feel the formula was found to be slightly more firm than the reference.
Taste of carrot was very close in the samples and the optimal formula was well
accepted by the test panel.
The optimisation of vegetable pa?te¡ä demonstrates, on the one hand, the quality
of pea protein as a functional ingredient and, on the other hand, its capability to
substitute whole egg. Furthermore, pea protein can reduce the incorporation of
other textural agents and has more than 40% less quantity of gum and starch
than the reference vegetable pa?te¡ä.
54, 58
9.5 Evaluating the functional and sensory properties of
improved pea protein in food products
9.5.1 Evaluating nutritional properties
The genetic variation of peas is considerable. As a first step towards producing
an improved pea protein a choice of starting material has to be made. The
following criteria are important in the selection of pea raw material:
? high level of protein content in the seed and low level in fat content
? high level of limiting amino acids (methionine, cysteine, trypthophan)
? low level of anti-nutritional factors
? availability of the genotype in sufficient quantities
? high yield and resistance to plant disease.
Analysis of relevant nutritional parameters such as protein quality, amino
acid composition and a number of anti-nutritional factors including oligosac-
charides, phytate, proteinase inhibitors, lectins, saponins and polyphenols
therefore has to be performed in raw pea seeds and the pea protein products.
Anti-nutritional factors in different starting materials and from modified process
for pea protein products
Analyses of protein isolates from a commercial wet process showed that the
contents of oligosaccharides and lectins were effectively reduced during the
Developing functional ingredients 217
processing and no clear relationship was found between saponins and taste. The
trypsin inhibitors were found to be partly inactivated by heat treatment. The
major important anti-nutrient in protein isolate was determined to be phytate.
Determination of the phytate content in protein isolates showed that the phytate
accumulated in the protein isolate. Analyses of the oligosaccharide content in
protein isolates from selected pea varieties showed that the contents were lower
than in the isolates from the standard process (due to an improvement of the cut-
off of the ultrafiltration technique).
59
The saponin content of the pea seeds was determined to be 2¨C7 mg/g sample.
The content of trypsin inhibitors was found to be 50¨C100 C22g/g sample and
lectins 1¨C2.5 mg/g sample.
60
Analysis of anti-nutritional factors, in vitro digestibility and antigenicity
Addition of exogenous phytase reduced the phytate content in pea protein to
very low levels. The use of exogenous phytase was tested on pea flour and
two different protein isolates from different steps in the process. The optimal
conditions for exogenous phytases were 55oC and pH 5.5, and the phytate
degradation were virtually complete on all substrates tested.
61
The contents of
inositol hexaphosphate (phytate) and its degradation products were analysed
in dephytinised pea protein isolates and pea protein infant formula.
Dephytinised pea protein isolates contained 0.08 C22mol/g of phytate and no
detectable amounts of lower inositol phosphates. Dephytinised sample
incubated with exogenous phytase for 1 h instead of 2 h, contained 0.5
C22mol/g inositol hexaphosphate. Comparison with standard pea protein isolate
without enzymatic treatment showed that this sample contained 19.6 C22mol/g
inositol hexaphosphate. Analysis of pea protein infant formula, produced in
the factory scale from dephytinised pea protein isolate, contained only traces
of phytate.
The content of proteinase inhibitors (PPI) were much higher in pea flour than
in samples incubated at 40% or 70% humidity, both control samples and
fermented samples. To investigate the stability of PPI under various conditions a
preliminary study was performed. The study showed that only 20% of the
original content of PPI were left after 48 h at 37oC and 70% humidity.
Lactic acid fermentation of pea flour was found to decrease the saponin
content of pea protein isolate. The most effective saponin reduction (90%) was
found in a sample fermented with Lactobacillus plantarum for 48 h.
The in vitro digestibility was determined by four different methods: reversed
phase HPLC, gelfiltration HPLC, sandwich ELISA and SDS-PAGE. The
digestibility of dehulled pea seeds, phytase treated pea protein isolate and
standard pea protein isolate from the modified process was compared. Analysis
by the four methods resulted in a similar outcome for the three investigated
products: the pea isolates had an in vitro digestibility of 80¨C90%, whereas the
dehulled pea seeds had a much lower digestibility of approximately 40%. The
pea protein isolates are thus more digestible than the raw pea.
54
218 Functional foods
Bioavailability
The use of pea protein isolate could be an alternative to soy isolate. Soy
formulas have been used for a long time period and the nutritional status of
infants fed soy formula has been well documented and found to be similar to
infants fed cow milk formulas. However, the bioavailability of nutrients,
especially minerals, has been reported to be lower than that of milk-based
formulas. An important factor contributing to the lower mineral absorption from
soy formula is the relatively high concentration of the metal chelator phytic acid,
which acts as a dietary inhibitor of the absorption of essential minerals, in
particular iron. The negative effect of phytic acid on iron absorption has been
shown to be dose dependent.
62
In addition, the soy protein per se has recently
been demonstrated to inhibit iron absorption.
38
Although the absorption of zinc
and calcium may be influenced by the presence of phytic acid, the effect on iron
bioavailability is much greater.
27
The enzymatic degradation of phytate in soy infant formulas was found to
improve iron absorption significantly provided that the removal of phytate was
virtually complete.
38
The availability of iron and zinc in a dephytinised infant
formula based on pea protein was evaluated. Soluble amounts of iron and zinc in
the samples were collected during simulated in vitro digestion performed in a
computer-controlled dynamic gastrointestinal model. Determination of these
samples showed that dephytinisation of pea protein increased the amount of iron
and zinc potentially available for absorption by 50% and 100%, respectively.
63
Antigenicity
A substantial part of the antigens found in pea seeds are still antigenic in
fermented pea flour. This was reported by Herian et al.
64
who found that soy
epitopes can be detected in soy protein isolates as well as fermented soy
products. On the other hand, some of the pea antigens have been found to be
sensitive to the processing procedures. Monoclonal antibodies can be used to
identify these antigens as well as more stable antigens. In contrast to the antigens
in general, the inhalation allergen cross-reacting proteins Bet v1 homologue and
profilin have been found so labile that they are not only undetectable in the
processed protein isolates and fermented samples, but also very reduced in pea
flour after incubation at 37oC.
40, 54
9.5.2 Evaluating functional and sensory properties
Research on the functional properties of pea proteins has shown the importance
of the preparation treatment of the proteins. Pea proteins are highly soluble at an
acidic pH (pH2), and at alkaline pH 7.3 maximum solubility occurs, the
minimum solubility being obtained at pH between 4 and 6. The actual solubility
of pea proteins at a given pH in the pH region of 5 to 9 can vary widely.
The following functional and sensorial parameters need to be evaluated in
improved pea protein:
Developing functional ingredients 219
? Solubility: These properties enable evaluation of the denaturation state of the
protein and are good indicators for evaluating the potential applications of
proteins. Good solubility can markedly expand potential utilisation of
proteins.
? Dispersibility: Oil and water binding capacity. These take an important place
in the quality of meat and charcuterie products, thanks to the binding effect
of their components which reduces the loss of water and fat. Water binding
capacity (WBC) is useful in food products such as sausages where there is
insufficient water for protein to dissolve, but where the hydrated protein
imparts structure and viscosity to the food.
? Foaming properties (capacity and stability, texture) These enable the
formulation of whipped products. Pea proteins have very high foaming
properties in comparison with other vegetable proteins.
? Emulsifying properties (capacity and stability, texture) The emulsifying
properties of pea protein can contribute towards the formulation of meat or
charcuterie products, which generally have an emulsified structure.
? Gelatinisation and thickening properties These have an effect on the texture
of the different food products.
Such evaluations of pea proteins have been undertaken according to various
conditions of use, which are characteristics of the food applications (presence of
salt, pH, heat treatment).
The properties of the pea proteins developed by bioprocesses have been
compared with those of native pea, soy proteins and meat proteins. The potential
use of these ingredients and comparison with other ingredients (e.g. meat, other
proteins) should then be determined.
Sensory evaluation
A large range of pea protein products have been tested in a food model (sauce)
to evaluate sensory characteristics. Different rates of incorporation were tested.
Evaluation by an expert panel assessed the main sensory characteristics of the
foods: aspect, flavour, mouth feel, texture.
A study has been carried out to evaluate the effect of different functional
properties on the selected pea proteins after treatment at various process
conditions.
54
It was observed that thermal treatment had a negative effect on
solubility. The solubility decreased in the range from 75oCto95oC and then
increased again at 120oC. A further finding was that heat treatment resulted in
increased stability of the emulsions. The visco-elastic properties of the medium
were different. After treatment at 80oC for 2 h, the firmness of the medium and
the viscosity were higher than samples treated at milder conditions.
Determination of the functional properties of the modified pea protein
showed that the reduction of phytate in the pea protein decreased the solubility
and emulsifying and rheological properties.
To study effects of functionality, comparisons have been made between
processes without pasteurisation or with pasteurisation at different temperatures
220 Functional foods
(75oC, 85oC, 95oC) or autoclaving at 120oC. Pea protein isolates produced from
the variety Baccara and processed in a pilot plant system using different heat
treatments were to evaluate functional properties. Heating decreased the
solubility of the protein and increased the emulsifying stability. The visco-
elastic properties of the medium were different: pea protein isolates solidified
during heating, remained liquid and exhibited high thickening properties, had
different texture compared to lower visco-elastic properties. Gel formation
occurred at about 75oC for one of the pea proteins and was therefore selected for
food applications.
9.6 Future trends: the work of NUTRIPEA
The following partners are participating in NUTRIPEA (New Technologies for
Improved Nutritional and Functional Value of Pea Protein, FAIR CT 95-0193):
Chalmers University of Technology, Sweden (co-ordinator), Technical Uni-
versity of Denmark, ETH Zurich, Switzerland, Technical Research Centre of
Finland, ADRIA, France, Provital Industries S.A., Belgium, and Semper AB,
Sweden.
The general objective of the EU funded project was to use new technologies
to develop improved pea protein products, which are devoid of anti-
physiological and anti-nutritional factors. The project concerns a novel research
field, which will lead to increased knowledge regarding processing and
development of products with increased nutrient availability. The nutritional
and functional properties of pea proteins suggest a high potential for use in food
products. Therefore, the purpose of the project was to design and develop a
technical process to prepare improved pea protein products under pilot plant and
factory conditions.
The NUTRIPEA program has verified:
? the technical feasibility of a bioprocess to prepare improved pea protein
products
? the enhancement of nutritional value of the process within one clinical study
? the legal problems that need to be solved, i.e. development of a phytase ¡®food
grade enzyme¡¯ and acceptance of pea protein in European law for infant food
? that pea protein isolate could be a valuable protein source to replace soy
protein isolate.
Additional studies and investments are needed to prove the nutritional
benefits and safety of pea protein isolate for infant formula including growth
tests and studies in children who are intolerant to cow milk.
To reach this main objective the following approach and partial objectives
were to be achieved:
? Task 1 Evaluation of genetic variation. Starting materials and standard pea
protein products were evaluated to set nutritional properties regarding
Developing functional ingredients 221
digestibility and some anti-nutritional factors. This task generated informa-
tion for the selection of suitable starting materials for preparation of pea
protein products.
? Task 2 To design and develop a technical process to prepare improved pea
protein products under pilot plant conditions with two subtasks:
(a) pilot plant preparation of pea products from the varieties in task 1 and
application of different modifications of the standard procedure;
(b) determination of anti-nutritional factors and antigenicity of pea protein
products from the different starting material and from modified process
for pea protein products.
The results from these tasks showed that the two anti-nutritional factors,
phytate and saponins, were of major importance as the production scheme for
pea protein isolate resulted in increased levels of these two anti-nutrients.
? Task 3 Bioprocessing of pea protein products to use new technologies to
develop improved pea protein products including the following three
subtasks:
(a) preliminary screening of lactic acid bacteria for fermentation processes
of pea protein;
(b) optimisation of the conditions for bioprocessing of pea protein using
solid state fermentation and enzymatic treatment;
(c) evaluation of bioprocessed pea protein regarding contents of anti-
nutritional factors, antigenicity, microbiological quality, functional and
sensory characteristics.
? Task 4 Development of a modified extraction technique at the pilot plant
level. This task involved two different processes: the first was developed to
reduce the phytate content and the second generated new functional
characteristics.
? Task 5 Development of test products from pea proteins, infant formulas and
pea protein products for adults and evaluation of antigenicity and nutritional
and functional value. The abilities of the selected pea proteins developed by
food processing were evaluated taking into account technological and sensory
aspects. Pea protein infant formulas were produced and evaluated for
antigenicity and protein quality in animal models. In vitro estimation of iron
and zinc bioavailability and iron absorption in humans were also measured.
Determinations of anti-physiological and anti-nutritional factors like
oligosaccharides, phytate, proteinase inhibitors, lectins, saponins and tannins
have been made in raw pea seeds, pea protein isolates and samples from the
production of pea protein isolates. Based on this evaluation, the parameters for
the design of a modified process to prepare improved pea protein products were
formulated.
The development of pilot plant preparations of pea protein isolates and
determination of anti-nutritional factors and antigenicity led to the conclusion
that phytate and saponins were the most important anti-nutrients to be reduced,
as the production scheme for pea protein isolate resulted in increased levels of
222 Functional foods
both. It was also found that a substantial part of the antigens found in pea seeds
were still antigenic in pea protein isolates.
A further task was bioprocessing of pea protein products. The approach of
adding exogenous phytase was found to be very effective for reduction of pea
protein phytate. Control of the microbiological quality was very important
during food processing. Food pathogens and other spoilage organisms such as
Bacillus cereus originating from peas or the process were found. However, after
addition of lactic acid bacteria (LAB) to the soaking water, the growth of
spoilage organisms was effectively prevented. Screening of phytase activity of
different LAB and fungal strains showed that LAB did not degrade phytate but
two food-grade fungi showed phytase activity. Oligosaccharides such as
verbascose, stachyose and raffinose were effectively reduced during fermenta-
tion with nine selected LAB strains.
54
The development of a modified extraction technique led to two different
modifications of the pilot plant process. The first process was developed in order
to reduce the phytate content and the second process was developed to obtain
new functionality.
Development of infant pea protein formulas and pea protein products for
adults showed that the level of anti-nutritional factors in the final pea protein
isolates products were reduced to an acceptable level, i.e. lower than that of soy
protein, which is accepted as a protein source in infant feeds. The saponin
content of pea protein isolate was compared to soy protein isolate and, although
the saponin level in the final pea protein isolate was increased three- to fourfold,
this was considerably lower compared to the saponin level in soy protein
isolate. This indicated that the pea protein isolate can be regarded as safe for
human consumption with regard to saponins. It was also demonstrated that
processing steps in the production of pea protein isolates markedly increased
the in vitro and in vivo digestibility of pea protein. Some of the pea antigens
were found to be sensitive to the processing procedures but a substantial part of
the antigens found in pea seeds were still antigenic in pea protein isolates and
fermented pea flour. Evaluation of iron and zinc availability showed a
significant increase in the amount of soluble minerals at simulated
physiological conditions in a dynamic computer-controlled gastrointestinal
model.
63
This was also confirmed in a human study, the iron absorption
increasing by more than 50% after phytate removal or addition of ascorbic acid
to the pea protein infant formula.
54, 65
9.6.1 Conclusions
Bioprocessing of pea protein using addition of exogenous phytase was found to
be very effective for the reduction of pea protein phytate. Evaluation of iron and
zinc availability also showed a significant increase in the amounts of soluble
minerals at simulated physiological conditions.
63
Iron absorption increased by
more than 50% after phytate removal or addition of ascorbic acid to pea protein
infant formulas. Determination of iron absorption using adult women indicated
Developing functional ingredients 223
relatively high fractional iron absorption from the bioprocessed pea protein
formula, as compared to earlier data on iron absorption from soy formulas in
adults.
65
Infant formula based on pea protein could therefore be an alternative to
soy isolates.
Control of microbiological quality is very important during food processing.
Food pathogens and other spoilage organisms could be controlled by the
addition of LAB to the soaking water. This indicates promising possibilities for
further developments and up-scaling of the microbicidic soaking and its
application in the industrial process.
Screening of phytase activity of different LAB and fungal strains showed that
LAB did not degrade phytate but two food-grade fungi exhibited activity.
Oligosaccharides such as verbascose, stachyose and raffinose were effectively
reduced during fermentation with nine of the selected LAB strains.
Determination of anti-nutritional factors like proteinase inhibitors, lectins,
saponins and tannins were made in raw pea seeds, pea protein isolates and
samples from the production of pea protein isolates. The same anti-nutritional
factors were likewise quantified in soy flour and soy protein isolates and the
amounts determined in soy and pea were compared. The level of anti-nutritional
factors in the final pea protein isolates products was reduced to an acceptable
value. It was also demonstrated that processing steps in the production of pea
protein isolates markedly increased the in vitro and in vivo digestibility of pea
protein. Some of the pea antigens were found to be sensitive to the processing
procedures but a substantial part of the antigens found in pea seeds are still
antigenic in pea protein isolates and fermented pea flour.
Even with high nutritional properties, pea protein products can only be used if
they enable the formulation of foods with high sensory and technological
qualities. The study showed that pea protein has a high potential for incor-
poration into different products like vegetable pa?te¡ä, drinks, desserts and biscuits.
9.7 Sources of further information and advice: Ongoing EU
projects and networks in the field
LINK Legume Interactive Network (Concerted Action FAIR-CT-98-3923)
A multidisciplinary scientific network for the benefit of grain legume integrated
chain to meet the protein demand of the European end-use industry.
Coordinators: Fre¡äde¡äric Muel, Anne Schneider
COST 916
Bioactive plant cell wall components in nutrition and health.
Coordinator: R. Amado`
PROFETAS
Protein foods, environment, technology and society.
Coordinators: P. Vellinga, W.M.F. Jongen
224 Functional foods
EUROPROTEINS 93¨C96
Development of plant protein-rich products by plant breeding and biotechnology
for application in human and animal nutrition.
Coordinator: K. Cherrie`re
With the following outline and main objectives:
? ruminants: to optimise technological treatments to protect proteins against
excessive degradation in the rumen;
? poultry: to determine physical and biological criteria responsible for potential
decrease in egg weight and of punctual occurrence in dirty eggs.
Increased utilisation of peas in food and feed products by improvement of the
protein quality by enzymatic modification.
Coordinator: L. Sijtsma
With the following outline and main objectives:
? improved utilisation of pea proteins
? improvement of the quality of pea protein
? design of a model for quality prediction.
TRANSLEG
Coordination of a joint approach on grain legume transformation (methods and
objectives) to develop commercial applications.
Coordinator: H.-J. Jacobsen
With the following outline and main objectives:
? to establish a network of experts in the European Union sharing the know-
how of grain legume transformation
? to coordinate a ring test to define a widely applicable transformation
protocol, to discuss with end-users, such as commercial breeders, about their
needs, constraints and priorities regarding commercial applications of
transgenic grain legumes
? to prepare joint research projects on several specific gene transfers.
UNCLE
Understanding nitrogen and carbohydrate metabolism for legume engineering.
Coordinator: U. Wobus
With the following outline and main objectives:
? to analyse the capacity of selected legume seeds (pea and faba bean) to
accumulate storage products (seed sink capacity)
? to analyse the relationship between carbohydrate and storage protein/nitrogen
metabolism at the level of gene expression
? to isolate promoters for temporally and spatially regulated gene expression in
seeds
? to use these promoters, in combination with existing and new gene sequences,
to specifically change sink capacity and/or storage product composition in
Developing functional ingredients 225
legume seeds, as a prerequisite for quality improvement and engineering into
seeds of exogenous high-added-value components
NUTRIPEA
New technologies for improved nutritional and functional value of pea protein.
Coordinator: A.-S. Sandberg
With the following outline and main objectives:
? to use new technologies to develop improved pea protein products that are
devoid of anti-physiological and anti-nutritional factors
? to design and develop a technical process to prepare improved pea protein
products under pilot plant and factory conditions
? to evaluate the functional and sensory properties of improved pea protein
products added to a variety of foods for human consumption
? to screen in vitro and in animal models the nutritional properties and
antigenicity of the protein products
? to develop an infant formula based on the improved pea protein products and
to evaluate antigenicity and protein quality in animals and iron absorption in
infants.
CABINET
Carbohydrate biotechnology network for grain legumes.
Coordinator: C. Hedley
With the following outline and main objective:
? multidisciplinary approach on legume carbohydrates.
PRELEG
Pathogen-resistant grain legumes using gene transfer methods.
Coordinator: G. Ramsay
With the following outline and main objectives:
? selected methods for transformation of grain legumes are developed for
routine use to permit the regeneration of the numbers of transformants
required
? effects of each type of gene on selected major pathogens of grain legumes in
vivo are explored, using ELISA quantification of pathogen multiplication.
AMINOPIG
Amino acid true availability in pig.
Coordinator: M. Se`ve
With the following outline and main objectives:
? to improve scientific knowledge of protein utilisation in pigs
? to understand better amino acid digestibility, effect of dietary factors on
endogenous amino acid losses, metabolic expense for endogenous losses, etc.
226 Functional foods
LUPINE
Creation of varieties and technologies for increasing production and utilisation
of high quality proteins from white lupin in Europe.
Coordinator: C. Huyghe
With the following outline and main objectives:
? to provide improved genotypes of winter type and determinated lupins
? to improve cropping management techniques
? to introduce new technologies (physical and enzymatic treatments) to
enhance the use value.
PHASELIEU
Improvement of sustainable Phaseolus production in Europe for human
consumption.
Coordinator: A. De Ron
With the following outline and main objectives:
? to establish an EU network of experts on Phaseolus for analysing and
exploiting the potential of Phaseolus for European agriculture
? to improve the management of genetic resources, their characterisation and
exploitation
? to identify the biotic and abiotic stresses or constraints and to enhance the
farming systems
? to enhance the seed quality
? to develop biotechnology¡¯s tools for Phaseolus.
FRYMED
Yield stability and resistance of faba bean to major pathogens in western
Mediterranean basin.
Coordinator: G. Caubel
With the following outline and main objectives:
? to assess the genetic variability in faba bean germplasm for resistance to
diseases
? to characterise the pathogen populations for testing resistance
? to evaluate resistant genotypes in the Maghreb region
? to develop a simple technological package including resistant cultivars.
FYSAME
Nitrogen fixation and yield of grain legume in saline Mediterranean zones.
Coordinator: J.-J. Drevon
With the following outline and main objectives:
? to select chickpea and common bean and their adapted Rhizobium strains for
symbiotic nitrogen fixation tolerance to NaCl salinity
? to assess the yield of selected symbioses in Northern Africa and Southern
Europe
Developing functional ingredients 227
? to progress understanding of biochemical mechanisms
EU ¨C PEA INGREDIENT
Exploitation of the unique genetic variability of peas in the production of food
and non-food ingredients.
Coordinator: H. Nijhuis
? novel pea genotypes
? fractionation of pea components
? food and non-food uses
? starch.
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20 TRUSWELL, A.S. and BEYNEN, A.C. ¡®Dietary fibre and plasma lipids: potential
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21 JENKINS, D., WOLEVER, T. COLLIER, G. et al. ¡®Metabolic effects of a low-
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22 SANDSTRO
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24 PUSZTAI, A., EWEN, S., GRANT, G. et al. ¡®Relationship between survival and
binding of plant lectins during small intestinal passage and their
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26 ISHIGURO, M., NAKASHIMA, H., TANABE, S. and SAKAKIBARA, R. ¡®Interaction of
toxic lectin with epithelial cells of rat small intestine in vitro¡¯, Chem Pharm
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27 ROSSANDER-HULTHE
¡ä
N, L., SANDBERG, A.-S. and SANDSTRO
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28 PRICE, K. and FENWICK, G. ¡®Soyasaponin I, a compound possessing
undesirable taste characteristics isolated from the dried pea (Pisum sativum
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29 GUEGUEN, J. ¡®Solubility of faba bean (Vicia faba L) and pea (Pisum sativum
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30 ZEIGER, R.S., SAMPSON, H., BOCK, S. et al. ¡®Soy allergy in infants and children
with IgE-associated cow¡¯s milk allergy¡¯, J Pediatr, 1999, 134, 614¨C22.
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legume-based rat diets¡¯, J Nutr, 1980, 110, 1736¨C44.
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quality of New Zealand grown peas¡¯, International Food Legume Research
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34 GRIFFITHS, D. ¡®The trypsin and chymotrypsin inhibitor activities of various
pea (Pisum spp.) and field bean (Vicia faba) cultivars¡¯, J Sci Food Agr,
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35 TANNOUS, R. and ULLAH, M. ¡®Effects of autoclaving on nutritional factors in
legume seeds¡¯, Trop Agric, 1969, 46, 123¨C9.
36 BENDER, A. ¡®Haemagglutinins (lectins) in beans¡¯, Food Chem, 1983, 11,
309¨C20.
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availability of iron and zinc. Nutritional and Toxicological Consequences of
Food Processing. AIN Symposium, Washington 1990¡¯, Adv Exp Med Biol,
1991, 289, 499¨C508.
38 HURRELL, R., JUILLERAT, M.-A., REDDY, M., LYNCH, S., DASSENKO, S. and COOK,
J. ¡®Soy protein, phytate, and iron absorption in humans¡¯, Am J Clin Nutr,
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39 BRUNE, M., ROSSANDER-HULTHE
¡ä
N, L., HALLBERG, L., GLEERUP, A., SANDBERG,
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40 BARKHOLT, V., JO
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42 GEE, J., PRICE, K., RIDOUT, C., WORTLEY, G., HURRELL, R. and JOHNSON, I.
¡®Saponins of quinoa (Chenopodium quinoia): effects of processing on their
abundance in quinoa products and their biological effects on intestinal
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43 VOSE, J., BASTERRECHEA, M., GORIN, P., FINLAYSON, A. and YOUNGS, C. ¡®Air
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and protein fractions¡¯, Cereal Chem, 1976, 53, 928¨C36.
44 REICHERT, R.D. and YOUNGS, C.G. ¡®Nature of the residual protein associated
with starch fractions from air-classified field peas¡¯, Cereal Chem, 1978, 55,
469¨C80.
45 TYLER, R.T., YOUNGS, C.G. and SOSULSKI, F.W. ¡®Air classification of legumes.
I. Separation efficiency yield, and composition of the starch and protein
fractions¡¯, Cereal Chem, 1981, 58, 144¨C8.
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protein content¡¯, J Food Sci, 1982, 47, 1263¨C7.
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Proteins for Human Food, The Hague, Martinus Nijhoff/Dr W. Junk, 1983.
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59 FREDRIKSON, M., BIOT, P., CARLSSON, N.-G., ALMINGER-LARSSON, M. and
SANDBERG, A.-S. ¡®Production of high quality pea protein isolate, with low
content of oligosaccharides and phytate¡¯. In progress, 2000.
60 S?RENSEN, A.D., HANSEN, A.B., S?RENSEN, S., BARKHOLT, V. and FR?KI?R, H.
¡®Influence of industrial processing of peas on the content of antinutritional
factors and the in vitro digestibility¡¯, 3rd European Conference on Grain
Legumes, Valladolid, 1998, pp. 348¨C9.
61 FREDRIKSON, M., ALMINGER-LARSSON, M., SANDBERG, A.-S. ¡®Phytate content
and phytate degradation by endogenous phytase in pea (Pisum sativum)¡¯, In
progress, 2000.
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ascorbic acid and dose-dependent inhibition by phytate¡¯, Am J Clin Nutr,
1989, 49, 140¨C4.
63 FREDRIKSON, M., ALMINGER, M., SANDBERG, A.-S. ¡®Improved in vitro
availability of zinc and iron from dephytinized pea protein formulas¡¯. In
progress, 2000.
64 HERIAN, A.M., TAYLOR, S.L. and BUSH, R.K. ¡®Allergenic reactivity of various
soybean products as determined by RAST inhibition¡¯, J Food Sci, 1993, 58,
385¨C8.
65 DAVIDSSON, L., DIMITRIOU, T., WALCZYK, T. and HURRELL, R.F. ¡®Iron
absorption from experimental infant formulas based on pea protein isolate:
the effect of phytic acid and ascorbic acid¡¯. In progress, 2000.
232 Functional foods
10.1 Introduction
The first attempt to provide a substitute for butter, margarine, was developed to
feed soldiers and labourers in France during the reign of Napoleon III in order to
fight better and work harder. Margarine can be seen as a forerunner of modern
functional foods. Because butter contains vitamin A, margarine was enriched in
vitamin A in addition to vitamin D, and became an important source of these
vitamins in Western countries. In these countries there is no vitamin A
deficiency, but world-wide vitamin A deficiency is still an important issue.
Recently, the use of margarine as a product for increasing vitamin A intake was
studied in the Philippines, demonstrating the importance of enriched foods in
combating nutrient deficiency.
1
In the 1950s it became clear that dietary saturated fatty acids were positively
related to plasma cholesterol concentration and the incidence of coronary heart
disease (CHD). Replacement of saturated fatty acids by polyunsaturated fatty
acids (mainly linoleic acid) reduced blood cholesterol and consequently the
incidence of CHD. As early as the 1960s, Unilever developed a margarine rich
in linoleic acid marketed as a food to lower blood cholesterol. This can be seen
as a functional food in the sense used nowadays. While there are many
definitions, for the purposes of this chapter a functional food is defined as:
a food that contains a functional ingredient (a nutrient or non-nutrient)
in order to improve the state of health and well-being and/or to reduce
the risk of disease beyond that of nutritional deficiency.
There remains some debate as to whether a product can be considered a
functional food when a nutrient is added to a food product to avoid deficiency,
10
Functional fats and spreads
E.A.M. de Deckere and P.M. Verschuren, Unilever Research,
Vlaardingen
as in the case of vitamins A and D added to margarine. In many population
groups there is, however, an imbalance in nutrient and non-nutrient (e.g. fibre)
intake which can be corrected by functional foods with a positive impact on
health and the risk of disease. Target groups for functional foods range from the
whole population to the elderly, people with increased risk of a chronic disease,
or with a chronic disease. There are a number of spreads and fats with functional
ingredients already on the market. The claims used are content and intake claims
such as ¡®fits into a cholesterol-lowering diet¡¯ or ¡®fits into a healthy lifestyle¡¯. A
claim such as ¡®this product helps to reduce risk of disease¡¯ is currently not
allowed in European countries or the USA.
This chapter concentrates on functional ingredients that can be present in fats
and spreads. Spreads range from zero fat spreads (3% fat content) to full fat
spreads such as margarine (80% fat content). Spreads are a particularly suitable
vehicle for functional ingredients, because they are eaten daily. Full fat spreads,
in addition to fats, could be vehicles for fatty functional ingredients whereas low
fat spreads could be vehicles for water-soluble functional ingredients.
10.2 Functional ingredients and chronic diseases: applications
in fats and spreads
A number of nutrients and non-nutrients have the potential to be applied as
functional ingredients in fats and spreads. This chapter discusses mainly the use
of spreads because spreads can be used for fat-soluble and water-soluble
ingredients. It goes without saying that fats can be used for fat-soluble functional
ingredients. The most important potential functional ingredients with their
(putative) mode of action in preventing or alleviating chronic diseases are listed
in Table 10.1. The scientific background to each ingredient and its application in
spreads (and fats where applicable) are discussed below.
10.3 Fatty acids
10.3.1 Introduction
A number of fatty acids (Fig. 10.1) have the potential to be used as functional
ingredients, because their intake has been found to be positively related to
health. In the USA, and in most other countries, health claims for specific fatty
acids are not allowed on packaged foods. The nutritional label must list the
amounts of total fat and saturated fats per serving, whereas the listing of
monounsaturated and polyunsaturated fats is voluntary.
10.3.2 Linoleic acid
Numerous studies have shown the plasma cholesterol-lowering capacity of
linoleic acid and it has become an established functional ingredient in this
234 Functional foods
respect. As early as the 1950s, it became clear that replacing saturated fatty acids
with linoleic acid in the diet could decrease plasma cholesterol concentration
and thus mortality from CHD. Early research resulted in the prediction equations
of Keys and Hegsted published in 1957 and 1965, respectively, relating changes
in plasma total cholesterol concentration to changes in the amounts of dietary
fatty acids. The prediction equation has been analysed again on basis of more
recent studies
2, 3
. The conclusions do not differ from the original ones: saturated
fatty acids elevate serum cholesterol, polyunsaturated fatty acids (linoleic acid)
actively lower serum cholesterol, and monounsaturated fatty acids (oleic acid)
have little or no effect (Fig. 10.2).
4
On the basis of the inverse relationships between linoleic acid intake and
plasma cholesterol concentration, and the link between plasma cholesterol
concentration and the incidence of CHD, advisory agencies in Western countries
Table 10.1 Nutrients and non-nutrients suitable for use in fats and spreads to lower the
risk of chronic disease
Chronic disease Functional ingredient/ Mechanism/
functional food purported mechanism
Coronary heart disease Linoleic acid Lowering blood cholesterol
Conjugated linoleic acid Reducing atherosclerosis
C11-Linolenic acid ?
VLC n-3 polyunsaturated Lowering blood triglycerides,
fatty acids* reducing arrhythmias
Phytosterols Lowering blood cholesterol
Antioxidants Lowering LDL oxidation,
(vitamin E, carotenes, reducing atherosclerotic
polyphenols, ubiquinone) progression
Obesity Low fat or low energy spreads Reduction fat mass
(modified triglycerides, coagel,
sucrose polyester, inulin)
Conjugated linoleic acid Reduction fat mass
Hypertriglyceridaemia VLC n-3 polyunsaturated Lowering blood triglycerides
(e.g. in diabetes type II) fatty acids
Chronic inflammatory C13-Linolenic acid Reducing eicosanoid production
diseases Stearidonic acid Reducing eicosanoid production
VLC n-3 polyunsaturated Reducing eicosanoid production
fatty acids
Cancer Vitamin E Scavenging radicals
Cataract Vitamin E Scavenging radicals
Osteoporosis Calcium (+ vitamin D) Increasing bone mass
Large intestine ailments Inulin Stimulation of fermentation,
increasing stool mass
Note:
* VLC: very long chain (fish oil n-3 fatty acids)
Functional fats and spreads 235
Fig. 10.1 N-6 and n-3 polyunsaturated fatty acids with (potential) health benefits. N-6 and n-3 denote the first double bond from the methyl end
(C0CH
3
) of the molecule. Humans can only insert double bonds into unsaturated fatty acid molecules between the last double bond counting from the
methyl end and the carboxyl group, resulting in n-6 and n-3 families of fatty acids.
have long recommended increasing linoleic acid intake to 4¨C10% of energy
intake.
5, 6
When intakes of saturated fatty acids and cholesterol are relatively
high, an intake of 10% of energy intake as linoleic acid is recommended. Such
recommendations have contributed to a substantial decrease in the incidence of
CHD in the last few decades. In the USA, for example, the incidence of CHD
decreased by 53% between 1950 and 1992.
7
Some authorities caution against the
intake of higher amounts of linoleic acid and recommend lowering the dietary
ratio of n-6 fatty acids (primarily linoleic acid) over n-3 fatty acids (C11-linolenic
acid and fish oil polyunsaturated fatty acids). However, there is no solid
evidence that high intakes of linoleic acid have adverse effects in humans. Some
recent dietary guidelines for the prevention of CHD recommended a reduction in
total fat intake without recommending an increase in linoleic acid intake.
7
However, there is no solid evidence from clinical trials that solely a reduction in
fat intake lowers the risk of CHD. Replacing saturated fatty acids by
polyunsaturated fatty acids remains the best advice with respect to dietary fats
and risk of CHD.
6, 8
Spreads high in linoleic acid are now widely available, and
are used by a substantial proportion of the population in the developed world,
making linoleic acid one of the most important current functional ingredients.
10.3.3 C11-Linolenic acid
C11-Linolenic acid (like linoleic acid) is an essential fatty acid. To avoid
deficiency, the minimal intake should be 0.2¨C0.3% of energy intake
(approximately 0.5¨C0.75 g/day for an adult person). The recommended daily
intake is 1¨C2g.
9
In the body, C11-linolenic acid is converted into docosapentaenoic
acid (DPA, C22:5 n-3) and docosahexaenoic acid (DHA, C22:6 n-3) which are
incorporated into the phospholipids of cell membranes, particularly in the brain
and retina. An intermediate fatty acid is eicosapentaenoic acid (EPA, C20:5 n-3).
A few epidemiological studies
10, 11
suggest that people who have C11-linolenic acid
intakes below the recommended intake have an increased risk of CHD. Recent
C1C83C67C61C50C46C49C48C1C83C0C49C46C49C54C1C80C135C48C46C48C54C55C1C67
C1C83C67C105C115C116C104C101C99C104C97C110C103C101C40C135C111C114C0C41C105C110C116C104C101C115C101C114C117C109C116C111C116C97C108C99C104C111C108C101C115C116C101C114C111C108C99C111C110C99C101C110C116C114C97C116C105C111C110C40C105C110C109C103C47C100C76C59C100C105C118C105C100C101
C98C121C51C56C46C55C102C111C114C109C109C111C108C47C76C41C44
C1C83C97C110C100C1C80C97C114C101C116C104C101C99C104C97C110C103C101C115C105C110C116C104C101C112C101C114C99C101C110C116C97C103C101C115C111C102C100C105C101C116C97C114C121C101C110C101C114C103C121C111C102C115C97C116C117C114C97C116C101C100C97C110C100
C112C111C108C121C117C110C115C97C116C117C114C97C116C101C100C102C97C116C116C121C97C99C105C100C115C44C114C101C115C112C101C99C116C105C118C101C108C121C44
C1C67C105C115C116C104C101C99C104C97C110C103C101C105C110C116C104C101C97C109C111C117C110C116C111C102C100C105C101C116C97C114C121C99C104C111C108C101C115C116C101C114C111C108C40C105C110C107C103C47C74C41C46
C82C101C112C108C97C99C105C110C103C49C37C111C102C101C110C101C114C103C121C111C102C115C97C116C117C114C97C116C101C100C102C97C116C116C121C97C99C105C100C115C40C1C83C136C0C49C41C119C105C116C104C49C37C111C102C101C110C101C114C103C121C111C102
C112C111C108C121C117C110C115C97C116C117C114C97C116C101C100C102C97C116C116C121C97C99C105C100C115C40C1C80C136C135C49C41C44C97C116C117C110C99C104C97C110C103C101C100C100C105C101C116C97C114C121C99C104C111C108C101C115C116C101C114C111C108C44C100C101C99C114C101C97C115C101C115C116C104C101
C115C101C114C117C109C116C111C116C97C108C99C104C111C108C101C115C116C101C114C111C108C99C111C110C99C101C110C116C114C97C116C105C111C110C98C121C51C46C50C54C109C103C47C100C76C40C48C46C48C56C52C109C109C111C108C47C76C41C46
C65C114C101C100C117C99C116C105C111C110C105C110C115C101C114C117C109C99C104C111C108C101C115C116C101C114C111C108C99C111C110C99C101C110C116C114C97C116C105C111C110C98C121C48C46C54C109C109C111C108C47C76C100C101C99C114C101C97C115C101C115C114C101C108C97C116C105C118C101C114C105C115C107C111C102
C67C72C68C98C121C53C48C37C97C116C97C103C101C111C102C52C48C102C97C108C108C105C110C103C116C111C50C48C37C97C116C97C103C101C111C102C55C48C46
C52
Fig. 10.2 Prediction equation for effect of dietary fatty acids on plasma cholesterol
concentration
2
Functional fats and spreads 237
studies, however, show that C11-linolenic acid does not affect the parameters of
thrombotic risk.
12, 13
C11-Linolenic acid and linoleic acid are desaturated and
elongated by the same enzymes and suppress each other¡¯s metabolism. However,
increasing C11-linolenic acid intake (e.g. to 10 g/day or more) hardly affects
phospholipid arachidonic acid levels in plasma and cell membranes.
14
Moreover,
DHA levels are not affected, showing that the average habitual intake of C11-
linolenic acid is sufficient to meet the body¡¯s requirement for DHA. Only very
high intakes of C11-linolenic acid (> 30 g/day) decrease blood triglycerides.
15
C11-
Linolenic acid may be as effective as linoleic acid in lowering LDL cholesterol.
Increased intakes of C11-linolenic acid may affect some physiological
processes, because EPA is formed from C11-linolenic acid and incorporated into
cell membrane phospholipids. EPA is an inhibitor of eicosanoid synthesis and is
released from phospholipids at the same time as arachidonic acid (from which
the eicosanoids are formed). Inflammatory and immunological processes can be
affected in this way.
Although the mean intakes of C11-linolenic acid in Western countries may well
be within the range of the recommended intake, more than a quarter of the
population may have a daily intake below 1 g and these people might have an
increased risk of CHD.
10, 11, 16
The intake of C11-linolenic acid of this population
group can easily be increased to the recommended level by spreads containing
5% C11-linolenic acid. A number of advisory bodies recommend increasing the
intake of C11-linolenic acid in order to lower the dietary ratio of linoleic acid over
C11-linolenic acid (e.g. to 5:1) without increasing fat intake. However, solid
underpinning of this recommendation is lacking.
C11-Linolenic acid is present in significant amounts in soybean, canola, linseed
and perilla seed oil. It can give off-flavours and its use in spreads needs protection
by antioxidants. In most spreads on the European market low amounts of C11-
linolenic acid are present. Linolenic acid isomers, including trans isomers, are also
present, probably due to partial hydrogenation or deodorisation during processing
of the rapeseed and soybean oils used.
16
In view of the significance of trans fatty
acids, the presence of trans fatty acid isomers should be minimised.
10.3.4 Fish oil n-3 polyunsaturated fatty acids
Fish oil n-3 polyunsaturated fatty acids (fish oil PUFAs) comprise EPA, DPA,
and DHA (see section 10.3.3). Numerous studies have shown beneficial effects
in CHD, in particular a reduction in the risk of fatal CHD, and in inflammatory
and immunological diseases.
9, 17¨C19
The hallmark effect of fish oil PUFAs,
however, is the decrease in plasma triglyceride concentration.
15
A high plasma
triglyceride concentration is a recognised independent risk factor of CHD.
20
Intakes of fish oil PUFAs up to 3 g/day are safe according to the US Food and
Drug Administration,
21
but intake of vitamin E should increase accordingly.
22
Fish oil PUFAs are poorly stored in adipose tissue.
High blood pressure is a risk factor of CHD and stroke. A prolonged 5 mmHg
lower level of diastolic blood pressure is associated with a 35¨C40% lower risk of
238 Functional foods
stroke.
23
The elderly still suffer the largest majority of blood pressure-related
cerebrovascular disease. Two studies have shown a clinically relevant reduction
in blood pressure through daily consumption of 3 g of fish oil PUFAs.
24, 25
Some
studies suggest that fish oil PUFAs in combination with other dietary measures
can reduce blood pressure.
Generally, the average intake of fish oil PUFAs in developed countries is low
(about 120 mg/day), but this has risen more recently due to an increase in the
consumption of poultry fed on fish meal feed.
26
Average daily intakes of
habitual fish consumers were found to be between 0.5 g (less than two servings a
week) and 1.6 g (more than four servings a week).
27
On average, a decrease in
plasma triglycerides by 25% can be obtained by an intake of 3¨C4 g fish PUFAs
daily.
15
For primary prevention of CHD a daily intake of 2¨C3 g is desirable.
18
Recently, a study in Italy
19
showed that a daily intake of 1 g fish oil PUFAs
decreased risk of cardiovascular death by 17% in a group of patients who had a
first myocardial infarction. For a daily intake of 3 g fish oil PUFAs at a spread
consumption of 25 g/day the spread should contain 15 g fish oil PUFAs per 100
g fat, which means that the spreads should be made predominantly of fish oil.
However, those spreads containing fish oil that are (or have been) on the market
contain only a small amount of fish oil, insufficient for triglyceride-lowering or
cardiovascular health claims (see section 10.4).
10.3.5 C13-Linolenic acid
C13-Linolenic acid (GLA) (C18:3 n-6) is present in plant seed oils of evening
primrose (about 8% of total fatty acids), blackcurrant (18%), and borage (22%).
In humans it is converted into dihomo-C13-linolenic acid (DGLA) and
incorporated into phospholipids of cell membranes. On stimulation of cells,
DGLA is released and converted into prostaglandin E1 which exerts anti-
inflammatory activity. DGLA can also be converted (by 15-lipoxygenase) into a
metabolite which can inhibit the synthesis of leukotrienes from arachidonic acid
as a result of which inflammatory reactions might also be mitigated.
Furthermore, DGLA can also be converted into arachidonic acid and in cases
in which the activity of C16 desaturase is decreased, like in atopic eczema and
diabetes,
28
DGLA may increase the synthesis of arachidonic acid. In in vitro
studies and animal models a great number of effects of GLA have been reported,
but in human studies limited beneficial effects have been found so far.
GLA-containing oils are available as encapsulated supplements. At the
moment, natural sources of GLA are limited, but these can be increased readily.
GLA might be applied in a number of chronic inflammatory diseases like
rheumatoid arthritis in which approximately 3 g/day GLA may improve clinical
symptoms slightly.
29, 30
GLA has not yet been approved for the treatment of any
disease, but might be used as an adjunctive therapy. The regulatory status has
been summarised by Kulow.
31
GLA is more prone to oxidation than linoleic acid
and has to be protected by extra vitamin E.
Functional fats and spreads 239
10.3.6 Conjugated linoleic acid
Conjugated linoleic acid (CLA) refers to isomers of linoleic acid with several
positional and geometric conjugated double bond configurations.
32
Mainly the
cis-9, trans-11 CLA isomer (80¨C90% of total isomers) is present in small
amounts in dairy products and meat (approximately 5 mg/g fat). Beneficial
effects of mixtures of CLA isomers (mainly cis-9, trans-11 CLA and trans-10,
cis-12 CLA; 0.5¨C1.0 g/100 g diet) have been found in a number of animal
models of cholesterol metabolism and atherosclerosis,
33, 34
carcinogenesis,
32, 35
and body fat regulation.
36
A recent clinical trial showed that a mixture of CLA
isomers (4 g/day) decreased body fat in humans by 3%.
37
However, it has been
shown that trans-10, cis-12 CLA, and not cis-9, trans-11 CLA, affected lipid
metabolism and body fat in animals.
34, 36
Consequently, the ¡®natural¡¯ occurring
CLA isomer (cis-9, trans-11) might be ineffective as far as these parameters are
concerned. Some studies suggest that CLA, like fish oil PUFAs, can increase the
level of antioxidant enzymes in cells.
38
Toxicological studies so far did not show
harmful effects of CLA.
39
CLA can be synthesised from pure linoleic acid, sunflower seed oil or
safflower oil by alkalic isomerisation. Approximately 90% of linoleic acid can
be converted into equal amounts of cis-9, trans-11 CLA and trans-10, cis-12
CLA.
40
Although only one isomer might be effective there are no physiological
reasons to make preparations enriched in the active isomer at the moment. CLA
isomers can be incorporated into triglycerides by interesterification and used for
the production of spreads. Oxidisability of CLA might be greater than that of
linoleic acid, but the results are equivocal.
41, 42
CLA is already on the market as a supplement, e.g. for body builders to
increase lean body mass. However, this effect has not been scientifically proven.
10.3.7 Stearidonic acid
Stearidonic acid (C18:4 n-3) is present in a few plant seed oils.
43
It is a
desaturation product of C11-linolenic acid. It may have anti-inflammatory
properties due to inhibition of leukotriene B4 synthesis.
44
Leukotriene B4
synthesis is also inhibited by EPA (fish oil PUFAs), but stearidonic acid is of
plant origin and contains one double bond less and is therefore less prone to
oxidation. Only a few studies have been published.
10.4 Spreads containing fish oil
Spreads containing unhardened fish oil have been on the market in Denmark, the
UK and Ireland for more than a decade (a number were already withdrawn). The
amount of fish oil varies (varied) between 5% and 25% of total fat. In addition to
a fish oil PUFA content claim they carry (carried) claims such as ¡®. . . may help
to maintain a healthy heart¡¯. A few studies have been published in which fish
oil-containing spreads were used which show that spreads are a useful vehicle
240 Functional foods
and that approximately 1 g fish oil PUFAs daily is sufficient to increase plasma
levels of fish oil PUFAs markedly and to lower plasma triglyceride
concentrations.
45, 46
Adding fish oil to spreads reduces oxidative stability, resulting in the
formation of off-flavours and a decreased shelf life. This is still a major problem
and understanding of the oxidation process of fish oil PUFAs will help the
manufacturing of fish oil PUFA spreads. Antioxidants can inhibit oxidation of
the fish oil PUFAs. Oxidation comprises initiation, propagation and termination
reactions followed by the formation of volatile compounds from the
hydroperoxides formed which give the off-flavour. In addition to heat and
light, metal ions are involved in the initiation reaction and sequestration of these
ions generally will inhibit oxidation. Also, antioxidants can inhibit the initiation
reaction. In the propagation reaction oxygen is involved and replacing oxygen
with nitrogen will improve shelf life of the spread. However, oxygen has to be
removed completely, because traces of oxygen are sufficient to maintain the
oxidation process. Termination reactions can be inhibited by antioxidants.
Furthermore, antioxidants can inhibit the formation of volatile compounds from
hydroperoxides. Both sequestrants and antioxidants are needed and the spreads
with fish oil PUFAs contain EDTA and citric acid as sequestrants, propylgallate
and tocopherol as antioxidants and ascorbylpalmitate as oxygen scavenger.
Sequestrants are more important than antioxidants, because they reduce more
effectively oxidation of fish oil PUFAs than antioxidants. The fish for the
production of oil should be of good quality and processed as soon as possible.
The raw fish oil should be refined and stored under optimal conditions, avoiding
oxidation. Nevertheless, when exposed to air off-flavours develop rather
quickly. Oxidative stability may be increased by removing metal ions
completely from the oil. However, removing metal ions is no common practice
and they are bound by chelators (compounds which tightly bind metal ions).
Furthermore, because the other ingredients of the spread will also contain metal
ions, it might be less useful to remove metal ions completely from the oil.
Oxidative stability may also be improved by using liposomes.
47
These
liposomes consist of a lipid bilayer in which triglyceride-containing fish oil
PUFAs together with fat-soluble antioxidants are incorporated.
10.5 Modified fats and oils
10.5.1 Interesterification (rearrangement)
Since the 1920s glyceride interesterification has been used in the production of
spreads with specific physical properties. For a number of decades
interesterification has also been used for the production of triglycerides with
specific compositions and nutritional properties.
48
Interesterification offers the
possibility to distribute randomly the fatty acids over the glyceride molecule
(randomised oil; chemical interesterification) or to incorporate other fatty acids
into the triglyceride molecule (both by chemical and enzymatic
Functional fats and spreads 241
interesterification). Randomisation of an oil or fat can affect the metabolism of
fatty acids, because in most oils and fats PUFAs are in the sn-2 position. Fatty
acids in the sn-2 position are absorbed as monoglyceride and absorption is
generally somewhat greater than that of fatty acids in the other two positions.
For instance, exchanging linoleic acid in the sn-2 position for a saturated fatty
acid can improve fat absorption, because linoleic acid is more easily absorbed
than saturated fatty acids. In enzymatic esterification regiospecific lipases can
exchange fatty acids in the sn-1,-3 positions. Furthermore, lipases have also been
described which can incorporate some fatty acids preferentially or less readily.
10.5.2 Medium chain triglycerides
Medium chain triglycerides are modified lipids. Spreads containing medium
chain triglycerides have been on the market for half a century. The product
quality does not differ from that of common spreads. Medium chain
triglycerides consist of C8:0 and C10:0 fatty acids obtained from, for example,
coconut and palm kernel oil. They are used in the treatment of lipid disorders or
in cases in which a dense source of easily metabolisable energy is required.
49
They might have a beneficial effect on glycemic control in diabetics, but the
results are conflicting.
50
They might also be used for weight reduction in obesity
due to the lower energy content and greater thermogenesis, in comparison with
long chain triglycerides,
51
but the findings are still equivocal.
52
In each case
they are poorly stored in adipose tissue. Furthermore, in comparison with the
longer chain saturated fatty acids (C12:0, C14:0, C16:0), they do not increase
plasma total cholesterol.
53
10.5.3 Structured triglycerides
More recently, structured triglycerides containing various combinations of fatty
acids can be made.
49, 54
They offer possibilities for functional foods and can
easily be incorporated into spreads or other fat-containing products. They may
be used to improve intestinal absorption of fatty acids in infants and critically ill
patients. They can also be used in enteral and parenteral nutrition. Numerous
clinical trials with structured triglycerides have been done. For instance,
structured triglycerides containing medium chain fatty acids and fish oil PUFAs
have been tested in patients. The medium chain fatty acids are more rapidly
absorbed, cleared from the blood and oxidised than the long chain fatty acids,
whereas fish oil PUFAs can decrease inflammatory responses.
Structured triglycerides can also be used to decrease energy intake. A
structured triglyceride containing medium chain fatty acids and behenic acid
(C22:0) is on the market and present in some snacks, but not in spreads. The
energy content is about 5 kcal/g due to the lower energy content of the medium
chain fatty acids (8.3 kcal/g) and the poor absorption of behenic acid. Sources of
medium chain fatty acids are coconut and palm kernel oil, whereas peanut oil and
fully hydrogenated high erucic rapeseed and fish oil are sources of behenic acid.
242 Functional foods
10.5.4 Fatty acid modification of crops
Traditionally, breeding and gene modification give possibilities to change fatty
acid composition of vegetable oils or to change or increase minor constituents
such as tocopherols and phytosterols.
48
Under way are the developments of a
rapeseed oil containing lauric acid (medium chain triglycerides) and EPA,
55
and
of vegetable oils free of saturated fatty acids.
10.5.5 Miscellaneous
There are several new technologies to produce triglycerides with special fatty
acid compositions. A major development is with EPA and DHA. Already
available are fish oils enriched in EPA and DHA (hydrolysis of fish oil,
separation of fatty acids by molecular distillation, re-esterification of the EPA
and DHA-enriched FA fractions), EPA and DHA containing triglycerides
produced by microalgae and bacteria,
56
and microencapsulated (EPA and DHA-
enriched) fish oils (oil drops surrounded by a layer of starch).
57
Generally,
production costs are high, but research is under way to reduce costs. The
triglycerides can be incorporated into spreads using standard technologies, but
the development of spreads with microencapsulated ingredients, in particular
liposomes, is a promising new area.
58
10.6 Phytosterols
10.6.1 Phytosterols and plasma cholesterol lowering
At the beginning of the 1950s the plasma cholesterol-lowering potential of
phytosterols or plant sterols was studied in humans.
59
Since then, numerous
studies have shown that this potential is due to inhibition of cholesterol
absorption. Phytosterols are minor constituents of crude vegetable oils and most
oils contains 0.1¨C0.5% (by weight of oil) phytosterols. Some oils such as rice
bran, oat and wheatgerm oil contain amounts up to 4%. The main phytosterol in
vegetable oils is C12-sitosterol (a 4-desmethylsterol) which is present as free sterol
and esterified with fatty acids.
60
Rice bran oil contains also 4,4
C48
-dimethylsterols
esterified to ferulic acid and the plasma cholesterol-lowering potential of rice
bran oil has been ascribed partly to these compounds.
61
A recent study, however,
showed that these compounds (as oryzanol) were much less effective than
phytosterols from soybean oil (mainly C12-sitosterol).
62
Crude maize (corn) oil is
also relatively rich in phytosterols (approximately 0.9%). In studies by Keys et
al.
63
it was found that diets rich in maize oil showed a cholesterol-lowering
effect which could only partially be explained by the fatty acid compositions.
The greater hypocholesterolaemic effect of maize oil compared to that of
sunflower seed oil in spite of its lower linoleic acid content was coined the
¡®maize oil aberration¡¯. It was confirmed recently
64
and indicates that amounts of
phytosterols slightly less than 1 g per day can lower the plasma cholesterol
concentration. However, for an appreciable reduction in plasma cholesterol
Functional fats and spreads 243
(10¨C15%) the daily phytosterol (C12-sitosterol) intake should be 1¨C3 g. The
habitual diet (adults) delivers approximately 250 mg phytosterols per day. So,
products have to be supplemented with phytosterols in order to achieve a
significant cholesterol reduction.
10.6.2 Phytosterol esters
The solubility of free plant sterols in oils is about 2¨C3% (by weight of oil) at
body temperature which is too low for application in cholesterol-lowering
spreads. When phytosterols are not solubilised, the cholesterol-lowering
potential is much less. The solubility of fatty acid esters of phytosterols is
much greater (> 15%) and they can easily be incorporated into spreads. The
esters have to be hydrolysed by pancreatic cholesterol esterase in the small
intestine for phytosterols to be effective as inhibitors of cholesterol absorption.
The cholesterol-lowering efficacy of free C12-sitosterol and of sitosterol esterified
to oleate or linolate may be similar.
65, 66
However, the efficacy of saturated fatty
acid esters might be less than that of oleate esters due to the lower rate of
hydrolysis in the small intestine.
10.6.3 Phytosterol-containing spreads
Recently, phytosterol-containing spreads with a cholesterol-lowering claim
were launched in several European countries, the USA, Australia and New
Zealand. Beforehand, these spreads were extensively tested in human clinical
trials for their cholesterol-lowering capacity. Spread supplemented with
soybean sterols (11% phytosterol equivalents/100 g spread) partly (65%)
esterified with fatty acids from sunflowerseed oil were studied by Weststrate
and co-workers. At a daily intake of 30 g spread (3.3 g phytosterol equivalents/
day) plasma total cholesterol and LDL cholesterol decreased by 8% and 13%,
respectively. The plasma cholesterol concentrations were decreased both in
normo- and mildly cholesterolaemic subjects. Furthermore, similar effects were
found for sitosterol and sitostanol.
62
Also, lower intakes of partly esterified and
non-esterified soybean sterols (0.8, 1.6 g/day) decreased LDL cholesterol by
6.0¨C8.5%.
67, 68
Miettinen and co-workers have extensively investigated the cholesterol-
lowering effect of spreads supplemented with sitostanyl fatty acid ester. They
used C12-sitosterol extracted from tall oil (from wood pulp) in which the double
bond at the position C5¨CC6 in the molecule was hydrogenated (hydrogenation
gives sitostanol) and which was esterified with fatty acids by chemical
interesterification with fatty acid methyl esters from rapeseed oil.
69
In a study
with hypercholesterolaemic subjects a spread supplemented with sitostanyl ester
(9 g sitostanol equivalents/100 g margarine) was tested.
70
The intake of
sitostanol was approximately 1.8 g or 2.6 g per day. After 12 months, serum total
cholesterol and LDL cholesterol concentrations had been decreased in the low
and high sitostanol groups, in comparison with the control group, by 11% and
244 Functional foods
13% and by 14% and 17%, respectively. No significant change in HDL
cholesterol occurred.
10.6.4 Safety
Intestinal absorption of C12-sitosterol is approximately 5% of intake. It is excreted
by the liver into the bile. A tenfold increase in the intake of C12-sitosterol
increased the plasma level by less than a factor of two.
62
Sitostanol is not or
hardly absorbed. Recently, various safety evaluations of phytosterols have been
published.
71, 72
No adverse effects were found. However, in humans phytosterol-
and phytostanol-containing spreads can decrease the plasma carotene
concentration if the daily intake of phytosterols is higher than 1.6 g.
62, 67
10.7 Antioxidants
10.7.1 Introduction
Antioxidants may reduce the risk of CHD and cancer.
73
With respect to CHD, it
has been hypothesised that oxidation of LDL in the vessel wall plays a key role
in atherogenesis. Furthermore, oxidative processes may also be involved in the
progression phase of the atherosclerotic plaque.
74
Antioxidants occur abundantly
in fruits and vegetables, but also vegetable oils contain antioxidants, in
particular vitamin E. In addition, red palm oil contains also carotenoids (up to
0.2%) and extra virgin olive oil (unrefined) contains polyphenols.
10.7.2 Vitamin E
Vitamin E comprises tocopherols and tocotrienols of which C11-tocopherol is by
far the most important constituent (90% of the vitamin E present in human
tissues, e.g. in LDL particles in which vitamin E is the most abundant
antioxidant present). Epidemiological studies and primary and secondary
prevention trials have shown that vitamin E intake is inversely associated with
the risk of CHD.
19, 75¨C79
Epidemiological data suggest that 40¨C60 mg vitamin E
daily is effective while clinical trials suggest that vitamin E is effective from 100
mg (100 mg of dl-alpha-tocopherol acetate) daily. This latter is ten times the
recommended dietary allowance (RDA). The RDA, however, is defined as the
amount to prevent nutrient deficiency and does not take into account possible
reductions in the risk of a disease by a nutrient.
Vitamin E supplements may decrease risk of cataract, but vitamin E does not
protect against age-related degeneration of the macular of the eye. Epidemio-
logical studies on vitamin E and cancer are inconsistent and there is no proof
that vitamin E can protect against neurological disorders and inflammatory
disorders like rheumatoid arthritis. However, vitamin E supplements may reduce
pain in rheumatoid arthritis. A number of aspects of the immune system decline
with age. Several studies in the elderly have shown that vitamin E
Functional fats and spreads 245
supplementation can counteract these age-related declines in immune para-
meters.
80
Of all antioxidants vitamin E has the strongest evidence to reduce risk of
CHD and by this vitamin E-rich spread may also contribute to a lower risk of
CHD. The principal sources of vitamin E are vegetable oils, and spreads made
from vegetable oils are therefore the main dietary sources of vitamin E.
Generally, it is recommended that spreads contain 0.6 g vitamin E per gram of
linoleic acid. Higher levels are necessary for spreads containing C11-linolenic acid
and fish oil PUFAs. The contribution of spreads, dressings and oils to vitamin E
intake is approximately 50%. Spreads are a good vehicle for fat-soluble
antioxidants, because for a number of these antioxidants, fat is needed for an
efficient absorption. Spreads enriched in vitamin E (31 mg/day) and C11- and C12-
carotene (3¨C5 mg/day) increased vitamin E and C11- and C12-carotene concentra-
tions in plasma and LDL particles.
81
The increase in resistance to oxidation of
LDL particles ex vivo (outside the body), however, was marginal. Higher intakes
of vitamin E (100 mg/day or more) can significantly increase the resistance of
LDL to ex vivo oxidation.
Several spreads are on the markets with content claims: ¡®enriched in vitamin
E¡¯, ¡®supplies 100% of the RDA¡¯, etc.
10.7.3 Tocotrienols
Crude palm and rice bran oil are rich in tocotrienols (300¨C1,200 mg/kg oil).
Some authors have suggested that tocotrienols can lower blood cholesterol
concentrations,
82
but there is no proof in humans.
83
10.7.4 Carotenoids
The major dietary carotenoids are C11- and C12-carotene, C98-cryptoxanthin, lycopene,
lutein and zeaxanthin. Although epidemiological data suggest that C12-carotene
has a role in CHD prevention,
84
clinical trials have repeatedly shown that high
dose supplements of C12-carotene are ineffective in CHD.
85, 86
With respect to
cancer, epidemiological studies have shown that C12-carotene may lower risk of
lung cancer.
87
Also, a great number of animal studies have shown that
carotenoids including C12-carotene exert anti-carcinogenic activity. However,
intervention studies in humans do not support the use of C12-carotene supplements
for reducing the risk of cancer.
88¨C90
In fact, in habitual heavy smokers C12-
carotene supplement increased lung cancer risk.
91
In the intervention studies
relatively high amounts of C12-carotene were used. Because carotenoids can also
exert pro-oxidant activity in biological systems, it is not clear whether lower
amounts, as suggested by epidemiological studies, might be effective. An anti-
cancer effect has not been found for vitamin A, which is synthesised from C12-
carotene. However, pre-cancerous lesions may be reduced by retinoids.
90
Lycopene may have more promise than C12-carotene. Intake of lycopene is
largely from tomatoes. It is absorbed and found in several tissues. Lycopene has
246 Functional foods
potent antioxidant properties, particularly in quenching singlet oxygen. Intact
lycopene is regenerated by a series of rotational and vibrational interactions with
surrounding molecules. Many observational studies have shown that consump-
tion of tomatoes and tomato products and blood lycopene levels are inversely
related with the risk of numerous cancers, particularly with prostate, lung and
stomach cancer. Lycopene may account for this effect, but this has not yet been
proven.
92
C12-Carotene and lycopene are fat-soluble compounds and might be applied in
spreads. However, they colour spreads orange or red, which limits their
application. This should not be a drawback. Encapsulation of C12-carotene and
lycopene into liposomes may reduce colouring. Red palm oil is rich in
carotenoids and can be used for the production of spreads in countries where
vitamin A is a health problem.
10.7.5 Polyphenols
It is suggested that polyphenols may contribute to the lower incidence of CHD in
the Mediterranean area. Polyphenols are non-nutrient antioxidants which are
present in (extra) virgin olive oil (up to 0.08%), but not in refined olive oil, and
give a bitter and pungent taste to the oil. Polyphenols from virgin olive oil
inhibited the oxidation of LDL particles ex vivo.
93, 94
However, their
effectiveness as an antioxidant in the body remains to be established.
10.7.6 Ubiquinol/ubiquinone (coenzyme Q)
Ubiquinol is a fat-soluble antioxidant synthesised by the body. The ability to
synthesise ubiquinol decreases with age. Dietary intake of ubiquinone is about 2
mg/day. Dietary supplements of ubiquinone are on the market as an antioxidant
and its use as an antioxidant in fat containing (food) products has been
patented.
95
Its structure is very similar to that of vitamin K. It is present in cell
membranes where it complements the antioxidant activity of vitamin E and in
mitochondria where it has a role in oxidative phosphorylation. It is already used
to treat various cardiovascular disorders because it improves mitochondrial
function.
96
Like vitamin E it is also present in LDL particles (but in much lower
levels than vitamin E) and may contribute to the resistance of LDL particles to
oxidation.
97
Approximately half of the ubiquinol in plasma is present in LDL
particles and an increase in intake (100 mg/day) increases ubiquinol in LDL
particles.
10.8 Low (zero) fat spreads
10.8.1 Use of low fat spreads in obesity
A few lipid-based fat substitutes have been developed
49
which can be applied
in low (zero) fat spreads. Low fat spreads can help in reducing fat and energy
Functional fats and spreads 247
intake in obese people. World-wide, 7% of the adult population may be
obese.
98
In Western countries like the USA obesity among youth already
ranges from 11% to 24%.
99
Obesity is a risk factor of diabetes,
100
cardiovascular diseases,
101
and cancer, in particular of breast and colon
cancer.
102
Obesity is a main cause of hypertension which is a risk factor of
nephropathy and retinopathy in diabetes. It is also a risk factor of stroke.
Decreasing and prevention of obesity has become a major public health target.
A varied diet, restricted energy intake and modest exercise, the so-called
healthy lifestyle, can help in the maintenance of appropriate body weight (for
height). Epidemiological data consistently support the role of dietary fat in
obesity.
103
Reduced and low fat spreads help consumers in making their
choice of food products for restricted dietary fat intake. In the USA health
claims on low (saturated) fat content is authorised. Low fat spreads might lead
to a decrease in vitamin E intake.
104
Therefore, low fat spreads must be
enriched in vitamin E.
10.8.2 Coagel
A zero fat spread (less than 4% fat) has been on the American market since
1997. The spread is based on a coagel phase consisting of a network of saturated
monoglyceride crystals. The crystalline coagel state has a fat-like consistency
and can consist of 95% water.
105
10.8.3 Sucrose polyester
Low fat spreads can also be made by using sucrose polyester (SPE) which is a
fatty acyl ester of sucrose with six to eight fatty acid moieties. SPE has fat-like
properties (physical and organoleptic), can also be used for frying, is not
hydrolysed in the gastrointestinal tract by lipases due to steric hindrance, and is
completely excreted in the faeces.
49, 106
It can help in reducing fat and energy
intake, but the effect on body weight is equivocal.
107, 108
It is already on the
market as a non-energetic fat substitute and present in a number of low fat
snacks, but use in other foods like spreads is not allowed by the Food and Drug
Administration (USA). A number of studies with SPE-containing spreads have
been published. At high intakes (30 g SPE/day) SPE-containing spreads
decreased plasma total cholesterol and triacylglycerol.
109
SPE evokes a persistent lipophilic phase in the intestine by which the
absorption of lipophilic substances such as cholesterol is decreased.
110
This is
also the reason that SPE decreases plasma vitamin E and C12-carotene.
111
The
plasma concentrations of vitamin D and K, which are also fat-soluble vitamins,
are not affected by SPE. Another problem of SPE is anal leakage (oil loss via the
anus). This may be prevented by increasing the number of saturated fatty acids
in the polyester molecule.
248 Functional foods
10.8.4 Other lipid-based fat substitutes
Other carbohydrate polyesters are those of sorbitol, trehalose, raffinose and
stachyose and alkyl glycoside polyesters like methyl glucoside polyester.
49
They
are also non-digestible but, compared to SPE, they are in an early stage of
development and therefore not discussed here.
10.9 Inulin
Inulin, which is a dietary fibre of low viscosity and present in the habitual
diet, has been investigated as a potential functional ingredient for a number of
years.
112
It is marketed as a fat replacer and used as such successfully in
spreads and dressings. Inulin is a fructan with 2¨C60 fructose units linked via a
C12(1¨C2) bond, is partly soluble in water (10% at 20oC) and has a sweetening
power of 15% of that of sucrose. It is not digested, but is almost quantitatively
and exclusively fermented by colonic bifidobacteria yielding short chain fatty
acids which are taken up as a result of which the metabolisable energy content
of inulin is approximately 6.3 kJ/g. In addition, inulin may decrease lipid
apparent digestibility by 1¨C2%.
113
Due to the fermentation of inulin the pH in
the large intestine decreases by which growth of pathogens is inhibited.
Furthermore, the microbial biomass increases by which the concentration of
carcinogenic compounds (such as deoxycholic acid) in the large intestine can
be decreased. These possible beneficial effects are accompanied by
discomfort from flatulence and increased motility of the colon. Inulin at high
intakes (20 g/day) might also decrease plasma triglycerides and cholesterol
and might improve glucose tolerance in diabetics. However, these results are
conflicting.
114
Furthermore, by lowering fat intake inulin-containing spreads
may also lower risk of colorectal cancer.
115
In summary, inulin may be used
in the maintenance of gastrointestinal health, but due to lack of an increase in
viscosity of intestinal contents it may have no or only small effects on plasma
lipids and glucose.
When mixed with water inulin gives an opaque gel consisting of a mixture of
a network of small inulin crystallites. Such a gel has a fatty spread-like
consistency as a result of which inulin can replace fat in reduced fat (medium
fat) or in low fat (< 4% fat) spreads. By using other ingredients the melting
behaviour and the mouth feel of inulin-based spreads can be varied.
10.10 Calcium
Adequately high life-long intake of calcium can reduce risk of osteoporosis at
old age and therefore calcium is considered to be a functional ingredient.
116
In
the elderly, calcium supplementation (in combination with vitamin D) may
reduce bone loss and fracture incidence.
117
Both in elderly and hypertensives,
increased consumption of calcium may lower blood pressure. Recently, a
Functional fats and spreads 249
number of calcium supplemented foods, including spreads, came on the market.
A spread enriched in vitamin D and calcium is on the market in the Netherlands
with the following content claim: ¡®intake of 25 g spread daily supplies 15% of
the RDA of calcium¡¯.
10.11 Conclusions
In addition to the existing role as a vehicle of vitamins, spreads (and fats) offer
excellent opportunities for the incorporation of functional ingredients. In fact,
they are already used as such. Both fat-soluble and water-soluble functional
ingredients can be applied in spreads, which is, for some ingredients, a real
technological challenge. Although many positive effects of the applicable
functional ingredients have been described, most of the beneficial effects are
awaiting proof.
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52 BACH, A.C., INGENBLEEK, Y. and FREU, A. ¡®The usefulness of dietary
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53 DIETSCHY, J.M. ¡®Dietary fatty acids and the regulation of plasma low density
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54 BELL, S.J., BRADLEY, D., FORSE, R.A. and BISTRIAN, B.R. ¡®The new dietary fats
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56 MEDINA, A.R., GRIMA, E.M., GIMENEZ, A.G. and GONZALEZ, M.J.I. ¡®Downstream
Functional fats and spreads 253
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517¨C80.
57 HEINZELMANN, K. and FRANKE, K. ¡®Using freezing and drying techniques of
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58 GIBBS, B.F., KERMASHA, S., ALLI, I. and MULLIGAN, C.N. ¡®Encapsulation in the
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59 POLLAK, O.J. ¡®Reduction of blood cholesterol in man¡¯, Circulation, 1953, 7,
702¨C6.
60 KOCHHAR, S.P. ¡®Influence of processing on sterols of edible vegetable oils¡¯,
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61 DE DECKERE, E.A.M. and KORVER, K. ¡®Minor constituents of rice bran oil as
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62 WESTSTRATE. J.A. and MEIJER, G.W. ¡®Plant sterol-enriched margarines and
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63 KEYS, A., ANDERSON, J.T. and GRANDE, F. ¡®¡®¡®Essential¡¯¡¯ fatty acids, degree of
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64 HOWELL, T.J., MACDOUGALL, D.E. and JONES, P.J. ¡®Phytosterols partially
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65 MATTSON, F.H., VOLPENHEIM, F.A. and ERICKSON, B.A. ¡®Effect of plant sterol
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66 MATTSON, F.H., GRUNDY, S.M. and CROUSE, J.R. ¡®Optimizing the effect of
plant sterols on cholesterol absorption in man¡¯, Am J Clin Nutr, 1982, 35,
697¨C700.
67 HENDRIKS, H.F., WESTSTRATE, J.A. and MEIJER, G.W. ¡®Spreads enriched with
three different levels of vegetable oil sterols and the degree of cholesterol
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subjects¡¯, Eur J Clin Nutr, 1999, 53, 319¨C27.
68 SIERKSMA, A., WESTSTRATE, J.A. and MEIJER, G.W. ¡®Spreads enriched with
plant sterols, either esterified 4,4-dimethylsterols or free 4-desmethylster-
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1999, 82, 273¨C82.
69 MIETTINEN, T., VANHANEN, H. and WESTER, I. ¡®A substance for lowering high
cholesterol level in serum and a method for preparing the same¡¯, Patent
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70 MIETTINEN, T.A., PUSKA, P., GYLLING, H., VANHANEN, H. and VARTIAINEN, E.
¡®Reduction of serum cholesterol with sitostanol-ester margarine in a mildly
hypercholesterolemic population¡¯, N Eng J Med, 1995, 333, 1308¨C12.
71 WAALKENS-BERENDSEN, D.H., WOLTERBEEK, A.P., WIJNANDS, M.V., RICHOLD,
M. and HEPBURN, P.A. ¡®Safety evaluation of phytosterol esters. Part 3. Two-
generation reproduction study in rats with phytosterol esters ¨C a novel
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functional food¡¯, Food Chem Toxicol, 1999, 37, 683¨C96.
72 WHITTAKER, M.H., FRANKOS, V.H., WOLTERBEEK, A.P. and WAALKENS-
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73 DIPLOCK, A.T., CHARLEUX, J.L., CROZIER-WILLI, G., KOK, F.J., RICE-EVANS, C.,
ROBERFROID, M., STAHL, W. and VIN
?
A-RIBET, J. ¡®Functional food science and
defence against reactive oxidative species¡¯, Br J Nutr, 1998, 80, (supp. 1),
S77¨CS112.
74 CHAN, A.C. ¡®Vitamin E and atherosclerosis¡¯, J Nutr, 1998, 128, 1593¨C6.
75 ABBEY, M. ¡®The importance of vitamin E in reducing cardiovascular risk¡¯,
Nutr Rev, 1995, 53 (supp.), S28¨CS32.
76 STAMPFER, M.J. and RIMM, E.B. ¡®Epidemiologic evidence for vitamin E in
prevention of cardiovascular disease¡¯, Am J Clin Nutr, 1995, 62 (supp.),
1365S¨C9S.
77 KUSHI, L.H., FROST, C., COLLINS, R., APPLEBY, P. and PETO, R. ¡®Dietary
antioxidant vitamins and death from coronary heart disease in postmeno-
pausal women¡¯, N Engl J Med, 1996, 334,1156¨C62.
78 KUSHI, L.H. ¡®Vitamin E and heart disease: a case study¡¯, Am J Clin Nutr,
1999, 69, 1322S¨C9S.
79 TRIBBLE, D.L. ¡®AHA Science Advisory. Antioxidant consumption and risk
of coronary heart disease: emphasis on vitamin C, vitamin E, and beta-
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80 PALLAST, E.G., SCHOUTEN, E.G., DE WAART, F.G., FONK, H.C., DOEKES, G., VON
BLOMBERG, B.M. and KOK, F.J. ¡®Effect of 50- and 100-mg vitamin E
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81 VAN HET HOF, K.H., TIJBURG, L.B., DE BOER, H.S., WISEMAN, S.A. and
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status¡¯, Eur J Clin Nutr, 1998, 52, 292¨C9.
82 QURESHI, N. and QURESHI, A.A. ¡®Tocotrienols: novel hypocholesterolemic
agents with antioxidant properties¡¯, In L. Packer and J. Fuchs (eds), pp.
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83 MENSINK, R.P., VAN HOUWELINGEN, A.C., KROMHOUT, D. and HORNSTRA, G.
¡®A vitamin E concentrate rich in tocotrienols had no effect on serum lipids,
lipoproteins, or platelet function in men with mildly elevated serum lipid
concentrations¡¯, Am J Clin Nutr, 1999, 69, 213¨C19.
84 KOHLMEIER, L. and HASTINGS, S.B. ¡®Epidemiologic evidence of a role of
carotenoids in cardiovascular disease prevention¡¯, Am J Clin Nutr, 1995, 62
(supp.), 1370S¨C6S.
85 OLSSON, A.G. and YUAN, X.M. ¡®Antioxidants in the prevention of
atherosclerosis¡¯, Curr Opin Lipidol, 1996, 7, 374¨C80.
86 REXRODE, K.M. and MANSON, J.E. ¡®Antioxidants and coronary heart disease:
observational studies¡¯, J Cardiovasc Risk, 1996, 3, 363¨C7.
Functional fats and spreads 255
87 VAN POPPEL, G. and GOLDBOHM, R.A. ¡®Epidemiologic evidence for beta-
carotene and cancer prevention¡¯, Am J Clin Nutr, 1995, 62 (supp.), 1393S¨C
1402S.
88 HENNEKENS, C.H., BURING, J.E., MANSON, J.E. et al. ¡®Lack of effect of long-
term supplementation with beta carotene on the incidence of malignant
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89 OMENN, G.S., GOODMAN, G.E., THORNQUIST, M.D. et al. ¡®Effects of a
combination of beta carotene and vitamin A on lung cancer and
cardiovascular disease¡¯, N Engl J Med, 1996, 334, 1150¨C5.
90 YOUNG, K.J. and LEE, P.N. ¡®Intervention studies on cancer¡¯, Eur J Cancer
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91 ALBANES, D., HEINONEN, O.P., TAYLOR, P.R. et al. ¡®Alpha-tocopherol and
beta-carotene supplements and lung cancer incidence in the alpha-
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92 GIOVANNUCCI, E. ¡®Tomatoes, tomato-based products, lycopene, and cancer:
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93 WISEMAN, S.A., MATHOT, J.N., DE FOUW, N.J. and TIJBURG, L.B. ¡®Dietary non-
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95 BRACCO, U., LO
¨
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1998, 33, 1055¨C9.
256 Functional foods
103 RAVUSSIN, E. and TATARANNI, P.A. ¡®Dietary fat and human obesity¡¯, JAm
Diet Assoc, 1997, 97 (supp.), S42¨C6.
104 ADAM, O., LEMMEN, C., KLESS, T., ADAM, P., DENZLINGER, C. and HAILER, S.
¡®Low fat diet decreases alpha-tocopherol levels, and stimulates LDL
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65¨C71.
105 HEERTJE, I., ROIJERS, E.C. and HENDRICKX, H.A.C.M. ¡®Liquid crystalline
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387¨C96.
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dietary fat¡¯, J Chem Educ, 1991, 68, 476¨C9.
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noncaloric fat substitute, on daily energy and fat intakes in lean men¡¯, Am J
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108 DE GRAAF, C., HULSHOF, T., WESTSTRATE, J.A. and HAUTVAST, J.G.
¡®Nonabsorbable fat (sucrose polyester) and the regulation of energy intake
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sucrose polyester on plasma lipoproteins, and cholesterol metabolism in
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44, 620¨C9.
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replacement of dietary fat by olestra on dietary cholesterol absorption in
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591¨C7.
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1998, 18, 117¨C43.
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BEAUFRERE, B., DE BAYNAST, R. and VERMOREL, M. ¡®Net energy value of
non-starch polysaccharide isolates (sugarbeet fibre and commercial inulin)
and their impact on nutrient digestive utilization in healthy human
subjects¡¯, Br J Nutr, 1998, 80, 343¨C52.
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1999, 129, 1471S¨C3S.
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1995, 35, 175¨C90.
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phosphorus¡¯, Proc Nutr Soc, 1999, 58, 477¨C87.
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calcium and vitamin D supplementation on bone density in men and
women 65 years of age or older¡¯, N Engl J Med, 1997, 337, 670¨C6.
Functional fats and spreads 257
11.1 Introduction
Since the age of the Pharaohs and before, functional confectionery has been
benefiting humankind. It is a time-served remedy for many of the minor ills that
befall us. History casts sweet confections in a highly complimentary light, and in
this context sweet sugar as a health-giving spice.
The absolute origins of both confectionery itself and its functional utilisation
are lost in the mists of time. But the historical record and hieroglyphic evidence
certainly date it from the time of the Ancient Egyptians.
1
Imagine a sweet
confection for curing intestinal worms ¨C by 3400 BC our forebears had
formulated such a remedy, as testified by a manuscript in a tomb at Thebes.
What were the active ingredients? Fenugreek seeds and other herbs, all bound
together with honey. Another delight for the Ancient Egyptian palate were
breath-freshening lozenges ¨C date flour and honey, tastefully holding together
copious quantities of active ingredients such as herbs and incense. These have
more than an echo at the present time in widely available confectionery
products.
Sugar (sucrose) has long been thought of as a curative in its own right, its
health-giving and enhancing properties being handed down through several
early cultures. This view of sugar entered Europe from the eighth century
onwards through Arabic colonisation of Spain. Sugar, derived at that time from
sugar cane grown in the Mediterranean basin, was looked on as a spice with
health-giving properties. It reached Europe around AD 1100, but at that time it
was affordable only by the very rich. Pharmacopoeias from around this date
based on Islamic knowledge mention many other properties of sucrose which
make it useful in confectionery-like medicinal preparations.
2
It was known even
11
Functional confectionery
E.F. Pickford and N.J. Jardine, Nestle¡ä Product Technology Centre,
York
at that time that sucrose can act as a preservative, a solvent, to give body, a
stabiliser, mask unpleasant flavours, as a binder for tablets, excipient, coating
agent, diluent, sweetener, oil-sugar base and as a cough lozenge base.
Over the succeeding centuries, this knowledge was applied and expanded in
Europe by confectioners and apothecaries. The latter play an important part in
this story because they influenced the development of a number of modern
confectioneries, sugar-coated pills and lozenges, for example. However, the
actual origins of both these are ancient: lozenges can be traced to ancient Egypt
and pills to Roman times.
From a historical perspective, the current interest in functional foods can be
viewed as rekindling an interest that humans have had in the specific properties
of what they eat. Many ingredients of the diet have traditionally been endowed
with health-promoting properties, in particular spices and herbs. Modern
nutrition has a radically different perspective, with its emphasis on macro- and
micronutrients. This has obscured the fact that foods may contain other
constituents of value to our health and well-being. However, there has been an
increasing interest in the physiological properties of phytochemicals and this is
now a thriving area of research.
3
In previous ages, new foods were of interest for their health-giving potential.
An example of this is the many new foods brought from the New World in the
sixteenth century, cocoa being one of those foods. Various medical properties
were soon ascribed to cocoa, admittedly not well justified according to our
present-day standards. It even had a reputation as an aphrodisiac which lingers
to this day. Cocoa has, however, never entirely lost its health-giving image. At
the present time it is of interest for its content of phytochemicals, being rich in
polyphenolic antioxidants which has prompted the launch in Japan of chocolate
rich in polyphenols.
11.1.1 The aims and scope of this chapter
This chapter will examine the current status of functional confectionery and will
outline some of the steps in its development. It will give an overview of
confectionery techniques and how they can be applied to functional
confectionery, and also some of the problems that have to be faced in
manufacture. Marketing is also a crucial issue which will be addressed in
general terms.
It is important at the outset to define what is meant by confectionery. For the
purposes of this chapter we will include sugar confectionery, chocolate
confectionery, countlines (confectionery bars whether chocolate covered or
not) and chewing gum. We will exclude flour confections like biscuits and cakes
which are in a different market sector. In this text, candy will be used as a term
for sugar confectionery excluding chewing gum. The analogous British term is
¡®sweets¡¯ but this term can be misunderstood.
¡®Functional¡¯ as applied to confectionery will be defined fairly broadly to
mean confectionery with an added health benefit. Clearly there are already
260 Functional foods
well-known functional confectioneries on the market in the form of
medicated candy. These products contain specific curative ingredients.
There are also products occupying small niches in the market containing
active ingredients aimed at specific consumers, for example sportspeople.
However, there have also been considerable developments recently in other,
more mass market areas such as low calorie, low fat and sugar free. These
products are all designed to provide benefits to distinguish them from
standard products, even if specific health claims are not made. A reasonably
broad definition of functional confectionery will permit an interesting
overview of how the market is developing in the early years of this
millennium.
11.2 Types of functional confectionery
Functional confectionery can be defined as ¡®a confectionery item that has
undergone the addition, removal or replacement of standard confectionery
ingredients with an ingredient that fulfils a specific physiological function or
offers a potential health benefit¡¯.
The market for functional confectionery is still in its infancy with only a few
well-developed sectors. The earliest types of modern functional candies were
throat soothers and breath fresheners. These were followed onto the market by
candies designed to cure a variety of ills such as travel sickness and hangovers or
improve oral health, or confectioneries to assist weight control as well as
fortified products. At the present time there are many products being launched
whose aims vary from meal replacement (e.g. breakfast bars), performance
enhancement whether mental or physical through to a variety of health
protective actions (see Table 11.1).
11.3 The current market in functional confectionery
Apart from a few of the older established products, these products are at the
stage of fighting for establishment on the market. There are consequently few
quantified data available to market analysts, and information tends to be
fragmentary. The following survey, largely using data compiled by the
Leatherhead Food Research Association,
4
can only give a very partial snapshot
of developments in some of the most visible markets.
11.3.1 Country-by-country survey of functional confectionery
Table 11.2 displays the key varieties of functional confectionery and their
market value in different countries.
Functional confectionery 261
Table 11.1 Categories of functional ingredients and their proposed physiological properties
Ingredient Proposed physiological properties
Vitamins and minerals Various: required by the body in small amounts to
perform essential functions and are thought to contribute
to prevention of certain conditions, e.g. calcium
fortification for osteoporosis, zinc and vitamin C to
relieve cold symptoms and the addition of antioxidants
for defence against free radicals
Fibre (soluble and insoluble) Soluble: delay gastric emptying, decrease serum
cholesterol levels and control the rate at which glucose
is released into the blood.
Insoluble: increase faecal transit time and weight to
relieve constipation and delay glucose absorption.
Plant extracts, e.g. Various:
Ginseng Relieve fatigue and stress
Guarana Increase alertness
Gingko biloba Increase blood flow to the brain and proposed to aid
mental functioning
Prebiotics Non-digestible oligosaccharides that ¡®feed¡¯ our gut flora
and improve our immune system and relieve
constipation
Probiotics Strengthen the immune system
Phytochemicals Prevention of cancer, heart disease, maintenance of
good vision and healthy skin
Table 11.2 Main functional confectionery varieties by country and value, 1998
4
Country Chewing gum Sugar-free Other types* $(US)
(sugar free) sweets
$(US)m $(US)m
Australia 57 8 Medicated 64m
France 135 72 Fortified sweets 3.5m
Germany 392 298 Cough sweets 104m
Fortified sweets 56m
Herbal 38m
Italy 158 150
Japan 306 320
Scandinavia 284 165
Spain 138 26
United Kingdom 227 67 Low calorie chocolate 43m
Fortified sweets 10m
United States 856 160
Source: Pettit 1999.
* May overlap with chewing gum or sugar-free gum.
262 Functional foods
11.3.2 United States
This is the biggest single market for confectionery, even if annual per capita
consumption at 12.2 Kg/head is less than in some countries.
5
It is also one of the
most diverse markets.
The market for sugar-free candy is small in comparison to sugar-free chewing
gum, but it appears to be growing quite fast. It is quite competitive with many
different brands, and promotional activity is likely to assist future growth in this
sector.
The low calorie/low fat chocolate confectionery market has seen major
developments in recent years, with offerings from major manufacturers, for
example, M&M Mars¡¯ Milky Way Lite and Hershey¡¯s Sweet Escapes. Other
manufacturers have also introduced new products into this sector.
The confectionery market contains a wide variety of niche products.
Confectionery aimed at sports is an example: in recent years PowerBar, ¡®athletic
energy food¡¯, has become particularly widespread. Fruit chews containing creatine
are aimed at the same market: there is good evidence that creatine enhances
muscular performance. Exotic ingredients are also becoming more widely used,
for example, Balance+ bars which contain ginseng and Gingko biloba.
Another recent development is the introduction of fortified products in a
confectionery format aimed at children, for example gummi bears with vitamins,
zinc-enriched lollipops to relieve cold symptoms, and candies containing
phytochemicals.
The market for chewing gum in the USA is now very mature. Per capita
consumption is around 80% higher than in European countries like UK and
Germany. Sugar-free gum accounts for around 38% of the total gum market.
This level of penetration is much less than in most European countries.
Nevertheless, sugar-free gum accounts for 73% of the total sugar-free
confectionery market.
A variety of gums of a more overtly functional nature have been launched in
the USA, including dentally protective and fortified gums. A gum containing
zinc, menthol and other ingredients has been marketed with the promise that it
reduces the symptoms of the common cold. Also to be found is a gum that
claims to aid learning, memory and concentration. It contains phosphatidyl
serine, and another containing caffeine to increase alertness.
The future development of the functional market in the USA will depend on
the regulatory environment. Since 1990, health claims on products have been
allowed, but so far only nine types of claim have been authorised by the FDA,
6
and these model claims have the disincentive of being too laborious for good
communication to consumers. It is possible that functional foods could be
marketed under 1994 legislation covering dietary supplements, having a
potential advantage that claims could focus on ¡®wellness¡¯ rather than having
to focus on links to disease as in the health claims legislation. However, there is
a good deal of uncertainty as to how the legislation will be applied in practice.
7
Restrictions and uncertainty in the regulatory environment will impede the
development of functional foods including confectionery.
Functional confectionery 263
11.3.3 Germany
Confectionery consumption in Germany is high at 15 kg per capita. It is a mature
market with low volume growth.
Sugar-free confectionery has achieved 25% penetration of the sugar con-
fectionery market. Of this, 54% is cough sweets, 41% is mints and 5% is fruit/
refreshing sweets. On the other hand, low calorie chocolate products represent
only a very small market. Sugar-free chocolate is aimed at the diabetic market
(about 500 tonnes/annum), but are not generally reduced in fat or calories.
The market for fortified confectionery is the largest in Europe, and accounts
for over 7% of sugar confectionery sales. Most of these products are sugar free.
Addition of antioxidant vitamins is popular. Various ¡®energy¡¯ brands have been
launched or relaunched recently. None of these products make health claims but
many German consumers are well informed about the potential benefits of
healthy ingredients.
Herbal candies are also a growing market, currently claiming 5% of the sugar
confectionery market.
Sugar-free chewing gum accounts for 71% of market value of chewing gum.
Almost half sugar-free gum is sold on a dental-care platform. Some gums now
also have added nutrients.
The regulatory framework for functional confectionery in Germany is
governed by EU legislation. Under this legislation, medicinal claims or even
implied claims that a product can prevent, treat or cure a medical condition are
prohibited unless the product holds a medical licence. Nutritional claims can be
made but require statutory nutritional labelling. Health claims on the other hand
are highly restricted under this legislation. It is also worth pointing out in
passing that because EU legislation has to be absorbed into national legislation
with often very different traditions, this can lead to differences in detail of how
the directives are enacted.
11.3.4 Japan
Japan is a country with a low confectionery consumption ¨C 3.5 kg/capita in 1997.
It is, however, a dynamically changing market in comparison to most of the
others mentioned in this brief survey, with some very active product
development. Functional foods have been part of the Japanese food scene for
nearly two decades, so it should not be surprising that similar thinking should
influence confectionery. The Japanese have a more positive attitude to
connections between food and health than do many Western cultures. The
FOSHU (food for specific health use) framework was established by the
government to control health claims on food. Its success is an indication of the
Japanese consumers¡¯ interest in food products that have naturally occurring
ingredients which may promote health.
Sugar-free candies have been launched by most major manufacturers in
Japan, and these account for around 15% of the sugar confectionery market.
Many recent launches have used xylitol as the sweetener.
264 Functional foods
Chewing gum has low penetration in Japanese markets, but within this
limited market there has been high growth in sugar-free gum, which has been
fuelled by the approval of xylitol in Japan.
A number of interesting products have been launched in the chocolate sector.
Sugar-free chocolate ¨C Zero Sugarless ¨C was developed, using a technology that
also removed the lactose from milk. It is 20% lower in calories than
conventional milk chocolate. Lactitol is the sugar substitute. Tooth Friendly
chocolate has also been launched, using trehalose as the sugar replacer.
Chocolate claimed to be rich in polyphenols is also available. There is much
current interest in polyphenols as compounds found widely in plants which may
be important in the health-protective qualities of plant foods. Much research has
been done in Japan on the biological properties of such compounds found in tea.
Similar compounds are found in cocoa, and quite a lot is already known about
the major polyphenol (epicatechin) in cocoa as it is widespread in the plant
kingdom.
8
Different again is Chocolite, which is calorie reduced containing
royal jelly, collagen and vitamins B and C.
The above gives an indication of the breadth of the functional chocolate
market in Japan. The sugar confectionery sector is, if anything, even more
innovative. There is a large variety of fortified products on the market, and
various products containing novel ingredients. Recent examples include sugar-
coated wine gums with collagen and vitamin C, and candies promoted for their
antioxidant properties which contain green tea extracts. However, many
products are launched in the Japanese confectionery market but disappear
equally quickly if success is not forthcoming.
11.3.5 Scandinavia
Total confectionery consumption in Sweden, Denmark, Norway and Finland
averages 12 kg per head.
Sugar-free sweets are popular in this region, achieving 45% of the market in
Sweden, for example. Fortified confectionery is so far quite rare, and there are few
functional chocolate brands, one of the few being the Lo bar low calorie countline.
In Scandinavia, sugar-free chewing gum has achieved great success, claiming
84¨C98% of total chewing gum sales, depending on the country. This is due to the
development of xylitol by the Finnish manufacturer Xyrofin. The dental
profession endorsed the non-cariogenic status of this sweetener, and the public
clearly followed this lead. A number of products are directly targeted at the
dental aspect. A number of other functional chewing gum products exist to
combat allergies, suppress appetite or protect against colds and influenza.
11.3.6 United Kingdom
The UK is one of the big markets for confectionery with per capita consumption
at an annual 15 kg. In volume terms, chocolate confectionery claims the major
share at 65%.
Functional confectionery 265
As elsewhere, there have been major developments in the sugar-free market.
Sales of sugar-free chewing gum doubled between 1993 and 1998, and now
account for 73% of the market. Some is sold on an overtly dental health basis.
Others are marketed as clearing nasal congestion. Despite rapid growth in
sugar-free candy, it still accounts for only 2.7% of the value of the sugar
confectionery market. Much of the activity was in the mint market, where
sugar-free mints tripled in value between 1993 and 1998 with a variety of new
introductions stimulated by the introduction of a sugar-free version of Nestle¡ä¡¯s
Polo mints.
Vitamin- and mineral-enriched sugar confectionery products are beginning to
appear in the UK market. This is especially the case in the medicated sector.
There are many medicated confectionery products, and the line between such
confectionery and over-the-counter medication is blurred. Many medicated
brands are also sugar free.
The chocolate market has seen some interesting developments in recent
years. Traditionally the main target for modified chocolate has been diabetic
chocolate where the sucrose has been substituted by alternative sweeteners,
commonly sorbitol or fructose. This has now fallen out of favour following
changes in views of how diabetes should be treated dietetically. On the other
hand, there have been a number of introductions of low calorie/fat reduced
products, mostly countlines. These products aim to provide indulgence while
having less calories and fat than standard products. This market is at an early
stage of development, however, as they accounted for less than 2% by value of
the chocolate sector in 1998, but the growth has been considerable as it was only
0.2% in 1992.
Sports confectionery is another small niche in the UK market, with a variety
of products sold in specialist outlets. Most sports products aim to give a boost to
energy or performance.
The regulatory environment in the UK is, as outlined for Germany, governed
by EU directives. It is worth noting, however, that such directives are often
enacted so as to bring local food legislation into line with the EU framework. It
is not surprising therefore if interpretations of directives differ in points of detail
from country to country. This can also permit local initiatives to take place, and
a pertinent example is the UK¡¯s Joint Health Claims Initiative.
9
This has taken a
unique approach in bringing together law enforcement officers, the food industry
and consumer groups who have agreed a code of practice on health claims on
food. Following this success, an administration body will be set up to oversee
implementation of the code, including the adjudication of which health claims
are allowable. If successful, the initiative should clarify development and
marketing issues for manufacturers of functional foods, while protecting the
consumer from unwarranted claims. Success may also stimulate a wider
adoption of such an approach, as the issues being faced are relevant to many
other countries.
266 Functional foods
11.3.7 Italy
Less confectionery is consumed in southern Europe, and this is exemplified by
Italy where per capita consumption is less than 5 kg. There is some growth in the
market, in chocolate confectionery. This, however, masks developments in the
sugar confectionery sector with an increasing share going to sugar-free sweets,
growing from 20% in 1993 to 25% in 1998, the sector as a whole growing by
36% in that time, although growth now seems to have plateaued. Fortified
confectionery accounts for about 1% of the sugar confectionery market, most of
this being sugar free.
As elsewhere in Europe, the chewing gum market is showing a strong trend
towards sugar free, although penetration is behind some other markets at 53% in
1998 (40% in 1993).
There appears to be no market for functional chocolate confectionery.
11.3.8 France
The total confectionery market in France is again relatively small at 6 kg per
capita. Chewing gum holds 12% of market by value, with sugar-free gum
achieving 57% penetration.
Sugar-free candy accounts for 14% by value of the sugar confectionery
market, mostly in the pocket confectionery sector. Indeed, sugar-free lines lead
in this sector (Ricola with herbal sweets, with Kiss Cool second).
Low calorie and sugar-free chocolate has been on the French market for some
years but has failed to make much growth ¨C sales now appear to be in decline.
Low calorie chocolate confectionery is confined to block chocolates, unlike in
other countries where countlines are the favoured vehicle for such concepts.
Vitaminised confectionery is mostly found in the bagged sugar confectionery
sector but it remains small at about 1% of sales. Herbal sweets appear to be more
established and more popular.
Choline has been used in a number of confectionery products, notably Carre¡ä
Me¡ämoire and Barres Me¡ämoire, on the premise that it aids concentration and
memory. Prebiotics and probiotics have also found their way into French
confectionery in the form of fructo-oligosaccharides (Barre Chocolat Orange)
and Lactobacillus acidophilus in NutraFruit fruit gums.
11.3.9 Spain
The Spanish confectionery market is small by European standards with a
consumption of 4.5 kg per capita. It also differs in that, in volume terms at least,
the sugar confectionery market is much greater than for chocolate.
The sugar-free market has been stimulated by the EU directive of 1996 which
regulates and authorises the use of intense sweeteners and sugar substitutes. New
products have been launched, and old ones relaunched with new formulations to
take advantage of better ingredients. Many sugar-free products have functional
aspirations, being either in the medicated or in the breath-freshener sectors.
Functional confectionery 267
Important brands in the former target cough sweets, while there are vitamin/
mineral fortified products as well as herb confectionery.
The chewing gum market is also quite small, but the sugar-free segment is
growing fast, accounting for 74% of the market in 1997. A number of chewing
gums have now been launched onto the market which are branded on a dental
care basis as well as others with ginseng or added vitamin C.
11.3.10 Australia
The total confectionery market in Australia is 10 kg per capita. Chewing gum
holds 7% of the market, with sugar-free gum achieving 67% penetration of the
gum market. Medicated confectionery holds 5% of the market while the fortified
confectionery market is small in comparison but growing. Sugar-free
confectionery is a small sector at about 2%, but is showing high growth at
82% per annum.
11.4 The development and manufacture of functional
confectionery products
The survey in the previous section gives a good indication of well-established
areas of functional confectionery, e.g. throat soothers, and also where some of
the leading edge developments are taking place. We have also indicated the
generally restrictive regulatory environment in many traditional countries. One
exception is Japan with its FOSHU framework.
The regulatory hurdle is but one that has to be faced in the development of a
functional confectionery product. It is, however, an important one to be
considered early in the development phase as it can determine whether the
product concept is potentially viable. The consumer attitude to a product concept
also needs to be researched at an early stage. Is the concept understood, and does
it fit well with delivery via a confectionery product? Another question is how the
functional ingredient can be incorporated into confectionery, and also how much
needs to be incorporated if a claim is to be made regarding efficacy. Even at this
early stage some thought needs to be given to retail aspects ¨C major retailers or
niche outlets ¨C and to how the product will be priced. Keeping qualities also
need to be defined. Confectionery is generally designed for a long shelf life
(compared to many foods), but this may not be the case when functional
ingredients are incorporated. Other aspects which must not be forgotten at the
concept-generation stage of product development are regulatory and safety
issues. The point is that a concept needs to be well thought through to define the
scope of practical development.
We will return to these questions in more detail later. In this section we
examine the practical aspects of functional confectionery development, starting
with a survey of the ingredients commonly used in confectionery.
268 Functional foods
11.4.1 Overview of ingredients in sugar, chocolate and baked confectionery
Sugars and sugar syrups
Sugars are carbohydrates and are used in confectionery to fulfil a variety of roles
including provision of sweetness, flavour, colour, bulk, texture and preservation.
The term ¡®sugar¡¯ is often used to describe the key confectionery ingredient,
sucrose. Different forms of sucrose can be produced which have different
confectionery applications such as granulated sugar, icing sugar, caster sugar
and brown sugar.
Syrups, such as glucose syrup (corn syrup) are produced through the
hydrolysis of starch. They offer specific functions such as preventing or
controlling crystallisation (graining) or act as humectants, as in the case of invert
syrup. Invert syrup is the product of the breakdown of sucrose into dextrose and
fructose. Invert sugar syrups contain nearly equal proportion of these two sugars.
Spray-dried glucose syrup, dextrose monohydrate, dextrose anhydrous and
maltodextrin are products derived from glucose syrup which have a wide range
of uses. The ultimate choice depends upon the desired function, for example, to
absorb fats and oils. Honey, another syrup, is essentially used for flavour
purposes in confectionery, as are treacle, molasses and golden syrup.
10
Fats and oils
A variety of edible fats and oils are used in confectionery products. For example,
milk fat, cocoa butter, and oils of palm kernel, groundnut, coconut and soya.
Many of these can undergo hydrogenation to produce fats of varying hardness.
Vegetable fats are used in great quantities for manufacture of caramels, fudges,
pralines, truffles, pastes, biscuits, biscuit fillings and as cocoa butter equivalents
in chocolate.
Milk and milk products
Milk fat, butter and butter fat are used commonly in products such as caramels,
pralines, toffee and fudge to provide colour, flavour and texture. Condensed
milk and whey are an alternative means of introducing milk solids into
confectionery. Dried milk powders will often be used as substitutes for
sweetened condensed milks. Whole milk can be incorporated into milk
chocolate via the crumb method of chocolate manufacture.
Gelling agents, whipping agents, gums and glazes
Starch from wheat, tapioca, potato and maize is used in sugar confectionery as a
basic gelling ingredient along with gelatin, pectins and agar agar. Whipping
agents help to hold air in a product. This is an essential feature of marshmallows,
some chocolate centres and frappe¡äs. The common whipping agents are egg
albumen, gelatine, casein and soya protein. Gums, often used as extenders for
pectin and agar agar, include locust bean gum (carob gum) and guar gum. They
are useful in starch gels to prevent cracking and shrinking. Common glazes,
particularly for panned sweets or drage¡äes, are shellac, beeswax and carnuba wax.
Functional confectionery 269
Miscellaneous ingredients
Nuts, such as almonds, brazil, cashew, hazelnuts, coconut, peanut or walnuts,
along with dried fruits, such as cherries, dates, sultanas, currants and raisins, all
add colour, flavour and textural interest to confectionery. For many years, fruit
juices, pure¡äes and pulps have been used to confer flavour, colour and ¡®natural
fruit¡¯ into confectionery. They can also be used for centre fillings, high boiled
sweets and fondant cremes or to enhance sales appeal in products. Flavourings
for confectionery encompass a multitude of ingredients. These include essential
oils and essences, such as vanillin, and wide ranges of natural, nature identical
and synthetic flavours. Colours are available in both a synthetic and purely
natural form. Common acids for confectionery products are citric, tartaric,
malic, acetic, benzoic and sorbic. Some act as preservatives as well as having
acidulant properties, while others are used solely to lift or complement any fruit
flavours that are present.
10
11.4.2 Chocolate recipes
Dark chocolate commonly consists of sugar, cocoa solids, cocoa butter, anti-
blooming agents, lecithin (or other emulsifiers) and flavours. Milk chocolate is
composed of sugar, milk solids, milk fat, cocoa solids, cocoa butter, lecithin
(emulsifiers) and flavours. ¡®White¡¯ chocolate uses all of the conventional
ingredients of chocolate except for non-fat cocoa solids. Compound coatings are
used as economical replacements for chocolate, with cocoa butter being
completely or partially substituted by less expensive hard fats of other origin.
Regional variation in ingredients, such as the milk flavour, cocoa bean
roasting, cocoa blending and manufacturers¡¯ variation in recipes and processes,
give rise to many different flavours and textures of the finished chocolate.
Recipes can also be manipulated to produce types of chocolate-like products
with individual tastes, for example the Nestle¡ä product ¡®Caramac¡¯.
11
Recently low calorie and sugar-free ¡®chocolates¡¯ have been produced by
replacing the sugar with combinations of appropriate sugar alcohols and bulking
agents. Successful fat replacement in other types of food products has involved
increasing the water content of the product. However, the scope for doing this in
confectionery is limited as in these products the moisture content must be
strictly controlled and small changes, especially in chocolate, can affect the
organoleptic properties and shelf life significantly. Fat substitution can be
equally problematic. For example, cocoa butter has very specific properties that
are difficult to replace. Such fat replacers for chocolate often present processing
difficulties or they may not mimic the sensory characteristics of chocolate. The
development of partially digested fats and low calorie fats has been a fast-
developing field. Some might prove to have a useful role in chocolate products,
but as yet they are not approved for use in confectionery.
The Japanese company Meiji, launched ¡®Chocolate Kouka¡¯,a¡®high in
polyphenol¡¯ chocolate, positioned as a chocolate with additional health benefits
attributed to the natural antioxidant activity of cocoa phytochemicals. Not only
270 Functional foods
can chocolate act as a carrier for functional ingredients but it might itself already
possess an inherent health benefit.
8
11.4.3 Sugar confectionery techniques and their application in functional
confectionery development
Sugar confectionery is an ideal vehicle for certain functional ingredients. It is
portable, convenient and many functional concepts are technically feasible.
High boilings
Boiled sweets consist of mixtures of sucrose and glucose syrup which are cooked
to such a high temperature that the mass has the following characteristics:
? Non-crystalline, clear and glassy in appearance.
? Moisture content is 1¨C3% with an equilibrium relative humidity (ERH) below
30%.
? During cooking, some of the sucrose is ¡®inverted¡¯, that is, hydrolysed to its
constituent glucose and fructose.
12
Flavour, acid and colour are added to satisfy the consumer taste. If a
functional high boil is to be produced, any added ingredients must not disturb
these three key characteristics of a high boil. Also, the processing methods may
determine the type of functional high boil that can be produced. Some functional
ingredients may not withstand high boiling temperatures, or conversely their
addition to the mass might result in a higher boiling point. They may also be less
soluble or produce a mass that takes a longer time to cool. High boils remain in
the mouth for a considerable length of time so functional ingredients must not
cause roughness or drying of the mouth.
Low boilings
Low boiled confectionery can be chewed. If you produce a chew from a glucose/
sucrose blend there must be a balance between the crystalline phase of the chew,
the non-crystalline phase and any gelatine or fat that is added. This results in a
sweet with an appropriate ¡®chew¡¯ that is not too sticky. ¡®Chewability¡¯, in part,
depends upon the extent of crystallisation that occurs and this, in turn, is affected
by the final moisture content of the sweet. An ideal moisture content is between
6% and 10% of the final sweet. Too little moisture and the chew will become
very hard, while too much moisture will give a sticky sweet. Again, added
functional ingredients must comply with these characteristics. For example,
when producing a sugar-free chew, the sugar substitutes do not crystallise like
sucrose so seeding crystals must be added.
Caramels, toffees and fudge
The basic ingredients of caramels, toffees and fudge are sugar, glucose syrup,
milk protein, fat, salt and water. This mix is concentrated to a high total solids
content. Caramels usually have more moisture than toffees. Fudge is simply a
Functional confectionery 271
toffee that has had ¡®grain¡¯ (i.e. sugar crystallisation) introduced, usually by
adding fondant, or by mechanically inducing grain into the cooked batch. All
three can act as a vehicle for functional ingredients. Fudge is an ideal vehicle for
functional ingredients that have a rough texture. Recipes can easily be
manipulated to include, for example, prebiotics, vitamins and minerals.
Difficulties can be encountered when the product is to be sugar free as this
requires the use of a low lactose/lactose-free milk or whey powder. These
ingredients can be expensive and often the total lactose content is not low
enough to constitute a sugar-free claim. Colour may also need to be added since
such products do not provide the same extent of Maillard browning.
Gums and jellies
Gums and jellies are hydrocolloid candies which means they gel and thicken but
also stabilise. Various hydrocolloids can produce candies with very different eating
characteristics. For example, agar agar gives a short breaking jelly with good
clarity, whereas gum acacia will produce a long-lasting, chewy sweet.
12
Functional
ingredients for inclusion within hydrocolloids should be carefully selected so that
they do not disrupt the colloidal characteristics that produce the correct texture,
clarity and gelling properties. The following points need to be considered.
? Total solids content Recipes require modification so that the addition of
functional ingredients results in a solids content that is appropriate for the
hydrocolloid in question. Otherwise mould growth, convex sweet backs,
crystallisation or drying out/stickiness may occur.
? Thermal stability of functional ingredients Added ingredients, in some cases,
may be required to withstand very high temperatures. For example, a starch-
based confection must be typically at 90oC to ensure depositing without
gelation.
? Good solubility of functional ingredients Undissolved functional ingredients
may produce a cloudy or grainy sweet.
? pH The pH of some hydrocolloid systems are critical in determining the final
set. Acid is the last addition as it has a major effect on gel strength. The acid
stability of functional ingredients should be determined. Functional
ingredients themselves might also affect pH and cause degradation of a
product. For example, agar will degrade below pH 5.
13
Pectins gel very
quickly which should be borne in mind if functional ingredients are added at
the end of production.
Marshmallow and nougat
The two most important ingredients for marshmallow are air and moisture.
Marshmallow contains one of the highest moisture contents of any confection.
Gelatine and egg albumen are the most common whipping/gelation agents used.
It is possible to produce a gelatin-free marshmallow but it has a slightly different
texture to a gelatin marshmallow. Recipe modification to incorporate functional
ingredients should account for the following:
272 Functional foods
? a minimum total solids content of 75%
? a final moisture content of around 20%
? solubility and heat stability of added functional ingredients should be noted.
Nougat appears in various different forms around the world. It is basically a
high-boiled syrup, containing fat, which is added to a frappe¡ä of either egg albumen,
gelatine or Hyfoama. Nougat can be used as a vehicle for a variety of functional
ingredients. For example, it is possible to create reduced sugar nougat through
recipe manipulation and sucrose-alternative bulking agents. If functional
ingredients are rough in texture, the ¡®grain¡¯ of the nougat can be used to mask this.
Fondants, cremes and crystallised confectionery
Fondants and cremes are sugar confectionery products that contain mixed sugars
in a solid and crystalline phase. When producing a functional fondant or creme:
? The particle size of functional ingredients in a fondant creme should be less
than 25C22m. They can be slightly larger for a standard fondant, but no bigger
than 35C22m.
? Final ERH of a fondant should be 75¨C80% and for cremes 80¨C85%.
Tablets, lozenges and extruded pastes
Tablets, such as Polo, combine base material with binding, lubricant and
flavourings. These are held under pressure and form a hard, cohesive sweet with
low moisture. Incorporating functional ingredients into a pressed tablet is
relatively straightforward. The ingredients must be in a free-flowing powder
form and capable of being compressed together. If added ingredients have a
tendency to pick up moisture, careful packaging will be required.
Lozenges are sugar doughs that are flavoured, rolled, cut to shape and then
dried to remove most of the added water. Functional ingredients in the form of
fine powders are most suited to this confection.
Panned confections
The technique of panning can be traced back via apothecaries to ancient times. It
presumably originated in the need to cover the bitter taste of ingredients.
Panning remains a useful strategy to this day and is still a common method for
drug delivery.
13
Panned confections, or drage¡äes, consist of small centres that are coated in a
¡®shell¡¯. Usually the shell is made from sugar or chocolate, but it is possible to
pan centres with various different coatings. ¡®Smarties¡¯ are an example of a
panned confection. Panning involves placing the centres into a large revolving
drum; as the centres tumble around in the drum a ¡®charge¡¯ of liquid coating is
added. Once the centres are covered, and the coating has solidified, another
¡®charge¡¯ can be added and the layers of the coating slowly build up. Once the
layers are complete, the sweets can be polished. It is possible to pan a
¡®functional coating¡¯ to the outside of a centre. Alternatively, functional
ingredients can be concentrated into the panned centre. During panning it is
Functional confectionery 273
possible that functional ingredients might adhere to the inside of the pan and
should be accounted for when calculating the ¡®dosage¡¯. Re-work for functional
panned confections is easier to manage if functional ingredients are concentrated
into the centre rather than the shell.
Chewing gum
Chewing gum is sold as panned pieces or in a stick form. It is made from a mix
of natural and synthetic gums, a crystalline sweetener, a liquid sweetener,
flavouring materials and texture modifiers. In developed markets, sugar-free
chewing gum, however, is now often the norm rather than the exception and is
developing a strong connection among consumers as ¡®good for teeth¡¯.This
opens the door for chewing gum to become an acceptable vehicle for functional
ingredients, and such ingredients are being increasingly seen in certain markets.
11.4.4 Cereal components of confectionery
Cereal components within confectionery can provide a textural/taste contrast
within a product. Cereals (e.g. corn flakes, rice krispies) must be used in low-
moisture confections otherwise they lose crispness and deteriorate in flavour.
Biscuit components of confectionery are also prone to becoming soft. Higher fat
biscuits or biscuit protected by a fatty layer will retard or prevent moisture
transfer. Wafers are a specialised type of biscuit formed from a batter and baked
between pairs of heated metal plates. The batter is usually very simple,
containing a low proportion of sugar and fat.
14
Cereals in confectionery are
becoming increasingly important as a result of their healthy image and the
proposed health effects attributed to particular cereal types such as oats.
Recently, cereals in confectionery are being associated with the use of seeds
such as sunflower and linseeds. Many of these seeds have proposed health
benefits that can be used to add value to a functional product.
11.4.5 Formulating a functional confectionery recipe
Formulating a functional confectionery product begins at the same point as
standard confectionery development: the generation of a recipe for a good-
tasting product. Where functional confectionery is concerned, the steps might
progress as follows:
1. Choose a suitable confectionery ¡®vehicle ¡¯
This will be defined to some extent by the product concept. Some concepts
will fit better with sugar confectionery, others with bars or may be dictated
by practical considerations. The cost of added functional ingredients can be
quite expensive, so keeping the manufacturing method as simple as possible
is desirable.
2. Where to incorporate the functional ingredients in the product
This will depend upon the amount of functional ingredients needed, the
274 Functional foods
nature of the ingredients, such as powder or liquid, fine particles or large
particles; whether or not they will be affected by certain processing
conditions, for example, high temperatures or shearing action. How they
behave in a moist or fat-based medium must also be considered and whether
the functional ingredients will interact with other ingredients in the recipe.
3. Manipulation of ingredients
Any ingredients that are excluded or reduced to make room for functional
ingredients should not result in deterioration of product taste, shelf life or
quality.
4. Masking agents
The recipe may require the addition of masking agents to disguise any
undesirable tastes from the functional ingredients.
5. How the functional ingredients affect critical parameters of the end product
Moisture content, total solids, ERH, pH, gel strength, viscosity, texture or
crystallisation will all need to be considered here.
Ingredients often have a dual function within a recipe, and this must be taken
into account. Consider prebiotics, for example. These are oligosaccharides of
particular current interest for their potentially beneficial effects on gut health.
However, they also function as bulking sucrose substitutes. Generally, the larger
the molecular weight of the oligosaccharide, the weaker its intensity of
sweetness. The sweetness of highly purified oligosaccharides is less than half
that of sucrose, therefore the use of an intense sweetener may need to be
considered.
11.4.6 Bench development
Bench development begins with certain unknowns. Recipe manipulation is often
straightforward as long as the confectionery format is capable of allowing a
proportion of its ingredients to be substituted by functional ingredients.
Surprises usually occur as a result of the interaction of functional ingredients
with the standard confectionery ingredients. Sometimes this can be predicted.
A common uncertainty is how the product will taste once the functional
ingredients have been added. Some can be masked quite successfully with
flavours alone, others may have ¡®backtastes¡¯ that require disguising with specific
masking agents. Some functional ingredients will also alter the texture of a
product, for example, functional fibres. It is often wise to select a textured
product, such as a wafer bar or biscuit, if such substances are to be incorporated.
Alternatively, fibre content can be increased using other methods such as the
incorporation of fruit fibres into a paste or baked confection.
11.4.7 Stability of functional ingredients
Functional ingredients may affect or be affected by certain aspects of
processing, for example, high temperatures or shearing action. They may also
Functional confectionery 275
react differently in a moist or fat-based medium. As discussed previously, other
ingredients present in the recipe might affect the action or stability of the
functional ingredients.
Some functional ingredients could affect critical parameters of the finished
product, such as moisture content, total solids, ERH, pH, gel strength, viscosity,
texture or crystallisation. Conversely, one or more of these factors might affect
the action or stability of the functional ingredients themselves.
Concerning the area of vitamin and mineral addition to products, industry
understanding is more advanced. In the light of their long experience, suppliers
are very good at advising necessary ¡®overages¡¯ for products to ensure that the
required amount is within the product at the end of processing and throughout
shelf life.
11.4.8 Stability and shelf life: laboratory techniques to analyse quantities of
new functional ingredients within a product
To produce a credible and consistently high quality product, analytical methods
must be used to determine the levels of functional ingredients present within a
product at the point of manufacturing and throughout the shelf life. For many
active ingredients, assays exist that are relatively straightforward to apply to a
confectionery product. However, some are less developed, such as those for
many of the plant extracts. They may require considerable time, effort and
money to develop.
Methods are generally available for the majority of vitamins, some
determined analytically by HPLC, for example, vitamins A and E, or more
classical techniques such as for vitamin C. Others require microbiological assay
(vitamin B
6
and B
12
). Generally, analysis in chocolate is more difficult than
sugar confectionery (this is true for virtually all analytes, not just vitamins). Due
to the number of other compounds present in chocolate, the analyte of interest
must be separated. The extraction and clean-up from chocolate is generally
challenging. Vitamin testing in general is quite difficult and as vitamins can
degrade easily, care has to be taken in analysis. Reliable results can be hard to
find.
Most minerals can be analysed relatively easily at trace levels in both
chocolate and sugar confectionery using atomic absorption/emission spectro-
scopy. Classical techniques are also employed for phosphorus. There are a
number of different methods available for total dietary fibre analysis, none of
which are particularly easy but most of which are used routinely around the
world. The most favoured is the AOAC method.
Prebiotics (oligosaccharides and inulin) can be determined using ion
chromatography/HPLC. Analysis/interpretation is difficult and costly. Probiotic
counts can be determined by bioassay, but are quite difficult to test for. Fatty
acid analysis ¨C in particular the fish oils for DHA ¨C is performed by profiling
fatty acids using capillary GC-FID. It is a relatively easy, widely available
technique. Polyphenols can be analysed by HPLC/GC. Some methods are
276 Functional foods
routinely available for other ¡®classes¡¯ of these types of compounds, e.g.
alkaloids.
Protein content is very simple and cheap to analyse and widely available ¨C
either by Kjeldahl classic titration method, or more modern combustion
techniques. Amino acids are also relatively easy to analyse, either using a
specific amino acid analyser, HPLC or capillary electrophoresis, but costs are
much higher than for protein.
11.4.9 Processing constraints
When a product undergoes scale-up from the bench to a pilot plant or factory
environment, various difficulties can be encountered, some of which are
exacerbated by the presence of functional ingredients. For example, some
functional ingredients may cause product discoloration during large-scale
factory production that did not occur during small-scale kitchen trials. Also, a
mechanism for accurately ¡®dosing¡¯ product must be possible within the factory.
This is simple if all ingredients exist as a pre-mix and can be dosed at a simple
production stage or mixed with other standard ingredients. Dosing is more
difficult if the nature of the functional ingredients means that they can only be
added at a particular stage due to being heat or pH sensitive, for example. It may
also be difficult to incorporate re-work into a product that contains many
different functional ingredients while at the same time ensuring that dosage
levels of the functional ingredients in each finished product remains constant.
Processing techniques should aim to avoid the use of re-work but for reasons of
cost it may not be possible to avoid its use completely.
When a finished product comes off the manufacturing line, it may be
necessary to subject it to analytical tests to ensure that the levels of active
ingredients are to specification. Assays must be developed that are reliable, low
cost, quick and as simple to perform as possible. Any delays or inaccuracies in
assays could result in potential loss of product and expensive functional
ingredients.
Some functional ingredients have the potential to taint production lines. This
could pose a problem where products are made on shared product lines. There is
a risk of carrying taint over to standard products and a thorough clean-down
must be scheduled into production runs. Alternatively, single lines can be
allocated to producing the functional product for restricted time period.
11.4.10 Safety considerations for production workers
Many new functional ingredients will not have been used in a production
environment before. Production workers will become exposed to high levels of
new ingredients. The health and safety aspects of this must be considered and a
thorough HACCP and quality analysis would be necessary for all new functional
ingredients used.
Functional confectionery 277
11.5 Marketing and retailing functional confectionery
In our country survey we looked at ¡®traditional¡¯ functional confectionery as well
as giving indications as to areas of current interest that may be about to open up.
Other chapters in this book have discussed various areas of functional food
science that are attracting attention at the present time. A challenge for
manufacturers who want to introduce new products is to decide on the many
opportunities that exist. Which of the vast number of potential concepts will the
consumer accept?
There are a whole host of functional ingredients currently available to add to
confectionery products. The selection will depend upon the product¡¯s
proposition to the consumer. Current popular ingredients are vitamins, minerals,
prebiotics and probiotics, sugar replacers, plant extracts and essential fatty acids.
The development of functional confectionery is still very much in its infancy
and there are certain issues to address before products can be launched. These
begin during concept and bench development and can become more complex as
we progress to production. Practical experience concludes that functional
confectionery concepts should be kept simple, limiting the number of functional
ingredients. Too many functional ingredients may not only complicate
manufacturing processes, but also add complexity to the product message for
the consumer.
A product entering an established part of the market, for example cough
sweets or throat soothers, will face competition from products that in some cases
may have been established for decades. Unless a point of differentiation can be
devised, the new product is unlikely to thrive against well-distributed
competition.
11.5.1 Defining the concept for a product
From the above it will be clear that it is important to choose a concept that the
consumer can identify with, but that sticking with already successful concepts to
produce ¡®me too¡¯ products is all too likely to result in an ¡®also ran¡¯ product. This
means that it is often necessary to devise new concepts for functional
confectionery. At its simplest, this can be done by examining successful
concepts from other food sectors. An example where this has been successful is
the recent growth in the ¡®lite¡¯ and fat-reduced confectionery in the USA which
has seen the introduction of both new products (e.g. Sweet Escapes) and variants
of existing products (Milky Way Lite).
This success has been the outcome of considerable market activity across the
food industry in the USA. The concept itself has been launched on the back of
high profile health campaigns, which ensured that the consumer understood the
basic premise behind the products. The promise of health gains to some extent
has offset the organoleptic losses that these products often entail. The lesson is
that for mainstream variants it is necessary to have concepts that are broadly
understood and accepted by the consumer. In other countries where campaigns
278 Functional foods
about fat and health have been more muted, for example the UK, fat-reduced
foods are less widely distributed, and the concept has struggled to reach
mainstream confectionery products.
Consumer understanding is therefore one key to success. The less consumers
understand a product¡¯s underlying concepts, the more likely it is that only a
niche market can be aimed at. In marketing parlance, such products are aimed at
the innovators in society. The hope is then that these innovators will influence a
larger group, the early adopters, to buy the product. These opinion formers can
then influence a wider public to accept the product. Launching products may be
an act of faith that the consumer will come to understand the proposition behind
them. As far as functional concepts are concerned, many will need to be
explained to the consumer and in many cases the manufacturer will have to aim
initially at a small niche market, and at the start such products will only be found
in specialist retail outlets.
Advertising a concept is one way round this dilemma, but immediate success
is not guaranteed, and a long-term campaign may be necessary. In any case,
advertising is unlikely to succeed, and indeed may be regarded with some
cynicism by consumers, in the absence of understanding. Take for example the
case of probiotics. Such products have been more successful in markets that
accept the health-giving properties of yoghurts and fermented milk products, but
they have struggled to some extent in markets like the UK where there is less
acceptance of the concept. Unfamiliar concepts therefore need to be explained to
consumers. While advertising may be seen as the first resort by marketing-led
companies, it is becoming increasingly apparent that communication of new
concepts to consumers needs to be patiently done, using the media as a means to
explain the underlying scientific concepts.
15
It is also necessary to have backing
of the scientific community. This not only reassures consumers, adding
credibility to the product, but also can assist in allaying criticism which new
ideas can attract.
That science can be used to advantage is clear. Chewing gum (sugar free) is
increasingly sold on a dental health proposition. Some advertisements for these
products indicate the scientific basis for the claims quite explicitly.
We have seen therefore that choosing an appropriate concept is difficult. A
lot depends on the culture of the market into which the product is to be launched,
and there are a host of factors that will influence consumer acceptance of a
concept. We have already mentioned consumer understanding as key to this.
This will vary from market to market. For example, herbal confectionery is
likely to be more successful in markets where herbal products are already
popular or herbal health remedies are well accepted. Nations can also be very
different in their health preoccupations, and this will be an important factor in
the acceptance of a product¡¯s proposition. Medical and health traditions in many
countries may differ markedly from much standard Western medical thinking,
and this may profoundly influence consumer choice.
Functional confectionery 279
11.5.2 Confectionery as a vehicle for functional concepts
Another issue that has to be confronted during concept development is the type
of product that should be developed. While there are many functional products
that are based on confectionery models, it is likely that this will work for only
certain types of product. It is true that confectionery can offer the convenience,
taste acceptability and affordability that many current supplements cannot. As
such, confectionery-type concepts may be technically very acceptable vehicles
for some functional ingredients, especially those that do not taste very nice,
where confectionery techniques can be used to cover up such unpalatable
aspects. However, this may work against such products on a number of grounds.
First, products that taste too good may be viewed by consumers as too indulgent,
and not serious for the purpose for which they were intended. Although ¡®a
spoonful of sugar helps the medicine go down¡¯, some adverse flavour may well
help to remind the consumer of the presence of active compounds. Consumers
may well expect taste penalties from the presence of functional ingredients and
regard something indulgent as too good to be true.
A second question for good-tasting products is whether this will encourage
over-consumption. This is an issue of particular importance for ingredients with
a high degree of potency whose consumption should not be ad libitum. The
question of product safety we will return to later. However, this can be
illustrated with current sugar-free products which contain significant amounts of
sugar alcohols. Such ingredients can cause colic, windiness and even osmotic
diarrhoea. Even where there are warnings on labels, not all consumers heed
these, with sometimes a predictably unfortunate outcome where large amounts
of a product are eaten in a short time. It would appear, however, that consumers
quickly learn to take such warnings seriously and to supervise children carefully
in their use of such products.
There are also concerns about over-consumption in relation to fortified
confectionery aimed at children. Multivitamin preparations in the form of candy
may be highly attractive to children, and an attractive vehicle for administering
such preparations when deemed necessary. There is the possibility of over-
consumption where such fortified sweets are self-administered. Clearly such
candy has to be treated like regular vitamin pills with the key being proper
control by guardians. It is unlikely that children would buy these sweets for
themselves, given the cost and the likely points of sale (that is, pharmacy and
health counters rather than standard confectionery retailers).
There will also be various other technical considerations which will affect the
choice of format, for example the nature of the functional ingredient, many of
which have already been referred to. One aspect is the amount of functional
ingredient that needs to be added. Where a large amount is necessary, a bar
format may be the only option, particularly where a strict dosage is necessary. In
this case, it may be preferable to choose a format where the dosage will be
consumed in a single entity like a bar.
280 Functional foods
11.5.3 Marketing functional confectionery
The development of any new product entails a lot more than just getting the
ingredient formula correct. The product has to get to the marketplace with a
clear-cut proposition for consumers, and an obvious personality. Its benefits for
consumers must be obvious. The target consumer must be identified, and where,
when and in what circumstances it will be bought. The type of retail outlet must
be identified, and how the product can be differentiated from competitors so as
to attract the attention of consumers. Any new product will face fierce
competition from existing products, even in respect of getting it onto shelves in
the first place. It is not surprising therefore that the vast majority of new
products have only a very short life.
A key issue facing new functional confectionery products is the question of
branding. On the face of it, it would seem obvious that most functional
confectionery will contain novel propositions, which will therefore require new
brands to be created. However, the launch of new brands can be a very
expensive and/or long-term process, as it can take costly advertising and
promotion to sell the proposition to consumers (not to mention retailers who
have to be persuaded to stock an untried product in the first place).
One way around this is to launch the product under the umbrella of an
existing brand. This can be very successful if the manufacturer owns an
appropriate brand. There are of course constraints with this approach, not least
being the necessity for the functional product to fit in with the overall
personality of the brand. Stretching a concept too far will lack credibility.
Another example of a successful launch of a functional confectionery under
an existing brand is Mars¡¯ Milky Way Lite, in the USA. However, the success of
Hershey¡¯s Sweet Escapes in that market demonstrates that it is possible to
launch a new brand if the proposition is clear enough and understood by
consumers. In this case, of course, the underlying health message has been
abundantly publicised in the USA. Many functional concepts will be less well
understood by the majority of consumers, and in these cases launching at a mass
market will not be feasible.
11.5.4 Retail considerations
The manufacturer of a functional confectionery needs to target the type of retail
outlet appropriate for the product. Many functional confectionery products will
not gain access to the mass market confectionery counters such as those in
supermarkets and convenience stores. The most likely contenders for these areas
will be those functional products that are extensions of currently popular brands.
Even so, retailers, especially supermarkets, will monitor performance to ensure
that the product earns its place.
Products with a therapeutic purpose will often be targeted at pharmacies or
pharmacy/health sections in supermarkets. Products with dietetic connota-
tions, for example ¡®lite¡¯ products, may fit best with health and beauty
counters.
Functional confectionery 281
Products whose concepts are only understood by innovators and early
adopters may often be confined to specialist outlets like health food shops. Such
products with limited outlets will imply low volumes, but success within this
niche area may persuade larger retailers to stock such products. In this way,
niche products can become mainstream. An example of this is Ricola¡¯s herb
confectionery in Spain which extended to traditional outlets in 1996, having
previously only sold through pharmacies, where it held a 64% share of the
sector.
4
An integral part of such retailing aspects is the question of price. This will
have to be set at a level appropriate to the type of product and retail outlet. In
most cases prices for functional confectionery will be higher than for standard
confectionery. This reflects higher ingredient costs and the higher costs
associated with specialist production, marketing and distribution. Consumers
will usually be prepared to pay appropriately for a credible product that has
desirable properties. However, products to be sold alongside conventional
confectionery, for example sugar-free or ¡®lite¡¯ variants of existing brands, will
generally have to be priced at around the same sort of level. The mass market
will not usually accept higher prices even though the manufacturing costs for
making a product with a positive benefit like reduced calories (compared to
similar products) might be considerably higher, reducing profit margins below
that of standard confectionery.
11.5.5 Product claims
A crucial part of a product identity is its ¡®proposition¡¯, that is, what it can do for
the consumer. This needs to be clearly communicated. However, in many
markets there are restrictions on claims. For example, in the EU, medicinal
claims or even implied claims that a product can prevent, treat or cure a medical
condition are prohibited unless the product holds a medical licence. This
imposes strong restrictions on aspects of production and marketing. This will
apply to many products in the cough sweet/throat soother categories. At the
other end of the spectrum, claims about nutrient content are generally
permitted, although rules about minimum content and other labelling aspects
may apply. Thus it is relatively easy to fortify a product, to promote it, for
example, ¡®with vitamin C¡¯. It may be more difficult to make a nutrient function
claim about the added vitamin and more difficult still to claim a nutrient¨Chealth
relationship.
Such general health claims are difficult to make in many markets, for
example being currently forbidden under EU legislation. It is increasingly being
recognised that such restrictions are a bar to consumer understanding and also
that they impede the development of functional products which may be of great
benefit to consumers. The challenge that faces not only regulators but also
manufacturers is how such claims should be made and regulated in the
marketplace which, on the one hand, permit the development of products that
enhance consumer health but at the same time protect the consumer against
282 Functional foods
unwarranted or unsubstantiated claims. There are a number of initiatives under
way around the world to address these issues. These regulatory aspects are
crucial to the development of functional foods generally and are discussed in
more detail elsewhere in this book.
At the present time, the effect of tight regulation is to impose restrictions on
the type of products that can be launched to those with concepts already well
understood by the consumer. Unless the consumer understands the proposition
behind a product, then it will not be bought. For functional confectionery there
will normally be insufficient resources available for the public education by
advertisement or media material to explain new concepts. Even where the
concept is understood, strict interpretation of current legislation will often not
permit the use of explicit reference to the potential benefits of the product, so the
manufacturer may have to resort to the use of implied benefits. In this case there
is no differentiation from those products that are promoted on the basis of
containing ingredients that are traditionally perceived as beneficial but for which
hard scientific data in support are lacking.
11.5.6 Safety aspects of functional ingredients
A manufacturer who uses unusual ingredients with physiological activity needs
to check safety data carefully, and, as with all ingredients, that its use is
permitted by local regulation. Advice on this should be available from the
supplier, but the manufacturer will need to double check. If the market becomes
more receptive to unusual ingredients we are likely to see the use of an
increasing variety of plant extracts. Not all of these will be innocuous at all
doses or in all circumstances. Some may have unpleasant side-effects as well as
beneficial ones. Assessing the strength of such ingredients may well be
necessary as part of the review process. Furthermore, the manufacturer needs to
keep aware of developments relating to the ingredient. An example of this is St
John¡¯s Wort which has been an increasingly popular ingredient used for its
effectiveness in treating depression. First, the strength of the preparations can
vary enormously. This has implications for dosage. Second, there is evidence
that St John¡¯s Wort may interact adversely when used in conjunction with
medically prescribed anti-depressants,
16
raising the issue of the need for label
warnings.
Where physiologically active ingredients are added to a product, some
consideration needs to be given to the need for information on labels regarding
overall consumption. For an ingredient well known to consumers, consumption
may need to relate to existing products. For example, a product containing
caffeine could relate the caffeine content to a cup of coffee.
In some cases, regulation may already exist. In the UK it is necessary to add
labels to products that contain sugar alcohols, warning of the possibility of
laxative effects in the event of over-consumption.
Functional confectionery 283
11.5.7 Legal aspects specific to confectionery
The developer of novel functional confectionery products may need to check
regulations pertaining to this sector. Some regulations may hinder the
development of new products. A specific instance of this relates to chocolate.
Many countries have tight regulations covering what may or may not be termed
chocolate. While this protection of the consumer has an admirable purpose, it
can hold back development and marketing of low calorie, low fat or sugar-free
chocolate. One product subject to this kind of legislation is the Cadbury Lite
Bar, launched in Australia in 1992. In this product, sugar was replaced by
isomalt and polydextrose and sweetened with aspartame. This could not be
described as chocolate under Australian regulations.
11.6 Summary
Confectionery that could be described as functional has a history going back
millennia into ancient Egyptian times. Such early functional confectionery had a
therapeutic purpose, and this tradition is still apparent today with many
confectionery-like products available to cure ailments such as coughs and sore
throats. These products are available in most countries of the world. Compared
to mainstream confectionery, the market for functional confectionery is small
but growing as new types are brought onto the market.
Confectionery has traditionally contained the sugar, sucrose, as its
characterising ingredient. This acts as a sweetener but it has many other
technical virtues which make it a very versatile ingredient for this type of
product. Other important ingredients of confectionery include other sugars and
syrups, milk products, fats and oils, cocoa, cereal products, nuts, dried fruits as
well as flavourings and a variety of gums, gelling agents and such-like. There
are three main classes of confectionery: sugar confectionery (candy); bars
(which may or may not contain chocolate); and chewing gum.
Confectionery can be made ¡®functional¡¯ either by addition of functional
ingredients, or by substituting existing ingredients. Examples of both approaches
can be found on the market today. The technical attributes of sucrose can
sometimes be difficult to replace using alternative ingredients. Nevertheless,
sugar-free confectioneries are increasingly being launched, usually as calorie-
reduced or non-cariogenic products. Indeed, in Europe, the majority of chewing
gum now sold does not contain sucrose, and many brands of sugar-free gum are
promoted on dental health grounds. Reduction and replacement of fat in
confectionery is more difficult to achieve. Functional ingredients can be
incorporated into confectionery, but the format chosen will depend on a variety
of technical and marketing factors.
The range of concepts found in functional confectionery products remains
fairly limited at the present time. There are, however, many new concepts that
could be developed and which are feasible from a technical standpoint. In
general terms, however, the market in functional confectionery is very much in
284 Functional foods
its infancy, with a wide variety of products being tried out in various countries,
some with a degree of local success, but with no clear trends emerging. This can
be partly ascribed to the very different local conditions and consumers¡¯ health
preoccupations found around the world.
One brake on progress is that consumer understanding of the concepts behind
functional products is often limited. In many cases the consumer will need to be
educated about recent scientific findings. Advertisement about concepts may
lack credibility in the eyes of consumers as being too commercially orientated. It
may be important to disseminate concept ideas via more general media,
particularly if this can be done by independent scientific experts. Claims in
advertising and on product packaging are often prevented because food
regulations are generally restrictive in the area of claims.
Another factor, which could hold back development of functional
confectionery, is doubt as to the appropriateness of confectionery for this
purpose. Although certain medicinal candies are well accepted by the consumer,
in general there is only limited experience of consumer reaction to other types of
functional confectionery. Confectionery is generally associated in the con-
sumer¡¯s mind with pleasure and indulgence, and so many confectionery formats
may be inappropriate for functional concepts.
It remains to be seen whether this is of importance as functional
confectionery will usually be retailed away from mainstream confectionery.
Many products will be niche products appealing to a minority of consumers, or
to consumers in times of need (e.g. throat soothers). Furthermore, functional
confectionery will be differentiated by higher price necessitated by high
ingredient costs and low volumes of manufacture.
In spite of present uncertainties, it seems likely that the market for functional
confectionery will continue to develop in the coming years into novel areas as
consumers progressively understand the rationale behind functional products
generally, and as regulatory requirements on health claims become more
flexible.
11.7 References
1 LEES, R. A History of Sweet and Chocolate Manufacture, Surbiton,
Specialised Publications Ltd, 1988.
2 MINTZ, S.W. Sweetness and Power, New York, Viking Penguin, 1985.
3 BIDLACK, W.R. Phytochemicals: A New Paradigm, Lancaster, Pennsylvania,
Technomic Publishing, 1998.
4 PETTIT, B. The International ¡®Healt hy¡¯ Confectionery Market, 2nd edn,
Leatherhead Food Research Association, 1999.
5 CAOBISCO, International Statistical Review of the Biscuit, Chocolate and
Sugar Confectionery Industries 1998, Brussels, 1999.
6 HASLER, C. ¡®Functional foods: the Western perspective¡¯, Nutrition Reviews,
1996, 54,S6¨CS10.
Functional confectionery 285
7 LONGMAN, B. Strategies in Nutraceuticals: Functional Food and Drink,
Reuters Business Insight, London, Datamonitor plc, 1998.
8 JARDINE, N.J. ¡®Phytochemicals and Phenolics¡¯,inChocolate and Cocoa,
Health and Nutrition, I. Knight (ed.), Oxford, Blackwell Science, 1999.
9 Joint Health Claims Initiative, Final Draft Code of Practice on Health
Claims on Foods, JHCI, 1998.
10 LEES, R. and JACKSON, E.B. Sugar Confectionery and Chocolate Manufac-
ture, Glasgow, Leonard Hill, 1985.
11 BECKETT, S. Industrial Chocolate Manufacture and Use, Glasgow, Blackie
A&P, 1994.
12 MINIFIE, B.W. Chocolate, Cocoa and Confectionery: Science & Technology,
New York, AVI Publishing, 1982.
13 JACKSON, E.B. Sugar Confectionery Manufacture, Glasgow, Blackie A&P,
1990.
14 MANLEY, D. Technology of Biscuits, Crackers and Cookies, London, Ellis
Horwood, 1991.
15 MALLENTIN, J. The Newsletter for Functional Foods, Nutraceuticals and
Healthy Living,21¨C4, December/January 1999.
16 Adwatch, Food Labelling and Marketing Newsletter, Sustain, October
1999.
286 Functional foods
12.1 Introduction: the health benefits of probiotic foods
The area of food for health has been identified as a priority area for research in
Europe. This is based on the recognition that there is enormous potential for
improving health through food. Furthermore, diet is a major focus of public
health strategy aimed at maintaining optimum health throughout life, preventing
early onset of chronic diseases such as gastrointestinal disorders, cardiovascular
disease, cancer and osteoporosis, as well as promoting healthier ageing.
Although the highly complex relationship between food and health is still poorly
understood, recent research advances in different disciplines provide promising
new approaches to improve our understanding. The growing demand for
¡®healthy¡¯ foods is stimulating innovation and new product development in the
food industry internationally. Indeed, the food industry has a central role in
facilitating improved eating practices through the provision and promotion of
healthy foods.
Probiotics are live microbial food supplements which benefit the health of
consumers by maintaining or improving their intestinal microbial balance.
1
Due
to their perceived health benefits probiotic bacteria have been increasingly
included in yoghurts and fermented milks during the past two decades. Most
commonly they have been lactobacilli such as Lactobacillus acidophilus, and
bifidobacteria often referred to as ¡®bifidus¡¯ (see Table 12.1).
2
A major
development in functional foods pertains to foods containing probiotics and
prebiotics which enhance health-promoting microbial flora in the intestine.
There is growing scientific evidence to support the concept that the maintenance
of healthy gut microflora may provide protection against gastrointestinal
disorders including gastrointestinal infections, inflammatory bowel diseases and
12
Probiotic functional foods
T. Mattila-Sandholm and M. Saarela, VTT Biotechnology, Espoo
even cancer. The use of probiotic bacterial cultures stimulates the growth of
preferred micro-organisms, crowds out potentially harmful bacteria and
reinforces the body¡¯s natural defence mechanisms.
Before a probiotic can benefit human health it must fulfil several criteria: it
must have good technological properties so that it can be manufactured and
incorporated into food products without losing viability and functionality or
creating unpleasant flavours or textures; it must survive passage through the
upper gastrointestinal tract and arrive alive at its site of action; and it must be
Table 12.1 Examples of fermented milk products containing probiotic bacteria
available in food retail outlets in Europe. (Adapted from Daly and Davis, 1998.).
2
Product Brand name Company Countries
(organism C010
7
¨C10
8
viable LAB/ml)
Yoghurt LC1 Nestle¡ä France, Belgium,
(Lb. johnsonii LC-1) Spain, Switzerland,
Portugal, Italy,
Germany, UK
Yoghurt Gefilus Valio (Lb. rhamnosus GG) Finland
Yoghurt Vifit Mona (Lb. rhamnosus GG) Netherlands, Ireland
Yoghurt Vifit Sudmilch (Lb. rhamnosus GG) Germany
Yoghurt drink Yo-Plus Waterford Foods Ireland
(Lb. acidophilus)
Yoghurt Bio-Pot Onken Europe
(Biogarde cultures)
Yoghurt LA7 Bauer (Lb. acidophilus) Germany
Fermented Yakult Yakult Netherlands, UK,
milk drink (Lb. casei Shirota strain) Germany
Cultures Gaio MD-Foods Denmark
yoghurt-style (E. faecium)
product
Yoghurt SNO Dairygold (Lb. acidophilus) Ireland
Yoghurt Actimel Danone Belgium
Cholesterol (Lb. acidophilus)
Control
Fermented Actimel Danone (Lb. casei) Europe
milk drink
Yoghurt Yoplait Waterford-Foods Ireland
(Lb. acidophilus)
Fermented Bra-Mjolk Arla Sweden
milk drink (Bifidus, Lb. reuterii,
Lb. acidophilus)
Fermented Fyos Nutricia (Lb. casei) Netherlands
milk drink
Yoghurt Symbalance Tonilait Switzerland
(Lb. reuterii, Lb. casei,
Lb. acidophilus)
Yoghurt Shape St Ivel (Lb. acidophilus) Ireland, UK
288 Functional foods
able to function in the gut environment. To study the probiotic strain in the
gastrointestinal (GI) tract, molecular techniques must be established for
distinguishing the ingested probiotic strain from the potentially thousands of
other bacterial strains that make up the gastrointestinal ecosystem. Techniques
are also required to establish the effect of the probiotic strain on other members
of the intestinal microbiota and importantly on the host. This includes not only
positive health benefits, but also demonstration that probiotic strains do not have
any deleterious effects. Armed with this knowledge, the probiotics can then
enter human clinical pilot studies that attempt to assess their clinical health
benefits to consumers (Table 12.2).
3, 4
12.1.1 Demonstration of Nutritional Functionality of Probiotic Foods
(FAIR CT96-1028)
Europe has traditionally had a leading position on the probiotic market.
Considerable confusion and scepticism, however, exists on the side of consumers,
consumer organisations and certain quarters of the scientific community about the
claims associated with probiotic products. This greatly hampers further
exploitation of functional foods containing probiotic bacteria and weakens the
market position of European producers in the face of competition. To eliminate
these hurdles, to speed up adaptation of the probiotic food technology and to
enhance the attractiveness of new probiotic foods, it is essential to demonstrate
the up-to-date basis for marketable claims by presenting the health and nutritional
benefits of probiotic bacteria and foods. Special emphasis should be put on
intestinal integrity and immune modulation, exploitation of validated methods for
the selection of novel probiotic bacteria and foods, and dissemination of the
obtained knowledge to the extended audiences consisting of industries,
authorities and consumers. The Probdemo project was initiated to demonstrate
the value of probiotic products to European consumers. The project objectives
were divided into four interactive tasks (Table 12.3):
1. To establish a scientifically based selection of probiotic bacterial strains
currently available for functional foods. Six probiotic strains representing
Lactobacillus and Bifidobacterium species were chosen for demonstration
purposes.
2. To demonstrate the beneficial value of probiotic products in human pilot
trials both in children and adults. Initial tests showed that probiotic strains
did not have any deleterious effects in healthy children or adults.
Furthermore, probiotic strains were shown to be effective in the treatment
of infants with food allergy and small children with rotavirus diarrhoea. The
effect of probiotics was also demonstrated in adults with inflammatory
bowel disease (IBD).
3. To demonstrate and meet the functional and technological requirements
essential for the industrial production of probiotics as functional foods. This
has been established by studying probiotic strain properties in vitro and
Probiotic functional foods 289
reflecting these results to the clinical situations. The main focus has been on
demonstrating adhesion in vitro and in vivo using human biopsies, on
demonstrating the technological criteria for probiotic products, and on pilot
production of probiotic strains.
4. To disseminate the knowledge and results to extended audiences consisting
of industrial users, authorities and consumer organisations. This has been
Table 12.2 Clinical effects of some probiotic strains and yoghurt strains.
Strain Clinical effects in humans References
Lactobacillus rhamnosus GG Adherence to human intestinal cells, 19, 43, 46,
lowering faecal enzyme activities, 57¨C69
Prevention of antibiotic-associated
diarrhoea, treatment and prevention of
rotavirus diarrhoea, prevention of acute
diarrhoea, immune response modulation
Lactobacillus johnsonii Prevention of traveller¡¯s diarrhoea, 70¨C74
(acidophilus) LJ-1 (LA-1) modulation of intestinal flora,
alleviation of lactose intolerance
symptoms, improvement of
constipation, immune enhancement,
adjuvant in Helicobacter pylori
treatment
Bifidobacterium lactis Bb-12 Prevention of traveller¡¯s diarrhoea, 70, 71,
treatment of viral diarrhoea including 75¨C80
rotavirus diarrhoea, modulation of
intestinal flora, improvement of
constipation, modulation of immune
response
Lactobacillus reuteri Colonisation of intestinal tract, 81¨C84
ATCC55730 shortening of rotavirus diarrhoea,
treatment of acute diarrhoea, safe and
well-tolerated in HIV-positive subjects
Lactobacillus casei Shirota Modulation of intestinal flora, 85¨C88
lowering faecal enzyme activities,
positive effects on superficial bladder
cancer
Lactobacillus plantarum Adherence to human intestinal cells, 29, 89
DSM9843 modulation of intestinal flora
Saccharomyces boulardii Prevention of antibiotic-associated 90¨C92
diarrhoea, treatment of Clostridium
difficile colitis, prevention of diarrhoea
in critically ill tube-fed patients
Yoghurt strains No effect on rotavirus diarrhoea, no 58, 63
(Streptococcus thermophilus immune enhancing effect during
& Lactobacillus bulgaricus) rotavirus diarrhoea, no effect on faecal
enzymes
290 Functional foods
established by annual workshops (Workshop 1 was held on Safety of
Probiotics in 1996, Workshop 2 on Probiotic Research Tools in 1997,
Workshop 3 on Functional Food Research in 1998, Workshop 4 on
Functional Foods in 2000).
5¨C8
The project participants and institutes collectively have wide experience in
this research area, building on the results of former EU programmes on lactic
acid bacteria and probiotics. The industrial partners have long traditions in the
markets of functional foods with special reference on probiotic products. VTT
Biotechnology, Finland, has the role of coordination and dissemination of
activities and demonstration tasks on probiotic strain properties, technological
properties and clinical testing on adults. The University of Wageningen,
Netherlands, has the key role of demonstrating the activity and viability of
probiotic strains in human clinical trials by using molecular methods including
PCR, in situ hybridisation and DGGE/TGGE. The Catholic University of
Piacenza, Italy, has the role of showing the adhesive and aggregation properties
of the strains to be demonstrated. The University of College Cork, Ireland, has
profound expertise on human gastroenterology, clinical testing with adults and
immune modulation activities of probiotics. University of Turku, Finland, has a
long scientific tradition of clinical testing with children and the links between
clinical pediatrics and functional foods. The industrial partners Valio Ltd.
(Finland), Arla (Sweden), Nestle¡ä (Switzerland) and Christian Hansen Labora-
tories (Denmark) have sound basis of industrial production of probiotic products
and long experience on functional foods market as well as research in this area.
This industrial role is of utmost importance in selecting the strains to be
demonstrated, preparing the products to be developed and in verifying their
beneficial effects.
Table 12.3 Tasks concerning the development and manufacturing of functional
probiotic foods needed for demonstration.
5, 6
NUTRITIONAL FUNCTIONALITY OF PROBIOTIC FOODS
Task 1 Selection and verification of probiotic strains
Task 2 Task 3
Clinical pilot testing on humans Technological properties of probiotic foods
Subtask 2.1 Clinical pilot testing on Subtask 3.1 Probiotic properties
children
Subtask 2.2 Clinical pilot testing on Subtask 3.2 Fermentative properties of
adults and patients with GI-disorders probiotic foods
Subtask 2.3 Establishment of novel Subtask 3.3 Large-scale production methods
methodologies
Task 4 Dissemination of knowledge of probiotic products
Probiotic functional foods 291
12.2 Selecting probiotic strains
The theoretical basis for selection of probiotic micro-organisms illustrated in
Table 12.4 and Fig. 12.1 includes:
? safety
? functional behaviour (survival, adherence, colonisation, anti-microbial
production, immune stimulation, anti-genotoxic activity and prevention of
pathogens such as Helicobacter pylori, Salmonella, Listeria and Clostridium)
? technological aspects (growth in milk, sensory properties, stability, phage
resistance, viability in processes).
In general, strains for pilot testing should be selected based on established in
vitro scientific data. Naturally, the safety of probiotic strains has been of prime
importance and new guidelines have been developed.
9¨C13
Current safety criteria
and functional properties for successful probiotics have been defined in recent
reviews.
14¨C16
These include the following specifications:
? Strains for human use are preferably of human origin.
? They are isolated from healthy human GI tract.
? They have a history of being non-pathogenic even in immunocompromised
hosts.
? They have no history of association with diseases such as infective
endocarditis or GI disorders.
Table 12.4 Desirable properties of probiotic bacteria.
3
Desirable properties Desired effect
Human origin Ability to maintain verified viability, species-
specific effects on health
Acid and bile stability Maintenance of viability in the intestine
Adherence to human intestinal cells Maintenance of mild acidity in the intestine,
antagonism against pathogens, competitive
exclusion
Colonisation of the human gut Maintenance of colonising properties,
antagonism against pathogens, competitive
exclusion
Production of anti-microbial substances Antagonism against pathogens, competitive
exclusion
Antagonism against pathogenic bacteria Antagonism against pathogens, competitive
exclusion (in intestinal tract and oral cavity)
Safety in human use Tested safety in animal models and human
use, accurate strain identification (genus,
species)
292 Functional foods
The significance of human origin has been debated recently, but most if not
all current successful strains are indicated to be of human origin. Similarly, the
importance of the ability to colonise the human gastrointestinal tract has been
questioned. However, most current strains are reported to persist in humans at
least temporarily as measured by faecal counts following ingestion. Acid and
bile stability are self-evident properties for any strain expected to have effects in
the intestinal tract. Ability to adhere and persist are also closely related to
potential immune effects. It is likely that some mechanisms of adhering and/or
binding to the intestinal cells are required. Thus controlled comparable studies
on in vitro model systems, such as the Caco-2 cell line, are of importance.
17, 18
Adherent strains of probiotic bacteria are favoured since they are likely to persist
longer in the intestinal tract and thus have better possibilities of showing
metabolic effects than non-adhering strains. At least one of the commercial
probiotic strains has been demonstrated to adhere to the colonic mucosae in
vivo.
19
To have an impact on colon flora it is important for probiotic strains to show
antagonism against pathogenic bacteria via anti-microbial substance production
or competitive exclusion. Enormous research efforts have focused on bacteriocin
research. However, the mode of action and efficacy of bacteriocins in the gut is
not known for probiotic bacteria. Although probiotic strains may produce
bacteriocins in vitro, the role of bacteriocins in the pathogen inhibition in vivo
Fig. 12.1 The theoretical basis for selection of probiotic micro-organisms includes
safety, functional (survival, adherence, colonisation, anti-microbial production, immune
stimulation, anti-genotoxic activity and prevention of pathogens) and technological
aspects (growth in milk, sensory properties, stability, phage resistance, viability in
processes).
Probiotic functional foods 293
can only be limited, since traditional bacteriocins have an inhibitory effect only
against closely related species such as other Lactobacillus or on sporeformers
such as Bacillus or Clostridium. However, low molecular weight metabolites
(and secondary metabolites) may be more important since they show wide
inhibitory spectrum against many harmful organisms like Salmonella,
Escherichia coli, Clostridium and Helicobacter.
20¨C22
12.2.1 Development of cultures aimed for functional probiotic foods
Probiotic dairy foods and cultures have a long history and large consumption in
the Nordic diet. Industrial products, including cultured dairy products, and their
probiotic properties have been studied for many decades. The objective of the
Nordic programme (from 1994 to end of 1997) was to validate industrial
probiotic strains with regard to in vitro functionality. Strains were provided by
project participants Arla (Sweden), Christian Hansen (Denmark), Norwegian
Dairies (Norway) and Valio Ltd (Finland). Strains studied included the
following: Lactobacillus paracasei subsp. paracasei strains E-94506 and E-
94510, Lactobacillus rhamnosus strains E-94509 and E-94522, Lactobacillus
acidophilus E-94507, Lactobacillus plantarum E-79098, Lactococcus lactis
subsp. lactis E-90414, L. lactis subsp. cremoris E-94523, Bifidobacterium
animalis (lactis) E-94508 and Bifidobacterium longum E-94505. The studies
included research on the in vitro cytokine release effects, adhesive properties,
anti-mutagenicity and behaviour in the gastrointestinal tract models (TNO
gastrointestinal tract model in the Netherlands, and the SHIME ecosystem at
Ghent, Belgium). Also technological and production properties were assessed.
Assessment of adhesion properties
Adhesion of probiotic strains to human intestinal cells and the following
colonisation of the human gastrointestinal tract has been suggested as an
important prerequisite for probiotic action. Adhesion verifies the potential of the
strain to inhabit the intestinal tract and to grow in intestinal conditions. Adhesion
also provides an interaction with the mucosal surface facilitating contact with
gut-associated lymphoid tissue mediating local and systemic immune effects.
Thus, only adherent probiotics have been thought to induce immune effects and
to stabilise intestinal mucosal barrier.
23
The Nordic programme project results of
in vitro adhesion assays gave a clear indication of differences and variation
between assays and different strains.
24, 25
It was evident that in addition to Caco-
2 cell line experiments, other test systems were also needed to characterise the
adhesion potential and different adhesion mechanisms. The adhesion system was
also used to study the anti-invasion potential of probiotic stains. Different
probiotic strains show relatively different behaviour in invasion inhibition and
novel methodologies are needed to assess these properties in a way that relates
them to clinical situations. Adhesion experiments indicate clear differences in
the colonisation potential of different probiotic strains and, when later connected
with clinical data, may provide a useful basis for selection and method
294 Functional foods
development for future probiotic strains.
17, 18
Lately adhesion assays have also
been applicated to human ileostomy glycoproteins (modelling for small
intestinal mucus), showing once again different characteristics of the probiotic
features.
26
In vivo adhesion studies using colonic biopsies
Faecal samples have been used in most colonisation studies on probiotic
bacteria.
27, 28
These, however, reflect only the bacteriological situation in faecal
material and do not give an accurate picture about the situation in different parts
of the gastrointestinal tract or in the mucosal layer of the gut. There are
advantages in taking biopsy material from colonoscopy patients: in this way
tissue samples have been obtained, not only from the rectal-sigmoidal region,
but also from other parts of large intestine (ascending, transverse and descending
colon). As a result the preferential adhesion of a commercial probiotic strain
(Lactobacillus GG) to the descending part of large colon was detected by using
biopsy material. This probiotic strain was shown to survive in the gut epithelium
for several days after consumption of the probiotic preparation was stopped and
even after the strain could no longer be detected in faecal samples.
19
Johansson
and co-workers have also demonstrated the adhesion of different Lactobacillus
strains to rectal mucosal biopsy samples obtained from volunteers who had
consumed fermented oatmeal soup.
29
Immunological assessment
Gut-associated lymphoid tissue may have contact with adhesive probiotic
preparations and therefore adhesion is one way of provoking immune effects.
The Nordic network studied the interactions of probiotic strains and dairy
cultures (Lactobacillus bulgaricus, Streptococcus thermophilus) with cytokine
production (human TNF-C11, interleukin-6, interleukin-10, interleukin-12, TGF-C12,
and interferon-C11). Probiotic strains which had passed through the in vitro TNO
gastrointestinal tract model were also assayed for their ability to induce cytokine
production (TNF-C11, interleukin-6).
30
The main goal was to investigate whether
probiotic strains stimulate the immune system in vitro through cytokines. IL-6
production showed considerable variation between experiments performed with
live bacteria. Test strains were not observed to induce IL-10.
31
Efforts were
made to develop new methods to measure early cytokine responses by detection
of mRNA by Northern hybridisation. This method proved more sensitive than
the ELISA and has demonstrated that probiotic strains indeed produce IL-10 and
IL-1b. Further investigations focused on analysis of the pathway of cytokine
induction by probiotics, estimation of the effect of serum proteins, interaction
between probiotics and human cell surface molecules.
32
Gastrointestinal models
The Nordic network experiments with the TNO gastrointestinal tract model
focused on survival studies after gastric and ileal delivery. The SHIME-reactor
was chosen to illustrate the population dynamics in the small and large intestine.
Probiotic functional foods 295
Parameters such as pH, redox state, NH
4
, SCFA, gas composition, enzyme
activities and major bacterial groups were determined. As indicated already in
the discussion of adhesion, changes occurred in samples taken from different
parts of the TNO model system. Some of the non-viable bacteria recovered from
the TNO model also showed some immunological activity. Probiotic treatment
was shown to increase temporarily the numbers of lactic acid bacteria in
different parts of the SHIME ecosystem. Enterobacteriaceae decreased markedly
during treatment. The results indicated that further studies are necessary in order
to evaluate the repeatability of the SHIME system in the assessment of fatty acid
and enzymatic profile changes (Table 12.5).
33
Anti-mutagenicity properties
Lactic acid bacteria or cultured dairy products have been reported to reduce the
mutagenicity of known chemical mutagens in in vitro tests.
34
In in vivo trials
probiotic strains have occasionally been associated with the reduction of faecal
enzymatic activities involved in mutagen or carcinogen activation.
35
Results
have been somewhat contradictory in trials studying the effects of orally
ingested probiotic strains on actual faecal mutagenicity. Lidbeck and co-workers
detected a decrease in faecal and urinary mutagenicity as a result of
Lactobacillus acidophilus NCFB 1748 consumption.
36
No such effect was seen
in similar tests with another probiotic.
37
12.2.2 The Probdemo strains
One of the first tasks of the Probdemo project was to establish selection criteria
for probiotic strains, and then apply these specific criteria for selecting the
project strains. The preliminary selection criteria included stability in in vitro
models simulating conditions in the upper gastrointestinal tract, where probiotic
bacteria are first exposed to an acidic and protease-rich environment in the
stomach before encountering bile acids in the small intestine. Other selection
criteria employed included the ability to adhere to intestinal mucosae, the ability
to inhibit intestinal pathogens and safety to the consumers.
5, 11, 12
Application of
these selection criteria resulted in the selection of the following probiotic strains:
Table 12.5 Study themes for which an in vitro model can be used.
94
a78 Survival and effect of exogenous bacteria on the microbial ecology (probiotics and
genetically modified micro-organisms)
a78 Survival and colonisation resistance of potentially pathogenic bacteria
a78 Factors controlling the homeostatis in the intestinal microbial ecosystem
a78 Slow release of (pro)drugs and foods
a78 Deliberate transformation of (pro)drugs and food components by the micro-organisms
a78 Effect of (pro)drugs and drugs such as antibiotics on the microbial ecosystem
a78 Effect of food components (prebiotics) on microbial ecology
a78 Fermentation pattern of food components
a78 Effect of chemicals in the environment on the microbial ecology after ingestion
296 Functional foods
L. rhamnosus GG, Lactobacillus johnsonii LJ-1, Lactobacillus salivarius UCC
118, Lactobacillus crispatus M247, L. paracasei F19, and B. lactis Bb-12.
Bifidobacterium longum UCC 35624 was later included in the study due to its
promising positive influence on inflammatory bowel diseases.
Further characterisation of these strains, both at the phenotypic and genotypic
level, continued throughout the project. This led to the discovery of new
mechanisms for colonisation in the human intestinal tract such as expression of
co-aggregation proteins.
38, 39
In safety studies it was demonstrated that the genes
encoding vancomycin resistance in L. rhamnosus GG were distinct from the
transferable genes in Enterococcus, indicating that they do not pose a safety
concern in this strain.
40
The probiotic properties of the strains are now known to
be chromosomally encoded rather than being coded on potentially unstable
plasmids. Further research on the probiotic mechanisms of the project strains
(including molecular studies to determine how and where they adhere to
intestinal mucosae, inhibit pathogens and induce immunomodulation in the host)
has been performed, yielding further insights into how probiotic bacteria can be
selected and can benefit human health.
12.3 Pilot testing in clinical human trials
Probiotic strains should be safe and clinically tested prior to commercial human
use. Although this is an important aspect, no firm guidelines exist for safety
criteria. Examples of clinical and safety criteria for probiotic foods are listed in
Tables 12.6 and 12.7.
16, 41
Guidelines for probiotic clinical trials (Probdemo approach) stem from the
trial design using volunteers (healthy or diseased in case of demonstration). In a
trial design volunteers should be randomly selected from a panel of a specific
population group targeted for the trial. A number of exclusion criteria were
employed when choosing the original healthy volunteer panel. These exclusion
criteria were the following:
? antibiotic treatment during the last month
? strong chronic intestinal disorders
? chronic inflammatory diseases
? chronic viral illness
? current drug therapy
Table 12.6 Requirements for good clinical studies for probiotic bacteria.
32
a78 Defined and well-characterised strains of bacteria
a78 Well-defined strains, well-defined study preparations
a78 Double-blind, placebo controlled
a78 Randomised
a78 Results confirmed by different groups
a78 Publication in peer review journals
Probiotic functional foods 297
? pregnancy
? particular nutritional regimen (i.e. vegetarian)
? diagnosis of GI cancer
? known allergies to dairy products
? participation in other current trials.
In addition, a premature study end was considered if the volunteer:
? proceeded to take antibiotics or laxatives
? consumed other fermented products during the study period (> 3 times
overall)
? was non-compliant with the intake of the study product (> 3 days overall).
The clinical trials on probiotics should regularly run for at least several weeks
in total (usually several months, Fig. 12.2). Throughout the study the volunteers
are required to refrain from other fermented dairy products. The trial
Table 12.7 Recommendations for safety of probiotic cultures and foods (Probdemo
approach).
16
1. The producer that markets the food has the ultimate responsibility for supplying a safe
food. Probiotic foods should be as safe as other foods.
2. When the probiotic food turns out to be a novel food it hence will be subject to the
appropriate legal approval (EU directive for novel foods).
3. When a strain has a long history of safe use, it will be safe as a probiotic strain and
will not result in a novel food.
4. The best test for food safety is a well-documented history of safe human consumption.
Thus when a strain belongs to a species for which no strains are known that are
pathogenic and for which other strains have been described that have a long history of
safe use, it is likely to be safe as a probiotic strain and will not result in a novel food.
5. When a strain belongs to a species for which no pathogenic strains are known but
which do not have a history of safe use, it may be safe as a probiotic strain but will
result in a novel food and hence should be treated as such.
6. When a new strain belongs to a species for which strains are known that are
pathogenic, it will result in a novel food.
7. Proper state-of-the-art taxonomy is required to describe a probiotic strain. Today it
includes DNA¨CDNA hybridisation and rRNA sequence determination. This reasoning
specifically applies to mutants of a probiotic strain.
8. In line with recommendation 1, strains that carry transferable antibiotic resistance
genes, i.e. genes encoding proteins that inactivate antibiotics, should not be marketed.
9. Strains that have not been properly taxonomically described using the approaches as
indicated above under recommendation 7 should not be marketed. Strains should also
be deposited in an internationally recognised culture collection.
298 Functional foods
encompasses numerous important phases, the most important being a fixed time
period during which predetermined test product is consumed daily by each
volunteer (consisting of 10
8
to 10
10
probiotic bacteria as a daily dosage), and
dates when clinical samples (faecal, blood, saliva and urine) are taken from the
volunteers for analysis (Table 12.8).
12.3.1 Clinical trials: Probdemo approach
Ultimately, the only way to demonstrate that a probiotic strain can influence
human health positively is to conduct human clinical trials and measure an index
of the health of the individuals during the trial. A number of pilot human trials
were completed in the Probdemo project (Table 12.9). All of the trials were
conducted using a randomised, double-blind, placebo-controlled design. An aim
of each trial was to establish that the probiotic bacteria survive transit through
the upper gastrointestinal tract and are viable and active in the colon. Strain-
specific molecular probes and PCR-based molecular typing techniques
developed within the project demonstrated that the project strains survive
intestinal transit, and that viable probiotic bacteria can be identified in the faeces
Fig. 12.2 Example of a feeding trial for a probiotic product.
3, 47
Table 12.8 Parameters for probiotic feeding trial analysis
3, 47
In faeces 1. Microbial numbers (i.e. probiotic strain, total lactobacilli, coliforms,
Bifidobacterium, Clostridium, Bacteroides, Enterococcus).
2. Total and probiotic-specific secretory IgA.
In blood 1. General haematology, i.e. blood cell numbers, haemoglobin levels.
2. Phagocytic cell (granulocyte, monocyte) activity assessed by
measuring FITC-labelled E. coli uptake by flow cytometry.
3. Total serum antibody levels (IgG, IgM, IgE).
4. Probiotic-specific antibodies (measured by agglutination, RIA,
ELISA and flow cytometry).
5. Inflammatory markers, i.e. Erythrocyte Sedimentation Rate (ESR),
C-active Protein (CRP).
6. Inflammatory cytokines, i.e. IFN-C13, TNF-C11, IL-4, Sol. IL-2R,
Sol. IL-6R.
In saliva 1. Total and probiotic-specific secretory IgA.
Probiotic functional foods 299
of volunteers consuming probiotic product.
42
Biopsy sampling showed that L.
rhamnosus GG, L. salivarius UCC 118, L. paracasei F19 and L. crispatus M247
all adhere to and persist in the colonic mucosae.
6¨C8, 19, 43
Interestingly, L.
crispatus MU5, an isogenic mutant of L. crispatus M247 lacking the co-
aggregation protein, was unable to adhere to colonic mucosae in in vitro models
to the same degree as the parent strain. The mutant strain also failed to colonise
the colonic mucosae in vivo, demonstrating that the co-aggregation protein is
important for this strain¡¯s ability to colonise the human GI tract.
39
Molecular analysis (by temperature gradient gel electrophoresis (TGGE)
technique) on the effect of probiotics on the population dynamics of the
intestinal microbiota revealed that probiotic strains did not disturb the balance of
the major bacterial population groups. TGGE technique was also used to show
that the microbiota in infants was relatively undeveloped and in constant flux,
but was complex and quite stable in healthy adults.
44
There has long been speculation about stimulation of the immune system by
consumption of probiotic bacteria. Human clinical trials in the Probdemo project
have shown that probiotic bacteria can have positive effects on the immune
system of their host. In two separate trials, both L. johnsonii LJ-1 and L.
salivarius UCC 118 stimulated a mucosal IgA response and increased
phagocytic activity. The immunomodulation mediated by these strains was
not linked to an inflammatory response or general modification of immune
Table 12.9 Clinical pilot testing carried out in the Probdemo project during the years
1996¨C2000.
5¨C8
Clinical pilot testing Strain
Healthy children Lactobacillus rhamnosus (Valio)
Bifidobacterium lactis (Chr. Hansen)
Lactobacillus paracasei (Arla)
Children with atopic eczema Lactobacillus rhamnosus (Valio)
Bifidobacterium lactis (Chr. Hansen)
Children with rotavirus Bifidobacterium lactis (Chr. Hansen)
Children with common cold Lactobacillus rhamnosus (Valio)
Healthy adults Lactobacillus johnsonii (Nestle¡ä)
Lactobacillus salivarius (UCC)
Lactobacillus paracasei (Arla)
Adults with milk hypersensitivity, Lactobacillus paracasei (Arla)
atopic dermatitis
IBD (inflammatory bowel disease) Lactobacillus salivarius (UCC)
Bifidobacterium longum/infantis (UCC)
Elderly with Helicobacter pylori Lactobacillus paracasei (Arla)
300 Functional foods
responsiveness that could potentially have harmful effects, but was rather
associated with transient alterations beneficial to the consumer.
7, 45
Further
evidence for immunomodulation by probiotic bacteria was provided by a trial
involving children with severe atopic eczema resulting from food allergy.
Children fed L. rhamnosus GG and B. lactis Bb-12 showed a significant
improvement in clinical symptoms compared to the placebo group.
7, 8
B. lactis
Bb-12 was also tested for its ability to prevent diarrhoea in children attending
day care centres in Denmark. The strain was fed in the form of freeze-dried
powder in capsules, and although the probiotic did not reduce the incidence of
diarrhoea in these children, it did reduce the duration of diarrhoea by, on
average, one day.
8, 46
Inflammatory bowel disease (IBD) is a term used to cover a range of
incurable diseases (including Crohn¡¯s disease, ulcerative colitis and pouchitis)
with unknown aetiology that result in chronic relapsing inflammation of the gut.
In addition to a genetic predisposition, the composition and activity of the
intestinal microbiota have been proposed to play a role in these diseases.
47
Murine models for Crohn¡¯s disease and ulcerative colitis were used in the
Probdemo project to investigate the effect of L. salivarius UCC 118 and B.
longum UCC 35624 on these diseases. In both models, probiotic therapy
significantly reduced disease severity compared to placebo control groups.
48
In
preliminary human trials using biopsy sampling L. salivarius UCC 118 has been
demonstrated to colonise both healthy and diseased intestinal tissue in patients
with ulcerative colitis.
8
The Probdemo project concluded in early 2000 and the final results were
disseminated in the 4th Probdemo Workshop in Rovaniemi, Finland, February
2000.
8
This included the results of a number of clinical trials (Table 12.9). The
effect of L. rhamnosus GG on diarrhoea and respiratory infections was examined
in a trial involving 600 children in Finland. The preliminary results showed that
the number of absences due to illness was lower in the L. rhamnosus GG milk
group. The L. rhamnosus GG group also resisted the first respiratory infection
longer than the control group.
49
L. paracasei F19 strain was fed to 63 small
children for three weeks to study the faecal recovery of the strain and the
possible side-effects caused by ingestion. Results of the trial showed that L.
paracasei F19 product was readily ingested by infants and also well tolerated.
50
L. paracasei F19 was further trialled in elderly volunteers infected with the
gastric pathogen Helicobacter pylori to study the effectiveness of the probiotic
in improving these individuals¡¯ quality of life. The preliminary results indicate
that fermented milk as such (with or without added probiotic) can have an
impact on the H. pylori infection.
51
A trial examining the effect of L. paracasei
F19 on milk hypersensitivity in young adults was also performed. The pilot
study showed that milk products with L. paracasei F19 are safe and well
tolerated in healthy and in milk-hypersensitive subjects.
52
Lastly, the previously
mentioned human trials investigating the impact of Lactobacillus salivarius
UCC 118 and Bifidobacterium longum UCC 35624 on controlling IBD and
preventing relapse were completed in early 2000.
8
Probiotic functional foods 301
12.4 Processing issues in developing probiotic foods
Functional foods with probiotics are now well established in the European
market. Starting about 20 years ago, this product range has increased and is
presently known to most consumers. This is a result of intensive research and
development within the industry and the academic field. This process will go on
and new probiotic strains representing mainly lactobacilli and bifidobacteria will
be identified and introduced into new products together with strains already used
today. To be successful the food industry has to satisfy the demands of the
consumer. All foods should be safe and have excellent organoleptic properties.
Probiotic foods should also retain specific probiotic strains at a suitable level
during the storage time experienced by them. In examining existing products it
has been suggested that this is not always the case.
53
Before probiotic strains can be delivered to consumers, they must first be able
to be manufactured under industrial conditions, and then survive and retain their
functionality during storage as frozen or freeze-dried cultures, and also in the
food products into which they are finally formulated. Additionally, they must be
able to be incorporated into foods without producing off-flavours or textures.
Tasks connected to safety and technological properties of probiotic foods formed
an important part of the Probdemo project. Another part of technological studies
was to produce and characterise products for testing in clinical trials. The
industrial partners in the project collaborated to establish fermentation conditions
for all project strains to obtain an acceptable cell yield and good performance and
viability of the cultures. Strain-to-strain differences were observed in the storage
stability of freeze-dried and frozen concentrates, but conditions enabling
adequate survival of the bacteria during storage over a 12-month period could
be established for most of the project strains. Additionally, project strains were
used to produce highly acceptable and organoleptically good fermented dairy
products containing probiotics in the order of 10
8
CFU/g even at the end of the
shelf life of the products. It was demonstrated that during some conditions it was
possible to use solely the probiotic strain as the acid-producing strain. However,
usually the use of a supporter starter was a preferable way to produce high quality
products. Some of the Probdemo strains are currently used in products on the
market. It was shown that the technological properties of the commercial
products could be further improved by industrial optimisation.
54
Today, research
efforts are being made in incorporating probiotic encapsulation technology into
foods to ensure the viability and stability of probiotic cultures.
55, 56
The Probdemo project demonstrated that all the selected probiotic strains
could be used to:
54
? produce concentrated cultures of each specific strain in levels above 10
10
CFU/g with good storage properties at low temperature
? produce probiotic foods with help of a supporter culture (yoghurt culture or a
pure Streptococcus strain)
? ferment milk together with supporter cultures without inhibition of the
growth of any of the added strains
302 Functional foods
? produce probiotic foods with levels of the specified probiotic strain within
10
6
¨C10
8
CFU/g product
? produce probiotic foods with high and constant levels of the probiotic strain
when stored at low temperature for three weeks
? produce probiotic foods with an acceptable taste and flavour during the
storage time
? produce probiotic foods with acceptable stability and viscosity (in many
cases even improved quality in comparison to using solely supporter
cultures).
12.5 Future trends
Continuously increasing consumer health consciousness and exploding ex-
penditure are socio-economic factors responsible for the expanding European
and world-wide interest in functional foods. The success of functional foods will
largely depend on convincing evidence for health claims, backed by solid basic
science, as well as the efficient dissemination of accurate and comprehensible
information to consumers. The present state-of-the-art issues can be concluded
as follows:
? Functional probiotic/prebiotic foods have existed for a long time and, thanks
to science, their objective benefits can today be proven and enhanced.
? Functional probiotic/prebiotic foods will meet increasing needs and demands
from consumers including improvement of specific functions and general
well-being, and help to prevent avoidable illnesses. However, indicators of
functional benefits need to be validated.
? The food industry is capable of mass-producing a variety of functional foods
that can benefit a large number of consumers. The consumers, however, need
easy access to reliable, scientifically valid information in order to make the
right choices.
? The European food industry already has certain advantages in the area of
food and health, while the future EU research potential in the field of
nutrition and food science will enable it to become significantly more
competitive.
The recent EU projects have demonstrated that with a scientific approach to
selecting and applying probiotics, functional food products can be developed
with measurable health benefits for European consumers. Probiotic strains can
be successfully manufactured and incorporated into highly acceptable food
products where they can retain their viability and functionality. The Probdemo
project has demonstrated that probiotic bacteria can survive passage through
the upper gastrointestinal tract and can persist in the colon, including the
mucosae. There are many strain-to-strain variations, not only in their
technological properties, but also in their effects on human health. Some of
Probiotic functional foods 303
the mechanisms that are involved in producing health benefits are slowly being
elucidated, allowing better targeted screening regimes to select appropriate
strains for probiotic use. The human trials finalised to date have demonstrated
that probiotics can improve the intestinal microbiota and modulate consumers¡¯
immune systems with positive effects on health. The results of clinical trials
will no doubt provide deeper insights into mechanisms of probiotic action and,
it is to be hoped, further demonstrations of the health value of probiotic foods.
The probiotic/prebiotic concept is today widely spread in the scientific and
industrial fields. However, further scientific input is required. The human
intestine is highly involved in immune modulation and microflora are an
important component in maintaining an immunological steady state in the gut.
Important target research areas, including GI tract diagnostics and immunology,
methodology, biomarkers and functionality, will lead to tools and scientifically
sound methods for well-designed informative human studies. Clinical studies are
essential for the socio-economic success of probiotic functional foods, and they
should be tailored for specific population groups such as the elderly and babies.
Future research on probiotic bacteria will centre on selecting new and more
specific or disease-specific strains for the well-being of the host. It may well be
that different regions of the gastrointestinal tract (e.g. colon, jejunum,
duodenum, etc.) require different probiotic bacteria or mixtures of strains. This
is particularly true with states such as colon cancer, prevention of colon cancer,
rotavirus diarrhoea and gastritis caused by Helicobacter pylori. With carefully
controlled studies on selected strains the future will provide targeted probiotic
bacteria for different age groups and for prevention and treatment of specific
diseases. Additionally, mixtures of different probiotics should be carefully
studied in relation to colonic flora and also in terms of promoting and preserving
the intestinal integrity and colonisation resistance.
The future scientific and technological research trends are as follows:
8
? to inter-link the European expertise and scientific knowledge on food, GI
tract functionality and human health
? to study the mechanisms of action of probiotics and prebiotics in the GI tract,
and develop diagnostic tools and biomarkers for their assessment
? to evaluate the role of immunological biomarkers and probiotic applications
thereof
? to examine the effects of probiotics on GI diseases, GI infections and
allergies in different population groups
? to address the consumer aspects and trade-offs, and to ensure the stability and
viability of probiotic product.
304 Functional foods
12.6 Sources of further information and advice
Partners in the Probdemo Demonstration Project (FAIR CT96-1028)
Partner 1 VTT Biotechnology
PO Box 1500, FIN-02044 VTT, FINLAND
Contact: Professor Tiina Mattila-Sandholm (probiotic technology, networks)
tel: +358-50-5527243 fax:+358-9-4552028,tiina.mattila-sandholm@vtt.fi
Partner 2 Arla R & D
Torsgatan 14, S-10456 Stockholm, SWEDEN
Contact: Professor Rangne Fonde¡än (probiotic starters, technology)
tel:+46-8-6773237 fax:+46-8-203329,rangne.fonden@arla.se
Partner 3 Valio Ltd. Research and Development Centre
PO Box 390, 00100 Helsinki, FINLAND
Contact: Dr Maija Saxelin (probiotic starters, technology)
tel:+358-103813111 fax:+358 103813019,maija.saxelin@valio.fi
Partner 4 University of Wageningen
Department of Microbiology
PO Box 8033,
NL-6703 CT Wageningen, THE NETHERLANDS
Contact: Professor Willem de Vos (molecular tools for probiotics)
tel:+31-317-483100,fax:+31-317-483829,
willem.devos@algemeen.micr.wau.nl
Partner 5 Instituto di Microbiologia
Facolta¡ä di Agraria U.C.S.C.
Via Emilia Parmense 84, I-29100 Piacenza, ITALY
Contact: Professor Lorenzo Morelli (strain properties, adhesion,
aggregation) tel:+39-523599248, fax:+39 523 599246, morelli@pc.unicatt.it
Partner 6 University College Cork
Department of Microbiology
Western Road, Cork, IRELAND
Contact: Professor Kevin Collins (clinical trials, immunology)
tel:+353-21-902642,fax:+353-21-275934, dydm8006@ucc.ie
Partner 7 Nestle¡ä Research Center ¨C Nestec Ltd
PO Box 44
CH-100 Lausanne 26, SWITZERLAND
Contact: Dr Stephanie Blum, Dr. Eduardo Schiffrin (immunology,
adhesion), Dr Roberto Reniero (technology)
tel:+41-21-7858208, fax:+41-21-7858925, roberto.reniero@chlsnr.nestrd.ch
Partner 8 Chr. Hansen A/S
10¨C12 B?ge Alle¡ä, DK-H?rsholm, DENMARK
Contact: Benedikte Grenov (probiotic starters, technology)
tel:+45-45-747474, fax:+45-45-748994,beg.dk@chr-hansen.com
Partner 9 University of Turku
Department of Biochemistry and Food Chemistry
FIN-20014 Turku, FINLAND
Contact: Professor Seppo Salminen, Dr Erika Isolauri (clinical trials,
allergies, immunology) tel:+358-400-601394,
fax:+358-2-3336860,sepsal@utu.fi
Probiotic functional foods 305
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22 NIKU-PAAVOLA, M.-L., LATVA-KALA, K., LAITILA, A., MATTILA-SANDHOLM, T.
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MARK, S. ¡®Administration of different Lactobacillus strains in fermented
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30 MIETTINEN, M., ALANDER, M., VON WRIGHT, A., VUOPIO-VARKILA, J., MARTEAU,
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responses of probiotic strains after passage through a gastrointestinal
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tumornecrosis factor alpha, interleukin-6 and interleukin-10 is induced by
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VERVIK, E., RAFTER, J., NORD, C.E. and GUSTAFSSON, J.-A
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of Lactobacillus acidophilus supplementation on mutagen excretion in
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¨
TY, K. and MYKKA
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NEN, H. ¡®High fibre diet,
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Acid Bacteria Conference, Cork, Ireland, p. A14, 1995.
38 MORELLI, L., CESENA, C., LUCCHINI, F., CALLEGARI, M.L., ALANDER, M.,
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vitro and in vivo¡¯, Novel Methods for Probiotic Research. 2
nd
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39 CESENA, C., MORELLI, L., ALANDER, M., SILJANDER, T., SATOKARI, R., MATTILA-
SANDHOLM, T., VILPPONEN-SALMELA, T. and VON WRIGHT, A. ¡®Lactobacillus
crispatus and its non-aggregating mutant in human colonization trials¡¯, J
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40 TYNKKYNEN, S., SINGH, K.V. and VARMANEN, P. ¡®Vancomycin resistance
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211¨C54, Lactic Acid Bacteria: Microbiology and Functional Aspects, New
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42 LUCCHINI, F., KMET, V., CESENA, C., COPPI, L., BOTTAZZI, V. and MORELLI, L.
¡®Specific detection of a probiotic strain in faecal samples by using multiplex
PCR¡¯, FEMS Microbiol Lett, 1998, 158, 273¨C8.
43 ALANDER, M., SATOKARI, R., KORPELA, R., SAXELIN, M., VILPPONEN-SALMELA,
T., MATTILA-SANDHOLM, T. and VON WRIGHT, A. ¡®Persistence of colonization
of human colonic mucosa by a probiotic strain, Lactobacillus rhamnosus
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48 DUNNE, C., MURPHY, L., FLYNN, S., O¡¯MAHONY, L., O¡¯HALLORAN, S., FEENEY, M.,
MORRISEY, D., THORNTON, G., FITZGERALD, G., DALY, C., KIELY, B., QUIGLEY,
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49 HATAKKA, K., SAVILAHTI, E., SAXELIN, M., PO
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NKA
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effects in children given Lactobacillus F19 or placebo¡¯, Functional Foods
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51 VIITANEN, M., NORD, C.-E., HAMMARSTRO
¨
M, L., OHLSON, K. and FONDEN, R.
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Foods for EU Health in 2000, 4th Workshop, FAIR CT96-1028,
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eds), Rovaniemi, Finland, p. 74, 2000.
52 PELTO, L., LAGSTRO
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M, H., KANKAANPA
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A
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SALMINEN, S. ¡®Safety and tolerance of Lactobacillus paracasei F19 in milk-
hypersensitive subjects: a pilot study¡¯, Functional Foods for EU Health in
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6, 2000.
53 HAMILTON-MILLER, J., SHAH, S. and WINKLER, J. ¡®Public health issues arising
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54 FONDEN, R., GRENOV, B., RENIERO, R., SAXELIN, M. and BIRKELAND, S.E.
¡®Technological aspects for probiotics, industrial panel statements¡¯, Func-
tional Foods for EU Health in 2000, 4th Workshop, FAIR CT96-1028,
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RINEN, P., FORSSELL, P., VON WRIGHT, A., ALANDER, M. and MATTILA-
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56 MYLLA
¨
RINEN, P., FORSSELL, P., WRIGHT, A., ALANDER, M., MATTILA-SAND-
HOLM, T. and POUTANEN, K. ¡®The use of starch as a capsulation material for
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57 SIITONEN, S., VAPAATALO, H., SALMINEN, S., GORDIN, A. SAXELIN, M., WIKBERG,
R. and KIRKKOLA, A.L. ¡®Effect of Lactobacillus GG yoghurt in prevention of
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60 HOSODA, M., HE, F., HIRAMATU, M., HASHIMOTO, H. and BENNO, Y. ¡®Effects of
Lactobacillus GG intake on fecal microflora and defecation in healthy
volunteers¡¯, Bifidus, 1994, 8,21¨C8.
61 ISOLAURI, E., JUNTUNEN, M., RAUTANEN, T., SILLANAUKEE, P. and KOIVULA, T.
¡®A human Lactobacillus strain (Lactobacillus casei sp. strain GG) promotes
recovery from acute diarrhoea in children¡¯, Pediatrics, 1991, 88,90¨C7.
62 ISOLAURI, E., KAILA, M., MYKKA
¨
NEN, H., LING, W.H. and SALMINEN, S. ¡®Oral
bacteriotherapy for viral gastroenteritis¡¯, Dig Dis Sci, 1994, 39, 2595¨C600.
63 MAJAMAA, H., ISOLAURI, E., SAXELIN, M. and VESIKARI, T. ¡®Lactic acid bacteria
in the treatment of acute rotavirus gastroenteritis¡¯, J Pediatr Gastroenterol
Nutr, 1995, 20, 333¨C8.
64 RAZA, S., GRAHAM, S.M., ALLEN, S.J., SULTANA, S., CUEVAS, L. and HART, C.A.
¡®Lactobacillus GG promotes recovery from acute nonbloody diarrhea in
Pakistan¡¯, Pediatr Infect Dis J, 1995, 14, 107¨C11.
65 HILTON, E., KOLAKOWSKI, P., SINGER, C. and SMITH, M. ¡®Efficacy of
Lactobacillus GG as a diarrhea preventative¡¯, J Travel Med, 1997, 4,41¨C3.
66 SHORNIKOVA, A.V., ISOLAURI, E., BURKANOVA, L., LUKOVNIKOVA, S. and
VESIKARI, T. ¡®A trial in Karelian republic of oral rehydration and
Lactobacillus GG for treatment of acute diarrhoea¡¯, Acta Paediatr, 1997,
86,460¨C5.
67 PELTO, L., ISOLAURI, E., LILIUS, E.M., NUUTILA, J. and SALMINEN, S. ¡®Probiotic
bacteria down-regulate the milk-induced inflammatory response in milk-
hypersensitive subjects but have an immunostimulatory effect in healthy
subjects¡¯, Clin Exp Allergy, 1998, 28, 1474¨C9.
68 RAUTANEN, T., ISOLAURI, E., SALO, E. and VESIKARI, T. ¡®Management of acute
diarrhoea with low osmolarity oral rehydration solution and Lactobacillus
310 Functional foods
strain GG¡¯, Arc Dis Child, 1998, 79, 157¨C60.
69 ARVOLA, T., LAIHO, K., TORKKELI, S., MYKKA
¨
NEN, H., SALMINEN, S., MAUNULA,
L. and ISOLAURI, E. ¡®Prophylactic Lactobacillus GG reduces antibiotic-
associated diarrhea in children with respiratory infections: a randomized
study¡¯, Pediatrics, 1999, 104, e64.
70 LINK-AMSTER, H., ROCHAT, F., SAUDAN, K.Y., MIGNOT, O. and AESCHLIMAN, J.M.
¡®Modulation of a specific humoral immune response and changes in
intestinal flora mediated through fermented milk intake¡¯, FEMS Immunol
Med Microbiol, 1994, 10,55¨C63.
71 SCHIFFRIN, E.J., ROCHAT, F., LINK-ANGLER, H., AESCHLIMANN, J.M. and
DONNET-HUGHES, A. ¡®Immuno-modulation of human blood cells following
the ingestion of lactic acid bacteria¡¯, J Dairy Sci, 1995, 78, 491¨C7.
72 MARTEAU, P., VAERMAN, J.P., DEHENNIN, J.P., BORD, S., BRASSART, D., POCHART,
P., DESJEUX, J.F. and RAMBAUD, J.C. ¡®Effects of intrajejunal perfusion and
chronic ingestion of Lactobacillus johnsonii strainLa1onserum
concentrations and jejunal secretions of immunoglobulins and serum
proteins in healthy humans¡¯, Gastroente¡ärologie Clinique et Biologique,
1997, 21 293¨C8.
73 MICHETTI, P., DORTA, G., WIESEL, P.H., BRASSART, D., VERDU, E., HERRANZ, M.,
FELLEY, C., PORTA, N., ROUVET, M., BLUM, A.L. and CORTHESY-THEULAZ, I.
¡®Effect of whey-based culture supernatant of Lactobacillus acidophilus
(johnsonii) La1 on Helicobacter pylori infection in humans¡¯, Digestion,
1999, 60, 203¨C9.
74 DONNET-HUGHES, A., ROCHAT, F., SERRANT, P., AESCHLIMANN, J.M. and
SCHIFFRIN, J.E. ¡®Modulation of nonspecific mechanisms of defense by lactic
acid bacteria: effective dose¡¯, J Dairy Sci, 1999, 82, 863¨C9.
75 BLACK, F.T., ANDERSEN, P.L., ORSKOV, J., ORSKOV, F., GAARSLEV, K. and
LAULUND, S. ¡®Prophylactic efficacy of lactobacilli on traveller¡¯s diarrhoea¡¯.
In Travel Medicine, 1st Conference on international travel medicine, April
1988, Zurich, Switzerland, Berlin, New York, Springer-Verlag Company,
1989, 333¨C5.
76 BLACK, F., EINARSSON, K., LIDBECK, A., ORRHAGE, K. and NORD, C.E. ¡®Effect of
lactic acid producing bacteria on the human intestinal microflora during
ampicillin treatment¡¯, Scand J Infect Dis, 1991, 23,247¨C54.
77 MARTEAU, P., POCHART, P., FLOURIE, B., PELLIER, P., SANTOS, L., DESJEUX, J.F.
and RAMBAUD, J.C. ¡®Effect of chronic ingestion of a fermented dairy product
containing Lactobacillus acidophilus and Bifidobacterium bifidum on
metabolic activities of the colonic flora in humans¡¯, Am J Clin Nutr,
1990, 52, 685¨C8.
78 ALM, L., RYD-KJELLEN, E., SETTERBERG, G. and BLOMQUIST, L. ¡®Effect of a
new fermented milk product ¡®¡®Cultura¡¯¡¯ on constipation in geriatric
patients¡¯, 1st Lactic Acid Bacteria Computer Conference, 1993.
79 SAAVEDRA, J.M., BAUMAN, N.A., OUNG, I., PERMAN, J.A. and YOLKEN, R.H.
¡®Feeding of Bifidobacterium bifidum and Streptococcus thermophilus to
infants in hospital for prevention of diarrhea and shedding of rotavirus¡¯,
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Lancet, 1994, 344, 1046¨C9.
80 FUKUSHIMA, Y., KAWATA, Y., HARA, H., TERADA, A. and MITSUOKA, T. ¡®Effect
of a probiotic formula on intestinal immunoglobulin A production in
healthy children¡¯, Int J Food Microbiol, 1998, 42,39¨C44.
81 WOLF, B.W., GARLEB, D.G. and CASAS, I. ¡®Safety and tolerance of
Lactobacillus reuteri in healthy adult male subjects¡¯, Microb Ecol Health
Dis, 1995, 8,41¨C50.
82 SHORNIKOVA, A.V., CASAS, I.A., MYKKA
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NEN, H. and VESIKARI, T. ¡®Bacter-
iotherapy with Lactobacillus reuteri in rotavirus gastroenteritis¡¯, Pediatr
Infect Dis, 1997, 16, 1103¨C7.
83 SHORNIKOVA, A.V., CASAS, I., ISOLAURI, E., MYKKA
¨
NEN, H. and VESIKARI, T.
¡®Lactobacillus reuteri as a therapeutic agent in acute diarrhea in young
children¡¯, J Ped Gastroenterol Nutr, 1997, 24, 399¨C404.
84 WOLF, B.W., WHEELER, K.B., ATAYA, D.G. and GARLEB, K.A. ¡®Safety and
tolerance of Lactobacillus reuteri supplementation to a population infected
with human immunodeficiency virus¡¯, Food Chem Toxicol, 1998, 36, 1085¨C
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85 ASO, Y. and AKAZAN, H. ¡®Prophylactic effect of a Lactobacillus casei
preparation on the recurrence of superficial bladder cancer¡¯, Urol Int, 1992,
49,125¨C9.
86 TANAKA, R. and OHWAKI, M.A. ¡®Controlled study on the ingestion of
Lactobacillus casei fermented milk on the intestinal microflora, its
microbiology and immune system in healthy adults¡¯, Proceedings of XII
Riken Symposium on Intestinal Flora, Tokyo, Japan. pp. 85¨C104, 1994.
87 ASO, Y., AKAZAN, H., KOTAKE, T., TSUKAMOTO, T., IMAI, K. and NAITO, S.
¡®Preventive effect of a Lactobacillus casei preparation on the recurrence of
superficial bladder cancer in a double-blind trial¡¯, Eur Urol, 1995, 27, 104¨C
9.
88 SPANHAAK, S., HAVENAAR, R. and SCHAAFSMA, G. ¡®The effect of consumption
of milk fermented by Lactobacillus casei strain Shirota on the intestinal
microflora and immune parameters in humans¡¯, Eur J Clin Nutr, 1998, 52,
899¨C907.
89 JOHANSSON, M.-L., NOBAEK, S., BERGGREN, A., NYMAN, M., BJO
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RCK, I., AHRNE,
S., JEPPSSON, B. and MOLIN, G. ¡®Survival of Lactobacillus plantarum DSM
9843 (299v), and effect on the short-chain fatty acid content of faeces after
ingestion of a rose-hip drink with fermented oats¡¯, Int J Food Microbiol,
1998, 42,29¨C38.
90 SURAWICZ, C.M., ELMER, G.W., SPEELMAN, P., MCFARLAND, L., CHINN, J. and
VAN BELLE, G. ¡®Prevention of antibiotic-associated diarrhea by
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84, 981¨C8.
91 MCFARLAND, L.V., SURAWICZ, C.M. and GREENBERG, R.N. ¡®A randomised
placebo-controlled trial of Saccharomyces boulardii in combination with
standard antibiotics for Clostridium difficile disease¡¯, JAMA, 1994, 271,
1913¨C18.
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92 BLEICHNER, G., BLEHAUT, H., MENTEC, H. and MOYSE, D. ¡®Saccharomyces
boulardii prevents diarrhea in critically ill tube-fed patients. A multicenter,
randomized, double-blind placebo-controlled trial¡¯, Intensive Care Med,
1997, 23, 517¨C23.
93 MOLLY, K. ¡®Development, validation and application of a simulation of the
gastrointestinal microbial ecosystem¡¯, PhD thesis, University of Ghent.
Appl. Biol. Sciences, Section Cell- and Genebiotechnology, 1995.
Probiotic functional foods 313
13.1 Introduction
The term ¡®dietary fibre¡¯ was first coined in 1953 by Hispley to describe plant
cell wall components of foods, which he suggested to be protective against
toxemia during pregnancy. However, the dietary fibre hypothesis really emerged
in the 1970s from medical workers working on the relationships between diet
and incidence of chronic disease, in particular the role of polysaccharides in the
diet (Walker 1974, Burkitt 1983, Burkitt and Trowell 1975). For more than two
decades, data regarding the beneficial effects of dietary fibre have been
accumulating. These materials may participate in the regulation of the
gastrointestinal motility, influence glucose and lipid metabolism, promote
faecal ouput, stimulate bacterial metabolic activity, detoxify the colon luminal
contents and contribute towards maintaining the equilibrium of the colon
ecosystem and integrity of intestinal mucosa (FAO/WHO 1997, Cherbut et al.
1995, Guillon et al. 1998a, Kritchevesky and Bonfield 1995, Re¡äme¡äsy 1996,
Schweizer and Edwards 1992, Southgate et al. 1991). In this respect, dietary
fibre can fit the definition of functional food by the fact that it can affect one or
more targeted functions in the body in a positive manner (Diplock et al. 1999).
However, despite the tremendous amount of work carried out all over the
world, the mechanisms of actions on the functions of the body are not fully
understood. A major finding is that it is not only the amount but also the type of
dietary fibre that influences physiological response to intake, although emphasis
remains on increased dietary fibre intake. The physicochemical properties of
dietary fibre and their digestive fate have been shown to play a key role in gut
function. These properties are related to the source, the processing history of
fibre and the form by which it is ingested. Dietary fibre may be present in the
13
Dietary fibre functional products
F. Guillon (URPOI, Centre de Recherches INRA, Nantes),
M. Champ (UFDNH, Centre de Recherches INRA, Nantes),
J.-F. Thibault (URPOI, Centre de Recherches INRA, Nantes)
diet as plant cell walls or as isolated molecules, endogenous or supplement
constituents of food. The chemical structure of dietary constituents and the way
the molecules assemble are important in determining their properties. During
processing, major changes can occur in the architecture of plant cell walls and in
structural features of individual molecules, which can markedly affect fibre
properties, food properties and dietary response.
13.2 Defining dietary fibre
The definition of dietary fibre has been a matter of controversy and, today, it is
still not fully agreed upon by experts in the field. Over the years, several
definitions have been used based on different concepts (Tables 13.1 and 13.2).
These definitions can be grouped into three main views. The first relies on a
¡®botanical¡¯ view; and regards dietary fibre as mainly plant cell walls
constituents. The second group of definitions is based on a chemical view and
Table 13.1 Different definitions of dietary fibre (from Dysseler 1997)
Authors Polymers included in the definition
Trowell 1972 Cellulose, lignin, hemicelluloses, pectins
(skeletal remains of plant cells)
Trowell 1974 Cell wall polysaccharides + lignin + unavailable
associated substances (cutin, suberin, phytic acids)
Trowell et al. 1976 Unavailable storage polysaccharides + cell-wall
polysaccharides + lignin
Southgate et al. 1978 Unavailable polysaccharides + lignin
Southgate et al. 1981 Non-starch polysaccharides + lignin
Cummings and Englyst 1987 Non-starch polysaccharides
Table 13.2 Suggested definition by organisation or countries (from Dysseler 1997)
Organisation or countries Definition and constituents of dietary fibre
COST (1994) Lignin, inositolphosphate, resistant starch,
oligosaccharides, plant cell-wall polysaccharides, inulin,
polydextrose
CIAA (1992) Organic constituents non-hydrolysed by human digestive
enzymes
CEEREAL (1993) Indigestible polysaccharides + lignin
Belgium (1993) Indigestible oligo + indigestible polysaccharides + lignin
Croatia, Germany, Norway Indigestible polysaccharides + lignin
and Sweden (1993)
Scientific Committee for Oligosaccharides and polysaccharides and hydrophilic
Foods (1994) derivatives that are not digested and not absorbed in the
upper gut of humans, including lignin
316 Functional foods
on related methods used for the measurement of dietary fibre in food. It includes
mostly non-starch polysaccharides. The last is based on the physiological and
nutritional consequences of eating dietary fibre; the definition includes all
polysaccharide and lignin that resist digestion in the upper gastrointestinal tract.
Recently, this definition has been expanded to include oligosaccharides not
digested in the small intestine.
This last definition seems to be the most consensual, although it is difficult to
formalise in a precise legalistic sense. It includes a wide array of compounds
(Table 13.3) that vary in chemical structure, and properties: non-starch
polysaccharides from plant cell walls, lignin but also gums, microbial
polysaccharides, inulin, resistant starch and oligosaccharides.
Resistant starch (RS) is a particular case. The definition suggested by the
group of experts relies on a physiological concept. RS is defined as the sum of
starch and the products of starch degradation not absorbed in the small intestine
of healthy individuals (Asp 1992, Asp et al. 1996). As a matter of fact there are
many reasons why starch may be incompletely digested and absorbed during
passage through the digestive tract. It can be divided into extrinsic or intrinsic
factors. Extrinsic factors are related to the environment of starch in food, for
example enclosure in intact cells. Intrinsic factors refer to the characteristics of
the starch, resistant native starch granules, chemically modified starches, and
retrograded starch occurring in processed foods. The predominant methods used
for determination of total dietary fibre (TDF) (AOAC 1995) lead to an
underestimation of resistant starch. Alternative analytical methods have been
proposed to predict the ileal digestibility of starch in healthy subjects. They have
been validated on the basis of in vivo data (Champ et al. 1999) or ileostomates
(Asp et al. 1996). These methods are not exempt from criticism and none of
them presently available has been shown to measure all RS.
Non-digestible oligosaccharides, also referred to as resistant oligosacchar-
ides, are defined based on physiological (they resist hydrolysis by acid and
enzymes in the upper gut due the nature of their glycosidic linkages) and
chemical criteria (degree of polymerisation). The precise boundary between
oligosaccharides and polysaccharides is arbitrary but generally oligosaccharides
are defined as saccharides containing from 3 to 10 monosaccharides (< 10: FAO/
WHO 1997; 10: Asp et al. 1992, Cho et al. 1999, Voragen 1998). This definition
includes oligosaccharides with prebiotic properties with a degree of polymer-
isation in the range 3¨C10. Some of the most important oligosaccharides are
fructoligosaccharides and alpha galactosides. The predominant methods used for
the determination of total dietary fibre do not measure oligosaccharides because
of their ethanol/water solubility. Specific enzymatic or HPLC methods have
been employed to measure oligosaccharides directly in foods (Coussement
1999). Adaptations of the AOAC method have been applied with success to
determine oligofructosaccharides in foods (Dysseler et al. 1999).
Dietary fibre functional products 317
Table 13.3 Classification and chemical characteristics of the main dietary fibres. (Adapted from Lineback 1999, Dreher 1999.)
Class Components Structure (bonds backbone) in Main sources
Polysaccharides of Cellulose C12-D- glucan (4-linked) No fractionated plant material
cell walls in higher Hemicelluloses
plants Xyloglucans (4-linked D-glucans with attached side chains) Dicotyledons
Xylans (C98-D-4 linked) Dicotyledons
Arabinoxylans-Glucuronoarabinoxylans Monocotyledons
Mixed linkage C12-D-glucan (3- and 4-linked) Monocotyledons, more abundant
in barley, oat grains
Pectic susbtances Galacturonans and rhamnogalacturonans Dicotyledons
Arabinan(alpha-L-5 linked, with attached side chains)
Arabinogalactan 1 (beta-D-4 linked galactan with attached
side chains)
Other molecules Lignin Complex polyphenolic polymer Mature plants
Hydrocolloids from Carageenans Sulfated polymers composed of galactose and anhydrogalactose Red seaweeds, mainly
seaweed extracts Chondrus crispus
Alginates Polymers of D-mannuronic and L guluronic acids, monomers Brown seaweeds; mainly
occur in blocks Laminaria digitata, Stipes of
Laminaria hyperborea,
Ascophyllum nodosum
Fucus serratus
Microbial sources Xanthan gum Backbone identical to cellulose with trisaccharide side-chains Xanthomonas campestris
composed of alpha D mannose, beta-D-glucuronic acid and a
terminal beta-D mannose
Gellan gum Linear backbone composed of Pseudomonas elodea
1,3-beta-D-glucose, 1,4-beta-D-glucuronic acid, 1,4
beta-D-glucose and 1,4-alpha D rhamnose
Plant exudates Gum arabic Structure close to arabinogalactan of type II with more complex From different species of acacia
side chains
Gum Karaya Structure close to pectins; side chains containing glucuronic acid Sterculia
Gum tragacanth Pectic and arabinogalactan II structures Astragalus gummifer
Seeds extracts Guar gum Galactomannan, ratio D-galactose to D-mannose : 1 : 2 Endosperm of leguminosae seeds
Cyamopsis teragonolobus
Locust bean Galactomannan, ratio D-galactose to D-mannose : 1 : 4 Cerotona siliqua
(carob) gum
Psyllium Polysaccharide composed of arabinose, xylose and galacturonic Plantago ovata
acid
Roots extracts Konjac Acetylated glucomannan Amorphophallus konjac
Modified cellulose Modified cellulose Carboxymethyl cellulose
and pectins Methyl cellulose
Hydroxypropylmethyl cellulose
Pectins Low and high methyl esterified Apple pomace, citrus peel
Amidated pectins
Resistant starches Alpha1-4,1-6-linked glucose units
Physical trapped Whole grains, legume seeds
starches and cereals
Table 13.3 Continued
Class Components Structure (bonds backbone) in Main sources
Table 13.3 Continued
Class Components Structure (bonds backbone) in Main sources
Resistant starch Native starches having a B-type X ray diffraction pattern Raw potato, green banana;
granules high amylose starches
Retrograded High amylose starch
amylose
Oligosaccharides Fructo- Oligosaccharides mainly composed of fructose, Extracted from chicory roots
oligosaccharides (Glucosyl (fructosyl)
n
fructose) (RaftiloseC213) or enzymatically
synthesised from saccharose
(ActilightC213, Neosugar)
C11-galactosides Saccharose (galactose)
n
= from 1 to 3 Pulse (beans, lentils, peas)
(raffinose,
stachyose,
verbascose)
13.3 Sources of dietary fibre
Within food systems, dietary fibre is found in two main forms: as intrinsic
constituents of various plant foods or as additions as a supplement. As
supplements, they can be used as ingredients (> 5%) or additives (< 5%).
13.3.1 Endogeneous
Cereals and cereal products, roots, tubers, vegetables, nuts and fruits are all
sources of dietary fibre. When considering dietary fibre in these foods, it is
mainly the role of cell walls that is being considered. The cell wall is a dynamic
complex structure surrounding the plant cells, exterior to the plasmalemma. The
composition and the properties are constantly adapted to growth, differentiation
and variations in the environment of the cell. Schematically, cell walls can be
divided into two classes: primary cell walls are those deposited by growing plant
cells; they are thin and hydrated. The primary cell wall of most flowering plants
is a composite polymeric structure in which crystalline cellulose interlocked
with xyloglucans is embedded in a matrix of pectic polysaccharides, with a
small amount of the structural proteins intercalated in the matrix (Carpita and
Gibeaut 1993, Cosgrove 1997, Selvendran and Robertson 1990).
The individual macromolecules are held together by covalent, ionic,
hydrogen bonds and van der Waals forces. Physical enmeshment may also be
involved. Cellulose plays a major role in determining the strength of the cell
wall; xyloglucans may bind tightly to the surface of cellulose and act as a
lubricating agent to prevent cellulose aggregation. Pectins are thought to
determine the porosity of the cell walls and thus limit the diffusion of molecules
through the walls; they may control the charge environment of microdomains in
the cell walls; they may be involved in the defence response of the plant against
invading organisms. Primary cell walls can vary in composition, thickness and
morphology, depending on the source and physiological stage of the plant. This
type of wall is found in parenchymatous tissue, which is the major tissue of the
pulp of fruits and vegetables. In grasses, the branched arabinoxylans and mixed
linked beta glucans are thought to play the role that xyloglucans play in
dicotyledons (Carpita and Gibeaut 1993).
As primary cell walls cease growth, the walls become thicker by deposition
of more layers of matrix polysaccharides and cellulose. They can be
impregnated with lignin to form stiff and uncompressible walls. The cells with
thickened walls have specialised functions, providing rigidity, transporting
water and nutrients or protecting the plant from desiccation or predators. They
are part of the epidermis, collenchyma, sclerenchyma and vascular conducting
tissues. These tissues generally may contribute a small amount of the plant
material ingested but may also play a major role in the physical effects of fibre.
Some substances such as cutin, suberin, complex internal ester of hydroxy
aliphatic acids may be deposited at the epidermal or subepidermal surface of
organs (stems, leaves or roots, tubers). They prevent water loss and impede
microbial digestion of the external walls.
Dietary fibre functional products 321
Physically inaccessible starch found in partly milled grains and seeds and
starchy foods cooked and cooled can be regarded as a natural source of RS.
Fructans such as inulin and fructoligosaccharides occur as photosynthetic
products of storage in a number of plants such as Jerusalem artichokes, onions,
asparagus, chicory, leek, garlic. In Jerusalem artichokes and onions, they may
account for up to 60¨C70% of the dry matter.
Another example of naturally occurring oligosaccharides are the alpha
galactosides (Voragen 1998). Alpha galactosides derived from sucrose
(raffinose, stachyose, verbascose) are mainly in leguminous seeds. They
account for 2¨C8% of the dry matter. Another group of alpha galactosides in
legumes are glucose galactosides (melibiose and mannitriose) and inositol
galactosides (galactinol, galactopinitol, ciceritol). Ciceritol has been reported as
the major alpha galctosides in chickpeas (Quemener and Brillouet 1983,
Bernabe¡ä et al. 1993). In seeds, the exact role(s) of alpha galactosides is not
clearly established. It has been suggested that they may be storage molecules as
they disappear at the onset of sprouting. They can also participate in the
protection of seed against desiccation and freezing. There are some differences
between flatulence-inducing potential alpha galactosides. Ciceritol may be less
flatogenic than sucrose galactosides (Fleming 1981).
We consume different organs of the plant, and each contain a range of
different tissues and cell types (Table 13.4). These different levels of
organisation must be taken into account to further understand the behaviour
of fibre under processing and their physiological implications.
13.3.2 Supplements
Concentrates
Fibre concentrates arise mainly from the processing of fruit, vegetable, legume
or cereal sources (Guillon and Thibault 1996). Fibre concentrates are, by
definition, fibre enriched. Concentrated sources of dietary fibre from fruits and
vegetables can be obtained through dehydration processes. These concentrates
potentially can be used as ingredients for high fibre products. The appearance of
the ingredient and its functionality will depend on the fibre matrix and changes
induced by the treatments. Heated force air dehydration can lead to some
collapses of the cell walls while freeze-drying, or instant controlled depression
can better preserve the walls and thus the appearance and texture of the product.
Concentrates can also be co-products of agricultural and food by-products.
They result from mechanical treatment aiming at separating different tissues in
plant material or from extraction processes for isolating particular components
such as pectins, starch, proteins or juice.
Bran from cereals is the coarse outer layer of the kernel and is generally
separated from cleaned and scoured grains during milling. In parboiled rice, the
harvested rice is subjected to soaking and steaming before being dried and
milled. Oat bran is probably the most popular bran product. It has been
introduced, with success, into reduced-calorie breads, baked goods, beverages
322 Functional foods
Table 13.4 Structure of plant foods. (Adapted from Southgate 1995.)
Plant foods Main tissues present
Cereal foods Flours, product derived from flours Thin wall structures from the endosperm extensively broken
Whole grains Grains almost intact; the cellular structure is retained
Brans Thicker, more lignified walls (pericarp, seed coat, nucellar layer) with small
amounts of endospermal walls (aleurone, layer, some amount of the starch
endosperm)
Fruits For the most part undifferentiated parenchymatous tissues with small amount
of lignified vascular tissues. Outer skin cutinised
Leafy vegetables Leaves, petioles, stems and associated Parenchymatous tissues and variable amounts of vascular and support tissues.
structures such as flowers Outer tissues cutinised and may be suberinised
Seed legumes Thick, not lignified seed coats which are cutinised
The cotyledons (or endospermal tissues) with rather thick walls compared to
those encountered in the cereal endosperm
Tubers Suberinised skin; thin wall undifferentiated cells with storage polysaccharides
Vascular lignified tissues in small amount
Roots Outer tissues often suberinised; most of the time undifferentiated tissues except
in mature roots where vascular lignified tissues may be significantly developed
and meat substitutes. Rice bran may be as effective as oat bran in lowering blood
cholesterol and this has stimulated interest for the product. It can be added to
baked goods, breads, snacks and extruded foodstuffs. Seed legumes are also a
source of fibre concentrate, obtained from milled or dehulled seeds fractionated
to obtain starch and protein concentrates. Two types of fibre with distinct
characteristics are generated: from the hulls and the residual cotyledons.
Sugar fibre can derive from sugar beet pulp, co-product from the sugar beet
industry or directly produced from the beet root as starting material. In the first
two cases, the roots are first washed to eliminate the bulk of sand and process to
extract sucrose. In the latter case, the process is adapted to minimise or avoid
colour and odour formation during processing. In the first case, the beet pulp is
further treated to remove taste, colour and odour. Then the fibre is dried. Several
processe have been patented and sugar beet fibre is now available on the market
under various trade names.
The precursors of fruit fibre concentrates correspond mostly to the tissues
produced upon expression of fruit juice. The pulp is generally extensively
washed to remove residual sugars and then dried. Generally they exhibit unique
flavour and taste.
The composition and properties of these fibres depend on the major
constitutive tissues, and preservation of the cell integrity on the processing
(Table 13.5) they are going through. Concentrates are generally incorporated
into foods to increase the dietary fibre content of food. Fibre ingredients that
exhibit high water retention capacity can be used as bulking agents or fat
replacers (Table 13.6). Depending on their end use, many of the fibre ingredients
are undergoing further processing to improve their functionality and, therefore,
extend their use.
Isolates
Isolates are obtained either by extraction in liquid medium, purification and
recovery of one type of polysaccharides (pectins, alginates, carrageenans, beta
glucans inulin, alpha galactosides), by drying and grinding of native exsudates
(arabic, ghatti gums) or by organic synthesis (polydextrose). The extraction
conditions differ according to the polysaccharides extracted. Guar and carob
gum flours are prepared from milled cotyledons. Beta glucan preparations (oat
gum) can be obtained by wet milling of oat grain. Many of the isolated
polysaccharides find industrial applications as techno-functional ingredients
(thickening agents or emulsion stabilisers) (see Table 13.6). In this context, they
are used at set concentrations (usually 0.5¨C2.0%). The incorporation in high
amounts of polysaccharides with texturing properties, apart from necessitating
adaptation of the formulation and technology, may have detrimental effects on
the organoleptic properties of the end products.
The major products sold as cellulose fibre preparation are derived from
woody plants through pulping and bleaching process. The bleached cellulose
pulp is a white product, which may then be dried and mechanically sized (Ang
and Miller 1991). The manufacturing processes likely differ between
324 Functional foods
Table 13.5 Chemical composition of some fibre concentrates
Fibre TDF Rha-Fuc Ara Xyl Man Gal Glc* Uronic Lignin Starch Proteins Ashes
acid
Wheat bran
1
50.4 nd 9.6 16.5 1.3 1.2 11.0 (98%) 6.6 2.6 18.6 15.8 4.0
Oat bran
2
86.2 nd 4.1 26.3 0.1 1.2 45.2 (83%) nd 14.9 nd 4.5 5.6
Maize bran
2
71.9 nd 4.5 8.6 0.1 1.2 56.4 (94%) nd 1.2 nd 8.8 2.1
Barley bran
2
72.6 nd 6.3 21.7 0.1 0.7 33.5 (84%) nd 10.4 nd 9.4 6.9
Apple fibre
3
83.3 1.1 6.8 4.9 1.3 4.0 22.2 20.6 nd 7.0 6.2 1.2
Citrus fibre
3
76.0 1.3 8.0 2.7 2.0 6.0 20.6 30.0 nd traces 7.0 5.1
Soy fibre (cotyledon)
4
79.8 3.6 12.9 4.7 1.2 27.0 12.4 15.8 nd nd nd nd
Soy fibre (hull)
4
75.6 1.3 5.7 9.4 5.4 2.8 39.9 10.2 nd nd nd nd
Sugar beet
3
76.8 1.0 19.5 1.4 1.4 4.1 18.0 19.0 1.8 traces 9.6 4.7
Pea fibre (hull)
5
91.5 0.9 4.2 14.6 1.0 1.2 45.1 12.7 nd 0.0 3.8 1.7
Notes:
1
Ralet et al. 1990;
2
Schimberni et al. 1982;
3
Cloutour, 1995;
4
Lo, 1989;
5
Ralet et al. 1993
* non-starch glucose, () percentage of cellulosic glucose, nd: not determined
Table 13.6 Some examples of fibre preparations used as ingredients
Fibres Reference Supplier Characteristics Physiological effects
Oat fibre Oat fibre herbacel Herbafood 88¨C98% total dietary fibre, mainly insoluble
HF 01-HF 07 Nahrungsmittell Colour: white
Flavour: neutral
Available in different particle size
Water retention capacity: 7g H2O g/g dry matter
Application: bakery goods, meat products
With a combination of low viscosity pectins in
beverages
Wheat fibre Vitacel wheat fibre JRS 98% total dietary fibre
Colour: white
Flavour/taste: neutral
Available in different particle size
Water retention capacity: from 3.5 to 7.4g H20 g/g
dry matter according to the particle size
Applications: baked goods, processed meat, fish,
pasta extruded product, sausage
Orange fibre Vitacel orange fibre JRS 60% dietary fibre, about half as soluble
Colour: bright yellow
Flavour and taste: slightly bitter
Available in different particle size
Water retention capacity: about 8 g H2O g/g
dry matter
Applications: fruit preparations, snacks, dry
baked goods, fruit and candy bars, muesli bars;
fine particle size: beverages, sauces
Soy fibre Fibrarich VaessenSchoemaker 50% dietary fibre
Chemische Industrie Colour: light cream
Aroma/flavour: bland
High water retention capacity
Applications: structure improver in a wide
range of cooked products
Carob fibre Carob General Insoluble fibre Hypocholesterolemic
Applications Many applications effect
Apple Pomelite Val de Vire Soluble fibre Regulation of
Colourless carbohydrate
Brings viscosity to the final products (less than assimilation
commercial pectins at the same concentration)
Stability maximal at pH 4 at low temperature
Applications: fruit beverages, dairy products,
fresh dessert, apple sauce, compotes and fruit
desserts
Pectins HerbapektSF50 Herbafood Pectins with low viscosity
Nahrungsmittell Up to 5¨C10%
Acacia gum Fibregum CNI Soluble fibre
Tasteless
Low viscosity
Resistance to hot temperature, acidic medium
Acacia gum Valfibre Valmar 80% of dietary fibre Non-cariogenic
Soluble Low-calorie
Odourless ingredients
Tasteless
Low viscosity
Inulin Frutafit Sensus Soluble fibre
Application: biscuits, dairy products, ice cream
Fructologosaccharides Raftilose Orafti Active Food
Ingredients
Table 13.6
Fibres Reference Supplier Characteristics Physiological effects
Continued
manufacturers resulting in final product with distinct chemical or physical
properties. Variations of the final product also may be ascribed to differences in
the starting material. Powdered cellulose can be promoted for reducing calories
in foods, while maintaining the texture, structure and mouth feel of the product.
Cellulose can be chemically modified to produce water-soluble cellulose gums.
The chemically modified celluloses include carboxymethyl cellulose, methyl
cellulose and hydroxypropylmethyl cellulose. They are generally used as
additives and can improve stability in baked goods and sauces. Because of
filming properties, some cellulose derivatives are used as binders in food
matrices and may serve as oil barrier for fried products.
Several patents have been filed over the last few years for the production of
RS (Wu¨rsch 1999). Generally, starch is heated in water more than 100oCto
hydrate and gelatinise and then cooled for a sufficient time to retrograde and
form RS. The yield of RS mainly depends on the amylose content, and amylose-
rich starches (amylomaize, high amylose pea or barley starches) are generally
preferred as starting materials. The yield of RS can be increased by playing on
various processing steps (debranching of the gelatinised starch and fractionation,
extrusion cooking after high temperature gelatinisation) and conditions
(concentration, temperature, storage time). Yield can be finally improved by
subsequent hydrolysis of the unretrograded starch with enzymes. The final
product is a bland white powder with no flavour or taste. RS can be incorporated
into foods as bulking agent, dietary fibre or fat mimetic.
Polydextrose is prepared by vacuum thermal polymerisation of glucose using
sorbitol as a plasticiser and citric acid as catalyst (Craig et al. 1999). The
average degree of polymerisation is about 12. It can be used in foods as
functional ingredients (sugar and partial fat replacer, humectant, cryoprotectant,
freezing point depression) or as dietary fibre.
Fructo-oligosaccharides are prepared enzymatically from inulin (enzymatic
hydrolysis) or sucrose (transglycosylation) (De Leenheer 1996, Coussement
1999). They are mainly used as dietary fibres (prebiotic effects). As a techno-
logical agent, they can help to reduce sucrose and fat content while maintaining
texture and mouth feel of the product (dairy products, ice cream, sorbet).
Enzymatic hydrolysis processes can also be applied to produce oligosaccharides
from plant cell wall polysaccharides (Voragen 1998).
13.3.3 Amounts of dietary fibre in some foods
The main difficulty with determining the amount of fibre in food is to reconcile
various chemical groups with a division of carbohydrates that reflects
physiology (Asp et al. 1992). Until recently, mainly two types of methods
have been used for the measurement of dietary fibre in foods, namely enzymatic
gravimetric methods whereby the fibre is isolated and weighed (AOAC
methods) and component analysis methods in which individual dietary fibre
saccharides are determined more or less specifically (Englyst et al. 1994).
Moreover, the methods rely on different definitions of dietary fibre. In the
328 Functional foods
Englyst methods, lignin and RS are excluded. With the AOAC method, lignin
(+ cutins, tannins, Maillard products) and part of the RS are included (Table
13.7). Oligosaccharides are not recovered.
Table 13.8 presents some values of dietary fibre amount in foods. These
foods are natural sources of dietary fibre as there are no available data for
industrial foods where fibre preparations are added for their functional
properties. The analytical values were obtained by the AOAC method (1995).
Table 13.8 shows that foods generally regarded as good sources of fibre, fresh
vegetables and fruits, are in fact low fibre foods. These foods contain large
amounts of water and even if rich on a dry weight basis, their contribution to
fibre intake is relatively low. Expressed on a dry weight basis the most fibre-
concentrated foods are brans (mainly breakfast cereals), vegetables, fresh and
dried fruits, legume seeds, muesli and wholemeal breads.
13.4 Processing dietary fibre ingredients
Many fibre supplements are age-old familiar and have been modified in some
way to improve their functionality (all the parameters that make food acceptable
for processing and to the consumer) while still providing an enhanced level of
dietary fibre. For example, gums, algal polysaccharides and pectins have been
used for years to thicken ¨C to impart viscosity to aqueous phase in food systems.
They provide texture and mouth feel. They can stabilise suspensions, emulsions,
foams, impart freeze/thaw stability and control syneresis. Because of their
impact on the texture and sensory property of the end products, they are
generally used in low amounts. Insoluble fibre or composite (mixture of soluble
and insoluble) preparations are mainly used as texturing and/or bulking agents.
Table 13.7 Dietary fibre content of some foods (g/100 g edible portion) (FAO/WHO
1997)
Food Moisture Dietary fibre content
Non-starch Total fibre
2
polysaccharides
1
Banana 75.1 1.1 1.6
French beans 13.3 4.7 nd
Beans, green 11.3 17.0 40.0
Lentils, green 10.8 8.9 nd
Potatoes 79.0 1.3 1.8
Wheat 14.0 9.0 12.6
Maize 12.0 nd 11.0
Rice 11.8 2.0 3.5
Oat 8.9 6.8 10.3
Notes:
1
NST = Non-starch polysaccharides (Englyst et al. 1994);
2
TDF = total dietary fibre (AOAC 1995)
Dietary fibre functional products 329
The physicochemical properties of fibre preparation play a key role in their
functionality: fibre dimensions, hydration-rheological properties and fat binding/
retention properties. The colour and flavour are also of importance.
A second generation of fibres with optimised properties for targeted
applications has been emerging. Our purpose here is to examine the impact of
some processes on the properties of some fibre preparations.
13.4.1 Grinding
Most of the fibre concentrates are available at different particle sizes.
Partitioning may be done and fractions with different chemical compositions
obtained, depending on the origin and history of the cell wall material (Auffret et
Table 13.8 Dietary fibre content of some foods (g/100 g edible portion*) (Dreher 1999)
Moisture Dietary fibre content
Tot. Insol. Sol.
French bread 29.2 2.7 1.9 0.8
White sourdough bread 37.1 1.9 1.3 0.6
Wholewheat sourdough bread 39.7 8.1 7.0 1.1
Cookies: brownies 12.8 2.5 1.7 0.8
Cookies: butter 4.7 2.4 1.6 0.8
Croissants 20.4 2.3 1.4 0.9
Cornflakes: plain 2.8 2.0 1.7 0.3
Puffed rice 6.5 1.4 1.0 0.4
Muesli 5.0 12.0
Wheat bran (breakfast cereals) 2.9 35.3 32.8 2.5
Wheat flakes 2.4 11.4 9.6 1.8
Barley bran 3.5 70 67.0 3.0
Parboiled rice: cooked 77 0.5
Rice: cooked 77.5 0.7 0.7 0
Brown rice: cooked 73.1 1.7
Pasta: macaroni 69.6 2.0 1.7 0.3
Boiled potatoes 79.5 1.3 1.0 0.3
French fried potatoes 48.6 3.0 1.5 1.5
Peas, green, canned 80.7 4.5 3.6 0.9
Peas, green, boiled 76.9 6.7 5.0 1.7
Peas frozen, boiled 81.6 4.4 3.2 1.2
Beans, green, canned 2.1 1.4 0.7
Beans, green, boiled 2.5 1.5 1.0
Carrots, raw 88.5 2.4 1.1 1.3
Carrots, cooked 90.5 2.7 1.2 1.5
Lettuce 96.0 0.7 0.5 0.2
Tomatoes, raw 94.5 1.2 0.8 0.4
Apple 84.6 1.5 1.3 0.2
Bananas 75.7 1.7 1.2 0.5
Kiwi 83.0 3.4
Prunes, dried 26.2 7.3 31 4.2
Note:
* Mainly analysed by the AOAC (1995)
330 Functional foods
al. 1994). Brans, which contain different tissues, are particularly affected (Heller
et al. 1977). For example, glucan-enriched fraction from oat can be easily
obtained by mechanical separation because the beta glucans are concentrated in
the outermost endosperm layer (the subaleurone). This is not the case with
barley as the beta glucans are more or less evenly distributed throughout the
whole kernel.
Grinding can also affect the physical characteristics of fibre. The milling
process used can be of importance (Sidiras et al. 1990). Ball milling not only
reduces particle size but can also severely disrupt the crystalline order of
cellulose. The effect is proportional to the time of ball milling. Hammer mill has
no effect on cellulose crystallinity.
Grinding may affect hydration characteristics of the fibres as well as texture
(Table 13.9). However, the most marked changes concern the kinetics of water
uptake; the ground fibre is instantaneously hydrated compared to the raw fibre
(Auffret et al. 1994). However, extensive milling can lead to a decrease in the
specific surface area. Atmospheric humidity can provoke agglomeration of
particles and collapse of some cellular structures, thus decreasing porosity (Fan
et al. 1980, Gharpuray et al. 1983).
Grinding can also affect the binding properties of the fibre (Ryden and
Robertson 1995). These effects are mainly related to changes in the physical
structure of the fibre and in particular to increased specific surface area.
13.4.2 Heat treatments
As previously mentioned, fibre concentrates are generally supplied in a dry
form. It improves the fibre shelf life without the addition of chemicals and
reduces package size. Different drying methods are used in the food industry:
convection, under vacuum, freeze drying, etc. The characteristics of the fibre
products must be taken into account to design the procedure that minimises
adverse effects. For example, agglomeration, deformation or darkening of the
products must be avoided or at least minimised. It is also important to maintain
or improve hydration properties of the fibre if they are to be used as texturing
and bulking agents. Drying, most of the time depresses swelling and water
retention capacities of the sample (Table 13.10) (Larrauri 1999, Femenia et al.
1999). Moreover, a partial modification of some dietary fibre components may
also occur. This can be observed with a sample exposed to variable periods of
temperature treatments while at a relatively high moisture. Femenia et al. (1999)
found no changes in solubility of non-starch polysaccharides for fresh, freeze-
dried and 40oC dried fibre from cauliflower but a decrease in sample dried at
75oC. The lowest swelling and water retention capacities were also obtained
with samples dried at 75oC. Close association between polysaccharides within
the cell walls in dehydrated samples could reduce pore volume and restrict the
extent of rehydration (Table 13.11). Similar results have been observed with
sugar beet and submitted to pectin extraction prior to drying (Table 13.11).
Freeze-drying led to a maintenance or increase of swelling and water retention
Dietary fibre functional products 331
capacity while drastic drying at high temperature resulted in a decrease of these
properties (Guillon et al. 1998b, Cloutour 1995).
The wall is a strong mechanical component of living cells. It allows high
turgor pressure and gives the cell its shape. However, when stress overpasses
mechanical resistance of the wall, an irreversible deformation of the cell is
obtained. This type of deformation occurs in most drying processes, except in
the case of freeze-drying. Blanching prior to drying contributes towards
increasing the permeability of the cell walls and induces an increase of the
Table 13.9 Hydration characteristics of some fibre concentrates
Source of fibre Particle size Swelling Water Water Reference
(C22m) (ml g
C01
) retention absorption
(g water g
C01
(ml water g
C01
dry pellet) dry fibre)
Sugar beet fibre 500¨C200 C22m 11.5 26.5 1
19.3 32.9 2
390 14.7 19.7 3
385 21.4 22.6 8.8 4
205 15.9 19.2 7.3 4
540 11.0 26.6 5
660 13.5 7.2 6
Citrus fibre 15.7 11,2 5.2 7
540 15.7 10.4 7.0 4
235 13.3 8.6 7.0 4
420 14.7 10.4 6
139 10.4 10.7 4.6 8
Apple fibre 540 9.6 6.9 3.8 6
250 8.6 5.5 4.6 6
133 7.4 5.4 8
Pea hull 500 6.0 7.1 2.4 9
80 5.6 7.1 2.7 9
950 9.9 4.3 1.9 4
300 7.8 6.2 2.8 4
560 6.2 4.2 2.7 6
100 6.5 3.9 3.3 6
67 6.6 3.8 3.7 8
Wheat bran 500¨C250 6.4 2.7 10
900 11.9 6.8 1.0 4
320 5.9 3.0 0.9 4
1000¨C500 7.0 7.0 5
Coarse 7.4 5.6 11
Ground 6.4 6.6 11
Maize bran 5.7 2.4 12
Oat bran 5.53 3.5 12
Resistant starch 40 5.6 3.5 3.0 8
84 7.4 3.1 3.9
Sources:
1. Bertin et al. 1988; 2. Ralet et al. 1991; 3. Auffret et al. 1993; 4. Auffret et al. 1994; 5. Renard et al.
1994; 6. Cloutour 1995; 7. Thibault et al. 1988; 8. Robertson et al. in press; 9. Ralet et al. 1993; 10.
Ralet et al. 1990; 11. Ponne et al. 1997; 12. Ponne et al. 1998.
332 Functional foods
Table 13.10 Effect of processing on the hydration properties of some dietary fibres
Dietary fibre Treatment Swelling Water retention capacity Reference
(ml g
C01
) (g water g
C01
)
Sugar beet fibre Native 10.8 6.1 1
Depectinated ¨C soft drying 27.6 14.0 1
Depectinated ¨C drastic drying 7.2 4.1 1
Native 19.3 32.9 2
Extruded 14.4 28.2 2
Cauliflower-based fibre Native (fresh) 22.9 19.9 3
supplements Freeze-dried 19.4 18.7 3
Boiled 27.4 24.6 3
Dried 40oC 16.9 12.8 3
Dried 75oC 4.2 5.7 3
Apple fibre Dried 50oC 32.0 13.9 4
Dried under vacuum (80oC, 13 mbar) 54.4 22.2 4
Freeze-dried 50.6 20.5 4
High rate freezing + dried under vacuum 56.7 17.9 4
CID + dried under vacuum 46.8 18.6 4
Pea hull Native 6.2 4.2 5
Mercerised + freeze-drying 8.6 6.0 5
Depectinated + freeze-drying 11.7 7.2 5
Depectinated + mercerised + freeze-drying 9.7 6.8 5
Native 6.0 7.1 2
Extruded 5.2 4.3 2
Wheat bran Native 7.0 7 6
Delignified 11.0 10.4 6
Native nd 6.4 7
Extruded nd 6.0 7
Sources:
1. Guillon et al. 1998b; 2. Thibault et al. 1988; 3. Femenia et al. 1999; 4. Guillon, personal communication; 5. Cloutour 1995; 6. Renard et al. 1994; 7. Ralet et al. 1990
Table 13.11 Porosity of sugar beet fibre and pea hulls; effect of processing
Dietary fibre Particle size Chemical treatment Pore volume (ml g
C01
)
(C22m) Drying
Total > 1C22m
3
<5nm
4
5nm¨C1 C22m
5
Sugar beet
1
480 14.9 10.4 2.9 1.6
100 13.8 8.8 2.9 2.1
190 Partially depectinated 18.3 14.1 3.3 0.9
Solvent exchange + oven drying 40oC
90 Depectinated 6.1 3.6 2.2 0.3
Pilot air-drying 100oC
Pea hull
2
1500 6.7 3.5 ND ND
560 5.4 1.9 1.56 1.94
100 5.2 2.8 ND ND
520 Mercerisation 8.6 3.2 1.6 3.8
450 Mercerisation 6.8 1.7 1.3 3.8
Solvent exchange + oven drying
Notes:
ND: not determined
1
Guillon et al. 1998b;
2
Cloutour 1995;
3
Volume accessible to bacteria estimated from macroporosity measurement;
4
Volume inaccessible to enzyme estimated from
microporosity measurement;
5
Volume accessible to enzyme but not to bacteria.
Sugar beet fibre: When pectin extraction followed mild drying, the total pore volume and volume accessible to bacteria increased. The removal of pectins possibly
increased pores between adjacent cells. In contrast, harsh drying induced a noticeable decrease in the total pore volume and especially in pore volume accessible to
bacteria. This change was ascribed to distortion and shrinking of cells during drying.
Pea hull: Treatment of mercerisation increased the macroporosity but poorly affected the microporosity of pea hull. Removal of xylans and small amounts of pectins
probably caused this increase but because much pectin remained, the treatment was not efficient in changing the cellulose crystallinity profile and thus, the
microporosity.
deformation. The drying conditions have a strong impact on shrinking. Products
rapidly dried generally contain more void volumes and show a lower density
than products slowly dried.
Drying can also affect certain bioactive compounds in fruit and vegetable
products (Larrauri 1999). A decrease of polyphenol contents of red grape
pomace peels was observed on drying at a temperature above 100o. Carotenoids
seem sensitive to high temperature and losses occur during dehydration of
carrots at 60oC.
13.4.3 Thermo-mechanical treatment
Fibre-rich preparation may be extrusion cooked to modify its functionality. The
results on different fibres show that extrusion cooking has a moderate effect on
the hydration properties of pea hull brans, sugar beet or lemon fibre (Table
13.10). In contrast, extrusion cooking can influence solubility of the fibres.
Wheat bran and other cereals need a high amount of energy, and about 15% of
soluble material is obtained (Ralet et al. 1990). Less energy is required for the
hulls and a similar amount of material is solubilised (Ralet et al. 1993).
Feroylated heteroxylans and glucans are solubilised from wheat bran, and
arabinans, heteroxylans and pectins from pea hull. The main effect of extrusion
cooking of sugar beet pulp, lemon and apple fibre is to increase by up to 40% the
water solubility of pectins in cold water (Thibault et al. 1995). The soluble
pectins can have high molecular weight and high degree of methylation. They
can form gel as other high methoxy (HM) pectins (Ralet et al. 1994).
A new process has been developed to fit the industrial demand for products
with preserved nutritional quality and improved functionality. This process is
named ¡®instant controlled depression¡¯ and associates texturation and drying
processes (Louka and Allaf 1998). It consists of submitting the material to
thermal processing at high pressure for a short time and then flash expansion.
The operation interpolated after the pre-drying stage permits expansion of the
dried products, by self-vaporisation of the residual water. As a result, the product
recovers its original shape. Its organoleptic properties are close to those of
freeze-dried products. The colour is preserved and its ability to rehydrate
safeguarded. The quality of the end product depends on the operating conditions
and on the characteristics of the raw material. The energy cost compared to
freeze-drying is low. This process has been applied with success to small cubes
of fruits and vegetables.
13.4.4 Chemical treatments
Hydration properties of fibre can be altered substantially by treating them with
solvents, oxidants, acid or alkaline. The action of these chemicals is mainly to
extract more or less selectively compounds such as pectins, hemicelluloses and
lignins. The extent of extraction depends on the concentration of the chemical
and on the temperature conditions.
Dietary fibre functional products 335
At the laboratory scale, it has been demonstrated that substantial removal of
pectins by relatively mild chemical treatment leads to an increase of the pore
volume of sugar beet fibre, and thus of the water hydration properties (Table
13.10) (Auffret et al. 1993, Guillon et al. 1998b). Similar results have been
obtained with pea hull (Weightman et al. 1994). However, if the chemical
treated fibre undergoes harsh drying, its hydration properties become limited,
probably because of structural collapse of the fibre matrix (Table 13.10) (Auffret
et al. 1993, Guillon et al. 1998b).
Removal of compounds is not necessarily a prerequesite to increase the
hydration properties. The swelling action of water on cellulosic material is
enhanced by the breakdown of intra- and interchain bonds by alkaline agent or
phosphoric acid (Sinitsyn et al. 1991).
Bleaching can be used to lighten fibre material. For this purpose, hydroxide
peroxide treatment has been applied (Gould et al. 1989). Phenolic compounds
and other phytochemicals may be lost. Peroxide can induce the release of
carbohydrates bound to phenolic compounds. This treatment can increase the
fibre ability to absorb water, soften and swell when hydrated. For example,
treated wheat straw can be used as high substitute for a portion of flour in cakes
without introducing undesirable sensory characteristics or causing deterioration
of the baking performance (Jasberg et al. 1989).
13.4.5 Enzymatic treatment
Endogenous phytase activity in wheat grain can be used to reduce phytate levels
but exogenous enzyme can also make a significant contribution (Jayarajah et al.
1997). The endogenous phytase activity results in destruction of phytate without
accumulation of inositol phosphate intermediates, and at low moisture levels,
without modification of the fibre components through polysaccharidase
activities which may be present in bran.
Enzymatic treatments can be applied to improve the functionality of fibre
preparations. The properties mainly concerned are the hydration properties and
solution viscosity. Oat beta glucans and guar gum may be hydrolysed to provide
grades developing different viscosity in solution. The treatment results in a
decrease of molecular weight and yield products with generally improved
resistance to thermal, pH, and shear degradation when compared to the high
molecular weight parents.
Treatment of pea hull and apple fibres with pectinolytic and cellulolytic
enzymes has been found to increase the proportion of water-soluble fibre and
confer the matrix with a softer texture, making easier its incorporation into foods
(Caprez et al. 1987).
Xylanase preparations find widespread use in the baking industry to improve
handling characteristics of the dough, loaf volume and crumb structure of the
bread, especially bread containing high amount of dietary fibre (Poutanen 1997).
The enzymes degrade in situ the water-insoluble arabinoxylans present in
discrete endosperm cell wall particles, thus causing a substantial enrichment in
336 Functional foods
the water-soluble arabinoxylans with corresponding increase in viscosity of the
aqueous phase (Poutanen et al. 1998). The improving action of pentosanases on
the volume of bread may be compared to those reported when high molecular
weight soluble pentosans or guar gum are added to flour ingredients. Of course
when added in excess, enzymes induce an extensive depolymerisation of the
water-soluble arabinoxylans, thus causing a decrease in viscosity and a
deterioration of the dough quality.
13.5 Processing foods containing dietary fibre
Most foods are processed for consumer convenience in the food industry or at
home. Industrial processing is applied to prolong shelf life of the products or to
produce foods ready to eat or easy to prepare while preserving their quality, i.e.
texture, colour, flavour, palatability and nutritional quality. Industrial processing
mainly includes heat treatments, thermo-mechanical and non-thermal treat-
ments.
13.5.1 Heat treatment
Wet heat treatment mainly includes blanching, boiling, canning, steaming and
microwaving. The major consequences of processing are release of cell contents
and the solubilisation of labile dietary fibre components, i.e. pectins, beta
glucans, arabinoxylans, oligosaccharides. The extent of solubilisation of the cell
wall polysaccharides depends on the chemical nature of the polysaccharide and
its association with other macromolecules within cell walls, and on the
processing parameters (temperature, duration, etc). During cooking and
processing, there can be extensive breakdown of pectic polysaccharides through
a beta-eliminative degradation. This results in significant reduction of the
molecular weight and thus increases solubilisation (Anderson and Clydesdale
1980, Varo et al. 1984, Stolle-Smits et al. 1995, Svanberg et al. 1997). The
viscosity of the water-soluble dietary fibre decreases following intense heat
treatment, in accordance with a shift towards a lower molecular weight
(Svanberg 1997). As a result of partial solubilisation of cell wall components,
the insoluble fibre matrix can exhibit higher swelling because of a looser and
more porous network. Depending on the pore size distribution, the water
retention capacity may be increased or decreased. For leafy vegetables, the
tissues become softer. In seed legumes, pectins cementing the cells are
solubilised, leading to separation of cotyledon cells. Blanching applied to
inactive enzymes, although it can also cause some solubilisation. For example,
blanching carrots leads to a deesterification of pectic polysaccharides (Plat et al.
1991), and the change has been mainly ascribed to enzyme activity rather than
beta elimination. Pectin methyl esterase is known to remain active at increased
temperatures (Lopez et al. 1997), and activity can be affected by intracellular
cations release during cell metabolism or disruption (Alonso et al. 1997). It can
Dietary fibre functional products 337
influence the texture or tissue firmness in vegetables (Wu and Chang 1990).
Microwave cooking is generally considered as a mild form of heat treatment.
Applied to green beans, microwaving slightly affected the total dietary fibre
content but a shift toward lower molecular weight of the water-soluble fibre was
observed (Svanberg 1997). Only severe microwaving (repeated treatment)
decreased the total fibre content (Svanberg 1997). The polysaccharides in cereal
fibres are not susceptible to beta elimination during cooking or processing.
Moreover, the presence of phenolic compounds may limit the extractability of
arabinoxylans.
Dry heat treatment such as baking or roasting, does not significantly alter the
dietary fibre composition. In extreme conditions, a significant increase in the
lignin content and a decrease in water hydration properties can be observed
(Camire 1999). This could be ascribed to the formation of Maillard products.
Maillard products arise from the reaction of sugars and proteins, often leading to
browning and development of flavour. They are not digested by endogenous
enzymes in the small intestine and therefore can contribute towards increased
amount of total dietary fibre.
Heat treatment followed by a cooling period can induce the formation of RS
in starchy foods. The amount will depend on the botanical source, the ratio of
amylose to amylopectin, processing parameters (temperature, amount of water,
cooling) and storage conditions. The RS content of common food cereals food
like breads, breakfast cereals, pasta and rice is generally below 3%, potato 4¨C
5%, potato flakes 3% (Asp et al. 1996). In the case of cooked cereal products
(rice, pasta, bread), RS does not seem to increase during storage or freezing
(Wu¨rsch 1999). In contrast, deep-fat frying or storing cooked potato in the cold
increases by up to about 12% the starch into RS. Repeated heating and cooling
can lead to an accumulation of RS but the increase in absolute is relatively small
compared to amount generated on the first heating/cooling cycle. Starch lipid
and starch protein complexes can also be formed during cooking and these are
more resistant to alpha amylase (Holm et al. 1983).
13.5.2 Thermo-mechanical treatment
Extrusion cooking is nowadays currently used by the food industry for various
types of snacks, ready-to-eat cereal products, etc. In a typical twin extruder, the
product is fed in and transported by rotation of the screws. Here, the product is
submitted to heat and shear. At the end of extruder, the product is forced to
pass through a die, and then water can be vaporised leading to an expanding
product.
Extrusion of wheat or rye flour under normal conditions does not induce the
formation of high amount of RS (Bjorck et al. 1984, Lue et al. 1990). No
changes in these conditions are observed in the total amount of dietary fibre and
a slight increase in the amount of soluble fibre at the expense of the insoluble
fraction is reported (Varo et al. 1983, Bjorck et al. 1984). While under drastic
conditions, an increase in the amount of total fibre and a significant conversion
338 Functional foods
of insoluble to soluble fractions has been found (Bjorck et al. 1984). This
increase in total dietary fibre is not ascribed to an increase of RS.
Popping and flaking only slightly change the composition of cereals. Soluble
carbohydrates fractions are generally only a little enhanced by the treatments.
The treatments bring disorganisation of the endosperm of grains, but the outer
layers (aleuron and adjacent layer) are generally preserved. Popping of maize
grains causes heterogeneous reactions within the grain (Farber and Gallant
1976). In the unpopped peripheral zones, starch granules are partly swollen
while the inner part of the endosperm shows an alveolar structure where starch is
completely gelatinised and pushed against the remnant cell walls. Steam flaking,
especially with maize, generally produces a disorganisation of the cell structure:
the cell walls are broken, and content of the cell more or less dispersed. Starch
granules appear slightly deformed, partly gelatinised and fissured. Intensive
mechanical/thermal treatments generally increase the accessibility and digest-
ibility of starch. In the case of legumes, flaking compared to cooking results in a
lower amount of resistant starch. In the case of beans, 9¨C11% of total starch was
resistant in flake beans (Schweizer et al. 1990) against 16.5% in cooked beans
(Noah et al. 1998).
13.5.3 Freezing
Enzyme activities and, in particular, pectinolytic activities are only slowed at
freezer temperature. This means that in long storage periods, pectin solubilisa-
tion and degradation may occur. Starch can retrograde in frozen foods, leading
to the formation of RS. Freezing can be accompanied by ice crystal formation,
which can lead to disruption of the cell walls. This phenomenon can increase the
release of cell content and the solubilisation of cell wall polysaccharides on
cooking (Rahman et al. 1971). The formation and size of ice crystals depends on
the temperature and rate of freezing. Preservation of the quality of products
requires rapid freezing.
13.5.4 Fermentation
Fermented legumes are an integral and significant part of the diet in developing
countries. It has been suggested as an economical method of processing and
preserving foods. Fermentation has been shown to enhance the nutritive value of
legumes, reduces some anti-nutritional endogenous compounds and improves
consumer acceptability. It increases vitamins, removes some anti-nutritional
factors such as trypsin inhibitors and eliminates alpha galactosides, compounds
related to flatus production.
13.5.5 Germination
Malting is a well-established process used to produce cereal substrates for
fermented beverages. Malted cereals may be used to formulate nutritious
Dietary fibre functional products 339
products, including infant and weaning foods. Grain germination is associated
with water uptake. Subsequently, an activation process signalled by hormones
arising from the embryonic axis results in synthesis and secretion of hydrolytic
and other enzymes. These enzymes depolymerise cell polysaccharides, and the
protein and starch reserves of the endosperm. Thus, germination induces
chemical and biochemical changes in the seed. It can decrease the amount of
alpha galactosides, lectins, trypsin inhibitors and phytate. Substantial solubilisa-
tion and degradation of some cell wall polysaccharides by endogenous enzymes
may occur. For example, during malting endogenous beta glucanase is
synthesised, which results in the depolymerisation of beta barley glucans, thus
decreasing their capacity to increase viscosity of aqueous solution (Fincher and
Stone 1986). Extensive degradation of cell arabinoxylans, the other major
components of cereal endosperm cell walls, also occurs in germinating wheat
grain (Fincher and Stone 1986).
Thus, although the amount of dietary fibre may be quantitatively equivalent
in cooked/processed to that in raw material, their properties may be altered.
13.6 The physiological effects of dietary fibre
While the amount and source of fibre may be important for dietary responses, it
is equally important to describe properties of fibre used if mechanisms
responsible for fibre activity(s) are to be understood. Physical and chemical
properties will determine local responses (direct effects as the result of the
presence of dietary fibre in the digestive tract) and associated systemic responses
which may be expected with ingestion of a particular fibre (Fig. 13.1). These
properties include viscosity for soluble fibre, water retention, binding/adsorption
properties, particle size. The fermentation of dietary fibre through the products
Fig. 13.1 Dietary fibre and its effect on the gastrointestinal tract.
340 Functional foods
and residues of fermentation and impact on the microflora also play a key role in
the effects ascribed to dietary fibre (Fig. 13.2).
13.6.1 Physicochemical properties involved in the physiological effects of
dietary fibre
Water-soluble polysaccharides and viscosity
Some water-soluble polysaccharides such as pectins and gums may form viscous
solutions. Inclusion of these polysaccharides in a meal can increase the volume
and viscosity of digesta in the upper gut. They can delay gastric emptying in the
stomach, which can promote satiety. This can also reduce emulsification of
dietary lipids in the acid medium of the stomach and subsequently lower the
extent of lipid assimilation. In the lumen of the small intestine, viscosity can
resist the effects of gastrointestinal motility. It can impede the diffusion of
digestive enzymes towards their substrates, which slows down digestion. It can
also slow down the release and transit of the products of hydrolysis towards the
absorptive surface of the mucosa. The direct systemic response is a steady rate
of nutrient delivery in the circulation resulting in lower post-prandial level.
Viscosity is imparted by the chemical structure of the polysaccharides
(amount of space occupied by the macromolecules generally characterised by
intrinsic viscosity) and also by the cross-linkages between the macromolecules
(Morris 1990). Concentration temperature, ionic concentration, pH, association
with proteins, and shear forces are all involved (Fig. 13.3).
Treatments that induce hydrolysis of pectins, beta glucans or various gums
into lower molecular weight molecules will contribute towards reduced capacity
of these molecules to increase the viscosity of digesta. In contrast, some
treatments such as extrusion cooking can increase the amount of water-soluble
Fig. 13.2 Fermentation and its effects on colonic physiology.
Dietary fibre functional products 341
molecules without extensively splitting them. Thus, it is important to consider
the property of fibre in food as it is eaten.
Moreover, although not digested by endogenous enzymes in the upper gut,
macromolecules can undergo significant degradation. For example, pectins can
be solubilised through disruption of calcium bridges under acidic conditions (in
the stomach) or through beta elimination at a near neutral pH (e.g. in the small
intestine). The extent and location of this degradation could have a nutritional
impact. Changes in ionic environment and pH throughout the gastrointestinal
tract can also influence the solubility and viscosity of polysaccharides. This is
generally observed with polyelectrolytes (pectins, alginates). For example, at a
high concentration alginate can form a gel in the stomach and may be soluble in
the small intestine. The concentration in the lumen may be different from that in
ingested food. In particular, the total volume of digesta may adapt in response to
ingestion of viscous solution, partly offsetting the difference in initial viscosity.
As a consequence, the viscosity of fluid digesta may vary within the gut. This
means that the measured viscosity of a fibre source may bear little relationship
to the viscosity in the digestive segments of interest. At least the concentration,
structure and molecular weight of the polymer (degree of space occupancy by
the polymer) must be documented in the segment of the digestive tract under
consideration for interpreting the data. Because most of the polysaccharides
exhibit shear thinning, only one value at a single shear rate has no meaning.
Morris (1990, 1992) recommends measuring the viscosity at a few shear rates
and then derive the maximum viscosity (ho) at low shear rates and the shear rate
(g
1/2
).
Adsorption/binding ions and bile acids
The ability of certain fibre to adsorb or entrap bile acids and phospholipids has
been suggested as a potential mechanism by which dietary fibre, containing
uronic acids or phenolic acids, may increase faecal excretion of bile acids. An
increased bile acid excretion results in higher cholestrol turnover from the body.
Fig. 13.3 Factors that determine the rheological properties in macromolecules (adapted
from Blond and Le Meste 1988).
342 Functional foods
The exact mechanisms by which fibre sequesters bile acids are unclear;
hydrophobic (fibre-containing phenolics) and ionic interactions (fibre-contain-
ing uronic acids) have been suggested (Thibault et al. 1992). In vivo, some fibre
preparations (Wolever 1995) increase ileal and faecal excretions of sterols and
lipids, but which help adsorption or increase of the fluid digesta viscosity
account for this effect is still questionable.
Fibre consisting of lignified or coarse tissues such as rice straw are identified
as neutraceuticals with binding properties (Robertson 1998).
Milling, relieving the constraint on accessibility to the binding surface and
allowing a greater partitioning of compounds to fibre, can increase the affinity
for some toxic heterocyclic amines in foods (Robertson 1998).
Adsorption has often been measured by methods similar to those used for
water retention capacity, and both absorption and entrapment in the cell wall
matrix can account for the retention. The prevailing chemical environment and
characteristics of the fibre fractions in the small intestine must be taken into
account for physiogically reliable measurements of the binding capacity .
Water absorption/retention properties
Insoluble fibre can absorb, swell and entrap water within its porous matrix.
Water retention properties contribute towards the bulking effect of fibre in the
colon. They can take part in the dilution of cytotoxic substances in the large
intestine, thus reducing potency.
The hydration properties depend on the chemistry of the individual
components of fibres, the way they are assembled in the cell walls, the anatomy
and the particle size of the fibres (Fig. 13.4). Fibre mainly composed of primary
cell walls exhibits general higher values than fibre with secondary cell walls
(Table 13.9) (Thibault et al. 1992, Thibault et al. 1994).
C72C121C100C114C97C116C105C111C110C112C114C111C112C101C114C116C105C101C115C100C101C112C101C110C100C111C110C58
? C67C104C101C109C105C99C97C108C115C116C114C117C99C116C117C114C101
? C80C111C108C121C109C101C114C115C47C104C121C100C114C111C112C104C105C108C105C99C47C104C121C100C114C111C112C104C111C98C105C99C114C101C103C105C111C110C115
? C67C104C97C114C103C101C100C112C111C108C121C109C101C114C115
? C80C111C108C121C109C101C114C115C47C97C109C111C114C112C104C111C117C115C47C99C114C121C115C116C97C108C108C105C110C101C114C101C103C105C111C110C115
? C80C104C121C115C105C99C97C108C115C116C114C117C99C116C117C114C101
? C80C111C114C111C115C105C116C121
? C80C97C114C116C105C99C108C101C115C105C122C101
? C80C104C121C115C105C99C111C45C99C104C101C109C105C99C97C108C101C110C118C105C114C111C110C109C101C110C116
? C112C72C44C116C101C109C112C101C114C97C116C117C114C101C44C105C111C110C115C44C111C116C104C101C114C109C111C108C101C99C117C108C101C115
? C72C105C115C116C111C114C121C111C102C116C104C101C112C114C111C100C117C99C116
? C80C114C111C99C101C115C115C105C110C103
? C68C114C121C105C110C103
Fig. 13.4 Factors that determine the hydration properties of dietary fibre.
Dietary fibre functional products 343
Environmental conditions such as pH, ionic strength and nature of the ions
can influence the hydration values of fibres containing polyelectrolytes (charged
groups such as carboxyl in fibre rich in pectins, carboxyl and sulfate groups in
fibres from algae) (Thibault et al. 1992, Thibault et al. 1994).
Processes, such as grinding, drying, heating or extrusion cooking for
example, provided that they modify the composition and the physical properties
of the fibre matrix, will strongly affect the hydration properties (Thibault et al.
1992). Fibres with high values for hydration properties are generally well
fermented, probably because bacteria and their secreted enzymes can rapidly
diffuse and reach their substrates (Auffret et al. 1993, Cloutour 1995, Guillon et
al. 1998b). In the colon, the most effective stool bulkers are low fermented
fibres, because they retain a proportion of their matrix and thus are still able to
bind water. Wheat bran and ispaghula are the reference fibres for this effect.
Different aspects of fibre hydration can be distinguished and a need was
identified for a clear definition. In particular there should be a distinction
between absorption, uptake, holding and binding. The definition of hydration
properties arising from the European PROFIBRE project (Robertson 1998) are:
? Swelling: ¡®the volume occupied by a known weight of fibre under the
condition used¡¯
? Water retention capacity: ¡®the amount of water retained by a known weight
of fibre under the condition used¡¯¨Cit is preferred to either water-holding
capacity or water-binding capacity
? Water absorption: ¡®the kinetics of water movement under defined
conditions¡¯.
Swelling and water retention capacity provide a general view of fibre hydration
and can provide information useful for fibre-supplemented foods. Water
absorption can provide more information on the fibre, in particular its substrate
pore volume. It will help our understanding of the behaviour of fibre in foods or
during gut transit.
For each parameter, several methods have been proposed for their
measurement but not always with a clear picture of what is being measured.
Generally, swelling is measured as settled bed volume and water retention
capacity as the amount of water retained after centrifugation by the insoluble
substrate (pellet). Water absorption is measured using a Baumann apparatus or
using osmotic pressure/dialysis techniques. Within PROFIBRE, protocols for
each method were standardised and were evaluated for their levels, experimental
variation or statistical tolerance (Robertson et al. in press).
When assessing the behaviour of fibre in food and in the digestive tract from
the hydration properties, the physical fibre matrix properties as well as the
physicochemical conditions prevailing in their environment in food or gut lumen
should be taken into account. Hydration properties of the fibre matrix before
ingestion may bear little relationship to the fibre in the colon as the result of
fibre fermentation.
344 Functional foods
Disruptibiliy of the cell walls
In food with intact cells, the release of nutrients can be related to resistance of
cell walls to disruption. Nutrients entrapped within the cellular structure cannot
be digested until the cell walls have been damaged. In the case of starchy foods,
the amount of starch escaping digestion and reaching the large intestine is
increased in foods with intact cell walls.
Factors that influence cell wall disruptibility are structure, lignification and
mechanical and thermomechanical treatments. Secondary cell walls are
generally more resistant to mechanical stress. This means, for example, that
the outer layer of cereal kernel or legume seeds will be more preserved than cell
walls of the starchy endosperms. The physical structure of food can also be
significantly disrupted in the mouth, due to chewing. The extent of disruption,
depends on the food rheological properties. The physical degradation of food
results in an increase of the available surface to enzymes. Thus, it can
significantly affect the overall process of digestion and postprandial blood
response.
Light microscopy can be used to examine the physical structure of food.
Again, the main difficulty is to evaluate damages occurring within the digestive
tract. In this respect, more in vivo data are required.
Particle size
Particle size can play a role in controlling a number of events occurring in the
digestive tract (e.g. transit time, fermentation and faecal excretion). The rate of
fermentation is proportional to the external surface area in contact with the
bacteria for fibres with a low porosity such hulls and brans. Coarse wheat bran is
more effective in regulating transit time than fine bran. Particles can induce an
increased excitation of colonic mechanoreceptors, stimulating contractile
activity in favour of a higher propulsion of digesta (Cherbut 1995, Edwards
1995). The decrease of intestinal transit time associated with these fibres
protects the colon from prolonged exposure to cytotoxic substances which may
also be carcinogenic.
Particle size is related to the processing history of the fibre product.
Mechanical treatment such as grinding but also chewing decreases the particle
size. Wet heat treatments that release a large amount of pectins through
weakening the middle lamella can induce a concomitant loss of intercellular
adhesion. Degradation of the fibre matrix by colonic bacteria can lead to an
almost complete disintegration of the particles.
Particle size distribution can be measured by different methods, like sieving,
or methods based on the change in resistivity of a conducting medium, or optical
methods (laser diffraction, microscopy and image analysis computer) (Allen
1988). All of these methods are based on different principles. They will give
different values for the same material but classification for a range of materials
will be preserved. All have some drawbacks and limitations. The form of the
fibre, wet or dry, is of importance as some fibres may swell in solution and as a
consequence, their particle size increases. The measurement of particle size in a
Dietary fibre functional products 345
wet form of residue of fermentation may be more relevant when assessing the
bulking effects of fibre in the large intestine. In any case, when giving particle
size values, the methods used and the form of the fibre must be clear.
13.6.2 Fermentation patterns
Dietary fibre makes a substantial contribution as a substrate for fermentation. It
has been found in the ileostomy model that the mean excretion of dry weight and
energy were 50g/d and 800kJ/d, respectively on a low fibre diet, and 88g/d and
1700kJ/d on a high fibre diet (Langkilde and Andersson 1998). Effects of dietary
fibre on bowel function like faecal mass, stool frequency, regulation of colonic
pH and salvage of energy from non-digestible foods are directly related to their
fermentation pattern (Cherbut 1995, Edwards 1995). Poorly fermented fibres
contribute towards increased bulk in the large intestine, thereby reducing the risk
for constipation and possibly also colonic cancer. Highly fermentable fibres,
through the products of metabolism, are involved in physiological effects on the
colon mucosa (Bingham 1990, Cummings 1995, Higginson 1995, McIntyre et
al. 1993, Sakata 1995) and colon function (Edwards 1995) as well as post-
absorptive actions on the liver and other tissues (Wolever 1993, Darcy-Vrillon
and Due¡äe 1995, Demigne¡ä et al. 1995, Topping and Pant 1995). They contribute
towards maintaining the ecosystem equilibrium (Salminen et al. 1998). In
addition, some fibre sources such as fructoligosaccharides can selectively
stimulate the growth of health-promoting bacteria, including bifidobacteria and
lactobacilli (Salminen et al. 1998, Van Loo et al. 1999). They may be the main
genera responsible for the protective barrier function and for stimulating healthy
immune response in adults.
All dietary fibres are not fermented to the same extent or at the same rate
(Table 13.12). Factors controlling fermentation are related to the substrates
available for fermentation, the microflora and its activity, and the host (Fig.
13.5).
Microbial degradation requires the contribution of a different group of
bacteria linked in a trophic chain. Polysaccharide-degrading bacteria hydrolyse
polymers into smaller fragments that can be used by saccharolytic species. The
rate and extent of fermentation depends on the physical structure of the fibre
matrix (access of bacteria to their substrates) and on the chemical structure of
the individual polysaccharides (Fig. 13.6) (Guillon et al. 1996). Fibre products
rich in secondary tissues (bran, hull) are poorly fermented compared to fibre
mainly composed of parenchyma tissue (fruits, vegetables). Soluble poly-
saccharides are fermented at a higher rate than equivalent polysaccharides
within cell walls. Highly and randomly branched polysaccharides are generally
fermented at a lower extent than blocked branched polysaccharides. Some
polysaccharides such as carrageenans and ulvan are not degraded by colonic
bacteria while their constitutive monomers or dimers are (Bobin-Dubigeon et al.
1997, Mathers et al. 1998). It has been suggested that bacteria do not possess the
enzymatic equipment necessary for their breakdown. Polysaccharidase synthesis
346 Functional foods
Table 13.12 Factors affecting the fermentation pattern of dietary fibre. Percentage of sugar disappearance after in vitro batch incubation
Sources Treatment Particle WRC Apparent sugar Apparent sugar Reference
size g H
2
O/ g dry disappearance disappearance
C22m pellet 4 h*¨C6 h** 24 h
Beet fibre Commercial fibre 660 7.2 14 C6 0** 70 C6 11
Citrus fibre Commercial fibre 420 10.4 44 C6 2** 81 C6
Pea fibre (hull) Commercial fibre 1950 4.8 6 C6 1** 22 C6 71
Pea fibre Grinded 560 4.2 3 C6 1** 22 C6 2.0 1
Pea fibre Grinded 115 3.3 10 C6 1** 41 C6 21
Treated with pectinolytic 30 nd 1 C6 3** 10 C6 31
enzymes + cellulase
Mercerised 520 6.0 5 C6 0** 10C6 21
Partial removal of pectins 950 7.2 17 C6 2** 26 C6 01
Extensive removal of pectins 650 6.8 29 C6 1** 29 C6 21
Apple fibre Commercial fibre 540 6.9 13 C6 2** 51 C6 41
Grinded 250 5.5 31 C6 4** 67 C6 21
Partial removal of pectins 264 8.5 40 C6 1** 73 C6
Carrageenans 6 C6 6** 29 C6 42
Alginates 31 C6 1** 83 C6 12
Acacia gum 49 C6 12 3
Actilight 74 C6 11 3
Novelose (RS : 61.4, type B) Removal of digestible starch 5* 87 4
HylonC2137 (RS : 27.4, type B) Removal of digestible starch 8* 57 4
Sources:
1. Cloutour 1995; 2. Bobin-Dubigeon 1996; 3. Michel et al. 1998; 4. Martin et al. 1998.
Fig. 13.5 Control process in fermentation in the large intestine.
Fig. 13.6 Factors related to fibre, which control its rate and extent of fermentation.
348 Functional foods
is generally induced by exposure to the substrates and repressed by the products
of reaction (Macfarlane and Degnan 1996). In addition, the course of
fermentation depends on the microflora composition, which varies from one
individual to another, and intra-individually in the cell population densities of
the principal taxonomic groups (Macfarlane and Macfarlane 1993). The main
bacteria reported to be able to hydrolyse polysaccharides are Bacteroides,
Bifidobacterium, Ruminococcus and some species of Eubacterium and
Clostridium. Bacteroides is the bacterial genus presenting the highest degree
of metabolic versality and is predominant in the microflora.
Some substrates (e.g. fructoligosaccharides, inulin), known as prebiotics, can
promote selectively the growth and/or the activity of one or a limited number of
bacteria in the colon.
End products of fermentation include short chain fatty acids (SCFA), mainly
acetate, propionate and butyrate and gases (H
2
,CO
2
and in some cases CH
4
).
The amount and molar ratios of the three main SCFAs vary substantially,
depending on the substrate type (Table 13.13). The nature of the monomers
seems not to play a major role in the determination of SCFA profiles. Acetic
acid is the major SCFA produced, whatever the substrate. The highest
proportion is seen with pectin-type material. Starch is generally associated with
a large proportion of butyrate while the highest proportion of propionic acid is
observed with arabinogalactan, guar gum and galacto-oligosaccharides. Botham
et al. (1998) showed that different glucans yielded different SCFA profiles;
fermentation of cellulose produced mainly acetate while pea starch generated
less acetate (47%) but more butyrate (36%) and more propionate (15%).
Table 13.13 Short chain fatty acid profile of some dietary fibres
Substrates rich in Example Short fatty acid profiles
Cellulose High amount of acetate
Mixed C12-glucans Oat bran High amount of butyrate
and relatively low amount
of acetate*
Resistant starch Retrograded or native EurylonC213, High amount of butyrate
HylonC213, CrystaleanC213 and relatively low amount
of acetate
Wheat bran High amount of butyrate
Fructoligosaccharides Actilight High amount of lactate
and relatively high amount
of acetate
Inulin High amount of propionate
and acetate*
Pectins High amount of acetate
Galactomannans High amount of propionate
Source:
* excerpted from Botham et al. 1998
Dietary fibre functional products 349
SCFAs are mainly absorbed and stimulate salt and water absorption. They are
metabolised by the colon epithelium, liver and muscle. Among them, butyrate is
the preferred substrate for colon cells and may be involved in the protective
effects of fibre against colon cancer. Acetic acid is the only SCFA that can be
detected in peripheral blood. Propionic acid is mainly metabolised in the liver
and is mainly discussed in relation to effects on carbohydrate and cholesterol
metabolisms.
The mechanism by which butyrate may exert a protective role against colonic
cancer is not fully understood. It has been suggested that butyrogenic fibres may
interfere with immunoprophylaxis of bowel cancer since butyrate enhances the
immunogenicity of the colonocyte (Pierre et al. 1997; Perrin et al. in press).
Such an effect may be sufficient to generate rejection of early aberration of the
colonic mucosa. In the case of more advanced lesions (Min mice model) a
significant additional thrust on the local immunity via the flora may be
necessary. In this respect, butyrogenic and prebiotic materials, would be very
promising. RS, because of its butyrogenic character, also stimulates a great deal
of research. RS encompasses substances with different characteristics and which
differ in the rate and extent of fermentation. There is a major impetus in
developing RS that will ferment in the distal part of the large bowel. More
information on the fermentation profile of resistant starch in vivo is required to
progress the field.
While the amount of fibre may be important for dietary response it is equally
important to describe its source and properties if mechanisms responsible for
fibre activity(s) are to be understood. Numerous mechanisms of action have
been identified which are related to physicochemical properties and fermenta-
tion patterns in the large intestine. The fact that fibre sources differ in their
susceptibility to undergo modification during cooking and processing must be
considered. The physicochemical environment prevailing in different areas of
the digestive tract as the changes occurring within the fibre matrix during
passage must also be taken into account. More in vivo data are still required.
Moreover, methods for measurement of the physicochemical properties that are
relevant from a physiological point of view are still needed.
The relationships between target function of the body and improved state of
health and/or reduced risk of disease remain to establish. Moreover, most of our
knowledge is derived from studies where model fibres were used at doses that
were not always realistic. More data are needed with food as eaten, and as part
of a complex diet to confirm attributes of fibres.
13.7 Recommended intakes of dietary fibre
The document entitled ¡®Dietary fibre intakes in Europe¡¯ and published in 1993
by the European Community within the framework of COST 92 provides a
record of fibre intake in the different member states of the European Union. The
range value is from 21 to 25.3g/day. It is obvious that the data are obtained by
350 Functional foods
different methods of intake calculation but also of food analysis, which makes
comparison difficult. The contribution of food containing added fibre for
technological or functional purposes is not taken into account. Cereals, followed
by vegetables, including pulses and potato, are the main food group contributors
to dietary fibre intake. Of course, there are variations between countries. For
example, consumption of cereals is highest in North Europe and lowest in South
Europe (Table 13.14).
Nutritional recommendations about fibre intake in the different countries
relies on the same analytical basis (Table 13.15). In agreement with a proposal
from Organisation Mondiale de la Sante¡ä (World Health Organization), Dupin
(1992) suggests in France a daily intake of 30¨C40 g dietary fibre. Several other
countries, such as Denmark and Sweden, suggest a lower intake, namely 25¨C30
g dietary fibre/day. The Netherlands and USA express their recommendation as
g fibre/MJ or 2000 Kcal.
Recommendations are based on what hitherto has been known about fibre.
Most of the time, the guidelines are qualitative. They emphasise the need to eat
more fruit and vegetables, and to avoid fat. Dietary diversity is encouraged more
than precise nutritional guidelines.
13.8 Conclusions and future trends
Dietary fibre has been accepted in the prevention and management of disease in
Western society. Dietary fibre exerts its direct physiological effect throughout
the gastrointestinal tract in addition to metabolic activities.
The food industry has the opportunity to improve the health of customers
and/or to reduce their risk of disease through foods with added activities. One
difficulty for food companies when dealing with dietary fibre is to meet both
nutritional and technological requirements; and most often, a compromise must
be found (Fig. 13.7). In the last few years, ingredient suppliers have been
engaged in research aimed at further improving the quality of fibre, which in
part determines how much fibre can be added to foods and contribute towards
their quality and nutritional attributes. It is important to further understand the
effects of cooking and processing on fibre functionality and to take major notice
of them. Novel generations of fibre (modified or mixtures of fibres with
complementary properties) with optimised properties for specific application of
final products have been developed. However, food companies still need to
establish and develop innovative ways to bring dietary fibre into more products.
Fibre supplementation of foods remains a largely empirical process. Predictive
models for the mechanisms involved in successful incorporation of fibre in
foods must be developed.
Well-validated relevant biomarkers to physiological functions and health end
points are crucial to demonstrate accurately that food is truly effective. If
appealing and believable, fibre-rich products will contribute significantly to
dietary guidelines.
Dietary fibre functional products 351
Table 13.14 Dietary intake in some countries
Country Surveys Analytical methods Intake (g/j) Reference
France Household food survey Unavailable carbohydrates 15.9 (year 1989) Baghe¡äri & Debry (1990)
1
Surveys of individuals Unavailable carbohydrates 17.9¨C26.4 Le Quintrec & Gendre (1986)
2
Surveys of individuals Unavailable carbohydrates 18.2 (13.6¨C22.8) Several references
1
Household surveys NSP, Unavailable carbohydrates 15.9¨C17.5 Several references
1
Food balance sheet Unavailable carbohydrates 25.3 Bright-See, MacKeown-Eyssen (1984)
1
Belgium Surveys of individuals TDF 21.0 (H), 19 (F) Joossens et al. (1989)
1
UK Food frequency questionnaire NST 15.5¨C16.4 (M, 40¨C69 years old) Emmett et al. (1993)
2
14.3¨C15.1 (F, 25¨C69 years old)
Unavailable carbohydrates 23.2¨C25.3 (M, 40¨C69 years old)
21.6¨C23.3 (F, 25¨C69 years old)
Dairy record/7d Unavailable carbohydrates 19 C6 7 (1980¨C83) O¡¯Neill and Fehili (1999)
2
21 C6 9 (1990)
Germany Dairy record/3 months Unavailable carbohydrates 24 C6 8.4 (students) Kasper et al. (1980)
2
22.0 C6 5.5 (manual labour)
21.7 C6 5.5 (teachers)
17.6 C6 4.6 (office workers)
Italy Food frequency questionnaire Unavailable carbohydrates 32.4 Turrini et al. (1995)
TDF
USA USDA ¨C survey 89¨C91 TDF 15.6 (20 years old) Mueller et al. (1997)
Children ¨C adolescent
Japan Nutrition survey Unavailable carbohydrates 23.7 C6 8.4 Nakaji et al. (1993)
Aomori TDF 22.2 C6 8.5
Sources:
1
Cummings and Fr?lich (1993);
2
mentioned by Cho et al. (1999a)
Notes:
NSP: non-starch polysaccharides; TDF: total dietary fibre, AOAC method; Unavailable carbohydrates: Southgate method; M, F: male, female.
Table 13.15 Dietary fibre daily intake recommendation. (Adapted from Cho et al. 1999.)
Country Recommended intake Basis Source of recommendation
World-wide 27¨C40 g TDF World Health Organization
16¨C24 g NSP
France 25¨C30 g DF French gastroenterologist ¨C unpublished
Belgium 26¨C38 g (male) DF National Council for Nutrition (unofficial)
19¨C28 g (female)
UK 18 g NSP Department of Health Committee on Aspect of Food Policy, Department of
Health Dietary Reference Values, report
Germany 30 g DF German Society of Nutrition
Italy 19 g TDF National Nutrition Institute
USA 25 g/2,000 kcal (adult) DF American Health Foundation
3¨C20 years of age
0.5 g/BDW up to 25 g/day (adolescent) DF American Academy of Pediatrics
Japan 20¨C25 g TDF Ministry of Health and Welfare
Notes:
* DF: dietary fibre (method not indicated); TDF: total dietary fibre (AOAC, 1995); NSP: non-starch polysaccharides (Englyst et al. 1982)
The success of foods for cholesterol reduction and for well-balanced
intestinal flora are examples of possible success with this approach (Table
13.16). Modern research on dietary fibre has been ongoing for almost 30 years.
There is no doubt that further development regarding effects of dietary fibre and
associated substances will be important for the development of nutritious foods
and for improved public health.
? C80C111C115C105C116C105C118C101C105C109C97C103C101C105C110C116C104C101C101C121C101C115C111C102C116C104C101C99C111C110C115C117C109C101C114C119C105C116C104C114C101C103C97C114C100C116C111C115C111C117C114C99C101C44C119C104C111C108C101C115C111C109C101C110C101C115C115C44C101C116C99C46
? C66C101C99C111C110C99C101C110C116C114C97C116C101C100C115C111C116C104C97C116C109C105C110C105C109C117C109C97C109C111C117C110C116C99C97C110C104C97C118C101C97C109C97C120C105C109C117C109C112C104C121C115C105C111C108C111C103C105C99C97C108C101C102C102C101C99C116
? C66C108C97C110C100C105C110C116C97C115C116C101C44C99C111C108C111C117C114C44C116C101C120C116C117C114C101C97C110C100C111C100C111C117C114
? C67C111C109C112C97C116C105C98C108C101C119C105C116C104C112C114C111C99C101C115C115C105C110C103
? C71C111C111C100C115C104C101C108C102C108C105C102C101C116C104C97C116C100C111C101C115C110C111C116C97C100C118C101C114C115C101C108C121C97C102C102C101C99C116C116C104C97C116C111C102C102C111C111C100C116C111C98C101C97C100C100C101C100
? C72C97C118C101C116C104C101C101C120C112C101C99C116C101C100C112C104C121C115C105C111C108C111C103C105C99C97C108C101C102C102C101C99C116C115
? C66C101C114C101C97C115C111C110C97C98C108C101C105C110C112C114C105C99C101C46
Fig. 13.7 A model for dietary fibre (from Larrauri 1999).
Table 13.16 Claims and dietary fibre
Dietary fibre content Recommended intake Source of
recommendation
Source 3 g/100 g or 1.5 g/100 kcal Codex Alimentarius
High 6 g/100 g or 3 g/100 kcal Codex Alimentarius
Functional Fructoligosaccharides induce an CNHPF
increase in the number and/or activity
of bifidobacteria and lactic acid bacteria
in the human intestine
Health
Psyllium Decrease the risk of cardiovascular CNHPF
disease
Sources of soluble beta Reduction of blood cholesterol FDA
glucans (barley bran,
barley flour)
Diet rich in cereal Low fat and high fibre diet food FDA
products (wholemeal), containing cereals, fruits and vegetables
fruits and vegetables may reduce the risk of some types
of cancer, a multi-factor disease
Note:
Adapted from Cho et al. (1999a)
354 Functional foods
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364 Functional foods
acetic acid 349¨C50
active packaging 203
adhesion 294¨C5
adjuvants 83
adsorption 342¨C3
advertising
confectionery 279
FTC and 65¨C6
air classification 213¨C14
alcohol
and CHD 117
sugar alcohol 50
US legislation 53¨C4
alpha galactosides 322
C11-linolenic acid 236, 237¨C8
C11-tocopherol 198¨C9
amino acid content of proteins 195¨C7
AMINOPIG project 226
analytical techniques 276¨C7
angina pectoris 97, 102
antibiotic-associated diarrhoea 174
antigens
antigenicity of pea protein 211, 212,
218, 219, 223
gastrointestinal tract 168¨C9, 175¨C6
anti-mutagenicity 296
anti-nutritional factors 210¨C11, 217¨C18
antioxidants 3¨C4
anti-tumour properties 149¨C51
CHD risk 116
EU legislation 31
plant foods 185¨C6
processing of oils 202
spreads 241, 245¨C7
anti-tumour properties 141¨C66
diet and gene interactions 146¨C8
future trends 160
mechanisms of action 148¨C58
dietary fibre 156¨C8
nutrients 148¨C53
phytochemicals 153¨C6
models of carcinogenesis 145¨C6
nature of tumour growth 143¨C5
role of functional food 159
arachidonic acid (AA) 194¨C5
ascorbate 151
atherogenic lipoprotein phenotype (ALP)
98, 110¨C11
atherosclerosis 97, 101¨C2
atopic disease 172
Australia 262, 268
bacterial enzymes 76
bacteriocins 293¨C4
bakery products 215¨C16, 336¨C7
¡®balanced¡¯ diet 1, 10
behavioural functions 23¨C4
bench development 275
beta-carotene (C12-carotene) 150, 246¨C7
bifidobacteria 75, 130
Index
bifidobacteria (continued)
colonic functional foods 78, 84¨C5
bifidobacterium barrier 79¨C80
probiotics 173¨C4, 290, 294¨C7, 300, 301
bile acids 123, 157, 342¨C3
binding ions 342¨C3
bioavailability 219
blanching 337
bleaching 336
blocking mechanisms 146¨C8
body mass index (BMI) 148
body¡¯s response to disease 62
boiled sweets 271
botanicals 4
bran 322¨C4, 329
branding 281
brassica vegetables 155
bread 215¨C16, 336¨C7
breast cancer 158
Bureau of Alcohol, Tobacco and
Firearms (BATF) 53¨C4
butyrate 82¨C3, 157¨C8, 349¨C50
CABINET project 226
calcium 3, 48, 54, 249¨C50
cancer 141¨C2
carotenoids and 246
colonic 82¨C3
health claims in US 48, 49
see also anti-tumour properties
caramels 271¨C2
carbohydrate 79, 210
and CHD risk 115
EU legislation 32
carcinogenesis 144¨C5
models of 145¨C6
carcinogens 142
carotenoids
anti-tumour properties 150
EU legislation 35¨C6
manipulation of levels in plants
199¨C201
processing plant foods 203, 204
spreads 246¨C7
casein 175¨C6
cease and desist principle 66
cell walls, plant 316, 321¨C2
deformation 332¨C5
disruptibility of 345
cellobiose 85
cellulose 321, 324¨C8
cereal products 49, 215¨C16
cereals 274
chemical treatments 335¨C6
chewability 271
chewing gum 263, 264, 265, 267, 268, 274
chocolate 284
low calories/low fat 263, 266, 267, 270
markets 263, 265, 266
recipes 270¨C1
cholesterol 3, 49
CHD 98¨C9, 103, 104¨C8
assimilation 123
cholesterol binding to bacterial cell
walls 123¨C4
evidence and 111¨C15
reverse transport 107
phytosterols and lowering plasma
cholesterol 243¨C4
Cholestin 62¨C3
chronic diseases 234, 235
chylomicron (CM) remnant 105, 106,
107, 109¨C10
chylomicrons (CMs) 105, 106, 107,
109¨C10
ciceritol 322
claims
communication of functional claims
19¨C21
confectionery 282¨C3
dietary fibre 354
EU legislation 36¨C8
US legislation and see US legislation
clinical human trials 297¨C301
coagel 248
cocoa 260
Codex Alimentarius 20¨C1
coffee 117
colonic biopsies 295
colonic cancer 82¨C3
colonic functional foods 71¨C95
health aspects 82¨C5
host-microbe interaction 85¨C8
metabolisation of 72¨C5
prebiotics 72, 77¨C81
probiotics 71¨C2, 75¨C7, 85¨C6
synbiotics 72, 81¨C2
colonisation resistance 169
colorectal cancer 156¨C8
colours 36
Committee on the Medical Aspects of
Food Policy (COMA Committee)
33
concentrates, fibre 322¨C4, 325
concept, product 278¨C80
Concerted Action on Functional Food
366 Index
Science in Europe (FUFOSE)
14¨C16
confectionery, functional 259¨C86
current market 261¨C8
defining the product concept 278¨C80
development and manufacture 268¨C77
formulating a confectionery recipe
274¨C5
legal aspects 284
marketing and retailing 278¨C84
types of 261, 262
conjugated linoleic acid (CLA) 236, 240
consumer acceptance 278¨C9
content claims 44
cooling 338
coronary heart disease (CHD) 97¨C139
diet and 111¨C18
effects of prebiotics 99, 124¨C30
effects of synbiotics 130, 131
fats and spreads 233, 237, 245, 246
future trends 130¨C1
pathology of CHD development 101¨C3
probiotics 99¨C100, 118¨C24
possible mechanisms of action 122¨C4
relevant lipid particles 104¨C11
and risk factors 100¨C4
US legislation 49, 50¨C1, 53
coronary thrombosis 98, 102
COST 916 project 224
court system, US 45¨C6
cranberry products 65
creatine 263
cremes 273
crystallised confectionery 273
cultures, development of 294¨C6
cytokines 175¨C6
deconjugation of bile acids 123
deformation of cell walls 332¨C5
dental caries 50
development, product see product
development
Dextra Brand Sugar case 43
diabetes 210
diarrhoea 174¨C5, 301
diet
balanced 1, 10
and CHD 111¨C18
and gene interactions 146¨C8
and plant foods 192
dietary fibre 3, 78, 315¨C64
anti-tumour properties 156¨C8
and CHD 116
classification 317¨C20
defining 316¨C20
EU legislation 32¨C3
future trends 351¨C4
grain products containing 49
hydration properties 331, 332, 333,
335, 336, 343¨C4
intake by country 350¨C1, 352
pea fibre 210
physiological effects 340¨C50
fermentation patterns 346¨C50
physicochemical properties 341¨C6
processing dietary fibre ingredients
329¨C37
processing foods containing 337¨C40
recommended intakes 350¨C1, 353
soluble 49, 50¨C1
sources 321¨C9
amounts in some foods 328¨C9, 330
endogeneous 321¨C2, 323
supplements 322¨C8
dietary guidelines 10
Dietary Supplement Health and Education
Act 1994 (DSHEA) 57¨C64
dietary supplements 13, 51¨C2, 57¨C64
disclaimers 52
disease risk reduction claims 21
disease-specific/disease-prevention claims
see health claims
dispersibility 220
DNA methylation 145, 152¨C3
docosahexaenoic acid (DHA) 194¨C5, 236,
237, 238, 243
docosapentaenoic acid (DPA) 236, 237
dried fruits 270
drugs 61, 62¨C3
dry processing 213¨C14, 331¨C5, 338
eicosapentaenoic acid (EPA) 194¨C5, 236,
237, 238, 243
emulsifying properties 220
endogeneous dietary fibre 321¨C2, 323
endogenous pathway 105¨C7
enhanced function claims 21
enterococci 170
enzymatic treatments 336¨C7
enzymes, bacterial 76
erucic acid 31
Escherichia coli (E. coli) 75, 84¨C5
esters, phytosterol 244
EU-DEA INGREDIENT project 228
EU legislation 16, 29¨C42, 264, 266
functional claims 36¨C8
Index 367
EU legislation (continued)
labelling 39¨C40
manufacture 40
packaging 38¨C9
product composition 30¨C6
product description 29¨C30
product positioning 30
European Union (EU)
consensus on functional food 14¨C16
legislation see EU legislation
NEODIET 204¨C5
NUTRIPEA 221¨C4, 226
Probdemo project 289¨C91, 296¨C7,
299¨C301, 302¨C3
projects and networks 224¨C8
see also EU legislation
EUROPROTEINS 93¨C96 project 225
exogenous pathway 105, 107
extruded pastes 273
extrusion cooking 335, 338¨C9
factors 18
faecal bulking 156¨C7
fats
in confectionery 269
EU legislation 31¨C2
modified 241¨C3
and spreads see spreads
see also lipids; oils
fatty acids 234¨C40
CHD risk 111¨C15
composition of oil seeds 193¨C5
saturated (SFAs) 98¨C9, 111¨C13
short chain see short chain fatty acids
Federal Food, Drug and Cosmetic Act
(FFDCA) 43¨C4
Federal Register (FR) 45
Federal Trade Commission (FTC) 65¨C6
fenofibrate 99
fermentation
in the gut 72¨C5, 157¨C8, 341, 346¨C50
improving pea protein 214¨C15
legumes 339
ferritin gene 201
fibre see dietary fibre
fibre concentrates 322¨C4, 325
fibre isolates 324¨C8
fish 156
fish oil n-3 polyunsaturated fatty acids
(fish oil PUFAs) 238¨C9
spreads containing 240¨C1
flaking 339
flavonoids 23, 154
flavourings 36, 270
Fmali Herb Inc. v. Heckler 63
foaming properties 220
folate 50, 151¨C3
folic acid 3
fondants 273
Food and Drug Administration (FDA) 44,
45
dietary supplements 57¨C8, 59¨C62,
64¨C5
health claims 47¨C55
Food and Drug Administration
Modernization Act 1997
(FDAMA) 55¨C6
food guides 10
food processing see processing
food technology 24
foods for specified health use (FOSHU)
12
fortified confectionery 263, 264, 266,
267, 268, 280
France 262, 267
freezing 339
fructo-oligosaccharides 78, 328
fruits 49
anti-tumour properties 150, 151, 159
fibre 324, 329, 330
juices, pure¡äes and pulps 270
processing 202¨C4
see also plant foods
FRYMED project 227
fudge 271¨C2
functional food science 16¨C19
Functional Food Science in Europe 15
functional foods 1¨C5, 9¨C27
classification 2¨C4
communication of functional claims
19¨C21
defence against ROS 23
defining 1¨C2, 11¨C16
European consensus 14¨C16
international overview 11¨C14
food technology 24
future trends 25
gastrointestinal functions 22
key issues 4¨C5
markers as key to development
17¨C19
market 2
psychological and behavioural
functions 23¨C4
functionality 184
FYSAME project 227¨C8
368 Index
galacto-oligosaccharides (GOSs) 78
C13-linolenic acid (GLA) 236, 239
C13-tocopherol 198¨C9
gases 74
gastrointestinal infection 175
gastrointestinal models 295¨C6
gastrointestinal tract 22, 167¨C80
antigen handling 168¨C9
composition of flora 73¨C5
immune regulation 171¨C2
microbes and gut defence 169
prevention of infection 174¨C5
probiotics and treatment of disorders
175¨C6
see also colonic functional foods
gelatinisation 220
gelling agents 269
genetic engineering 160, 186¨C7, 190¨C1,
192¨C201
enhancing macronutrient quality
192¨C7
enhancing micronutrient quality
197¨C201
genistein 154¨C5
germ-free mice 86¨C8
characteristics of 86¨C7
immunological changes upon
introduction of autochthonous
bacteria 88
Germany 262, 264
germination 339¨C40
glazes 269
gluco-oligosaccharides 78
glucose 129¨C30
glucosinolates 155¨C6
glutathione biosynthesis 196¨C7
grains see cereal products; cereals
green fluorescent protein (GFP) 82
grinding 213¨C14, 330¨C1
gums 269, 272
health claims 21
confectionery 282¨C3
EU legislation 36¨C8
US legislation 44, 47¨C55, 55¨C6
impermissible for dietary
supplements 60¨C2
see also claims
heat treatments 331¨C5, 337¨C8
heavy metal limits 39
Helicobacter pylori 75, 301
herbs 4
high boiled confectionery 271
high density lipoprotein (HDL)
cholesterol 98, 105, 107, 108
host-microbe interactions 169
colonic functional foods 85¨C8
hydration properties of fibre 331, 332,
333, 335, 336, 343¨C4
hydrogen peroxide 336
hypertension 48
immune system
probiotics and 172¨C5
modulation 173¨C4
stimulation 83, 300¨C1
regulation in the gastrointestinal tract
171¨C2
in vitro digestibility 218
in vitro gut model system 82
indicators 18
infant formula 219, 223
inflammation, intestinal 175¨C6
inflammatory bowel disease (IBD) 301
ingredients 61
developing functional ingredients
209¨C32
fibre 324, 326¨C7
processing 329¨C37
novel 35¨C6
ongoing EU projects and networks
224¨C8
safety 283
stability of functional ingredients
275¨C7
instant controlled depression 335
insulin 129¨C30
interesterification 241¨C2
intestinal inflammation 175¨C6
inulin
CHD 124¨C30
spreads 249
iron 219
content of plants 201
isoelectric precipitation 214
isoflavones 185
isolates, fibre 324¨C8
isomalto-oligosaccharides (IMOs) 78
isoprenoid pathway 190
isothiocyanates 155¨C6
Italy 262, 267
Japan 2, 11¨C12
confectionery 262, 264¨C5
jellies 272
¡®jelly bean¡¯ rule 51
Index 369
labelling
EU legislation 39¨C40
US legislation 43¨C4, 46¨C64
controversy 64¨C5
lactic acid bacteria 76, 170, 173¨C4, 223
lactobacilli 75, 170
modulation of the immune system
173¨C4
probiotic functional foods 289, 290,
294¨C7
clinical trials 300, 301
lactose 76
lactosucrose (LS) 78
lecithin 31¨C2
lectins 211, 212
legislation 25, 283¨C4
EU see EU legislation
US see US legislation
legumes 209
see also peas
LINK (Legume Interactive Network) 224
linoleic acid 234¨C7
lipid-based fat substitutes 247¨C9
lipids 48
and CHD risk 111¨C15
colonic cancer 83
colonic functional foods and blood
lipids 83¨C4
effect of prebiotics on lipid metabolism
124¨C7
mechanism of lipid lowering 127¨C8
effects of probiotics on blood lipids
118¨C24
possible mechanisms of action
122¨C4
relevant lipid particles for CHD
104¨C11
structured 193¨C4
see also fats; oils
lipoprotein metabolism, plasma 104¨C7
Listeria monocytogenes 85
low boiled confectionery 271
low calorie/low fat chocolate
confectionery 263, 266, 267, 270
low density lipoprotein (LDL) cholesterol
98, 103, 105, 108
elevated levels of LDL-III 110
low dosage forms 80
low (zero) fat spreads 247¨C9
lozenges 260, 273
LUPINE project 227
lutein 35¨C6
lycopene 35¨C6, 246¨C7
macronutrient quality 192¨C7
macrophages 86¨C7
Maillard products 338
maize oil aberration 243
malting 339¨C40
manno-oligosaccharides 80
manufacture 40
confectionery 268¨C77
prebiotics 78¨C9
margarine 233
markers 17¨C19
market for functional foods 2
confectionery 261¨C8
marketing confectionery 278¨C84
marshmallow 272¨C3
Masai warrior trial 118
meat products 47, 216
medical claims 36
medical foods 56¨C7
medium chain triglycerides 242
methione 195¨C6
methylation, DNA 145, 152¨C3
micronutrients
enhancing micronutrient quality in
plant foods 197¨C201
EU legislation 33¨C4
see also minerals; vitamins
microwaving 338
milk 269
¡®milk factor¡¯ 100
evidence for 120
milk hypersensitivity 301
milk products 269
milk replacement products 216
milling 213¨C14, 330¨C1
minerals 3, 33¨C4
see also fortified confectionery
modified atmosphere packaging 203
modified fats and oils 241¨C3
molecular biology 77
tumour growth 144¨C5
molecular markers 77, 82
monitoring 24
monounsaturated fatty acids (MUFAs)
98¨C9, 112¨C13
mutagenicity 296
mycotoxin 185
myocardial infarction 98, 102
myrosinase 155
name of product 61
natural states 61
neural tube defects 50
370 Index
neutral lipid exchange 109¨C10
non-starch polysaccharides (NSPs) 32¨C3,
116, 317
see also dietary fibre
nougat 272¨C3
novel foods 35¨C6
novel ingredients 35¨C6
nutraceuticals 12
nutrient modification claims (nutrient
descriptors) 46¨C7
nutrient standards 9¨C10
see also recommended daily intakes
nutrients
anti-tumour properties and mechanisms
of action 148¨C53
see also macronutrients; micronutrients
NutriLab Inc. v. Schweiker 46, 47
NUTRIPEA 221¨C4, 226
nutritition 9¨C11, 25
new-generation studies 17
nutritional properties of peas 209¨C12
evaluation of improved pea protein
217¨C19
twentieth-century science 9¨C10
twenty-first century science 10¨C11
Nutritional Enhancement of Plant Foods
in European Trade (NEODIET)
204¨C5
nuts 270
obesity 148, 247¨C8
oils
in confectionery 269
fish oil PUFAs 238¨C9, 240¨C1
modified 241¨C3
processing of 202
oilseeds 193¨C5
oligofructose (OFS) 124¨C30
oligosaccharides 78¨C9, 317, 320
pea protein 212¨C13
soluble 80
oncogenes 145
optimisation, technology and 24
optimum (optimised) nutrition 1¨C2,
10¨C11, 25
oral tolerance 171¨C2
osteoporosis 48, 54
over-consumption 280
oxidation
fish oil PUFAs 241
see also antioxidants
p53 gene 145
packaging
EU legislation 38¨C9
plant foods 203
panned confections 273¨C4
particle size 345¨C6
pathogens 169, 293¨C4
colonic functional foods 84¨C5
competition with probiotics 170¨C1
pea flour 213¨C14
pea protein concentrate 213¨C14
pea protein isolate 211¨C12, 214, 215
peas 209¨C32
improved pea protein
adding to food products 215¨C17
evaluating functional and sensory
properties 219¨C21
evaluating nutritional properties
217¨C19
improving pea protein 212¨C13
processing issues 213¨C15
NUTRIPEA 221¨C4, 226
nutritional properties 209¨C12
pectins 321
persistent prebiotics 80, 81
phagocytosis 173
Pharmanex 62¨C3
PHASELIEU project 227
phaseolin 195¨C6
phenolic compounds
anti-tumour properties 153¨C5
plant foods 187¨C8, 203¨C4
see also polyphenols
phenylpropanoid pathway 188, 189
physicochemical properties 341¨C6
phytate 211, 218, 222¨C3
phytochemicals 4, 184, 185¨C7
anti-tumour properties 153¨C6
see also plant foods
phytoene synthase (PSY 1) 199¨C200
phytoestrogens 154¨C5
phytosterols 243¨C5
pilot testing 297¨C301
plant breeding techniques 190¨C1
plant cell walls see cell walls
plant foods 183¨C208
concept of functionality 184
delivery of functional effects 188
dietary fibre 321¨C2, 323
enhancing functional effects 188¨C91
enhancing macronutrient quality 192¨C7
enhancing micronutrient quality 197¨C201
factors affecting the intake of
functional compounds 192
Index 371
plant foods (continued)
fatty acid modification of crops 243
functional effects deliverable by plants
185¨C7
NEODIET 204¨C5
plant sources of functional compounds
187¨C8
processing and 191, 192, 202¨C4
see also fruits; vegetables
plasma cholesterol 243¨C4
plasma lipoprotein metabolism 104¨C7
polydextrose 328
polyphenols 23, 247
polysaccharides 321
fermentation 346¨C9
NSPs 32¨C3, 116, 317
water-soluble 341¨C2
polyunsaturated fatty acids (PUFAs)
194¨C5
CHD 98¨C9, 112¨C13, 115
fish oil PUFAs 238¨C9, 240¨C1
popping 339
porosity 331, 334
positioning 30
potassium 116¨C17
poultry 156
poultry products 47
prebiotics 3, 22, 131, 349
CHD 99, 124¨C30
effect on glucose and insulin levels
129¨C30
effect on lipid metabolism 124¨C7
mechanism of lipid lowering 127¨C8
colonic functional foods 72, 77¨C81
commercial manufacture 78¨C9
commercially available 78
future prospects 79¨C81
PRELEG project 226
pricing 282
Probdemo project 289¨C91, 296¨C7,
299¨C301, 302¨C3
probiotics 3, 22, 131, 287¨C313
CHD 99¨C100
effects on blood lipids 118¨C24
colonic functional foods 71¨C2, 75¨C7,
85¨C6
future trends 176¨C7, 303¨C4
and gastrointestinal tract 167¨C80
competition with pathogens 170¨C1
and the immune system 172¨C5
and the treatment of gastrointestinal
disorders 175¨C6
health benefits 287¨C91
pilot testing in clinical human trials
297¨C301
processing issues in development of
302¨C3
selecting probiotic strains 292¨C7
processing
constraints and confectionery 277
dietary fibre
foods containing fibre 337¨C40
ingredients 329¨C37
improving pea protein 213¨C15
issues in developing probiotic foods
302¨C3
and plant foods 191, 192, 202¨C4
product composition 30¨C6
product concept 278¨C80
product description 29¨C30
product development 24
confectionery 268¨C77
product positioning 30
PROFETAS project 224
propionate 349¨C50
proteinase inhibitors 218
proteins 30
alteration in amino acid content 195¨C7
pea protein see peas
proto-oncogenes 144¨C5
psychological functions 23¨C4
psyllium 50¨C1
reactive oxidative species (ROS) 23, 185
recipe, confectionery 274¨C5
recommended daily intakes 9¨C10, 34
dietary fibre 350¨C1, 353
referral statements 56
regulation see legislation
resistant starch (RS) 317, 319¨C20, 328,
338
respiratory infection 301
retailing 278¨C84
reverse cholesterol transport 107
rotavirus infection 175
safety 245, 277, 283
probiotic foods 297, 298
saponins 211, 218, 222¨C3
saturated fat 49
saturated fatty acids (SFAs) 98¨C9, 111¨C13
Scandinavia 262, 265
Scientific Concepts of Functional Foods
in Europe 15
scurvy 151
secretory IgA 171
372 Index
sensitisation 172
sensory evaluation 220¨C1
sequestrants 241
shelf life 276¨C7
short chain fatty acids (SCFAs) 73¨C4,
127¨C8, 157¨C8, 349¨C50
signs and symptoms 60¨C1
sodium 48, 116¨C17
solubility 219, 220
soluble fibre 49, 50¨C1
sorbitol 32
soy protein 53, 211, 213, 219, 223
soybean oligosaccharides (SOSs) 78
Spain 262, 267¨C8
specific nutrient claims 46¨C7
spreads 233¨C57
antioxidants 245¨C7
calcium 249¨C50
containing fish oil 240¨C1
fatty acids 234¨C40
functional ingredients and chronic
diseases 234, 235
inulin 249
low (zero) fat 247¨C9
modified fats and oils 241¨C3
phytosterols 243¨C5
St John¡¯s Wort 283
stability 275¨C7
starch, resistant (RS) 317, 319¨C20, 328,
338
stearidonic acid 236, 240
stevioside 63¨C4
structure-function claims 44, 52, 59¨C64,
64¨C5
structured lipids 193¨C4
structured triglycerides 242
sucrose 259¨C60, 269
sucrose polyester (SPE) 248
sugar alcohol 50
sugar confectionery techniques 271¨C4
sugar fibre 324
sugar-free confectionery 263¨C8 passim
sugars 269
supplement facts panels 58¨C9
supplements, fibre 322¨C8
suppressing mechanisms 146, 147, 148
survivability of probiotics 76¨C7
swelling 344
symptoms, signs and 60¨C1
synbiotics 3, 72, 81¨C2, 100, 130, 131
syrups 269
T cells 86, 171¨C2
tablets 273
target functions 14, 22¨C4, 25
Technological Aspects of Functional
Food Science 15
technology, food 24
therapy, disease 61, 62
thermo-mechanical treatments 335, 338¨C9
thickening properties 220
thrombosis 101¨C2
TNO gastrointestinal tract model 295¨C6
tocopherols 187, 198¨C9
tocotrienols 246
toffees 271¨C2
tooth decay 50
trans fatty acids 113¨C14
TRANSLEG project 225
traveller¡¯s diarrhoea 174¨C5
triacylglycerol (TAG) 98¨C9, 104¨C7,
193¨C4
elevated fasting and post-prandial
levels 108¨C9, 114¨C15
prebiotics 124¨C7
triglycerides 242, 243
trypsin inhibitors 211, 212
tumours 143¨C5
tumour cell biology 143¨C4
see also anti-tumour properties
type A and type B claims 21
ubiquinol 247
ultrafiltration 214
UNCLE project 225¨C6
United Kingdom 33, 262, 265¨C6
United States 262, 263
legislation see US legislation
United States Department of Agriculture
(USDA) 45, 47
US legislation 43¨C68
advertising and the FTC 65¨C6
controversy over labelling 64¨C5
definitions 44¨C6
disease-specific/disease-prevention
claims 44, 47¨C55, 55¨C6
DSHEA 57¨C64
FDA Modernization Act 1997 55¨C6
future trends 66¨C7
medical foods 56¨C7
nutrient modification and specific
nutrient claims 46¨C7
vegetable pa?te¡ä 217
vegetables 49
anti-tumour properties 150, 151, 159
Index 373
vegetables (continued)
fibre 329, 330
processing fibre 202¨C4
see also peas; plant foods
very low density lipoprotein (VLDL) 99,
105¨C7, 128
viral oncogenes 144¨C5
viscosity 341¨C2
vitafoods 13
vitamins 3, 23
EU legislation 33¨C4
vitamin A 183, 233
vitamin C 151, 187
vitamin E 149¨C50, 187, 245¨C6
enhancement of levels 198¨C9
see also fortified confectionery
warning statements 40
water absorption 343¨C4
water retention 343¨C4
water-soluble polysaccharides 341¨C2
wet processing 214, 337¨C8
whipping agents 269
wine labels 53
xyloglucans 321
xylo-oligosaccharides (XOSs) 78
zearalenone 185
zero fat spreads 247¨C9
zinc 219
374 Index