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Functional foods
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Functional foods
Concept to product
Edited by
Glenn R. Gibson and Christine M. Williams
Published by Woodhead Publishing Limited
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England
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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
´
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–microbe 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
´
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
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Chapter 1
Professor Marcel Roberfroid

Universite´ Catholique de Louvain
Faculte´ de Medicine
De´pt des Sciences Pharmaceutiques
Avenue E Mounier 73
UCL/BCTC 7369
B-1200 Bruxelles
Belgium
Fax: 32-2-764-7359
E-mail:
Chapter 2
Mr Peter Berry Ottaway
Berry Ottaway & Associates
1a Fields Yard
Plough Lane
Hereford HR4 0EL
Tel: +44 (0)1432 270886
Fax: +44 (0)1432 270808
E-mail:
Chapter 3
Professors Mary K Schmidl and
Theodore P Labuza
Department of Food Science and Nutrition
University of Minnesota
1354 Eckles Avenue
St Paul
MN 55108
USA
Tel: 612 624 9701
Fax: 651 483 3302
E-mail:

E-mail:
Chapter 4
Professor Glenn R Gibson
The University of Reading
Department of Food Science &
Technology
PO Box 226
Whiteknights
Reading RG6 6AP
Tel: +44 (0)118 931 8700
Fax: +44 (0)118 931 0080
E-mail:
Chapter 5
Drs Julie Lovegrove and Kim Jackson
Department of Food Science & Technology
University of Reading
PO Box 226
Whiteknights
Reading RG6 6AP
Tel: 0118 931 8700
Contributors
Fax: 0118 931 0080
E-mail:
Chapter 6
Professor Ian Johnson
Institute of Food Research
Norwich Research Park
Colney
Norwich NR4 7UA
Tel: +44 (0)1603 255000

Fax: +44 (0)1602 507723
E-mail:
Chapter 7
Dr Erika Isolauri and Professor Seppo
Salminen
Department of Pediatrics
University of Turku
Finland
Tel: +358 2 2612433
Fax: +358 2 2611460
E-mail:
Chapter 8
Dr David Lindsay
Institute of Food Research
Norwich Research Park
Colney
Norwich NR4 7UA
Tel: +44 (0)1603 255224
Fax: +44 (0)1603 505671
E-mail:
Chapter 9
Professor Ann-Sofie Sandberg
Department of Food Science
Chalmers University of Technology
SE-402 29 Go¨teborg
Sweden
Tel: +46 (0) 31 3355630
Fax: +46 (0) 31 3355630
E-mail: ann-sofie.sandberg@
fsc.chalmers.se

Chapter 10
Dr Emile de Deckere
Unilever Nutrition Centre
Unilever Research Vlaardingen
Olivier van Noortlaan 120
3133 At Vlaardingen
The Netherlands
Tel: +31 10 4606367
Fax: +31 10 4605993
E-mail:
Chapter 11
Dr Emma Pickford
Nestle´ Product Technology Centre
PO Box 204
Haxby Road
York YO91 1XX
Tel: +44 (0)1904 603194
Fax: +44 (0)1904 604887
E-mail:
Chapter 12
Professor Tiina Mattila-Sandholm
VTT Biotechnology
Box 1500
FIN-02044-VTT
Finland
Tel: +358 9 4565200
Fax: + 358 9 455 2028
E-mail:
Chapter 13
Professor Fabienne Guillon

URPOI-Micro-Macrostructure
INRA Nantes
Rue de la Geraudiere BP 71 627 44 316
Nantes Cedex 03
France
Tel: +33 (0) 2 40 67 50 38
Fax: +33 (0) 2 40 67 50 06
E-mail:
xiv Contributors
AFLP amplified fragment length polymorphism
ALP atherogenic lipoprotein phenotype
AOAC American Organization of Agricultural Chemists
APA Administrative Procedure Act 1946
BATF Bureau of Alcohol, Tobacco and Firearms
BMI body mass index
CARET carotene and retinol efficacy trial
CCA Circuit Court of Appeals
CETP cholesterol ester transfer protein
CFSAN Center for Food Safety and Applied Nutrition
CFR Code of Federal Regulations
CHD coronary heart disease
CM chylomicron
CPGM Compliance Policy Guides Manual
CV conventional
CVD cardiovascular disease
DHA docosahexaenoic acid
DRV daily recommended value
DSHEA Dietary Supplement Health and Education Act 1994
ELISA enzyme-linked immunosorbant assay
EPA eicosapentaenoic acid

ERH equilibrium relative humidity
FA fatty acid
FAIR Food and Agro-Industrial Research
FDA Food and Drug Administration
FDAMA Food and Drug Administration Modernization Act 1997
Abbreviations
FFDCA Federal Food, Drug and Cosmetic Act 1938
FISH fluorescent in situ hybridisation
FOS fructo-oligosacccharides oligosaccharides
FOSHU food for specified health use
FR Federal Register
FSIS Food Safety and Inspection Service
FTC Federal Trade Commission
FUFOSE Functional Food Science in Europe
GALT gut associated lymphoid tissue
GF germ-free
GFP green fluorescent protein
GI gastrointestinal
GIP glucose-dependent insulinotropic polypeptide
GLP glucogon-like peptide
GM genetically modified
GOS galacto-oligosaccharide
GRAS generally recognized as safe
HACCP hazard analysis and critical control point
HDL high density lipoprotein
HL hepatic lipase
HMG-CoA hydroxy-methyl-glutaryl CoA
HPLC high performance liquid chromatography
IBD inflammatory bowel disease
IDL intermediate density lipoprotein

ILSI International Life Science Institute
IMO isomalto-oligosaccharide
LAB lactic acid bacteria
LCAT lecithin cholesterol acyltransferase
LDL low density lipoprotein
LPL lipoprotein lipase
LPS lipopolysaccharide
LS lactosucrose
MAFF Ministry of Agriculture, Fisheries and Food
MLN mesenteric lymph nodes
MUFA monounsaturated fatty acid
NIDDM non insulin dependent diabetes mellitus
NLEA Nutrition Labeling and Education Act 1990
NSP non-starch polysaccharide
ODA Orphan Drug Act 1988
OFS oligofructose
PER protein efficiency ratio
PUFA polyunsaturated fatty acid
RDA recommended daily allowance; recommended dietary
allowance (US)
RDI recommended daily intake
xvi Abbreviations
RNI reference nutrition intake
ROS reactive oxidative species
RS resistant starch
SC Supreme Court
SCFA short chain fatty acid
SDS-PAGE sodium dodecyl sulfate-polyacrylamid gel electrophoresis
SFA saturated fatty acid
SOS soybean oligosaccharide

SPE sucrose polyester
TAG triacylglycerol
TCM traditional Chinese medicine
TDF total dietary fibre
TH T helper
USC United States Code
USDA United States Department of Agriculture
USP United States Pharmacopeia
VLDL very low density lipoprotein
WBC water binding capacity
XOS xylo-oligosaccharide
Abbreviations xvii
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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$7–10 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$3–4 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
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