Essentials of Food Science

344 17 Food Additives with the prevention and/or treatment of at least classified as direct or indirect. If they are four of the leading causes of death in the United intentionally or purposely added to foods, these States. Existing additives, as well as new ones, direct additives must be named on food labels. are utilized in new product development. If indirect, they are incidentally added to food in very small amounts during some phase of Controlling decomposition, nutritional losses, production, processing, storage, packaging, or losses of functional properties, aesthetic value, transportation. and so forth are issues of utmost importance to our food supply. “Yuck, this stuff is full of According to the FDA, food additives are ingredients!” says Linus, reading a can label in substances added to foods for specific physical Charlie Brown. It is true that there was some or technical effects. They may not be used to suspicion of additives in earlier times, yet in disguise poor quality yet may aid in preservation this day consumers demand good-looking, and processing, or improve the quality factors of nutritious, safe, and tasty foods. appearance, flavor, nutritional value, and texture (Chap. 1). Whether an additive is natural or artificial has no bearing on its safety. (FDA) The consumer may be skeptical of, or perhaps in opposition to, an uncommon or unfamiliar Continuously, consumers should be vigilant chemical name of a food additive. Yet, in fact, as to the quality and quantity of food and all additives, including GRAS substances, such beverages that they consume. Government as salt, are chemicals. Even water is H and O! agencies have the responsibility for just part of Food additives undergo vigorous toxicological the plan. analysis before their approval and use in foods. Definition of Food Additives Food additives have many very important techni- cal functions in foods. Food additives contribute to The 1958 Food Additives Amendment to the the overall quality, safety, nutritive value, appeal, FD&C Act of 1938 legally defined a food addi- convenience, and economy of foods (IFT, 2010; tive, and the Committee on Food Protection of PDF Download). Food and color additives and the National Research Council (NRC) more sim- GRAS substances have been the subjects of ply and practically defined an additive as research and development, public policy, and reg- “A substance or a mixture of substances, other ulatory activity as well as public interest for than a basic foodstuff, that is present in a food as decades. a result of an aspect of production, processing, storage, or packaging.” IFT has addressed food additive topics in numerous ways: through workshops, publications, Exempt from food additive regulation are and expression of scientific viewpoints in numer- prior-sanctioned substances, determined as safe ous forums. IFT is also actively engaged in for use prior to the 1958 amendment, such as deliberations on food additives in the scientific sodium nitrite and potassium nitrite, and and policy arenas (e.g., Codex Committee on generally recognized as safe (GRAS) substances Food Additives).—IFT such as salt, sugar, spices, vitamins, and monosodium glutamate (discussed later). The Joint FAO/WHO (Food and Agriculture Organization of the United Nations and the World A food additive in its broadest sense is any Health Organization) Expert Committee on Food substance added to food. Legally, additives are Additives (JECFA) represents an international expert scientific committee that has met since 1956 to evaluate the safety of food additives. Yearly findings are reported by the organization.

Function of Food Additives 345 One more definition of food additives by the See FDA Food Additive Status List Page Last World Health Organization (WHO): Updated: 2012 Food additives are substances that are added to Function of Food Additives food or animal feed during processing or storage. They include antioxidants, preservatives, Foods are evaluated based on their appearance, colouring and flavouring agents, and anti-infective texture, and flavor as previously discussed in agents. Most food additives have little or no Chap. 1. Each attribute is crucial to the food’s nutritional value. acceptance and edibility. General categories of food additives include preservatives, nutritional The Joint FAO/WHO Expert Committee on additives, sensory agents, and processing agents Food Additives (JECFA) is an international scien- as noted in this chapter. When new food products tific expert committee that is administered jointly are developed, new or existing food additives by the Food and Agriculture Organization of the may be utilized. United Nations FAO and the World Health Organization WHO. It has been meeting since Additives perform a variety of useful functions in 1956, initially to evaluate the safety of food foods that are often taken for granted. Since most additives. Its work now also includes the evalua- people no longer live on farms, additives help keep tion of contaminants, naturally occurring toxicants food wholesome and appealing while en route to and residues of veterinary drugs in food. markets sometimes thousands of miles away from where it is grown or manufactured. Additives also To date, JECFA has evaluated more than 2600 improve the nutritional value of certain foods and food additives, approximately 50 contaminants can make them more appealing by improving their and naturally occurring toxicants, and residues of taste, texture, consistency or color. approximately 95 veterinary drugs. The Commit- tee also develops principles for the safety Some additives could be eliminated if we were assessment of chemicals in food that are consistent willing to grow our own food, harvest and grind it, with current thinking on risk assessment and take spend many hours cooking and canning, or accept account of recent developments in toxicology and increased risks of food spoilage. But most people other relevant sciences.—JECFA today have come to rely on the many technological, aesthetic and convenience benefits that additives Everything Added to Food in the United States provide in food. (FDA) (EAFUS) Food manufacturers attempt to increase the November 2011 shelf life of their products by controlling and The EAFUS list of substances contains preventing deterioration; therefore, additives may be used to preserve or combat microbial or ingredients added directly to food that FDA has enzymatic deterioration. All living tissue resists either approved as food additives or listed or microorganism attack to some degree, and affirmed as GRAS. Nevertheless, it contains only additives assist in microbial (pathogens and a partial list of all food ingredients that may in fact nonpathogens) protection. The use of additives be lawfully added to food, because under federal at the point of manufacture or processing cannot law some ingredients may be added to food under a stop all foodborne illness though and cannot GRAS determination made independently from guarantee food safety for the population at the FDA. The list contains many, but not all, of large. For example, mishandling of food at the substances subject to independent GRAS restaurants and homes contributes a larger por- determinations. For information about the GRAS tion of foodborne illness than handling at food notification program please consult the Inventory processing plants. of GRAS Notifications. Additional information on the status of Food and Color Additives can be obtained from the Food Additive Status List or the Color Additive Status List (formerly called Appendix A of the Investigations Operations Manual). [This information is generated from a database maintained by the U.S. Food and Drug Administration] See http://www.nutrition.gov/whats-food/food- additives

346 17 Food Additives A second use of food additives, beside to import, by authority of the Food Additives increase the shelf life, is that they may be Amendment (1958) and the Color Additives included in food to maintain or improve Amendment (1960) to the Federal FD&C Act nutritional value. They enrich, fortify, or restore of 1938. The USDA regulates additives of meat what is lost in processing. Additives may add and poultry products. nutrients and correct deficiencies, such as when iodine was used to treat goiter, or when the Approval of Additives minerals calcium and iron are added to food. In order to gain approval for use of an additive, Antioxidants such as lemon juice, BHT, BHA, and vitamins A and C are added to control the manufacturers must petition the FDA and: damaging effect of exposure to oxygen, or vita- • Provide evidence of harmlessness of an addi- min D is added to fortify milk. Many grain products are enriched or fortified with thiamin tive at the intended level of use to prevent the disease beriberi, niacin to control • Provide data from at least 2 years of feeding of the devastating pellagra, and more recently, with folate to prevent the reoccurrence of neural tube at least two animals, male and female (usually defect. Nutritional fortification is of tremendous dogs and rats) benefit to many people. • Prove the safety, usually by utilizing an outside toxicology laboratory for testing The first food additive in the United States was iodine. Its function was nutritional—to Manufacturers must show evidence that the treat and prevent goiter, common in the Great additive is safe and that it will accomplish its Lakes and Pacific Northwest regions of the intended effect (show usefulness and harmless- United States. With study it was found that ness). Although absolute safety of any substance those geographic regions were without seawater. can never be proven, there must be a reasonable Thus the soil, water, and crops in these regions certainty of no harm from the additive under were deficient in iodine, and the problem of its proposed use. In the approval evaluation, a goiter in local populations was prevalent. It was “typical” intake level is considered and additives added to salt (for the reason that salt was are evaluated on a case-by-case basis. commonly consumed and thus a good vehicle) in 1924 and iodized salt quickly became a Beneficial additive approval information common dietary source of iodine. includes animal tests and disappearance data. Animal tests are conducted to show effects of Food additives play a role in food protection large doses and lifetime or generational feedings. and nutrition fortification. Other roles of Market basket patterns of consumption studies additives are as flavor and color sensory agents. show disappearance data of food that is both These agents may be added to food so that it is produced and imported. The latter shows, on made more appealing. As well, additives may be average, the 7-day intake of an adult male. included in processing—for example, as agents to maintain product consistency, to emulsify, If the additive wins approval by the FDA, it is stabilize, or thicken a food. only for use at specific levels in specific products. For example, certain fat replacements may only be Legislation and Testing for Additives approved for addition to savory snacks. Then, subsequent to approval, periodic review of The FDA regulates the inclusion of additives to additives based on up-to-date scientific evidence food products subject to interstate commerce or occurs. The FDA’s Adverse Reaction Monitoring System (ARMS) monitors and investigates complaints that are associated with, and related to, food and color additives, specific foods, or vitamin and mineral supplements. The FDA also

Major Additives Used in Processing 347 has an Advisory Committee on Hypersensitivity Major Additives Used in Processing to Food Constituents. Consumers should read product labels in order to determine specific Food Ingredients and Packaging ingredient information. Terms. The FDA Data Standards Council is Delaney Clause standardizing vocabulary across the FDA. Therefore, the wording in some terms The Delaney Clause (named for the congressio- below may change slightly in the future. nal sponsor Rep. James Delaney—NY) to the Food Additives Amendment states that no addi- Biotechnology—Refers to techniques tive shown to cause cancer in man or laboratory used by scientists to modify animals, regardless of the dose, may be used in deoxyribonucleic acid (DNA) or the genetic foods. Proposed additives are not acceptable for material of a microorganism, plant, or ani- use in the food supply if they have been mal in order to achieve a desired trait. In the documented to be carcinogenic by any appropri- case of foods, genetically engineered plant ate test. Such legislation continues to be foods are produced from crops whose reviewed, as both finer detection methods to genetic makeup has been altered through detect minute amounts of a carcinogen, previ- a process called recombinant DNA, or ously undetected, and improvements in additive gene splicing, to give the plant desired traits. testing over the years have become available. Genetically engineered foods are also known as biotech, bioengineered, and Such detection and improvement in testing has genetically modified, although “genetically led to the question of what is an appropriate test? modified” can also refer to foods from plants For example, is there any substance that is totally altered through methods such as conven- safe at any level of ingestion? Or will testing tional breeding. While in a broad sense document the presence of carcinogens? The real biotechnology refers to technological issue may be in regard to “risk versus benefit” of applications of biology, common use in the an additive, for an additive may pose a “risk,” yet, United States has narrowed the definition to a risk is not a threat to life. On the other hand, a foods produced using recombinant DNA. “benefit” of using the additive is that there is an For additional information, see the biotech- improvement in the condition of a food. nology program on the CFSAN Internet. Currently, the FDA must abide by the mandate CEDI/ADI Database—For a large of the Delaney Clause in approving food additives, number of food contact substances, although the specifics may change in the future. CFSAN maintains a database of cumula- Overall, the goal of any ingredient testing is to tive estimated daily intakes (CEDIs) and provide a safe food supply for the public. acceptable daily intakes (ADIs). The CEDIs and ADIs are based on currently Nutrition Labeling Education Act (NLEA) available information and may be revised when information is submitted or made Further legislation included the Nutrition available. The CEDI/ADI database is Labeling and Education Act of 1990 (Chap. 20). updated approximately twice annually. It required that all food labels must list additives, The CEDIs and ADIs are based on cur- such as certifiable color additives by the common rently available information and may be or usual name. Labels contain valuable informa- subject to revision on the basis of new tion that allows people who may have food or information as it is submitted or made food additive sensitivities to select appropriate available to OFAS. food.

348 17 Food Additives Color Additive—A color additive is a Food Additive—A food additive is dye, pigment, or other substance, which is defined in Section 201(s) of the FD&C capable of imparting color when added or Act as any substance the intended use of applied to a food, drug, cosmetic, or the which results or may reasonably be human body. The legal definition can be expected to result, directly or indirectly, found in Section 201(t) of the Federal in its becoming a component or otherwise FD&C Act and provides exclusions as affecting the characteristic of any food well. Color additives for use in food, (including any substance intended for use drugs, and cosmetics require premarket in producing, manufacturing, packing, approval. Color additives for use in or on processing, preparing, treating, packaging, a medical device are subject to premarket transporting, or holding food and including approval, if the color additive comes in any source of radiation intended for any direct contact with the body for a signifi- such use), if such substance is not GRAS cant period of time. For additional infor- or sanctioned prior to 19581 or otherwise mation, consult the Color Additive excluded from the definition of food Program on the CFSAN Internet. additives. Colorant—A colorant is a dye, pig- Food Contact Substance (FCS)— ment, or other substance that is used to Section 409 of the FD&C Act defines an impart color to or to alter the color of a FCS as any substance that is intended food contact material but that does not for use as a component of materials migrate to food in amounts that will con- used in manufacturing, packing, packaging, tribute to that food any color apparent to the transporting, or holding food if such use of naked eye. The term “colorant” includes the substance is not intended to have any substances such as optical brighteners and technical effect in such food. Additional fluorescent whiteners, which may not them- information can be found on the Food Con- selves be colored, but whose use is intended tact Substances Notification Program page. to affect the color of a food contact material There is a hierarchy from Food Contact (21 CFR 178.3297(a)). Substance (FCS) through Food Contact Material (FCM) to Food Contact Article EAFUS—The “Everything Added to (FCA): Food in the United States” (EAFUS) data- • The Food Contact Substance (the sub- base is an informational database maintained by CFSAN under an ongoing ject of an FCN) is a single substance, program known as the Priority-based such as a polymer or an antioxidant Assessment of Food Additives (PAFA). in a polymer. As a substance, it is PAFA contains administrative, chemical, reasonably pure (the chemist’s definition and toxicological information on over of substance). Even though a polymer 2,000 substances directly added to food, may be composed of several monomers, including substances regulated by the FDA it still has a well-defined composition. as a direct food additive, secondary direct • Food Contact Material (FCM) is food additive, color additive, GRAS, and made with the FCS and (usually) other prior-sanctioned substance. In addition, the substances. It is often (but not necessarily) database contains only administrative and a mixture, such as an antioxidant in a chemical information on approximately polymer. The composition may be 1,000 such substances. Information about variable. the more than 3,000 total substances com- • The Food Contact Article is the fin- prise EAFUS. For a complete listing of ished film, bottle, dough hook, tray, or EAFUS substances, see the EAFUS list. whatever that is formed out of the FCM.

Major Additives Used in Processing 349 GRAS—“GRAS” is an acronym for the component, or have a technical effect in or phrase generally recognized as safe. Under on the food. Indirect food additives men- sections 201(s) and 409 of the FD&C Act, tioned in Title 21 of the US Code of Fed- any substance that is intentionally added to eral Regulations (21CFR) used in food food is a food additive, that is subject to contact articles include adhesives and premarket review and approval by FDA, components of coatings (Part 175), paper unless the substance is generally and paperboard components (Part 176), recognized, among qualified experts, as polymers (Part 177), and adjuvants and having been adequately shown to be safe production aids (Part 178). Currently, addi- under the conditions of its intended use, or tional indirect food additives are unless the use of the substance is otherwise authorized through the food contact notifi- excluded from the definition of a food cation program. In addition, indirect food additive. GRAS substances are distin- additives may be authorized through 21 guished from food additives by the type CFR 170.39. of information that supports the GRAS determination, that it is publicly available PAFA—The Priority-based Assess- and generally accepted by the scientific ment of Food Additives (PAFA) database community, but should be the same quan- is a database that serves as CFSAN’s insti- tity and quality of information that would tutional memory for the toxicological support the safety of a food additive. Addi- effects of food ingredients known to be tional information on GRAS can be found used in the United States. Currently, on the GRAS Notification Program page. PAFA contains oral toxicology informa- tion on over 2,100 of approximately 3,300 Guidance Document—Guidance direct food ingredients used in food in the documents are documents prepared for United States. PAFA also contains mini- FDA staff, applicants/sponsors, and the mal information on over 3,200 indirect public that describe the agency’s interpre- additives including the names, CAS num- tation of or policy on a regulatory issue. ber, and regulatory information of the indi- Guidance documents include, but are not rect additives in the Code of Federal limited to, documents that relate to the Regulations. The EAFUS list and the Indi- design, production, labeling, promotion, rect Additive list on the CFSAN Internet manufacturing, and testing of regulated consist of selected fields of information products; the processing, content, and eval- generated from PAFA. uation or approval of submissions; and inspection and enforcement policies. Guid- Prior-Sanctioned Substance—A sub- ance documents do not legally bind the stance whose use in or on food is the sub- public or FDA or establish legally enforce- ject of a letter issued by FDA or USDA able rights or responsibilities. They repre- offering no objection to a specific use. The sent the agency’s current thinking (21 CFR prior sanction exists only for a specific use 10.115). A complete listing of CFSAN’s of a substance in food delineating level(s), guidance documents is available on the condition(s), and product(s) set forth by Internet. explicit approval by FDA or USDA prior to September 6, 1958. Some prior- Indirect Food Additive—In general, sanctioned substances are codified in 21 these are food additives that come into CFR Part 181. contact with food as part of packaging, holding, or processing but are not intended SCOGS Report—“SCOGS” is the to be added directly to, become a acronym for the Select Committee On GRAS Substances. Beginning in 1972,

350 17 Food Additives under a contract with FDA, the Life Additives may be naturally occurring or syn- Sciences Research Office of the Federation thetic. The additives most commonly used in the of American Societies for Experimental United States are generally recognized as safe Biology (author added: FASEB) convened (GRAS) flavor agents, along with baking soda, the Select Committee, which indepen- citric acid, mustard, pepper, and vegetable dently undertook a comprehensive review colors, that total greater than 98 % by weight, of the safety and health aspects of GRAS of all additives in the United States. food substances on the FDA’s then pro- posed GRAS list. The Select Committee Foods may contain ingredients that are added published its evaluations in a series of prior to retail sale. Vegetables and fruits, for reports known as the SCOGS reports. A example, may be treated with pesticides before listing of opinions and conclusions from harvesting, and dyes, fungicides, and waxes may 115 SCOGS reports published between be applied to retard ripening or promote sales. 1972 and 1980 is available on the CFSAN Sodium nitrites may be deliberately added to Internet. prevent Clostridium botulinum growth and pre- serve color, and sodium phosphates may be Secondary Direct Food Additive— added for purposes of retaining texture and This term is in the title of 21 CFR 173, preventing rancidity. which was created during recodification of the food additive regulations in 1977. An additive may serve multiple purposes and A secondary direct food additive has a therefore be listed in several classes of additives. technical effect in food during processing Some of the major additives used in processing but not in the finished food (e.g., are identified in the following text. processing aid). Some secondary direct food additives also meet the definition of Anticaking Agents and Free-Flow a food contact substance. For more on food Agents contact substances, consult the Food Con- tact Substance Notification Program. Anticaking agents and free-flow agents inhibit or prevent lumping and caking in crystalline or fine Threshold of Regulation (TOR) powders, including salt and baking powder. Var- Exemption—A substance used in a food ious silicates such as aluminum calcium silicate, contact article may be exempted from the calcium silicate, and silicon dioxide, as well as requirement of a food additive listing reg- tricalcium phosphate, are examples of anticaking ulation if the use in question has been agents that may be added to powdered food. shown to meet the requirements in 21 CFR 170.39. For details, see 21 CFR Antimicrobials 170.39. For a complete listing of the TOR exemptions, consult the Threshold of Reg- Antimicrobials inhibit the growth of pathogenic ulation inventory on the CFSAN Internet. or spoilage organisms. Most recognizable is sodium chloride, common table salt. Organic 1This is a shortened definition. The full acids such as acetic acid, benzoic acid, propionic definition is found in the FD&C Act acid, and sorbic acid are utilized with low pH level food items. Nitrites and nitrates are See Title 21, Code of Federal Regulations used as antimicrobials in meat products to com- (21 CFR), and the Federal Register containing bat C. botulinum, while sulfites and sulfur diox- the regulations and rules appropriate for Food ide are added to fruit juices and wine. and Color Additive Petitions and Food Ingredient and Food Packaging Notifications.

Major Additives Used in Processing 351 Antioxidants Bleaching and Maturing Agents “Antioxidants—minerals, vitamins and As freshly milled flour ages, it naturally whitens phytochemicals, such as flavonoids—may protect and improves in baking quality. Bleaching and/or against the free radicals that are implicated in cell maturing agents are added to flour either during damage and aging, heart disease, cancer and other or after the milling process to whiten and/or diseases. . . . They are found in fruits and vegetables, speed up the aging process. Benzoyl peroxide is nuts, grains, milk products, teas, legumes, spices, added to bleach the yellowish carotenoid pig- herbs and some meats, poultry and fish. ment to white, and chlorine dioxide is added to mature flour for better baking performance. They are defined as substances that may protect Bromates may also be common as is hydrogen human cells against the effects of highly unstable peroxide that is used to whiten milk for certain free radicals and, therefore, potentially disease- types of cheese manufacture. producing cell damage (U.S. National Library of Medicine). (Spano 2012)” Bulking Agents The presence of oxygen may result in rancid- Bulking agents such as sorbitol, glycerol, or ity, including the formation of toxic products, or hydrogenated starch hydrolysates are used in deterioration of color, flavor, and nutritional small amounts to provide body, smoothness, values. Thus, antioxidants are added to combine and creaminess that supplement the viscosity with available oxygen to halt oxidation reactions. and thickening properties of hydrocolloids (col- For example, antioxidants prevent or limit ran- loidal material that binds water). They provide an cidity in fats and foods containing fats, oily or fatty mouthfeel and are frequently used in stabilizing foods by preventing or inhibiting oxi- foods where sugar is reduced or absent. dation of unsaturated fats and oils, colors, and Polydextrose (Chap. 12) is an example of a flavorings. Also, antioxidants prevent browning bulking agent used when calories are limited in of cut fruit, by enzyme-catalyzed oxidation in foods. It contains 1 cal g and is made from a enzymatic oxidative browning (Chap. 7). mixture of glucose, sorbitol, and citric acid (89:10:1). Many antioxidants occur naturally, such as ascorbic acid (vitamin C), the tocopherols (vita- Coloring Agents min E), citric acid, and some phenolic compounds. The most widely used synthetic A color additive is any dye, pigment, or sub- antioxidants are BHA (butylated hydroxyanisole), stance that imparts color when added or applied BHT (butylated hydroxytoluene), TBHQ (tertiary to a food, drug, cosmetic, or to the human body. butylhydroquinone), and propyl gallate. These The term “FD&C” is applied to food color four synthetic antioxidants may be used alone or additives approved by the FDA for food, drug, in combination with one another, or another addi- and cosmetic usage, “D&C” is used for approved tive to control oxidation. They may be used to drug and cosmetic coloring agents, and “Exter- prevent oxidation in fat-containing food (up to nal D&C” is granted to approved color additives 0.02 % of the fat level) or in food packaging, applied externally. The synthetic coloring agents such as in whole grain cereal boxes. are assigned FD&C classifications by initials, the shade, and a number; for example, FD&C Red Many meat processors add sodium ascorbate #40 and FD&C Yellow #5. or sodium erythorbate (erythorbic acid) to cured meat to maintain processed meat color and to inhibit the production of nitrosamines from nitrites. (Nitrites are antioxidants that are also used as curing agents.) Ethylenediaminete- traacetic acid (EDTA) may be used as an antioxi- dant or for other purposes in food (see Sequestering Agents).

352 17 Food Additives Table 17.1 Colors exempt from certification (uncertified)/natural Grape color extracta Grape skin extracta Annatto extract (yellow-reddish orange) Paprika B-Apo-80-carotenala (orange) Paprika oleoresin Beta-carotene Riboflavin Beet powder Saffron Canthaxanthin Titanium dioxidea Caramel color (brown) Turmeric (yellow) Carrot oil Turmeric oleoresin Cochineal extract (red) Vegetable juice Cottonseed flour, toasted, partially defatted, cooked Ferrous gluconatea Fruit juice aRestricted to specific uses (See http://www.cfsan.fda.gov/~lrd/cfr70-3. Pigments may be derived from natural sources html.) It may be synthesized, isolated, or such as plant, mineral, or animal sources primarily extracted. the former (Table 17.1) and, if so, are exempt from FDA certification (see below), although they are Coloring agents are added to foods because of still subject to safety testing prior to their approval the sensory appeal they provide, for the purpose for use in food. Some of the same ingredients of making processed foods look more appetizing. added to foods for their health benefits also offer Some argue that ADHD, food allergies, and brain “natural” (uncertified) coloring. These include cell damage may be a result of added colorants. anthocyanins, carotenoids, chlorophylls, foods such as beets (betalains), cabbage, tomatoes (lyco- Natural colors may be lost in processing and pene), and a number of other flowers, fruits, and therefore others may be added. For example, vegetables. colors are used in baked products; candies; dairy products such as butter, margarine, and Browning attributable to the Maillard reac- ice cream; gelatin desserts; jams; and jellies in tion may successfully occur with acids and order to improve their appearance. It has been proteins. Browning may also occur due to sugars said that people “eat with their eyes” as well as in caramelization (Brantley 2012). their palates! Synthetic coloring agents are generally less There are thousands of foods that use colors to expensive than natural colorants, are more intense, make them look appetizing and attractive. and have better coloring power, uniformity, and stability when exposed to environmental The primary reasons for adding coloring conditions such as heat and light. They may be agents include the following: water-soluble, or made water insoluble by the addi- • Offsetting color loss due to exposure to tion of aluminum hydroxide. Only small quantities of granules, a paste, powder, or solution are needed air, light, moisture, and storage in foods to achieve the desired coloring effect. • To correct natural variations in color or Each batch of synthetic food color must be tested by both the manufacturer and the FDA prior to enhance color gaining approval. Such testing assures safety, qual- • To provide visual appeal to wholesome ity, consistency, and strength of the color additive. and nutritious foods The FDA permitted nine “certifiable” colors • To provide color to foods that would in the 1906 Food and Drug Law under a volun- tary certification program; seven of those were otherwise be colorless, including “fun foods” and special foods for various holidays

Major Additives Used in Processing 353 Table 17.2 Certifiable colors—synthetic FD&C Yellow No. 5 (lemon yellow)—tartrazine; second most widely used food dye FD&C Blue No. 1 (bright blue) FD&C Yellow No. 6 (orange) Orange Ba Citrus Red No. 2a—used FD&C Blue No. 2 (royal blue)—Indigotine on some orange skins FD&C Green No. 3 (sea green)—minimally used FD&C Red No. 3 (orange-red)—erythrosine FD&C Red No. 40 (cherry-red)—most widely used food dye aRestricted to specified uses other than foods approved for addition to food (Table 17.2). Cer- intended to affect the color of a food con- tification became mandatory in 1938, with tact material (21 CFR 178.3297(a)). authority for testing passing to the USDA. Today, the term “certifiable” food color refers Artificial colors have been the cause of contro- to color additives that are synthetic, or man- versy since the 1970s when a pediatrician first made, not natural. identified a correlation of intake to children’s behavior.” Later, studies “. . .showed a correlation In 1982, The National Institutes of Health between artificial food colors and additives and concluded that there was no scientific evidence exacerbated hyperactive behavior in children. to support the claim that coloring agents or other Even though many medical experts questioned food additives caused hyperactivity. Later, in the study’s protocol, it still stirred up consumer 2007 a report in the Lancet journal by researchers controversy. (Berry 2013) at England’s University of Southampton again implicated some synthetic coloring agents, and Curing Agents it led to a European warning label (currently not adopted by the United States) on foods and Curing agents impart color and flavor to foods. beverages containing the suspect colors (Decker Sodium nitrate and nitrite contribute to the color, 2012). color stability, and flavor of cured meats such as bacon, frankfurters, ham, and salami. They also Varieties of fruit and vegetables may be have antimicrobial properties to control Clostrid- “. . .processed with only water, resulting in a ium botulinum bacteria, and in fact, since nitrite full spectrum of colors, from yellow and red to use in cured meats became common, there have blue and green” (Food Product Design 2012). been no reported cases of botulism linked with cured meats. Nitrites also inhibit the growth of A reminder from above: C. perfringens and Staphylococcus aureus, as well as other nonpathogens during storage of Colorant—A colorant is a dye, pigment, cured meats. or other substance that is used to impart color to or to alter the color of a food (A nitrite concern is that nitrites react with contact material but that does not migrate certain amines to produce carcinogenic to food in amounts that will contribute to nitrosamines. Repeated testing of cured meat that food any color apparent to the naked products showed that nitrosamines were absent eye. The term “colorant” includes or present at very low levels. In fact, endogenous substances such as optical brighteners and human saliva usually contains more nitrite than fluorescent whiteners, which may not themselves be colored, but whose use is

354 17 Food Additives has been detected in cured meat. Therefore, with and a hydrophilic end and so act as a bridge these test results, the FDA permits use of nitrates, between two immiscible liquids, forming an and nitrites at low levels, yet has encouraged emulsion. For example, emulsifiers maintain a research on alternative ways of preserving uniform dispersion by keeping water and oil meats.) fractions of a mixture together and they prevent large crystalline formations in products such as Dough Conditioners/Dough Improvers ice cream. Dough conditioners modify the starch and protein Lecithin, monoglycerides, diglycerides, and (thus, gluten) components of flour. They promote polysorbates (polysorbates 60, 65, and 80) are the aging process and improve both dough examples of emulsifiers. handling (such as in bread-making machinery) and baking qualities (more uniform grain and Enzymes increased volume). Ammonium chloride, potas- sium bromate (bromination), diammonium phos- Enzymes are nontoxic protein substances that phate, and calcium or sodium stearoyl lactylate occur naturally in foods or may be produced by are processing aids that are examples of dough microorganisms or biotechnology to catalyze conditioners. various reactions. They are easily inactivated by a specific pH and temperature. Although the Some enzymes that provide food for yeast and presence of some enzymes may produce negative emulsifiers may be included in this class of quality changes, other enzymes are often additives. Conditioners may include iodates, a intentionally added to foods for their beneficial dietary source of iodine. effect. Microorganisms are responsible for pro- ducing some of the enzymes desired in foods; Edible Films thus, the microbes may be intentionally added to food. Edible films become part of food and are there- fore subject to FDA approval. Examples include Some examples of enzymes that are additions some casings, such as in sausage, and edible to other foods include bromelain (from waxes, such as those applied to fruits and pineapples), ficin (from figs), and papain (from vegetables. The waxes function to improve or papayas). These enzymes act as meat tenderizers maintain appearance, prevent mold, and contain of muscle tissue or connective tissue. Amylases moisture while allowing respiration. Food may be hydrolyze starch in flour and are used along with coated with a thin layer of polysaccharides such acids in the production of corn syrup. Invertase is as cellulose, pectin, starch, and vegetable gums or used to hydrolyze sucrose and prevent its crys- proteins such as casein and gelatin in order to tallization. Pectinases clarify pectin-containing extend shelf life. jellies or juices; proteases may be used as meat tenderizers, to create cheeses from milk (rennin), Emulsifiers and to produce soy sauce. Glucose oxidase is added to foods such as egg whites in order to prevent the Maillard browning. Emulsifiers are a class of surface-active agents Fat Replacers that improve and maintain texture and consis- tency in a variety of foods containing fat/oil and Fat replacers include carbohydrate, fat, or water. They contain both a hydrophobic molecu- protein-based replacers. They include the lar end, which is usually a long-chain fatty acid, following:

Major Additives Used in Processing 355 • Hydrocolloids, the long-chain polymers processing, and hundreds of chemicals may be that thicken or gel used to simulate natural flavors. Alcohols, esters, aldehydes, ketones, protein hydrolysates, and • Hemicelluloses, a plant polysaccharide MSG are examples of flavoring agents. • β-Glucans, a subgroup of hemicelluloses Natural flavoring substances are extracted (used in milk) from plants, herbs and spices, animals, or micro- • Soluble bulking agents bial fermentations. They also include essential • Microparticulated cellulose, egg, milk, oils and oleoresins (created by solvent extract with solvent removed), herbs, spices, and or whey proteins (such as Simplesse®) sweeteners. • Composite materials such as gums with Synthetic flavoring agents are chemically sim- milk or whey solids, or cellulose in com- ilar to natural flavorings and offer increased con- bination with carboxymethyl cellulose sistency in use and availability. They may be less • Various functional blends of corn syrup expensive and more readily available than the solids, emulsifiers, modified food natural counterpart, although they may not ade- starch, nonfat milk solids, and vegetable quately simulate the natural flavor. Some protein examples of synthetic flavoring agents include • Sucrose polyester (Olean®) amyl acetate, used as banana flavoring, benzal- dehyde, used to create cherry or almond flavor, These ingredients are fat replacers that can be ethyl butyrate for pineapple, methyl anthranilate used in combination to provide a fatty or oily for grape, methyl salicylate for wintergreen fla- mouthfeel, or used alone. vor, and fumaric acid, which is an ideal source of tartness and acidity in dry foods. The manipulation of omega-6-rich oils from corn, cottonseed, safflower, sunflower, and soy Flavor enhancers such as monosodium gluta- oils may create unhealthy convenience foods mate (MSG) intensify or “bring out,” enhance, or which may lead to brain inflammation and supplement the flavor of other compounds in blood clots. food; they have a taste outside of the basic sweet, sour, salty, or bitter. Monosodium gluta- Firming Agents mate was chemically derived from seaweed in the early 1900s and may be manufactured com- Firming agents, such as calcium chloride, act on mercially by the fermentation of starch, molas- plant pectins to control the softening that may ses, or sugar. accompany the canning process of fruits or vegetables. MSG is a GRAS substance to which a small percentage of the public is severely allergic. It is Flavoring Agents important for some individuals to omit all MSG. Therefore, MSG must be identified on food Flavoring agents are the largest single group of labels when it is included in food. However, it food additives. Food and beverage applications may be a portion of another compound, such as of flavors include dairy, fruit, nut, seafood, spice “hydrolyzed vegetable protein” (which may con- blends, vegetables, and wine flavoring agents. tain up to 20 % MSG); in that case, a wise They may complement, magnify, or modify the consumer should know that MSG is not always taste and aroma of foods. There are over 1,200 stated on the label. In a summary of several different flavoring agents used in foods to create decades of research and one century of use, flavor or replenish flavors lost or diminished in arguments against the GRAS status of MSG are overwhelmed by evidence in support of MSG. Other examples of flavoring agents include the common salt (sodium chloride) and sugar

356 17 Food Additives (sucrose), corn syrup, aspartame (also a nutritive bicarbonate (baking soda) or ammonium bicar- sweetener), autolyzed yeast (also a flavor bonate reacts with an acid to chemically produce enhancer), essential plant oils (such as citrus), CO2. ethyl vanillin and vanillin (a synthetic flavor compound), extracts (such as vanilla), glycine, Lubricants mannitol (nutritive sweetener), saccharin (non- nutritive sweetener), and sorbitol (nutritive Lubricants such as mineral hydrocarbons (non- sweetener). stick cooking spray) may be added to food con- tact surfaces to prevent foods from sticking and Fumigants may become a part of the food. Fumigants are used to control pests and molds. Nutrient Supplements Humectants Nutrient supplements are added to provide essen- tial nutrients that are lost in processing or lacking Humectants are added to foods such as candy or in the diet. The addition of nutrients maintains or shredded coconut in order to retain moisture con- improves the nutritional quality of food. Com- tent. The four polyhydric alcohols that are used mon foods such as milk, cereal, flour, margarine, to improve texture and retain moisture due to and salt contain added vitamins and minerals. their affinity for water are glycerol, mannitol, For example, iodine may be added to salt, and and sorbitol which also taste moderately sweet B vitamins (including thiamin, riboflavin, niacin, and propylene glycol. These may be functional in folate) and iron are added to grain products. This diet beverages, candy, stick chewing gum, and improves the nutritional status of individuals other foods to provide texture and sweetness. In who might not otherwise obtain essential order to prevent moisture absorption, mannitol nutrients. Oftentimes, the nutrients may be may be “dusted” on chewing gum. Glycerol encapsulated for addition to food products and monostearate is another commonly used thus more intact. humectant. Some examples of nutrient supplementation Irradiation include the following: vitamins A, B, C, D, and E; beta-carotene; minerals such as iodine Irradiation is subject to FDA approval as an and zinc, calcium pantothenate, and other forms additive. Only specific foods, dosages, and irra- of calcium; and ferrous gluconate as a nutrient diation sources are approved to kill and coloring agent—ferric orthophosphate, fer- microorganisms such as E. coli, Salmonella, ric sodium pyrophosphate, and ferrous fumarate Trichinella, and insects. to supply iron. Ferrous lactate is also a GRAS color fixative for ripe olives. Phosphates such as Leavening Agents phosphoric acid acidifies and flavors food; sodium aluminum phosphate is a leavening agent; calcium and iron phosphate act as mineral supplements to food. Leavening agents leaven batters and doughs by Nutrient Supplementation. producing or stimulating CO2. Inorganic salts such as ammonium or phosphate salts such as December 2009 (Volume 109, Issue 12, sodium acid pyrophosphate may be combined Pages 2073–2085) with yeast, a biological leaven. Sodium

Major Additives Used in Processing 357 ABSTRACT ingredients such as amino acid, mineral, vitamin, It is the position of the American Die- an herb, or other botanicals. These supplements tetic Association that the best nutrition- may be concentrates or extracts. based strategy for promoting optimal health and reducing the risk of chronic The form of the dietary supplement could be a disease is to wisely choose a wide variety capsule, pill, tablet, powder, or liquid form, and of nutrient-rich foods. Additional nutrients the product must be labeled as a “dietary supple- from supplements can help some people ment.” It is a different item than food and is not for meet their nutrition needs as specified by use as a conventional food. As a supplement, it is science-based nutrition standards such as not supposed to be the sole item of a meal or diet. the Dietary Reference Intakes. The use of dietary supplements in general, and nutri- See CSPI, Center for Science in the Public ent supplements in particular, is prevalent Interest—http://www.cspinet.org. USDA Food and growing in the United States, with and Nutrition Information Center—http://www. about one third of adults using a multivita- nal.usda.gov/fnic. min and mineral supplement regularly. Consumers may not be well informed pH Control Substances about the safety and efficacy of supplements and some may have difficulty Natural or synthetic acid or alkali ingredients interpreting product labels. The expertise change or maintain the initial pH of a product. of dietetics practitioners is needed to help For example, acidulents flavor, preserve, and educate consumers on the safe and appro- regulate pH. The acid ingredients regulate by priate selection and use of nutrient lowering the pH and preserve foods by inhibiting supplements to optimize health. Dietetics microbial growth. Regardless of the acid level of practitioners should position themselves as food ingredients, food acids are incorporated into the first source of information on nutrient foods in order to maintain a constant acid level. supplementation. To accomplish this, they Natural acids include the following: acetic acid must keep up to date on the efficacy and or vinegar; citric acid, from citrus, that controls safety of nutrient supplements and the reg- unwanted trace metals otherwise catalyzing oxi- ulatory issues that affect the use of these dation reactions; malic acid (an organic acid products. This position paper aims to from apples and figs); and tartaric acid (a weak increase awareness of the current issues acid). These acids may be added to foods to relevant to nutrient supplements and the impart flavor and control tartness. resources available to assist dietetics practitioners in evaluating the potential Lactic acid, present in almost all living benefits and adverse outcomes regarding organisms, is an acidity regulator and is used in their use.—The Academy of Nutrition and balancing the acidity in cheesemaking, as well as Dietetics adding tartness to many other foods. The acid salt calcium propionate is added to control pH of Dietary supplements may be foods, drugs, or breads. Sodium lactate (the salt of lactic acid) natural health products according to a country’s may be used in processed meat and poultry specific definition. They are defined under the products. Dietary Supplement Health and Education Act of 1994 (DSHEA) as a product that is intended Examples of alkaline ingredients include to supplement the diet and contains dietary sodium bicarbonate (baking soda), an ingredient that balances the acid component of baking pow- der, sodium hydroxide, used in modified starches, and potassium hydroxide. Alkaline compounds are used to neutralize excess acid that could otherwise produce unwelcome flavors. In food they leaven and soften hard water.

358 17 Food Additives Preservatives Fermented dairy products, such as yogurt and kefir, are considered synbiotic because they con- Preservatives are classified as either antimicro- tain live bacteria and the fuel they need to thrive. bial agents that prevent microbial growth (bacte- [the term “synbiotic” should be used only if the net ria, mold, yeast), or antioxidants that halt health benefit is synergistic—the United Nations undesirable oxidative changes in food. They are Food & Agriculture Organization (FAO)] used to delay natural deterioration, thus extending the shelf life of foods. Probiotics are found in foods such as yogurt, while prebiotics are found in whole grains, A preservative may be used alone or in combi- bananas, onions, garlic, honey and artichokes. In nation with other additives or preservation addition, probiotics and prebiotics are added to techniques such as cold temperature storage, heat some foods and available as dietary supplements. preservation, or dehydration. Preservation is (http://www.mayoclinic.com) offered by the use of salt or sugar, which competes with bacteria for water and therefore Propellants lowers the water activity (Aw) of the food. Calcium or sodium propionates and potassium sorbate are Propellants and aerating agents provide pressure additives used to control mold and bacterial needed for aerosol can products to be expelled growth, such as the bacilli that causes “rope” in and to add air to a product. Carbon dioxide, breads. Sodium benzoate inhibits mold and yeast nitrogen, nitrous oxide, and other gases may be growth in condiments, fruit juices, and preserves. used in aerosol containers, such as containers of “whipped topping.” Sulfur dioxide inhibits unwanted enzymatic oxidative browning in fruits and vegetables; it Sequestrants also prevents wild yeast growth in the wines used to produce vinegar and is legally used on Sequestrants are known as chelating agents or grapes. However, a small number of individuals metal scavengers. They are substances that bind are severely allergic to sulfites, thus, they were or combine with trace amounts of unwanted banned in 1986 from addition to products not metals such as copper and iron, making them subject to further cooking (e.g., many salad bar unavailable for participating in negative items). They are still used in dehydrated fruits reactions such as deterioration in food. They such as dry apples to prevent browning, but they form inactive complexes with metallic ions dur- are added prior to dehydration. ing processing and storage and therefore prevent metals from catalyzing reactions of fat oxidation, Nitrites, such as sodium nitrite, are effective pigment discoloration, and flavor or odor loss preservatives, preventing the growth of C. botu- and from causing cloudy precipitates in linum, adding flavor and retaining meat color in beverages such as tea. They protect vitamins cured meats. Antibiotics are incorporated into from oxidation. animal feed and function as preservatives; how- ever, they may not be added to human food. Examples of sequestrants include citric and Some weak acids or acid salts and chelating malic acid, ethylenediaminetetraacetic acid agents (which tie up unwanted traces of metal) (EDTA), and polyphosphates. are utilized as preservatives. Pre- and Probiotics Solvents Prebiotics are nondigestible carbohydrates that act Solvents are used to separate substances by as food for probiotics. When probiotics and dissolving a substance in the solvent and remov- prebiotics are combined, they form a synbiotic. ing the solvent.

Major Additives Used in Processing 359 Stabilizers and Thickeners sodium carboxymethyl cellulose (CMC), which is used to prevent sugar Stabilizers and thickeners function variously in crystallization. food. For example, they provide consistency and • Dextrins. texture to many foods. They are water-holding • The hydrocolloids (colloidal material substances added to stabilize, gel, or thicken that holds water); gelatin (the protein foods by absorbing some of the water present in from animal bones, hoofs, etc.); gums foods. They increase viscosity of the final prod- such as arabic, guar, and locust beans; uct, prevent ice crystal formation, or form gels. and pectin. Some beneficial effects of Stabilizers or thickeners are added for appear- these include an inclusion of soluble ance and mouthfeel, to protect emulsions, and fiber in the diet. Manufacturers use pec- to contain volatile oils that would otherwise tin as a stabilizer and thickener in evaporate. Most are polysaccharides, and pectin, candies, frozen desserts, jams, jellies, gums, and mucilages are a source of soluble fiber and preserves. Gums and mucilages to the diet. offer soluble fiber too. They are found in oatmeal, oat bran, and dried beans. Soluble fiber in the daily diet is of benefit to • Propylene glycol. health in several manners: • Protein derivatives such as casein or sodium caseinate, and hydrolyzed vege- 1. Reduces “bad” LDL cholesterol—as table protein. soluble fiber travels through the GI • Starches (including amylose and tract, it binds to bile acids which are modified starches) allow oils, water, made of cholesterol and therefore limits acids, and solids to remain well mixed the amount of cholesterol absorbed, by the addition of natural or chemically hence lowering blood cholesterol. modified starches. 2. Aids digestive system—manages “reg- Various stabilizers and thickeners are com- ularity” and protects against colon and mercially available for use by the healthcare colorectal cancer, diverticular disease, industry in preparation of food items such as irritable bowel syndrome, and gallstone pureed foods. The stabilizers xanthan and/or development. carob bean and/or guar gum may be utilized in commercial food production. 3. Manages diabetes mellitus—slows the absorption of glucose from the small Regarding guar gum, it has been reported that intestine. food manufacturers are facing the dilemma of using it in their formulations as the demand for This category of food additives includes the it has rapidly risen as much as 1,600 %. This is following: attributed to its nonfood use in the fluids used in hydraulic fracturing (fracking) for energy pro- • Alginates (from kelp). duction (Adkins and Nicoll 2013). Water-soluble • Carrageenan (used in foods since gelling agents such as guar gum increase viscos- ity of the fracturing fluid to render it more effi- 400 A.D., a seaweed derivative) (see ciently in hydraulic fracturing—the process of Chap. 5). fracturing various layers of rock by a pressurized • To provide visual appeal to wholesome liquid. and nutritious foods. • Cellulose may be reacted with derivatives of acetic acid to form

360 17 Food Additives Hydraulic fracturing (also known as “frac’ing”) is Sweeteners the process of creating fissures in underground formations to allow natural gas to flow. During Sweeteners are added to many foods and frac’ing, water, sand and other additives are beverages. The disaccharide sucrose (table pumped under high pressure into the shale forma- sugar) is a common food additive. Fructose is tion to create fractures. Frac fluid is approximately one of the components of sucrose. It is two times 99.5 % water and sand, with a small amount of as sweet as sucrose and will not crystallize out of special-purpose additives. The sand is used to solution as does sucrose. It is the most water- “prop” open the newly created fractures, which soluble sugar and is used to create a very sweet allows the natural gas to flow into the wellbore solution. It is hygroscopic and, therefore, may and up to the surface.—Barnett Shale Energy function as a humectant. Education Council [BSEEC] Lactose (milk sugar) and maltose (malt sugar) The FSIS allows specific additions to meat. are often food additives. Corn syrup, high-fruc- For example, carrageenan and locust bean gum tose corn syrup, honey, maple syrup sugar, and may be used. molasses are other examples of sweeteners used as food additives. Invert sugar is the 50:50 mix- Carrageenan is a hydrocolloid from red sea- ture of glucose and fructose produced by enzy- weed—Rhodophyceae. Several common species matic or acid treatment of sucrose. Its use are used either to provide gel strength or viscos- prevents sugar crystallization, for example, in ity. Carrageenan works best in a neutral pH the liquid center of chocolate-covered cherries. environment such as milk. It holds insoluble ingredients in suspension and works well in Sweeteners, Alternative (Chap. 14) freeze/thaw applications. It also has “. . . applications, including baked goods, processed An assortment of low-calorie, artificial cheeses, pasteurized whole egg products, dairy- sweeteners and sugar alcohols that are added to based salad dressings, gelatin-replacement foods includes those listed in the following. For applications, batters and confections” (Akins more detailed information on sweeteners, see and Nicoll 2012). Chap. 14. Surface-Active Agents Acesulfame K—used alone or in combi- nation with other sweeteners. It is a syn- Surface-active agents are organic compounds thetic derivative of acetoacetic acid that is that are used in food systems to reduce the sur- not metabolized by the body and is there- face tension or forces at the surface of a liquid. fore excreted unchanged. Acesulfame K is Dispersion into food mixtures is resisted if the stable in heat and is many times sweeter forces attracting surface molecules of a liquid to than sucrose, with no bitter aftertaste. one another is not reduced. Classifications of surface-active agents include wetting agents, Aspartame—a synthetic dipeptide lubricants, dispersing agents, and emulsifiers. (aspartic acid, phenylalanine). It is in For example, wetting agents reduce surface ten- products used by diabetics; however, it can- sion in chocolate milk mixes, so that particles to not be used by phenylketonuric (PKU) be mixed may absorb water more easily and mix individuals. It is not stable in heat unless into the milk. Emulsifiers enable two ordinarily immiscible substances to combine—for exam- ple, oil and water—and they also improve texture.

Nutrient Supplements in Food 361 encapsulated and cannot substitute for In addition to the enjoyment of eating, con- sucrose when the texture of the food sumption of a varied diet offers many health depends on solids content. benefits to the consumer, including nutrients such as vitamins and minerals as well as non- Cyclamates—of sodium, calcium, nutrient compounds (such as phytochemicals) magnesium, and potassium, approximately that play an important role in reducing risks of 30 times sweeter than sucrose (not used in certain diseases. For additional information, the the United States). reader is referred to the FDA’s regulation of dietary supplements as seen in part below (Food Saccharin—used as the calcium or and Drug Administration): sodium salt. It cannot be used as a substi- tute for sucrose when the texture of the The Regulation of Dietary food depends on solids content. Supplements. How are dietary supplements regulated? Sugar alcohols (polyols)—include mannitol, sorbitol, xylitol, and erythritol: The U.S. Food and Drug Administration Nectresse®. (FDA) is responsible for regulating dietary supplements through its Center for Food Stevia—the leaves of the stevia plant. Safety and Applied Nutrition. The Food Sucralose—trichloro derivative of Drug and Cosmetic Act (FDCA) as sucrose; the only noncaloric sweetener amended by the Dietary Supplement made from sugar. Health and Education Act of 1994 (DSHEA) is the law that regulates dietary Nutrient Supplements in Food supplements. Under FDCA, the United States Pharmacopeia and National Formu- As previously acknowledged, the nutritive value lary (USP–NF) are specifically recognized of foods may be improved either by replacing as providing specifications for dietary nutrients lost in processing or lacking in the diet. supplements. Adherence to these standards, The addition of vitamins, such as vitamin C, and however, is voluntary. Dietary supplement minerals, such as calcium, is often made to manufacturers are not legally required to common foods. Further detail appears in this meet these specifications. section. The FDCA regulates dietary Food processors may choose to add any num- supplements as foods. Under the law, sup- ber of nutrient additives, at varying levels, to plement regulations are the same as those their food products. Products are enriched when that cover conventional foods. nutrients that were lost during processing are • Dietary supplement manufacturers do replaced to levels comparable to the original levels. Enrichment is designed to prevent not need to register with FDA, or obtain inadequacies in certain segments of the popula- FDA approval before producing or sell- tion, and it is the addition of nutrients to achieve ing their products. established concentrations specified by the • Prior to marketing a product, standards of identity. Fortification is the addition manufacturers are responsible for of nutrients (the same or different ones) at levels ensuring that a dietary supplement (or higher than those found in the original or compa- a new ingredient) is safe before it is rable food. It can correct existing deficiencies in marketed. FDA has the authority to segments of the population, such as with the take action against unsafe dietary sup- addition of calcium. Breakfast cereals, breakfast plement products. bars, and fruit drinks are prominent examples of • Manufacturers must ensure that their fortification that provide needed nutrients to product label information is truthful many individuals. and not misleading.

362 17 Food Additives More information meats, and to improve nutritive value, especially http://www.cfsan.fda.gov/~dms/ in beverages. The B-complex vitamins may be supplmnt.html used as nutrient additives. Thiamin hydrochloride FDA is responsible for regulating die- and thiamin nitrate (B1), riboflavin and ribofla- tary supplements through its Center for vin-50-phosphate (B2), and several sources of nia- Food Safety and Applied Nutrition. cin (B3) are FDA approved and commercially available to processors for addition to foods. Endorsement of Nutrient Supplementation in Foods Vitamin B6 (pyridoxine, pyridoxal, and pyri- doxamine), B12 (cyanocobalamin), pantothenic The American Medical Association Council on acid, folacin, and biotin are also manufactured Foods and Nutrition Board has set the following for use in food. Folic acid (folacin, folate) addi- recommendations for endorsement of nutrient tion has been required by the FDA, for addition supplementation in foods: to flour and flour-based products. Folate has been shown to prevent neural tube defect. 1. The intake of the nutrient is below the desirable level in the diets of a signifi- The fat-soluble vitamins that may be added to cant number of people. foods are the carotenoids, vitamin A precursors, tocopherols (vitamin E), and vitamin D. 2. The food used to supply the nutrient is likely to be consumed in quantities that Additionally, among minerals, there are will make a significant contribution to three major minerals and six trace minerals the diet of the population in need. used in foods. Of the major minerals, calcium, magnesium, and phosphorus may be added to a 3. The addition of the nutrient is not likely number of foods. Calcium is now more com- to create an imbalance of essential monly added to orange juice. Copper, fluoride, nutrients. iodine, iron, manganese, and zinc are trace minerals used as food additives. Chromium, 4. The nutrient added is stable under potassium, molybdenum, selenium, and sodium proper conditions of storage. may not have Reference Daily Intakes (RDIs), although rather “safe and adequate intakes.” 5. The nutrient is physiologically available Labels do not state these values, yet, rather, from the food. labels may state “reduced sodium” and so forth if the statement is in compliance with NLEA 6. There is a reasonable assurance against regulations. excessive intake to a level of toxicity. See http://www.uth.tmc.edu/nutrition/history. Functional Foods (See More htm for additional information. “The word diet is in Appendices) derived from the Greek daita, which translates to healthful living according to proper selection of Eating modified foods may supply health benefits food.” beyond the traditional nutrients a food contains. Therefore, food products may be modified by the Vitamins and Minerals Manufactured addition of nutrients not inherent to the original for Addition to Foods counterpart. A newly evolving area of food and food technology is functional foods, which are Numerous vitamins and minerals are prepared for defined as: addition to foods. Among the category of water- soluble vitamins, ascorbic acid (vitamin C) may A food ingredient or modified food that may be added to foods in order to prevent oxidation, to provide a health benefit beyond any traditional prevent the formation of nitrosamines in cured nutrients it contains. See http://www.functionalfoodscenter.net/ index.html http://www.eatright.org/.

Nutrient Supplements in Food 363 The Journal of Functional Foods in Health and Foods are defined as “products primarily Disease (FFHD) is a peer-reviewed open access consumed for their taste, aroma, or nutri- journal that covers various aspects of functional tive value.” foods, bioactive compounds, and chronic diseases and scientific policies related to functional foods. Drugs are defined as “intended for use The journal will strive to develop concepts that in the diagnosis, cure, mitigation, treatment help to understand the mechanisms of disease and or prevention of disease or to affect the creation of specific functional and medicinal foods structure or a function of the body.” (Hunt in the prevention and management of various 1994) diseases. This is an existing serial which has been published under the title Functional Foods in Health and Disease since December 3, 2010 (http://www.functionalfoodscenter.net/). Phytochemicals (See More Nutraceutical Information— in Appendices) American Nutraceutical Association. “What is a nutraceutical?” Phytochemicals—Non-nutrient substances from plants (plant chemicals) may become useful as Q: What is the definition of the word food additives because they may play an impor- “nutraceutical?” A: The term “nutraceutical” tant role in reducing risk of cancers. They are was coined from “nutrition” and “pharma- naturally available in the diet and are currently in ceutical” in 1989 by Stephen DeFelice, MD, supplement form. Phytochemicals are defined as: founder and chairman of the Foundation for Innovation in Medicine (FIM), Cranford, NJ. Functional food components, along with According to DeFelice, “A nutraceutical is phytochemicals, have been associated with the any substance that is a food or a part of a treatment and/or prevention of at least four of the food and provides medical or health benefits, leading causes of death in the United States— including the prevention and treatment of cancer, diabetes, cardiovascular disease, and disease.” Such products may range from hypertension. They have been associated with isolated nutrients, dietary supplements and the treatment and/or prevention of other medical specific diets to genetically engineered maladies including neural tube defect and osteo- designer foods, herbal products, and porosis, as well as abnormal bowel function and processed foods such as cereals, soups and arthritis. (ADA Position of the American Dietetic beverages. In the United States the term Association 1995) nutraceutical is commonly used in marketing has no regulatory definition. It is the position of the American Dietetic Associ- ation (ADA) that specific substances in foods Examples: beta-carotene, lycopene (e.g., phytochemicals and naturally occurring components and functional food components) Formulating a New Product with may have a beneficial role in health as part of a Vitamin or Mineral Addition varied diet. The Association supports research regarding the health benefits and risks of these Food processors may choose to use any additive, substances. Dietetics professionals will continue including nutrients or non-nutrient supplements, to work with the food industry and government to in the manufacture of food products. Regardless ensure that the public has accurate scientific infor- of what is used, they must comply with all Nutri- mation in this emerging field (Academy of Nutri- tion Labeling and Education Act (NLEA) tion and Dietetics). regulations regarding the contents and stated health claims of their products. They must use Nutraceuticals (more in Appendices) vitamin and mineral additives judiciously (not just to enhance the values on their food label) The term nutraceutical is not recognized by the FDA and is outside FDA regulations because of the following:

364 17 Food Additives and then only make label claims regarding Consumers are demanding cleaner ingredient nutritional benefits that are allowed. statements without unfamiliar and “chemical sounding” names while expecting increased shelf An older yet timely publication states food life and product quality. (Tessier 2001) technologists formulate a new product with a number of considerations in mind regarding vita- Conclusion min and mineral addition. Some of the added nutrient considerations Additives are “a substance or a mixture of include the following: substances, other than a basic foodstuff, that is present in a food /as a result of an aspect of • Overall product composition—such production, processing, storage or packaging.” as pH, water activity, fat, fiber, pro- Additives function in foods to combat microbial tein, because the flavor and color of and enzymatic deterioration, to maintain or foods may change improve nutritional value and product consis- tency, and to make food more aesthetically • Ingredient interactions—of a vitamin appealing. Less rancidity, spoilage, contamina- or mineral combination tion, and overall waste and more nutritional value and ease of preparation are possible with • Processing considerations—blanching, the use of additives. Many additives are natural washing, stability to heat food ingredients, used strictly for imparting fla- vor and color. • Shelf life and packaging—protection from oxidation or light The Food Additives Amendment of the Fed- eral FD&C Act of 1938 contains legislation • Cost factors—price of the nutrient, regarding the safety of additives. The Delaney overages due to loss, and costs of Clause to the Food Additives Amendment (the above) processing and packag- requires testing of proposed additives in the ing needs (Giese 1995) United States for carcinogens. Salt, sugar, and corn syrup are the three most commonly used So, what is “natural”? “That’s a question cur- food additives in the US food supply. rent FDA regulations largely lob right back at producers. Far from burdening them with Key additives used in food processing include overreaching rules as to what constitutes a “nat- alternative sweeteners, anticaking agents, ural” fiber or what level of vitamin fortification antioxidants, bleaching and maturing agents, aligns with a “natural” designation, ‘FDA policy bulking agents, coloring agents, curing agents, on “natural” is not to restrict the use of the term dough conditioners, emulsifiers, enzymes, fat except for added color, synthetic substancs and replacers, firming agents, flavoring agents, flavors’” reports Solae’s Director of QA (Decker fumigants, humectants, irradiation, leavening 2013). agents, lubricants, nutrient supplements, pH con- trol substances, preservatives, propellants, Safety sequestrants, solvents, stabilizers and thickeners, surface-acting agents, and sweeteners. Issues of safety were addressed throughout this chapter. Government testing and approval is The nutritional value of foods may be ongoing. However, continued vigilance is most increased to exceed nutrient levels inherent in definitely welcome in order to remain in good the traditional product. Food nutrients may be health. Two comments related to safety: fortified or enriched. Specific vitamins and minerals are manufactured with the purpose of Shopping was easy when most food came from addition to foods. Functional foods are foods that farms. Now, factory-made foods have made chem- are modified to provide a health benefit beyond ical additives a significant part of our diet. (CSPI) the traditional product and may be used to treat/

Glossary 365 prevent disease. They along with phytochemicals Glossary and nutraceuticals are a newly evolving area of food and food technology. Additive Substance added to foods for specific physical or technical effects. Further advances in new and existing safe and effective food additives are on the horizon. Delaney Clause Clause added to Food Notes Additives Amendment stating that no additive shown to cause cancer in man or laboratory CULINARY ALERT! animals could be used in foods. Drugs Intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease or to affect the structure or function of the body. Enrichment The addition of nutrients to achieve established concentrations specified by the standards of identity. Foods Products primarily consumed for their taste, aroma, or nutritive value. Fortification The addition of nutrients at levels higher than those found in the original or comparable food. Functional foods Any modified food or food ingredient that may provide a health benefit beyond that obtained by the original food; the term has no legal or general acceptance in the United States but is accepted by some as food for specified health use. Generally Recognized As Safe (GRAS) Substances in use, not shown to be unsafe. Health claims Describe an association between a nutrient or food substance and disease or health-related condition. Nutraceuticals The name given to a proposed new regulatory category of food components that may be considered a food or part of a food and may supply medical or health benefits including the treatment or preven- tion of disease; a term not recognized by the FDA. Phytochemicals Plant chemicals; natural compounds other than nutrients in fresh plant material that function in disease prevention; they protect against oxidative cell damage or facilitate carcinogen excretion from the body and exhibit a potential for reducing the risk of cancer.

366 17 Food Additives References What is the difference between food processing and preservation? http://www.wisegeek.com/what-is-the- (2012) Plant-based colorants. Food Product Des 76 difference-between-food-processing-and-preservation. ADA Position of the American Dietetic Association htm (1995) Phytochemicals and functional foods. J Am Bibliography Diet Assoc 95(4):493–496 Adkins M, Nicoll H (2013) Guar gum. Food Product Des CSPI—Center for Science in the Public Interest. http:// 18–20 www.cspinet.org Akins M, Nicoll H (2012) About carrageenan. Food Product Des 16–18 Food and beverage flavor companies—view specifics as Berry D (2013) Exempt yet? Making the switch to natural needed colors. Food Product Des 46–61 Brantley B (2012) Browning and the maillard reaction in Food and Drug Administration product development. Food Product Des 45–48 Food and Nutrition Board. National Academy of Science Decker KJ (2012) Natural colors in the spotlight. Food Food Science Publisher (previously known as D&A Inc./ Product Des 37–44 Decker KJ (2013) A natural approach to fortification. FF Publishing since 2004) Food Product Des 66–73 Gale Encyclopedia of Food & Culture. http://www. Giese J (1995) Vitamin and mineral fortification of foods. Food Technol 49(5):110–122 answers.com/topic/additive Hunt J (1994) Nutritional products for specific health http://www.mayoclinic.com/health/probiotics/AN00389— benefits—foods, pharmaceuticals, or something in between? J Am Diet Assoc 94:151–154 Is it important to include probiotics and prebiotics in a Spano M (2012) All about antioxidants. Food Product Des healthy diet? 118–122 IFT—Institute of Food Technologists Tessier J (2001) Increasing shelf-life without preservatives. International Food Information Council Foundation Bakers’ J. http://www.gftc.ca/articles/2001/baker07.cfm (IFIC), Washington, D.C. JECFA—The Joint FAO/WHO Expert Committee on Food Additives Nutrition.gov http://www.nutrition.gov/whats-food/food- additives

Food Packaging 18 Introduction the agents of food spoilage. . . (http://www. wisegeek.com/what-is-the-difference-between- This chapter is in the newly named Aspects of food-processing-and-preservation.htm) Food Processing section of the text. The chapters covering food preservation and food additives (italics added) components of the food processing section are discussed in Chaps. 16 and 17, respectively. Packaging as part of food processing assists in preserving food against spoilage and contamina- Adequate packaging is an industry technique tion as well as extending the shelf life. It provides that may be used along with preservation and has containment (holding the product), protection the intent of slowing down or stopping spoilage (quality, safety, freshness), information (graphics, that would otherwise exhibit loss of taste, labels), and utility of use or convenience (The textural quality, or nutritive value of food. Society of the Plastics Industry (SPI), Washington, Crops as well as animal products produce DC). Yet, packaging offers much more than these market-ready and adequately long shelf life benefits to the manufacturer and consumer. Pack- food products if adequately packaged. aging protects food, may modify atmosphere, thus extending shelf life, gets a message across, aids in As presented in the chapter on food preserva- marketing, provides added content security, and so tion, processed foods represent the change of raw forth. It may provide portion control, combating material into food of another form. Food processing “portion distortion,” convenience of use, and con- involves preservation and also packaging. venient transport. This assists the child as well as the adult consumer. For added clarification, and a succinct expla- nation, the following is utilized. Packaging may simply involve having clean hands, a sanitary pair of foodservice tongs, and a Food processing and preservation are two piece of tissue in a bag served across a bakery techniques that are used to maintain the quality counter or, it may involve adherence to a specific and freshness of foods. In terms of how they are time and temperature heat application in a performed, food processing and preservation are foodservice can that is transported along different; food preservation is just part of the continents. There is great variance in the idea of entire procedure of processing foods. Food packaging food to be discussed in this chapter. processing mostly involves both packaging and preservation, while food preservation is concerned with the control and elimination of V.A. Vaclavik and E.W. Christian, Essentials of Food Science, 4th Edition, Food Science Text Series, 367 DOI 10.1007/978-1-4614-9138-5_18, # Springer Science+Business Media New York 2014

368 18 Food Packaging There exist various packaging materials, such as dropping and denting or crushing cartons, including films, and package oxygen levels that may occur. Tertiary containers prevent the brunt protect foods from air. Packaging may also of the impact from falling on the individual food maintain time-sensitive foods and use dating or container. doneness indicators. It may be used as a promo- tion tool on store sales shelves. See foodandbeveragepackaging.com. Packaging materials for food include metal, Packaging Functions glass, paper, plastics, foil, wood crates, cotton, or burlap (jute). Food may be vacuum packaged, The functions of packaging are numerous and subject to controlled or modified atmospheric pack- include such purposes as protecting raw or aging, or be aseptically packaged. Manufacturers processed foods against spoilage and contamina- must adhere to FDA regulations regarding both the tion by an array of external hazards. Packaging method and materials of packaging. serves as a barrier in controlling potentially damaging levels of light, oxygen, and water. It Routinely, we see that consumer-convenient facilitates ease of use, offers adequate storage, packaging such as microwaveable packages, conveys information, and provides evidence of single-serve products, tubs, and zippered possible product tampering. pouches tampers evidence, and package atmo- sphere has become increasingly important as a Packaging achieves its functions/goals by packaging selection (Sloan 1996). Packaging assisting in the following manners: functionality is a demand of both consumers • Preserving against spoilage of color, fla- and food companies alike, who want packaging/ materials that meet their needs. Packaging can vor, odor, texture, and other food qualities. certainly be very creative. • Preventing contamination by biological, Types of Packaging Containers chemical, or physical hazards. • Controlling absorption and losses of O2 Packaging containers are classified as primary, secondary, and tertiary. Specific packaging and water vapor. materials are discussed later. One packaging • Facilitating ease of using product material though, namely, plastic wrap, may func- tion as all three types. A primary container is the contents—such as packaging that bottle, can, drink box, and so forth that contains incorporates the components of a meal food. It is a direct food contact surface and is, together in meal “kits” (e.g., tacos). therefore, subject to approval by the Food and • Offering adequate storage before use— Drug Administration (FDA), which tests for the such as stockable, resealable, pourable. possible migration of packaging materials into • Preventing/indicating tampering with food. contents by tamper-evident labels. • Communicating information regarding Several primary containers are held together ingredients, nutrition facts, manufac- in secondary containers, such as corrugated turer name and address, weight, bar fiberboard boxes (commonly, yet not correctly, code information, and so forth via pack- referred to as cardboard), and do not have direct age labeling. food contact. In turn, several secondary • Marketing—standards of packaging, containers are bundled into tertiary containers including worldwide acceptability of cer- such as corrugated boxes or overwraps that tain colors and picture symbols, vary and prepare the food product for distribution or should be known by the processor. palletizing. This offers additional food protection Packages themselves may promote during storage and distribution where errors, sales. They may be rigid, flexible,

Packaging Functions 369 metallized, and so forth and may also Metal carry such information as merchandising Metals such as steel and aluminum are used in messages, health messages, recipes, and cans and trays. A metal can forms a hermetic coupons. seal, which is a complete seal against gases and vapor entry or escape, and it offers protection to Packaging Materials the contents. The trays may be reusable, or dis- posable recyclable trays, and either steam table Packaging materials for food may differ in com- or No. 10 can size. Metal is also used for bottle mercial and retail operations. Either type of closures and wraps. operation though may include some of the same materials for food packaging. Included as packag- Steel ing materials may be paper, glass, plastic, metal, Steel has a noncorrosive coating of tin inside, cloth, including burlap, paper, poly or mesh bags thus the name “tin can,” whereas tin-free steel for 5# or 10# of fresh potatoes. As well, there exist (TFS) relies on the inclusion of chromium or packaging/shipping materials such as bottles, aluminum in place of tin. Steel is manufactured jugs, jars, or cans; plastic 4- and 6-pack rings for into the traditional three-piece construction can, securing cans or bottles; boxes for items such as which includes a base, cylinder, and lid, and also pizza, cakes, pies, cupcake inserts, confections, or a two-piece can, consisting of a base and cylinder take-out foods, disposable deli tissue, insulated in one piece without a seam and a lid. The latter “cold packs,” tubes, pails, drums, paper or plastic are lightweight and stackable. The vast majority wraps or bags, and shipping foam “peanuts,” just of the many billion cans used annually in the to name a few items! United States are made of steel. In choosing the appropriate packaging for In addition to steel cans and trays, tens of their product, packers must consider many billions of beverage bottle crowns (closures variables. For example, canners must make with crimped edges) made of steel are used annu- packaging choices based on cost, product com- ally in the United States. The five primary types patibility, shelf life, flexibility of size, handling of steel vacuum closures include side seal caps, systems, production line filling and closing lug caps, press–twist caps, snap-on caps, and speeds, processing reaction, impermeability, composite caps. dent and tamper resistance, and consumer conve- nience and preference (Sloan 1996). Aluminum Aluminum is easily formed into cans with her- Processors who use films for their product must metic seals. It is also used in trays and for wraps select film material based on its “barrier” properties such as aluminum foil, which provide an oxygen that prevent oxygen, water vapor, or light from and light barrier. Aluminum is lighter in weight negatively affecting the food. As an example, the than steel and resists corrosion. use of packaging material that prevents light- induced reactions will control degradation of the Glass chlorophyll pigment, bleaching or discoloration of Glass is derived from metal oxides such as vegetable and red meats, destruction of riboflavin silicon dioxide (sand). Glass is used in forming in milk, and oxidation of vitamin C. bottles or jars (which subsequently receive her- metic seals) and thus protects against water vapor The most common food packaging materials or oxygen loss. The thickness of glass must be include metals, glass, paper, and plastic. Some sufficient to prevent breakage from internal examples of these leading materials appear in the following text.

370 18 Food Packaging pressure, external impact, or thermal stress. must be coated or treated accordingly. For exam- Glass that is too thick increases weight and thus ple, paper bags or wraps for bakery products freight costs and is subject to an increased likeli- (thus a food contact surface) may be laminated hood of thermal stress or external impact to improve burst or wet strength, grease, and tear breakage. resistance or prevent loss of product moisture. Paperboard may be lined and formed to hold Technological advances in glass packaging fluid milk. It may be formed into canisters with have led to improvements in strength and weight, foil linings and resealable plastic overwraps, to as well as color and shape. A resurgence of glass provide convenience, protection, and extended may be noted on supermarket shelves. The prod- shelf life. Another example is corrugated paper- uct is commercially sterile, yet the see-through board which may be waxed in order to package glass tends to denote “fresh” to the consumer. foods such as raw poultry. Glass coatings, similar to eyeglass coatings of Dual-ovenable trays are designed to be silicons and waxes, may be applied to glass microwaveable and also able to be placed in a containers in order to minimize damage-causing conventional oven. As with all new processing nicks and scratches. and packaging technology, the use of these trays is a new concept for many people and may Paper require consumer education, including written Paper is derived from the pulp of wood and may instructions provided by the food manufacturers. contain additives such as aluminum particle laminates, plastic coating, resins, or waxes. Recycled papers may contain small metal These additives provide burst strength (strength fragments that could be unacceptable in packag- against bursting), wet strength (leak protection), ing used for microwave cooking. The sparks, and grease and tear resistance, as well as barrier generated as the microwaves are reflected by properties that assure freshness, protect the pack- metal, may “arc” and start a fire in the microwave aged food against vapor loss and environmental oven. Yet, paper may be purposely manufactured contaminants, and increase shelf life. to designated specifications and deliberately contain areas with small particles of aluminum, Varying thicknesses of paper may be used to which form a “susceptor.” achieve thicker and more rigid packaging. Susceptors are desirable for browning and • Paper is thin (one layer) and flexible, crisping microwaveable foods such as baked typically used in bags and wrappers. goods, french fries (often placed in individual Kraft (or “strong” in German) paper is compartments of a susceptor), and pizzas. They the strongest paper. It may be bleached are also used in packages of microwaveable pop- and used as butcher wrap or may remain corn. Due to the fact that the metal reflects unbleached and used in grocery bags. microwaves, which subsequently heat the surface of the food, the browning and crisping can occur. • Paperboard is thicker (although still one layer) and more rigid. Ovenable Paper may be used in combination with metal, paperboard is made for use in either such as aluminum, to produce fiber-wound tub- conventional or microwave ovens by ing. An example of fiber-wound tube containers coating paperboard with PET polyester used for refrigerated biscuits is shown in (see Plastic). Fig. 18.1. • Multilayers of paper form fiberboard, Paper and metallized films are increasingly which is recognized as “cardboard.” chosen for food applications. The appearance, and its barrier properties to grease, and moisture When packaging serves as a primary con- are desirable for packaging specific foods. tainer for food, it is a food contact surface and These materials may also contain plastic, which is discussed in the following chapter section.

Packaging Functions 371 Fig. 18.2 Polyethylene pellets (Courtesy: Rodeo Plastic Bag and Film, Inc., Mesquite, TX) Fig. 18.1 An example of fiber-wound tubes (Source: Sara Lee Corporation) Plastic Fig. 18.3 Blown film bubble coming off the die (Cour- Plastic has shrink, nonshrink, flexible, semirigid, tesy: Rodeo Plastic Bag and Film, Inc., Mesquite, TX) and rigid applications and varies in its degree of thickness. In making plastics, pellets and blown trays (The Society of the Plastics Industry (SPI), bubbles may be seen in Figures18.2 and 18.3. Washington, DC). It may also be used in combi- nation with other packaging materials such as Important properties of the many types of metal (for lining cans), paper, and so forth. plastics that make them good choices for pack- aging material include the following: Choices of Plastics for Packaging. The food • Flexible and stretchable industry must provide packaging with barrier • Lightweight protection (against moisture, light, air, grease, • Low-temperature formability and so forth) and must be familiar with what • Resistant to breakage, with high burst strength level of barrier performance is warranted for the • Strong heat sealability foods they are packaging. Insufficient packaging, • Versatile in its barrier properties to O2, mois- attributable in part to a high cost of materials, is not satisfactory, and too much performance ture, and light (excesses in packaging contribution), with exces- Basic hydrocarbon building blocks such as sive barrier protection, is unnecessary. ethane and methane, which are derived from natural gas and petroleum, form organic chemi- Among the thousand types of plastics that are cal compounds called monomers. These are then created, less than two dozen are polymers chemically linked to form plastic molecular utilized in food packaging (see Table 18.1). chains, or polymers. Their manufacture Some of the more commonly used plastics for represents a small percentage of total US energy food products are briefly discussed in the consumed. Plastic has multiple functions as a following. packaging material, including use in bottles and jars, closures, coatings, films, pouches, tubs, and

372 18 Food Packaging Table 18.1 Example of the repeating units of common thermal insulation and protective packaging. EPS packaging polymers is used in “clam shell” fast-food packaging, egg cartons, bowls, cups, and meat trays and is the Polymer Repeating unit “peanuts” in packages. Substantially less energy Polyester (PET) is required to form polystyrene cups than paper- Polyethylene (PE) board cups. Polypropylene (PP) Polystyrene (PS) Polyvinyl chloride (PVC or vinyl): Polyvinyl chloride comprises less than 10 % of total plastic Source: The Society of the Plastics Industry packaging. It blocks out air and moisture, preventing freezer burn, and offers low perme- Polyethylene (PE): Polyethylene is the most ability to gases, liquid, flavors, and odors. PVC common and the least expensive plastic, com- prevents the transfer of odor and keeps food fresh prising the largest percentage of total plastic by controlling dehydration and is capable of packaging. It is a water vapor (moisture) barrier withstanding high temperatures without melting. and prevents dehydration and freezer burn. Poly- PVC has good puncture resistance and “cling” ethylene pellets are used in producing plastic, properties. It is used to prevent splattering in such as plastic bags, “zipper” seals, and plastic microwave food preparation. storage containers. Use of this PE may be recommended for less plasticizer migration into Polyvinylidene chloride (PVDC, Saran®): food. Polyvinylidene chloride is a thermoplastic resin used for household wraps and has excellent bar- Polyethylene with ethyl vinyl acetate (EVA): rier properties. Cryovac is a Saran film used in Polyethylene with ethyl vinyl acetate creates vacuum-sealing (Kryos ¼ cold, Vacus ¼ empty “freezer wrap,” which offers moisture-loss pro- in Latin). tection without getting brittle in low temperatures. Polyethylene terephthalate (PET) Polyvinylidene chloride (PVDC) and ethylene has been used widely, including as a tube which vinyl alcohol (EVOH) are also utilized as barrier dispenses food. Some advantages of PET is that plastics. They have properties related to oxygen it withstands high-temperature foods and is ligh- and water vapor permeability. ter in weight than the glass that it replaces. Poly- ethylene naphthalate (PEN) received FDA Purpose of Packaging: Food and Agri- approval in 1996 for use in food packaging. It culture Organization (FAO) of the provides a barrier against gas, moisture, and United Nations. ultraviolet light. As bottled beverages, including The basic purpose of packaging is to pro- waters, teas, and juices, continue to appear in the tect meat and meat products from undesir- marketplace, the use of plastic bottle containers able impacts on quality including made of PET and PEN may be increasing. microbiological and physio-chemical alterations. Packaging protects foodstuffs Polypropylene (PP): Polypropylene has a during processing, storage and distribution higher melting point and greater tensile strength from: than polyethylene. It is often used as the inside • Contamination by dirt (by contact layer of food packages that are subject to higher temperatures of sterilization (e.g., retort pouches with surfaces and hands) or tubs). • Contamination by micro-organisms Polystyrene (PS): Polystyrene is a versatile, (bacteria, moulds, yeasts) inexpensive packaging material and represents • Contamination by parasites (mainly less than 10 % of total plastic packaging. When foamed, its generic name is expandable polysty- insects) rene (EPS). This styrofoam has applications in • Contamination by toxic substances disposable packaging and drinking cups. It offers (chemicals)

Other Packaging Materials 373 • Influences affecting colour, smell and time than synthetic nonedible packaging taste (off-odour, light, oxygen) materials. Edible films are a unique type of pack- aging material. • Loss or uptake of moisture (evapora- tion or water absorption) These films are “. . . defined as a thin layer of Adequate packaging can prevent the edible material formed on a food as a coating or placed (pre-formed) on or between food above listed secondary contamination of components. Its purpose is to inhibit migration meat and meat products. But the further of moisture, oxygen, carbon dioxide, aromas, and growth of microorganisms, which are already lipids, etc.; carry food ingredients (e.g. present in meat and meat products, cannot be antioxidants, antimicrobials, flavor); and/or interrupted through packaging only. To halt improve mechanical integrity or handling or reduce microbial growth, packaging has to characteristics of the food” (Krochta & be combined with other treatments, such as DuMulder-Johnston 1997). refrigeration, which will slow down or stop the further growth of microorganisms, or Antimicrobials may be included in films or with heating/sterilization, which will reduce containers. Antimicrobial activity may be due or completely eliminate contaminating to the addition of specific substances, radiation, microorganisms.—FAO or gas flushing. Irradiation sterilization of pack- aging materials may be forthcoming with FDA (Other foods too) approval. Many manufacturers specify proprietary Examples of edible films include those used as molded and shaped bottles to hold their specific the sugar shell on individual chocolate-covered food contents. The appropriate plastic may be candies (M&Ms®), casings, such as in sausage, chosen to satisfy this highly specialized demand. and edible waxes, such as those applied to fruits and vegetables. Serving in the role of edible Manufacturers may also use food-based films, the casings “contain,” and the waxes func- materials to produce thermal plastic resins. tion to improve or maintain appearance, prevent They are made from natural sugars found in mold, and contain moisture while still allowing corn and other plants. For example, wheat starch respiration. As well, food may be coated with a and corn sugar are being developed for packag- thin layer of polysaccharides such as cellulose, ing purposes as biodegradable materials that will pectin, starch and vegetable gums, or proteins, compost down fully in around 30–60 days such as casein and gelatin. Cut, dried, fruit pieces (Higgins 2000). are often sprayed with an edible film prior to their inclusion into items such as breakfast cereal (see Metal, glass, paper, and plastic, the most com- “Active Packaging Technologies” section). mon food packaging materials, have been discussed briefly. At this point, let us move on Bindings may be applied to a food’s surface to to view some other packaging materials. be an adhesive for seasoning. Other coatings may significantly improve appearance (and reduce Other Packaging Materials microbial contamination) by replacing egg washes and acting as a glaze. Cotton or burlap (jute) may be used for grains, flour, legumes, and some vegetables, primarily in Foil is a packaging material that may be used transport. in snack bags (chips) or as a laminate in aseptic packaging (see Aseptic Packaging). It is used as a Edible films are subject to FDA approval wrapping for dry, refrigerator, or freezer storage. because they become part of the food. Natural It provides a moisture-proof and vapor-proof edible films extend shelf life, although for shorter barrier. Laminates are multilayers of foil, paper, or plastics that may be utilized selectively according to the specific food packaging need.

374 18 Food Packaging In combination, the various laminates may pro- Packaging (MAP), (4) sous vide, and (5) vacuum vide more strength and barrier protection than the packaging. individual laminate material. Laminates provide barriers useful in controlling O2, water vapor, A definition and examples of reduced oxygen and light transmission, and they provide good packaging follow. burst strength. The laminates may resist pinholes and flex cracking. Retort pouches are examples What is ROP? of laminates used in packaging and contain poly- ester film, aluminum foil, and polypropylene. (http://www.anfponline.org/CE/food_protec tion/2010_11.shtml) Resins are used for sealing food packages. They must withstand the stress of processing According to AFNP and offer seal integrity that prevents product contamination. Packaging using an ROP method can be used to describe any packaging process in which a sealed Wood may be used in the manufacture of product has an environment that is reduced in crates that contain fresh fruits and vegetables. oxygen. ROP is an all-inclusive term used to describe methods such as Controlled Oxygen Bag in a box is now offered in five-gallon Packaging (CAP), Modified Atmosphere Packag- bags with snap-on caps over a 100 polyethylene ing (MAP), Cook-Chill, Vacuum Packing (VP), spout. There is a high barrier film, with heat and Sous Vide. Each form of ROP has its unique resistance up to 190 F. methods and outcomes, but all have one thing in common: the final product will be in a sealed Regardless of the materials that are selected package in which there is little or no oxygen for use, source reduction, reuse, and recycling present. . . should be important considerations of packaging manufacturers. The food industry challenge is to The method of Sous Vide is a specific process provide the appropriate materials to accomplish of ROP utilized for food that requires refrigeration/ packaging functions at reasonable cost. freezing after packaging—usually potentially haz- ardous foods (PHF). The process of Sous Vide Controlling Packaging Atmosphere does reduce the initial bacterial load of a product to lower levels, but not low enough to make the Reduced temperature remains as the primary food shelf stable. The process generally has several means of food protection. However, controlling steps: preparation of the raw materials (which may the other known elements in the package envi- include partial grilling or a similar step); packag- ronment, such as O2 (controlled or modified ing the product by use of vacuum sealing; cooking/ atmosphere in packaging), CO2, water vapor, pasteurizing the product to the desired cooking and ethylene concentration, may also reduce temperature while in the package; rapid cooling/ spoilage and contamination (e.g., enzymatic, freezing; reheating to 165 F for hot holding or any biological), thus extending shelf life. The mate- temperature for immediate service. This method is rial that follows in this chapter will address said to retain the color, texture, moisture, and controlling the internal package environment flavor of the final product.—AFNP and modification of gases. See the following for Definitions: The following are the significant manners of http://www.cfsan.fda.gov/~dms/fcannex6. controlling packaging atmosphere. (ROP is defined as any packaging procedure that results html in a reduced oxygen level in a sealed package.) The term is often used because it is an inclusive FDA (B) Definitions. term and can include other packaging options such as (1) cook-chill, (2) controlled atmosphere The term ROP is defined as any packaging packaging (CAP), (3) Modified Atmosphere procedure that results in a reduced oxygen level in a sealed package. The term is often used because it is an inclusive term and can include other packaging options such as:

Controlling Packaging Atmosphere 375 1. Cook-chill is a process that uses a plas- (d) Rapid and monitored cooling of the tic bag filled with hot cooked food from product at or below 3 C (38 F) or which air has been expelled and which frozen. is closed with a plastic or metal crimp. (e) Reheating of the packages to a 2. Controlled atmosphere packaging specified temperature before open- (CAP) is an active system which contin- ing and service. uously maintains the desired atmo- sphere within a package throughout the 5. Vacuum packaging reduces the shelf life of a product by the use of amount of air from a package and her- agents to bind or scavenge oxygen or a metically seals the package so that a sachet containing compounds to emit a near-perfect vacuum remains inside. A gas. Controlled atmosphere packaging common variation of the process is (CAP) is defined as packaging of a vacuum skin packaging (VSP). A product in a modified atmosphere highly flexible plastic barrier is used followed by maintaining subsequent by this technology that allows the control of that atmosphere. package to mold itself to the contours of the food being packaged. 3. Modified Atmosphere Packaging (MAP) The creation of a packaging envi- is a process that employs a gas flushing ronment with little or no oxygen has and sealing process or reduction of oxy- beneficial applications for the food gen through respiration of vegetables or industry. However, microbiological microbial action. Modified Atmosphere concerns arise simultaneously. As will Packaging (MAP) is defined as packag- be discussed, proper controls need to be ing of product in an atmosphere which in place for reduced oxygen packages. has had a one-time modification of gas- eous composition so that it is different FDA: Benefits of ROP from that of air, which normally contains 78.08 % nitrogen, 20.96 % ROP can create a significantly anaerobic envi- oxygen, and 0.03 % carbon dioxide. ronment that prevents the growth of aerobic spoilage organisms, which generally are Gram- 4. Sous vide is a specialized process of negative bacteria such as Pseudomonads or aero- ROP for partially cooked ingredients bic yeast and molds. These organisms are respon- alone or combined with raw foods that sible for off-odors, slime, and texture changes, require refrigeration or frozen storage which are signs of spoilage. until the package is thoroughly heated immediately before service. The sous- ROP can be used to prevent degradation or vide process is a pasteurization step that oxidative processes in food products. Reducing reduces bacterial load but is not suffi- the oxygen in and around a food retards the cient to make the food shelf stable. The amount of oxidative rancidity in fats and oils. process involves the following steps: ROP also prevents color deterioration in raw (a) Preparation of the raw materials meats caused by oxygen. An additional effect of (this step may include partial sealing food in ROP is the reduction of product cooking of some or all ingredients). shrinkage by preventing water loss. (b) Packaging of the product, applica- tion of vacuum, and sealing of the These benefits of ROP allow an extended package. shelf life for foods in the distribution chain, (c) Pasteurization of the product for a providing additional time to reach new geo- specified and monitored time/ graphic markets or longer display at retail. temperature. Providing an extended shelf life for ready-to-eat convenience foods and advertising foods as

376 18 Food Packaging “Fresh-Never Frozen” are examples of economi- MAP is primarily applied to fresh or mini- cal and quality advantages. mally processed foods that are still undergoing respiration, and it is used for the packaging of a Providing oxygen control in packaging is variety of foods. Such foods include baked needed by fruits and vegetables. They continue goods, coffees and teas, dairy products, dry and to breathe and require oxygen after harvesting dehydrated foods, lunch kits, and processed and processing; thus, the package must contain meats (to keep the meat pigment looking desir- oxygen. Yet it needs to be controlled, as too high able). It is also used for nuts, snack food a level causes oxidation and spoilage and too low applications, and pasta packaging. This type of a level leads to anaerobic spoilage. In extending packaging with high CO2 levels inhibits many shelf life of fruit, oxygen levels should approxi- aerobic bacteria, molds, and yeasts. mate 5 % and carbon dioxide at 1–3 % (with refrigeration maintained at temperature-specific MAP is one of the most widely used packag- levels). Packaging environments must match the ing technologies, as it functions to enhance respiration rate as closely as possible. appearance, minimize destructive waste, extend shelf life, and reduce the need for artificial The function of CO2 addition in packaging is preservatives. Its use thus expands a product’s to inhibit growth of many bacteria and molds. ability to reach new markets. Nitrogen is used in The O2 maintains respiration and color and bread products, while carbon dioxide is best inhibits growth of anaerobic microorganisms. suited to high-fat products. Nitrogen (N2) is used to flush the package and rid it of air (O2 specifically). Nitrogen also Following the packaging of foods, a machine prevents a collapse of the loose-fitting packaging vacuums out all of the package air and then, material. through the same package perforations, evenly inserts the new, desired gas combination. Since Cook-Chill MAP contains the food under a gaseous environ- ment that differs from air (some other percent- Cook-chill is defined as a packaging procedure age), it controls normal product respiration that also results in reduced oxygen levels. By the (consuming O2 and generating CO2, water FDA definition, it “is a process that uses a plastic vapor, and perhaps ethylene) and growth of aer- bag filled with hot cooked food from which air obic microorganisms. For example, the change in has been expelled and which is closed with a CO2 level shows an inhibitory effect on aerobic plastic or metal crimp.” Such a system is one microorganisms. This effect is dependent upon that may be frequently employed in hospital conditions such as the level of CO2 (a high level foodservice operations as an alternative to a in proportion to air is more effective), moisture, more conventional foodservice operation. pH, and temperature. Modified Atmosphere Packaging The initial mix of packaging atmosphere changes over time as a result of factors such as Modified Atmosphere Packaging (MAP) product respiration, the aerobic and anaerobic modifies the internal package atmosphere of bacterial load, respiration of bacteria, permeation food. It replaces the air in the package with of gases through the packaging materials/seals, nitrogen or carbon dioxide, and the shelf life of temperature, light, and time (Labuza 1996). the product can increase by as much as 200 %. Gas flushing and sealing reduces oxygen coming The addition of nitrogen gas, which is odor- through respiration of vegetables. MAP is a one- less, tasteless, colorless, nontoxic, and nonflam- time modification of gases so that it is different mable, is introduced into the food package after from air, which normally contains 78.08 % nitro- all atmosphere has been removed from the pouch gen, 20.96 % oxygen, and 0.03 % carbon and vacuum chamber, and just prior to hermetic dioxide. sealing of the package. It increases the package’s internal pressure. This modification, by a predetermined dose of liquid nitrogen (LIN), offers protection from spoilage, oxidation,

Controlling Packaging Atmosphere 377 dehydration, weight loss, and freezer burn and Many packaged food products undergo respi- extends shelf life, as nitrogen consumes oxygen. ration and microbial growth, requiring oxygen, while producing CO2 and water. The carbohy- Unlike vacuum packaging, the high barrier drate molecule, in the presence of oxygen, film (used to keep air out and to prevent the C6H12O6 + O2, for example, yields CO2 + modified atmosphere from escaping) used for H2O + heat. Therefore, CA or CAP containers MAP remains loose-fitting. This avoids the offer control by reducing the available O2, crushing effects of skintight vacuum packaging. elevating CO2, and controlling water vapor and When used in combination with aseptic packag- ethylene concentration. The worldwide distribu- ing, which reduces the microbial load, MAP tion and marketing of produce depends on CAP becomes a more effective technology. Most for high-quality food. A benefit is that less senes- new and minimally processed foods use MAP cence and maintenance of nutritional value is in combination with aseptic technology and observed. reduced temperature. C. botulinum is an anaerobic bacterium that Controlled Atmosphere Storage grows in the absence of available oxygen. There- and Packaging fore, it may grow in anaerobic packaging environments. To retard its growth in CAP food Both controlled atmosphere (CA) in storage products, foods must have short-storage times environments and controlled atmosphere pack- and be held at cold temperatures. Control of aging (CAP) are utilized in order to permit con- water activity (Aw) and salt is also necessary to trolled oxygen and carbon dioxide exchange, prevent growth as sodium competes with the thus preserving foods. As well, CAP is a prime bacteria for water absorption. alternative to pesticides and preservatives. When storage temperatures and conditions of distribu- Food production has shown a rising use, thus tion vary in fresh and processed foods, CAP and the demand for various industrial gases such as MAP assist in standardizing these variables and CO2 and N2. Perhaps this increase in demand maintaining product quality. may be attributed to more convenient foods and packagings that provide a longer shelf life, CAP, The FDA defines CAP as “an active system and MAP. which continuously maintains the desired atmo- sphere within a package throughout the shelf-life Certainly, if the packaging material is a poor of a product by the use of agents to bind or barrier, then the nitrogen or carbon dioxide will scavenge oxygen or a sachet containing be replaced with the surrounding oxygen due to compounds to emit a gas.” Controlled atmo- diffusion. Considering the opposite effect, if the sphere packaging (CAP) is defined as a packag- packaging offers a good barrier, then the gases ing of a product in a modified atmosphere will remain in the package for a longer period of followed by maintaining subsequent control of time, protecting the product. that atmosphere. Sous Vide However, at any given time, and under vari- able environments, there is no continual “con- Sous vide (“under vacuum”) packaging involves trol” that the food technologist would describe as mild, partial precooking of food prior to vacuum “ideal.” The question then becomes: how much packaging. Once again, according to the FDA control is there in the package environment? Is it definition in the 1999 Guidelines for ROP, then more likely that the atmosphere is modified? “Sous Vide is a specialized process of ROP for This form of packaging also utilizes a high bar- partially cooked ingredients alone or combined rier film (or pouch), which may be EVOH with raw foods that require refrigeration or fro- high barrier polymers, or polyamide, a form of zen storage until the package is thoroughly nylon. heated immediately before service. The sous

378 18 Food Packaging Fig. 18.4 An example of small vacuum-packaging Fig. 18.5 An example of very large floor standing machinery. Countertop (C200 Courtesy of Multivac, Inc.) vacuum-packaging machinery (C800 Courtesy of Multivac, Inc.) vide process is a pasteurization step that reduces bacterial load but is not sufficient to make the it extends shelf life. Further explained by the food shelf-stable.” Since some of the ingredients FDA, in its guidelines for reduced oxygen pack- may be partially cooked, and other ingredients aging (ROP), “Vacuum packaging reduces the may be raw, the product requires refrigeration or amount of air from a package and hermetically freezing, and then heating through prior to seals the package so that a near-perfect vacuum service. remains inside. . . A highly flexible plastic barrier is used by this technology that allows the pack- The product package will have its levels of age to mold itself to the contours of the food oxygen reduced and CO2 raised in the packaging being packaged.” environment in order to reduce the microbial (aerobic pathogens) load and extend the shelf With the removal of oxygen, vacuum life. Sous-vide products are pasteurized, yet are packaging controls rancidity that occurs with not sterile, and may contain heat-resistant the oxidation of fatty acids. Vacuum-packaging microorganisms and spores. Therefore, strict machines are available for small-, medium-, or temperature regulation in production, as well as large-scale production capacity (Figs. 18.4 and in the distribution process, is necessary to assure 18.5) and may be used to successfully package a product safety. Food products must be kept cold variety of food sizes and forms such as small to prevent the growth of bacteria. cheese blocks, large primal cuts of meat, or liquids. According to FDA guidelines, guidelines related to the sous-vide process include the fol- In order to get an idea of the sizes: lowing: some cooking, packaging, pasteuriza- Countertop Model C200 or smaller—counter- tion, proper cooling and reheating. top use Vacuum Packaging Floor Model C800 machine dimensions: width Vacuum packaging modifies the atmosphere 1,650 mm, depth 1,050 mm, height 1,070 mm, surrounding the food by removing oxygen, and weight approx. 720 kg

Controlling Packaging Atmosphere 379 The procedure used for vacuum packaging is placing them in ROP without regard to microbial to place the food in a flexible film and barrier growth will increase the risk of foodborne pouch and put it inside a vacuum-packaging illnesses. ROP processors and regulators must chamber, where oxygen is removed. This creates assume that during distribution of foods or a skintight package wall and protects against the while they are held by retailers or consumers, entry or escape of gases such as air and CO2 or refrigerated temperatures may not be consis- water vapor. It assures inhibition of microbial tently maintained. In fact, a serious concern is growth that would alter microbial and organolep- that the increased use of vacuum packaging at tic properties such as appearance and odor. retail supermarket deli-type operations may be Water weight loss and freezer burn are also followed by temperature abuse in the establish- inhibited with this packaging method. The trans- ment or by the consumer. Consequently, at least parent, vacuum-packaging film allows product one barrier or multiple hurdles resulting in a visibility from all angles. barrier need to be incorporated into the produc- tion process for products packaged using ROP. Controls Needed for Vacuum Packaging. The incorporation of several subinhibitory The FDA recommends that local regulatory barriers, none of which could individually inhibit agencies prohibit vacuum packaging in retail microbial growth but which in combination pro- stores unless the following six controls are all vide a full barrier to growth, is necessary to in effect: ensure food safety. • Foods must be limited to those that do not (1) Refrigerated Holding Requirements for support growth of Cl. botulinum (as it is an Foods in ROP anaerobe). • Temperatures of 45 F (7 C) and below are Safe use of ROP technology demands that maintained at all times. Anaerobic pathogens adequate refrigeration be maintained during the increase their growth rate exponentially with entire shelf life of potentially hazardous foods to an increase in temperature. ensure product safety. • Consumer packages are prominently labeled with storage–temperature requirements and Active Packaging Technologies shelf life. • Shelf life must neither exceed 10 days nor Active packaging began as “smart” packaging in extend that labeled by the initial processor. the 1980s and was referred to as “interactive” • Detailed, written in-store procedures must be packaging almost from the start. All three terms developed, observed, and carefully moni- describe the same thing, which is packaging that tored. These should be HACCP based and could “sense” changes in the internal environ- include records subject to review by regu- ment and respond by adapting as necessary. latory authorities. Included in a food package are small packets in • Operators must certify that individuals order to control elements such as ethanol, oxy- responsible are qualified in the equipment, gen, or microbes (Brody 2000). procedures, and concepts of safe vacuum packaging. By means of its inherent design, packaging Good manufacturing practice to prevent con- typically serves in a passive role by protecting tamination with pathogens is still needed. food products from the external environment. It provides a physical barrier to external spoilage, FDA: Safety Concerns contamination, and physical abuse in storage and distribution. Today, packaging more The use of ROP with some foods can markedly actively contributes to the product’s develop- increase safety concerns. Unless potentially haz- ment, controls product maturation and ripening, ardous foods are protected inherently, simply helps in achieving the proper color development in meats, and extends shelf life. Thus, it is

380 18 Food Packaging considered to play an active (not passive) role in gas to kill harmful bacteria and spoilage protecting foods. Yet, despite the many organisms (Higgins 2001a). attributes and benefits of smart/interactive/active packaging, it generally does not actually “sense” Aseptic Packaging the environment conditions and change accordingly. In order to destroy any C. botulinum spores and extend the shelf life of low-acid foods, aseptic Examples of active packaging technologies packaging may be utilized. Independent sterili- are listed in the following text. zation of both the foods and packaging material, with assembly under sterile environmental Active packaging for fresh and minimally conditions, is the rule for aseptic packaging. processed foods provides the following: • Edible moisture or oxygen barrier (to control In an aseptic system of packaging, the pack- aging material consists of layers of polyethylene, loss of moisture and enzymatic oxidative paperboard, and foil (Fig. 18.6). It is sterilized by browning in fresh-cut fruits and vegetables heat (superheated steam or dry hot air) or a com- and to provide controlled permeability rates bination of heat and hydrogen peroxide and then matched to the respiration rate of the fruit) roll-fed through the packer to create the typical • Edible antimicrobial (biocidal) polymer films brick/block shape (Fig. 18.7). and coatings (which may release controlled amounts of chlorine dioxide into the food, The container is filled with a sterile (no depending on temperature and humidity, or pathogens or spores) or commercially sterile destroy E. coli 0157:H7 in meats and prevent (no pathogens, although some spores) liquid mold growth in fruits) food product and sealed in a closed, sterile cham- • Films that are scavengers of off-odors ber. Once packed, the product requires no refrig- • Oxygen scavengers for low-oxygen eration. Liquids such as creamers, milk, or juices packaging may be packed in this manner. Triple or multiple Active packaging for processed foods packs of flavored milk and juice, with attached provides the following: straws, are available on grocery shelves. The • Edible moisture barrier market leaders of aseptic packages have • O2, CO2, and odor scavenger introduced easy-open, easy-pour features into Other active packaging technologies include their cartons. The plastic devices are injection the following: molded and adhere to the package tops. • Microwave doneness integrators (indicators) • Microwave susceptor films to allow browning The sterility of packaging material has and crispness (french fries, baked products, formerly relied on chemical technologies of popcorn) sterilization (principally heat with hydrogen • Steam release films peroxide). Nonchemical techniques have been • Time–temperature indicators (TTI) which are explored in order to avoid chemical sterilant unable to reverse their color when the product residues. Ionizing and nonionizing radiation has been subject to time–temperature abuse have been tested for use in aseptic packaging. Specifically, the predictability of the behavior of a living, breathable fruit or vegetable, or even Flexible Packaging meat, is quite different from a nonfood item that is packaged. There are numerous interactions Flexible packaging is available for packaging between the food, any internal gas in the package use in the foodservice industry and is finding atmosphere, and the material used for packaging. more applications at the retail level, including Sachets or films may release their intended effect packaging for bagged cereal candies, poultry, red at a controlled rate. meat, and sliced deli meat. Nonrigid packaging The FDA gave the “go ahead” for a type of active packaging that releases chlorine dioxide

Tamper-Evident Banding and Sleeve Labeling 381 Fig. 18.7 Different Tetra Brik® aseptic package sizes (Source: Tetra Pak Inc.) Freezer Packaging Protection Fig. 18.6 Tetra Brik® aseptic packaging material layers Freezing foods is a means of preservation, (Source: Tetra Pak Inc.) although foods may spoil due to desiccation or cavity ice if they are not adequately protected. containers such as stand-up pouches or tubes and Therefore, a moisture-barrier film, such as a zippered bags are examples of flexible packaging freezer wrap, is needed in packaging material. used for peanuts, peanut butter, or produce such Tear strength and wet strength are also needed as fresh-cut lettuce and peeled baby carrots. The in packaging material for freezer storage. same packaging might also need to be resealable to meet consumer demands and may require Freezer Burn zipper handles or spouts with easy-open screw- off tops. Pronounced desiccation occurs as water diffuses from the product to the atmosphere. This results “Flexible packaging uses less material. It in freezer burn with its resultant change in keeps products fresh by providing flavor and appearance, flavor, texture, and weight. aroma barriers, which keep outside odors out and flavors in. It is used for fresh fruits and Cavity Ice vegetables and matches respiration rate as closely as possible. Overall, the Flexible Packag- Cavity ice is the ice formation within the food ing Industry encourages innovation and excel- package due to water condensation. Therefore, it lence in part by giving packaging achievement is important to use moisture-proof and vapor- awards based on factors including Packaging proof packaging. Excellence, Technical Innovation, Sustainability and Environmental Achievement, and Printing Tamper-Evident Banding and Sleeve Achievement.” Labeling Manufacturers are offering more food Tamper-evident banding and sleeve labeling may products in flexible packaging and find that cost assist manufacturers and consumers by providing savings and environmental concerns are some of protection and offering the security that the pack- the driving forces behind the switch to flexible age contents are unviolated. Today, tamper-evident packaging.

382 18 Food Packaging neckbands and shrink-film sleeves are made in a Plastics have a greater likelihood of imparting number of colors and may be custom printed. their “plastic taste” and odor to a food than paper. Technology for full-body shrink-labels over glass They may contain many additives, including and plastic bottles is more apparent, as it has antioxidants, antistatics, plasticizers (to improve become more affordable and attractive. Pull-tabs the flexibility of some “cling” films), and and perforations provide ease of use. stabilizers to improve the functional properties of the plastics. Although there has been no report While the majority of rigid packaging of danger to human health from plasticizer includes tamper-evident attributes, not all food additives, the plastics industry has reformulated is packaged in this manner. Considering security some grades of films that contain plasticizers and issues, especially susceptible may be bakery and continues to offer polyethylene plastic wraps dairy products (Higgins 2001b). with low levels of plasticizers Manufacturing Concerns in Packaging The FDA has responded to the stories about the dangers of chemicals leaching from plastics into Selection of Packaging Materials microwaved food. Any plastic used as a “food contact surface” needs FDA approval that it is Environmental conditions in package transport safe for its intended use (usefulness and harmless- and government regulations may dictate the ness) prior to being approved for use. According materials a company uses in shipping food to the FDA, “It’s true that substances used to make containers domestically or overseas. Many plastics can leach into food. But as part of the components of the food industry demand that approval process the FDA considers the amount packaging material is biodegradable, recycla- of a substance expected to migrate into food and ble, strong, and waste-to-energy efficient. The the toxicological concerns about the particular food processor must choose materials that chemical.” While the FDA finds that levels of effectively preserve shelf life and are environ- migrating material are well within the established mentally friendly and affordable. The packag- margin of safety, the issue will continually be ing material needs to meet all criteria of revaluated in light of new materials or new data. shipment, labeling, marketing, and other purposes of packaging. Diethylhexyl adipate (DEHA) is commonly used in polyvinyl chloride (PVC) food wrap as A list of food and beverage packaging a plasticizer. PVC does not use the plasticizer associations appear in the 2012 Food & Beverage with phthalates. A close analysis of DEHA Packaging Buyer’s Guide. Food&Beverage indicated no toxic affect in animal studies. It is Packaging. 2012;(12):82–83. foodandbeverage- approved as a food contact surface. packaging.com. see Associations and References at the end of this chapter. Migration from packaging materials is more likely to occur at high temperatures with fatty Migration from Packaging Materials foods; therefore, industry packaging of micro- wave foods is designed to be safe for microwave The packaging industry recognizes that the use at high temperatures. Consumers who use migration of substances from the packaging into packaging films for cooking or reheating in the the food could be harmful to the consumer or microwave should be aware that “microwave have an adverse effect on the acceptability of safe” criteria may not be established for packag- the food. Therefore, compliance with limits set ing films that can have direct contact with food on migration of packaging materials and control during reheating in a microwave. Therefore, of additives at the point of manufacture is using glass containers may be preferable choices ensured. for microwave reheating. In addition to plastics, the printing ink on the package must be controlled, as it too imparts undesirable flavor to packaged food, and may

Manufacturing Concerns in Packaging 383 stain the surface of material it contacts while hot may be required (mandated) of vendors deliver- (i.e., microwave oven). ing to suppliers, such as major food clubs, trials are still ongoing at this point. Currently, The use of recycled plastics and paper reduces improvement is desired in readability rates, tag control over contaminants that may be in the costs and availability, tag application, accurate second-hand materials. Further research on the customer recording, and other aspects of this use of recycled materials must be conducted and newer technology (Food Engineering). brought forth, before it is recommended that recycled materials be used in food contact The RFID Journal is also available to packers. applications (due to the possible migration of contaminants). Selecting the Right RFID Tag becomes important. For example, does the packag- There is another concern regarding dioxins in ing company need high-frequency or plastic food wrap. According to the FDA, a con- ultrahigh-frequency tags, passive or active cern for dioxins in plastic is not warranted. “The technology? There is a rapid evolution of FDA has seen no evidence that plastic containers RFID technology. or films contain dioxins and knows of no reason why the would” (FDA—Machuga). “RFID tags contain a microchip and antenna, and come in a wide variety of Packaging Lines at Processing Plants sizes and form factors. Some are as small and Foodservice Operations as a grain of rice and encased in glass, while others are enclosed in plastic and the size of Packaging lines at processing plants may operate a key fob or credit card. Still others, known efficiently when correctly managed, or be down as smart labels, are embedded in paper. and hold up production. As well, product shelf Some are disposable, while others can be life and safety; consumer and environmental reused. Costs vary widely, too, depending concerns, including ease of use and recycling; on the form factor, the amount of data the as well as economics of packaging are important tag can store and the volume of tags food packaging ideas. Future packaging ideas purchased. continue to be explored and utilized. With the increasing use of RFID technol- Although labels are discussed in another ogy and the adoption of standards for some chapter of this text, they will be mentioned categories of tags by the International Orga here, in packaging. Paper and perhaps full sleeve, nization for Standardization (ISO) and heat shrink PVC labels may be applied to food EPCglobal, tag prices have been falling. containers. They offer graphics, assistance as a Electronic Product Code (EPC) passive marketing tool, provide tamper evidence and UHF tags, widely used in supply-chain information, and more. The latest in develop- applications, cost about 7 cents each. Active ment and marketing of packaging technologies (battery-powered) tags, commonly is available online and at various trade shows. deployed for tracking assets over longer distances, generally cost upwards of $50.” Packaging with Radio-Frequency Identification Tags (RFID Journal—How to Select the Right RFID Tag) Radio-frequency identification (RFID) tags may Packaging as a Communication and be contained in packaging. RFID is more than an Marketing Tool inventory or packaging/labeling technology as it assists manufactures and users track packaged Packages contain and protect food during stor- food throughout the supply chain. Although it age, shipment, and sale and serve other functions,

384 18 Food Packaging as discussed, such as to provide convenience and Safety Considerations and Packaging utility of use. They also communicate important consumer information on their labels. For exam- Keeping the food supply a safe one is an important ple, information regarding ingredients, nutrition consideration of food packaging. Packaging is facts, manufacturers’ name and address, contents part of food processing, and it assists in preserving weight, bar coding, and so forth appear on pack- food against spoilage and contamination as well as age labels. The food processor must be aware of extending the shelf life. Adequate packaging is an worldwide differences in acceptability of pack- industry technique that may be used along with aging format, including use of colors and picture preservation and has the intent of slowing down or symbols, before a product is marketed in another stopping spoilage that would otherwise exhibit culture. loss of taste, textural quality, or nutritive value of food. Crops and animal products produce Packaging serves as a marketing tool. The market-ready and adequately long shelf life food package and label design are significant in products if adequately packaged. attracting potential customers, and many labels may carry recipes, coupons, mail-in offers, or Of interest to some readers might be irradia- announcements of special upcoming events. It tion and packaging, addressed by the FDA as may be that a change in packaging greatly follows: increases sales. Yet changes must not confuse consumers who have built product loyalty by Effects of Irradiation familiarity over the years. For example, milk Irradiation can cause changes to a packaging cartons may not be readily accepted if changed, yet a difference in packaging material, such as material that might affect its integrity and function- cereal without a cardboard box, might be well ality as a barrier to chemical or microbial contami- accepted and profitable. nation. Radiation does not generally affect all properties of a polymer or adjuvant to the same It is reported that consumers use more of degree. Two concepts are important here. First, a product at a time when it comes in a larger most food packaging materials are composed of package. This may be attributed to (1) the polymers that may be susceptible to chemical buy-more, use-more phenomenon, as consumers changes induced by ionizing radiation that are the perceive food products as less expensive when result of two competing reactions, cross-linking purchased in larger quantity (although this is (polymerization) and chain scission (degradation). not always true), (2) less concern with running Radiation-induced cross-linking of polymers out, and (3) desire to finish the food product dominates under vacuum or an inert atmosphere. as the large size occupies excessive shelf Chain scission dominates during irradiation of space (Tufts University Diet & Nutrition Letter polymers in the presence of oxygen or air. Both 1997). At the other end of the spectrum, single reactions are random, generally proportional to servings of products are also popular in the dose, and depend on dose rate and the oxygen marketplace. content of the atmosphere in which the polymer is irradiated. The idea of cross-linking predominating Environmental Considerations under vacuum or in an inert atmosphere is important and Packaging because it served as the basis for granting recent exemption requests under 21 CFR 170.39 for pack- Sustainable package development shows environ- aging materials irradiated in contact with food mental consideration and responsibility; reduce, either in a verifiably oxygen-free environment or reuse, and recycle must be kept in mind from initial while frozen and contained under vacuum. packaging development to discards of those packages. Responsibility dictates that packaging Second, in the presence of an oxygen atmo- materials should be environmentally friendly. sphere, radiation-induced degradation of both the base polymer and adjuvants, such as antioxidants or stabilizers, is likely to occur and result in the formation of radiolytic products. The radiolytic products formed upon irradiation may be present at significant levels such that they could migrate into food and affect the odor, taste, or safety of the irradiated food. For example, it is well known that certain adjuvants are prone to degradation during polymer processing. During irradiation they would be expected to degrade preferentially over the

Manufacturing Concerns in Packaging 385 polymer and result in the formation of radiolytic of the food into interstate commerce (Reports products in the polymer that could potentially REGULATORY REPORT | December 2007/Jan- migrate into food. Therefore, the migration of uary 2008 Food Safety magazine in an article both base polymers and adjuvants, as well as entitled Irradiation of Food Packaging Materials). migration of their radiolytic products, must be evaluated in the premarket safety assessment of “The U.S. Food and Drug Administration new packaging materials prior to their use, espe- (FDA) allows the use of irradiation as a cially at high dose levels and in the presence of means for improving food safety and oxygen.—FDA extending the shelf life of certain foods. Although not yet widely used, irradiation Packaging serves as a safety barrier in can kill the bacteria responsible for controlling potentially damaging levels of light, foodborne illness and food spoilage, as oxygen, and water. It facilitates ease of use, well as insects and parasites that may be offers adequate storage, conveys information, present on food. Additionally, in certain and provides evidence of possible safety issues fruits and vegetables irradiation can of unsafe product tampering. inhibit sprouting and delay ripening. For example, irradiated strawberries stay Food Traceability unspoiled up to 3 weeks, versus 3–5 Beginning in 2005, FDA required certain food days for untreated berries. Foods are typ- facilities to maintain records identifying the ically packaged in final form prior to sources, recipients, and transporters of food being irradiated, thus reducing the likeli- products. The purpose of these records is to hood that new pathogens will be allow FDA to trace an article of food through introduced after the irradiation step. This each stage of the food supply chain—from a means that the packaging materials are retail shelf back to a farm—if FDA has a reason- being exposed to the same irradiation able belief that a food product is adulterated and source as the food itself. In an effort to presents a serious health threat. Traceability is ensure the safety of the food, one must be the ability to follow the movement of a food certain that an otherwise safe packaging product through the stages of production, material is not being altered in a fashion processing, and distribution. Traceability that causes a chemical in the packaging includes both traceback and trace forward. to be added indirectly to the food. Traceback is the ability to trace a food product from the retail shelf back to the farm. Over the years many food packaging materials have been approved for irradia- Conversely, trace forward is the ability to tion. Likewise, new food packaging trace a food product from the farm forward to the products, such as oxygen barrier materials, retail shelf. Traceability is often needed to iden- have also been introduced. The safety tify the sources of food contamination and the assessment of such complex materials has recipients of contaminated food in product presented new challenges to FDA and recalls and seizures. this study refers to such a the food industry. This article describes situation as a ‘food emergency.’ (Department Of FDA regulations pertaining to packaging Health And Human Services office of Inspector materials that are in contact with food dur- General 2009) Traceability In The Food Supply ing irradiation, the effects of irradiation on Chain new food packaging materials, and the premarket safety assessments of these Packaged Food and Irradiation materials.. . . CFR 179 specifies that the irradiation of both food Improved microbiological safety of and packaging materials in contact with food is food may be attained by using irradiation subject to premarket approval before introduction

386 18 Food Packaging in the production of several types of raw or Irradiating New Materials minimally processed foods such as poultry, FDA’s safety assessment relies on meat and meat products, fish, seafood, evaluating probable consumer exposure to fruits, and vegetables. In fact, following a food contact substance, including all the recent outbreaks of foodborne constituents or impurities as a result of the pathogens in fresh produce, there has proposed use and on the available toxicolog- been increased interest in using irradiation ical information. It is important to under- for improving the safety of fresh produce. stand that the safety assessment focuses on However, food manufacturers must ensure those substances that would be expected to that both the irradiated food and packaging become components of food as a result of materials used during the irradiation pro- the proposed use of the food contact sub- cess are authorized for the proposed use. stance. The safety information required in a new submission to the Center for Food Most significantly, 21 CFR 179 specifies Safety and Applied Nutrition’s Office of that the irradiation of both food and packag- Food Additive Safety generally includes ing materials in contact with food is subject chemical, toxicological and environmental to premarket approval before introduction components. The chemistry data, include of the food into interstate commerce. It the identity and amounts of migrants, as further specifies that the current good well as other data to allow the calculation manufacturing practice for irradiated foods of dietary exposures for the migrants under includes three things. First, manufacturers the intended conditions of use. FDA’s toxi- must comply with the general requirements cological assessment is based on a tiered of the current good manufacturing practice approach and, therefore, the recommended for manufacturing, packaging or holding toxicological data depend on the exposure human food, found in 21 CFR 110. Second, estimates for the radiolytic products and manufacturers must ensure that the radia- other migrants from the proposed use. FDA tion dose used is the minimum dose recommends that all data and information required to achieve the intended technical be generated in accordance with the avail- effect and does not exceed the level able guidance documents. The identities, specified in the regulations. Third, the pack- residue and migration levels, and consumer aging materials used during the irradiation exposures to the radiolytic products that are treatment must comply with the require- generated in the packaging materials may be ments found in 21 CFR 179.45, the of concern depending on the regulatory sta- specifications for an effective food contact tus of the substances, as well as the presence notification, or a threshold of regulation or absence of oxygen. . . (TOR) exemption. Foods currently permit- ted to be irradiated are listed in 21 CFR Currently the packaging materials that 179.26(b) [Table 1]. Finally, the irradiated comply with the provisions of 21 CFR food must be properly labeled. 179.45, the specifications of an effective food FCN [food contact notification] or a Although many packaging materials and TOR [threshold of regulation] exemption their components are available for non- may be used in direct contact with food irradiation uses, their utilization during during irradiation. Materials that do not the irradiation of prepackaged food is con- fall under one of these umbrellas require a sidered a new use and they must pass a premarket safety assessment before being premarket safety evaluation before they used in foods. In instances where food can be legally used in direct contact with packages contain oxygen, such as in food during irradiation. . . . modified atmosphere packaging to

Packaging of the Future 387 maintain the quality of fresh produce, the Congress explicitly defined a source of radia- safety assessments can be quite complex. . . tion as a food additive (Section 201(s) of the FDA encourages individuals to discuss FD&C Act). FDA proposed studies with FDA prior to the submitting a petition or notification to FDA Environmental Decisions ensure that the studies will address FDA’s http://www.fda.gov/Food/IngredientsPackaging safety concerns, and provide adequate Labeling/EnvironmentalDecisions/default.htm data. . . . The National Environmental Policy Act of 1969 (NEPA) requires all agencies of the Federal Conclusion Government to take, to the fullest extent possi- Improved microbiological safety of food ble, environmental considerations into account in may be attained by using irradiation in the the planning and making of their major and final production of several types of raw or mini- agency decisions. In a manner that is consistent mally processed foods such as poultry, with the FDA’s authority under the Federal Food, meat and meat products, fish, seafood, Drug, and Cosmetic Act, the Public Health Ser- fruits, and vegetables. In fact, following vice Act, and with its NEPA-implementing the recent outbreaks of foodborne regulations in 21 CFR 25, the agency assesses, pathogens in fresh produce, there has as an integral part of its decisionmaking process, been increased interest in using irradiation the environmental impacts of its actions and for improving the safety of fresh produce. ensures that the interested and affected public is However, food manufacturers must ensure informed of environmental analyses. Such that both the irradiated food and packaging actions include approval of a food additive, materials used during the irradiation pro- color additive, or (Generally Recognized as cess are authorized for the proposed use.” Safe) GRAS affirmation petitions, the granting of a request for exemption from regulation as a http://www.foodsafetymagazine.com/ food additive under 21 CFR 170.39, or allowing magazine-archive1/December-2007janu a notification submitted under 21 USC 348(h) to ary-2008/irradiation-of-food-packag become effective. FDA ing- materials “Packaging or equipment that contacts food may be subject to FDA regulation if their chemi- Government Concerns in Packaging cal components are deemed by FDA to be “indi- rect food additives,” also known as “Food Government concerns must be addressed as they Contact Substances.” (FCS) The determination arise, and prevention must be practiced as neces- of how a particular food contact substance is sary to avoid errors that lead to illness. regulated by FDA depends on its chemical composition.” http://www.registrarcorp.com/fda- FDA Packaging & Food Contact Substances food/contact-substances/index.jsp?lang¼en (FCS) Packaging of the Future http://www.fda.gov/Food/IngredientsPackaging Labeling/PackagingFCS/default.htm http://www.futureofpackaging.com/ represents Packaging Technology Integrated Solutions FDA Irradiated Food & Packaging (PTIS). http://www.fda.gov/Food/IngredientsPackaging Labeling/IrradiatedFoodPackaging/default.htm “The Future of Packaging: 2013–2023 is an FDA is responsible for regulating the use of invitation-only event and is limited to industry irradiation in the treatment of food and food leaders from across the packaging value chain. packaging. This authority derives from the 1958 We keep the number of sponsors to a small group Food Additives Amendment to the Federal Food, Drug, and Cosmetic Act (FD&C Act) where

388 18 Food Packaging to enable an environment rich with dialogue, PTIS asks readers to submit ideas for the content and value. Proprietary research and number-one trend in packaging for 2013! insights, strategies, and tools for driving growth See more at will be shared exclusively with sponsors and will http://www.packworld.com/trends-and-issues/ not be made available at any other time. oee-amp-lean-manufacturing/top-9-packaging- trends-2013 The Power of Packaging is unleashed at The Future of Packaging: 2013–2023. If you are Conclusion responsible for ensuring that packaging drives bottom-line impact and growth for your business, Primary, secondary, and tertiary packaging request your invitation today to gain a long-term protects raw and processed food against spoil- strategic, yet practical understanding of packaging age and contamination while offering conve- that will pay dividends today and for years to nience and product information to the come. You’ll come away with: consumer. A variety of packaging materials, such as metal, glass, paper, and plastics or • An understanding of why Holistic Packaging combinations of these, are used for packaging Design is central to packaging in the future if they meet with FDA requirements. A number of professional trade shows are dedicated to • Cutting-edge, proprietary research on packag- packaging technologies. ing innovation, global consumer trends, mass customization, emerging markets, and the role Packaging films and atmospheres may be of mobile and social technology selected according to a food product’s storage and distribution needs. They may eliminate dam- • A global view of scenarios affecting packaging aging levels of oxygen, light, and temperature over the next decade and prevent water vapor loss while at the same time protecting the food from spoilage and con- • A 10-year strategic packaging roadmap—PTIS tamination. Compliance with limits set on migra- tion of packaging materials and control of In its year-end e-mail message, consulting additives in the materials must be ensured. A company Packaging Technology Integrated variety of packaging technologies, including vac- Solutions (PTIS) believe the Top 9 trends for uum packaging, flushing the package with gas, or packaging in 2013 will be: active packaging, may be used to contribute to 10. Clean machine design helps drive OEM effective packaging of food. growth and meet new regulations. Packaging protects food; may modify atmo- 9. Digital printing continues to make advances sphere, thus extending shelf life; gets a message across; aids in marketing; provides added content and becomes a reality. security; and so forth. It may provide portion 8. Sustainable packaging and waste to value control, combating “portion distortion,” conve- nience of use, and convenient transport. This propositions get more clarity and harmonization. assists the child as well as the adult consumer. 7. Interactive and intelligent packaging Tamper-evident banding is a protection becomes more real and gets commercialized. against external hazards and may be viewed as 6. Flexible packaging growing in new markets essential by the manufacturer and consumer. The package label may communicate important infor- and categories globally. mation to the consumer serving as a marketing 5. Companies ramp up new processes to look tool. Packaging today provides protection for food products that was unavailable in the past. at risk and anticipatory issues. 4. Digital media and package design: Social media and zero moment of truth will offer big opportunities for packaging going forward. 3. Packaging enabled innovation and growth: More companies targeting a percentage of their growth driven by packaging. 2. Consumer insight for packaging: Companies recognize the importance of consumer insights for packaging and how it can vary, and expect more data from suppliers.”

Glossary 389 Reduce, reuse, and recycle are important to Glossary the environment. More advances in such considerations as safe, effective, convenient, Active packaging Packaging that makes an and creative packaging are on the horizon. active, not passive, contribution to product development or shelf life by such techniques Packaging may simply involve having clean as providing an oxygen barrier, or odor and hands, a sanitary pair of foodservice tongs, and a oxygen scavenger. piece of tissue in a bag served across a bakery counter. It may involve adherence to a specific Aseptic packaging Independent sterilization of time and temperature heat application in a foods and packaging with assembly under foodservice can that is transported along sterile conditions. continents. There is great variance in the idea of packaging food as discussed in this chapter. Cavity ice Ice formation with the frozen food package due to water condensation and (some articles are old, yet are retained as they freezing. are classic in their content) Controlled atmosphere packaging (CAP) Notes Controls O2, CO2, water vapor, and ethylene concentration. CULINARY ALERT! Flexible packaging Nonrigid packaging such as stand-up pouches, tubes, or zippered bags. Freezer burn Desiccation of frozen food prod- uct as the water diffuses from the frozen food to the atmosphere. Modified Atmosphere Packaging (MAP) Or gas flush packaging—modification of O2, CO2, water vapor, and ethylene concentration by flushing with nitrogen gas. Polyethylene Most common, least expensive plastic film used in packaging material. Polystyrene Plastic type that is typically foamed to create expandable polystyrene or styrofoam. Polyvinyl chloride (PVC or vinyl) Plastic packaging film. Polyvinylidene chloride (PVDC or Saran®) Plastic packaging film. Primary container A direct food contact sur- face as in bottle, can, or drink box that contains food or beverage. Secondary container Does not have food con- tact but holds several primary containers in materials such as corrugated fiberboard, boxes, or wraps. Sous vide Mild, partial precooking to reduce the microbial load, followed by vacuum packag- ing to extend the shelf life.

390 18 Food Packaging Tamper-evident banding Sleeves or neckbands Sloan AE (1996) The silent salesman. Food Technol 50 providing protection and offering security by (12):25 indicating evidence of tampering with the product. What is the difference between food processing and Tertiary container Holds several secondary preservation? http://www.wisegeek.com/what-is-the- containers in corrugated fiberboard boxes, difference-between-food-processing-and-preservation. overwraps, and so forth. htm) Vacuum packaging Removes all atmosphere Bibliography from the pouch and creates a skintight pack- age wall. 21 CFR 179.45 Table 2 Packaging materials listed for use during irradiation of prepackaged foods References 21 CFR 179.26 (b) Table 1 Foods permitted to be (1997) The bigger the package, the more you eat. Tufts irradiated (as of Oct. 2007) Univ Diet & Nutr Lett 14(11):1–2 Association of Nutrition and Foodservice Professionals Brody AL (2000) Smart packaging becomes Intellipack®. (ANFP) Food Technol 54(6):104–106 Food and Agriculture Organization of the United Nations Higgins KT (2000) Not just a pretty face. Food Eng 72 (FAO) (5):74–77 Global Supplier Quality Assurance (GSQA) Higgins KT (2001a) Active packaging gets a boost. Food Sonoco Products Company. Hartsville, South Carolina Eng 73(10):20 (Sonoco was named the top global packaging com- Higgins KT (2001b) Security takes center stage. Food pany for sustainability and corporate responsibility in the 2011 and 2012 the Dow Jones Sustainability Eng 73(12):20 World Index) Krochta JM, DuMulder-Johnston C (1997) Edible and Associations and Organizations biodegradable polymer films: challenges and opportunities. A publication of the Institute of Food A list of food and beverage packaging associations Technologists’ Expert Panel on Food Safety and appears in the 2012 Food & Beverage Packaging Nutrition. Food Technol 51(2):61–74 Buyer’s Guide. Food & Beverage Packaging. 2012; Labuza TP (1996) An introduction to active packaging for (12):82–83. foodandbeveragepackaging.com foods. Food Technol 50(4):68–71

Part VIII Food Safety

Food Safety 19 Introduction known that the United States has one of the most diverse and safe food supplies in the world. “Food is our common ground, a universal expe- rience,” says James Beard. However, we must The effective use of the Hazard Analysis and keep it safe! Food safety is an important issue Critical Control Point (HACCP) method of food today as there are many demands on the food safety, practiced in the food processing industry, production system and a variety of food handlers has been shown to yield safer foods. Irradiation is serving numerous individuals who are also employed to reduce the incidence of disease. immunocompromised. As well, there are numerous aspects of preser- Providing safe food is the responsibility of vation and processing, additives, packaging, and many individuals/groups. For example, federal government regulation that contribute to food agencies such as the U.S. Food and Drug Admin- safety. These are discussed in Chaps. 17–20. istration (FDA) and the U.S. Department of Agriculture (USDA), Centers for Disease Control Many tables and much data are included in this and Prevention (CDC), as well as the state and chapter! Food safety is addressed in a plethora of local counterparts, numerous professional reference articles, some of which are included in organizations, food processors, and consumers this chapter. Relevant internet sites may appear in are all interested in preventing the occurrence of order to emphasize specific points. The food safety foodborne illness. Further discussion of govern- of individual food commodities is also discussed ment regulation and labeling appears in a later in appropriate chapters throughout this text. chapter (see Chap. 20). The FDA ranking of food safety concerns, according to risk ranks Food & Drug Administration (FDA) has jurisdic- foodborne illness as the primary concern, followed tion over 80 percent of the food supply, including by nutritional adequacy of foods, environmental seafood, dairy and produce. The US Dept of Agri- contaminants, naturally occurring toxicants, culture (USDA) regulates meat, poultry and pesticide residues, and food additives (FDA). processed egg products, while FDA regulates all other food products. While efforts are made to educate the con- sumer regarding food safety, hazards in the - FDA, USDA, National Oceanic and Atmo- food supply may be controlled/prevented before spheric Administration (NOAA) Statements on foods reach the consumer. It is said that the Food Safety achievements of scientists are not readily explained to the public (Stier 2006), yet it is Examples that appear in this chapter on foodborne illness and food safety are varied and the reader information may be applied in the V.A. Vaclavik and E.W. Christian, Essentials of Food Science, 4th Edition, Food Science Text Series, 393 DOI 10.1007/978-1-4614-9138-5_19, # Springer Science+Business Media New York 2014

394 19 Food Safety retail foodservice operation and commercial (c) “Potentially hazardous food” does not warehouse or at home. include: (i) An air-cooled hard-boiled egg Foodborne Illness with shell intact (ii) A FOOD with a WATER ACTIV- Since the FDA ranks foodborne illness as the ITY (Aw) value of 0.85 or less primary food safety concern (Department of (iii) A FOOD with a pH level of 4.6 or Health and Human Services, Public Health Ser- below when measured at 75 F vice, Food and Drug Administration), this chap- (24 C) ter will focus on its causes and prevention. (iv) A FOOD, in an unopened HER- Foodborne illness represents disease carried to METICALLY SEALED CON- people by food and is the result of various TAINER, that is commercially biological, chemical, or physical hazards to the processed to achieve and maintain food supply. These hazards will be addressed in commercial sterility under condi- this chapter. tions of nonrefrigerated storage and distribution Foodborne illness is typically due to ingestion of (v) A FOOD for which laboratory contaminated animal products, yet plant foods may evidence demonstrates that rapid be implicated as a result of airborne, water, soil, and progressive growth of infec- insect, or even human contamination when they are tious and toxigenic grown or raised. Recently, national foodborne ill- microorganisms or the growth of ness cases, including one death, were the result of S. enteritidis in eggs or C. botuli- eating contaminated bagged spinach. num cannot occur, such as a food that has an Aw and a pH that are Natural and synthetic foods that support the above the levels specified above growth of microorganisms are classified by the that may contain a preservative FDA as potentially hazardous foods (phf), or other barriers to growth defined as follows: (vi) A FOOD that may contain an infectious or toxigenic microor- (a) “Potentially hazardous food” means a ganism or chemical, physical con- FOOD that is natural or synthetic and taminant at a level sufficient to that requires temperature control because cause illness but that does not it is in a form capable of supporting: support the growth of microorga- (i) The rapid and progressive growth nisms as specified in the definition of infectious or toxigenic of potentially hazardous food microorganisms (ii) The growth and toxin production While prevention policies are the first line of Clostridium botulinum of defense against hazards (avoidance in the (iii) In shell eggs, the growth of first place), control of biological or chemical Salmonella enteritidis agents, or physical objects as well as rapid detec- tion of contaminants, is imperative to food (b) “Potentially hazardous food” includes safety. Any risk of disease must be controlled an animal FOOD (a FOOD of animal throughout the steps of manufacturing, origin) that is raw or heat-treated, a processing, storage, and distribution as well as FOOD of plant origin that is heat-treated or consists of raw seed sprouts, cut melons, and garlic and oil mixtures that are not acidified or otherwise modified.