FOOD ADDITIVES

Food additives may improve nutritional composition, enhance flavor or eating quality, or
prolong storage stability in food or beverage products. Very
often, the role of the food additive is essential to the safety, effective distribution, and
nutritional quality of the food supply. Nevertheless, the term food
additive has a negative connotation to many consumers, and the use of food additives
is often regarded with mistrust. Much of the critical scrutiny of
food additives was engendered by the Delaney Clause, a portion of the 1958 Food
Additives Amendment to the U.S. Food, Drug and Cosmetic Act of 1938, which
bans the use in food of chemicals shown to produce cancer in humans or animals, at
any level. Enforcement of the Delaney Clause led to a review of the
safety of all additives, and the banning of some. Thus the addition of artificial, ie,
unnatural, substances to foods and beverages is regarded by many
consumers as unnecessary and unsafe, and the consumption of natural foods and
beverages, those without artificial additives, has moved to the
mainstream.
Whereas the concerns regarding food additives might be expected to lead to a
dwindling market, in fact overall growth in additives has outpaced
the growth of the food industry. This growth can be attributed to two factors. First,
additive manufacturers have responded to consumer concerns by
introducing many naturally derived alternatives to synthetic food additives, gradually
shifting the technology of the industry away from synthetic
chemistry, toward physical and genetic modification of agricultural materials. Second,
consumer concerns about additives have been tempered by the
desire for convenient foods and increased consumption of reduced calorie and reduced
fat foods has occurred. Both food types have a higher
requirement for certain additives. The market for food additives exceeded $10 billion in
the developed world in 1992. This market can be expected to
continue to provide growth opportunities well into the twenty-first century.
Definition and Regulatory Considerations
According to the U.S. Code of Federal Regulations, food additives may be defined as
"substances ... the intended use of which results or may reasonably be
expected to result, directly or indirectly, either in their becoming a component of food or
otherwise affecting the characteristics of food" (1). Canada and
the European Community have adopted similar definitions. According to this broad
definition, a food additive is synonymous to a food ingredient. In
practice, however, the word additive is limited to substances that are used in small
quantities.
Food additives may be categorized as
acidulants
anticaking and free-flow agents
antifoaming agents
antioxidants
bulking agents
colors and coloring adjuncts
curing and pickling agents

1
dietary fibers
emulsifiers
enzymes
fat replacers
firming agents
flavors
flavor enhancers
flour bleaching agents and bread improvers
formulation aids
fumigants
gases
humectants
leavening agents
lubricants and release agents
nonnutritive sweeteners
nutrient supplements
preservatives
processing aids
solvents and vehicles
stabilizers and thickeners
For the most part, these categories are defined according to the functional or nutritional
benefit provided to the food rather than the chemical identity of
the additive. Some overlap exists among categories: for example, acidulants may be
used as flavoring agents, preservatives, and leavening agents (see also
BAKERY PROCESSES AND LEAVENING AGENTS; FLAVORS AND SPICES).
FOOD ADDITIVES Vol 11
Kirk-Othmer Encyclopedia of Chemical Technology (4th Edition) 1
Most bulk food ingredients, eg, flour, fats and oils, and nutritive sweeteners (qv) such as
sugar (qv), are excluded from the food additive category.
In a few cases, substances that are used in relatively large quantities, eg, dietary fiber
(qv) and bulking agents, are included herein because these have been
the focus of market and technology developments.
In the United States, substances permitted in food and beverages are regulated by the
U.S. Food and Drug Administration (FDA), an agency of
the Department of Health and Human Services. Additives used in meat and poultry (see
MEAT PRODUCTS) are regulated by the U.S. Department of
Agriculture, and additives for alcoholic beverages are regulated by the Bureau of
Alcohol, Tobacco and Firearms of the U.S. Department of Treasury (see
BEER; BEVERAGE SPIRITS, DISTILLED; WINE). Premarketing approval is required.
The FDA recognizes two regulatory pathways for food additives and ingredients. For a
new substance, a Food Additive Petition must be
submitted. This document contains information regarding, among other things, the
intended use of the substance, the usage levels at which it is
efficacious, its safety, the manufacturing process, and environmental impact. The
process of generating these data, developing the food additive petition,

2
and responding to questions raised by the regulatory agency has become quite lengthy
and financially burdensome. For example, demonstrating safety has
come to involve issues not envisioned in the original framing of the petitioning process.
The historical methods of demonstrating food additive safety
involved animal testing in which the animals were fed quantities of the substance many
times higher than expected maximum levels in humans. Some
proposed new substances, such as synthetic fat substitutes, are designed to be
macroingredients for which such methods are inapplicable (see FAT
REPLACERS). Thus, as of the time of this writing, the FDA is in final stages of
preparation of updated safety processes and protocols for food additive
petitions.
The other pathway is a somewhat simpler route. This is the GRAS affirmation process
by which a petitioner can affirm that a substance either has
a long history of use in the food supply and/or is generally recognized as safe (GRAS)
by experts in the field. The boundaries of this process are being
tested by substances such as dietary fibers and bulking agents, which are physically
modified forms of natural materials, and also have the potential to be
used in foods in very high quantities. The GRAS affirmation process has also come
under scrutiny, and is likely to undergo revision in the coming years.
In the United States, additional ramifications may be expected from FDA's
announcement of final regulations for new food labeling requirements
under the directive of the Nutrition Labeling and Education Act of 1990 (2). Among other
things, these regulations limit health claims that can be made
on food labels. They also require new information on nutrient content, and limit the use
of descriptors such as low and free in association with calories,
fat levels, and other food product characteristics.
In Europe, the formation of the European Economic Community has created a
requirement to bring food additive approvals of the member
nations into alignment, so as to eliminate differences in laws that hinder the movement
of foodstuffs among these nations. Historically the member
countries have differed widely in approaches to food additive approval and their
tendency to approve new additives. At the time of this writing, a
framework directive for food additives and several specific directives for various
categories of additives are nearing completion (3).
Classes of Food Additives
Acidulants. Acidulants, the most versatile and widely used ingredients in the food
industry, function well as flavoring agents. Many acids
complement fruit and other flavors in carbonated beverages (qv), preserves, fruit drinks,
and desserts (see FRUIT JUICES). Their ability to lower pH makes
them useful as preservatives because an acid environment retards the growth of
microorganisms responsible for spoilage and prevents enzymatic
browning in fruit. They are also used to modify the acidity of wine (qv). In addition, acids
are used in chemical leavening agents, as gelling agents,
defoaming agents, emulsifiers, and in the production of cultured dairy products. In the
choice of an appropriate acid, the effect of the acid on the overall

3
flavor system, the rate and degree of solubility of the acid, its hygroscopicity, and its
strength must all be considered.
Adipic Acid. Adipic acid (qv) [124-04-9], C6H10O4, produced from cyclohexane,
delivers a long-lasting flavor note, and is used in products
that need lingering tartness. It is effective as a buffering agent and in preventing
enzymatic browning in fruits. This acid improves the whipping properties
of egg whites (see EGGS), enhances the melting characteristics of processed cheese
and cheese spreads, and helps form gels in imitation jams and jellies. It
can be used as a general-purpose acidulant in flavor emulsions, fruit-flavored hard
candies, and for hot-filled canned foods (4,5).
Citric Acid. By far the most extensively used food acidulant is citric acid (qv) [77-92-9],
C6H8O7. This acid is favored because of its solubility,
fresh flavor character, low cost, and low toxicity. It is commercially synthesized by
fermentation (qv) of molasses by Aspergillus niger (6).
Citric acid is used in carbonated beverages to provide tartness, modify and enhance
flavors, and chelate trace metals. It is often added to jams and
jellies to control pH and provide tartness. It is used in cured and freeze-dried meat
products to protect the amino acids (qv) and improve water retention.
Bakers use it to improve the flavor of fruit fillings in baked goods. Because citric acid is
a good chelator for trace metals, it is used as an antioxidant
synergist in fats and oils, and as a preservative in frozen fish and shellfish (7) (see
ANTIOXIDANTS).
Fumaric Acid. Fumaric acid [110-17-8], C4H4O4, is unique in its low solubility in cold
water and slow rate of solution, making it ideal for use
in chilled biscuit leavening systems and for dry pudding mixes and beverage powders. It
is also used for gelatin desserts, pie filling, fruit juices, and wine.
Fumaric acid is produced by the acid-catalyzed isomerization of maleic acid (8,9) (see
MALEIC ANHYDRIDE, MALEIC ACID, AND FUMARIC ACID).
Gluconolactone. Glucono delta lactone [90-80-2] (GDL), C6H10O6, an inner ester of
gluconic acid, is one of the less commonly used
acidulants. In conjunction with reducing compounds, GDL accelerates the rate of
development of cure color in smoked meats, which reduces the
smoking time considerably. It may also be employed as a chemical leavening agent,
and has been used for instant bread which needs no proofing (7).
Lactic Acid. The primary use of lactic acid [598-82-3], C3H6O3, is in fermented foods
and brine-packed products where it inhibits the growth
of microorganisms. This acid has the most powerful preservative effect of all commonly
used acidulants (10). There is a large market for lactic acid in
cheese, where it is used as a pH-adjusting agent (see MILK AND MILK PRODUCTS). It
is also used to adjust the pH of other dairy products, beer, and wine.
Calcium lactate [814-80-2], CaC6H10O6, is used as a firming agent for processed food
and as a gelling salt for low methoxy pectin. Commercial lactic acid
is produced by the esterification and hydrolysis of lactonitrile (8).
Malic Acid. Malic acid [6915-15-7], C4H6O5, similar to citric acid in acidifying character
and flavor, does not exhibit the initial burst of tartness that citric acid does. Malic acid is

4
mostly used in fruit-flavored carbonated beverages, but its high solubility and low
melting point make it ideal
for hard candy applications. Malic acid is synthesized by hydrating maleic acid and
fumaric acid in the presence of a catalyst, then separating malic from
the mixture by equilibrium techniques (11).
Phosphoric Acid. The only inorganic acid used for food applications is phosphoric acid
[7664-38-2], H3PO4, which is second only to citric
acid in popularity. The primary use of phosphoric acid is in carbonated beverages,
especially root beer and cola. It is also used for its leavening,
emulsification, nutritive enhancement, water binding, and antimicrobial properties. Food-
grade phosphoric acid is produced by the furnace method.
Elemental phosphorus is burned to yield phosphorus pentoxide which is then reacted
with water to produce phosphoric acid (see PHOSPHORIC ACID AND
THE PHOSPHATES) (12).
Tartaric Acid. A by-product of the wine processing industry, tartaric acid [87-69-4],
C4H6O6, is a specialty acidulant used for neutralizing or
adjusting pH. It is found in nature in grapes and is often used to augment natural and
synthetic grape and other fruit flavors. It is used as a stabilizer in
dry ground spices and exhibits synergistic activity with antioxidants as a chelating agent
in fats and oils. In the form of potassium acid tartrate, or cream
of tartar, it is used in baking powder leavening systems (13).
Anticaking Agents. Anticaking agents, which must be insoluble in water and have the
capacity to absorb water, are used to maintain
free-flowing characteristics of granular and powdered forms of hygroscopic foods.
These agents function by absorbing excess moisture, or by coating
particles and making them water repellent. Calcium silicate [1344-95-2], CaSiO3, used
to prevent caking in baking powder, table salt, and other food
products, absorbs oil in addition to water, and can be used in powdered mixes and
spices that contain free oils. Calcium and magnesium salts of
long-chain fatty acids, such as calcium stearate [1592-23-0], C36H70CaO4, are used as
anticaking agents in dehydrated vegetable products, salt, and onion
and garlic powder. Other anticaking agents employed in the food industry include
sodium silicoaluminate [1344-00-9], Na2SiAlO3, tricalcium phosphate
[7758-87-4], Ca3(PO4)2, magnesium silicate [1343-88-0], MgSiO3, and magnesium
carbonate [546-93-0], MgCO3. Shredded or grated cheeses have a
tendency to clump together, and microcrystalline cellulose is often used to prevent this
(14).
Antifoaming Agents. Foaming is a frequent problem in food manufacturing operations
causing production inefficiencies.
Polydimethylsiloxane [9016-00-6] [63148-62-9], or silicone, is used at a level of
approximately 10 parts per million to control foam in food products. The
silicone disperses itself throughout the liquid film that makes up the foam and causes it
to collapse (15).
Antioxidants. Oxygen is one of the most common causes of the deterioration and
spoilage of food products. Oxidative rancidity, resulting in

5
off-flavors and off-odors, may be accelerated by moisture, heat, light, air, metals, metal-
containing compounds, and enzymes (16). Proper preparation,
packaging, and refrigeration of food retards the onset of rancidity, but cannot prevent it.
Antioxidants, which must be introduced into food prior to the
onset of oxidation, are the most effective means of preventing or reducing this problem.
Oxidation begins with the breakdown of hydroperoxides and the formation of free
radicals. These reactive peroxy radicals initiate a chain reaction
that propagates the breakdown of hydroperoxides into aldehydes (qv), ketones (qv),
alcohols, and hydrocarbons (qv). These breakdown products make
an oxidized product organoleptically unacceptable. Antioxidants work by donating a
hydrogen atom to the reactive peroxide radical, ending the chain
reaction (17).
Antioxidants are added to products that are high in fat, such as shortenings, cooking
oils, snack foods, nuts (qv), and salad dressings. They are also
added to the packaging materials of some cereals (see FOOD PACKAGING). Even
though cereal is low in fat, the fat it contains is highly unsaturated, and
vulnerable to oxidation. Because it is difficult to get an antioxidant in contact with the fat
phase of the cereal, the antioxidant is often added to the cereal
box liner, where it slowly diffuses into the product (18).
Both synthetic and natural antioxidants exist. The most commonly used synthetic
antioxidants include butylated hydroxyanisole [25013-16-5]
(BHA), C11H16O2, butylated hydroxytoluene [128-37-0] (BHT), C15H24O, propyl
gallate [121-79-9] (PG), C10H12O5, and tert-butylhydroquinone
[1948-33-0] (TBHQ), C14H22O2. In Europe, other gallate esters, such as octyl gallate
[1034-01-1], C15H22O5, and dodecyl gallate [1166-52-5], C19H30O5,
are also used. BHA and BHT, which are both fat soluble, are effective in protecting
animal fat from oxidation, and are often added during the rendering
process. Propyl gallate is also effective, but it has limited fat solubility, and turns bluish
black in the presence of iron. It is typically used as a synergist in
combination with BHA or BHT. TBHQ is most effective against oxidation in
polyunsaturated vegetable oils (qv), and is often used in soybean oil (19).
FDA regulations permit the use of BHA, BHT, propyl gallate, and TBHQ singly or in
combinations of two or more in food products at a
maximum concentration of 0.02% based on the weight of the fat or oil in the food
product (20). In the 1970s, the FDA proposed a restriction on the use
of BHT as a food additive. Although BHT was never removed from the GRAS list,
continuing concern over its safety has resulted in decreased usage.
The most popular natural antioxidants on the market are rosemary extracts and
tocopherols. Natural antioxidants have several drawbacks which
limit use. Tocopherols are not as effective in vegetable fats and oils as they are in
animal fats. Herb extracts often impart undesirable colors or flavors in
the products where used. In addition, natural antioxidants cost considerably more than
synthetic ones. Despite this, the public's uncertainty of the safety
of synthetic antioxidants continues to fuel the demand for natural ones (21).
Certain compounds, known as chelating agents (qv), react synergistically with many
antioxidants. It is believed that these compounds improve the

6
functional abilities of antioxidants by complexing the metal ions that often initiate free-
radical formation. Citric acid and ethylenediaminetetraacetic acid
[60-00-4] (EDTA), C10H16N2O8, are the most common chelating agents used (22).
Another group of compounds called oxygen scavengers retard oxidation by reducing the
available molecular oxygen. Products in this group are
water soluble and include erythorbic acid [89-65-6], C6H8O6, and its salt sodium
erythorbate [6381-77-7], C6H8O6Na, ascorbyl palmitate [137-66-6],
C22H38O7, ascorbic acid [50-81-7], C6H8O6, glucose oxidase [9001-37-0], and sulfites
(23).
Bulking Agents and Bulking Sweeteners. Bulking agents are substances that
add bulk to food products while contributing fewer
calories than the ingredients they replace. In applications where sugar is replaced by a
high intensity sweetener, bulking agents make up for the lost
volume, and ideally provide some or all of the functional properties of the sugar. The
most important properties of a bulking agent are reduced calorie
content through limited digestibility, solubility, and minimal side effects (24).
Polydextrose [6824-04-4], a polymer of glucose that contains traces of sorbitol and citric
acid, is the most widely used soluble bulking agent in the
United States. It is approved for use in many applications, including bakery products,
frozen desserts, candy and confectionery products, jams, chewing
gums, salad dressings, gelatins, and puddings. The solubility of polydextrose makes it
susceptible to action by microflora in the lower intestine, leading to
flatulence and diarrhea. Accordingly, if a single serving of a food contains more than 15
grams of polydextrose, the label of the food must include a
warning statement about this side effect (25).
Low calorie bulking agents represent an ingredient category having a great deal of
potential, and several companies are developing products. The
most common are naturally derived polymers of glucose and other sugars (polydextrose
falls into this category), enantiomers of natural sugars, or
synthetic polymers (26). Some of these newer developments in bulking agents are
given (27).
Developer Technology
Meiji Seika Kaisha (Japan) fructooligosaccharides (neosugar)
Beghin Say (France)
Coors Biotech (U.S.)
NutraSweet (U.S.) water-soluble hemicelluloses
cellobiitol
sugar amides
Raffinerie Tirlemontoise (France) oligofructose
Novo Industri (Denmark) beta-glucan oligomers
Dow Chemical (U.S.) polyalkylene oxide polymers
Biospherics (U.S.) D-tagatose
Bulking sweeteners provide a bulking effect, along with some of the sweetness and
functional properties of sugar. They may be used alone to replace
sugar in applications that can tolerate some reduction in sweetness. Products that fall
into this category include mannitol [69-65-8], C6H14O6, a sugar

7
alcohol having 0.6 times the sweetness of sugar and half the calories; isomaltitol, which
is up to 0.9 times as sweet as sugar and about half the calories;
some L-sugars; and fructooligosaccharides. Palatinit, a hydrogenated isomaltulose
which is about 0.5 times as sweet as sugar, is marketed throughout
Europe by Palatinit Sussungsmittel (Germany), mainly for use in confectionery products
(27) (see SUGAR ALCOHOLS).
Colorants. According to U.S. regulations, colorants are divided into two classes:
certified and exempt (see COLORANTS FOR FOODS, DRUGS,
COSMETICS, AND MEDICAL DEVICES). Batch samples of certified colors must be
sent to the FDA for analysis and confirmation that the colorants comply with
established specifications. Color manufacturers pay a small fee for each batch of color
that is analyzed. The number of certified colors available to food
technologists has declined. Several of the historical colorants were found to have
carcinogenic effects. Table 1 shows the certified colors that are
permissible for food use in the United States as of 1993.
Table 1. Certified Colors Permitted in the United Statesa
FDA name Common name CAS Registry Number Molecular formula
FD&C Blue No. 1 Brilliant Blue [2650-18-2] C37H36N2O9S3·2NH3
FD&C Blue No. 2 Indigotine [860-22-0] C16H10N2O8S2·2Na
FD&C Green No. 3 Fast Green [12777-77-4] C34H30N2O10S3·2Na
FD&C Yellow No. 5 Tartrazine [1934-21-0] C16H12N4O9S2·3Na
FD&C Yellow No. 6 Sunset Yellow [2783-94-0] C16H12N2O7S2·2Na
FD&C Red No. 3 Erythrosine [16423-68-0] C20H8I4O5·2Na
FD&C Red No. 40 Allura Red [25956-17-6] C18H16N2O8S2·2Na
Orange Bb [15139-76-1] C22H18N4O9S2·2Na
Citrus Red No. 2c [6358-53-8] C18H16N2O3
a Ref. 28.
b Allowed only on the surfaces of sausages and frankfurters at concentrations up to 150
ppm by weight.
c Allowed only on the skins of oranges, not intended for processing, at concentrations
up to 2 ppm by weight.
The FD&C certified colors are all water-soluble dyes, but can be transformed into
insoluble pigments known as lakes by precipitating the dyes
with aluminum, calcium, or magnesium salts on a substrate of aluminum hydroxide. The
lakes are useful in applications that require color whereas in dry
form, such as cake mixes, or where water may be present and bleeding is a problem,
such as food packaging. FD&C Red Lake No. 3 was delisted in
February 1990 (29).
Exempt colors do not have to undergo formal FDA certification requirements, but are
monitored for purity. Colors are not technically referred to
as natural, although some of the exempt colors do come from natural plant and animal
sources. In general, natural colors are costly, are only effective at
high concentrations, and fade rapidly when exposed to light (30). The colorants exempt
from FD&C certification are (30) annatto extract [8015-67-6], β-carotene [7235-40-7],
beet powder, β-apo-8′-carotenal [1107-26-2], canthaxanthin [514-78-3], caramel [8028-
89-5], carmine [1390-65-4], carrot oil,

8
cochineal extract, cottonseed flour, ferrous gluconate [299-29-6], fruit juices, grape skin
extract, paprika, paprika oleoresin, riboflavin [83-88-5], saffron,
titanium dioxide [13463-67-7], turmeric, turmeric oleoresin, ultramarine blue, and
vegetable juices.
Dietary Fiber. Dietary fiber (qv) is a broad term that encompasses the indigestible
carbohydrate and carbohydrate-like components of foods
that are found predominantly in plant cell walls (see CARBOHYDRATES). It includes
cellulose [9004-34-6] (qv), lignin [9005-53-2] (qv), hemicelluloses
[9034-32-6] (qv), pentosans, gums (qv), and pectins [9000-69-5]. Those fibers that have
colligative properties, such as gums, are referred to as soluble
fibers. They are often used to provide viscosity and texture in processed foods, and
have been linked to lowered serum cholesterol [57-88-5] levels.
Insoluble fibers, such as cereal brans and specialty flour ingredients, tend to cause a
laxative effect when consumed in large quantities. Dietary fiber has
become an important food additive owing to the link between high fiber intake and the
lowering of serum cholesterol, the prevention of cancer, and the
avoidance of digestive tract disease.
Dietary fibers are used in several food categories, including breakfast cereals, pasta,
snack foods, and baked goods, as well as some pharmaceutical
categories such as enteral nutritionals, bulk laxatives, and diet beverage mixes (31).
The common dietary fiber additives and their sources are given (32).
Fiber Source
wheat, corn, rice, oat bran cereal grains
soy, pea, other leguminous fiber edible legumes
tomato, apple, pear, citrus, sugar beet fiber fruits and vegetables
gum arabic, tragacanth, ghatti plant exudates
agar, alginates, carageenan, furcelleran seaweed extracts
guar, locust bean gum seed extracts
pectin plant extracts, eg, citrus albeido
purified cellulose and derivatives wood pulp, cereal husks and stems
microbial polysaccharides, eg, xanthan gum microbial fermentation
Emulsifiers. The chemical structures of emulsifiers, or surfactants (qv), enable these
materials to reduce the surface tension at the interface of
two immiscible surfaces, thus allowing the surfaces to mix and form an emulsion (33).
An emulsifier consists of a polar group, which is attracted to
aqueous substances, and a hydrocarbon chain, which is attracted to lipids.
Emulsifiers are classified by the hydrophilic−lipophilic balance (HLB) system. This
system indicates whether an emulsifier is more soluble in water
or oil, and for which type of emulsion (water-in-oil or oil-in-water) it is best suited.
Emulsifiers having a low HLB value are more oil soluble, and are
better suited for water-in-oil applications such as margarine. Conversely, emulsifiers
having a high HLB value are more water soluble, and function more
effectively in oil-in-water emulsions such as ice cream (34). The use of this system is
somewhat limited because the properties of emulsifiers are modified
by the presence of other ingredients and different combinations of emulsifiers are
needed to achieve a desired effect. The HLB values of some common

9
emulsifiers are given (35).
Emulsifier HLB value
glycerol monostearate 3.8
succinylated monoglyceride 5.3
propylene glycol monostearate 3.4
sodium stearoyl-2-lactylate 21.0
sorbitan monostearate 4.7
sorbitan monooleate 4.3
polyoxyethylene sorbitan monostearate 14.9
polyoxyethylene sorbitan monooleate 15.0
Mono- and Diglycerides. These glycerol esters are produced by heating triglycerides
and glycerol with an alkaline catalyst. Commercial
glycerol esters usually contain a mixture of mono-, di-, and triesters of fatty acids, but a
concentrated form of monoglycerides can be produced by
molecular distillation. Monoglycerides are the most commonly used food emulsifiers and
find application in a wide range of products, including baked
goods, margarine, confections, icings, toppings, and peanut butter. Many products that
are derived from mono- and diglycerides have found uses in
foods. These include acetylated monoglycerides, ethoxylated diglycerides, and
lactylated, citrated, succinylated, and sodium sulfoacetate forms (36).
Lecithin. Lecithin [8002-43-5] (qv) is a mixture of fat-like compounds that includes
phosphatidyl choline, phosphatidyl ethanolamines, inositol
phosphatides, and other compounds (37). Commercial lecithin was originally obtained
from egg yolks, but is now extracted from soybean oil. Lecithin is
used in many products, including margarine, chocolate, ice cream, cake batter, and
bread.
Propylene Glycol Esters. These emulsifiers are formed by an alcoholysis reaction of
propylene glycol and fatty acids, and are predominantly
used in cakes, prepared mixes, whipped toppings, and breads (36).
Lactylated Esters. Sodium (and calcium) stearoyl lactates are obtained when stearic
acid and lactic acid are combined and converted to the
calcium or sodium salts. These are highly hydrophilic emulsifiers and have strong
starch-complexing abilities. They are used in starch puddings, whipped
toppings, coffee whiteners, and cake icings. Lactylated esters are also used as dough
conditioners in yeast-raised products (38).
Sorbitan and Sorbitol Esters. This group of emulsifiers is formed from the reaction of
sorbitan and stearic acid. Sorbitan monostearate is often used in combination with
polysorbate in ice cream, imitation dairy products, and baking applications (36).
Polysorbates. Polyoxyethylene sorbitan esters [9005-63-4] are formed from the
reaction of sorbitol esters with ethylene oxide. These
emulsifiers are almost always employed in combination with sorbitan esters and are
used in the same applications (36).
Sucrose Esters. These newer emulsifiers, approved for direct addition in the United
States in 1983 (35), are formed when sucrose is
combined with various fatty acids and the resulting emulsion is dehydrated. These
additives are odorless and tasteless, and can withstand the retort

10
process. They are used in products when standards of identity do not preclude their
use, such as baked goods, baking mixes, dairy product analogues,
frozen dairy desserts and mixes, and whipped milk products (39). High price has limited
use in the United States, but these compounds are used
extensively in Japan as emulsifiers in baked goods (40).
In addition to surfactant properties, emulsifiers are sometimes used to enhance the fat-
replacer properties of hydrocolloid systems. Off-flavors and
legal restrictions limit use in this application to a level below 0.5% of the finished product
(41).
Enzymes. One of the greatest advantages of using enzymes in food processing is
their specificity. Select food components can be modified
while others are not affected. In addition, enzymes are natural, ie, produced by living
cells, and do not require extreme heat, pressure, or pH. In the food
industry, the largest use of enzymes is in starch processing, cheese production, fruit
and vegetable juice processing, baking, and brewing (42). Commercial
enzyme preparations are obtained from animals and plants via extraction, or through
cultivation of select microorganisms. Microbial enzyme production
has become quite popular because the quality, quantity, and efficacy of enzymes
obtained from the cultivation of selected organisms can be easily
controlled (43).
Enzymes are divided into six main classes: hydrolases, isomerases, ligases, lyases,
oxidoreductases, and transferases. Hydrolases catalyze the
hydrolytic splitting of substrates; isomerases catalyze intramolecular rearrangements;
ligases catalyze the joining together of two substrate molecules;
lyases remove or add groups to their substrates; oxidoreductases catalyze oxidations or
reductions; and transferases catalyze the shift of a chemical group
from one substrate to another. Each class is further divided into a number of subclasses
according to the reactions catalyzed (44). Table 2 lists the
principal classes of enzymes used in the food industry and the commercial applications.
Table 2. Enzymes Used in the Food Industrya
Class Enzymes CAS Registry
Number
Commercial applications
Hydrolases
carbohydrases
amylases
α-amylase [9000-85-5]
β-amylase [9000-91-3]
glucoamylase [9032-08-0] manufacture of dextrose from starch, maltose syrup,
supplementation of flour to improve bread quality, saccharification
of fermentation mashes in the brewing industry
disaccharide-splitting enzymes
invertase [9001-57-4]
lactase [9031-11-2] manufacture of artificial honey, invert sugar, liquid-center candies,
prevent crystallization of lactose in ice cream, beet sugar refining
maltase [9001-42-7]

11
melibiase [9025-35-8]
pectic enzymes
pectin methylesterase [9025-98-3] fruit juice clarification, citrus oil recovery, increase
fruit juice yield,
reduce viscosity of purees and concentrates
polygalacturonase [9032-75-1]
pectin lysase [9033-35-6]
cellulases and hemicellulases
β-glucosidase recovery of agar from seaweed, production of glucose from
cellulosic plant waste
β-glucanase
lysozyme used in Europe to make cow milk more suitable for infant feeding
lipases
pregastric lipase
pancreatic lipase used to treat butterfat-containing products to produce flavors for
dairy and confectionery products, enhance whipping qualities of
egg whites
proteases
rennin [9001-98-3]
trypsin [9002-07-7] used in production of Japanese condiments, meat tenderizing,
cheesemaking, breadmaking
chymosin
papain [9001-73-4]
Other enzymes
isomerases
glucose isomerase [9055-00-9] convert glucose to fructose for large-scale production of
high
fructose corn syrup
oxidoreductases
lipoxidase [9029-60-1]
glucose oxidase [9001-37-0] improve dough properties, bleach natural pigments found
in flour,
remove glucose from egg albumin and whole egg prior to drying,
remove oxygen from beverages, canned food products, beer, and
mayonnaise
a Ref. 45.
Fat Replacers. Fat has a ubiquitous presence in food and provides unique flavor,
mouthfeel, and functional effects. At 9 kcal/g (38 kJ/g), fat
can be a principal source of dietary calories, and excessive consumption has been
correlated with the incidence of chronic disease and morbidity. Health
officials have strongly urged consumers to reduce fat intake to no more than 30% of
daily calories. Therefore, a demand for low fat versions of high fat
foods has developed. Fat replacers (qv) are the ingredients that make these foods
possible.
Two classes of fat replacers exist: mimetics, which are compounds that help replace the
mouthfeel of fats but cannot substitute for fat on a weight

12
for weight basis; and substitutes, compounds having physical and thermal properties
similar to those of fat, that can theoretically replace fat in all
applications (46). Because fats play a complex role in so many food applications, one
fat replacer is often not a satisfactory substitute. Thus a systems
approach to fat replacement, which relies on a combination of emulsifiers, gums, and
thickeners, is often used.
Fat Mimetics. Existing fat mimetics are either carbohydrate-, cellulosic (fiber)-, protein-,
or gum-based. These are used in a wide variety of
applications including baked goods, salad dressings, frozen desserts, meats,
confections, and dairy products. Table 3 lists some of the commercially
available fat mimetics.
Table 3. Commercially Available Fat Mimeticsa
Product Raw material Manufacturer
Carbohydrate-based mimetics
Paselli-SA-2 potato Avebe
Sta-Slim corn Staley
Stellar corn Staley
Maltrin corn Grain Processing Corp.
Remyline rice Remy
N-Oil corn National Starch
Cellulosic-based mimetics
Avicel microcrystalline cellulose FMC Corp.
carboxymethyl cellulose
Oatrim oats Rhône-Poulenc/Quaker Oats
ConAgra
Protein-based mimetics
Simplesse egg and/or whey protein NutraSweet
Lita zein (corn protein) Opta Food Ingredients,
Pfizer
Trailblazer whey/milk protein Kraft General Foods
Gum-based mimetics
Carrafat carrageenan FMC Corp.
Slendid pectin Hercules
a Courtesy of Arthur D. Little, Inc.
Fat Substitutes. As of this writing, only one fat substitute, caprenin, a triglyceride
composed of capric acid [334-48-5], C10H20O2, caprylic
acid [124-07-2], C8H16O2, and behenic acid [112-85-6], C22H44O2, has had any
commercial application. The ingredient, which is GRAS, has 5 kcal/g (21
kJ/g), and is manufactured in Denmark by Grindsted Products, Inc. via a joint venture
agreement with its developer, Procter & Gamble. It has been used
as a low calorie cocoa butter substitute in confectionery products. Most developmental
fat substitutes are novel molecules and thus must undergo safety
testing before they can receive regulatory approval.
Sucrose polyesters, which are made by esterifying sucrose with long-chain fatty acids,
have the physical properties of fat, but are resistant to

13
digestive enzymes (40). Olestra, a sucrose polyester developed by Procter & Gamble,
was submitted for regulatory approval in May 1987. In order to
facilitate the approval process, Procter & Gamble has since narrowed the scope of its
food additive petition to include olestra's use only in savory and
extruded snacks.
Many companies have received patents for development of fat substitutes (Table 4) but
few have demonstrated strong intentions to move toward
regulatory approval.
Table 4. Companies Having Patents on Fat Substitutesa
Company Product Date of original patent
Procter & Gamble sucrose polyesters 1971
branched-acid esters 1971
CPC International trialkoxytricarballylates 1985
Frito-Lay (PepsiCo) substituted malonate esters 1986
Dow Corning polyorganosiloxanes 1986
Procter & Gamble acylated glycerides 1986
Unilever sucrose polyesters 1987
Atlantic Richfield esterified propoxylated glycerols 1988
Curtice Burns alkyl glycoside polyesters 1989
RJR Nabisco carboxy/carboxylate esters 1989
Pfizer encapsulated polydextrose 1990
Procter & Gamble caprenin 1991
NutraSweet polyhydroxyalkanoates 1992
a Ref. 47.
Firming Agents. During thermal processing and freezing, the bonds of pectic
substances in plant walls that help to stabilize structure are
modified, resulting in an unacceptably soft product. The cell wall structure of fruits and
vegetables can be strengthened by adding polyvalent cations that
promote the cross-linking of the free-carboxyl groups of pectic substances. Fruits such
as tomatoes, berries, and apple slices are commonly firmed by
added calcium salts prior to processing (see CALCIUM COMPOUNDS). The most
common calcium salts used are calcium chloride [10043-52-4], CaCl2, calcium
citrate [813-94-5], Ca3(C6H5O7)2, calcium sulfate [7778-18-9], CaSO4, calcium lactate
[814-80-2], CaC6H10O6, and monocalcium phosphate [7758-23-8],
Ca(H2PO4)2. Acidic aluminum salts, such as sodium aluminum sulfate, NaAl(SO4)2,
potassium aluminum sulfate [10043-01-3], KAl(SO4)2, ammonium
aluminum sulfate, (NH4)Al(SO4)2, and aluminum sulfate, Al2(SO4)3, are added during
the preparation of pickles and relishes to provide the same effect
(48).
Flavors. Flavorings are used in the food industry to replace or enhance flavors that
are lost during processing, to create flavor combinations
that do not exist in nature, and to mask objectionable flavors (see FLAVORS AND
SPICES). Over 6000 flavor ingredients exist.
Essential Oils. Essential oils (qv) are extracted from the flower, leaf, bark, fruit peel, or
root of a plant to produce flavors such as mint,

14
lemon, orange, clove, cinnamon, and ginger. These volatile oils are removed from
plants either via steam distillation, or using the cold press method,
which avoids heat degradation. Additional processing is sometimes employed to remove
the unwanted elements from the oils, such as the terpenes in
citrus oils which are vulnerable to oxidation (49,50).
Oleoresins. Oleoresins are prepared by passing a volatile solvent through a ground
spice or herb. Along with the essential oils, resins and
gums are extracted, which serve to protect the oil under high temperature processing
conditions. Compared to essential oils, oleoresins are more heat
stable and have better flavor characteristics. They are also more uniform and potent
than the corresponding dry spice and require much less storage
space. In addition, oleoresins are free from molds and fungi which are often present in
whole spices. Some oleoresins, such as turmeric and paprika, are
used for coloring rather than flavoring abilities (50).
Fruit Juices and Concentrates. Because fruit juices (qv) contain large amounts of
water, they are often concentrated via evaporation (qv)
followed by vacuum distillation. These compounds, especially ones of the citrus variety,
are widely used by the beverage industry. Many fruit juices,
because of weak flavor, are augmented with other natural flavors (WONF), and are
labeled as such (51).
Botanical and Animal Extracts. Tinctures and fluid and solid extracts of items such as
vanilla, coffee, cocoa, and licorice are produced by
treating the raw materials with a solvent. Vanilla is by far the most widely used extract
and is often found in chocolate products, baked goods, beverages,
and frozen desserts (49,52).
Aroma Chemicals. Specialty chemicals produced either by extraction from natural
sources or by synthesis, such as vanillin [121-33-5],
C8H8O3, diacetyl [431-03-8], C4H6O2, and benzaldehyde [100-52-7], C7H6O, are
aroma chemicals used by the food industry (53).
Compounded Flavors. Liquid or dry blends of natural or synthetic flavor compounds
are called compounded flavors. Most commercial
preparations are available as water- and oil-soluble liquids, spray-dried and plated
powders, emulsions, and carbohydrate-, protein-, and fat-based pastes.
Compounded flavors are used throughout the food industry in confections, baked
goods, snack foods, carbonated beverages, and processed foods (53).
The increasing demand for natural flavors has been the driving force behind the growing
field of flavor biosynthesis. Much research and
development is directed at enzyme and fermentation (qv) technologies, plant tissue
culture, and genetic engineering (qv). In many cases, flavor houses are
working with biotechnology firms to create more efficient ways to produce natural flavor
compounds.
Flavor Enhancers. Flavor enhancers have the ability to enhance flavors at a level
below which they contribute any flavor of their own.
Worldwide, the most popular flavor enhancers are monosodium L-glutamate [142-47-2]
(MSG), NaC5H8NO4, and the 5′-ribonucleotides:disodium

15
5′-inosinate [131-99-7] (IMP), C10H11N4O8P¢2Na, and disodium 5′-guanylate [85-75-
5] (GMP), C10H12-N5O8P·2Na.
IMP and GMP are obtained either by degradation of RNA using 5′-phosphodiesterase to
form 5′-nucleotides, or by fermentation which results in the production of nucleosides
that are phosphorylated into 5′-nucleotides (54). MSG is the sodium salt of the amino
acid, L-glutamic acid, which occurs naturally in plants and animals (see AMINO ACIDS).
It is produced by fermentation of the glucose present in various vegetable substrates.
Microorganisms such as Corynebacterium and Brevibacterium (55) can biosynthesize
L-glutamic acid from a carbon source, such as glucose, fructose, sucrose, maltose,
ribose, or xylose, and a nitrogen source, such as gaseous ammonia or a solution of
urea. A synergistic effect exists between MSG and the ribonucleotides, and
these are often used together in foods such as dried soups and broths, canned and
frozen foods, nuts, sauces, spice blends, and other processed foods.
Ammonium glycyrrhizinate [53956-04-0] (AG), C42H65NO16, is a flavor enhancer
derived from licorice root. It is approximately 50 times sweeter
than sucrose and is often used to enhance sweetness in a wide variety of food products
(56). Maltol [118-71-8], C6H6O3, and ethyl maltol [4940-11-8],
C7H8O3, are used as flavor enhancers in products such as cake mixes, confections,
cookies, ice cream, fruit juices, puddings, and beverages (57).
Flour Bleaching Agents and Bread Improvers. Freshly milled flour contains
carotenoid pigments that cause the flour to have a yellow
color. In addition, when the flour is made into dough the product is sticky and
unmanageable. As the flour ages, a natural process takes place which turns
the flour white and improves its baking qualities. Because the natural process takes
quite a bit of time, additives are used to speed up the process.
Benzoyl peroxide [94-36-0], C14H10O4, is a bleaching agent that is typically added at
the flour mill at a level between 0.015 and 0.075%. This
additive oxidizes the carotenoid pigments, resulting in a white flour. Benzoyl peroxide
does not affect baking properties, however, and a number of other
additives can be used for this effect. Gases that exert an effect on the flour upon
immediate contact include chlorine gas, chlorine dioxide [10049-04-4],
ClO2, nitrosyl chloride [2696-92-6], NOCl, nitrogen oxides, NxOx, and nitrogen tetroxide
[10544-72-6], N2O4. Others that exert their effect when the
flour is made into dough include potassium bromate [7758-01-2], KBrO3, potassium
iodate [7758-05-6], KIO3, calcium iodate [7789-80-2], Ca(IO3)2, and
calcium peroxide [1305-79-9], CaO2 (58).
Formulation Aids. Formulation aids, which include carriers, binders, fillers (qv),
plasticizers (qv), and film-formers, are ingredients used in
processing to impart a particular physical state or textural characteristic. Table 5 gives
an overview of the formulation aids used in the food industry.
Table 5. Formulation Aids Used in Food Processinga
Category Function Typical applications
Carriers
starches
dextrins cheese, dry mixes, flour, flavor compounds
cellulose compounds allow the addition of incompatible substances

16
to a food product
silicas
Binders
starches
salts
dextrins used to hold food together, especially reformed
products
prepared meat, fish, and poultry, chewing gum,
confections
oils
gums
Fillers
maltodextrin add bulk to food products
polydextrose confections, dietary products, chewing gum, cereal
mixes
starches
Plasticizers
oils
waxes maintain the soft texture of food products chewing gum, confections, margarine,
cheese
products
resins
humectants
Film formers
carnauba wax
paraffin
sodium caseinate
mineral oil increase palatability, preserve gloss, inhibit
discoloration, and protect food surfaces
confections, snack foods, nuts, fresh and dried fruits
and vegetables
a Ref. 59.
Fumigants. Fumigants are volatile substances used for controlling insects or pests
(60). Ethylene oxide [75-21-8], C2H4O, is used for the control of microorganisms and
insects in ground spices and other natural seasonings (61). Propylene oxide [75-56-9],
C3H6O, is used as a fumigant on cocoa, gums, processed spices, starch, and
processed nutmeats (except peanuts) (62). Methyl bromide [74-83-9], CH3Br, provides
the same function in wheat and other cereal grains (qv).
Gases. Gases provide three basic functions as food ingredients: preservation,
carbonation, and aeration. Nitrogen or carbon dioxide gas is
frequently used to fill the headspace of packaged foods, or is used to blanket foods, to
prevent oxidative deterioration. Carbon dioxide is regularly added
to provide carbonation to soft drinks or to supplement existing carbonation (in beer, for
example). Nitrous oxide, nitrogen, and carbon dioxide are used
to help dispense fluid food products from pressurized aerosol containers (see
AEROSOLS) (63).

17
Humectants. In certain foods, it is necessary to control the amount of water that enters
or exits the product. It is for this purpose that
humectants are employed. Polyhydric alcohols (polyols), which include propylene glycol
[57-55-6], C3H8O2, glycerol [56-81-5], C3H8O3, sorbitol [50-70-4],
6H14O6, and mannitol [69-65-8], C6H14O6, contain numerous hydroxyl groups (see
ALCOHOLS, POLYHYDRIC). Their structure makes them hydrophilic and
enables them to bind water in foods. Examples of products that use humectants include
shredded coconut, cookies, glazed and dried fruit, gelatin
products, and cakes. High dosages of polyhydric alcohols may cause a laxative effect
and usage is somewhat limited as a result (64).
Leavening Agents. Many bakery products, such as self-rising flours, prepared baking
mixes, and refrigerated doughs, rely on chemical
leavening agents to produce the gas that gives them volume (see BAKERY
PROCESSES AND LEAVENING AGENTS). Bicarbonates produce carbon dioxide in the
presence of heat and moisture. Sodium bicarbonate [144-55-8], NaHCO3, is the most
commonly used product, but ammonium bicarbonate [1066-33-7],
]NH4HCO3, and potassium bicarbonate [298-14-6], KHCO3, are used as well. When
used alone, sodium bicarbonate reacts to give products a bitter,
soapy flavor. Thus it is always combined with a leavening acid.
Leavening acids are classified according to the rate at which they release carbon
dioxide from sodium bicarbonate. Some acids begin producing
carbon dioxide as soon as they come into contact with water; others do not begin to
react unless heat is present as well. The type of leavening acid
needed depends on the product. For example, refrigerated dough products require
limited carbon dioxide release initially so that they can be packed into
containers, but need significant activity upon heating. A slow-acting leavening agent
would be used for this product. Doughnuts, which must be leavened
prior to being exposed to heat, require fast-acting leavening acids. Most products use
both slow- and fast-acting leavening acids to obtain the appropriate
volume (65).
Table 6 lists the leavening acids and the corresponding rates of reaction. The leavening
acids most frequently used include potassium acid tartrate,
sodium aluminum sulfate, δ-gluconolactone, and ortho- and pyrophosphates. The
phosphates include calcium phosphate [7758-23-8], CaHPO4, sodium
aluminum phosphate, and sodium acid pyrophosphate (66).
Table 6. Common Leavening Acids and their Reaction Ratesa
Acid CAS Registry Number Molecular formula Relative reaction rateb
sodium aluminum sulfate [10102-71-3] AlNa(SO4)2 slow
dicalcium phosphate dihydrate [7789-77-7] CaHPO4·2H2O none
monocalcium phosphate monohydrate [10031-30-8] Ca(H2PO4)2·H2O fast
sodium aluminum phosphate [7785-88-8] slow
sodium acid pyrophosphate [7758-16-9] Na2H2P2O7 slow
potassium acid tartrate [868-14-4] K2C4H4O6 medium
δ-gluconolactone [90-80-2] C6H10O6 slow
a Ref. 67.
b In the presence of sodium bicarbonate at room temperature.

18
Lubricants and Release Agents. Lubricants and release agents are substances added
to food processing equipment to prevent food
ingredients and finished products from sticking to them. Ingredients that fall into this
category include oils, lecithin [8002-43-5], starch, distilled acetylated
monoglycerides, and magnesium silicate [1343-88-0], MgSiO3 (68).
Nonnutritive Sweeteners. Consumer desire to reduce caloric intake and protect
dental health has created an enormous market for
nonnutritive sweeteners (qv). As of this writing there are only three nonnutritive
sweeteners approved for use in the United States.
Aspartame. Aspartame [53906-69-7], C14H18N2O5, was discovered by accident in
1965. It is a dipeptide of L-aspartic acid and L-phenylalanine,
and is approximately 200 times as sweet as sucrose at a 4% concentration. It has a
clean, sweet taste similar to sucrose. At high temperatures or during
prolonged storage, aspartame undergoes hydrolytic degradation to its component
amino acids and loses its sweetening ability. Therefore, aspartame
cannot be used in products that undergo high temperatures during processing (69).
Aspartame's largest use is in soft drinks, although it is also used in
products such as yogurt, powdered drink mixes, confections, frozen desserts, and
cereals.
Saccharin. Saccharin [81-07-2], C7H5NO3S, which is approximately 300 times as
sweet as sucrose in concentrations up to the equivalent of a
10% sucrose solution, has been used commercially as a nonnutritive sweetener since
before 1900, predominantly in carbonated soft drinks, tabletop
sweeteners, and dietetic foods marketed primarily to diabetics. In 1977, the FDA
proposed a ban on saccharin because of its association with bladder
cancer in laboratory animals. At the time, it was the only commercially available
nonnutritive sweetener, and public outcry led to a delay of the ban, which
was officially withdrawn in 1991. Instead, the FDA required that warning labels be
placed on all foods that contained the ingredient. Although saccharin
is heat stable, the public debate over its safety, as well as the fact that approximately
one-third of the population perceives it to have a bitter aftertaste, has
limited its use.
Acesulfame K. Acesulfame K [55589-62-3], C4H5NO4S·K, is an oxathiazine derivative
approximately 200 times as sweet as sucrose at a 3%
concentration in solution (70). It is approved for use as a nonnutritive sweetener in 25
countries (71), and in the United States has approval for use in
chewing gum, confectionery products, dry mixes for beverages, puddings, gelatins, and
dairy product analogues, and as a tabletop sweetener (72).
Other Sweeteners. Two other sweeteners, sucralose and cyclamates, are approved for
use outside of the United States. Sucralose, a
chlorinated derivative of sucrose which is 500−600 times as sweet as sugar, has
received limited approval in Canada, and petitions for its approval are
pending in the United States and Europe (71). Cyclamate sweeteners, once available in
the United States, but now banned because they caused bladder
cancer in animals, are still available in Canada and Europe. Table 7 gives several
examples of nonnutritive sweeteners that have been developed.

19
Table 7. High Intensity Sweetenersa
Sweetener Intensityb Developer and/or manufacturer Regulatory status
aspartame 180 NutraSweet approved broadly
saccharin 300 many approved in many markets, including
U.S.
cyclamates 35 Abbott Laboratories some approvals in Canada, Europe
acesulfame K up to 200 Hoechst AG broad approvals in Europe, limited in
U.S.
sucralose up to 600 Tate & Lyle, Johnson & Johnson approved in Canada, pending
elsewhere
alitame up to 2,000 Pfizer applications pending
sucrononic acid, other
dipeptides
up to 200,000 Claude Bernard University,
NutraSweet
not yet submitted
L-sugars 1c Biospherics not yet submitted
a Ref. 73.
b Values are times the sweetness of sucrose.
c
L-Sugars are not absorbed.
Nutrients. In the United States, foods are either restored, enriched, or fortified with
nutrients. Restoration refers to the addition of nutrients
to foods to replace those nutrients that are lost in processing. Enrichment is similar to
restoration, but federal guidelines specify the exact amount and
kinds of nutrients added to specific products. Fortification refers to the addition of
nutrients that do not naturally occur in the food. This last is typically
done to prevent diseases of nutritional deficiency.
The enrichment program followed in the United States is (1) the enrichment of flour,
bread, and degerminated and white rice using thiamin
[59-43-8], C12H17−N5O4S, riboflavin [83-88-5], C17H20N4NaO9P, niacin [59-67-6],
C6H5NO2, and iron [7439-89-6]; (2) the retention or restoration of
thiamin, riboflavin, niacin, and iron in processed food cereals; (3) the addition of vitamin
D [67-97-0] to milk, fluid skimmed milk, and nonfat dry milk;
(4) the addition of vitamin A [68-26-8], C20H30O, to margarine, fluid skimmed milk, and
nonfat dry milk; (5) the addition of iodine [7553-56-2] to table
salt; and (6) the addition of fluoride [16984-48-8] to areas in which the water supply has
a low fluoride content (74).
Preservatives. Without control of yeasts (qv), molds, and bacteria, the food industry
would experience considerable economic losses each
year owing to spoilage. Sugar, salt, and wood smoke have been used for centuries to
preserve food. These methods, however, are not compatible with all
food products; thus preservatives, also known as antimicrobials, are used.
Most preservatives do not kill microorganisms present in food. Rather, they prevent
further growth and proliferation of anything that is present by

20
either lowering the water activity or increasing the pH of the foods in which they are
used. Numerous factors, including the type of organism to be
controlled, product pH, effect on product flavor, legal restrictions, and cost, all impact
the selection of the proper preservative (75).
Benzoates. The sodium and potassium salts of benzoic acid [65-85-0], C7H6O2, are
most effective against yeast and mold. They are used in
beverages, fruit products, chemically leavened baked goods, and condiments. Owing to
their inhibitory effect on yeast, they cannot be used in
yeast-leavened products. Potassium benzoate was developed for use in reduced-
sodium products. Benzoates are permitted for use in foods up to a level
of 0.1% (76).
Sorbates. The sodium and potassium salts of sorbic acid [110-44-1], C6H8O2, are
used as mold and yeast inhibitors in dairy products,
chemically leavened baked goods, fresh and fermented vegetables, dried fruit,
beverages, confections, and smoked meat and fish. They are widely used in
Japan as preservatives in processed products made with fish paste. Sorbates have the
ability to inhibit the growth of yeast at the surface of food during
fermentation, but do not inhibit the organisms that are used in the fermentation process.
Sorbates are typically added directly by dipping the food into a
sorbate solution, or by spraying them on the surface of the food. Usage ranges from
0.025−0.2% (76).
Propionates. Propionic acid [79-09-4], C3H6O2, and its calcium and sodium salts are
effective mold inhibitors. They are particularly useful in
yeast-leavened baked products because they do not affect the activity of yeast. In
addition to being widely used in baked goods, they are used as mold
inhibitors in cheese foods and spreads (77).
Organic Acids. One method of controlling the growth of microorganisms in food is to
increase the acidity of the product. This can be
accomplished by adding an organic acid such as acetic acid [64-19-7], C2H4O2, citric
acid [77-92-9], C6H8O7, malic acid [6915-15-7], C4H6O5, lactic acid 3H6O3, adipic
acid [124-04-9], C6H10O4, tartaric acid [87-69-4], C4H6O6, or caprylic acid [124-07-2],
C8H16O2. Because acids can affect the functionality of other ingredients in food, care
must be taken in selecting the appropriate one. These acids also function as acidulants
(78).
Sulfur Dioxide and Sulfites. Sulfur dioxide [7446-09-5], SO2, sodium bisulfite [15181-
46-1], NaHSO3, and sodium metabisulfite
[23134-05-6] are effective against molds, bacteria, and certain strains of yeast. The
wine industry represents the largest user of sulfites, because the
compounds do not affect the yeast needed for fermentation. Other applications include
dehydrated fruits and vegetables, fruit juices, syrups and
concentrates, and fresh shrimp (79). Sulfites are destructive to thiamin, and cannot be
used in foods, such as certain baked goods, that are important
sources of this vitamin.
Sulfites and related compounds have been the subject of much controversy. It has been
shown that these chemicals may cause serious allergic

21
reactions in sensitive individuals. In the United States, sulfite-containing foods must be
labeled as such, and sulfites are prohibited in areas such as salad
bars where labeling is inappropriate.
Parabens. In the United States, the heptyl, methyl, and propyl esters of para-
hydroxybenzoic acid [99-96-7], C7H6O3, have been used as
preservatives since the 1930s. Only the methyl and propyl esters are considered GRAS
in the United States, and their use is limited to 0.1%. The heptyl
esters are permitted in fermented beverages and some fruit-based beverages. The butyl
and ethyl esters have been used in other countries since the 1920s.
Unlike other antimicrobials, the parabens are active up to a pH of 8. They are used as
mold and yeast inhibitors in baked goods, beverages, fruits, jams
and jellies, syrups, olives, and pickles. Their high cost compared to some other
preservatives has restricted their use in the food industry (78).
Sodium Nitrate and Sodium Nitrite. Nitrates and nitrites are used in meat-curing
processes to prevent the growth of bacteria that cause
botulism. Nitrates have been shown to form low, but possibly toxic, levels of
nitrosamines in certain cured meats. For this reason, the safety of these
products has been questioned, and use is limited (80).
Natamycin and Nisin. Concern over the safety of synthetic preservatives has led to the
research and development of natural alternatives.
Natamycin [7681-93-8], C33H47NO13, an antibiotic produced by Streptomyces
natalensis, has gained approval in the United States for use against molds on
cured cheeses. Natamycin selectively inhibits molds while allowing the growth of
bacteria needed for the ripening process (81). Nisin [1414-45-5],
C143H230N42O37S7, a polypeptide produced by the fermentation of a modified milk
medium by Lactococcus lactis, is particularly effective against
spore-forming gram-positive bacteria. It is used worldwide as a preservative in
processed cheese, dairy products, canned foods, cured meat, and beer (82).
Processing Aids. Manufacturing aids, used to improve the appearance or
performance of food products, include clarifying agents
(flocculants), clouding agents, catalysts, and filter aids. Clarifying agents eliminate
turbidity and particle suspension in products such as beer, wine, fruit
juices, oils, and vinegar. Gelatin and lime are frequently used for this purpose. Clouding
agents add a turbid appearance to products such as syrups, soft
drinks, and powdered beverage mixes. Brominated vegetable oils [8016-94-2], gums,
and citrus pulp are commonly used clouding agents. Catalysts, which
are agents that facilitate a chemical reaction, are used for the hydrogenation of oil,
transesterification of fats, modification of starches, and many enzyme
reactions. Raney nickel [7440-02-0], Ni, sodium methoxide [124-41-4], CH3ONa, and a
variety of acids are typical catalysts. Filter aids break down or
entrap undesired substances in fruit juices, wines, milk, oils, beer, and vinegar, thus
making it easier to remove these substances by filtration (83).
Solvents. Solvents are generally used to either extract particular compounds, such as
an essential oil from a plant, or to carry additives into a
food system, such as a flavor into a powdered mix. Common solvents include ethanol
[64-17-5], C2H6O, glycerine [56-81-5], C3H8O3, propylene glycol

22
[57-55-6], C3H8O2, triethyl citrate [77-93-0], C12H20O7, polyhydric alcohols, carbon
dioxide [124-38-9], acetylated monoglycerides, hexane [110-54-3],
C6H14, methylene chloride [75-09-2], CH2Cl2, acetone [67-64-1], C3H6O, and
trichloroethylene [79-01-6], C2HCl3 (68,84).
Stabilizers and Thickeners. Many food products receive their textural properties from
a group of compounds known as hydrocolloids.
Hydrocolloids are high molecular weight polymers that are either extracted from plants,
seaweed, or animal collagen, or are produced by microbial
synthesis. They are widely used for their general thickening properties, as well as their
ability to provide stability for emulsions, suspensions, and foams.
The structure of hydrocolloids gives them a slippery, creamy mouthfeel that mimics the
organoleptic properties of fats and oils, thus making them useful
as fat replacers. Many of the fat replacers that are on the market are based on one or a
combination of hydrocolloids. Hydrocolloids fall into two classes:
polysaccharides and proteins. Most stabilizers and thickeners are polysaccharides.
Locust Bean Gum. Locust bean gum [9000-40-2], also known as carob seed gum, is a
galactomannan extracted from the endosperm of the
carob tree seed which is cultivated in the Mediterranean area. The primary use of locust
bean gum is in dairy applications such as ice cream. It is often
used in conjunction with carrageenan because the chemical structures of the two
enable them to cross-link and form a gel (85).
Guar Gum. Guar gum [9000-30-0], also a galactomannan, is extracted from the
endosperm of the guar plant seed which is grown primarily in
India and Pakistan. Guar hydrates rapidly in cold water and is used extensively in ice
cream, cheese, and baked goods. Chemically, guar is closely related
to locust bean gum and its use began as a result of a shortage of locust bean gum in
the 1940s. The high price of guar gum has forced users to look to
other materials for thickening agents (85).
Gum Arabic. Gum arabic [9000-01-5] is an exudate of the Acacia tree, found in the
Middle East. It dissolves readily in water to produce low
viscosity solutions. It is used in confectionery products, bakery toppings, beverages,
frozen dairy products, and dry drink mixes (86).
Carrageenan. Carrageenan [9000-07-1] is extracted from red seaweeds found along
the shores of the western United States, Nova Scotia, and
the British Isles. The largest food use for carrageenan is in dairy products such as
flavored milk and frozen desserts. Carrageenan is comprised of a
mixture of polymers, but the most commonly used commercially are κ (gelling) and λ
(nongelling). κ-Carrageenan is only soluble in hot conditions;
λ-carrageenan is only soluble in cold conditions. Carrageenan interacts synergistically
with other food gums and is often used in conjunction with locust
bean gum (85).
Xanthan Gum. Xanthan gum [11138-66-2] is produced by industrial fermentation of a
carbohydrate under aerobic conditions by culturing
the bacterium Xanthomonas campestris. It is unique in that it gives high viscosity
solutions at low concentrations, exhibits little change in viscosity with

23
variation in temperature, and is stable over a wide pH range. The greatest usage of
xanthan gum is in salad dressing, but it is also used in baked goods,
confectionery products, syrups, toppings, dry beverage mixes, frozen foods, and dairy
products. Xanthan gum is synergistic with locust bean gum and
guar gum, and they are often used together for enhanced gelation or viscosity (87).
Other Gums. Gellan gum, the first to receive FDA approval for food use since xanthan
gum in 1968, is produced from Pseudomonas elodea by a
[598-82-3], C
Cellulose. The principal structural component of plant cell walls is cellulose (qv). The
most widely used cellulose derivative is the sodium salt
of carboxymethylcellulose (CMC). It is made by treating cellulose with sodium
hydroxide−chloroacetic acid. CMC is widely used in the food industry in
products such as baked goods, icings, syrups, glazes, frozen dairy products, and dry
drink mixes (89).
Methycellulose, another useful cellulose derivative, is made by the reaction of cellulose
and sodium hydroxide with methylchloride. It is used to
prevent syneresis in frozen foods, and as a thickener and stabilizer in salad dressings
(90).
Microcrystalline cellulose (MCC) is a partially depolymerized from of cellulose prepared
by the hydrolysis of wood pulp with hydrochloric acid.
MCC is used as a stabilizer in frozen desserts, meats, dairy products, baked goods, and
aerosol toppings (91).
Agar. Agar [9002-18-0] is obtained from a variety of red marine algae found along the
coast of Japan. Food applications include frozen
desserts, confectionery products, and baked goods (92).
Starch. The most abundant natural, or unmodified, starch [9005-25-8] is that produced
by the wet milling of corn. Other commercial starches
include wheat, potato, sago, rice, and tapioca. Owing to low cost, unmodified starches
are used extensively as thickening agents in the food industry.
Starch is often pregelatinized so it can be used to impart thickening properties in foods
that are not normally heated, such as instant pie fillings.
Starch is often modified by hydrolysis with hydrochloric or sulfuric acid (93). The
resulting product is resistant to syneresis, keeps food in
suspension after cooking, and exhibits much greater freeze−thaw stability than
unmodified starch. Modified starch is commonly used in baby food,
frozen prepared foods, pie fillings, meat products, and candy.
Pectin. Pectin [9000-69-5] is a mucilaginous substance extracted from the cell walls of
citrus peel, sugar beet pulp, and apple pomace. Two
classes of pectins exist. High methoxy pectins, which have a degree of esterification
higher than 50%, are used in jams, jellies, and gummi candies. These
pectins require the presence of sugar and acid in order to form a gel. Low methoxy
pectins, which have a lower degree of esterification, form gels in the
absence of sugar, but require the presence of calcium to aid with cross-linking. Low
methoxy pectins are often used in low sugar jams and jellies (85).
Alginates. Alginates are extracted from brown seaweeds found along the rocky coasts
of the north Atlantic coastline and the Pacific coast

24
along southern California. They are unique because they are able to form irreversible
gels by reaction with calcium salts without heat. They are used in ice
cream, bakery products, puddings, dressing, and beer (for foam stabilization) (87).
Gelatin. Gelatin, a protein-based hydrocolloid, is a polymer made up of amino acids. It
is obtained from beef or pork skin, hides, and bones
by hydrolysis and extraction of collagen with hot water. The most popular usage of
gelatin is in the preparation of gelatin desserts, but it is also used in
marshmallows and other confectionery products, processed meats, frozen foods, and
dairy products. Wine, beer, cider, and fruit juices use gelatin as a
clarifying agent (94).
Market Overview
The U.S. market for food additives reached about $4 billion in 1992. The breakdown of
this market and average prices in 1993 of common food additives
are shown in Table 8.
Table 8. 1992 U.S. Sales and 1993 Price and Manufacturers of Food Additivesa
Additive Type Sales,
$ £ 106
Average price, $/kg Manufacturer(s)
acidulants 225 1.60
citric Haarmann & Reimer, Hoffmann-La Roche,
Cargill
fumaric Pfizer, Monsanto
lactic Sterling, Takeda
malic Haarmann & Reimer, Takeda
phosphoric FMC, Monsanto, Rhône-Poulenc
antioxidants 75 6.6−33
BHA Eastman Chemical, UOP
BHT PMC Specialties Group, Eastman Chemical
erythorbates Pfizer
propyl gallate Eastman Chemical
tocopherols Eastman Chemical, Henkel Corp.,
Hoffmann-La Roche
TBHQ Eastman Chemical, UOP
bulking agents polydextrose 40 2.40 Pfizer
colorants 160 0.22−0.66 Universal Foods (Warner-Jenkinson,
McCormick/Stange, Kohnstamn), Haarmann
& Reimer, Hoffmann-La Roche, Colorcon,
Quest/Biocon
dietary fibers 330 1.1−1.6 Protein Technologies International, Canadian
Harvest, ConAgra, Opta Food Ingredients
pure culture fermentation process (88). In the United States, gellan gum received
approval in November 1992 for use in all foods when a standard of
identity does not preclude its use. In Japan, gellan gum is used in gelled desserts and
jellies and approval is pending in Canada and Europe (87). Ghatti
gum [9000-28-6], tragacanth gum [9000-65-1], and karaya gum [9000-36-6] are also
used, but not as frequently as the others.

25
emulsifiers 300 1.6−5.5 Van den Bergh Food Ingredients, Grindsted,
Eastman Kodak, Lonza, Hunko, ADM
Arkady, Karlshamn, ICI, Beatreme
enzymes 130 b Novo, Solvay, Gist-Brocades, Cultor,
Genecor, Christian Hansen's
fat replacers 80 2.2c−17.7d NutraSweet Co., National Starch, Grain
Processing Corp., Avebe, Staley, FMC,
Hercules
flavorse 1000 b International Flavors and Fragrances, Quest
International, Givaudan, Takasago, Haarmann
& Reimer
humectants 70 1.40
sorbitol ICI, Lonza
propylene glycol Dow, Arco
glycerin Procter & Gamble, Quantum
leavening agents 50 1.20 Monsanto, Rhône-Poulenc, FMC
nonnutritive sweeteners 900
aspartame 66−132f NutraSweet
acesulfame K Hoechst Celanese
saccharin 4.4−8.8 PMC Specialties
nutrients C, B 90 11−66 Hoffmann-La Roche, Takeda
E Eastman Kodak, Henkle
K Heterochemical
niacin Cambrex
preservatives 110
benzoates 2.00 Pfizer, Mallinckrodt, Kalamo Chemical,
Southland Corp.
sorbates 7.70 Eastman Kodak, Pfizer
propionates Mallinckrodt, Kalamo Chemical, Southland
Corp.
thickeners
gums 280 1.50−27.00 Kelco, Rhône-Poulenc, FMC, Hercules,
Sanofi, Meer, Polypro, Bulmer, Protan
starches 210f <0:50 3:50 National Starch, A. E. Staley, American
Maize, CPC, Cargill, Archer Daniels Midland
gelatin 2.75−5.30 General Foods, Unilever, Hormel
a Courtesy of Arthur D. Little, Inc.
b Price varies widely.
c Starch-based.
d Pectin-based.
e Includes flavor enhancers.
f Sales are for starches and gelatins.
The additives and ingredients industry remains quite fragmented. Competitors are
drawn from a wide range of industries that include commodity
grain and oilseed processors, other agricultural material processors, and bulk, specialty,
and fine chemical suppliers. The large majority of participants

26
have under $100 million in sales; only a handful have over $300 million. This relatively
small size contrasts sharply with the multibillion dollar food
companies that represent the customer base for ingredients and additives. Increasing
demands are being placed on ingredient and additive suppliers by
these customers, including applications support, favorable pricing, just-in-time
deliveries, and conformance to standards.
Overall, the world market for food additives was approximately $10 billion in 1992.
Besides the United States, the other principal markets were the
European Community (about $3 billion) and Japan (about $2 billion). Growth rates are
expected to average about 3% per year throughout most of the
1990s. Highest growth rates should continue to be realized in segments where the
ingredients and additives are needed for low calorie, low fat, and other
nutrition-oriented products. These include nonnutritive sweeteners, fat replacers,
bulking agents, thickeners, and dietary fibers. Artificial flavors, colors,
and preservatives are expected to experience slow or no growth.
BIBLIOGRAPHY
"Food Chemicals" in ECT 1st ed., Vol. 6, pp. 835−848, by M. B. Jacobs, Polytechnic
Institute of Brooklyn; "Food Additives" in ECT 2nd ed., Vol. 10, pp. 1−22, by D. G.
Chapman, Food and Drug Directorate, Department of National Health and Welfare,
Canada, and Z. I. Kertesz, Food and Agriculture Organization of the United Nations; in
ECT 3rd ed., Vol. 11, pp. 146−163, by T. Furia, Intechmark Corp.
1. Code of Federal Regulations, Title 21 Part 170.3, U.S. Government Printing Office,
Washington, D.C., Apr. 1, 1990.

27