1

Introduction to Food Additives

A. LARRY BRANEN and R. J. HAGGERTY
University of Idaho, Moscow, Idaho

I.

INTRODUCTION

According to the Food Protection Committee of the Food and Nutrition Board, food additives may be dened as follows:
a substance or mixture of substances, other than a basic foodstuff, which is present in a food
as a result of any aspect of production, processing, storage, or packaging. The term does not
include chance contaminants.

Since prehistoric times, chemicals have been added to foods to perform special functions.
Although basic foods contain no additives, as foods are processed for conversion into a
variety of products, an increasing number of additives are generally used. Technological
advances in food processing have increased the variety and use of these additives. Today,
more than 2500 different additives are intentionally added to foods to produce a desired
effect. The use of these additives is a well-accepted practice but is not without controversy.
In this chapter, we explore some of the major benets and risks of using additives. In
subsequent chapters, each category of additives and some of the benets and potential
risks are explored in more detail.

II. TYPES OF ADDITIVES

Additives can be divided into six major categories: preservatives, nutritional additives,
avoring agents, coloring agents, texturizing agents, and miscellaneous additives. Several
lists of these additives are available and as will be noted throughout this book, several
additives commonly serve more than one function in foods. In Europe and other parts of
the world, the E system, developed by the European Union (formally the European Eco1

Copyright 2002 Marcel Dekker, Inc.

Branen and Haggerty

nomic Community), provides a listing of several commonly used additives (Hanssen,

1984; Jukes, 2001). Chapter 7 in this book describes the process and the additives currently
on the E system list. The list, which is updated on a regular basis, includes those additives
that are generally recognized as safe within the member states and allows foods to move
from country to country within the European Union. The European Union adopted directives which set the criteria by which additives are assessed. The European Scientic Committee for Food (SCF) oversees additive safety against the established criteria. Specic
directives have been established for sweeteners, colors, and other food additives (Jukes,
2001). Nutrients are not included in the E system. The Codex Alimentarius Commission
Committee on Food Additives and Contaminants has developed an international numbering system (INS) for food additives based on the E system (Codex Alimentarius Commission, 2001). The INS system is broader than the E system and is intended as an identication system for food additives approved for use in one or more countries. It does not
imply toxicological approval by Codex, and the list extends beyond the additives currently
cleared by the Joint FAO/WHO Expert Committee on Food Additives (Codex Alimentarius Commission, 2001). The INS numbers are largely the same numbers used in
the E system without the E. The INS system also includes a listing of the technical function
for each additive based on 23 functional classes. The E numbers for a number of additives
are included in Chapter 7 and the INS numbers are in the appendix.
A.

Preservatives

There are basically three types of preservatives used in foods: antimicrobials, antioxidants,
and antibrowning agents. These additives are grouped under the category of preservatives
in the INS system. The antimicrobials, with E and INS numbers ranging from 200 to 290,
are used to check or prevent the growth of microorganisms. Antimicrobials are discussed
in further detail in Chapter 20. In addition, the book Antimicrobials in Foods (Davidson
and Branen, 1993) gives a complete treatment of these additives. Antimicrobials play a
major role in extending the shelf-life of numerous snack and convenience foods and have
come into even greater use in recent years as microbial food safety concerns have increased.
The antioxidants (INS 300326 and E300E326), discussed in further detail in Chapter 18, are used to prevent lipid and/or vitamin oxidation in food products. They are used
primarily to prevent autoxidation and subsequent development of rancidity and off-avor.
They vary from natural substances such as vitamins C and E to synthetic chemicals such
as butylated hydroxyanisole (BHA) and butylated hydroxytoluene (BHT). The antioxidants
are especially useful in preserving dry and frozen foods for an extended period of time.
Antibrowning agents are chemicals used to prevent both enzymatic and nonenzymatic browning in food products, especially dried fruits or vegetables and are discussed
in Chapter 19 of this book. Vitamin C (E300), citric acid (E330), and sodium sulte (E221)
are the most commonly used additives in this category. These additives are classied as
either antioxidants or preservatives in the INS system, but retain the same numbers as in
the E system without the E.
B.

Nutritional Additives

Nutritional additives have increased in use in recent years as consumers have become
more concerned about and interested in nutrition. Because of this increased interest, this
edition includes four chapters devoted to nutritional additives as well as additives used for

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Introduction to Food Additives

special dietary purposes. Chapter 9 provides detailed coverage of the primary nutritional
additives, vitamins, and minerals, while Chapters 10, 11, and 12 highlight the food additives used for special dietary purposes. The nutritional additives are not included as a
functional class within the INS or E numbering system, although several of the additives
are included under other functional classes and as expected serve several functions in
these products.
Vitamins, which as indicated above are also used in some cases as preservatives,
are commonly added to cereals and cereal products to restore nutrients lost in processing
or to enhance the overall nutritive value of the food. The addition of vitamin D to milk
and of B vitamins to bread has been associated with the prevention of major nutritional
deciencies in the United States. Minerals such as iron and iodine have also been of
extreme value in preventing nutritional deciencies. Like vitamins, the primary use of
minerals is in cereal products.
Amino acids and other proteinaceous materials are not commonly used in foods.
However, lysine is sometimes added to cereals to enhance protein quality. Proteins or
proteinaceous materials such as soya protein are also sometimes used as nutritional additives, although they are most commonly used as texturizing agents.
Fiber additives have seen increased popularity in recent years with the increase in
consumer interest in dietary ber. Various cellulose, pectin, and starch derivatives have
been used for this purpose. Recently, naturally derived ber from apples and other fruits
as well as sugarbeets has been introduced as a ber additive. Fiber additives are not well
dened and in reality have little or no direct nutritional value, although they do have
indirect nutritional benets. In some cases, ber additives also provide improved texture
to food products and are categorized in the INS and E system as bulking agents, thickeners,
or stabilizers.
The number of food additives used for special dietary purposes has increased signicantly in recent years with an emphasis on the replacement of fat to reduce calories.
United States food processors use more than 16 billion pounds of fat each year (Anonymous, 1995), and the fat replacement industry grew rapidly in the 1990s, although it
appears to have peaked in recent years, and the growth of this sector has subsided (Sloan,
1997). Fat replacers include many texturizing agents and, as indicated in Chapter 11,
include carbohydrate-, protein-, and fat-based systems.
The increased interest in nutrition has also led to the rapid growth of the functional
food or nutraceutical industry with the development of several additives for the purpose
of enhancing overall health. Chapter 10 describes some of the current interest in essential
fatty acids as additives, while Chapter 12 describes some of the major additives used in
engineering clinical nutritional products.
C. Coloring Agents
Most coloring agents are used to improve the overall attractiveness of the food. A number
of natural and synthetic additives are used to color foods. In addition, sodium nitrite is
used not only as an antimicrobial, but also to x the color of meat by interaction with
meat pigments. The colors are included in the E system as E100E180 and in the INS
as 100182. As indicated in the review of coloring agents in Chapters 16 and 17, there has
been much controversy regarding their use. Although synthetic coloring agents continue to
be used extensively, there has been signicant increased interest in natural colorants as
described in Chapter 17.

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D.

Branen and Haggerty

Flavoring Agents

Flavoring agents comprise the greatest number of additives used in foods. There are three
major types of avoring additives: sweeteners, natural and synthetic avors, and avor
enhancers.
The most commonly used sweeteners are sucrose, glucose, fructose, and lactose,
with sucrose being the most popular. These substances, however, are commonly classied
as foods rather than as additives. The most common additives used as sweeteners are lowcalorie or noncaloric sweeteners such as saccharin and aspartame. These sweeteners, as
discussed in Chapter 15, have had a major impact on the development of new foods.
In addition to sweeteners, there are more than 1700 natural and synthetic substances
used to avor foods. These additives are, in most cases, mixtures of several chemicals
and are used to substitute for natural avors. In most cases, avoring agents are the same
chemical mixtures that would naturally provide the avor. These avoring substances are
discussed in detail in Chapter 13. The acidulants (see Chapter 21), which add a sour taste,
often serve other purposes, including preservation.
Flavor enhancers (INS 620642 and E620E640) magnify or modify the avor of
foods and do not contribute any avor of their own. Flavor enhancers, which include
chemicals such as monosodium glutamate (E621) and various nucleotides (E626E635),
are often used in Asian foods or in soups to enhance the perception of other tastes. These
chemicals are covered in detail in Chapter 14.
E.

Texturizing Agents

Although avoring agents comprise the greatest number of chemicals, texturizing agents
are used in the greatest total quantity. These agents are used to add to or modify the overall
texture or mouthfeel of food products. Emulsiers and stabilizers are the primary additives
in this category and are discussed in more detail in Chapters 23 and 24. Phosphates and
dough conditioners are other chemicals that play a major role in modifying food texture.
Phosphates are some of the most widely used and serve a number of functions in foods,
as discussed in Chapter 25.
Emulsiers (INS 429496 and, primarily, E431 and E495) include natural substances such as lecithin (INS 322 and E322) and mono- and diglycerides as well as several
synthetic derivatives. The primary role of these agents is to allow avors and oils to be
dispersed throughout a food product.
Stabilizers include several natural gums such as carrageenan as well as natural and
modied starches. These additives have been used for several years to provide the desired
texture in products such as ice cream and are now also nding use in both dry and liquid
products. They also are used to prevent evaporation and deterioration of volatile avor
oils.
Phosphates (E338E343) are often used to modify the texture of foods containing
protein or starch. These chemicals are especially useful in stabilizing various dairy and
meat products. The phosphates apparently react with protein and/or starch and modify
the water-holding capacity of these natural food components.
Dough conditioners such as steroyl-2-lactylate and various humectants such as sodium silicoaluminate are also used as texturizing agents under very specic conditions.
F.

Miscellaneous Additives

There are numerous other chemicals used in food products for specic yet limited purposes. Included are various processing aids such as chelating agents, enzymes, and antiCopyright 2002 Marcel Dekker, Inc.

Introduction to Food Additives

foaming agents; surface nishing agents; catalysts; and various solvents, lubricants, and
propellants. More information on enzymes is provided in Chapter 22.
III. BENEFITS OF ADDITIVES
There are obviously many recognized benets to be derived from additives. Some of the
major benets are a safer and more nutritious food supply, a greater choice of food products, and a lower-priced food supply.
A. Safer and More Nutritious Foods
There is no question that the preservative and nutritional additives used in foods increase
the safety and overall value of many food products. The use of several antimicrobials is
known to prevent food poisoning from various bacteria and molds. Antioxidants, used to
prevent the development of off-avors, also prevent the formation of potentially toxic
autoxidation products and maintain the nutritional value of vitamins and lipids. As indicated in Chapter 9, the use of various nutritional additives such as vitamins is also of
proven value in preventing nutritional deciencies.
B. Greater Choice of Foods
Most major supermarkets today carry more than 20,000 food items, providing the consumer a wide choice of food products. The availability of additives has allowed the production of numerous out-of-season foods and a variety of new food products. Additives have
increased the development of convenience foods, snack foods, low-calorie and health promoting (functional) foods, exotic foods, and a variety of food substitutes. Convenience
has been built into TV dinners and breakfast cereals as well as several microwave products.
Additives allow these foods to be pre-prepared and still maintain acceptable avor, texture,
and nutritional value. Although many of these foods can have added convenience through
the use of new packaging approaches or other processing methods, most depend on preservatives and texturizing agents. It is estimated that the shelf life of cereal products can be
increased over 200% by the use of antioxidants (Branen, 1975).
The snack food industry has continued to be successful because the use of coloring
and avoring additives make available a wide array of snack items. These items, which
are commonly subjected to high-temperature processing and are expected to have an extended shelf-life, also contain preservatives.
The increased interest by consumers in dieting has resulted in a proliferation of lowcalorie food items. The use of saccharin and cyclamates opened the market for various
food products with reduced calories, and by 1996 these and other calorie reduction agents
became the highest selling category of food additives at $1.3 billion annually (Anonymous,
1995). These sweeteners are now being phased out, being at least partially replaced with
aspartame, yet remain the primary additives used in low-calorie foods. However, many
emulsiers and stabilizers have allowed a reduction in the lipid content of foods, thus
also lowering calories. As is noted in Chapter 11, fatty acid esters of sucrose have allowed
an even greater reduction in the lipid content of foods. Coloring and avoring agents have
enhanced the appeal of these foods to consumers.
Stabilizers, emulsiers, and coloring and avoring additives have also allowed development of a number of food substitutes, especially dairy and meat substitutes. Margarine and soya meat products would simply not exist without the use of additives. The
same is true of many soft drinks, which are primarily a mixture of food additives. Although
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Branen and Haggerty

the market for beverages has leveled out in recent years, the beverage industry continues
to be the greatest user of food additives with a market exceeding $1.4 billion annually
(Anonymous, 1995).
The greatest increase in food additive use in the next several years is likely to be
in the functional food and nutraceutical industry. Several recent publications have noted
the rapid growth of this industry both in the United States and in Europe (Hollingsworth,
1999; Sloan, 1997, 1998, 1999). Although denitions vary, Sloan (2000) denes a functional food as a food or beverage that imparts a physiological benet that enhances overall
health, helps prevent or treat a disease/condition, or improves physical or mental performance via an added functional ingredient, processing modication, or biotechnology.
When low-calorie and fatfree foods are included, the total market for functional foods
exceeds $92 billion in the U.S. and is expected to grow annually 610% (Sloan, 1999,
2000). Although lower fat content continues to be a major factor that motivates food
purchase decisions, overall good health is now the major motivating factor (Sloan, 2000).
C.

Lower-Priced Foods

Although there have been few recent studies to indicate that additives reduce the overall
price of foods, a study reported in 1973 (Angeline and Leonardos, 1973) indicated that,
at least for some processed foods, total removal of additives would result in higher prices.
This study was based on the premise that the consumer would still desire the same type
of foods in the absence of additives. The researchers reported that if, for example, additives
were removed from margarine, consumers would have no alternative but to purchase a
higher-priced spread such as butter, which usually contains few or no additives. They also
reported that if additives were removed from bread, franks, wieners, and processed cheese,
new processing procedures, increased refrigeration, and improved packaging would be
required, at a higher cost, to keep the same type of products available. In 1973 prices, it
was estimated that a consumer of sandwich xings, including bread, margarine, franks or
wieners, and processed cheese, would pay an additional $9.65 per year if additives were
not available.
Although packaging or processing procedures could be developed to replace the
need for additives, in most cases processing or packaging alternatives are not as costeffective as the use of additives. However, it must be recognized that some of the additivecontaining foods could be replaced in the diet with foods free of additives. It is also
important to realize that the assumption that food additives lower the price of foods is
based on maintaining the same type and quality of foods that we currently have available.
Without additives, we could still have an excellent food supply at a reasonable cost. However, to provide consumers with the variety of foods along with the other benets mentioned, would cost more without additives.
IV. RISKS OF ADDITIVES
Despite the benets attributed to food additives, for several years there have also been a
number of concerns regarding the potential short- and long-term risks of consuming these
substances. Critics of additives are concerned with both indirect and direct impacts of
using additives. As for many of the benets mentioned, there is not always adequate
scientic proof of whether or not a particular additive is safe. Little or no data are available
concerning the health risks or joint effects of the additive cocktail each of us consumes
daily.

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Introduction to Food Additives

The indirect risks that have been described for additives are the converse of some
of the benets attributed to their use. While it is accepted that through additives a greater
choice and variety of foods have been made available, there is no question that additives
have also resulted in the increased availability of food products with a low density of
nutrients. These so-called junk foods, which include many snack items, can in fact be
used as substitutes in the diet for more nutritious foods. Recently the food industry has
attempted to address this criticism by adding nutritional additives to snack items so that
these foods are a source of selected vitamins and minerals. The long-term effectiveness
of this is questionable. Obviously, educational programs are needed to ensure that consumers select nutritious foods. Some scientists, however, feel that there is a place in the diet
for foods that provide pleasure even if no direct nutritional benet can be ascribed to their
consumption.
Of greater concern than the indirect risks are the potential direct toxicological effects
of additives. Short-term acute effects from additives are unlikely. Few additives are used
at levels that will cause a direct toxicological impact, although there have been incidents
where this has happened. Of particular concern are the hypersensitivity reactions to some
additives that can have a direct and severe impact on sensitive individuals even when
the chemicals are used at legally acceptable levels. The reactions to sultes and other
additives, as described in Chapters 35 of this book, are examples of such a problem.
With proper labeling, however, sensitive individuals should be able to avoid potential
allergens.
Toxicological problems resulting from the long-term consumption of additives are
not well documented. Cancer and reproductive problems are of primary concern, although
there is no direct evidence linking additive consumption with their occurrence in humans.
There are, however, animal studies that have indicated potential problems with some additives. Although most of these additives have been banned, some continue to be used, the
most notable being saccharin.
Most existing additives and all new ones must undergo extensive toxicological evaluation to be approved for use. Although questions continue to be asked regarding the
validity of animal studies, there is a consensus among scientists that animal testing does
provide the information needed to make safety decisions. The procedures used for this
evaluation and the current philosophy regarding safety testing are outlined in Chapters 2
and 3.
V.

BALANCING RISKS AND BENEFITS

Due to the difculties in precisely dening the risks and benets of individual additives,
a legal rather than a scientic decision is commonly made regarding the safety of a food
additive. In such a decision, the potential risks must be weighed against the potential
benets. A common example of this balance is saccharin. Although there is no direct
evidence that saccharin, in the low amounts consumed in foods, causes cancer in humans,
risk evaluation in rats indicates a potential for cancer in humans. On the benet side,
saccharin is an excellent noncaloric sweetener that is useful for diabetics and those interested in reducing consumption of calories. Many consumers feel that the benets of having
saccharin available as a sweetening agent outweigh the risks. On the basis of available
risk information, however, the FDA initially issued a ban on saccharin in the early 1970s.
The U.S. Senate, recognizing the consumer demand for low-calorie foods, subsequently
placed a moratorium on the ban, thus allowing saccharins continued use. The moratorium

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Branen and Haggerty

was essentially the rst political recognition of the importance of balancing the potential
risks of an additive against its perceived benets and allowing the consumer the choice
of consuming or not consuming the food. The moratorium has continued for several years
and has undoubtedly had a signicant impact on the continued and proposed use of additives.
Concern regarding the safety of additives has declined in the United States since
the enactment of the saccharin moratorium. As noted in Chapter 6, a 1997 study indicates
that only 21% of supermarket shoppers were concerned about additives and preservatives,
a signicant decline from a 1987 study. Reduced consumer concerns plus a changing
political environment away from consumerism and a move toward more responsible use
of additives by manufacturers have lessened the controversy over additive use. The potential risks of additives are well recognized, but the benecial role these additives play in
food production, processing, and utilization are also felt to be essential to the maintenance
of our current food systems. With the convenient, tasty, and nutritious foods demanded, or
at least desired, by consumers and the increasing overall demand for foods as populations
increase, food additives will continue to play an important and essential role in food production. There will, however, continue to be concern regarding the potential risks associated with long-term consumption of small amounts of these chemicals and the possible
interactive toxicological effects. As methods improve for evaluating these toxicological
effects, some additives may be banned. At the same time, the same information may be
used to develop safer new additives or techniques for using existing additives in a way
that will lessen risk.
New technology is likely to have a profound impact on the use of food additives
in the future. Of these, recombinant DNA biotechnology may have the greatest effect on
the future development and use of food additives. Recombinant DNA biotechnology is
already routinely used for production of additives through bioprocessing, including organic acids, bacteriocin preservatives, enzymes, microorganisms, vitamins, and minerals
(Institute of Food Technologists, 2000). Biotechnology may also decrease the need for
food additives. Plants have been produced through recombinant DNA with increased shelflife and nutritional value, thus decreasing the need for a variety of additives. Although it
is expected these recombinant DNA methods will be accepted in the future, there are
currently several questions being raised regarding the risks and benets of these products
as well.
VI. LEGAL QUESTIONS
The nal decision regarding additive use will most likely fall on governmental agencies
that will evaluate the available information of potential risks and benets to reach informed
decisions. There is a need to harmonize these legal decisions on a worldwide basis, especially with the continued increase in movement of processed foods between countries.
Most likely these decisions will be specic to each country and depend on the perceived
benets, which may vary from country to country. It is hoped that research can continue
to better dene safety evaluation procedures and their interpretation. Research will also
be needed to better dene the use and benets of additives and identify possible alternatives. Existing laws in most countries appear to reect consumer concerns and provide
adequate protection. Chapters 7 and 8 provide excellent overviews of major laws governing use of additives in the United States and Europe. As research results become available,
however, these laws will undoubtedly change to reect changing information.

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Introduction to Food Additives

Informed scientists, food producers and consumers, and legal authorities need to
continue to meet on a worldwide basis to develop strategies for addressing concerns regarding additive use. It is doubtful that the interest in the wide variety of foods made
available with additives will decline in the future. With the expected continued increase
in per capita income on a worldwide basis, the demand for a variety of convenient foods
will also continue to increase. At the same time, as consumers become better educated,
they may also want less risk. In rare cases, decisions will be left to consumers, but most
will be made by legal authorities. We undoubtedly will continue to live in a society in
which additives are a way of life.
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