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    ABSTRACT Widespread interest in the possibility that

    selected foods might promote health has resulted in the coining

    of the term functional food, although agreement about what is

    and what is not a functional food is lacking. Public interest in

    functional foods is increasing because of higher health care

    costs; the passage of federal legislation affecting many food cat-

    egories, including the expanded category of dietary supplements;

    and recent scientific discoveries linking dietary habits with the

    development of many diseases, including coronary heart disease

    and some cancers. A variety of foods have been proposed as pro-viding health benefits by altering one or more physiologic

    processes. Biomarkers are needed to assess the ability of func-

    tional foods or their bioactive components to modify disease and

    to evaluate the ability of these foods to promote health, growth,

    and well-being. Evidence suggests that several biomarkers may

    be useful for distinguishing between diseased and nondiseased

    states and even for predicting future susceptibility to disease. A

    variety of biomarkers will probably be needed to develop a pro-

    file for an individual that reflects the impact of diet on perfor-

    mance and health. Another area of interest is the interaction of

    nutrients and their association with genetics. These interactions

    may account for the inconsistent interrelations observed between

    specific dietary constituents and the incidence of disease.

    Greater understanding of how diet influences a persons geneticpotential, overall performance, and susceptibility to disease can

    have enormous implications for society. As new discoveries are

    made in this area, consumers will need access to this information

    so that they can make informed decisions. Am J Clin Nutr

    2000;71(suppl):1654S9S.

    KEY WORDS Functional food, biomarkers

    INTRODUCTION

    Cultural beliefs in the mystical powers of foods have been

    handed down for generations (1). The ability of specific foods to

    prevent or reduce the severity of symptoms arising from what are

    now frequently recognized as nutritional inadequacies has beenrecorded in a variety of historical documents. Interestingly, as

    scientists unravel the mysteries about specific nutritional needs,

    it becomes apparent that some dietary components that may not

    be required for human existence may indeed markedly influence

    quality of life by modifying one or more physiologic processes.

    The ability of such foods to influence these processes is likely

    dependent on several factors, including interactions with other

    constituents in the overall diet and the consumers physiologic

    state, behavior pattern, and genetic background. People through-

    out the world are becoming increasingly convinced that the

    foods they consume can not only modulate performance but also

    influence their risk of acquiring a variety of diseases (2). It is

    logical to assume that consumer demand for these health-

    promoting foods and the physiologically active compounds they

    contain will continue to grow in the foreseeable future, as will

    the availability of novel foods.

    Consumers must be provided with the information necessary

    to make informed decisions as to whether they should adjusttheir intake of specific foods and their associated components.

    Several fundamental issues that need addressing become imme-

    diately apparent, however, when attempting to provide infor-

    mation about potential benefits and risks accompanying

    increased consumption of any food or component. Unlike the

    case with drugs, it is generally assumed that increased con-

    sumption of foods and food constituents is safe and that any

    response will be associated with a reduction in risk rather than

    with a cure or treatment. Even these general beliefs are ques-

    tionable, however, because toxicity is a function of the quantity

    consumed. Hence, it is inappropriate to consider use of func-

    tional foods and their bioactive components as being without

    some degree of risk. A more fundamental issue is the relative

    benefit or risk that might accrue from the increased ingestion ofsuch foods. To assess the relative merits and concerns about

    this issue, some scientific agreement is needed, even though

    such agreement is also somewhat relative because some per-

    sons may value particular information more than others when

    establishing beliefs and opinions.

    Experience has taught us that scientific opinion can be in

    error, such as when disagreements surfaced about the cause of

    gastric ulcers. Nevertheless, even though scientific agreement

    may not totally eliminate the possibility of error, it certainly

    reduces its probability. The alternative of an ill-informed soci-

    ety based on minority agreement or, perhaps even worse, agree-

    ment based on an inadequate science base, would unquestion-

    ably raise the chance for error and probably result in deleterious

    effects to society. History has revealed that although knowledge

    Am J Clin Nutr2000;71(suppl):1654S9S. Printed in USA. 2000 American Society for Clinical Nutrition

    Functional foods: the US perspective13

    John A Milner

    1654S

    1 From the Department of Nutrition, The Pennsylvania State University,

    University Park.2 Presented at the 17th Ross Research Conference on Medical Issues, held

    in San Diego, February 2224, 1998.3 Address reprint requests to JA Milner, The Pennsylvania State University,

    Department of Nutrition, S126 Henderson Building, University Park, PA 16802.

    E-mail: [email protected].

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    is important, wisdom about how and when to use this informa-

    tion is critical. Unfortunately, consequences other than those

    intended have been documented when intake of foods or their

    components is excessive (3, 4).

    FUNCTIONAL FOOD

    Widespread interest in the possibility that selected foods

    might promote health has resulted in the coining of the genericterm functional food. The Food and Nutrition Board (FNB) of

    the National Academy of Sciences defines a functional food as

    one that encompasses potentially healthful products, including

    any modified food or food ingredient that may provide a health

    benefit beyond that of the traditional nutrients it contains (5).

    Although the term functional foodis increasingly recognized as

    a household word, it has not been embraced totally by the health

    and scientific communities. Controversies about what is and

    what is not a functional food remain at the forefront of discus-

    sions (68). Many believe that the promotion of food as good

    or bad is inappropriate and scientifically indefensible. Fur-

    thermore, many nutritionists are adamant that only diets can be

    classified as good or bad, not foods per se (9). It is unlikely that

    a nonfunctional food exists. Thus, in the broadest context, allfoods must be considered functional. Nevertheless, some foods

    may be particularly beneficial in selectively altering specific

    physiologic processes that improve the quality of life or reduce

    the risk of acquiring a disease. The wholesomeness of any diet

    depends on the supply of individual food components, interac-

    tions among components, and meeting needs dictated by an indi-

    viduals genetic background and physiologic state.

    The suggestion that certain foods or their components might

    offer some unique health benefit has blurred the distinction

    between foods and drugs. Classically, a drug is any article

    intended for use in the diagnosis, cure, mitigation, treatment, or

    prevention of disease. Modification of the FNB definition to

    reflect functional rather than health might help to resolve

    some of these drugs-versus-nutrients concerns. In addition, thepromotion of increased consumption of functional foods and

    their associated bioactive components should be viewed as an

    approach to optimized nutrition rather than as an endorsement

    of enhanced consumption of good foods or as a simple market-

    ing strategy. Whether or not functional foods persists as a term,

    it is imperative that consumer confidence in the food supply not

    be jeopardized. Promotion of good and bad foods must be

    avoided.

    REASONS FOR PUBLIC INTEREST

    Increased interest in functional foods is likely occurring for

    3 reasons: increased health care costs, recent legislation, and sci-

    entific discoveries. Expenditures associated with health services, asa percentage of national wealth (the gross national product, or

    GNP), continue to rise worldwide (10). Health care in the United

    States accounts for14% of the GNP. Inappropriate dietary habits

    are viewed by many as contributing to poor health and associated

    health care costs (11). Dietary factors are seen as contributing to

    the leading causes of death of Americans, including coronary heart

    disease and certain types of cancers (1113). It would be foolhardy

    to believe that foods might be used as magic bullets against dis-

    eases, but it would also be unwise to reject evidence that inappro-

    priate dietary habits can exacerbate unhealthy conditions. The

    belief that foods and their components have unusual health bene-

    fits is one possible explanation for the expanding use of supple-

    ments among Americans. A large percentage of apparently healthy

    people residing in the United States are using supplements (14,

    15), with use influenced by several factors, including age, sex, and

    previous medical condition.

    Coronary heart disease is the most common cause of death

    today. It accounts for 44% of the mortality and much of the

    morbidity in the United States (13). It accounts for two-thirds ofdeaths from heart disease and accounts for 70% of all deaths

    among persons older than 75 y. As the worlds population

    increases in age, concerns will certainly intensify about how best

    to reduce the risk of death and disability from this disease. A

    recent estimate put the economic cost of atherosclerotic cardio-

    vascular disease at $259 billion. The role of diet in this disease

    has yet to be clarified, but if this estimate of cost is accurate, a

    small percentage of responders to dietary change could have a

    substantial impact on health cost. Tucker and Miguel (16) esti-

    mated that improving the nutritional status of some persons can

    be expected to reduce hospital costs. Although the benefits of

    reducing hospital costs should not be understated, it is likewise

    important to recognize that preventive nutrition strategies will

    likely have an even greater impact on health care costs.Correlations have been reported between dietary habits and

    60% of cancers in women and >40% of cancers in men (17). It

    is likely that several essential and nonessential dietary components

    influence the risk of developing cancer. Because 25% of Ameri-

    cans will ultimately deal with the complications of cancer, anything

    that reduces its risk can substantially reduce health care costs.

    However, increased supplement usage among cancer patients raises

    questions not only about effective dosages of dietary constituents

    and their cost but also about their safety (14, 15).

    An estimated 6% of the national health expenditure is associ-

    ated with treatment of obesity (18). Several dietary components

    may influence energy intake and metabolism (19, 20). Recent

    evidence that conjugated linoleic acid, a functional food compo-

    nent found primarily in animal tissues and fluids, can alter lipidhomeostasis provides evidence that the potential health benefits

    of foods are not limited solely to plant sources (21).

    Three US legislative acts of the 1990s have likely had a signi-

    ficant effect on the promotion of the concept of functional foods.

    The first, the Nutrition Labeling and Education Act, passed in

    1990 (22), mandated that the Food and Drug Administration

    (FDA) establish regulations requiring most foods to have a uni-

    form nutrition label and also established circumstances under

    which claims about content and disease prevention could be

    made about nutrients in foods. The second piece of legislation,

    the Dietary Supplement Health and Education Act of 1994 (23),

    defined dietary supplements as any product that contains one or

    more dietary ingredients, such as vitamins, minerals, herbs or

    other botanicals, amino acids, or other ingredients used to sup-plement the diet. Additionally, it created a mechanism for deal-

    ing with safety issues, regulation of health claims, and labeling

    of dietary supplements; provided for good manufacturing prac-

    tices; established new government entities to review regulations;

    and encouraged research on dietary supplements. Finally, the

    FDA Modernization Act of 1997 (24) amended the Federal Food,

    Drug, and Cosmetic Act by allowing health claims that are not

    preauthorized by FDA if the claims are based on authoritative

    statements of government agencies such as the National Acad-

    emy of Sciences or the National Institutes of Health.

    FUNCTIONAL FOODS: THE US PERSPECTIVE 1655S

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    Epidemiologic and laboratory findings are continuing to pro-

    vide convincing evidence that increased consumption of fruit

    and vegetables can significantly modify disease risk. Interest-

    ingly, a rather large number of chemical compounds found in

    fruit and vegetables appear to offer protection (25, 26). Evidence

    exists that these essential and nonessential nutrients modify sev-

    eral cellular processes. Unquestionably, dietary habits are not the

    sole determinant of disease states, but adjusting the diet likelyrepresents a significant way of reducing risk.

    CHARACTERIZATION OF FOODS

    A partial list of foods that have been proposed to provide ben-

    efits by altering one or more physiologic processes is presented

    in Table 1. Nuts, whole grains, fruit, and vegetables contain a

    variety of compounds associated with reduced risk of heart dis-

    ease, cancer, diabetes, hypertension, and a variety of other med-

    ical conditions. Although substantial evidence exists that foods

    such as grains, garlic, and soybeans can decrease the risk of both

    heart disease and cancer, evidence for other foods is equivocal

    (2527). Widely diverse components in whole grains that may

    provide protection by influencing the environment of the gas-trointestinal tract include dietary fiber and other indigestible

    components; several types of antioxidants, such as trace miner-

    als and phenolic compounds; and several phytoestrogens that

    may alter hormonal homeostasis (28, 29).

    Cabbage, onions, garlic, celery, cucumber, endive, parsley,

    radish, and legumes are among the nongrains that have been

    reported to have some health benefits (25, 29). The benefits of

    functional foods are not limited to natural foods, however,

    because they can result from the generation of novel foods as

    well. For example, low-fat foods may provide some benefits in

    reducing the risk of heart disease. Gould (30) suggested that vig-

    orous lowering of cholesterol by using low-fat foods and lipid-

    active drugs, controlling hypertension, and abstaining from

    smoking stabilizes plaque and markedly reduces coronary eventsand angina pectoris, with greater improvement in survival than

    reported for elective, invasive revascularization procedures.

    Many types of compounds found in foods may be responsible

    for the health benefits attributed to functional foods. Allyl com-

    pounds, such as those found in garlic and related foods, have

    been used in various parts of the world not only for aroma and

    flavor but also as antimicrobials, insect repellants, and modifiers

    of the risks of cancer and heart disease (27). Other compounds

    that may contribute to observed protection include carotenoids,

    which are found in vegetables and fruit; flavonoids, found in

    fruit, vegetables, nuts, and grains; and indoles and isothio-

    cyanates, both found in cruciferous vegetables.

    An enormous number of carotenoids are found throughout the

    plant kingdom. These compounds, many of which do not possess

    vitamin A activity, can influence numerous biological functions

    by serving as antioxidants, modulators of cell growth regulation,

    regulators of gene expression, and immunoregulators (31, 32).

    Indole-3-carbinol is one of several carotenoids found in cabbage,

    broccoli, Brussels sprouts, and other Brassica vegetables reportedto exhibit anticarcinogenic properties in experimental animals. In

    addition, recent studies suggest indole-3-carbinol may be a safe,

    well-tolerated, and efficacious treatment for recurrent respiratory

    papillomatosis (33).

    More than 100 sulfur-containing glycosides known collec-

    tively as glucosinolates occur naturally in cruciferous vegeta-

    bles. On hydrolysis, they yield thiocyanate, nitrite, and isothio-

    cyanates. Isothiocyanates influence a variety of biological

    reactions (17, 25, 29).

    More than 4000 flavonoids, which are polyphenolic com-

    pounds found ubiquitously in foods of plant origin, have been

    described and categorized into flavonols, flavones, catechins,

    flavanones, anthocyanidins, and isoflavonoids. Flavonoids poten-

    tially have a variety of biological effects, including serving asantioxidants, influencing drug detoxification mechanisms, and

    altering cell proliferation (34).

    BIOMARKERS

    Almost any measurement that reflects a change in a bio-

    chemical process, structure, or function that results from an

    interaction between a biological system and an environmental

    agent, including a dietary component, can serve as a biomarker.

    Biomarkers are needed not only to assess the value of func-

    tional foods and their biological components as modifiers of

    disease, but also to evaluate their ability to promote health,

    growth, and well-being. Evidence is emerging that several bio-

    markers may be used successfully to distinguish between dis-ease and nondisease states and, in some instances, to predict

    future susceptibility to disease (35). Use of such biomarkers as

    indicators of biological responses to selected foods and food

    components is critical because long-term dietary interventions

    are virtually impossible to conduct for numerous reasons,

    including cost.

    Several sensitive, reliable biomarkers are likely needed to ade-

    quately assess the benefits and risks associated with increased

    consumption of specific foods and their bioactive components,

    but without question these biomarkers must not be extremely

    expensive. Intake, biological effect, and susceptibility biomark-

    ers will probably be needed to evaluate adequately the effective-

    ness of functional foods and their bioactive components (Figure 1).

    Intake biomarkers are useful for reflecting the amount of foodor metabolite present in cells, tissues, or body fluids. With these

    biomarkers, differences between absorption and accumulation

    must be considered. Assessment of intake indicators is relatively

    straightforward analytically, but their use is complicated by the

    need to know the best time for their measurement after con-

    sumption and by variability in rates of metabolism and accumu-

    lation across tissues and biological fluids (36).

    The usefulness of biological effect biomarkers can also be

    influenced by several methodologic issues. Among the most

    germane of these issues are the association of these biomark-

    1656S MILNER

    TABLE 1

    Partial list of functional foods and their physiologic effects

    Food Physiologic effect

    Apple, barley, blackberry, blueberry, carrot, Lipid lowering

    eggplant, oats, garlic, ginger, ginseng, mushroom,

    onion, soybean, tea

    Lemon, apple, cranberry, garlic, beet, cucumber, Enhanced drug

    squash, soybean, cabbage, Brussels sprouts, detoxification

    cauliflower, kale, broccoli, spinachGinseng, licorice, oats, parsley Antiinflammatory

    Cranberry, garlic, onion, green tea Antimicrobial

    Anise, fennel, soybean, cabbage Antiestrogenic

    Orange, green tea, garlic Antiproliferative

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    ers with causal pathways and their probability of detecting

    effects coinciding with either the maintenance of health or

    progression to a disease state. Effect biomarkers are particu-

    larly useful if they can predict a potentially detrimental

    response long before it occurs. Unfortunately, at present, few

    biomarkers are universally accepted as being this reliable. The

    range of effect biomarkers required is immense because they

    are needed to detect a variety of metabolic events that alter

    cognitive and physical performance or change the risk of dis-ease. Associating genetic polymorphisms with carcinogen-

    DNA adduct measurements to assess cancer risk is beginning

    to show promise (37). Other creative approaches will likely be

    needed to develop a battery of biomarkers that can be used to

    evaluate the effectiveness of the food supply in influencing the

    overall quality of life.

    Many biomarkers are beginning to emerge that might be

    used effectively to monitor the impact of dietary habits on

    growth and development, including platelet-derived growth

    factor, transforming growth factor, basic fibroblast growth fac-

    tor, epidermal growth factor, insulin-like growth factor, and

    hepatocyte growth factor (38). New approaches will be

    required to unravel the effects of dietary habits on these and

    other effect biomarkers.Susceptibility biomarkers are also critical for evaluating the

    merits of changing ones dietary habits. These biomarkers allow the

    measurement of individual differences associated with genetic

    background, or variation associated with many environmental fac-

    tors (35, 39). The ability of genetic differences to activate or detox-

    ify genotoxic agents is becoming increasingly recognized as an

    appropriate susceptibility biomarker. Many genes, associated prod-

    ucts, or receptors are now under investigation as markers of sus-

    ceptibility, including those associated with OB, UCP, erbB-2, ras,

    myc, p53,BCL-2, Ki-67, and HNF-1- (3941). Although several

    single-gene mutations have been shown to cause problems in

    experimental animal models, such as those that occur in some

    causes of obesity, the situation in humans is likely to be consider-

    ably more complex. Interactions among several genes, environ-

    mental factors, and behavior make the search for appropriate gene

    markers especially challenging. Nevertheless, new markers are

    being developed that should offer exciting opportunities for clari-

    fication of the effect of genes and the environment.

    Overall, a variety of biomarkers will probably be needed todevelop a profile for an individual that reflects the effect of diet

    on performance and health. To assess the benefits of foods or

    their components, additional attention must be paid to examining

    the variability in response among populations and individuals,

    the strengths of any association or correlation, the specificity of

    the relation, the reversibility of the response, and the biological

    basis for any proposed benefits.

    The development and application of biomarkers have enor-

    mous importance not only in improving health but also in demon-

    strating the importance of dietary habits. Without question, any

    information related to a biomarker must be consistent with scien-

    tific standards for statistical significance. Before a claim is made

    about the benefits of a particular functional food or bioactive

    component, the following types of information must be evaluated:epidemiologic evidence (25%), intervention studies (35%), ani-

    mal models (25%), and mechanism of action (15%). These esti-

    mates (percentages in parentheses) of the weighting that might

    appropriately be given to each type of evidence in evaluating the

    totality of information are presented to initiate debate rather than

    to establish a meaningful basis for evaluation. This is in no way a

    novel approach; it was used in preparing 6 consensus statements

    about chronic disease (42). The opinion reflected here repre-

    sents the thoughts of one individual (with no statistical freedom)

    and, therefore, is not an expression of an official position. The

    FUNCTIONAL FOODS: THE US PERSPECTIVE 1657S

    FIGURE 1. Biomarkers needed to assess the response to functional foods and their bioactive components. Biomarkers evaluating intakes, biologi-

    cal effects, and susceptibility are interconnected throughout the process. Broken lines are used to reflect the influence that susceptibility has on theuptake, metabolism, and biological response to functional foods. Genetics, physiologic state, and the environment may markedly influence suscepti-

    bility and, therefore, any step within the process.

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    following questions must be asked: What is the minimal accept-

    able score for a claim? Would this minimum value differ if a func-

    tional or a health claim was being proposed?

    INTERACTIONS AMONG NUTRIENTS

    Elucidation of the specific roles and interactions of nutrients

    and their associations with genetics will assist in the identifica-

    tion of critical times for intervention and lead to sound and accu-rate dietary guidance that can be tailored to reduce disease risk

    of individuals. Interactions among dietary constituents may con-

    tribute to the inconsistent relations observed between specific

    dietary constituents and the incidence of disease.

    Although interactions among nutrients have been inade-

    quately examined, a few examples of negative and positive inter-

    actions exist. Vitamin C has been reported to reduce seleniums

    effectiveness against chemically induced colon cancer (43). The

    significance of such interactions may be even more pronounced

    because selenium has been shown to enhance the ability of gar-

    lic to inhibit chemically induced mammary cancer in experimen-

    tal animals (44). Nonessential and essential nutrients cannot be

    considered to operate in isolation; rather, they work in a dynamic,

    constantly changing milieu. Greater attention to all componentsof the diet and elaboration of their interactions should make pos-

    sible specific and appropriate recommendations for the general

    population and allow for recommendations tailored to specific

    subgroups or individuals.

    EFFECT OF PROCESSING

    The processing of foods can influence the availability of nutri-

    ents either positively or negatively. Stahl and Sies (45) found that

    lycopene bioavailability was improved by heating tomato prepa-

    rations in the presence of oil. On the other hand, Ali (46) found

    that boiling garlic for 15 min markedly reduced its ability to

    inhibit thromboxane B2 synthesis in rabbit lung. Similarly, recent

    studies from our laboratory (47) showed that heating of garlic ina microwave or conventional oven before peeling can dramati-

    cally reduce its ability to alter the bioactivation of a known

    experimental mammary carcinogen. The effect of different pro-

    cessing methods on the biological availability and effectiveness

    of physiologically active components in various functional foods

    remains to be determined.

    CONCLUSION

    Development of the scientific underpinning of functional foods

    and their bioactive components as health promoters is emerging as

    a new frontier for nutritionists and other health professionals.

    Greater understanding of how diet influences an individuals

    genetic potential, overall performance, and susceptibility to dis-ease can have enormous implications for society. As new discov-

    eries are made in this area, the new information will be needed by

    consumers so that they can make informed decisions.

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    FUNCTIONAL FOODS: THE US PERSPECTIVE 1659S