The Natural State of Breakfast Cereals

We count on breakfast cereals for a wholesome start to our day. At their inception, they were simple products -- flaked grains for ready-to-eat (RTE) cereals and milled grains for hot cereals. Today, a dizzying array of breakfast cereals lines store shelves, and new ingredients and consumer trends have set the stage for a growth in natural products.

Most cereals carry a complement of vitamins and minerals to boost nutrition. For many consumers, traditional fortification isn't enough. As research continues to show health benefits from other ingredients, such as soy and oat fiber, formulators create new products to deliver that benefit. Phytochemicals also are getting attention, and breakfast cereal is an ideal way to deliver the nutrition of fruits and nuts without extra effort from the consumer.

Cereals can fit many nutritional needs. Kashi(TM) Heart to Heart(TM) cereal, for example, claims to be the first cereal with functional ingredients to improve cardiovascular health. It contains traditional ingredients, such as whole-oat fiber and oat bran, but also takes advantage of nontraditional ingredients, such as grape seed extract and green tea extracts, for their antioxidant properties. Soy and dairy proteins also allow for new formulations to meet low-carb consumer demands.

For some, choosing a breakfast cereal is not only about what is good for the body, but also about what is perceived as better for the environment and society. Consequently, natural breakfast cereals are distinguished by what they do contain, as well as what they do not.

This leads us to explore the question: What does the word "natural" mean in reference to breakfast cereals?

Natural is not a legal term in the United States. Although the industry applies it to flavors and colors, no consistent definition of the requirements for a natural product can be found. Typically, it depends on the market or the vendor. Whole Foods Market, Austin, TX, lists the following quality standard, which product developers could consider one definition, on its website: "We feature foods that are free from artificial preservatives, colors, flavors, sweeteners and hydrogenated fats." Angela Braden, in "Going Natural: the Reshaping of America's Food Industry," Vibrant Life 20(3): 8-12, provides a definition of natural food as "unprocessed, unbleached, chemical- and/or hormone-free organic food products."  

Organic, on the other hand, is a legal term. Products must be certified before using the term organic. Kate Leavitt, international division manager for Sunrich Food Group, Hope, MN, clarifies: "In organic, by definition, you've used non-GMO sources. Above and beyond that, these are grown without pesticides, herbicides or chemical fertilizers. Processing techniques have been employed that did not use harsh chemicals, additives or solvents. There is a whole method of growing, producing and packaging that is much more environmentally friendly."

Although not a part of either definition above, natural cereals appeal to the market because of the implication that they're better for us. Ingredients such as berries, soy and flax are used more often in natural cereals because they provide added nutritional value. And, many consumers perceive minimally processed as healthier.  

When it comes to formulation, grain serves as the foundation of hot and RTE breakfast cereals. Grains may be used intact, coarsely ground or cut, or milled to a flour. Processes involved in creating RTE cereals include rolling, flaking, extrusion, gun puffing, shredding, baking or a combination. Whether flaked, shredded, extruded or puffed, RTE breakfast-cereal manufacture requires adding moisture and heat to gelatinize the starch in the grain, forming the product with a pressure increase or decrease, and drying the cereal to the final moisture content of approximately 2% to 3% for a crisp, crunchy bite. In hot cereals, the grain can be precooked to deliver an instant product, or left unprocessed for a product that requires cooking by the consumer.

Removing the bran from grains not only removes some of the nutrients, but for some, it often removes the perception of "natural." Plus, whole grains offer manufacturers the opportunity to place a health claim on labels. The product must contain at least 51%, by weight, whole-grain ingredients and meet a minimum dietary-fiber level according to a reference amount customarily consumed. If these criteria are met, the product can claim: "Diets rich in whole grain foods and other plant foods and low in total fat, saturated fat, and cholesterol may reduce the risk of heart disease and some cancers."  

Manufacturers are capitalizing on the chance to win over health-conscious consumers. Kris Nelson, sales and marketing director for Grain Millers Inc, Eden Prairie, MN, says, "We are seeing more interest in people getting samples of whole grains."

From the whole kernel, wheat can be made into puffed, rolled, shredded and flaked products. Each product has requirements that are met by a different variety or cultivar of wheat. In cereals where the darker-colored bran is undesirable, such as shredded wheat, white wheat is preferred. Soft red wheat is suitable for flaking since the product is toasted to develop a brown color. "The bran layer of the red wheat has a more distinct branny taste than the white wheat," says Nelson. Accordingly, the white- or red-wheat bran may be used in bran cereals to achieve the desired finished product. She adds that granola cereals will usually use soft white wheat flakes.

Breakfast cereal designers choose wheat for puffing for its suitability to that process. "Most of the wheat that is used for puffing is an amber durum," says Nelson. "A lot of people will bring it in slightly pearled, to allow the moisture uptake to happen faster. The amber durum has the vitreous starch that gives the quality to give a good puff." Durum wheat used for puffing is also sized for uniform kernels.

Farina, a wheat-based hot cereal, has a standard of identity. According to the standard, farina cannot contain bran or germ. It is comprised of hard red wheats due to their superior texture.

The majority of corn used for RTE cereals consists of yellow corn in the form of flaking grits that are milled from the corn's endosperm. Each flaking grit makes one corn flake. The endosperm is milled to finer grinds for meal and flour, which can be used for extruded cereals. White corn is used for hot cereals where the light color is preferred. The bran and germ removed from the endosperm -- traditionally used in animal feed -- are now fiber sources in cereals.

Oats have long been a staple in natural, hot and RTE breakfast cereals. Oat popularity got a huge boost when manufacturers could alert the consumer to the health benefits of beta-glucan soluble fiber in oat-bran and whole-oat products with a health claim (21 CFR Sec. 101, Pt. 81). To meet the fiber level in a cereal that contains oats blended with other ingredients, Nelson advises that manufacturers "will add back some oat bran to bump up that soluble fiber level and that allows them to use the 'heart healthy' claim."

For breakfast cereals, processors remove the hull from the oat -- the resulting product is called a groat. Rolling groats forms the familiar ingredient seen in granola cereals. For hot cereals, processors create the old-fashioned type of flakes by passing whole groats through the rolls, and achieve quick-cooking oatmeal by passing cut groats through the rolls. Scientists at the ARS Cereal Crops Research Laboratory, Fargo, ND, have found that, if the oats are hard, the groats show less likelihood of breaking in the rolling process, producing more and bigger flakes of rolled oats. Also, during dehulling, less groats broke when the oat's moisture levels were greater than 8%. The ARS scientists also found that the oat cultivars that produced fewer numbers of broken groats contained more beta-glucan.

Instant oatmeal combines thin flakes with some treatment to precook them. "Basically there is a change in absorption/gelatinization which may be accomplished by thickness of the flake, amount of moisture prior to flaking and the granulation of the cuts going into the process," says Nelson. Oat flour also is widely used in extruded RTE breakfast cereals.

Breakfast cereals also use medium and long-grain rice. Unbroken kernels work well in puffing, and large, broken kernels make flakes where uniformity is less critical. Rice is one of the few grains that can be oven-puffed, making crisped rice. At the right moisture, about 9% to 11%, rice will puff when heated to 550° to 650°F, without the pressure drop needed to puff other grains.

Rice-based cereals provide a solution for consumers who cannot tolerate gluten. According to Cary Maigret-Baptiste, marketing manager at PGP International, Woodland, CA, "Perky's(TM) Nutty Rice(TM) has a following of consumers who have celiac disease and are looking for a cereal that has no gluten-containing ingredients." For extruded products based on brown rice, Jennifer Eastman, technology manager at PGP International notes: "We can start with brown rice flour and extrude it, or we can add a (mechanically) stabilized rice bran back into the flour.   Stabilized rice bran has a longer shelf life than brown-rice flour." This rice undergoes a process that deactivates the lipase enzyme that can promote fat degradation.

Barley's main commercial use is malting, but a small amount is used in breakfast cereals. Barley contains a similar level of soluble dietary fiber as oats, making it a good fit for natural products. Barley's preparation for cereal manufacture is similar to that of oats because processors remove the hull. They then take barley that is hulled, or pearled, and flake it or grind it into grits or flour. Nelson also says that barley is usually used as a whole grain.

Other grains, such as flaxseed, triticale and buckwheat, may turn up in natural breakfast cereals, but to a lesser degree than those listed above. Flaxseed, for example, is a popular grain because it is high in healthful omega-3 alpha linolenic acid (ALA) (about 23   grams in 100 grams flaxseed), lignans (biologically active phenolic compounds with anticancer and antioxidant potential), and both soluble and insoluble fiber (about 28 grams in 100 grams flaxseed).   However, when using nontraditional grains, price and availability need consideration.

High-protein foods are hot right now, and soy helps meet the demand. Soy protein is complete with the nine essential amino acids found in animal protein. An added benefit is that a serving of cereal that delivers at least 6.25 grams of soy protein can carry the qualified health claim that soy protein may reduce the risk of heart disease (21 CFR Sec. 101, Pt. 82).

Using soy in natural breakfast cereals provides not just protein, but also isoflavones. Soy isoflavones behave like estrogen in the body, and may act as an alternative to hormone-replacement therapy for some postmenopausal women. Leavitt notes that women trying to consume isoflavones "can have a soy cereal with soy milk and get the soy that way."

In terms of delivering isoflavones, not all soy products are created equally; the process used to concentrate the protein can affect the isoflavone content. According to Geri Berdak, director of public affairs for The Solae Company, St. Louis, "Solae(TM) soy protein is carefully processed to maintain isoflavones and other natural health-promoting components of the soybean. Health-promoting components can be removed when alcohol or excessive water-washing is used to manufacture soy ingredients."

Soy is often used as a flour for extruded cereals, but it also comes in other forms that deliver different levels of concentrated soy protein. We have capabilities that allow our soy proteins to be extruded into many forms including flakes, nuggets, puffs, etc.," says Berdak. She adds that the protein level, size and densities of these products can be customized to deliver a wide product range for use in RTE cereals.

Unlike other standard grains, using soy for human consumption is relatively new. As a result, the soy that was initially used in foods was the same product going into animal feed and oil production. As Leavitt explains, the industry has focused on creating soy varieties specifically suited for food use. "Historically, there have been huge flavor issues around using soy," she says. "Different soybean varieties have been developed by using traditional crossbred methods to achieve a soybean that has less beany, grassy flavor and has more of a bland, clean and maybe slightly nutty flavor."

Crunch can come from more than soy and grains. A new product with applications in RTE cereals is the WPCrisp(TM) from Grande Custom Ingredients Group in Lomira, WI. The crisp is a patented whey product created from native starch and whey protein. The company can modify its texture to meet the requirements of the finished product. According to Stephen Dott, vice president of Grande Custom Ingredients Group, "The 'perfect crunch' depends on the application. (The customer) might want something to be harder and more crispy in a bar, and a little less of a crunch in a cereal."

The crisp's protein can vary, but can range from 40% to 70% with the balance of the composition in carbohydrate. "People tend to want a higher protein, and like the fact that you can deliver a dairy protein with a texture," notes Dott. He qualifies that this is not a carbohydrate-free product, but does have reduced carbohydrates compared to grain. Because it is based on whey protein, the product has a clean, dairy flavor and the nutrition of whey protein.

Malt extract is instrumental in the color and flavor development of many flaked and crisped products. Cereal manufacturers cook grains for these applications in a flavor syrup containing sugar, malt extract, salt and water. "The most prevalent flavoring materials used in the production of RTE cereal are malt extract and sugar in both liquid and dry forms," says Bob Hansen, manager of technical services for Briess Malt & Ingredients Company, Chilton, WI. "The reducing sugars and the free amino acids in the malt extract participate in the Maillard browning reaction during the cooking process. Rich reaction colors and flavors develop, providing a lot of the flavor of the cooked cereal flakes. Similar reactions give crisped-rice products their tan color and light, toasted flavor."

Malt extract is available as a liquid, a powder, or blended with corn syrup for convenience. The liquid contains 80% solids, and the powdered product will function the same as the liquid after hydration. According to Hansen, to develop flavor, use malt extract at a level of 2% to 5% in the product. Due to the high viscosity of the liquid, manufacturers should hold malt extract in heated bulk silos.

Malt extract use is not limited to the contribution of reaction flavor and color to RTE cereals. "Malt extract can be used as part of the finished sweetener system for cereals, being applied to the finished cereal topically along with corn syrup or sucrose. It may also be used as part of a sweetening/ binding system, as in the case of granola or granola clusters," says Hanson. "Malt extract is usually about 8% protein on a dry basis and contains a nutritionally significant (>20% RDA for 100 grams) amount of magnesium, riboflavin, niacin and B6."

Manufacturers can add sweeteners to breakfast cereals internally as part of the initial formula, or as a coating. The most prevalent sweetener in breakfast cereals is granulated or liquid sugar, or sucrose. Natural products more likely are sweetened by less-processed evaporated cane juice. Sugar producers boil cane juice in the presence of lime and filter it to remove impurities. They concentrate the resulting liquid through the use of vacuum and heat to form a syrup that contains crystals. The syrup is centrifuged, pulling off the molasses and leaving what is called the first, or raw, sugar. Some descriptions of evaporated cane juice describe it as this first sugar. Evaporated cane juice comes in a range of colors, corresponding to the amount of molasses left on the crystals, and tends to be more hydroscopic than refined sugar. The crystallized form is referred to as evaporated cane juice, but suppliers also make liquid syrups.

Consequently, molasses production and terminology closely resemble that of cane sugar. The highest quality molasses is made from pure cane juice. For this product, processors simply clarify and reduce cane juice. They can invert sugars in the molasses to increase the liquid's stability. The molasses that is pulled off in creating the first sugar is referred to as the first molasses, which can be boiled for the removal of additional sugar, the second molasses. Each step, results in a less-sweet molasses. After three or more boilings, the molasses has very little sugar left; this is blackstrap molasses.

Another natural sweetener popping up in cereal applications is honey. "Honey is an ingredient continually in high demand due to its natural appeal and functionality. It is used for its ability to bind, sweeten, or increase shelf life," says David Ropa, consultant to the National Honey Board, Longmont, CO. He says that while honey is considered natural, it can be filtered and processed to meet the manufacturer needs. Although most honey sold in the United States is in a liquid form, dried honey with added ingredients for flowability is also used. He cites research that determined the optimum level of honey in extruded cereals based on consumer acceptance is 10%; in a spray-dried coating the usage could be 1% to 2%.

"Brown-rice syrup is an all-natural whole-grain-derived sweetener that is used in place of corn syrup in organic foods and those that do not allow GMOs, or those with a natural image," states Hansen. "Simply, whole-grain rice is brought in, mixed with water, allowed to convert with the natural enzymes, and then concentrated to make a semi-cloudy syrup. The nutrients that are in the rice and also in the water are concentrated in the syrup, so that brown-rice syrup contains vitamins, minerals and a small amount of protein."

Concentrated fruit juices are another sweetening source found in natural breakfast cereals. The concentrates offer a clean label statement and are a likely fit with cereals that are fruit-flavored or contain fruit pieces. These generally fall in the 65° to 70°Brix range. "At the trade shows there are enthusiasts who like the natural types of sweeteners, like raisin juice concentrate and honey, but they are less impressed by evaporated cane juice," notes Maigret-Baptiste. White, grape, apple and/or pear make the best sweeteners for most applications because of their bland color and flavor.

Oil has several functions in breakfast cereals. In coated products, oil can act as a flavor carrier or improve texture and texture retention. Oil is part of the liquid system that binds and flavors granola cereals. It contributes flavor and texture to the granola cluster. In addition to non-GMO and organic designations, expeller-pressed and nonhydrogenated are two possible requirements for oils in natural breakfast cereal. Processors remove expeller-pressed oils from the seed mechanically, without solvents. "The hydrogenation process is something that is done after the oil is extracted out of the seed," explains Heather Ganske, technical services for Sunrich. Hydrogenated oils do not fit natural products because hydrogenation is an additional chemical process the ingredient goes through, and because it creates unhealthy trans-fatty acids.

Flavors differentiate cereals and allow for the creation of multiple products from the same substrate. Andy Dratt, director of marketing and business development, Flavors of North America, Inc., (FONA), Carol Stream, IL, says: "You are definitely seeing fruit coming back. That includes cereals that have more large fruit pieces." However, flavors may heighten the fruity perception, as long as they fit the definition of natural.

Flavors are best applied as part of the sugar coating on the cereal piece. According to Becky Sells, applications technologist for FONA,   "Generally, the flavor can survive the heat treatment involved in the syrup much more than it can in an extrusion process."

Brown flavors are common in cereals, and they work well in natural products. "Brown-sugar flavors and maple flavors are used as background notes in cereals, and those are easily made in natural form," she says. She adds that brown flavors are not as susceptible to volatilization as certain other flavors might be, like fruit flavors, for example.

Flavors can carry the label natural, natural with other natural flavors (WONF), natural and artificial (N&A), or artificial (21 CFR, Sec. 101 Pt. 22). While in theory, since "natural cereal " lacks a definition, any of these flavors could be used in natural breakfast cereals. "There is a trend for natural flavors in the natural cereal market, however, with respect to the average kids' cereals, N&A flavors are acceptable. It all depends on the label claim that one wishes to make," says Sells.

Colors also help differentiate products. FDA defines two color categories: certifiable colors and those that are exempt from certification. Certified colors are generally considered "artificial" as they are derived from petroleum. Exempt colors are often called natural, as they come from natural sources, such as plants, minerals and animals. Examples include caramel color, titanium dioxide and carmine. However, for a product to be called naturally colored, the colorant must be naturally occurring. If the food is colored by something other than what is already present -- even if the color being used is exempt from certification -- the product is considered artificially colored, or as having color added. Penny Martin, manager of technical services, Sensient Food Colors North America, St. Louis, adds: "Certain companies may try to market cereals that are made with natural ingredients. In addition to FDA regulations, it comes down to each company's internal policies as to what ingredients they can use, especially in the area of color additives."

Martin has found that: "The use of natural colors for specialty natural breakfast foods continues to increase. Many shades are available in the yellow to orange to red and purple region." She adds that there are no "natural" blue and green colors with FDA approval. Colors available for natural cereal applications are, she says, "beta carotene, orange; carmine, magenta and purple; turmeric, bright yellow; and annatto extract, yellow to orange." She adds that in selecting the colorant and the usage level, the developer must take into consideration the concentration of the color, the amount of air or puff in the product, and the desired end shades.

You expect to find bananas, strawberries and peaches in the produce section, but fruits also have a strong presence in the cereal aisle. Dried fruit pieces in cereals have visual appeal, texture and flavor, but also improve the product's nutritional value. Fruits must have low moisture and water activity (aw) and/or be coated with a barrier system to prevent the migration of moisture to the grain portion of the cereal.

Fruits pieces suitable for cereals are available in several forms. Air-dried and freeze-dried fruits retain most of their flavor and nutrients, however they have a chewy or crunchy texture, respectively. Fruit can be infused prior to drying to create a broad range of textures, colors and flavors. For example, processors can infuse apple with blueberry juice to create a soft fruit piece that has the flavor and color of blueberries -- still all-natural as far as ingredients, but typically more cost-effective.

In cases where the fruit piece does not deliver the desired flavor impact, Dratt suggests: "There are opportunities to make those cereals taste better by adding fruit flavor on top of the cereal by putting it on the flake to supplement flavor from the bit, which provides more of a visual and textural appeal."

Many products contain blueberries for the health-conscious as well as the mainstream consumer. The website for the San Mateo, CA-based U.S. Highbush Blueberry Council, www. ushbc.org, cites numerous health studies that support the benefits. Anthocyanin, the pigment that gives the blueberry its color, is an antioxidant believed beneficial in reducing the risk of certain cancers. Other flavonoids in blueberries, such as quercetin and ellagic acid, may play a role in protecting against cancer.

Traditionally, raisins have been a popular component of hot and cold breakfast cereals. Their relatively low moisture content of less than 18% allows them to be incorporated without an additional drying step. Raisins fare well when considered as a component of a "good-for-you" food. According to the California Raisin Marketing Board, Fresno, 100 grams of raisins contains 5.3 grams of dietary fiber and 3.3 grams of protein, and also supply vitamins A and C, calcium and iron.

Nuts and seeds are rising in popularity in natural breakfast cereals. Almonds have numerous applications in natural breakfast cereals. Their crunchy texture complements RTE cereals. Chopped almonds can be stuck onto the surface of the cereal piece with a carbohydrate tack system, or slivered almonds can stand alone as a component in a blended cereal, or be baked into a granola cluster. According to the Almond Board of California, Modesto, almonds are the best whole-food source of vitamin E.

Walnuts also are found in hot and RTE cereals. The two major species of walnuts are English walnuts and black walnuts, although black walnuts are not typically used for commercial production because of poor hulling properties. According to the Walnut Marketing Board and California Walnut Commission, both based in Sacramento, walnuts are rich in omega-3 fatty acids and are good sources of vitamins and minerals including potassium, magnesium, phosphorous, copper, zinc and vitamins B6 and E.

Any discussion of granola and other natural cereals would be remiss without the mention of sunflower seeds. Many sunflower varieties are available for different applications. The variety most often used in breakfast cereals is the high-oleic sunflower. Nancy Nelson, M.S., R.D., sales manager for SIGCO Sun Products, Inc., Breckenridge, MN, says: "The shelf life of traditional sunflowers (usually roasted for cereal applications) was not enough to be used in typical food applications. The high-oleic sunflower has three to five times the shelf life."

Nancy Nelson also stresses that the high-oleic variety is not genetically modified or further processed to achieve that attribute. "The difference in the high oleic is the type of fatty acids, the ratio is the reverse of traditional fatty acids, which gives it the longer shelf life," she says. "It has been critical for the food applications we use it in." The more stable varieties contain less unstable polyunsaturates than the traditional seeds.

Cereals traditionally use sunflower as part of a granola cluster. Like any other small nut piece, sunflower kernels tend to sink to the bottom of the breakfast bowl when milk is added. A new product from SIGCO, SunPoppers(TM), is a coated sunflower kernel that will disperse well in cereal and has a crisp texture.

The market for natural breakfast cereals includes consumers who are trying to eat healthier as well as consumers who want food in its least altered state. Many might consider most vitamins and mineral ingredients as "not natural." Consequently, natural breakfast cereals may or may not be fortified, depending on how it is marketed.

Alice Wilkinson, director of research and development for Watson Foods Company, Inc., West Haven, CT, says: "The nutrients most typically requested for mainstream natural cereal products are vitamins A, C, E and a blend of B vitamins. All of these are typically fortified at 35% Daily Value or less on a per serving basis." She adds that fortification with minerals is sometimes required, particularly calcium, iron, magnesium, copper and zinc.

Care needs to be taken to make sure that the fortifying ingredients get delivered to the consumer since they may degrade during storage or processing. "Ultimately, the product for the United States needs to be at least 90% of label claim at the end of shelf life," notes Wilkinson. Typically overages are needed for components that are known to be sensitive to processing. Two premixes might be needed to add minerals, which are more stable, into the cereal flake, with vitamins sprayed on post-process. Also, ingredients can be lipid-encapsulated. She adds that lipid encapsulation works well in hot cereal application because the ingredient will not go through baking or spraying, and the fat will melt upon preparation.

The natural breakfast cereal market is fragmented and there is no one product that will appeal to everyone. "The focus is to have a wide range of products appealing to everyone from the real health-focused consumer to a more mainstream consumer who is primarily eating it because it tastes good, but likes the fact that it is organic and maybe contains soy as well," says Leavitt. She adds we must bear in mind that "ultimately, these products have to be tasty ... even if the product is organic you will not see repeat sales unless it tastes good"

Karen Grenus, Ph.D., has eight years combined experience in applied research and product development in the area of dry blends for savory applications. She holds a doctorate degree from Purdue University in Agricultural and Biological Engineering