Food Labeling: Nutrient Content Claims, Expansion of the Nutrient Content Claim “Lean”, 71041-71057 [05-23293]
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71041
Proposed Rules
Federal Register
Vol. 70, No. 226
Friday, November 25, 2005
This section of the FEDERAL REGISTER
contains notices to the public of the proposed
issuance of rules and regulations. The
purpose of these notices is to give interested
persons an opportunity to participate in the
rule making prior to the adoption of the final
rules.
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Food and Drug Administration
21 CFR Part 101
[Docket No. 2004P–0183]
Food Labeling: Nutrient Content
Claims, Expansion of the Nutrient
Content Claim ‘‘Lean’’
AGENCY:
Food and Drug Administration,
HHS.
ACTION:
Proposed rule.
SUMMARY: The Food and Drug
Administration (FDA) is proposing to
amend its food labeling regulations for
the expanded use of the nutrient content
claim ‘‘lean’’ on the labels of foods
categorized as ‘‘mixed dishes not
measurable with a cup’’ that meet
certain criteria for total fat, saturated fat,
and cholesterol content. This proposal
responds to a nutrient content claim
´
petition submitted by Nestle Prepared
´
Foods Co. (Nestle) under the Federal
Food, Drug, and Cosmetic Act (the act).
This action also is being taken to
provide reliable information that would
assist consumers in maintaining healthy
dietary practices.
DATES: Submit written or electronic
comments by February 8, 2006.
ADDRESSES: You may submit comments,
identified by Docket No. 2004P–0183,
by any of the following methods:
Electronic Submissions
Submit electronic comments in the
following ways:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
• Agency Web site: https://
www.fda.gov/dockets/ecomments.
Follow the instructions for submitting
comments on the agency Web site.
Written Submissions
Submit written submissions in the
following ways:
• FAX: 301–827–6870.
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• Mail/Hand delivery/Courier (for
paper, disk, or CD–ROM submissions):
Division of Dockets Management (HFA–
305), Food and Drug Administration,
5630 Fishers Lane, rm. 1061, Rockville,
MD 20852.
To ensure more timely processing of
comments, FDA is no longer accepting
comments submitted to the agency by email. FDA encourages you to continue
to submit electronic comments by using
the Federal eRulemaking Portal or the
agency Web site, as described in the
Electronic Submissions portion of this
paragraph.
Instructions: All submissions received
must include the agency name and
docket number for this rulemaking. All
comments received may be posted
without change to https://www.fda.gov/
ohrms/dockets/default.htm, including
any personal information provided. For
additional information on submitting
comments, see the ‘‘Comments’’ heading
of the SUPPLEMENTARY INFORMATION
section of this document.
Docket: For access to the docket to
read background documents or
comments received, go to https://
www.fda.gov/ohrms/dockets/
default.htm and insert the docket
number, found in brackets in the
heading of this document, into the
‘‘Search’’ box and follow the prompts
and/or go to the Division of Dockets
Management, 5630 Fishers Lane, rm.
1061, Rockville, MD 20852.
FOR FURTHER INFORMATION CONTACT:
Vincent de Jesus, Center for Food Safety
and Applied Nutrition (HFS–830), Food
and Drug Administration, 5100 Paint
Branch Pkwy., College Park, MD 20740,
301–436–1774.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Petitions and Grounds
III. Proposed Action
A. Need for Regulations
B. Proposed Amendments
IV. Preliminary Regulatory Impact
Analysis
A. Need for Regulation
B. Regulatory Options
C. Benefits
D. Costs
V. Regulatory Flexibility Analysis
VI. Unfunded Mandates
VII. Federalism
VIII. Environmental Impact
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IX. Paperwork Reduction Act of 1995
X. Comments
XI. References
I. Background
On November 8, 1990, President
George H.W. Bush signed into law the
Nutrition Labeling and Education Act of
1990 (the 1990 amendments) (Public
Law 101–535), which amended the
Federal Food, Drug, and Cosmetic Act
(the act). Section 403(r)(1)(A) of the act
(21 U.S.C. 343(r)(1)(A)), which was
added by the 1990 amendments, states
that a food is misbranded if it is
intended for human consumption which
is offered for sale and for which a claim
is made in its label or labeling that
expressly or implicitly characterizes the
level of any nutrient of the type required
to be declared in nutrition labeling,
unless such claim uses terms defined in
regulations by FDA under section
403(r)(2)(A) of the act.1 In 1993, FDA
established regulations that
implemented the 1990 amendments (58
FR 2066 through 2941, January 6, 1993).
Among these regulations, § 101.13 (21
CFR 101.13) sets forth general principles
for nutrient content claims (see 58 FR
2302, January 6, 1993). Other sections in
part 101, subpart D (21 CFR part 101,
subpart D), define specific nutrient
content claims, such as ‘‘free,’’ ‘‘low,’’
‘‘reduced,’’ ‘‘light,’’ ‘‘good source,’’
‘‘high,’’ and ‘‘more,’’ for a variety of
nutrients and include several synonyms
for each of the defined terms. In
addition, § 101.69 outlines the
procedures for petitioning the agency to
authorize additional nutrient content
claims.
In the 1991 proposed rule for
‘‘Nutrient Content Claims, General
Principles, Petitions, Definition of
Terms’’ (the general principles proposal)
(56 FR 60421, November 27, 1991), FDA
did not include a definition for ‘‘lean.’’
However, in the same issue of the
Federal Register, the Food Safety and
Inspection Service (FSIS) of the U.S.
Department of Agriculture (USDA)
issued a proposed rule that included a
definition for ‘‘lean’’ for labeling
individual foods and meal-type
products (a collective term used for
meal and main dish products)
1 The requirements in section 403(r)(2) of the act,
for all nutrient content claims, apply to foods and
food labeling unless an exemption applies for the
food or the claim under section 403(r)(2) of the act,
another section of the act, or FDA regulations.
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containing meat and poultry (56 FR
60302, November 27, 1991).2 After
evaluating the comments to the general
principles proposal, FDA determined
that seafood, game meat, meal products,
and main dish products that it regulated
had a contribution to the diet that was
similar to the USDA-regulated products
and that FDA should establish a
definition for ‘‘lean’’ for such products.
Consequently, FDA defined ‘‘lean’’ for
seafood, game meat, meal, and main
dish products (§ 101.62(e)) in the final
rule for nutrient content claims (58 FR
2302) using the same criteria that USDA
used in its final rule for the ‘‘lean’’
claim (58 FR 632, January 6, 1993).3
FDA’s definition of ‘‘lean’’ includes
flesh foods, such as seafood and game
meat products, which are foods that are
similar to USDA-regulated meat and
poultry products, and also includes
meal-type products (i.e., main dishes
and meal products) which are included
in the USDA definition. FDA’s
definition of ‘‘lean,’’ however, does not
extend to other individual foods
including ‘‘mixed dishes not measurable
with a cup.’’ Such dishes, e.g., burritos,
egg rolls, enchiladas, pizza, quiches,
and sandwiches, are generally similar to
the foods subject to the definition of
‘‘main dish’’ (§ 101.13(m)) but do not
meet the weight criterion for ‘‘main
dish’’ foods (6 ounces (oz) per labeled
serving). The reference amount
customarily consumed (RACC) for
‘‘mixed dishes not measurable with a
cup’’ is 140 grams (g) (5 oz) (§ 101.12(b),
table 2), which is 1 oz less than the 6
oz per labeled serving required to
qualify as a ‘‘main dish.’’4 Thus, food
products that are categorized as ‘‘mixed
dishes not measurable with a cup’’ and
that weigh less than 6 oz are not eligible
to bear a ‘‘lean’’ nutrient content claim
under § 101.62(e).
FDA has authority to define the
nutrient content claim ‘‘lean’’ for foods
categorized as ‘‘mixed dishes not
measurable with a cup.’’ FDA may take
this action under section 403(r) of the
act. FDA, by regulation, may define
terms to be used for nutrient content
2 USDA also defined ‘‘extra lean,’’ which FDA
later defined by regulation, in addition to ‘‘lean.’’
´
However, Nestle did not request a definition for
‘‘extra lean’’ in its petition.
3 Specifically, in order to be eligible to bear a
claim, seafood and game meat products must
contain less than 10 grams (g) total fat, 4.5 g or less
of saturated fat, and less than 95 milligrams (mg)
cholesterol per reference amount customarily
consumed (RACC) and per 100 g, and for meals and
main dishes, per 100 g and per labeled serving.
4 If the ‘‘mixed dish not measurable with a cup’’
food were packaged in a way such that it met all
of the requirements for a main dish, as specified in
§ 101.13(m), it could be considered a ‘‘main dish’’
and would be eligible to bear a ‘‘lean’’ claim under
FDA’s current regulations.
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claims that characterize the level of total
fat, saturated fat, and cholesterol in
these foods. Section 403(r) of the act
authorizes the agency to issue
regulations defining terms for use in
nutrient content claims and establishes
a process through which a person can
petition the agency to define terms to
characterize the level of a nutrient for
use in a nutrient content claim (see
section 403(r)(2)(A)(i) and (r)(4) of the
act). Section 403(r)(1)(A) of the act states
that a food is misbranded if it bears a
claim that characterizes the level of a
nutrient of the type required to be in
nutrition labeling unless the claim uses
terms which are defined in FDA
regulations adopted under section
403(r)(2) of the act. The proposed rule,
if finalized as proposed, will define the
term ‘‘lean’’ for use on ‘‘mixed dishes
not measurable with a cup’’ that are
regulated by FDA and that meet the
criteria in the rule for total fat, saturated
fat, and cholesterol.
II. Petitions and Grounds
FDA received a nutrient content claim
´
petition from Nestle (Docket No. 2004P–
0183) (Ref. 1) requesting that the agency
amend the nutrient content claim
regulation for ‘‘lean’’ (§ 101.62(e)) to
include ‘‘mixed dishes not measurable
with a cup’’ as defined in the ‘‘reference
amounts customarily consumed per
eating occasion’’ regulation (§ 101.12),
based on certain qualifying criteria for
total fat, saturated fat, and cholesterol.
´
Nestle submitted the petition on January
9, 2004, under section 403(r)(4) of the
act and § 101.69. In accordance with
section 403(r)(4)(A)(i) of the act and
´
§ 101.69(m)(3), FDA filed the Nestle
petition on April 22, 2004. This
´
proposed rule responds to Nestle’s
request that FDA define the term ‘‘lean’’
for ‘‘mixed dishes not measurable by a
cup.’’
´
In its petition, Nestle contended that
American eating habits have changed
significantly since FDA authorized the
´
‘‘lean’’ claim in 1993. Nestle argued
that, in the past decade, convenience
has been an emerging theme with
consumers and cited market research
studies by NPD Group showing that the
percentage of meals that are completely
homemade has decreased, while the use
of ready-to-eat and frozen foods has
´
steadily risen. Nestle also cited a 2003
survey by the market research group
Information Resources, Inc. (IRI), in
which consumers identify ‘‘speed/ease
of preparation’’ as the most important
factor in their food choices and assert
that this is even more important than
´
price. Nestle presented additional data
from IRI and NPD Group showing that
consumers are eating fewer complete
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traditional meals, eating more snacks,
and spending less time preparing meals
´
at home. Nestle also suggested that
consumers are more interested in
nutrition and healthy foods, as
evidenced by an increased consumer
demand for nutritious food selections.
´
Nestle cited surveys by the Natural
Marketing Institute (NMI) in which twothirds of Americans indicate they are
eating healthier than they used to and
that one-third of Americans choose food
primarily based on nutritional content.
One of the surveys indicated that 54
percent of adults read nutrition labels
most or all of the time.
´
Furthermore, Nestle cited a trend in
substantially increased portion sizes
over the past 30 years, as determined by
USDA data from the Nationwide Food
Consumption Survey and the
Continuing Survey of Food Intake by
Individuals. This trend, they said, is
demonstrated by the increase in sizes of
food items such as cheeseburgers,
increasing from 5.8 oz to 7.2 oz, and
salty snacks, increasing from 1.0 oz to
´
1.6 oz, between 1977 and 1996. Nestle
suggests that allowing a ‘‘lean’’ nutrient
content claim on foods in the category
of ‘‘mixed dishes not measurable with a
cup’’ that have smaller portion sizes
than many other food alternatives
would provide consumers with readily
recognizable healthful alternatives to
other foods with larger portion sizes.
´
Nestle argued that manufacturers who
want to encourage portion control by
marketing healthier food options with
smaller portion sizes are hindered by
the current FDA regulations limiting the
‘‘lean’’ nutrient content claim to
seafood, game meat, main dish, and
meal products. These regulations do not
allow for foods that may be similar to
main dish and meal products but with
slightly smaller portion sizes (e.g.,
‘‘mixed dishes not measurable with a
cup’’) to have a ‘‘lean’’ claim. Because
´
of this, Nestle believes that the number
of healthy, portable food options
available to consumers has been limited.
´
The FDA regulations, Nestle stated,
have acted as an impediment for
consumers to choose healthy foods that
are similar to meal-type products but,
because of their smaller portion sizes,
do not qualify as meal-type products
that are eligible for the ‘‘lean’’ nutrient
´
content claim. Nestle asserted that these
trends of convenience and healthier
eating call for an expansion of the
‘‘lean’’ definition to include foods
identified as ‘‘mixed dishes not
measurable with a cup’’ and also that
this expansion may offer consumers
healthy food options that do not have
increasingly larger portion sizes.
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´
In its petition, Nestle also pointed out
the lack of consistency between FDA
and USDA regulations regarding the
´
claim ‘‘lean.’’ Nestle stated that USDAregulated individual foods and mealtype products, which contain meat and
poultry, are permitted to bear the ‘‘lean’’
claim under USDA regulations (9 CFR
317.362(e) and 381.462(e), respectively).
´
Nestle noted that, unlike FDA, USDA
does not limit the use of the ‘‘lean’’
claim to specific individual foods. Thus,
any meat or poultry product subject to
USDA regulation, including those that
are similar to foods in FDA’s category of
‘‘mixed dishes not measurable with a
cup’’ category and that meet the USDA
nutrient requirements, may bear the
´
‘‘lean’’ claim. Nestle asserted that,
although there is a distinction between
the types of foods regulated by the
USDA and FDA, consumers are unlikely
to be aware of such a distinction.
´
Therefore, Nestle stated that there
should be some consistency across the
requirements for nutrient content
claims. It contended that an amended
definition for ‘‘lean’’ for use on ‘‘mixed
dishes not measurable with a cup’’
would reduce the disparity between
´
FDA and USDA regulations. Nestle also
stated that the expansion of the ‘‘lean’’
claim advances the FDA ‘‘Initiative on
Consumer Health Information for Better
Nutrition’’ by contributing to the goal of
making sure that consumers have access
to the latest information when making
decisions about their diet.
To accomplish the request to include
‘‘mixed dishes not measurable with a
cup’’ in an amended definition of
´
‘‘lean’’ in § 101.62(e), Nestle suggested
two different possible methods for
determining the criteria that could
apply for the total fat, saturated fat, and
cholesterol content of such dishes
eligible to bear the claim. For each of
´
these methods, Nestle took into
consideration the reference intakes for
fat for adults and for children that were
established by the Institute of Medicine
(IOM) of the National Academies, i.e.,
acceptable macronutrient distribution
ranges of 20 to 35 percent of energy
intake from fat for adults and 25 to 40
percent intake from fat for children
(IOM, Dietary Reference Intakes for
Energy, Carbohydrate, Fiber, Fat, Fatty
Acids, Cholesterol, Protein, and Amino
´
Acids, 2002). Nestle also considered the
FDA-established daily reference value
(DRV) for total fat of 65 g, which is
based on a reference caloric intake of
2,000 calories, that is used in nutrition
labeling (§ 101.9(c)(9)). With regard to
´
saturated fat and cholesterol, Nestle
considered the IOM’s recommendation
‘‘that saturated fatty acids * * * and
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cholesterol consumption be as low as
possible while consuming a
nutritionally adequate diet,’’ as well as
the FDA-established DRV for saturated
fatty acids of 20 g and the DRV for
cholesterol of 300 mg, based on a
reference caloric intake of 2,000
calories, that is used in nutrition
labeling (§ 101.9(c)(9)).
The first possible method suggested
´
by Nestle uses the existing ‘‘lean’’
nutrient criteria for main dishes as the
´
basis of the definition. Nestle proposes
new criteria for total fat, saturated fat,
and cholesterol based on the percentage
of the proportion of an estimated weight
for ‘‘mixed dishes not measurable with
a cup’’ and the minimum weight of a
main dish product that is eligible for a
´
‘‘lean’’ claim. In short, Nestle stated that
the reduction in the nutrient criteria
would be in proportion to the reduction
in weight between the average weight of
‘‘mixed dishes not measurable with a
cup,’’ which is 132.53 g in their
estimation, and the minimum weight of
a meal-type product, which is 6 oz
(170.1 g). The percentage of the
proportion of these weights (132.53 g /
170.1 g x 100) equals 0.78 or 78 percent.
Seventy-eight percent of the current
nutrient criterion value for fat (10 g fat
multiplied by 78 percent) would result
in nutrient value of 7.8 g fat. Seventyeight percent of the current nutrient
criterion value for saturated fat (4.5 g sat
fat multiplied by 78 percent) equals 3.5
g saturated fat. Seventy-eight percent of
the current nutrient criterion value for
cholesterol (95 milligrams (mg)
cholesterol multiplied by 78 percent)
equals 74.1 mg cholesterol. This would
translate into unrounded criteria for
‘‘lean’’ for ‘‘mixed dishes not
measurable by a cup’’ of: 7.8 g total fat,
3.5 g saturated fat, and 74.1 mg
´
cholesterol. Nestle applied these criteria
´
on a per-RACC basis. Nestle stated that
the foods in this category play a smaller
role in the diet compared to meal-type
products and believed that the more
restrictive ‘‘lean’’ criteria in its petition
were appropriate. The RACC for ‘‘mixed
dishes not measurable with a cup’’ is
140 g. Thus, the practical effect of
´
applying Nestle’s suggested nutrient
criteria on a per-RACC basis makes the
levels more restrictive (proportionally)
for ‘‘mixed dishes not measurable with
a cup’’ than for main dishes. For
example, the 7.8 g total fat per 140 g
would be equivalent, proportionally, to
5.6 g fat per 100 g. The current main
dish total fat criterion is 10 g per 100 g
and per labeled serving.
The second possible method
´
suggested by Nestle would determine
the nutrient criteria for ‘‘lean’’ according
´
to Nestle’s estimated calorie
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71043
contribution of ‘‘mixed dishes not
measurable with a cup’’ in the total diet.
´
Nestle looked at 34 grocery store-bought
food items categorized as ‘‘mixed dishes
not measurable with a cup’’ and
determined that the average number of
calories per 100 g was 214.41 calories.
Taking the current dietary
recommendation of 30 percent5 of
´
calories from fat, Nestle established that
30 percent of calories from fat in ‘‘mixed
dishes not measurable with a cup’’
(214.41 calories multiplied 30 percent)
would equal 64.32 calories per 100 g
from fat. The calories from fat converted
to grams of fat (64.32 calories from fat
/ 9 calories of fat per g) would equal
7.15 g of fat per 100 g. Following the
same calculation for determining total
fat, 10 percent of calories from saturated
fat6 (214.41 calories multiplied by 10
percent) equals 21.441 calories per 100
g and converted to saturated fat grams
(21.441 calories / 9 calories saturated fat
per g) equals 2.382 g saturated fat per
100 g. There are no cholesterol intake
guideline criteria expressed as a
percentage of calories comparable to the
fat and saturated fat guidelines, thus,
the cholesterol criteria would be derived
from the current main dish criteria in
the same way described in the first
method, which equaled 74.1 mg
cholesterol. This would translate into
criteria for ‘‘lean’’ for ‘‘mixed dishes not
measurable by a cup’’ as follows: 7.15 g
total fat (7 g rounded), 2.382 g saturated
fat (2.5 g rounded), and 74.1 mg
cholesterol (75 mg rounded). Although
´
Nestle calculated the criteria using this
´
method on a per-100 g basis, Nestle
applied the criteria for purposes of
determining eligibility of foods to bear
the ‘‘lean’’ claim on a per-RACC basis.
The criteria are proportionally more
restrictive for ‘‘mixed dishes not
measurable with a cup’’ than for main
dishes, and slightly more restrictive
´
than the other method Nestle set forth
in its petition. For this method, 7 g total
fat per 140 g would be equivalent,
proportionally, to 5 g fat per 100 g.
5 Nestle refers to the IOM AMDRs for current
´
dietary recommendations (see Attachment 20 of the
petition (Ref. 1)). The AMDR for total fat intake is
between 20 and 35 percent of calories for adults.
This range also corresponds to the
recommendations provided in the 2005 Dietary
´
Guidelines for Americans (Ref. 2). Nestle noted that
the midpoint is 27.5 percent and rounds this
number up to 30 percent. This value of 30 percent
is consistent with the current DRV for fat
established by FDA.
6 Nestle refers to the dietary recommendation
´
provided by the NIH, NHLBI, National Cholesterol
Education Program (see Attachment 25 of the
petition (Ref. 1)).
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III. Proposed Action
A. Need for Regulations
As stated earlier, in the proposed rule
for nutrition labeling (56 FR 60302,
November 27, 1991), FSIS proposed the
‘‘lean’’ claim for meat and poultry
products. Because all the products that
USDA regulates with regard to nutrition
labeling consist in whole or in part of
meat and poultry (with certain
exceptions for some egg products),
USDA permits use of the term ‘‘lean’’
across the spectrum of foods whose
nutrition labeling it regulates (provided
they meet the nutrient requirements for
the claim). FDA adopted a regulation
similar to the FSIS regulation for the
nutrient content claim ‘‘lean’’ for use on
seafood, game meat, meal products, and
main dish products (§ 101.62(e)). The
current FDA regulations do not allow
for use of the claim ‘‘lean’’ on ‘‘mixed
dishes not measurable with a cup’’
because they are considered individual
foods for which there is no ‘‘lean’’
definition other than for seafood and
game meat. Moreover, the FDA
regulations do not allow for the use of
the claim ‘‘lean’’ on a food in the
category of ‘‘mixed dishes not
measurable with a cup’’ when the
product as packaged does not meet the
minimum weight criterion to qualify as
a ‘‘main dish.’’ The current FDA
regulations thus prohibit a manufacturer
from labeling FDA-regulated ‘‘mixed
dishes not measurable with a cup’’ with
a ‘‘lean’’ claim, while manufacturers are
able to use the claim on such foods that
are regulated by USDA. For example, a
food such as a starch based wrap, with
chicken, broccoli, and cheddar cheese
that is subject to USDA regulation, is
able to bear a ‘‘lean’’ claim under USDA
regulations, but a similar wrap with just
broccoli and cheese and without
chicken, that would not be subject to
USDA regulation, could not bear a
‘‘lean’’ claim under current FDA
regulations.
´
FDA has reviewed Nestle’s petition
and appreciates its concerns about the
differences between current FDA and
USDA regulations as to the eligibility for
a ‘‘lean’’ nutrient content claim for
foods in the category of ‘‘mixed dishes
not measurable with a cup.’’ In the
nutrient content claims final rule (58 FR
2302 at 2343), in providing a definition
for the term ‘‘lean’’ for seafood and
game meat and meal-type products, the
agency stated that such a definition
would enable consumers to compare the
nutritional values of products that may
serve as substitutes for one another in
creating a balanced diet. Because of the
requirement in § 101.13(m) that, among
other things, products must weigh a
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minimum of 6 oz in order to be
considered main dish products, and that
by current regulation only seafood and
game meat and meals and main dish
products may bear the ‘‘lean’’ claim,
FDA acknowledges that a whole group
of products (namely ‘‘mixed dishes not
measurable with a cup’’) may be
prohibited from bearing the ‘‘lean’’
claim because of the prohibition on
using the claim on individual foods
other than seafood and game meat that
do not meet the criteria for main dishes,
including the 6 oz weight criterion.
´
FDA acknowledges Nestle’s argument,
as demonstrated by the data submitted
in the petition, that these types of
products, which include egg rolls,
burritos, and other handheld sandwichlike products, have found their way into
the American diet and serve as a
convenient ‘‘meals-on-the-go’’ eating
option that is consistent with America’s
changing lifestyle. They provide a ‘‘heat
and eat,’’ no-utensils-required,
alternative to other types of food
products. As market research by
ACNielsen Syndicated Data indicates,7
the sandwiches/snacks category has
seen significant growth in the past 5
years, with a 43-percent increase in
dollar sales since 1999. As such, this
category has become a well established
product category that consumers have
come to rely on.
´
FDA also acknowledges Nestle’s
arguments that there is a growing
interest in healthful alternatives to
traditional food options, including
vegetarian alternatives. This interest is
demonstrated by a 30-percent increase
in sales in the past year, according to
ACNielsen, in the ‘‘Frozen Sandwich
and Snack, Nutrition category’’ and
even by the increasing markets for
‘‘meal-replacement bars’’ and ‘‘liquid
meal-replacements.’’ Although not
included in the ‘‘mixed dishes not
measurable with a cup’’ category of
foods, the increasing markets for the
meal-replacement bars and liquid mealreplacement foods support the trend of
Americans choosing more portable
foods, especially foods that consumers
consider healthful alternatives.
In evaluating the information that
´
Nestle presented in its petition, FDA
acknowledges that portable food
products, particularly those that are
nutrient (i.e., fat, saturated fat, and
cholesterol) and portion controlled,
serve a useful purpose in assisting
consumers in selecting a diet that is
consistent with current dietary
recommendations (i.e., IOM acceptable
macronutrient distribution ranges, DRVs
7 ACNielsen Syndicated Data, see Attachment 7 of
the petition (Ref. 1).
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established by FDA, and the 2005
Dietary Guidelines for Americans).
The agency has tentatively concluded
that providing for a ‘‘lean’’ claim on
‘‘mixed dishes not measurable with a
cup’’ will provide consumers with a
means to distinguish, in this well
established category, among the variety
of portion controlled products so that
they may select those products that are
limited in fat, saturated fat, and
cholesterol as opposed to their ‘‘full fat’’
alternatives. The agency acknowledges
the potential that ‘‘mixed dishes not
measurable with a cup’’ that are eligible
to bear a ‘‘lean’’ claim offer in delivering
a convenient food that can provide
nutritional benefits and help improve
the quality of Americans’ diets.
´
In its petition, Nestle suggested that
by allowing ‘‘mixed dishes not
measurable with a cup’’ to bear a ‘‘lean’’
claim, these products would provide a
way of addressing ever-expanding
portion sizes and the accompanying
increase in caloric levels by allowing
manufacturers to encourage portion
control by marketing healthier food
options with smaller portion sizes.
´
Nestle suggested that this category of
product will offer more choices to
consumers looking for healthful foods
with small portion sizes. More healthful
food choices in this category may
encourage the consumption of small
portions and thus aid in addressing the
problem of excess calorie intake.
As opposed to frozen entrees that
qualify as meal-type products which are
limited in size with the entire package
and contain as few as 6 oz, however,
many ‘‘mixed dishes not measurable by
a cup’’ are packaged two to a package,
or about 10 oz per package.
Consequently, the agency is concerned
that rather than eating just one of the
portions provided, thus limiting portion
size, consumers may instead consume
the entire package, thus doubling their
caloric and nutrient intake as opposed
to lowering it. The agency particularly
seeks information and data, as
comments to this proposed rule, about
whether consumers may eat an entire
package of these multi-pack ‘‘mixed
dishes not measurable with a cup’’ that
may result in excess calorie intake,
rather than improved portion control of
healthier food options that is a desired
outcome of this proposed rule, if
finalized as proposed.
The agency has tentatively concluded
that providing a ‘‘lean’’ definition for
‘‘mixed dishes not measurable with a
cup’’ will provide more consistency
with similar USDA products and help
consumers construct a diet that is
consistent with current dietary
recommendations (i.e., keeping dietary
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intake of total fat, saturated fat, and
cholesterol limited). Therefore, as
discussed in the following section, the
agency is proposing such a definition.
B. Proposed Amendments
In proposing a definition for the use
of the nutrient content claim ‘‘lean’’ by
eligible foods classified as ‘‘mixed
dishes not measurable with cup,’’ the
agency considered the following
options: (1) Require the existing FDA
nutrient requirements used by other
FDA-regulated foods that are eligible for
a ‘‘lean’’ claim, such as meal-type
products; (2) require the existing USDA
requirements for individual foods that
are eligible to bear a ‘‘lean’’ claim (such
foods would include foods in the
‘‘mixed dishes not measurable with a
cup’’ category); (3) require either of the
two methods for determining nutrient
values proposed by the petitioner; or (4)
require new nutrient requirements for
‘‘mixed dishes not measurable with a
cup.’’
In evaluating the various options,
FDA considered whether it was
appropriate to apply the nutrient criteria
to only the RACC for ‘‘mixed dishes not
measurable with a cup’’ and not to both
the RACC and per 100 g as is currently
used for seafood and game meat. Foods
in the ‘‘mixed dish not measurable with
a cup’’ category have a single RACC.
Foods considered ‘‘seafood’’ or ‘‘game
meat’’ have multiple RACCs that differ
depending on their use. The
requirements for a ‘‘lean’’ claim for
seafood or game meat are on a per-RACC
and per-100 g basis. The use of the 100
g basis, in addition to the per-RACC
basis, prevents some of the
inconsistency that could occur within
an entire category of products with
multiple RACCs (i.e., canned fish with
´
a 55 g RACC and a fish entree that has
a much larger 140 g RACC do not end
up with the same exact nutrient
requirements). The ‘‘mixed dish not
measurable with a cup’’ category of
individual foods, however, has only one
RACC and does not need to have an
additional 100 g basis requirement to
insure consistency of application. Thus,
the agency tentatively concludes that
the requirements for a ‘‘lean’’ claim for
foods considered ‘‘mixed dishes not
measurable with a cup’’ will need to be
based on a per-RACC basis only.
The agency first considered the
options of requiring the existing
nutrient requirements for other FDAregulated foods that are eligible to bear
the ‘‘lean’’ claim and the USDA nutrient
requirements for a ‘‘lean’’ claim for
individual foods. The agency decided
not to propose these options. The
current nutrient criteria for these
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options are less than 10 g fat, 4.5 g or
less saturated fat, and less than 95 mg
of cholesterol per RACC and per 100 g
for seafood and game meat or for mealtype products, per 100 g and per labeled
serving. As explained in the following
paragraphs, the agency determined that
it would be appropriate to consider
nutrient criteria that differ from the
current requirements. In addition, when
establishing nutrient criteria for the
category of ‘‘mixed dishes not
measurable with a cup’’ that are eligible
to bear the ‘‘lean’’ claim, the agency
determined that it would only apply the
nutrient criteria to the RACC (140 g) and
not to both the RACC and per 100 g as
it does for the individual foods (seafood
and game meat) currently eligible to
bear the ‘‘lean’’ claim. Further, when
applying the current nutrient criteria to
the RACC of 140 g, the agency
determined that the nutrient criteria for
fat, saturated fat, and cholesterol would
be more restrictive than necessary for
these foods to be considered ‘‘lean’’
when considered in the context of the
total daily diet. Therefore, the agency
decided not to propose the current
nutrient criteria to the RACC for ‘‘mixed
dishes not measurable with a cup.’’
FDA adopted the USDA nutrient
requirements for ‘‘lean,’’ in the 1993
nutrient content claim final rule (58 FR
2302 at 2342), for seafood and game
meats and for meal-type and main dish
products because, in part, the agency
recognized that seafood and game
products play a comparable role in the
diet to that of meat and poultry products
and like meat and poultry products,
contribute to the total dietary intake of
fat, saturated fat, and cholesterol. In
addition, FDA-regulated meal-type
products are consumed in the same
manner as USDA-regulated meal-type
products covered by the FSIS rule on
the ‘‘lean’’ claim. FDA determined that
the equivalent definition of these terms
would enable consumers to compare the
nutritional values of meat products and
meal-type products that may serve as
substitutes for one another in a balanced
diet (58 FR 2302 at 2343). The levels of
total fat and saturated fat that were
chosen by USDA for the ‘‘lean’’ criteria
were based on a ratio of saturated fat to
total fat that would be 40 percent, which
is representative of the ratio of saturated
fat to total fat inherent in ruminant
muscle (58 FR 2302 at 2342).
The agency has concluded, however,
that not all of the factors considered in
the 1993 final rule apply to the foods in
the FDA-regulated category ‘‘mixed
dishes not measurable with a cup.’’ The
‘‘mixed dishes not measurable with a
cup’’ category may not play a
comparable role in the diet to that of
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meat and poultry products; may not
contribute to the total dietary intake of
fat, saturated fat, and cholesterol like
meat and poultry products; and may not
be consumed in the same manner as
USDA-regulated meal-type products.
FDA-regulated ‘‘mixed dishes not
measurable with a cup,’’ which are
similar in composition to meal and
main dish products (i.e., they are multicomponent products), are smaller in
size compared to the meal-type
products. The agency believes that,
although similar in composition to
meal-type products, the restriction in
size of the products in this category
results in a different role in the diet than
meal-type products. These foods are
likely to be chosen by consumers to
reduce portion sizes of meals for a
reduced calorie contribution, or as
healthy snack alternatives to those
‘‘mixed dishes not measurable with a
cup’’ that are higher in fats. Because of
their size requirements, meal-type
products comprise a larger percent (in
weight and in calories) of the daily diet
than ‘‘mixed dishes not measurable’’ do.
Further, the foods that FDA regulates in
this category include those that have no
meat, poultry, seafood, or game meat as
ingredients and, therefore, it would be
appropriate for these foods to have
lower fat criteria than foods in those
categories, based on their dissimilar
ingredient contents and smaller calorie
contribution. While it is possible that
foods in the ‘‘mixed dishes not
measurable with a cup’’ category could
have similar nutrient profiles to USDAregulated meat and poultry products
´
(e.g., an entree-type turnover containing
cheese), many foods that fall into this
category, especially those foods that do
not contain any cheese, would have
very different total fat, saturated fat, and
cholesterol profiles. Therefore, because
foods in the category of ‘‘mixed dishes
not measurable with a cup’’ may not
make the same contribution to the total
dietary fat, saturated fat, and cholesterol
and have a different role in the total diet
as other FDA-regulated foods in this
category or as other USDA-regulated
individual foods in this category, FDA
has tentatively concluded that the
nutrient criteria ‘‘lean’’ for ‘‘mixed
dishes not measurable with a cup’’
should not necessarily be the same as
the criteria used for other individual
foods and for meal-type products.
Applying the current nutrient criteria
to the RACC for ‘‘mixed dishes not
measurable with a cup’’ (i.e., less than
10 g fat per 140 g, 4.5 g or less saturated
fat per 140 g, and less than 95 mg
cholesterol per 140 g) results in criteria
that, proportionally on a per-100 g basis,
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are comparable to the two methods
proposed by the petitioner. The nutrient
criteria for this option, when computed
on a per-100 g basis, would be less than
7.1 g fat, 3.2 g or less saturated fat, and
less than 68 mg cholesterol. However, a
main dish (170 g portion) that met the
current nutrient criteria for a ‘‘lean’’
claim would contribute less than 5.9 g
total fat, 2.6 g or less saturated fat, and
less than 56 mg cholesterol per 100 g
(see discussion infra in footnote 8 of this
document). Given the smaller portion
sizes of ‘‘mixed dishes not measurable
with a cup,’’ different composition than
similar USDA-regulated foods, and
different contribution to the total daily
diet, ‘‘mixed dishes not measurable with
a cup’’ labeled as ‘‘lean’’ should not be
contributing proportionally more fat,
saturated fat, and cholesterol than a
main dish that bears the ‘‘lean’’ claim.
If ‘‘mixed dishes not measurable with a
cup’’ did contribute proportionally more
fat, saturated fat, and cholesterol per
100 g product consumed, consumers
who may include more lean ‘‘mixed
dishes not measurable with a cup’’ in
their diets would inadvertently be
consuming more of these fats. Therefore,
the agency tentatively decided not to
propose this option.
The agency also considered the
nutrient criteria based on the two
´
different methods that Nestle described
in its petition to calculate the nutrient
requirements for the ‘‘lean’’ definition.
The agency decided not to propose
these options. These methods are
described in section II of this document.
´
One method described by Nestle uses
the existing requirements for total fat,
saturated fat, and cholesterol content in
the nutrient content claim ‘‘lean’’ for
meal-type products and reduces those
requirements for ‘‘mixed dishes not
measurable with a cup’’ in proportion to
the reduction in portion size. ‘‘Mixed
dishes not measurable with a cup’’ are
multi-component foods that are similar
to main dish and meal products, but
smaller in size. In describing this
´
method in its petition, Nestle assumed
an estimated average weight of 132.53 g
for foods in this category compared to
the 170.1 g (6 oz) minimum weight
criterion for main dishes. This resulted
in nutrient criteria of 7.8 g fat, 3.5 g
saturated fat, and 74.1 mg cholesterol.
These criteria are applied on a perRACC basis. When the nutrient criteria
are applied on a per-RACC basis and
then computed on a per-100 g basis to
compare with the other options, the
nutrient criteria are less than 5.6 g fat
per 100 g, 2.5 g or less saturated fat per
100 g, and less than 53 mg cholesterol
per 100 g. These values are slightly
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more restrictive than what the agency is
proposing to require and more
restrictive than necessary for consumers
to be able to maintain a diet that is
within the current dietary
recommendations for fat, saturated fat,
and cholesterol, as discussed in the
´
proposed option. Further, Nestle did not
describe the basis for its estimated
average weight of ‘‘mixed dishes not
measurable with a cup’’ as 132.53 g
when calculating the nutrient criteria.
´
Thus, Nestle provided no rationale for
why a portion size of 132.53 g should
be used in computing the nutrient
criteria in lieu of the RACC of 140 g for
‘‘mixed dishes not measurable with a
cup.’’ Consequently, for all these
reasons, FDA tentatively decided not to
propose the nutrient requirements for
´
‘‘lean’’ based on Nestle’s assumed
average weight for ‘‘mixed dishes not
measurable with a cup.’’
´
The other method suggested by Nestle
determined nutrient values (based on
recommended intakes) using an
estimated calorie contribution of foods
in the ‘‘mixed dishes not measurable
with a cup’’ category as the basis of the
definition. This suggested method
relates current dietary recommendations
for the percentage of nutrients in the
overall diet to the percentage
distribution of the nutrients in the
individual food item (e.g., the current
dietary recommendation of 30 percent
fat in the diet would result in the
product containing 30 percent of its
calories from fat). This method of
determining nutrient requirements is
problematic for a number of reasons.
One reason is that such a method is not
one FDA has used to determine nutrient
requirements for nutrient content
claims. Additionally, recommendations
for intake of these nutrients expressed
as a percentage of calories are available
for only total fat and saturated fat.
Intake of cholesterol has no such
recommendation. Consequently, this
suggested method is used only for
determining the requirements of two of
the three nutrients, with the cholesterol
requirement being determined using the
´
alternate method suggested by Nestle.
Therefore, the determination of the
nutrient requirements is not consistent
´
using this method. Also, Nestle
calculated the nutrients on a per-100 g
basis but proposed to apply them on a
´
per-RACC basis. It is unclear why Nestle
calculated the requirements in this way,
as opposed to originally calculating the
requirements on a per-RACC basis
(using the RACC of 140 g). To determine
the total fat requirement, for example,
´
Nestle determined how many calories
were in 100 g of an average ‘‘mixed dish
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not measurable with a cup’’ (214.4
calories / 100 g), calculated 30 percent
of this value (64.32 calories), converted
calories to gram weight (7.147 g fat), and
applied this value to a per-RACC basis.
Using the method as suggested by the
petitioner (when the nutrient criteria are
applied on a per-RACC basis and then
computed on a per-100 g basis to
compare with the other options), the
nutrient criteria from this method are
less than 5 g fat per 100 g, 2.5 g or less
saturated fat, and less than 53 mg
cholesterol per 100 g. These values are
slightly more restrictive than what the
agency is proposing to require and more
restrictive than necessary for consumers
to be able to maintain a diet that is
within current dietary recommendations
for fat, saturated fat, and cholesterol, as
discussed in the proposed option. For
all these reasons, the agency tentatively
decided not to propose the nutrient
criteria derived using this method.
The agency tentatively decided to
determine new nutrient requirements
specific to the ‘‘mixed dishes not
measurable with a cup’’ category and to
use the RACC for ‘‘mixed dishes not
measurable with a cup’’ in deriving the
nutrient criteria. As discussed earlier in
this document, the agency wants to
ensure that ‘‘mixed dishes not
measurable with a cup’’ that are labeled
‘‘lean’’ will help consumers construct a
diet that is consistent with current
dietary recommendations. Thus,
consumers who incorporate these
products into their diets as healthy
snacks or choose smaller portions for
controlled calorie intake at meals
should be able to keep their dietary
intake of total fat, saturated fat, and
cholesterol at or below the DRVs
established by FDA and within current
ranges set forth in the IOM acceptable
macronutrient distribution ranges
(AMDRs) and the 2005 Dietary
Guidelines for Americans. Because
FDA-regulated foods within the category
‘‘mixed dishes not measurable with a
cup’’ do not necessarily contribute to
the diet in the same manner as mealtype products regulated by FDA (e.g.,
they are not used as meal replacements,
and would not necessarily have the
same fat, saturated fat, and cholesterol
content as the USDA-regulated
counterparts), we have tentatively
concluded that the nutrient criteria
should be more restrictive than these
other products to reflect the
contribution to the overall diet and the
different fat content.
FDA determined that it could achieve
better criteria, which would enable
consumers to maintain intakes of fat
within current dietary recommendations
without being as restrictive as the other
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options, by basing the nutrient criteria
for fat, saturated fat, and cholesterol on
the current criteria for main dishes, but
applying the criteria to the RACC (140
g) for ‘‘mixed dishes not measurable
with a cup’’ rather than the minimum
weight for main dishes (170.1 g). The
agency chose the main dish minimum
weight requirement of 170.1 g (6 oz) for
use in its calculations, rather than the
283.4 g (10 oz) minimum weight
requirement for meal products, because
main dishes are closer to ‘‘mixed dishes
not measurable with a cup’’ in portion
size and contribution to the overall diet.
The current regulations require main
dish products bearing a ‘‘lean’’ claim to
have less than 10 g total fat, 4.5 g or less
saturated fat, and less than 95 mg
cholesterol per 100 g and per labeled
serving. Because the minimum weight
criterion for main dishes and the RACC
for ‘‘mixed dishes not measurable with
a cup’’ are both considered a serving
and much closer in portion size than
meal products at 10 oz, the agency
decided that using the nutrient criteria
based on the minimum weight for main
dishes would be appropriate for
calculating the criteria for ‘‘mixed
dishes not measurable with a cup.’’
Further, to be eligible for a ‘‘lean’’
nutrient content claim, a main dish
must meet the nutrient criteria on a perlabeled-serving basis.8 Thus, the agency
chose the serving size for a main dish
that would have to meet the nutrient
criteria for ‘‘lean’’ (i.e., 170 g) as a basis
to establish the criteria for ‘‘mixed
dishes not measurable with a cup’’ per
RACC. The RACC for ‘‘mixed dishes not
measurable with a cup’’ is 140 g (5 oz).
FDA proposes to establish the fat,
saturated fat, and cholesterol criteria for
the definition of ‘‘lean’’ for ‘‘mixed
dishes not measurable with a cup’’ by
calculating the percent of the proportion
of the weight of the RACC for ‘‘mixed
dishes not measurable with a cup’’ (140
g) to the minimum weight of main
dishes (170.1 g) and multiplying the
percent by the nutrient criteria for fat,
saturated fat, and cholesterol for main
dishes. The proportion in weight is 140
8 If a food qualifying as a main dish meets the perlabeled-serving basis for a ‘‘lean’’ claim, it also
meets the per-100 g basis. For example, a main dish
with a 170 g labeled serving size containing less
than 10 g fat, 4.5 g or less saturated fat, and less
than 95 mg cholesterol per labeled serving could
bear a lean claim because it meets both the perlabeled-serving basis and the per-100 g basis (i.e.,
the food would contain less than 5.8 g fat, 2.6 g or
less saturated fat, and less than 55.9 mg cholesterol
per 100 g). However, a food qualifying as a main
dish that meets the per-100 g basis for a ‘‘lean’’
claim might not meet the per-labeled-serving basis.
For example, a main dish containing 10 g fat, 4.5
g saturated fat, and 95 mg cholesterol per 100 g
would contain 17 g fat, 7.7 g saturated fat, and 162
mg cholesterol per 170 g labeled serving.
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g / 170.1 g, which equals 0.82 or 82
percent. Eighty-two percent of the
current nutrient criterion value for fat
(10 g fat multiplied by 82 percent)
equals a nutrient value of 8.2 g fat per
RACC. Eighty-two percent of the current
nutrient criterion value for saturated fat
(4.5 g sat fat multiplied by 82 percent)
equals 3.69 g saturated fat. Eighty-two
percent of the current nutrient criterion
value for cholesterol (95 mg cholesterol
multiplied by 82 percent) equals 77.9
mg cholesterol. This proportional
reduction results in rounded values of 8
g total fat, 3.5 g saturated fat, and 80 mg
cholesterol. Calculating the proposed
nutrient criteria for ‘‘mixed dishes not
measurable with a cup’’ per RACC from
the current nutrient content criteria on
the minimum weight for main dishes
provides proposed criteria for ‘‘mixed
dishes not measurable with a cup’’ that
are comparable in their contribution of
fat, saturated fat, and cholesterol on a
per-100 g basis to that contributed by
main dishes on a per-100 g basis.9 The
proposed nutrient criteria are less
restrictive than the other options
considered and would potentially allow
more foods for increased consumer
choice. Consumers could achieve a diet
using ‘‘lean’’ ‘‘mixed dishes not
measurable with a cup’’ that is
consistent with current dietary
recommendations.
Therefore, to bear a ‘‘lean’’ claim,
FDA proposes in § 101.62(e)(2) that food
items falling within the RACC for
‘‘mixed dishes not measurable with a
cup’’ must have less than 8 g total fat,
3.5 g or less saturated fat, and less than
80 mg cholesterol per RACC. The
agency is proposing to revise current
§ 101.62(e) to include the proposed
provision. FDA requests comments on
these criteria for ‘‘mixed dishes not
measurable with a cup.’’
In proposing the nutrient
requirements, the agency considered
including a requirement for trans fat,
but decided against including it in this
proposal. Currently, there is no daily
value for trans fatty acids, but it is well
known that trans fatty acids increase
serum total- and LDL-cholesterol levels.
FDA has issued an advanced notice of
proposed rulemaking (ANPRM) to
solicit comments on establishing trans
fat nutrient content claims; to establish
9 For example, a 170 g main dish that meets the
nutrient content criteria of less than 10 g per
labeled serving of 170 g, 4.5 or less saturated fat per
170 g, and less than 95 mg cholesterol per labeled
serving of 170 g would provide less than 5.8 g fat,
2.6 g or less saturated fat, and less than 55.9 mg
cholesterol per 100 g. As a comparison, a mixed
dish that contains less than 8 g fat, 3.5 g or less
saturated fat, and less than 80 mg cholesterol would
provide less than 5.7 g fat, 2.5 g or less saturated
fat, and less than 57 mg cholesterol per 100 g.
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71047
qualifying criteria for trans fat in current
nutrient content claims for saturated
fatty acids and cholesterol, lean and
extra lean claims, and health claims that
contain a message about cholesterolraising lipids; and, in addition, to
establish disclosure and disqualifying
criteria to help consumers make healthy
food choices. The agency also solicited
comment on whether it should consider
statements about trans fat, either alone
or in combination with saturated fat and
cholesterol, as a footnote in the
Nutrition Facts panel or as a disclosure
statement in conjunction with claims
(68 FR 41507, July 11, 2003). FDA
believes that it would be premature to
consider a specific trans fat nutrient
requirement for use of the nutrient
content claim ‘‘lean’’ by eligible foods
classified as ‘‘mixed dishes not
measurable with a cup,’’ until it has
evaluated the merits of a level of trans
fat based on the data and information it
is currently evaluating in the context of
the ANPRM.
Pending issuance of a final rule
defining the ‘‘lean’’ nutrient content
claim that characterizes the fat,
saturated fat, and cholesterol content in
qualifying foods that fall within the
RACC established for ‘‘mixed dishes not
measurable with a cup,’’ FDA intends to
consider the exercise of its enforcement
discretion on a case by case basis when
the ‘‘lean’’ nutrient content claim in
food labeling is based on the definition
in this proposed rule and when the
labeling containing such a claim is not
otherwise false or misleading. The act’s
enforcement provisions commit
complete discretion to the Secretary
(and by delegation to FDA) to decide
how and when they should be
exercised. Heckler v. Chaney, 470 U.S.
821 at 835 (1985); see also Schering
Corp. v. Heckler, 779 F.2d 683 at 685–
86 (D.C. Cir. 1985) (stating that the
provisions of the act ‘‘authorize, but do
not compel the FDA to undertake
enforcement activity’’). Until the agency
issues a final rule for the ‘‘lean’’ nutrient
content claim for foods classified as
‘‘mixed dishes not measurable with a
cup,’’ the agency believes that its
exercise of enforcement discretion will
help alleviate consumer confusion by
encouraging greater consistency and
uniformity in the marketplace for such
claims, and thereby assist consumers in
making informed dietary choices about
their fat, saturated fat, and cholesterol
intake.
IV. Preliminary Regulatory Impact
Analysis
FDA has examined the impacts of the
proposed rule under Executive Order
12866. Executive Order 12866 directs
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agencies to assess all costs and benefits
of available regulatory alternatives and,
when regulation is necessary, to select
regulatory approaches that maximize
net benefits (including potential
economic, environmental, public health
and safety, and other advantages;
distributive impacts; and equity).
Executive Order 12866 classifies a rule
as significant if it meets any one of a
number of specified conditions,
including having an annual effect on the
economy of $100 million, adversely
affecting a sector of the economy in a
material way, adversely affecting
competition, or adversely affecting jobs.
A regulation is also considered a
significant regulatory action if it raises
novel legal or policy issues. The agency
believes that this proposed rule is not a
significant regulatory action as defined
by the Executive order.
A. Need for Regulation
Unlike foods classified as either meal
products or main dish products, many
foods classified as ‘‘mixed dishes not
measurable with a cup’’ are not
currently allowed to make a ‘‘lean’’
nutrient content claim because the
RACC is less than 6 oz. Allowing a
‘‘lean’’ nutrient content claim on the
labels of ‘‘mixed dishes not measurable
with a cup’’ may facilitate more
nutritious eating choices by consumers.
Moreover, better choices regarding fat,
saturated fat, and cholesterol
consumption are especially important
considering current concern with
obesity, other diseases related to being
overweight, and heart disease. Finally,
USDA currently allows the ‘‘lean’’ claim
on all foods that they regulate, including
individual foods, and allowing the
claim on FDA-regulated foods would
increase consistency in allowable claims
between the two agencies.
B. Regulatory Options
We considered the following
regulatory options: (1) Take no new
´
regulatory action; (2) adopt Nestle’s
petitioned criteria for fat, saturated fat,
and cholesterol; (3) extend the current
FDA criteria for making a ‘‘lean’’ claim
for ‘‘meal products’’ and ‘‘main dish
products’’ to ‘‘mixed dishes not
measurable with a cup,’’ and (4) adopt
the proposed criteria for fat, saturated
fat, and cholesterol contents necessary
for making a ‘‘lean’’ claim for ‘‘mixed
dishes not measurable with a cup.’’ FDA
requests comments on benefits, costs,
and any other aspects of these (and any
other) alternatives.
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Option 1: Take No New Regulatory
Action
The first regulatory option, take no
action, would require denying the
´
Nestle petition requesting that FDA
authorize a nutrient content claim
‘‘lean’’ for ‘‘mixed dishes not
measurable with a cup.’’ Taking no
regulatory action to amend the
definition of ‘‘lean’’ is the state of the
world and our baseline. By convention,
we treat the option of taking no new
regulatory action as the baseline for
determining the costs and benefits of the
other options. Therefore, we associate
neither costs nor benefits with this
option. The consequences of taking no
action are reflected in the costs and
benefits of the other options.
´
Option 2: Propose Nestle’s Petitioned
Criteria for Fat, Saturated Fat, and
Cholesterol
A second option is to allow ‘‘mixed
dishes not measurable with a cup’’ to
make a ‘‘lean’’ claim based on criteria
´
derived from the Nestle petition. In that
petition two methods are used to derive
the criteria for fat, saturated fat, and
cholesterol contents for allowing a
‘‘lean’’ claim for ‘‘mixed dishes not
measurable with a cup.’’ One method is
to establish ‘‘lean’’ criteria for fat,
saturated fat, and cholesterol contents of
‘‘mixed dishes not measurable with a
cup’’ with an estimated average weight
of 132.53 g, proportional to existing
criteria for ‘‘lean’’ ‘‘meal products’’ with
minimum weights of 170.1 g. This
method produces criteria of 7.8 g of total
fat, 3.5 g of saturated fat, and 74.1
milligrams (mg) of cholesterol per RACC
(140 g). The second method uses an
estimated average calorie contribution
of 214 calories from ‘‘mixed dishes not
measurable with a cup’’ and the
recommendations for dietary fat intake
reported by IOM and recommendations
from the National Cholesterol Education
Program on saturated fat intake. This
method produces criteria of 7 g of total
fat, 2.5 g of saturated fat, and 75 mg of
cholesterol per RACC. We use the
criteria for fat, saturated fat, and
cholesterol contents from the latter,
more restrictive method for analyzing
the regulatory impact for this option.
This option is the most restrictive of
the all options considered in terms of
allowable fat, saturated fat, and
cholesterol contents and would result in
the greatest percent reduction in fat
content in the ‘‘mixed dishes not
measurable with a cup’’ category
compared to the other three options.
However, the market share of all FDAregulated ‘‘mixed dishes not measurable
with a cup’’ expected to make a ‘‘lean’’
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claim under this option (6 percent) and
the reduction in total dietary fat
consumption may be the lowest
compared to the other options. While
the costs of this option would be
voluntarily incurred, we estimate the
extent of resources allocated to new
product development, reformulation,
relabeling, and discontinued product
lines would be the lowest compared to
the other options.
Option 3: Extend the Current Criteria for
Fat, Saturated Fat, and Cholesterol for
‘‘Lean’’
A third option is to extend the same
criteria of less than 10 g of total fat, 4.5
g of saturated fat, and 95 mg of
cholesterol per 100 g and per labeled
serving currently used to allow the
‘‘lean’’ claim for ‘‘meal products’’ or
‘‘main dish products,’’ to allow ‘‘mixed
dishes not measurable with a cup’’ to
make a ‘‘lean’’ claim on a per-RACC
basis. This is the least restrictive of the
options considered here in terms of
allowable fat, saturated fat, and
cholesterol content and would result in
a smaller percent reduction in fat
content in the ‘‘mixed dishes not
measurable with a cup’’ category than
under the other three options. In
addition, the market share of all FDAregulated ‘‘mixed dishes not measurable
with a cup’’ expected to make a ‘‘lean’’
claim under this option (10 percent),
and the reduction in total dietary fat
consumption may be the highest of the
options. While the costs of this option
would be voluntarily incurred, we
estimate the extent of resources
allocated to new product development,
reformulation, relabeling, and
discontinued product lines to be the
highest of the options.
Option 4: The Proposed Regulatory
Action
A fourth option is to allow ‘‘mixed
dishes not measurable with a cup’’ to
contain a ‘‘lean’’ claim based on the
proposed criteria of 8 g of total fat, 3.5
g or less of saturated fat, and 80 mg of
cholesterol per RACC. This option may
be considered moderately restrictive
compared to the other options in terms
of allowable fat, saturated fat, and
cholesterol content, and may result in a
moderate percent reduction in fat
content in the ‘‘mixed dishes not
measurable with a cup’’ category
compared with the other three options.
In addition, the market share for all
FDA-regulated ‘‘mixed dishes not
measurable with a cup’’ expected to
make a ‘‘lean’’ claim under this option
(8 percent), and the reduction in total
dietary fat consumption may be
considered moderate compared with the
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other options as well. While the costs of
this option would be voluntarily
incurred, we estimate the resources
allocated to new product development,
reformulation, relabeling, and
discontinued product lines to be
moderate relative to the other options.
C. Benefits
The benefits from this proposed rule
would derive from the ability of
consumers to make healthier dietary
choices among the foods in the category
of ‘‘mixed dishes not measurable with a
cup’’ based on the fat content of these
foods, when such foods bear the ‘‘lean’’
nutrient content claim. The ‘‘lean’’
claim makes it easier for consumers to
find foods in this category that do not
exceed a certain amount of fat, saturated
fat, and cholesterol. If consumers
substitute ‘‘lean’’ ‘‘mixed dishes not
measurable with a cup’’ for other foods
in this category that are higher in fat, we
would expect them to benefit from the
improved ability to maintain healthy
weights and stay within recommended
intakes for fat, saturated fat, and
cholesterol. We estimate the health
benefits from this proposed rule would
come from the reduction in total fat,
saturated fat, and cholesterol
consumption that would result.
Reduced fat, saturated fat, and
cholesterol consumption would be
expected to help consumers maintain
healthier body weights.
1. An Overview of Likely ‘‘Lean’’
‘‘Mixed Dishes Not Measurable With a
Cup’’
The expected effects of the proposed
rule would be small because there are a
small number of ‘‘mixed dishes not
measurable with a cup’’ under FDA
regulatory authority that would be
eligible to make the ‘‘lean’’ claim,
should one be allowed. Although foods
classified as ‘‘mixed dishes not
measurable with a cup’’ that are subject
to USDA regulatory oversight are
currently allowed to make a ‘‘lean’’
claim, we think that very few foods such
as many sandwiches, burritos, pizza
pockets, and egg rolls that are currently
subject to FDA regulatory oversight,
would qualify for the ‘‘lean’’ claim
based on the criteria in any of the
´
regulatory options. The Nestle petition
identified the rapidly growing frozen
sandwich and snack category as
containing likely candidate products
within ‘‘mixed dishes not measurable
with a cup’’ for making the ‘‘lean’’
claim, should one be allowed. For
´
example, according to the Nestle
petition, growth in ‘‘mixed dishes not
measurable with a cup’’ that make a
‘‘lean’’ claim could likely come from the
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Weight Watchers Smartwiches, Amy’s
´
Pocket Sandwiches, and Nestle’s Lean
Pockets product lines (Ref. 1).
2. Structure of the Benefits Analysis
To estimate the reduction in fat
consumption that would result from the
regulatory options, we first estimate the
current share of total food consumption
in the ‘‘mixed dishes not measurable
with a cup’’ category. We estimate the
total consumption of all ‘‘mixed dishes
not measurable with a cup’’ and the
total consumption of all food. Total food
consumption is from food prepared and
consumed in the home as well as from
food served and consumed away from
home. We then estimate the fraction of
that total that would be subject to FDA
‘‘lean’’ labeling requirements. We
develop a conceptual framework to
estimate the share of ‘‘mixed dishes not
measurable with a cup’’ that is likely to
make a new ‘‘lean’’ claim, and use
published information on the market
share of products that make ‘‘fat’’ claims
to estimate the maximum market share
of ‘‘lean’’ ‘‘mixed dishes not measurable
with a cup.’’ We estimate the percent
reduction in total dietary fat intake that
would result from consuming newly
allowed ‘‘lean’’ ‘‘mixed dishes not
measurable with a cup’’ instead of
alternative food products. Alternatives
to ‘‘mixed dishes not measurable with a
cup’’ that make the ‘‘lean’’ claim could
be any other ‘‘mixed dish not
measurable with a cup’’ including those
under the regulatory oversight of USDA.
Finally, we discuss important
considerations that may affect the
distribution of the reduction in dietary
fat intake across consumers of different
overweight status.
3. Estimating Current Consumption of
‘‘Mixed Dishes Not Measurable With a
Cup’’ Subject to FDA Regulatory
Oversight
We used the data from the 1997 U.S.
Economic Census and North American
Industry Classification System (NAICS)
code 4451 for grocery stores to estimate
current consumption of all ‘‘mixed
dishes not measurable with a cup’’ (Ref.
3). We then refined that estimate so that
it includes only those ‘‘mixed dishes not
measurable with a cup’’ that are subject
to FDA regulatory oversight. The use of
only NAICS 4451 for this purpose may
underestimate true consumption of
‘‘mixed dishes not measurable with a
cup’’ to the extent that there are other
NAICS codes that also contain sales of
these products. However, sales of these
products reported in other NAICS codes
are probably small.
We used merchandise lines 103
(Frozen foods (including packaged foods
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sold in frozen state)), 106 (Bakery
products not baked on the premises,
except frozen), and 124 (all other meals
and snacks) within NAICS 4451 as the
basis to estimate current consumption of
‘‘mixed dishes not measurable with a
cup.’’ We assume that half of all frozen
foods from merchandise line 103 are
either frozen meal products and main
dish products, or frozen ‘‘mixed dishes
not measurable with a cup’’ with RACCs
of 140 g (about 5 oz); we further assume
that two-thirds of that total is for frozen
meal products and main dish products
and one-third is for frozen ‘‘mixed
dishes not measurable with a cup.’’
Consequently, we estimate that within
merchandise line 103 there were
approximately $3.2 billion in annual
sales of frozen ‘‘mixed dishes not
measurable with a cup’’ in 1997.
We used a similar framework to
estimate current consumption of ‘‘mixed
dishes not measurable with a cup’’ with
RACCs of 140 g (about 5 oz) for
merchandise lines 106 and 124. We
assume that three-quarters of the sales
reported for NAICS 4451, merchandise
line 106, are for cakes, pies, cookies,
and related items, while one-quarter of
the sales from this line are for ‘‘mixed
dishes not measurable with a cup’’ (e.g.,
´
quiches and entree-type turnovers).
Consequently, we estimate the total
annual sales of ‘‘mixed dishes not
measurable with a cup’’ from that
category to be approximately $1.8
billion. Finally, we assume that half of
all sales of merchandise line 124 are for
‘‘mixed dishes not measurable with a
cup,’’ which leads us to estimate that
approximately $1.3 billion in annual
sales of ‘‘mixed dishes not measurable
with a cup’’ came from that
merchandise line in 1997.
Based on the analysis in the previous
paragraphs, our estimate of total
consumption of ‘‘mixed dishes not
measurable with a cup,’’ derived from
total sales from that category, is
approximately $6.3 billion (i.e., $3.2
billion plus $1.8 billion plus $1.3
billion, rounded to the nearest 100
million) for 1997. We estimate that half
of this total is subject to USDA
regulatory oversight, while half would
be subject to the ‘‘lean’’ requirements
outlined in the policy options
considered in this analysis.
Consequently, we estimate that total
consumption of ‘‘mixed dishes not
measurable with a cup’’ subject to FDA
regulatory oversight is approximately
$3.2 billion (i.e., $6.3 billion / 2,
rounded to the nearest 100 million).
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4. The Share of Total Food
Consumption From ‘‘Mixed Dishes Not
Measurable With a Cup’’ Subject to FDA
Regulatory Oversight
Total food consumption consists of
food purchased at retail grocery and
other establishments and consumed
elsewhere, and food consumed at food
service establishments. From the 1997
U.S. Economic Census, total sales of all
groceries and other foods for human
consumption off-the-premises reported
for NAICS 4451 were about $274 billion
(Ref. 3). Consequently, we estimate that
consumption of ‘‘mixed dishes not
measurable with a cup’’ subject to FDA
regulatory oversight represents
approximately 1.2 percent of all
consumption of food purchased for
consumption off-the-premises ($3.2
billion / $274 billion).
We used USDA data to estimate the
fraction of total food consumed (both inhome as well as away-from-home
consumption) that is subject to
packaged food labeling requirements
(in-home consumption exclusively) in
order to estimate the percent of total
food consumed from ‘‘mixed dishes not
measurable with a cup.’’ The percentage
of food consumed away from home is
estimated as 43 percent of total U.S.
food consumption expenditures based
on the 2003 consumer price index for
food computed by the Economic
Research Service (Ref. 4). Consequently,
we estimate that 57 percent of food
consumed is purchased for
consumption at home (i.e., 100 percent
- 43 percent), and that the universe of
‘‘mixed dishes not measurable with a
cup’’ that could potentially make a
‘‘lean’’ claim accounts for
approximately 0.67 percent of total
consumption (1.2 percent x 57 percent).
For the purpose of this analysis, we
assume that the fraction of total food
purchases at retail outlets from ‘‘mixed
dishes not measurable with a cup’’ has
not significantly changed since 1997.
5. The Conceptual Model for Estimating
Consumption of ‘‘Lean’’ ‘‘Mixed Dishes
Not Measurable With a Cup’’
We assume that the demand for
‘‘mixed dishes not measurable with a
cup,’’ like that for other food categories,
depends on nutrition attributes,
consumer taste, and price, and that
consumers will optimize their food
choices by substituting among these
characteristics. A study by Teisl and
Levy found evidence that consumers
substitute among nutrient, price, and
taste characteristics in their food
choices (Ref. 5). In general, consumers
prefer the taste of foods that are higher
in fat content (all else equal), and
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studies have documented that those
foods are lower in cost per calorie
compared with foods with lower fat
contents (Ref. 6). Drewnowski and
Specter report evidence suggesting that
nutrition-conscious consumers will pay
a premium for food products they
perceive as being relatively nutritious at
the expense of taste (Ref. 6). These
researchers suggest that balanced diets
lower in fat and refined sugars are
generally more expensive than diets
higher in fat and refined sugar.
We estimate that demand for ‘‘mixed
dishes not measurable with a cup’’
making ‘‘lean’’ claims will come from
health-conscious consumers who are
assumed to value the nutritional
characteristics of ‘‘lean’’ ‘‘mixed dishes
not measurable with a cup’’ over the
taste characteristics of other ‘‘mixed
dishes not measurable with a cup.’’ We
do not have the quantitative data and
other information on consumer
preferences for taste and nutritious
characteristics that would allow us to
directly estimate consumers’
substitution between nutrition and taste,
but we know that the demand for more
nutritious products in the ‘‘mixed
dishes not measurable with a cup’’
category will increase as the nutritious
content of the products increase,
assuming that taste characteristics and
prices are held constant. Consequently,
we estimate that the demand for ‘‘lean’’
‘‘mixed dishes not measurable with a
cup’’ will depend on the fat, saturated
fat, and cholesterol contents relative to
that of all other ‘‘mixed dishes not
measurable with a cup.’’
In this analysis, we isolated fat
content as the property of interest. In
order to generate a plausible estimate of
the demand for ‘‘mixed dishes not
measurable with a cup’’ under FDA
regulatory oversight that would make a
‘‘lean’’ claim, we make the following
assumptions:
• We assume a positive relationship
between fat content and consumer taste,
so that near current levels of
consumption of ‘‘mixed dishes not
measurable with a cup,’’ a reduction in
fat content leads to a reduction in
consumer preference, all else the same.
• We assume a continuum of fat
contents in all ‘‘mixed dishes not
measurable with a cup’’ that make fat
claims, and estimate the maximum
market share based on where the ‘‘lean’’
criteria fall within that continuum. We
assume the continuum in fat contents
range from a low represented by the
low-fat criteria (i.e., 3 g per RACC, or
140 g) to a high represented by the
average fat content of ‘‘mixed dishes not
eligible to make any fat claim.’’
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• We assume ‘‘mixed dishes not
measurable with a cup’’ that make a
‘‘lean’’ claim will contain less fat, have
different taste characteristics, and be
priced at a premium (all else the same)
over ‘‘mixed dishes not measurable with
a cup’’ with higher fat contents,
including some that make fat claims but
are ineligible to make a ‘‘lean’’ claim.
• We assume that the maximum
market share for ‘‘lean’’ ‘‘mixed dishes
not measurable with a cup’’ will be
proportional to the fat contents of other
‘‘mixed dishes not measurable with a
cup’’ making fat claims based on where
‘‘lean’’ criteria fall within the
continuum of fat contents. In other
words, we assume that fat content
drives market share within the segment
of the market making claims about fat.
• We assume that all demand for
‘‘lean’’ ‘‘mixed dishes not measurable
with a cup’’ will come from consumers
of similar foods in this category that
contain higher fat contents (including
those with reduced fat nutrient content
claims as well as those that do not make
nutrient content claims) and have better
taste. Current consumers of similar
‘‘mixed dishes not measurable with a
cup’’ except for their higher fat contents
may prefer ‘‘lean’’ mixed dishes because
of their more nutritious, lower fat
characteristics. Moreover, consumers of
similar ‘‘mixed dishes not measurable
with a cup’’ except for their lower fat
contents, such as low-fat products may
instead choose similar ‘‘lean’’ ‘‘mixed
dishes not measurable with a cup’’
because of taste.
We estimated the maximum potential
market share for ‘‘lean’’ ‘‘mixed dishes
not measurable with a cup’’ using
published information on the market
share for all FDA-regulated products
that make ‘‘fat’’ claims. ‘‘Mixed dishes
not measurable with a cup’’ with fat
contents lower than ‘‘lean’’ ‘‘mixed
dishes not measurable with a cup’’
would have smaller market shares,
while those that make fat claims but
have higher fat contents than ‘‘lean’’
mixed dishes not measurable with a
cup’’ would have greater market shares
up to an estimated maximum potential
market share. In a study using the 2001
Food Label and Package Survey data,
LeGault et al. found that 33.7 percent of
all FDA-regulated product sales were
from products that had some type of
nutrient content claim, and that 17.2
percent of all product sales had some
type of reduced fat claim (i.e., fat free,
low or reduced fat, lite, etc.) (Ref. 7). We
assume that the maximum share of all
FDA-regulated ‘‘mixed dishes not
measurable with a cup’’ that could make
a ‘‘lean’’ claim is 17.2 percent.
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6. Estimating the Market Share of
‘‘Lean’’ ‘‘Mixed Dishes Not Measurable
With a Cup’’
We estimate the market share for
‘‘lean’’ ‘‘mixed dishes not measurable
with a cup’’ based on the lower fat
contained in such products that would
be eligible to bear the ‘‘lean’’ claim
under each policy option, compared
with the average for ‘‘mixed dishes not
measurable with a cup’’ that are likely
consumption-substitutes. We estimate
the average nutrient contents in ‘‘mixed
dishes not measurable with a cup’’ of
likely consumption-substitutes using
the nutrient contents of several ‘‘mixed
dishes not measurable with a cup’’ that
are reported in the USDA National
Nutrient Database for Standard
Reference (Ref. 8). Our sample of likely
consumption-substitute ‘‘mixed dishes
not measurable with a cup’’ is drawn
from likely candidate products, similar
´
to those suggested in the Nestle petition,
in the Weight Watchers Smartwich,
´
Amy’s Pocket Sandwich, and Nestle’s
Lean Pockets product lines. The
nutrient contents reported in the table 1
of this document include several
different fresh and frozen sandwich
products, and are reported on a per-140
g basis rather than per-100 g basis as in
the USDA database. This modification
allows us to better compare the levels of
fat, saturated fat, and cholesterol in
these ‘‘mixed dishes not measurable
with a cup’’ with the ‘‘lean’’
requirements specified in each policy
option. We implicitly assume that the
distribution of nutrient contents of the
reported items is representative of that
for all likely substitute ‘‘mixed dishes
not measurable with a cup.’’
To incorporate uncertainty in our
estimates we assume that fat, saturated
71051
fat, and cholesterol contents of ‘‘mixed
dishes not measurable with a cup’’ are
lognormally distributed with means
equal to the averages of the reported
contents, and standard deviations equal
to the natural logarithm of the standard
deviations of the reported contents
across the ‘‘mixed dishes not
measurable with a cup.’’ The lognormal
distribution is appropriate to use
because it incorporates the idea that
relatively few candidate consumptionsubstitute ‘‘mixed dishes not
measurable with a cup’’ would have
nutrient levels much different from the
mean as would be implied by the use of
a normal distribution. The parameters
that describe the lognormal distribution
are the natural logarithms of the mean
and variance in the data. The 5 percent
(low) and 95 percent (high) estimates
are reported along with the average
contents in table 1 of this document.
TABLE 1.—NUTRIENT CONTENTS OF SOME LIKELY SUBSTITUTES FOR ‘‘LEAN’’ ‘‘MIXED DISHES NOT MEASURABLE WITH A
CUP’’
Total Fat
(g per 140 g RACC)
One Serving
Saturated Fat
(g per 140 g RACC)
Cholesterol
(mg per 140 g RACC)
Hot Pockets, Beef and Cheddar Stuffed Sandwich, frozen
20
9
52
Libby’s Spreadables Ready to Serve Sandwich Salads, shelf stable
13
3
36
Hot Pockets, Ham and Cheese Stuffed Sandwich, frozen
16
6
55
Sunny Fresh, Pre-Cooked Frozen Egg and Cheese Biscuit
13
3
157
Lean Pockets Glazed Chicken Supreme Stuffed Sandwiches, frozen
7
2
25
Weight Watchers On-The-Go Chicken, Broccoli, and Cheddar Pocket
Sandwich, frozen
6
2
14
Average
12
4
56
5 percent (low)
10
3
50
95 percent (high)
15
5
63
7
3
75
10
4.5
95
Option 4: FDA proposed
8
3.5
80
Low fat
3
Option 2: Industry proposed
Option 3: Extension of current criteria for ‘‘meal products’’
The maximum fat content that would
be allowed under option 2 is between 47
and 70 percent of the average (i.e., (7 /
15) x 100 and 7 / 10 x 100) with a mean
of 58 percent of the average fat content
of the foods assumed to be likely
substitute ‘‘mixed dishes not
measurable with a cup,’’ and for option
3 the maximum fat content for ‘‘lean’’ is
between 67 and 100 percent (i.e., (10 /
15) x 100 and (10 / 10) x 100) with a
mean of 83 percent of the average fat
content of the foods assumed to be
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likely consumption-substitute ‘‘mixed
dishes not measurable with a cup.’’ FDA
proposed maximum fat content for
‘‘lean’’ is between 53 and 80 percent
(i.e., (8 / 15) x 100 and (8 / 10) x 100)
with a mean of 67 percent of the average
fat content of the foods assumed to be
likely consumption-substitute ‘‘mixed
dishes not measurable with a cup.’’ The
maximum fat content for ‘‘low fat’’ is
about 25 percent of the average content
of the foods listed (i.e., 3 / 12 x 100).
We note that these estimates of the
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difference in fat contents between
‘‘lean’’ ‘‘mixed dishes not measurable
with a cup’’ and likely consumptionsubstitute ‘‘mixed dishes not
measurable with a cup’’ may understate
the true difference to the extent that
some ‘‘lean’’ ‘‘mixed dishes not
measurable with a cup’’ will have fat
contents below the maximum allowed,
which is the value used in the
computation.
Based on an assumed continuum of
fat contents ranging from 25 percent of
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nearest percent); 10 percent using the
criteria in option 3 (i.e., (83 percent - 25
percent) x 17.2 percent of mixed dishes
that have reduced fat claims, rounded to
the nearest percent); and 7 percent using
the proposed criteria (i.e., 67 percent 25 percent) x 17.2 percent of mixed
dishes that have reduced fat claims,
rounded to the nearest percent). In order
to incorporate uncertainty in our
estimate of market share, we assume a
the average (low-fat) to the average fat
content in likely consumptionsubstitute ‘‘mixed dishes not
measurable with a cup’’ not eligible to
make fat claims we estimate a market
share for ‘‘lean’’ ‘‘mixed dishes not
measurable with a cup’’ of 6 percent
using the industry-petitioned criteria
(i.e., (58 percent - 25 percent) x 17.2
percent of mixed dishes that have
reduced fat claims, rounded to the
uniform distribution with a range of 0
to 8 percent using FDA-proposed
criteria, from 0 to 7 percent using the
industry-proposed criteria, and from 0
to 10 percent by extending the current
criteria for ‘‘main dish products.’’ The
estimated ‘‘lean’’ market share and
estimated fat contents relative to likely
consumption-substitute ‘‘mixed dishes
not measurable with a cup’’ are
summarized in table 2 of this document.
TABLE 2.—FAT CONTENT RELATIVE TO LIKELY CONSUMPTION-SUBSTITUTES AND THE MARKET SHARE FOR ‘‘LEAN’’ ‘‘MIXED
DISHES NOT MEASURABLE WITH A CUP’’
Fat Content in ‘‘Lean’’ Relative to the Average
Fat Content in Likely Consumption-Substitute
‘‘Mixed Dishes Not Measurable With a Cup’’
Market Share of ‘‘Lean’’
‘‘Mixed Dishes Not Measurable With a Cup’’
Option 2: Industry-petitioned
Low: 47 percent
High: 70 percent
Average: 58 percent
0 to 7 percent
Option 3: Extending current criteria for ‘‘main dish products’’
Low: 67 percent
High: 100 percent
Average: 83 percent
0 to 10 percent
Option 4: FDA proposed
Low: 53 percent
High: 80 percent
Average: 67 percent
0 to 8 percent
7. Estimating the Reduction in Fat
Consumption From Allowing the
‘‘Lean’’ Claim
The use of the estimated market share
for ‘‘lean’’ ‘‘mixed dishes not
measurable with a cup’’ may overstate
the reduction in fat consumption if
many consumers already consume FDAregulated products that would be
eligible for the ‘‘lean’’ claim (without
the claim on the label). Moreover, it is
possible that some consumers may
switch to ‘‘lean’’ ‘‘mixed dishes not
measurable with a cup’’ once they
become available, from the ‘‘low-fat’’
alternatives they currently consume
because of better taste. We estimate that
one-half of all consumption of ‘‘lean’’
‘‘mixed dishes not measurable with a
cup’’ would be from consumers that
would switch from other ‘‘mixed dishes
not measurable with a cup’’ that contain
the same amount or less fat.
Table 3 of this document shows the
expected ‘‘lean’’ market share, percent
reduction in fat consumption from the
‘‘mixed dishes not measurable with a
cup’’ category, and the percent
reduction in fat consumption relative to
current total fat consumption for each
option considered here. Based on the
criteria for fat, saturated fat, and
cholesterol contents stated in each
policy option, we estimate that the total
amount of fat consumed for 0 to 7
percent of ‘‘mixed dishes not
measurable with a cup’’ will decline by
between 10 and 24 percent (i.e., [(1 0.80) x 100] / 2, and [(1 - 0.53) x 100)]
/ 2) with a mean of 17 percent under the
proposed option. For option 3,
extending the current criteria for ‘‘main
dish products’’ we expect the total
amount of fat consumed for 0 to 12
percent of ‘‘mixed dishes not
measurable with a cup’’ to decline by
between 0 and 17 percent (i.e., [(1 - 1)
x 100] / 2, and [(1 - 0.67) x 100)] / 2),
with a mean of 9 percent. Under the
industry petitioned option we expect
the total amount of fat consumed for 0
to 6 percent of ‘‘mixed dishes not
measurable with a cup’’ to decline by
between 15 and 26 percent (i.e., [(1 0.70) x 100] / 2, and [(1 - 0.47) x 100)]
/ 2), with a mean of 21 percent.
Because ‘‘mixed dishes not
measurable with a cup’’ that are subject
to FDA labeling requirements make up
approximately 0.67 percent of total
consumption, we estimate that total fat
consumption could decline by about
0.01 percent (i.e., 8 percent of ‘‘mixed
dishes not measurable with a cup’’ x 17
percent fat reduction (using the mean) x
0.67 percent of total consumption
rounded to the nearest hundredth) using
the FDA proposed ‘‘lean’’ criteria,
assuming that consumers do not
increase their consumption of other
foods including main dishes with
weights over 6 oz and other foods with
higher fat contents.
TABLE 3.—MARKET SHARE AND PERCENT REDUCTION IN FAT CONSUMPTION FROM NEWLY LABELED ‘‘LEAN’’ ‘‘MIXED
DISHES NOT MEASURABLE WITH A CUP’’
Expected Market Share of
‘‘Lean’’ ‘‘Mixed Dishes Not
Measurable With a Cup’’
Mean Percent Reduction in
Fat in ‘‘Mixed Dishes Not
Measurable With a Cup’’
Subject to FDA Oversight
Mean Percent Reduction in Total
Fat Consumption
Option 2: Industry-petitioned
6 percent
21 percent
0.0084 percent
Option 3: Extending current criteria for ‘‘main dish products’’
10 percent
9 percent
0.0141 percent
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71053
TABLE 3.—MARKET SHARE AND PERCENT REDUCTION IN FAT CONSUMPTION FROM NEWLY LABELED ‘‘LEAN’’ ‘‘MIXED
DISHES NOT MEASURABLE WITH A CUP’’—Continued
Mean Percent Reduction in
Fat in ‘‘Mixed Dishes Not
Measurable With a Cup’’
Subject to FDA Oversight
Expected Market Share of
‘‘Lean’’ ‘‘Mixed Dishes Not
Measurable With a Cup’’
Option 4: FDA proposed
8 percent
As table 3 of this document shows,
the reduction in fat consumption
resulting from this proposed rule is
likely to be quite small. Additional
factors may mitigate further the
reduction in fat intake resulting from
the proposed rule. Because consumers
may increase their consumption of other
foods with higher fat and cholesterol
contents to compensate for the lower fat
and cholesterol contents of ‘‘lean’’
‘‘mixed dishes not measurable with a
cup,’’ the mean estimated reduction in
total fat and cholesterol consumption
may be less than 0.01 percent.
Moreover, we may be overestimating the
reduction in fat consumption by not
accounting for the increase in fat intake
for current consumers of lower fat
substitutes who, given the opportunity,
would choose ‘‘lean’’ ‘‘mixed dishes not
measurable with a cup’’ because of their
perceived better taste. To incorporate
uncertainty in the estimate, we assume
the reduction in fat consumption from
this proposed rule to be uniformly
distributed between 0 and 0.02 percent,
with 0.01 percent as the mean.
8. The Distribution of Obese and
Overweight Consumers Across Income
Groups
The distribution of overweight and
obese consumers across income groups
may be important when valuing the
benefits from the proposed rule.
Drewnowski and Spector find evidence
that the highest rates of obesity occur
among population groups with the
highest poverty rates and the least
education (Ref. 6). If the obesity rates
are negatively related to income and
education, and if low income consumers
respond more to the higher prices than
the lower fat contents of ‘‘lean’’
products, then the overall benefits from
this proposed rule may be lower than
anticipated.
Prices for ‘‘lean’’ products will be
higher than those for products with no
nutrient content claim. For example,
data collected by FDA on market shares
for frozen dinners making nutrient
content claims suggests an estimated
average price of $2.92 per product, for
a $0.32 price premium on frozen
dinners making a ‘‘healthy’’ claim
compared with frozen dinners of
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17 percent
comparable size making a less stringent
nutrient content claim (Ref. 9). We
interpret this premium to imply that
consumers of those frozen dinners place
a $0.32 price premium (or 12.3 percent)
per dinner on ‘‘nutrition’’
characteristics. Assuming that
consumers hold the same preferences
for taste and nutrition characteristics for
‘‘mixed dishes not measurable with a
cup’’ as they do for frozen dinners, we
estimate a price premium (all else the
same) for ‘‘mixed dishes not measurable
with a cup’’ that make a ‘‘lean’’ claim
to be somewhere between 0 and 12.3
percent (note we estimate that the
‘‘nutritious’’ premium may be lower
than 12.3 percent because the nutrition
criteria required for a ‘‘lean’’ claim are
less stringent than that required for the
‘‘healthy’’ claim).
Consuming foods with lower fat
content helps consumers who are not
overweight with few health risks to
maintain recommended fat intakes, and
helps overweight and obese consumers
at higher risk to reduce their fat intakes
to recommended levels. Because obese
people have the highest health risks, the
benefits from reducing their fat
consumption are acute and immediate,
while those for reducing the dietary fat
intake for trim consumers with low
health risks are latent and realized only
after a long period of time. We assume
that the benefits obtained from this
proposed rule by low-risk consumers
will be smaller than those obtained by
overweight and other high-risk
consumers. If the obese population is
disproportionately represented by lower
income consumers, then that income
groups’ relatively large response to the
higher prices for ‘‘lean’’ ‘‘mixed dishes
not measurable with a cup’’ will result
in reduced benefits.
Consequently, the health benefits
derived from the enhanced ability of
consumers to make healthier dietary
choices among foods in the category of
‘‘mixed dishes not measurable with a
cup’’ subject of FDA regulatory
oversight based on their fat contents,
when such foods bear the ‘‘lean’’
nutrient content claim will be small.
The category of ‘‘mixed dishes not
measurable with a cup’’ comprises only
1.3 percent of total food consumption,
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Mean Percent Reduction in Total
Fat Consumption
0.0113 percent
and we estimated that between 0 and 7
percent of this category would actually
bear a ‘‘lean’’ claim under the FDA
proposed rule. Finally, we estimated
that consumers would reduce their
consumption of fat by between 0 and
0.02 percent of current fat consumption
with passage of the proposed rule.
D. Costs
The costs incurred by manufacturers
of ‘‘mixed dishes not measurable with a
cup’’ who choose to label their products
as ‘‘lean’’ would be voluntarily incurred
because no manufacturer would incur
them if it weren’t profitable to do so.
Nevertheless, we do anticipate an
allocation of resources devoted to
product reformulation, relabeling, new
product development, and the
discontinuation of product lines, as a
result of this proposed rule, and that the
magnitude of this resource allocation is
important for characterizing the broader
economic impact on society.
The voluntarily incurred costs of the
proposed rule include costs of
reformulating and relabeling ‘‘mixed
dishes not measurable with a cup’’ that
would be newly able to make the ‘‘lean’’
claim, as well as the costs from
discontinued production and new
product development. ‘‘Mixed dishes
not measurable with a cup’’ that
currently satisfy the proposed ‘‘lean’’
criteria, but as yet, are not permitted to
make the claim, would only incur
labeling costs from this proposed rule,
while those that reformulate will incur
both reformation and labeling costs. The
reformulating process includes
laboratory testing of recipes that meet
the required ‘‘lean’’ criteria, researching
market prices and availability of new
ingredients and necessary equipment,
production testing in increasingly large
batch sizes, and finally, consumer
testing and marketing evaluations. At
any stage in the process a product may
be dropped from reformulation
consideration. Products that undergo a
portion of the process, but that are
eventually dropped from consideration
also constitute a reformulation cost.
Labeling costs for ‘‘lean’’ products
include the costs of testing food
products to verify that the levels of fat,
saturated fat, and cholesterol in the
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package are consistent with the ‘‘lean’’
claim, as well as the fixed and variable
printing costs for the new label and the
storage costs associated with disposing
old labels.
We used the FDA Reformulation Cost
Model (Ref. 10), the FDA Decision to
Reformulate Model (Ref. 11), and the
FDA Labeling Cost Model (Ref. 12) to
estimate the reformulation and labeling
costs from making ‘‘lean’’ claims on
‘‘mixed dishes not measurable with a
cup.’’ Data from NAICS 311412, Frozen
Specialties NEC, incorporated in the
Reformulation Cost Model were used in
simulations to estimate the
reformulation costs of ‘‘mixed dishes
not measurable with a cup.’’ The total
costs computed for the broad NAICS
code are adjusted to account for the
fraction of products within that category
that are subject to FDA regulatory
oversight and estimated to make the
‘‘lean’’ claim for each option.
Based on the earlier framework used
to estimate the size of the market for
‘‘mixed dishes not measurable with a
cup,’’ we assume that 50 percent of the
products in NAICS 311412 are ‘‘mixed
dishes not measurable with a cup,’’ half
are subject to FDA regulatory oversight,
and 8 percent of those products will
either reformulate in order to meet the
‘‘lean’’ criteria, or only relabel if they
already meet the ‘‘lean’’ criteria. We
assume a uniform distribution between
0 and 0.08 of the market share for
‘‘lean’’ ‘‘mixed dishes not measurable
with a cup’’ (subject to FDA regulatory
oversight) for the proposed option, and
a uniform distribution between 0 and
0.07 for the industry-petitioned option.
We justify the wide range because of the
uncertainty surrounding our
assumptions.
Using FDA’s Decision to Reformulate
Model, we estimate that between 80 and
100 percent of the affected products
using the ‘‘lean’’ label for ‘‘mixed dishes
not measurable with a cup’’ will be
reformulated products. The estimates
generated from that model are derived
from interviews with experts on the
probability of reformulation by NAICS
code or product category. Estimates at
the lower end of the range (i.e., closer
to 80 percent) represent those products
that would incur higher reformulation
costs if major ingredient substitutions
are necessary to meet the ‘‘lean’’ criteria.
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At this range of difficulty the Decision
to Reformulate Model estimates that
between 5 and 6 percent of ‘‘mixed
dishes not measurable with a cup’’
would be discontinued because the net
benefits to the company from their
reformulation are lower than those for
their discontinuation. Estimates at the
higher end of the range (i.e., closer to
100 percent) represent those products
that require only minor but critical
ingredient substitutions. No product
lines would be terminated at this end of
the range.
We assume that the fraction of the
‘‘lean’’ market that would incur
reformulation costs is uniformly
distributed between 80 and 100 percent,
with the fraction that only requires
relabeling estimated as the remainder
(i.e., between 0 and 20 percent). We
used the average of the estimates
generated from the Reformulation Cost
Model for 80 and 100 percent
reformulation rates. The estimates
generated by the Reformulation Cost
Model are derived from experts’
information on detailed reformulation
costs by NAICS code including market
research, product testing, consumer
testing, and marketing costs and are
reported as low, middle, and high
values. We characterize uncertainty in
our simulation by assuming triangular
distributions for the 80 and 100 percent
reformulation rates generated from the
Reformulation Cost Model, using the
reported low, middle, and high values
from that model as the low, medium,
and high parameters in that distribution.
We assume that the costs of product
lines that become discontinued are due
to insufficient consumer demand, and
those for new product development if
this proposed rule were issued are equal
to each other. This reflects the
assumption that growth in the number
of ‘‘mixed dishes not measurable with a
cup’’ will not change as a result of this
proposed rule. The Reformulation Cost
Model estimates that for major
ingredient substitution requirements
between 5 and 6 percent of product
lines will be discontinued. We assume
the costs of products that are
discontinued and those for new product
development are both uniformly
distributed between 0 and 6 percent of
the costs of reformulation.
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We ran the Reformulation Cost Model
for the case when minor and noncritical
ingredient substitutions are necessary
(in which case, 100 percent of the
market will be reformulated products)
and also for the case when minor but
critical ingredient substitutions are
necessary (in which case, 80 percent of
the market will be reformulated
products). The relabeling costs are
estimated from FDA’s Labeling Cost
Model, which also generates cost
estimates by NAICS code. We further
characterize uncertainty in our
simulation by assuming a triangular
distribution for labeling costs (for
between 0 and 20 percent of the ‘‘lean’’
market) using the estimates of the low,
medium, and high costs generated from
the Labeling Cost Model as the low,
medium, and high parameters in that
distribution.
Table 4 of this document reports
ranges for estimates of reformulation
costs, labeling costs, discontinued
product line costs, and total costs for the
proposed and industry-petitioned
options, and for time periods of 12 and
24 months for each option. The range
reported for reformation costs from the
proposed rule incorporates uncertainties
in both the estimate of the ‘‘lean’’
market share, the probability for
reformulation, and the reformulation
costs generated by the Reformulation
Cost Model. The range reported for the
labeling costs from the proposed rule
incorporates uncertainty in the
estimates of the ‘‘lean’’ market share,
reformulation costs, and the labeling
costs generated by the Labeling Cost
Model. The range of estimates reported
for costs from discontinued product
lines and new product development
incorporate uncertainty in the estimates
of the ‘‘lean’’ market share,
reformulation costs, as well as the
fraction of discontinued product lines
generated from the Probability of
Reformulation Model. The range of
estimates of total costs reported in table
4 reflects uncertainties in the estimates
of all of the individual costs
components. The low and high
estimates in the respective ranges are
the 5- and 95-percent levels computed
by the computer simulation software
@RiskTM, given the distributional
assumptions made for each of the
component costs.
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Federal Register / Vol. 70, No. 226 / Friday, November 25, 2005 / Proposed Rules
TABLE 4.—VOLUNTARILY INCURRED CHANGE-OVER COSTS FOR MAKING A ‘‘LEAN’’ CLAIM
Proposed Option
(8% Market Share)
12-month
compliance
(dollars)
Option 2: Industry-Petition
(6% Market Share)
24-month
compliance
(dollars)
12-month
compliance
(dollars)
Option 3: Extend Current Criteria
to ‘‘Mixed Dishes Not Measurable
With a Cup’’ (10% Market Share)
24-month
compliance
(dollars)
12-month
compliance
(dollars)
24-month
compliance
(dollars)
Reformulation costs
low
657,000
423,000
365,000
267,000
821,000
529,000
mean
7,801,000
4,880,000
4,235,000
3,149,000
9,751,000
6,100,000
high
16,249,000
10,617,000
8,541,000
6,749,000
20,311,000
13,271,000
12,000
14,000
7,000
9,000
15,000
18,000
mean
306,000
158,000
197,000
102,000
382,000
198,000
high
885,000
914,000
549,000
680,000
1,106,000
1,143,000
7,000
4,000
4,000
3,000
8,000
5,000
mean
234,000
146,000
127,000
94,000
293,000
183,000
high
665,000
400,000
355,000
276,000
832,000
500,000
3,000
2,000
2,000
1,000
4,000
3,000
mean
117,000
73,000
54,000
40,000
146,000
92,000
high
333,000
200,000
152,000
118,000
416,000
250,000
low
1,095,000
749,000
583,000
441,000
1,369,000
936,000
mean
8,574,000
5,331,000
4,686,000
8,026,000
10,718,000
6,664,000
high
17,690,000
10,892,000
9,862,000
7,353,000
22,112,000
13,615,000
Labeling costs
low
Discontinued
low
New product development
low
Total costs
Table 5 of this document reports the
annualized change-over costs for the
proposed rule, which we computed
assuming the discount rates of 3 and 7
percent over an infinite time horizon for
assumed 12- and 24-month periods for
relabeling and reformulation. For a 12month period all costs are assumed to
be incurred in the beginning of the
second year. For a 24-month period all
costs are assumed to be incurred in the
beginning of the third year. Because
producers choose the time period for the
reformulation and relabeling of
products, the actual time periods for the
changes can be of any length, with the
costs differing from those in table 5.
From our labeling cost and
reformulation models, however, we
expect that costs would be substantially
higher for time periods under 12
months, and substantially lower for time
periods over 24 months. We also expect
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that the time periods chosen would be
shorter and the costs higher, the greater
the perceived consumer response to
these product claims.
TABLE 5.—ANNUALIZED VOLUNTARILY
INCURRED CHANGE-OVER COSTS
FOR PROPOSED RULE
TABLE 5.—ANNUALIZED VOLUNTARILY
INCURRED CHANGE-OVER COSTS
FOR PROPOSED RULE—Continued
12-Month
Period
mean
$561,000
95 percent (high)
12-Month
Period
3 percent discount rate
5 percent (low)
$32,000
mean
$250,000
95 percent (high)
$515,000
7 percent discount rate
5 percent (low)
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Fmt 4702
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24-Month
Period
24-Month
Period
$326,000
$1,158,000
$666,000
V. Regulatory Flexibility Analysis
FDA has examined the economic
implications of this proposed rule as
$21,000 required by the Regulatory Flexibility
Act (5 U.S.C. 601–612). The Regulatory
$151,000
Flexibility Act requires that agencies
$308,000 analyze regulatory options that would
minimize any significant impact of a
rule on small entities. The proposed
rule, if finalized, would permit firms to
$46,000 add a ‘‘lean’’ claim to their labels if their
products meet certain criteria. Small
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firms may voluntary add this claim if
they so choose. No small firm, however,
will choose to bear the cost of adding
the ‘‘lean’’ claim to its product labels
unless the firm believes that it will lead
to increased sales of its product
sufficient to justify the costs. The rule
would not mandate that firms make any
labeling changes. This proposed rule, if
finalized, would not impose compliance
costs on any small business. Therefore,
the agency certifies that the proposed
rule will not have a significant
economic impact on a substantial
number of small entities.
VI. Unfunded Mandates
Section 202(a) of the Unfunded
Mandates Reform Act of 1995 (Public
Law 104–4) requires that agencies
prepare a written statement which
includes an assessment of anticipated
costs and benefits, before proposing
‘‘any rule that includes a Federal
mandate that may result in the
expenditure by State, local, and tribal
governments, in the aggregate, or by the
private sector, of $100,000,000 or more
(adjusted annually for inflation) in any
one year.’’ The current threshold after
adjustment for inflation is $115 million,
using the most current (2003) Implicit
Price Deflator for the Gross Domestic
Product (GDP) (i.e., $100 million x
[2003 Implicit GDP deflator / 1995 GDP
deflator]). FDA does not expect this
proposed rule to result in any 1-year
expenditure that would meet or exceed
this amount, and has determined that
this proposed rule does not constitute a
significant rule under the Unfunded
Mandates Reform Act.
VII. Federalism
FDA has analyzed this proposed rule
in accordance with the principles set
forth in Executive Order 13132. FDA
has determined that the rule does not
contain policies that have substantial
direct effects on the States, on the
relationship between the National
Government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. Accordingly, the
agency has tentatively concluded that
the rule does not contain policies that
have federalism implications as defined
in the Executive order and,
consequently, a federalism summary
impact statement is not required.
VIII. Environmental Impact
FDA has determined under 21 CFR
25.32(p) that this action is of a type that
does not individually or cumulatively
have a significant effect on the human
environment. Therefore, neither an
environmental assessment nor an
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13:23 Nov 23, 2005
Jkt 205001
environmental impact statement is
required.
IX. Paperwork Reduction Act of 1995
FDA has tentatively concluded that
this proposed rule contains no
collection of information. Therefore,
clearance by the Office of Management
and Budget under the Paperwork
Reduction Act of 1995 is not required.
X. Comments
Interested persons may submit to the
Division of Dockets Management (see
ADDRESSES) written or electronic
comments regarding this document.
Submit a single copy of electronic
comments or two paper copies of any
mailed comments, except that
individuals may submit one paper copy.
Comments are to be identified with the
docket number found in brackets in the
heading of this document. If you base
your comments on scientific evidence or
data, please submit copies of the
specific information along with your
comments. Received comments may be
seen in the Division of Dockets
Management between 9 a.m. and 4 p.m.,
Monday through Friday.
XI. References
The following references have been
placed on display in the Division of
Dockets Management (see ADDRESSES)
and may be seen by interested persons
between 9 a.m. and 4 p.m., Monday
through Friday. (FDA has verified the
Web site addresses, but we are not
responsible for subsequent changes to
the Web sites after this document
publishes in the Federal Register.)
1. Petition to expand ‘‘lean’’ nutrient
´
content claim, submitted by Nestle Prepared
Foods Corp., January 4, 2004.
2. U.S. Department of Health and Human
Services and U.S. Department of Agriculture,
Dietary Guidelines for Americans, 2005.
3. U.S. Census Bureau, 1997 Economic
Census, December 17, 2002.
4. Economic Research Service, https://
www.ers.usda.gov/Briefing/
CPIFoodAndExpenditures/Data/
cpiforecasts.htm, accessed November 8,
2004.
5. Teisl, M., and A. Levy, ‘‘Does Nutrition
Labeling Lead to Healthier Eating?’’ Journal
of Food Distribution Research, October 1997.
6. Drewnowski, A., and S. Specter,
‘‘Poverty and Obesity: The Role of Energy
Density and Energy Costs,’’ The American
Journal of Clinical Nutrition, vol. 79, 1:6–16,
January 2004.
7. LeGault, L., M. Brandt, N. McCabe, C.
Adler, A. Brown, and S. Brecher, ‘‘2000–2001
Food Label and Package Survey: An Update
on Prevalence of Nutrition Labeling and
Claims on Processed, Packaged Foods,’’
Journal of the American Dietetic Association,
104:952–958, 2004.
8. USDA, National Nutrient Database for
Standard Reference, Release 18 (2005), https://
PO 00000
Frm 00016
Fmt 4702
Sfmt 4702
www.nal.usda.gov/fnic/foodcomp/search/,
accessed on September 15, 2005.
9. Mancini, D., FDA, Center for Food Safety
and Applied Nutrition, memorandum to file,
May 23, 2002.
10. RTI International, Cost of
Reformulating Foods and Cosmetics, Final
Report, prepared for Ed Puro, FDA, Center for
Food Safety and Applied Nutrition, prepared
by White, W.J., E. Gledhill, S. Karns, and M.
Muth, RTI Project Number 08184.003, July
2002.
11. RTI International, Modeling the
Decision to Reformulate Foods and
Cosmetics, Final Report, prepared for David
Zorn, FDA, Center for Food Safety and
Applied Nutrition, prepared by Muth, M., S.
Karns, D. Anderson, M. Coglaiti, and M.
Fanjoy, RTI Project Number 08184.005,
October 2003.
12. RTI International, FDA Labeling Cost
Model, Final Report, prepared for Amber
Jessup, FDA, Center for Food Safety and
Applied Nutrition, prepared by Muth, M., E.
Gledhill, and S. Karns, RTI Project Number
06673.010, January 2003.
List of Subjects in 21 CFR Part 101
Food labeling, Nutrition, Reporting
and recordkeeping requirements.
Therefore, under the Federal Food,
Drug, and Cosmetic Act and under
authority delegated to the Commissioner
of Food and Drugs, it is proposed that
21 CFR part 101 be amended as follows:
PART 101—FOOD LABELING
1. The authority citation for 21 CFR
part 101 continues to read as follows:
Authority: 15 U.S.C. 1453, 1454, 1455; 21
U.S.C. 321, 331, 342, 343, 348, 371; 42 U.S.C.
243, 264, 271.
2. Section 101.62 is amended by
revising paragraph (e) to read as follows:
§ 101.62 Nutrient content claims for fat,
fatty acid, and cholesterol content of foods.
*
*
*
*
*
(e) ‘‘Lean’’ and ‘‘extra lean’’ claims.
(1) The term ‘‘lean’’ may be used on the
label or in labeling of foods, except meal
products as defined in § 101.13(l) and
main dish products as defined in
§ 101.13(m), provided that the food is a
seafood or game meat product and, as
packaged, contains less than 10 g total
fat, 4.5 g or less saturated fat, and less
than 95 mg cholesterol per reference
amount customarily consumed and per
100 g;
(2) The term defined in paragraph
(e)(1) of this section may be used on the
label or in labeling of a mixed dish not
measurable with a cup as defined in
table 2 of § 101.12(b), provided that the
food contains less than 8 g total fat, 3.5
g or less saturated fat, and less than 80
mg cholesterol per reference amount
customarily consumed;
(3) The term defined in paragraph
(e)(1) of this section may be used on the
E:\FR\FM\25NOP1.SGM
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Federal Register / Vol. 70, No. 226 / Friday, November 25, 2005 / Proposed Rules
label or in labeling of meal products as
defined in § 101.13(l) or main dish
products as defined in § 101.13(m),
provided that the food contains less
than 10 g total fat, 4.5 g or less saturated
fat, and less than 95 mg cholesterol per
100 g and per labeled serving;
(4) The term ‘‘extra lean’’ may be used
on the label or in labeling of foods,
except meal products as defined in
§ 101.13(l) and main dish products as
defined in § 101.13(m), provided that
the food is a discrete seafood or game
meat product and as packaged contains
less than 5 g total fat, less than 2 g
saturated fat, and less than 95 mg
cholesterol per reference amount
customarily consumed and per 100 g;
and
(5) The term defined in paragraph
(e)(4) of this section may be used on the
label or in labeling of meal products as
defined in § 101.13(l) and main dish
products as defined in § 101.13(m),
provided that the food contains less
than 5 g of fat, less than 2 g of saturated
fat, and less than 95 mg of cholesterol
per 100 g and per labeled serving.
*
*
*
*
*
Dated: November 18, 2005.
Michael M. Landa,
Deputy Director for Regulatory Affairs, Center
for Food Safety and Applied Nutrition.
[FR Doc. 05–23293 Filed 11–23–05; 8:45 am]
BILLING CODE 4160–01–S
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Parts 9, 122, 123, 124, and 125
[OW–2004–0002, FRL–8002–3]
RIN 2040–AD70
National Pollutant Discharge
Elimination System Proposed
Regulations To Establish
Requirements for Cooling Water Intake
Structures at Phase III Facilities;
Notice of Data Availability
Environmental Protection
Agency (EPA).
ACTION: Notice of data availability.
AGENCY:
SUMMARY: On November 24, 2004, EPA
published proposed regulations to
establish requirements for cooling water
intake structures at Phase III facilities
under section 316(b) of the Clean Water
Act (CWA). EPA proposed the following
three options for defining which
existing facilities would be subject to
uniform national requirements, based
on the facility’s design intake flow
threshold and source waterbody type:
The facility has a total design intake
VerDate Aug<31>2005
13:23 Nov 23, 2005
Jkt 205001
flow of 50 million gallons per day
(MGD) or more, and withdraws from
any waterbody; the facility has a total
design intake flow of 200 MGD or more,
and withdraws from any waterbody; or
the facility has a total design intake flow
of 100 MGD or more and withdraws
specifically from an ocean, estuary, tidal
river, or one of the Great Lakes. The
proposed rule would also establish
national section 316(b) requirements for
new offshore oil and gas extraction
facilities. This notice of data availability
(NODA) summarizes significant data
EPA received or collected since
publication of the proposed rule and
discusses how EPA may use this data in
revising its analyses. EPA solicits public
comment on the information presented
in this notice and the record supporting
this notice.
DATES: Comments on this notice of data
availability must be received or
postmarked on or before midnight
December 27, 2005.
ADDRESSES: Comments may be
submitted by mail addressed to Water
Docket, Environmental Protection
Agency, Mailcode: 4101T, 1200
Pennsylvania Ave., NW., Washington,
DC, 20460, Attention Docket ID No OW–
2004–0002. Comments may also be
submitted electronically, or by hand
delivery. Follow the detailed
instructions as provided in Section B.1
of the SUPPLEMENTARY INFORMATION
section to file comments electronically.
FOR FURTHER INFORMATION CONTACT: For
additional technical information contact
Paul Shriner at (202) 566–1076. For
additional economic information
contact Erik Helm at (202) 566–1066.
For additional biological information
contact Ashley Allen at (202) 566–1012.
The e-mail address for the above
contacts is rule.316b@epa.gov.
SUPPLEMENTARY INFORMATION:
General Information
A. How Can I Get Copies of This
Document and Other Related
Information?
1. Docket. EPA has established an
official public docket for this action
under Docket ID No. OW–2004–0002.
The official public docket consists of the
documents specifically referenced in
this action, any public comments
received, and other information related
to this action. Although a part of the
official docket, the public docket does
not include Confidential Business
Information (CBI) or other information
whose disclosure is restricted by statute.
The official public docket is the
collection of materials that is available
for public viewing at the Water Docket
PO 00000
Frm 00017
Fmt 4702
Sfmt 4702
71057
in the EPA Docket Center, (EPA/DC)
EPA West, Room B102, 1301
Constitution Ave., NW., Washington,
DC. The EPA Docket Center Public
Reading Room is open from 8:30 a.m. to
4:30 p.m., Monday through Friday,
excluding legal holidays. The telephone
number for the Public Reading Room is
(202) 566–1744, and the telephone
number for the Water Docket is (202)
566–2426.
2. Electronic Access. You may access
this Federal Register document
electronically through the EPA Internet
under the ‘‘Federal Register’’ listings at
https://www.epa.gov/fedrgstr/.
An electronic version of the public
docket is available through EPA’s
electronic public docket and comment
system, EPA Dockets. You may use EPA
Dockets at https://www.epa.gov/edocket/
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access the index listing of the contents
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access those documents in the public
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Once in the system, select ‘‘search,’’
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Certain types of information will not
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policy is that copyrighted material will
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available docket materials will be made
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from the index list in EPA Dockets, the
system will identify whether the
document is available for viewing in
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Although not all docket materials may
be available electronically, you may still
access any of the publicly available
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intends to work towards providing
electronic access to all of the publicly
available docket materials through
EPA’s electronic public docket.
For public commenters, it is
important to note that EPA’s policy is
that public comments, whether
submitted electronically or in paper,
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viewing in EPA’s electronic public
docket as EPA receives them and
without change, unless the comment
contains copyrighted material, CBI, or
other information whose disclosure is
restricted by statute. When EPA
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]]>Agencies
[Federal Register Volume 70, Number 226 (Friday, November 25, 2005)]
[Proposed Rules]
[Pages 71041-71057]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-23293]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 70, No. 226 / Friday, November 25, 2005 /
Proposed Rules
[[Page 71041]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration
21 CFR Part 101
[Docket No. 2004P-0183]
Food Labeling: Nutrient Content Claims, Expansion of the Nutrient
Content Claim ``Lean''
AGENCY: Food and Drug Administration, HHS.
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: The Food and Drug Administration (FDA) is proposing to amend
its food labeling regulations for the expanded use of the nutrient
content claim ``lean'' on the labels of foods categorized as ``mixed
dishes not measurable with a cup'' that meet certain criteria for total
fat, saturated fat, and cholesterol content. This proposal responds to
a nutrient content claim petition submitted by Nestl[eacute] Prepared
Foods Co. (Nestl[eacute]) under the Federal Food, Drug, and Cosmetic
Act (the act). This action also is being taken to provide reliable
information that would assist consumers in maintaining healthy dietary
practices.
DATES: Submit written or electronic comments by February 8, 2006.
ADDRESSES: You may submit comments, identified by Docket No. 2004P-
0183, by any of the following methods:
Electronic Submissions
Submit electronic comments in the following ways:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
Agency Web site: https://www.fda.gov/dockets/ecomments.
Follow the instructions for submitting comments on the agency Web site.
Written Submissions
Submit written submissions in the following ways:
FAX: 301-827-6870.
Mail/Hand delivery/Courier (for paper, disk, or CD-ROM
submissions): Division of Dockets Management (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852.
To ensure more timely processing of comments, FDA is no longer
accepting comments submitted to the agency by e-mail. FDA encourages
you to continue to submit electronic comments by using the Federal
eRulemaking Portal or the agency Web site, as described in the
Electronic Submissions portion of this paragraph.
Instructions: All submissions received must include the agency name
and docket number for this rulemaking. All comments received may be
posted without change to https://www.fda.gov/ohrms/dockets/default.htm,
including any personal information provided. For additional information
on submitting comments, see the ``Comments'' heading of the
SUPPLEMENTARY INFORMATION section of this document.
Docket: For access to the docket to read background documents or
comments received, go to https://www.fda.gov/ohrms/dockets/default.htm
and insert the docket number, found in brackets in the heading of this
document, into the ``Search'' box and follow the prompts and/or go to
the Division of Dockets Management, 5630 Fishers Lane, rm. 1061,
Rockville, MD 20852.
FOR FURTHER INFORMATION CONTACT: Vincent de Jesus, Center for Food
Safety and Applied Nutrition (HFS-830), Food and Drug Administration,
5100 Paint Branch Pkwy., College Park, MD 20740, 301-436-1774.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Petitions and Grounds
III. Proposed Action
A. Need for Regulations
B. Proposed Amendments
IV. Preliminary Regulatory Impact Analysis
A. Need for Regulation
B. Regulatory Options
C. Benefits
D. Costs
V. Regulatory Flexibility Analysis
VI. Unfunded Mandates
VII. Federalism
VIII. Environmental Impact
IX. Paperwork Reduction Act of 1995
X. Comments
XI. References
I. Background
On November 8, 1990, President George H.W. Bush signed into law the
Nutrition Labeling and Education Act of 1990 (the 1990 amendments)
(Public Law 101-535), which amended the Federal Food, Drug, and
Cosmetic Act (the act). Section 403(r)(1)(A) of the act (21 U.S.C.
343(r)(1)(A)), which was added by the 1990 amendments, states that a
food is misbranded if it is intended for human consumption which is
offered for sale and for which a claim is made in its label or labeling
that expressly or implicitly characterizes the level of any nutrient of
the type required to be declared in nutrition labeling, unless such
claim uses terms defined in regulations by FDA under section
403(r)(2)(A) of the act.\1\ In 1993, FDA established regulations that
implemented the 1990 amendments (58 FR 2066 through 2941, January 6,
1993). Among these regulations, Sec. 101.13 (21 CFR 101.13) sets forth
general principles for nutrient content claims (see 58 FR 2302, January
6, 1993). Other sections in part 101, subpart D (21 CFR part 101,
subpart D), define specific nutrient content claims, such as ``free,''
``low,'' ``reduced,'' ``light,'' ``good source,'' ``high,'' and
``more,'' for a variety of nutrients and include several synonyms for
each of the defined terms. In addition, Sec. 101.69 outlines the
procedures for petitioning the agency to authorize additional nutrient
content claims.
---------------------------------------------------------------------------
\1\ The requirements in section 403(r)(2) of the act, for all
nutrient content claims, apply to foods and food labeling unless an
exemption applies for the food or the claim under section 403(r)(2)
of the act, another section of the act, or FDA regulations.
---------------------------------------------------------------------------
In the 1991 proposed rule for ``Nutrient Content Claims, General
Principles, Petitions, Definition of Terms'' (the general principles
proposal) (56 FR 60421, November 27, 1991), FDA did not include a
definition for ``lean.'' However, in the same issue of the Federal
Register, the Food Safety and Inspection Service (FSIS) of the U.S.
Department of Agriculture (USDA) issued a proposed rule that included a
definition for ``lean'' for labeling individual foods and meal-type
products (a collective term used for meal and main dish products)
[[Page 71042]]
containing meat and poultry (56 FR 60302, November 27, 1991).\2\ After
evaluating the comments to the general principles proposal, FDA
determined that seafood, game meat, meal products, and main dish
products that it regulated had a contribution to the diet that was
similar to the USDA-regulated products and that FDA should establish a
definition for ``lean'' for such products. Consequently, FDA defined
``lean'' for seafood, game meat, meal, and main dish products (Sec.
101.62(e)) in the final rule for nutrient content claims (58 FR 2302)
using the same criteria that USDA used in its final rule for the
``lean'' claim (58 FR 632, January 6, 1993).\3\ FDA's definition of
``lean'' includes flesh foods, such as seafood and game meat products,
which are foods that are similar to USDA-regulated meat and poultry
products, and also includes meal-type products (i.e., main dishes and
meal products) which are included in the USDA definition. FDA's
definition of ``lean,'' however, does not extend to other individual
foods including ``mixed dishes not measurable with a cup.'' Such
dishes, e.g., burritos, egg rolls, enchiladas, pizza, quiches, and
sandwiches, are generally similar to the foods subject to the
definition of ``main dish'' (Sec. 101.13(m)) but do not meet the
weight criterion for ``main dish'' foods (6 ounces (oz) per labeled
serving). The reference amount customarily consumed (RACC) for ``mixed
dishes not measurable with a cup'' is 140 grams (g) (5 oz) (Sec.
101.12(b), table 2), which is 1 oz less than the 6 oz per labeled
serving required to qualify as a ``main dish.''\4\ Thus, food products
that are categorized as ``mixed dishes not measurable with a cup'' and
that weigh less than 6 oz are not eligible to bear a ``lean'' nutrient
content claim under Sec. 101.62(e).
---------------------------------------------------------------------------
\2\ USDA also defined ``extra lean,'' which FDA later defined by
regulation, in addition to ``lean.'' However, Nestl[eacute] did not
request a definition for ``extra lean'' in its petition.
\3\ Specifically, in order to be eligible to bear a claim,
seafood and game meat products must contain less than 10 grams (g)
total fat, 4.5 g or less of saturated fat, and less than 95
milligrams (mg) cholesterol per reference amount customarily
consumed (RACC) and per 100 g, and for meals and main dishes, per
100 g and per labeled serving.
\4\ If the ``mixed dish not measurable with a cup'' food were
packaged in a way such that it met all of the requirements for a
main dish, as specified in Sec. 101.13(m), it could be considered a
``main dish'' and would be eligible to bear a ``lean'' claim under
FDA's current regulations.
---------------------------------------------------------------------------
FDA has authority to define the nutrient content claim ``lean'' for
foods categorized as ``mixed dishes not measurable with a cup.'' FDA
may take this action under section 403(r) of the act. FDA, by
regulation, may define terms to be used for nutrient content claims
that characterize the level of total fat, saturated fat, and
cholesterol in these foods. Section 403(r) of the act authorizes the
agency to issue regulations defining terms for use in nutrient content
claims and establishes a process through which a person can petition
the agency to define terms to characterize the level of a nutrient for
use in a nutrient content claim (see section 403(r)(2)(A)(i) and (r)(4)
of the act). Section 403(r)(1)(A) of the act states that a food is
misbranded if it bears a claim that characterizes the level of a
nutrient of the type required to be in nutrition labeling unless the
claim uses terms which are defined in FDA regulations adopted under
section 403(r)(2) of the act. The proposed rule, if finalized as
proposed, will define the term ``lean'' for use on ``mixed dishes not
measurable with a cup'' that are regulated by FDA and that meet the
criteria in the rule for total fat, saturated fat, and cholesterol.
II. Petitions and Grounds
FDA received a nutrient content claim petition from Nestl[eacute]
(Docket No. 2004P-0183) (Ref. 1) requesting that the agency amend the
nutrient content claim regulation for ``lean'' (Sec. 101.62(e)) to
include ``mixed dishes not measurable with a cup'' as defined in the
``reference amounts customarily consumed per eating occasion''
regulation (Sec. 101.12), based on certain qualifying criteria for
total fat, saturated fat, and cholesterol. Nestl[eacute] submitted the
petition on January 9, 2004, under section 403(r)(4) of the act and
Sec. 101.69. In accordance with section 403(r)(4)(A)(i) of the act and
Sec. 101.69(m)(3), FDA filed the Nestl[eacute] petition on April 22,
2004. This proposed rule responds to Nestl[eacute]'s request that FDA
define the term ``lean'' for ``mixed dishes not measurable by a cup.''
In its petition, Nestl[eacute] contended that American eating
habits have changed significantly since FDA authorized the ``lean''
claim in 1993. Nestl[eacute] argued that, in the past decade,
convenience has been an emerging theme with consumers and cited market
research studies by NPD Group showing that the percentage of meals that
are completely homemade has decreased, while the use of ready-to-eat
and frozen foods has steadily risen. Nestl[eacute] also cited a 2003
survey by the market research group Information Resources, Inc. (IRI),
in which consumers identify ``speed/ease of preparation'' as the most
important factor in their food choices and assert that this is even
more important than price. Nestl[eacute] presented additional data from
IRI and NPD Group showing that consumers are eating fewer complete
traditional meals, eating more snacks, and spending less time preparing
meals at home. Nestl[eacute] also suggested that consumers are more
interested in nutrition and healthy foods, as evidenced by an increased
consumer demand for nutritious food selections. Nestl[eacute] cited
surveys by the Natural Marketing Institute (NMI) in which two-thirds of
Americans indicate they are eating healthier than they used to and that
one-third of Americans choose food primarily based on nutritional
content. One of the surveys indicated that 54 percent of adults read
nutrition labels most or all of the time.
Furthermore, Nestl[eacute] cited a trend in substantially increased
portion sizes over the past 30 years, as determined by USDA data from
the Nationwide Food Consumption Survey and the Continuing Survey of
Food Intake by Individuals. This trend, they said, is demonstrated by
the increase in sizes of food items such as cheeseburgers, increasing
from 5.8 oz to 7.2 oz, and salty snacks, increasing from 1.0 oz to 1.6
oz, between 1977 and 1996. Nestl[eacute] suggests that allowing a
``lean'' nutrient content claim on foods in the category of ``mixed
dishes not measurable with a cup'' that have smaller portion sizes than
many other food alternatives would provide consumers with readily
recognizable healthful alternatives to other foods with larger portion
sizes. Nestl[eacute] argued that manufacturers who want to encourage
portion control by marketing healthier food options with smaller
portion sizes are hindered by the current FDA regulations limiting the
``lean'' nutrient content claim to seafood, game meat, main dish, and
meal products. These regulations do not allow for foods that may be
similar to main dish and meal products but with slightly smaller
portion sizes (e.g., ``mixed dishes not measurable with a cup'') to
have a ``lean'' claim. Because of this, Nestl[eacute] believes that the
number of healthy, portable food options available to consumers has
been limited. The FDA regulations, Nestl[eacute] stated, have acted as
an impediment for consumers to choose healthy foods that are similar to
meal-type products but, because of their smaller portion sizes, do not
qualify as meal-type products that are eligible for the ``lean''
nutrient content claim. Nestl[eacute] asserted that these trends of
convenience and healthier eating call for an expansion of the ``lean''
definition to include foods identified as ``mixed dishes not measurable
with a cup'' and also that this expansion may offer consumers healthy
food options that do not have increasingly larger portion sizes.
[[Page 71043]]
In its petition, Nestl[eacute] also pointed out the lack of
consistency between FDA and USDA regulations regarding the claim
``lean.'' Nestl[eacute] stated that USDA-regulated individual foods and
meal-type products, which contain meat and poultry, are permitted to
bear the ``lean'' claim under USDA regulations (9 CFR 317.362(e) and
381.462(e), respectively). Nestl[eacute] noted that, unlike FDA, USDA
does not limit the use of the ``lean'' claim to specific individual
foods. Thus, any meat or poultry product subject to USDA regulation,
including those that are similar to foods in FDA's category of ``mixed
dishes not measurable with a cup'' category and that meet the USDA
nutrient requirements, may bear the ``lean'' claim. Nestl[eacute]
asserted that, although there is a distinction between the types of
foods regulated by the USDA and FDA, consumers are unlikely to be aware
of such a distinction. Therefore, Nestl[eacute] stated that there
should be some consistency across the requirements for nutrient content
claims. It contended that an amended definition for ``lean'' for use on
``mixed dishes not measurable with a cup'' would reduce the disparity
between FDA and USDA regulations. Nestl[eacute] also stated that the
expansion of the ``lean'' claim advances the FDA ``Initiative on
Consumer Health Information for Better Nutrition'' by contributing to
the goal of making sure that consumers have access to the latest
information when making decisions about their diet.
To accomplish the request to include ``mixed dishes not measurable
with a cup'' in an amended definition of ``lean'' in Sec. 101.62(e),
Nestl[eacute] suggested two different possible methods for determining
the criteria that could apply for the total fat, saturated fat, and
cholesterol content of such dishes eligible to bear the claim. For each
of these methods, Nestl[eacute] took into consideration the reference
intakes for fat for adults and for children that were established by
the Institute of Medicine (IOM) of the National Academies, i.e.,
acceptable macronutrient distribution ranges of 20 to 35 percent of
energy intake from fat for adults and 25 to 40 percent intake from fat
for children (IOM, Dietary Reference Intakes for Energy, Carbohydrate,
Fiber, Fat, Fatty Acids, Cholesterol, Protein, and Amino Acids, 2002).
Nestl[eacute] also considered the FDA-established daily reference value
(DRV) for total fat of 65 g, which is based on a reference caloric
intake of 2,000 calories, that is used in nutrition labeling (Sec.
101.9(c)(9)). With regard to saturated fat and cholesterol,
Nestl[eacute] considered the IOM's recommendation ``that saturated
fatty acids * * * and cholesterol consumption be as low as possible
while consuming a nutritionally adequate diet,'' as well as the FDA-
established DRV for saturated fatty acids of 20 g and the DRV for
cholesterol of 300 mg, based on a reference caloric intake of 2,000
calories, that is used in nutrition labeling (Sec. 101.9(c)(9)).
The first possible method suggested by Nestl[eacute] uses the
existing ``lean'' nutrient criteria for main dishes as the basis of the
definition. Nestl[eacute] proposes new criteria for total fat,
saturated fat, and cholesterol based on the percentage of the
proportion of an estimated weight for ``mixed dishes not measurable
with a cup'' and the minimum weight of a main dish product that is
eligible for a ``lean'' claim. In short, Nestl[eacute] stated that the
reduction in the nutrient criteria would be in proportion to the
reduction in weight between the average weight of ``mixed dishes not
measurable with a cup,'' which is 132.53 g in their estimation, and the
minimum weight of a meal-type product, which is 6 oz (170.1 g). The
percentage of the proportion of these weights (132.53 g / 170.1 g x
100) equals 0.78 or 78 percent. Seventy-eight percent of the current
nutrient criterion value for fat (10 g fat multiplied by 78 percent)
would result in nutrient value of 7.8 g fat. Seventy-eight percent of
the current nutrient criterion value for saturated fat (4.5 g sat fat
multiplied by 78 percent) equals 3.5 g saturated fat. Seventy-eight
percent of the current nutrient criterion value for cholesterol (95
milligrams (mg) cholesterol multiplied by 78 percent) equals 74.1 mg
cholesterol. This would translate into unrounded criteria for ``lean''
for ``mixed dishes not measurable by a cup'' of: 7.8 g total fat, 3.5 g
saturated fat, and 74.1 mg cholesterol. Nestl[eacute] applied these
criteria on a per-RACC basis. Nestl[eacute] stated that the foods in
this category play a smaller role in the diet compared to meal-type
products and believed that the more restrictive ``lean'' criteria in
its petition were appropriate. The RACC for ``mixed dishes not
measurable with a cup'' is 140 g. Thus, the practical effect of
applying Nestl[eacute]'s suggested nutrient criteria on a per-RACC
basis makes the levels more restrictive (proportionally) for ``mixed
dishes not measurable with a cup'' than for main dishes. For example,
the 7.8 g total fat per 140 g would be equivalent, proportionally, to
5.6 g fat per 100 g. The current main dish total fat criterion is 10 g
per 100 g and per labeled serving.
The second possible method suggested by Nestl[eacute] would
determine the nutrient criteria for ``lean'' according to
Nestl[eacute]'s estimated calorie contribution of ``mixed dishes not
measurable with a cup'' in the total diet. Nestl[eacute] looked at 34
grocery store-bought food items categorized as ``mixed dishes not
measurable with a cup'' and determined that the average number of
calories per 100 g was 214.41 calories. Taking the current dietary
recommendation of 30 percent\5\ of calories from fat, Nestl[eacute]
established that 30 percent of calories from fat in ``mixed dishes not
measurable with a cup'' (214.41 calories multiplied 30 percent) would
equal 64.32 calories per 100 g from fat. The calories from fat
converted to grams of fat (64.32 calories from fat / 9 calories of fat
per g) would equal 7.15 g of fat per 100 g. Following the same
calculation for determining total fat, 10 percent of calories from
saturated fat\6\ (214.41 calories multiplied by 10 percent) equals
21.441 calories per 100 g and converted to saturated fat grams (21.441
calories / 9 calories saturated fat per g) equals 2.382 g saturated fat
per 100 g. There are no cholesterol intake guideline criteria expressed
as a percentage of calories comparable to the fat and saturated fat
guidelines, thus, the cholesterol criteria would be derived from the
current main dish criteria in the same way described in the first
method, which equaled 74.1 mg cholesterol. This would translate into
criteria for ``lean'' for ``mixed dishes not measurable by a cup'' as
follows: 7.15 g total fat (7 g rounded), 2.382 g saturated fat (2.5 g
rounded), and 74.1 mg cholesterol (75 mg rounded). Although
Nestl[eacute] calculated the criteria using this method on a per-100 g
basis, Nestl[eacute] applied the criteria for purposes of determining
eligibility of foods to bear the ``lean'' claim on a per-RACC basis.
The criteria are proportionally more restrictive for ``mixed dishes not
measurable with a cup'' than for main dishes, and slightly more
restrictive than the other method Nestl[eacute] set forth in its
petition. For this method, 7 g total fat per 140 g would be equivalent,
proportionally, to 5 g fat per 100 g.
---------------------------------------------------------------------------
\5\ Nestl[eacute] refers to the IOM AMDRs for current dietary
recommendations (see Attachment 20 of the petition (Ref. 1)). The
AMDR for total fat intake is between 20 and 35 percent of calories
for adults. This range also corresponds to the recommendations
provided in the 2005 Dietary Guidelines for Americans (Ref. 2).
Nestl[eacute] noted that the midpoint is 27.5 percent and rounds
this number up to 30 percent. This value of 30 percent is consistent
with the current DRV for fat established by FDA.
\6\ Nestl[eacute] refers to the dietary recommendation provided
by the NIH, NHLBI, National Cholesterol Education Program (see
Attachment 25 of the petition (Ref. 1)).
---------------------------------------------------------------------------
[[Page 71044]]
III. Proposed Action
A. Need for Regulations
As stated earlier, in the proposed rule for nutrition labeling (56
FR 60302, November 27, 1991), FSIS proposed the ``lean'' claim for meat
and poultry products. Because all the products that USDA regulates with
regard to nutrition labeling consist in whole or in part of meat and
poultry (with certain exceptions for some egg products), USDA permits
use of the term ``lean'' across the spectrum of foods whose nutrition
labeling it regulates (provided they meet the nutrient requirements for
the claim). FDA adopted a regulation similar to the FSIS regulation for
the nutrient content claim ``lean'' for use on seafood, game meat, meal
products, and main dish products (Sec. 101.62(e)). The current FDA
regulations do not allow for use of the claim ``lean'' on ``mixed
dishes not measurable with a cup'' because they are considered
individual foods for which there is no ``lean'' definition other than
for seafood and game meat. Moreover, the FDA regulations do not allow
for the use of the claim ``lean'' on a food in the category of ``mixed
dishes not measurable with a cup'' when the product as packaged does
not meet the minimum weight criterion to qualify as a ``main dish.''
The current FDA regulations thus prohibit a manufacturer from labeling
FDA-regulated ``mixed dishes not measurable with a cup'' with a
``lean'' claim, while manufacturers are able to use the claim on such
foods that are regulated by USDA. For example, a food such as a starch
based wrap, with chicken, broccoli, and cheddar cheese that is subject
to USDA regulation, is able to bear a ``lean'' claim under USDA
regulations, but a similar wrap with just broccoli and cheese and
without chicken, that would not be subject to USDA regulation, could
not bear a ``lean'' claim under current FDA regulations.
FDA has reviewed Nestl[eacute]'s petition and appreciates its
concerns about the differences between current FDA and USDA regulations
as to the eligibility for a ``lean'' nutrient content claim for foods
in the category of ``mixed dishes not measurable with a cup.'' In the
nutrient content claims final rule (58 FR 2302 at 2343), in providing a
definition for the term ``lean'' for seafood and game meat and meal-
type products, the agency stated that such a definition would enable
consumers to compare the nutritional values of products that may serve
as substitutes for one another in creating a balanced diet. Because of
the requirement in Sec. 101.13(m) that, among other things, products
must weigh a minimum of 6 oz in order to be considered main dish
products, and that by current regulation only seafood and game meat and
meals and main dish products may bear the ``lean'' claim, FDA
acknowledges that a whole group of products (namely ``mixed dishes not
measurable with a cup'') may be prohibited from bearing the ``lean''
claim because of the prohibition on using the claim on individual foods
other than seafood and game meat that do not meet the criteria for main
dishes, including the 6 oz weight criterion.
FDA acknowledges Nestl[eacute]'s argument, as demonstrated by the
data submitted in the petition, that these types of products, which
include egg rolls, burritos, and other handheld sandwich-like products,
have found their way into the American diet and serve as a convenient
``meals-on-the-go'' eating option that is consistent with America's
changing lifestyle. They provide a ``heat and eat,'' no-utensils-
required, alternative to other types of food products. As market
research by ACNielsen Syndicated Data indicates,\7\ the sandwiches/
snacks category has seen significant growth in the past 5 years, with a
43-percent increase in dollar sales since 1999. As such, this category
has become a well established product category that consumers have come
to rely on.
---------------------------------------------------------------------------
\7\ ACNielsen Syndicated Data, see Attachment 7 of the petition
(Ref. 1).
---------------------------------------------------------------------------
FDA also acknowledges Nestl[eacute]'s arguments that there is a
growing interest in healthful alternatives to traditional food options,
including vegetarian alternatives. This interest is demonstrated by a
30-percent increase in sales in the past year, according to ACNielsen,
in the ``Frozen Sandwich and Snack, Nutrition category'' and even by
the increasing markets for ``meal-replacement bars'' and ``liquid meal-
replacements.'' Although not included in the ``mixed dishes not
measurable with a cup'' category of foods, the increasing markets for
the meal-replacement bars and liquid meal-replacement foods support the
trend of Americans choosing more portable foods, especially foods that
consumers consider healthful alternatives.
In evaluating the information that Nestl[eacute] presented in its
petition, FDA acknowledges that portable food products, particularly
those that are nutrient (i.e., fat, saturated fat, and cholesterol) and
portion controlled, serve a useful purpose in assisting consumers in
selecting a diet that is consistent with current dietary
recommendations (i.e., IOM acceptable macronutrient distribution
ranges, DRVs established by FDA, and the 2005 Dietary Guidelines for
Americans).
The agency has tentatively concluded that providing for a ``lean''
claim on ``mixed dishes not measurable with a cup'' will provide
consumers with a means to distinguish, in this well established
category, among the variety of portion controlled products so that they
may select those products that are limited in fat, saturated fat, and
cholesterol as opposed to their ``full fat'' alternatives. The agency
acknowledges the potential that ``mixed dishes not measurable with a
cup'' that are eligible to bear a ``lean'' claim offer in delivering a
convenient food that can provide nutritional benefits and help improve
the quality of Americans' diets.
In its petition, Nestl[eacute] suggested that by allowing ``mixed
dishes not measurable with a cup'' to bear a ``lean'' claim, these
products would provide a way of addressing ever-expanding portion sizes
and the accompanying increase in caloric levels by allowing
manufacturers to encourage portion control by marketing healthier food
options with smaller portion sizes. Nestl[eacute] suggested that this
category of product will offer more choices to consumers looking for
healthful foods with small portion sizes. More healthful food choices
in this category may encourage the consumption of small portions and
thus aid in addressing the problem of excess calorie intake.
As opposed to frozen entrees that qualify as meal-type products
which are limited in size with the entire package and contain as few as
6 oz, however, many ``mixed dishes not measurable by a cup'' are
packaged two to a package, or about 10 oz per package. Consequently,
the agency is concerned that rather than eating just one of the
portions provided, thus limiting portion size, consumers may instead
consume the entire package, thus doubling their caloric and nutrient
intake as opposed to lowering it. The agency particularly seeks
information and data, as comments to this proposed rule, about whether
consumers may eat an entire package of these multi-pack ``mixed dishes
not measurable with a cup'' that may result in excess calorie intake,
rather than improved portion control of healthier food options that is
a desired outcome of this proposed rule, if finalized as proposed.
The agency has tentatively concluded that providing a ``lean''
definition for ``mixed dishes not measurable with a cup'' will provide
more consistency with similar USDA products and help consumers
construct a diet that is consistent with current dietary
recommendations (i.e., keeping dietary
[[Page 71045]]
intake of total fat, saturated fat, and cholesterol limited).
Therefore, as discussed in the following section, the agency is
proposing such a definition.
B. Proposed Amendments
In proposing a definition for the use of the nutrient content claim
``lean'' by eligible foods classified as ``mixed dishes not measurable
with cup,'' the agency considered the following options: (1) Require
the existing FDA nutrient requirements used by other FDA-regulated
foods that are eligible for a ``lean'' claim, such as meal-type
products; (2) require the existing USDA requirements for individual
foods that are eligible to bear a ``lean'' claim (such foods would
include foods in the ``mixed dishes not measurable with a cup''
category); (3) require either of the two methods for determining
nutrient values proposed by the petitioner; or (4) require new nutrient
requirements for ``mixed dishes not measurable with a cup.''
In evaluating the various options, FDA considered whether it was
appropriate to apply the nutrient criteria to only the RACC for ``mixed
dishes not measurable with a cup'' and not to both the RACC and per 100
g as is currently used for seafood and game meat. Foods in the ``mixed
dish not measurable with a cup'' category have a single RACC. Foods
considered ``seafood'' or ``game meat'' have multiple RACCs that differ
depending on their use. The requirements for a ``lean'' claim for
seafood or game meat are on a per-RACC and per-100 g basis. The use of
the 100 g basis, in addition to the per-RACC basis, prevents some of
the inconsistency that could occur within an entire category of
products with multiple RACCs (i.e., canned fish with a 55 g RACC and a
fish entr[eacute]e that has a much larger 140 g RACC do not end up with
the same exact nutrient requirements). The ``mixed dish not measurable
with a cup'' category of individual foods, however, has only one RACC
and does not need to have an additional 100 g basis requirement to
insure consistency of application. Thus, the agency tentatively
concludes that the requirements for a ``lean'' claim for foods
considered ``mixed dishes not measurable with a cup'' will need to be
based on a per-RACC basis only.
The agency first considered the options of requiring the existing
nutrient requirements for other FDA-regulated foods that are eligible
to bear the ``lean'' claim and the USDA nutrient requirements for a
``lean'' claim for individual foods. The agency decided not to propose
these options. The current nutrient criteria for these options are less
than 10 g fat, 4.5 g or less saturated fat, and less than 95 mg of
cholesterol per RACC and per 100 g for seafood and game meat or for
meal-type products, per 100 g and per labeled serving. As explained in
the following paragraphs, the agency determined that it would be
appropriate to consider nutrient criteria that differ from the current
requirements. In addition, when establishing nutrient criteria for the
category of ``mixed dishes not measurable with a cup'' that are
eligible to bear the ``lean'' claim, the agency determined that it
would only apply the nutrient criteria to the RACC (140 g) and not to
both the RACC and per 100 g as it does for the individual foods
(seafood and game meat) currently eligible to bear the ``lean'' claim.
Further, when applying the current nutrient criteria to the RACC of 140
g, the agency determined that the nutrient criteria for fat, saturated
fat, and cholesterol would be more restrictive than necessary for these
foods to be considered ``lean'' when considered in the context of the
total daily diet. Therefore, the agency decided not to propose the
current nutrient criteria to the RACC for ``mixed dishes not measurable
with a cup.''
FDA adopted the USDA nutrient requirements for ``lean,'' in the
1993 nutrient content claim final rule (58 FR 2302 at 2342), for
seafood and game meats and for meal-type and main dish products
because, in part, the agency recognized that seafood and game products
play a comparable role in the diet to that of meat and poultry products
and like meat and poultry products, contribute to the total dietary
intake of fat, saturated fat, and cholesterol. In addition, FDA-
regulated meal-type products are consumed in the same manner as USDA-
regulated meal-type products covered by the FSIS rule on the ``lean''
claim. FDA determined that the equivalent definition of these terms
would enable consumers to compare the nutritional values of meat
products and meal-type products that may serve as substitutes for one
another in a balanced diet (58 FR 2302 at 2343). The levels of total
fat and saturated fat that were chosen by USDA for the ``lean''
criteria were based on a ratio of saturated fat to total fat that would
be 40 percent, which is representative of the ratio of saturated fat to
total fat inherent in ruminant muscle (58 FR 2302 at 2342).
The agency has concluded, however, that not all of the factors
considered in the 1993 final rule apply to the foods in the FDA-
regulated category ``mixed dishes not measurable with a cup.'' The
``mixed dishes not measurable with a cup'' category may not play a
comparable role in the diet to that of meat and poultry products; may
not contribute to the total dietary intake of fat, saturated fat, and
cholesterol like meat and poultry products; and may not be consumed in
the same manner as USDA-regulated meal-type products. FDA-regulated
``mixed dishes not measurable with a cup,'' which are similar in
composition to meal and main dish products (i.e., they are multi-
component products), are smaller in size compared to the meal-type
products. The agency believes that, although similar in composition to
meal-type products, the restriction in size of the products in this
category results in a different role in the diet than meal-type
products. These foods are likely to be chosen by consumers to reduce
portion sizes of meals for a reduced calorie contribution, or as
healthy snack alternatives to those ``mixed dishes not measurable with
a cup'' that are higher in fats. Because of their size requirements,
meal-type products comprise a larger percent (in weight and in
calories) of the daily diet than ``mixed dishes not measurable'' do.
Further, the foods that FDA regulates in this category include those
that have no meat, poultry, seafood, or game meat as ingredients and,
therefore, it would be appropriate for these foods to have lower fat
criteria than foods in those categories, based on their dissimilar
ingredient contents and smaller calorie contribution. While it is
possible that foods in the ``mixed dishes not measurable with a cup''
category could have similar nutrient profiles to USDA-regulated meat
and poultry products (e.g., an entr[eacute]e-type turnover containing
cheese), many foods that fall into this category, especially those
foods that do not contain any cheese, would have very different total
fat, saturated fat, and cholesterol profiles. Therefore, because foods
in the category of ``mixed dishes not measurable with a cup'' may not
make the same contribution to the total dietary fat, saturated fat, and
cholesterol and have a different role in the total diet as other FDA-
regulated foods in this category or as other USDA-regulated individual
foods in this category, FDA has tentatively concluded that the nutrient
criteria ``lean'' for ``mixed dishes not measurable with a cup'' should
not necessarily be the same as the criteria used for other individual
foods and for meal-type products.
Applying the current nutrient criteria to the RACC for ``mixed
dishes not measurable with a cup'' (i.e., less than 10 g fat per 140 g,
4.5 g or less saturated fat per 140 g, and less than 95 mg cholesterol
per 140 g) results in criteria that, proportionally on a per-100 g
basis,
[[Page 71046]]
are comparable to the two methods proposed by the petitioner. The
nutrient criteria for this option, when computed on a per-100 g basis,
would be less than 7.1 g fat, 3.2 g or less saturated fat, and less
than 68 mg cholesterol. However, a main dish (170 g portion) that met
the current nutrient criteria for a ``lean'' claim would contribute
less than 5.9 g total fat, 2.6 g or less saturated fat, and less than
56 mg cholesterol per 100 g (see discussion infra in footnote 8 of this
document). Given the smaller portion sizes of ``mixed dishes not
measurable with a cup,'' different composition than similar USDA-
regulated foods, and different contribution to the total daily diet,
``mixed dishes not measurable with a cup'' labeled as ``lean'' should
not be contributing proportionally more fat, saturated fat, and
cholesterol than a main dish that bears the ``lean'' claim. If ``mixed
dishes not measurable with a cup'' did contribute proportionally more
fat, saturated fat, and cholesterol per 100 g product consumed,
consumers who may include more lean ``mixed dishes not measurable with
a cup'' in their diets would inadvertently be consuming more of these
fats. Therefore, the agency tentatively decided not to propose this
option.
The agency also considered the nutrient criteria based on the two
different methods that Nestl[eacute] described in its petition to
calculate the nutrient requirements for the ``lean'' definition. The
agency decided not to propose these options. These methods are
described in section II of this document. One method described by
Nestl[eacute] uses the existing requirements for total fat, saturated
fat, and cholesterol content in the nutrient content claim ``lean'' for
meal-type products and reduces those requirements for ``mixed dishes
not measurable with a cup'' in proportion to the reduction in portion
size. ``Mixed dishes not measurable with a cup'' are multi-component
foods that are similar to main dish and meal products, but smaller in
size. In describing this method in its petition, Nestl[eacute] assumed
an estimated average weight of 132.53 g for foods in this category
compared to the 170.1 g (6 oz) minimum weight criterion for main
dishes. This resulted in nutrient criteria of 7.8 g fat, 3.5 g
saturated fat, and 74.1 mg cholesterol. These criteria are applied on a
per-RACC basis. When the nutrient criteria are applied on a per-RACC
basis and then computed on a per-100 g basis to compare with the other
options, the nutrient criteria are less than 5.6 g fat per 100 g, 2.5 g
or less saturated fat per 100 g, and less than 53 mg cholesterol per
100 g. These values are slightly more restrictive than what the agency
is proposing to require and more restrictive than necessary for
consumers to be able to maintain a diet that is within the current
dietary recommendations for fat, saturated fat, and cholesterol, as
discussed in the proposed option. Further, Nestl[eacute] did not
describe the basis for its estimated average weight of ``mixed dishes
not measurable with a cup'' as 132.53 g when calculating the nutrient
criteria. Thus, Nestl[eacute] provided no rationale for why a portion
size of 132.53 g should be used in computing the nutrient criteria in
lieu of the RACC of 140 g for ``mixed dishes not measurable with a
cup.'' Consequently, for all these reasons, FDA tentatively decided not
to propose the nutrient requirements for ``lean'' based on
Nestl[eacute]'s assumed average weight for ``mixed dishes not
measurable with a cup.''
The other method suggested by Nestl[eacute] determined nutrient
values (based on recommended intakes) using an estimated calorie
contribution of foods in the ``mixed dishes not measurable with a cup''
category as the basis of the definition. This suggested method relates
current dietary recommendations for the percentage of nutrients in the
overall diet to the percentage distribution of the nutrients in the
individual food item (e.g., the current dietary recommendation of 30
percent fat in the diet would result in the product containing 30
percent of its calories from fat). This method of determining nutrient
requirements is problematic for a number of reasons. One reason is that
such a method is not one FDA has used to determine nutrient
requirements for nutrient content claims. Additionally, recommendations
for intake of these nutrients expressed as a percentage of calories are
available for only total fat and saturated fat. Intake of cholesterol
has no such recommendation. Consequently, this suggested method is used
only for determining the requirements of two of the three nutrients,
with the cholesterol requirement being determined using the alternate
method suggested by Nestl[eacute]. Therefore, the determination of the
nutrient requirements is not consistent using this method. Also,
Nestl[eacute] calculated the nutrients on a per-100 g basis but
proposed to apply them on a per-RACC basis. It is unclear why
Nestl[eacute] calculated the requirements in this way, as opposed to
originally calculating the requirements on a per-RACC basis (using the
RACC of 140 g). To determine the total fat requirement, for example,
Nestl[eacute] determined how many calories were in 100 g of an average
``mixed dish not measurable with a cup'' (214.4 calories / 100 g),
calculated 30 percent of this value (64.32 calories), converted
calories to gram weight (7.147 g fat), and applied this value to a per-
RACC basis. Using the method as suggested by the petitioner (when the
nutrient criteria are applied on a per-RACC basis and then computed on
a per-100 g basis to compare with the other options), the nutrient
criteria from this method are less than 5 g fat per 100 g, 2.5 g or
less saturated fat, and less than 53 mg cholesterol per 100 g. These
values are slightly more restrictive than what the agency is proposing
to require and more restrictive than necessary for consumers to be able
to maintain a diet that is within current dietary recommendations for
fat, saturated fat, and cholesterol, as discussed in the proposed
option. For all these reasons, the agency tentatively decided not to
propose the nutrient criteria derived using this method.
The agency tentatively decided to determine new nutrient
requirements specific to the ``mixed dishes not measurable with a cup''
category and to use the RACC for ``mixed dishes not measurable with a
cup'' in deriving the nutrient criteria. As discussed earlier in this
document, the agency wants to ensure that ``mixed dishes not measurable
with a cup'' that are labeled ``lean'' will help consumers construct a
diet that is consistent with current dietary recommendations. Thus,
consumers who incorporate these products into their diets as healthy
snacks or choose smaller portions for controlled calorie intake at
meals should be able to keep their dietary intake of total fat,
saturated fat, and cholesterol at or below the DRVs established by FDA
and within current ranges set forth in the IOM acceptable macronutrient
distribution ranges (AMDRs) and the 2005 Dietary Guidelines for
Americans. Because FDA-regulated foods within the category ``mixed
dishes not measurable with a cup'' do not necessarily contribute to the
diet in the same manner as meal-type products regulated by FDA (e.g.,
they are not used as meal replacements, and would not necessarily have
the same fat, saturated fat, and cholesterol content as the USDA-
regulated counterparts), we have tentatively concluded that the
nutrient criteria should be more restrictive than these other products
to reflect the contribution to the overall diet and the different fat
content.
FDA determined that it could achieve better criteria, which would
enable consumers to maintain intakes of fat within current dietary
recommendations without being as restrictive as the other
[[Page 71047]]
options, by basing the nutrient criteria for fat, saturated fat, and
cholesterol on the current criteria for main dishes, but applying the
criteria to the RACC (140 g) for ``mixed dishes not measurable with a
cup'' rather than the minimum weight for main dishes (170.1 g). The
agency chose the main dish minimum weight requirement of 170.1 g (6 oz)
for use in its calculations, rather than the 283.4 g (10 oz) minimum
weight requirement for meal products, because main dishes are closer to
``mixed dishes not measurable with a cup'' in portion size and
contribution to the overall diet. The current regulations require main
dish products bearing a ``lean'' claim to have less than 10 g total
fat, 4.5 g or less saturated fat, and less than 95 mg cholesterol per
100 g and per labeled serving. Because the minimum weight criterion for
main dishes and the RACC for ``mixed dishes not measurable with a cup''
are both considered a serving and much closer in portion size than meal
products at 10 oz, the agency decided that using the nutrient criteria
based on the minimum weight for main dishes would be appropriate for
calculating the criteria for ``mixed dishes not measurable with a
cup.'' Further, to be eligible for a ``lean'' nutrient content claim, a
main dish must meet the nutrient criteria on a per-labeled-serving
basis.\8\ Thus, the agency chose the serving size for a main dish that
would have to meet the nutrient criteria for ``lean'' (i.e., 170 g) as
a basis to establish the criteria for ``mixed dishes not measurable
with a cup'' per RACC. The RACC for ``mixed dishes not measurable with
a cup'' is 140 g (5 oz).
---------------------------------------------------------------------------
\8\ If a food qualifying as a main dish meets the per-labeled-
serving basis for a ``lean'' claim, it also meets the per-100 g
basis. For example, a main dish with a 170 g labeled serving size
containing less than 10 g fat, 4.5 g or less saturated fat, and less
than 95 mg cholesterol per labeled serving could bear a lean claim
because it meets both the per-labeled-serving basis and the per-100
g basis (i.e., the food would contain less than 5.8 g fat, 2.6 g or
less saturated fat, and less than 55.9 mg cholesterol per 100 g).
However, a food qualifying as a main dish that meets the per-100 g
basis for a ``lean'' claim might not meet the per-labeled-serving
basis. For example, a main dish containing 10 g fat, 4.5 g saturated
fat, and 95 mg cholesterol per 100 g would contain 17 g fat, 7.7 g
saturated fat, and 162 mg cholesterol per 170 g labeled serving.
---------------------------------------------------------------------------
FDA proposes to establish the fat, saturated fat, and cholesterol
criteria for the definition of ``lean'' for ``mixed dishes not
measurable with a cup'' by calculating the percent of the proportion of
the weight of the RACC for ``mixed dishes not measurable with a cup''
(140 g) to the minimum weight of main dishes (170.1 g) and multiplying
the percent by the nutrient criteria for fat, saturated fat, and
cholesterol for main dishes. The proportion in weight is 140 g / 170.1
g, which equals 0.82 or 82 percent. Eighty-two percent of the current
nutrient criterion value for fat (10 g fat multiplied by 82 percent)
equals a nutrient value of 8.2 g fat per RACC. Eighty-two percent of
the current nutrient criterion value for saturated fat (4.5 g sat fat
multiplied by 82 percent) equals 3.69 g saturated fat. Eighty-two
percent of the current nutrient criterion value for cholesterol (95 mg
cholesterol multiplied by 82 percent) equals 77.9 mg cholesterol. This
proportional reduction results in rounded values of 8 g total fat, 3.5
g saturated fat, and 80 mg cholesterol. Calculating the proposed
nutrient criteria for ``mixed dishes not measurable with a cup'' per
RACC from the current nutrient content criteria on the minimum weight
for main dishes provides proposed criteria for ``mixed dishes not
measurable with a cup'' that are comparable in their contribution of
fat, saturated fat, and cholesterol on a per-100 g basis to that
contributed by main dishes on a per-100 g basis.\9\ The proposed
nutrient criteria are less restrictive than the other options
considered and would potentially allow more foods for increased
consumer choice. Consumers could achieve a diet using ``lean'' ``mixed
dishes not measurable with a cup'' that is consistent with current
dietary recommendations.
---------------------------------------------------------------------------
\9\ For example, a 170 g main dish that meets the nutrient
content criteria of less than 10 g per labeled serving of 170 g, 4.5
or less saturated fat per 170 g, and less than 95 mg cholesterol per
labeled serving of 170 g would provide less than 5.8 g fat, 2.6 g or
less saturated fat, and less than 55.9 mg cholesterol per 100 g. As
a comparison, a mixed dish that contains less than 8 g fat, 3.5 g or
less saturated fat, and less than 80 mg cholesterol would provide
less than 5.7 g fat, 2.5 g or less saturated fat, and less than 57
mg cholesterol per 100 g.
---------------------------------------------------------------------------
Therefore, to bear a ``lean'' claim, FDA proposes in Sec.
101.62(e)(2) that food items falling within the RACC for ``mixed dishes
not measurable with a cup'' must have less than 8 g total fat, 3.5 g or
less saturated fat, and less than 80 mg cholesterol per RACC. The
agency is proposing to revise current Sec. 101.62(e) to include the
proposed provision. FDA requests comments on these criteria for ``mixed
dishes not measurable with a cup.''
In proposing the nutrient requirements, the agency considered
including a requirement for trans fat, but decided against including it
in this proposal. Currently, there is no daily value for trans fatty
acids, but it is well known that trans fatty acids increase serum
total- and LDL-cholesterol levels. FDA has issued an advanced notice of
proposed rulemaking (ANPRM) to solicit comments on establishing trans
fat nutrient content claims; to establish qualifying criteria for trans
fat in current nutrient content claims for saturated fatty acids and
cholesterol, lean and extra lean claims, and health claims that contain
a message about cholesterol-raising lipids; and, in addition, to
establish disclosure and disqualifying criteria to help consumers make
healthy food choices. The agency also solicited comment on whether it
should consider statements about trans fat, either alone or in
combination with saturated fat and cholesterol, as a footnote in the
Nutrition Facts panel or as a disclosure statement in conjunction with
claims (68 FR 41507, July 11, 2003). FDA believes that it would be
premature to consider a specific trans fat nutrient requirement for use
of the nutrient content claim ``lean'' by eligible foods classified as
``mixed dishes not measurable with a cup,'' until it has evaluated the
merits of a level of trans fat based on the data and information it is
currently evaluating in the context of the ANPRM.
Pending issuance of a final rule defining the ``lean'' nutrient
content claim that characterizes the fat, saturated fat, and
cholesterol content in qualifying foods that fall within the RACC
established for ``mixed dishes not measurable with a cup,'' FDA intends
to consider the exercise of its enforcement discretion on a case by
case basis when the ``lean'' nutrient content claim in food labeling is
based on the definition in this proposed rule and when the labeling
containing such a claim is not otherwise false or misleading. The act's
enforcement provisions commit complete discretion to the Secretary (and
by delegation to FDA) to decide how and when they should be exercised.
Heckler v. Chaney, 470 U.S. 821 at 835 (1985); see also Schering Corp.
v. Heckler, 779 F.2d 683 at 685-86 (D.C. Cir. 1985) (stating that the
provisions of the act ``authorize, but do not compel the FDA to
undertake enforcement activity''). Until the agency issues a final rule
for the ``lean'' nutrient content claim for foods classified as ``mixed
dishes not measurable with a cup,'' the agency believes that its
exercise of enforcement discretion will help alleviate consumer
confusion by encouraging greater consistency and uniformity in the
marketplace for such claims, and thereby assist consumers in making
informed dietary choices about their fat, saturated fat, and
cholesterol intake.
IV. Preliminary Regulatory Impact Analysis
FDA has examined the impacts of the proposed rule under Executive
Order 12866. Executive Order 12866 directs
[[Page 71048]]
agencies to assess all costs and benefits of available regulatory
alternatives and, when regulation is necessary, to select regulatory
approaches that maximize net benefits (including potential economic,
environmental, public health and safety, and other advantages;
distributive impacts; and equity). Executive Order 12866 classifies a
rule as significant if it meets any one of a number of specified
conditions, including having an annual effect on the economy of $100
million, adversely affecting a sector of the economy in a material way,
adversely affecting competition, or adversely affecting jobs. A
regulation is also considered a significant regulatory action if it
raises novel legal or policy issues. The agency believes that this
proposed rule is not a significant regulatory action as defined by the
Executive order.
A. Need for Regulation
Unlike foods classified as either meal products or main dish
products, many foods classified as ``mixed dishes not measurable with a
cup'' are not currently allowed to make a ``lean'' nutrient content
claim because the RACC is less than 6 oz. Allowing a ``lean'' nutrient
content claim on the labels of ``mixed dishes not measurable with a
cup'' may facilitate more nutritious eating choices by consumers.
Moreover, better choices regarding fat, saturated fat, and cholesterol
consumption are especially important considering current concern with
obesity, other diseases related to being overweight, and heart disease.
Finally, USDA currently allows the ``lean'' claim on all foods that
they regulate, including individual foods, and allowing the claim on
FDA-regulated foods would increase consistency in allowable claims
between the two agencies.
B. Regulatory Options
We considered the following regulatory options: (1) Take no new
regulatory action; (2) adopt Nestl[eacute]'s petitioned criteria for
fat, saturated fat, and cholesterol; (3) extend the current FDA
criteria for making a ``lean'' claim for ``meal products'' and ``main
dish products'' to ``mixed dishes not measurable with a cup,'' and (4)
adopt the proposed criteria for fat, saturated fat, and cholesterol
contents necessary for making a ``lean'' claim for ``mixed dishes not
measurable with a cup.'' FDA requests comments on benefits, costs, and
any other aspects of these (and any other) alternatives.
Option 1: Take No New Regulatory Action
The first regulatory option, take no action, would require denying
the Nestl[eacute] petition requesting that FDA authorize a nutrient
content claim ``lean'' for ``mixed dishes not measurable with a cup.''
Taking no regulatory action to amend the definition of ``lean'' is the
state of the world and our baseline. By convention, we treat the option
of taking no new regulatory action as the baseline for determining the
costs and benefits of the other options. Therefore, we associate
neither costs nor benefits with this option. The consequences of taking
no action are reflected in the costs and benefits of the other options.
Option 2: Propose Nestl[eacute]'s Petitioned Criteria for Fat,
Saturated Fat, and Cholesterol
A second option is to allow ``mixed dishes not measurable with a
cup'' to make a ``lean'' claim based on criteria derived from the
Nestl[eacute] petition. In that petition two methods are used to derive
the criteria for fat, saturated fat, and cholesterol contents for
allowing a ``lean'' claim for ``mixed dishes not measurable with a
cup.'' One method is to establish ``lean'' criteria for fat, saturated
fat, and cholesterol contents of ``mixed dishes not measurable with a
cup'' with an estimated average weight of 132.53 g, proportional to
existing criteria for ``lean'' ``meal products'' with minimum weights
of 170.1 g. This method produces criteria of 7.8 g of total fat, 3.5 g
of saturated fat, and 74.1 milligrams (mg) of cholesterol per RACC (140
g). The second method uses an estimated average calorie contribution of
214 calories from ``mixed dishes not measurable with a cup'' and the
recommendations for dietary fat intake reported by IOM and
recommendations from the National Cholesterol Education Program on
saturated fat intake. This method produces criteria of 7 g of total
fat, 2.5 g of saturated fat, and 75 mg of cholesterol per RACC. We use
the criteria for fat, saturated fat, and cholesterol contents from the
latter, more restrictive method for analyzing the regulatory impact for
this option.
This option is the most restrictive of the all options considered
in terms of allowable fat, saturated fat, and cholesterol contents and
would result in the greatest percent reduction in fat content in the
``mixed dishes not measurable with a cup'' category compared to the
other three options. However, the market share of all FDA-regulated
``mixed dishes not measurable with a cup'' expected to make a ``lean''
claim under this option (6 percent) and the reduction in total dietary
fat consumption may be the lowest compared to the other options. While
the costs of this option would be voluntarily incurred, we estimate the
extent of resources allocated to new product development,
reformulation, relabeling, and discontinued product lines would be the
lowest compared to the other options.
Option 3: Extend the Current Criteria for Fat, Saturated Fat, and
Cholesterol for ``Lean''
A third option is to extend the same criteria of less than 10 g of
total fat, 4.5 g of saturated fat, and 95 mg of cholesterol per 100 g
and per labeled serving currently used to allow the ``lean'' claim for
``meal products'' or ``main dish products,'' to allow ``mixed dishes
not measurable with a cup'' to make a ``lean'' claim on a per-RACC
basis. This is the least restrictive of the options considered here in
terms of allowable fat, saturated fat, and cholesterol content and
would result in a smaller percent reduction in fat content in the
``mixed dishes not measurable with a cup'' category than under the
other three options. In addition, the market share of all FDA-regulated
``mixed dishes not measurable with a cup'' expected to make a ``lean''
claim under this option (10 percent), and the reduction in total
dietary fat consumption may be the highest of the options. While the
costs of this option would be voluntarily incurred, we estimate the
extent of resources allocated to new product development,
reformulation, relabeling, and discontinued product lines to be the
highest of the options.
Option 4: The Proposed Regulatory Action
A fourth option is to allow ``mixed dishes not measurable with a
cup'' to contain a ``lean'' claim based on the proposed criteria of 8 g
of total fat, 3.5 g or less of saturated fat, and 80 mg of cholesterol
per RACC. This option may be considered moderately restrictive compared
to the other options in terms of allowable fat, saturated fat, and
cholesterol content, and may result in a moderate percent reduction in
fat content in the ``mixed dishes not measurable with a cup'' category
compared with the other three options. In addition, the market share
for all FDA-regulated ``mixed dishes not measurable with a cup''
expected to make a ``lean'' claim under this option (8 percent), and
the reduction in total dietary fat consumption may be considered
moderate compared with the
[[Page 71049]]
other options as well. While the costs of this option would be
voluntarily incurred, we estimate the resources allocated to new
product development, reformulation, relabeling, and discontinued
product lines to be moderate relative to the other options.
C. Benefits
The benefits from this proposed rule would derive from the ability
of consumers to make healthier dietary choices among the foods in the
category of ``mixed dishes not measurable with a cup'' based on the fat
content of these foods, when such foods bear the ``lean'' nutrient
content claim. The ``lean'' claim makes it easier for consumers to find
foods in this category that do not exceed a certain amount of fat,
saturated fat, and cholesterol. If consumers substitute ``lean''
``mixed dishes not measurable with a cup'' for other foods in this
category that are higher in fat, we would expect them to benefit from
the improved ability to maintain healthy weights and stay within
recommended intakes for fat, saturated fat, and cholesterol. We
estimate the health benefits from this proposed rule would come from
the reduction in total fat, saturated fat, and cholesterol consumption
that would result. Reduced fat, saturated fat, and cholesterol
consumption would be expected to help consumers maintain healthier body
weights.
1. An Overview of Likely ``Lean'' ``Mixed Dishes Not Measurable With a
Cup''
The expected effects of the proposed rule would be small because
there are a small number of ``mixed dishes not measurable with a
