Processing and Sustainability of Beverages: Volume 2: The Science of Beverages 9780128152591, 9780128156995, 0128152591

Table of contents :
Front Cover......Page 1
Processing and Sustainability of Beverages: Volume 2: The Science of Beverages......Page 4
Copyright......Page 5
Contents......Page 6
Contributors......Page 14
Series Preface......Page 18
Preface......Page 22
1.1 Introduction......Page 26
1.2 Environmental Problem Targeted......Page 27
1.3.1 The Brewing Industry......Page 32
1.3.2 The Soft Drinks and Nectar/Juice Industry......Page 34
1.4 Adding Sustainability to the Beverage Industry......Page 35
1.5 Traditional Beverage Wastewater Treatment......Page 39
1.6 Natural Treatment of Wastewater......Page 42
1.7.1 Pretreatment Technologies......Page 46
1.7.2 Integrated Constructed Wetlands......Page 48
1.7.3 Soil Filters......Page 50
1.7.4 Stabilization Ponds......Page 51
1.7.5 Microalgae Cultivation......Page 54
1.7.7 Combined Nature-Based Treatments......Page 55
References......Page 56
Further Reading......Page 61
2.1 Introduction......Page 62
2.2 Production of Alcoholic Beverages......Page 65
2.2.1 Raw Materials of the Fermentation Process......Page 66
2.2.2.1 Saccharomyces cerevisiae......Page 67
2.2.3.2 Alcohol Tolerance......Page 68
2.2.4 Alcoholic Fermentation......Page 69
2.3 Regulations of Alcoholic Beverages......Page 71
2.4 Market of Alcoholic Beverages......Page 78
2.5 Anthropology of Alcoholic Beverages......Page 82
2.6.1 History......Page 85
2.6.2 Health Effects From the Consumption of Alcoholic Beverages......Page 86
2.6.3 Strategy for the Reduction of Alcohol Consumption......Page 88
2.6.4 Differences Between Genres Regarding the Consumption of Alcoholic Beverages......Page 89
2.7 Conclusions......Page 90
References......Page 91
Further Reading......Page 97
3.1 Introduction......Page 98
3.2.1 Craft Breweries Industry......Page 100
3.2.2 The Italian NC......Page 108
3.3 The Theoretical Background: BM, BMI, and Sustainability......Page 111
3.4 Methodology......Page 114
3.5.1 The Focal Firm’s SBM......Page 116
3.5.2 The Baladin NC......Page 120
3.6 Discussion and Conclusion......Page 123
References......Page 125
4.1 Introduction......Page 128
4.2 The Genus Dasylirion......Page 129
4.3 The Sotol in Prehispanic Times and During the Spanish Colony......Page 132
4.4 Current Importance of Sotol......Page 137
4.5 Natural History of Dasylirion spp .......Page 139
4.5.1 Histology and Physiology......Page 142
4.5.2 Genetics and Reproduction......Page 143
4.6 Ecological Impact of Sotol Production......Page 145
4.7.1 Plant Selection, Harvesting, Cutting, and Transportation......Page 147
4.7.2 Cooking and Grinding......Page 149
4.7.3 Fermentation......Page 151
4.7.5 Graduation and Maturation......Page 152
4.8.1 Omic Knowledge......Page 153
4.8.4 Reproduction......Page 155
4.8.8 Monoculture......Page 156
References......Page 157
5.1 Introduction......Page 164
5.2.2 H. var. sabdariffa Plants......Page 166
5.2.3.1 Consumption and Trade......Page 167
5.2.3.2 Agricultural Production......Page 168
5.2.3.3 Quality Characteristics......Page 170
5.3.1 Trade and Consumption......Page 173
5.3.2 Production......Page 174
5.3.3.1 Color and Anthocyanins Content......Page 176
5.3.3.3 Phenolic Composition and Antioxidant Activity......Page 177
5.3.3.5 Chemical-Sensory Properties......Page 178
5.3.3.6 Sensory Profiling......Page 182
5.3.3.7 Consumer Acceptance......Page 192
5.3.4 Process Optimization and New Product Development......Page 194
5.4 Conclusions......Page 201
References......Page 202
6.1 Introduction......Page 210
6.2 Literature Review......Page 211
6.3 Methodology......Page 213
6.4 Case Study: Enosis Meraviglia......Page 214
6.4.1 The Mission at Enosis Meraviglia......Page 216
6.4.2 Innovation in Winemaking Businesses......Page 217
6.4.3 Mister Wine......Page 218
6.5 Discussion and Conclusions......Page 219
6.6 Implications and Limitations......Page 224
References......Page 225
Further Reading......Page 229
7.1 Introduction......Page 230
7.3 Preservation of Beverages......Page 232
7.3.2 Nonthermal Treatments......Page 233
7.4.2 Mechanism of Microbial Inactivation......Page 235
7.4.3 UV-C Dose......Page 236
7.4.4 Microbial Inactivation Kinetics......Page 239
7.4.5 Advantages and Disadvantages of UV-C Irradiation......Page 240
7.5 Application of UV-C Irradiation in Fruit Juices......Page 241
7.6 UV-C Equipment Design for Beverage Processing......Page 246
7.7 Combination of UV-C Irradiation With Other Technologies......Page 249
7.8 Current and Future Trends......Page 252
References......Page 254
8.1 Introduction......Page 260
8.2.1 Definitions Related to Pectins......Page 261
8.2.2 Occurrence......Page 262
8.2.3 Classes of Pectin......Page 263
8.2.4 Pectin Structure and Composition......Page 264
8.2.6 Commercial Pectins......Page 266
8.3.1 Esterase......Page 267
Polygalacturonase......Page 268
8.4.2 Production From Microbial Sources......Page 269
8.5 Pectinolytic Microorganisms......Page 270
8.6.1 Solid Medium......Page 273
8.6.2 Production Time......Page 277
8.6.4 Moisture Content and Moistening Agent......Page 279
8.6.7 Agitation Frequency......Page 280
8.7.2 Packed-Bed Bioreactor......Page 281
8.8.1 Fruit Beverage Industry......Page 282
8.8.2 Fruit and Juice Processing......Page 283
8.8.3 Fruit Juice Clarification......Page 284
8.8.4 Maceration......Page 286
8.8.6 Coffee, Cocoa, Tea, and Tobacco Fermentation......Page 287
Acknowledgments......Page 288
References......Page 289
Further Reading......Page 298
9.1 Environmental Footprint......Page 300
9.2 Compounds Involved in the Estimation of the Categories of the EF......Page 302
9.3 In Situ Analysis Devices......Page 307
9.4.1 Washing Operations......Page 309
9.4.2 Cleaning and Disinfection Operations......Page 316
9.4.3 Air Emissions From Chemical Processes......Page 323
9.4.4 Air Emissions From Fuel Combustion......Page 324
9.4.5 Air Emissions From Other Processes......Page 327
9.5 Example of the Use of In Situ Devices for Monitoring the EF......Page 328
9.6 Assessment of the Performance for a Given Analytical Method Regarding Environmental Impact and Other Related Chara .........Page 329
9.7 Conclusions......Page 335
References......Page 337
Further Reading......Page 342
10.1 Introduction......Page 344
10.2.1 Up-to-Date Models and Assessments......Page 346
10.2.2.2 Oil and Debt as Mutual Substitutes for Growth......Page 348
10.2.2.3 Discussion......Page 354
10.3.1 Plant-Based vs Animal-Based Diet: Impacts on Climate and Land......Page 357
10.3.2 Global vs Local Food Supply Chains......Page 358
10.3.3 Food Sustainability Driven by Energy Efficiency, Functionality, and Waste Reduction......Page 359
10.3.4 Healthy and Sustainable Diets......Page 362
10.3.5 Conditions for the Expansion of More Sustainable and Healthier Food Supply Chains......Page 365
10.4.1 Physicochemistry......Page 366
10.4.2 Various Mechanical Devices......Page 369
10.5.1.1 Boosting Bioactive Compounds in Cereals and Fruits......Page 370
10.5.1.2 Boosting Beer Hops’ Bioactive Compounds......Page 373
10.5.1.3 Gluten-Free Beer......Page 374
10.5.2 More Energy Efficient Production......Page 377
10.5.3 Reduction and More Efficient Reuse of Waste Streams......Page 383
10.6 Conclusions......Page 385
References......Page 387
11.1 Introduction......Page 398
11.2 Goat and Sheep Milk: Characteristics and Peculiarities......Page 401
11.3 Impact of Technological Processing......Page 403
11.3.2 Heat Treatment......Page 404
11.3.4 Addition of Ingredients......Page 406
11.3.5 Coagulation and Syneresis......Page 408
11.3.7 Fermentation......Page 409
11.3.8 Storage......Page 410
11.3.9.3 Membrane Separation Techniques......Page 411
11.4.1 Milk and Cream......Page 412
11.4.2 Fermented Milk......Page 421
11.4.3 Yogurt......Page 422
11.4.4 Dairy Beverage......Page 424
11.5.1 Viscosimetry......Page 425
11.5.2 Rheometers......Page 426
11.6 Practical Application......Page 427
11.7 Conclusions......Page 428
Acknowledgment......Page 429
References......Page 430
Further Reading......Page 437
12.1 Introduction......Page 438
12.2.1 Novel Nonthermal Technologies......Page 439
12.2.1.1 Effect of HPP on Beverage Antioxidants......Page 440
12.2.1.2 Effect of PEF on Beverage Antioxidants......Page 446
12.2.1.3 Effect of Ultrasound on Beverage Antioxidants......Page 449
12.2.2.1 Effect of Ohmic Heating on Beverage Antioxidants......Page 452
12.2.2.2 Effect of Microwave Heating on Beverage Antioxidants......Page 457
12.2.2.3 Effect of Infrared Heating on Beverage Antioxidants......Page 462
References......Page 465
13.1 Introduction......Page 476
13.2.1 Occurrence and Quantities......Page 478
13.2.2 Composition of Boresidues and Basic Implications for Their Handling......Page 482
13.3.1 Whole-Stream Versus Component-Oriented Approaches......Page 483
13.3.2 Emerging and State-of-the-Art Whole-stream Valorization Routes......Page 484
13.3.3 High-Value Applications Via Component-Oriented Valorization......Page 486
13.4.1 Thermochemical and Biochemical Conversion......Page 487
13.4.2 AD With Biogas Production......Page 488
13.4.3 Valorization of Bioresidues for Biohydrogen/Biohythane Generation......Page 490
13.4.4 Enzymatic Bioconversion Into Bioethanol......Page 492
13.4.5 Integrated Approaches......Page 493
13.5 Biochar From Residues of Beverage Production......Page 494
13.6.1 Functional and Bioactive Components of Beverage By-Products......Page 497
13.6.1.1 Phenolic Compounds......Page 500
13.6.1.2 Dietary Fiber......Page 501
13.6.1.3 Natural Pigments......Page 502
13.6.2 Extraction of Functional Components of Beverage Industry By-Products......Page 503
13.7 Packaging Waste......Page 504
13.8 Summary and Outlook......Page 508
References......Page 510
14.1 Introduction......Page 520
14.2 The Legal Circle......Page 521
14.3 The EU Action Plan for the CE......Page 523
14.4 The Proposal on Packaging and Packaging Waste......Page 525
14.5 A Focus on Plastics......Page 528
14.6 Sustainable Development and CE......Page 529
14.7 Complementary Actions Drawn From Mistakes and Ancient Wisdom for a Full-circle Purpose: Bottled Water and Tea......Page 530
14.8 Background......Page 532
14.9.1 Bottle-to-Bottle Recycling......Page 534
14.9.2 Bio-based Polymers......Page 535
14.9.3 Innovations in Progress......Page 537
14.10 Concluding Remarks......Page 538
References......Page 539
Legislation......Page 540
15.1.1 Alcoholic Beverage......Page 542
15.1.2 Nonalcoholic Beverage......Page 543
15.1.3 Fruit Pulp Extraction, Preservation, and Related Issues......Page 544
15.1.4 Various Processing or Preservation Techniques Used for Beverages......Page 545
15.2.1 Membrane......Page 546
15.2.4 Transport Mechanisms and Performance Parameters......Page 547
15.2.6 Membrane Modules......Page 550
15.3.1 Comparison of Conventional Methods Over Membrane Methods......Page 552
15.3.2 Financial Viability and Profitability Analysis of Membrane Processes......Page 558
15.4.1.1 Fruit Juice......Page 562
Apple Juice......Page 563
Orange Juice......Page 564
Sugarcane Juice......Page 566
Pineapple Juice......Page 567
Banana Juice......Page 568
Other Juice......Page 569
15.4.1.2 Vegetables Juice......Page 571
15.4.1.3 Tea and Coffee......Page 573
15.4.2 Alcoholic Beverages......Page 578
15.5 Future Scope......Page 579
References......Page 581
Index......Page 586
Back Cover......Page 596

Citation preview

PROCESSING AND S U S TA I N A B I L I T Y O F BEVERAGES

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PROCESSING AND S U S TA I N A B I L I T Y O F BEVERAGES Volume 2: The Science of Beverages Edited by

ALEXANDRU MIHAI GRUMEZESCU ALINA MARIA HOLBAN

An imprint of Elsevier

Woodhead Publishing is an imprint of Elsevier The Officers’ Mess Business Centre, Royston Road, Duxford, CB22 4QH, United Kingdom 50 Hampshire Street, 5th Floor, Cambridge, MA 02139, United States The Boulevard, Langford Lane, Kidlington, OX5 1GB, United Kingdom © 2019 Elsevier Inc. All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval system, without permission in writing from the publisher. Details on how to seek permission, further information about the Publisher’s permissions policies and our arrangements with organizations such as the Copyright Clearance Center and the Copyright Licensing Agency, can be found at our website: www.elsevier.com/permissions. This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as may be noted herein). Notices Knowledge and best practice in this field are constantly changing. As new research and experience broaden our understanding, changes in research methods, professional practices, or medical treatment may become necessary. Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any information, methods, compounds, or experiments described herein. In using such information or methods they should be mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility. To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume any liability for any injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or from any use or operation of any methods, products, instructions, or ideas contained in the material herein. Library of Congress Cataloging-in-Publication Data A catalog record for this book is available from the Library of Congress British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library ISBN: 978-0-12-815259-1 (print) ISBN: 978-0-12-815699-5 (online) For information on all Woodhead publications visit our website at https://www.elsevier.com/books-and-journals

Publisher: Andre Gerhard Wolff Acquisition Editor: Patricia Osborn Editorial Project Manager: Jaclyn Truesdell Production Project Manager: Sojan P. Pazhayattil Cover Designer: Matthew Limbert Typeset by SPi Global, India

CONTENTS Contributors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii Series Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvii Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxi

Chapter 1 Adding Sustainability to the Beverage Industry Through Nature-Based Wastewater Treatment . . . . . . . . . . . . . . . . . . . . 1 Dolores Hidalgo, Jesús M. Martín-Marroquín 1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1.2 Environmental Problem Targeted . . . . . . . . . . . . . . . . . . . . . . . . . . 2 1.3 Water Use and Disposal in the Beverage Industry . . . . . . . . . . . . 7 1.4 Adding Sustainability to the Beverage Industry . . . . . . . . . . . . . 10 1.5 Traditional Beverage Wastewater Treatment . . . . . . . . . . . . . . . . 14 1.6 Natural Treatment of Wastewater . . . . . . . . . . . . . . . . . . . . . . . . . 17 1.7 Technologies Associated With Natural Wastewater Treatment in the Beverage Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 1.8 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Chapter 2 Alcoholic Beverages: Current Situation and Generalities of Anthropological Interest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Arianna Núñez-Caraballo, José D. García-García, Anna Ilyina, Adriana C. Flores-Gallegos, L. Georgina Michelena-Álvarez, Gerardo Rodríguez-Cutiño, José L. Martínez-Hernández, Cristóbal Noe Aguilar 2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 2.2 Production of Alcoholic Beverages . . . . . . . . . . . . . . . . . . . . . . . . 40 2.3 Regulations of Alcoholic Beverages . . . . . . . . . . . . . . . . . . . . . . . 46 v

vi  CONTENTS

2.4 2.5 2.6

Market of Alcoholic Beverages . . . . . . . . . . . . . . . . . . . . . . . . . . . Anthropology of Alcoholic Beverages . . . . . . . . . . . . . . . . . . . . . Implications in Human Health for the of Consumption Alcoholic Beverages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.7 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

53 57 60 65 66 72

Chapter 3 Sustainable Business Models in Beverages Industry Networks: The Case Study of an Italian Breweries Network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 Paola De Bernardi, Francesca Culasso, Pierantonio Bertero 3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 3.2 Craft Breweries Industry and Italian NC Overview . . . . . . . . . . . 75 3.3 The Theoretical Background: BM, BMI, and Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 3.4 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89 3.5 Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 3.6 Discussion and Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

Chapter 4 The Sustainability of Mexican Traditional Beverage Sotol: Ecological, Historical, and Technical Issues. . . . . . . 103 M. Humberto Reyes-Valdés, Roberto Palacios, Erika Nohemi Rivas-Martínez, Armando Robledo-Olivo, Adriana Antonio-Bautista, Carlos Manuel Valdés-Dávila, José Ángel Villarreal-Quintanilla, Adalberto Benavides-Mendoza 4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 4.2 The Genus Dasylirion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104 4.3 The Sotol in Prehispanic Times and During the Spanish Colony . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107

CONTENTS  vii

4.4 Current Importance of Sotol . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5 Natural History of Dasylirion spp. . . . . . . . . . . . . . . . . . . . . . . . . 4.6 Ecological Impact of Sotol Production . . . . . . . . . . . . . . . . . . . . 4.7 Preparation Process of Sotol Beverage . . . . . . . . . . . . . . . . . . . 4.8 Issues and Perspectives on Sotol . . . . . . . . . . . . . . . . . . . . . . . . 4.9 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

112 114 120 122 128 132 132

Chapter 5 Quality Improvement and New Product Development in the Hibiscus Beverage Industry. . . . . . . . . . . . . . . . . . . . . . 139 Maria João P. Monteiro, Ana Isabel A. Costa, Keith I. Tomlins, Manuela E. Pintado 5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2 Hibiscus Calyces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.3 Hibiscus Beverages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.4 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

139 141 148 176 177 177

Chapter 6 Tradition and Innovation Within the Wine Sector: How a Strong Combination Could Increase the Company’s Competitive Advantage. . . . . . . . . . . . . . . . . . . . . 185 Margherita Stupino, Elisa Giacosa, Massimo Pollifroni 6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2 Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4 Case Study: Enosis Meraviglia . . . . . . . . . . . . . . . . . . . . . . . . . . 6.5 Discussion and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.6 Implications and Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

185 186 188 189 194 199 200 204

viii  CONTENTS

Chapter 7 UV-C Light for Processing Beverages: Principles, Applications, and Future Trends. . . . . . . . . . . . . . . . . . . . . . . . 205 O.T. Antonio-Gutiérrez, A.S. López-Díaz, A. López-Malo, E. Palou, N. Ramírez-Corona 7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.2 Beverage Deterioration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.3 Preservation of Beverages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.4 UV-C Irradiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.5 Application of UV-C Irradiation in Fruit Juices . . . . . . . . . . . . . . 7.6 UV-C Equipment Design for Beverage Processing . . . . . . . . . . 7.7 Combination of UV-C Irradiation With Other Technologies . . . . 7.8 Current and Future Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

205 207 207 210 216 221 224 227 229

Chapter 8 Pectinases: Production and Applications for Fruit Juice Beverages. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235 Anand Nighojkar, Mukesh K. Patidar, Sadhana Nighojkar 8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.2 Pectin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.3 Pectic Enzymes and Their Classification . . . . . . . . . . . . . . . . . . . 8.4 Production System for Pectinases . . . . . . . . . . . . . . . . . . . . . . . . 8.5 Pectinolytic Microorganisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.6 SSF Process Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.7 Bioreactor Employed for Pectinolytic Enzyme Production Using SSF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.8 Industrial Applications of Pectic Enzymes . . . . . . . . . . . . . . . . . 8.9 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

235 236 242 244 245 248 256 257 263 263 264 273

CONTENTS  ix

Chapter 9 In Situ Analysis Devices for Estimating the Environmental Footprint in Beverages Industry. . . . . . . . . . 275 N. Jornet-Martínez, S. Bocanegra-Rodríguez, R.A. González-Fuenzalida, C. Molins-Legua, P. Campíns-Falcó 9.1 Environmental Footprint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.2 Compounds Involved in the Estimation of the Categories of the EF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.3 In Situ Analysis Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 In Situ Devices to Control the EF During the Direct Industrial Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.5 Example of the Use of In Situ Devices for Monitoring the EF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.6 Assessment of the Performance for a Given Analytical Method Regarding Environmental Impact and Other Related Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.7 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

275 277 282 284 303

304 310 312 312 317

Chapter 10 Hydrodynamic Cavitation Technologies: A Pathway to More Sustainable, Healthier Beverages, and Food Supply Chains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319 Lorenzo Albanese, Francesco Meneguzzo 10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2 Growth and Sustainability: Scientific Background . . . . . . . . . . 10.3 Sustainability of Food Supply Chains . . . . . . . . . . . . . . . . . . . . . 10.4 Basics and Implementation of Controlled HC . . . . . . . . . . . . . . 10.5 Contribution of HC Technologies to the Sustainability of Food Supply Chains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.6 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

319 321 332 341 345 360

x  CONTENTS

Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362 Declaration of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362

Chapter 11 Influence of Processing on Rheological and Textural Characteristics of Goat and Sheep Milk Beverages and Methods of Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373 Vanessa Bonfim da Silva, Marion Pereira da Costa 11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.2 Goat and Sheep Milk: Characteristics and Peculiarities . . . . . . 11.3 Impact of Technological Processing . . . . . . . . . . . . . . . . . . . . . . 11.4 Rheological and Textural Characteristics of Goat and Sheep Milk Beverages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.5 Rheology and Texture in Food: The Methods of Analysis . . . . . 11.6 Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.7 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Acknowledgment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

373 376 378 387 400 402 403 404 405 412

Chapter 12 Effect of Novel Food Processing Technologies on Beverage Antioxidants. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413 Gulay Ozkan, Burcu Guldiken, Esra Capanoglu 12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.2 Novel Food Processing Technologies . . . . . . . . . . . . . . . . . . . . . 12.3 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

413 414 440 440

Chapter 13 Valorization of Residues From Beverage Production. . . . . . 451 Sigrid Kusch-Brandt, Jan Mumme, Ossanna Nashalian, Francesca Girotto, Maria Cristina Lavagnolo, Chibuike Udenigwe 13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 451

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13.2 Characteristics of By-Products and Waste From Beverage Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.3 Pathways to Valorize Bioresidues . . . . . . . . . . . . . . . . . . . . . . . . 13.4 Energetic Valorization of Bioresidues . . . . . . . . . . . . . . . . . . . . . 13.5 Biochar From Residues of Beverage Production . . . . . . . . . . . . 13.6 Bioresidues From Beverage Production as Potential Sources of Bioactive Molecules: Recovery and Use of Bioactive Ingredients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.7 Packaging Waste . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.8 Summary and Outlook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

453 458 462 469

472 479 483 485

Chapter 14 Law and Science Make a Common Effort to Enact a Zero Waste Strategy for Beverages. . . . . . . . . . . . . . . . . . . 495 Lara Fornabaios, Margherita Paola Poto, Marta Fornabaio, Federica Sordo 14.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 495 Part I: Legal Actions Toward the Circular Economy . . . . . . . . . . . . . . . 496 14.2 14.3 14.4 14.5 14.6 14.7

The Legal Circle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The EU Action Plan for the CE . . . . . . . . . . . . . . . . . . . . . . . . . . . The Proposal on Packaging and Packaging Waste . . . . . . . . . . . A Focus on Plastics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sustainable Development and CE . . . . . . . . . . . . . . . . . . . . . . . . Complementary Actions Drawn From Mistakes and Ancient Wisdom for a Full-circle Purpose: Bottled Water and Tea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

496 498 500 503 504

505

Part II: Research and Innovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507 14.8 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.9 Innovations for Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.10 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

507 509 513 514

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Chapter 15 Processing of Beverages by Membranes. . . . . . . . . . . . . . . . 517 Amit Jain, Sirshendu De 15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.2 Membrane System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.3 Membrane Separation Technology . . . . . . . . . . . . . . . . . . . . . . . 15.4 Importance of Membrane-Based Separation Method in the Beverage Industries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.5 Future Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

517 521 527 537 554 556

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 561

CONTRIBUTORS Cristóbal Noe Aguilar  Food Research Department, School of Chemistry, Universidad Autónoma de Coahuila, Saltillo, México Lorenzo Albanese  Institute of Biometeorology, National Research Council, Florence, Italy Adriana Antonio-Bautista  Departamento de Fitomejoramiento, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México O.T. Antonio-Gutiérrez  Departamento de Ingeniería Química y Alimentos, Universidad de las Américas Puebla, San Andrés Cholula, Puebla, México Adalberto Benavides-Mendoza  Departamento de Horticultura, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México Pierantonio Bertero  Department of Management, University of Turin, Turin, Italy S. Bocanegra-Rodríguez  MINTOTA Research Group, Department of Analytical Chemistry, Faculty of Chemistry, University of Valencia, Burjassot, Spain P. Campíns-Falcó  MINTOTA Research Group, Department of Analytical Chemistry, Faculty of Chemistry, University of Valencia, Burjassot, Spain Esra Capanoglu  Department of Food Engineering, Faculty of Chemical and Metallurgical Engineering, Istanbul Technical University, Istanbul, Turkey Ana Isabel A. Costa  Centro de Biotecnologia e Química Fina— Laboratório Associado, Universidade Católica Portuguesa, Porto; Católica Lisbon School of Business & Economics, Universidade Católica Portuguesa, Lisboa, Portugal Francesca Culasso  Department of Management, University of Turin, Turin, Italy Marion Pereira da Costa  Program in Animal Science of the Tropics; Department of Preventive Veterinary Medicine and Animal Production, Escola de Medicina Veterinária e Zootecnia, Universidade Federal da Bahia, Salvador, Brazil Vanessa Bonfim da Silva  Program in Animal Science of the Tropics, Escola de Medicina Veterinária e Zootecnia, Universidade Federal da Bahia, Salvador, Brazil

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Sirshendu De  Department of Chemical Engineering, Indian Institute of Technology, Kharagpur, India Paola De Bernardi  Department of Management, University of Turin, Turin, Italy Adriana C. Flores-Gallegos  Food Research Department, School of Chemistry, Universidad Autónoma de Coahuila, Saltillo, México Marta Fornabaio  Ecole Polytechnique Federale de Lausanne, Lausanne, Switzerland Lara Fornabaios  University of Ferrara, Ferrara, Italy José D. García-García  Department of NanoBioscience, School of Chemistry, Universidad Autónoma de Coahuila, Saltillo, México L. Georgina Michelena-Álvarez  Instituto Cubano de las Investigaciones de los Derivados de la caña de azúcar, La Habana, Cuba Elisa Giacosa  Department of Management, University of Turin, Turin, Italy Francesca Girotto  Industrial Engineering, University of Padua, Padua, Italy R.A. González-Fuenzalida  MINTOTA Research Group, Department of Analytical Chemistry, Faculty of Chemistry, University of Valencia, Burjassot, Spain Burcu Guldiken  Department of Food Engineering, Faculty of Chemical and Metallurgical Engineering, Istanbul Technical University, Istanbul, Turkey Dolores Hidalgo  CARTIF Technology Center, Valladolid, Spain M. Humberto Reyes-Valdés  Departamento de Fitomejoramiento, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México Anna Iliná  Department of NanoBioscience, School of Chemistry, Universidad Autónoma de Coahuila, Saltillo, México Amit Jain  Department of Chemical Engineering, Indian Institute of Technology, Kharagpur, India N. Jornet-Martínez  MINTOTA Research Group, Department of Analytical Chemistry, Faculty of Chemistry, University of Valencia, Burjassot, Spain Sigrid Kusch-Brandt  Civil, Environmental and Architectural Engineering, University of Padua, Padua, Italy; Engineering and the Environment, University of Southampton, Southampton, United Kingdom Maria Cristina Lavagnolo  Industrial Engineering, University of Padua, Padua, Italy

Contributors  xv

A.S. López-Díaz  Departamento de Ingeniería Química y Alimentos, Universidad de las Américas Puebla, San Andrés Cholula, Puebla, México A. López-Malo  Departamento de Ingeniería Química y Alimentos, Universidad de las Américas Puebla, San Andrés Cholula, Puebla, México José L. Martínez-Hernández  Department of NanoBioscience, School of Chemistry, Universidad Autónoma de Coahuila, Saltillo, México Jesús M. Martín-Marroquín  CARTIF Technology Center, Valladolid, Spain Francesco Meneguzzo  Institute of Biometeorology, National Research Council, Florence, Italy C. Molins-Legua  MINTOTA Research Group, Department of Analytical Chemistry, Faculty of Chemistry, University of Valencia, Burjassot, Spain Maria João P. Monteiro  Centro de Biotecnologia e Química Fina— Laboratório Associado, Universidade Católica Portuguesa, Porto, Portugal Jan Mumme  UK Biochar Research Centre, University of Edinburgh, Edinburgh, United Kingdom Ossanna Nashalian  School of Nutrition Sciences, University of Ottawa, Ottawa, ON, Canada Anand Nighojkar  Maharaja Ranjit Singh College of Professional Sciences, Indore, India Sadhana Nighojkar  Mata Gujri College of Professional Studies, Indore, India Arianna Núñez-Caraballo  Department of NanoBioscience, School of Chemistry, Universidad Autónoma de Coahuila, Saltillo, México Gulay Ozkan  Department of Food Engineering, Faculty of Chemical and Metallurgical Engineering, Istanbul Technical University, Istanbul, Turkey Roberto Palacios  Destiladora La Tradición de la Familia SPR de RS, Saltillo, Coahuila, México E. Palou  Departamento de Ingeniería Química y Alimentos, Universidad de las Américas Puebla, San Andrés Cholula, Puebla, México Mukesh K. Patidar  Maharaja Ranjit Singh College of Professional Sciences, Indore, India Manuela E. Pintado  Centro de Biotecnologia e Química Fina—Laboratório Associado, Universidade Católica Portuguesa, Porto, Portugal

xvi  Contributors

Massimo Pollifroni  Department of Management, University of Turin, Turin, Italy Margherita Paola Poto  K.G. Jebsen Centre for the Law of the Sea, UiT, Tromsø, Norway; Department of Management, University of Turin, Turin, Italy N. Ramírez-Corona  Departamento de Ingeniería Química y Alimentos, Universidad de las Américas Puebla, San Andrés Cholula, Puebla, México Erika Nohemi Rivas-Martínez  Departamento de Botánica, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México Armando Robledo-Olivo  Departamento de Ciencia y Tecnología de Alimentos, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México Gerardo Rodríguez-Cutiño  Department of NanoBioscience, School of Chemistry, Universidad Autónoma de Coahuila, Saltillo, México Federica Sordo  Ecole Polytechnique Federale de Lausanne, Lausanne, Switzerland Margherita Stupino  Department of Management, University of Turin, Turin, Italy Keith I. Tomlins  Natural Resources Institute, University of Greenwich, Kent, United Kingdom Chibuike Udenigwe  School of Nutrition Sciences, University of Ottawa, Ottawa, ON, Canada Carlos Manuel Valdés-Dávila  Escuela de Ciencias Sociales, Universidad Autónoma de Coahuila, Saltillo, Coahuila, México José Ángel Villarreal-Quintanilla  Departamento de Botánica, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México

SERIES PREFACE Food and beverage industry accounts among the most developed sectors, being constantly changing. Even though a basic beverage industry could be found in every area of the globe, particular aspects in beverage production, processing, and consumption are identified in some geographic zones. An impressive progress has recently been observed in both traditional and modern beverage industries and these advances are leading beverages to a new era. Along with the cutting-edge technologies, developed to bring innovation and improve beverage industry, some other human-related changes also have a great impact on the development of such products. Emerging diseases with a high prevalence in the present, as well as a completely different lifestyle of the population in recent years have led to particular needs and preferences in terms of food and beverages. Advances in the production and processing of beverages have allowed for the development of personalized products to serve for a better health of overall population or for a particular class of individuals. Also, recent advances in the management of beverages offer the possibility to decrease any side effects associated with such an important industry, such as decreased pollution rates and improved recycling of all materials involved in beverage design and processing, while providing better quality products. Beverages engineering has emerged in such way that we are now able to obtain specifically designed content beverages, such as nutritive products for children, decreased sugar content juices, energy drinks, and beverages with additionally added health-promoting factors. However, with the immense development of beverage processing technologies and because of their wide versatility, numerous products with questionable quality and unknown health impact have been also produced. Such products, despite their damaging health effect, gained a great success in particular population groups (i.e., children) because of some attractive properties, such as taste, smell, and color. Nonetheless, engineering offered the possibility to obtain not only the innovative beverages but also packaging materials and contamination sensors useful in food and beverages quality and security sectors. Smart materials able to detect contamination or temperature differences which could impact food quality and even pose a hazardous situation for the consumer were recently developed and some are already utilized in packaging and food preservation.

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This 20-volume series has emerged from the need to reveal the current situation in beverage industry and to highlight the progress of the last years, bringing together most recent technological innovations while discussing present and future trends. The series aims to increase awareness of the great variety of new tools developed for traditional and modern beverage products and also to discuss their potential health effects. All volumes are clearly illustrated and contain chapters contributed by highly reputed authors, working in the field of beverage science, engineering, or biotechnology. Manuscripts are designed to provide necessary basic information in order to understand specific processes and novel technologies presented within the thematic volumes. Volume 1, entitled Production and management of beverages, offers a recent perspective regarding the production of main types of alcoholic and nonalcoholic beverages. Current management approaches in traditional and industrial beverages are also dissected within this volume. In Volume 2, Processing and sustainability of beverages, novel information regarding the processing technologies and perspectives for a sustainable beverage industry are given. Third volume, entitled Engineering tools in beverage industry dissects the newest advances made in beverage engineering, highlighting cutting-edge tools and recently developed processes to obtain modern and improved beverages. Volume 4 presents updated information regarding Bottled and packaged waters. In this volume are discussed some wide interest problems, such as drinking water processing and security, contaminants, pollution and quality control of bottled waters, and advances made to obtain innovative water packaging. Volume 5, Fermented beverages, deals with the description of traditional and recent technologies utilized in the industry of fermented beverages, highlighting the high impact of such products on consumer health. Because of their great beneficial effects, fermented products still represent an important industrial and research domain. Volume 6 discusses recent progress in the industry of Nonalcoholic beverages. Teas and functional nonalcoholic beverages, as well as their impact on current beverage industry and traditional medicine are discussed. In Volume 7, entitled Alcoholic beverages, recent tools and technologies in the manufacturing of alcoholic drinks are presented. Updated information is given about traditional and industrial spirits production and examples of current technologies in wine and beer industry are dissected. Volume 8 deals with recent progress made in the field of Caffeinated and cocoa-based beverages. This volume presents the great variety of

Series Preface   xix

such popular products and offer new information regarding recent technologies, safety, and quality aspects as well as their impact on health. Also, recent data regarding the molecular technologies and genetic aspects in coffee useful for the development of high-quality raw materials could be found here. In Volume 9, entitled Milk-based beverages, current status, developments, and consumers trends in milk-related products are discussed. Milk-based products represent an important industry and tools are constantly been developed to fit the versatile preferences of consumers and also nutritional and medical needs. Volume 10, Sports and energy drinks, deals with the recent advances and health impact of sports and energy beverages, which became a flourishing industry in the recent years. In Volume 11, main novelties in the field of Functional and medicinal beverages, as well as perspective of their use for future personalized medicine are given. Volume 12 gives an updated overview regarding Nutrients in beverages. Types, production, intake, and health impact of nutrients in various beverage formulations are dissected through this volume. In Volume 13, advances in the field of Natural beverages are provided, along with their great variety, impact on consumer health, and current and future beverage industry developments. Volume 14, Value-added Ingredients and enrichments of beverages, talks about a relatively recently developed field which is currently widely investigated, namely the food and beverage enrichments. Novel technologies of extraction and production of enrichments, their variety, as well as their impact on product quality and consumers effects are dissected here. Volume 15, Preservatives and preservation approaches in beverages, offer a wide perspective regarding conventional and innovative preservation methods in beverages, as well as main preservatives developed in recent years. In Volume 16, Trends in beverage packaging, the most recent advances in the design of beverage packaging and novel materials designed to promote the content quality and freshness are presented. Volume 17 is entitled Quality control in beverage industry. In this volume are discussed the newest tools and approaches in quality monitoring and product development in order to obtain advanced beverages. Volume 18, Safety issues in beverage production, presents general aspects in safety control of beverages. Here, the readers can find not only the updated information regarding contaminants and risk factors in beverage production, but also novel tools for accurate detection and control.

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Volume 19, Biotechnological progress and beverage consumption, reveals novel tools used for advanced biotechnology in beverage industry production. Finally, Volume 20 entitled Nanoengineering in beverage industry take the readers into the nanotechnology world, while highlighting important progress made in the field of nanosized materials science aiming to obtain tools for a future beverage industry. This 20-volume series is intended especially for researchers in the field of food and beverages, and also biotechnologists, industrial representatives interested in innovation, academic staff and students in food science, engineering, biology, and chemistry-related fields, pharmacology and medicine, and is a useful and updated resource for any reader interested to find the basics and recent innovations in the most investigated fields in beverage engineering.

Alexandru Mihai Grumezescu Alina Maria Holban

PREFACE In Beverage science, novel processing approaches are intensively investigated and are of great importance for the development of a sustainable industry. Not only the quality improvement, tradition, and innovation, but also the regulatory aspects play a great role in the development of new products that have good resistance to changes in the market. The purpose of this book is to offer an updated collection of papers dealing with the current situation and future trends in beverage processing and sustainability. This volume contains 15 chapters prepared by outstanding authors from Spain, México, Italy, Portugal, India, Brazil, and Turkey. The selected manuscripts are clearly illustrated and contain accessible information for a wide audience, especially food and beverage scientists, engineers, biotechnologists, biochemists, industrial companies, students, and also any reader interested in learning about the most interesting and recent advances in the field of beverage science. Chapter 1, Adding Sustainability to the Beverage Industry Through Nature-Based Wastewater Treatment, by Dolores Hidalgo et al., shows the feasibility of traditional and nature-based in situ treatment processes for beverage effluents addressing the environmental problems associated with its management and providing the relevant socioeconomic and environmental values. Chapter 2, Alcoholic Beverages: Current Situation and Generalities of Anthropological Interest, by Arianna Núñez-Caraballo et  al., discusses different aspects related to a sustainable alcoholic beverage industry. This chapter presents the relationship of these drinks with anthropology as they are the articulating elements, since they allow global cultural analysis through the social and symbolic expressions that occur from their collective uses. The aspects related to the regulation and market of these drinks and the relationship with consumer is also presented. Chapter  3, Sustainable Business Models in Beverages Industry Networks. The Case Study of an Italian Breweries Network, by Pierantonio Bertero et al., analyzes a sustainable business model implemented by a network of Italian breweries with the aim of identifying its elements and drivers of success and explaining how and whether it can contribute to the sustainability of the related context. Chapter 4, The Sustainability of Mexican Traditional Beverage Sotol: Ecological, Historical, and Technical Issues, by M. Humberto ReyesValdés et al., describes the technological process of ­transformation of

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the crown biomass into the distilled beverage, the topic of the Sotol designation of origin, as well as its characteristics regarding its composition and nutritional value. Presently, several Dasylirion species have an increasing economic importance for the manufacture of the distilled beverage called Sotol, which is consumed in Mexico and exported to other countries. Finally, research needs are mentioned in the context of the covered topics. Chapter 5, Quality Improvement and New Product Development in the Hibiscus Beverage Industry, by Maria João P. Monteiro et al., summarizes and discusses the extant research on Hibiscus sabdariffa var. sabdariffa ruber calyx and extract production, the phytochemical and chemical-sensory properties of hibiscus extracts, the sensory characterization of hibiscus beverages, and consumer acceptance of such products in different countries. Chapter 6, Tradition and Innovation Within the Wine Sector: How a Strong Combination Could Increase the Company’s Competitive Advantage, by Margherita Stupino et al., aims to study the effects of an external innovation strategy on a winery company with particular emphasis on both the synergies and benefits of an innovation strategy focused on products and processes. To reach this purpose authors have used a qualitative method and in particular, a case study. The case study is relevant as it indicates that the recourse of external innovation in the wine industry could represent a strategic path for enhancing innovativeness and competitiveness. Chapter  7, UV-C Light for Processing Beverages: Principles, Applications, and Future Trends, by O.T. Antonio-Gutiérrez et al., provides updated information regarding the use of UV-C light in the beverage industry; including a review of conventional and novel methods for preservation of liquid products, including thermal and nonthermal technologies. In this chapter basic principles of UV-C light and associated technologies, required UV-C doses, food-borne microbial inactivation kinetics, and UV-C equipment design are also presented, and the efficacy of UV-C light in combination with other thermal and nonthermal technologies is discussed. The present status and future trends in beverages processing (fruit juices, nectars, soft drinks, beers, and wines) with UV-C light is also included in this chapter. Chapter  8 entitled, Pectinases: Production and Applications for Fruit Juice Beverages, by Anand Nighojkar et al., contemplates on the pectin structure, the hydrolyzing enzymes, their sources, production and their application in the beverage industry. The purified or partially purified polygalacturonase and pectin methylesterase, or bioreactors have been employed for clarification of various fruit juices in solutions. The pectinases are an important biochemical tool for fruit liquefaction, pressing, clarification, and production of clear concentrated fruit juices.

Preface  xxiii

Chapter 9, In Situ Analysis Devices for Estimating the Environmental Footprint in Beverages Industry, by N. Jornet-Martínez et al., exposes the need to calculate the environmental footprint which could mean the integration of sustainability in differentiation strategies for beverage industries. The parameters for estimating the footprint are outlined and discussed within the chapter. The main negative impacts are related to water pollution, atmospheric pollution, and solid waste. Chapter  10, Hydrodynamic Cavitation Technologies: A Pathway to More Sustainable, Healthier Beverages and Food Supply Chains, by Lorenzo Albanese et al., dissects the applications of technologies based on controlled hydrodynamic cavitation (HC) processes of enhancing energy efficiency and yield of industrial processes dealing with liquid substances in the beverage science field. Large benefits are expected for the beverage industry, where HC processes can achieve fine crushing of solid particles, food-grade microbiological safety, homogenization, removal of undesired volatility, and extraction of bioactive compounds at a fraction of the current cost. Chapter  11, Influence of Processing on Rheological and Textural Characteristics of Goat and Sheep Milk Beverages and Methods of Analysis, by Vanessa Bonfim da Silva et al., aims to present the most relevant aspects and concerns of the rheological and textural characteristic in goat and sheep milk and their derived beverages and approaching the influence of food process on these characteristics, as well as the methods of analysis for a sustainable sheep milk industry. Chapter  12, Effect of Novel Food Processing Technologies on Beverage Antioxidants, by Gülay Özkan, reviews the antioxidant activities/capacities of nonalcoholic beverages including milk, fruit, vegetable, cereal, etc. based drinks and focuses on the effect of novel processing techniques on the antioxidant properties of these beverages. Additionally, this chapter also provides information on the application of novel technologies on beverage-type foods. Chapter  13, Valorization of Residues From Beverage Production, by Sigrid Kusch-Brandt, discusses value-added utilization of residues (by-products and waste) from the industrial production of beverages. The occurrence of by-products and wastes and their key characteristics are addressed within this chapter. The assessment reveals that at least 60 million metric tons of bioresidues and likely more than 100 million metric tons occur each year during the industrial processing of agricultural products into beverages. A wide variety of valorization options exist. The approaches that make use of whole material streams and approaches that target the recuperation of specific components with potentially high market value are presented. These include energetic valorization via anaerobic digestion (biogas, biohydrogen) or other routes, biochar production, the recovery and use of bioactive molecules, and also packaging.

xxiv  Preface

Chapter  14, Law and Science Make a Common Effort to Enact a Zero Waste Strategy for Beverages, by Lara Fornabaio et al., depicts the legal attempts and recent trends that the packaging specialists have been developing in order to pursue the objective of carbon footprint reduction and of a long-term production tending to a zero waste strategy. Several new environmental-friendly initiatives have been flourishing on the food market worldwide in order to reduce the amount of carbon footprints and the devastating impacts of food packaging on the environment. Chapter 15, Processing of Beverages by Membranes, by Amit Jain, discusses the evolution of membrane technology in beverage processing, scope, potential of application, and future prospective. The membrane separation has emerged as an important technology and enjoys a variety of advantages over conventional separation techniques employed by the industries. With regard to food and beverage processing, membrane technologies score higher than other alternatives due to (i) low energy consumption, (ii) no involvement of phase change, and (iii) no need to add chemicals. Hence, use of membrane as separation media and its use in the clarification applications have attracted the attention of scientists and engineers. Alexandru Mihai Grumezescu University Politehnica of Bucharest, Bucharest, Romania Alina Maria Holban Faculty of Biology, University of Bucharest, Bucharest, Romania

ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY THROUGH NATURE-BASED WASTEWATER TREATMENT

1

Dolores Hidalgo, Jesús M. Martín-Marroquín CARTIF Technology Center, Valladolid, Spain

1.1 Introduction Although wastewater composition varies from one facility to the other in the beverage industry, what these streams have in common is pollutant constituents and their potential negative effects on human and on aquatic and terrestrial ecosystems. These effluents presents several risks to the environment and human health as they affect the present and future quality of water bodies due to the uncontrolled infiltration or voluntary direct discharge. The organic loading can cause a high depletion of dissolved oxygen in the receiving body of water through biochemical oxygen demand, which impacts a variety of larger organisms such as fish. Level of dissolved oxygen below 2 mg/L reduces cell functioning, disrupts circulatory fluid balance in aquatic species, and can cause their death. Nutrients such as nitrogen and phosphorus contents also cause water quality issues. If the nutrient in the wastewater is discharged directly into a water body without processing, it could potentially cause eutrophication, leading to a decrease in the diversity of the fauna and death of animal life over time. Inorganic compounds also result in increase of conductivity and salinity of the water and soil. When their level in water changes, it can be detrimental to aquatic life and can cause decrease in biodiversity in the affected area. High salinity also negatively affects the agriculture and infrastructure by creating unhealthy vegetation. Xenobiotic organic compounds as pesticides or fungicides are toxic to humans and ecotoxic and can cause serious illnesses. Therefore, control and treatment of liquid effluents is one of the biggest environmental issues in the beverage industry. Processing and Sustainability of Beverages. https://doi.org/10.1016/B978-0-12-815259-1.00001-X © 2019 Elsevier Inc. All rights reserved.

1

2  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

Direct discharge of beverage effluents into watercourses, although existing, is a forbidden practice today. Small beverage processing facilities usually do not have in situ treatment plants and they transport their effluents to sewer systems or municipal wastewater treatment plants, mixing them with the municipal waste streams. However, due to its high organic and ammonium concentrations, these streams cause problems due to extra loading in the biological sewage treatment plant. As consequence, the treatment plant needs excess energy, chemical addition, and more demanding operational skills to comply with the effluent limits. Sometimes this wastewater transfer causes the treatment plant overloading in certain periods of the year, thus, avoiding its correct operation. Bigger facilities usually pretreat their effluents by aerobic digestion, reducing the nutrient and organic loading before sending them to a municipal treatment plant for polishing. Furthermore, this aerobic treatment generates large amounts of sludge that is usually managed as a waste. The most common sludge disposal option in these cases is landfilling. This sludge landfilling has clear negative environmental aspects: it is an inefficient way to use organic feedstocks-wasting resources, reducing nutrients valorization possibilities, and potentially increasing greenhouse gas emissions. As the European Union (EU) focuses on mitigating and preventing the consequences of global climate change there is a heightened awareness of the significant impact of landfill-generated methane emissions. This recognition is increasing the importance of recovering organics through composting, anaerobic digestion, or other emerging methods, since it is the organics that are buried in landfills that are the source of this methane. This chapter presents the feasibility of nature-based in situ treatment processes for beverage effluents addressing the environmental problems associated with its management and providing the relevant socioeconomic and environmental values.

1.2  Environmental Problem Targeted The beverage industry includes two major categories: (1) the nonalcoholic category comprising soft drink and water bottling and canning, soft drink syrup manufacture, fruit juices bottling, canning and boxing, the coffee and the tea industry, and (2) the alcoholic beverage categories including distilled spirits, wine, and brewing. This industry encompasses the harvesting of raw materials, the processing, packaging, transport, and distribution of the final products to consumers (Franson, 2013). Between these different sectors there is a great variation in water consumption and wastewater generation. The same is observed even

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   3

for the manufacturing of the same product from different industrial units. Despite these differences, drink sector requires considerable resources of water and energy and produces waste and wastewater, so, inevitably it has an impact on the environment. The European food and drink industry is responsible for approximately 1.8% of Europe’s total water use. Water is an essential input for the food and drink industry, as an ingredient, as a key processing element, and as a cooling agent in many production processes. Wastewater is the most common waste in the food and drink industry. It is characterized by organic contamination, and is generally biologically treated before discharge (Food Drink Europe (FDE), 2012). Wastewater pollution load depends on numerous parameters, such as the type of product being processed, the equipment and process used, and the cleaning system applied, while the common characteristic is a high organic content in terms of chemical oxygen demand (COD). This fact is reflected in the wastewater treatment technology employed which, in most of the occasions, is biological, with special emphasis on the application of anaerobic digestion processes (Tshuma et al., 2016). The organic load of wastewater is generally easily biodegradable and mainly consists of sugars, soluble starches, ethanol, fatty acids, etc., while heavy metals or pesticides are normally present in very low concentrations (European Commission (EC), 2017a). Table 1.1 illustrates some of the most important parameters for different effluents of beverages facilities. Beverage industry requires enormous amount of fresh water, since water is one of the main ingredients of the products. As a consequence, a significant amount of polluted wastewater is generated during different processes, including drink production, plant wash down, washing bottles, as well as washing general work area. Approximately, 3–4 L of fresh water is required to produce 1 L of soft drink (Gumbo et  al., 2003). Most of the facilities do not reuse the wastewater and consume large quantities of fresh water for each cycle (Haroon et al., 2013). Only cleaning activities supposes almost 50% of the total wastewater generated by this industry (Abdel-Fatah et al., 2016). Caustic soda and sugar are also released along with water as major pollutants (Valta et al., 2015). Beverage industries require large quantities of fresh water for cleaning and rinsing operations. Wasting such a huge quantity of fresh water in the beverage industry has been a debate since many decades. One basic cause of freshwater wastage is the reuse of glass bottles which requires a huge amount of water as a rinsing and cleaning agent before they are refilled (Pasqualino et  al., 2011). The bottle washing causes most of the water consumption. Modern bottle washers need

4  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

Table 1.1  Environmental Parameters of Wastewater from Beverage Production Industries

COD (mg/L) BOD (mg/L) TSS (mg/L) pH (mg/L) Nitrogen (mg/L) Phosphorous (mg/L)

Brewery Brito et al. (2007)

Soft drinks Abrha and Chen (2017) and Chen et al. (2005)

Winery Zoecklein (2011)

Distilled Jiranuntipon (2009)

Juice and nectar Amor et al. (2012), Can (2014), and Ozbas et al. (2006)

2000–6000 1200–3600 200–1000 4.5–12 25–80 10–50

1200–8000 600–4500 0–60 4.3–13 150–300 20–40

500–15,000 300–12,000 10–800 2.5–11.0 1–40 1–40

56,000–194,000 17,000–45,000 5000–24,000 2.3–5.5 40–2200 20–400

1000–125,000 600–85,000 400–3000 3.4–4.1 3–6000 1–95

150–200 mL per bottle; whereas the older one consumes up to 600 mL (Camperos et al., 2004). Beer, for example, is about 95% water in composition; however, the amount of water used to produce and/or clean a container of beer is far greater than the amount of water contained in the beer that is actually packaged and shipped out (Brewers Association, 2016). Beverage container washing is usually conducted for two purposes that is, to remove microorganisms and other chemicals to render the bottles safe for the human health and to clean the bottles for a good presentation of the product by removing the debris, solids, and other pollutants from its surfaces. Different chemicals used for washing bottles include sodium hydroxide, detergent, and chlorine solution. But in general, apart from water the main constituent of beverage industry liquid waste is sugar (Abrha and Chen, 2017). This subclass of carbohydrates is highly biodegradable and is the primary contributor to biodegradable COD, and the aqueous oxygen depletion and eutrophication potential of the waste. The sugars potentially undergo a number of abiotic and biotic reactions such as the formation of carboxylic acid in the presence of oxygen, lactic acid as an intermediate product of the oxidation of sugar, sugar inversion in the presence of H+ ions, and fermentation (in anaerobic environments). The carboxylic acid generated decreases pH of the solution resulting in a very acidic

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   5

postreaction condition. The lactic acid, which is an intermediate product of the above-mentioned reaction, and the acid-based flavors also contribute to the acid conditions of the effluent. The high total solids levels in the effluent are mainly contributed by the pulp from the juice concentrates and coagulation products formed by the destabilization of acid-based flavors and colorants upon addition of the detergents used in cleaning the equipment, which results in the formation of the scum (Laubscher et al., 2001). Substantial reductions in the volume of wastewater generated in this sector can be achieved through waste minimization techniques. There is no simple relationship between the amount of water used in cleaning and hygiene standards, and food safety legislation requirements prevent minimization of water use from causing unsatisfactory levels of cleanliness, hygiene, or product quality. Wastewater flowrates may be very variable on a daily, weekly, or seasonal basis. The wastewater profile is largely dependent on production and cleaning patterns. In some industries, processing takes place on a campaign basis (e.g., wine) and there is little or no wastewater generated for part of the year. Being a diverse industrial sector, the different beverage industries have different environmental issues and challenges. Table  1.2 illustrates data on yearly average concentrations and specific loads for different parameters in the effluent of the wastewater treatment plant (WWTP) by drink industry and type of discharge according to the reference document on best available techniques (BAT) in the food, drink, and milk Industries (European Commission (EC), 2017b). Beverages processing wastewater vary from very acidic, that is, pH 3.5, to very alkaline, that is, pH 11. Factors affecting wastewater pH include: − the natural pH of the raw material; − pH adjustment to prevent raw material deterioration; − use of acid or caustic solutions in processing operations; − use of acid or caustic solutions in cleaning operations; − acidic waste streams; − acid-forming reactions in the wastewater; − nature of raw water source, either hard or soft. Wastewater contains few compounds that individually have an adverse effect on WWTPs or a receiving water body. Possible exceptions include: − salt where large amounts are used; − pesticide residues not readily degraded during treatment; − residues and by-products from the use of chemical disinfection techniques; − some cleaning products.

6  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

Table 1.2  Yearly Average Composition in the Effluents of Some Drink Industries Parameter

Discharge Method

Brewing

Soft Drinks and Nectar/Juice

COD concentration (mg/L)

Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading

16–72 111–5779 NI 4.4–40.2 11–1595 NI NI 50–911 NI NI 14.7–254 NI 3.33–9 200–4000 NI 0.63–4.46 10.9–482.1 NI 3.76–21 1.58–1095 NI 1.05–11.73 4.81–279.2 NI 0.03–1.06 0.7–48.7 NI 0.01–0.088 0.19–4.78 NI 1.5–8.1 26.5–81.5 NI 0.3–2.79 1.05–22.64 NI

6–65 1537–3253 3322 0.7–4 170 390 9–13.7 1094 NI NI NI NI 4–16 376 1437 0.4–15.5 41.5 167 0.05–27.93 29 88 0.008–26.94 NI 10.22 0.1–0.68 0.7 NI 0.01–0.37 NI NI 1.3–3 10 11.7 0.17–2.77 NI 1.36

COD specific load (g/hL product)

TOC concentration (mg/L)

TOC specific load (g/hL product)

BOD5 concentration (mg/L)

BOD5 specific load (g/hL product)

TSS concentration (mg/L)

TSS specific load (g/hL product)

NH4-N concentration (mg/L)

NH4-N specific load (g/hL product)

TN concentration (mg/L)

TN specific load (g/hL product)

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   7

Table 1.2  Yearly Average Composition in the Effluents of Some Drink Industries—cont’d Parameter

Discharge Method

Brewing

Soft Drinks and Nectar/Juice

TP concentration (mg/L)

Direct discharge Indirect discharge Landspreading Direct discharge Indirect discharge Landspreading

0.7–2.11 1.4–89 NI 0.19–0.91 2.25–550 NI

0.4–2.4 18–30 2.14 0.029–1.55 NI 0.24

TP specific load (g/hL product)

COD, chemical oxygen demand; NI, no information provided; TN, total nitrogen; TOC, total organic carbon; TP, total phosphorus; TSS, total suspended solids.

1.3  Water Use and Disposal in the Beverage Industry 1.3.1  The Brewing Industry Beer is an alcoholic drink derived from malted barley that may or may not contain other unmalted cereal grains, and flavored with hops. Sugar may also be added. There are three basic steps in the process: mashing, fermentation, and maturation/conditioning. Fig. 1.1 shows an overview of the brewing production process. Breweries use significant amounts of water and energy and produce wastewater and solid residues, by-products, and waste. The water consumption figure varies depending on the type of beer, the number of beer brands, the size of brews, the existence of a bottle washer, how the beer is packaged and pasteurized, the age of the facility, the system used for cleaning and the type of equipment used. If an on-site well is used, the water may require treatment before use, during which losses of up to 30% may occur. Bottling consumes more water than kegging. Consumption levels are high for once-through cooling systems and/or losses due to evaporation in hot climates. At the end of mash separation, the residual very dilute worts are allowed to freely drain until an acceptable level of brewers’ grains moisture is achieved. After grains discharge, the fines deposited beneath the false floor are removed by a hot water underplate pressure cleaning and the false floor slots are kept unobstructed by an overhead hot water rinsing. These very dilute worts are high in total suspended solids

8  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

Malting Barley is steeped in water, allowed to germinate, then kiln dried.

Water

Hops

Barley / malt Milling The malted barley is crushed and added to the mash tun.

Hammer mills

Mashing Hot water activates enzymes which convert malt starches into fermentable sugars.

The Boil The wort is boiled in a kettle. This is the point where the hops are added.

Mash kettle

Whirlpooling The boiled wort is whirlpooled causing the spent hops (trub) to collect at the bottom for removal.

Cooling The hopped wort is cooled to room temperature and transferred to fermenters.

Cooler

Whirlpool tank

Mash tun

Lauter tun Filtration unit

Packaging

Wort kettle Resting tank

Yeast Fermenting tank

Bottler

O2 Ingredients Process

Packaging The beer can now be placed in bottles or kegs ready to enjoy.

Aging Aging allows the carefully crafted flavors to develop. A process which takes a number of weeks.

Oxygen Used yeast

Fermentation Yeast is added which consumes the sugars producing alcohol, flavors, and carbon dioxide. This process takes days.

Fig. 1.1  Overview of the brewing production process.

(TSS), lipids, and polyphenols and, traditionally, have been considered unacceptable for process reuse and are consequently sent to the WWTP. This loss is significant in terms of water, energy, and extract. Wastewater from the lauter tun is a significant contributor to a brewery’s total wastewater. The pollutant load of the lauter tun wastewater depends on several factors. In terms of water balance, the lower the spent grain moisture content, the greater the wastewater volume. It is advantageous to reduce further the volume of dilute wort drainings, but care is needed not to entrain air or extend the time of wort collection. It is also common practice to apply deep bed raking during the bed drain down to speed up the draining of the residual dilute worts after completion of the wort collection into the kettle. The more aggressively this technique is employed, the more fines pass through to the wastewater. A higher level of retained spent grain after discharge, inevitably results in more fines (COD) being entrapped in the false floor plate and removed by the underplate pressure cleaning and going to the wastewater. To enable the reuse of the wastewater as process water for mashing, the removal of the very fine colloidal size particles from the weak worts is necessary. This can be achieved by centrifugation or two-stage filtration,

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   9

that is, coarse filtration followed by ultrafiltration. After the coarse filtration stage, the wastewater is subject to a cross-flow membrane process. During primary treatment, neutralization is essential. The dosing capacity of the neutralization plant depends on the operation of the brewery, especially the design and operation of the discharge of the caustic baths in the bottle washers. Other alternatives are using flue gases from the boiler plant or surplus CO2 from the fermentation to neutralize caustic or overflow from bottle cleaning facilities. The equipment can be a scrubber or a simpler system with venting of the gas to a sump. Secondary treatment includes aerobic and/or anaerobic processes. The most common aerobic method applied for brewery wastewater treatment is the activated sludge process. Nevertheless, using an anaerobic process gives the advantage that less (or no) nutrient is needed for nutrient- deficient brewery wastewater. The most commonly used anaerobic techniques are Upflow Anaerobic Sludge Blanket (UASB) and Expanded Granular Sludge Bed (EGSB) reactors. If wastewater requirements are more stringent than biochemical oxygen demand (BOD) of 15 mg/L and a TSS of 20–30 mg/L, tertiary treatment is necessary.

1.3.2  The Soft Drinks and Nectar/Juice Industry Typical ingredients found in most soft drinks include water, acid, sweeteners, and flavorings. Optional ingredients include fruit, vegetables, carbon dioxide, preservatives, and color. Water is the primary ingredient of all soft drinks and, as a consequence, the quality of the water, in reference to its microbiological loading and other parameters, are important because they affect the final sensory qualities of the drink. Natural sweeteners, such as sugar and sugar syrups, and/or intense sweeteners, such as saccharin and aspartame, are the most popular to sweetener in soft drinks. Flavorings used in this industry are often derived from highly concentrated liquid mixtures of plant extracts such as flowers, fruit, leaves, seeds, bark, and root. Alternatively, they may be synthetic. The processes for the manufacture of soft drinks usually also involves the mixing of ingredients in the syrup room, and then the addition of water that has been subjected to various treatments. The mixture is heat processed or chemically preserved at this stage. The product may be carbonated if required. Alternatively, the product may be filled into packaging and in-pack heat processed after the syrup and water are combined. Sometimes syrups require filtration or homogenization and may be pasteurized. Packaging is cleaned prior to filling by rinsing with water or by air blasting. In order to save water, effluents from the rinsing process can go directly to a store tank and, after possible treatment, can be used at auxiliary services. Moreover, wastewater from the fillers can be used for cooling purposes.

10  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

1.3.3  Distilled Beverages Main raw materials used for the production of spirit drinks include agricultural raw materials (cereals, grape, fruits, sugar cane, potato, etc.), water, and yeast. A large proportion of spirit drinks productions have once-through cooling water system. Other water uses include production water used to make the distilled spirits and process water for cleaning of the plant and equipment and other ancillary use. The flavor profile of the product being manufactured may dictate the production water source based on quality/flavor profile etc. The two-stage wastewater treatment system, anaerobic following aerobic, is the most common effluent treatment in these cases.

1.3.4  Wine Production Fresh grapes are the raw materials used for the production of wine. Cleaning water and, in a smaller proportion, cooling water in fermentation tanks constitute the main water uses in wineries. After primary treatment, the wastewater may be sent to the municipal WWTP if acceptable, or further treated on site. During secondary treatment, the yeast can provoke severe problems; the activated sludge can die and be washed out. Therefore, the separation of yeast and other solids is a necessary primary treatment step. Anaerobic processes and particularly anaerobic lagoons and anaerobic filters are reported to be the most suitable treatments for winery wastewater (Strong and Burgess, 2008). Alternatively, aerobic processes can be used, for example, aerated storage for 3 months is used at small wineries with low wastewater volumes. Activated sludge or trickling filters are used. Activated sludge systems tend to be over dimensioned, due to the seasonal variations and are, therefore, expensive to install and operate. Trickling filters are reported to be 70% effective and, therefore, require further polishing (Kim et al., 2014). Tertiary treatment is used as a polishing stage for the removal of the remaining pollutants. The use of landspreading and evaporation lagoons have been reportedly used in vineyards (Christen et al., 2010).

1.4  Adding Sustainability to the Beverage Industry The level of pollutants in wastewater and the amount of waste produced by the industry can represent a significant load in some countries or regions. While most emissions from the industry are biodegradable, it usually uses materials such as detergents which are resistant to conventional treatment methods and can introduce, for

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   11

example, in the juice and nectars industry, pesticide residues used on the source crop. The modern beverage industry focuses on proactive environmental management systems, natural resource conservation, and the performance of waste minimization techniques (European Commission (EC), 2017b). To ensure sustainability, the effects of the raw material supply, beverages processing, transport, distribution, preparation, packaging, and disposal must be considered and controlled. Both primary production and processing critically depend on a reliable water supply and adequate water quality, in conformity with legal requirements. As mentioned before, water consumption is one of the key environmental issues of the beverage sector. Fig. 1.2 shows the water cycle in this industry. Water, which is not used as an ingredient, ultimately appears in the wastewater stream or is transformed into steam and

Water recycling and reuse

6

3

Bio-energy plant

5 Cooling systems

Boiler Manufacture

Wastewater treatment 4

Utility feed water

2

Process water production 1

Fig. 1.2  Water cycle in the beverage industry.

Sludge treatment

12  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

emitted to air. Typically, untreated beverages wastewater is high in both COD and BOD contents. Emission levels can be 10–500 times higher than in domestic wastewater. The TSS concentration varies from negligible to more than 100 g/L. Wastewater from the drink industry is, in most cases, biodegradable and hence can be treated together with domestic wastewater or wastewater from other industrial sectors (e.g., carbon source for denitrification or for biological phosphorus removal). The solid output from beverage installations is composed of by-products, residues, coproducts, and waste. The main sources of solid waste output are inherent losses besides spillage, leakage, overflow, defects/returned products, retained material that cannot freely drain to the next stage in the process and heat deposited waste. Table 1.3 gathers the key environmental issues for some of the beverage sectors. Focusing on water, this element is used in the drinks sector for: − beverage processing, where the water either comes into contact with, or is added to, the product; − equipment and installation cleaning; − washing of raw materials; − water which does not come into contact with the product, for example, boilers or cooling. In order to improve the sustainability of the beverage industry, reuse and recycling of process water and wastewater should be a must. The potential role of treated wastewater as an alternative source of water supply is now well acknowledged and embedded within European and national strategies (European Commission (EC), 2015). But recycling and reuse is not always possible. Water that comes into contact with the product must, with a few exceptions, at least be of drinking water standard. For the production of soft drinks and beer, often special quality characteristics are required that sometimes exceed those of drinking water quality. On the other hand, water of varying quality can be used for cleaning and disinfection purposes. Water is also needed for cleaning the outside of equipment, walls, and floors. In this case, contact with the final product is rather unlikely, so drinking water quality is not required. However, often drinking water quality is used to avoid any hazard. When it is decided which water sources can be reused and/or recycled in the beverage installation, several issues might require consideration such as the following: − Legal requirements related to safety and hygiene. − Customer requirements related to safety, cleaning, etc. − Risks related to water consumption. The installation might consider the possibility of monitoring the hygiene quality of the water to assess the risk of contamination of products. If contamination of products occurs, the installation might weigh up the benefits and disadvantages of reusing a certain water source.

Table 1.3  Environmental Issues for Some Beverages Industries Industry Breweries Soft drinks and juice a

For cleaning operations.

Water Use x x

Wastewater x x

Chemicals use a

x xa

Air Pollution

Noise

Odor

x

x

x

Solid Output

Heating

Cooling

x x

x x

x x

14  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

− The consequences of reusing a specific water source, such as energy and chemical consumption for treatment of the water before reuse/recycling. − Possible water shortage. When looking at water consumption, it is not only the volume that should be taken into consideration. As most water usage in the beverage industry requires some treatment, such as cooling and heating of the water before use, the water consumption should be reduced as much as possible. This also reduces energy use, for example, for pumping and treatment. Moreover, both water shortage and excess of water at local level should be considered, where relevant. Different requirements on safety and hygiene for products also have an influence on the water consumption. In addition, the water quality itself can have an influence on how much water is needed for a specific use.

1.5  Traditional Beverage Wastewater Treatment Water pollution control can be carried out in the beverage industry by reducing the volume and pollutant load strength of the wastewater generated, by an appropriate combination of: − process-integrated techniques such as eliminating or decreasing the concentration of certain pollutants, for example, dangerous and priority hazardous substances, reducing water consumption, recycling/reducing raw materials, and by-products, recycling, or reusing water; − end-of-pipe techniques, that is, wastewater treatment. Wastewater treatment is applied after process-integrated operations have minimized both the consumption and the contamination of water. Techniques widely applicable in the beverage sector achieve environmental benefits such as waste minimization and may achieve some or all of the following effects related to a specific wastewater stream: − reduction in the volume; − reduction in the pollutant load; − elimination of, or decrease in, the concentration of certain substances; − increase in the suitability for recycling or reuse. The descriptions of the various wastewater treatment techniques in the following sections show the sequence that the techniques typically follow to achieve progressively a better quality of wastewater. Due to the nature of the raw materials used and the products produced, wastewater arising from the beverage sector is primarily biodegradable in nature. However, cleaning and disinfection agents may represent a problem if they are poorly biodegradable. Table 1.4 presents the

Table 1.4  Wastewater Treatment Processes Used in Different Beverage Industries Juice Made from Fruit

Brewing

X X

X X

X

X

X X

X x

X X X X X X X X

X X X X X X X

X X X

X X X

X X X X

X X

X X X X X

X X X X X

Soft Drinks and Juice Made from Concentrate

Distilleries and Spirits

Wine and Sparkling Wine

PRIMARY TREATMENTS

Screening Sedimentation DAF Fat trap Flow and load equalization Precipitation Neutralization Coagulation and flocculation

X X X X X X X

X X

X

X X

X

X

X X

SECONDARY TREATMENTS

Aerobic treatment Anaerobic contact processes UASB Activated sludge SBR Trickling filters Aerobic lagoons Bio-towers

X X X X X X

X

X X X

X

TERTIARY TREATMENT

Biological nitrification and denitrification Enhance biological phosphorus removal Phosphorus removal by chemical precipitation Phosphorus removal as struvite Filtration Membrane filtration UV radiation

X

X

X X X

X X X

X X

X X

X X X X X

X X X X X

SLUDGE TREATMENT

Sludge conditioning Sludge stabilization Sludge thickening Sludge dewatering Sludge drying

X

Modified from BATs, European Commission (EC), 2017. European Integrated Pollution Prevention and Control Bureau (EIPPCB), 2017. Reference document on Best Available Techniques (BAT) in the Food, Drink and Milk Industries, EIPPCB, Seville. Available from: http:// eippcb.jrc.ec.europa.eu/reference/BREF/FDM/FDM_31-01-2017-D1_b_w.pdf (Accessed 20 September 2017).

16  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

most typical wastewater treatment techniques, which are applied in beverages industries. Primary treatment is designed to remove gross, suspended and floating solids from raw sewage. It includes screening to trap solid objects and sedimentation by gravity to remove suspended solids. This level is sometimes referred to as mechanical treatment, but chemicals are often added to accelerate the sedimentation process. Primary treatment can reduce the BOD of the incoming wastewater by 20%– 30% and the total suspended solids by 50%–60%. Primary treatment is usually the first stage of wastewater treatment (World Bank Group (WBG), 2016). Secondary treatment is directed principally toward the removal of biodegradable organics and suspended solids using biological methods. Adsorption of pollutants to the organic sludge produced also removes nonbiodegradable materials, for example, heavy metals. Organic nitrogen and phosphorus can also be partially removed from the wastewater. Secondary treatment options can be used alone or in combination, depending on the characteristics of the wastewater and the requirements before discharge. There are essentially three types of metabolic processes, that is, aerobic processes, using dissolved oxygen, anaerobic processes, without oxygen supply, and anoxic processes, using biological reduction of oxygen donors. Aerobic processes are only generally applicable and cost-effective when the wastewater is readily biodegradable. Microorganisms in the mixed liquor can receive the oxygen input from either the surface or diffusers submerged in the wastewater. Surface injection of oxygen is carried out by means of either surface aerators or oxygenation cages. In the absence of oxygen, organic matter is broken down, producing methane (CH4) as a by-product. This gas can be used to heat the reactors. In standard anaerobic processes, the reactors are usually unheated, but in high rate anaerobic processes, the reactors are usually heated. In both cases, the temperature of the reactor has to be maintained at around 30–35°C (mesophilic) or 45–50°C (thermophilic), and whether heat is required or not depends essentially on the temperature of the feed. Although anaerobic process is slower than an aerobic process, higher BOD loadings are achievable with an anaerobic technique (in terms of kg BOD/m3 of reactor volume) for highly polluted wastewater. Anaerobic techniques are generally utilized in those industries where there is a high level of soluble and readily biodegradable organic material and the concentration of the wastewater, expressed in COD, is generally greater than 1500–2000 mg/L. For the beverage sector, the application of anaerobic wastewater treatment is largely confined to relatively heavily polluted wastewater with a COD between 3000 and 40,000 mg/L, for example, in the alcoholic drink sectors. There has recently been some success in using certain anaerobic systems even

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   17

for less heavily polluted wastewater with a COD between 1500 and 3000 mg/L, for example, in breweries, in the fruit juice, mineral water, and the soft drinks sectors. Where there are large fluctuations in volume and pollutant load, this treatment is less effective. One of the most fundamental aspects of anaerobic wastewater treatment is that the vast majority of organic carbon associated with the influent BOD is converted to methane as opposed to being used for new cell growth. The differences are clear with aerobic processes, which convert most of the organic carbon to new cells which eventually form waste biosolids that require either further treatment or off-site disposal. Anaerobic processes produce much less waste sludge. Also the methane produced has a high calorific value and as such can be reused as fuel. After secondary treatment, further treatment may be needed either to enable the water to be reused as process water or low grade wash water, or to meet discharge requirements. Tertiary treatment refers to any process that is considered a polishing step, up to and including disinfection and sterilization systems.

1.6  Natural Treatment of Wastewater Natural ecosystems have been used for wastewater treatment for hundreds of years. However, this special kind of “treatment” has often represented only an uncontrolled waste stream water disposal and, as a result, many ecosystems have been irreversibly damaged. Natural systems for the treatment of wastewater have always drawn attention because of low maintenance and operation costs as well as low capital investment. However, it was only recently the remediation processes involved in wastewater treatment in natural ecosystems were used in artificially built treatment systems (Rozkošny et al., 2014). In the natural environment, biological and physicochemical processes occur when water, soil, plants, microorganisms, and the atmosphere interact. Natural treatment systems are designed to take advantage of these processes to provide wastewater treatment. The processes involved include many of those used in conventional wastewater treatment systems, such as sedimentation, filtration, precipitation, and chemical oxidation, but occur at natural rates (Tchobanoglous et al., 2003). They are slower than conventional systems. Up to now natural treatment systems were underestimated in their treatment performance by water administrations and it was common that the water authorities were reluctant to promote or permit the use of these systems. Nowadays the situation is changing mainly because it is promoted by environmental agencies and supranational administrations such as the European Commission. There is growing recognition and awareness that nature can help provide viable solutions that

18  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

use and deploy the properties of natural ecosystems and the services they provide in a smart, “engineered” way. These nature-based solutions provide sustainable, cost-effective, multipurpose, and flexible alternatives for various objectives. Working with nature, rather than against it, can further pave the way toward a more resource efficient, competitive, and greener economy (European Commission (EC), 2017c). Natural treatment of wastewater uses modified natural self- treatment processes that take place in the water, ground soil, and wetland environment. These treatments are classified according to the technology used and general arrangement. A brief summary of some natural treatment methods is illustrated in Table 1.5.

Table 1.5  Natural Treatment Technologies for Wastewater (Rozkošny et al., 2014) Type

Use Possibilities

(A) SOIL (GROUND) FILTERS

Vertical flow without vegetation Horizontal flow without vegetation

Treatment of stormwater and sewage of smaller and middle products

(B) CONSTRUCTED TREATMENT WETLAND

Horizontal surface, combination of surface and horizontal subsurface flow Horizontal subsurface flow Vertical flow downwards Vertical flow up Vertical flow with intermitted flow

Wastewater and contaminated surface water treatment in favorable climatic conditions Sewage treatment; year-round operation Wastewater treatment, predominantly in the summer Sewage treatment; year-round operation

(C) WASTE STABILIZATION PONDS

Aerobic low loaded Aerobic high loaded Aerobic continuously with aeration Final purification Anaerobic Anaerobic storage

Surface runoff and wastewater treatment Wastewater treatment in climatic favorable areas Intensive wastewater treatment, continuous aeration Final treatment of wastewater after biological treatment steps Anaerobic treatment preranked aerobic treatment Wastewater treatment of campaign producers

(D) AQUATIC PLANTS SYSTEMS AND BIOELIMINATORS

Pond and aquatic plants systems Combination of aquaculture with aquatic plants systems

Wastewater treatment and treatment by means of duckweed, algae, cyanobacteria Municipal and Industrial wastewater treatment

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   19

Table 1.5  Natural Treatment Technologies for Wastewater (Rozkošny et al., 2014)—cont’d Type

Use Possibilities

Bioeliminators

Wastewater treatment tanks with submersed meshes for algae biomass attaching

(E) IRRIGATION BY WASTEWATER (MINIMALLY MECHANICALLY TREATED)

Irrigation by municipal wastewater Irrigation by industrial Irrigation by agricultural wastewater Irrigation by liquid sludge and slurry Evapotranspiration systems with zero discharge

Growing season irrigation or annual irrigation Growing season operation or nongrowing season irrigation Vegetation irrigation by silage and process wastewater Utilization of fertilizing effect of liquid waste Vegetation (usually willow) irrigation in on controlled bed by municipal wastewater

Natural treatment methods are mainly used for wastewater treatment from decentralized houses but according to the composition of the polluted streams, these methods are also interesting for treatment of industrial wastewater from the food and beverage industry. The advantages of nature-based methods for beverage industry wastewater treatment are numerous. Table 1.6 gathers the main ones. On the other hand, drawbacks of natural treatment methods do not consist in the technology of natural treatment methods themselves, but in the lack of functionality and poor design and of the mechanical pretreatment stage, creating conditions for the rapid clogging. The most common natural methods of treatment include soil filters, constructed treatment wetlands, stabilization ponds, and the use of floating islands or aquatic plants. Globally, irrigation is the most popular destination for treated wastewater. The soil-based systems mainly use the complex purification mechanism of the soil and uptake by crops and other vegetation. In the aquatic-based systems, for example, natural wetland, constructed wetland (CW), and aquatic plant systems, the vegetation provides a surface for bacterial growth. Natural treatments are prohibited by law in some countries due to concerns about hazards to groundwater. Effluents of food and drink industries contain water and fertilizing nutrients coming mainly from the raw materials. Their return to agriculture is an option, considering the large amounts of fertilizers replaced when landspreading is done according to the crops’ needs.

20  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

Table 1.6  Pros of Natural-based Methods for Beverage Industry Wastewater Treatment Natural character of the sewage facility Possibility of its inclusion in a favorable environment Relatively simple technological implementation Lower operating costs Investment costs comparable with conventional wastewater treatment plant Low energy consumption Possibilities of being overload by ballast water Possibility of short-term and long-term shutdown Relatively rapid incorporation of the treatment process and achievement of the performance efficiency quality target in a short period of time after the start of operation Removal of the part of nutrients, especially nitrogen and phosphorus by biomass uptake Treatment of organically low-loaded wastewater that cannot be treated by conventional methods (treatment plants based on activation processes)

Wastewater landspreading allows the recycling of organic matter and fertilizing elements to agricultural soil. It has benefits in terms of: − substitution of chemical fertilizers (N, P, K) which sometimes represent very important amounts, with a subsequent positive economic impact; − improvement of soil conditions as a consequence of the addition of organic matter; − reduction of water use and soil erosion. Wastewater treatment prior to landspreading may be performed for different reasons, for example: − to recover the residual energy (biogas) in the wastewater; − to reduce odor emissions during storage (aerated tanks or lagoons, reduced storage time, etc.); − to separate the solid phase to be exploited separately, for example, for material landspreading. Effluent landspreading is a practice applied in some countries (e.g., DE, DK, ES, FI, FR, IE, and PL). Currently, there is a proposal for a Regulation of the European Parliament and of the Council on minimum quality requirements for reused water in the EU (EC, 2016). Published in April 2016, the Inception Impact Assessment on the “Minimum quality requirements for reused water in the EU (new EU legislation)” initiative sets out in greater detail the background and the policy objectives and options as well as their likely impacts.

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   21

Wastewater landspreading should be carried out in line with legal requirements (IED, Nitrates Directive) and according to the agricultural needs. Only wastewater beneficial to the soil or crop nutrition can be spread, and landspreading is subject to strict regulation, local threshold values, and monitoring measures. Wastewater is spread only when there is an available crop that can benefit from the nutrients applied to the field. Wastewater landspreading is especially prohibited in the following situations: − during periods when the soil is largely frozen or covered with abundant snow; − during the period of heavy rain and periods with a risk of flooding; − outside regularly cultivated land and operated pastures or forests; − on steep-sloped terrains, under conditions that would lead to runoff outside the scope of the landspreading process; − using air sprays generating fine mist when the wastewater is likely to contain pathogenic microorganisms.

1.7  Technologies Associated With Natural Wastewater Treatment in the Beverage Industry 1.7.1  Pretreatment Technologies There is more and more scientific evidence about the effectivity of natural treatment systems and there are many examples of the use of natural treatment systems for the purification of wastewater (Durán et al., 2015; Kumar et al., 2015; Liquete et al., 2016; Garfí et al., 2017; Hultberg and Bodin, 2017). When treating industrial effluents, the natural treatment systems have to be complemented with technical solutions, namely with the so-called conventional treatment systems. For example, it is necessary to pay special attention to the pretreatment process, that is, removal of suspended solids. The quality of mechanical pretreatment is very important in extensive technologies, such as stabilization ponds, CWs, or ground filters. The proper design and use appropriately reduces clogging of the filter material. A poorly designed mechanical pretreatment stage can lead to sludge moving from pretreatment device to next part of treating system and causes serious reduction in hydraulic conductivity. Bar screens and gravel traps are parts of the coarse pretreatment of the WWTP. Their purpose is to remove particles floating in water and large floating objects. Screening removes the need for, and therefore the cost of, additional wastewater treatment. It reduces the amount of sludge produced, which would otherwise require additional expenditure for its disposal.

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The sand traps target the removal of gravel, sand, and other substances of similar nature with a maximum size of 0.2 mm. The principle of the removal of these substances is to reduce the flow rate in the tank, which leads to their sedimentation. The objective of neutralization is to avoid the discharge of strongly acid or alkaline wastewater. It can also protect downstream wastewater treatment processes. In the brewery sector, the neutralization can take place in production areas or in central neutralization tanks with acid or caustic. The neutralization of process wastewater requires a tank with a hydraulic retention time of approximately 20 min. The mixing capacity should be sufficient to keep the tank completely mixed. Since both caustic and acidic cleaning agents are used at the breweries, a reduction in chemical usage for neutralization can be obtained by increasing the hydraulic retention time in the neutralization tank. Neutralization tanks are also often used as equalization tanks. A septic tank is a kind of settling tank where a partial anaerobic removal of organic substances and anaerobic settled sludge stabilization takes place. In a normal septic tank there is no separation of sediment and digestion space and, as a consequence, there is a deterioration of effluent by digesting sludge. This problem can be partially solved by using a septic tank with multiple chambers, with openings protected by scum board that extends at least 0.15 m above the water level and 0.30 m below the water level. BOD5 concentrations can be reduced by about 15%–30% and the concentrations of suspended solids by about 50% if the septic tank is well designed. The Imhoff tank is also a settling tank whose purpose is to capture fine sludge particles. It is a retention reservoir divided by the bottom with the slot. There is sedimentation in the upper part. Settled sludge falls through the slit into a rotting area in which anaerobic stabilization occurs. Anaerobic digestion is considered a specific wastewater pretreatment when dealing with nature-based solutions. Anaerobic processes are used mainly for highly concentrated wastewater and at high operating temperatures. During the last century, various anaerobic reactors technological modifications such as UASB reactor, the anaerobic fluidized bed reactor, anaerobic filter, or the anaerobic stirred bed reactor were successfully launched. On a global scale, decentralized systems are proven combination of UASB and CWs. The UASB systems are effective at removing suspended solids, which is very positive for the CW system. A disadvantage would be the presence of volatile fatty acids, such as acetic acid in the effluent from the anaerobic stage, which is not favorable for the CW vegetation. Despite these disadvantages of UASB-CW system, the conclusion is that effective pretreatment of UASB stage can

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   23

reduce up to 36%–40% the investment costs for the construction of CW, mainly due to the reduced surface area needed for the CW. Thus, constructed system reaches a relatively high efficiency of suspended solids removal (48%–91%) and COD removal (70%–83%), in practice, but slightly lower in nutrients (total phosphorus 26%–89%, total nitrogen 27%–70% Alvarez et al., 2008).

1.7.2  Integrated Constructed Wetlands The integrated CW (Fig. 1.3) are basins or lagoons planted with a wide variety of aquatic plant species, allowing subsequent wastewater treatments. From the characteristic of the CW, it is a very adequate solution of biological wastewater treatment. Physical processes of filtration and sedimentation mainly remove suspended solids. Organic compounds are removed by microbial respiration (aerobic and anaerobic); colloidal particles can then be removed from the wastewater by adsorption, sedimentation, or filtration. To some degree, there is the removal of nitrogen by ammonification, nitrification, and denitrification. Phosphorus removal occurs by binding of phosphorus onto the filter material and trapped sediment and by wetland vegetation biomass. The removal of the other pollutants such as heavy metals, specific organic substances, surfactants, etc., is also observed. Bacterial contamination is significantly reduced (Kadlec and Wallace, 2009). From a long-term survey of constructed treatment wetlands it can be stated that this technology is highly effective in removing organic and suspended solids (Vymazal and Kröpfelová, 2009). The influence of vegetation (macrophytes) on the treatment processes, including the collection of nutrients, depends on many factors such as the state of health and the type of vegetation, its density and involvement, the growth phase, the character of biomass development, and the season. These sequentially arranged lagoons are self-contained individual ecosystems. With each step, a cleaner level of wastewater is attained. The relationship of the volume of wastewater with the area of wetland in the overall integrated CW design determines the outflowing water quality. The macrophytic vegetation performs a variety of functions. Its primary function is to support biofilms, which carry out the principal cleansing functions of the wetland. It also facilitates the sorption of nutrients and acts as a filter medium, and through the use of appropriate emergent vegetation, can control odors and pathogens. While the vegetation has the capacity to filter suspended solids it also increases the hydraulic resistance, thus increasing the residence time. Rozkošny et al. (2014) gathered research results of the evaluation of treatment efficiency of CWs with the horizontal subsurface flow stating the following average efficiencies: BOD5 85%, COD 75%, SS 80%, NH4-N 30%, TP 35%.

24  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

Inflow

Outflow

Polishing bed

Treatment bed

Filtration bed

Mechanical pretreatment

Fig. 1.3  An example of horizontal flow constructed wetland with different vegetation and filter material (Rozkošny et al., 2014).

The groundwater that flows beneath the wetlands has lower nutrient levels than surrounding terrestrial sites. Phosphorus is retained in the soil. An integrated CW can provide suitable effluent to be used for irrigation of crops and pasture. The CWs have been used for more than 50 years now for wastewater treatment. Most applications have been designed to treat municipal or domestic wastewater but at present CWs are successfully used for many types of wastewater treatment. The early CW applied to industrial wastewaters included those for wastewaters from petrochemical, abattoir, meat processing, dairy, and pulp and paper industries. During the 1990s CWs were also used to treat effluents from textile and wine industries (Serrano et al., 2011) or water from recirculating fish and shrimp aquacultures. The most recent applications include those of brewery (Angassa and Assefa, 2012) or tannery wastewaters as well as olive mills effluents. The survey carried out by Vymazal (2014) showed that both subsurface and surface flow CWs have been used for the treatment of industrial wastewaters. Within subsurface flow CWs both horizontal and vertical flow systems have been designed. Gagnon et al. (2014) analyzed the treatment of soft drink wastewater by vertical flow CWs obtaining good removal efficiencies. A special case of CWs is the floating treatment wetlands. Treatment technologies using floating treatment wetlands are based on the processes commonly occurring in water areas. These are ponds filled with wastewater and completed with wetland and aquatic plants that use

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   25

the nutrients from the wastewater and create the favorable environment for the development of microorganisms with something to say in the treatment processes. The plants are also placed on a floating medium, for example, a floating porous material in which the plant grows above the surface. It is also common to use wetland plants floating free on the water surface. There is the consumption of the nutrients, reduction of organic pollutants, capturing impurities and insoluble substances by filtration with the interaction of the bacteria present in the root system. Floating wetland is commonly used for the treatment of wastewater diluted by storm water, treatment of the pretreated wastewater, and for the final treatment of wastewater behind the main ­treatment stage.

1.7.3  Soil Filters Soil filters (Fig. 1.4) also belong to the group of natural technologies of water treatment. They are technological devices that can be divided into filters with vertical, horizontal, and radial flow, without vegetation and often realized in underground. Only pipes that protrude from the terrain can be perceived from outside. The flow of treated wastewater has to be uniform throughout the whole filtration process. The advantages of soil filters include the possibility of favorable integration into the environment, the organic character of the device, relatively low investment and operating costs, a simple technological design, minimal energy needs, relatively good treatment effect from the beginning of the operation, possibilities of being overload, treatment of organically low-loaded wastewater, and

1

5

6

4 7

8 2

3

Fig. 1.4  Soil filter with vertical flow: 1. Inlet; 2. collecting space; 3. fixed sieve; 4. filtration material; 5. distribution pipe; 6. initial backfill sand or clay; 7. control shaft; and 9. drain (Rozkošny et al., 2014).

26  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

the possibility of short-term and long-term shutdown. The disadvantages of soil filters include clogging, less effect on ammonia removal, and relatively large surface intensity. Soil filters can be designed without vegetation, providing the thermal insulation during the winter period. An alternative is to sow specifically selected plants or grassland on the surface. In the presence of wetlands, it is possible to control the water level in the filter. The combination is already the CW wastewater water treatment plant. The physical, chemical, and biological processes naturally occurring in the soil are used during the treatment. Filters are mostly based in the excavated basin; that is why the wastewater must be appropriately hydraulic isolated from the ground. This is also generally applicable to filters of CW WWTPs. Filters with finer fillings can be used as final treating equipment for biological wastewater plants. They are commonly used as the principal device to the biological treatment after mechanical pretreatment. In this case, coarse pretreatment and ­mechanical treatment is required. Experimental results have shown that under hydraulic load rates of 0.22 m3/m2 h and organic load rates ranging from 47 to 156 g COD/ m2 h, mean removal efficiencies of 89% for COD, 99% for BOD5, 86% for suspended solids, and 52% for total nitrogen can be achieved using an hybrid constructed soil filter (Llorens et al., 2015). The soil filter system was tested by Christen et al. (2010) at a medium size rural winery crushing ∼20,000 tonnes of grapes. These authors included in their experiments a preliminary treatment through a coarse screening and settling in treatment ponds, followed by application to the soil filter planted to pasture. Efficient behavior of the system with variable volumes and nutrient loads in the wastewater was reported. It was operated to provide adequate leaching to manage salt in the soil profile and to minimize pollutant loads in the treated water (subsurface drainage). The soil filter system was effective in removing nutrient pollutants and neutralizing the pH of the wastewater to meet discharge limits. However, BOD and suspended solids levels in the subsurface drainage waters slightly exceeded limits for discharge. The high organic content in the wastewater initially caused some soil blockage. This was solved by reducing the hydraulic loading rate to increase soil drying between wastewater irrigations.

1.7.4  Stabilization Ponds Stabilization ponds are an important part of the natural treatment methods. Physical, chemical, and biological processes occur to produce the desirable treatment effect. Treatment processes are carried out in the aquatic environment in the presence of water, higher vegetation, wetland biocoenosis (bacteria, phytoplankton, and zooplankton),

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   27

and organisms. Wastewater stabilization ponds can be divided into different categories, as listed in Table  1.7 according to the treatment technologies. Stabilization ponds are used mainly for agricultural and industrial wastewater treatment (especially the agro-food and beverage industries) and for sewage water treatment. These are large man-made basins in which wastewater can be treated to an effluent of relatively high quality and apt for the reuse in agriculture (e.g., irrigation) or aquaculture (e.g., macrophyte or fish ponds). They are semicentralized treatment systems combined after wastewater has been collected. Aerobic ponds belong to one of the most widely used technologies. The effect of treatment of ponds depends on the technology of treatment, especially on the physical, chemical, and biological composition and quantity of inflowing wastewater, the temperature, the proportion of ballast water, characteristics of the aquatic environment, the intensity of self-treatment processes, hydraulic conditions, the length of filtration area, the number of ponds in series, hydraulic retention time, climatic conditions, especially the temperature, precipitation, etc. The treatment processes in anaerobic ponds take place under anaerobiosis. They are divided into three groups: flow, sedimentation (settling), and anaerobic storage ponds. Flow anaerobic ponds require a water retention time of 2–5 days. Anaerobic ponds have the ability to disrupt the complex binding of organic compounds and, as a consequence, facilitate ongoing aerobic processes. It is usually a regular

Table 1.7  Types of Stabilization Ponds Pond Type

Division

Potential Uses

Aerobic

Low-loaded High-loaded Continuously aerated Final treatment

Facultative

Temporary ponds on inflow Flow Sedimentation Accumulative

Polluted wastewater treatment in the climate of Central Europe Municipal wastewater treatment in the climate of South Europe Intensive municipal wastewater treatment Final treatment of treated wastewater after mechanic-biological treatment Form the transition of anaerobic and aerobic process in one pond

Anaerobic

Anaerobic wastewater treatment Prolonged sedimentation of municipal and industrial wastewater Wastewater treatment of campaign producers

Modified from Rozkošny, M., Kriška, M., Šálek, J., Bodík, I., Istenič, D., 2014. Natural technologies of wastewater treatment: Global Water Partnership Central and Eastern Europe, Bratislava. Available from: http://www.gwp.org/globalassets/global/gwp-cee_files/regional/ natural-treatment.pdf (Accessed 03 October 2017).

28  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

prismatic pond, similar to the aerobic ponds, equipped with inflow and outflow devices. The anaerobic pond is the primary treatment stage and considerably reduces the organic load in the wastewater. The entire depth of this man-made lake is anaerobic. The BOD and solid removal occurs by sedimentation and through subsequent anaerobic digestion inside the accumulated sludge. Anaerobic bacteria convert organic carbon into methane and are able to remove up to 60% of the BOD. For the most effective treatment, ponds should be linked in a series of three or more with effluent circulating from the anaerobic pond to the facultative pond and, finally, to the aerobic pond (Fig. 1.5). In a series of stabilization ponds, the effluent from the anaerobic pond is driven to the facultative pond, where further BOD is removed. The top layer of the pond receives oxygen from natural diffusion while the lower layer is deprived of oxygen and becomes anaerobic or anoxic. Solids accumulate on the bottom of the pond and are digested. The organisms, aerobic and anaerobic, work together to achieve BOD reductions of up to 75%. Facultative and anaerobic ponds are designed for BOD removal, while aerobic systems are designed mainly for pathogen removal. An aerobic pond is usually referred to as a maturation or polishing pond because it is the last step and provides the final level of treatment.

Fig. 1.5  Typical scheme of a wastewater stabilization system with ponds in series (Tilley et al., 2014).

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   29

Photosynthetic algae release oxygen into the water and at the same time consume carbon dioxide. The dissolved oxygen levels are highest during the day and drops at night. Use of stabilization ponds for beverage industry wastewater treatment has been broadly reported in literature: soft drinks (Nasr et al., 2008; Nweke et al., 2015), winery (Liu et al., 2016a; Welz et al., 2016), brewery (Nweze et al., 2014; Jones et al., 2016), and distilled spirits (Liu et al., 2016a), among others.

1.7.5  Microalgae Cultivation Currently, cultivation of microalgae has gained large momentum among researchers due to their photosynthetic rate of CO2 fixation and its versatile nature to grow in various wastewater systems. In addition, various options of exploring biofuels such as biodiesel, biohydrogen and bioethanol, etc., has made this technology most promising and viable one. Today microalgal production is a burning issue given the wide variety of potential metabolic products that can be obtained, such as food supplements, fertilizers, soil amendments, biostimulants, lipids, biomass, enzymes, toxins, polymers, pigments, tertiary wastewater treatment, and “green energy” products. Also a growing market for algae products is (Abinandan and Shanthakumar, 2015) turning the interest in microalgae from scientific to economic. The most common procedure for microalgae cultivation is autotrophic growth where photosynthetic microalgae are cultivated in naturally or artificially illuminated environments. As practiced with other microbial communities producing economic products, open ponds are the most common option for mass cultivation. A feasible alternative for microalgae cultivation (although restricted to some microalgal species) is heterotrophic growth in the absence of light. In this case, the photosynthetic process gets suppressed and microalgae gain energy from alternative organic processes converting sugar into lipids. Since light does not need to penetrate the microalgae mass, irradiation is not now a limiting factor, and the growth of the microalgae can be significantly more intense, allowing for greater operation yields. Wastewater treatment is a technically feasible application of grown microalgae. The major advantages of these treatments are that additional pollutant is not generated when the biomass is harvested and a removal of heavy metals and xenobiotics, plus an efficient recycling of nutrients and organic matter is possible (Hidalgo, 2015). Of special interest are those wastewater streams that contain the assimilated low molecular substrates that microalgae can use and can create a substrate for microalgae, for example, effluents from breweries

30  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

(Choi, 2016; Ferreira et al., 2017; Subramaniyam et al., 2016) or wineries and distilleries (Chowdhary et al., 2017; Liu et al., 2016b).

1.7.6  Natural Disinfection of Treated Wastewater Solar irradiation has been used for the treatment of chemically and biologically contaminated water for decades. Solar radiation removes a wide range of pathogenic organisms and organic chemicals by direct exposure. The process is relatively inexpensive, and avoids generation of harmful by-products. Also interesting is the fact that the economics of the process are almost volume independent (Caslake et al., 2004). Solar light has demonstrated disinfecting capabilities due to the action mode of UVB and UVA wavelengths (Bosshard et  al., 2010; Douki, 2013). For drinking water, it has been greatly used as a practice in developing countries (McGuigan et al., 2012) and the application in the form of ponds for wastewater treatment has also been investigated in tropical latitude (Von Sperling, 2005). The efforts to implement field application of solar wastewater have been reported in works in the tropical regions of Africa (Maïga et al., 2009), Oceania (Davies-Colley et al., 2003), Asia (Khosravi et al., 2013) and more, with success in terms of removal rates for bacteria, viruses, and other microorganisms (Giannakis et al., 2015). When direct light is not enough, advanced oxidation processes have been investigated as an alternative natural option (Ferro et  al., 2015). The efficiency of advanced oxidation processes for bacterial inactivation increases at higher solar energy doses, such as for solar water disinfection and heterogeneous photocatalysis. Nevertheless, the relationship between microorganism photo-inactivation rate and solar exposure time, energy received, or dose applied is not completely clear today, as many parameters related to biological complexity and solar radiation variability influence this process. Therefore, as for solar reactors aspects, the main concept to consider is the optical characteristics of the water or wastewater in terms of light penetration and UV absorption by both, biological and chemical components (Giannakis et al., 2016). Use of natural disinfection methods for beverage industry wastewater treatment has been broadly reported in literature: soft drinks (Sekine et  al., 2012; Aisien et  al., 2013), winery (Souza et  al., 2013; Velegraki and Mantzavinos, 2015), brewery (Terungwa and Oparaku, 2016; Hay et al., 2017), among others.

1.7.7  Combined Nature-Based Treatments Project Eden (Jones et al., 2016) is an experimental facility at Ibhayi Brewery in Port Elizabeth, which consists of an integrated algal ponding system, a CW, aquaculture, hydroponic, and crop production

Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY   31

facilities. It was designed to treat brewery effluent using alternative technologies that add value to the products that are produced as part of the process. The initial phases of the project have demonstrated a technology that offers a more stable and environmentally sustainable alternative to conventional activated sludge systems, with the potential of adding considerable value to the process. The system produced clean water for reuse or use in downstream activities, algae, fish, and vegetables. Brewery effluent subject to anaerobic digestion and treatment in a primary-facultative pond contained sufficient nutrients to support the growth of Lycopersicon esculentum “Moneymaker” tomatoes. During the study also test crops of cabbage (Brassica oleracea cv. Star 3301) were produced in soil, and were irrigated with effluent drawn from different sources: brewery effluent treated in anaerobic digestion, primary facultative pond, high rate algal ponding, and CW systems. Cabbage grew significantly larger when irrigated with any of the first three streams, compared to those irrigated with post CW effluent or the control plants which was irrigated with water only. Conclusively, brewery effluent can be used to improve conventional crop yields, due to the addition of organic nutrients in the treated brewery effluent.

1.8 Conclusions The benefits of fully understanding the mechanisms of pollutants removal when using nature-based technologies or systems to clean effluents from the beverage sector and further developing this nutrient and water resource for downstream reuse, could contribute to cost reductions at breweries, wineries, and other drink industries and also the implementation of circular economy practices in the sector. It is also likely to result in more efficient water, nutrient and energy management, and the creation of downstream job opportunities with the potential of improving food security in local communities.

Acknowledgments The authors gratefully acknowledge support of this work by the Agencia de Innovación, Financiación e Internacionalización Empresarial de Castilla y León. Project: Economía circular en el sector agroalimentario (Circular Economy in the Agri-Food Sector).

References Abdel-Fatah, M.A., Sherif, H.O., Hawash, S.I., 2016. Design parameters for waste effluent treatment unit from beverages production. Ain Shams Eng. J. Available from: http://www.sciencedirect.com/science/article/pii/S2090447916300375. (Accessed September 20, 2017).

32  Chapter 1  ADDING SUSTAINABILITY TO THE BEVERAGE INDUSTRY

Abinandan, S., Shanthakumar, S., 2015. Challenges and opportunities in application of microalgae (Chlorophyta) for wastewater treatment: a review. Renew. Sustain. Energy Rev. 52, 123–132. Abrha, B.H., Chen, Y., 2017. Analysis of physico-chemical characteristics of effluents from beverage industry in Ethiopia. J. GEP 5 (06), 172. Aisien, F.A., Amenaghawon, N.A., Ekpenisi, E.F., 2013. Photocatalytic decolourisation of industrial wastewater from a soft drink company. J. Eng. Appl. Sci. 9, 11–16. Alvarez, J.A., Ruiz, I., Soto, M., 2008. Anaerobic digesters as a pretreatment for constructed wetlands. Ecol. Eng. 33, 54–67. Amor, C., Lucas, M.S., Pirra, A.J., Peres, J.A., 2012. Treatment of concentrated fruit juice wastewater by the combination of biological and chemical processes. J. Environ. Sci. Health, Part A 47 (12), 1809–1817. Angassa, K., Assefa, B., 2012. Constructed Wetland for the Treatment of Brewery Wastewater: Performance Evaluation. LAP LAMBERT Academic Publishing, BeauBassin, Mauritius. Bosshard, F., Bucheli, M., Meur, Y., Egli, T., 2010. The respiratory chain is the cell’s Achilles’ heel during UVA inactivation in Escherichia coli. Microbiology 156 (7), 2006–2015. Brewers Association, 2016. Wastewater management guidance manual. Available from: https://s3-us-west-2.amazonaws.com/brewersassoc/wp-content/uploads/2017/05/Wastewater_Management_Guidance_Manual.pdf. (Accessed September 18, 2017). Brito, A.G., Peixoto, J., Oliveira, J.M., Oliveira, A., Costa, C., Nogueira, R., Rodrigues, A., 2007. Brewery and winery wastewater treatment: some focal points of design and operation. In: Oreopoulou, V., Winfried, R. (Eds.), Utilization of By-Products and Treatment of Waste in the Food Industry, ISEKI-Food Book Series. 3. Springer, New York, pp. 109–131. Camperos, E.R., Nacheva, P.M., Tapia, E.D., 2004. Wastewater Reclamation and Reuse IV. IWA Publishing, London. Can, O.T., 2014. COD removal from fruit-juice production wastewater by electrooxidation electrocoagulation and electro-Fenton processes. Desalin. Water Treat. 52 (1-3), 65–73. Caslake, L.F., Connolly, D.J., Menon, V., Duncanson, C.M., Rojas, R., Tavakoli, J., 2004. Disinfection of contaminated water by using solar irradiation. Appl. Environ. Microbiol. 70 (2), 1145–1151. Chen, J.P., Seng, S.S., Hung, Y.T., 2005. Soft drink waste treatment. In: Wang, L.K., Hung, Y.-T., Lo, H.H., Yapijakis, C. (Eds.), Waste Treatment in the Food Processing Industry. CRC Press, Florida, pp. 255–270. Choi, H.J., 2016. Parametric study of brewery wastewater effluent treatment using Chlorella vulgaris microalgae. Environ. Eng. Res. 21 (4), 401–408. Chowdhary, P., Yadav, A., Kaithwas, G., Bharagava, R.N., 2017. Distillery wastewater: a major source of environmental pollution and its biological treatment for environmental safety. In: Singh, R., Kumar, S. (Eds.), Green Technologies and Environmental Sustainability. Springer International Publishing, Cham, Switzerland, pp. 409–435. Christen, E.W., Quayle, W.C., Marcoux, M.A., Arienzo, M., Jayawardane, N.S., 2010. Winery wastewater treatment using the land filter technique. J. Environ. Manage. 91 (8), 1665–1673. Davies-Colley, R.J., Craggs, R.J., Nagels, J.W., 2003. Disinfection in a pilot-scale “advanced” pond system (APS) for domestic sewage treatment in New Zealand. Water Sci. Technol. 48 (2), 81–87. Douki, T., 2013. The variety of UV-induced pyrimidine dimeric photoproducts in DNA as shown by chromatographic quantification methods. Photochem. Photobiol. Sci. 12 (8), 1286–1302.

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Durán, A., Monteagudo, J.M., Gil, J., Expósito, A.J., San Martín, I., 2015. Solar-photoFenton treatment of wastewater from the beverage industry: intensification with ferrioxalate. Chem. Eng. J. 270, 612–620. European Commission (EC), 2015. COM—Closing the Loop: An EU Action Plan for the Circular Economy, 2005. European Commission (EC), 2016. Proposal for a Regulation of the European Parliament and of the Council on minimum requirements for water reuse. Available from: https://ec.europa.eu/info/law/better-regulation/initiatives/com-2018-337_en. (Accessed June 9, 2018). European Commission (EC), 2017a. Minimum quality requirements for reused water in the EU (new EU legislation). Available from: http://ec.europa.eu/smart-regulation/ roadmaps/docs/2017_env_006_water_reuse_instrument_en.pdf. (Accessed October 3, 2017). European Commission (EC), 2017b. European Integrated Pollution Prevention and Control Bureau (EIPPCB), 2017. Reference document on Best Available Techniques (BAT) in the Food, Drink and Milk Industries, EIPPCB, Seville. Available from: http://eippcb.jrc.ec.europa.eu/reference/BREF/FDM/FDM_31-01-2017-D1_b_w. pdf. (Accessed September 20, 2017). European Commission (EC), 2017c. Nature Based Solutions. Available from: https://ec.europa.eu/research/environment/index.cfm?pg=nbs. (Accessed October 3, 2017). Ferreira, A., Ribeiro, B., Marques, P.A., Ferreira, A.F., Dias, A.P., Pinheiro, H.M., Gouveia, L., 2017. Scenedesmus obliquus mediated brewery wastewater remediation and CO2 biofixation for green energy purposes. J. Clean. Prod. 165, 1316–1327. Ferro, G., Fiorentino, A., Alferez, M.C., Polo-López, M.I., Rizzo, L., Fernández-Ibáñez, P., 2015. Urban wastewater disinfection for agricultural reuse: effect of solar driven AOPs in the inactivation of a multidrug resistant E. coli strain. Appl. Catal. B-Environ. 178, 65–73. Food Drink Europe (FDE), 2012. Environmental Sustainability vision towards 2030, Achievements, Challenges and Opportunities. Available from: http:// www.fooddrinkeurope.eu/uploads/publications_documents/temp_file_USE_ SustainabilityReport_LDFINAL_11.6.20123.pdf. (Accessed September 20, 2017). Franson, D., 2013. Beverages industry. In: Encyclopaedia of Occupational Health and Safety, fourth ed. Part X: Industries Based on Biological Resources. (Chapter  65) Available from: http://www.ilocis.org/documents/chpt65e.htm. (Accessed September 18, 2017). Gagnon, V., Borne, K., Paing, J., Chazarenc, F., 2014. Treatment of soft drink wastewater by vertical flow constructed wetlands: preliminaries results. In: Proceedings from IWA 14th International Conference on Wetland Systems for Water Pollution Control, Shangai, China. Garfí, M., Flores, L., Ferrer, I., 2017. Life cycle assessment of wastewater treatment systems for small communities: activated sludge, constructed wetlands and high rate algal ponds. J. Clean. Prod. 161, 211–219. Giannakis, S., Darakas, E., Escalas-Cañellas, A., Pulgarin, C., 2015. Environmental considerations on solar disinfection of wastewater and the subsequent bacterial (re) growth. Photochem. Photobiol. Sci. 14 (3), 618–625. Giannakis, S., López, M.I.P., Spuhler, D., Pérez, J.A.S., Ibáñez, P.F., Pulgarin, C., 2016. Solar disinfection is an augmentable, in situ-generated photo-Fenton reaction— Part 2: A review of the applications for drinking water and wastewater disinfection. Appl. Catal. B: Environ. 198, 431–446. Gumbo, B., Mlilo, S., Broome, J., Lumbroso, D., 2003. Industrial water demand management and cleaner production potential: a case of three industries in Bulawayo, Zimbabwe. Phys. Chem. Earth 28 (20), 797–804.

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Haroon, H., Waseem, A., Mahmood, Q., 2013. Treatment and reuse of wastewater from beverage industry. J. Chem. Soc. Pak. 35 (1), 5–10. Hay, J.X.W., Wu, T.Y., Juan, J.C., Jahim, J.M., 2017. Effect of adding brewery wastewater to pulp and paper mill effluent to enhance the photofermentation process: wastewater characteristics, biohydrogen production, overall performance, and kinetic modeling. Environ. Sci. Pollut. R. 24 (11), 10354–10363. Hidalgo, D., 2015. Heterotrophic microalgae cultivation to synergize anaerobic digestate treatment with slow-release fertilizers and biostimulants production. AOP J. Environ. Waste Manag. 1, 1. Hultberg, M., Bodin, H., 2017. Fungi-based treatment of brewery wastewater—biomass production and nutrient reduction. Appl. Microbiol. Biotechnol. 101 (11), 4791–4798. Jiranuntipon, S., 2009. Decolorization of molasses wastewater from distilleries using bacterial consortium (Doctoral dissertation). University of Toulouse. Available from: http://oatao.univ-toulouse.fr/7785/1/Jiranuntipon.pdf. (Accessed September 20, 2017). Jone0s, C.L., Taylor, R., Mogane, M., Mayo, M., Power, S., 2016. In: The underlying mechanisms for nitrogen and phosphorus removal in high rate algal ponds used to treat brewery effluent: harvesting algae using filter-feeding fish: the use of brewery effluent in agricultural crop production; and Duckweed as wastewater treatment solution. Report to the Water Research Commission, Report No 2284/1/16. Available from: http://www.wrc.org.za/Knowledge%20Hub%20Documents/Research%20 Reports/2284.pdf. (Accessed October 4, 2017). Kadlec, R.H., Wallace, S., 2009. Treatment Wetlands, second ed. CRC Press, Boca Raton, FL. Khosravi, R., Shahryari, T., Halvani, A., Khodadadi, M., Ahrari, F., Mehrizi, E.A., 2013. Kinetic analysis of organic matter removal in stabilization pond in the wastewater treatment plant of Birjand. Adv Environ Biol 7 (6), 1182–1187. Kim, B., Gautier, M., Prost-Boucle, S., Molle, P., Michel, P., Gourdon, R., 2014. Performance evaluation of partially saturated vertical-flow constructed wetland with trickling filter and chemical precipitation for domestic and winery wastewaters treatment. Ecol. Eng. 71, 41–47. Kumar, G., Bakonyi, P., Sivagurunathan, P., Kim, S.H., Nemestóthy, N., Bélafi-Bakó, K., Lin, C.Y., 2015. Enhanced biohydrogen production from beverage industrial wastewater using external nitrogen sources and bioaugmentation with facultative anaerobic strains. J. Biosci. Bioeng. 120 (2), 155–160. Laubscher, A.C.J., Wentzel, M.C., Le Roux, J.M.W., Ekama, G.A., 2001. Treatment of grain distillation wastewaters in an upflow anaerobic sludge bed (UASB) system. Water SA 27 (4), 433–444. Liquete, C., Udias, A., Conte, G., Grizzetti, B., Masi, F., 2016. Integrated valuation of a nature-based solution for water pollution control: highlighting hidden benefits. Ecosyst. Serv. 22, 392–401. Liu, C., Subashchandrabose, S.R., Megharaj, M., Hu, Z., Xiao, B., 2016a. Diplosphaera sp. MM1–A microalga with phycoremediation and biomethane potential. Bioresour. Technol. 218, 1170–1177. Liu, C., Subashchandrabose, S., Ming, H., Xiao, B., Naidu, R., Megharaj, M., 2016b. Phycoremediation of dairy and winery wastewater using Diplosphaera sp. MM1. J. Appl. Phycol. 28 (6), 3331–3341. Llorens, M., Pérez-Marín, A.B., Sáez, J., Aguilar, M.I., Ortuño, J.F., Meseguer, V.F., Ruiz, J.A., 2015. Sewage treatment with a hybrid constructed soil filter. Int. J. Chem. React. Eng. 13 (2), 161–168. Maïga, Y., Denyigba, K., Wethe, J., Ouattara, A.S., 2009. Sunlight inactivation of Escherichia coli in waste stabilization microcosms in a sahelian region (Ouagadougou, Burkina Faso). J. Photochem. Photobiol. B 94 (2), 113–119.

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McGuigan, K.G., Conroy, R.M., Mosler, H.J., du Preez, M., Ubomba-Jaswa, E., FernandezIbanez, P., 2012. Solar water disinfection (SODIS): a review from bench-top to rooftop. J. Hazard. Mater. 235-236, 29–46. Nasr, F., El-Ashmawy, A., Eltaweel, G., EL-Shafai, S., 2008. In: Waste stabilization ponds for wastewater treatment and reuse in Egypt. Proceedings from 1 st International Conference in Hazardous Waste Management. Nweke, C.N., Nwabanne, J.T., Igbokwe, P.K., 2015. Anaerobic digestion treatment of soft drink wastewater. J. Environ. Hum. 2 (1). Nweze, N.O., Anoize, A.C., Ude, B.O., 2014. Performance evaluation of a tropical modern brewery waste stabilization pond: a case study of Ama Breweries, Enugu State, Nigeria. J. Environ. Sci. Toxicol. Food Technol. 8 (2), 50–54. Ozbas, E.E., Tufekci, N., Yilmaz, G., Ovez, S., 2006. Aerobic and anaerobic treatment of fruit juice industry effluents. J. Sci. Ind. Res. 65, 830–837. Pasqualino, J., Meneses, M., Castells, F., 2011. The carbon footprint and energy consumption of beverage packaging selection and disposal. J. Food Eng. 103 (4), 357–365. Rozkošny, M., Kriška, M., Šálek, J., Bodík, I., Istenič, D., 2014. Natural Technologies of Wastewater Treatment. Global Water Partnership Central and Eastern Europe, Bratislava. Available from: http://www.gwp.org/globalassets/global/gwp-cee_files/ regional/natural-treatment.pdf. (Accessed 03 October 2017). Sekine, M., Salehi, Z., Tokumura, M., Kawase, Y., 2012. Solar photo-Fenton process for the treatment of colored soft drink wastewater: secolorization, mineralization and COD removal of oolong tea effluent. J. Environ. Sci. Heal. A 47 (14), 2181–2189. Serrano, L., De la Varga, D., Ruiz, I., Soto, M., 2011. Winery wastewater treatment in a hybrid constructed wetland. Ecol. Eng. 37 (5), 744–753. Souza, B.S., Moreira, F.C., Dezotti, M.W., Vilar, V.J., Boaventura, R.A., 2013. Application of biological oxidation and solar driven advanced oxidation processes to remediation of winery wastewater. Catal. Today 209, 201–208. Strong, P.J., Burgess, J.E., 2008. Treatment methods for wine-related and distillery wastewaters: a review. Biorem. J. 12 (2), 70–87. Subramaniyam, V., Subashchandrabose, S.R., Ganeshkumar, V., Thavamani, P., Chen, Z., Naidu, R., Megharaj, M., 2016. Cultivation of chlorella on brewery wastewater and nano-particle biosynthesis by its biomass. Bioresour. Technol. 211, 698–703. Tchobanoglous, J., Burton, F., Stensel, D., 2003. Wastewater Engineering Treatment, Disposal and Reuse, fourth ed. Metcalf & Eddy/McGraw-Hill, Inc, New York. Terungwa, I.R., Oparaku, L.A., 2016. Temporal variations in the characteristics of pretreated effluents from a brewery in Makurdi Metropolis-Nigeria. Am. J. Environ. Protect 4 (2), 55–60. Tilley, E., Ulrich, L., Luethi, C., Reymond, P., Zurbruegg, C., 2014. Compendium of Sanitation Systems and Technologies, second ed. Swiss Federal Institute of Aquatic Science and Technology (Eawag), Duebendorf. Available from: http://www.sswm. info/category/implementation-tools/wastewater-treatment/hardware/semicentralised-wastewater-treatments/w. (Accessed October 3, 2017). Tshuma, J., Maqhuzu, A., Bhebhe, S., Mudono, S., Kaitano, H., Mashanga, D., Mkandla, C.K., 2016. Beverage Effluent Treatment Technology. Available from: http://www. ajer.org/papers/v5(10)/A050100109.pdf. (Accessed September 20, 2017). Valta, K., Kosanovic, T., Malamis, D., Moustakas, K., Loizidou, M., 2015. Overview of water usage and wastewater management in the food and beverage industry. Desalin. Water Treat. 53 (12), 3335–3347. Velegraki, T., Mantzavinos, D., 2015. Solar photo-Fenton treatment of winery effluents in a pilot photocatalytic reactor. Catal. Today 240, 153–159. Von Sperling, M., 2005. Modelling of coliform removal in 186 facultative and maturation ponds around the world. Water Res. 39 (20), 5261–5273.

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Vymazal, J., 2014. Constructed wetlands for treatment of industrial wastewaters: a review. Ecol. Eng. 73, 724–751. Vymazal, J., Kröpfelová, L., 2009. Removal of organics in constructed wetlands with horizontal subsurface flow: a review of the field experience. Sci. Total Environ. 407 (13), 3911–3922. Welz, P.J., Holtman, G., Haldenwang, R., Le Roes-Hill, M., 2016. Characterisation of winery wastewater from continuous flow settling basins and waste stabilisation ponds over the course of 1 year: implications for biological wastewater treatment and land application. Water Sci. Technol. 74 (9), 2036–2050. World Bank Group (WBG), 2016. Introduction to Wastewater Treatment Processes. Available from: http://water.worldbank.org/shw-resource-guide/infrastructure/ menu-technicaloptions/wastewater-treatment. (Accessed September 25, 2017). Zoecklein, B., 2011. Winery Wastewater. Virginia Tech. Available from: http://www. apps.fst.vt.edu/extension/enology/downloads/wm_issues/Winery%20Waste%20 Water.pdf. (Accessed September 20, 2017).

Further Reading de la Varga, D., Soto, M., Arias, C.A., van Oirschot, D., Kilian, R., Pascual, A., Álvarez, J.A., 2017. Constructed wetlands for industrial wastewater treatment and removal of nutrients, in technologies for the treatment and recovery of nutrients from industrial wastewater. IGI Global, 202–230.

ALCOHOLIC BEVERAGES: CURRENT SITUATION AND GENERALITIES OF ANTHROPOLOGICAL INTEREST

2

Arianna Núñez-Caraballo⁎, José D. García-García⁎, Anna Ilyina⁎, Adriana C. Flores-Gallegos†, L. Georgina MichelenaÁlvarez‡, Gerardo Rodríguez-Cutiño⁎, José L. MartínezHernández⁎, Cristóbal Noe Aguilar† ⁎

Department of NanoBioscience, School of Chemistry, Universidad Autónoma de Coahuila, Saltillo, México †Food Research Department, School of Chemistry, Universidad Autónoma de Coahuila, Saltillo, México ‡Instituto Cubano de las Investigaciones de los Derivados de la caña de azúcar, La Habana, Cuba

2.1 Introduction One of the most amazing discoveries in the history was the alcoholic beverages by all ethnics around the world. Alcoholic beverages have been part of the humanity for many centuries and they were presented in rituals or ceremonies. It was believed that the effect induced by these beverages was a result of the Gods. Fortress, confidence, bravery, intelligence, etc. were attributed to their Gods by the use of beverages with alcohol. For this reason, some ethnical groups consider alcoholic beverages as “spiritual drinks” (Buglass et al., 2011). Over the time, other properties were discovered and considered as alcohol effects. Some pains were relieved and the avoiding of decomposition of food was achieved. Ancient hieroglyphics show the sale, fabrication, and distribution of some kinds of drinks which include the fermentation process. Aryans made numerous kinds of fermented beverages, which are mentioned in Vedas, the four oldest text of the Indian literature, saying “wine is unfit to be drunk, unfit to be given, unfit to be accepted,” but it was used as part of daily life (Raghavan et al., 2016). However, there is information about the punishment for people who abused alcohol. This led to the regulation of alcohol consumption, Processing and Sustainability of Beverages. https://doi.org/10.1016/B978-0-12-815259-1.00002-1 © 2019 Elsevier Inc. All rights reserved.

37

38  Chapter 2  ALCOHOLIC BEVERAGES

even Nero ordered the dilution of wine or beer with water in ratio 1:3. All this led to the deduction that the humankind has an instinctive movement to these substances (Buglass, 2014). In addition, the science and technology was advanced, where techniques to produce alcoholic beverages were enhanced, and with these advances, the possibility to create new alcoholic beverages came up. Alcoholic beverage production is a varied industry, since small-­ traditional local products produced in traditional ways to an automatized mega breweries and distilleries, where standardized parameters were established to specific quality products. Distillation is one of the most known methods used to produce different alcoholic beverages, which are defined as a drink that contains ethanol. One of the characteristics shared by this kind of beverages is that they are produced through anaerobic fermentation of plant-derived carbohydrate materials by yeasts (Kellershohn and Russell, 2015). These beverages can be divided into three classes: beer, wines, and distilled beverages or spirits, depending on the fermentable material used and the method by means of the material being processed. Some examples of the alcoholic classification, most popular types of alcoholic beverages, and the alcohol concentration are shown in Fig.  2.1 and 2.2. Chinese liquor is considered as a spirit, and the world’s largest consumed spirit (Xu et al., 2010). This spirit is fermented and distilled under solid-state conditions using jiuqu, which contributes to the flavor (Wu et  al., 2009) besides the ethanol content, which is approximately 38%–65% v/v (Han et al., 2014). Traditional process of Chinese liquor includes: starter (Jiuqu) preparation, substrate hydrolysis, liquor fermentation, solid state, distillation, aging, and blending. It is common to see that operations are considered rather an art based on generations’ experience than a technology (Jin and Xu, 2017).

Fig. 2.1  General classification of alcoholic beverages.

Chapter 2  ALCOHOLIC BEVERAGES   39

Most popular types of alcoholic beverages

Beer 2%–12% alcohol

Larger beer, ales, wheat beers, and fruit beers

Cider 2%–8.5% alcohol

Spirits 20%–80% alcohol

Wine 9%–16% alcohol

Vodka, whiskey, rum, tequila, gin, absinthe, liqueurs

Red rose and white wine, champagne (sparkling wine) and fortified wine

Fig. 2.2  Types of alcoholic beverages and strength of alcoholic drinks.

Alcohol beverage has been increasing in the past years, and the alcohol consumption as well. Alcoholic beverage industry is formed by all the companies that participate in the chain production, and contribute to the consumers. In this way, the alcoholic beverage industry is defined by Jernigan as all people involved in the distribution of these drinks, not only producers, but also hotels, bar, and restaurants that offer alcohol (Jernigan, 2009). Transparency Market Research reported that the global market is likely to expand at a CAGR of 6.4% between 2017 and 2025. Beers, lager, and cider consumption represent the 89% of the total intake of alcoholic beverage. China is the major consumer of alcoholic beverages with a 60.48 billion liter in 2017. However, different regulations have been implemented to control this product, its consumption and sale. There are regulations that exempt to alcoholic products of information shown to the consumers (Grunert et al., 2018). Some researches compare the way in which costumers choose their alcohol consumption. Regulation, tradition, and preferences are some of the criteria by which customers select their alcohol consumption (Bartlett et al., 2016). In the United States, there is a central organization to regulate these beverages, nevertheless, every state from the United States, has the freedom to use completely or partial these regulations looking to their welfare in economics and production terms. Excessive alcohol consumption is a major concern. Although we see alcoholic beverages as a great discovery in ancient times, and their greatest advances over time, alcoholic beverages have their consequent problems as well. Governments have taken into consideration the necessity of rules and penalties to those people who cause any problem or accident under the influence of alcohol. Nonetheless, we can ignore the damage that alcohol causes to health. To mention some of them are cancer, cirrhosis, heart attack, fetal alcohol syndrome, blood pressure, bone health, etc., which represent highly serious problems for the population (Ali et  al., 2017;

40  Chapter 2  ALCOHOLIC BEVERAGES

Temple, 2012). Several symptoms related to alcohol intake appear to account between alcohol consumption and premature mortality (Whitfield et al., 2017). It should be noted that nowadays, the number of women who consume alcohol has been increasing, and with this the negative effects that it has. This consumption increases the risk of rosacea in women (Li et  al., 2017). Not only physical symptoms are present in women who are alcoholic, but also psychological problems such as depression and anxiety (Míguez et  al., 2017). In some cases, alcohol is the origin of problems in a relationship, and normally, women suffer of violence (Espadas, 2017). Goh quantifies that the ethanol concentrations in Canadian beverages are declared to be non- or low alcoholic beverages. Results shown that ethanol is presented in low concentrations but enough to cause damage in pregnant women seeking alternatives in alcoholic beverages (Goh et al., 2010). The aim of this chapter is to analyze alcoholic beverages since their inecption, their production, and review of some aspects with regard to the market and the regulations involved in the alcohol industry. Nevertheless, we can ignore the problems or risks that it has; this is the reason why health complications are mentioned as well as the importance in the humankind.

2.2  Production of Alcoholic Beverages From ancient times, civilizations have learnt to ferment various kinds of substrates to produce their native alcoholic beverages (Solange et al., 2014). Probably the first drinks were made from sugary substrates such as fruit juices, since it only requires contacting the juice with the wild yeast present on the surface of the fruit itself (Dhar et al., 2013). Alcoholic beverages are those beverages that contain ethanol in their composition. Considering the elaboration, we can distinguish between drinks produced simply by alcoholic fermentation [wine, beer, cider, mead, and sake (Shiroma et al., 2014)] in which the alcohol content does not usually exceed 15 degrees, and those produced by distillation, usually from a product of the previous fermentation. Among the latter are the different types of spirits (such as brandy, whiskey, tequila, rum, vodka, cachaça, pisco, gin, etc.) and liquors, among others. Conventional forms of fermentation, batch or continuous, use suspended cells and provide low yields in productivity. The handling of high cell concentrations in fermentation processes with free cells requires the use of many centrifuges in sterile conditions for the separation and recirculation of yeast, which economically affects the

Chapter 2  ALCOHOLIC BEVERAGES   41

­ rocess due to high cost and periodic requirements in maintenance p in addition to considerable energy consumption. Productivity can be increased by using immobilized cells, which allows the bioreactor to operate with high cell concentrations. Recycling is not required to maintain high cell density; this allows the bioprocess to be operated efficiently and economically. The advances in nanobiotechnology show important perspectives to take advantage of the interaction between nanomaterials and agents with biological activity, as is the case of microorganisms immobilized in nanostructures with magnetic properties for obtaining ethanol (Razi and Meryam, 2015). An advantage of these systems is to recover the immobilized material once its function has been fulfilled to reuse it (Osuna, 2012).

2.2.1  Raw Materials of the Fermentation Process Molasses is the final effluent from the extraction of sucrose from cane or beet juices. The proportion of molasses and its composition provide important information about the local conditions of production of the agricultural source (climatic conditions, nature of the soils, variety) (Conde-Mejía et al., 2012) and at the same time the treatment received within the sugar factory (clarification, crystallization, among others). The molasses yield approximately 2.5%–3% of the milled cane and it is close to 25% of the sucrose produced, they are a very variable product and can change its composition and quantity from batch to batch within the factory. Conventional ethanol production uses cane molasses at high concentrations of sugar and is carried out under anaerobic conditions. Some of the nonsugar components in the final honeys of cane have sufficient weight in the production of ethanol, which justifies their detailed attention (Hernández, 2014). The ethanol yields are, if the operating conditions are favorable, 64 L of ethanol per 100 kg of sugars. Cane juice is a direct source of sugars for alcoholic fermentation. The juice, which is defined as a diluted solution of sucrose, glucose, and fructose, is made up of water (about 82%) and soluble solids or Brix (about 18%). The secondary juices are the most suitable for alcoholic fermentation. Its purity is very high compared to molasses and other intermediate syrups, which results in higher fermentation efficiencies. On the other hand, the yeast consumes the sugars in this order: glucose, sucrose, and fructose, in which the glucose induces the formation of its molecular transporters and represses the others, which are specific for each sugar. Table 2.1 compares the different factors that can affect alcoholic fermentation

42  Chapter 2  ALCOHOLIC BEVERAGES

Table 2.1  Characteristics of Sugary Substrates to Produce Ethanol by Fermentation Factors

Glucose/ Bacteria, Sugars (%) ufc-mL

Molasses Juice

34 5

Ashes Sludge Colloids Inferm (%) Ca:Mg (%) (%) (%) pH

103–104 9.4 ~102–103 max 0.1

2.8 1.1

6 700 mg/L, with concentrations greater than 1.2–1.3 g/L turning unpleasant (Domingues et al., 2012; Buglass, 2014). During maturation, the unpleasant flavors, probably caused by the volatile sulfur compounds, fade. Investigations on the maturation of distillates in oak casks have demonstrated that many compounds are liberated by alcohol from the walls of the casks (Buglass et al., 2011). Lignin is a compound that performs an important role and is responsible for the appearance of some aromatic aldehydes and phenolic compounds. During the maturation process, these compounds are liberated from oak together with monosaccharides (pentoses, quercitol), carboxylic acids, and “whisky lactone” (5-butyl-4-methyldihydro 2(3H)-furanone) (Buglass, 2014). A considered manifestation of the degradation (oxidation) of oak lignin (Buglass, 2014) is the appearance of aromatic compounds. The procedure of the distillation influences the occurrence and concentration of volatile flavor compounds in the distillate. During the manufacture of strong spirits, it is customary to improve the flavor of the distillate by stripping it of low-boiling and high-boiling compounds to a greater or lesser degree. Synthetic substances and ingredients isolated from herbs and spices may be added in certain flavored alcoholic drinks. For example, hop is applied on beer as flavoring additive. It contains α-acids and β-acids, essential oils, polyphenols, fatty acids, proteins, cellulose, pectin, and salts. The flavor of vermouths, aperitifs, bitters, liqueurs, and some flavored vodkas is frequently composed of different essential oils or their mixtures; synthetic products and coloring substances, such as caramel (Buglass, 2014), may also be added to improve the perceived flavor. The exact compositions of many alcoholic beverages are trade secrets; however, there is extensive literature on the aroma components which are usually present at low levels, more than 1300 of which have been identified (Buglass, 2014). Information about nonaroma compounds is less extensive. For example, proteins provide the essential amino acids needed to aid in the building and maintenance of body tissues. The Kjeldahl method is the worldwide reference method for the determination of nitrogen and protein (Buglass, 2014).

2.4  Market of Alcoholic Beverages It is known that people have consumed alcoholic drinks for thousands of years, creating traditions and establishing markets in many cultures (Bezerra et al., 2015).

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The human being goes in search of products or services that satisfy their needs, which have forced producers to investigate, observe, and analyze how to respond to such needs. Market research gives a complete analysis of the external factors implicit in the products and serves as a link between the organization and its market environment (Prieto and Gutiérrez, 2013). Increasing people’s empathy to a brand is the best way to build a solid customer and a good market share which led to good financial results and sustainable business. The most significant trend in the alcohol industry in recent decades is its consolidation. All the companies that participate in the alcohol value chain and so contribute to bringing alcohol to consumers form the alcohol industry. This industry is composed of five categories: raw materials suppliers, producers, distributors and wholesalers, vendors, and input suppliers (Jernigan, 2009). Raw materials for the alcohol industry are supplied by a large set of farmers and industry structure varies substantially between drink categories. A few large global firms take advantage of the beer market, while the wine market is extremely fragmented. In Western countries, domestic alcohol markets broadly reflect the global picture, with some specificities unique to each country. Overall, the leading producers of market tend to be the same in each market, but their most successful brands tend to differ from each market to the next. Distributors and wholesalers can be alcohol-focused specialists or general suppliers which typically serve supermarkets. In many countries, a license from the state is required to sell alcohol, with different licenses depending on whether alcohol is consumed on the premises (Anderson et al., 2012) The economics production of alcohol may vary among producers, based on their actual activities, efficiency, and market (WHO, 2014). Globalization driving the consolidation of the alcohol industry has also been facilitated by increased marketing, cheaper distribution costs, and more standardized products. Global distribution networks can be more efficient economically and under trade barriers. The world’s leading producers have focused their efforts on selling their products to fast-growing developing countries. The creation of global networks can increase employment and spread technological advances from more- to less-developed countries (IAS, 2016). In 2016, recent legislation challenged this system by requiring a “market-rent only” option for pub tenants, while in some years ago pub companies rent their premises to managers at subsidized below-­ market rates (IAS, 2016). The largest markets in the industry are led by China, followed by the United States, Brazil, Germany, Russia, Japan, Mexico, the United Kingdom, India, and Spain; the latter entered the group for the firsttime last year, surpassing France, with a growth of 2%.

Chapter 2  ALCOHOLIC BEVERAGES   55

At present, the Mexican market is dominated by transnational producers who have acquired historical brands such as tequila or mezcal. In Mexico, an acceleration in the consumption of alcoholic beverages is expected to reach 69.3 L per capita in 2019 with revenues for this industry of more than 40,000 million of dollars, resulting from an average increase of 2.6% since 2014. The premium artisan mezcal is on the rise in Mexico, predominantly among the young urban people of higher social status. Mezcal was traditionally considered a cheaper ­alternative than tequila and was geared toward low-income groups. But both, modern and better production techniques have produced a very high-quality mezcal, marketed successfully among a new consumer base, most notably the urban elite. Mexico ranks ninth in the fastest growing countries in the champagne market (WHO, 2014). In 5 years, Mexico has increased its volume by 18.6% going from 6786.9 million to 8055.9 million liters, and it is estimated that in 2020 Mexico in the national market will surpass Japan (IAS, 2016). The alcohol industry, along with most business, is highly engaged in the pursuit of growth. Alcohol industry growth can come in three ways: by encouraging more people to drink, by encouraging people to drink more, and by encouraging them to drink more expensive drinks. In recent times, the alcohol industry has pursued each of these strategies to promote themselves and their products. Also, they have formulated cheaper products affordable to those with low incomes. In the alcoholic beverages industry in Colombia, beer has the highest sales, its participation is much higher in the market but the degree of alcohol present on it, which oscillates between 3.5% and 6%, this value is lower taking into account that imported beers can have a maximum of 11.8°. This is an evidence of the profitability of the beer market because it obliges us to consume more and consequently to spend more compared to the consumption of a drink with a high degree of alcohol such as rum and brandy. Other spirits liquors such as tequila, ginevra, and drandy/cognac have a smaller market when compared with whiskey and vodka which have increased their sales (Prieto and Gutiérrez, 2013). A problem that arises is that alcohol beverage industry denies that they advertise to younger people, but their strategies are focused on insuring the future generation of consumers. Another strategy they apply is to highlight the importance of quality in beverages, so that higher quality represents a higher price. Recently, the link between these companies and other sectors such as sugary drinks and processed foods has been evidenced, establishing alliances to share positions in the fight against the regulations that are dictated in favor of health but that affect the income of these companies. All this led us to see how many of them share common knowledge and directors.

56  Chapter 2  ALCOHOLIC BEVERAGES

Alcohol industry groups regularly collaborate with trade associations, consumer groups, sympathetic organizations, and think tanks, to organize advertising campaigns for consumer rights and conduct research in defense of the alcohol industry. But all this is funded by the companies of sugary drinks, tobacco and alcohol so it is thought that there is no impartiality in the investigations they carry out. These companies also give financing to political advertising campaigns, help economically directly to politicians, and allow some politicians after their term to take jobs in alcohol companies, serving this motivation to help these companies while they are in government (Jernigan, 2009). The alcohol industry has a significant influence, not only on its commercial activities, but also on social and political perceptions. Many a times, such research funded by the alcohol industry promotes weak evidence and makes claims about the adverse effects of the unfavorable policy proposals made by the state, misrepresenting the evidence, and advocating policies favored by the industry, which are not supported by the presentation of evidence. Therefore, the alcohol industry, like many other sectors are affected due to the regulations promulgated by the government. They invest a lot of time, effort, and money trying directly to shape the government’s policy in order to carry out this task. Firstly, public officials are responsible for drafting, implementing, and enforcing the legislation, as well as being counselors and guardians of the ministers. The alcohol industry conducts regular bilateral meetings with ministers and government officials while health activists do not have that access to government as the industry does. Secondly, deputies outside the cabinet can challenge and examine the government in parliamentary debates. They also maintain good relations with the opposition parties seeking what future governments could be and ensure their welfare. Many of these access points to the government are also open to nongovernmental organizations, like charities or academic experts that provide opposing perspectives to the industry. These groups also have meetings with deputies and officials, but it has much less influence than the industry for the reasons mentioned previously. Another influence area of great importance for the alcohol industry is trade policy, as the agreements of the World Trade Organization and the European Union, which are a key tool for alcohol companies in their efforts to expand globally and for their own benefit. Trade policies try to promote their products to developing countries and these agreements allow lower tariffs. Young people, who came from a high social status, tend to consume more alcohol than those who belong to a medium or low social status. In some cases, education usually only plays a small role; male adolescents, who have more educated parents, are associated with a

Chapter 2  ALCOHOLIC BEVERAGES   57

higher probability of consuming wine and a lower probability of consuming other beverages while there are no associations for adolescent women. The different beverage categories have different and contradictory political agendas. The liquor industry believes that the taxes should be based on alcohol content, what will be reflected in the increasing of beer cost. The beer industry generally believes that cider should be considered at the same level as beer, although many cider producers mention that they incur in special costs that justify special protections. The WHO has an important role in coordinating global health policy.

2.5  Anthropology of Alcoholic Beverages Alcoholic beverages have been a distinctive component of many cultures for thousand years and in most human communities, they are still part of the traditional knowledge (Egea et al., 2016). Recent literature in archeology places considerable importance on ritual in which alcohol and other psychoactive substances are an important element. Feasting events as well as the production and consumption of alcohol are valued group occasions in ancient societies as well as in historical contexts for archeologist (Bennett, 2013). Human consumption of fermented products is documented in texts dating to the second millennium BC in West Asia (Miller, 2014). Wine is cited among the most common alcoholic beverages in Europe and Mediterranean area while beer was already known in ancient Egypt; cider is probably as old as them (Anon, 2016). In many cultures, drinking alcohol was an occasional activity shared by people within the communities, often associated with festivals or special occasions. Nowadays, these traditional customs persist. For example, ritual beer drinking plays a central role in managing the potential ambiguity of depending on cash from migrant labor while retaining a strong rural identity, and to a household’s prosperity. Maize beer is the alcoholic beverage that Shixini people, in South Africa, enjoy. They have a strong rural orientation and value an agrarian lifestyle, so brewing and sharing beer reflects generosity (MacAllister, 2001). Fermentation and distilling brewing are the main methods used to produce alcoholic beverages. Archeological evidence indicates that alcoholic beverage production developed independently through different parts of the world and existed in parts of the New World before European settlements, but after colonization, production expanded enormously. In communities where alcohol was traditionally consumed, production of alcoholic beverages commonly occurred as an artisanal activity when agricultural surpluses were available (Anon, 2016). However, by the late 1600s, distillation was an industry broadly developed in the Caribbean which was driven mainly by the growth

58  Chapter 2  ALCOHOLIC BEVERAGES

of sugar production. Also, traders, colonial officials, merchants, and missionaries were instrumental in introducing alcohol to Native Americans which was stored in containers that were both durable and airtight due to volatility of alcoholic beverages (Bennett, 2013). In colonial expansion, drug foods were commonly introduced to colonialized people as a key force used by European powers to establish profitable colonies. Alcohol, tobacco, caffeine, and opium were the main drugs used to stimulate labor. However, as industrial capitalism developed, stimulants such as nicotine and caffeine became preferred over alcohol as drug food advanced by colonial powers (Jankowiak and Bradburd, 2003). Within alcohol consumption, almost one quarter is drunk in the form of traditional alcoholic beverages (TABs). They are homemade and informal preparations produced at local or family level, include by the World Health Organization in the “unrecorded alcohol,” highlighting its cultural, social, and economic importance. In some countries like southeastern Asia and eastern Mediterranean region, TBAs consumption represents more than 50% of total alcohol consumption (Anon, 2016). A wide variety of TABs can be found in different parts of the world; in Fig. 2.4 is shown a TBA from Mexico called pulque. Nowadays, alcohol consumption varies across gender and ethnicity: men consume more alcohol than women. American men are much likely than women to use alcohol and to report heavy drinking. However, women in developed countries drink more than women in developing countries (Rehm et al., 2009). Among racial and ethnic groups, Whites report the highest overall alcohol use among people aged 12 and over but higher level of binge drinking are reported in American Indians (30.2%), followed by Whites (23.9%), Hispanic/Latinos (23.2%), African Americans (20.6%), and Asians (12.7%) (SAMHSA, 2013). Also, alcohol misuse and rates of dependence increased among men, young Black women, and Asian men in the late 1990s (Grant et al., 2004).

Fig. 2.4  Pulque, a traditional fermented beverage (TBA) from Mexico, which is obtained from spontaneous fermentation of agave sap.

Chapter 2  ALCOHOLIC BEVERAGES   59

Spillane et  al. (2015) studied alcohol usage among Indigenous people living in Canada (First Nations, FNs). In general, FN people reported lower alcohol consumption rates (65.6%) as compared to the general Canadian population (79.3%) (Canada. Health Canada and Gibson Library Connections, 2009). In United States, 16% of FN members reported heavy drinking in comparison with 8% in the general Canadian population. Alcohol-related health disparities have been well-documented among Indigenous people, but much less research has been paid to treatment and self-initiated attempts to reduce or quit drinking (Greenfield and Venner, 2012). If factor associated with perception of individual need for help their drinking behavior or toward cutting down or stopping alcohol use, could be useful for developing of treatment programs. In the general population, most people with alcohol use disorders never seek formal help (Oleski et al., 2010). In this sense, the National Epidemiological Study on Alcohol Related Conditions (NESARC) found that approximately only 15% of people with alcohol use disorder have ever received treatment of any type (Cohen et al., 2007). Socioeconomic status indicators usually are strong predictors of health behaviors and outcomes and tend to be positively associated with health. Younger people, married, with higher income or higher education did not have an adverse general medical condition, but in general population, most people with alcohol use disorders never seek formal help (Oleski et  al., 2010). People with higher socioeconomic status tend to drink more frequently than others, but low socioeconomic status groups tend to drink larger quantities of alcohol (Huckle et al., 2010). Moreover, alcohol use can be linked to a complex array of factor from individual level (genetics) to population level (cultural and societal factors) (Krieger, 2001). Within societal influences, media exposure influences social norms about alcohol through advertising, stories, and product placement in a wide range of sources like movies and social media. Alcohol commercial particularly affected younger adolescent’s propensity to consume alcohol (Grenard et  al., 2013). Through alcohol marketing, positive beliefs about dinking are created in individuals and environments where alcohol use is socially acceptable, encouraged, and expanded (McKee et  al., 2011). Although the alcohol industry marketing strategies target adult from 21 to 29, some products result attractive to younger drinkers. Research estimates that 20.5% of teenagers started drinking before age 13 (Eaton et al., 2012). In the United States, approximately 75% of high school seniors and 64% of high school 10th graders report having experimented with alcohol (Kann et al., 2016). Immigration can also influence alcohol consumption, due to the stress of experiencing new environments and cultures as well as living in poor neighborhoods, finding good, secure jobs in safe work environments, and encountering few opportunities to enhance income or

60  Chapter 2  ALCOHOLIC BEVERAGES

wealth (Sudhinaraset et al., 2016). However, recent immigrants generally have lower rates of alcohol consumption and excessive drinking than other US residents (Szaflarski et al., 2011). Among Latino men, they had higher level of alcohol use before immigration (Sanchez et al., 2014). On the other hand, community is an important factor in alcohol use. A neighborhood with a poorly built environment, with inferior building conditions, housing, and water and sanitation indicators are 150% more likely to report heavy drinking compared with those living in better built environments (Bernstein et al., 2007). Also, childhood exposure to violence leads to increased exposure to alcohol use as well as to delinquent peers (Trucco et al., 2014). Behavior of the youth can also be influenced by the behavior of people from whom they spend most of the time with. Studies have found that higher levels of alcohol use among parents and peers are associated with increased alcohol use among adolescents and young adults (Cruz et al., 2012). In contrast, higher parental monitoring and being in a nuclear family protect them against alcohol and other substance use (Ewing et al., 2015). Alcoholic beverages can also be part of cultural norms and beliefs. For example, “machismo” has been a significant cultural influence for generations and remains integral to Latino male identity, which could lead to heavy drinking patterns among Latino men (Dolezal et  al., 2000). Machismo suggest that Latino men attempt to appear strong and masculine because of cultural values, and drinking greater amounts of alcohol further explain their masculinity. In contrast, Asians are thought to have higher abstention rates compared with other racial and ethnic groups (Cook et al., 2012). The harmful effects of alcohol misuse are far reaching and range from accidents and injuries to disease and death, as well as consequences for family, friends, and the larger society. Globally, alcohol-­ attributable disease and injury are responsible for an estimated 4% of mortality and 4%–5% of disability-adjusted life years (Rehm et al., 2009). Thus, alcoholic education and public health and treatment programs should consider the economic and sociocultural factors that impact in alcohol consumption.

2.6  Implications in Human Health for the of Consumption Alcoholic Beverages 2.6.1 History The word alcohol, according to the dictionary of the Royal Spanish Academy, comes from the Hispanic Arabic kuhul, which refers to subtle and “al” means “the.” This refers to the fact that alcohols were called “spirit.” History shows that alcoholic drinks existed since ancient times. The appearance of ceramics between the Mesolithic age and early

Chapter 2  ALCOHOLIC BEVERAGES   61

Neolithic age helped in storage. The Babylonians and Sumerians used yeast to obtain alcohol (Ghasem et al., 2007). Both, Greek civilization, which was named Dionysos due to the God of wine, and Roman civilization called it Baco. The expansion of the Roman Empire had enormous influence on the first mankind alcoholization (Díez, 2003). In pre-Columbian America Cristóbal Colón was offered a beverage like beer. With the colonization came the exchange in several directions of alcoholic beverages. In the beginning, the use of this substance was with ritual or magic-religious character, but over time it has evidenced its regularization in its consumption and sale in certain civilizations (Díez, 2003). In the 1960s, alcohol consumption increased. It was influenced by politics, economy, and migratory movements, which is why alcohol was institutionalized. Recently, a group of scientists from the United States, the United Kingdom, and Mexico obtained organic residues in the remains of vessels from pre-Hispanic Mesoamerica, dating from the 1950s. BC to 650 AC. These analyses reveal that the inhabitants of Teotihuacan (Mexico) consumed pulque, a fermented alcoholic beverage from the agave. Researchers believe that this drink was used not only as a dietary supplement when they faced bad harvests but also consumed at important celebrations (Correa et al., 2015). A group of experts from China and the United States obtained direct evidence of the manufacture of beer in the region of Mijiaya (China) that dates from 5000–2900 BC. In the beginning of Neolithic period, several grains like barley, wheat, corn ferment, and mixes of this grains were used (Wang, 2016).

2.6.2  Health Effects From the Consumption of Alcoholic Beverages Consumption of alcoholic beverages in social meetings is a very common practice in many countries, which led to negative health consequences due to the dependence that alcoholic beverages may cause. Its consumption is appreciated because it serves as a symbol of sociability and relaxation alternative of daily responsibilities. People are comfortable with alcohol consumption, so it is difficult to recognize and act on the difficulties that their consumption results in (WHO, 2006). Consumption depends of many factors such as: rooting in many cultures, environmental conditions, even the celebration of social events such as weddings, baptisms, and birthdays among others. Cultures with religious traditions such as Jews and Protestants have strict consumption norms. The term alcoholism was introduced by Magnus Huss in 1849, changing its meaning, its consumption, and strategies to prevent it,

62  Chapter 2  ALCOHOLIC BEVERAGES

until introducing it in the group of drugs, from which only the differences of legal instrumentalist separate it (Fernández, 2006). In 1976 experts from the World Health Organization elaborated the following concept: Alcoholism is a chronic behavioral disorder manifested by repeated alcohol ingestions, excessive in relation to the dietetic and social norms of the community and that end up interfering with the health or the economic and social functions of the drinker (WHO, 1976)

Consumption of alcoholic beverages occupies the third place among the main risk factors for health in the world only surpassed by hypertension and tobacco. Overall, the detrimental effects of alcohol outweigh by far the beneficial effects, and thus, the risk of mortality increases steadily after 10-g average daily consumption (Rehm, 2013). Alcohol-attributable cancer, liver cirrhosis, and injury constitute most the burden of alcohol-attributable mortality (Rehm, 2013). The harmful effects of alcohol have been demonstrated on many diseases, such as liver cirrhosis, neuropsychiatric disorders, diverse types of cancer, pancreatitis, diabetes mellitus (Nichols et  al., 2012), heart disease, fetal accidents in pregnant women, injuries from driving while intoxicated, suicide (Yi et al., 2016) falls and drownings. In 2010, alcohol-­attributable cancer caused deaths among 245,900 men and 91,500 deaths among women, liver cirrhosis was responsible for 336,400 deaths among men and 156,900 deaths among women and injuries were responsible for 598,200 deaths among men and 71,100 deaths among women (Rehm, 2013). The quality of beverages can have an impact on health and mortality due to the consumption of homemade or illegally produced alcoholic beverages that may be contaminated with methanol or lead. In England, results suggest that the optimum population level of alcohol consumption for minimizing chronic disease mortality is just 5 g per day (Nichols et al., 2012). The liver is one of the organs especially affected by alcohol because it is the body’s main detoxification organ, which eliminates toxic substances through the bile, but when this process exceeds certain limits can cause a destruction of the liver cells being the liver injury due to its most serious toxic effects. Alcohol abuse during pregnancy can harm the fetus. It can also cause abortions, premature births, and prenatal death. A fetus exposed to alcohol can be affected for life. Fetal disorders caused by alcohol is a general concept that encompasses delays in the growth and development of the brain and central nervous system, having devastating repercussions on affected people and their families (WHO, 2010). Nowadays, alcohol is considered a legal drug, its continued use produces tolerance, which is characterized by a decrease in the

Chapter 2  ALCOHOLIC BEVERAGES   63

e­ ffects with the same amount of alcohol. The lack of this substance in the body of the person accustomed to drinking produces physical and psychological dependence. If the dependence is very strong, the symptomatology can be very serious: tremors, seizures, tachycardia, hallucinations, and delusions (Fernández, 2006). In recent times, weekend drunkenness has taken too much importance, which appears as a pattern of development, especially in the sectors of youth population. Studies indicate that alcohol led to aggressiveness, courage, loquacity, sociability, and the breakdown of monotony, passing psychotropic functionality to a secondary level. Adults decide whether they drink or not and how much they drink according to their own values, interests, and preferences. It is important to point out that alcoholism is one of the most difficult diseases to diagnose and often the patient is not aware of his illness.

2.6.3  Strategy for the Reduction of Alcohol Consumption Alcohol policies are defined as the decisions made by governments through laws, rules, and regulations to serve the interests of public health and social welfare, reducing the great cost and suffering related to the use of alcohol (Monteiro, 2007). The government in each country is the governing body responsible of using some of the most effective tools to prevent and reduce the problems related to alcohol. The application of those measures requires participation and the use of resources and actions by each person involved in this movement. Health professionals and public health institutions have a significant role in providing health care, including treatment and brief interventions for risk-drinking drinkers and their families (WHO, 2006). One of the measures is the restriction of availability through an ­effective fiscal policy, limiting the number of points of sale of alcohol and limiting the time of sale. This criterion is applicable to license for premises such as restaurants, bars, and clubs, as well as stores where alcohol is sold. Other measures used are against driving under the influence of alcohol, restrictions on the marketing of alcohol, policies of taxes, and increasing the price that discourages frequent consumption and excessive amounts (Gonzales et al., 2014), regulation of social contexts that encourage excessive consumption and reduction of informal production. Another measure that is carried out is in school education, because knowledge is increased, and attitudes are changed for the future. However, it is a passive way of acting, hence the importance of implementing all measures as actively as possible and that each country joins this fight, since the measures vary greatly from one country to another. There are also restrictions on alcohol advertising

64  Chapter 2  ALCOHOLIC BEVERAGES

and sponsorships of production companies in certain media in some countries. Besides, effective strategies in reducing risky alcohol consumption in sports clubs such as: prohibiting free or cheap alcohol promotions, ceasing drinking games, prohibiting the sale of alcohol via roaming sale in stands, and restricting alcohol-related sponsorship have been performed (Kingsland et al., 2015) An important contribution of the studies that are carried out is that they allow us to monitor alcohol consumption and the attributable damages, since these health data obtained are the basis of the policies and strategies that will be implemented in the future (Shield et al., 2013). For different reasons, in many countries just little measures or nothing has been done to implement these measures, so, the great task is to persuade governments and authorities about their responsibility in terms of health and society welfare. However, part of the availability of alcohol can be more social than commercial, since young people have access to alcohol through their parents or older friends, which requires broader community action programs. Effective actions to prevent or reduce the harm caused by alcohol will require the development and application of recommendations based on scientific evidence and a strong political commitment (WHO, 2006). Young people represent an important link to change current consumption patterns, so we must mobilize and train young people to participate in the creation of their own environments, as well as change the harmful practices and attitudes of adult society in their lives. Alcoholic beverages are considered as merchandise. The production and sale of these, together with their associated industries, are important parts of the economy in many countries because they provide jobs to many people, exporting earnings to beverage companies, and substantial tax revenues to governments. Such economic and fiscal interests are often an important determinant of policies that can be considered as barriers to public health initiatives. Alcoholic beverages, particularly wine and beer, are also considered agricultural products in developed and developing countries and play a role in the economies of these countries. Public health research is significant, since it can compensate for the influence of fiscal and economic interests (WHO, 2006).

2.6.4  Differences Between Genres Regarding the Consumption of Alcoholic Beverages Traditionally, men in most countries drink more frequently and intensely than women, although in recent years there has been an increasing in this consumption in females. Mainly in developed countries, treatment programs tend to be aimed at women, men sometimes

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ignore the needs of women. Globally, 6.2% of all male deaths are attributable to alcohol, compared to 1.1% of female deaths (WHO, 2011) Several causes have been thought looking for the reason why the woman drinks. Because of globalization, the number of women who drink is increasing, especially those who are more educated and more responsible (Monteiro, 2007). Women think that drinking will take away the responsibilities and stress of life they are submitted daily such as caring for the home, children, care of the sick, or work. Another cause is the tendency to unify gender differences, so the woman assumes behavioral patterns as a typically male, such as drinking or smoking. There are several differences between men and women that must be considered, since alcoholic beverages have greater affectation in women, children, and young people than in adult men with the same consumption. This is due to these groups who tend to have lower body weight, smaller livers, and higher proportion of fat than muscle, so they have higher concentrations in blood. Women tend to experience more social stigmas compared to men. They drink more frequently in private, contrary to what happens with men, who drink frequently in public places. This contributes to the invisibility of alcohol use in women, which decreases the probability that they will seek help for their problems related to the use of alcohol (Monteiro, 2007). They are also direct victims of aggressive behaviors of ingestion in men and high intake can also compromise the capacity of conception of women. Another difference that exists between the man and the woman is the capacity of conception of the woman, the reason why when they are pregnant, they should not consume alcoholic drinks to avoid any of the possible damages that happen to the fetus during this period and the sequels that appear after the birth of the child. Family environment is the biggest problem that women consumers deal with. For this reason, it helps us to understand and help to initiate a treatment to some reluctant women to abandon the multiple roles they perform in the private sphere (mother, partner, emotional support) or public (worker and head of household), on the contrary, men are supported by their partners and family members (Valdivieso, 2014).

2.7 Conclusions The alcohol consumption has been ingrained in our culture. It has become part of the daily life. Alcoholic beverages have been part of the men for a long time. Its origins could have been accidentally but it has improved over the years. What is true, is that all people have an instinctive to this kind of drinks, which can be influenced by their environment where they were raised. As a tradition or as a part of culture, alcoholic beverages could be a symbol of every ethnical group.

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Sharing a mug of beer or a glass of wine may mean friendship, sociability, or confidence. This is the reason why alcohol beverages industry has tried to enhance the production to offer a better product. Based on the traditional or artisanal way, alcohol beverage industry has taken these methods and improved it. The process has not only been the purpose of research, but also the utilization of microorganisms which can be reutilized. The utilization of nanoparticles to recover yeast could be the trend in future years. It is well known that the raw material is too important for the type of beverage that is pretended to obtain. Processes must be strict with every step that is part of the process to obtain reproducibility in the beverages properties. The selection of the suitable microorganism is essential for researches working in the improvement of this process. However, processes and products must fulfill with the appropriate regulation where they are going to be sold or produced. One aspect to consider is the necessity to inform the nutrimental information on labels for the customer utilization. All this led us to consider the market, and researchers have great opportunities to generate new advances due to the increment of the alcohol beverage industry. In spite of being part of humanity, we can ignore the problems involved in this topic. In the origins of these types of drinks, it could be observed the same problematic as nowadays. Psychology and medicine have defined the alcoholism as an illness. Civic organizations, in collaboration with the government, have developed strategies in order to reduce the number of alcoholic people and collateral effects. Nevertheless, alcoholism has had a great impact on lives and around one million of deaths are related with alcohol. Alcohol beverages have been a symbol of culture and identity, but we must be aware of the risks it could have. Greatest advances have been discovered and with this, the opportunity to develop new process to generate knowledge.

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Further Reading Baan, P.A., 1976. Organización Mundial de la Salud: Glosario de trastornos mentales y guía para su clasificación. Ginebra. Available from: http://vufind.uniovi.es/Search/ Results. (Accessed October 17, 2017). Coelho, E., et  al., 2015. Systematic approach for the development of fruit wines from industrially processed fruit concentrates, including optimization of fermentation parameters, chemical characterization and sensory evaluation. LWT Food Sci. Technol. 62, 1043–1052. Available from: http://www.sciencedirect.com/science/ article/pii/S0023643815001231. (Accessed October 31, 2017). Coelho, E., et al., 2017. Vinegar production from fruit concentrates: effect on volatile composition and antioxidant activity. J. Food Sci. Technol. 54, 4112–4122. Available from: https://link.springer.com/article/10.1007/s13197-017-2783-5. (Accessed October 28, 2017). Diccionario de la Real Academia Española, Available from: http://dle.rae.es. (Accessed October 17, 2017). Najafpour, G.D., 2007. Biochemical Engineering and Biotechnology, first ed Elsevier Science. Available from: http://www.sciencedirect.com/science/ book/9780444528452. (Accessed October 30, 2017). OMS, 2010. Estrategia mundial para reducir el uso nocivo del alcohol. Available from: http:// www.who.int/publications/list/alcohol_strategy_2010/es/. (Accessed October 20, 2017). OMS, 2014. Proteger al feto contra los daños del alcohol: las mujeres aborígenes de Australia toman el liderazgo. Available from: http://www.who.int/features/2014/ aboriginal-babies-alcohol-harm/es/. (Accessed October 20, 2017). Rehm, J., 2010. Alcohol and mortality, global alcohol-attributable deaths from can­cer, liver cirrhosis, and injury in 2010. J. Alcohol Res. 35, 174–183. Available from: https://www. ncbi.nlm.nih.gov/pmc/articles/PMC3908708. (Accessed October 29, 2017). Suyun, L., et  al., 2017. Alcohol intake and risk of rosacea in US women. J. Am. Acad. Dermatol. 76, 1061–1067. Available from: https://www.ncbi.nlm.nih.gov/ pubmed/28434611. (Accessed October 27, 2017). Vilanova, M., Oliveira, J.M., 2012. Application of gas chromatography on the evaluation of grape and wine aroma in Atlantic Viticulture (NW Iberian Peninsula). In: Gas Chromatography in Plant Science, 110 Wine Technology, Toxicology and Some Specific Applications. Available from: https://www. intechopen.com/books/gas-chromatography-in-plant-science-wine-technology-toxicology-and-some-specific-applications/application-of-gas-chromatography-on-the-evaluation-of-grape-and-wine-aroma-in-atlantic-viticulture. (Accessed October 30, 2017). Zenaida, G., Ayestarán, B., Williams, P., Doco, T., 2017. Determination of must and wine polysaccharides by Gas ChromatographyMass Spectrometry (GC-MS) and SizeExclusion Chromatography (SEC). Available from: https://link.springer.com/referenceworkentry/10.1007/978-3-319-03751-6_56-2. (Accessed October 27, 2017).

SUSTAINABLE BUSINESS MODELS IN BEVERAGES INDUSTRY NETWORKS: THE CASE STUDY OF AN ITALIAN BREWERIES NETWORK

3

Paola De Bernardi, Francesca Culasso, Pierantonio Bertero Department of Management, University of Turin, Turin, Italy

3.1 Introduction This chapter aims at analyzing a sustainable business model (SBM) implemented by a network of small and medium innovative Italian firms operating in the beverages industry, in order to explore its elements and the main drivers of success and explain how and whether this SBM can contribute to the competitiveness of the related context. Over the last few years, organizations have been called upon to face environmental, societal, and economic concerns, and consequently, sustainability has been considered a key challenge for firms. In this context, scholars and practitioners have agreed upon the need to innovate traditional business models (BMs) toward sustainability issues (Stubbs and Cocklin, 2008). Whether and how it could happen are difficult-to-answer questions (Birkin et al., 2009), as there is little literature on the practical applications of the SBM (Bocken et al., 2014), whereas it is rich in the theory of BMs for sustainability (Stubbs and Cocklin, 2008; Birkin et al. 2009; Fabietti, 2016; Laukkanen and Patala, 2014; Lee and Casalegno, 2010; Schaltegger et al., 2012). In particular, it is still unclear how a theoretical model of a sustainable business can be translated into practice, and how and whether it contributes to the territory where it operates. In this work, we illustrate how a BM can become more sustainable in practice, through the participation in a network of firms, formally constituted by the adoption of a contract. Italy was a forerunner in Europe when it adopted a law on the network contract (NC) in April Processing and Sustainability of Beverages. https://doi.org/10.1016/B978-0-12-815259-1.00003-3 © 2019 Elsevier Inc. All rights reserved.

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74  Chapter 3  SUSTAINABLE BUSINESS MODELS

2009, following the auspices of the Small Business Act (SBA), whose aim was to enhance the collaboration among companies in order to increase their competitive advantages. Therefore, this work has the objective of providing empirical evidence on the design and implementation of a SBM by a network of small and medium Italian firms operating in the agro-business sector. These firms belong to a common network through the subscription of a contract, in which it is possible to observe a strong collaboration between a focal firm and multiple organizations operating in the same context. We highlight how this cooperation is a key element for the successful implementation of a new SBM. Therefore, in light of the Bocken et  al. (2014) framework, this chapter analyzes the main components and drivers of a SBM when implemented by companies belonging to an innovative network. Consequently, the topic of our research lies at the intersection of these two aims, and precisely: (i) exploring the NC’s role in shaping the craft breweries’ attitude toward sustainability and (ii) identifying the drivers of a SBM that adopts the NC to improve its sustainability. Therefore, our research question (RQ) is: How can a NC shape the craft breweries’ attitude to become more sustainable, and what are the main drivers leading the network in enhancing the awareness of sustainable strategies along the value chain? An inductive methodology has been adopted and the RQ is phenomenon driven. Given the goals of the research, an exploratory case study has been prepared with the Baladin Craft Brewery Network. Baladin Brewery was born in 1996 in Piozzo, a small village in the Italian region of Piedmont, thanks to its founder and brewmaster, Teo Musso. Since the beginning of its history, Baladin has made the decision to directly engage itself in the production of most of the raw materials used in manufacturing their beer, leading to its recognition as a craft agricultural brewery in January 2012. In 2015, Baladin created a network of firms and subscribed them to a NC as a focal firm, in order to motivate and support the competitiveness of the participants through the promotion and valorization of the manufacturing of malt and hops, which are essential components for the future production of craft agricultural beer. All the enterprises of the network state that the strategic objectives are those of the promotion of barley, hops, and other cultivations for the achievement of complementary and aromatic products, to be used in the manufacturing of craft agricultural beer. These are obtained from raw materials, which are totally, or almost totally, of Italian origin, thus improving the production process in a full sustainability approach. By interviewing Baladin’s founder and two operative managers, in addition to the other participants of the network who are the actors directly involved in the innovative BM on the territory, and by collecting relevant information from a survey, the websites and other internal

Chapter 3  SUSTAINABLE BUSINESS MODELS   75

and external documents, this research describes and explains the SBM of the craft breweries network at work. By drawing upon the notions of SBM and upon the literature that analyzes the relevance of business model innovation (BMI) for sustainability (Bocken et al., 2014), this paper discloses how an innovative idea of a sustainable business can become real through the adoption of a network configuration and by a strong networking among actors, formally identified through a NC. Therefore, this paper adds value to recent literature and practice by focusing on how actors could act within the craft breweries sector to improve the sustainability of the whole system. The remainder of this paper is structured as follows. The following section presents an overview of the craft breweries industry and the adoption and diffusion of the Italian NC. Section 3.1 highlights the theoretical background that will be adopted to analyze the case study. Section 3.2 provides the details of the methodology adopted to conduct this research. Section 3.3 illustrates the findings, while Section 3.4 discusses the results and ends with the conclusions drawn.

3.2  Craft Breweries Industry and Italian NC Overview 3.2.1  Craft Breweries Industry In the last few years, the international beer industry has been characterized by two particular situations, which, to a certain extent, have had opposite effects. On the one hand, there has been, and still is, an increasing amount of “craft” beers available, based on the use of high-quality raw materials. It is known as the craft beer revolution and has led to a widespread presence of small breweries, especially in Italy, as well as the growing success of the beers they produce. On the other hand, small breweries are increasingly being bought up by multinationals in the sector1, which, according to the experts in the field (Dabove, 2017), leads to the risk of reducing the quality of the product over a period of time. The production of craft beers started in the United States in the 1960s, spreading to Europe and then in particular to Italy (Fastigi et al., 2015a). In fact, Italy is becoming internationally recognized for the

1

The case of the Birra del Borgo brewery is particulary emblematic. It was bought by the market leader AB InBev in April 2016. Further acquisitions followed in 2017, including the Birrificio del Ducato by the Belgian group Duvel-Moorgat, Birradamare by Molson Coors, and finally Hibu by a company of the Heineken group. The topic is the focus of Baroni’s work (Baroni, 2017).

76  Chapter 3  SUSTAINABLE BUSINESS MODELS

highly developed technical and innovative skills of its producers and consequently the excellence of its products. Another characteristic that distinguishes the Italian beer production is the presence of farm breweries (Esposti et  al., 2015): the first Italian farm breweries were founded in the Marche region in 2003 and were officially acknowledged by the Ministerial Decree 212/2010, which stated that malt and beer production would be included in the range of agricultural products and businesses. Following the implementation of this norm allowing farm breweries access to EU calls for the funding of agricultural projects and a subsidized tax regime established for agricultural firms (Turco, 2010), the number of farm breweries has increased considerably over the years (10 in 2011 alone). It is important to consider that the “beer world” plays a significant role in the creation of “social value.” In fact, in 2017, the beer industry created around 2.3 million jobs in Europe throughout the chain, “from the grain to the glass,” which accounts for 1% of the total employment in the EU2. About 130,000 of those employed work in the beer production area, a further 290,000 are employed in the supply chain (agriculture, packaging, and services), 1.65 million can be found in the hospitality industry serving beers (on trade: bars, pubs, hotels, etc.), and about 270,000 are in the off-trade channel (supermarkets, specialized shops, etc.). Another statistic that confirms the growing importance of the beer sector lies in its strong contribution to the creation of economic value. In 2016, the beer sector generated an income for the EU countries for the amount of 42 billion euros, 19 billion of which were the VAT on beer sales (almost 13 billion on-trade and over 6 billion off-trade); 12 billion euros were paid in employment taxes for the 2.3 million employees working in the sector and a further 11 billion deriving from excise duties on beer sales. In recent years, globally the production of beer (taking into consideration both industrial and craft beer producers) has remained stable at around 1960 million hL (1960 in 2014, 1961 in 2015, and 1957 in 20163). Table 3.1 shows how China is the biggest producer, with a production of 460 million hL (23.5% of global production), followed by the United States (11.3%), Brazil (6.8%), Mexico (5.4%), and Germany (4.9%). Beer is produced all over the world (the Barth Report4 states that 171 countries produce beer), but production is highly concentrated in some countries where there are large producers and that

2

The Contribution made by Beer to the European Economy, The Brewers of Europe, EU Report—January 2016, p. 9. 3 Processing by beverfood.com on data provided by the Barth Report, Hops 2016/2017. 4 The Barth Report, Hops 2016/2017, p. 9. Available from: http://www.barthhaasgroup.com/ images/mediacenter/downloads/pdfs/412/barthbericht20162017en.pdf.

Table 3.1  World-Leading Brewers 2016 Ranking 2016 1 2 3 4 5 TOP 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 TOP 20 World Total a

Country China United States Brazil Mexico Germany Russia Japan United Kingdom Vietnam Poland Spain South Africa Nigeria France Netherlands Thailand India Czech Republic South Korea Belgium

hL,000 460,000 221,353 133,346 105,002 94,957 1,014,658 78,200 55,150 44,000 40,800 40,731 36,200 32,000 26,000 24,680 24,559 24,036 22,100 20,476 20,000 20,000 1,523,590 1,957,477

Estimated. Data from Authors’ elaboration based on the Barth Report, Hops, 2016/2017.

a

a a

a a a

a

a a

2015 %

hL,000

%

23.5 11.3 6.8 5.4 4.9 51.8 4.0 2.8 2.2 2.1 2.1% 1.8 1.6 1.3 1.3 1.3 1.2 1.1 1.0 1.0 1.0

471,572 224,122 138,575 97,100 95,623 1,026,992 78,200 53,800 44,054 36,700 40,900 34,775 32,130 27,000 24,020 24,012 23,562 21,200 20,091 20,563 19,811

23.9 11.4 7.0 4.9 4.9 52.1 4.0 2.7 2.2 1.9 2.1 1.8 1.6 1.4 1.2 1.2 1.2 1.1 1.0 1.0 1.0

77.8 100.0

1,527,810 1,969,991

a

a a

a

77.6 100.0

78  Chapter 3  SUSTAINABLE BUSINESS MODELS

have only recently entered the markets (China) or where there are established traditional brewers (Germany). The top 5 countries make up over half the market (51.8%), whereas the top 20 account for 77.8% of world output. In Europe5, the leading position for the production of beer (see Table 3.2) historically belongs to Germany, followed by Russia (78 million hL in 2016), whose market has been significantly hit by the economic crisis and the considerable increase in the excise duties. The United Kingdom, Poland, and Spain are also large producers, along with other countries that, albeit on a smaller scale, have a consolidated tradition of beer consumption and in the production of high-quality beers, such as the Netherlands (25 million hL in 2016) and Belgium (20 million hL). Italy is also present, with a trend that is constantly on the increase, and a compound annual growth rate (CAGR) over the last 5 years of 1.81%. There was a further rise in production in 2016 of 16.2 million hL, ranking Italy 16th in the world6. Even though Italy is primarily an importer of beer (in 2016, internal consumption was 18.873 million hL, whereas the number of hL produced was 14.515 million), there has been a significant increase in exportation in the last few years. In fact, Italian beer reached a record in the amount of beer exported in 2016, with almost 2.581 million hL compared to 2.286 million hL in 2015, showing an increase of around 13%. Thus, Italian exportation has taken on a highly significant role over the years, almost trebling its volume in the last 10 years. Until the end of 2000, Italy was a marginal player in the field of beer exports, at under 500,000 hL per year. This success is due to the fact that the high quality of the Italian food and agricultural sector is being increasingly acknowledged and praised by international markets. Beers that have been produced in Italy are now well placed on the global market and another feather in the hugely successful “Made in Italy” food and wines cap. It is interesting to notice how, regarding consumption, and in particular per capita consumption (see Table  3.3), the Czech Republic has the highest average per capita consumption (143 L in 2015), 40% more than the countries which are widely considered to be the biggest consumers (Germany, 106 L per capita and Austria, 105 L per capita in 2015). It is also of great interest to see consumption behavior in the countries mainly associated with the consumption of wine, notably France and Italy. In fact, they are jointly found in last place, with 31 L per capita. However, while France shows little significant change in 5

Table 3.2 shows the data regarding beer production in the EU countries (EU 28). Some of the data shown in Tables 3.1 and 3.2 differ, due to the fact that they come from different sources. 6 The Barth Report, Hops 2016/2017, p. 9.

Table 3.2  Beer Production 2010–15 (in ‘000 hL) Country

2015

2014

2013

2012

2011

2010

CAGR (%)

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

Germany United Kingdom Poland Spain Netherlands France Belgium Czech Republic Romania Italy Austria Ireland Portugal Denmark Hungary Bulgaria Sweden Finland Greece Croatia Lithuania Slovakia Sloveniaa Estonia Latvia Cyprus Luxembourg Malta

95,623 44,039 40,890 34,960 24,012 20,300 19,811 19,530 15,950 14,015 9023 7755 6465 5970 5965 4960 4689 3970 3820 3379 3108 2434 2029 1398 856 341 287 154

95,274 44,336 40,075 33,620 23,726 19,850 18,207 19,129 14,750 13,521 9001 7288 7290 6110 6239 4890 4643 4010 3700 3405 3172 2648 2098 1608 968 318 271 146

94,365 44,186 40,001 32,692 23,636 18,300 18,138 18,690 16,110 13,256 9045 8008 7323 6166 6181 5112 4755 4020 3750 3408 2886 2883 2011 1465 1467 322 281 138

94,618 44,239 39,294 33,031 24,271 17,600 18,751 18,692 18,000 13,293 8924 8195 7986 6080 6312 4992 4711 4030 3745 3634 2841 3206 1819 1433 1405 329 292 135

95,545 46,605 38,067 33,573 23,644 17,100 18,571 18,043 16,900 13,410 8917 8514 8299 6590 6249 4820 4845 4220 3700 3738 2922 3123 1984 1360 1529 314 302 127

95,683 44,997 36,647 33,375 24,218 16,290 18,122 17,550 16,920 12,814 8670 8249 8312 6335 6295 4800 4788 4235 3940 3438 2925 3112 1902 1312 1455 340 310 130

−0.01 −0.43 2.22 0.93 −0.17 4.50 1.80 2.16 −1.17 1.81 0.80 −1.23 −4.90 −1.18 −1.07 0.66 −0.42 −1.28 −0.62 −0.35 1.22 −4.80 1.30 1.28 −10.07 0.06 −1.53 3.45

395,733

390,293

388,595

391,858

393,012

387,164

0.44

Total EU a

Estimated.

Chapter 3  SUSTAINABLE BUSINESS MODELS   79

Ranking 2015

Ranking 2015

Country

2015

2014

2013

2012

2011

2010

CAGR (%)

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

Czech Republic Germany Austria Poland Lithuania Luxembourg Romania Ireland Latvia Croatia Slovenia Finland Bulgaria Slovakia Estonia Belgium Netherlands United Kingdom Denmark Hungary Cyprus Malta Spaina Sweden Portugal Greece Italy France

143 106 105 98 92 80 80 80 78 77 77 77 74 73 71 71 68 67 60 59 54 50 47 47 46 35 31 31

144 107 104 98 95 83 74 81 78 80 78 78 72 69 73 72 69 68 65 59 49 48 0 48 46 35 29 30

144 107 106 96 93 83 81 79 78 76 75 80 74 72 73 72 70 66 64 60 55 40 46 50 49 35 29 30

147 108 108 98 96 83 90 86 76 78 74 79 73 76 72 74 72 67 64 60 55 48 48 50 49 35 29 31

142 107 108 95 96 85 84 86 74 86 81 85 69 74 72 78 72 67 68 60 51 45 48 51 53 35 30 31

143 107 106 91 90 85 87 90 70 74 82 83 67 72 78 78 72 69 69 61 52 47 48 50 56 36 29 31

0.00 −0.19 −0.19 1.49 0.44 −1.21 −1.66 −2.33 2.19 0.80 −1.25 −1.49 2.01 0.28 −1.86 −1.86 −1.14 −0.59 −2.76 −0.66 0.76 1.25 −0.42 −1.23 −3.86 −0.56 1.34 0.00

a

Estimated. Data from Authors’ elaboration based on Beer Statistics 2016 Edition, The Brewers of Europe, November 2016, p. 11, available at: http://brewersofeurope.org/uploads/mycms-files/ documents/publications/2016/stats_2016_web.pdf.

80  Chapter 3  SUSTAINABLE BUSINESS MODELS

Table 3.3  Beer Consumption Per Capita 2010–15 (in Liters)

Chapter 3  SUSTAINABLE BUSINESS MODELS   81

the last 5 years, consumption has increased in Italy to the extent that it is the country with the highest rise in consumption (CAGR +1.4%, only lower that Latvia, Bulgaria, and Poland). Such a high increase in consumption can be attributed to the considerable growth in craft breweries, which have gone from little more than 60 in 2007 to over 650 in September 2017 and subsequently by the average growth in the quality of the product. In Italy, the “Competitivity in the agricultural sector” Act was approved on July 6, 2016 and provided a final definition of craft beer, and therefore of the craft brewery7. Following the example of the taxonomy provided by the Brewers Association, Italian craft brewers can be separated into the following categories (Fastigi et al., 2015a, p. 73): (a) Craft brewers: beer is produced but not served to customers. (b) Brewpub: beer is produced and there is also a pub or catering service. (c) Beer firm: the production of the beer is entrusted either partially or wholly to another brewery. (d) Farm brewery: beer is produced where at least 51% of the barley is produced by the firm. The analysis of the performance of the breweries below is solely focused on craft brewers, some of whom are also “farm” brewers, in that they also produce a considerable amount of the raw materials used in the production process. There are currently 661 breweries in operation in Italy (see Table 3.4), which produce around 500,000 hL of beer, equal to over 3% of the total amount produced, generating a turnover of about 200 million Euros and employing around 4700 people8. As can be seen in Table  3.4, most of the Italian craft breweries (81.4%) produce less than 10 types of beer, whereas 6 breweries make over 50 types. It should be noted that there are craft brewers operating in every region in Italy, from the 99 breweries, which can be found in Lombardy to the 4 located in the Aosta Valley. As can be seen in Fig.  3.1, the growth of craft breweries in Italy was steady, rising sharply in 2010, also due to the effects of the 212 Decree. 7

Decree 1328-B, article 35 states: “A craft beer is one which is produced by small independent breweries and does not undergo pasteurization and microfiltration during the production process. A small independent brewery is hereby deemed to be a brewery which is not legally and economically bound to any other brewery, which uses plants, which are physically separate from any other brewery, which does not operate under the licence of any third party and whose production is under 200,000 hl. This amount includes any beer produced for third parties”. The act became law on July 28, 2016, n. 154 (as found in the Gazzetta Ufficiale n.186 dated August 8, 2016). 8 Data from UnionBirrai.

Table 3.4  Italian Craft Brewer Production Number of Beers Produced Region

Number

%

50

1

2

2 6

4

1 1

1

1

1

1

1 4

6

Chapter 3  SUSTAINABLE BUSINESS MODELS   83

Fig. 3.1  Micro-breweries: the total number of micro-breweries opened between 1994 and 2015.

3.2.2  The Italian NC Small and medium enterprises (SMEs) are the engine of the economy in our country, as in the rest of Europe. According to the Eurostat up-to-date statistics (2017), they account for roughly 99% of the total number of EU firms, helping to create more than half of European added value and employing no less than two-thirds of those employed9. According to the results of a public consultation conducted by the European Commission (COSME Interim Evaluation, October 2017)10, the main criticisms of the European SMEs derive from: • complicated relations with public administrations and excessive administrative burdens envisaged to meet the various obligations; • difficulty in lending to credit; • poor human capital training and rigidity of the labor market; 9

https://ec.europa.eu/growth/smes_it https://ec.europa.eu/info/consultations_it

10

84  Chapter 3  SUSTAINABLE BUSINESS MODELS

• difficulties in access to technological innovation and complicated relationships with the research system; • difficulties in generational handover; and • difficulties in accessing both the national and international markets. To help to overcome these critical issues, the European Union and its member states have invested in improving the regulatory environment and in projects in favor of SMEs, drawing on the principles set out in the European Charter for Small Enterprises signed in 2000 in Santa Maria de Feira (Portugal) and implementing the conclusions of the 2006 Spring European Council. In addition, a shift in the European policies has been adopted to guide them toward research, development and innovation support, and the provision of real business services. In June 2008, the European Commission published the SBA, a system of leading principles and concrete measures to support the growth and competitiveness of small businesses. Italy implemented the SBA with law 33/2009, putting an innovative tool into place, the first of its kind in Europe, to govern the so-called “network contract” (NC). Through this tool, companies can create a new aggregative form of organization, resulting from the subscription to a recognizable agreement as a formal reticulate model. The idea of business networks existed prior to 2009, but the “network” was understood as a way of doing business. On the contrary, the NC is an “ad hoc legal form,” which certainly refers to organizational forms already existing in the various regulatory systems (consortium companies, associations and foundations, temporary associations of firms, subsupply networks, distribution networks such as franchising, patents or know-how licenses, trademark licenses, etc.), but with unique features (Cafaggi, 2008, 2011; Cerrato, 2016; Zanelli, 2012). In fact, the purpose of the NC is to create joint ventures between two or more entrepreneurs of one or more economic activities to increase the competitiveness and innovation of all network companies and not just to phase out the production of goods or services. To this end, on the basis of a common network program, entrepreneurs are obliged to: (i) cooperate in predetermined forms and areas related to the exercise of their business; (ii) exchange information or services of an industrial, commercial, technical, or technological nature; and (iii) cooperate in one or more activities falling within their respective social objects. Entrepreneurs can opt for a minimal NC model, distinguished by the presence of core common activities, or to build, with the addition of optional elements, a more structured contract. For this reason, several classifications of the NCs have been elaborated in literature (Cafaggi, 2008, 2011; Cerrato, 2016; Zanelli, 2012). The most widespread classification provides for the distinction

Chapter 3  SUSTAINABLE BUSINESS MODELS   85

­ etween: (i) the “pure NC,” which includes all the nonsubject NCs, b where the actions carried out under the network program produce their effects directly in the legal and tax domain of network participants and the ownership of property, rights, and obligations remain individual to the different companies and it is attributable pro-quota to the same and (ii) the “network-subject,” in which the network acquires its own legal subjectivity. The network-subject becomes a new entity and, as an autonomous center of imputation of interests and legal relations, acquires relevance also from a tax point of view. In July 2010, the Italian Ministry of Economic Development sent a proposal document for the revision of the SBA to the EU Commission, in close collaboration with the permanent SME table, which aims to introduce a “European NC,” elaborated on the Italian model, to foster the relations between the European Union and SMEs. The phenomenon of the Italian NCs has been growing steadily and in recent years, there has been increasing attention in Italy, thanks to the greater involvement of Italian companies. Within a few years, after the introduction of the NC, in April 2017—according to the Chambers of Commerce of Italy dataset (2017)—3588 NCs have been subscribed, involving 18,079 companies. Among these, 509 (2.8%) companies are involved in the food and beverage sector, with 109 companies operating in the beverage industry. The significant development of the NCs in Italy has therefore been driven by a number of reasons. On the one hand, it is primarily due to the development of new market opportunities, with a particular view to becoming increasingly international, and subsequently to revenue growth, and on the other with the aim of limiting costs through a search for efficiency deriving from economies of scale and/or scope. Several authors have also highlighted the importance of the NC to ensure the fact that firms will share a strategic design, which can create competitive advantages (Grandinetti, 2014; Tunisini, 2013; Brino, 2015). On the topic of how such a strategy could contribute to territorial development, Capuano (2010) showed how the NC was a regional strategy aimed at reducing the imbalance within the territory, as well as at the growth of the individual firms in the network. Furthermore, the relationships among the firms that are found in proximity with each other make the flow of technical, organizational, and managerial know-how easier, thus generating a proliferation process by imitation of entrepreneurial values and efficient organizational development models that drive entrepreneurship. The study carried out by Tiscini et al. (2017) analyzed the deciding factors of the performances of firms in the network, both before and after they had joined it. The findings showed positive results from the point of view of productivity in terms of per capita income of the staff employed. Similarly, but with a few reservations regarding the

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e­ lements that must be analyzed further, improvements in internal efficiency are also positive, in that the operational costs of the firms in the network decreased. Moreover, the variable regarding the territory, that is to say the geographical area the firms in the network are located in rather than their relevant production sector proved to be important, as well as the significance of the business sector it belongs to, particularly the technological sector where the NC seems to guarantee the greatest advantage in terms of the increase in performance, especially when they are located in production areas by vocation. In contrast, the positive effects that were expected with regards to the increase in the productivity of investments was not proven, and it was not possible to investigate the effect on the cost of the funding required to take part in the NC. In particular, food and beverage businesses are aiming at collaborations that can improve agricultural production across the whole chain, through the implementation of quality standards, the enhancement of territorial bonding and local traditions, the improvement of the processing and preservation of products, but also the penetration into new markets through internationalization strategies. However, these goals are often combined within the same contract. Indeed, the achievement of internationalization, innovation, and increase in quality standards are some of the main drivers of competitiveness in this sector, namely the keys to success for Italian food and beverage products both in Italy and abroad. The importance of initiating processes aimed at creating value shared throughout the territories where the networks operate must be highlighted, as well as the economic reasons. Moreover, joining forces make it possible to create shared values and knowledge, thus increasing the competitiveness of the firms, in particular through the strengthening of the bond between the firm and the territory, a higher capacity for innovation, the consolidation of the relationships between the firms and the institutions, the creation of new productive units, both distributive and service, lower production times and costs, the outsourcing of production activities, the development of human resources, and better access to credit facilities (Bertero and Rostagno, 2015).

3.3  The Theoretical Background: BM, BMI, and Sustainability In our opinion, the subject of NCs lies fully within the field of studies on BMs, and in particular SBMs, in that they are one of the operative tools used to make BMs more sustainable on a practical level, thus making innovation possible within even the most traditional BMs.

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Even though the subject of BMs has been dealt with in literature for some time now, there is no one definition that has been universally accepted for such concepts. In fact, Zott et  al. (2011) states that the definition of BM changes depending on the prospective used, and the conceptualization cannot be univocally determined. Following the theoretical basis that lies behind this research, we can accept the definition of BM as being a system with which a firm creates, distributes, and captures value not only for itself but also for its partners and clients (Osterwalder et  al., 2005; Osterwalder and Pigneur, 2010) and in general all the stakeholders. Therefore, a BM can be considered to be a new area of analysis for those studying management (Zott et al., 2011), which is different from an individual firm in that it also includes suppliers and clients on the one hand and several institutional players on the other. This definition invariably leads to the observation that the concept of BM must be integrated with that of sustainability, because one of the pillars of sustainability is that firms should no longer see themselves as isolated players but as part of a more complex system, which lasts only if it is able to create economic, social, and environmental wellbeing for everyone (Genovese et al., 2017). This clearly means that company boundaries must be crossed and they must embrace the new ways to create widespread and systemic value (Milne, 2007). Therefore, many authors have started to discuss the topic of SBMs as a new way of doing business, where both the focal firm and the stakeholders play a fundamental role (Zott et al., 2011), and share the same aim, which is that of sustainable development. Thus, a sustainable BM “is the activity system of a firm which allocates resources and coordinates activities in a value creation process, overcoming the public/private benefit discrepancy. Consequently a BM for sustainability is the structural template of a business logic which creates the business case for sustainability” (Lüdeke-Freund, 2009, p. 56). Moreover, Stubbs and Cocklin (2008) state that a sustainable BM is a holistic way of doing business, based on the structural and cultural capacities of a firm which are all necessary in order to obtain sustainable development both for the firm and for all those connected to it. From this point of view, sustainability might also be considered to be a type of innovation of the more traditional BMs, which are alternative or complementary in regard to product and/or process innovation (Nidumolu et al., 2009). This is such an important topic that it is attracting the attention of numerous authors, many of whom are focusing their studies on sustainability as a true type of BMI. In any case, there is still a lot to discover about the complementarity between BMIs and sustainability, especially regarding its more practical applications. In fact, there is little literature on the topic, as is found in the literature

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review written by Lambert and Davidson (2013), where they state that there are still numerous cognitive gaps on the subject of BMIs, especially on the link with sustainability and SBMs. According to Baldassare et  al. (2017), sustainable BMI could be combined with user-driven innovation in order to address the challenges of sustainable development through the design of value propositions that combine economic, social, and environmental objectives. The benefit for society and/or the environment is generated by more economic value (Schaltegger et al., 2012), emerging from the definition of a value proposition that allows multiple-stakeholder value creation by considering the needs of customers, shareholders, suppliers and partners as well as the environment and society (Bocken et  al., 2014). Therefore, our aim is to try to fill this gap in literature, by conducting empirical research into the functionality of the Italian NCs in pursuing innovations toward sustainability. In doing so, we adopted the framework of Bocken et al. (2014) that concerns the various elements representing a sustainable BM. The main literature on the topic has identified the key elements of a sustainable BM in key activities, partners’ networks, key resources, cost structure, revenue flow, value proposition, client segments, and client relationships (Osterwalder et al., 2005; Osterwalder and Pigneur, 2010). Bocken et al. (2014) have revised the frameworks of Osterwalder et  al. (2005) and Richardson (2008) and they have summed up these elements with the identification of three main components: value proposition, value creation and delivery, and value capture (Fig. 3.2). The value proposition refers to the role carried out by the values and the exchange of values between the stakeholders who have different roles in an organizational system, and who consider the production of products or the provision of services as a mean to convey these values. In fact, if the main focus in traditional BMs has always been on the products and services developed in order to create economic value, in contrast, with the more innovative and sustainable BMs, the main focus is on immaterial values which are developed with a holistic approach that includes objectives of an economic, financial, environmental, and social nature. The balance between

Value proposition Product/service, customer segments and relationships

Value creation and delivery Key activities, resources, channels, partners,

Value capture Cost structure and revenue streams

Fig. 3.2  BM’s main components. Reproduced with permission from Bocken, N.M.P., Short, S.W., Rana, P., Evans, S., 2014. A literature and practice review to develop sustainable business model archetypes. J. Clean. Prod. 65, 42–56 [5, p. 43].

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the financial, environmental, and social prospects takes on extreme importance where sustainability is concerned, in order to determine which values are important both for the market and the customers. Value creation and delivery are, however, the logical stages following the value proposition, and are necessary so as to create value in a realistic and operative way. In particular, the values become real and operative when firms, which are part of a larger system, are able to establish and manage long-term relationships between each other and other players that are part of the sustainable development. Finally, value capture is attributed in the way in which an organization uses resources and generates income by selling products and services. It makes it possible to determine cost and revenue flows, which are particular to BMs. These values must become real and acquired by companies by means of a system whereby the revenues are obtained and the costs are covered.

3.4 Methodology In coherence with the RQ of this chapter, the case study methodology has been used and, in particular, an exploratory case study has been adopted (Yin, 1984). The case study is represented by Baladin, a leader company in the Italian craft brewery industry, and by its own network. This case study is appropriate for this research for several reasons (Dana and Dana, 2005). The first one is that Baladin is recognized as a protagonist in the diffusion of the brewer’s culture in the Italian territory and as an important flag bearer abroad. In fact, the international jury of the competition “Beer of the Year” organized by Unionbirrai (www. unionbirrai.it) voted Baladin as “Brewery of the year 2017” for the fifth time. Moreover, it can point out how Baladin became a farm brewery in 2012 with the intention of becoming the first 100% independent craft brewery in the world, being responsible for the entire production cycle of its beer, supporting the whole cycle in a sustainable way, producing wealth and ethical values, and paying great attention to energy self-sufficiency. Consistently, the concepts that guide the Baladin vision and related strategies are: resource regeneration, responsibility for production, consumption adequacy, and the ethical and spiritual development of human values, practices, and habits. Research into craft brewery farms is often conducted through case studies, by means of comparing this innovative phenomenon to other types of organizations and understanding its specific mechanisms and dynamics (Hede and Watne, 2013; Donadini and Porretta, 2017; Feeney, 2017). We chose a single case study, and Baladin provided the perfect subject matter, as the company is an extreme, unique, representative, and leading case (Patton, 1990; Stake, 1995; Yin, 2003). It is

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extreme in the sense that the company’s attitude to innovation pervades all areas of production and processes, and this central philosophy affects every area of the firm and of the whole value chain. Baladin is unique for the strength of its commercial strategy, exalting the combination between high-quality beer and beer-related customer education, and having a strong presence of highly trained staff in the various breweries located on the national and international territory, which makes it possible to ensure the company’s values are conveyed to the customers. All these considerations show how Baladin can be considered to be a representative and leading case, illustrating how to manage the sustainability of the value chain with the instrument of the NC, by boosting innovation and competitiveness for all the partners located within the network. In order to develop and analyze the case study, we applied a mixed method approach (Johnson et  al., 2007), both qualitative (in-depth interviews and other documental sources of information) and quantitative (a survey through structured questionnaires and focus groups), in order to achieve a full picture and a deeper understanding of the perception of how network entrepreneurs are committed to collaborating to create new synergies, to share knowledge and sustainability practices and, finally, to boost their innovative BMs and their competitiveness to create new value. The choice of this approach is justified by the need to thoroughly investigate and understand the complex dynamics of the NC in craft breweries and to avoid a purely descriptive approach. Furthermore, adopting the case study method, it is possible to contextualize and directly explore, for the relevance and effectiveness in the real-life context, the theories identified in the literature analysis (McKeown, 2004; Yin, 2009). The combination of primary multiple sources of data collection (individual in-depth interviews, a survey and focus groups carried out from July 2017 to October 2017) reinforces result triangulation and leads to more specific insights (Stake, 2013; Yin, 1984). Data have also been collected from secondary sources, such as an internal documentary analysis and the review of external information provided by the Internet and publicly available studies and reports. Data analysis was carried out by using open and axial coding techniques (Strauss and Corbin, 1998) for the identification and linking of the qualitative data collected by the RQ. The investigation began (P0) with interviews with the founder and two operative managers of the craft farm brewery, namely the marketing and production managers, at the headquarters of the company, Piozzo (Italy). The purpose of the interviews was to understand the aims of Baladin’s NC and the correlation with the sustainability issues. The semistructured interview (Corbetta, 2003; Eisenhardt and Graebner, 2007) with Teo Musso, the founder and CEO of the company,

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aimed to collect motivations and opinions of the pioneer of the Italian craft beer revolution on sustainability throughout the brewing value chain and, in particular, on the effectiveness of the NC. Two operative managers were then interviewed to explore and analyze further the interpretations of the founder and to add insights to the configuration of NC. Each interview lasted approximately 2 h and was conducted by two of the authors of the research. To reduce the subjectivity of data interpretation, the answers were transcribed, and then analyzed by the authors autonomously (Lukka, 2005). In a first phase (P1), the survey into the sustainability of the NC was administered to three of the nine components of the NC, with the purpose of understanding the point of view, the knowledge, and perception of the value chain sustainability of the SMEs partners operating in the network. In a second phase (P2), the manager of the same SMEs was interviewed in order to describe and explain the origins and the evolution of the NC, namely “Rete Baladin,” and particularly the drivers of the innovative BM (Fig. 3.3). Despite its limits, the single-case design has the ability to richly describe the existence of a particular phenomenon (Siggelkow, 2007). This research sheds light on the nature of NC and its ability to unlock the sustainability of the whole value chain.

3.5 Findings 3.5.1  The Focal Firm’s SBM Baladin, one of the most important Italian craft breweries, is indisputably tied to the history of its founder and brewmaster Teo Musso, who is one of the fathers of the Italian craft-beer movement. This firm has contributed to awaken and redevelop the surrounding countryside. The Baladin Brewery was born in 1996 in Piozzo, a small village in the Langhe district in the Italian region of Piedmont, which is well known for its wineries and wine productions. The first brewing plant, auto-produced in Belgium and installed in a garage close to the Pub, adapted second-hand tanks, normally used for milk production. After several years of home brewing and tests, in 1997 Teo started selling his first bottled beer, the “Super Baladin.” From the very beginning, the aim was to produce a very particular beer characteristic both in taste and in image, with the purpose of introducing itself into the world of the Italian and international catering and gastronomy sector. Despite having a production that initially was just focused on a small selection of beers, after a couple of years, the growing demand made it necessary to find new facilities for making the wort, and a “beer pipe” of 300 m was then built to transfer it to the

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brewing facility. Production increased from the initial 500–2500 L per year. The success continued, thanks to the increase in the beer selection and a successful internal distribution process. In 2009, the operations moved once more to another plant at the foot of the Piozzo hill, with a production capacity of 1.2 million L per year. Baladin made the decision to directly engage itself in the production of most of the raw materials used for the production of beer, thus becoming a farm craft brewery in January 2012. In fact, this strategy is underlined by the message, strongly expressed by the founder: “Because Beer is Earth!,” whose meaning indicates that beer is a direct expression of the land and agriculture. Teo Musso said: “our philosophy is largely based on the respect and loyalty the company has got for the territory in which the malts, hops and the other agricultural resources are cultivated and in which the company is based.” Today’s new plant, inaugurated in 2016 and located in an area of about 73,000 m2, has got an annual production of 2 million L per year, but the Baladin target is to grow to 5 million L per year by 2020. The hallmark of Baladin and its distinctive trait is the close link between innovation and tradition, namely the ability to “reinvent” a tradition, with strategies directed to the continuous innovation of products, processes, knowledge, and relationships. The company interprets historic styles with unique twists and developing new styles that have no precedent, achieving international success and recognition. In fact, in 2017, it has been rated the best Italian craft brewery by the Italian Association of Beer Brewers for the fifth time and has received awards in four categories by RateBeer.com, an American website where enthusiasts can discuss, nominate, and rate beers. The innovation mission has also been driven by investments in digitalized technologies, from a “craftmenship 4.0” perspective, including total automation and control of the processes, production flexibility, energy efficiency, and waste control. In order to support an effective implementation of its innovation strategy, the company adopts a flexible and flat organizational structure, which improves vertical and horizontal coordination and communication, enabling timely decisions and quick adaptation to the market. The company’s value proposition is based on the ability to improve its products’ performances in terms of quality and variety (intrinsic value) and to develop its brand to transfer a clear identity to the customer (intangible value). Thanks to quality assurance, despite having only 20 years of history, the company’s beers are known and appreciated by customers in Italy and in many countries around the world and the latter account for 30% of total revenues. The Baladin craft brewery has distinctive, individualistic approaches to connecting with its customers, offering

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a greater variety of beers, approximately 30 types produced and an increasingly vast range of products (i.e., soft drinks, distillates, beer dispenser, and a selection of excellent products of other companies), but also unique experiences, like the Open Garden event, attended by over 7000 people in 3 months, from the end of June to September, where they celebrated the birthday of the “Big World Baladin” with a series of fun and relaxing soirees with “alive” beer, excellent food, live music, and fascinating circus shows. In 2016, Baladin’s sales revenue was over €22 million and had a workforce of over 150 employees (see Table 3.5) Teo Musso’s vision for the future and his even bigger and more ambitious project, likely to be accomplished in 2022, is to close the value chain, from the land to the customer and make the Baladin world completely autonomous and independent, with the production of 100% of raw materials, 100% of energy and a direct distribution without partnerships with large and industrialized groups. This is surely an important goal that will once more make the company among the first in the world to achieve something innovative and it will lead the brewery to be more competitive, both nationally and internationally. Baladin is a SBM from the environmental point of view, because it includes the reuse, recovery, and recycling of the resources of the productive processes, also applied in a strategic way to the network agreed upon with the farmers. Regarding the optimization of the use of nonrenewable natural resources, the design of the new beer production plant (in operation since 2016) includes a system whereby the water used in the production process is treated by a purifier, cleaned and reused for the washing of the tanks and plant equipment. Once this “second use” has been completed, the water goes back to the land after having been purified once more in order to reach the required standard, so that it can become part of the irrigation consortium nearby with whom the company has reached an agreement “to provide” water for irrigation.

Fig. 3.3  Phases (P.0–P.2) of the research. Data from Authors’ elaboration.

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Table 3.5  Baladin Investments, Revenues, and Employees Investments Revenues Employees

2015

2016

2017

903,426 18,563,254 129

2,264,036 21,479,360 141

8,033,569 22,153,132 157

Data from Authors’ analysis on Baladin data.

Baladin also reuses the sludge from the biological purifier, which becomes fertilizers for farming and given to the agricultural firm which produces hops and to the network firms close to the plant. Furthermore, a project is underway with a company that produces organic fertilizers, leading to the creation of a commercial product whose “second” raw material derives from the spent yeast chain, which is used in liquid form as organic fertilizers with the aim of replacing pesticides of a chemical nature. The product that has been created from the spent yeasts is sold both in the market and within the network. Baladin also uses the spent grains as substitutes for soy. They are used as a substitute for fodder for the cattle farms located within around 50 km of the company (it is well known that the earth and water resources destined to be used for foraging for breeding farms may be used in food for humans, especially in the poorer areas in the world). Finally, a project is starting up in some research centers to verify the feasibility of using spent grain in the creation of so-called speciality foods, as can happen in some areas abroad, where the recovery of grains becomes the “second” raw material for baked goods, energy bars, and nutraceutrical products. From the point of view of sustainability in terms of energetic consumption, and as it has emerged that breweries develop energy-­ intensive productive processes, Baladin has felt the need to make the plant energetically efficient, thanks to a recovery system of thermal waste and of the monitoring of energy for 4.0 standard workplaces. It produces renewable energies by means of a photovoltaic system on the roof of the plant, which, thanks to a total surface of 1800 m2, meets around 80% of the brewery’s needs in optimal conditions. It purchases the rest from Repower, which supplies 100% green energy. With regards to thermal energy, the heat used in the refermentation cell (with a temperature of around 23 degrees) comes from the collection of heat created in the cellar and from the fermentation process of the wort, thus avoiding the use of fuels. Any extra heat is solely produced using natural gas.

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Regarding the sustainability of the packaging and distribution, the firm has a good number of electric cars and scooters used for the logistics of the warehouses and the shops. Moreover, Baladin has made an agreement with a firm specialized in the collection and recycling of glass, plastic, and paper. The company is also trying to reduce waste destined for solid urban collection, by increasing its recycling process and using one-way plastic containers instead of steel ones, as they are recyclable (some of the components can be taken apart, therefore, they can be returned and the actual packaging can be put into the plastic bins). Particular attention is paid to the cleaning and washing processes of the industrial equipment and areas of the plant in order to ensure they are environmentally friendly. This is achieved by using eco-friendly detergents without chlorine, which are produced by the chemical lab with the final aims of saving the amount of water needed for washing (whose cleaning power is optimized by a biological purifier) and to prevent substances from being released into the environment. In fact, a process has been developed whereby a sample of the “dirt” is taken by means of swabs placed in several critical points around the plant, which are then analyzed by special equipment to measure the amount of detergent needed to obtain the required level of cleanliness, thus saving on the purchase of industrial cleaning products which are highly polluting. When the washing processes with purified water prove to be effective (that is to say there is no bacteria present), formulas are made upon the completion of the washing process so as to optimize the consumption of detergents according to the amount of remaining bacteria.

3.5.2  The Baladin NC The need to create and manage a company system that enabled growth, whether it be individual or as a group, along with the capacity to innovate and be competitive, especially in terms of sustainability in the market, was made extremely clear during the interviews with Teo Musso and the other operative managers. The Baladin network was born to encourage and stimulate shared programs, identifying styles and areas of collaboration, where knowledge, know-how, industrial, commercial, and technological services linked to the production of craft and farm beer could be shared, in order to carry out one or more activities which fell into the fields of expertise of each firm in the network. The legal definition of Baladin’s network is “pure NC,” where the actions taken by the network program only have effects within the legal and fiscal context of the network subjects and rights and obligations remain individual to the different entities.

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According to the founder of Baladin, innovation also means knowing how to collaborate. You can’t do everything on your own. If you want to reach the objectives you have set yourself, you must choose partners that will stimulate ideas and who are able to bring them to life thanks to their specific professional skills. Whether it be the creation of a new product, sharing the creation with other brewers, working on new production techniques or on the cultivation of an ingredient, Baladin’s approach is to be open, willing to share and collaborate, to support each other in a network.

This need can be seen in the implementation of a NC in 2015, which is of an “upstream” nature, whose final aim is to promote and enhance the farm beer production chain. Thus, the Baladin network wants to motivate competition within the member firms, making it grow, by means of the promotion and valorization of the malt and hops production chain, as they are essential ingredients for the “agricultural” production of craft beers. Some important strategic objectives toward “aggregation” within the NC emerged from the interviews carried out with Baladin’s founder, operative managers, and the managers of three of the nine agricultural firms that make up the network. They are: (i) the promotion and sustainability of craft-farm beer production; (ii) the enhancement of the chain and innovation of the product; and (iii) the synergistic rationalization of the supply chain and the strengthening of the commercial and distribution areas. By promotion and sustainability of craft-farm beers, we are referring to the cultivation of two-row barley, hops, and other crops to obtain complementary and aromatic products (suitable for the use in the agricultural production of craft beer), which are totally, or almost totally, Italian, thus elevating the productive process to being wholly environmentally sustainable, respecting the cultural and territorial traditions, and promoting research into new types of beers with specific organoleptic and nutritional characteristics. The aim is to innovatively consolidate and expand the position of the network in the market, whether it be in Italy or abroad, clearly identifying the sector of craft beers produced in agricultural firms. The enhancement of the territory and its firms is highlighted by the need to attribute greater stability and remuneration (compared to the market standards) to production activities carried out by the agricultural firms in the network, which have been called upon to implement farming methods in full compliance with agronomic regulations and the sustainability of the environment. Product innovation has always been an asset for Baladin. In the last few years, the company brought out four new products in 2014 and 2015 and six new products in 2016, enriching a consumer market, which is constantly being offered new products. Baladin currently has

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30 beers. As well as having different types of beers (spiced, malt, hops, etc.), there are also beers made in the “traditional way” and “aged” beers, which have been preserved in the barrels in the brewery cellar. The focus on innovation is a strategic objective of the network, which has to be reached by means of the creation of new types of beers dedicated to specific projects, events, territories, or socioeconomic areas, emphasizing the role of the cultivation cycle, working and industrial processing, as well as innovatively exalting the function of the short supply chain and its link with the territory, but, most importantly, consolidating and elevating the prestige and excellence of the Made in Italy brand. An example is the latest addition to the network, “Baladin Open,” a beer which was specifically created for the people who had taken part in the crowdfunding project called “Baladin Open Garden.” It was born from the idea to create a beer park which was inaugurated on June 21, 2017 and is open to the public, with a weekly farmer’s market involving small farms in the areas, where people can meet, spend time with their families and friends, and discover and enjoy the marriage between beer and nature. The production manager of the brewery (and Teo Musso’s righthand man) has highlighted how the network also considers innovation to mean the promotion of research activities in partnerships, aimed at improving the organoleptic and nutritional features of the products, so as to create uniformity between the cultivation and working processes, also using a specific web-assistance agreement which makes it immediately possible to intervene in the crops, on the basis of: (i) measurements and processing of digital sensors and climate data; (ii) digital assessment technologies and chemical-physical analyses of the lands; and (iii) the planning of agricultural projects carried out by the individual agricultural firms which are part of the network. The third objective of Baladin’s network is to enable all the member firms to optimize the purchasing processes of the technical equipment, raw materials (seeds, fertilizers, and phytosanitary products) and of agro-mechanical services provided by third parties, as well as the implementation of bulk buying, thus making it possible to limit both direct and indirect costs. Regarding the marketing stage, the members of the network promote and enhance their products by means of new marketing and sales techniques and tools, with the aim of creating new business opportunities and strengthening their commercial power. This means taking part in trade fairs and other events of interest. Teo Musso’s wish is to integrate new members into the network, extending it both on a national and international level, in order to export the true value of the Made in Italy concept and to import ­quality goods, although still maintaining certified organic products as the mainstay of the raw materials used.

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Currently, there are no foreign members in the network, but the founder feels that potential partners who produce quality raw materials and who can increase cultivation capacity can be included in other integrated contexts. Nowadays, Baladin purchases kola nuts from Slow Food in Sierra Leone, myrrh in Ethiopia from producers who are trying to embrace the Slow Food and Fairtrade ethics, and sugar from Altro Mercato, with whom it is drafting an agreement. These partners have been chosen for their sustainability characteristics throughout the supply chain. The creation of partnerships with Altro Mercato, which has got 350 organic Fairtrade shops in Italy, means that it is possible to open distribution channels for the activities that need to be valorized. Therefore, it can be assumed that there is a movement toward sustainability not only of the network, but also of the “economies of territories,” together with other projects that will lead to the creation of high quality, certified raw materials, such as from Slow Food and Terra Madre.

3.6  Discussion and Conclusion The aim of this chapter is to contribute to the literature on the SBM of the craft breweries firms, highlighting the NC as the enabler for the beverage industry sustainability creation. We addressed the following RQ: How can a NC shape the craft breweries’ attitude to become more sustainable and what are the main drivers leading the network in enhancing the awareness of sustainable strategies along the value chain? To answer this question, we focused on the Baladin NC case study. Specifically, we adopted the framework suggested by Bocken et  al. (2014) and discussed the value proposition, the value creation and delivery, and the value capture components, as observed in the focal entity of Baladin and the firms belonging to the NC. The findings show how the network created by Balladin was setup with the specific intention of allowing the central firm, that is to say Baladin, to guarantee the capacity for sustainable innovation which would not have otherwise been possible, and, consequently, becoming more competitive in the market, maintaining and reinventing tradition. For Teo Musso, collaboration and the awareness that sustainable results cannot be achieved alone lie at the heart of every innovative project. The true success of a firm is its capacity to identify the most professional partners. In fact, consistently with what is presented in literature, the sustainability of any truly BM presupposes that the value proposition, value creation and delivery, and value capture, created along the lines of sustainability and founded upon the sustainability concept, move from the focal firm to those that are part of the value creation chain,

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permeating all the business processes. Therefore, for a firm to be really deemed sustainable, it is essential that their suppliers and the firms that supply their suppliers must also be sustainable, as well as the entire sales and distribution network. Such a significant result can only be achieved if the firms that are part of the value chain of the focal firm are able to share the values and principles of sustainability, adapting their operational processes coherently, so as to benefit also in terms of income and cost flows, guaranteeing profitability. The NC becomes the operative tool used to reach these ends in the most effective way, because all the organizational and managerial aspects are specified to the firms who have become part of the NC and are presided over, in an almost symbiotic manner. Baladin has been sustainable from its origins, and the explicit value proposition of sustainable concepts is based on the values of the respect and loyalty the company has for the territory in which the resources are cultivated and in which the company is based and for partners’ firms inside the network. Teo Musso would like to close the value chain, from the land to the customer, and make everything completely autonomous and independent, manufacturing 100% of the raw materials internally as well as 100% of the energy and distributing its own finished goods directly. The NC becomes the tool through which Baladin transfers its value proposition to all other components of the network, permeating their sustainable behaviors and values. In particular, the primary values are summarized by the ability to improve performances in terms of quality and variety and developing brands in the market. The effects of the value proposition “transfer” implies a simultaneous synergy in value creation and delivery processes, which are extended from Baladin’s standards to the other network actors in the upstream value chain. This is highlighted by the investments both in the focal firm and in the subjects belonging to the network in digitalized technologies, total automation and control of the manufacturing processes, flexibility, energy efficiency, and waste control. The BM of the network is also sustainable from an environmental point of view, because it includes the reuse, recovery, and recycling of the resources which have been utilized, as well as the use of organic fertilizers and green energies together with the adoption of protocols for the protection of the environment during the distribution and maintenance process. All the farmers belonging to the network must be compliant. Moreover, from a purely social point of view, the promotion and sustainability of the production of craft and farm beers become the tools with which the entire chain and the territory are enhanced. Consequently, the impact on the value capture of the network is relevant, due to the support provided by Baladin in determining fair farmers’ prices (higher than the average market prices) and making cost-efficient processes, also in environmental terms (by means of an

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agricultural system which respects the agronomic rules and environmental sustainability). Thus, the members of the network can benefit from a greater economic stability. This also comes from the fact that all the firms in the network can optimize the purchasing process of technical equipment, raw materials (seeds, fertilizers, and phytosanitary products), and agro-mechanical services provided by third parties, as well as the implementation of bulk buying, thus making it possible to limit indirect and direct costs. In conclusion, in order to answer the RQ, the NC allows Baladin— the focal firm—to manage to convey a sustainable behavior approach to its network, thanks to a clear definition of the programs and shared organizational rules, as well as specific regulations for the definition of economic exchanges and investments in innovation, a healthy respect for the environment and the creation of social value. Thus, the NC is the extraordinary vehicle through which sustainable behaviors are channeled in order to produce a beneficial effect on the firms in the territory. Thanks to the ability of producers to evoke a sense of belonging to a certain territorial context as well as trying to reconnect people with their community and their economy (Fastigi et al., 2015b), Baladin perfectly expresses a form of neo-localism (Shortridge, 1996; Flack, 1997; Shortridge and Shortridge, 1998), in which food and beverages are linked to a story, often built on a romantic rediscovery of tradition, intimately linked to the process of craftsmanship and its territory.

References Baldassare, B., Calabretta, G., Bocken, N.M.P., Jaskiewicz, T., 2017. Bridging sustainable business model innovation and user-driven innovation: a process for sustainable value proposition design. J. Clean. Prod. 147, 175–186. Baroni, P., 2017. I giganti mondiali della birra a caccia dei piccoli produttori. La Stampa 16 October 2017. Bertero, P., Rostagno, A., 2015. La creazione di valore condiviso: accrescere il capitale territoriale attraverso le aggregazioni d’impresa nell’agroalimentare. Il vending sostenibile e il caso Massimo Cento. In: Food & Heritage: Sostenibilità EconomicoAziendale e Valorizzazione del Territorio. Giappichelli, Torino. Birkin, F., Polesie, T., Lewis, L., 2009. A new business model for sustainable development: an exploratory study using the theory of constraints in Nordic organizations. Bus. Strateg. Environ. 18, 277–290. Bocken, N.M.P., Short, S.W., Rana, P., Evans, S., 2014. A literature and practice review to develop sustainable business model archetypes. J. Clean. Prod. 65, 42–56. Brino, V., 2015. Le clausole sociali a tutela dell’impiego e i vincoli di compatibilità con il mercato. In: Dall’impresa a rete alle reti d’impresa. Giuffrè, Milano, pp. 321–335. Cafaggi, F., 2008. Contractual Networks and the Small Business Act: towards European principles? Eur. Rev. Cont. Law. 4 (4), 493–539. Cafaggi, F., 2011. Contractual Networks, Interfirm Cooperation and Economic Growth. Edward Elgar, Northampton, MA.

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Capuano, G., 2010. Lo Small Business Act: una nuova politica per le micro e piccole imprese. Rivista Eco. Mezzogiorno. 4, 955–974. Cerrato, S., 2016. Appunti sul contratto di rete: un modello «à la carte» dal contratto all’istituzione… e ritorno. Rivista Del Diritto Dell’impresa. 3, 491–531. Corbetta, P., 2003. La ricerca sociale: metodologie e tecniche, le tecniche qualitative. Il Mulino, Bologna. Dabove, L., 2017. Le potenti multinazionali si innamorano dei birrifici artigianali. In: Annuario Birrifici Artigianali. Available from: https://www.beverfood.com/ documenti/potenti-multinazionali-innamorano-birrifici-artigianali_zwd_80922. Dana, L.P., Dana, T.E., 2005. Expanding the scope of methodologies used in entrepreneurship research. Int. J. Entrepreneur. Small Busi. 2 (1), 79–88. Donadini, G., Porretta, S., 2017. Uncovering patterns of consumers’ interest for beer: a case study with craft beers. Food Res. Int. 9, 183–198. Eisenhardt, K.M., Graebner, M.E., 2007. Theory building from cases: opportunities and challenges. Acad. Manag. J. 50 (1), 25–32. Esposti, R., Fastigi, M., Viganò, E., 2015. Il movimento italiano delle birre artigianali: il caso dei birrifici agricoli. In: Agriregioni Europa. 11(43). Fabietti, G., 2016. Business models for sustainability in the agri-food sector: the role of management control system. (Ph. D. thesis). Fastigi, M., Esposti, R., Orazi, F., Viganò, E., 2015a. In: The irresistible rise of the craft brewing sector in Italy: can we explain it? Proceedings 4th AIEAA Conference Innovation, Productivity and Growth: Towards Sustainable Agri-food Production. Ancona, Italy, 11/12 June 2015. Fastigi, M., Esposti, R., Viganò, E., 2015b. La beer craft revolution in Italia e i birrifici agricoli: traiettorie evolutive e principali criticità. Argomenti, Terza Serie 2, 67–92. Feeney, A., 2017. Cultural heritage, sustainable development, and the impacts of craft breweries in Pennsylvania. City, Culture Soc. 9, 21–30. Flack, W., 1997. American microbreweries and neolocalism: “Ale-ing” for a sense of place. J. Cult. Geogr. 16, 37–53. Genovese, D., Culasso, F., Battaglini, L.M., Giacosa, E., 2017. Can livestock farming and tourism coexist in mountain regions? A new business model for sustainability. Sustainability 9 (2021), 1–21. Grandinetti, R., 2014. Aggregarsi in rete: un’opportunità per le piccole imprese. Economia e Diritto Del Terziario 1, 7–8. Hede, A.M., Watne, T., 2013. Leveraging the human side of the brand using a sense of place: case studies of craft breweries. J. Mark. Manag. 29 (1–2), 209–224. Johnson, R.B., Onwuegbuzie, A.J., Turner, L.A., 2007. Toward a definition of mixed methods research. J. Mix.Methods Res. 1 (2), 112–133. Lambert, S.C., Davidson, R.A., 2013. Applications of the business model in studies of enterprise success, innovation and classification: an analysis of empirical research from 1996 to 2010. Eur. Manag. J. 31, 668–681. Laukkanen, M., Patala, S., 2014. Analysing barriers to sustainable business model innovations: innovation systems approach. Int. J. Innov. Manag. 18 (06), 21. Lee, K., Casalegno, F., 2010. In: An explorative study for business models for sustainability. Pacis 2010 Proceedings. pp. 423–432. Lüdeke-Freund, F., 2009. Business Model Concepts in Corporate Sustainability Contexts: From Rhetoric to a Generic Template for ‘Business Models for Sustainability’. Centre for Sustainability Management, Lueneburg, NS. Lukka, K., 2005. Approaches to case research in management accounting: the nature of empirical intervention and theory linkage. In: Jönsson, S., Mouritsen, J. (Eds.), Accounting in Scandinavia—The Northern Lights. Liber & Copenhagen Business School Press, pp. 375–399. McKeown, T., 2004. Case studies and the limits of the quantitative worldview. In: Brady, H., Collier, D. (Eds.), Rethinking Social Inquiry. Rowman and Littlefield, Lanham, MD.

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Milne, M.J., 2007. Downsizing reg, addressing the “real” sustainability agenda at work and home. In: Social Accounting, Mega Accounting and Beyond: A Festschrift in Honour of MR Mathews. CSEAR, Scotland. Nidumolu, R., Prahalad, C.K., Rangaswami, M.R., 2009. Why sustainability is now the key driver of innovation. Harv. Bus. Rev. 87, 56–64. Osterwalder, A., Pigneur, Y., 2010. Business Model Generation: A Handbook for Visionaries, Game Changers and Challengers. John Wiley & Sons, Hoboken, NJ. Osterwalder, A., Pigneur, Y., Tucci, C.L., 2005. Clarifying business models: origins, present, and future of the concept. Commun. Assoc. Inf. Syst. 16, 2–25. Patton, M.Q., 1990. Qualitative Evaluation and Research Methods. Sage Publications, Thousand Oaks, CA. Richardson, J., 2008. The business model: an integrative framework for strategy execution. Strateg. Chang. 17 (5-6), 133–144. Schaltegger, S., Lüdeke-Freund, F., Hansen, E.G., 2012. Business cases for sustainability: the role of business model innovation for corporate sustainability. Int. J. Innov. Sustain. Dev. 6, 95–119. Shortridge, J.R., 1996. Keeping tabs on Kansas: Reflections on regionally based field study. J. Cult. Geogr. 16, 5–16. Shortridge, B.G., Shortridge, J.R., 1998. The Taste of American Place. Rowman and Littlefield, Lanham, MD. Siggelkow, N., 2007. Persuasion with case studies. Acad. Manag. J. 50 (1), 20–24. Stake, R.E., 1995. The Art of Case Study Research. Sage, Thousand Oaks, CA. Stake, R.E., 2013. Multiple Case Study Analysis. Guilford Press, New York. Strauss, A., Corbin, J., 1998. Basics of Qualitative Research: Techniques and Procedures for Developing Grounded Theory, second ed. Sage Publications, Thousank Oaks, CA. Stubbs, W., Cocklin, C., 2008. Conceptualizing a “sustainability business model”. Organ. Environ. 21, 103–127. Tiscini, R., Martiniello, L.M., A., 2017. Contratto di rete e creazione di valore: riflessioni ed evidenze empiriche sulle determinanti della performance. Sinergie Ital. J. Manage. 35 (102), 185–208. Tunisini, A., 2013. Contratto di rete: lo strumento made in Italy per integrare individualità e aggregazione. Franco Angeli, Milano. Turco, A., 2010. La birra diventa un prodotto agricolo. Available from: http://www.cronachedibirra.it/notizie/3102/la-birra-diventa-un-prodotto-agricolo. Yin, R.K., 1984. Case Study Research: Design and Methods. Sage Publications, Beverly Hills, CA. Yin, R.K., 2003. Case Study Research: Design and Methods, third ed. Sage Publication, Beverly Hills, CA. Yin, R.K., 2009. Case Study Research: Design and Methods, fourth ed. Sage Publications, Thousand Oak, CA. Zanelli, P., 2012. Reti e contratto di rete. CEDAM, Milano. Zott, C., Amit, R., Massa, L., 2011. The business model: recent developments and future research. J. Manag. 37, 1019–1042.

THE SUSTAINABILITY OF MEXICAN TRADITIONAL BEVERAGE SOTOL: ECOLOGICAL, HISTORICAL, AND TECHNICAL ISSUES

4

M. Humberto Reyes-Valdés⁎, Roberto Palacios†, Erika Nohemi Rivas-Martínez‡, Armando Robledo-Olivo§, Adriana Antonio-Bautista⁎, Carlos Manuel ValdésDávila¶, José Ángel Villarreal-Quintanilla‡, Adalberto Benavides-Mendoza‖ ⁎

Departamento de Fitomejoramiento, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México †Destiladora La Tradición de la Familia SPR de RS, Saltillo, Coahuila, México ‡Departamento de Botánica, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México §Departamento de Ciencia y Tecnología de Alimentos, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México ¶Escuela de Ciencias Sociales, Universidad Autónoma de Coahuila, Saltillo, Coahuila, México ‖Departamento de Horticultura, Universidad Autónoma Agraria Antonio Narro, Saltillo, Coahuila, México

4.1 Introduction Sotol is a distilled spirit originated in Mexico, which is obtained from plants of the same name and belong to several species of the genus Dasylirion. The sotols or sereques are plants that resemble agaves; in their reproductive state arise long and erect inflorescences that give them their typical appearance (Fig. 4.1). The plants of the genus Dasylirion are typical of several regions of North and Central Mexico, as well as Southern United States, and are generally found in hills. They are common in certain areas of the Chihuahuan Desert of North America. The name of this genus means “thick lily”; their species have numerous leaves that grow symmetrically from the stem, long, Processing and Sustainability of Beverages. https://doi.org/10.1016/B978-0-12-815259-1.00004-5 © 2019 Elsevier Inc. All rights reserved.

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Fig. 4.1  Sotol plants in their natural environment. The floral scape can be seen at the center of the photograph.

f­ lexible, and concave in the lower part; they are perennial plants and their leaves get dry when dying, forming a structure that supports the plant, which as it grows has a tendency to bow. The stem is short, robust, fibrous, and partly underground. In the reproductive stage, the sotol plants develop their characteristic inflorescence, with a thin, high, and resistant floral axis commonly called scape, pole, or quiote. The genus Dasylirion has been little studied, and most of the research works refer to its taxonomy and geographical distribution, and to a lesser extent its morphology, physiology, chemical composition, and alcoholic fermentation. There are many aspects of its biology that are ignored. This chapter aims to present a comprehensive overview of the biology and use of the genus Dasylirion, trying to contribute to the sustainable use of plants of this genus for the production of the alcoholic beverage called sotol.

4.2  The Genus Dasylirion The sotol is a monocot belonging to a group of plants endemic of America. It has been placed as an element of the family of the

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Dracaenaceae (Takhtajan, 1980), Agavaceae (Cronquist, 1981), also in Nolinaceae (Dahlgren et al., 1985), and Asparagaceae (APG-III, 2009). The botanical classification is as follows: Division: Magnoliophyta Class: Equisetopsida Order: Asparagales Family: Asparagaceae Genus: Dasylirion The plants (Fig. 4.2) are perennial, dioecious, flowering once in several years, with a fibrous system of wiry, succulent, thick roots, growing at the base of the stem; trunks are from very short to arborescent, woody, single or branched, covered by the old dry leaves. The rosette leaves are at the base of the plant or at the end of the stem, are long, linear, flattened, spreading with the base enlarged, the margin with sharp pointed prickles; the blades are hard fibrous, striate, smooth or slightly rough, green, green-yellowish, or bluish-green, the leaf tips or entire leaf are usually fibrous. The inflorescence is an elongate, narrowed, and compact racemose panicle, with a floral stem usually as long as the flowered portion, covered by attenuate, scarious, fragile, dry bracts. Flowers (Fig.  4.3) are unisexual, occasionally hermaphrodite but ­functionally unisexual, arranged in short ascending racemes, grouped

Fig. 4.2  Different structures of the sotol plant. (A) Young floral stem, (B) leaves of sotol, and (C) basal segment of a mature floral scape.

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Fig. 4.3  Morphology of floral structures of sotol plants. (A) Staminate flower, (B) pistillate flowers.

3–6; staminate flowers are sessile or short pedicels, with a small bract, tepals 3+3, elliptic, yellowish, the apex denticulate, stamens 6, gynoecium reduced; pistillate flowers, pedicelate, with a small bract, tepals 3+3, elliptic to obovate, yellowish, the apex denticulate, staminodia 6, ovary at early stages 3-loculed, later unilocular, triangular in transversal section, style short, stigma massive. The fruit is a capsule, obovate or elliptical, indehiscent, thin walled, 3-winged; seeds 1. Dasylirion includes 22 species according to Tropicos (2017) and The-Plant-List (2017) (Table  4.1), including the new species recently described (Villarreal-Quintanilla et al., 2016), distributed from Southern United States to Central-south México (Fig. 4.4). The genus appears to be closely related to the genera Nolina, Beaucarnea, and Calibanus (Bogler, 1995), sharing similar characteristics as the leaves rosette habitat, unisexual flowers (dioecious), elements of the perianth reduced, fruits 3-winged, indehiscent and dry, and xerophytic and sclerophyllous habitat (Bogler, 1994). The plants occur in lower slopes, cliff sides, flat lands, arroyos, on well-drained soil, limestone, calcareous, ash hillsides, and igneous outcrops, rocky or gravelly, with clay content (Bogler, 1994). They grow in desert vegetation, shrublands, grasslands, and forests, and are found at 400–3000 m elevation.

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Table 4.1  List of Species of Dasylirion and Distribution D. acrotrichum (Schiede ex Schultes) Zucc D. berlandieri S. Watson D. cedrosanum Trel D. duranguense Trel D. gentryi Bogler D. glaucophyllum Hook D. leiophyllum Engel. ex Trel D. longissimum Lem D. longistylum MacBride D. lucidum Rose D. micropterum Villarreal, A. Estrada and Encina D. miquihuanense Bogler D. occidentalis Bogler ex. Hochstätter D. palaciosii Rzed D. parryanum Trel D. quadrangulatum S. Watson D. serratifolium (Kraw. ex Schult. and Schult.f.) Zucc D. sereke Bogler D. simplex Trel D. texanum Scheele D. treleasei (Bogler) Hochstätter D. wheeleri S. Watson ex. Rothr

Hidalgo, Puebla, Querétaro, Edo. México Nuevo León, San Luis Potosí, Tamaulipas Coahuila, Durango, Nuevo León, Zacatecas Durango Sonora Hidalgo Chihuahua, Coahuila, Nuevo Mexico, Texas Hidalgo, Querétaro San Luis Potosí Oaxaca, Puebla Coahuila Nuevo León, Tamaulipas Aguascalientes, Guanajuato, Jalisco, Zacatecas San Luis Potosí Aguascalientes, Guanajuato, San Luis Potosí Nuevo León, Tamaulipas Oaxaca Chihuahua Durango Coahuila, Texas Hidalgo, Querétaro, San Luis Potosí Arizona, Texas

From Information of Tropicos, 2017. Tropicos, Botanical Information System at the Missouri Botanical Garden. Available from: http://www.tropicos.org (Accessed 1 August 2017); The-Plant-List, 2017. The Plant List. Available from: http://www. theplantlist.org (Accessed 1 August 2017)

4.3  The Sotol in Prehispanic Times and During the Spanish Colony The sotol is an integral part of human history in the Northern Mexico and the Southern United States, as a significant component of the diet of the nomadic people of Arid America, according to ­paleofecal DNA records (Poinar et al., 2001), reason why it constituted an important part of the resources for the sustenance of the human life in the prehistory and the history of Arid America. For several chroniclers of

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Fig. 4.4  Map illustrating the distribution of Dasylirion genus in Mexico and the United States.

the conquest of Northern Mexico (c. 1594), what desert dwellers consumed was not considered as food, for in their culture, food meant wheat bread, beef, and pork fat, sugar, etc. For this reason, desert resources such as viper meat, pulque, prickly pears, and mesquite were not considered by the Jesuits as food (Valdés, 2011). However, typical desert plants such as sotol and lechuguilla (Agave lechuguilla) constituted a significant part of the diet of native inhabitants of this region, through the cooking of their stalks in hot stones or by direct ingestion. It has been suggested that the plant part of the sotol consumed by these natives 10,000 years ago were mainly leaves and stem (Sobolik, 1991). There is evidence that sotol was a source rich in carbohydrates since together with lechuguilla (Agave lechuguilla) and wild onion (Allium drummondii) they supplied at the time more than 60% of calories to the natives of the Texan region (Leach and Sobolik, 2010). Also, sotol was used in pre-Hispanic times for crafts and for protection of homes (Trelease, 1911). The central stem of the plant is very fleshy or pulpy, and serves as a storage organ, containing both moisture and carbohydrates. The central stem often referred to as the heart or piña is considered edible,

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but only after baking it in a stone oven for 36–48 hours. A very long cooking time is needed to break down indigestible long-chain carbohydrates and poisonous compounds, mostly saponins, which are a combination of a sapogenin, a steroid compound, and a sugar, usually glucose. The heat and steam generated by the stone oven break down complex carbohydrates, splits the sugars from the steroidal compounds, breaks down the compounds, and leaves the soft central stem edible. Usually, the cooked, fleshy pulp was pounded into thin slices and sun-dried. If kept dry, baked sotol slices can remain edible for months: chewy, but sweet and nutritious. It tastes like nutty molasses syrup. The indigenous people who lived for at least 12,000 years in Northern Mexico and the Southern United States took advantage of the sotol plant. Traces of food have been found in several archaeological sites that have shown something about their diet and what they consumed, both of vegetable and animal origins (Valdés, 1995). In the extensive colonial documentation that has been revised (in archives of Mexico, Spain, Italy, and the United States) many references to its food have been made since the first contact with Europeans (c.1562) until the late 18th century (Barlow and Smisor, 1943). The diet of the pre-Hispanic natives who inhabited the northern region of Mexico depended, as expected, on the supply of nature. Mountainous parts, savannah areas, small oases, and desert were occupied for thousands of years. Some of these media offered more nutritious food than others, but each ethnic group was able to find what it needed to reproduce biologically and culturally. The Europeans who arrived in the north of New Spain ignored everything of the environment and its inhabitants, hence in many documents they have pointed out the food of the indigenous people as offensive and did not give importance to their diet. In the documents of that time, all the plants of the genus Agave that in Mexico are known as maguey were called mezcal. Although the sotol does not belong to the genus Agave, in some manuscripts, they pass for mezcal because the natives prepared it in barbecue, just like the agaves. In fact, the word mezcal belongs to Nahuatl: it comes from mexcalli, metl, maguey, and ixcalli, cooked; more than the name of a plant it designates the dish prepared for consumption. Between 1594 and 1595 the Jesuit missionaries sought to convert the natives of a lake region that today lies at the south of Coahuila, Mexico. With the success obtained they went to the desertic north, passing through a mountain range that the natives called Quavila. A priest wrote in a letter addressed to his superior that “the road of this mountain is so harsh and scarce of water, that some months of the year when the natural water is finished, the travelers quench their thirst with what they distill from the trunks of a plant that they call maguey.” So, these

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desert plants produced (with the help of man) water, but not equivalent to natural water, but to what is called aguamiel, that is, a liquid that provided water, sugars, and minerals that allowed them to perform activities that required enormous effort (Pérez de Ribas, 1645). Years later, in 1649, a military man wrote a long letter stating that: “Generally, their winter meals are, something that they call mezcal, which they elaborate cutting the leaves of the lechuguilla; with the heart of the plant and the leaves, they make barbacoa. It lasts two whole days in cooking; they eat that juice and meat, chewing it and sucking it” (De León, 1985). The plant that we name sotol does not appear in the colonial documentation. We found it until the 19th century to denote the alcoholic liquor produced by distillation, an activity not carried out by the aborigines. They created many drinks with mesquites, prickly pears, magueys, and sotols by the process of fermentation and used them in parties, religious rites, and warrior ceremonies. In an investigation conducted in Coahuila caves on the banks of the Rio Bravo, sotol remains were found in well-preserved human coprolites, as reported below: These prehistoric populations consumed a wide variety of plants, animals and another resources including prickly pear, agave, mesquite, sotol, acorns, walnut, berries, pecan, acacia, onion and other geophytes, rodents, turtle, fish, rabbits, hares, insects, birds, reptiles, and deer. Analysis of well-preserved faunal and macrobotanical remains from excavated rock shelters and caves reveals a broad-spectrum diet of wild plants and predominately small animals for the entire 10,000year record. Among the consumed plants, the desert succulents Agave lechuguilla (agave), Dasylirion sp. (sotol) and Opuntia sp. (prickly pear) were heavily utilized, along with Allium drummondii (onion), Yucca sp. (yucca) and Prosopis sp. (mesquite). (Leach and Sobolik, 2010)

It is necessary to mention that in colonial documents (Valdés, 1995) several plant species consumed by the pre-Hispanic natives, such as Prosopis spp., Quercus spp., Yucca sp., and Opuntia spp. are mentioned. Mesquite (Prosopis spp.) was a fundamental element; in fact, it was essential for all ethnic groups in the northern region of Mexico. They were relevant because mesquite trees can be found in large part of North America. Flannery mentions that mesquite can produce, in an area of scarce rainfall, 183 kg of edible matter per hectare, which can be transformed into 545,292 kcal and 10,465 g of proteins (Flannery, 1986). On the other hand, Rivera-Estrada (2012) reported that the study of a cave in which human bones abounded, food remains (raw and cooked) and objects used by the natives, remains of sotol leaves, prepared to extract their fibers to make sandals and baskets, were found. The sotol´s crowns provided the indigenous people with food,

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a­ lthough it was not the most consumed plant due to the problem in their preparation as food. They used it in their ritual dances as a fermented drink with a low amount of alcohol and also used it in the production of cords, fabrics, and nets. Nowadays there are communities that continue to use the sotol plant as food. The flowers are cooked and combined with other foods (López-Barbosa and Portes-Vargas, 2002). The central and tender section of the crown is used to make flour and also cooked for eating (Acosta, 1959). The crown is also roasted on rocks, grated, and boiled in pots, crushed, and then mixed with other foods (Herrera-Ramírez et al., 2006; Arce et al., 2003). As several investigators confirmed, the crowns of the mescaleros magueys are still consumed as treats in some places of Mexico such as San Luis Potosí and Coahuila. They have still found as evidence, “well ovens to cook maguey and other plants such as sotoles, archaeological, or in use” (Aguirre-Rivera et al., 2001). Another modern use of the sotol plant is in the making of basketry by artisans located in different places of their distribution área (Fig. 4.5A). The scapes, in turn, are used as building material for fences and huts. Also, it has some miscellaneous uses such as the handmade manufacture of ornamental objects in the shape of a flower called

(A)

(B)

(C) Fig. 4.5  Basket made with leaves of sotol (A). Currently, sotol flowers or chimales (B) are used in Mexico as an ornament in ceremonies or temples (C).

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c­ himales from the base of the leaves (Fig. 4.5B and C), and the carving of the scapes for use as walking sticks. It is also possible to see sotol plants as ornamental on ridges and gardens. However, the current usage with more economic value for sotol plants is the production of the alcoholic beverage with the same name.

4.4  Current Importance of Sotol Currently, the sotol plants are little consumed directly as food. Nevertheless, they acquire an increasing economic importance as fermentable raw material for the production of the alcoholic drink called Sotol. With the Designation of Origin for the states of Coahuila, Chihuahua, and Durango in Mexico (IMPI, 2002), the distillate of sotol plants competes with other spirits distilled from agaves such as Tequila (Agave tequilana), Mezcal (Agave spp.), and Bacanora (Agave angustifolia) (Fig. 4.6).

Fig. 4.6  Location of designations of origin for distinct beverages of Mexico. The sotol is located in the centralnorth area.

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The use of sotol for the production of liquor goes back to the colonial period, with the introduction of the process of distillation during the 16th and 18th centuries by the Spaniards in the region of Nueva Vizcaya (López-Barbosa, 2005). Craft factories were created to ferment the stem of the sotol and produce alcoholic beverage, which today is also called Sotol. With the passage of time, in addition to the craft factories, some have been established with more technification (Fig. 4.7) which makes use of services of professional enologists. In our days, the distilled spirit called Sotol constitutes a new production option for the arid and semiarid zones in Mexico, due to the potential it has for its industrialization as an alcoholic beverage, with similar quality as tequila and other mezcal beverages. The species Dasylirion cedrosanum, Dasylirion duranguensis, Dasylirion wheeleri, and Dasylirion leiophyllum are the most used to obtain the sugars for the fermentation process (De la Garza et al., 2010; Rivas-Martinez et al., 2016). The liquor sotol has been complied with Mexican regulation and has received the identification NOM-159-SCFI-2004 (Anonimous, 2004). This Official Mexican Standard establishes the characteristics and specifications that must be met by all members of the sotol industrial, commercial, and production chain.

Fig. 4.7  Technified factory to ferment the juice obtained from the stem of the sotol and produce the alcoholic beverage.

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4.5  Natural History of Dasylirion spp. Most species of the genus Dasylirion are endemic from Mexico. They grow in light soils with gravel, with good drainage on slopes of hills and streams of xerophilous and submontane bushes, which are characterized by very low relative humidity and an irregular regime and scarce of rains which generally coincide with the warmest time of the year. Daytime temperatures are high and can alternate with low nighttime temperatures; soils show varying degrees of salinity, and typically have a pH above 7.0. Soils are generally deficient in organic matter and therefore show little water retention capacity and low availability of some mineral elements such as N, P, Fe, Mn, and other metals. In these poor soils, microbial activity for plant life is especially important. In the case of sotol, no published studies on its microbiome were found. The plants that currently grow in deserts and semideserts come from species that prevailed in a subtropical to a tropical environment. It is believed that at the end of the Miocene, about 5 million years ago, the gradual transformation of these regions (such as the Chihuahuan Desert) began toward their present arid state, bringing together the adaptive changes of the organisms that lived in those areas. Currently, the deserts and semideserts show a great diversity of organisms adapted to this environment. Therefore, it is believed that sotol species have a series of reproductive, morphological, physiological, and biochemical adaptations that allow them to collect, conserve, and metabolize the resources of the environment in which their life cycle occurs. However, although the economic interest of sotol makes it a very relevant ecophysiological model, sotol has been little studied and very little is known about these adaptations. A study on the chemical composition of male and female plants did not show significant differences between sexes (Cruz-Requena et al., 2007). The seeds are trigones, golden brown color, and with a flat and rough surface (Hernández-Juárez, 2008). Seed germination under laboratory conditions is easily obtained, even without special treatments at least in D. cedrosanum, with germination rates above 90%. The germination process usually takes about 20 days, but fulvic acids can increase the emergency rate (Cruz-López, 2011). Seeds have bracts that can delay germination for some months (Vega-Cruz et al., 2012; Sierra-Tristán et al., 2008); considering that by late summer or autumn the seeds ripe, this character may be advantageous for germination to coincide with the rainy season of the following year. In the study by Francisco-Francisco et al. (2016), 98% of the seeds germinated without scarification, in the presence of proper illumination and with a regular availability of moisture in the substrate.

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The tolerance of the seeds to the different elements of the environment has not been verified. A study by Probert et al. (2009) found that in a sample of 195 species of 71 families, sotol seeds revealed good resistance to aging due to the application of high temperature and humidity during storage. However, the values were not found in the upper range. Perhaps the production of a large number of seeds per individual, coupled with the excellent germination capacity, is part of the adaptations that ensure the initial establishment of a high number of seedlings. That large number of seedlings, however, under natural conditions will see their number sharply diminished by the action of adverse events such as drought and foraging by wildlife or livestock (Vega-Cruz et al., 2012). After germination, the root grows until reaching 6 cm in 48 days after sowing in a substrate, under a greenhouse. The seedling emerges on the substrate 14 days after seed imbibition (FranciscoFrancisco et  al., 2016). However, the variation in germination time and subsequent growth of the seedlings is substantial (Vega-Cruz et al., 2012), making it difficult to establish an average characteristic for the seedlings. In the study by Robertson et  al. (2009), it was reported that the roots of D. leiophyllum species are fibrous and they explore densely the profile of the soil located between 10 and 30 cm deep; the exploration density is likely to increase in older plants. On the other hand, Patrick et  al. (2007) mentioned that the morphology of the roots of D. leiophyllum is compatible with that of a plant that extracts water not from the surface of the soil, but from deeper layers. It has been found that the productivity of these plants depends heavily on large precipitation events (Robertson et al., 2009), which seems to suggest that deep roots contribute in greater quantity to plant growth. In the study published by Patrick et al. (2007) they reported that the assimilation of CO2 and the transpiration rate depend directly on the amount of water available, without any apparent mechanism to increase the efficiency of water use. About mineral nutrition, the few published studies refer to the verification of the responses to the application of fertilizers in plants under controlled conditions (Vega-Cruz et al., 2012). It is known that sotol grows naturally in light and stony soils with low organic matter content (Cano-Pineda and Martínez-Burciaga, 2007), where it is normal for some mineral nutrients to be found with little availability. Although it has not been studied, it is possible that the plant has effective mechanisms to solubilize nutrients or is associated with microorganisms that contribute to this process. The structure of the stem suggests a useful reserve in an environment with variations in the availability of resources; although this store is mentioned as an essential element for the survival of young plants (Sierra-Tristán et al., 2008), this is a subject that has not been

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well studied (Robertson et al., 2009). The stem is a caudex, a storage structure with little exposure to surface area and a large volume, which is covered with the remains of the leaves developed in previous growing seasons. Besides providing mechanical support, such leaf covers apparently function as thermal and water insulation for the stem, thus reducing transpiration. There are reports of stems of sotol having up to 3 m of height and 150 kg of weight, although the normal for plants in northeastern Mexico is 80 kg (López-Barbosa, 2005). The leaves are elongated and perennial, light green to greyish green or glaucous, with spines at the margins and with a thick cuticle covered with a layer of hydrocarbons that diminishes the loss of water by perspiration. The surface does not appear pubescent probably because it lacks trichomes. Among the biochemical adaptations to the arid environment is the carbohydrate reserve. Crowns are known to accumulate fructans which are structurally different from those of agaves (Mancilla-Margalli and López, 2006). Fructans fulfill the functions of photosynthates and osmolytes, thus increasing the tolerance to water stress (Spollen and Nelson, 1994; Wang and Nobel, 1998). Part of this ability of fructans depends on their ability to associate with membranes, increasing water retention capacity even against very negative water potentials, increasing their stability, and decreasing oxidative stress (Valluru and Van den Ende, 2008). Mancilla-Margalli and López (2006) reported that the crown of Dasylirion sp. has a high content of fructose (38.43%) and glucose (27.36%), while the levels of fructans and sucrose represent 18% and 6% of the total carbohydrate content. It is believed that the emergence of the inflorescence decreases the fructan content, both to supply the energy required for this process and to contribute, through the glucose and fructose obtained from the hydrolysis of the fructans, to the necessary turgor pressure for elongation and cell division (Mancilla-Margalli and López, 2006). The fructans of sotol and agave are not currently used for their consumption as food; its use is mainly focused on fermentation to produce alcohol (Ávila-FernÁndez et al., 2009). However, in addition to being a source of dietary fiber, the fructans of agaves are compounds with interesting nutritive qualities due to their low caloric intake (Urías-Silvas et  al., 2008). In addition, it has been shown that sotol fructans have prebiotic properties, increasing the in  vitro activity of bifidobacteria and lactobacillus (López and Urías-Silvas, 2007). The average biochemical profile of sotol plants is reported by Cruz-Requena et al. (2013). The authors said that most of the weight of the plant corresponds to its moisture content (69.24%), crude ­fiber (9.63%), total sugars (5.89%), and reducing sugars (3.53%); while by minority constituents it has ashes (0.91%), fats (0.78%), and proteins (0.49%).

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Cruz-Requena et  al. (2013) reported that by fermenting for 72 hours the glucose and fructose present in the crowns of male and female plants of Dasylirion using Saccharomyces cerevisiae yields an extract with a total sugar content between 16.28 and 17.22 g L−1, reducing sugars between 5.06 and 7.16 g L−1, and ethanol between 2.05 and 2.55 g L−1.

4.5.1  Histology and Physiology Francisco-Francisco et al. (2016) described the foliar histology of D. cedrosanum, in which an epidermis is formed by uniseriate cells, amphistomatic stomata of paracytic type, and on average a cuticle of greater thickness on the adaxial surface of the leaf. The foliar tissue presents an isolate mesophile, comprising parenchyma cells in multilayered palisade, followed by a spongy parenchyma in which the vascular bundles are found in bands of three arcuate rows and parallel to the curvature of the mesophyll. These histological characteristics are compatible with those of plants with metabolism C3 (Jacobs, 2001; Ueno, 2011). The stomatal density of the adaxial and abaxial surfaces ranges from 46.8 to 65.0 mm−2 stomas and have a stomatal index of 14.0%– 23.3%, with no significant dominance between the adaxial and abaxial surfaces (Francisco-Francisco et al., 2016). The reports on photosynthetic metabolism indicate that D. wheeleri collected from New Mexico behaves as a constitutive C3 species, does not show CAM induction traits (Kemp and Gardetto, 1982), contrary to many species of Yucca and practically all agaves and semidesert cactus which are constitutive CAM plants. Sternberg et al. (1984) also indicated that Dasylirion texanum shows C3 metabolism. The above information, however, cannot be extended to all sotol species, since it is known that in the same genus the presence of C3 and CAM species may occur, or that they revert from C3 to CAM and vice versa according to environmental conditions (Lüttge, 2004). Therefore, the verification of the photosynthetic metabolism should be extended to the Dasylirion species present in Mexico (Cervantes-Ortíz, 2015). On the other hand, Cervantes-Ortíz (2015) carried out gas exchange analysis and determination of biochemical variables (total soluble solids, titratable acidity, total sugars, conductance, and stomatal resistance) in young leaves of D. cedrosanum. This author observed that during the first hours of dawn (around 6:00 a.m. and 7:00 a.m.) there is an increase in stomatal conductance indicating a stomatal opening; while at dusk (approximately 7:00 p.m. and 8:00 p.m.), stomatal conductance decreases meaning stomatal closure. The increase and decrease of stomatal conductance, at day and night, respectively, is a characteristic behavior of plants with C3 or

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C4 metabolism as reported by Rada et al. (2012), who evaluated the stomatal conductance under conditions of water deficit in Theobroma cacao var. Guasare, a plant with C3 photosynthetic metabolism. They observed that from 9:00 h onwards there was an increase in stomatal conductance, while at about 18:00 h it started to decrease, which indicates that the stomas are open during the day and closed at night, as is the case with the stomas of D. cedrosanum. The values of titratable acidity and total sugars in sotol plants (Cervantes-Ortíz, 2015) did not show differences between day and night; however, the total soluble solids increased during the day, indicating an accumulation of soluble sugars (sucrose) during the hours of light, while during the dark periods a decrease of that variable is observed. Trevanion (2000) studied the diurnal behavior of carbohydrate accumulation in leaves of a plant with photosynthetic metabolism C3 (Triticum aestivum L.) during 48 consecutive hours. As a result, the author observed an increase in starch and sucrose during the diurnal periods and a decrease of both during the hours of darkness. These results are similar to those obtained by Cervantes-Ortíz (2015) for D. cedrosanum. The same was observed by Kalt-Torres et  al. (1987) who evaluated the levels of glucose, fructose, glucose 6-P and fructose 6-P, and starch in plants of Zea mays (C4 plant) and observed an increase in the monosaccharides during the first hours of the morning (around 9:00 and 10:00 h), and drastically decreasing at night (approximately 20:00 and 21:00 h). With the first determinations of the histological characteristics, gaseous exchange behavior, and biochemical variables of D. cedrosanum from Mexico, it is thought that this plant tends to have a C3 photosynthetic metabolism. However, more studies are necessary to definitively eliminate the alternative C4 or C4/C3.

4.5.2  Genetics and Reproduction The sotol is a perennial plant that reproduces by seeds of sexual origin. The lifespan of the individuals is variable, but it is known about plants that have reached more than 150 years in a greenhouse (López-Barbosa, 2005). The time from germination to first flowering is 12–15 years and, unlike the Agave spp., sotol plants are polycarpic, that is, they do not die after flowering, which occur an indeterminate number of times during the life of a plant. As mentioned, the ­inflorescence of sotol arises in a tall structure, called scape or quiote that reaches a height of between 2 and 3.5 m (Robles-Esparza et  al., 2012). The female plant in a productive year can generate from 0.25 to 2.7 kg of seeds that are released from the inflorescence when being agitated by the wind. On average, 95,000 seeds kg−1 can be counted (Sierra-Tristán et al., 2008). Sometimes, it is possible to see some plants with several stems, which seem to come from the same seed.

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The Dasylirion species are dioecious, with pistillate and staminate plants, carrying out a cross-fertilization. The chromosomal number reported for D. texanum and D. wheeleri is 2n = 38, based on somatic metaphase (Satô, 1935). The same number was found for D. cedrosanum, based on mitotic and meiotic observations, with evidence of regular, diploid-like, chromosome pairing (Hernández-Quintero et al., 2015). Determination of sex is a process that leads to the differentiation of the organs or cells that produce gametes (Tanurdzic and Banks, 2004). There is a considerable controversy on where, when, and how this separation occurred, from which monoecious and dioecious plants originated. However, although approximately three quarters of the botanical families with flowers include dioecious species (Ainsworth, 2000), and many of these species are of commercial importance, little is known about the genetic basis of this event that is believed to be of recent evolution, as well as the biochemical factors involved in this evolutionary process (Negrutiu et al., 2001; Vyskot and Hobza, 2004). Until now there is no method available to distinguish the sex of a plant before a floral scape develops; they must pass between 12 and 15 years before being able to identify if a plant is male or female (CruzRequena et al., 2013). Although no published studies are available, it has been found that sotol do not form flowers every year and climatic factors, especially rainfall, appear to be critical for the reproductive process to occur. The staminate flowers have six stamens with longer filaments than the perianth. In pistillate flowers, the ovary is superior, with three single loculi, where there are commonly three small ovules, of which one or rarely two develop into mature seeds. However, morphology is not the only tool that can be used for the distinction of sex in plants. Some determinants of sexual differentiation in dioecious plants are associated with the presence of specific macromolecular markers for stamens or carpels, sex-linked genes, homomorphic chromosomes X and Y, or the presence of biochemical compounds of the plant, such as phytohormones (Soldatova and Khryanin, 2010). In some plants the determination derives from a simple gene locus, and there are cases where the environment plays an important role. It is not known to date, which is the mechanism of sex determination in the genus Dasylirion. It is known that in some plant species, such as Silene latifolia, the sex determination occurs by heteromorphic chromosomes (Tanurdzic and Banks, 2004), or by inconspicuous, non-cytologically distinguishable primitive sex chromosomes as described for Carica papaya (Liu et al., 2004). Although sex determination in sotol has been assumed to have a genetic basis, it is not known the segregation model of the same, or the hormonal balances that can determine the functionality of anthers in males or pistils in females. For both sexes, it has been found that the flowers have sex structures of

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their counterpart, that is, female flowers have reminiscent of anthers, and male flowers have reminiscent of a pistil so sexual determination seems to be more of the functional type than anatomical. Among the studies carried out on the sotol plant to determine the mechanisms of its sexual differentiation, we find the biochemical comparison of female and male plants, the determination of the number and size of chromosomes, and the quantification of some phytohormones (Rivas-Martinez et al. (2016) quantified Gibberellin A4 and Riboside of trans Zeatin (GA4 and tZR, respectively) in different organs of adult pistillate and staminate plants of D. cedrosanum to establish whether there is an individual or combined effect (GA4/ tZR balance) of these phytohormones in the sexual differentiation of the plant. The result obtained showed a variation in the levels of GA4 between the organs evaluated during the different stages of the development of the sexual organ, indicating a possible association of the hormone with the floral induction, but not with the sexual differentiation. Another study conducted in D. cedrosanum focused on the determination of chromosomal pairing during meiosis, which was found to symmetrically suggests the absence of a heteromorphic sexual determination. It was determined that D. cedrosanum contains a total of 38 chromosomes, which is consistent with that reported for D. wheeleri and D. texanum (Hernández-Quintero et al., 2015). For the genus Dasylirion it is necessary to analyze the presence of specific macromolecular markers for stamens or carpels (Kamiab et al., 2014), or to determine the presence and quantity of other phytohormones or metabolites related to sexual determination (auxins, abscisic acid, isomers of gibberellins and cytokinins), all with the aim of obtaining more information that brings us closer to the mechanisms that lead to their sexual differentiation of this group of plants.

4.6  Ecological Impact of Sotol Production Harvesting of sotol biomass occurs in natural populations, so several of them are subject to overexploitation (Golubov et  al., 2007). For this reason, the individuals of this species have been multiplied in nurseries or the laboratory, mainly for the purpose of reforestation and conservation of germplasm. Traditionally, the different species of sotol have been used as emergency forage in times of prolonged drought (Programa-Sotol, 2003). However, the artisanal processing for sotol production has led to the indiscriminate collection of wild plants, which, together with the scarce information about the biology and reproduction characteristics of Dasylirion, has contributed to the poor management of natural

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populations. For this reason, it has been considered necessary to establish nurseries with Dasylirion species for later use in natural areas. Currently, in the states of Chihuahua, Coahuila, and Durango, Mexico, there has been an increasing interest in the industrial-scale production of the traditional sotol beverage, which has increased the number of official petitions for collecting this species (Programa-Sotol, 2005). This high demand has forced to implement the use of natural populations of sotol in a rational and sustainable way, visualizing opportunities in the national and international market and promoting the generation of economic income for the inhabitants of the regions where this natural resource is located. Sotol is considered a nontimber forest resource and its exploitation are commonly carried out on natural populations. Therefore, the exploitation must be preceded by Technical Justificative Studies (Estudios Técnicos Justificativos), as indicated in the Mexican Forestry Law and the corresponding Mexican Official Standards. The Technical Justificative Studies establish the procedures, criteria, and specifications to realize the use, transport, and storage of bark, stems, and complete plants of forest vegetation. These studies are necessary for the use of nontimber forest resources and are oriented to encourage the integral use of these. The Technical Justificative Study is an essential requirement for the obtention of permits for the extraction of sotol plants for the production of the beverage, thereby promoting sustainable use and reducing anthropogenic pressure on ecosystems. The governments of the Northern Mexican states are involved in the use of sotol promote and carry out different activities to mitigate the impact of the sotol beverage industry. In the particular case of Coahuila, a program called “Sotol” was implemented during 2001–05 to obtain knowledge of the actual stocks, location, and some characteristics of the plants that make up the natural populations and thus give recommendations on the authorizations extraction and handling. In Coahuila from 2003 to 2016, 42 authorizations were granted for the industrial use of sotol plants (SEMARNAT, 2017). Some support programs have also been launched to ensure that massive plant extraction does not damage sotol populations, including reforestation and support for the establishment of commercial plantations. In order to carry out these activities massive production of plants is required, which are achieved through the collection of seeds. There are currently procedures for the establishment of Forest Germplasm Producing Units (Unidades Productoras de Germoplasma Forestal, UPGF) to obtain the legal provenance of the seed, as well as knowledge of the source of production, and with this information the place where they should be planted to obtain the highest benefits of the plants produced is recommended (CONAFOR, 2012).

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The sotol seeds must be collected in an optimal state, in a late maturation stage, when they have reached their physiological maturity and have excellent germination capacity. The sotol seeds are in an ­indehiscent capsule, which requires a mechanical process to obtain the seed and can be planted in trays for germination. Germination occurs between 14 and 21 days after sowing. Plant traits such as height, diameter of the node where the root begins, and number of leaves should be considered to transplant into the open field. Regularly adequate transplanting characteristics are achieved within 12–18 months after sowing. A 1-kg seed that is clean and ready for sowing contains 120,000 seeds, which when collected timely reaches up to 80% germination. These characteristics make it relatively easy to propagate in nurseries different sotol species, even allowing experimental planting in monoculture, as is done with Agave tequilana. It is expected that if these efforts to establish monocultures become successful, the pressure on natural populations will decrease significantly.

4.7  Preparation Process of Sotol Beverage The elaboration process of sotol is very similar to the elaboration of tequila or mezcal; that is why it is termed as a mezcal class. Unlike the Agave tequilana, which is produced in a monoculture and requires 6–8 years for the harvesting and processing of tequila, sotol plants that grow wild need 15 years to harvest and used in the production of the distillate. The entire process is schematized in Fig. 4.8, and is explained in subsequent sections.

4.7.1  Plant Selection, Harvesting, Cutting, and Transportation The selection and use of sotol plants are established in officially delimited areas named rodales (stands), and these vary according to their location in the site and the degree of maturity of the plant (Table 4.2). The sotol is found in remote places, such as mountainous slopes, which complicates the hauling of the crowns to the location of gathering and loading. The cuts are performed during September to November when the crowns reach between 20 and 40 kg, with total soluble solids content between 20 and 35°Brix (Fig. 4.9) (Sierra-Tristán et al., 2008; Cruz-Requena et al., 2013). Currently, there is little information about the production of the Dasylirion species regarding crop yield and its size, weight, and concentration of fermentable sugars.

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Fig. 4.8  Scheme of the industrial process for the fabrication of the sotol beverage.

Table 4.2  Differences in the Harvest Times of the Plants to Produce Sotol, Tequila, and Mezcal Beverages b

Sotol Tequilad Mezcale

Age of Plant at Harvest (years)

Yield by Plant

Price per Liter (Aged)a (USD)

15 8 8

0.75 L product per crown 8.7 L product per crown 2.0 L product per crown

$21c $16.60 $23.70

The yields and prices per liter are also indicated for each case. a Aged at least two months. b Producers southeast region of Coahuila. c Average price in US Dollar according to the Mexican Federal Consumer’s Office. d Tequila Regulatory Council. e Barraza-Soto et al. (2014); Mezcal Regulatory Council.

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Fig. 4.9  On the left, the selected sotol plants extracted from the field using a cutting tool called jima. The harvested part is the crown, which is stripped of the leaves using an axe. On the right, fresh crowns are transported to the factory on the same day to start the distillation process.

4.7.2  Cooking and Grinding Once the heads arrive at the processing plant, the elaboration of the distillate is very similar to the tequila or mezcal, where one can follow a rustic or an industrialized process. The main difference between both methods is the range of operation and the control of variables in the elaboration of the product. In both cases, the harvested crowns should be cooked within 24 h of cutting to avoid deterioration of sugars. The cooking is done in an autoclave with steam (Fig. 4.10), at a temperature between 45°C and 55°C for 24 h. At this stage of the process, complex carbohydrates such as fructooligosaccharides, inulins, and fructosyl polymers are denatured (De La Garza-Toledo et al., 2008) resulting in simple sugars such as glucose and fructose. This process can lead to undesirable degradations (Maillard reactions) and the formation of by-products such as phenolic compounds derived from lignin (Michel-Cuello et al., 2012). Therefore, it becomes interesting to develop processes with enzymatic hydrolysis or alternative nonthermal technologies, such as electrical pulses or high pressures, to avoid unwanted compounds. At the end of the cooking process, the juices are collected, and the cooked heads are placed for the next stage of grinding. The grinding process is carried out in two stages. In the first phase, the cooked crowns are chopped down to reduce their size. At this step, juices are also generated and recovered to be included in the fermentation process. In the second stage, the cut heads and the ­residual fibers pass to an expeller where the highest extraction of sugars rich in juice is obtained (Fig. 4.11), which are transferred to fermentation tanks.

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Fig. 4.10  Crown cooking for the extraction of fermentable juices.

Fig. 4.11  Process of chopping the crowns, for the extraction of fermentable juices.

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4.7.3 Fermentation The juices obtained from the cooking and grinding phase are placed in fermentation tanks (bioreactors), where favorable conditions for the transformation of sugars are controlled. The fermentation takes place in two forms: natural, utilizing the native yeasts of the sotol plant; and added, using yeasts isolated from other sources. The main microbial consortia in the fermentation process for sotol production are: Saccharomyces cerevisiae, Protatheca sp., Candida glabrata, C. kefir, Bacillus licheniformis, Bacillus subtilis, and Acetobacter sp. (De La Garza-Toledo et al., 2008; Casas-Acevedo et al., 2015). The amounts of microorganisms present can vary from region to region; this variability in the microbial consortia affects the conditions and time necessary for the process, which must be adjusted to obtain a standardized product. In the fermentation stage, it is vital to consider the sugar content of the raw material, to carry out the production of alcohol. When only the carbohydrates present in the cooking juices are used, it is called 100% sotol. In those that do not have this characteristic, the official standard indicates that up to 49% of other sugars other than those derived from the grinding, such as glucose, fructose, or sucrose, can be added before the fermentation process. Other elements that favor the development of microorganisms, such as nitrogen, in the form of urea or ammonium sulfate, should also be added. The carbon/nitrogen ratio must be taken into account, as this affects the production of higher alcohols (Lachenmeier et al., 2006). The transformation of the sugars into carbonic gas and alcohol takes from 2 to 7 days depending on the initial conditions of the inoculum of microorganisms, in a process at a temperature between 20°C and 25°C. The concentration of sugars can decrease up to 5% when the process ends (De La Garza-Toledo et al., 2008). The end of the fermentation is established in a balance between the amount of yeast that has been developed, the sugar content, and the production of alcohol (Bautista-Justo et al., 2001). During the process, care must be taken of the methanol content produced by the fermentation, derived from the hydrolysis of methylated pectins (Lachenmeier et al., 2006). Therefore, it is necessary to standardize the growth kinetics of the microorganisms used and to seek the standardization of the inoculum. It is important to note that, to date, there is no information available that allows the optimization of the fermentation process for the production of sotol. Although this is done on an industrial scale, no substantial changes have been made to the process, and it continues to be done in much the same way as rustic manufacturing. Therefore, studies are necessary for the isolation and purification of endogenous yeasts from the sotol, to standardize the beginning of the fermentation. As in other alcoholic beverages, in the preparation of sotol, studies of the fermentation process must be carried out in the sense of optimizing the conditions in the bioreactor, to obtain higher yields.

Chapter 4  THE SUSTAINABILITY OF MEXICAN TRADITIONAL BEVERAGE SOTOL   127

4.7.4 Distillation Once the fermentation is finished, the fermented juices are circulated to an alembic or distiller in columns, to separate the heads and tails (unwanted substances), from the heart or distillate used for sotol. Ethyl alcohol, the primary substance making up a distillate, boils at 75°C and not at 100°C like water. However, as ethyl alcohol is in a solution with water, the boiling point varies according to its concentration in water. The head is the first part of the distilled liquid to be produced; it contains unpleasant substances such as methyl alcohol, which is toxic, and need to be eliminated. Head’s substances have a lower evaporation point than the heart of the distilled, and therefore are the first to be produced. The skill of the distiller consists of the ability to establish when the head of the distillate ends and when the so-called heart (rich in ethyl alcohol and aromatic substances) starts to come out. The last point to be considered is to recognize the end of the heart and the start of the tail since it contains unpleasant fatty and oily substances. The quality of the equipment is a fundamental factor for the result, as well as the constant revision of the temperatures with which one works. The distillation process begins when the distillery is at 75°C. The cooling tower is then turned on, and the first drops of the distillate are started. Once reached between 85°C and 90°C the flow of the distillate of sotol presents an abundant continuity. The degrees of alcohol obtained initially in a first distillation can begin between 50 and 60 degrees of alcohol, and in a second distillation it can reach between 75 and 85 degrees of alcohol. The critical part of the distillation process is to keep operating temperatures and pressures constant. Once the distillation process is finished, the distillates will be labeled and used for second distillation.

4.7.5  Graduation and Maturation After the distillation stage, the selected product is stored in a tank to be graded and packaged, or stored in barrels. The standardization of the graduation is carried out using double-distilled dilution water and the finished product is denominated white sotol or “Silver.” Young sotol or “Gold,” is the result of the mixture of white sotol with aged sotol and is susceptible to be added with some ingredients like caramel color, oak extract or natural oak, glycerin, and syrup according to the Official Mexican Standard NOM-159-SCFI-2004 (Anonimous, 2004). The use of the components described above should not be higher than 1% relative to the total weight of the sotol before packaging. Sotol “Aged” is obtained by leaving the white sotol for at least 2 months in containers made of oak, acacia, chestnut, beech, or ash. The commercial alcoholic strength should, if necessary, be adjusted with doubly distilled water.

128  Chapter 4  THE SUSTAINABILITY OF MEXICAN TRADITIONAL BEVERAGE SOTOL

In the case of the production of aged or extra-aged sotol, the white sotol is subjected to a maturation process of at least 1 year in oak, acacia, chestnut, beech, or ash tree; maximum is 210 L. The commercial alcoholic strength should, if necessary, be adjusted with doubly distilled water.

4.7.6 Packaging Once the graduation or maturation is finished, the finished ­ roduct is sent to the packaging area where it is transferred to glass p bottles, using a semiautomatic system. First, the containers are placed in a pressure washer where they are rinsed and disinfected with alcohol and the same sotol to be packaged. This packaging machine has a recycling and filtration system, which makes cleaning and rinsing work more efficient. Once washed and disinfected, it is passed to the bottler where the bottles are filled with sotol, and their lid or cork is placed without pressure, to carry out a final revision of the product and to avoid any impurities. Once checked, the seal is finished, and the packaging is then put into the labeling and sealing area and then packaged.

4.7.7  Official Specifications Applied to the Alcoholic Beverage Sotol According to NOM-159-SCFI-2004, referring to alcoholic drinks with the designation of origin sotol, the drink must comply with specifications based on the content of different alcohols and chemical compounds derived from the fermentation process, to ensure that the drink will be innocuous for human consumption (Table 4.3).

4.8  Issues and Perspectives on Sotol Questions and gaps in the knowledge about the species of the genus Dasylirion were raised in the different sections of this chapter. The advance in its resolution will translate for the sustainability of these plants and the drink sotol. The following questions are grouped by topic.

4.8.1  Omic Knowledge No genomic studies on sotol are available, except for those performed with molecular genetic markers by Pinales-Quero et al. (2017). The genome is not sequenced, and as far as we know, no proteomics, metabolomics, or ionomics studies have been performed.

Table 4.3  Specifications of Sotol According to NOM-159-SCFI-2004 White Sotol

Young or Gold Sotol

Aged Sotol

Extra-Aged Sotol

Specificationsa

Min

Max

Min

Max

Min

Max

Min

Max

Alcohol content at 20°C (% Alc vol.) Dry extract (g L−1)

35

55

35

55

35

55

35

55

0

0.2

0

15

0

15

0

15

VALUES EXPRESSED IN MG ML−1 REFERRED TO ANHYDROUS ALCOHOL

Higher alcohols (with higher molecular weight than ethanol) Methanol Aldehydes (such as acetaldehyde) Esters (as ethyl-acetate) Furfural a

20

400

20

400

20

400

20

400

0 0

300 40

0 0

300 40

0 0

300 40

0 0

300 40

2 0

270 4

2 0

350 4

2 0

360 4

2 0

360 4

All manufacturers of the drink with the designation of origin Sotol must comply with this Official Mexican Standard (NOM-159-SCFI-2004).

130  Chapter 4  THE SUSTAINABILITY OF MEXICAN TRADITIONAL BEVERAGE SOTOL

4.8.2 Physiology Knowledge of the physiology of sotol is very scarce. The increase in physiological information will be of great value and will allow knowing sotol adjustments to the environment and field management in greater depth. The physiological information, in turn, will contribute to the improved care of the plant in its habitat or monoculture and may guide the introduction of Dasylirion in other regions with conditions acquired as a result of climate change. On the other hand, no information or evidence of studies on other metabolites different to carbohydrates and hormones of sotol was found. Essential topics such as bromatological studies, the content of chlorophylls, antioxidants or other bioactive metabolites, as well as studies of the mineral composition or the root microbiome, with the aim of increasing the knowledge about the adaptations of this species to its conditions of life or diversify their industrial or medicinal use have not been made or are not available in the literature.

4.8.3  Sexual Determination The genetic basis of sex determination in sotol plants is unknown. It is known that in general in plants there are some possible mechanisms, such as simple inheritance, the presence of heteromorphic chromosomes, homomorphic chromosomes, ploidy and environmental determination using hormones or other metabolites as potential participants in the dioecy phenomenon observed in this genus.

4.8.4 Reproduction The reproductive success rate up to seed formation, the dispersion of the seeds themselves, and the percentage of seedlings that survive in natural conditions are fundamental knowledge about which no information is available on sotol (Golubov et al., 2007). It is also observed that in the years with less precipitation the flowering of the sotol diminishes or it only does not occur; this seems an adaptation to the stress situation, but there is no evidence to prove it. It is not known when the flower primordia are formed that will give rise to the flowers that emerge in a certain year; the magnitude of the effect of the water deficit on the formation of floral structures and plant metabolism is also unknown. For this reason, in addition to the apparent control by precipitation, it is entirely unknown how the presence or absence of flowering is controlled in a particular season. Does it depends on a mechanism regulated by hormones or other metabolites that respond to the water deficit in the soil? Or is it related to a decrease in the carbohydrate budget of the plant? On the other hand, there is no known specific adaptation in the seed structure that increases germination in

Chapter 4  THE SUSTAINABILITY OF MEXICAN TRADITIONAL BEVERAGE SOTOL   131

arid conditions except the presence of bracts that delay germination for some months (Vega-Cruz et al., 2012; Sierra-Tristán et al., 2008).

4.8.5  Agents of Pollination The possibility of pollination by wind has been raised, but without decisive evidence for its sustentation. There is also no firm basis to support the hypothesis of insect participation in the process of pollination of the genus Dasylirion (Henrickson and Johnston, 1986). However, the authors of this chapter have observed frequent visits of bees to sotol inflorescences. In the arid and semiarid zones bats are frequently involved in pollination of different species of agaves (Trejo-Salazar et al., 2016), but in this case, there is no information about sotol.

4.8.6  Edaphic Requirements No information is available indicating the limits to germination in populations not subject to human manipulation. The way the root grows in the natural edaphic environments is known only by two studies. Little is known about the needs of mineral elements in sotol plants and how they are met. In the absence of an abundant supply of nutrients, characteristic of the soils in semiarid regions, probably the sotol plants require a specific microbiome associated with the roots that help to mobilize the nutrients of the soil (Chapin et al., 2011); however, the information on this is null.

4.8.7  Potential as Human Food The sotol for its broad distribution in the Chihuahuan Desert requires more attention from researchers in the subject of food technology and human health, with the purpose of analyzing other substances that could enrich the human diet and new sources of medicines. It would be interesting to investigate the possible presence of antioxidants and substances of medical influence. However, the ecological cost must always be taken into account concerning the benefit that can be obtained with the different uses, and that these applications remain under a vision of sustainability.

4.8.8 Monoculture The perspective of monoculture of the different species of sotol is interesting from different angles: the first one is the one of the sustainability, allowing to reduce the pressure of collection of plants for industrial use on the natural populations; the second is the opportunity to gain more knowledge about this group of plants that indeed

132  Chapter 4  THE SUSTAINABILITY OF MEXICAN TRADITIONAL BEVERAGE SOTOL

c­ onstitute an enigma in terms of its high adaptability, since we find them in a great diversity of environments in a vast geographical area. The knowledge could be applied in different fields for the production of sotol, and potentially it would be translated into a higher productivity and greater quality of the drink obtained from its industrialization; the third is the possibility of implementing an ad hoc agricultural industry for the semidesert communities, based on the use of plants adapted to the environment and able to grow in poor soils, and therefore with lower needs for water, nutrients, and pesticides.

4.9 Conclusions The sustainable use of the plants of the genus Dasylirion for the manufacture of the sotol beverage depends on a complex set of factors: knowledge about the biology and ecology of plants, which are scarce but in a constant (although slow) increase; the legal processes that regulate their exploitation; the propagation and monoculture efforts that, if proven successful, will significantly reduce the pressure on natural populations; and the participation of artisan manufacturers and drink manufacturers, who are the economic agents that can importantly regulate the relationship between all the factors mentioned. Throughout this chapter, several relevant facts regarding the sotol plant are highlighted: its broad adaptation to the desert zones, its close presence to the development of human life throughout history in the Chihuahuan Desert, its reproductive peculiarities—especially the dioecy—and its current and potential economic importance in the production of the distillate. Above all, it highlights our considerable ignorance about the biology of this plant and its relationship with environmental variables. There is also a shortage of studies on their food and medical potential and the possibilities for sustainable management. We hope that this manuscript will motivate the development of new projects, exploring the potential of knowledge acquisition and uses of this particular group of plants.

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Rivera-Estrada, C.A., 2012. Percepción del paisaje entre grupos cazadores-recolectores complejos en la llanura central de Nuevo León. Escuela Nacional de Antropología e Historia, México. Robertson, T.R., et  al., 2009. Precipitation timing and magnitude differentially affect aboveground annual net primary productivity in three perennial species in a Chihuahuan Desert grassland. New Phytol. 181 (1), 230–242. Available from: http:// doi.wiley.com/10.1111/j.1469-8137.2008.02643.x. (Accessed October 21, 2017). Robles-Esparza, A., et al., 2012. Dasylirion cedrosanum Trelease (Nolinaceae) density varies depending on elevation and slope in the Northeast of Zacatecas, Mexico. Ekoloji 21 (85), 15–25. Satô, D., 1935. Analysis of karyotypes in Yucca, Agave and related genera with special reference to the phylogenetic significance. Jpn. J. Genet. 11, 272–278. SEMARNAT, 2017. Base de datos de la Dirección General de Gestión Forestal y Suelos. Autorizaciones de Aprovechamiento de Sotol (Dasylirion cedrosanum Trel.) Delegación Coahuila. Available from: http://www.ifai.org.mx/. (Accessed October 17, 2017). Sierra-Tristán, J.S., Lara Macías, C.R., Carrillo-Romo, R., Melgoza-Castillo, A., MoralesNieto, C., Royo-Vázquez, M.H., 2008. Los sotoles (Dasylirion spp.) de Chihuahua. Instituto Nacional de Investigaciones Forestales. Agrícolas y Pecuarias, Ciudad de México. Sobolik, K.D., 1991. Prehistoric diet and subsistence in the lower Pecos as reflected in coprolites from Baker cave, Valverde County Texas. The University of Texas at Austin, Austin, TX. Soldatova, N.A., Khryanin, V.N., 2010. The effects of heavy metal salts on the phytohormonal status and sex expression in marijuana. Russ. J. Plant Physiol. 57 (1), 96–100. Available from: http://link.springer.com/10.1134/S1021443710010139. (Accessed October 22, 2017). Spollen, W.G., Nelson, C.J., 1994. Response of fructan to water deficit in growing leaves of tall Fescue. Plant Physiol. 106 (1), 329–336. Available from: http://www.ncbi.nlm. nih.gov/pubmed/12232332. (Accessed October 22, 2017). Sternberg, L.O., Deniro, M.J., Johnson, H.B., 1984. Isotope ratios of cellulose from plants having different photosynthetic pathways. Plant Physiol. 74 (3), 557–561. Available from: http://www.ncbi.nlm.nih.gov/pubmed/16663460. (Accessed October 21, 2017). Takhtajan, A., 1980. Outline of the classification of flowering plants (Magnoliophyta). Bot. Rev. 46, 225–359. Tanurdzic, M., Banks, J.A., 2004. Sex-determining mechanisms in land plants. Plant Cell 16 (Suppl(suppl 1)), S61–S71. Available from: http://www.ncbi.nlm.nih.gov/ pubmed/15084718. (Accessed October 21, 2017). The-Plant-List, 2017. The Plant List. Available from: http://www.theplantlist.org. (Accessed August 1, 2017). Trejo-Salazar, R.-E., et al., 2016. Save our bats, save our Tequila: industry and science join forces to help bats and Agaves. Nat. Areas J. 36 (4), 523–530. Available from: http://www.bioone.org/doi/10.3375/043.036.0417. (Accessed October 7, 2017). Trelease, W., 1911. The desert group Nolineæ. Proc. Am. Philos. Soc. 50 (200), 404–443. Available from: http://www.jstor.org/stable/983932. (Accessed October 21, 2017). Trevanion, S.J., 2000. Photosynthetic carbohydrate metabolism in wheat (Triticum aestivum L.) leaves: optimization of methods for determination of fructose 2,6-­ bisphosphate. J. Exp. Bot. 51 (347), 1037–1045. Available from: https://­ academic.oup.com/jxb/article-lookup/doi/10.1093/jexbot/51.347.1037. (Accessed October 22, 2017). Tropicos, 2017. Tropicos, Botanical Information System at the Missouri Botanical Garden. Available from: http://www.tropicos.org. (Accessed August 1, 2017).

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Ueno, O., 2011. Structural and biochemical characterization of the C3-C4 intermediate Brassica gravinae and relatives, with particular reference to cellular distribution of Rubisco. J. Exp. Bot. 62 (15), 5347–5355. Available from: https://academic.oup.com/ jxb/article-lookup/doi/10.1093/jxb/err187. (Accessed October 22, 2017). Urías-Silvas, J.E., et al., 2008. Physiological effects of dietary fructans extracted from Agave tequilana Gto. and Dasylirion spp. Br. J. Nutr. 99 (2), 254–261. Available from: http:// www.journals.cambridge.org/abstract_S0007114507795338. (Accessed October 21, 2017). Valdés, C.M., 1995. La gente del mezquite. In: Los nómadas del noreste en la Colonia. Centro de Investigaciones y Estudios Superiores en Antropología Social, Ciudad de México. Valdés, C.M., 2011. El desierto como interpretación y como vivencia. Visiones de militares y religiosos de la región árida del centro norte mexicano entre los siglos XVI y XIX. In: Trejo-Barajas, D. (Ed.), Los desiertos en la historia de América, una mirada multidisciplinaria. Universidad Michoacana de San Nicolás de Hidalgo y Universidad Autónoma de Coahuila, Morelia, México, pp. 45–69. Valluru, R., Van den Ende, W., 2008. Plant fructans in stress environments: emerging concepts and future prospects. J. Exp. Bot. 59 (11), 2905–2916. Available from: https://academic.oup.com/jxb/article-lookup/doi/10.1093/jxb/ern164. (Accessed October 21, 2017). Vega-Cruz, J., Melgoza-Castillo, A., Sierra-Tristán, J.S., 2012. Caracterización del crecimiento de dos especies de sotol (Dasylirion leiophyllum Engelm. ex Trelease y D. sereke Bogler) fertilizadas con nitrógeno y fósforo. Rev. Mex. Cienc. Forestal. 31, 55–71. Available from: http://cienciasforestales.inifap.gob.mx/editorial/index. php/Forestales/article/view/79. (Accessed October 21, 2017). Villarreal-Quintanilla, J.A., et al., 2016. Dasylirion micropterum (Asparagaceae), a new species from Sierra Madre Oriental, Mexico. Phytotaxa 253 (2), 139. Vyskot, B., Hobza, R., 2004. Gender in plants: sex chromosomes are emerging from the fog. Trends Genet. 20 (9), 432–438. Available from: http://www.sciencedirect.com/ science/article/pii/S0168952504001568. Wang, N., Nobel, P.S., 1998. Phloem transport of fructans in the Crassulacean acid metabolism species Agave deserti. Plant Physiol. 116 (2), 709–714. Available from: http://www.ncbi.nlm.nih.gov/pubmed/9490769. (Accessed October 21, 2017).

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QUALITY IMPROVEMENT AND NEW PRODUCT DEVELOPMENT IN THE HIBISCUS BEVERAGE INDUSTRY⁎

5

Maria João P. Monteiro⁎, Ana Isabel A. Costa⁎,†, Keith I. Tomlins‡, Manuela E. Pintado⁎ ⁎

Centro de Biotecnologia e Química Fina—Laboratório Associado, Universidade Católica Portuguesa, Porto, Portugal †Católica Lisbon School of Business & Economics, Universidade Católica Portuguesa, Lisboa, Portugal ‡ Natural Resources Institute, University of Greenwich, Kent, United Kingdom

5.1 Introduction Beverages with enhanced health benefits provided by plant-based ingredients are growing in popularity (Sun-Waterhouse, 2011; Lawless et al., 2012; Arancibia et al., 2013; Laaksonen et al., 2014; HernándezCarrión et  al., 2015), particularly when made from ingredients perceived as new or exotic by European and North American markets (Ramirez et al., 2010; Vidigal et al., 2011; Orjuela-Palacio et al., 2014; Bolling et al., 2015; Duffy et al., 2016). This trend is fueled by the food and beverage industry’s current focus on the development of products with a health claim, as a strategy of differentiation, and by consumers’ growing desire for more natural and healthier diets, on one hand, and new and exciting food and drink experiences, on the other hand (Sabbe et al., 2009a, b; Nielsen, 2015; Piqueras-Fiszman and Spence, 2015; Siegrist et al., 2015; Zurawicki, 2015; Geertsen et al., 2016). Sensory characteristics remain, nevertheless, the main bottleneck in the path to market success of novel beverages, as many of the plant-based ingredients with important health benefits often

⁎

This manuscript has been submitted for publication in Emerging Trends and Developments in Beverage Science (VOL. XIII). It is not to be reproduced or cited without the written permission of its authors. Processing and Sustainability of Beverages. https://doi.org/10.1016/B978-0-12-815259-1.00005-7 © 2019 Elsevier Inc. All rights reserved.

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translate into products with low palatability (Lawless et  al., 2012; Laaksonen et al., 2014; Hernández-Carrión et al., 2015) and consumers are almost always unwilling to compromise on taste for health (Sabbe et  al., 2009a; Ares et  al., 2010). Understanding sensory perception and the main chemical-sensory drivers of acceptance of beverages with a health claim, as well as developing new products that effectively meet consumers’ expectations and preferences, are hence among the key challenges faced by the food and beverage industry today (Sun-Waterhouse, 2011; Köster and Mojet, 2012a,b). Hibiscus extracts are a good example of a product with a health claim. They constitute a rich dietary source of antioxidants, carrying a total polyphenol content similar to beverages like green tea, blood orange juice, or grapefruit juice (Bechoff et al., 2014; PérezJiménez et al., 2010). They have also been demonstrated to possess important pharmacological properties (Maganha et  al., 2010; DaCosta-Rocha et  al., 2014; Patel, 2014; Pérez-Ramírez et  al., 2015). Possessing a deep red color, distinctive floral, berry-like aroma and slightly acidic taste, the dried sepals of calyces of Hibiscus sabdariffa var. sabdariffa ruber flowers are one of the highest volume specialty botanical products in international trade, being used worldwide in the production of foods, beverages, pharmaceuticals, and cosmetics (Plotto et al., 2004; Da-Costa-Rocha et al., 2014; Tahir et al., 2017). The rising number of health conscious consumers, along with the growing interest of North Americans and Europeans in herbal teas and other plant-based beverages made from unique or exotic ingredients, is creating new, mainstream market opportunities for high-quality hibiscus beverages (Bailey, 2015). Meanwhile, the need to add value to local crops and traditional products has led to the implementation of several research projects in countries where the production of hibiscus calyces and derived beverages is important, like Nigeria, Mexico, and Senegal (Ramírez-Rodrigues et  al., 2011a,b; Cisse et  al., 2012; Diessana et  al., 2015; Pérez-Ramírez et  al., 2015). As a result, a growing number of reports on the phytochemical and physical-chemical properties of hibiscus calyx extracts have been published in recent years. Studies of the sensory profile and level of consumer acceptance of conventional and novel hibiscus beverages, in both traditional and new country markets, are also steadily accumulating. Herein, this chapter summarizes, discusses, and analyzes extant research on hibiscus calyx and extracts production, the phytochemical and chemical-sensory properties of hibiscus extracts, the sensory characterization of hibiscus beverages, and consumer acceptance of such products in different country markets.

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5.2  Hibiscus Calyces 5.2.1  H. sabdariffa Plants The H. sabdariffa L. is a species of the genus Hibiscus of the Malvaceae family. Thought to be native to Africa (Sudan region) (Mc Clintock and El Tahir, 2004) or Asia (India to Malaysia) (Ismail et al., 2008) this herbaceous plant is nowadays widely grown in the tropical and subtropical areas of Africa, Asia, and North-American continent (Patel, 2014). Two varieties of H. sabdariffa are typically cultivated for their commercial value: the altissima Wester, cultivated primarily in India, Nigeria, and some tropical parts of America for its stem fiber (Cid-Ortega and Guerrero-Beltrán, 2015); and the H. sabdariffa var. sabdariffa, grown mainly for its leaves, seeds, and pigmented flowers (Mc Clintock and El Tahir, 2004; Plotto et al., 2004). Leaves and seeds are used as legumes or to prepare condiments and sauces, while the sepals of the flowers are used in the production of extracts, beverages, and desserts (Plotto et  al., 2004; Suliman et  al., 2011; HervertHernandez and Goni, 2012; Atta et al., 2013).

5.2.2  H. var. sabdariffa Plants H. sabdariffa var. sabdariffa plants are known as hibiscus, roselle, sorrel, Florida cranberry in English-speaking countries (Mohamed et al., 2012), jamaica in Spanish-speaking ones (Sáyago-Ayerdi et al., 2014), karkadeh in Arabic (Mohamed et  al., 2012), patwa in Hindi (Zaman et  al., 2017), l’oseille de Guinée or oiselle rouge in French, bissap in Wolof (Senegal) (Boucher et  al., 2014), and zobo in Hausa (Nigeria) (Adeniji, 2017). They can be generally classified into four races: the bhagalpuriensi, with green, red-streaked, inedible calyces; the intermedius and the albus, both with yellow-green edible calyces and also yielding fiber; and the ruber, with deep crimson, or deep magenta, edible calyces (Fig. 5.1) and greater economic importance than the remainder (Cid-Ortega and Guerrero-Beltrán, 2015). H. var. sabdariffa plants are quite hardy and easy to grow in most hot climates and well-drained soils, being hence often cultivated as supplemental crops in drier parts of the world, notably in West and Central Africa (Plotto et al., 2004). Local farmers will frequently grow them for their leaves and seeds as much as for their flowers, given the former’s important contribution to both human and livestock diets, on one hand, and the relatively complex harvest processing and/or trading activities required to extract further economic value from the latter, on the other (Mc Clintock and El Tahir, 2004; Cisse et al., 2009a). Nevertheless, the hibiscus is chiefly a cash crop in large areas of Sudan (Kordofan and Darfur), Senegal (Kaolack and Saint Louis), and Mali

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Fig. 5.1  Hibiscus var. sabdariffa ruber plant (www.after-fp7.eu).

(Cisse et al., 2009a; Mohamed et al., 2012), being an important source of income for local farmers (Mc Clintock and El Tahir, 2004; Juliani et al., 2009).

5.2.3  H. var. sabdariffa ruber 5.2.3.1  Consumption and Trade Calyces of ruber plants are sold and consumed dried in most areas of the world, with the notable exceptions of Malaysia and West Indies, where they are traded and used fresh (Mounigan and Badrie, 2007). They are used in traditional cuisines to prepare hot and cold herbal infusions and other beverages, jams, confectionary, salads, side dishes, and desserts (Mohamed et al., 2012; Boucher et al., 2014; Cid-Ortega and Guerrero-Beltrán, 2015). Their extracts, in syrup, powder, or concentrate form, are furthermore widely employed by the European and North-American food, beverage and pharma industries as natural coloring and flavoring ingredients (Cisse et al., 2012; Da-Costa-Rocha et al., 2014; Cid-Ortega and Guerrero-Beltrán, 2015).

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To meet the rising demand for ruber calyces within both domestic and export markets, several cultivars and seed varieties are being extensively grown in China, Thailand, Malaysia, the Philippines, Mexico, Jamaica, West Indies, United States of America (USA), Sudan, Senegal, Mali, Chad, Nigeria, Niger, Egypt, and Tanzania (Christian and Jackson, 2009; Torres-Morán et  al., 2011; Atta et  al., 2013; Jung et al., 2013; Patel, 2014; Tahir et al., 2017). In fact, over 100 cultivars or seed strains of the race ruber have been identified around the world (Plotto et al., 2004). China and Thailand are currently the biggest producers of this crop, controlling a large share of the world supply, while Germany and the United States are the top importing countries (DaCosta-Rocha et al., 2014). Hibiscus calyces are mostly traded dried, whole and packaged in bales, with their quality being highly dependent on origin. Thai calyces are reputedly superior to Chinese ones, while the world’s best crops are claimed to come from Sudan, Africa’s most important producer and exporter of this commodity (Plotto et al., 2004; Mohamed et al., 2012). Sudanese calyces are nevertheless scarce and their end quality is often compromised by poor processing (Mohamed et al., 2012). Meanwhile, Mexico, Jamaica, Egypt, Senegal, Tanzania, Mali, and Chad are also becoming important suppliers. But even though their production has improved greatly in recent years (Mc Clintock and El Tahir, 2004; Cisse et al., 2009a; Mohamed et al., 2012), the bulk of it is still chiefly traded and consumed domestically (Plotto et al., 2004). Many cultivars (Americana, Tepalcatepec, Diamante, Colima, Tempranillo, Talpa, Violenta, Sudan, among others) are grown in the main hibiscus producing areas of Mexico (Torres-Morán et al., 2011; Borrás-Linares et  al., 2015). Meanwhile, four main cultivars of hibiscus are currently grown in Senegal for the production of calyces: the Sudanese Vimto, the local Koor, the Thailandese Thai, and the Mexican CLT 92. Thai and CLT 92 have been recently introduced in this country, being thus less extensively cultivated than the traditional Vimto and Koor cultivars (Cisse et  al., 2009a). Vimto plants reputedly yield the best calyces and the highest yields (up to 5000 kg ha−1 of fresh calyces) (Mc Clintock and El Tahir, 2004; Plotto et al., 2004), being thus grown in all agricultural areas of West Senegal (Juliani et al., 2009). Koor plants are also widely cultivated in this region, but the yields are considerably lower (2500–3000 kg ha−1 of fresh calyces) (Cisse et al., 2009a).

5.2.3.2  Agricultural Production Ruber plants are very sensitive to changes in light, with planting time being set according to day length rather than rainfall seasons (Plotto et  al., 2004; Mohamed et  al., 2012). They require 13 hours of sunlight during the first 4–5 months (to prevent premature flowering)

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and a total of 4–8 months of growth under mild nighttime temperatures (≥21°C), as well as a monthly rainfall between 130 and 250 mm in the first 3–4 months. Dry periods can be withstood and are even desirable in the last months of growth, to promote calyx development and ensure quality (Mc Clintock and El Tahir, 2004; Plotto et al., 2004; Mohamed et al., 2012). Consequently, they are grown in Senegal and Sudan during the wet season, that is, between June and October, with sowing typically taking place in July-August, to take advantage of the longer days and heavier rainfalls occurring in these months. Flowering begins 2–3 months later, that is, by late September or early October, when days become shorter and light intensity reduces (Cisse et  al., 2009a). Hibiscus calyces should be harvested after the flowers have dropped, but before the seedpods dry out and crack open, as this will make them more susceptible to sores and sun cracking (Plotto et al., 2004). Therefore, they are gradually handpicked from the Sudanese and Senegalese fields by November, when they are still bright red, tender, and fleshy, until January. They are then shelled to remove the seedpods, typically within a day or two after harvesting, and the sepals are dried to ensure proper preservation during storage, transportation, and trade. Shelling is performed manually in most cases, being a delicate and difficult operation that requires a skilled workforce (Cisse et  al., 2009a). This constitutes a major obstacle to the development of the H. sabdariffa industry (Adinsi et  al., 2011). The dried calices (Fig. 5.2) are then packed, transported by truck, and stored in wholesalers’ warehouses between December and February, being subsequently either exported in bulk or portioned and sold domestically

Fig. 5.2  Dried calyces of the Koor (A) and Vimto (B) cultivars of Hibiscus sabdariffa var. sabdariffa ruber plants.

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mainly to beverage manufacturers and consumers. In this case, they will be traded in local markets until May, time at which their color deteriorates and their commercial value is nearly lost (Mc Clintock and El Tahir, 2004; Plotto et al., 2004; Cisse et al., 2009a). Cultivar, seed stock, agricultural practices (e.g., sowing spacing, weeding, intercropping, fertilizing and harvest), climate conditions (particularly rain and humidity toward the end of the growth cycle), and harvest time are important determinants of the quality of hibiscus calyces (Khafaga and Koch, 1980c, Plotto et al., 2004; Cisse et al., 2009b). Postharvest operations, in particular the drying process, play a key role in guaranteeing end-product quality (Khafaga and Koch, 1980c, Mc Clintock and El Tahir, 2004; Plotto et  al., 2004; Mohamed et  al., 2012). Shelled calyces are often merely spread over mats or plastic sheets placed on the ground, where they are left to dry under direct sunlight for 6–11 days, until the moisture content is reduced from about 86% to 16% (or under 12%, if they are intended for international trade) (Cisse et al., 2009b). This is a highly inefficient process, which often results in product degradation. Lack of adequate ventilation during sun drying increases drying times and promotes mold growth, as well as sun baking when combined with ambient temperatures above 43°C (Mc Clintock and El Tahir, 2004; Plotto et al., 2004). Closeness to the ground increases the risk of insect infestation and contamination with sand and debris (Cisse et al., 2009a). Both issues can be ameliorated by spreading calyces over net screens or frames, placing these well above ground and enabling them to be partially or fully covered when required (Khafaga and Koch, 1980c, Plotto et al., 2004; Cisse et al., 2009a). Irrespective of such improvements, sun drying will often result in high anthocyanin and organic acid degradation, with consequent negative impacts on the quality of dried hibiscus calyces and their extracts (Juliani et al., 2009).

5.2.3.3  Quality Characteristics Broadly speaking, the taste of hibiscus calyces is characterized by a pronounced sourness and an astringent flavor similar to that of cranberries (Plotto et  al., 2004; Aurelio et  al., 2008; Patel, 2014). Nevertheless, their physical, chemical, and sensory characteristics tend to vary considerably according to cultivar, growing, and harvesting conditions (Khafaga and Koch, 1980a, b, c, Christian and Jackson, 2009; Salinas-Moreno et  al., 2012; Borrás-Linares et  al., 2015; Tahir et al., 2017). For instance, calyces of Vimto are reputedly rich in anthocyanins and other phenolic compounds (and thus possess good coloring and antioxidant properties), whereas those from Koor have a high organic acid content, resulting in extracts with intense sourness (Cisse et al., 2009a).

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Salinas-Moreno et al. (2012) evaluated the color of the calyces of seven ruber cultivars, six of which were grown in State of Oaxaca in Mexico, harvested manually, decorticated and sun dried (Colima 3, Colima 5, Sudán, Coneja, Colima 6, and Colima 7), and a seventh acquired in a wholesale market in Mexico City (China). Colima 6, China and Sudán displayed a vivid dark red color, while Colima 3, Colima 5, Coneja and Colima 7 calyces were light red. Lightness values (L*, 0 = black to 100 = white) were higher for whole dark red calyces than for light red ones, varying between 11.3 (China) and 21.5 (Colima 5). Hue angles (McGuire, 1992) ranged between 22.1 (Colima 3) and 37.3 (Sudán), but did not vary significantly across samples. Chroma values (McGuire, 1992) were much lower for dark red calyces, ranging between 5.1 (Sudán), and 7.4 (China), than for light red ones which ranged from 14.4 (Coneja) to 25.2 (Colima 3) (Salinas-Moreno et al., 2012). Anthocyanins are the pigmented, water-soluble vacuole flavonoids responsible for the red hues of hibiscus calyces, constituting the major group of phenolic compounds present in their water extracts (ca. 50%) (Ramírez-Rodrigues et  al., 2011b; Diessana et  al., 2015; Sinela et  al., 2017). They play an important role in plant physiology and visually attracting pollinators and seed dispersers, having been implicated in tolerance to stressors as drought, UV-B, and heavy metals, as well as resistance to herbivores and pathogens (Gould, 2004; Stintzing and Carle, 2004). The anthocyanin content of hibiscus calyces reportedly varies between 0.2% and 1.7%, expressed in a dry weight basis (DW) (Palé et al., 2004; Cisse et al., 2009c; Salinas-Moreno et al., 2012; Kane et al., 2018). Purple, mauve delphinidin-3-xylosylglucoside (D3S) and magenta, and crimson cyanidin-3-xylosylglucoside (C3S) are the predominant anthocyanins found in hibiscus calyces, their extracts and beverages; delphinidin-3-glucoside (D3G) and cyanidin-3 glucoside (C3G) are also found in smaller quantities (Delgado-Vargas and ParedesLópez, 2002; Galicia-Flores et al., 2008; Rodríguez-Medina et al., 2009; Fernández-Arroyo et al., 2011). In the study reported by Salinas-Moreno et al. (2012) the anthocyanin content of hibiscus extracts prepared from the dark calyces was between 5 and 7 times higher than in the light calyces, with Sudán and Colima 6 presenting the highest values (1.5% and 1.3% DW, respectively) and Colima 3, Colima 5, and Colima 7 the lowest (0.2% DW). Meanwhile, Sudanese’s Vimto cultivars grown in Senegal have been reported to reach exceptionally high anthocyanin contents (1.7% DW, on average), whereas their native Koor counterparts reach much more modest values (0.5% DW, on average) (Boucher et al., 2014). Phenolic acids and flavonols constitute the two other main groups of phenolic compounds present in hibiscus calyces, with

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their ­content in hibiscus extracts depending chiefly on cultivar and extraction conditions (Ramírez-Rodrigues et  al., 2011b; SáyagoAyerdi et  al., 2014; Pérez-Ramírez et  al., 2015). The main phenolic acids identified in hibiscus extracts so far are chlorogenic acid and its isomers I and II, caffeic acid, and derivatives of protocatechuic and gallic acids (Ramírez-Rodrigues et  al., 2011a,b; Pérez-Ramírez et al., 2015; Reyes-Luengas et al., 2015). Main flavonols determined so far are quercetin and its glycosides, glycosides of myricetin, proanthocyanidins, catechin, epigallocatechin, and epigallocatechin gallate (Sáyago-Ayerdi et  al., 2007; Fernández-Arroyo et  al., 2011; Ramírez-Rodrigues et  al., 2012; Pérez-Ramírez et  al., 2015; ReyesLuengas et al., 2015). Hibiscus calyces are rich in organic acids and have a high titratable acidity, although this may vary considerably with cultivar (Khafaga and Koch, 1980a, Wong et  al., 2002; Galicia-Flores et  al., 2008; Tahir et al., 2017). Hydroxycitric acid, hibiscus acid, and its derivatives, as well as citric, malic, and tartaric acid are the major compounds present in the corresponding extracts, whereas oxalic and ascorbic acids are present in only minor amounts (Da-Costa-Rocha et al., 2014). On the other hand, they are naturally poor in sugars and other soluble solids, with the maximum total sugar content in fresh calyces being reported to vary between 3% and 5% DW (Bolade et al., 2009; Bechoff et al., 2014; Boucher et al., 2014; Da-Costa-Rocha et al., 2014). Hibiscus calyces are equally poor in starch (El Afry et al., 1980), but relatively rich in mucilage and pectins, which explains the relatively high soluble dietary fiber content of their extracts (Da-Costa-Rocha et al., 2014). Indeed, the total dietary fiber content of calyces of Criolla, China, Rosalis, and Tecoanapa Mexican cultivars were found to vary between 37% and 39% DW, with 19%–22% of it being soluble dietary fiber (Sáyago-Ayerdi et al., 2014). With regard to other nutrients, Suliman et al. (2011) reported for calyces acquired in Sudan, average contents of 8.6% DW for protein, 2.9% DW of crude fat/ether extractables, 9.8% DW of fiber, 6.8% DW of minerals, 71.9% DW of carbohydrates, and 54.8 mg/100 g DW for vitamin C. Average values of 7.9% DW of protein, 0.2% DW of crude fat/ether extractables, 13.2% DW of fiber, 10.6% DW of minerals, 57.2% DW of carbohydrates, and 11.0 mg/100g DW of vitamin C were, on the other hand, reported for calyces acquired in Nigeria (Bolade et al., 2009). For Senegal, mean values of 10.1%–11.9% DW of protein, 8.2%–11.0% DW of total sugars, 6.2%–9.6% lipids, and 44.0– 46.4 mg/100 g DW for vitamin C were reported for calyces of Vimto, Koor, Thai, and CLT92 cultivars (Kane et al., 2018). The coloring, flavoring, and thickening properties of hibiscus ­calyces derive largely from their distinctive phenol, organic acid, and pectin composition (Chen et  al., 2005; Duangmal et  al., 2008; Cisse et al., 2012; Bechoff et al., 2014). The bioactivity of several ­characteristic

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of organic acids, phenolics, and polysaccharides has been demonstrated in different biological models, with these compounds being linked to important pharmacological properties of hibiscus extracts, namely nephro- and hepato-protective, renal/diuretic, anticholesterol, antihypertensive, antidiabetic, hypolipidemic, and antitumoral effects (Maganha et al., 2010; Patel, 2014). Possible mechanisms underlying such effects are the strong antioxidant activities of anthocyanins and phenolic acids, the inhibition of pancreatic α-amylase and intestinal α-glucosidase enzymes by organic acids, the inhibition of angiotensin I converting enzyme (ACE) by flavones, the vaso-relaxant effects of anthocyanins and/or flavonoids, as well as the hypocholesterolemic of pectins (Ali et al., 2005; Maganha et al., 2010; Da-CostaRocha et al., 2014).

5.3  Hibiscus Beverages 5.3.1  Trade and Consumption Due to their appealing color, pleasantly refreshing taste, and perceived nutritional value and health benefits, beverages prepared from water extracts of hibiscus calyces are consumed—either as refreshment or folk remedy—in countries as diverse as Mexico, Jamaica, Thailand, Philippines, Taiwan, or Egypt (Mc Clintock and El Tahir, 2004; Sáyago-Ayerdi et al., 2007; Cisse et al., 2009b; Mohamed et al., 2012; Cid-Ortega and Guerrero-Beltrán, 2015). Still, their consumption is nowhere more widespread that in West Africa, particularly in Nigeria and Senegal, where dried hibiscus calices are found in every market and variations of ready-made or bottled hibiscus infusions are commonly sold on the streets, retail stores, and restaurants (Plotto et al., 2004; Bolade et al., 2009; Cisse et al., 2009b; Foline et al., 2011). Drinking cold hibiscus infusions are such a ubiquitous tradition in Senegal, particularly during Ramadan, such that the jus de bissap has become known as the national drink (Cisse et al., 2009a). Ready-to-drink beverages based on hibiscus extracts have been produced and distributed in the United States since 2005 (Anonymous, 2016). At the onset, these products targeted mainly the Hispanic, Caribbean, Asian, and African diasporas. Since 2011, however, Starbucks’ Teavana, Argo Tea, and Dunkin’ Donuts, have been developing premium tea lines for both foodservice and retail outlets that carry several ready-to-drink infusions and instant beverages based on hibiscus extracts, as well as many herbal blends containing hibiscus. Other hibiscus beverages have slowly penetrated additional Western niche markets. Dilute-to-taste extracts (in liquid or powder form) targeting the African diaspora in Europe, herbal teas and infusions aiming at the health conscious, all natural, ethnic food

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c­ onsumers, and specialty flavored syrups for foodservice professionals and end-customers seeking novel, exotic, and exciting drink mixers or baking ingredients, are the main examples (Bennett et al., 2014; Ramirez et al., 2010). Bulk hibiscus concentrates have also been commonly employed in the European and North American food, beverage and pharma industries as natural coloring and flavoring ingredients for several decades (Cid-Ortega and Guerrero-Beltrán, 2015).

5.3.2 Production Hibiscus beverages have a translucent appearance, an intense red color, a distinctive floral aroma, and a pronounced acid taste, which is typically counterbalanced by the addition of sucrose (Aurelio et al., 2008; Bechoff et al., 2014) (Fig. 5.3). They are usually prepared by soaking the dried calyces in water and then straining them to obtain an infusion (Cisse et al., 2009a; RamírezRodrigues et al., 2011b), except in Malaysia and the West Indies, where fresh calyces are used instead (Wong et al., 2003; Mounigan and Badrie, 2006). Sucrose and other flavoring ingredients are often added (Cisse et al., 2009a). Homemade infusions are usually stored and consumed cold within days of their preparation. Manufactured infusions usually undergo pasteurization and packaging steps to extend shelf life (Cisse et  al., 2009a; Bechoff et  al., 2014). Higher relative amounts of both ­calyces and sucrose are combined to make syrups but, in this case,

Fig. 5.3  Hibiscus infusions made from dried calyces of the Koor (A) and Vimto (B) cultivars.

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f­lavoring ingredients are normally not added. Subsequent concentration may ensue, typically by thermal processes (Cisse et al., 2009a; Cisse et al., 2011). Beverages are then prepared by dilution to taste with water prior to consumption. Fig. 5.4 depicts the process of production of hibiscus infusions and syrups according to the African tradition.

Fig. 5.4  Traditional processes of production of hibiscus beverages.

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Raw material inputs (calyx quality, cultivar, drying and storage processes, calyx blending), extraction conditions (calyx particle size, calyx-to-water soaking ratio, extraction temperature, and time), and formulations (with sucrose, fruit juices, pieces of fresh fruits, herbs, spices and/or artificial flavors) vary greatly according to available technology and tradition, leading to high variability in the chemical and sensory characteristics of end products (Ramirez et al., 2010; Cid-Ortega and Guerrero-Beltrán, 2015; Monteiro et al., 2017a, b). The choice of hibiscus cultivar relies heavily on availability and local consumer preference, whereas processing parameters are mainly determined by traditional practices and accessible technology. The calyx-to-water soaking ratios employed in the production of hibiscus beverages vary widely across countries. For infusions, mass ratios of dried calyx-to-water of 1:71 to 1:26 were reported in Nigeria (Fasoyiro et al., 2005; Bolade et al., 2009; Foline et al., 2011), while in both Senegal and Mexico these ranged only between 1:40 and 1:20 (Sáyago-Ayerdi et  al., 2007; Ramírez-Rodrigues et  al., 2012; Boucher et al., 2014). Much higher ratios of calyx-to-water are used to produce extracts for syrup manufacture, with ratios 1:4 to 1:8 being reported in Senegal (Bechoff et al., 2014; Boucher et al., 2014). Extraction times and temperatures are also quite variable. Long extraction times, typically from 120 to 270 min, are commonly used for extraction at ambient temperature while for hot extraction much shorter soaking times are employed (most often ranging between 3 and 30 min, at boiling temperature) (Bolade et  al., 2009; Bamishaiye et  al., 2011; Suliman et  al., 2011; Bechoff et  al., 2014; Boucher et al., 2014).

5.3.3  Quality Characteristics 5.3.3.1  Color and Anthocyanins Content Salinas-Moreno et al. (2012) also studied the color of the aqueous extracts of the calyces of seven hibiscus cultivars. They found that L* varied between 2.1 (Sudán) and 4.1(Colima 5), with the lowest L* values being obtained for extracts of dark red calyces. The hue angle values obtained for the extracts were completely different from those of observed for the calyces. Values for the extracts of light red calyces varied between 329.2 (Sudán) and 355.7 (Colima 3), being associated to a red-purple dye. Meanwhile, the hue angle of dark red calyces extracts of Colima 7 (4.0) and Coneja (4.1) was associated to a bright red hue. The chroma values of the extracts were nevertheless in line with those observed for the corresponding whole calyces. The highest values were observed for the extracts of the light red calyces of Coneja and Colima 7 (chroma values of 2.7 and 3.2, respectively), while the lowest were uncovered for the extracts of dark red calyces of Sudán (0.9).

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The latter were indicative of a matte color and a high presence of grey color in the extracts (Salinas-Moreno et al., 2012). Cisse et al. (2010) assessed the color of traditional hibiscus infusions and syrups made from calyces from three different Senegalese regions, Dakar, Thies, and Kaolack. The L* values of infusions varied between 20.1 (Thies) and 24.3 (Dakar), the chroma values between 10.3 (Thies) and 12.0 (Dakar), and hue angle values between 3.2 (Kaolack) and 9.3 (Thies). Syrups presented a lighter red color than infusions, with L* values varying between 25.6 (Kaolack) and 28.0 (Dakar). In the case of these beverages, chroma values ranged between 11.9 (Dakar) and 23.9 (Thies), while hue angle values varied between 16.2 (Kaolack) and 26.4 (Dakar). Monomeric anthocyanin concentrations of 194, 238, 245, and 559 mgL−1, expressed as D3S equivalents, were reported for aqueous extracts prepared from calyces of Koor, Thai, Guatemala, and Vimto cultivars grown in Senegal, respectively (Cisse et al., 2009c). In a subsequent study, Bechoff et  al. (2014) reported concentrations of 174 and 241 mgL−1 D3S to be present in infusions prepared from Vimto, of 73 and 167 mgL−1 D3S in infusions from Koor and 141 mgL−1 D3S for infusions prepared from a blend of 50:50 Vimto and Koor. They also found concentrations of 60 and 80 mgL−1 D3S in diluted-to-taste syrups prepared from Vimto and from Koor cultivars, respectively. Ramírez-Rodrigues et  al. (2011b), on the other hand, reported concentrations of monomeric anthocyanins ranging from 128 to 146 mgL−1 D3S for infusions of Mexican Criollo cultivar, depending on extraction conditions.

5.3.3.2 Acidity Hibiscus beverages are characterized by a low pH, most often ranging between 2.1 and 2.8 (Babajide et al., 2005; Foline et al., 2011; Ramírez-Rodrigues et al., 2011b; Bechoff et al., 2014; Diessana et al., 2015; Monteiro et al., 2017a, b). An average pH of 2.6 has been reported for hibiscus beverages made in Senegal and Nigeria (Foline et al., 2011; Bechoff et al., 2014; Monteiro et al., 2017a) and 2.4 for those made in Mexico (Ramírez-Rodrigues et al., 2011b, and between 2.1 and 2.4 for Burkina-Faso (Diessana et al., 2015). The acidity of hibiscus beverages is reported to vary greatly. Titratable acidities of 1.6–2.2 gL−1 malic acid were found in Nigerian infusions (Bolade et al., 2009), of 3.7–4.0 gL−1 malic acid in Mexican infusions (Ramírez-Rodrigues et al., 2011b), of 7.0–10.0 gL−1 malic acid in Senegalese infusions and of 1.9 to 3.3 gL−1 malic acid in Senegalese syrups (Bechoff et al., 2014; Monteiro et al., 2017a).

5.3.3.3  Phenolic Composition and Antioxidant Activity Total phenolic contents of 207, 266, and 340 mgL−1 ­expressed as galic acid equivalents (GAE) were reported for extracts prepared

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from Rosalis, Tecoanapa, and China cultivars, respectively (SáyagoAyerdi et al., 2014). Regarding infusions from Criollo, contents of 143 and 480 mgL−1 GAE were found by Ramírez-Rodrigues et al. (2011b) and Sáyago-Ayerdi et  al. (2014), respectively. On the other hand, Bechoff et al. (2014) reported total phenolic contents between 597 and 695 mgL−1 GAE for Vimto and/or Koor infusions in Senegal, and of 218 and 296 mgL−1 GAE for a Koor e a Vimto syrups of the same origin, respectively. Hibiscus extracts can reach ca. 20% of the antioxidant capacity of green tea and 33% of that of black tea (Tsai et al., 2002). Tsai et al. (2002) found that anthocyanins present in an extract of dried calyces of F141 hibiscus cultivar, accounted for slightly over half of the total FRAP (ferric reducing ability of plasma) activity of the extract, while other phenolic compounds accounted only for 24%. Along with anthocyanins, chlorogenic acid, and its derivatives (Fernández-Arroyo et al., 2011) and other phenolic compounds (Prenesti et al., 2007) were identified as the main contributors to the antioxidant activity of hibiscus extracts. Hibiscus extracts exhibit interesting antibacterial, anti-oxidant, nephro- and hepato-protective, renal/diuretic effect, effects on lipid metabolism (anticholesterol), antidiabetic, and antihypertensive effects, among others (Maganha et al., 2010; Da-Costa-Rocha et al., 2014; Patel, 2014). Phenolic acids (namely protocatechuic acid), organic acid (namely hydroxycitric acid and hibiscus acid), anthocyanins, as well as triterpene derivatives and phytosteroids are likely to contribute to such effects (Maganha et al., 2010; Da-Costa-Rocha et al., 2014).

5.3.3.4  Nutritional Composition The sugar content of hibiscus beverages depends mainly of the amount of sucrose added in their formulation to balance natural acidity. Therefore, it varies widely with local traditions and consumer preferences (8 °Bx–18 °Bx) (Bolade et  al., 2009; Ramirez et  al., 2010; Bechoff et al., 2014; Boucher et al., 2014; Adeniji, 2017; Monteiro et al., 2017a, b). A soluble dietary fiber content of 0.66 gL−1 was reported by SáyagoAyerdi et al. (2007) for beverages prepared following a popular procedure in Mexico. Ascorbic acid concentrations of 0.21–0.36 g kg−1 were reported for beverages prepared in Nigeria from a dark red, a light red, and wine color cultivars in Nigeria (Bamishaiye et al., 2011).

5.3.3.5  Chemical-Sensory Properties Color is one of the main sensory attributes used to access quality and acceptability of hibiscus beverages (Bolade et al., 2009; Ramirez et al., 2010). As the preparation of beverages varies from one location the other, important variations in color density, chroma, lightness, and

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hue are also observed (Galicia-Flores et al., 2008; Bolade et al., 2009; Ramírez-Rodrigues et al., 2011b). Free anthocyanins contribute essentially to color (Wrolstad, 2004; Ignat et al., 2011) and do not seem to impact significantly to aroma and flavor (Vidal et al., 2004). Trained panelists describe hibiscus beverages as having a floral and fruity aroma (Monteiro et  al., 2017a, b), a prevailingly acid or sweet taste, a moderate mouth-drying astringency, and a weak bitter taste (Bechoff et al., 2014; Monteiro et al., 2017a, b). While sourness is associated to the rich organic acid composition of hibiscus calyces, and the correspondingly high titratable acidity of their extracts (Wong et  al., 2002; Wong et  al., 2003), mouth-drying astringency, and bitterness are most likely linked to their phenolic composition (MohdEsa et al., 2010; Bechoff et al., 2014; Monteiro et al., 2017a, b), as it is often the case with plant-based foods and beverages (Hufnagel and Hofmann, 2008; Ignat et al., 2011; Lawless et al., 2012; Laaksonen et al., 2013). Tannins, phenolic acids, and flavanols are known to be associated to the astringency and bitterness taste properties of phenol-rich beverages (Hufnagel and Hofmann, 2008; Laaksonen et  al., 2013; Laaksonen et al., 2014; Soares et al., 2017). Bound hydroxycinnamic acids, in particular caffeoylquinic acids, were determined to make up 38% of the total phenolic content of hibiscus extracts, while sugars of hydroxybenzoic acids, namely protocathecuic acid glucoside, totaled only 0.5%. Meanwhile, flavonol glycosides, including quercetin3-­rutinoside, accounted for about 10% (Ramírez-Rodrigues et  al., 2011b). This type of phenolic derivative is known to be associated to velvety astringency perception in red wines (Hufnagel and Hofmann, 2008). High-molecular-weight polyphenols like tannins, however, have been detected in water extracts of fresh calyces and in negligible amounts only (Wong et al., 2003). The aroma profile and flavor intensity of hibiscus extracts rely mainly on the balance of the various compounds naturally present in the calyces, the calyx drying method used and extraction conditions. Twenty-eight and 25 volatiles, including aldehydes, alcohols, ketones, terpenes, and acids, were identified by Ramírez-Rodrigues et al. (2011a) in hot and cold extracts of dried hibiscus calyces of Criollo, respectively, by gas chromatography coupled with mass spectrometry (GC-MS) (Table  5.1). However, only 17 and 16 different compounds were identified by the same authors in fresh calyx infusions obtained by hot and cold water extraction, respectively. Aldehydes, and to a lesser extent alcohols, comprised the largest groups of volatiles, whereas ketones, acids, and terpenes were found in lower concentrations. Higher concentrations of total volatiles were found in hot extracts, compared to cold ones, and in dry calyx extracts, compared to fresh calyx ones (Ramírez-Rodrigues et al., 2011a).

Table 5.1  Volatile Compounds Identified in Dried Hibiscus Calyx Extracts Compound

Reference

Aroma Descriptor

Aldehydes Methacrolein Hexanal

B A, B

FloralB Green, grass, nuttyA Apple, fat, fresh, green, oilB

Heptanal Octanal Hept-2-enal (E) Nonanal

A A A A,B

(E)-Oct-2-enal Furfural

A A,B

Decanal Benzaldehyde Non-2-enal (E) 5-Methyl furfural (E,E)-Nona-2,4-dienal Undec-2-enal (E,E)-2Deca-,4-dienal Safranal 2-Phenylbut-2-enal 5-Methyl-2-Furancarboxaldehyde Alcohols Hexan-1-ol 2-Ethylhexan-1-ol Octan-1-ol Oct-1-en-3-ol Nonan-1-ol

A A,B A A A A A B B B A,B A,B A A A,B

Lemon, citrusA Fruity, greenA Fat, floral green, lemon, paintB Rancid nutsA Sweet, baked breadA Bread, almond, sweetB Almond, burnt sugarB Cucumber, green, floralA Rancid nuts, citrus, greenA Green, grassA Herb, sweetB Cocoa, roas, rum, sweetB Almond, caramel, burntB Banana, flower, grass, herb, resinB Rose, greenB Fresh, leather, chemicalA Mushroom, dirt, metallicA Chemical, paintyA Fat, flower, green, oilB Continued

Table 5.1  Volatile Compounds Identified in Dried Hibiscus Calyx Extracts—cont’d Compound

Reference

Aroma Descriptor

Linalool Dehydroxylinallol oxide a Dehydroxylinallol oxide b Phenylethyl alcohol 2,4-Di-ter-butylphenol Alfa-terpineol Eugenol Ketones 6-Methylhept-5-en-2-one Octan-3-one 1-Octen-3-one 2,2,6-Trimethylcyclohexanone 1-(2-Methyl-1-cyclopenten-1-yl)ethanone 6-Methylhept-5-en-2-one Nonan-2-one Geranylacetone Esters Ethylacetate Isobutyl acetate Isoamyl acetate Terpenes Limonene Bornylene Acids Acetic acid

A A A B B A A

Floral, woody,citrusA

A,B A A A B

Sweet, fruity, greenB Butter, cookie, bakedA Mushroom, dirt, green

Rose, honey, spiceB Toasted cerealB Sweet spicesA

B A A,B

Green, hay, magnoliaB

B B B

Aromatic, brandy, contact glue, grape, sweetB Banana, fruityB Apple, banana, glue, pearB

A A A

A—Volatiles compounds identified in water extracts of Hibiscus Criollo cultivar and aroma descriptors (Ramírez-Rodrigues et al., 2011a). B—Volatiles compounds identified in water extracts of Hibiscus Al-Rahad, Al-Fashir, and Al-Gezira cultivars aroma descriptors (Tahir et al., 2017).

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Descriptors of active aromatic compounds in hibiscus extracts were determined using gas chromatography-olfactometry (Table 5.1) (Ramírez-Rodrigues et al., 2011a). Use of dry vs. fresh calyces, and of hot vs. cold water extraction did not seem to affect greatly the type of compounds identified, but rather its concentration and expression. The most intense odorants observed were the ketone 1-octen-3-one (described as mushroom dirt and green) and the aldehyde nonanal (fruity, green), followed by geranylacetone (fruity like and apple sauce), eugenol (sweet spices), and non-2-enal (E) (cucumber, green, floral). More recently, Tahir et al. (2017) analyzed the volatile profile of aqueous extracts of Sudanese Al-Rahad, Al-Fashier, and Al-Gezira ruber cultivars, isolating and identifying 20 compounds (Table 5.1). In line with the results previously reported by Ramírez-Rodrigues et al. (2011a), they found aldehydes to be the main group of compounds (18.1%–19.0%) present in the three cultivars, followed by alcohols (5.6%–8.9%) and ketones (8.3%–10.1%). Esters (4.0%–6.7%) were relatively less abundant. Tahir et al. (2017) also carried out a sensory description of hibiscus extracts resorting to a panel of seven trained subjects. Results showed that extracts of the Al-Rahad and Al-Fashir cultivars had a more intense global aromatic profile than that of Al-Gezira, as well as more intense fruity and floral aromatic notes. Extracts from Al-Rahad also presented a more intense grassy/green aroma than the remainder. Moreover, all cultivars showed comparable intensities in terms of sweet aromatic notes. Regarding volatile composition, aldehydes were associated to floral, almond, and sweet aromatic notes, esters and ketones to pleasant fruity and sweet notes and alcohols, such as ­hexan-1-ol and phenylethyl alcohol, to the floral rose-like aroma found mainly in the Al-Rahad extract. The green and grassy aroma of this extract was furthermore associated to its relatively high hexanal content (Tahir et al., 2017).

5.3.3.6  Sensory Profiling Monteiro et al. (2017b) developed cross-cultural sensory lexicons for hibiscus beverages, to help standardize the terminology employed to describe their sensory profile. To this end, 22 beverages selected to represent the most important product market segments, including freshly brewed and ready-to-drink infusions, syrups, concentrates, and an instant beverage (Table 5.2), were assessed, following a generic descriptive analysis procedure (Fig. 5.5). In stage 1, a panel of Senegalese subjects with no previous training in sensory evaluation, but highly familiar with hibiscus beverages was employed. Sensory terms were generated during initial orientation sessions. Eleven sensory descriptors were subsequently developed by consensus and the corresponding definitions established. After a

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Table 5.2  Types of Hibiscus Beverages, Their Production Process and Preparation Prior to Testing Sample

Hibiscus

Process

Preparation

Calyx-to-water mass ratio: 1:20 Water extraction: 25°C, 120 min Sugar addition: 130 gL−1

None

Freshly brewed infusions FInf1 FInf2 FInf3

FInf4 FInf5 FInf6 FInf7 FInf8

Whole calyces, Vimto cultivar Whole calyces, Koor cultivar Whole calyces, Koor cultivar Whole calyces, Vimto cultivar Whole calyces, Koor cultivar Whole calyces, Vimto cultivar Whole calyces, Koor cultivar Ground calyces of Vimto and Koor cultivars (50:50)

Calyx-to-water mass ratio 1:25, Water extraction: 98–100°C, 20 min Sugar addition: 130 gL−1. Calyx-to-water mass ratio: 1:20 Water extraction: 18–20°C, 120 min Sugar addition: 130 gL−1. Pasteurization: 85°C, 20 min. Calyx-to-water mass ratio: 1:30 Water extraction: 98–100°C, 60 min Sugar addition 130 gL−1 Calyx-to-water mass ratio: 1:33 Addition of boiling water (98–100°C), left to stand 20 min Sugar addition 130 gL−1

Ready-to-drink infusions RInf1 RInf2 RInf3 RInf4

RInf5

Whole calyces, Vimto cultivar. Whole calyces, Koor cultivar Whole calyces of Vimto and Koor cultivars (50:50) Whole calyces of Vimto and Koor cultivars (50:50)

Ground calyces of Vimto and Koor cultivars (50:50)

Calyx-to-water mass ratio: 1:20 Water extraction: 25°C, 120 min Sugar addition: 130 gL−1 Pasteurization: 85°C, 20 min

Calyx-to-water mass ratio: 1:20 Water extraction: 25–30°C, 120 min Sugar addition: up to 15 °Bx Pasteurization: 90°C, 20 min. Calyx-to-water mass ratio: 1:40 Water extraction: 25–30°C, 30 min Sugar addition: up to 17 °Bx Pasteurization: 75°C, 30 min

None

Chapter 5  QUALITY IMPROVEMENT AND NEW PRODUCT DEVELOPMENT   159

Table 5.2  Types of Hibiscus Beverages, Their Production Process and Preparation Prior to Testing—cont’d Sample

Hibiscus

Process

Preparation

Whole calyces, Vimto cultivar. Whole calyces, Koor cultivar Whole calyces of Vimto and Koor cultivars (50:50) Whole calyces of Vimto and Koor cultivars (50:50)

Calyx-to-water mass ratio: 1:4 Water extraction: 25°C, 120 min Sugar addition: 1.6 kgL−1 Pasteurization: heating up to 105°C and immediate cooled down

Dilution with water 1:4 (v/v)

Syrups Syr1 Syr2 Syr3 Syr4

Syr5

Whole calyces of Vimto and Koor cultivars (50:50)

Syr6

Ground calyces of Vimto and Koor cultivars (50:50)

Calyx-to-water mass ratio: 1:5 Water extraction: 25–30°C, 120 min Sugar addition: up to 68 °Bx Pasteurization: 90°C, 20 min Calyx-to-water mass ratio: 1:5 Water extraction: 25–30°C, 120 min Sugar addition: up to 68 °Bx Pasteurization: 90°C, 20 min Calyx-to-water mass ratio: 1:10 Water extraction: 25–30°C, 30 min Sugar addition: up to 65 °Bx Pasteurization: 75°C, 30 min

Concentrates Conc1

Whole calyces of Vimto and Koor cultivars (50:50)

Conc2

Ground calyces of Vimto and Koor cultivars (50:50)

Calyx-to-water mass ratio: 1:5 Water extraction: 25–30°C, 240 min Concentration: osmotic evaporation at 0.15 bar up to 60 °Bx Calyx-to-water mass ratio: 1:5 Water extraction: 25–30°C, 30 min Concentration: under-vacuum at 0.40 bar up to 62 °Bx Pasteurization: 75°C, 30 min

Dilution with water 1:40 (v/v), sugar addition 130 gL−1

Spray-dried and granulated extract

Dilution with water 1:10 (m/v)

Instant tea Inst

Hibiscus (3%)

160  Chapter 5  QUALITY IMPROVEMENT AND NEW PRODUCT DEVELOPMENT

Fig. 5.5  Procedure and stages of development of a hibiscus beverage lexicon for trained pannelists.

­ eriod of training, panelists assessed eight beverages prepared from p Vimto and or Koor hibiscus cultivars: two syrups, three ready-to-drink commercial infusions, and three traditional infusions. Descriptors red color, clarity, and concentration were used to describe appearance; hibiscus and fermented were used to describe odor and flavor; irritant, acidic, sweet, and bitter were used to describe flavor. The descriptors fermented and irritant were related to deviations in the quality of some samples (Tomlins et al., 2012). Significant differences (P