Spices in Indonesian History and Its Revival - Juniper Publishers

Archaeology & Anthropology - Juniper Publishers

Abstract

This article discusses the fluctuating importance of spices in history with a particular reference to Indonesia. Drawing upon secondary historical materials, it shows that spices once played a central role as the driving force of world history. They became a source of prosperity in many parts of the world where the commodities flowed to reach their final destinations. The quest for spices had created fierce competition among the Western nations for spices monopoly, which led to the development of Western colonialism and imperialism. From the most needed products, spices gradually lost their importance and became marginal in the colonial economy. New commodities such as coffee, sugar, tobacco, and rubber developed and became important under the Western colonial systems. After going unnoticed for about two centuries, new interests in spices are returning, thanks to the growing public and academic interest in spices, which the Covid-19 pandemic has also accelerated.

Keywords:Spices; Indonesian History; Fluctuating Importance; Revival

Introduction

Spices are essential commodities that have influenced the development of world history for centuries. World demand for spices grew throughout the Roman era and into the medieval period. The demand for spices has influenced economic development from India to Europe. This demand gave birth to ancient international trading networks that shaped the structure of the world economy in a way and influence that can still be felt today. Mastery over spices proved capable of enlivening many regions and diverting the flow of wealth worldwide. The story of spices has become an essential part of many nations’ historical development. It is common knowledge that spices are the main reason for exploration by Western nations in search of a new world.

The factor that determined the start of the story of the exploration of the world by the Portuguese and European nations was the control of Constantinople by the Turks, who then expanded to Asia Minor and Greece. The domination of the Turkish Islamic Empire in the Middle East had threatened the spice trade to Europe due to the protracted tensions between the Islamic world and the Western Christian world. In the era of ancient trade, products from Asia were on their way to Europe through three main gates, namely the Malacca Strait, the Persian Gulf, and the Red Sea. The emergence of Turkish power has blocked the trade flow of Asian goods to the West. In 1498, Portuguese explorer Vasco da Gama made the first sea voyage from Europe to India, skirting the west coast and the southernmost tip of the African continent [1]. Its most important mission was to find direct routes to places where spices were abundant at low prices without going through very long intermediary traders from producers in the Archipelago to consumers in Europe. This article elaborates the fluctuating importance of spices and its revival in the recent period after losing its important role due to the development of new commercial commodities under the colonial rule.

Materials and Methods

This article used secondary source materials in the form of historical books and relevant articles. Among the used sources are classic books on spices and their trade in the Indonesian Archipelago in the past that have been produced. It employed a historical method that generally includes four main stages: heuristics, source criticism, interpretation, and historiography [2,3]. The information taken from the collected sources is critically treated to establish facts that are considered credible. The collected facts were then interpreted and composed into a historical argument of the article.

The Quest for Spices

The arrival of Da Gama on the Malabar Coast of India, the heart of the spice trade, marked the start of an ambition to dominate the trade in these exotic products, which involved a chain link between Europe and Southeast Asia. Portuguese control of the spice route is regarded as a heavy blow to traders in the Arab world and the cities of the Mediterranean Sea [4]. The desire to establish direct trade could gradually be realized after the Portuguese were able to control important cities such as Goa in India (1510), the City of Malacca (1511), the City of Ormuz in the Persian Gulf (1514) [1]. The shifting of spice transportation routes made intermediary traders lose their role in the spice trade chain that connected Asia and Europe. The trading cities of the Arab world and Egypt suffered a setback. They languished because of the disappearance of the spices trade in their cities, which had been a source of livelihood and prosperity for centuries. Islamic traders and trading cities in the Mediterranean world were victims of the revolution in the spice trade route introduced by the Portuguese [1].

Spices were an excellent commodity that was contested. The desire to obtain monopoly rights over the spice trade has created competition, often leading to conflicts and wars between imperialist powers. The four giant European countries, Spain, Portugal, England, and the Netherlands, were involved in fierce competition for control of spices. These four European countries mobilized all their resources from the capital, knowledge of sea navigation, ship technology, war equipment, logistical supplies, and cartography, to skilled sailors, on long journeys for spices [5].

The quest for spices had sucked up a lot of energy and resources, ranging from enormous costs for years of exploration, wars between countries, and subjugation of local people who refuse the forced control of spices. The spice commodity invited the Dutch to the Archipelago, who later formed a trade partnership called Vereenigde Oostindische Compagnie (VOC). By force of arms, the VOC tried to impose a monopoly on the spice trade against various indigenous power centers in the Archipelago that controlled the production and trade of spices [5]. Through military conquest, the VOC successively obtained pepper monopoly rights in Palembang in 1642 [6], followed by the capture of the monopoly on the spice trade from the Sultanate of Makassar in 1669, and from the Sultanate of Banten in 1682. Around 1700, the VOC already held trade monopolies in Maluku, Makassar, Banten, Jambi and various other places [1].

Why were spices so tempting to European nations that they did not hesitate to shed blood to master them? For European nations, spices have many benefits. First, spices were essential in the taste of Western nations. The use of spices became a critical element of the European diet as a food flavoring ingredient which became a show of prestige at the dinner table among European aristocrats. Spices also presented many nuances of exotica for those who served and consumed them. However, the taste was only the reason for some things. Many reasons still strengthened spices’ charm and appeal [7].

The uses of spices were very diverse. Spices are used as food preservatives, medicines, burial processes, room deodorizers, and cult paraphernalia and are even used as sexual stimulants [7]. The use of vibrant spices has made the value of spices surpass precious metals in the past. The extraordinary benefits of this spice have encouraged the search for spices in the “new world” by Europeans since the fifteenth century, which was first carried out by Christophorus Columbus, an Italian explorer employed by the Spanish Empire in 1492, but a Portuguese explorer, Vasco Da Gama was more often regarded as a pioneer of the spice route, which began exploring the paradise of spices since 1497 [4,7].

Declining Role of Spices and New Commodities

The heyday of spices has indeed receded into the background, especially since the nineteenth century. Its prestige was fading, and its role as an export commodity for world markets was shrinking due to being eroded by new commodities that have sprung up and dominated trade in international markets. Since the collapse of the VOC trading partnership, Dutch interests in Indonesia began to evolve from a nation of traders who originally played a limited role as collectors of Indonesian products to a colonial nation with ambitions to build colonies and intervene in the process of plant cultivation. This laid the foundations through the control of the territory and the formation of the Dutch East Indies colonial state. Coffee, sugar, and other commodities, especially Java, became essential products produced in the Dutch East Indies. The growing global demand for plantation products has driven the large-scale conversion of forests to land for coffee plantations. Likewise, established rice fields and rural peasants were integrated into the sugar commodity production system to serve the interests of the colonial government in colonial exploitation ambitions to make the most of the opportunities arising from growing global market demand [8].

During the 19^th and 20^th centuries, spices pushed aside their prestige. The role of spices has become increasingly nebulous, pushed back and far from the center of attention with the advent of the tobacco commodity in the second half of the 19th century and rubber since the early 20th century. The role of spices as the main force driving historical developments has been replaced by plantation commodities such as coffee, sugar, rubber, and palm oil. The heyday of the Dutch East Indies colonial power was then more often identified with the exploitation of plantations, which for more than a century had gripped and transformed the society and economy of colonial Indonesia.

Under the government-sponsored Cultivation System and later through the commercial plantation system run by European companies, Indonesia’s territory has shifted its image from a country of spices to a country producing coffee, sugar, tobacco, and rubber [8]. This legacy continued into the independence era during the Sukarno and Suharto eras, making plantations a mainstay sector to support the national economy. During the New Order era, history witnessed how oil palm plantations experienced rapid expansion outside Java, especially Sumatra, and Kalimantan. The glory of spices and the prosperity that resulted from them have faded from memory.

Reviving Spices

Spices that have long been forgotten have again attracted widespread attention, and their revitalization was fought for in the early 21st century through public literacy. At least two critical factors are driving this development. First, the success of China in making part of the silk route in its territory a UNESCOrecognized world heritage. The Chinese Section of the Silk Road includes the Land Route and the Sea Route. This Overland Route covered ancient trade routes that started in ancient Chang’an, the city of present-day Xi’an, and the center of politics, economy, and culture in the old period of ancient China. This route refers to the commercial overland route connecting Asia. Africa and Europe also serve as main avenues of economic, political, and cultural exchange between East and West. At first, the function of trade routes was to transport silk, an elegant and expensive product that represented ancient Chinese civilization. Meanwhile, the Silk Road Seaway was a maritime trade route connecting East and West, using monsoons, ocean currents, and traditional navigation technologies [9]. The Chinese section of the Silk Road can be seen as a cultural bridge connecting different regions and countries with rich historical information. Therefore, when the name “Silk Road” was first given by the German geographer Ferdinand Freiherr von Richthofen in the 1870s, this name became widely accepted [9].

The success of China’s cultural politics has inspired and aroused intellectual interest in Indonesia to revive Indonesia’s historical role as a spice haven and for this role to gain formal international recognition. Various events/activities were held to echo Indonesia’s significant role in the global spice route, including the “Spice Route: Untold Story” exhibition held at the National Museum in Jakarta on 18-25 October 2015; The Nusantara Spice Trail Exhibition, which was held on 4-18 November 2017, the 2018 Spice Route Expedition, The History of the Spice Trail and Kie Raha’s Biological Wealth, which was held by the Ministry of Education and Culture 28 September-10 October 2018 [10].

The precedent for a revival of attention and interest in spices is inseparable from the publications about spices that have appeared since the 2000s. Several essential publications can be mentioned here; among them is the work by Robin A. Donkin, Between East and West: the Moluccas and the Traffic in Spices up to the Arrival of Europeans, which highlights the traffic of the spice trade from Maluku that links the East and the West [11], followed by the publication of The History of a Temptation (2004) by Jack Turner [7] and Out of the East: Spices and the Medieval Imagination (2008) by Paul Freedman [12]. Fred Czarra’s work (2009), Spices: A Global History, examines spices from a global historical perspective [13]. It is also necessary to mention the publication of M. Adnan Amal (2016), The History of the Spice Islands: The Historical Journey of North Maluku, which reviews the long journey of about seven centuries of North Maluku history as a producer of spices [14,10].

The second factor that is no less important is the Covid-19 pandemic. The global panic caused by this outbreak has stimulated interest in utilizing the wealth of spices as an alternative weapon to maintain the body’s immunity so that it is not easily infected with the virus that has shaken people worldwide. The passion for consuming spices and herbal ingredients is increasing among people. Many people searched for all kinds of spices in the markets, so prices soared, and it was common for the items sought to become rare and difficult to obtain because many consumers needed them. No less excited, in the academic world, spices have become a hot topic and are widely discussed in academic forums. Among the various events that were held, for example, a discussion with the theme “Spices in Commerce and Medicine” was held by BPNB Yogyakarta on June 17, 2020; The seminar “Path Versus Network: Spices Warm the World” was held by the Directorate General of Culture, Ministry of Education and Culture on July 24, 2020. The National Archives of the Republic of Indonesia also held a series of seminars on the spice route, for example, ‘Preservation and Restoration of Ancient Manuscripts and Archival Sites/ Artifacts Spice Path’ on November 26, 2020 and “Tracing the Spice Trails Through Archives, Ancient Manuscripts, Sites and Artifacts” December 4, 2020. There are still many similar events to be added to the list, but all of them indicate one thing: the growth of new hopes for the wealth of spices as a valuable capital to build the nation’s prosperity.

Conclusion

Historical experience in the past clearly shows that the story of spices has linked the Western and Eastern worlds, forming a global network that involves many nations, bringing together various ideas and influences in economic, sociological, political, and even cultural dimensions. Revitalizing spices requires crossdisciplinary collaborative efforts. The diversity of perspectives does not need to be contested but synergized as collective capital and strength in revitalizing spices. The revitalization of spices is not only a matter of technical cultivation but also related to more complex and broader aspects. An essential part of it is awareness and the ability to appreciate the richness of spices in cultural spaces creatively. In this context, spice literature in the large family of spice humanities has the potential to make a real and actual contribution to human civilization.

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On the alchemy of cooking with ashes: an exploratory review on global practices and a Portuguese perspective provided by cookbooks and vernacular cuisine - Juniper publishers

 Nutrition and Food Science - Juniper Publishers

Abstract

The article explores a world-wide selection of historical recipes and dishes that highlight the culinary versatility of ashes application, the nutritional and flavor value, stressing their role in transforming, preserving, and enhancing food products across cultures and over different time periods. A particular analysis is then made regarding the culinary use of ashes in the Portuguese context, through a cookbook analysis as well as vernacular cuisine’ procedures identification. Ashes have been employed by various cultures for millennia. Among other social functions, ashes are a circular, versatile technological advancement tool for transforming and preserving food products, either in vernacular or haute cuisine. They ease the effort of preparing food, reducing cooking time and enhancing flavors. In haute cuisine, ashes are used with the purpose of creating novelty, improving aesthetics, and expressing creativity. A comprehensive analysis on ashes’ functions have been performed, aiming at presenting an analysis framework. The search has been performed through a thorough bibliographic analysis of ashes in culinary practices.

Keywords: Traditional cooking; Lime; Lye; Cooking techniques; Portuguese traditional cuisine

Introduction

The use of ashes by humans has always depicted interest due to its many significances and circular applications, namely due to its connotation and interconnections with renewal and rebirth. Ashes, as a termination point of a burned material, would either retain a symbolic and/or religious significance, associated or not with rites of passage but also as a medicine, as an insect repellent, as a stain remover on clothes, among many others. Its usage is culturally determined and geographically differentiated. However, ashes have been extensively incorporated in culinary processes throughout the world and for centuries, namely as a transformative technological resource that would either modify or change the texture and the final appearance of a dish’s components. Ashes have been used in culinary both as a heat source, when hot, allowing slow cooking processes over ashes and ember, but also, which we tried to focus, the use of ashes as an ingredient itself, by integrating ashes as a part of the dish or delicacy. This introduction of ashes has been made to ease the consumption of food products, with the immediate cases arising from Mesoamerican nixtamalization procedures or from the ancient preparation methods of noodles, where alkali, ash-based water was used to provide attractive rheological properties to the final product.

The technological evolution of culinary techniques and the improvement of raw materials utilization have always resulted from the need, mostly from the physiological need, from hunger [1]. Currently, many concerns are rising to a safer, more transparent way of using culinary products, being the reason ashes are being converted to more stable, alkaline-wise products, such as lye water. In Portugal, ashes have been thoroughly used over many centuries, on many everyday aspects and on the preparation of food products, including at the Michelin-star restaurants. In our research, we have tried to bridge a gap in literature regarding the culinary uses of ashes, not only in the case of Portugal, our research object, but as a systematized and structured work on the topic. In this article we aim to answer to the following research question “What are the historical and contemporary culinary processes and recipes that uses ashes and how has their usage evolved in the context of historical cookbooks, vernacular cuisine and haute cuisine?”.

Theoretical background

Hunger is understood as one of the reasons for culinary technique evolution and culinary technological adaptations [1]. Those techniques are developed to either preserve or transform food products so that the effects of time would not pose a barrier to food edibility [2], but also to allow taste improvements, efficiency in the culinary preparation and to tackle digestibility concerns, as seen below. In its evolution, cuisine has met, according to Jack Goody, a British anthropologist, a binomial evolution. On one hand, low, popular cuisine, practiced by low-income classes, was characterized by the generational culinary knowledge transmission on an oral basis, according with customs and the final cooked product reached based on imitation, whereas on the other hand, an elitist cuisine, practiced for elites and soon performed by public cooks (chefs) was characterized by its structured composition and cosmopolitanism based on the written transmission of knowledge, allowing home techniques to be monetized and sold to a not less elitist public. Each of the ways had its own path. The first very dedicated to subsistence while the latter specially turned for socialization through exceptional, high-standard techniques and food [2,3]. Even though the cooking techniques are sometimes the same as the ones practiced in the household environment, those get slightly ameliorated to a more creative and distinctive goal: to impress guests [4]. This is important to denote as the uses of ashes faced two-fold ways, both in terms of household items culinary preparations and in luxurious, exquisite high-cuisine environments in order to delight the customer with culinary technique.

Although the ethnographical work “Codex Florentino” (1570) by friar Bernardino de Sahagún (1499-1590) spread the information on the use of ashes in corn processing in the Mesoamerican cultures [5], ashes were already in use for centuries as a technological advancement in several parts of the world. This was the case during the Roman empire in which ashes were used in white wine clarification, something that has been considered as quite common [6]. Also, evidence points out to the baking of a specific type of bread, known in Portuguese as “pão de soborralho” (bread over ashes) or “fogaça” (bread), a bread directly baked under the heat of remaining ashes would already be known before the appearance of ceramics [7]. By accepting this thesis, we could frame the use of ashes in the ancient forms of baking some millennia ago.

Concept of ashes, vegetable ashes and ashes substitutes

Ashes are the “non-volatile products and residues that remain after a combustion process” [8], which “consists mainly of minerals in oxidized form” [9]. Besides the culinary use, ashes have also been used by humans for a wide range of purposes, such as in human healing or treatment [10,11] in religious and magic rituals [10,12], in wastewater treatment [13], in construction products [14], as an insect repellent [15], as an agricultural fertilizer [16] clothes treatment [17], or also in the production of soap [18,19], just to cite some examples.

Ashes are rich in soluble salts, mostly the vegetable ashes coming from the burning of of Zea mays L., Hygrophila auriculata L., Carica papaya L., Sorghum bicolor L. and Ficus carica L. ashes are mostly composed of sodium, potassium, magnesium, calcium, chromium, manganese, iron, nickel, copper, zinc, cadmium, lead, and mercury ions [10,20] The chemical composition of ashes differs due to variations in the burnt materials, leading to differences in the end results and thus its adaptation to different culinary uses.

Technologically, ashes are sometimes substituted by limestone, quicklime, and lye, even for cooking purposes. Limestone refers to calcium carbonate CaCO3 (s) and is not soluble in water, quicklime refers to calcium oxide CaO (s) and is obtained by heating calcium carbonate – carbon dioxide (CO2 (g)) is also released [21]. When calcium oxide is added to water calcium hydroxide (Ca(OH)² (s)) is formed [22]. Calcium hydroxide is marginally soluble in water, but it is more alkaline than a potassium carbonate or sodium carbonate solutions. Lye (sodium hydroxide NaOH) can be obtained from calcium oxide and sodium carbonate. The result gives rise to sodium hydroxide and calcium carbonate: while sodium hydroxide is more alkaline than calcium carbonate, when reacted together they produce a stronger alkali than either of the two separately. Calcium oxide is often used when large quantities of a strong but inexpensive base is required [23].

Methodology

As this paper endeavours to explore the multifaceted and diverse applications of ashes, the incorporation of comprehensive and diverse documental sources becomes paramount in attaining its objectives to understand the use of ashes in cooking world-wide, focusing later on the Portuguese scenario displayed both in cookbooks as in the vernacular cuisine. In this regard, an extensive bibliographic analysis and review has been conducted, departing from Google Scholar database, in the period March-April 2023. The researched keywords and expressions (and also the Booleans used) were: “culinary use of ashes”, “ashes”+“culinary”, “ashes”+ “food”. This research comprehended the investigation and the synthesis of existing literature pertaining to the culinary utilization of ashes. The inclusion of grey literature in this study has been decided acknowledging its significance in transmitting invaluable insights from everyday practices and traditions that are not always communicated in a scientific way [24].

Besides, the historical significance of ashes usage in Portuguese culinary was also sought. In this regard, four classic Portuguese cookbooks have been selected to understand the use of ashes in their recipes. The criteria to choose the cookbooks resided on the high-distribution, high-reconnaissance of those cookbooks, and besides the centurial representativeness was also a reason to choose the sources. With this criteria in mind, the books that have been selected were “Livro de Cozinha da Infanta D. Maria de Portugal” (15^th-16^th century, no exact date) [25], “Arte da Cozinha” (by Domingos Rodrigues [1637-1719] and the first printed Portuguese cookbook, published for the first time in the 17th century in 1680) [26], “Cozinheiro Moderno ou Nova Arte da Cozinha” by Lucas Rigaud published in the 18^th century (1780) and the book “Thesouro do Cosinheiro, Confeiteiro e Copeiro” published by the widow of Jacinto da Silva [27] in the 19^th century. A participant observation approach was also included. By incorporating both established academic sources and more elusive yet culturally significant materials, this research aims to provide a holistic and nuanced understanding of the widespread and eclectic use of ashes in various contexts.

Results

Culinary use of ashes

The versatility and the alkali properties of ash got widespread in food products and evenly contributed to the creation of food additives and products. From here, it is important to differentiate the cooking process that happens over ashes (used, for instance, in the case of the Moroccan Tanjia dish (International Information and Networking Centre for Intangible Culture, 2019)) or the actual use of ashes within the cooking processes. In this article we focus on the latter. Ashes, namely those resulting from wood or vegetable matter burning, have been used in popular cooking as a technological advancement in three main ways: either 1) on the transformation of food products, but also 2) to preserve (or help preserving) food products and finally 3) to simplify the cooking process. The use of ashes in haute cuisine is explored. Finally, the Portuguese findings are presented.

Ashes on the transformation of food products

On the first dimension –transformation of food products – ashes have been used in the preparation of cereals, pulses, fish, lichens, noodles, baked goods, fruits and vegetables, but also in other subproducts such as salts, to be used during cooking processes. One of the classiest examples and direct use of ashes to transform food is well-known in alkaline corn preparation in ancient Mesoamerican civilizations. Traditional nixtamalization consisted of boiling corn in an alkaline solution composed of volcanic ashes and water, being lime (calcium hydroxide) also used for the same purpose [28]. This process would soften up its skin (pericarp), being the reason behind this technological exploration, as it foremostly happens, by Mesoamerican woman [2]. Besides, nixtamalization also develops additional aromas and flavor [29,30]. While performing changes in the corn structure, this technique would also release lysine, tryptophan and niacin (vitamin B3) allowing the consequent absorption by the human body, also benefiting its digestibility [5, 30-34]. Nixtamalization could also be applied to pulses and other cereals such as sorghum and chickpeas [35].

Ashes have also been historically associated with transformation of fish. In the Lutefisk - a Christmas fish dish from Norway, Sweden and a part of Finland - is traditionally transformed and prepared with an infusion of burned broad-leaf trees wood ashes or birch-wood ashes in water, an alkaline water, in which fish was traditionally soaked and cured [31,36,37]. Today ash water is substituted by mixing quicklime and lye in water [37]. Other direct applications of wood ashes in food products’ transformation include the Icelandic moss, which used to be soaked in ash water before consumption to enhance its digestibility and the Nigerian use of wood ash for cooking legumes to reduce the amount of cooking time or even to produce akanwu, limestone (sodium carbonate) that will be used, as well as wood ash in the cooking of local dishes, such as soup, cereals and also salad dressings [38].

The use of ashes has also been historically associated with doughs and baking processes. It is the situation of yellow noodles, also known as alkaline noodles, trace back to the 17^th century to southeast China, from where it started its diffusion in the Asiatic continent [39]. They owe their name to the chemical reactions allowed between the flour components and the alkali, traditionally made using decanted ash water [40]. Its modern substitute, kansui (or lye water), rich in soluble salts such as sodium hydroxide (NaOH) and potassium hydroxide (KOH), helps create a yellowish color in the noodles, while easing the kneading and dough works process. Kansui is used in noodles making [39]. The soluble salts resulting from the alkaline compounds allowed a more intense flavor and aroma while improving its texture [39-41].

Besides, the center-European pretzel was traditionally cooked in an alkali solution made from lye obtained from ashes, as this will habilitate starch degradation on the surface of pretzels and enhance oven-browning [31,42]. Pretzels’ bath is today made either with food-grade sodium hydroxide tablets, which are easier for bakeries [43] or using lye water [40]. Also, regarding baked goods, ashes could be found in the traditional making of Greek Christmas honey cookies (“melomakarona”) [44]. Other example of ash usage in Greek cuisine is “moustalevria” (a wine must jelly sweet) [45], in which ashes are used to clarify the must. Ash water has also been described to transform properties on fruits and vegetables [40]. This was the case of the 19^th century technique to remove unwanted sticky texture from unripe figs [46], to make orange blossom or lemon preserves and to remove whole-peaches skin to make preserves.

Finally, ashes have also been used to obtain food raw materials. It is the case of culinary salts obtained from vegetable ashes in Africa, wood would be burned to produce salts after ashes lixiviation, namely in the pre-colonial era and before the mineral sodium chloride distribution [10].

Ashes on the preservation of food products

On the second dimension – preservation of food products – literature points out its usage as food preservatives due to their alkaline pH and antimicrobial properties [30]. Vegetable ashes have been used to preserve cheeses both in the inside (e.g., Morbier AOP cheese, France) and also on the outside (e.g., Valençay Frais Cendre AOP cheese , France), being gradually substituted by activated charcoal [30,47]. Ashes are also used in the preservation of eggs [48] and were used in the fermentation of duck eggs to obtain either xian dan (salted eggs) or pidan (the so-called thousand-year-old eggs), where buckwheat ash or chestnut wood ash would be traditionally used [39,49,50].

Meat curing and meat preservation also relied in ashes to preserve salumi [48] and some experimental work has been done in producing ash cured meats, such as duck meat [30,51]. In this situation, ashes allow both the transformation and preservation of food products. Finally, the use of ashes is also identified as a preservative in olives and a Roman technique to avoid spoilage [31,52], which was also present in the preservation of walnuts to allow the degradation of the outer skin [53].

Ashes as a culinary helper

The introduction of ashes in corn nixtamalization intends to “(…) softening the pericarp and endosperm and facilitating grinding” [35]. This finding is in line with the process of ashes addition (namely fig tree wood ashes) in the making of “milhos aferventados” dish, which comprises a corn nixtamalization process, in the Algarve (Portugal) [54]. Ashes would prevent corn nixtamalization from sticking to the pot as well as would ease the stirring process [55].

Use of ashes in haute cuisine

Differently from the usage of ashes in the popular cuisine, which techniques are learnt and generationally transmitted mostly by observation, haute cuisine works specifically to impress and delight its guests, while recoding and mobilizing some traditional practices with the usage of more advanced technologies [2,4]. Thus, to work on skills mastering and on aesthetical aspects is the quintessence of “high cuisine" [56]. Ashes started being used in the kitchen not as a matter of “incompetence in the kitchen” [57] but exactly on the other way around: as a sign of transformation of a traditional technique, and to introduce some creativity and drama to the restaurant experience (idem). This was the aforementioned duck meat case of Chef Andreas Rieger (from einsunternull restaurant) with his ash-coated duck.

It is challenging to chronologically frame the first use of ashes in the global haut-cuisine scene. However, one of the firs records of ashes usage in haute cuisine dates back to 1997 when Chef Ferran Adriá at elBulli restaurant would serve its dishes of charcoal-oil flavored lambs’ brains and the “vegetables on the grill” dish where charcoal-oil was also used [57]. Although this was an infusion, ashes resulting from combustion of vegetables gave the motto to a lot of different dishes coming up from several restaurants, establishing a trend that lasts until today.

From the most renowned ash users, NOMA, the three-Michelin stars Danish restaurant by the hand of Chef René Redzepi, would stand up due to their use of leeks ash. NOMA launched in the period before 2007 dishes such as “Norway king crab and ash-dusted leek” (and other variations), the “Hay-baked celeriac, hay ash, Bornholm wood ants, sturgeon caviar, sauce of last year's fermented white asparagus and buttermilk” dish or the charred meringue and leeks coated in its ashes would be some of the more important usages of the technique [57]. Besides, they are also known for the “Cooked leeks and caramelized pork stock, ashes and hazelnut” dish.

Some other Chefs and places are known for their ash-containing dishes: Spanish Chef Andoni Luis Aduriz (from Mugaritz restaurant, Errenteria, Spain) developed a dish called “Charcoal, Ashes and a 64ºEgg”, a “brined squid and ginger, garlic paste and a broth of burnt vegetables” and a “grilled toast of bone marrow with herbs and horseradish ash”. Years before, Chef Andoni presented at Madrid Fusión an ash-coated beef dish. Moreover, Chef Pascal Aussignac also produced (at Club Gascon restaurant, London, United Kingdom), a juniper ash-flavored olive oil for his dish “Confit line-caught cod with juniper ashes, butternut squash and liquorice sabayon”. Chef Juan Mari and Chef Elena Arzak (at Arzak restaurant, San Sebastián, Spain) took “seabass with leeks ash” to Madrid fusion in 2010. Chef Ronni Mortensen also produced at AOC (Copenhagen, Denmark) an ashes bread composed of hay, leeks, and onion ash. Chef Yoshihiro Narisawa (at Narisawa restaurant, Tokyo, Japan), produced two ash-based dishes called “Sumi” and “Sumi 2009”, mentioning the year of appearance of the dish on the menu. The dishes were composed of a steak coated in leeks “sumi”, an ash produced from charred vegetables or charcoal, and a deep-fried onion coated with charcoal and leeks ash, respectively [58].

The context of culinary use of ashes in Portugal

In Portugal, the utilization of ashes in food transformation processes is observed both in popular cooking preparations and in haute cuisine. The examination of written sources allowed us to understand that the word "decoada" seems to have been used for the first time in the 16^th century [59]. In Portuguese sources, the use of ashes is generally described as "cenrada" (or "senrada"), "decoada," or "barrela." In this article, "cenrada" refers to the water that has boiled with ashes (the same as "decoada"), and "barrela" refers to water that is poured over a layer of ashes. These terms can be used in relation to the preparations made for dishwashing and bleaching clothes, respectively [60-62] also applying for the blanching treatment of linen thread and fabric [63].

Ashes in classic Portuguese cookbooks

Livro de Cozinha da Infanta D. Maria de Portugal

In an analysis of the most relevant literary work in Portugal, one of the earliest chronological written references to the use of ashes in Portuguese cuisine, including in noble households, is found in the culinary notes of Infanta D. Maria de Portugal (1538-1577). This work was published as "Livro de Cozinha da Infanta D. Maria de Portugal" is chronologically framed in between the 15th-16th century [25] and includes the treatment of fruits, particularly in recipes XLIII (“Receita para fazer pêssegos” [recipe to make peaches], p.93) and XLIV (“Para fazer limões” [to make lemons], p.95). In the first recipe, a preserve for whole peaches, the unripe fruit is submerged in water with ashes to remove the skin. Afterward, it should be washed in several waters and then cooked [25]. In the second recipe, a method for preserving lemons, the lemons will be cut in half without separating the two halves and placed in a “decoada” and then thoroughly washed and boiled in a 15-day long sugar simmering sugar syrup. The authors also refer a type of bread related to this cooking method, the "fogaças" - "balls of/or thin bread," which has been “baked under ashes since the Middle Ages” (idem, p. XXVI) .

Arte da Cozinha

In the book "Arte da Cozinha" by Domingos Rodrigues, a 17^th century royal cook, considered the first cookbook in Portugal from the endings of the 17 ^th century, the technique of "cenrada" is also mentioned as "água de cinza a ferver; barrela; senrada; decoada" (water of boiling ashes, “barrela”, lye water and water obtained from the ashes) [26] which technique is employed to remove the peaches and apricots’ exocarps. With the purpose of preserving them, the recipe "IX Pêssegos secos" initially instructs to “Limpos os pêssegos em uma senrada (…)” (“once the peaches are cleaned in a senrada (...))” [26] the recipe instructs to place the fruit in a sugar syrup to initiate a process of crystallization and preservation (idem).

Cozinheiro Moderno ou Nova Arte da Cozinha

Published in 1780 by Lucas Rigaud, the book "Cozinheiro Moderno ou Nova Arte de Cozinha (...)", mentions the culinary use of ashes in the recipe for "Receita para preparar azeitonas à moda francesa" (Recipe for preparing olives in the French style) and in the "Compota de amêndoas e damascos verdes" (Almonds and green apricots jam). In the first recipe, olives are soaked in water with ashes for at least twenty-four hours, allowing for their preservation and subsequent flavoring. Rigaud refers to this method as "À francesa" (the French way), as it originates from France, his country of origin (Rigaud, 2004, p. 286). In the compote of almonds and green apricots, the use of ashes is intended to remove the fruits' skins.

Thesouro do Cosinheiro, Confeiteiro e Copeiro

One of the most noteworthy works that extensively report the use of ashes is the "Thesouro do Cosinheiro, Confeiteiro e Copeiro (…)" book, which was released by the widow of Jacinto Silva [27]. In this book, several recipes that incorporate ashes are presented. Firstly, it provides instructions for olive preparation, specifically the "Receita para preparar azeitonas à moda Francesa" (recipe to prepare olives in French-style, p.9) and "Conserva de azeitonas" (olives preserve, p.176), both involving the use of ashes. Secondly, the book includes a charcuterie and egg-related recipes part. "Modo excelente para conservar os presuntos" (a good way to preserve hams, p.110) offers an excellent method for preserving hams by covering them with sieved vine ashes, after it is coated with vinegar, to ensure safe meat transportation. The process also includes "Conservação dos ovos em cal" (lime-preserved eggs p.11). Furthermore, the publication addresses the salvaging of food that is nearing spoilage. The recipe for "Restabelecimento da carne ou peixe que começa a apodrecer" (reestablishment of meat and fish that starts to get rotten, p.161) outlines a method for restoring meat or fish that is beginning to decay by cooking the protein with a sachet made of wood ashes [27]. Lastly, the work delves into the restoration of wine. The "Processo para tirar o azedume do vinho" (process to remove sourness from wine) outlines a method for removing sourness from wine using incandescent walnut ashes. Additionally, the "processo para conservar os vinagres" (process to preserve vinegars) involves the use of vegetable ashes to preserve vinegars (idem).

Vernacular and popular cuisine

In terms of vernacular cuisine, there is evidence of two nixtamalized corn dishes in Portugal, one in the Algarve and the other on the island of Madeira. The first one, known as "milhos aferventados" or "milhos de barrela", is a dish primarily prepared by women and consumed in a region situated between Barrocal and Algarvian mountains, in the south region of Algarve [54,55, 64-67]. It consists of nixtamalized corn, which is then mixed, according to the specific area where it is consumed, with salted-cured meats, pork sausages, and other starchy ingredients such as potatoes, beans, or pasta. The advantage of nixtamalization, from the cook’s perspective, lies in removing undesired organoleptic properties from the final dish, such as the fibrous texture of the husk (pericarp) and the taste associated with tip cap (“olho preto”) [54]. According to our research, the process is conducted in order to ensure that the dish does not taste like straw, being considered one of the ways to measure the skills mastering by the cook [55,67,68]. Dias [69] identified this dish as the only using whole corn in the country referring to it as "milhos de barrela". This is the oldest written reference to the dish, and the author mentions that the dish is "not very tasty".

Also in Madeira Island, nixtamalization is employed to prepare "boiled" corn, which is used to make a traditional soup known as "Sopa de Milhos Escaldados" (scalded corn soup) [70,71]. Castilho frames the "Sopa de Milhos Escaldados" in the parish of Faial, municipality of Santana, on the island of Madeira [70] and its complete recipe can be found in the local ethnographic group [71] and in the book “Sabores: receitas tradicionais madeirenses” [72] . Additionally, references have also been made to the seasoning of corn with “escabeche” sauce (a sauce made with garlic, vinegar, olive oil, bay leaf, and parsley) or simply with salt to be consumed as an appetizer. The “Sopa de Milhos Escaldados” would be prepared in times of bean scarcity and corn availability, and its ingredients would include white corn, cabbage, and other vegetables such as potatoes, sweet potatoes, chayote, and fresh or salt-cured pork. The wood used in the nixtamalization process would typically come from heather, laurel, or beech-tree. There is no specific festive or social context associated with this soup.

Besides, it is also mentioned that “cenrada” (water with ashes) was used in Portel (Alentejo) to soak chickpeas, to which orange or mandarin peels were added, in the late 19^th and 2 ^th centuries [61]. Regarding olives, contemporary references to olive preservation can still be found in the present . This technique was pointed, by the early 20^th century, as having Roman origins and having already fallen out of use, both in domestic and industrial settings [73]. Finally, from an industrial point of view, ashes are present since the 15^th century in the making of cane sugar, mostly to purify cane juice, whitening it, which could be used in associated with herbs (being lime also used as ashes substitute) [59,74]. Its use had the additional objective of “neutralizing the sugar cane acid” [74], a procedure that is also reported in the 18^th century on sugar mills in Brazil, allowing for the fortification of sugar (idem). Nunes also presents a summary of the evolution of the term “decoada”, as well as its Spanish variants “lejía” or “lexía” with origins in the 15^th century.

Usage of ashes in Portuguese haute cuisine

In Portuguese haute cuisine, ashes have also been introduced. In 2015, Chef José Avillez (from the restaurant Belcanto, Lisbon, Portugal) presented his “Carabineiro com cinzas de alecrim” dish (carabineiro shrimp with rosemary ashes).

Discussion

Amidst the COVID-19 lockdown, a significant essay penned by Monica Truninger, a Portuguese sociologist, has raised concerns about the apparent decline in the intergenerational transmission of culinary knowledge in Portugal, specifically pertaining to the daily popular cuisine [75]. This essay marks, in our vision, the first instance in history where such apprehensions have been explicitly articulated and documented, at least from our work point-of-view. Indeed, our research demonstrates that knowledge of the operational methods of popular and accessible culinary technologies – in the case, the use of ashes – has been disseminated through various means, including through popular cuisines, aristocratic culinary practices as evidenced in cookbooks, and haute cuisine, the one practiced in restaurants.

This dissemination and diffusion of culinary knowledge played a vital role in societal progress, facilitating culinary, flavor, mechanical and nourishing advancements that improved communities’ health (sometimes in a serendipitous manner) and hypothetically ensured their continuity [2,5,76]. It is of central importance to state that ashes, as a culinary technological improvement, have accompanied social evolution, being developed as a technology for dishwashing, clothes washing, sugar production, workbenches cleaning [53], and associated with woman household burden. Indeed, some evidence is found that some nixtamalization procedures are kept as feminine work [77].

Although it remains unclear, for each use of ashes, the way human beings arrived in the conclusion that it could be an added value in their daily life, there could be a causality effect between that empirical use and its culinary adaptation. In this culinary field the use of ashes permitted significative advancements in what comes to transformation, preservation, and simplification of cooking processes. In Portugal, those three aspects could be found in the several cases, such as the “milhos aferventados” dish, olives, etc. Besides, there is evidence to suggest that in 21^st century, culinary knowledge concerning the use of ashes in cooking continues to be generated and explored, however at a slow pace [77,78]. This latter observation is supported by our findings that suggested that, in the Algarve, the recipe of “milhos aferventados” is being done in the same way for more than one hundred years. Here the conventional ratio of ashes to water is typically 1:10 [54], whereas in Ecuador, people have already grasped that a more effective ratio of almost 1:2 yields better results [78]. These disparities in the application of ash-related culinary practices indicate a variability in the adoption and diffusion of culinary knowledge across different cultural and geographic contexts.

Those findings are particularly relevant in the scope of this work. If, for one side, we have understood that ashes started to be substituted by other chemically refined and more stable products (such as lye, lime, soda bicarbonate, etc.), haute cuisine for instance has been incrementally recuperating such popular technique and expanding it. This incrementalism, associated with the study of a technique like the use of ashes, allows its full comprehension, its expansion to other raw materials transformation, and create a Restaurant-Nature bond that transport guests to a down-to-earth connection with elements (in this case, the product of fire) [79].

Moreover, in the Portuguese case, the presence and use of ashes is still being made in the “low” and in the “haute cuisine”, in Portugal. Indeed, the use of ashes is still being made, as a popular technique to transform corn, as well as in olives preservation (even though Affonso stated, in 1905, that this technique had disappeared from Portuguese household and industrial environments [73]), as a fertilizer. Also, a Portuguese haute cuisine case of culinary use of ashes has been found. Finally, ashes replacement for other industrial, food-grade products should be further researched. The reasons for that replacement has not been scrutinized by our research. However, looking for some of the identified cases, effectiveness and food safety concerns seems to be some of the reasons to its substitution. It is important to denote that in the Portuguese cases it remains unclear if ashes could or could not be used by the restaurant industry, more precisely in the case of “milhos aferventados” as there is no official statement with this regard. This could be generating the fear in having such recipe in restaurants and consequently being contributing to its disappearing [80,81].

Conclusion

The use of ashes as a supporting tool for life development has been practiced since time immemorial times by numerous cultures. From the Ancient Rome to Mesoamerican civilizations. Its modus faciendi has been transmitted both through an elitist, aristocratic way, in specialized literature, and complemented by the work of Chefs who employ and study the technique but also it has been passed down through imitation and oral tradition in the realm of popular cuisine or "low cuisine". From the daily life routine, where ashes are used to aid in the cleaning of clothes and spaces, to a more intimate context, as an assistant in magic practices and rituals, ashes have played a significant role in human adaptation across diverse regions of the world. This fact also applies, in an equal manner, to its culinary uses.

Evidence of ash utilization has been found on almost every continent (except Oceania) concerning the dispersion of ashes for food preparation purposes. Whether as a tenderizer, cooking facilitator, preservative, or flavor enhancer, ashes have been relevant in culinary technological evolution. The versatility of ashes usefulness is also evident in the variety of products they are associated with vegetables, legumes, cereals, meat, fish, fruits, eggs, sugar, among others. While our study addresses a gap in the literature regarding the lack of exploration of this product in various contexts, with a particular focus on the culinary aspect and specifically in Portugal, it also gathers information that was previously scattered (demonstrated by the revision of an extensive bibliography), concerning the methods of operation and products that have benefited (and continue to benefit) from its use.

The primary contribution of our study lies in the systematic view, including the Portuguese case, of the use of ashes in cooking processes, transformation, and food preservation. We conclude that further studies are necessary, particularly from the perspective of food safety. In summary, the study on the utilization of ashes in food, which we have undertaken, exemplifies the diversity and historical richness of dietary practices and foodways, evolving with regards to cultural, social, and gastronomic needs. Documenting and elaborating on these practices are essential for preserving culinary heritage and contributing to the understanding of gastronomic evolution, bearing in mind that eventually part of this knowledge is not applicable nowadays due to new visions on ethical, environmental, cultural issues.

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A Note on Developing A New Type of Construction Contracts to Promote New Technologies and Sustainability - Juniper Publishers

 Civil Engineering Research - Juniper Publishers

Abstract

In its different forms, the built environment is the single largest energy consumer in the EU, and one of the largest carbon dioxide emitters. Green buildings and smart technologies are two of the most important elements to reach this goal. In a situation where the use of new technologies and new knowledge becomes more important as well as the news flow increase the role of the technical consultant becomes more important. Also, the client/developer role become increasingly important when buildings turn from storage facilities to service generating entities. A closer alliance between client and consultant is necessary to align business models with new technologies. Contracts are the most important instrument to shape incentive structures for optimal economic outcomes, as well as for shaping incentives for optimal operation of smart and sustainable buildings. In this paper we propose a contract design that incentivise consultants to fully use their knowledge to make sure that planned systems are installed and operated in an optimal manner. There are in general two approaches to this type of contract design. The first is to write a detailed contract setting out how to deal with possible outcomes going forward. The second, and the approach used in this paper, is to write a less detailed contract that sets out a framework of incentives for continuing cooperation and to keep a good reputation.

Keywords: Contracts; Incentives; Construction sector; Sustainable buildings; Collaboration

Introduction

At present, buildings account for approximately one-third of total CO2 emissions in the world. Contrary to expectations, this share is continually increasing [1,2]. There are possible avenues to decrease this share, such as introducing resource-saving technologies, using environmentally friendly building materials, and installing interactive tools to nudge users of a building towards resource-efficient behaviour [3-7].

As we see it, there are challenges ahead just to make use of the best available technology, especially in a situation when technologies develop fast. Once installed, there is an additional challenge to operate it at full potential. Currently, this is often far from the case. The gap between design and reality - or between estimated and actual resource use – is known as the “performance gap” [8,9]. Such a performance gap can result in increased operational costs, lower asset values [10], and missed resource- related targets [11]. The reasons for such failures are to be found in problems in design, construction, and operation [12], but also, as we focus on in this article, in a non-optimal incentive structure and hence in broader contractual issues [13,14].

A further challenge is to continuously update technology and make adjustments when there is new knowledge. The ongoing digital transformation emphasize the need for flexibility. This is also a matter of risk management and risk-sharing as new technologies will be riskier [15,16]. The idea in this paper is that when technologies develop fast and there is a need to introduce new technologies quicker, more room should be given to the technical consultant, or the combination of developer and consultant, as that actor or combination of actors can be expected to have the best knowledge. As new technologies by definition are riskier, a crucial issue will be how to manage and share these risks.

This research develops a strategy for mitigating buildings’ environmental impact through innovative contracts that support the adoption of new technologies. By addressing the performance gap and refining incentive structures, it explores the sometimes complicated dynamics between technology, knowledge, risk, on the one hand, and contractual design, on the other hand. The proposed contract model, developed with input from industry stakeholders, strives to align interests across construction projects, promoting collaboration, effective risk management, and the integration of sustainable technologies. As introducing a new type of contract is risky it is important to “test” ideas of new contracts in a dialogue with practitioners before we can expect that actors in the sector are willing to test a new type of contract in practice.

Contracts are the most important instrument to shape incentive structures for optimal economic outcomes, as well as for shaping incentives for optimal operation of smart and sustainable buildings. In this paper, we propose a contract design that incentives consultants to fully use their knowledge to make sure that planned systems are installed and operated optimally. There are in general two approaches to this type of contract design. The first is to write a detailed contract setting out how to deal with possible outcomes going forward. The second approach, the approach used in this paper, is to work with a less detailed contract and focus on the interplay between contract design and a reputation mechanism.

The structure of the paper is as follows. In section 2 the theoretical framework is presented. In section 3 the methodology is described and in section 4 the preliminary new contract is presented and motivated. Section 5 presents the problems that the actors pointed out in the preliminary contract and how these can be handled in an improved contract. Concluding comments can be found in section 6.

Theoretical Background

Contract Law is important because the world of business is largely conducted on contracts that set out the terms of cooperation between business partners. As such, it is one of the pillars of how the economy functions and leads to material welfare. Contract law is the “plumbing” [17] of contracting; it sets out how to contract according to the law on issues such as (i) the formation of contracts, (ii) the contents of the contract, (iii) the termination of contracts, and (iv) the basis for contractual liability and damages. One starting point for this study is economic contract theory and the general question of how to handle the principal/ agent relationship and create incentives for efficient solutions. Important contributions to this literature are for example Coase [18,19], Ostrom [20,21], Holmström and Milgrom [22,23], Hart [24,25], and Hart and Holmstrom [26].

The following aspects of contract theory are especially important for the design and analysis of the preliminary contract presented below:

i. Asymmetric information and opportunistic behavior. In a complex economy, actors specialize and have different sets of knowledge. The fundamental cause of principal-agent problems is the need for specialization and cooperation and the risk of opportunistic behavior of both principals and agents. We return to issues related to fairness and trust below, but we believe that one should always as a benchmark analyze the consequences of a specific contract design in a situation where actors are driven by self-interest.

ii. An important distinction is between observable facts and those that are verifiable1. If the behavior of a contracting party is verifiable in a court, then the parties can contract on this behavior and introduce punishments if the terms of the contract are not fulfilled. But in some situations, the behavior might be observable by the parties but not verifiable in a court, and then other ways have to be found to create incentives.

iii. A central thesis in contract and game theory is that it is easier to create incentives in a repeated transaction or, more generally, where reputation is important. If important information is observable but not verifiable, then the principal can create incentives by (credibly) promising future business opportunities if the agent behaves well.

iv. In a wider sense, contract theory is about the efficient allocation of decision rights. This is a core issue in this paper where the focus is on the respective roles of primarily the client and the technical consultant.

v. In a dynamic economy, incentive problems do not only concern the use of existing knowledge but also how to create incentives to continually update knowledge. This is also central for the analysis in this paper, as one starting point is that we live in a situation where the flow of new information related to sustainability has increased.

vi. The risk for opportunistic behavior can also arise in situations where a contract needs to be renegotiated. In projects that take several years to finalize, the client can - in a world where there is a constant flow of new knowledge and new technologies - be expected to want to change some parts of a design during the implementation of the project, and there need to be incentives that make renegotiations cheap and leading to efficient solutions. vii. The effect of risk allocation is also central. For example, if a contract assigns risk to a party that does not have the resources to handle high risk, it can be expected that the decision-maker will favor safer solutions. But one starting point in this article is that it is urgent to introduce new more sustainable solutions and that new technologies typically are riskier. The question of risk allocation then becomes especially important.

Traditional contract theory assumes self-interested parties and as we argued above is it always important to test how contracts work given this assumption. It should, however, be mentioned that later research shows the importance of ethical behavior, fairness, and trust for functioning contractual relations and efficiency (see for example [25,27-30]. We will return to these aspects below in the evaluation of the proposed contract.

Methodological Approach

The study was carried out in two steps. The first was to develop a preliminary contract. In this stage, an informal deductive approach was used. It was important to try to predict the consequences of a specific contract design. To predict what will happen in different situations we employed theoretical models, such as in deductive mathematical modelling. This approach includes making assumptions about the actors´ motives, as well as their choice situations. In this way, the aim was to investigate possible real-life outcomes, much like game theory. This study does not present any mathematical models but uses the same reasoning as in deductive mathematical modelling. The informal models must cover both how different rational actors would use existing knowledge, but also their incentives to keep updated on the latest technologies and knowledge.

Introducing new contracts is risky as it is difficult to predict what will happen in different complex situations. To reduce the risk in implementing the proposed contract we thought that the contract needed to be “tested” by letting a larger number of different types of actors look at the contract and present their reflections about especially potential problems when implementing the contract. This was done in several different ways. The first was to use the reference group for the larger project in which contractual design is one issue. This reference group consists of representatives from clients, contractors, and consultants - both from the public and private sectors - and also other researchers. In the second step, the design principles were presented for three large private property owners who also act as developers. They have a different focus: housing, offices, and shopping centers. In the third step, the proposed contract design was discussed with legal experts at the Federation of Swedish Innovation Companies.

A New Type of Contract for More Sustainable Solutions

The general idea behind the contract that is proposed below is to design a rather simple contract and then rely primarily on a reputation mechanism to align the interests of the parties. Arguments for and against more detailed contracts are discussed in several recent articles. Wang, Lu and Wei [31] discuss the effects of more detailed contracts in the context of the Chinese construction sector. They underline the possible conflict between detailed contracts with power based on such contracts and good relations between the parties that more flexibility can create. When the situation is more complex it might also be the case that the developer does not use the power that the contract formally gives. The role of trust in solving design quality problems is analyzed more in detail by Uusitalo et. al. [32]. Based on a detailed case study they point out that many factors affect the possibility of solving design quality problems and even though trust can make it easier they argue that trust is neither a necessary nor sufficient condition for problem-solving.

Description of The Contract Structure

As mentioned in the introduction the role of the technical consultant becomes more important when more up-to-date knowledge is needed to reach sustainability goals. In an earlier article [13] standard consultancy contracts are criticized for not creating the right incentives in this situation. In this section, an alternative type of contract is sketched. It is assumed that a client wants to build a smart and sustainable building. The main thrust of our ideas is to set out an extended alignment of incentives between developer and consultant over a contractual timeframe that includes the meeting of operational targets of a building.

Traditional construction contracts manage the design and consulting work from ideation to the start of the construction works. However, to make smart and sustainable buildings possible and incentives the consultant to fully commit, the contract scope should change to the whole process, from ideation to building operation. This could be achieved by changing the overall objective for the design and construction assignments. Instead of ending the contract at the final inspection, it should continue until stable operational performance is verified, which typically would take a few years.

One way to manage the incentives and knowledge transfer is to let the consultant be fully included in all decisions related to the technical systems in the building. This means that the consultant and the developer jointly lead the construction project from idea to verified performance and they have to agree about the decisions made. As the developer/client typically has less technical knowledge it will in practice mean that the client on many points delegate authority to the consultant. This also means that the consultant and the developer are jointly responsible for the information and training of the personnel that manages a jointly developed building. Such information and training aim to operate said building at (i) targeted and (ii) verified, operational performance.

The consultant and the developer are jointly responsible for, (i) the requisite technical know-how in the planning phase, and (ii) coordination of technical installations in the construction phase. The consultant is contracted until the time when targeted and verified performance should be met. In detail, this entails (1) That the consultant is involved throughout the whole process in close collaboration with the developer. An important instrument for such a collaboration is frequent joint financial and technical meetings. (2) That the consultant is designated as a fully mandated representative for the developer in all aspects related to the contract. (3) That the consultant is responsible for the coordination of installations, project management, and optimization of building operations. (4) That the consultant leads the information handling process and is responsible for transferring relevant information to the developer when the contract concludes; that is, when targeted and verified operations are met.

The most pressing issues relate to the phase after construction and concern tracking of issues, interconnected systems, responsibility, and timeframes for fixing the issues. The proposed agreement addresses this situation by making the consultant the designated representative for the developer in all these issues. Because the consultant is responsible for the system delivering on target, s/he is in a natural position to track issues with those targets. In addition, the contract gives the consultant the power and the means to resolve issues by contacting contractors, subcontractors, etc. In essence, the consultant will know what to do, will have the decision-making power to make things happen, and as we will describe later – have incentives to act. The contract shall stipulate that the consultant has the right to enforce necessary issues “without delay”, or, the consultant will resolve an issue on behalf of the client. Here there could be discussions related to just how quick “without delay” is. The main idea here, of course, is to prevent delays from cascading through the system.

As mentioned, the consultant manages service throughout the contract period. This is to ensure that all interconnected systems behave as planned. If systems are procured and constructed by special system providers, as is often the case with HVAC systems, the consultant will coordinate actions to optimize overall system performance, thereby avoiding the optimization of single standalone systems to the detriment of the system that is the building.

The consultant is remunerated based on hours worked. In addition, the parties can agree on a bonus to be paid if the agreed targets are met. The bonus may also be divided into tranches if the project is evaluated after different stages. Traditionally, consultants cannot manage large upfront costs. For our model to incentivise the consultant to perform at the top level there could be adjustments to the hourly fees for the total project. For instance, the price/hour could be lower throughout the whole project, while the bonus part gets the total remuneration to a market level. If the price/hour is below the market rate, the risk of adding unnecessary hours arguably decreases, while the incentive to reach targets increases.

Constructing an efficient bonus system is, however, not easy. Relating the bonus to very specific measurable targets can, as discussed in the theory section, lead to sub-optimization where the consultant primarily focuses on bonus-related parameters. Palm [33] studied contracts between private property owners and property management companies and found a contract where it simply was said that there could be a bonus if the client was satisfied with the work. The advantage of such a formulation is that the agent needs to focus on making the client satisfied and it therefore reduces the risk for sub-optimization. The agent is however completely dependent on the goodwill of the client as no measurable target is specified. As discussed more in detail in the next section, the proposed contract is dependent on a functioning reputation mechanism and such a mechanism is also necessary when there is this kind of general formulation about bonuses in the contract. It could also be possible to find a middle ground where client satisfaction is the main parameter, but where measurable targets are introduced as indications of whether the client has reasons to be content or not.

For safeguarding the developers’ economic interests, the contract also includes a paragraph stating that the developer can at each meeting choose to end the contract. This is necessary as the developer is economically responsible. If such a paragraph is not introduced, the developer may rightly fear that the consultant proposes measures that are too costly or reduce revenues. Both parties should have an incentive to think about profitability.

Analysis of Incentives and Risks

As we have argued above, to run and optimize smart and sustainable buildings there is a constant need for having access to up-to-date and relevant information, as well as access to all systems of a building. An important idea with the proposed type of contract is that it should lead to the passing of this information from the consultant to the developer in a way that allows s/ he to operate the building in a way that takes full advantage of climate-friendly technology, as well as being cost-effective. For this to be possible, we suggest the consultant leave all rights and information to the developer, and as mentioned above this included performing necessary training and education for the developer’s own or hired facility management personnel for systems to be operated at optimal levels.

A basic problem from an incentive perspective is, as indicated above, that the contract gives more power to the consultant while s/he has no long-term responsibility for the economic return of the investor. There are, however, at least four mechanisms that reduce this risk and strengthen the incentives for the consultant to take economic aspects into account.

i. The client/developer can terminate the contract at any time if they think that the consultant proposes or takes measures that increase the risk or cost for the investor unreasonably. This can, however, lead to a situation where the consultant accepts solutions that are not as good as is possible from a sustainability perspective to keep their job. but this can be counteracted by mechanism 3 below.

ii. A bonus system that focuses on the actual performance concerning the performance calculated at the outset of the project, also considering mutually accepted changes along the project lifespan. A third party could independently verify the performance in the relevant dimensions if that is judged necessary.

iii. The most important incentive is, as we see it, the reputation of the consultant and of the developer/client. Let us assume that there is a demand for smart and sustainable buildings performing in line with theoretical calculations and expectations. Let us further assume that a consultancy firm describes itself as professionals in delivering just this. If the consultant in a project demands measures that are not economically reasonable, and the client/developer terminates the contract, this will affect the reputation negatively and reduce future demand for the services of the consultant. The same will happen if the consultant gives way to pressure from the client/developer and accepts lower quality and/or weak performance and sustainability. This should reduce demand from developers who take sustainability seriously and have a reputation linked to this. Similarly, if the developer terminates the contract without conclusive arguments, this will affect the reputation of the developer.

iv. As discussed in Cidik & Boyd [34] how well cooperation works in a construction project also depends on what they call a “shared sense of purposefulness”. Given the current climaterelated problems and the need for a more sustainable construction sector such a shared sense of purpose should be natural in the kind of cases discussed in this article and such a shared sense of purpose would further reduce the risk of opportunistic behavior. In economic theory there is, as mentioned in the introduction, a trend arguing that to understand actual behavior, ethical aspects have to be taken into account and this strengthens the incentives to “do the right thing” in situations with asymmetric information and risk for opportunistic behavior.

A final comment on further risks from the perspective of the client/developer is the following. One risk is that the consultant works inefficiently and spends too many hours on the project. It can however be argued that the reduced hourly price and the importance of the bonus make it risky for the consultant to work “too much” as it might lead to termination of the contract by the developer [35,36]. This reduces the risk for the developer of having to pay for too many hours. Another risk from the developer´s perspective is that the consultant does not deliver the sustainable building that was promised and chooses techniques that do not hold what they promise. The bonus and the importance of the consultant´s reputation should, however, reduce this risk.

Comments on the Proposed Contract and Possible Adjustments

?One question that came up in several discussions was problems related to measuring and verifying the performance of a building.

We agree that this is a very important issue but there are for, example, several environmental certification systems where measuring and evaluation is a core issue. Over time this problem has become less pressing, and as underlined in the last section, reputation mechanisms and trust should reduce this problem. Another issue related to this was questions about the design of a bonus system. How should a bonus system be designed and how can conflicts related to the bonus system be reduced and managed? The contract sketched above can be used both with and without bonuses and if bonuses are used, they can be stronger or weaker. As discussed above they can also be designed in very different ways, from relating the bonus to measurable features or to how satisfied the client is in general. The choice here is up to the parties, and over time this part of the contract can be developed when experience in the use of the contract increases.

A further argument related to measurement issues was the following: How a building functions depends on the interaction of a large number of components and how the work installing them was carried out. This means that even though the consultant has done a very good job, the performance may in some dimension not reach the target. This creates a large risk for the consultant.

If this is believed to be a big problem, it is an argument against using a bonus system. If there is no bonus the client and consultant can just agree that the consultant has done a good job and there should be no economic losses for the consultant and no loss in reputation, even if measurable targets have not been reached due to factors outside the control of the parties. Another argument was that the contract focuses on the relation between the client and consultant and the larger role of the latter. But how does this affect the contracts with other parties, for example, the contractor and the subcontractors?

As we see it, it is logical with a basic Design-Bid-Build structure if the client and the consultants decide what should be built. The contractor should then just build what these parties have agreed about. In a situation where there is a continuous flow of new information, there is however a need to make changes during rather late stages in the process, and this points in the direction of introducing some partnering elements in the contract with the contractor. Both what the contractor should do and the economic remuneration to the contractor must be able to change even rather late into the construction phase. It was also argued that there should at least be a preliminary fixed length of the contract between the client and contractor. A prediction of the construction period and the time it will take to adjust the technical systems is then made. If there are delays and other kinds of problems, then the contract length can be adjusted but a preliminary fixed length makes things clearer and reduces the risk of opportunistic behavior. The starting point for the proposed contract was that the consultant is the part that has the most updated knowledge. It was, however, pointed out that companies that produce various components can have even better knowledge and also be working with a service component including maintenance and performance guarantees.

We are somewhat sceptical on this point. How a building functions depends on the interaction of several components, and this makes guarantees related to a specific component problematic. The producer could blame outside factors if their component does not work as promised. There is also a risk for opportunistic behavior when a client interacts with a specific producer and depends on information from that producer. We would instead underline that it is important that the consultants have good contacts with various producers and collect independent information about how their products work and how they interact with other components.

It was furthermore argued that when building operation is outsourced there are often short contracts, and this makes it more difficult to operate the building to optimal performance. We agree with this, and it is of course true that performance does not only depend on the factors regulated in the proposed contract. It is however in the end up to the developer to decide how to organize property management. There seems to be a trend in Sweden of doing more in-house, primarily related to customer relations, but operating a technologically complex building could also be an argument for doing more in-house.

One of the property owners pointed out that they also own a construction division and for them, it would be natural to include staff from that division together with the technical consultant in the construction process. A more general point is the need to adjust that contract to the type of client where, for example, clients who build more regularly can have a more active role in the cooperation with the technical consultant.

We also met more conservative reactions among property owners: The new contract seemed complex, and they did not see any major problems in how they worked now. Others were more interested in testing the new contract but so far, they have not taken any major steps in that direction. A more specific comment from the legal experts concerned the termination of the contract. In ordinary contracts, termination is only possible if the other party has made major mistakes. We explained that in the proposed contract the client needs to protect their economic interest when the consultant is given more power, and the possibility to terminate the contract is then important. Some economic compensation to the consultant for the termination of the contract could however be introduced, but the client should not have to refer to some mistake to have the right to terminate the contract.

Concluding Comments

To make smart and sustainable buildings possible on a large scale, we need to rethink the role of different actors involved in construction projects and also how to incentivise actors to fully commit and to be present from ideation to operation. Building smart and sustainable buildings with interconnected systems is fundamentally different from constructing traditional buildings with many separate subsystems. This article proposes that empowering technical consultants can be one way to move towards this goal, given their expertise in new technologies. A closer alliance between client and consultant becomes important to align business models with new technologies, which shifts the balance towards models that include partnering elements and away from models where several parties typically are rather passive.

This paper presents a possible contract design for clientconsultant collaboration. The same ideas can be used for developing client-contractor collaboration or consultantcontractor collaboration. The important thing is to ensure that all actors involved have strong incentives to optimize the overall performance of the final product and to get all actors to understand the overall purpose of the project.

The study points to the broader challenges of fostering innovation in construction, emphasizing the need for a cultural shift towards more adaptive and collaborative practices. It suggests that while technological solutions are vital for reducing CO2 emissions, their success also relies on contractual incentives for technological deployment. Hopefully, this article contributes to sustainable construction, by advocating further experimentation with new contract types to achieve sustainable, efficient building practices amidst rapid technological evolution.

As with all innovation, there is a need for “early adopters” - actors who are willing to take the extra risk. This could be private actors but there is also a role for public actors that can be more willing to take risks to speed up the change to a more sustainable society. As in much construction the nexus of private and public - on multiple levels - will be a decisive factor.

A final comment is that the theoretical development in contract theory where ethical aspects, fairness, trust, shared sense of purpose, and reputation mechanism are given more important roles implies that future research should look closer at how ideas and results in these areas can be used to analyze and improve the workings of the construction industry.

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