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Methods in Consumer Research, Volume 1
Related Titles

Methods in Consumer Research, Volume 2: Alternative Approaches and

Special Applications
(978-0-08-101743-2)
Emotion Measurement
(978-0-08-100508-8)
Individual Differences in Sensory and Consumer Science
(978-0-08-101000-6)
Sensory Panel Management
(978-0-08-101001-3)
Rapid Sensory Profiling Techniques
(978-1-78242-248-8)
Woodhead Publishing Series in Food Science,
Technology and Nutrition

Methods in Consumer
Research, Volume 1
New Approaches to Classic Methods

Edited by
Gastón Ares
Paula Varela
Woodhead Publishing is an imprint of Elsevier
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Contents

List of Contributors xvii

Prefacexix

Part I
Introduction
1. Recent Advances in Consumer Science
Paula Varela and Gastón Ares
1. Consumer Science: A Historical Perspective 4
1.1 Understanding Perception 5
1.2 Shift in Focus to Consumer Science 6
2. Key Advancements in Sensory and Consumer Science 6
2.1 The Transition to Consumer-Based Sensory Description:
Challenging the Central Dogma 6
2.2 Going Beyond Hedonics 7
2.3 Methodological Advancements 9
2.4 Consumer Research With Special Populations 13
3. The Future: Remaining Challenges 15
4. The Book 17
Acknowledgments 17
References 17
Further Reading 21

2. Complexity of Consumer Perception: Thoughts on

Pre–Product Launch Research
Ep Köster and Jos Mojet
1. Historical Perspective 24
2. Fallacies of Consumer Research 24
3. Novel Elements in Current Research 25
4. A Situational Approach 28
5. Integration of Different Factors in Different Situations 29
6. Examples of Situational Analysis 30
Application 6.1: Evoked Situation Triggered by Means of Pictures 30
Application 6.2: Evoked Situation Using Story Telling 30

v
vi Contents

Application 6.3: Sketchy Descriptions of Eating Situations 31

Application 6.4: The Effects of Repeated Exposure 31
Application 6.5: The Relative Remembrance of the Product’s
Pleasantness Over Time 32
Application 6.6: Sequential Preferences 32
Application 6.7: How to Develop a Criterion for Success:
The Walnut Case 33
7. Current Practice: Collative Properties 33
8. Suggested Protocol for the Market Launch Testing of Intended
Long-Life Products 35
8.1 Proposed Approach 35
8.2 Central Location Tests and Home Use Test 35
9. Data Analysis and Interpretation 36
9.1 Classification of Subjects 38
9.2 Frequency of Use 38
9.3 Relative Memory 38
9.4 Emotional Influence 39
9.5 Choice of the Most Promising Variant 39
9.6 Segmentation of Population Based on Use Frequency and
Product Appropriateness 40
9.7 Practical Considerations 40
9.8 Concluding Remarks 40
10. General Conclusion 41
References 41
Further Reading 45

Part II
Qualitative Techniques
3. New Approaches to Focus Groups
Luis Guerrero and Joan Xicola
1. Origin, History, and Definition 49
2. Making a Focus Group: General Recommendations 54
2.1 Problem Definition 54
2.2 Identification of Sampling Frame 55
2.3 Identification of the Moderator 58
2.4 Generation and Pretesting of Interview Schedule 58
2.5 Recruiting the Sample 58
2.6 Conducting the Focus Group 59
2.7 Analysis and Data Interpretation 60
2.8 Writing the Report 60
3. Uses of Focus Groups 60
4. New Approaches to Focus Groups 63
4.1 Analysis of Focus Group Results 63
4.2 Use and Application of Information and Communication
Technologies in the Implementation of Focus Groups 66
4.3 Combination Within Focus Groups of Different Techniques 70
 Contents vii

5. Conclusion and Final Remarks 73

References 74

4. Projective Techniques
Francisco J. Mesías and Miguel Escribano
1. Introduction 79
2. Historic Evolution 81
3. Classification of Projective Techniques 82
4. Association Techniques 82
4.1 Word Association 82
4.2 Brand Personification 85
4.3 Photo Sort 86
4.4 Brand Mapping 86
5. Construction Techniques 88
5.1 Photograph Response Test 89
5.2 Collage Construction 90
5.3 Bubble Drawing or Cartoon Test 90
5.4 Storytelling 92
6. Completion Techniques 93
6.1 Sentence Completion 93
6.2 Story Completion 94
6.3 Haire’s Shopping List 94
7. Expressive Techniques 96
7.1 Role Playing 96
7.2 Third Person Technique 96
8. Data Analysis 97
9. Future Trends and Conclusion 98
References 99

5. Using Ethnography in Consumer Research

Dominique Valentin and Carlos Gomez-Corona
1. Introduction 103
2. How to Do Ethnography? 105
2.1 Data Collection 105
2.2 Data Analysis 106
3. Ethnography in Industries 106
4. Case Study: Understanding Food and Beverage Habits in Peru 107
4.1 Material and Methods 107
4.2 Results 112
4.3 Conclusion 119
5. New Trends 119
5.1 Sensory Ethnographies 120
5.2 Mobile Ethnography 120
5.3 Netnography/Virtual Ethnography 121
6. Strengths and Weaknesses 121
Acknowledgments 122
References 122
viii Contents

6. Application of Social Media for Consumer Research

Leticia Vidal, Gastón Ares and Sara R. Jaeger
1. Introduction 125
1.1 What Is Social Media? 126
2. Approaches to Social Media Research 130
2.1 Blog and Buzz Mining 131
2.2 Netnography 131
2.3 Online Communities 132
2.4 Crowdsourcing 132
3. Conducting Social Media Research 133
3.1 Finding and Storing Relevant Information 133
3.2 Data Analysis 135
4. Practical Applications of Social Media Research 144
5. Legal and Ethical Considerations 145
6. Strengths and Limitations 146
7. Conclusion 149
References 149

Part III
Liking and Beyond
7. Product Performance Optimization
Davide Giacalone
1. Introduction 159
2. Optimization Based on Sensory Attributes and Liking 160
2.1 Preference Mapping Approaches 160
2.2 Consumer-Based Approaches (JAR, Ideal Profile,
and CATA) 167
3. Product Optimization “Beyond Liking” 174
3.1 What Should We Optimize Toward in the Product
Development Process? 174
3.2 Integration of Extrinsic and Intrinsic Product Aspects 174
3.3 Emotional Responses to Food Products 176
3.4 Health and Well-Being 178
3.5 Fit With Intended Usage Context 179
4. Conclusion 180
References 180

8. Consumer-Based Methodologies for Sensory

Characterization
Gastón Ares and Paula Varela
1. Introduction 188
2. Methodologies for Consumer-Based Sensory Characterization 189
 Contents ix

2.1 Methodologies Based on the Evaluation of

Specific Attributes 190
2.2 Holistic Methodologies 195
2.3 Methodologies Based on Comparison With References 197
3. Recommendations for the Use of Consumer Panels for Sensory
Characterization and Remaining Challenges 201
3.1 Selecting a Consumer-Based Methodology 201
3.2 Flexibility and Opportunities of Alternative Methods of
Product Characterization and Applications of Industrial
Interest202
4. Conclusion 203
Acknowledgments 204
References 204

9. Dynamics of Consumer Perception

John C. Castura
1. Measuring the Dynamics of Consumer Perception 211
2. Characterization of Products According to Sensory Attributes 214
3. Characterization of Products According to Emotional Response 219
4. Characterization of Products According to Hedonic Response 221
5. Opportunities for Linking Dynamic Data to Other Data 223
6. Data Analysis 227
7. Conclusion 232
References 233
Further Reading 240

10. Affect-Based Discrimination Methods

John Prescott
1. Introduction 241
2. The Rejection Threshold 244
2.1 The Rejection Threshold and Product Defects 245
2.2 The Rejection Threshold and Product Development 247
2.3 The Rejection Threshold and Food Safety 247
2.4 The Rejection Threshold and Individual Differences 248
3. The Authenticity Test 249
3.1 Affect and Decision-Making 249
3.2 Essential Features of the Authenticity Test 252
4. Conclusions 254
References 255

11. Emotional Responses to Products

Sara Spinelli and Erminio Monteleone
1. Introduction: Why Measure Emotional Responses to Products 261
2. What Emotions Are We Measuring? 265
x Contents

3. Measuring Emotional Responses to Products 266

4. Methodological Issues in Measuring Emotional Responses to
Products Using Questionnaires 269
4.1 Questionnaire Format and Emotion Selection 270
4.2 Scaling Methods and Other Methodological Issues 280
4.3 Cross-Cultural Differences and Multicountry Emotion
Studies281
5. Case Study: New Product Development in Delicate Laundry
Detergents. The Importance of Measuring Expectations 285
6. Future Trends 289
7. Sources of Further Information and Advice 290
References 291

12. Recent Developments in Conceptual Profiling

David M.H. Thomson and Toby Coates
1. The Etiology of New Product Failure 298
2. The Fundamental Nature of Conceptual Associations in
Relation to Emotion 300
3. Conceptual Profiling Methodology 304
3.1 Concept Description 305
3.2 Quantification of Degree of Conceptual Association 307
4. Conceptual Profiling: Examples and Case Studies 310
4.1 Conceptual Profiling of Color 310
4.2 Conceptual Profiling of Unbranded Products 313
5. Predicting Emotional Outcomes 320
5.1 Initial Assumptions 320
5.2 A Process for Linking Conceptual Associations to Emotional Out-
comes321
5.3 Predicting Emotional Outcomes: A Practical Example
Using Single Malt Scotch Whisky 323
6. Overview 325
Acknowledgments 326
References 326

13. Methodological Challenges of Research in Nudging

Ellen van Kleef and Hans C.M. van Trijp
1. Introduction 329
2. Defining Nudging Research 334
2.1 Dependent Variables 335
2.2 Changes to the Choice Architecture as Independent
Variables339
2.3 Mediators to Explain How a Nudge Works 341
2.4 Moderators to Understand for Which Individuals the
Nudge Works 342
3. Methodological Considerations and Directions for Future
Research 343
References 346
 Contents xi

Part IV
Consumer Segmentation
14. Statistical Approaches to Consumer Segmentation
Ingunn Berget
1. Introduction 353
2. Clustering Strategies 354
3. What Is Similarity? 355
3.1 Data and Notation 356
3.2 Mathematical Distance Measures 357
3.3 Standardization and Weighting of Variables 358
3.4 Various Data Types 358
4. Hierarchical Clustering 359
4.1 Dissimilarity and Similarity Matrices 359
4.2 Agglomerative Nesting of Clusters 360
4.3 Linkage: How Clusters Are Connected 360
5. Criterion-Based Methods/Partition-Based Methods 362
5.1 K Means 363
5.2 Fuzzy Clustering 364
5.3 Other Approaches 364
6. Interpretation-Based Segmentation 365
7. Semisupervised Clustering 366
8. Comparison of Clustering Strategies 366
9. Cluster Validation 367
9.1 External, Internal, and Relative Validation 367
9.2 What Is a Good Partition: Validation Indices 368
9.3 The Number of Clusters 370
9.4 Illustrative Example 371
9.5 Results With Hierarchical Clustering 372
9.6 Results With K Means 374
10. Three-Way Clustering 375
11. Steps in Cluster Analysis and Recommendations 376
12. Future Developments in Consumer Segmentation: Big Data 378
References 379

15. Including Context in Consumer Segmentation: A

Literature Overview Shows the What, Why, and How
Marleen Onwezen
1. Introduction 384
1.1 What Is Consumer Segmentation? 384
1.2 Context 385
2. Why? The Relevance of Including Context in Consumer
Segmentation 386
3. Practical Aspects 387
3.1 Companies 387
3.2 Policy Makers 387
xii Contents

4. Overview of Current Knowledge: Selection of Variables to

Include Context 388
4.1 General Level 388
4.2 Domain-Specific Level 389
4.3 Brand/Product-Specific Level 390
5. Overview of Current Knowledge: What Has Already
Been Done? 391
5.1 Singular Approach: Situational Segmentation 391
5.2 Combined Approach: Person-by-Situation Segmentation 392
6. How to Include Context in Consumer Segmentation 392
6.1 Phase 1: Identify the Research Question 392
6.2 Phase 2: Identify Research Method 393
6.3 Phase 3: Data Collection and Analyses 394
6.4 Phase 4: Data Interpretation and Implementation 394
7. Case Study 395
7.1 Phase 1: Identify the Research Question 395
7.2 Phase 2: Identify Research Method 396
7.3 Phase 3: Data Collection and Analysis 396
7.4 Phase 4: Data Interpretation and Implementation 396
8. Conclusion 397
References 398

16. Oral Processing: Implications for Consumer Choice

and Preferences
Lina Engelen
1. Introduction 401
2. Mastication 403
2.1 Oral Function 404
2.2 Tongue 405
2.3 Oral Cavity/Bite Size 406
2.4 Food Characteristics 407
3. Saliva 408
3.1 Volume of Saliva 408
3.2 Composition of Saliva 410
4. Receptors and Perception 412
4.1 Texture 413
4.2 Eating Styles 414
5. Swallowing 415
6. Conclusion 416
References 416

17. Consumer Segmentation Based on Genetic Variation

in Taste and Smell
Mari Sandell, Ulla Hoppu and Oskar Laaksonen
1. Introduction to Genetic Differences in Taste and Smell 423
2. Human Chemosensory Receptors 425
 Contents xiii

2.1 Taste Receptors 425

2.2 Odorant Receptors 427
3. Methodology in Genotyping 428
3.1 DNA Collection and Extraction 428
3.2 Analyses With SNPs or GWASs 428
4. Genetic Variation in the Food Perception Context 438
4.1 Example Cases 439
5. Summary and Conclusion 439
References 441

Part V
Influence of Extrinsic Product Characteristics
18. Expectations: Blind/Informed Testing
Rosires Deliza
1. Introduction 451
2. The Theory Behind Expectations 454
3. Considerations on How to Plan Studies to Investigate the
Disconfirmation of Expectations That Comprise Expected,
Blind, and Actual (Informed) Measurements 456
4. Implementing a Study Focusing on Expected/Blind/Informed
Measurements 459
4.1 Recruitment of Participants 459
4.2 Data Collection, Stimulus Preparation, and Statistical
Analyses460
4.3 A Study Comprising Blind/Expected/Informed Ratings: an
Example Using Instant Coffee 466
5. Practical Applications of Expected, Blind, and Actual
(Informed) Measurements 480
References 481
Further Reading 483

19. Conjoint Analysis in Sensory and Consumer Science:

Principles, Applications, and Future Perspectives
Valérie L. Almli and Tormod Næs
1. Introduction 486
2. Historical and Conceptual Background 488
3. Conjoint Analysis Methodology: Basic Principles and
Advances 488
3.1 Self-Explicated, Holistic, Hybrid, and Adaptive Approaches 488
3.2 Elicitation Tasks: Choice, Ranking, Rating, and Best–Worst
Scaling491
3.3 Profile Presentation and Consumer Responses 493
3.4 Intrinsic and Extrinsic Attributes 494
3.5 An Important Distinction From Preference Mapping 494
xiv Contents

4. Conjoint Analysis Methodology in Practice 495

4.1 Workflow in a Conjoint Analysis Study 495
4.2 Objectives and Consumer Response 495
4.3 Attributes and Levels Selection 495
4.4 Product Profile Generation: Experimental Design 498
4.5 Pretesting, Pilot Testing, and Data Collection 500
4.6 Statistical Analysis 500
4.7 Beyond Mean Preferences: Preference Heterogeneity and
Segmentation Approaches 501
5. Case Study: Identifying the Drivers of Consumers’ Purchase
Intent for Iced Coffee 502
5.1 Objectives, Responses, and Attributes 502
5.2 Experimental Designs and Modeling Approaches 504
5.3 Results 508
5.4 Discussion 510
6. Limitations, Fallacies, and Recommendations 511
6.1 Highlight on a Few Study Design Issues 511
6.2 Highlight on a Few Modeling Issues 512
7. Current Trends in the Literature 513
7.1 Intrinsic and Extrinsic Attributes 513
7.2 Incentive-Compatible Procedures 513
7.3 Individuality 520
7.4 Evoked Context 520
7.5 Research on Children 520
8. Perspectives in Sensory and Consumer Science 521
8.1 Designs, Attributes, and Elicitation Tasks 521
8.2 Cognitive Aspects 522
8.3 Children and Conjoint Analysis 523
8.4 Where Will New Technologies Bring Conjoint Analysis? 523
9. Conclusion 523
Acknowledgments 524
References 524

20. Credence
Fredrik Fernqvist
1. Introduction 532
2. The Concept of Quality 533
3. Credence and Its Role in Consumer Choice and
Liking of Food 533
4. Credence Categories 534
5. Consumers’ Experienced Quality 535
6. Consumer Choice 536
7. Why Study the Effect of Credence on Consumer Liking? 536
7.1 Marketing Failure: the “Schlitz” Case 536
7.2 Marketing Failure: the “Mjuice” Case 537
 Contents xv

8. The Role of Values, Beliefs, and Attitudes in Consumers’

Choice and Experiences 538
8.1 Attitudes and Behavior 538
8.2 Values 539
9. Assessing the Effects of Credence on Consumer Behavior 539
9.1 Moderating Variables 540
9.2 What Approach to Use? 540
9.3 The Sample 541
9.4 Delimitations 542
10. Methods 542
10.1 Conjoint Methodology 542
10.2 Consumer Liking and Willingness to Pay 543
10.3 Alternative Descriptive Approaches 544
10.4 Eye Tracking 544
11. Example: Credence and Liking of Tomatoes 545
11.1 Background 545
11.2 Materials and Methods 546
11.3 Results 547
11.4 Discussion and Conclusions From the Study 548
12. Conclusion 550
References 550

21. Information Display Matrix

Katrin Zander and Rosa Schleenbecker
1. Introduction 557
2. Design of the Information Display Matrix 558
3. Theoretical Aspects of Decision-Making 561
4. Historical Development and Possible Applications 564
5. Analysis of Consumer Preferences 565
6. Analysis of Information Search Behavior 566
7. Comparison With Other Methods 568
8. Strengths and Weaknesses 568
9. Case Study: Food, More Than Organic? 570
9.1 Methodological Approach 570
9.2 Results 572
9.3 Conclusions From the Case Study 578
10. Conclusions 579
References 579

22. Experimental Economics to Evaluate Consumer

Preferences
Riccardo Vecchio and Azzurra Annunziata
1. Introduction 583
2. Experimental Economics Methods to Analyze Consumer
Preferences for Food Products 585
xvi Contents

3. The Rationale for Using Experimental Economics to Analyze

Consumer Preferences 587
3.1 Nonhypothetical (Real) 587
3.2 Incentive-Compatible (Incentive-Aligned) 588
4. Experimental Auctions 588
4.1 Full Bidding or Endow and Upgrade 589
4.2 Laboratory or Field Experiment 590
4.3 Sealed-Bid Vickrey-Type Auction 590
4.4 BDM Mechanism 592
5. Multiple Price List Format 594
6. Differences Between Auctions and Hedonic Measurements 600
7. Data Analysis 601
8. New Developments and Future Research Avenues 602
References 603

Index609
List of Contributors

Valérie L. Almli, Nofima AS, Ås, Norway

Azzurra Annunziata, University of Naples Parthenope, Naples, Italy
Gastón Ares, Universidad de la República, Montevideo, Uruguay
Ingunn Berget, Nofima AS, Ås, Norway
John C. Castura, Compusense Inc., Guelph, ON, Canada
Toby Coates, MMR Research Worldwide, Wallingford, United Kingdom
Rosires Deliza, Embrapa Agroindústria de Alimentos, Rio de Janeiro/RJ, Brazil
Lina Engelen, The University of Sydney, Sydney, NSW, Australia
Miguel Escribano, University of Extremadura, Badajoz, Spain
Fredrik Fernqvist, Swedish University of Agricultural Sciences, Alnarp, Sweden
Davide Giacalone, University of Southern Denmark, Odense, Denmark
Carlos Gomez-Corona, Firmenich SA, Mexico City, Mexico
Luis Guerrero, IRTA, Girona, Spain
Ulla Hoppu, University of Turku, Turku, Finland
Sara R. Jaeger, New Zealand Institute for Plant and Food Research, Auckland, New
Zealand
Ep Köster, Utrecht University, Utrecht, The Netherlands
Oskar Laaksonen, University of Turku, Turku, Finland
Francisco J. Mesías, University of Extremadura, Badajoz, Spain
Jos Mojet, Sensory Market Opportunities (SMO), Leusden, The Netherlands
Erminio Monteleone, University of Florence, Florence, Italy
Tormod Næs, Nofima AS, Ås, Norway
Marleen Onwezen, Wageningen Economic Research, The Hague, The Netherlands
John Prescott, TasteMatters Research & Consulting, Sydney, Australia; University of
Florence, Florence, Italy
Mari Sandell, University of Turku, Turku, Finland
Rosa Schleenbecker, University of Kassel, Witzenhausen, Germany
Sara Spinelli, University of Florence, Florence, Italy
David M.H. Thomson, MMR Research Worldwide, Wallingford, United Kingdom

xvii
xviii List of Contributors

Dominique Valentin, Centre des Sciences du Goût et de l’Alimentation, Agrosup,

CNRS, INRA, Université Bourgogne Franche-Comté, Dijon, France
Ellen van Kleef, Wageningen University, Wageningen, The Netherlands
Hans C.M. van Trijp, Wageningen University, Wageningen, The Netherlands
Paula Varela, Nofima AS, Ås, Norway
Riccardo Vecchio, University of Naples Federico II, Naples, Italy
Leticia Vidal, Universidad de la República, Montevideo, Uruguay
Joan Xicola, IRTA, Girona, Spain
Katrin Zander, Thünen Institute of Market Analysis, Braunschweig, Germany
Preface

Understanding consumers’ attitudes, perception, and behavior is of vital importance

for food choice research and new product development but also for policy making,
to support various current societal challenges. The consumer science field emerged
in the early half of the 20th century, mainly as a support to product development
and to identify the main drivers of preferences. Over the last two decades, the com-
plexity of consumer behavior has been increasingly acknowledged, and researchers
have become interested in studying other aspects of product consumption that also
play a relevant role in consumers’ decision-making process. To achieve a more
holistic view of consumer behavior, several methodologies have been added into
the toolbox of consumer researchers, to address aspects of consumer behavior that
have been previously not much explored. In this context, this book aims to pro-
vide a comprehensive overview of the latest methodological advances in consumer
research, including approaches to classical methods, adaptation of methods from
other areas of knowledge, and new tools that have been recently brought into use
by consumer researchers with new technologies.
The book is structured in two volumes and different sections, each related
to different aspects of consumer perception and behavior. The first volume
is focused on new approaches to classical methods in consumer research. It
includes four main sections dedicated to qualitative techniques (focus groups,
ethnography, and the use of social media to studying consumer perception),
methodologies to measure affective responses to products (liking, conceptual
associations, and emotional responses), consumer segmentation (statistical
methods and new segmentation strategies), and methodological approaches
to study the influence of extrinsic product characteristics on consumer per-
ception. The second volume provides a comprehensive overview of novel and
emerging methodologies and their innovative applications. It is also com-
posed of four sections related to consumer research in context (including
the application of evoked contexts, immersive techniques, and virtual reality,
and methodologies for evaluating meals and food pairings), health-related
issues in consumer research related to food (food intake, satiety and satiation,
and wellbeing), implicit and physiological measurements (implicit associa-
tions, eye-tracking, face-reading, EEG, and fMRI), and consumer research
with specific populations (children, elderly, and low-income populations) and
nonfood products.
The book intends to address all the topics from an applied perspective, pro-
viding the relevant theory concisely for understanding purposes, but focusing

xix
xx Preface

on their application using examples and critically discussing the potentialities

and drawbacks of each methodology. Each chapter includes a detailed example
of application to enable readers to understand how to design, implement, and
analyze data from studies involving the methodological approaches discussed.
Although emphasis is made on consumers’ perception of food products, spe-
cific aspects of consumer research with nonfood products are also presented.
We hope that this book provides the reader a complete, actual, and critical
view of the recent developments in consumer research, as well as updates to clas-
sical methods and upcoming trends in the field. The book is expected to become
a reference for people working in understanding consumer perception in vari-
ous fields, such as sensory and consumer science, psychology, marketing, and
nutrition. We hope that this book encourages more interdisciplinary scientific
research to understand consumer perception of products. It is also our sincere
wish that we can increase the impact of consumer research by contributing to
solving some of the societal and health problems we currently face worldwide.
We hope that readers will enjoy the book and find it as inspiring as we do.

Gastón Ares
Paula Varela
Part I

Introduction
This page intentionally left blank

     
Chapter 1

Recent Advances in Consumer

Science
Paula Varela1, Gastón Ares2
1Nofima AS, Ås, Norway; 2Universidad de la República, Montevideo, Uruguay

Chapter Outline
1. Consumer Science: A Historical 2.3.3 Contextual Research 11
Perspective4 2.3.4 Heuristics in Food
1.1 Understanding Perception 5 Choice12
1.2 Shift in Focus to Consumer 2.3.5 Application of
Science6 Methodologies Derived
2. Key Advancements in Sensory From Psychology 12
and Consumer Science 6 2.4 Consumer Research With
2.1 The Transition to Consumer- Special Populations 13
Based Sensory Description: 2.4.1 Age-Appropriate
Challenging the Research Methods 13
Central Dogma 6 2.4.2 Low-Income
2.2 Going Beyond Hedonics 7 Populations14
2.2.1 Emotional Research in 3. The Future: Remaining
Consumer Science 7 Challenges15
2.2.2 Extended Eating 4. The Book 17
Experience8 Acknowledgments 17
2.2.3 Perception of References 17
Well-Being9 Further Reading 21
2.3 Methodological
Advancements9
2.3.1 Qualitative Research 9
2.3.2 Advanced Quantitative
Consumer Methods 10

Methods in Consumer Research, Volume 1. https://doi.org/10.1016/B978-0-08-102089-0.00001-7

Copyright © 2018 Elsevier Ltd. All rights reserved. 3
4 PART | I Introduction

1. CONSUMER SCIENCE: A HISTORICAL PERSPECTIVE

Sensory and consumer science emerged in the early half of the 20th century,
mostly as a support tool to product development, to study perceptual reactions
to ingredients, chemicals, and product modifications (Moskowitz, 2017). From
its inception, scientists strived to make sensory science robust and valid by stan-
dardizing procedures and strengthening the ties to statistical sciences.
Sensory science rapidly grew in the second half of the 1990s, paralleling the
growth of the food industry (Lawless & Heymann, 2010). The main method-
ological developments during those years were related to inferring differences
between products, with the triangle test as one of the most popular methods
(Helm & Trolle, 1946; Peryam & Swartz, 1950), as well as to describing the
sensory qualities of products via various profiling methods, with quantita-
tive descriptive analysis probably the most widespread method (Stone, Sidel,
Oliver, Woolsey, & Singleton, 1974; Szczesniak, Loew, & Skinner, 1975). In
addition, sensory scientists were also interested in understanding consumer per-
ception, and started measuring consumer acceptability, or degree of liking. For
this purpose, the 9-point hedonic scale, a cornerstone of our field, was devel-
oped (Jones, Peryam, & Thurstone, 1955; Peryam & Pilgrim, 1957). The end
of the 20th century was all about “self-affirmation as a scientific discipline,”
with the widespread dissemination of procedures for standardization, checking
panel performance, and establishing correlations between chemical, instrumen-
tal, and sensory measurements. Moskowitz (2017) argues, in his opinion piece
on trained and consumer panels, that descriptive analysis might have been an
“inbuilt historical phase unavoidable in intellectual history.”
Sensory scientists thought that consumers could provide information only
about how much they liked/disliked a product, so sensory information was
obtained from trained assessors (Lawless & Heymann, 2010). When preference
mapping emerged (Carroll, 1972; Horsfield & Taylor, 1976; MacFie, 2007), it
provided researchers, particularly from industrial research and design, with a great
tool for product optimization by linking trained panel data to consumer apprecia-
tion. However, research showed that consumers were able to accurately evaluate
the sensory characteristics of products (Ares & Varela, 2017), which prompted the
development of new methodological approaches based on consumer perception.
Product development research started, slowly but increasingly faster, to use opti-
mization techniques based on consumer input, such as “just-about-right” scales
(Popper, 2014), the ideal profile method (Worch, Lê, Punter, & Pagès, 2013), or
“check-all-that-apply”-based optimization (Ares, Dauber, Fernández, Giménez, &
Varela, 2014; Plaehn, 2012). Davide Giacalone, in Chapter 7, Product Performance
Optimization, gives a thorough overview of the recent advances in the use of con-
sumer-based methodologies for product development and optimization.
Going back to the historical perspective, most of the developments that
occurred in consumer science during the late 1990s were related to trying to
answer innumerable questions about how consumers perceive products, how
 Recent Advances in Consumer Science Chapter | 1 5

they choose, and why they prefer what they prefer. However, hedonic percep-
tion remained the focus of consumer research, and the sensory characteristics
of products continued to play a key role in the field. In this regard, Chapter 2,
Complexity of Consumer Perception, by Ep Koster and Jos Mojet, provides an
overview of when consumer researchers started questioning the focus on this
structuralist, static view of sensory properties as a driver of all consumer per-
ceptions, as well as why and how they started to look into additional variables
underlying food choice.

1.1 Understanding Perception
Understanding perception has had a key role in the historical development of sen-
sory and consumer science. Different areas of knowledge have focused on differ-
ent aspects of perception. Psychophysics was developed in the late 19th century
and can be regarded as a precursor of experimental psychology. These two areas
of knowledge provided the basis for many of the consumer methods that are
used today. Interestingly, psychophysics and sensory evaluation developed very
much in parallel, sharing many techniques: one studying the person and the other
focusing on the product (Lawless & Heymann, 2010). Anatomy, physiology, and
genetics followed perception from a functional perspective, looking further than
physical bases and going into functional consequences, such as adaptation, sup-
pression, chemosensory integration, and multimodal interaction. Research in this
field opened the door to understanding how some individuals live in a particu-
larly intense taste world: perceiving more intense tastes, feeling more burn from
pungent foods, being more sensitive to creaminess, and also experiencing more
intense oral pain (Bartoshuk, 2000). Although the concept of “different taste
worlds” produced by genetic variation was first introduced by Blakeslee and Fox
in 1932, the development of psychophysical tools in the last half of the 20th cen-
tury allowed the discovery of supertasters and their relation to genetic variation.
Chapter 16, Oral Processing: Implications for Consumer Choice and Preferences
by Lina Engelen, and Chapter 17, Consumer Segmentation Based on Genetic
Variation in Taste and Smell by Mari Sandell, Ulla Hoppu, and Oskar Laaksonen,
give an updated look into the physiological and genetic bases of consumer percep-
tion and preferences. These individual differences in perception have been increas-
ingly recognized as more than noise in the data, and they have been recognized as
drivers of food behaviors. In this sense, Chapter 10, Affect-Based Discrimination
Methods by John Prescott, reports that consumers probably select foods partly
based on their individual phenotypes and discusses the importance of acknowl-
edging this in consumer testing. Prescott focuses on discrimination methods that
have been adapted for studying affective-based decision-making, such as rejection
threshold and the authenticity test. The exploration of individual differences and
consumer segmentation becomes very important in these cases, and Chapter 14,
Statistical Approaches to Consumer Segmentation by Ingunn Berget, reviews
some of the most important statistical approaches.
6 PART | I Introduction

TABLE 1.1 Number of Papers Published in the Consumer and Sensory Area

Scopus Consumer
Search Sensory Preference or Consumer Food
(Food) Description Acceptance Perception Choice

1960–80 9 (9%) 65 (62%) 9 (9%) 22 (21%)

1981–now 735 (5%) 7284 (52%) 4013 (28%) 2058

(15%)

Data taken from Scopus, April 2017.

1.2 Shift in Focus to Consumer Science

The realization of the diversity in the determinants of consumer perception led
sensory and consumer researchers to acknowledge that consumer behavior is
heterogeneous and multifaceted. In fact, when one looks at the publications
in scientific journals related to sensory and consumer science and consumer
behavior throughout the years (Table 1.1), one can clearly appreciate the shift
in focus, from consumer preference or acceptance to a broader view of con-
sumer perception and food choice. In addition, interest in these topics has
grown exponentially, as suggested by the increased number of publications
since 1980.

2. KEY ADVANCEMENTS IN SENSORY AND CONSUMER

SCIENCE
2.1 The Transition to Consumer-Based Sensory Description:
Challenging the Central Dogma
Traditionally, sensory and consumer science has been divided into two well-
defined areas: analytical and affective tests (Lawless & Heymann, 2010).
Analytical tests were traditionally viewed as structured and objective, and they
were exclusively conducted with trained panels that characterized products
from a sensory point of view. Affective tests can be conducted only with con-
sumers and are aimed at evaluating their preferences. The distinction between
trained and consumer panels for analytical testing defined one of the central
dogmas of the field. Consumers have been for years regarded as not capable of
describing products. However, methodological developments in the last part
of the 20th century agitated the debate about the use of untrained assessors for
analytical tasks (Ares & Varela, 2017) and led to the rapid development of a
wide range of new methodologies. Chapter 8, Consumer-Based Methodologies
for Sensory Characterization by Gastón Ares and Paula Varela, reviews the state
 Recent Advances in Consumer Science Chapter | 1 7

of the art in the area of sensory characterization, and it focuses, in particular,

on practical applications.
Interest in listening to the voice of the consumer through the use of new
methodologies, such as holistic approaches derived from psychology, opened
the way to an unprecedented enhanced flexibility for consumer description
of products. In very recent years, consumer panels have even been utilized
for describing dynamic product properties (Ares et al., 2015, 2017). Added
to this, the dynamics of consumer preferences have also gained importance,
especially since 2000 (Delarue and Blumenthal, 2015). Chapter 9, Dynamics
of Consumer Perception by John Castura, provides a complete overview of
the latest trends in the exploration of the dynamics of consumer sensory and
hedonic perception.
The developments in the area of sensometrics, particularly on multivariate
data reduction techniques, opened the door for new data collection opportuni-
ties and supported the transition from trained to consumer panels. Among them,
it is worth mentioning generalized Procrustes analysis (Arnold & Williams,
1987) and multiple factor analysis (Pagès, 2005). Even if the focus of this book
is not statistics, these techniques and other earlier multivariate data reduction
techniques (PCA, CA, MDS) appear throughout the chapters, underlying many
of the consumer-based methods presented.

2.2 Going Beyond Hedonics

Sensory and hedonic perception is not enough to understand what underlies
food choice. A great summary of the complexity and the interdisciplinary
approaches required for understanding food choice is included in the model
proposed by Jos Mojet in 2001, “Six factor model of eating and drinking
behaviour and food choice,” and described in detail in Chapter 2 of the present
book. Food choice theories have been very informative on how different vari-
ables interact and influence food choice. However, many consumer studies
have shown low predictive value. This can be explained by the strong empha-
sis on hedonics, lack of observation of consumers’ behavior, dynamics of food
choice, and, most importantly, lack of validation in real-life situations (Köster
& Mojet, 2007). The past decade has shown great progress in considering
other aspects of consumer food choice, such as emotions, satiety, or consumer
perception of well-being.

2.2.1 Emotional Research in Consumer Science

Interest in emotional responses to foods, beverages, and personal care products
has dramatically increased in less than a decade, motivated by their potential to
provide distinctive information that goes beyond “classic” liking ratings, which
can provide a differential advantage in a competitive marketplace. Emotions not
only are a consequence of foods but can also influence our eating behavior, as
previously highlighted by Macht (2008).
8 PART | I Introduction

This interest has prompted the use of different methodological approaches to

measure emotional responses to products, including emotion questionnaires and
the application of psychophysical techniques within consumer research (Varela &
Ares, 2015). Questionnaires are the most popular approach for measuring
emotional responses to products. Examples include both standardized ques-
tionnaires, such as the EsSense profile (King & Meiselman, 2010), and product-
specific questionnaires (Spinelli, Masi, Dinnella, Zoboli, & Monteleone, 2014;
Spinelli, Masi, Zoboli, Prescott, & Monteleone, 2015).
However, some authors are skeptical of questionnaire-based approaches
(Köster & Mojet, 2015; Schifferstein & Desmet, 2010), as products are
not direct causes of emotions. Instead, emotions are said to be mediated by
appraisal, which may vary with the situation, context, social environment, or
psychological parameters of the consumer (Köster & Mojet, 2015; Schifferstein
& Desmet, 2010). For this reason, the concepts of wanting, reward, arousal,
or appropriateness have been introduced. Chapter 11, Emotional Responses to
Products by Sara Spinelli and Erminio Monteleone, reviews the state of the art
of the topic and provides recommendations for practitioners regarding the study
of product-related emotions. Furthermore, in Chapter 12, Recent Developments
in Conceptual Profiling by David Thomson and Toby Coates, conceptual asso-
ciations are described.

2.2.2 Extended Eating Experience

In addition to how much we like the food we choose, food choice also entails
other aspects, namely how much is actually eaten (energy intake) from the cho-
sen product, in a particular situation or context. This is usually known as eating
behavior.
In Western, wealthy societies, there is a widely available, diverse, and
energy-dense food supply, for which publicity adds up to exposure to food cues
that lead to widespread overweight and obesity issues (French, Epstein, Jeffery,
Blundell, & Wardle, 2012; Wardle, 2007). On the other hand, some popula-
tions can be subjected to undernourishment (elderly, low income), so eating
behavior measurements also become very relevant. In this book, we make a
special focus on methods measuring appetite, intake, and satiety-related param-
eters in two chapters in Volume 2: Chapter 6, Measuring Appetite and Food
Intake by Martin Yeomans, and Chapter 7, Measuring Satiation and Satiety by
Ciarán Forde. It is worth mentioning, though, that French et al. (2012) proposed
seven eating behavior dimensions that determine individual differences in eat-
ing behaviors, which require different independently developed measures: food
responsiveness, food enjoyment, satiety responsiveness, eating in the absence
of hunger, reinforcing value of food, eating disinhibition, and impulsivity/self-
control (please refer to the review for details and the original reference to these
constructs). The authors highlight the lack of research and cross-sectional stud-
ies, particularly in real environments, as well as studies about the interactions
between individual differences and food environment. Therefore, more research
integrating the different disciplines that look into eating behavior is still needed.
Another random document with
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 mind, and directed Secretary Hay to make the following reply,
on the 26th: "The information which has come to the President
since your departure convinces him that the acceptance of the
cession of Luzon alone, leaving the rest of the islands
subject to Spanish rule, or to be the subject of future
contention, can not be justified on political, commercial, or
humanitarian grounds. The cession must be of the whole
archipelago or none. The latter is wholly inadmissible and the
former must therefore be required. The President reaches this
conclusion after most thorough consideration of the whole
subject, and is deeply sensible of the grave responsibilities
it will impose, believing that this course will entail less
trouble than any other and besides will best subserve the
interests of the people involved, for whose welfare we can not
escape responsibility."

Two days later, the moral and political reflections of the

President on the subject were expressed still further to the
commissioners by Secretary Hay, in the following telegram:

"While the Philippines can be justly claimed by conquest,

which position must not be yielded, yet their disposition,
control, and government the President prefers should be the
subject of negotiation as provided in the protocol. It is
imperative upon us that as victors we should be governed only
by motives which will exalt our nation. Territorial expansion
should be our least concern; that we shall not shirk the moral
obligations of our victory is of the greatest.
{624}
It is undisputed that Spain's authority is permanently
destroyed in every part of the Philippines. To leave any part
in her feeble control now would increase our difficulties and
be opposed to the interests of humanity. The sentiment in the
United States is almost universal that the people of the
Philippines, whatever else is done, must be liberated from
Spanish domination. In this sentiment the President fully
concurs. Nor can we permit Spain to transfer any of the
islands to another power. Nor can we invite another power or
powers to join the United States in sovereignty over them. We
must either hold them or turn them back to Spain.
Consequently, grave as are the responsibilities and unforeseen
as are the difficulties which are before us, the President can
see but one plain path of duty—the acceptance of the archipelago.
Greater difficulties and more serious
complications—administrative and international—would follow
any other course. The President has given to the views of the
commissioners the fullest consideration, and in reaching the
conclusion above announced in the light of information
communicated to the commission and to the President since your
departure, he has been influenced by the single consideration
of duty and humanity. The President is not unmindful of the
distressed financial condition of Spain, and whatever
consideration the United States may show must come from its
sense of generosity and benevolence, rather than from any real
or technical obligation. The terms upon which the full cession
of the Philippines shall be made must be left largely with the
commission."

On the 3d of November, Judge Day cabled: "After a careful

examination of the authorities, the majority of the commission
are clearly of opinion that our demand for the Philippine
Islands can not be based on conquest. When the protocol was
signed Manila was not captured, siege was in progress and
capture made after the execution of the protocol. Captures
made after agreement for armistice must be disregarded and
status quo restored as far as practicable. We can require
cession of Philippine Islands only as indemnity for losses and
expenses of the war. Have in view, also, condition of islands,
the broken power of Spain, anarchy in which our withdrawal would
leave the islands, etc. These are legitimate factors."

On the 4th, Senator Davis added a personal telegram as

follows: "I think we can demand cession of entire archipelago
on other and more valid grounds than a perfected territorial
conquest of the Philippine Islands, such as indemnity or as
conditions of peace imposed by our general military success
and in view of our future security and general welfare,
commercial and otherwise. I think the protocol admits all
these grounds, and that the ground alone of perfected
territorial conquest of the Philippine Islands is too narrow
and untenable under protocol."

Secretary Hay replied, for the President, on the 5th: "The

President has no purpose to question the commission's judgment
as to the grounds upon which the cession of the archipelago is
to be claimed. His only wish in that respect is to hold all
the ground upon which we can fairly and justly make the claim.
He recognizes fully the soundness of putting forward indemnity
as the chief ground, but conquest is a consideration which
ought not to be ignored. How our demand shall be presented,
and the grounds upon which you will rest it, he confidently
leaves with the commissioners. His great concern is that a
treaty shall be effected in terms which will not only satisfy
the present generation but, what is more important, be
justified in the judgment of posterity."

Discussion followed, in which Judge Day and Senator Gray

repeated the views they had formerly expressed, in dissent
from the policy determined upon by the President and his
cabinet, the latter saying: "Believing that the result of a
failure to obtain a treaty would be the forcible seizure of
the whole Philippine Islands group, an event greatly to be
deprecated as inconsistent with the traditions and
civilization of the United States, I would be willing to take
the islands by the cession of a treaty of peace, and I would,
to that end, make such reasonable concessions as would comport
with the magnanimity of a great nation dealing with a weak and
prostrate foe. I mean that I would prefer the latter
alternative to the former, not that I have changed my mind as
to the policy of taking the Philippine Islands at all."
So far as concerned the demands of the United States (which
Spain was powerless to resist), the question was settled, on
the 13th of November, by a telegram from Secretary Hay to Mr.
Day, in which he said: "We are clearly entitled to indemnity
for the cost of the war. We can not hope to be fully
indemnified. We do not expect to be. It would probably be
difficult for Spain to pay money. All she has are the
archipelagoes of the Philippines and the Carolines. She surely
can not expect us to turn the Philippines back and bear the cost
of the war and all claims of our citizens for damages to life
and property in Cuba without any indemnity but Porto Rico,
which we have and which is wholly inadequate. … You are
therefore instructed to insist upon the cession of the whole
of the Philippines, and, if necessary, pay to Spain ten to
twenty millions of dollars, and if you can get cession of a
naval and telegraph station in the Carolines, and the several
concessions and privileges and guaranties, so far as
applicable, enumerated in the views of Commissioners Frye and
Reid, you can offer more."

United States, 56th Congress, 2d Session,

Senate Document Number 148
(Papers relating to the Treaty with Spain).

Discussion between the Spanish and American commissioners at

Paris was prolonged until the 10th of December, when the
former yielded to what they protested against as hard terms,
and the following Treaty of Peace was signed:

Treaty of Peace.

ARTICLE I.
Spain relinquishes all claim of sovereignty over and title to
Cuba. And as the island is, upon its evacuation by Spain, to
be occupied by the United States, the United States will, so
long as such occupation shall last, assume and discharge the
obligations that may under international law result from the
 fact of its occupation, for the protection of life and
property.

ARTICLE II.
Spain cedes to the United States the island of Porto Rico and
other islands now under Spanish sovereignty in the West
Indies, and the island of Guam in the Marianas or Ladrones.

{625}

ARTICLE III.
Spain cedes to the United States the archipelago known as the
Philippine Islands, and comprehending the islands lying within
the following line: A line running from west to east along or
near the twentieth parallel of north latitude, and through the
middle of the navigable channel of Bachi, from the one hundred
and eighteenth (118th) to the one hundred and twenty seventh
(127th) degree meridian of longitude east of Greenwich, thence
along the one hundred and twenty seventh (127th) degree
meridian of longitude east of Greenwich to the parallel of
four degrees and forty five minutes (4° 45') north latitude,
thence along the parallel of four degrees and forty five
minutes (4° 45') north latitude to its intersection with the
meridian of longitude one hundred and nineteen degrees and
thirty five minutes (119° 35') east of Greenwich, thence along
the meridian of longitude one hundred and nineteen degrees and
thirty five minutes (119° 35') east of Greenwich to the
parallel of latitude seven degrees and forty minutes (7° 40')
north, thence along the parallel of latitude of seven degrees
and forty minutes (7° 40') north to its intersection with the
one hundred and sixteenth (116th) degree meridian of longitude
east of Greenwich, thence by a direct line to the intersection
of the tenth (10th) degree parallel of north latitude with the
one hundred and eighteenth (118th) degree meridian of
longitude east of Greenwich, and thence along the one hundred
and eighteenth (118th) degree meridian of longitude east of
Greenwich to the point of beginning. The United States will
pay to Spain the sum of twenty million dollars ($20,000,000)
within three months after the exchange of the ratifications of
the present treaty.

ARTICLE IV.
The United States will, for the term of ten years from the
date of the exchange of the ratifications of the present
treaty, admit Spanish ships and merchandise to the ports of
the Philippine Islands on the same terms as ships and
merchandise of the United States.

ARTICLE V.
The United States will, upon the signature of the present
treaty, send back to Spain, at its own cost, the Spanish
soldiers taken as prisoners of war on the capture of Manila by
the American forces. The arms of the soldiers in question
shall be restored to them. Spain will, upon the exchange of
the ratifications of the present treaty, proceed to evacuate
the Philippines, as well as the island of Guam, on terms
similar to those agreed upon by the Commissioners appointed to
arrange for the evacuation of Porto Rico and other islands in
the West Indies, under the Protocol of August 12, 1898, which
is to continue in force till its provisions are completely
executed. The time within which the evacuation of the
Philippine Islands and Guam shall be completed shall be fixed
by the two Governments. Stands of colors, uncaptured war
vessels, small arms, guns of all calibres, with their
carriages and accessories, powder, ammunition, livestock, and
materials and supplies of all kinds, belonging to the land and
naval forces of Spain in the Philippines and Guam, remain the
property of Spain. Pieces of heavy ordnance, exclusive of
field artillery, in the fortifications and coast defences,
shall remain in their emplacements for the term of six months,
to be reckoned from the exchange of ratifications of the
treaty; and the United States may, in the meantime, purchase
such material from Spain, if a satisfactory agreement between
the two Governments on the subject shall be reached.
ARTICLE VI.
Spain will, upon the signature of the present treaty, release
all prisoners of war, and all persons detained or imprisoned
for political offences, in connection with the insurrections
in Cuba and the Philippines and the war with the United
States. Reciprocally the United States will release all
persons made prisoners of war by the American forces, and will
undertake to obtain the release of all Spanish prisoners in
the hands of the insurgents in Cuba and the Philippines. The
Government of the United States will at its own cost return to
Spain and the Government of Spain will at its own cost return
to the United States, Cuba, Porto Rico, and the Philippines,
according to the situation of their respective homes,
prisoners released or caused to be released by them,
respectively, under this article.

ARTICLE VII.
The United States and Spain mutually relinquish all claims for
indemnity, national and individual, of every kind, of either
Government, or of its citizens or subjects, against the other
Government, that may have arisen since the beginning of the
late insurrection in Cuba and prior to the exchange of
ratifications of the present treaty, including all claims for
indemnity for the cost of the war. The United States will
adjudicate and settle the claims of its citizens against Spain
relinquished in this article.

ARTICLE VIII.
In conformity with the provisions of Articles I, II, and III
of this treaty, Spain relinquishes in Cuba, and cedes in Porto
Rico and other islands in the West Indies, in the island of
Guam, and in the Philippine Archipelago, all the buildings,
wharves, barracks, forts, structures, public highways and
other immovable property which, in conformity with law, belong
to the public domain, and as such belong to the Crown of
Spain. And it is hereby declared that the relinquishment or
 cession, as the case may be, to which the preceding paragraph
refers, cannot in any respect impair the property or rights
which by law belong to the peaceful possession of property of
all kinds, of provinces, municipalities, public or private
establishments, ecclesiastical or civic bodies, or any other
associations having legal capacity to acquire and possess
property in the aforesaid territories renounced or ceded, or
of private individuals, of whatsoever nationality such
individuals may be. The aforesaid relinquishment or cession,
as the case may be, includes all documents exclusively
referring to the sovereignty relinquished or ceded that may
exist in the archives of the Peninsula. Where any document in
such archives only in part relates to said sovereignty, a copy
of such part will be furnished whenever it shall be requested.
Like rules shall be reciprocally observed in favor of Spain in
respect of documents in the archives of the islands above
referred to. In the aforesaid relinquishment or cession, as
the case may be, are also included such rights as the Crown of
Spain and its authorities possess in respect of the official
archives and records, executive as well as judicial, in the
islands above referred to, which relate to said islands or the
rights and property of their inhabitants. Such archives and
records shall be carefully preserved, and private persons
shall without distinction have the right to require, in
accordance with law, authenticated copies of the contracts,
wills and other instruments forming part of notarial protocols
or files, or which may be contained in the executive or
judicial archives, be the latter in Spain or in the islands
aforesaid.

{626}

ARTICLE IX.
Spanish subjects, natives of the Peninsula, residing in the
territory over which Spain by the present treaty relinquishes
or cedes her sovereignty, may remain in such territory or may
remove therefrom, retaining in either event all their rights
of property, including the right to sell or dispose of such
property or of its proceeds; and they shall also have the
right to carry on their industry, commerce and professions,
being subject in respect thereof to such laws as are
applicable to other foreigners. In case they remain in the
territory they may preserve their allegiance to the Crown of
Spain by making, before a court of record, within a year from
the date of the exchange of ratifications of this treaty, a
declaration of their decision to preserve such allegiance; in
default of which declaration they shall be held to have
renounced it and to have adopted the nationality of the
territory in which they may reside. The civil rights and
political status of the native inhabitants of the territories
hereby ceded to the United States shall be determined by the
Congress.

ARTICLE X.
The inhabitants of the territories over which Spain
relinquishes or cedes her sovereignty shall be secured in the
free exercise of their religion.

ARTICLE XI.
The Spaniards residing in the territories over which Spain by
this treaty cedes or relinquishes her sovereignty shall be
subject in matters civil as well as criminal to the
jurisdiction of the courts of the country wherein they reside,
pursuant to the ordinary laws governing the same; and they
shall have the right to appear before such courts, and to
pursue the same course as citizens of the country to which the
courts belong.

ARTICLE XII.
Judicial proceedings pending at the time of the exchange of
ratifications of this treaty in the territories over which
Spain relinquishes or cedes her sovereignty shall be
determined according to the following rules:
1. Judgments rendered either in civil suits between private
individuals, or in criminal matters, before the date
mentioned, and with respect to which there is no recourse or
right of review under the Spanish law, shall be deemed to be
final, and shall be executed in due form by competent
authority in the territory within which such judgments should
be carried out.

2. Civil suits between private individuals which may on the

date mentioned be undetermined shall be prosecuted to judgment
before the court in which they may then be pending or in the
court that may be substituted therefor.

3. Criminal actions pending on the date mentioned before the

Supreme Court of Spain against citizens of the territory which
by this treaty ceases to be Spanish shall continue under its
jurisdiction until final judgment; but, such judgment having
been rendered, the execution thereof shall be committed to the
competent authority of the place in which the case arose.

ARTICLE XIII.
The rights of property secured by copyrights and patents
acquired by Spaniards in the Island of Cuba and in Porto Rico,
the Philippines and other ceded territories, at the time of
the exchange of the ratifications of this treaty, shall
continue to be respected. Spanish scientific, literary and
artistic works, not subversive of public order in the
territories in question, shall continue to be admitted free of
duty into such territories, for the period of ten years, to be
reckoned from the date of the exchange of the ratifications of
this treaty.

ARTICLE XIV.
Spain will have the power to establish consular officers in
the ports and places of the territories, the sovereignty over
which has been either relinquished or ceded by the present
treaty.
ARTICLE XV.
The Government of each country will, for the term of ten
years, accord to the merchant vessels of the other country the
same treatment in respect of all port charges, including
entrance and clearance dues, light dues, and tonnage duties,
as it accords to its own merchant vessels, not engaged in the
coastwise trade. This article may at any time be terminated on
six months notice given by either Government to the other.

ARTICLE XVI.
It is understood that any obligations assumed in this treaty
by the United States with respect to Cuba are limited to the
time of its occupancy thereof; but it will upon the
termination of such occupancy, advise any Government
established in the island to assume the same obligations.

ARTICLE XVII.
The present treaty shall be ratified by the President of the
United States, by and with the advice and consent of the
Senate thereof, and by Her Majesty the Queen Regent of Spain;
and the ratifications shall be exchanged at Washington within
six months from the date hereof, or earlier if possible. In
faith whereof, we, the respective Plenipotentiaries, have
signed this treaty and have hereunto affixed our seals. Done
in duplicate at Paris, the tenth day of December, in the year
of Our Lord one thousand eight hundred and ninety-eight.

[Signed]
William R. Day,
Cushman K. Davis,
William P. Frye,
Geo. Gray,
Whitelaw Reid,
Eugenio Montero Ríos,
B. de Abarzuza,
J. de Garnica,
 W. R. de Villa Urrutia,
Rafael Cerero.

That the treaty would be ratified by the Senate of the United

States was by no means certain when it was signed, and
remained questionable for two months.

See below:
UNITED STATES OF AMERICA: A. D. 1899 (JANUARY-
FEBRUARY).

Some time after the conclusion of the treaty, it was

discovered that the boundaries defined in it for the cession
of the Philippine Islands failed to include the islands of
Cagayan, or Kagayan, and Sibutu, in the southern part of the
archipelago. Still later, it was found that several small
islands (the Bachi or Bashee group, and others) belonging to
the Spanish possessions in the East were left lying outside of
the northern Philippine boundary, as laid down in the treaty
of cession. It is said that the Japanese government called
attention to this latter error, desiring to have the islands
in question, which are near to Formosa, controlled by the
United States, rather than by Spain. By a new treaty with
Spain, negotiated in 1900, all these outlying islands were
acquired by the United States, for the sum of $100,000.

UNITED STATES OF AMERICA: A. D. 1898 (August).

Losses of the armies at Santiago and in the Philippines.

See below:
UNITED STATES OF AMERICA: A. D. 1900 (JUNE).

{627}

UNITED STATES OF AMERICA: A. D. 1898 (August 21).

The War with Spain.
Letter from departing Spanish soldiers to the soldiers
of the American army.

The following letter, addressed, on the eve of their departure

for Spain, by the Spanish soldiers at Santiago, to the
soldiers of the American army, "is surely," says
Lieutenant-Colonel Miley, who quotes it in his book entitled
"In Cuba with Shafter"—"is surely the most remarkable letter
ever addressed by vanquished soldiers to their conquerors:

'Soldiers of the American Army: We would not be fulfilling our

duty as well-born men in whose breasts there lives gratitude
and courtesy, should we embark for our beloved Spain without
sending you our most cordial and sincere good wishes and
farewell. We fought you with ardor and with all our strength,
endeavoring to gain the victory, but without the slightest
rancor or hate toward the American nation. We have been
vanquished by you, so our generals and chiefs judged in
signing the capitulation, but our surrender and the
blood-battles preceding it have left in our souls no place for
resentment against the men who fought us nobly and valiantly.
You fought and acted in compliance with the same call of duty
as we, for we all but represent the power of our respective
States. You fought us as men, face to face, and with great
courage, as before stated—a quality we had not met with during
the three years we have carried on this war against a people
without a religion, without morals, without conscience, and of
doubtful origin, who could not confront the enemy, but shot
their noble victims from ambush and then immediately fled.
This was the kind of warfare we had to sustain in this
unfortunate land. You have complied exactly with all the laws
and usages of war as recognized by the armies of the most
civilized nations of the world; have given honorable burial to
the dead of the vanquished; have cured their wounded with
great humanity; have respected and cared for your prisoners
and their comfort; and lastly, to us, whose condition was
terrible, you have given freely of food and of your stock of
medicines, and have honored us with distinction and courtesy,
 for after the fighting the two armies mingled with the utmost
harmony. With this high sentiment of appreciation from us all,
there remains but to express our farewell, and with the
greatest sincerity we wish you all happiness and health in
this land, which will no longer belong to our dear Spain, but
will be yours. You have conquered it by force and watered it
with your blood, as your conscience called for under the
demands of civilization and humanity; but the descendants of
the Congos and Guineas, mingled with the blood of unscrupulous
Spaniards and of traitors and adventurers—these people are
not able to exercise or enjoy their liberty, for they will
find it a burden to comply with the laws which govern
civilized humanity. From eleven thousand Spanish soldiers.

(Signed) Pedro Lopez De Castillo, Soldier of Infantry.

Santiago de Cuba, August 21, 1898.'"

UNITED STATES OF AMERICA: A. D. 1898 (August-December).

Situation in the Philippines following the occupation
of Manila by American forces.
Growing distrust and unfriendliness of the Tagalos.
Report of General Otis.

See (in this volume)

PHILIPPINE ISLANDS: A. D. 1898 (AUGUST-DECEMBER).

UNITED STATES OF AMERICA: A. D. 1898 (December).

Organization of military government in Cuba.

See (in this volume)

CUBA: A. D. 1898-1899 (DECEMBER-OCTOBER).

UNITED STATES OF AMERICA: A. D. 1898-1899.

Statistics of the Spanish-American War.

The following military and naval statistics of the war with

Spain, compiled from official sources, were submitted to the
House of Representatives, during its debate on the Army Bill,
in December, 1900, as part of an appendix to a speech made in
support of the Bill by Honorable Charles Dick, of Ohio:

ORGANIZATION AND STRENGTH OF THE ARMY

DURING AND AFTER THE WAR.

By an Act of Congress approved April 22, 1898, providing for

the temporary increase of the military establishment of the
United States, "the organized and active land forces were
declared to consist of the Regular Army and of the militia of
the several States when called into service, constituting two
branches, designated, respectively, as be Regular Army and the
Volunteer Army of the United States. And the President was
authorized to organize the regular and volunteer troops into
divisions of three brigades, each brigade to be composed of
three or more regiments, and when three or more divisions are
present in the same army, to organize them into army corps,
each corps to consist of not more than three divisions. Under
the authority conferred upon him by the joint resolution of
April 20 and the act of April 22, 1898, the President issued a
proclamation, dated April 23, 1898, calling for volunteers to the
number of 125,000 men, to be apportioned as far as practicable
among the several States, Territories, and the District of
Columbia, according to population, to serve for two years
unless sooner discharged. Among the several arms of the
service the troops were apportioned as follows: Five regiments
and 17 troops of cavalry, 16 batteries of light artillery, 1
regiment and 7 batteries of heavy artillery, 119 regiments and
10 battalions of infantry. May 25, 1898, the President issued
a proclamation calling for an additional force of 75,000 men.
For controlling military reasons, it was determined to utilize
so much of this additional force as was necessary to bring up
the several State organizations in service to the full legal
strength, the remainder to be apportioned among the several
States and Territories according to their respective quotas as
nearly as possible. The apportionment to the several arms of
 service under this second call was for 16 batteries of light
artillery, 3 battalions of heavy artillery, and 22 regiments,
ten battalions, and 46 companies of infantry."

The strength of the Regular Army on the 1st of April, 1898,

just before the breaking out of the war, was as follows:

Officers.
Enlisted Men.

General officers and staff corps. 532

2,026
Cavalry. 437
6,047
Artillery. 288
4,486
Infantry. 886
12,828
Miscellaneous.
653

Total. 2,143
26,040

The Regular Army was authorized to be increased to 65,000 men

as a war footing. The total strength of the armies, Regular
and Volunteer, at several later dates, was as follows:

{628}

DATE. Regulars. Volunteers.

Total.
 April 15, 1898 28,183
28,183
May 31, 1898 38,816 124,776
162,592
August 31, 1898 56,362 216,256
272,618
January 31, 1899 65,531 90,241
155,772
June 30, 1899 63,535 16,550
80,085

Maximum force at any one time during Spanish-American war,

274,717 officers and men. On the 29th of November, 1898, the
Army of the United States consisted of 2,324 officers and
61,444 enlisted men of the regular force, and of 5,216
officers and 110,202 enlisted men of the volunteer force,
making an aggregate of 7,540 officers and 171,646 enlisted
men.

PAY OF ARMY.

Payments made to Regular and Volunteer armies engaged during

Spanish-American war, from April 21, 1898, to April 11, 1899,
$67,065,629.56.

CASUALTIES IN ACTION.

In Cuba, Porto Rico, and the Philippines between May 1, 1898,

and June 30, 1899.

Killed Cuba Porto Rico

Philippines
Officers 21
16
Enlisted men 223 4
219

Wounded:
Officers 101
92
Enlisted men 1,344 36
1,349

Died of Wounds:
Officers 10
10
Enlisted men 64 8
82

Died of Disease:
Officers 34 4
11
Enlisted men. 888 251
369

Grand total, 5,136.

Casualties in Fifth Army Corps in campaign against Santiago,

June 22, 1898, to July 17, 1898.

Officers. Enlisted Men.

Killed. 21 222
Wounded 101 1,344

At battle of Las Guasimas, June 24, 1898.

 Officers. Enlisted Men.
Killed. 1 15
Wounded 6 43

At battle of El Caney, July 1, 1898.

Officers. Enlisted Men.

Killed. 4 77
Wounded 25 335

At Aguadores, July 1-2, 1898.

Officers. Enlisted Men.

Killed. 2
Wounded 10

At battle of San Juan, July 1-3, 1898.

Officers. Enlisted Men.

Killed. 15 127
Wounded 69 945

Casualties around Santiago, July 10-12, 1898.

Officers. Enlisted Men.

Killed. 1 1
Wounded 1 11

Grand total of casualties in killed and wounded

during the war with Spain.

WHERE. KILLED.
WOUNDED.

Officers. Enlisted Men. Officers.

Enlisted Men.

Cuba 23 237 99
1,332
Porto Rico. 3 4
36
Manila 17 10
96

Total 23 257 113

1,464

The deaths from all causes (including casualties in action) in

the whole Army, regulars and volunteers, for the fourteen
months from May, 1898, to June, 1899, inclusive, were 6,619.
This is equivalent to an annual rate of 33.03 per thousand of
strength. The deaths from disease during the whole period were
at an annual rate of hut 25.68 per thousand. These were as
follows:

STATIONS. Number of Deaths Rate per

1,000.

United States 3,577 23.81

Cuba 928 45.14
Porto Rico 238 38.15
Philippines 402 17.20

{629}

Deaths in the armies of the United States, by countries,