Académique Documents
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Culture Documents
Job # 4 Simplifying
ISBN 1-934805-30-0
978-1-934805-30-5
228 Pages
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All proceeds from book sales are donated to Humanitarian Aid and Disaster Relief
ii
Acknowledgements
This book is the work of a collaborative group of coauthors.
Coauthors
Editors
Illustrators
Larry Ball
Erika Hernandez
Larry Ball
David Troness
Larry Ball
David Troness
Kartik Ariyur
David Troness
Jason Huang
Paul Dwyer
Don Rossi
S. Robert Lang
Other Authors, Theoreticians, Practitioners Whose Writings or Teachings have Impacted This
Work
Genrich Altshuller
Yuri Salamatov
Lane Desborough
Ellen Domb
Victor Fey
Clayton Christensen
Roni Horowitz
Eugene Rivin
Renee Mauborgne
John Terninko
Darrell Mann
Kim Chan
Alla Zusman
Sergei Ikovenko
Boris Zlotin
Simon Litvin
Lev Shulyak
Peter Ulan
iii
iv
The Algorithm
(Table of Contents)
vi
Simplifying Systems
While many people who will read this book are keenly attuned to the need to simplify systems,
some have only a vague notion of why this step is important. It is tempting to think that once
you have created an offering, the next task is to work the bugs out and get it to market.
However, making your offering as simple as possible may be one of the most important steps to
marketability. It is tempting to consider a product only from the operational point of view.
However, the burdens of the offering are often hidden. How much of the cost of a system is
bound up in its complexity? Each part has to be designed, procured, tested, assembled tested,
transported, stored, maintained and ultimately disposed of. There are dollar and time costs
associated with each of these jobs and this is multiplied by the number and the complexity of the
parts. Ultimately, the system has to be produced at sufficient cost to create a profit. With the
high percentage of new offering failures, the simple subtraction of a few elements can make or
break a product introduction. What we are considering may be much more than the elimination
of a few elements. With proper attention to simplification, the savings will mount over time and
the offering will have a better chance to win in the market place.
If you are a systems engineer, you will likely find something of great value as systems
engineering has few tools beyond trade studies for simplifying systems. You will also notice
that the tools blend with current systems engineering tools.
The key to understanding
why we want to simplify is
found in the concept of
value.
For
a
rough
explanation of the concept of
value, please refer to the
expression at the right. This
expression is not meant to be
an
exact
mathematical
reality. It serves to make the
point that as a system or an
object in the system takes on
more useful functions and
Simplifying Systems
More
functions
done better
Effect of Useful Functions
Value =
Effect of Harmful Functions
Includes $, Time,
Weight and Harmful
Interactions
drops its burdensome functions and attributes, it increases in value in the eyes of the market and
the business that provides it.
In the book What Will Make It Exciting, the increase in the numerator is considered. There, we
identified new functions that would enhance the offering and simplify the customers job. In the
book Creating It we created an offering piece-by-piece as we added functions in the most ideal
way possible. Unfortunately, harmful functions and attributes arise every time an element is
added. This increases the denominator and thus reduces the value of the offering. In this book,
we are focusing on decreasing the denominator; we ask how we can decrease the burdens of the
offering by removing burdensome elements. As a practical note, removing elements will usually
introduce new problems. (Even in the physical world, no good deed goes unpunished.) In order
to solve these and other existing problems, we continue to the part of the algorithm contained in
the book Fixing It. Here we assume that the collection of object that represents our simplified
offering must be further increased in value by removing its bad marks.
Most of the tools presented in this book were not generated by TRIZ theorists or practitioners.
Value Engineering has its roots in General Electric during WWII. Because of the war, there
were shortages of skilled labor, raw materials, and component parts. Lawrence Miles and Harry
Erlicher looked for acceptable substitutes. They noticed that these substitutions often reduced
costs, improved the product, or both. What started out as a product of necessity, turned into a
systematic process they called Value Analysis. 1 TRIZ theorists and practitioners adopted
these tools which are a natural extension of Substance-Field Modeling.
At the completion of the algorithm found in this book, the offering will consist of a group of
objects considerably simpler than the original parts. Problems will likely remain that need to be
worked out in the book Fixing It.
Lets begin now with the first step of the algorithm.
See the Wikipedia entry at http://en.wikipedia.org/wiki/Value_engineering,. as well as the Lawrence D. Miles Value
Engineering Reference Center at http://wendt.library.wisc.edu/miles/index.html.
2
Simplifying Systems
This step can have a delighting effect on the customer and differentiate the offering even more
than increases in performance.
Lets consider situations where simplification may or may not be required.
ExampleCustomer Complaint
You have a new product that has been fielded long enough that customer
complaints are coming in.
Is There a Requirement to Overhaul, Simplify, Cost Reduce or Enhance
the Uniqueness of the System? Usually, simplification is a strategic
consideration as when business leaders consider a product to be noncompetitive. In this case, we have an urgent situation that requires
immediate attention. It is doubtful that this should invoke simplification.
Simplifying Systems
Example Dispensing
Tape
Step 1: Break the System into functional
elements. At this point, do not include
super-System elements. (This will be
discussed in the next step). The
functional elements of tape dispensing
include the spindle, base, blade and
person.
Base
Person
Blade
Spindle
Useful
Harmful
Flawed
Spindle
Supports
Tape
Positions
Supports
Supports
Cuts
Pulls/
Rotates
Supports
Base
Blade
Person
Positions
ExampleAcid Container
Metallic Test cubes are immersed in hot acid for long periods of time to
test the corrosive resistance of the metals. The cubes are placed in a
corrosion resistant container which is then placed in an oven. The action
of the acid is sufficient to corrode the cubes, but there is a problem. The
container that contains the cubes and acid is eventually corroded and has
to be replaced. The container is made from a very expensive material and
so the entire container is expensive.
Step 1: Break the System down into
functional elements. The functional
elements of the cube corrosion system
include the acid, oven and pan
Acid
Pan
Oven
Step 2: Add Super-System elements and identify the system product. The
Super-System elements in this case are the table, earth and cubes. The
cube is the system product.
Step
3:
Introduce
Acid
Modification
Links
Cubes
Pan
including useful, flawed and
harmful links. Verify that
all rules for forming
Table
Oven
functions
have
been
System
Earth
Product
followed. Note that this
time we have included the
harmful function of pan
corrosion. It is possible to discover system problems during this process
Represent the System in Functional Form
Acid
Corrodes
Cubes
Positions
Corrodes
Supports
Table
Supports
Pan
Oven
Manager
Tutorial
System
Recording
System
Reminder
System
Manager
Tutorial
System
Recording
System
Employee
Reminder
System
Contemplates
Contemplates
Informs
Manager
Informs
Explains
Employee
Organizes
Notifies
Reminds
Tutorial
System
Notifies
Recording
System
Reminder
System
Method
Step 1: Consider the main jobs that this system does for the market
segment by considering each stage of the Product Life-Cycle Map on the
following page.
Step 2: Each color in the chain represents a new market. Identify the
market or stakeholder by box color. Each market has a stake in the
success of the product. As each market becomes more satisfied, the
offering becomes more viable.
Step 3: Identify the main people involved in each job (suggestions
supplied on the Product Life-Cycle Map)
Step 4: Identify jobs that must be done before and after.
10
Use /
Operation
Already
Identified
On Chart
Control /
Monitoring
Operator
MonitoringEquipment
Propose /
Contract
Engineering
Sales
Marketing
Packaging
Operators
Packaging Machines
Design
Designers
Engineers
Testing
Technicians
Test Equipment
Disposition
For Sale
Sales People
Forklifts
Shelves
Displays
Order
Purchase
or Disposition
Sales People
Customer
Sales Table
Carts
Fueling /
Energizing
Operator
User
Technician
Contractor
Fueling Means
Fuel
Customer
Testing
Customer
Contractor
Technician
TestEquipment
Protecting
System
Operator
SecurityOperators
MaintenancePersonnel
Covers
Protecting
Users
Operators
Protection Gear
Fixing
Messes
Operator
Technician
Special Personnel
MaintenanceEquipment
Maintenance
Operator
Technicians
MonitoringEquipment
Consumables
Storage
Storage Location
Cases
Covers
Nearby Objects
Operator
Dealing With
Failure
Operator
MonitoringEquipment
AlternativeSystems
Repair
Operator
Technicians
Repair
Equipment
Consumables
Parts
Recycling
Operator
Teardown Person
Special Tools
Documentation
Engineers
Documentation
Fabrication
Operators
Technicians
FabricationMachines
Customer
Transport
User
Contractor
Transport Means
Assembly
or Setup
Contractor
User
Technician
Protecting
Others
Bystanders
Cleaning People
Users of Other
Equipment
Guards
Stowing
Operator
Stowing Location
Cases / Covers
Disposal
Operators
Containers
Tools
11
ExampleDispensing Tape
Step 1: Describe each step of the process in functional terms. We begin
by walking through the process in time, as a series of functions.
Step 2: Describe the process as a process map or storyboard. It might start
with person positions base and then the second step could be person
positions tape and so on.
Person
Person
Positions
Positions
Base
Tape
Person /
Blade
Person
Positions
Cuts
Tape
Tape
12
Breaks
Down To
Person
Unrolls
Tape
Person
Twists
Tape
Blade
Cuts
Tape
Identify Burdensome
Functions and
Elements
With the functional model of the system in view, we are now ready to identify the functions that
burden the system and super-system. There are many types of burdens. Elements are considered
low-value because they are overly expensive relative to the function that they perform.
Functions can waste time, space, energy and material. The system can be tedious to operate.
Elements can be harmful (though they perform a useful function). The irony is that we do not
recognize burdens. This happens for two reasons. In the first place, each time that a system is
improved, the new system may be such an improvement over the previous system, that we do not
think of any new requirements that the system puts upon us to be a burden. Secondly, we
become used to carrying the burden.
As an example, consider the fact that video stores have been around for years. In the beginning,
we were not sensitive to the various burdens that video stores placed upon us. Selection was
expansive and the relative cost to rent a video was minimal. This offering was a great
improvement over buying and owning our own video library which often contained unwanted
videos.
As time progressed, the rental behavior became entrenched. Each time we rent a video there is a
time demand of traveling to the store, walking about, standing in a line and then returning home.
There is the burden of using a vehicle to perform this task. This task incurs the cost of gas, wear
and tear on the vehicle, pollution of the environment and the cumulative infrastructure required
to move us about. This example is just one of many that demonstrate how we, as consumers,
become used to carrying (and compensating for) burdens without begrudging them.
All products have unnoticed burdens. Eventually, these burdens are recognized and an emerging
business moves to provide the function in new ways that avoids placing these burdens on the
13
consumer. Would it not be auspicious if we could identify and remove the long-accepted
burdens and reap the rewards of delighting them?
14
ExampleDispensing Tape
Step 1: Identify the cost of each element. We start with indicating the
cost of each of the objects, e.g. the cost of spindle is 5 cents, etc.
Holds
$.05
Supports
Spindle
Table
Tape
Positions
Supports
Cuts
Supports
$.03
Pulls/
Rotates
Supports
Base
Person
Blade
$.50
No need to calculate
Positions
Step 2:
Calculate the cumulative
Function Rank:
Basic or Productive = 3
function rank of each element by adding
Auxiliary or Enabling = 1
up the rank for each function that is
Harmful =0
performed by the element according to
the
rule
in
the
Base: 2 auxiliary functions = 2 x 1 = 2
accompanying box: The
Blade: 1 basic function = 1 x 3 = 3
base has two auxiliary
Spindle: 1 basic function = 1 x 3 = 3
functions associated with it.
Person: Already a candidate for elimination
Since auxiliary functions
are worth 1 point, the base
gets a rank of 2, etc.
Step 3: Calculate the value of each element
according to the rule in the left box: Each
cumulative rank calculated in the previous
step is divided by the cost of each element in
the system.
Step 4: Identify the elements
with low value.
These
elements are candidates for
Identify Burdensome Functions and Elements
Cumulative Rank
Value
Cost
Base: 2 / .5 = 4
Blade: 3 / .03 = 100
Spindle: 3 / .05 = 60
Person: Already a candidate for elimination
15
Business ExamplePerformance
Reviews
The year-end performance review process is very time-consuming,
especially when you have a large number of direct reports. What are
specific functions that are especially burdensome? Following is the
function diagram.
Contemplates
Contemplates
Informs
Manager
Informs
Employee
Explains
Organizes
Reminds
Tutorial
System
16
Reminds
Recording
System
Reminder
System
Step 1: Measure the cumulative time for each function and identify high
time functions: One way to do this is to step through each element and
ask how much time is spent interacting with each element: The function
that requires the most time is the time that the manager must put thoughts
together. The manager must contemplate on the performance of the
employee and the many other factors considered during the review.
Contemplates
Informs
Contemplates
Manager
Informs
Employee
Organizes
Explains
Reminds
Tutorial
System
Reminds
Recording
System
Reminder
System
17
ExampleSawing Wood
The cutting of wood is necessary, but the waste of cutting reduces the
available thickness of wood and makes it necessary to re-measure each
time the wood is cut.
Step 1: Identify functions that consume materials. It may be necessary to
consider useful functions and ask whether there are additional functions
required to describe the waste: Sawdust is generated when cutting occurs.
Cuts
Measure
Guides
Table
Saw
Moves
Positions
Informs
Guides
Cuts
Person
Wood
Produces
Vacuum
Cleaner
Changes
Length
Provides
Calculates
Measure
Pushes
Moves
Sawdust
Broom
Step 2: What is the least material that must be thrown away in order to
perform this function. Waste is relative to this ideal level. Very little or
no material should be consumed, therefore much is wasted in the existing
setup.
Step 3: Identify additional functions required to deal with the issues of
waste: Special equipment is installed to remove the sawdust. That which
is not removed by this special equipment is later removed with a broom.
18
Informs
Cell Phone
Users
Consumer
Enriches
Supports
Com
Equip
Supports
/ Maintains
Provider
Step 4: Are there additional burdens that occur because of this waste of
money? None mentioned here.
19
Desk
Holds /
Hides
Sends
Collectors
Bills
Moves
Enriches
Holds /
Protects
Mail Box
20
Family
ExampleLeaf Blower
Step 1: Consider functions that expend energy and look for energy waste.
Compare the energy used to the least energy required. In this case, the
debris must be
moved a horizontal
20 ft
5 ft
distance of 20 feet
and up 5 feet to be
placed in a garbage
can or storage
receptacle.
The
least energy that is required to perform this function is the potential energy
change. (Weight times the height). It is very small and certainly much
smaller than the energy which will be expended with a leaf blower. (The
energy expended to move the 20 ft is extremely small as well. In a vacuum
this is zero. In air, there is a small resistance caused by the air.)
Therefore, this function wastes a great deal of energy. This is represented
in the following diagram by the excessive movement of air and the
minimal movement of the leaves compared to the energy going into the
air. The authors leaf blow is 1/3 horsepower!
Moves
Air
Electricity
Leaves
Lifts
Moves
Powers
Positions
Blower
Person
21
Acid
Corrodes
Cubes
Positions
Table
Supports
Corrodes
Supports
Oven
Pan
PracticeSunscreen
Sunscreen is used to prevent the harmful effect of the sun which causes
skin damage. Create a function diagram which shows the functions of the
sunscreen. Identify harmful functions.
PracticeManagement by Objectives
Instituting a Management by Objectives program can have benefits
related to setting and tracking performance against goals. On the other
hand, this approach can lead to employees striving to satisfy the goal
rather than what the company really needs, especially when priorities
change over the course of time. Create a function diagram which
describes this situation. Identify harmful functions.
22
ExampleCutting Tape
Step 1: Identify functions that fix or remediate the results of other harmful
functions or a function that is not carrying its weight: Consider cutting the
tape as a remedial action. It fixes the tape length which is too long.
Holds
Table
Spindle
Supports
Tape
Positions
Supports
Cuts
Supports
Supports
Pulls/
Rotates
Blade
Cuts
Person
Base
Positions
Step 2: Identify functions that are solely there to prevent something from
happening: No such functions are observed.
23
Cuts
Measure
Guides
Table
Saw
Moves
Positions
Informs
Guides
Cuts
Person
Wood
Produces
Vacuum
Cleaner
Changes
Length
Provides
Calculates
Measure
Pushes
Moves
Sawdust
Broom
25
26
Simplify By Removing
Large Groups of
Elements
Once we have identified a burdensome function, we are ready to consider means of removing it.
This section gives methods for simplifying the system by removing large groups of elements. It
is hoped that the rationale for removing large groups of elements and functions before idealizing
individual functions or removing individual burdensome elements will be apparent to the reader.
27
ExampleAcid Container
Let us return to the problem of the container that holds the cubes and the
acid. Recall that the acid corrodes the pan which requires replacement.
Most people would start by looking for materials that are less expensive or
ways to reduce the acid damage. This is done without considering that the
pan may not be necessary. If we do not require the pan, then we can
completely side-step compensating for acid damage. By using the
following process, we can find the problem that the pan compensates. If
this problem is solved (not compensated) then we remove the necessity for
the pan, and potentially other elements of the system.
Step 1: Start with the burdensome function and show the existence of
elements as inputs: The burdensome function that we are considering is
the harmful effect of the acid on the container.
Acid Exists
Pan Exists
Acid
Corrodes
Pan
28
Step 2: Show why the objects exist if they are created by a providing
function: In this case, the creation or providing of the acid and pan are not
considered because both are required to make the current system work.
They are not produced products or unwanted waste, for instance. We will
bypass this step on this iteration.
Step 3: Turn the existence knob for all elements and then show ?? in the
resulting functions to indicate that no element performs these required
functions: In this case, there is nothing to corrode the cubes and nothing to
position the acid. In effect we have said the acid is required to corrode
the cubes and the pan is required to position the acid relative to the
cubes. It seems like a lot of effort to say it this way, but notice that we
have also considered the possibility of solving the problem by turning a
seldom turned knob, existence. This opens the possibility of solving the
problem by resolving the contradiction that something must and must not
exist. Also, we have remained consistent with a simple set of rules linking
functions through the use of attributes.
??
Acid Doesnt
Exist
Acid Exists
Pan Doesnt
Exist
Pan Exists
Corrodes
Cubes
Acid
Corrodes
Pan
??
Positions
Acid
29
Step 4: Show the resulting problems that occur if the functions are not
performed because the elements do not exist: In this case, there is no
corrosion of the cubes, the primary reason that the acid is required, and the
acid goes everywhere but where the cubes are. Clearly, the primary
function is not performed for both reasons. There is either no acid, or the
position of the acid is inadequate to corrode the cubes and goes into the
oven. This opens the potential that the problem could be resolved by
using other functions.
Corrosion of
Cubes is absent
??
Acid Doesnt
Exist
Acid Exists
Pan Doesnt
Exist
Pan Exists
Corrodes
Cubes
Acid
Corrodes
Pan
??
Positions
Acid
Location of Acid
is ineffective or
harmful
S
30
tep 5: Show object attributes that lead to the harmful or missing effects of
the missing functions: To conserve space, we will not address additional
attributes that cause corrosion of the cubes to be absent. As for the
location of the acid being ineffective or even harmful, there are a number
of object attributes that influence this. First, the pull of gravity forces the
acid away from the cubes and the acid is in liquid form and flows easily
under the force of gravity. The attraction of the acid to the cubes is low.
And the weight of the acid is high.
Corrosion of
Cubes is absent
??
Acid Doesnt
Exist
Acid Exists
Pan Doesnt
Exist
Pan Exists
Corrodes
Cubes
Force of
Gravity is High
Acid
Corrodes
Pan
Acid is Liquid
Cube Attraction
is Low
??
Positions
Acid
Weight of Acid
is High
Location of Acid
is Ineffective or
Harmful
31
Step 6:
Continue building the causal diagram in this manner,
remembering to use existence as an attribute for each function: We will
only show one more addition in order to make the next step more concrete
and offer up questions that can lead to important insights. We will add the
harmful action of the earth on the acid which occurs due to the pull of
gravity.
Corrosion of
Cubes is absent
??
Acid Doesnt
Exist
Acid Exists
Pan Doesnt
Exist
Pan Exists
Corrodes
Cubes
Earth
Force of
Gravity is High
Pulls
Acid
Corrodes
Acid
Pan
Acid is Liquid
Cube Attraction
is Low
??
Positions
Acid
Weight of Acid
is High
32
Location of Acid
is ineffective or
harmful
33
Super-System
System
ExampleRefrigerator
Combines with Home
Step 1:
Look for functions
performed in the super-system that
are
identical
with
functions
performed in the system: Both the
house and the refrigerator have
insulation.
The function of
insulation is to reduce the flow of
heat.
Step 2: Transfer these functions to
the super-system: The Refrigerator merges with the home. The House
provides the insulation for the refrigerator.
Now the insulation has
essentially become quite thick, thus making the system more efficient.
34
The system is usually operated close to tripping a critical point. For reference, here are some
examples of critical points:
Sheer strength
Ultimate strength
Tip angle
Static friction
Adhesive failure point
Zero buoyancy
Triple point
Surface tension
Resonant frequency
Freezing point
Boiling point
Curie temperature
Spring preload
Spark point
Combustion temperature
35
ExampleGreenhouse Temperature
Control
Consider the example of a cooling system for a greenhouse. Use of
passive control will invariably lead to fewer parts.
Step 1: Is an active
feedback control scheme
being used? The existing
system uses a sensor,
controller and actuator
to open the window
when needed.
Cooling
Air
Greenhouse
Air
Cools
Conducts
Heats
Sensor
Window
Signals
Step 2:
Identify a
Moves
physical
phenomenon
Actuator
Controller
which uses the same
Energizes
field for sense and
actuation. Ideally, the
variable that is being measured has a field associated with it: We would
like the window to open itself when needed. With a Bi-Metal Actuator
(two metals with different thermal coefficients of expansion), we still use
the same field (heat) and use it to open the window directly.
36
Cooling
Air
Greenhouse
Air
Cools
Conducts
Window
Moves
Heats
BiMetal
Now we have a system that is more reliable, has fewer parts and costs less.
37
38
Simplify by Idealizing
Individual Functions
If, for instance, we are talking about a device to paint the internal
surface of a pipe The ideal result, in this case, must be
formulated differently: Paint comes by-itself into a tube and byitself evenly covers the tubes internal surface. (Italics added).
Notice that this formulation precludes other final states which are potentially more ideal. For
instance, what if the pipe does not require painting at all or it comes already painted? These are
also viable solution paths. One should not conclude that Altshuller did anything wrong. A
proponent of the one IFR might conclude that Altshuller just didnt go far enough in this
instance. If Altshuller had only considered the condition that the painting was not required, he
would then be precluding the less ideal state of the paint coming inside the tube by itself.
This highlights an interesting question for TRIZ theorists. Is there an advantage to having
multiple ideal paths in which some are more ideal than others? As solution paths proliferate,
some classical TRIZ practitioners become uncomfortable. For one thing, we move further and
further from the cherished notion of the solution. Some would say that this puts us back to the
primitive state of having many solution paths and ultimately many options to pick from, which
seems uncomfortably close to trial and error problem solving.
The need for multiple solution paths comes from a practical aspect of solving problems and
inventing. We cannot know what problems must be confronted as we continue down any
particular solution path. For instance, it may turn out that manufacturing the tube such that it
does not require painting might require a lot of research into material corrosion. We may feel
confident that with our skills, the solution will ultimately be reached, but the availability of time
and money resources could doom this research-based approach! It might turn out that using paint
on the inside of the tube is very acceptable and will keep the initial problem at bay for many
years.
Why Use Functions to State and Improve the IFR?
Idealize Functions
39
By their very nature, functions state changes that occur in time or results. If we use a function to
describe the final state of an objects attributes, then we are describing a result. It is only
natural that further stating this in a more ideal way takes us to a Functional Ideal Final Result.
What is interesting is that many of the Standard Solutions and other TRIZ tools were already
stated in functional language. Suggestions for how we might find a more ideal functional part
come from a restructuring and reinterpretation of the parts of the Standard Solutions that deal
with eliminating, redefining or replacing system parts (object resources). Combining the IFR,
parts of the Standard Solutions and functional nomenclature leads to the functional IFR. Thus,
there was a ready supply of ways to describe the final state by the use of these idealized
functions.
Just as a method can be proposed to work the bucket problem backward, so a path is proposed to
work towards ideal final state of an inventive situation. This is effectively accomplished in the
following steps:
Step 1: Identify an ideal product.
Step 2: Identify an ideal modification (Step 1 and 2 give the ideal
result. The path to this result is stated in the next two steps).
Step 3: Identify potential ideal physical phenomena to deliver the
function.
Step 4: Identify an ideal tool to deliver the physical phenomena.
(This completes the traditional IFR by stating a means to the ideal
result.)
Step 5: Idealize the Attributes of the Objects and Fields. (Now we
start to consider the ideal attributes of new objects. When we
added objects for the product and tool, we created mental models
of these parts of the system. This added problems that now need to
be addressed.)
Step 6: Resolve the resulting contradictions. (This step considers
the ideal distribution of the properties of the object, further
solidifying mental images of the system into more ideal states).
We can use these steps regardless of whether we are dealing with a useful, harmless or informing
(measuring or detecting) function.
In the introduction to this book, the concept of Hierarchy of Decisions was introduced. The
Hierarchy of Decisions moves from abstract to concrete. One part of this hierarchy is repeated
over and over, the idealization of functions. Whether we are creating a system, overhauling a
system or fixing a problem with the system, we use tools to focus in on one function at a time.
40
When we create a system, we add a function at a time. When we overhaul the system, we
identify burdensome functions that must be changed. When we fix a problem, we home in like a
surgeon to identify problematic functions and the associated object attributes. In each case, we
are focusing on a function which we would like to make as ideal as possible. This focus on
functions has the benefit of always driving the system to be as simple as possible.
Idealize Functions
41
42
ExampleAcid Container
Step 1: Identify useful or informing functions that are closer to the system
product with the following priority, first preventative, second productive
and third remedial. Since corrosion of the cubes is the main function that
we are trying to achieve and containing the acid is an auxiliary function,
we should first consider how the acid is being positioned to the cubes.
Step 2: Consider harmful functions that directly impact the problem
43
44
Slight Change
Car
The product is the car and the modification is stop. Now we begin setting up the IFR.
Knowing only these two parts of the function allows us to ask the important question: What is
the ideal product? The answer is surprising. The most ideal product is one that does not exist.
(The car should not exist), hence the tool and all attending auxiliary functions are not required.
Thus we come very close to the realization of the classical Ideal Final Result (IFR). We may not
require the product for a variety of reasons. It may be a transmission element that we can
bypass. (Is the car a transmission element? Not really.) It may be a waste element that does not
require existence in the first place. (Is the car considered waste? Not really.) A slight
modification of the product may make the modification unnecessary. (If the car could be easily
tracked, then I might not require stopping it) or the product may already come with the
45
modification performed. (By the time that the police reach the car, the driver is compelled to not
want it anymore and it is already stopped).
If the product is required, then we ask the question: What minimum part must be modified. (Is it
the car that we want to stop? Maybe we only want to stop a part of the car such as the engine or
the occupant). If only a small part requires modification then the resources required to perform
the modification can also be minimized.
Finally, if the product is required, how can we get the most value for our effort? Lets make the
modification as far reaching as possible. If the product comes in natural groupings, lets modify
the whole group. If other objects nearby require the same modification then lets modify as many
things as possible. This increases the value that the user derives from performing the function.
(Perhaps the police signal all cars on the road to slowly decelerate thus making the situation safer
for everyone)
ExamplePet
Feeding System
I am interested in some sort of pet
feeding system that protects the food
from ants, roaches, birds and bacteria
46
Feeding
System
Stops
Insects
Birds &
Bacteria
Stops
Insects
Birds &
Bacteria
Shortened or
Eliminated
No ModNon-Existent Product
It is easy to lose track of whether the product is required in the first place. If the
product is harmful or even a waste product (such as sawdust or leaves) wouldnt it
make more sense to not have it around in the first place?
47
Gather
Leaves
Waste
49
No ModSelf- Service
The product in question has native fields associated with it. Can we make some
small change to the product so that it performs the modification on itself? (It is
likely that energy will still need to come from outside).
Cut
Tape
50
Cuts
Tape
Modify
only Part
ExampleStopping a
Speeding Car
Every year innocent people are hurt or killed
during high speed chasses. About 40 percent of
high speed chases end in crashes.
Step 1: What minimum part of the
What minimum
product must be modified? Produce a list
part of the car
Stop
of alternative products which are a
can be stopped?
minimized subset of the main product. By
asking this, we can consider all subsets of
Car
the original product down to the
molecular level. What if we only stop the driver, the tires, the drive shaft,
the engine computer or carburetor, the tire, the electrical ignition spark?
ExampleShelling Nuts
The evolutionary tendency of performing functions on multiple objects is
to perform them in parallel. This can involve performing the function
simultaneously on a grouping of objects, especially if these groups are
natural groups such as a flock of geese, a mouthful of teeth, a pallet of
objects, or a box of cereal.
Step 1: Does the product come in natural batches or
groups? The nuts come in a bag.
Step 2: Is it more ideal to modify the group
simultaneously? In this case, it would much more ideal to shell the whole
bag of nuts at once.
51
There are no guarantees that modifying the whole natural group will
require fewer resources. At this point, we may not know how we may
accomplish this feat, but we continue in hope of finding a physical
phenomenon that can do this. Crack the whole bag of nuts.
ExampleWelding Required
During Manufacture of Bicycles
Step 1: Are there similar products that might require the
same modification during a job or task? A variety of
metals must be welded during the manufacture of bicycles.
Step 2: How much variation is there in the product? If the variation is
small, then there is little requirement to modify a biased product. If the
variety is large, then if the ability is too narrow, the system may have
limited use. The variety of metals is large, from magnesium and aluminum
to steel.
ExampleCooking Bacon
Step 1: For the given function product, what other elements in
the system or super-system require the same modification?
generally associated with bacon
52
Eggs are
Step 2: Can they also be included in the modification? Yes, Eggs can be
included. The heat is there, but usually there is an over abundance of
bacon fat. Remember that we have only considered the possibility of
doing these together. In some cases, finding the means to do this is
simple.
53
54
55
many ways to describe the modification that will give new insights, we consider a variety of
ways to think of the modification that allow us to make better use of resources.
In the process of looking for the IFR, we will also consider the reverse modification. It is easy to
become locked into thinking of the function in the way that we always have. By asking what we
are performing the function relative to, we see that there are other possibilities.
As a matter of practicality, the function should be described correctly in order to achieve the
most good. Please refer to the appendix if there are questions on how to write functions or deal
with confusing functions.
Setting the Bar for How Well the Modification Must be Performed
The next set of tools help us to decide the attributes of the ideal modification. At this stage, we
continue our quest to identify several ideal modifications. If I could snap my fingers, how much
modification do I really want? How well, how long, etc.
Since it is possible to overdo a modification causing other problems, we may need to constrain
ourselves by asking this in a slightly different way. What level of modification will give us a
long-lasting solution? By doing this, we recognize a truth: eventually the system will evolve to a
point that it must be improved again. In the mean time, it will not be necessary to change this
parameter or even consider it very much. This is different than the common way of changing
systems where a parameter is just improved enough to get by. This leads to legacy problems that
continue to crop up with the next version of a product.
It is important to note that insights derived at this stage have the ability to influence each other.
Insights gained during one activity may be upset by insights gained in other activities.
Consequently, it may be necessary to jump back and forth between tools.
56
If I could snap
my fingers...
ExampleStopping a
Speeding Car
Step 1: Are we changing or controlling? Which makes the most sense? In
this case, we want to control the speed of the car to a set speed. This
speed may not be zero and in fact, it might be dangerous to stop a car in
the middle of fast traffic.
Step 2: Work backward by imagining several
ideal final states. Using the longhand form of
the modification, consider different ways to
describe the modification.
Consider moving
from the macro world to the micro world (atomic
level and beyond).
57
ExampleHeating a Gas
How can we describe the heating of a gas?
Step 1: Are we changing or controlling? We have already
described this as a change of state, thus we are changing.
Step 2: Work backward by
imagining several ideal final
states. Using the longhand form
of the modification, consider
different ways to describe the
modification. Consider moving
from the macro world to the micro
world (atomic level and beyond).
Gas
ExamplePouring Hot
Syrup into a Chocolate
Container
Pour
58
Chocolate
Road
59
60
Officer
Flags down
the Car
Both Cars
Pull Over
and Stop
Officer
Walks
toward Car
Occupant
Speeds
Away
Officer
Requests
Help
Occupant
Gets Scared
Car Stops
Officers
Limit
Options
Officer
Returns to
Car
Occupant
Increases
Speed
Officer
Pursues
Officers
Bumps
Car (Very
Dangerous)
Car Strikes
Object
(Very
Dangerous)
Stop
Car
61
Officer
Flags down
the Car
Both Cars
Pull Over
and Stop
Officer
Walks
toward Car
Officer
Performs
Duty
Stop
Occupant
Gets Scared
ideal modifications and products and are working on this one specifically.
The question that we are answering here is where is the most ideal place to
put the function of stopping the car.
Another possibility is that the car bolts and the officer does not pursue at
all! The car will be stopped later when it is safer, or the occupant will stop
the car. The occupant can see that the officer is simply standing there and
not pursuing. This allows for a less panicked state which keeps speeds
lower. Perhaps the fact that officers will no longer pursue has become
well publicized. And it becomes common knowledge that the car is being
tracked by a high observer such as a surveillance craft or satellite. The
occupant then has to pursue another strategy which usually involves
abandoning the car. This puts the function of stopping the car far later
than normal.
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Officer
Waits for
Car to Stop
Officer
Walks
toward Car
Stop
Officer
Performs
Duty
Occupant
Gets Scared
way. Such may not be the case if the car is stopped on a busy street. This
highlights the fact that idealizing the system may cause other problems
which can be avoided now (by choosing a different sequence) or later, by
fixing the system.
Step 4: Create a process map of the desired function and break it down
into finer detail.
Some
Feature of
Car is
Disabled
Car
Slows
Down
Car Comes
to Full Stop
Step 5: Can the modification be broken into two (or more) stages? Does
this allow for parallel processes to accomplish the main function, or does
it allow for a more optimum sequencing of functions? It may be that the
car is not stopped, but first limited in speed to 25 mph. The car can now
pull over and remove itself from traffic with the officer following. This
brings up the idea that the more ideal possibility is to be able to limit the
maximum speed of the car at a distance in such a way that the driver
cannot tell the difference between this and a malfunctioning car.
Idealize Useful Functions
63
ExampleStopping a Speeding
Car
Step 1: If the modification were performed very rapidly, would other
harmful functions be precluded? Yes, if the car could be stopped
instantly, before it was able to get out into traffic, many dangerous or
harmful functions could be avoided.
Step 2: How much time do we have after it is normally performed that it
would be allowable to continue performing the function? If the
modification were performed very slowly (hours, days, weeks, months,
years) would this be harmful or could this actually help in the performance
of other functions? Stopping the car permanently could be viewed as a
punishment for trying to speed away. This might serve as a deterrent.
64
Step 1: Are there opportunities for the system to run all the time? Is this
even desirable considering the current product? Ideally, objects in the
system will be at full capacity. In the case of stopping speeding cars, there
is no requirement to stop cars continuously.
Step 2: Are there other objects in the
job that require the function? Should
the function be reframed to consider
these other objects? Yes, it would be
Car
Fleeing
desirable to stop a human that
Occupant
Occupant
abandons the car. If we redefine the
problem as stopping the car
occupants, whether they are moving or in a car, the system becomes much
more ideal.
Step 3: Should the modification be performed along the entire path, both
coming and going? This usually applies to machines which have repetitive
motions. In this case it probably does not apply except to say that the
function of stopping the cars occupants should be possible regardless of
which direction they are moving, even in reverse.
Step 4: Should dummy runs and downtimes be allowed? I suppose that
down times are allowed if all we are stopping are the occupants. It should
not be necessary to have a test run before it is used each time to stop a car.
65
consider only an acceptable level of adjustment that will allow this system to operate for a long
time without change. This is not much of a compromise.
66
Function2)
The zero function is the intended absence of a function under certain conditions.
We should have full control over the function when its existence would be
dangerous or otherwise harmful.
67
68
ExamplePostal Services
Consider the transport of objects for pay such as postal services.
Step 1: From patents and literature, study the history of the functions that
are typically involved in the job. What functions have been added over
time? What main physical parameters have improved? Things improved
with postal services: The purchasing of service; delivery of object to point
of use; the protection of objects (container movement); the tracking of
objects and informing customer; the speed
of movement of objects.
Step 2: From patents and literature, study the
history of the technologies (physical
phenomena) that typically deliver these
functions. How have these technologies
changed? If we look at the actual physical
means of delivering objects we see a continual transition to the fastest
Idealize Useful Functions
69
#1 Capability
#1
Market
(Job)
#2 Capability
#2
Market
(Job)
Speed
Method
Time
Step 1: Each recognized market
(job) is focused on a competitive parameter. Determine the competitive
parameter. The progression of competitive parameters is as follows:
70
Technical
Maturity
Parameter
Related to the
Infancy
Stagnation
Rapid growth
Main Function
Level of
Invention
Number
Of Patents
Per year
71
73
74
75
Method
Step 1: Observe what the target market currently does to satisfy this
function. If possible, go and watch before talking. By observing you get
to the truth. What people do and what they say that they do are often two
different things.
Step 2: Ask how they satisfy this function and what they would do if they
didnt have what they currently use. This may give some valuable
information into the history of the function. They will often offer what
they did way back when...
Step 3: Identify what extreme users currently do to satisfy this function
and what they would do if they werent using their current means.
Extreme users often have a range of experience with uncommon ways to
satisfy a function.
Step 4: Ask everyone that you interview where they go for the source of
items and products that they need to do these jobs. This will set you up
for the next step.
76
One
77
them. A marker is used on the side of the road to time the throw. When
the fleeing car passes the marker, the stop sticks are thrown out. One
tricky feature is that the officer needs to be close enough to throw the
sticks, which may put them into a dangerous situation. They come with
80 ft of cord to pull them out of the path or into the path of cars. This does
not mean that the officer can be 80 feet away when throwing the stop
sticks. An interesting feature of these stop sticks is the number of police
officers killed while deploying them. The most common fatalities have to
do with drivers swerving to avoid the sticks and striking officers. Others
have been killed while trying to retrieve them. Sadly, they are sometimes
killed by the pursuing police car. They may try to retrieve them to keep
pursuing law enforcement cars from also running over the stop sticks.
Another tricky feature is that pursuing officers are often very close behind
the speeding car. It is difficult to convey at what point the sticks may be
thrown out. The police car may also try to swerve to avoid them which
endanger officers trying to deploy them.
Another problem reported is the use of stop sticks on people that were not
breaking the law.
Another competitive alternative is tire spikesthese range from $400 to
$800. These spikes spread out to as long as 25 ft. They are capable of
piercing truck tires. The tines can be replaced in seconds should they
become damaged. The spikes enter the tires and break free from the
retainer. They are hollow and slowly deflate the tire to avoid dangerous
blowouts.
Another competitive alternative is the X-Net. This is a netting covered
with spikes. The spikes attach to the wheels and the net is wound onto the
wheel thus stopping it. It is purported to be capable of stopping vehicles
in excess of 10,000 lbs.
Step 2: Refine the search by noting and using nomenclature and names
that are common to the industry. Stop Tech Ltd. is the company that
makes Stop Sticks.
Step 3: Consider cheap competitive alternatives. I could not detect any
cheap alternatives. Big rocks would be too dangerous, especially for
pursuing police officers.
78
It is easy to get caught up in calling any great innovation a disruptive technology, but be careful
how this term is used. Disruptive technologies are products and services that are typically
disruptive to a business practice. Ultimately, they are so disruptive that many great businesses
can no longer compete.
The ones that you typically have to be concerned with are those that may disrupt your business.
For instance, they do not give the margins that you have come to expect. They do not intersect
your supply chain. They do not satisfy the same levels of performance that your main customers
have become accustomed to. They require new vendors. Often, a disruptive technology will
require a whole new business model. This is the most disruptive of all. As management
considers these technologies, they will seem distasteful and will reject them because they feel
that they are doing this in the best interest of their company. Remember, they are held captive by
their largest customers. Few resources are left over for other customers and disruptive
technologies.
These disruptive offerings are generally initiated in industries that are not your own, but may be
closely adjacent. They satisfy someone that is not currently purchasing from you, so they seem
innocent. They usually do not perform at sufficient levels to attract the attention of your main
customers. This is because they are designed to perform the same functions that your products
perform, only for other markets. As these offerings increase in performance, eventually, they
will have the capability of satisfying low-end customers in your market. Again, this seems
innocent as these low end customers are not important to your business as you move up-market
to gain higher and higher margins. Slowly, these offerings will gain in performance as they are
fueled by the cash coming into these markets until you find that they are cutting into your
mainline customers. Often, it is too late at this point because of the resources required to change
over. Developing a whole new supply chain is very impractical. History has shown that it is
nearly impossible to copy a disruptive technology at this point. Vendors are often locked up
while supplying the new supply chain. Consumers have loyalty to the early products.
You might ask why we are not intent upon creating technologies which are disruptive to our
main competitors. While it is possible to create technologies that are disruptive to others
businesses, this strategy can only work if your company is open to destructive creation of
products and to the creation of new business models, usually in completely separate business
units than your legacy products. In order to disrupt existing competition, you will ultimately
cannibalize yourself. Remember that these are your competitors and you are competing for the
same market. If the market of your competitor begins to move to your new product, they must
also stop buying your legacy product. Most companies will find that it is usually better to try to
satisfy a market that will not likely compete with your market. If you pick a non-consuming
market to satisfy, there are many opportunities to create new offerings. The need to compete is
virtually eliminated. You would only do this out of spite for the competitor which is not really a
good business practice and will generally take you nowhere.
Idealize Useful Functions
79
If you are still determined to create a disruptive business for your competitor, there are more
hurdles. This disruptive technology will need to compete against your biggest customers for
resources. It will also be necessary to change long-held company values at the highest levels of
the business. It is hard to admit that your business strategy and company values are wrong. In
order to make this kind of change a lot of people have to be aligned and committed. If they are
not convinced, they will likely revolt in passive ways that are hard to detect and counter. A
better approach than directly disrupting your business would be to start a new business built on a
learning approach with its own resources. This business will create its own business model and
supply train from scratch.
Finally, if you are still determined to create a disruptive technology within an existing business,
you must recognize that, the business needs to have an offering which can stand on its own in
some market. This is a large challenge on its own as most offerings fail due to all of the market
conditions.
In summary, it is usually not a good practice to try to create a disruptive technology (disruptive
to you) within an existing business and customer base. The more likely place to create disruptive
technologies is with new business startups. These have the ability to recognize market segments
that are not being served.
The reason for considering this step here is that others may be encroaching on your market and it
is necessary to consider the physical phenomena that this disruptive technology is using. We do
this because there is a way out of this trap and that is hybrid phenomena. Hybrid phenomena are
the combination of two phenomena in such a way that the performance gained by one
phenomenon compliments the other. In this way, the new phenomena can be used to better
satisfy the existing market. This would be difficult to do if we made a sudden jump to the new
phenomenon. When this occurs the performance is usually less than what the existing market
expects. According to evolution of systems, when we move between physical phenomena, there
is usually a transitional state through hybrid phenomena. A recent example of this is hybrid
electric and petrol fueled vehicles.
Checking for disruptive technologies amounts to looking for analogous functions in closely
adjacent markets and then looking for how those functions are delivered. There are usually
people in the business that have seen technologies that they would like to bring into the business.
They may sense that these technologies will one day compete with them or that they could be
exploited with current customers, but there is little support within the businesses. History has
shown that many toppled businesses have seen these disruptors coming but were unable to
respond adequately. The typical response is to try to force these disruptive technologies into
existing markets with disastrous results. The new phenomenon is not capable of delivering the
performance that the existing market has come to expect. As mentioned, the strategy that
typically works is to strive for a hybrid technology that enhances the current technology. Once
80
established, the new phenomenon will begin to take over from the existing phenomenon, all the
while satisfying existing customers.
Method
Step 1: Identify technologies that exist in adjacent markets that seem to be
threatening the existing business. These may be low cost alternatives or
alternatives that use a different physical phenomenon to deliver the
function.
Step 2: Identify the physical phenomenon that is used to deliver the
function. It is likely that this will later be considered for a hybrid physical
phenomenon to satisfy the target market.
81
Thirdly, a patent search can appear to be beyond our capabilities. After all, people are employed
full time to do patent searches! Again, this fear is unfounded. It is important to remember that
you have several advantages that professional patent searchers do not have. You are motivated
by the prospects of your idea. (A patent examiner is employed for money and is obligated to
perform to certain minimum standards). You are not constrained by time and can afford to
search to the bitter end. (Not all patent examiners are thorough and there may be time
constraints on some examiners). You are more familiar with the technology than they are. (They
do not have the time to become expert at the technologies that you are interested in). With a
little practice, this overwhelming task can become natural and commonplace.
Forth, understanding patents is difficult. Admittedly, patents have their own language. In this
language, there is no legal prohibition to making up words! Patents can seem very stiff
andlegal. Remember that it is in the favor of the legal profession that they look this way. We
can easily convince ourselves that only patent attorneys can read patents. On the contrary,
anyone can thoroughly understand a patent if they are willing to take the time. They have a
repeatable structure, so you can learn the parts of the patent that you need to go to for specific
information. Remember that it is much easier to learn to read patents when you are motivated by
an idea. This will force you into the patent. Read it, digest it, and diagram it. Soon, you will be
speaking patenteze. Reading and understanding your first patent may take you a half day, but
the next patent will go much faster.
Fifth, some feel that seeing what others have done will keep them from looking outside the
box. Sure, there is a possibility that this can temporarily happen, but remember that this whole
book is about making us uncomfortable inside the box. There are multiple opportunities to kick
ourselves outside. Also, lots of additional information is learned along the way that strengthens
our general understanding of physics. Understanding a broad spectrum of physical phenomena
will make you a better inventor! Where we get into trouble is by studying only certain areas of
physics deeply. Remaining specialists can have a constraining effect on our imagination.
It is ok that you do not understand everything about patents when you begin your search. True,
like first time car drivers, it is impossible to know what you do not know, but you have to start
somewhere. If you make mistakes, remember that there are is a world of potential inventions out
there. Dive in and you will find that you have more capacity than you thought!
There is a wealth of information in patents that is often overlooked. Patents are structured so that
others can duplicate the results of an invention. Consequently, it is necessary to give away many
details. Most patents begin with a description of the typical approaches that are already
available. This sets the stage for why their idea is an improvement. It usually gives the history
of the problem (and sometimes the industry) and also a look at alternative physical phenomena
that have been used. Following this section is a description of the invention and why it is an
improvement. This gives details into new physical phenomena that may have been used. It may
describe how various object attributes affect the operation of the product. You may also be able
82
to detect how the inventor overcame various contradictions. Clearly articulating the contradiction
that was solved helps an inventor explain why their invention is non-obvious to those
experienced in the art. This is the main hurdle that is required to get a patent. Next is a detailed
description of the architecture of the invention. This gives valuable clues concerning the details
of the physics. Finally, the claims section gives an idea to the scope of what the patent examiner
thought was allowable to claim for the invention.
Unless you are having problems with your computer, it takes about two hours to prepare for your
first patent search. Mostly, this involves setting up links in your browser and a patent viewer.
The patent viewer is important because looking at pictures conveys information much more
rapidly than reading patenteze. Here is how to setup your computer browser with the necessary
bookmarks to do a basic patent search:
Step 1: Go to www.uspto.gov. This is the official patent website for the US government. If you
take the time to familiarize yourself with this site, you will discover that a lot of effort has been
made to make patent search and application easier for individuals. All of the forms are available
for self application. There seems to be a bias towards helping individuals over corporations.
You will particularly notice this if you submit a patent for consideration (this is called
prosecuting a patent). People at the patent office sometimes bend over backward to help
individuals, especially ones that have never been through the process before.
Step 2: On the home page, go to Patents. You will find this on the left-hand side. If you click
on this, a drop down will show you a several links. Search Patents is down the list a little. Go
to this and bookmark it with a memorable name.
You can also find this at
http://www.uspto.gov/patft/index.html. This page is the main page for beginning patent searches.
It allows for a variety of patent search formats.
Step 3: Download the patent viewer for viewing patent drawings. As mentioned, viewing the
patents will help immeasurable in understanding them. To access the viewer, go to
http://www.uspto.gov/patft/help/images.htm. The program that you download for viewing
patents is dependent upon the operating system and internet browser that you use. Follow the
instructions and links for your particular operating system. If you are like most people and use
the windows operating system and Internet Explorer for your browser, you can go to
http://www.alternatiff.com/install/ to directly download the viewer. Remember to bookmark this
page in case you need to reload the patent viewer for some reason. You will know that you have
succeeded when the text appears at the bottom of the page informing you that it is installed.
Step 4: Bookmark the definition of classifications and give it a memorable name. It is located at:
http://www.uspto.gov/web/patents/classification/selectnumwithtitle.htm. Each patent is assigned
a patent classification. Having a link to the classifications helps the searcher delineate between
classifications. When you get to this page, you will notice that there is a numbering system
which starts with items such as apparel. Remember that this is a very old system of classifying
Idealize Useful Functions
83
patents that was based upon products that were available when it was started. Scroll through this
list and look for more modern classifications to appear. Click on any one of the definitions. This
will take you to sub-classifications. Patents are usually assigned a classification and at least one
sub-classification. When you select one of the classification numbers, you finally arrive at the
definitions.
Step 5: Bookmark the index of classifications and give it a memorable name. It is located at:
http://www.uspto.gov/web/patents/classification/uspcindex/indextouspc.htm. When you have an
invention with a common name, you can find the classification by going to this index.
Everything is listed in alphabetical order. For instance, if you are working on an improvement
for hand shovels, you can go to shovels and find that there are a variety of objects which are
referred to as shovels. There are hand shovels, power shovels, crane shovels, loading shovels,
plow shovels, etc. This is important to know because many of these systems provide exactly the
same function as the one that you are considering. In effect, they provide analogous functions in
different industries. It is possible that they use physical phenomena and lines of evolution that
are different from your industry. These can be put to work in your situation. Also, when you
later identify other analogous products, you can readily find the patents for these products by
using this index.
Step 6: Bookmark the Advanced Search page and study the examples for Boolean searches.
(Note that you can search for phrases in parenthesizes.)
Now you are ready to perform the actual patent search.
Method
Step 1: Search for patents directly related to the modification that you
would like to perform
Step 2: Using Advanced Search, search for key words in the abstract or
body of the patents.
Step 3: When you finally find a patent which is close to the intended
subject, identify the classification.
Step 4: Search by classification, making use of the Definitions and Index
of Classifications. Make sure that classification includes possible patents
that cover the field that you are interested in.
Step 5: When you find good representative patents, note and view all
patents cited.
Step 6: Now search these patents and continue the process until no new
patents regarding your area of interest show up.
Step 7: Search patents for physical phenomena that are unusual to your
industry.
84
85
ExampleLawn Mower
Step 1: What fields are currently being used to deliver this
function? Currently, the blade is cut by a mechanical highpressure field that makes use of the grasss inertia
Step 2: What are the next fields that will likely be used?
oscillations.
Jet pressure
NewLibrary of Effects
The Library of Effects is table of physical phenomena that can be used to
deliver functions. Once we know the modification that we desire, we can
find a similar function in the table. Usually, this is a generalization of the
desired function. The table usually gives many physical phenomena that can
deliver the desired modification to the product.
ExampleClothes Dryer
The function of the air in the dryer is to evaporate water.
Step 1: Convert given function to a Generalized Function.
Evaporate
Water
Move
Liquid
www.creax.com
Locate the generalized function and then consider all of
the physical phenomena that can be used.
Fabric
(Capillary
action)
Move
Liquid
86
ExampleRemoving a Sliver
Extract
Sliver
Mini-CrowBar
Removes
Sliver
87
NewAnalogous ProductsMega
Trend
If we look in industries that perform a function on a massive scale,
we can often discover the evolutionary trend for this function along
with physical phenomena which are used to accomplish it. It is even
possible to identify physical phenomena by using the patent database.
Mega - Product = ?
ExampleMoving Large
Amounts of Packaged Materials
We would like to move sacks from a truck
shipment to a location on the factory floor.
Typically, this is done by hand, unloading
one at a time.
Move
Sack
Cans
Trolley /
Pallet
Move
Sacks
88
NewAnalogous Products
Bio-mimicry
Nature has developed many analogous phenomena that can be
employed to perform functions. The concept of analogous
phenomena starts with an analogous product. Identifying
objects in nature that require the same function will begin to
lead the seeker to new physical phenomena.
Natural Product = ?
ExampleCatching Chips
When we grind an object, small chips are ejected.
We would like to constrain these chips.
Constrains
Chips
Sticky
filament
Constrains
Flying
Insects
Sticky
filament
Constrains
Flying
Chips
89
ExampleCommon Knife
Step 1: Identify an object related to a physical phenomenon
that is similar to the one required. Consider a knife.
Step 2: Multiply the system. Start with two. Now we have
two knives.
90
Moves
91
Method
In order for the physical phenomenon to have any chance, it should be
abundant in the system.
Step 1: Identify abundant fieldsthese are usually associated with
abundant physical phenomena.
Step 2: Filter the potential phenomena (previous steps) to allow only those
which are abundant.
Method
Step 1: Filter the physical phenomena that you are considering for contact.
92
Method
Step 1: Search for additional functions within the system that the physical
phenomenon could deliver.
Step 2: Look for opportunities to use passive feedback from physical
phenomena that can both sense and actuate. Examples are bi-metals.
Step 3: If necessary, can the physical phenomenon deliver the function and
the anti-function?
93
94
95
person. The little people act intelligently based upon information that they receive from each
other. We can then mimic what the little people do with substances and simple paired fields.
Method
Step 1: Envision the system as composed of intelligent little people who
can work together. These people also have the capability to disappear and
reappear if necessary. What do they do to accomplish the desired result?
How do they intelligently act together?
Step 2: What is the message that the little people give to each other. What
kinds of natural fields mimic these messages? What paired substances
interact strongly with these fields?
Method
Step 1: Identify an attribute that you would like to detect to the extreme.
Step 2: Create a measurement system that can detect to this level (see
measurement and detections).
Step 3: Measure to the extreme and see if what is observed matches
theory.
Method
Step 1: Identify analogous products in nature? (Look for primitive natural
analogies).
Step 2: Identify the natural Tool/ Effect?
Step 3: Transfer the Effect/Tool to the new situation
97
No electrostatic field was ever high enough for him; he always kept pushing and as a result,
discovered new phenomena and fundamentally new ways to deliver functions.
Method
Step 1: Identify fields in the Table of Fields (Appendix). These fields will
be applied to a substance at the same time.
Step 2: Drive the field to the extreme. This might be extreme intensity or
for very short durations.
Step 3: Look for new phenomena.
Method
Step 1: Where there is little order, drive order to the extreme and look for
new physical phenomena.
Step 2: Where there is great order, drive chaos to the extreme and look
for new physical phenomena.
Method
Step 1: Take an attribute of an entity and consider means in which this
can be driven to the extreme.
Step 2: Drive this attribute to the extreme and look for physical
phenomena.
98
Method
Step 1: Some software is capable of chaining physical phenomena to
deliver a function.
Step 2: If software is not available, chain a final and starting physical
phenomenon together with connecting phenomena. This may be done by
trial and error.
99
100
101
Guide
Current
Air
Guides
Current
In following steps we can ask what modifications to the fields or the tool
allow the function to be boosted. These modifications may require the
small addition of substances or structures which react strongly to the
native fields.
102
Produce
Pie
Freeze Pie
Transport Pie
Crust
Laundry
List
103
Water
Stops
Insects
Method
Consider the following list of cheap substances. Could any of these be
used to deliver any of the phenomena that you are considering? List of
Cheap Substances: PowdersFoamsVoidsWaterIceSteam
HydratesAirNitrogenCarbon
DioxideOxygenCorrosion
DecaySandSoilRocksWasteWaste WaterSawdustWaste
GlassWaste GasesWaste PaperGarbageYard WasteIndustrial
WastesHybrid SubstancesDisassociated Forms of Any of the
AboveProducts of InteractionsStarting MaterialsFinal Products
Semi-Finished Elements
ExampleAir Pump
Nearby
Pump
Pressurizes
Oil
Water
104
ExampleDangerous
Missions
Jets are often required to perform dangerous recognizance
missions. The pilot controls the sophisticated aircraft.
The pilot is capable of performing unexpected maneuvers
during combat or if failures occur, but during a
recognizance mission, these functions are rarely required.
Step 1: What part of the current tool performs
the function? The brains and hands of the pilot
perform the current function.
Step 2: Can a copy of the tool perform the
function?
Computer
(not pilot)
Informs
Control
Surfaces
Method
Step 1: Identify human actions on the system.
Step 2: Assume that the system performs these functions on itself
Step 3: Note that in order to oust humans; the human function must be deintellectualized.
105
ExampleFood Bowl
In a pet feeding system, the food bowl is usually considered separately
from the water bowl. Here we will consider how the food bowl might be
able to steal another function.
Step 1: List objects in the environment associated with the job at hand.
Take especial note of objects with similar functions. A water bowl is also
a part of the job of nourishing the dog. It also
performs the function of containing a substance.
Step 2: The Tool takes over all or part of another objects functions. This
is not simply a combining of objects. When you are done, one of the two
original objects should be invisible. There should be no compromise in
the original functions. The water bowl and food bowl
are combined
Step 3: Completely new and unexpected benefits
must emerge. Try different orientations and combinations.
106
107
ExampleSolarVoltaic Panels
House
Electrical
System
Electrifies
PV
System
Photons
& Rain
Stops
108
Human
Water
TheftSelf Service
Our
System
Human
109
110
Idealize Informing
Subject
Functions
Observer
Changes
Display
Data
Informs
Attendant
Display
Air
Changes
Temperature
Information
Controller
Changes
Temperature
Information
Data Bus
Changes
Temperature
Changes
Voltage
A/D Converter
Temp
Sensor
111
This system will likely have a large number of sensors measuring such things as temperature and
humidity. Each sensor must eventually give a voltage signal which is measured by an analog to
digital converter and placed on a data bus. The data bus then changes digital attributes in the
controller which manipulates the data and displays the results to a display screen where an
attendant then can be informed and respond to what is displayed. The controller also affects a
heater which changes the temperature of the air. Notice that the role of subject and observer is
constantly changing as we move along the chain. Each observer becomes a subject for the next
observer in the chain. Depending upon the part of this chain that we have control over, we will
need to make decisions concerning the modifications, physical phenomena and observers that
will deliver the functions. In some cases, we may have control over the entire chain, in others;
we may have control over one link. The point is that for every measurement system, there are
known elements that must be linked together. This is different than useful functions in which
only a final result in the product is required.
The system that we have shown is the extreme case, but also serves to show that there is usually
a chain of transformations that must occur between the main subject that we are trying to
measure and the observer or observers. Each transformation has its burdens. We would like to
have as few transformations as possible to get the job done. We would ideally like the
requirement to measure the air temperature go away entirely. If there were only one temperature
to measure then it would be more ideal for the air to directly inform the attendant. As
mentioned, in a long chain of transformations, each observer becomes the subject for the next
measurement transformation in the system.
As we idealize each function in the chain we first idealize the observer. We want to know why
measurement is important to the observer. If the observer does not need to know the measured
attribute then it may not be necessary for measurement to occur.
If measurement is required, then we want to identify the ideal subject to be measured? Perhaps it
doesnt need to be measured. This allows for the most ideal systems to be considered first. A
measurement system that does not require measurement is more ideal than a system where the
measurement tool is idealized.
The final step is to decide how the detection or measurement will occur. In this case, the most
important consideration is the chain of physical phenomena and then the actual objects that will
deliver the physical phenomena. Notice that we have allowed for a chain of transformations.
Ideally, we want as few transformations as possible, but we still have to allow for a chain of
physical phenomena in order to be consistent with the subject and the observer.
112
Method
Step 1: Identify the required observer and the
required subject that must be measured or detected.
If the system is technical, you may need to decide
where you have control over the system and where
you do not.
Subject
Informs
Observer
113
114
No MeasurementNon-Existent Subject
Measuring and detecting objects may not be required if the objects to be measured are
not required in the first place. It is usually because we have difficulty discarding the
subject that there is now a need to measure them.
ExampleNuclear Waste
Nuclear Waste and its storage medium must be
monitored.
Step 1: Is the subject ever Harmful, Waste? Yes
Step 2: Eliminate Subject. No way found
Step 3: Eliminate Source. No way found
Step 4: Eliminate Path. No way found
115
Pre-heater
Main
Reactor
116
No MeasurementDirect Acting
SensorsOperation about Critical Points
A critical point is a region of operation where the properties of an object change
abruptly. Most physical phenomena can be tailored to operate in the around a critical point. The
boiling or melting points of a substance are critical points. Operating near critical points allows
for direct acting elements. For passive control, we demand that the sensor use the same fields for
sense and modulation (the subject is a combined sensor and modulating element).
No MeasurementMeasurement / Detection
Not Required
Any useful function can be thought of in terms of preventing harm or fixing something. This is
also true of measurement functions.
ExampleVacuum Crucible
The temperature of a crucible in a vacuum furnace is
constantly measured.
117
ExamplesPre-Measured Weight
or Volume
MedicationPills
FoodPackets
TubesPre-fabricated diameters (very accurate)
ExamplesPre-Measured Fields
For measurement of fields, make the source of the fields come in discrete
forms. Following are several examples.
Sound or Vibration Set frequencies (resonance) and duration
LightSet frequencies or duration
Buoyancydiscrete volumes
PressuresSaturated liquid gas phase gives one pressure
TemperatureSaturated liquid-gas phase gives on pressure
CurrentUse of current driver
118
ExampleDetection of Astronomical
Phenomena
Astronomical objects give off many frequencies of light. These
frequencies can often be separated into frequency bands by optical
gratings. Expensive detectors can sense a variety of frequencies, but large
sections of the sky need to be surveyed. How
Pre-measured Frequency
can the frequencies be pre-measured? By use
of an optical filter, the light can be filtered to
specific frequencies which show up as
Filter
Photo Detector
anomalies or can be discretely detected with
an alarm.
ExampleBicycle Speedometer
How can the speed of a bicycle be determined?
Step 1: If the subject is a single element, what
minimum part of the subject must be detected?
Detect the revolution of part of the wheel rather
than the whole bicycle
Step 2: If the subject is composed of multiple
elements, identify parts of the system that could
be measured, rather than measuring the whole
system.
Magnet
Magnetic
Pickup
119
ExampleMeasuring the
Temperature of an Insect
Step 1: Are the subjects small? Yes, insects are small
Step 2: Do the subjects come in natural batches or groups, or are they
hard to separate? Not usually, unless they are swarming insects.
Step 3: Is it more ideal or easier to detect the group
simultaneously? For instance, is it advantageous to know the
average value as opposed to individual values of measurement?
Measuring the insects as a group makes it easier and gives an
average value which may be more ideal in some situations.
120
ExampleMeasurement of Glass
Thickness
Consider the measurement of the thickness of each piece
of glass in a stack of glass thickness. The glass to be
measured has a variety of thickness.
Step 1: Are there similar subjects that require detection?
Yes, the glass comes in a variety of thickness
Step 2: Would it be more ideal if the system could measure all of them at
once? Yes, especially if anticipating a large number of jobs coming
through from a variety of customers. It may be possible to measure a
stack of glass. Knowing the distribution of the individual glass
thicknesses helps us to deduce whether one of the individual pieces may
be out of specification.
121
Step 1: Are there a variety of objects that require the same type of
measurement or detection? Yes, there are a variety of fruits and vegetable
s that require weighing.
Step 2: Would it be more ideal if these objects could
all be measured at the same time? An automatic
checkout would be greatly enhanced if it could detect
the presence of a large variety of items at the same
time.
122
Fruits
/
Vegetables
Inform
Subject
Modification in a Variety
Mod 1
of Ways
Mod 2
If I could snap
my fingers...
Observer
123
system that detects a voltage. The ideal in this case is that the change in the subject being
measured directly changes the voltage of the system.
It is not enough to describe this in only one way. Each way may lead to a different physical
phenomenon to accomplish the function (depending on abundance of system resources).
What would I want to happen if I could do it magically by snapping my fingers?
ExampleHuman Detecting
Rotational Speed of a Fan
Step 1: Identify the subject and its attribute that is being
measured. The subject being measured is the fan and its
rotational speed.
Step 2: Identify the observer. This may be a human or system which
collects information for logging or control. The observer is a human
observer.
Step 3: Begin with the assumption that the modification will occur directly
between the subject being measured and the observer. If this is not
possible, we will come back and allow another transformation to occur.
The fan must directly inform the user of its speed.
Step 4: Consider the observer. What attribute do we want to change in
the observer? If the observer is human, we need to pick a sense that we
want to affect. If the observer is a device, then we need to identify such
attributes as voltage current, etc. In this case, the attribute that I want to
change is the sense of hearing.
Step 6: Work backward by imagining
several ideal final states. Using the
Fan
longhand form of the modification,
Changes tone heard
consider different ways to describe the
Changes audible voice heard
modification. Consider moving from
the macro world to the micro world
(atomic level and beyond). In this
Human
case, the human directly hears the fan
and knows its speed by detecting and translating the audible sounds given
off by the fan.
Method
Step 1: If I could snap my fingers, what would the ideal level of informing
be?
Method
Step 1: Create a process map of the sequence of functions. Informing
functions show up as blocks in the process map. It is preferable, but not
absolutely necessary that functional language be used.
Step 2: Consider performing the informing function in different sequences.
Move it earlier or later than currently performed. Try moving it so far
forward that it is no longer during the normal process sequence. Consider
moving it so far backward that it is no longer part of the ordinary
sequence.
Step 3: Can the function be performed in parallel with other functions?
Step 4: If necessary, break down sections of the map into finer detail.
Step 5: Can the modification be broken into two (or more) stages? Does
this allow for parallel processes to accomplish the main function, or does
it allow for a more optimum sequencing of functions?
125
Method
Step 1: If the informing modification were performed very rapidly, would
other harmful functions be precluded?
Step 2: How much time do we have after it is normally performed that it
would be allowable to continue performing the function? If the
modification were performed very slowly (hours, days, weeks, months,
years) would this be harmful or could this actually help in the performance
of other functions?
Method
Step 1: Are there opportunities for the system to run all the time? Is this
even desirable considering the current subject? Ideally, objects in the
system will be at full capacity
Step 2: Are there other objects in the job that require the same informing
function? Should the informing function be reframed to consider these
other objects?
Step 3: Should the informing modification be performed along the entire
path, both coming and going? This usually applies to machines which
have repetitive motions. Should dummy runs and downtimes be allowed?
126
Method
Step 1: Consider different and perhaps extreme operating environments.
Decide whether or not the informing function must be capable of adapting
to these different environments
Step 2: Consider adjustability to a variety of measured objects. How
much variation can we tolerate? Consider biased objects (objects which
are of the same type, but have some differences in an important attribute
like nails of various sizes or roses of different shades). Consider objects
with much greater differences such as the range of edible plants.
Step 3: What granularity of adjustment is necessary? Can the adjustment
be discrete? If so, what is the discrete step size?
Step 5: Does the adjustment need to be continuous or should it require
continuous feedback?
127
Zero
The zero function is the intended absence of a function under certain conditions. We
should have full control over the function when its existence would be dangerous or
otherwise harmful.
Method
Step 1: Identify times when the informing functions are harmful.
Step 2: Consider providing the zero function and means for detecting and
controlling the informing function during these times.
128
Method
Step 1: From patents and literature, study the history of the functions that
are typically involved in the job. What functions have been added over
time? What main physical parameters have improved?
Step 2: From patents and literature, study the history of the technologies
(physical phenomena) that typically deliver these functions. How have
these technologies changed
129
#1 Capability
#1
Speed
Market
(Job)
#2 Capability
#2
Market
(Job)
Method
Time
Step 1: Each recognized market
(job) is focused on a
competitive parameter. Determine the competitive parameter. The
progression of competitive parameters is as follows:
130
resolution
of
Related to the
Infancy
Rapid growth
Main Function
Level of
Invention
2.
Resolves contradiction
with small change
3. Resolves contradictions
with a major change. It uses
technology from the same field.
Number
Of Patents
Per year
4. Complete change in
physical phenomenon. This is usually a technology from another field.
5. New Physical Phenomenon. Has ability to change the supersystem to which it belongs.
Step 3: Quantify the number of patents per year.
131
132
Method
Step 1: If the market is a recognized and mature market then consider a
hybrid of the old and new phenomenon.
Step 2: If the market is an emerging or unrecognized market then consider
using a completely new physical phenomena in which the native
weaknesses of the physical phenomena are considered strength. (These
markets usually start with very small sales volumes).
133
134
135
The potential physical phenomena which are suggested are sufficient for many problems and
often allow for direct measurement or detection by the observer with few or obvious
transformations.
The Ideal Physical Phenomena have a Chance to Compete
The ideal resource is capable of holding its own. It must be abundant and capable of providing
as many functions as possible. The final steps help us to decide between the different
phenomena which might be the most ideal for our situation.
Method
Step 1: Observe what the target market currently does to satisfy this
function. If possible, go and watch before talking. By observing you get
to the truth. What people do and what they say that they do are often two
different things.
Step 2: Ask how they satisfy this function and what they would do if they
didnt have what they currently use. This may give some valuable
information into the history of the function. They will often offer what
they did way back when.
Step 3: Identify what extreme users currently do to satisfy this function
and what they would do if they werent using their current means.
Extreme users often have a range of experience with uncommon ways to
satisfy a function.
Step 4: Ask everyone that you interview where they go for the source of
items and tools that they need to do these jobs. This will set you up for the
next step.
136
Method
Step 1: Go to a store that would sell offerings that deliver the required
modification.
Step 2: Note brands and producers. Do the producers sell more than one
offering? Who are the main producers?
Step 3: Look for product trends.
Step 4: Read the labels. What do they claim?
Method
Step 1: Use an internet search-engine to determine what offerings are
offered.
Step 2: Refine the search by noting and using nomenclature and names
that are common to the industry.
Step 3: Consider cheap competitive alternatives.
137
disruptive to a business practice. Ultimately, they are so disruptive that many great businesses
can no longer compete.
The ones that you typically have to be concerned with are those that may disrupt your business.
For instance, they do not give the margins that you have come to expect. They do not intersect
your supply chain. They do not satisfy the same levels of performance that your main customers
have become accustomed to. They require new vendors. Often, a disruptive technology will
require a whole new business model. This is the most disruptive of all. As management
considers these technologies, they will seem distasteful and will reject them because they feel
that they are doing this in the best interest of their company. Remember, they are held captive by
their largest customers. Few resources are left over for other customers and disruptive
technologies.
These disruptive offerings are generally initiated in industries that are not your own, but may be
closely adjacent. They satisfy someone that is not currently purchasing from you, so they seem
innocent. They usually do not perform at sufficient levels to attract the attention of your main
customers. This is because they are designed to perform the same functions that your products
perform, only for other markets. As these offerings increase in performance, eventually, they
will have the capability of satisfying low-end customers in your market. Again, this seems
innocent as these low end customers are not important to your business as you move up-market
to gain higher and higher margins. Slowly, these offerings will gain in performance as they are
fueled by the cash coming into these markets until you find that they are cutting into your
mainline customers. Often, it is too late at this point because of the resources required to change
over. Developing a whole new supply chain is very impractical. History has shown that it is
nearly impossible to copy a disruptive technology at this point. Vendors are often locked up
while supplying the new supply chain. Consumers have loyalty to the early products.
You might ask why we are not intent upon creating technologies which are disruptive to our
main competitors. While it is possible to create technologies that are disruptive to others
businesses, this strategy can only work if your company is open to destructive creation of
products and to the creation of new business models, usually in completely separate business
units than your legacy products. In order to disrupt existing competition, you will ultimately
cannibalize yourself. Remember that these are your competitors and you are competing for the
same market. If the market of your competitor begins to move to your new product, they must
also stop buying your legacy product. Most companies will find that it is usually better to try to
satisfy a market that will not likely compete with your market. If you pick a non-consuming
market to satisfy, there are many opportunities to create new offerings. The need to compete is
virtually eliminated. You would only do this out of spite for the competitor which is not really a
good business practice and will generally take you nowhere.
If you are still determined to create a disruptive business for your competitor, there are more
hurdles. This disruptive technology will need to compete against your biggest customers for
138
resources. It will also be necessary to change long-held company values at the highest levels of
the business. It is hard to admit that your business strategy and company values are wrong. In
order to make this kind of change a lot of people have to be aligned and committed. If they are
not convinced, they will likely revolt in passive ways that are hard to detect and counter. A
better approach than directly disrupting your business would be to start a new business built on a
learning approach with its own resources. This business will create its own business model and
supply chain from scratch.
Finally, if you are still determined to create a disruptive technology within an existing business,
you must recognize that, the business needs to have an offering which can stand on its own in
some market. This is a large challenge on its own as most offerings fail due to all of the market
conditions.
In summary, it is usually not a good practice to try to create a disruptive technology (disruptive
to you) within an existing business and customer base. The more likely place to create disruptive
technologies is with new business startups. These have the ability to recognize market segments
that are not being served.
The reason for considering this step here is that others may be encroaching on your market and it
is necessary to consider the physical phenomena that this disruptive technology is using. We do
this because there is a way out of this trap and that is hybrid phenomena. Hybrid phenomena are
the combination of two phenomena in such a way that the performance gained by one
phenomenon compliments the other. In this way, the new phenomena can be used to better
satisfy the existing market. This would be difficult to do if we made a sudden jump to the new
phenomenon. When this occurs the performance is usually less than what the existing market
expects. According to evolution of systems, when we move between physical phenomena, there
is usually a transitional state through hybrid phenomena. A recent example of this is hybrid
electric and petrol fueled vehicles.
Checking for disruptive technologies amounts to looking for analogous functions in closely
adjacent markets and then looking for how those functions are delivered. There are usually
people in the business that have seen technologies that they would like to bring into the business.
They may sense that these technologies will one day compete with them or that they could be
exploited with current customers, but there is little support within the businesses. History has
shown that many toppled businesses have seen these disruptors coming but were unable to
respond adequately. The typical response is to try to force these disruptive technologies into
existing markets with disastrous results. The new phenomenon is not capable of delivering the
performance that the existing market has come to expect. As mentioned, the strategy that
typically works is to strive for a hybrid technology that enhances the current technology. Once
established, the new phenomenon will begin to take over from the existing phenomenon, all the
while satisfying existing customers.
Idealize Informing Functions
139
Method
Step 1: Identify technologies that exist in adjacent markets that seem to be
threatening the existing business. These may be low cost alternatives or
alternatives that use a different physical phenomenon to deliver the
function.
Step 2: Identify the physical phenomenon that is used to deliver the
function. It is likely that this will later be considered for a hybrid physical
phenomenon to satisfy the target market.
you have several advantages that professional patent searchers do not have. You are motivated
by the prospects of your idea. (A patent examiner is employed for money and is obligated to
perform to certain minimum standards). You are not constrained by time and can afford to
search to the bitter end. (Not all patent examiners are thorough and there may be time
constraints on some examiners). You are more familiar with the technology than they are. (They
do not have the time to become expert at the technologies that you are interested in). With a
little practice, this overwhelming task can become natural and commonplace.
Forth, understanding patents is difficult. Admittedly, patents have their own language. In this
language, there is no legal prohibition to making up words! Patents can seem very stiff
andlegal. Remember that it is in the favor of the legal profession that they look this way. We
can easily convince ourselves that only patent attorneys can read patents. On the contrary,
anyone can thoroughly understand a patent if they are willing to take the time. They have a
repeatable structure, so you can learn the parts of the patent that you need to go to for specific
information. Remember that it is much easier to learn to read patents when you are motivated by
an idea. This will force you into the patent. Read it, digest it, and diagram it. Soon, you will be
speaking patenteze. Reading and understanding your first patent may take you a half day, but
the next patent will go much faster.
Fifth, some feel that seeing what others have done will keep them from looking outside the
box. Sure, there is a possibility that this can temporarily happen, but remember that this whole
book is about making us uncomfortable inside the box. There are multiple opportunities to kick
ourselves outside. Also, lots of additional information is learned along the way that strengthens
our general understanding of physics. Understanding a broad spectrum of physical phenomena
will make you a better inventor! Where we get into trouble is by studying only certain areas of
physics deeply. Remaining specialists can have a constraining effect on our imagination.
It is ok that you do not understand everything about patents when you begin your search. True,
like first time car drivers, it is impossible to know what you do not know, but you have to start
somewhere. If you make mistakes, remember that there are is a world of potential inventions out
there. Dive in and you will find that you have more capacity than you thought!
There is a wealth of information in patents that is often overlooked. Patents are structured so that
others can duplicate the results of an invention. Consequently, it is necessary to give away many
details. Most patents begin with a description of the typical approaches that are already
available. This sets the stage for why their idea is an improvement. It usually gives the history
of the problem (and sometimes the industry) and also a look at alternative physical phenomena
that have been used. Following this section is a description of the invention and why it is an
improvement. This gives details into new physical phenomena that may have been used. It may
describe how various object attributes affect the operation of the product. You may also be able
to detect how the inventor overcame various contradictions. Clearly articulating the contradiction
Idealize Informing Functions
141
that was solved helps an inventor explain why their invention is non-obvious to those
experienced in the art. This is the main hurdle that is required to get a patent. Next is a detailed
description of the architecture of the invention. This gives valuable clues concerning the details
of the physics. Finally, the claims section gives an idea to the scope of what the patent examiner
thought was allowable to claim for the invention.
Unless you are having problems with your computer, it takes about two hours to prepare for your
first patent search. Mostly, this involves setting up links in your browser and a patent viewer.
The patent viewer is important because looking at pictures conveys information much more
rapidly than reading patenteze. Here is how to setup your computer browser with the necessary
bookmarks to do a basic patent search:
Step 1: Go to www.uspto.gov. This is the official patent website for the US government. If you
take the time to familiarize yourself with this site, you will discover that a lot of effort has been
made to make patent search and application easier for individuals. All of the forms are available
for self application. There seems to be a bias towards helping individuals over corporations.
You will particularly notice this if you submit a patent for consideration (this is called
prosecuting a patent). People at the patent office sometimes bend over backward to help
individuals, especially ones that have never been through the process before.
Step 2: On the home page, go to Patents. You will find this on the left-hand side. If you click
on this, a drop down will show you a several links. Search Patents is down the list a little. Go
to this and bookmark it with a memorable name.
You can also find this at
http://www.uspto.gov/patft/index.html. This page is the main page for beginning patent searches.
It allows for a variety of patent search formats.
Step 3: Download the patent viewer for viewing patent drawings. As mentioned, viewing the
patents will help immeasurable in understanding them. To access the viewer, go to
http://www.uspto.gov/patft/help/images.htm. The program that you download for viewing
patents is dependent upon the operating system and internet browser that you use. Follow the
instructions and links for your particular operating system. If you are like most people and use
the windows operating system and Internet Explorer for your browser, you can go to
http://www.alternatiff.com/install/ to directly download the viewer. Remember to bookmark this
page in case you need to reload the patent viewer for some reason. You will know that you have
succeeded when the text appears at the bottom of the page informing you that it is installed.
Step 4: Bookmark the definition of classifications and give it a memorable name. It is located at:
http://www.uspto.gov/web/patents/classification/selectnumwithtitle.htm. Each patent is assigned
a patent classification. Having a link to the classifications helps the searcher delineate between
classifications. When you get to this page, you will notice that there is a numbering system
which starts with items such as apparel. Remember that this is a very old system of classifying
patents that was based upon products that were available when it was started. Scroll through this
142
list and look for more modern classifications to appear. Click on any one of the definitions. This
will take you to sub-classifications. Patents are usually assigned a classification and at least one
sub-classification. When you select one of the classification numbers, you finally arrive at the
definitions.
Step 5: Bookmark the index of classifications and give it a memorable name. It is located at:
http://www.uspto.gov/web/patents/classification/uspcindex/indextouspc.htm. When you have an
invention with a common name, you can find the classification by going to this index.
Everything is listed in alphabetical order. For instance, if you are working on an improvement
for hand shovels, you can go to shovels and find that there are a variety of objects which are
referred to as shovels. There are hand shovels, power shovels, crane shovels, loading shovels,
plow shovels, etc. This is important to know because many of these systems provide exactly the
same function as the one that you are considering. In effect, they provide analogous functions in
different industries. It is possible that they use physical phenomena and lines of evolution that
are different from your industry. These can be put to work in your situation. Also, when you
later identify other analogous products, you can readily find the patents for these products by
using this index.
Step 6: Bookmark the Advanced Search page and study the examples for Boolean searches.
(Note that you can search for phrases in parenthesizes.)
Now you are ready to perform the actual patent search.
Method
Step 1: Search for patents directly related to the modification that you
would like to perform
Step 2: Using Advanced Search, search for key words in the abstract or
body of the patents.
Step 3: When you finally find a patent which is close to the intended
subject, identify the classification.
Step 4: Search by classification, making use of the Definitions and Index
of Classifications. Make sure that classification includes possible patents
that cover the field that you are interested in.
Step 5: When you find good representative patents, note and view all
patents cited.
Step 6: Now search these patents and continue the process until no new
patents regarding your area of interest show up.
Step 7: Search patents for physical phenomena that are unusual to your
industry.
Idealize Informing Functions
143
NewLibrary of Effects
The Library of Effects is table of physical phenomena that can be used to
deliver functions.
Some software is capable of chaining physical
phenomena to create the desired outcome from available resources.
ExampleVoltage Change
Due to Temperature Change
of Hydrogen Gas
Step 1: Start with the required change of properties of
the observer due to a change of properties of the
object being measured. The voltage of the observer
object must change due to a temperature change of
the gas.
Step 2: State this in short format: Pressure changes
voltage.
Hydrogen
Changes Voltage
Circuit
NewAnalogous Transformation
An analogous phenomenon produces the same transformation of object attributes. This can be
transferred to our situation with satisfying results.
144
Changes Voltage
Circuit
Hydrogen
Changes Voltage
Circuit
145
NewNatural Analogous
Natural Product = ?
Observer
Nature has developed many analogous phenomena that can be
employed to perform functions. The concept of analogous
phenomena starts with an analogous observer. Identifying objects
in nature that require the same function will begin to lead the seeker to new physical phenomena.
Method
Step 1: Identify analogous observers in nature. What objects in nature
require or have this same function imposed? You might have to consider
variants of this function. (Look for primitive natural analogies).
Step 2: Identify the natural Observer/ Phenomenon
Step 3: Transfer the Observer/Phenomenon to the new situation.
Temperature
Circuit
146
NewSecondary Phenomena
Rather than measuring the parameter, a second parameter can be measured which is
influenced by the one that you would like to measure. Object parameters always
influence each other. The temperature of an object affects its dimensions. The weight
of an object affects its buoyancy. In reality, almost all parameters are measured by measuring a
secondary parameter and then inferring the required measurement.
ExampleMeasurement of Pressure
Step1: What exact parameter requires detection? Pressure
Step 2: List secondary parameters that change when the main parameter
changes.
Physical State
Temperature
Shape Change
Step 3: Detect
parameters instead.
these
secondary
Solid
Liquid
Gas
Photographs
Movies
Paint Coverings
Molds
Time lapse
photos
Impressions
Silhouettes
Castings
Resists
Projections
Computer
Model
ExampleMeasurement of the
Dimensions of an Elastic Article
Traditional measuring instruments such as calipers
tend to deform the article during measurement.
147
NewSuccessive Detection
This thought tool is very similar to the concept of pre-measurement. In this step,
we compare the parameter of an object to the same parameter of another object
that comes only at discrete levels.
148
NewResonance
Resonance is an important type of secondary parameter. Many parameters can be
measured by the resonance of an object or an attached object. Virtually every field
can be detected by resonance. (Thermal resonance is difficult to achieve). It can
occur at all levels from macro object to particles to molecules to atoms to electrons.
ExampleMeasurement of Resistance in
a Wire and Its Connections
Step 1: Identify if there is a natural
resonance in the system. All electrical
systems have resonance.
NewDerivative Detection
One of the most powerful ways to measure a parameter is to
measure the rate of change and then integrate. (Measuring and
then differentiating is also possible, but it is quite noisy). With
modern computing, integration schemes are easily accomplished.
It is also possible to integrate with analogue circuits.
f(t)f(t)f(t)
ExampleMeasurement of
Relative Position of an Object
Step 1: Measure higher order derivatives. Place an
accelerometer on the object and measure acceleration.
Step 2: Integrate as many times as necessary to
determine the desired parameter. Integrate twice to
determine the relative position of the object.
..
X dt =
149
150
Step 2: Once the subject has this added field, search the
Table of Effects (physical phenomena) for ways to detect
these fields. Detect Heat by touch. Solution: A heat cuff
is attached to the pipe. The pipe becomes hotter in the
direction of flow
ExampleMeasuring the
Rotational Speed of the Rings of
Saturn.
Step 1: Search the Table of Fields in the Appendix for fields which are
principally associated with surface phenomena. Allow for fields which
are only there momentarily. Here are the Fields: Surface Stress
FrictionAdhesionSurface
TensionOdor-TasteCorona
DischargeSkin CurrentElectrostatic FieldsReflected Light or
Radiation.
Step 2: Search the Library of Effects for ways to detect these fields.
Doppler shift of reflected light allows detection of ring velocity.
(Opposite sides of ring have different shift).
151
152
NewInternal Markers
An internal marker is a substance additive that is mixed with or nested in the subject.
This substance interacts with a matching field to aid detection.
Remember that the ideal additive is one that does not exist. Consider these ways to
produce additives that come close to not existing:
1. Especially active additives (very little is needed)
2. Concentrated additives (very little is required)
3. Temporary additives (eliminated or self-eliminated when not needed)
4. A decomposition of native materials. (Use only the part which delivers the function). It can be
chemically decomposed or segmented.
ExampleDetection of Refrigerant
Leaks
Step 1: Do the existing materials that are being measured react strongly to
any field? Search the Table of Fields in the
appendix.
Step 2: If not, then introduce an additive
(according to the rules above) internally into the
substance to be measured which has a strongly
coupled paired field. A luminescent material is
introduced into the lubricant. A black light
shows the location of the leak.
No
NewAttached Markers
An attached marker is a marker which sits on the outside of the subject. This may be
done to avoid the contamination or because it does not easily mix with the subject.
153
30
NewDetached Marker
A detached marker may be necessary if interaction with the subject and marker must be
kept to a minimum. In this case, a secondary effect which the subject has upon the
environment is detected.
154
Method
Step 1: Envision the system as composed of intelligent little people who
can work together. These people also have the capability to disappear and
reappear if necessary. What do they do to accomplish the desired result?
How do they intelligently act together?
Step 2: Consider possible physical phenomena that can accomplish this
cooperation.
NewEvolution of Field
Phenomena
Solid
Liquid
Gas
Field
Examine the Table of Fields in the Appendix. Note that the top fields are the most abundant
fields and the bottom fields are typically the least abundant. In general, systems tend to use the
top fields first for muscle and then the lower fields for sensing and control. Later, the lower
fields may become more abundant. Since they are both abundant and controllable, it makes
sense that systems evolve toward the bottom fields. By examining the fields currently being
used by your system, or similar systems, you can guess the fields that might be used next.
155
Method
Step 1: What fields are currently being used to deliver this function?
Step 2: What are the next fields that will likely be used?
Method
Step 1: Identify an object related to a physical phenomenon that is similar
to the one required.
Step 2: Multiply the system.
Step 3: Can these subjects be merged or interact together to create an
unexpected capability? Try different orientations.
Step 4: Consolidate elements if possible.
Method
Step 1: Begin with a common physical phenomenon that is normally used
to deliver the modification
Step 2: Identify another phenomenon which performs the same
modification.
156
Step 3: What is the feature of the new subject which would extend the
capability of the first subject?
Step 4: Identify the cheap subject which should deliver most of the
function.
Step 5: Combine both phenomena into a hybrid. A new capability should
emerge. Try combining both as whole subjects. Try transferring just the
desirable feature. Consider having the two physical phenomena interact
with each other.
FilterAbundant Resources
The availability or abundance of resources to deliver the physical phenomena
must be high. Objects and resources are already present in the environment
that can help deliver the physical phenomena. We do not determine in this
section whether a sufficient abundance exists. This will occur in the next
section. That is why this section deals with possible physical phenomena.
Method
In order for the physical phenomenon to have any chance, it should be
abundant in the system.
Step 1: Identify abundant fieldsthese are usually associated with
abundant physical phenomena.
Step 2: Filter the potential phenomena (previous steps) to allow only those
which are abundant.
Method
Step 1: Filter the physical phenomena that you are considering for contact.
157
FilterMultiple Functions
The more useful functions that a given physical phenomena can provide, the
better. Consider the functions that your system will perform and ask: How
many of these functions can be provided by the new phenomena? In the case
of measurement, it would be more ideal of the physical phenomenon could
both sense and control.
Method
Filter the available physical phenomena or identify another physical
phenomenon that can both sense the required object attributes and also
perform control.
FilterPassive Control
If sensing and actuation are required in the same system, then it is ideal to perform
both functions with the same subject. It is therefore necessary that the physical
phenomenon is capable of delivering both.
Method
Step 1: Identify the informing function
Step 2: Identify the actuation function
Step 3: Search for a physical phenomena that can perform both.
158
Method
Step 1: Identify the useful function.
Step 2: Identify the anti-function. This is function which undoes the
function. Another way to form the anti-function is to consider the
opposite of the useful function and then look for a useful variation of this
function. Note that the anti-function of changing is controlling.
Step 3: Does adding the anti-function expand or change the target market?
159
160
Method
Step 1: Is the function already delivered by a super-system observer, even
poorly?
Step 2: What physical phenomenon is employed to poorly deliver this
function?
In following steps we can ask what modifications to the fields or the
observer allow the function to be boosted. These modifications may
require the small addition of substances or structures which react strongly
to the native fields.
Idealize Informing Functions
161
Method
Step 1: Process Map the product life through relevant life stages.
Step 2: Look through the Table of Fields at the end of this appendix.
Identify which native fields the subject experiences at each process step.
Which of these native fields perform this function even poorly?
Step 3: What Effect or physical phenomena can be employed to deliver
this function?
In the next steps we can try to boost this function
Laundry
List
In this step we consider ordinary elements about us that might be pressed into
service to deliver the required physical phenomena. This method is especially effective with low
level fields such as elastic fields, gravity, pressure, etc.
Method
Step 1: Make a laundry list of adjacent elements, especially those which
were not considered in the super-system functional models.
Step 2: What fields are associated with these objects?
Step 3: Consider ways in which elements on the list might be pressed in to
service to perform the required modification.
Step 3: Consider decomposing elements into new components.
162
Method
Consider the following list of cheap substances. Could any of these be
used to deliver any of the Phenomena that you are considering? List of
Cheap Substances: PowdersFoamsVoidsWaterIceSteam
HydratesAirNitrogenCarbon
DioxideOxygenCorrosion
DecaySandSoilRocksWasteWaste WaterSawdustWaste
GlassWaste GasesWaste PaperGarbageYard WasteIndustrial
WastesHybrid SubstancesDisassociated Forms of Any of the
AboveProducts of InteractionsStarting MaterialsFinal Products
Semi-Finished Elements.
Method
Step 1: Identify a similar observer nearby which detects or measures
similar attributes.
Step 2: Combine and consolidate both
elements into one system.
163
Method
Step 1: What part of the current observer performs the function?
Step 2: Can a copy of the observer perform the function?
Our
System
Method
Human
Step 3: Note that in order to oust humans; the human function must be deintellectualized.
Method
Step 1: List objects in the environment associated with the
job at hand. Take especial note of objects with similar functions.
Step 2: The Observer takes over all or part of another objects functions.
This is not simply a combining of objects. When you are done, one of the
two original objects should be invisible. There should be no
compromise in the original functions.
Step 3: Completely new and unexpected benefits must emerge.
different orientations and combinations.
164
Try
Method
Step 1: Consider objects which provide the extreme of the function as
well.
Step 2: Consider taking over all or part of these objects functions. New
and exciting capabilities should emerge, as well as new synergies between
the objects that could not exist before.
Method
Identify incidental functions that the system already performs.
Step 1: What elements in the super-system normally deliver this function?
Step 2: Boost these incidental functions to take over for the other supersystem elements. Look for unexpected capabilities to emerge.
165
Human
Method
Step 1: Look at the system from the viewpoint of humans that interact
with the system. Are humans required to operate the system? Are humans
required to maintain the system?
Step 2: What changes to the system would allow the human to be removed
from the system?
166
Idealize Harmful
Functions
If the function that you are trying to idealize is a harmful function, then begin here. It may sound
somewhat counterintuitive to consider idealizing something that is actually harmful. It would
seem to instantly create an oxymoron. For instance, we might find ourselves considering the
ideal pain, ideal wear or ideal product failure. While this might sound ridiculous, we shall
see that there are ways to think about this that can turn harm on its head. In the end, harm must
not exist and might even become useful.
There are three main ways of handling harmful functions. 1) Turn the harmful function into a
useful function and then boost it. 2) Decrease the harm. 3) Eliminate elements. The first
consideration involves idealizing the modification of a harmful function. We will consider that
later. The second consideration will be considered as the subject of the book Fixing It. The
third consideration deals, in this case, with eliminating the product.
167
168
169
cooling was to travel with the system outside of the manufacturing process, then this is a good
example of the preventative modifications that we will consider here.
The reason that this is less ideal is that this can increase the complexity of the system. There
may be good reasons to do this, however. By adding functions, we can sometimes reduce the
complexity of the super-system or (sometimes) the system itself. If the system already has many
compensating or remedial functions, we may be able to reduce the overall number of elements by
applying a strategic preventative modification.
Diminishing Modifications
A Diminishing Modification is one that reduces the effect of a harmful function WHILE the
harmful function is occurring. This is occurs downstream of preventative functions and
upstream of remedial functions. Diminishing Modifications are usually less ideal than
preventative modifications because there is greater possibility of increasing system complexity.
Again, there may be situations where adding a diminishing modification will improve the
complexity of the super-system.
Remedial Modifications
Least ideal of all is remedial modifications. These are modifications that fix the harmed product
after the fact. This is the least ideal because it requires the addition of new system elements. It
may be justified, however, by reducing the complexity of the super-system.
Useful
Harmful
Harmful
Typical Thinking is
to reduce to zero
Changing to Useful
The typical approach to reducing harm to zero comes from finding object attributes which can be
changes, such as size, position, duration, color and then adjusting the level of these attributes to
reduce the harm. Here, we take an entirely different approach. We actually want to do
something that is truly valuable with that which was harmful. This creates the possibility of
eliminating elements, especially if the new useful function performs a function done by
something else in the system.
170
Mod
AntiFunction
Method
Step 1: Identify the anti-function. Would this be considered a useful
function in the system?
Step 2: Now that the anti-function has been identified, we boost this
function. Use any of the methods from the Table of Knobs (Appendix) to
boost this now-useful function. We may need to consider modifications to
other elements in the system. In the end, the system must become simpler,
or the solution is not a good one.
ExampleFoundry Explosions
Consider a situation where water escapes
from cooling pipes into the refractory
bricks of a smelter. The water explodes
upon contact with the bricks. One of the
harmful functions is that the pressurized
water pushes itself out of the pipe
Pushes
Water
171
Step 3: What is the action performed relative to? Change that instead. It
pushes relative to the hole position of the pipe. This would imply that the
pipe should move instead of the water. This may be possible
Step 4: Boost the anti-function to make it completely useful. Here we
reverse the pressure field and cause vacuum
in the line. This is effectively done by
Pulls
having the pump draw the water through the
Water
line rather than pushing it.
Useful
Variant
ExampleSyrup is Melting
Chocolate
In order to increase production of a chocolate factory,
the syrup that was normally pumped into the
chocolate was heated. This reduced the viscosity,
allowing for larger volumes to be pumped through the
existing pipes. Unfortunately, the heated syrup now
distorted the chocolates.
Syrup
Distorts
Chocolate
172
Distorts
Chocolate
1. Forms
2. Cooks
3. Changes Taste
Chocolate
Sometimes an object will perform a harmful function and a useful variant at the same
time. The useful function may be formed to such a low degree that it is not recognized.
Boosting the useful variant effectively eliminates the harmful.
173
Step 3: Is the harmful function useful any place on the product or on other
elements to the least degree? Boost this function. No useful place is
noticed.
Harmful
Many forms of art require the artist to incorporate flaws which inadvertently
occur during the creation of the art. A small and accidental mark on an India
Ink drawing becomes the beginning a bush, etc.
Malformed
ExampleBlinding Car
Lights
Light
Blinds
Driver
Step 1: If the harmful function could be made
to be adjustable, it might be able to perform the anti-function. What is a
useful variant or a useful function on the system product? A useful variant
174
would be to alert the driver. (Especially if something was wrong with the
oncoming car and an alert could be sounded.
Step 2: Find fixed knobs of the harmful
function elements that can be made
adjustable and boost them: Make the lights
different in color, blinking or intensity to
alert others of an intoxicated driver.
Light
Alerts
Driver
harmful
harmful
useful
Heats
Occupants
Air
Air
Warms
Occupants
Line of Evolution
Increas
ed
Adjustable
Increased
Adjustability
(Continuous, Multiple)
Feedback
175
Controller
Actuator
Motor
Off
Motor
Speed
Voltage
Controller
Actuator
176
Sensor
Error
Control
Laws
Plant
Sensor
177
ExampleStained Carpet
Some liquids can badly stain the fibers of a
carpet.
Step 1: Define a useful variant of the
harmful function.
Perhaps the fluid
washes the fiber instead of changing the
color. This is more like the anti-function.
Fluid
Changes
Fluid
Washes
Color
Fiber
Fiber
Method
Step 1: Create a process map or add the harmful function to an existing
process map.
Step 2: Consider performing the harmful function in a different sequence.
When does it become useful?
178
Method
Step 1: Can the modification be broken into two (or more) stages?
Step 2: Are stages of the function considered useful?
Step 3: Disrupt the sequence of functions so as to only allow the useful
stage.
ExampleFlood Waters
Flood waters destroy manmade structures and croplands. These very same
areas are often affected by drought. Lets consider the harmful action of
the flood waters.
Step 1: Identify a useful variant of the harm. The water performs a
harmful action. It washes away crops and land. This harm has the useful
variant of nourishing the plants.
Step 2: What does it mean to store this function? We must store the
nourishment that the water provides. We can do this by storing the water
for use when it is needed.
179
Method
Step 1: If the harmful modification were performed
more rapidly, could it actually perform a useful function on the product?
PreventativeIdentify a Preventative
Modification
Identify Preventative modifications on the harmed product which will have the
effect of diminishing the harmful effect on the product. There may be several
possibilities, but remember that we are modifications that prevent rather than
remediate problems.
Mod
Method
Step 1: Consider potential modifications to the product that prevent harm
in the first place.
Method
180
Examples are
Misinforms
Method
Step 1: Consider ways to misinform the tool
Step 2: Consider hiding the product
Step 3: Consider camouflaging the product.
DiminishingIdentify a Diminishing
Modification
Identify diminishing modifications on the harmed product which will have the
effect of diminishing the harmful effect on the product. There may be several.
Mod
Method
Step 1: Consider potential modifications to the product that diminish
harm.
DiminishingMediator
Mediation of harm is a form of diminishing function. It can also be
preventative. Unfortunately, the mediating object is a new object in the
system, but it can often be decreased to a coating or minor object. Ideally the
mediating object should be made from some derivative of the product or tool.
(That is indicated by the two tone mediator). This usually reduces the
complexities that often occur with mediators that are composed of substances
that are foreign to the system.
Mediator
Method
Step 1: Place another object in the path of the field. This object stops the
harm. Examples include: Umbrellas, Dark Glasses, Paint, Coatings and
Oxide Films
181
Step 2: Consider ways that this could be performed without the addition
of any new substance. Ideally this should use objects or substances that
are modifications or derivatives of existing substances (either the tool or
the product).
Modified
Foreign
Substance Tool/Product
Substances
Void
Consider each
Line of Evolution
None
Foreign
Mediator
Modified
Material
Void
Rocket Nozzle
Internal additives
Ionized
Recombined
Dilution of constituents
Concentration of constituents
Change of Bulk Properties
Form structures at micro level
State of Matter
Chemically altered
Heat treatment
Electrification
Heated
Foam
Decomposed
Mobilized
Method
Step 1: Identify the fields and flows involved in the
problem
Directly
Counters
Step 2: Eliminate the effects of the tool by counterflowing the fields or flowing substances.
DiminishingAbsorb or Dissipate
Harmful Fields
Another element draws off the harmful fields. This element should
not be added to the system if possible. If possible, it should already
exist in the system and perform this extra function.
Method
Step 1: Identifying the type of material that could absorb or dissipate the
harmful fields.
Step 4: Consider other elements in the system that could take on this
additional function of dissipating or absorbing the harmful field.
Idealize Harmful Functions
183
RemedialIdentify a Remedial or
Compensating Modification
Method
Identify remedial modifications on the harmed
product which will have the effect of diminishing
the harm.
Mod
RemedialPreviously Placed
Cushion
Method
Step 1: Identify another element which can take
over for the failed product.
Step 2: Look for ways to add the minimum
possible.
RemedialFixing Functions
Method
Step 1: Identify ways to fix the problem after the fact.
184
Non-Existent Tool
It is very common for a tool to cause both harmful and useful functions. Eliminating the
tool will remove the harm, but now there may be a necessity to transfer the performance
of the useful function to something else.
185
Informs
Bulb
Burns
Owner
Tree
Method
Step 1: Why is the Function Required? What does it prevent? What does it
fix? What does it make up for? Does it counter something? Follow this
reasoning back through the causal relationships. If a Cause-Effect
Diagram is being used, it is easier to follow the chain of reasoning back to
the problems that the function helps to resolve. Practically, this is done on
a Cause-Effect diagram by considering the existence of a tool or product
of a function as an object attribute that causes the problem. (Seeing the
function in the cause effect diagram reminds us that existences of the
elements of the function are object attributes that should be considered.)
186
When we consider non-existence of element in the system (in the side-byside box), we begin an alternative problem path which leads us to
understand why an element was originally required in the system. It is
possible to remove the need for the troublesome element and often other
elements by resolving a problem elsewhere in the system. This is done by
tracing back the alternative problem path.
Non-existence of a function element is shown with a new function which
has no tool. The tool was required to perform a function which no longer
is performed because the tool is missing. One solution of the alternative
problem path is to find a new way to perform the function of the missing
object. This often leads to the consideration of how the function might be
performed by existing elements, thus simplifying the system.
A slight change to an object in the system (often the object that we are
serving) removes the requirement for the main function and hence the
objects that deliver the function. In other words, if something did its job
better than our system wouldnt be needed.
187
188
Simplify by
Eliminating Individual
Elements
Now that we have considered tools which have the potential of eliminating
large groups of elements, we will consider tools that help us to reduce the
number of individual elements. We do this by forcing elements in our
system to take on additional functions after first eliminating the element that
performed that function.
In general, we will consider eliminating all burdensome elements, but there
is one particular case that should be emphasized. Recall that when we
identified burdensome functions and elements, one of the considerations was
low value elements. Low value elements are typically those that only (1)
perform one function, (2) do not operate directly on the system product and (3) cost a lot. We
would like to directly eliminate low value elements if possible. If we cannot replace them, then
we may consider having the low value element take on more functions.
ExampleCutting Tape
Recall that we used this example to show how to identify low value
objects. While we could have chosen any example of a burdensome
system, this example illustrates how to identify and remove low value
elements.
189
Holds
Table
Spindle
Supports
Tape
Positions
Supports
Cuts
Supports
Pulls/
Rotates
Supports
Blade
Base
Person
Positions
Table
Supports
Tape
Positions
Supports
Cuts
Supports
Supports
Blade
Pulls/
Rotates
Person
Positions
190
For instance, we could consider the object being tapped. In this case, we
will allow the spindle to support the blade. The person will support the
spindle.
Holds
Spindle
Supports
Tape
Positions
Supports Cuts
Positions /
Supports
Blade
Pulls/
Rotates
Person
Note that not all of the bugs are worked out in this tape dispensing system.
There is the potential for the blade to swing around. Support for the tape
may not be sufficient, etc. When we go to the Fixing stage of problem
solving, we will try to work out these bugs.
191
Mirror Support
Optical cover is
expensive
Tube
Angled
Mirror
Redirects
p
Supports
Mount e
Focuses
r
Supports
Positions
f
Supports
o
Supports
rDrive
Lens
Lens Case
m
e
Adjusts
d
by each element.
Light
Informs
Person
192
Supports
Cover
Ground
Supports
Supports
Parabolic
Mirror
Focuses
Supports
Positions
Tube
Supports
Angled
Mirror
Redirects
Constrains
Distorts
Absorbs
Dust
Light
Mount
Positions
Focuses
Supports
Informs
Supports
Supports
Drive
Lens Case
Lens
Person
Adjusts
193
194
Simplify by
Consolidating System
Elements
By this point, all remaining functions and elements are considered essential. We can further
simplify the system by consolidating elements. When we consolidate elements, we merge them
together. This is not as simple as combining elements. Ideally, consolidation should create
unexpected benefits or synergies. For instance, the user may be able to expand the same function
to other elements not yet considered. Consolidation is a natural step in the evolution of systems.
Following is the evolutionary path for consolidation:
Multiply
Group
Same
Biased
Different
Opposite
Combine
or
Interact
Consolidate
Knife Example
We start with a single knife (mono). Then we use two knives to hold the
object in place and get the benefit of two knives (bi-system). Next we
designed the knives to interact with each other (interacting) or scissors so
that we have benefit of two knives that can be operated with one hand.
This is an unexpected benefit. Also, the scissors can be used on a variety
of objects that the knives would have difficulty with such as cutting fabric.
It is not clear how to consolidate the blades.
195
Bi-System
Mono
Interacting
Consolidated
ExampleMachine Gun
We start with a single-shot rifle (mono). We might want several singleshot rifles ready just in case we need them (multiply same). Then, we
could combine several barrels into one gun (combined). Finally, we can
have a simpler, lighter gun with one barrel which automatically reloads
from a clip of ammunition (consolidated).
Mono
Consolidated
Multiply
Same
Combined
ExamplePump Gun
We start with a single-shot shot gun (Mono). Again we may want to have
other single-shot shot guns available (multiply same). Next we see a
double-barreled gun (combined). Finally we have a gun which holds
several shells which ejected and reloaded with the pump action
(consolidated).
Mono
196
Multiply
Same
Combined
Consolidated
ExampleBiased Hammer
We start with a group of
hammers, one with a
large head and one with
a small head, for
different
situations
(group biased).
We
Consolidated
Group
Combined
could
combine
the
hammers to have both
size heads (combined). How they can be further consolidated is not yet
apparent.
ExampleHammer-Axe
Similar to the above
example, we start with a
hammer and an axe (group
different) then combine
them into one hammer-axe
(combined). Can they be
consolidated even further
to be right for any situation
without any drawbacks?
?
Group
Different
Combined
Consolidated
?
Consolidated
197
ExampleSimplifying
Eating Utensils for Backpackers
Step 1: Chose a low-value object: In this case,
we start with a common fork
Step 2: List objects in the environment with
similarities to the chosen object: A spoon is
chosen. This is both functionally similar and has
parts which are also the same, such as the handle.
Step 3: Pick a part of the main object
(preferably one of the more important ones)
and eliminate it. Here we eliminate the handle
Step 4: One of the similar objects takes over
this function. We pick a part of the main object to
eliminate, in this case the handle. We combine the
spoon with the leftover part of the fork, giving us a
spoon with a fork parasite.
Step 5: Look for unexpected capabilities: Aside from the lower weight
and versatility, this utensil is very useful when eating certain types of
foods that require both a fork and a spoon such as stews, which contain
large pieces of meat.
198
Rake
Cuts
Collects
Weeds
Cuts
Collects
Weeds
199
ExampleConsolidating Pneumatic
Elements
A typical fluid handling system controls
the pressure of a fluid by means of a
pressure regulator and is capable of
starting and stopping the flow with an OnOff Valve. How can this system be
simplified?
Step 1: Identify tools that perform
different functions on the same
product: Drawing a functional
diagram alerts us to the fact that
both the on-off valve and the
pressure regulator operate on the
same product, the fluid.
On-Off
Valve
Pressure
Regulator
Pressure
Regulator
Valve
On-Off
Valve
Controls
Flow
Fluid
Stops /
Starts
Regulator/Shutoff
Valve
Controls
Flow
Fluid
200
Anchor
Drill
Penetrates
Holds
Wall
Step 2: Consider ways to combine and consolidate the elements: The drill
and the anchor are to be combined. The new product drills the hole as it is
screwed into the wall. The thread, which follows, goes nicely into the
drilled hole.
Drill/Anchor
Holds
Penetrates
Wall
201
Hammer
202
Small
hammers
for small
nails
Large
hammers
for large
nails
You might own a few different hammers. They are essentially the same,
but have one main difference. One is smaller than the other. The size
difference is mostly to aid in seeing the nail. (Having a hammer with
lower weight does not aid that much as the operator tends to strike less
vigorously). Both tools do the same thing and operate on the same type of
product, but there is a difference between the products: one is smaller
than the other. We say that the products are biased.
Step 2: Merge the two systems or cause
them to interact. If there is a common
element, use only one of these elements.
A consolidated hammer provides the same
function on small and large nails. The
head of the hammer is still able to operate
on different products.
Small and
Large Hammer
Combined
Merge Anti-Tools
Evolution of systems dictates that functions will eventually be combined with the
anti-function. The tool which performs the anti-function of your tool may already
exist in the super-system.
ExampleCombining a Hammer
& a Crowbar
While this may be a problem of the past, it still
helps to convey a familiar message. We will
consider tools related to the job of carpentry.
Step 1: Identify a tool within the system: We
identify a hammer for driving nails.
Step 2: Identify the anti-function of the tool: since the tool is used to
drive nails into wood, the anti-function would be to extract nails from the
wood.
Step 3: Identify objects within the system
which are already used to perform the antifunction: The crowbar is used to extract
nails, especially nails that didnt go in straight or were bent.
203
ExampleVegetable
Peeler
Step 1: Identify objects that are in close
proximity: knives, zesters.
Step 2: Consolidate these elements so that they
are easily used together. The knife is
incorporated into the blade as well as the zester. While the use of these
functions may be contiguous on certain vegetables, such as potatoes, it
may not be on others. This tool could be used to create unusual platter
decorations.
ExampleMultifunctional Camera
Step 1: Identify objects that are in close proximity: Digital movies,
binoculars, GPS, magnifying glass and internet.
Step 2: Consolidate these elements so that they are easily used together.
The above objects are combined in such a way that digital movies can be
shot, edited and played. The quality of viewing is sufficient to watch
commercial movies. The camera is also capable of extremely close-up
shots that effectively make it a magnifying glass. The internet capability
makes it possible to download movies from the internet. The GPS makes it
possible to do geo-caching or other outdoor navigational activities while
taking pictures or movies.
204
Method
Step 1: Use unoccupied space. Identify the boundaries of
the object as it currently exists. Look for volumes of
unoccupied space. What elements can be moved within
this space? Look for volumes of occupied space that
perform little function. What elements can be moved
within this space?
Step 2: Change the orientation of objects. If objects were oriented
differently in 3-dimensional space, could it be made more compact?
Consider each element and try different orientations.
Step 3: Use space saving structures such as tubes, filaments, fabrics,
expanding materials and nested objects.
Step 4: Miniaturize. What components do we already know how to
miniaturize?
Step 5: Change the order of things. Put outside things inside. The horse
becomes the engine. The lock is in the door. The speaker is in the
computer.
Step 6: Use mass conserving structures such as cantilevers and cables.
205
206
Simplify by
Modularizing
The final approach to simplifying the system is to modularize elements according to the Value
Chain Evolution Theory 6. This theory states that when system performance or reliability is not
good enough to satisfy the demanding needs of a market, the architecture of these systems tend
to be, or remains, integrated. (i.e., not modular). In order to improve systems performance or
reliability, integrated systems require detailed coordination between different companies. Such
coordination is difficult or impossible with modular systems. Improvements or changes in one
location of the system influence other parts of the system. The whole must be tuned together.
As time goes on, the performance or reliability overshoots the needs of the market. Now the
industry competes on cost, convenience or delivery. In order to produce at ever decreasing costs
and to develop products faster, internal standards become industry standards and rules of thumb.
Products can be broken into modular elements which can be brought to market more rapidly. In
order for a part of a product to be modularized, it must be clear which attributes of the interface
are important. It is also necessary that these interface attributes can be verified. Finally, it is
necessary that the effects of changing an attribute are predictable.
Generally, the performance of a component must be degraded
somewhat in order to become a module. (Many of the attributes
Golden Rule of
can only be modified in increments, rather than continuously).
VCE:
Because the products have not overshot market demands, this
Integrate to improve
what is not good
degraded performance exhibited by modularized products is
enough and
acceptable, especially in exchange for higher speed-to-market or
outsource what is
more than good
convenience. If the performance is not good enough, most of the
enough
market will not accept this degraded performance.
Sub-systems or systems whose performance is still not good
Christensen, Clayton M., The Innovator's Dilemma: When New Technologies Cause Great Firms to Fail, Boston,
MA: Harvard Business School Press, 1997.
Simplify by Modularizing
207
enough remain integrated and surrounded by modular components. These integrated systems
continue to demand high margins because their performance is limited and still improving. Most
companies which create modules do not have the resources to tackle the problems of integrated
architectures.
Products using modular architectures can be produced at a lower cost than those produced using
integrated architectures. This outcome results in spite of more parts and the need for more
interface components. Lower total cost results from sourcing individual modules from one of
several highly price-competitive companies. Businesses which create such modules typically
operate with low margins due to intense competition. The performance of your module is good
enough and you compete on price and convenience.
As a side note, some companies are capable of making several modules and can remove the
expensive interfaces between the parts, further reducing costs.
Several conditions must be present to consider modularization. First, the system must have
overshot the expectations of the market in terms of performance and reliability. The system will
degrade in performance slightly as a result of modularization. Components will not be exactly
matched to each other, so it is necessary that you have enough of a performance margin to absorb
this impact. Next, exchanges across system interfaces must be well understood. Finally, rules of
thumb must apply well. It should not be necessary to perform complicated analysis in order to
determine the interactions.
Note that integrated systems are always surrounded by modular systems.
The integrated system is necessary because the performance or reliability
of that system is not yet good enough to modularize.
ExampleSoftware
Programmers will often turn large complicated programs into small
modules. This helps them to reuse code and avoid re-inventing.
However, the new concern becomes the interactions or interfaces.
208
Simplify by Modularizing
Recursively Simplify
Go back to the first step of the simplifying algorithm and create a function diagram
for the new system. Do it all again until you are satisfied that you have done what
you can.
Understand that you may generate greater problems by simplifying the system.
That is OK. These problems are handled in Fixing Systems.
Recursively Simplify
209
210
Create a Compelling
Aesthetic Interface
Designs are not elegant until the user says Aha! 7 The design should be ergonomic as well as
create an emotional response. The emotional appeal should be directed towards the target
market. Elegance might not be the design goal of exercise equipment for muscle builders.
Some might argue that the aesthetic interface is a detail to be added later in the design. Actually,
we should consider aesthetics in the earliest stages of considering what a product should do. The
aesthetic function is an emotional function. What does the product do to the user or onlookers?
Designing the user interface up-front is the best place.
In our case, we have just ripped and torn apart a design and then reassembled it. This is a good
place to consider aesthetic appeal.
Elegant Solutions by Owen Edwards, Crown publishers, inc. New York, 2989
211
212
Appendix: Working
With Functions
Functional Nomenclature
A system is not what it looks like. A system is what it does. Functional
language is a convenient and compact way to describe what a system does.
It is recognized that the proliferation of TRIZ terms is objectionable and
makes it difficult for the new student to translate between different
authors. Sometimes different terms are used to mean the same thing. In
order for the reader to translate while reading this text, a consistent
nomenclature will be established. It is hoped that this nomenclature will
already be familiar to most readers.
A System is a collection of physical objects that deliver a function.
Examples of a system might be a toaster or a car. Many different objects
make up a system, and they all work together to deliver a function to the
user which helps to perform a job or task. Objects in the system act upon
each other. In function analysis, interactions between two objects are
taken one at a time. Below is a generic function diagram showing its
parts.
Tool
Modification
Product
The physical element that is acted on will be referred to as the Product. (In
other texts, it may be referred to as the object or artifact.) The object that
acts on the Product is referred to as the Tool. What the tool does to the
product will be referred to as the Modification. (In some texts, this is
Appendix: Working with Functions
213
Liquid
Changes the
Heats
Temperature
Thermometer
Thermometer
Longhand Form
Short Form
The use of the term modification helps the beginner to understand that
the tool and product must be physical elements. It also helps to correctly
describe confusing functions, such as how paint protects wood.
Beginners often write:
Paint
Protects
Wood
214
Wood
Controls Location
Paint
Controls Location
Moisture
Once the longhand form is firmly entrenched, the student can usually
revert back to the short form of the modification for brevity.
Wood
Holds
Paint
Stops
Moisture
215
Tool
Modification
Product
Test 2: Are the tool and product something you could drop on your foot?
The tool and product are always physical objects when it comes to
physical phenomena. However, when software and business problems are
worked, there may be the need to consider virtual objects such as used in
object oriented software.
If the system were being used to correct the temperature of the water over
the course of time, we would have chosen the word controls instead of
changes.
Pan
Pan
Changes
Heat
Temperature
Water
Water
Test 4: Does the tool directly modify the product? This is not a hard and
fast rule because sometimes brevity is required. However, it is important
to understand the chain of physics that is involved, and if you do choose to
be brief, it should be understood that this is a simplification and not a
description of the actual physics. In this case, the pan is an intermediary
for the heat to warm up the water. The flame does not directly affect the
heating of the water.
Flame
Heat
Water
Pan
Changes
Temperature
Water
217
Excessive
Useful
Harmful
Flawed
Useful
Dryer
Dryer
Dries
Clothes
218
Moves
Moisture
Confusing Functions
As a matter of practicality, it is important that the modification be properly
described to ensure clear thinking. The modification must directly change
some attribute of the product. For instance, the modification could be the
density, position, color or smell of the product. In the shorthand form, the
modification is a verb. This cannot be just any verb, but only verbs that
describe a change or control of the product.
The selection of the verb can often be confusing. This is particularly true
when it comes to creating modifications from common English
descriptions of functions. For instance, we may say that a bottle lid seals
the bottle. This is an example of a confusing function. We might be
tempted to think that the lid is actually doing something to the bottle.
However, what is really happening has more to do with keeping the
contents of the bottle inside or what is outside from coming into the bottle.
We could state this in English is a less confusing fashion. The lid
constrains the content of the bottle and/or the lid constrains the outside
gases. Less related is the function that the bottle performs on the lid by
positioning it.
If there is confusion, one should consider using the
longhand form of the modification. This starts with the words Change
Control or Create, thus making it clear that some physical parameter
of the product must be physically influenced.
219
220
Appendix: Table of
Fields
221
Centrifugal Force
Hydrostatic
Jet Pressure
Diffusion
Sound
Current
Corona Discharge
Appendix:
Table of
Thermal Heating
or Cooling
Electrostatic Field
Fields
Radio Waves
Micro-waves
Osmosis
Surface Tension
Chemical Fields
Ultrasound
Eddie Currents
(internal and skin)
Thermal Shocks
Waves
Particle Beams
Nuclear Forces
Magnetic Field
Electromagnetic
(Voltage)
Infrared
Adhesive
Coriolis
Force
Buoyant
222
Friction
Gravity
Information
Visible Light
Ultra-violet
X-Ray