7º Congreso Iberoamericano de Innovación Tecnológica

Orizaba, Veracruz, del 14 al 18 de noviembre del 2012

TRIZICS ROADMAP APPLIED TO EARLY-STAGES OF TECHNOLOGY

RESEARCH

Carlos J. Espinoza-González
Carlos A. Ávila-Orta
Guillermo Martínez-Colunga
Darío Bueno-Baqués
Alfonso Maffezzoli
Francesca Lionetto

Abstract
The application of TRIZICS as a comprehensive and logical problem understanding-
solving framework for early-stages of technology research is presented. Analytical TRIZ and
non-TRIZ tools are applied to identify key issues to address improvements and developments
in melt processing of polymeric materials using the ultrasonic treatment technology. The
technological evolution of the ultrasonic treatment technology of polymer melts shows an
unexpected pattern of evolution during its fifty years of history. A quantitative evaluation of
the evolution patterns and the logical patterns in a Learning process suggests a more in-depth
understanding of the scientific principles of the technology. TRIZICS is proposed as a
successful roadmap to address more efficiently the early-stages of technology research
processes.

Keywords: TRIZ, Technology, Ultrasound, Polymer.

1. Introduction
The technology research could be defined as a process used to collect and analyze information
concerning the discovery and interpretation of facts, which are oriented toward technological
applications. As general consensus, a research process involves the phases/steps of i)
formulation of the research problem, ii) extensive literature review, iii) specification of the
purpose of research, iv) determination of specific research questions or hypotheses, v) data
collection, vi) analysis and interpretation of data, and vii) report and evaluation of research [1].
In the field of the technology development, the early-stages in the research process (the first
four steps above mentioned) represent the most crucial stages, since the level of success of
such technology is dictated by an accurate selection of which components/parts of a
technology require to be improved or developed.
How important could be to “spend time” in those four steps? Nowadays, most companies that
emerge from technologies developed in academic and research institutions (spin-offs)
acknowledge that a rigorous technology research process is required to develop new products,
or find the next generation of any current system or product. Thus, the phrase “spend time”
can be better replaced by “invest time”. The first four steps in the research process could be
viewed as easy steps to follow; however, when we talk about improvement and development
of new technologies, these “easy” steps can sometimes be very difficult to follow.
TRIZ (Theory of Inventive Problem Solving) is an engineering problem solving toolkit that
has demonstrated to play a crucial role in the improvement and development of technological
systems. TRIZ tools help to investigate and find the existing answers to our problem through

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Orizaba, Veracruz, del 14 al 18 de noviembre del 2012

an entire problem understanding. However, TRIZ tools are not normally organized into a step-
by-step process, therefore in some cases, is difficult to achieve an entire problem
understanding. Recently, Gordon Cameron (TRIZ trainer and elected President of the Arizona
TRIZ Association) integrated all TRIZ tools with other non-TRIZ problem solving tools into
a comprehensive and logical problem understanding-solving framework called TRIZICS [2],
which facilitates the process of understanding and problems solving.
Recently, we performed an analysis of the current state of the art of the ultrasonic treatment
technology of polymer melts following the TRIZICS roadmap, in order to find opportunities
for future investigations, improvements and developments [3]. Technological and scientific
issues concerning with the physical and chemical effects of the ultrasound in polymer melts
were discussed. In the present paper, the step-by-step process of the TRIZICS roadmap is
revealed and presented as a roadmap to address more efficiently the early-stages of
technology research processes.

2. Background theory
2.1 TRIZICS roadmap
TRIZ tools are not typically organized into a step-by-step process, so inexperienced TRIZ
users find it difficult to decide which TRIZ tools to use and when to apply them. There is an
algorithm called ARIZ [4], which come from the Russian acronym Algorithm Rezhenija
Izobretatelskih Zadach known as the Algorithm for Solving Inventive Problems (ASIP in
English). This algorithm combines several TRIZ solution tools into a sequential process;
however, ARIZ does not form an overall problem solving process because it is a method for
taking a specific problem with known root cause and solving it.
TRIZICS is a structured and practical problem solving framework for the application of TRIZ
tools, which leads from the beginning of a problem solving process to the end, that is – from
problem definition to implementation and validation of the solution. Figure 1 shows the six
main stages regarding to problem understanding and solving process using TRIZICS. From
this figure, the first four stages of TRIZICS represent the early-stages of the research process.

Figure 1. Six stages for problem solving using TRIZICS

An overall understanding of the first four stages of the TRIZICS process is described below.

2.1.1 Identify the problem

TRIZ is a method to promote “out-of-the-box” creative thinking, and it is not a good idea to
start to solve a problem by using TRIZ. Instead, TRIZICS suggests first apply a standard “in-
the-box” problem solving method, which includes cause-effect-chain analysis, brainstorming,
fishbone, among others (Figure 2). However, if the problem cannot be solved or a more
innovative solution is required, TRIZ and other creative thinking tools should be applied.

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Orizaba, Veracruz, del 14 al 18 de noviembre del 2012

Figure 2. First step of TRIZICS – Identify the problem

2.1.2 Select the type of problem

A problem to be solved may be reactive or proactive and the root cause may be known or
unknown. TRIZICS categorizes four types of technical problems as shown in Figure 3; in
which, the improvements and developments of technology systems are always classified as
general inventive (proactive).

Figure 3. Second step of TRIZICS – Select problem type

2.1.3 Apply analytical tools

Once the problem has been classified, the application of analytical TRIZ tools helps to break
the original target problem down to a level that is easier to solve. The analytical TRIZ are
classified in four groups according to type of problem. Figure 4 shows which analytical tool
should be used for a type of problem.

Figure 4. Third step of TRIZICS – Apply analytical tools

In this paper, we will focus on S-curve analysis and on trends of evolution tools as TRIZ tools,
and on “the most important graph in the world” as a non-TRIZ tool suggested for improving
and developing of technological systems. A brief description of these tools is presented below.

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2.1.3.1 S-curve analysis

The technological systems evolve by following a trend towards increasing ideality (i.e.
increasing their functionalities and decreasing costs, harmful or negative factors). The life
cycle of a technological system, component or sub-system can be described in terms of an S-
shaped curve, which includes four main stages: infancy, growth, maturity and decline. Within
these stages, the technological changes that occur in the system are: i) platform type, ii)
components and designs.
According to Sood and Tellis [5], during infancy stage, the nascent technology is defined by a
“platform innovation” which emerges from scientific principles that are distinctly different
from those of existing technologies. On the other hand, processes of “components and design
innovation”, which develop new parts or products and re-configurations of the linkages and
layout of components within the same technological platform, take place during the growth
and maturity stages. In the decline stage, the innovations performed within the same
technological platform do not increase the ideality of the system. Figure 5 shows the four
main stages in the technological evolution of systems, as well as the technological changes
that take place during these stages.

Figure 5. S-curve of technological evolution

Thus, the technological evolution graph helps to determine the stage in which our technology
under study is located, and also focus the improving and developing actions towards
innovations in platform, components or designs.
2.1.3.2 Trends of evolution
From the study of patents, it was recognized that technological systems do not develop
randomly but follow repeatable patterns or “trends of evolution”; in which, the knowledge of
these trends allows predicting the future development of a system. In order to position the
state of a system in relation to each law of development, Cavallucci and Weill [6] suggest
detecting the deficiency of the system in relation to a law, gauging each law on scale of 0 to 3:
• 0: The law is not applied at all, it is necessary to focus on its development.
• 1: The law is applied to a small extent; the future development of the systems probably
depends on developing this law.
• 2: In most cases, the law is applied. It should perform a development in this direction if
none other law is deficient.
• 3: The law is applied. A development in this direction will not contribute to system’s
development.

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2.1.3.3 “The most important graph in the world”

“The most important graph in the world” as called by Tony Buzan et al. in their recent work
[7], is a graceful graph that represents the basis for creative thinking (Figure 6). This graph
might be used as complementary non-TRIZ analytical tool for time management and
development of technological systems.

Figure 6. “The most important graph in the world” by Tony Buzan [7].
The most important graph in the world is based in seven Memory laws distributed along a
learning curve with the vertical axis indicating the intensity of interest, and the horizontal axis
indicating the time of the learning period from where learning starts to where learning ends.
How can it be applied to understand the patterns of evolution? At the beginning, the curve
indicates a memory law known as the Primacy Effect (P), representing the moment in which
a prime interest in developing or improving a technological process is born. This action could
derive from current needs or previous studies performed. The “X” on the curve indicates the
memory law called the Understanding and Misunderstanding Effect (U). This law
represents the brain’s ability to make connections, and can be related with the infancy stage of
the S-curve (see Figure 5), in which the scientific principles are used to build a platform
innovation.
As the technology systems evolve, the scientific principles are applied to develop new
applications, products and increase the ideality of the system. These facts represent the
memory law called Association Effect (Ax ; x = 1, 2, 3, …), which is presented during the
learning process. The continuous application of the association effect Memory law will
originate the Memory law called the Von Restorff Effect (VR), which represents the growth
stage on the S-curve.
At this time, the continuous improvements and developments in components and designs have
increased significantly the ideality of the system. Thus, the Von Restorff effect leads to the
next Memory law called the Effect of Meaning (M). The “smiley face” on the graph
represents the point at which the scientific principles from platform innovation have been
completely understood and successfully exploited. The ideality of the system has reached its
maximum within the technological platform. This point on the graph represents the maturity
stage in the S-curve.
On the other hand, arrows located during the learning process indicate the moments of
injection of interest, which represent the Memory law called Interest Effect (I). In a
technological system, this effect represents the needs in improving and developing in
components and design. Finally, at the end of the learning process, the continuous
development of the system within its technological platform does not contribute to system’s

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development and the ideality of the system is not increased. This point represents the Memory
law called Recency Effect (R).
2.1.4 Define a specific problem
Applying the analytical tools often leads to a re-definition of the original problem and the
definition of a number of different new specific problems to address. Once the problems list is
created, should be selected those specific problems that will really contribute to system’s
development. Afterwards, in order to apply the TRIZ solutions tools, the selected specific
problem must be re-stated as a technical contradiction, physical contradiction, Substance-field
(Su-field) model, function statement, or a search for a trend of evolution (Figure 7).

Figure 7. Fourth, fifth and sixth step of the TRIZICS roadmap

The development of any technological system, until reach an ideal state, is a learning process
addressed by patterns or laws of evolution. These patterns or laws are derived from the study
of patents, which is in fact, result of the human thinking. The recent progress in human
thinking has allowed representing this learning process through Memory laws, which describe
surprisingly why the technological systems follow such patterns.
In the following section, the TRIZICS roadmap is applied to analyze the current state of the
art of ultrasonic treatment technology of polymer melts, in order to determine the key issues
that would contribute to future development of this technology.

3. Ultrasonic treatment technology of polymer melts.

3.1 Following the TRIZICS roadmap
Since the 1950s, extensive studies on the effects of application of high-power ultrasound on
polymer melts have led the application of both ultrasound-assisted extrusion processes and
static ultrasonic treatments of polymer melts in devulcanization of rubbers [8],
compatibilization of immiscible polymer blends [9], and more recently in the preparation of
polymer nanocomposites [10,11].
3.1.1 Identifying the problem
Nowadays, the rapid diffusion of polymeric materials in new markets requires the innovation
of new technologies or the upgrading of those existing. Future developments that could be
achieved using the ultrasonic treatment technology require more than simply solutions

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Orizaba, Veracruz, del 14 al 18 de noviembre del 2012

extracted from “in-the-box” problem solving methods; so a rigorous technology research is

demanded in order to obtain “out-of-the-box” solutions.
3.1.2 Selecting the type of problem
The need to improve and develop more efficient methods for processing of polymeric
materials using the ultrasonic treatment technology can be classified as General inventive
goal (proactive), which corresponds to problem of type-3.
3.1.3 Applying analytical tools
Within the TRIZ analytical tools suggested by TRIZICS roadmap, S-curve analysis and trends
of evolution tools were selected to study the current state of the ultrasonic treatment
technology of polymer melts. In addition, “the most important graph in the world” is
suggested as complementary analytical tool.
3.1.3.1 S-curve analysis
Following the method used for other researchers [12], the technological evolution graph was
built through an extensive search and analysis of patents since the birth of this technology in
the 1960s. EPO-Espacenet was used as preferred search engine. Figure 8a shows the number
of issued patents related to the use of ultrasonic treatment technology of polymer melts. This
technology emerged in 1963, when B. W. Lerch introduced the ultrasound to processing of
polymer melts, in order to improve its rheological properties [13]. So, during the course of its
evolution, the most relevant applications fields have been the improvement in the
processability of polymers, the devulcanization of rubbers, the preparation of polymer blends,
and the preparation of polymer nanocomposites. From this figure, it can be also noted that the
emulated pattern of evolution (red dotted curve) shows similitudes with the Altshuller pattern
of evolution.
On the other hand, the pattern of evolution describing the “performance” of this technology
was built from ideality equation (eq. 1), and showed in Figure 8b. The analyzed patents
regarding this technology are mainly related with new functionalities or applications in the
preparation of new materials; so each patent could be considered as a new benefit or
functionality. Regarding with negative effects, the ultrasound-induced degradation processes
are considered as the main negative effects. These processes can induce a breakage of
polymer chains as well as branching and crosslinking reactions, which deteriorate the
mechanical properties of the polymers. So, these negative effects were set as constants.
↑ Benefits / functionalities
Ideality = (1)
↓ Negative effects
From Figure 8b, it can be observed that the pattern of evolution of the ultrasound technology
(red dotted curve) is similar to S-curve shape described by Altshuller pattern of evolution.
Since 1990, the performance of the system has increased significantly since it has been taken
advantage of some negative effects for preparation of new materials. For example, the
breakage of polymer chains has been used to devulcanization of rubbers [8], and the
crosslinking reactions to preparation of polymer blends [14].
In addition, the first three stages of the technological evolution of the ultrasonic treatment
technology of polymer melts can be identified from Figure 8b:
• The infancy stage (from 1960 to 1980): Marked by the beginning of the use of the
ultrasound technology in the improvement of the processability of polymer melts.
• The growth stage (from 1980 to 2000): Described by the tremendous growth in the
numbers of patents for improving processability of polymers and devulcanization of

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rubbers, as well as the introduction the ultrasonic treatment technology to polymer blends
and polymer nanocomposites field.
• The onset of the maturity stage (from 2000 to present): Described by the decreasing in the
functionalities and applications of this technology.

Figure 8. Patterns of evolution of the ultrasonic treatment technology of polymer melts. a)

number of inventions. b) performance.
From the analysis of S-curve, it seems that the limits of ideality of the ultrasonic treatment
technology of polymer melt within its technological platform were being reached. Thus,
future developments will increase modestly its performance, and only a radical system re-
definition could maintain the pace of progress.
An analysis of the trend of evolution or the Altshullerian laws was performed, in order to
know more in depth, which evolution laws have been completely developed and which ones
still require future developments. This analysis is discussed in the following section.

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3.1.3.2 Trends of evolution

The Altshullerian laws include issues concerning with the knowledge of the technological
platform of the technology under analysis. An examination of the patent documents hardly
can give an entire understanding of the technological platform necessary to perform an
evaluation of such laws. Therefore, an extensive analysis of the trend of the research
publications using the ultrasonic treatment technology of polymer melts was performed.
Figure 9 shows the trend of the research publications related to polymer processing and
studies on the chemical and physical effects of the ultrasound, where the most relevant
publications are indicated.
The comparison of the shapes of the Figures 8b and 9 between the periods from 1990 to 2000
is very informative. Although the innovation rate increased (see Figure 8b), the research
publication rate was relatively low (see Figure 9). After a careful review of the publications,
an unexpected fact in relation to technological platform of this technology was found. In 1983,
Peshovskii et al. proposed a possible mechanism of action of ultrasound waves in polymer
melts based on old mechanisms of ultrasound in solutions. However, recent publications have
concluded that there is still a lack of a deep understanding of the mechanism of action of
ultrasound waves in polymer melts, after 50 years of innovation and research!

Figure 9. Trend of the research publications in ultrasonic treatment of polymer melts

According to the technology innovation literature, the development of a technology must be
founded on complete understanding of its scientific principles or technological platform. So,
from Figure 8b, a question emerges: If the scientific principles about the mechanism of action
of ultrasound waves in polymer melts are not well understood, why the pattern of evolution
reveals that the ultrasonic treatment technology is reaching its maturity stage?
The following historical events might answer to this question. The interest in the application
of ultrasound to polymer melts dates back to 1960s, when Lerch [13] and Bodine [15] became
the first inventors who patented an ultrasound-assisted extrusion process for the processing of
polymer. In that decade, the research of the effects of ultrasound in polymer melt was null in
contrast to solution systems, which had started to be extensively studied.
The numerous studies on effects of ultrasound in Newtonian systems (systems based on
water), led to postulate to acoustic cavitation phenomenon as the mechanism to explain the
effects of ultrasound in solution systems. This fact generated the interest on study the effects

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of ultrasound in polymer melts (non-Newtonian systems), so the number of patents and

publications increased during 1970s (see Figure 8a y 9), assuming that the same mechanism
happened in polymer melts.
From 1960s to early 1980s, there were some publications related to the effects of the
ultrasound in polymer solutions. It was reported that the chemical and physical effects of
cavitation phenomenon are greatly reduced. However, despite this discovery, the chemical
and physical effects on polymer melts were similar to solution systems, so the acoustic
cavitation phenomenon continued being used as mechanism for polymer melts.
In 1999, Yashin and Isayev [16] published a theoretical model for rubber degradation under
ultrasound, which was developed under the hypothesis that the dominant mechanism was
leaded by acoustic cavitation. Surprisingly, these authors concluded that the acoustic
cavitation is not the primary mechanism. Despite this fact, the acoustic cavitation
phenomenon continued being used as main mechanism to lead improvements and
developments in polymer melt processing; and now, recent publications in the field are
demanding studies in depth about such mechanism.
Thereby, the “apparent” maturity stage reached by this technology was originated from the
interest in exploring the “unexpected” effects of the ultrasound in the emerging fields since
90s (e.g. composite materials). Now, the lack of a deep understanding of the mechanism of
ultrasound in polymer melts is limiting future developments, as can be seen in the decrement
of the number of inventions since 2005 (Figure 8a).
The above discussion leads to evaluate the level of inventiveness for this system. The
Altshuller inventiveness scale is ranged from 1 to 5. A level of inventiveness of 4 is granted
when a new generation of a system entails a new scientific principle for performing the
system’s functions. For the system under study, the level of inventiveness of the patents just
could be ranged from 3 to 1 on the 5 level Altshuller inventiveness scale, since the scientific
principle of the ultrasonic treatment technology of polymer melts has been taken from an
existing system within the same field (Newtonian system-ultrasound).
The level of inventiveness for the system under study is showed in Figure 10. The level of
inventiveness for the first patent (1963), as well as for those patents that include
devulcanization of rubbers (1993), polymer blends and polymer nanocomposites (2003) was
estimated as 3. The pattern of evolution of the ultrasound technology (red dotted curve) is
similar to Altshuller pattern of evolution, however, the level of inventiveness of the initial
invention and those leading the growth stage have the same level.
A recent patent developed by Ávila-Orta et al. [11] has demonstrated that the use of a
continuous process assisted by ultrasound of variable frequency and amplitude improves
significantly the dispersion of nanostructures in polymer melts. This discovery has allowed to
Dr. Ávila-Orta´s research group to propose a new mechanism for explaining the chemical and
physical effects of ultrasound. Therefore, this patent has been ranged as 4 on the 5 level
Altshuller inventiveness scale, due to this new knowledge could generate a new system or
open new opportunities in other emerging fields.
The state of the ultrasound technology according to Altshullerian laws is derived from
analysis of level of inventiveness, which is presented as “target shooting” plot in the Figure
11. The state of the ultrasound technology in relation to each Altshullerian law was scored
based on scale suggested by Cavallucci and Weill. As was expected, most static, cinematic
and dynamic laws are not entire applied to the system (scored as 0), due to the technological
platform is not well established yet.

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Figure 10. Level of inventiveness of the patents related to the ultrasonic treatment technology of
polymer melts.

Figure 11. Evaluation of the trends of evolution for ultrasonic treatment technology of polymer
melts

A graphical representation of the Law of wholeness of parts applied to ultrasonic treatment

technology of polymer melts is showed in Figure 12. According to law of wholeness of parts,
the mechanism that explains the effects of ultrasound in polymer melts represents the central
element of transmission, which transfers the vibrational energy to working element
(polymer). If the mechanism of transmission is not well understood, the right understanding
and correlation of the main variables of the system constrain the controllability of the system,
and reduce significantly its efficiency (desired physical and chemical effects of ultrasound).
Thus, the deficient functioning of these two fundamental parts of the system impacts
negatively to other Altshullerian laws.

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Figure 12. Law of wholeness of parts applied to ultrasonic treatment technology of polymer
melts. The elements of the system are represented as car parts.
3.1.3.3 The most important graph in the world. What are we forgetting?
The ultrasonic treatment technology of polymer melts has passed through the three stages of a
technological evolution without a sufficient understanding of its technological platform,
resulting in an “accelerated aging”. In terms of a learning process, the Memory law of the
Understanding and Misunderstanding Effect has not been properly applied by scientists and
inventors in the field. The scientific principles used to understand the mechanism of
ultrasound in polymer melts are not accurate. This misunderstanding has not allowed the
development of the complete and right Associations Effects during the technological evolution
(see Figure 13). So, if the understanding of the mechanism for polymer melts is not well
understood, then the Von Restorff Effect observed during the evolution of this technology
(from 1990 to 2000) does not really represents the Von Restorff Effect that the ultrasound
technology should reach.

Figure 13. “The most important graph in the world” applied to current state of the art of the
ultrasonic treatment technology of polymer melts
Nowadays, the ultrasonic treatment technology of polymer melts is located on the Meaning
Effect, point in which the analysis of this technology is discussed. The “smiley face” turns
into a “sad face”, due to not well understood scientific principles applied to this technology.
In this point, in which the “sad face” is asking for something forgotten, the S-curve and the
trends of evolution analysis demonstrate that the entire understanding of the scientific

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principles of the ultrasonic treatment technology of polymer melts has been forgotten in the
learning process or evolution of this technology.
3.1.4 Defining the specific problem
In order to improve and develop more efficient methods for processing of polymeric materials
using the ultrasonic treatment technology, the application of TRIZ analytical tools and the
interpretation of the learning process by means of “the most important graph in the world”
demonstrate that the understanding of the mechanisms underlying the effects of the ultrasound
in polymer melts is the key issue for future innovations.
The addressing of research on the mechanisms underlying the effects of the ultrasound in
polymer melts will lead towards a re-definition of the ultrasonic treatment technology of
polymer melts and foster future developments.

4. Conclusions
TRIZICS roadmap resulted as an organized problem solving framework for the application of
TRIZ tools to early-stages of technology research. S-curves and trends of evolution analysis
shows that the ultrasonic treatment technology of polymer melts has passed through the three
stages of a technological evolution without sufficient understanding of its technological
platform, resulting in an “accelerated aging”.
The evaluation of the Altshullerian laws and the interpretation of the learning process of the
ultrasonic treatment technology of polymer melts, by means of “the most important graph in
the world”, converge to establish that in-depth investigations on understanding of the
scientific principles of this technology are the key issues to lead improvements and
developments in melt processing of polymeric materials using the ultrasonic treatment
technology.
The way as TRIZ and non-TRIZ tools are integrated into TRIZICS roadmap facilitated the
searching of keys issues to develop future innovations using the ultrasonic treatment
technology of polymer melts. TRIZICS can be successfully used for early-stages of
technology research.

Acknowledgements

This material is based on Carlos Espinoza-González´s Ph.D. thesis work supported by a

Scholarship granted by the Mexican Council of Science and Technology (CONACyT). We
also acknowledge the financial support by CONACyT under grant numbers J49551-Y and
ECO-73010.

Author details

Carlos J. Espinoza-González1 (carlespi@gmail.com), Carlos A. Ávila-Orta1*, Guillermo

Martínez-Colunga2 (gmartine@ciqa.mx), Darío Bueno-Baqués1 (dbueno@ciqa.mx), Alfonso
Maffezzoli3 (alfonso.maffezzoli@unisalento.it) and Francesca Lionetto3
(francesca.lionetto@unisalento.it).

*Address all correspondence to: E-mail: cavila@ciqa.mx ; Phone: +52 844 4389830 ext.
1
Research Center for Applied Chemistry, Department of Advanced Materials, Blvd. Enrique
Reyna #140, 25294 Saltillo, Coahuila, Mexico.

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2
Research Center for Applied Chemistry, Department of Plastics Transformation Processing,
Blvd. Enrique Reyna #140, 25294 Saltillo, Coahuila, Mexico.
3
University of Salento, Department of Engineering for Innovation, 73100 Lecce, Italy.

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