ASTA’s Cleanliness specifications

for Spices, Seeds and Herbs

(Effective April 28, 1999)

For purpose of these Specifications, extraneous matter is defined as everything foreign to the
product itself and included, but is not restricted to: stones, dirt, wire, string, stems, sticks,
nontoxic foreign seeds, excreta, manure and animal contamination.

The level of contaminants permitted under these Specifications must fall below those shown on the
following table, except for the column "Whole Insects, Dead" which cannot exceed the limits
shown.

Whole Excreta Excreta Mold Insect Extraneous

insects Mammalian other defiled/ foreign
dead infested matter
Name of spice, By count By mg./lb By mg./lb % by % by wgt. % by wgt.
seed or herb Wgt.
All spice 2 5 5.0 2.00 1.00 0.50
Anise 4 3 5.0 1.00 1.00 1.00
Sweet Basil 2 1 2.0 1.00 1.00 0.50n
Caraway 4 3 10.0 1.00 1.00 0.50
Cardamom 4 3 1.0 1.00 1.00 0.50
Cassia 2 1 1.0 5.00 2.50 0.50
Cinnamon 2 1 2.0 1.00 1.0 0.50
Celery Seed 4 3 3.0 1.00 1.0 0.50
Chillies 4 1 8.0 3.00 2.50 0.50
Cloves 4 5 8.0 1.00 1.00 1.00 *
Coriander 4 3 10.0 1.00 1.00 0.50
Cumin Seed 4 3 5.0 1.00 1.00 0.50
Dill Seed 4 3 2.0 1.00 1.00 0.50
Fennel Seed SF(2) SF(2) SF(2) 1.00 1.00 0.50
Ginger 4 3 3.0 SF(3) SF(3) 1.00
Laurel Leaves 2 1 10.0 2.00 2.50 0.50
**
Mace 4 3 1.0 2.00 1.00 0.50
Marjoram 3 1 10.0 1.00 1.00 1.00n
Nutmeg 4 5 1.0 SF(4) SF(4) 0.50
(Broken)
Nutmeg 4 0 0.0 SF(5) SF(5) 0.00
(Whole)
Oregano *** 3 1 10.0 1.00 1.00 1.00n
Black Pepper 2 1 5.0 SF(6) SF(6) 1.00
White Pepper 2 1 1.0 SF(7) SF(7) 0.50
****
 Poppy Seed 2 3 3.0 1.00 1.00 0.50
Rosemary 2 1 4.0 1.00 1.00 0.50n
Leaves
Sage ** 2 1 4.0 1.00 1.00 0.50
Savory 2 1 10.0 1.00 1.00 0.50n
Sesame Seed 4 5 10.0 1.00 1.00 0.50
Sesame Seed, 4 5 1.0 1.00 1.00 0.50n
Hulled
Tarragon 2 1 1.0 1.00 1.00 0.50n
Thyme 4 1 5.0 1.00 1.00 0.50n
Turmeric 3 5 5.0 3.00 2.50 0.50

Cleanliness Specifications Footnotes:

* Clove stems: Less than (<) 5% allowance by weight for unattached clove stems over and above the
tolerance for other Extraneous Matter is permitted
** Laurel leaves: Sage: "Stems" will be reported separately for economic purposes and will not represent a
Pass/fail criteria

*** Oregano: Analysis for presence of Sumac shall not be mandatory, if samples are marked
"Product of Mexico"

**** White pepper: "Percent Black Pepper" will be reported separately for economic purposes and will not
represent a pass/fail criteria

(2) Fennel Seed: In the case of fennel seed, if more than 20% of the sub samples contain any rodent,
other excreta or whole insects, or an average of 3 mg/lb. of mammalian excreta, the
lot must be reconditioned

(3) Ginger More than 3% moldy pieces and/or insect infested pieces by weight

(4) Broken Nutmeg: More than 5% mold/insect defiled combined by weight

(5) Whole Nutmeg More than 10% insect infested and/or moldy pieces, with a maximum of 5% insect
defiled pieces by count

(6) Black Pepper 1% moldy and/or infested pieces by weight

(7) White Pepper 1% moldy and/or infested pieces by weight

u Whole Insects, Dead: Cannot exceed the limits shown

n Extraneous Matter Include other plant material, e.g. foreign leaves

Ground Processed Spice *

(Cannot exceed limit shown)

Whole Insect Fragments Other Insects Rats/Mouse Hairs

Equivalent
Insects
Spices Mites Animal Hairs
Ground Paprika Avg. of more than 75 Avg. of more than 75
fragments/ 25g fragments/ 25g

 Microanalytical Methods for Paprika and Ground Capsicums can be found in the "Analytical Procedures" section of the ASTA
Cleanliness Specifications for Spices, Seeds, and Herbs Manual (4/28/99)
IN ADDITION TO THE PRECEDING SPECIFICATIONS, A LOT MUST ALSO BE RECONDITIONED:

A. MAMALIAN EXCRETA

If the average of the total number of sub-samples exceeds the listed milligram per pound Specifications.
Exception: In the case of fennel seed, see footnote (2)

B. OTHER EXCRETA

If the average weight expressed as milligrams per pound for all subdivisions of the sample exceeds the specified values
shown in the table.Exception: In the case of fennel seed, see footnote (2)

NOTE: The Food and Drug Administration specifies only mammalia excreta, ASTA will count all types of non-mammalian
excreta as Other Excreta. FDA retains the right to detain merchandise containing excessive amounts of excreta, which is of
non-mammalian origin, on the basis that the merchandise was exposed to unsanitary conditions.

C. INSECTS

If the total number of whole dead insects found in the total number of the sub samples exceeds the specified value shown
in the table
If live insects are found in the original sample reconditioning is to include fumigating. If the number of live and dead
insects exceeds the cleanliness specification for whole dead insects for that spice, then reconditioning must also include
sifting and blowing. Thereafter, in accordance with Procedures A. Sampling, new samples shall be drawn, analyzed and a
new Certificate of Analysis issued.

Exception:

1. In the case of fennel seed, if 20% or more of the sub samples contain any whole insects, the lot must be reconditioned.
(For example, if two or more sub samples of a ten-unit sample each contain one whole insect, the lot must be
reconditioned)
2. If the number of live insects found in the total number of sub samples is less than the cleanliness specifications for whole
insects for that spice; the lot must be fumigated and then re-sampled.
3. If it appears to the unaided eye that 50 or more mites and psocids are present, the lot must be fumigated, sifted, and
blown. Mites and/or psocids are not to be counted as insects.

A. INSECTS

If mould is present, as expressed by percent by weight of the total quantity of spice in all sub samples, in excess of the
specified values shown in the table. A product is classified as moldy if it contains mold, visible to the naked eye, exceeding
¼ of its surface area and confirmed by the presence of mycelial filaments and spores when examined with the aid of a
microscope (40 x magnification or less)

B. INSECTS DEFILED/INFESTED

If the total sample quantity exceeds the specified values shown in the table expressed as percent by weight of insect
infested, bored, or otherwise defiled seeds, leaves or roots. Before reconditioning, a lot is considered defiled whenever a
sample shows visible evidence of webbing or definite insect feeding.

C. RECONDITIONING AND RECONDITIONED ITEMS

Reconditioning may include, but shall not be limited to, techniques such as fumigating, washing, cutting, sifting, aspirating
and blowing.
Insect channels or insect-bored hotels in reconditioned spices will not be counted as insect defiled, as they would in the
examination of non-reconditioned spices, provided there are no insects, webbing or excreta in those channels or holes.

D. INSECTS

If the light berries, though not considered extraneous matter, exceed 4% by weight.
Cashewnut processing - an overview
and machinery specifications

Dr. D. Balasubramanian
Principal Scientist (AS & PE)
ICAR- Directorate of Cashew Research
 Global scenario of Cashew Industry

Cashew is an important Horticultural

crop.

27 countries produce commercially -

Latin America (6), Africa (13), South East
Asia (5), Indian sub continent (3).

India + Vietnam + Ivory Coast – 82 %

of global production.

15 times growth in production since

1961 (2.88 to 36.0 lakh MT).

World consumption – 9.93 lakh MT.

Strong processing potential in India –

45 % (15.7 lakh MT).
 Nutritive value of Cashew
Cashews are high in calories and provides 553
calories.
Low in sugar (6 g) and rich in fiber (3.3 dietary)
Heart-healthy fats (47%-oleic and palmitoleic acids)
and plant protein (21 %)
Rich source of copper, magnesium, and
manganese — nutrients important for energy
production, brain health, immunity, and bone
health.
Selenium, powerful antioxidant is present (19.9μg)
Zinc is available to the tune of 5.78 mg which is
essential to boost immunity
(USDA National Nutrional Database)
Tree nuts production in the world

Source: World Tree nut Council (2019)

Global Production of Cashew

Source: Food and Agricultural Organization (2019).

Scenario of Cashew Industry in India

7.43 lakhs MT of raw nuts produced from 10.89 lakhs

ha (2018-19) and about 7.85 lakh MT imported from
African countries.

18.9% of world raw nut production is from India.

Productivity centres around 753 Kg/ha. +ve factor for
promoting industry.

Export earnings is around 3890 crores (0.68 lakh MT)

Strong domestic market for cashew kernels (2.84 lakh

MT)
 Cashew Nut processing India
Over 6200 processing units constitute cashew
processing sector in India

Estimated capacity is over 20.0 lakh MT of RCN per

annum (15.68 Lakh MT).

Simple organizational structure with private

management (Except KSCDC and CAPEX ).

28 % of total industries are manufacturer exporters.

Small (<400 TPA) and large (>4000 TPA) capacity

accounts to 67% and 15% respectively.
Distribution of cashewnut processing units in India
Processing
States capacity (000' Large Medium Small Total
MT)
West Coast
Kerala 600 300 132 18 450
Karnataka 300 225 90 50 365
Goa 50 45 0 25 70
Maharashtra 50 60 440 2500 3000
Gujarat - 0 0 10 10
East Coast
Tamil Nadu 400 150 150 1000 1300
Andhra Pradesh 100
40 65 95 200
Odisha 100 120 225 300 645
West Bengal 8 10 7 120 137
Chattisgarh 5 0 0 3 3
NEH States 10 1 0 29 30
Total 1623 951 1109 4150 6210

Cashewnut processing in India started as an industry in Mangalore.

Drum roasting – Kollam, Kerala and Steam boiling - Dakshina Kannada,
Karnataka.
First shelling tool developed in Belgaum, Karnataka.
Karnataka is the fore runner in inducting mechanization in the line of
processing.
Cottage level cashewnut processing has become sustainable in rural locations.
Cashewnut Industry in India

Major constraints are inadequate

finance and insufficient RCN
(Labour shortage).

Capacity utilization is around

75 % only.

About 90 – 95 % women force

accounts for total employment.

Employees strength varies

between 10 – 400.
 Export earnings draining
through Cashew Processing
Values in Crores
Cashew Real Export
Year CNSL Export earnings Import
Kernel earnings

2000-01 2050 3.89 2054 961 1093

2010-11 2819 33.77 2853 2649 204
2011-12 4391 59.46 4450 5337 -887
2012-13 4067 29.84 4097 5332 -1235
2013-14 5059 30.61 5089 4564 525
2014-15 5433 55.81 5489 6571 -1082
2015-16 4952 57.59 5010 8561 -3551
2016-17 5169 44.00 5213 8839 -3627
2017-18 5871 32.63 5904 8850 -2946
2018-19 4434 26.85 4461 10929 -6468
2019-20 3867 23.09 3890 8862 -4971
 Domestic cashew kernel consumption
Values in Lakh MT

Raw nut Expected Domestic

Year Kernel export %
processed kernel consumption

2000-01 6.99 1.61 0.89 0.72 44.55

2010-11 11.82 2.72 1.06 1.66 61.10
2011-12 15.01 3.45 1.31 2.14 62.09
2012-13 16.21 3.73 1.15 2.58 69.13
2013-14 15.08 3.47 1.17 2.30 66.22
2014-15 15.65 3.60 1.19 2.41 66.95
2015-16 16.29 3.75 0.94 2.81 74.87
2016-17 15.50 3.57 0.82 2.75 77.00
2017-18 14.66 3.37 0.84 2.53 75.09
2018-19 15.28 3.51 0.67 2.84 80.94
Global scenario of Production and processing

Cashew
Production

Around 60% of Around 40% of world

production from India, production from
Vietnam and other African Countries

Cashew
Processing

95% of world 5% of world production

production processed in processed in
India and Vietnam African countries

Cashew
Consumption

60% of processed 40% of processed

kernels consumed in kernels consumed in
non-producing producing countries
countries
Growing
pattern in
Cashew

Cross
sectional
view of
cashew
 Cashew processing

Nut processing Apple processing

 Drying of raw cashewnuts

Separation of nuts

Sprouting of raw cashewnuts

Raw cashewnuts (Stored after harvest)
M.C - 12 to 17% (d.b)
Drying of raw cashewnuts
 Rawnut procurement

RCN obtained from producers, local market,

agents and import

Raw nut moisture and maturity plays vital role

in confirming kernel quality (Safe Moisture)

Tests
Visual : Nut size and colour
Floating : % of floaters
Cutting test : Kernel quality
Assessment of quality
Moisture content (MC)
Nut count (NC)
Outturn (OT)
 Calibration of raw cashewnuts

Compartmental grader
Concentric drum grader
Operational capacity ranges from 250 to 350 kgph

Grading efficiency registers 92 to 95%

Graded as A1, A2, B1, B2, C and D leading to kernel grading at

packaging
 Steaming raw cashewnut

Vertical type Horizontal type

Strictly follows IBR (Indian Boiler regulations)

Pressure requirement is just over 5 kg cm2
Soft water is preferred to avoid scaling inside boiler tubes
Spent shell or wood logs are used as fuel
 Steaming raw cashewnut

Static Rotary
Uniform steaming is ensured in rotary type due to movement of RCN

More power consumption due to rotary motion through electric motor

Lesser time is required for steaming operation.

Cashewnut shelling (Manual & Hand operated)
Problem in shelling
 Mechanized shelling machine

Making slit on the projected edges and piercing through Y-

blade to split open the nuts.
Orientation of the nuts fed between the blades should be
proper
WKR is better for grading the nuts prior to shelling.
Operational capacity ranges from 25 kg 250 kgph
Kernel intact with shell needs man power to scoop it
Shelling capacity, shelling efficiency and WKR can be
considered to evaluate its performance
 Drying of Cashew kernel

Bio fuel based – hot air dryer Steam assisted dryer

Externally generated hot is circulated inside drying chamber.

Steam generated is passed in to drying chamber through radiator for hot
air conversion
Air temperature maintained at 75-80⁰C and kernels are exposed for 6-7 h
 Cashew kernel
peeling
(Manual &
mechanical)

Three types of mechanized peeling – Brush type, pneumatic and spindle

with hook.
Moisture conditioning is essential to improve peelability and recovering
whole kernels (Humidifying chamber is used)
Operational capacity is 300- 350 kgph
Whole kernel recovery is 80-85%
 Cashew kernel grading
(Manual)

Manual grading Mechanized grading

 Cashew kernel grades

Grade specification for 23 grades are available (CEPCI)

Whole kernels – 14 Nos. and Broken kernels – 9 Nos.
 Low grade kernel sorter

Low grade kernel sorter Separation of baby bits from testa

(LWP. SWP and BB) (Cashew husk)
 Cashew kernel packaging (Vita & MVP)

Vita packaging MVP

Ti container - CO2 flushing Multilayer pouch - N2 & CO2
Value added Cashew kernels
Farm level cashewnut processing
Cashewnut processing under one
roof.

Technology down sized to suit for

on farm or off farm level (SHG).

Machinery cost is around

Rs 1,50,000/-

Space requirement is 5x4 m only.

Quiet successful in Maharashtra

(>5000 units are operating) and in
Kerala (Kudumbashree)

Value addition per unit weight is

Rs 63 per kg

Net income is Rs 37,800/- per

month

Generates 300-man days especially

in rural area.
 Feasibility

Feasibility of farm level cashewnut processing

Number of cashew trees (Average) 100

Raw cashew nut production @ 6 kg/tree (Average) 600

Receipt from RCN @ Rs 90/kg 54000

Shelling % (KPR) 25

Receipt after processing (W: B – 4:1) 90000

Receipt through Cashew shell @ Rs 4/kg 1800

Total income 91800

Net value addition (91800-54000) 37800

Unit weight benefit (91800 / 600) 153

Value addition per unit weight (153-90) 63

 Cost economics

Processing capacity /day 40

Quantity of processing / year (40x25x3) 3000

Market price/kg (moisture loss – 3%) 90

Raw material cost @ Rs 93/kg 278100

Labour cost 24000

Total processing cost 302100

Sales (Kernel (450000) + Shell (9000) 459000

Profit (459000-302100) 156900

Net income per month (Rs) 52300

 CNSL in general

Important byproduct of CPI – Pericarp fluid (20-25%)

It contains 90% Anacardic acid and 10% Cardol

Extracted by Hot oil bath method, Kiln method &

Expeller method.

Strength - Ready availability of the product

Weakness - Lack of R&D thrust
Opportunity - Exports
Threat - Substitution possibility
 ICAR- DCR

bavika13@email.com
9986777048
 COMMUNICATION

Being able to communicate effectively is perhaps the most important of all life skills. It is what
enables us to pass information to other people, and to understand what is said to us. You only have
to watch a baby listening intently to its mother and trying to repeat the sounds that she makes to
understand how fundamental is the urge to communicate.

Communication, at its simplest, is the act of transferring information from one place to another. It
may be vocally (using voice), written (using printed or digital media such as books, magazines,
websites or emails), visually (using logos, maps, charts or graphs) or non-verbally (using body
language, gestures and the tone and pitch of voice). In practice, it is often a combination of several
of these.

Communication skills may take a lifetime to master—if indeed anyone can ever claim to have
mastered them. There are, however, many things that you can do fairly easily to improve your
communication skills and ensure that you are able to transmit and receive information effectively.

This page provides an introduction to communication skills. It is also a guide to the pages on
SkillsYouNeed that cover this essential area to enable you to navigate them effectively.

________________________________________

The Importance of Good Communication Skills

Developing your communication skills can help all aspects of your life, from your professional life to
social gatherings and everything in between.

The ability to communicate information accurately, clearly and as intended, is a vital life skill and
something that should not be overlooked. It’s never too late to work on your communication skills
and by doing so, you may well find that you improve your quality of life.

Communication skills are needed in almost all aspects of life:

• Professionally, if you are applying for jobs or looking for a promotion with your current
employer, you will almost certainly need to demonstrate good communication skills.

Communication skills are needed to speak appropriately with a wide variety of people whilst
maintaining good eye contact, demonstrate a varied vocabulary and tailor your language to your
audience, listen effectively, present your ideas appropriately, write clearly and concisely, and work
well in a group. Many of these are essential skills that most employers seek.

Verbal communication skills are ranked first among a job candidate’s ‘must have’ skills and qualities.
According to a 2018 survey by the National Association of Colleges and Employers (NACE).

As your career progresses, the importance of communication skills increases; the ability to speak,
listen, question and write with clarity and conciseness are essential for most managers and leaders.
• In your personal life, good communication skills can improve your personal relationships by
helping you to understand others, and to be understood.

It is almost a cliché that personal relationships need communication. Failure to talk has been blamed
for the breakdown of any number of partnerships and relationships—but the ability to listen is also
an important element. Communication is also vital in wider family relationships, whether you want
to discuss arrangements for holidays, or ensure that your teenage children are well and happy.

If this area is of particular interest, you may want to read our pages on Communicating with
Teenagers, Talking to Teenagers about Contraception, Pornography and Consent, and Talking to
Teenagers about Sex and Relationships. Our pages on Personal and Romantic Relationship Skills also
contain a number of pages touching on communication.

• Communication skills can also ensure that you are able to manage interactions with
businesses and organisations

Over the course of your lifetime, you are likely to have to interact with a wide range of organisations
and institutions, including shops, businesses, government offices, and schools. Good communication
skills can ease these interactions, and ensure that you are able to get your point across calmly and
clearly, and also take on board the responses.

Being able to complain effectively is an important skill, for example, as is handling criticism yourself.

Communication is a two-way process

________________________________________

Communication is not the same as broadcasting, or simply sending out information.

It is a two-way process. In other words, it involves both the sending and receiving of information.

It therefore requires both speaking and listening, but also—and perhaps more crucially—developing
a shared understanding of the information being transmitted and received.

• If you are the ‘sender’ of information, this means communicating it clearly to start with
(whether in writing or face-to-face), then asking questions to check your listeners’ understanding.
You must also then listen to their replies, and if necessary, clarify further.

• If you are the recipient, it means listening carefully to the information, then checking that
you have understood by reflecting back, or asking questions to ensure that you both have the same
understanding of the situation.

It is, therefore an active process. There is nothing passive about communication, in either direction.
Developing Communication Skills

Good communication skills can improve the way that you operate through life, smoothing your way
in your relationships with others.

Poor communication skills, on the other hand, can sour relationships from business to personal, and
make your life significantly harder.

Some people seem to understand how to communicate without even trying. They are able to tailor
their language, tone and message to their audience, and get their point across quickly and succinctly,
in a way that is heard. They are also able to pick up the messages sent to them rapidly,
understanding both what is said, and what has not been said.

This may seem effortless, but the chances are that they have spent plenty of time honing their skills.

Along the way, they have probably also developed a good understanding of themselves (called self-
awareness) and habits of reflecting on success and failure, and the actions that have led to one or
the other.

Interpersonal Communication Skills

Interpersonal skills are the skills we use when engaged in face-to-face communication with one or
more other people.

For a good general introduction to the topic of interpersonal communication skills, you may like to
read pages on Interpersonal Communication Skills, What is Communication? and Principles of
Communication. They will help you to understand the basics and start to be aware of what you
might need to improve.

Pages on Barriers to Communication and The Ladder of Inference give you some ideas about what
may be going wrong in your personal communication processes. Improving Communication provides
information about how you might start to address those issues. There may, in particular, be issues
relating to Intercultural communication, especially if you work or interact with people from other
cultures on a regular basis.

Verbal Communication

Verbal communication is all about what we say, which is an important way of getting our message
across.

Verbal communication can be both written and spoken, but these pages focus mainly on spoken
communication.

The words that we choose can make a big difference to whether other people understand us.
Consider for example, communicating with a young child, or with someone who does not speak our
own language very well. Under those circumstances, you need to use simple language, short
sentences, and check understanding regularly. It is quite different from a conversation with an old
friend whom you have known for years, and with whom you may not even need to finish your
sentences. Equally, a conversation with a friend is very different from a business discussion, and the
words that you choose might be considerably more technical when talking to a colleague.

Reflection and clarification are both common techniques used in verbal communication to ensure
that what you have heard and understood is what was intended. Reflection is the process of
paraphrasing and restating what the other person has just said, to check that you have understood.
Clarification is the process of seeking more information to inform your understanding, for example,
by asking questions.

Questioning skills are one very important area of verbal communication, often used in clarification,
but also to extract more information, and as a way to maintain a conversation. Finally, two specific
areas where you will need verbal communication skills, and which are worth considering separately
are making a speech, and in conversation.

Non-verbal Communication

We actually communicate far more information using Non-verbal Communication. This includes non-
verbal signals, gestures, facial expression, body language, tone of voice, and even our appearance.
These can serve to either reinforce or undermine the message of our spoken words, so are worth
considering carefully.

If you want to say something outrageous, wear a suit.

________________________________________

The late Dr Joe Jaina, Organisational Psychologist at Cranfield School of Management.

You can find more about on Body Language, Face and Voice, Personal Presentation and Personal
Appearance.

Listening

Listening is also a vital interpersonal communication skill.

As we said above, communication is a two-way process. Listening is an essential part of receiving

information. When we communicate, we spend 45% of our time listening. Most people take listening
for granted, but it is not the same as hearing and should be thought of as a skill.

Listening Skills page acts as an introduction to the subject and you may also be interested in the Ten
Principles of Listening.

Active Listening provides a lot more information about how to listen effectively and can also help
you to avoid misunderstandings, while Types of Listening explains more about the theory of
listening.

We also have pages on Ineffective Listening and Listening Misconceptions. It is always worth thinking
about what you should not do, as well as what you should do, when trying to develop your skills. You
may find that you recognise some of the bad habits you or other people have picked up when
listening.
Using Communication Skills

Interpersonal communication skills are important in a wide range of circumstances and

environments: probably, in fact, anywhere where we may meet and interact with other people.

We have a number of pages on how to use communication skills. For example, they are essential for
starting to build relationships, both professionally and at home. You may find Building Rapport
helpful, and also advice on being interviewed (Interview Skills) and interviewing others (Interviewing
Skills).

Good communication skills can also help you to provide feedback effectively, and in a way that will
not cause offence: a vital skill throughout life.

Good interpersonal communication skills enable us to work more effectively in groups and teams,
which may be either formal or informal. ________________________________________

Other Communication Skills

Communication skills encompass far more than simple verbal and non-verbal communication, even
in a wide range of circumstances. SkillsYouNeed also includes pages on some more specific forms of
communication skills, such as:

Presentation Skills

Many of us only use presentation skills infrequently. However, there will probably be times in your
life when you need to present information to a group of people, either in a formal or informal
setting.

Presentations are far more than simply standing up in front of a screen and talking your way through
a set of slides. They also include the ability to get your point across in meetings, both small and
large, and even pitching your business idea to a potential investor.

Writing Skills

Communication skills are not limited to direct interaction with other people and the spoken word.

The ability to write clearly and effectively is also key to communication.

This set of skills should not be limited to journalists or professional authors. Poor written
communication can be frustrating for the reader and potentially damaging for the author – would
you buy a product from a website peppered with spelling mistakes, or full of incomplete or unclear
sentences?

Not just for students, these are the skills you need to enable you to learn, communicate your ideas
and understand the ideas of others more effectively. They can, in particular, help you to read more
critically, and retain more information by making notes: improving the process of receiving written
communication.

Personal Skills
Personal Skills are the skills that we use to maintain a healthy body and mind. But they can also
enhance communication.

For example, Improving Your Self-Esteem and Building Your Confidence can help you to feel more
positive about yourself and your abilities - including your ability to communicate. And feeling
positive is the first step to acting more positively, and therefore effectively.

By having a deeper understanding of yourself and a more relaxed and positive outlook on life you
are more likely to be charismatic, a trait that can further aid the communication process.

What is Charisma? explains this in more detail. Good communication is also linked to assertiveness,
or standing up for what you believe.

We even have pages to help you deal with more difficult situations such as Dealing with Aggression
and Communicating in Difficult Situations.

________________________________________

Communication is a complex subject with many areas and skills to consider.

________________________________________

Being able to communicate effectively is also a skill like any other. It too can be learned, given time.
Anyone can make a start on improving their communication skills at any time, and the investment of
time and effort is likely to pay off rapidly.
Consortium for Research on Emotional Intelligence in Organizations Emotional Intelligence 1
( www.eiconsortium.org )

Emotional Intelligence: What it is and Why it Matters

Cary Cherniss
Graduate School of Applied and Professional Psychology
Rutgers University
152 Frelinghuysen Road
Piscataway, NJ 08854
732-445-2187
cherniss@rci.rutgers.edu
www.eiconsortium.org

Paper presented at the Annual Meeting of the Society for Industrial and Organizational

Psychology, New Orleans, LA, April 15, 2000

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Emotional Intelligence: What it is and Why it Matters

Ever since the publication of Daniel Goleman’s first book on the topic in 1995, emotional

intelligence has become one of the hottest buzzwords in corporate America. For instance, when

the Harvard Business Review published an article on the topic two years ago, it attracted a higher

percentage of readers than any other article published in that periodical in the last 40 years.

When the CEO of Johnson & Johnson read that article, he was so impressed that he had copies

sent out to the 400 top executives in the company worldwide.

Given that emotional intelligence is so popular in corporate America, and given that the

concept is a psychological one, it is important for I/O psychologists to understand what it really

means and to be aware of the research and theory on which it is based. So in my presentation

today, I’d like to briefly lay out the history of the concept as an area of research and describe how

it has come to be defined and measured. I also will refer to some of the research linking

emotional intelligence with important work-related outcomes such as individual performance and

organizational productivity.

Even though the term has been misused and abused by many popularizers, I believe it

rests on a firm scientific foundation. Also, while there are aspects of the concept that are not

new, some aspects are. Finally, emotional intelligence represents a way in which I/O

psychologists can make particularly significant contributions to their clients in the future. So let’s

begin with some history.

Historical Roots of the Topic

When psychologists began to write and think about intelligence, they focused on

cognitive aspects, such as memory and problem-solving. However, there were researchers who

recognized early on that the non-cognitive aspects were also important. For instance, David

Wechsler defined intelligence as “the aggregate or global capacity of the individual to act

purposefully, to think rationally, and to deal effectively with his environment” (Wechsler, 1958, p.

7). As early as 1940 he referred to “non-intellective” as well as “intellective” elements (Wechsler,

1940), by which he meant affective, personal, and social factors. Furthermore, as early as 1943
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Wechsler was proposing that the non-intellective abilities are essential for predicting one’s ability

to succeed in life. He wrote:

The main question is whether non-intellective, that is affective and conative abilities, are

admissible as factors of general intelligence. (My contention) has been that such factors

are not only admissible but necessary. I have tried to show that in addition to intellective

there are also definite non-intellective factors that determine intelligent behavior. If the

foregoing observations are correct, it follows that we cannot expect to measure total

intelligence until our tests also include some measures of the non-intellective factors

[Wechsler, 1943 #316, p. 103).

Wechsler was not the only researcher who saw non-cognitive aspects of intelligence to

be important for adaptation and success. Robert Thorndike, to take another example, was writing

about “social intelligence” in the late thirties (Thorndike & Stein, 1937). Unfortunately, the work of

these early pioneers was largely forgotten or overlooked until 1983 when Howard Gardner began

to write about “multiple intelligence.” Gardner (1983) proposed that “intrapersonal” and

“interpersonal” intelligences are as important as the type of intelligence typically measured by IQ

and related tests.

Now let us switch our historical lens to I/O psychology. In the 1940s, under the direction

of Hemphill (1959), the Ohio State Leadership Studies suggested that “consideration” is an

important aspect of effective leadership. More specifically, this research suggested that leaders

who are able to establish “mutual trust, respect, and a certain warmth and rapport” with members

of their group will be more effective (Fleishman & Harris, 1962). At about the same time, the

Office of Strategic Services (1948) developed a process of assessment based on the earlier work

of Murray (1938) that included the evaluation of non-cognitive, as well as cognitive, abilities. This

process evolved into the “assessment center,” which was first used in the private sector at AT&T

in 1956 (Bray, 1976). Many of the dimensions measured in assessment centers then and now

involve social and emotional competencies such as communication, sensitivity, initiative, and

interpersonal skills (Gowing, in press; Thornton & Byham, 1982).

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I could cite other strands of research and theory, but I think it is clear that by the early

1990s, there was a long tradition of research on the role of non-cognitive factors in helping people

to succeed in both life and the workplace. The current work on emotional intelligence builds on

this foundation.

Contemporary Interest in the Topic

When Salovey and Mayer coined the term emotional intelligence in 1990 (Salovey &

Mayer, 1990), they were aware of the previous work on non-cognitive aspects of intelligence.

They described emotional intelligence as “a form of social intelligence that involves the ability to

monitor one’s own and others’ feelings and emotions, to discriminate among them, and to use

this information to guide one’s thinking and action” (Salovey & Mayer, 1990). Salovey and Mayer

also initiated a research program intended to develop valid measures of emotional intelligence

and to explore its significance. For instance, they found in one study that when a group of people

saw an upsetting film, those who scored high on emotional clarity (which is the ability to identify

and give a name to a mood that is being experienced) recovered more quickly (Salovey, Mayer,

Goldman, Turvey, & Palfai, 1995). In another study, individuals who scored higher in the ability to

perceive accurately, understand, and appraise others’ emotions were better able to respond

flexibly to changes in their social environments and build supportive social networks (Salovey,

Bedell, Detweiler, & Mayer, 1999).

In the early 1990’s Daniel Goleman became aware of Salovey and Mayer’s work, and this

eventually led to his book, Emotional Intelligence. Goleman was a science writer for the New

York Times, whose beat was brain and behavior research. He had been trained as a

psychologist at Harvard where he worked with David McClelland, among others. McClelland

(1973) was among a growing group of researchers who were becoming concerned with how little

traditional tests of cognitive intelligence told us about what it takes to be successful in life.

IQ by itself is not a very good predictor of job performance. Hunter and Hunter (1984)

estimated that at best IQ accounts for about 25 percent of the variance. Sternberg (1996) has

pointed out that studies vary and that 10 percent may be a more realistic estimate. In some

studies, IQ accounts for as little as 4 percent of the variance.

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An example of this research on the limits of IQ as a predictor is the Sommerville study, a

40 year longitudinal investigation of 450 boys who grew up in Sommerville, Massachusetts. Two-

thirds of the boys were from welfare families, and one-third had IQ’s below 90. However, IQ had

little relation to how well they did at work or in the rest of their lives. What made the biggest

difference was childhood abilities such as being able to handle frustration, control emotions, and

get along with other people (Snarey & Vaillant, 1985).

Another good example is a study of 80 Ph.D.’s in science who underwent a battery of

personality tests, IQ tests, and interviews in the 1950s when they were graduate students at

Berkeley. Forty years later, when they were in their early seventies, they were tracked down and

estimates were made of their success based on resumes, evaluations by experts in their own

fields, and sources like American Men and Women of Science. It turned out that social and

emotional abilities were four times more important than IQ in determining professional success

and prestige (Feist & Barron, 1996).

Now it would be absurd to suggest that cognitive ability is irrelevant for success in science.

One needs a relatively high level of such ability merely to get admitted to a graduate science

program at a school like Berkeley. Once you are admitted, however, what matters in terms of

how you do compared to your peers has less to do with IQ differences and more to do with social

and emotional factors. To put it another way, if you’re a scientist, you probably needed an IQ of

120 or so simply to get a doctorate and a job. But then it is more important to be able to persist in

the face of difficulty and to get along well with colleagues and subordinates than it is to have an

extra 10 or 15 points of IQ. The same is true in many other occupations.

We also should keep in mind that cognitive and non-cognitive abilities are very much related.

In fact, there is research suggesting that emotional and social skills actually help improve

cognitive functioning. For instance, in the famous “marshmallow studies” at Stanford University,

four year olds were asked to stay in a room alone with a marshmallow and wait for a researcher

to return. They were told that if they could wait until the researcher came back before eating the

marshmallow, they could have two. Ten years later the researchers tracked down the kids who

participated in the study. They found that the kids who were able to resist temptation had a total
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SAT score that was 210 points higher than those kids who were unable to wait (Shoda, Mischel,

& Peake, 1990).

Granted that cognitive ability seems to play a rather limited role in accounting for why

some people are more successful than others, what is the evidence that emotional and social

factors are important? In doing the research for his first book, Goleman (1995) became familiar

with a wealth of research pointing to the importance of social and emotional abilities for personal

success. Some of this research came from personality and social psychology, and some came

from the burgeoning field of neuropsychology. I don’t have the time or space to summarize all of

this research. Let me, however, give you a few examples that deal specifically with the role that

non-cognitive abilities play in success at work.

The Value of Emotional Intelligence at Work

Martin Seligman has developed a construct that he calls “learned optimism” (Schulman,

1995). It refers to the causal attributions people make when confronted with failure or setbacks.

Optimists tend to make specific, temporary, external causal attributions while pessimists make

global, permanent, internal attributions. In research at Met Life, Seligman and his colleagues

found that new salesmen who were optimists sold 37 percent more insurance in their first two

years than did pessimists. When the company hired a special group of individuals who scored

high on optimism but failed the normal screening, they outsold the pessimists by 21 percent in

their first year and 57 percent in the second. They even outsold the average agent by 27 percent

(Schulman, 1995).

In another study of learned optimism, Seligman tested 500 members of the freshman

class at the University of Pennsylvania. He found that their scores on a test of optimism were a

better predictor of actual grades during the freshman year than SAT scores or high school grades

(Schulman, 1995).

The ability to manage feelings and handle stress is another aspect of emotional

intelligence that has been found to be important for success. A study of store managers in a

retail chain found that the ability to handle stress predicted net profits, sales per square foot,

sales per employee, and per dollar of inventory investment (Lusch & Serpkenci, 1990).
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Emotional intelligence has as much to do with knowing when and how to express

emotion as it does with controlling it. For instance, consider an experiment that was done at Yale

University by Sigdal Barsade (1998; 1998). He had a group of volunteers play the role of

managers who come together in a group to allocate bonuses to their subordinates. A trained

actor was planted among them. The actor always spoke first. In some groups the actor projected

cheerful enthusiasm, in others relaxed warmth, in others depressed sluggishness, and in still

others hostile irritability. The results indicated that the actor was able to infect the group with his

emotion, and good feelings led to improved cooperation, fairness, and overall group performance.

In fact, objective measures indicated that the cheerful groups were better able to distribute the

money fairly and in a way that helped the organization. Similar findings come from the field.

Bachman (1988) found that the most effective leaders in the US Navy were warmer, more

outgoing, emotionally expressive, dramatic, and sociable.

One more example. Empathy is a particularly important aspect of emotional intelligence,

and researchers have known for years that it contributes to occupational success. Rosenthal and

his colleagues at Harvard discovered over two decades ago that people who were best at

identifying others’ emotions were more successful in their work as well as in their social lives

(Rosenthal, 1977). More recently, a survey of retail sales buyers found that apparel sales reps

were valued primarily for their empathy. The buyers reported that they wanted reps who could

listen well and really understand what they wanted and what their concerns were (Pilling &

Eroglu, 1994).

Thus far I have been describing research suggesting that “emotional intelligence” is

important for success in work and in life. However, this notion actually is somewhat simplistic and

misleading. Both Goleman (1998) and Mayer, Salovey, & Caruso (1998b) have argued that by

itself emotional intelligence probably is not a strong predictor of job performance. Rather, it

provides the bedrock for competencies that are. Goleman has tried to represent this idea by

making a distinction between emotional intelligence and emotional competence. Emotional

competence refers to the personal and social skills that lead to superior performance in the world

of work. “The emotional competencies are linked to and based on emotional intelligence. A
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certain level of emotional intelligence is necessary to learn the emotional competencies(Gowing,

in press).” For instance, the ability to recognize accurately what another person is feeling

enables one to develop a specific competency such as Influence. Similarly, people who are

better able to regulate their emotions will find it easier to develop a competency such as Initiative

or Achievement drive. Ultimately it is these social and emotional competencies that we need to

identify and measure if we want to be able to predict performance.

The Assessment of Emotional Intelligence and Competence

Assuming that emotional intelligence is important, the question of assessment and

measurement becomes particularly pressing. What does the research suggest about the

measurement of emotional intelligence and competence? In a paper published in 1998, Davies,

Stankov, & Roberts (1998) concluded that there was nothing empirically new in the idea of

emotional intelligence. This conclusion was based solely on a review of existing measures

purporting to measure emotional intelligence at the point in time when they wrote that paper.

However, most of those measures were new, and there was not yet much known about their

psychometric properties. Research now is emerging that suggests emotional intelligence, and

particularly the new measures that have been developed to assess it, is in fact a distinct entity.

However, there still is not much research on the predictive validity of such measures, and this is a

serious lack. Let me briefly summarize what we really know about the most popular ones.

The oldest instrument is Bar-On’s EQ-I (Bar-On, 1997), which has been around for over a

decade. This self-report instrument originally evolved not out of an occupational context but

rather a clinical one. It was designed to assess those personal qualities that enabled some

people to possess better “emotional well-being” than others. The EQ-I has been used to assess

thousands of individuals, and we know quite a bit about its reliability and its convergent and

discriminant validity (Gowing, in press; Salovey et al., 1999). Less is known about its predictive

validity in work situations. However, in one study the EQ-I was predictive of success for U.S. Air

Force recruiters. In fact, by using the test to select recruiters, the Air Force saved nearly 3 million

dollars annually (Bar-On, in press). Also, there were no significant differences based on ethnic or

racial group.
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A second instrument is the Multifactor Emotional Intelligence Scale (Mayer, Caruso, &

Salovey, 1998a). The MEIS is a test of ability rather than a self-report measure. The test-taker

performs a series of tasks that are designed to assess the person’s ability to perceive, identify,

understand, and work with emotion. There is some evidence of construct validity, convergent

validity, and discriminant validity, but none for predictive validity (Gowing, in press).

A third instrument is the Emotional Competence Inventory. The ECI is a 360 degree

instrument. People who know the individual rate him or her on 20 competencies that Goleman’s

research suggests are linked to emotional intelligence (Goleman, 1998). Although the ECI is in

its early stages of development, about 40 percent of the items come from an older instrument, the

Self-Assessment Questionnaire, that was developed by Boyatzis (1994). These earlier items had

been “validated against performance in hundreds of competency studies of managers,

executives, and leaders in North America,” Italy, and Brazil (Boyatzis, Goleman, & Rhee, in

press). However, there currently is no research supporting the predictive validity of the ECI.

Another measure that has been promoted commercially is the EQ Map (Orioli, Jones, &

Trocki, 1999). Although there is some evidence for convergent and divergent validity, the data

have been reported in a rather ambiguous fashion.

One other measure deserves mention, even though it is less well-known than the others.

Schutte, Malouff, Hall, Haggerty, Cooper, Golden, & Dornheim (1998) have developed a 33-item

self-report measure based on Salovey and Mayer’s (1990) early work. There is evidence for

convergent and divergent validity. Emotional intelligence scores on this measure were positively

associated with first-year college grades and supervisor ratings of student counselors working at

various mental health agencies. Also, scores were higher for therapists than for therapy clients or

prisoners (Malouff & Schutte, 1998; Salovey, Woolery, & Mayer, in press).

Finally, it might be helpful to keep in mind that emotional intelligence comprises a large

set of abilities that have been studied by psychologists for many years. Thus, another way to

measure emotional intelligence or competence is through tests of specific abilities. Some of

these tests seem rather strong. To name just one example, there is Seligman’s SASQ, which

was designed to measure learned optimism and which has been impressive in its ability to
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identify high performing students, salespeople, and athletes, to name just a few (Schulman,

1995).

Conclusion

So is there anything new about emotional intelligence? In some ways, emotional

intelligence really is not new. In fact, it is based on a long history of research and theory in

personality and social, as well as I/O, psychology. Furthermore, Goleman has never claimed

otherwise. In fact, one of his main points was that the abilities associated with emotional

intelligence have been studied by psychologists for many years, and there is an impressive, and

growing, body of research suggesting that these abilities are important for success in many areas

of life.

However, rather than arguing about whether emotional intelligence is new, I believe it is more

useful and interesting to consider how important it is for effective performance at work. Although I

have not had the time to cover very much of it, I hope I have shown that there now is a

considerable body of research suggesting that a person’s ability to perceive, identify, and manage

emotion provides the basis for the kinds of social and emotional competencies that are important

for success in almost any job. Furthermore, as the pace of change increases and the world of

work makes ever greater demands on a person’s cognitive, emotional, and physical resources,

this particular set of abilities will become increasingly important. And that is good news for I/O

psychologists, for they are the ones who are best situated to help clients to use emotional

intelligence to improve both productivity and psychological well-being in the workplace of

tomorrow.
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Multiple Intelligences
The IQ (Intelligence Quotient) has become accepted (erroneously) as the way to measure
a person's intelligence. This single figure with the value of 100 as average (what is
average, anyway?) has created more problems than it solves.
Human intelligence has many dimensions, and this article explores Howard
Gardner's notion of Multiple Intelligences.
Notes from Brain Dancing by Dilip Mukerjea:

According to Professor Howard Gardner of Harvard University, there are at least

eight different kinds of human intelligence. There could in fact be more
intelligences, and further investigation into their existence continues with great
vigour.
Gardner's contention is that individuals possess these eight intelligences to
varying extents. The first seven intelligences were addressed in Gardner's book
"Frames of Mind: The Theory of Multiple Intelligences", initially published in 1983.
The eighth intelligence, "naturalist" was introduced recently, and another,
"spiritual", is under consideration for inclusion into the list of classified ones.
Interestingly, Gardiner does not isolate a creative intelligence, unlike Buzan and
Keene, who include this amongst one of the ten intelligences classified in the book
"Buzan's book of Genius". Yet the creative vein does weave through all of
Gardner's intelligences. This means that recognition of our strengths and
weaknesses in the different intelligences impinges directly on our ability to
generate creative outcomes in various domains.
Gardner's studies of the "creative" personality document that certain personality
traits - such as ego strength and willingness to defy tradition - characterise
outstanding creative individuals within a particular domain; they also help to
explain the lack of a relationship between scores on creativity measures and
scores on more conventional tests of intellectual strengths, at least about a certain
level of IQ. Gardner's investigations are also being directed to the role played by
different intelligences, and different combinations of intelligences, in the highest
orders of human creative achievement.
Traditional IQ tests only measure two intelligences - linguistic and logical-
mathematical, and later extended to include spatial intelligence. We still do not
see a balanced picture of an individual after an IQ test since the majority of
categorised intelligences have not been considered.
In his book "Creating Minds: An Anatomy of Creativity", Gardner has selected
seven individuals, each one's life lending significance to creativity and intelligence.
Charles Darwin has been added to the list, and represents the eighth (naturalist)
intelligence. All the individuals are from the same era.
Click on the Domain for information about the characteristics, and click on the Name of the Person
for more details about them
Domain Name of the Person Role Born - Died
Linguistic T S Eliot poet 1888 - 1965
Logical-Mathematical Albert Einstein scientist 1879 - 1955
Musical Igor Stravinsky composer and conductor 1882 - 1971
Visual-Spatial Pablo Picasso artist 1881 - 1973
Bodily-Kinesthetic Martha Graham dancer 1894 - 1991
Intrapersonal Sigmund Freud Neurologist/Psychologist 1856 - 1939
Interpersonal Mahatma Gandhi freedom fighter 1869 - 1948
Naturalist Charles Darwin naturalist 1809 - 1882
Evaluate and plot your Multiple Intelligence Quotient (MIQ)
10 Multiple Intelligences
In Tony Buzan and Raymond Keene's Book of Genius a list of 10 multiple intelligences
is given, along with a 10 page questionnaire to assess your "MIQ" (Multiple Intelligence
Quotient).
These are:

1. Genius Quotient
2. Verbal Intelligence
3. Numerical/Logical Intelligence
4. Engineering/Spatial Intelligence
5. Sensual Intelligence
6. Body/Kinaesthetic Intelligence
7. Creative Intelligence
8. Intra-personal Intelligence
9. Inter-personal Intelligence
10. Spiritual Intelligence

Linguistic
A person in possession of linguistic intelligence enjoys wordplay, is easily able to
express himself, reads voraciously, possesses an excellent vocabulary, is a competent
debater, a teacher or instructor who can convey complex information with ease, can
"think aloud", and is able to readily absorb information when listening to other people
at lectures or seminars, or on audio cassettes, and the radio. Such people can easily make
good progress through the words being imprinted on their mind, as a guide to
subsequently moving ahead.

T S Eliot
Represented by the poet T S Eliot (1888-1965), a linguistic genius. This intelligence
deals with the core operations of language, our ability to use words. Gardner turns his
attention first to language because "it is a preeminent instance of human intelligence". It
addresses our need to survive and progress in this world through the linguistic tetrad of ...

1. phonology (study of sounds in a language)

2. syntax (analysis of grammatical arrangement of words)
3. semantics (the branch of the study of language related to meaning)
4. pragmatics (the study of the factors influencing a person's choice of language).
Gardner points out four aspects of linguistic knowledge that have proved of striking
importance in human society.
The Rhetorical Aspect: the persuasive ability within an individual who can use
language to influence others to assume a particular course of action.
The Mnemonic Potential: using language as a tool to help one remember and
recall information.
The Explanatory Role: the ability to use language well, say through metaphors,
which is essential in teaching, learning, understanding and communicating
information.
Metalinguistic Analysis: this refers to the ability to direct language at itself, so it
can reflect upon and explain its own actions.

Logical-Mathematical
People equipped with logical-mathematical intelligence are typically competent with
"number crunching", and good at details and analysis. Mathematics and science figured
as favourite subjects in school, they are systematic in their behaviour and are able to
locate specific examples to substantiate a general point of view. They enjoy wrestling
with brainteasers and tend to follow a step-by-step approach to problem solving.
Their strength lies in discerning patterns and relationships between objects and
numbers.

Albert Einstein
This intelligence refers to the ability to plan with and manipulate the "numerical
alphabet" as well as the exhibiting of competence in logical thought. Moreover, it enables
people to use and appreciate abstract relationships. Piaget believed logical-mathematical
thought to be the glue that holds together all cognition.
Einstein was gifted with the ability to readily relate his visual-spatial thought
experiements to "mathematical formalism and to concepts that existed within a
tight logical-mathematical structure".
Musical Intelligence
A musical intelligence enables people to exhibit a good sense of rhythm. They are
generally able to sing on key, play a musical instrument, and even identify the sounds
of diverse musical instruments. Their "musical memory" tends to be good and often,
they are able to recall a tune after hearing it just a few times. Life for the musically
intelligent is meaningless without music, which evokes emotions and images to comprise
a meaningful tapestry that is their identity. Such people often hum a tune, or tap their feet
to the beat of a melody or some commercial jingle.

Igor Stravinsky
Represented by Igor Stravinsky, who was apparently able to recall the first piece of music
that he ever heard, purportedly at the age of two! This intelligence permits people to
interpret sounds; they can create, understand and accord significance to sounds. These
sounds, when considered to be music, consist of some principals such as pitch (or
melody), rhythm - the grouping of sounds according to a prescribed system, and emitted
at specific auditory frequencies - and timbre - the characteristic qualities of tone.

Visual-Spatial
People with this intelligence are able to perceive the world in three (or more?)
dimensions. The intricate inter-relationships and of networks and systems, the
disposition of items in space, are recognised readily by individuals having a good visual-
spatial intelligence. Such people can read maps and charts, plans and drawings, jigsaws
and mazes. They have a good sense of direction.
Their note taking and note-making usually includes colour and imagery. They
prefer reading material that is heavily illustrated, are inveterate doodlers, and have
great perceptual and visualisation skills in drawing, where accuracy is often
essential. People equipped with this intelligence easily undertake DIY activities, or
work that involves stripping down and reassembling components. In school, this
intelligence leads to a preference of geometry over algebra
Pablo Picasso
Represented by Pablo Picasso, the Spanish-born prodigy in drawing and painting, and co-
founder of cubism. This intelligence focuses on the individual's ability to perceive
images, transform them mentally and recreate them from memory. Gardner refers to the
pioneering psychometrician L L Thurstone, who divided spatial ability into three
components:

1. the ability to recognise the identity of an object when it is seen from different
angles
2. the ability to imagine mnovement or internal displacement among the parts of a
configuration
3. the ability to think about these spatial relations in which the body orientation of
the observer is an essential part of the problem

Picasso exhibited learning abilities and had no interest in music, but he lived and
breathed painting. In his prodigious periods, Picasso is known to have typically produced
about 300 painting and drawings in a year!

Bodily Kinesthetic
This intelligence accords the ability to engage competently in sports, dancing, work and
any area where physical mobility is necessary. Such people also enjoy trekking,
swimming, gymnastics, the rough and tumble of play and generally the physical
sensation of using their body. They are also adept at "do it yourself: activities, and exhibit
a need to physically touch or handle something where such manipulation leads to greater
understanding of the subject under scrutiny. Other activities enjoyed through this
intelligence are handicrafts, sculpture and using hand gestures to express themselves.
Such people are literally "hands on" types who would not bother much about
systematically going through an instruction manual prior to tackling a new learning
experience.

Martha Graham
Represented by Martha Graham, the revolutionary performer who fashioned a
distinctively modern form of dance, creating virtually a new domain. Such an intelligence
comprises characteristics where one has the ability to use the body in highly co-ordinated,
differentiated and skilled ways, "for expressive as well as goal-driected purposes".
Furthermore, one with this intelligence is adept at handling or working with objects
where movement involves fine as well as gross motor skills.
Intrapersonal
Quiet, reflective, introspective traits emerge form this intelligence, where an individual
is happy in his own company. People with this intelligence are independent thinkers,
who possess a realistic notion of their own strengths and weaknesses. Self-development
and self-fulfilment arise from the awareness generated by such people about who they are
and where they are going. Their goals and visions are usually clear and attained through
self-directed actions. These people usually consider "doing their own thing".

Sigmund Freud
Represented by Sigmund Freud, the Viennese neurologist turned psychologist, and the
founder of psychoanalysis. This form of intelligence addresses one's ability to understand
oneself and make benficial progress based on this knowledge. It thus concerns self-
knowledge and by extension, self-fulfilment. Being able to navigate according to a good,
clear, mental model or map that represents you at any point in time directly affects the
unfolding of your life.

Interpersonal
People in possession of this intelligence are good at communicating with others, and
often excel at sales, marketing, politics, teaching, training, facilitating and mediating.
They enjoy being in the company of other people, either in connection with work or
socially. Team sports are preferred to individual ones such as swimming and running.
These individuals would commonly have several, very close friends, and are sympathetic
to helping others. They exhibit no hesitation in taking the lead, but also prefer to discuss
problems with others in preference to going it alone.

Mahatma Gandhi
Represented by Mahatma Gandhi, the Indian freedom fighter, known universally as "the
great soul", ergo Mahatma. For a political visionary and creator like Gandhi, his
greatness lay in his capacity to communicate with peoples of all religions and
nationalities, and to mobilise human beings in the service of a wider goal. This was
frequentlyu undertaken at great personal risk.
The philosophical positions that Gandhi developed, were actually lived by him. A
person wo is interpersonally intelligent has the ability to discern, understand and
make distinctions among others' feelings and intentions. The interpersonal
intelligence therefore casts the spotlight on "what makes people tick", and the
ability of an individual to understand others, along with the capacity for direct or
indirect interaction with them.

Naturalist
The latest entry into the classification of intelligence includes everyone to some extent or
another. People in possession of a naturalist intelligence like or keep pets, they are au fait
with the elements of nature - trees, flowers, plants - and are able to understand and
maintain interest in the principal global environmental issues that have dominated the
consciousness of humanity recently. They possess a good knowledge of the functions of
the body, and usually live healthy lives in accordance with this knowledge. Interest in
the origins of the universe, the evolution of life, social issues leading to the development
of humanity and the preservation of life on our planet, figure prominently in our
consciousness through this intelligence.

Charles Darwin
Represented by Charles Darwin, the great British naturalist, who has gone down in
history as the discoverer of the theory of evolution by natural selection. This intelligence
gives people the ability to distinguish among, classify and use the features of the
environment. It is Darwin who coined the phrase, "struggle for existence" and the most
famous of all, "survival of the fittest". Despite recognising the stark realities of life,
Darwin retained his sense of childlike wonder at the complexity of the natural world.
 “DRISHTI CENTRE FOR EXCELLENCE”
Presents

Leadership & Soft Skills Training for

ICAR (CPCRI)
 The Pencil Parable

In the beginning, the Pencil Maker spoke to the pencil

saying,
"There are five things you need to know before I send
you out into the world. Always remember them and you
will become the best pencil you can be."

2
You will be able to do
many great things,
but only
if you allow yourself to
be held in
Someone's hand

3
You will experience a painful sharpening from time to time,
but this is required if you are to become a better pencil

4
You have the ability
to correct any
“Mistakes”
you might make

5
 The most
important part of
you will always be
what's inside

6
 No matter what the condition, you must continue to write.
You must always leave a clear, legible mark no matter how
difficult the situation

7
The pencil understood,
promising to
remember,
and
went into the box
fully understanding
its Maker's purpose

8
 Now replacing the place of the pencil with you; always
remember them and never forget, and you will become the
best person you can be

9
 You will be able to do
many great things, but
only if you allow yourself
to be held in your

Mentor’s (Well wisher, teacher, parents

etc.)
hand
And allow other human
beings to access you for
the many gifts you
possess
10
You will experience a painful sharpening from time to time,
by going through various problems, but you'll need it to
become a stronger person

11
You will be able to correct mistakes you might make or
grow through them
12
The most important

part of you will

always be what's on

the inside

13
On every surface you walk, you must leave your mark. No
matter what the situation, you must continue to serve . . .

14
 Everyone is like a pencil...
created by the Maker for a unique and special purpose

By understanding and remembering, let us proceed

with our life on this earth having a meaningful purpose
in our heart and nurture a relationship daily . . .

15
Entrepreneurial Approach / Mind-set

16
 They are all successful entrepreneurs
who built a business, from scratch to
A GOOGLE SEARCH ON

“the entrepreneur
mindset”
YIELDS THOUSANDS OF
SEARCH RESULTS!
Inside the mind of
an Entrepreneur

CREATES A VISION TO ACHIEVE THE MISSION

This means carefully considering

all that you want your company to
be before it even exists. It means
imparting your vision, your dreams
and your principles into the
company right off the bat.
Inside the mind of
an Entrepreneur

KNOWS WHEN TO TAKE RESPONSIBILITY

As the top boss you have to

take responsibility for both
the good and bad that
happens to the business.
Inside the mind of
an Entrepreneur

HAS AN ENTREPRENEUR PERSONALITY

Becoming a successful entrepreneur is hard work

that takes a dedication. Some of the personality
and character traits required to become
successful in this venture include organizational
skills, the ability to handle pressure, a tolerance
for risk, a strong mental drive, a competitive
nature, a healthy outlook on life, a positive
attitude, decisiveness, patience, optimism and
pure strength.
Inside the mind of
an Entrepreneur

IS A TRUELEARNER

As a true learner, you know to focus

your energy on what is necessary to
succeed in life, which includes
success in your business. The
successful entrepreneur does what
is necessary.
Inside the mind of
an Entrepreneur

HAS TIME MANAGEMENT SKILLS

A true entrepreneur is never

off the clock, even though
they know when to work and
when to relax.
Inside the mind of
an Entrepreneur

CAN BREAK RULES WHEN NECESSARY

Entrepreneurs have the mindset of

breaking rules and looking for ways to do
things differently. This means having a
global perspective, always peering over
the horizon, or at least towards it, to where
the next big thing is waiting.
Managing Emotions

26
Video

Emotion leakage

27
The Rational-Emotional
Dimension

28
Reaction to a Situation

 Three ways of reacting to a situation:

• Adult

• Parent

• Child

29
 The Three States of Behaviour

 Adult – states expectations and offers explanations

without getting emotional

 Parent – Demands compliance, is dominant in behaviour

and works for a win-lose situation

 Child – Reactive in behaviour and demands attention to

needs

30
Personality Types – Parent, Adult or Child?

 In an Adult-to-Adult transaction, the dialogue is always

rational and with empathy by both parties
Problem or situation is manageable and controllable

 In an Parent-to-Child transaction the dialogue

is emotional
One party states conditions and the other
party reacts (anger, frustration, etc.)

31
Personality Types – Parent, Adult or Child?

 In a Child-to-Parent transaction the dialogue is

emotional

• One party makes demands and the other party refuses to comply
and raises conditions/ counter demands which leads to reactive
and emotional behaviour)
by first party

32
Leadership
Leadership
lessons from
Obama
Be comfortable
in your own
skin
Develop your
communication
skills
Spend quality time crafting your speeches
PRACTICE
PRACTICE
PRACTICE
Deliver with
passion
Connect
with your
audience
Stick to the message
You will get far with a great team
You learn more
by listening......
It’s all about
connecting
Stable
strategy
+
Flexible
tactics
=
Victory
Yesterday’s
competitor is
today’s
collaborator
A leader is a
dealer in hope
Napoleon.
Be your own story teller
Leadership is
influence
Technology
is
an
ally
Use it to reach
your
supporters
Leadership is all
about
empowering
others
and releasing them to make impact
The ability to
stay calm
under
pressure is a
great quality
Don’t be afraid
to experiment
 Video – Turkey cross road

56
Networking

57
 Learning Objectives

•Introduce yourself in a meaningful, memorable

way
•Be goal focused about networking so that you
make the most of events you attend
•Apply the concept of give first and be helpful as
part of a system of reciprocity
•Use strategy and systems in order to network
effectively
•Leverage the availability and usefulness of the
Internet, including LinkedIn and Twitter
 Assessing Your Networking Skills

Networking Dynamics (I)

•Don’t let yourself think that networking is just

about making connections and building
your relationships.
•Business networking is a strategy used to
ultimately sell our products and services.
•A solid business network is your path to
getting your goods and services to
market.
 Assessing Your Networking Skills

Networking Dynamics (II)

•Networking includes the advantage of

personal introductions, referrals, and
recommendations.
•Business networking uses principles of
common sense.
•It requires a commitment to relationship
building.
 Assessing Your Networking Skills

Are You Committed? (I)

•I have a quick, efficient, compelling

elevator speech.
•I differentiate myself from my
competition.
•I am committed to serving/helping
others.
•I operate with high integrity.
•I am targeting my ideal client.
 Assessing Your Networking Skills

Are You Committed? (II)

•I attend networking events with a goal
in mind.
•I do my follow up on time every time.
•I have a positive demeanor at all
times.
•I am focused, ready, and diligent.
•I have a high degree of product
knowledge and confidence.
Team Skills

63
 Form an ODI team

64
Assessment

65
 Team – work, geese

66
By flying in a “V” formation....
The whole flock increases
the flight efficiency by 71%

Compared to just one

bird flying alone
Lesson 1:
Sharing the same direction
and working as a team, get us
to the destination quicker and
easier.
By helping ourselves, the
accomplishments are greater!.
When a goose leaves the
formation..
He feels the resistance of the
air and the
difficulties of flying alone....
Then, he quickly comes back to
the formation
to take advantage of the the
flock’s power
in front of him ..
 Lesson 2:

By staying in tune and united beside

those who are going in the same
direction, the effort will be less.

It will be easier and pleasing to reach

the goals,

Everyone will be inclined to accept

and give help.
When the leader goose gets tired of flying...
... He goes to the end of the “V” formation.
While another goose takes the lead.
 Lesson 3:

To share the leadership,

There must be mutual respect between us

all the time...

Sharing the hardest problems

and tasks..

Gathering our abilities and

combining our faculties,
talents and resources….
The geese flying on a “V” formation,
they quack
to encourage to the ones in the front.

In that way, they keep the same speed.

Lesson 4:

When there is courage and

encouragement, the progress is
greater..

A timely word of encouragement,

always motivates, helps and
strengthens..
It produces the best of benefits...
When a goose gets sick, is injured
or gets tired ,
And he must leave
the formation...
Other geese leave the formation
too, and they fly with him to help
him out and protect him.
They remain with him until he dies
or he is able to fly again.
They reach the others or they just
make another “V” formation.
Lesson 5:

Let’s stay
beside each other no matter
what the differences.

Specially in times of difficulty

and great challenges..
If we bond together and support
each other..
If we make true the spirit of
teamwork..
Regardless of our differences, we
can rise to meet our challenge.

If we understand the real value of

friendship..

If we are aware of the feeling of

sharing..

LIFE WILL BE EASIER

AND THE PASSING OF YEARS
MORE FULFILLING ..
2 Video – ant & Gold

84
Problem Solving

85
2 videos cat& crow

86
Root cause analysis

Identifying a problem to its origins

• How to approach a problem at work?
• Do not enter into surface of the problem
and try to rectify it or fix it, instead think
if any deeper problem that needs
attention
• Fix the underlying problem and systems
that cause the problem
• Root Cause Analysis (RCA) is a technique
used to find out why the problem
occurred in first place
10
• RCA identifies the problem and uses
9
8
specific steps to find the primary cause of
7 the problem:
6 − Investigate what happened
5 − Analyze why it happened
4 − Draw out what to do to reduce or not
3 to repeat gain
2
1
Root Cause Analysis – the process
1 2 3 4 5
Recomm-
Identify
Identify the end and
Define the problem Collect Data possible
root cause Implement
factors
solutions

• Identify what is • Ensure to have • What are the • Analyze Why • What is the best
happening proof that events that led casual factor solution you
• What are the problem still to the problem? exists need to develop
key symptoms exists • What situations • Identify what is to prevent the
• Duration of the allow the the real reason problem
problem existed problem to behind the happening again

• What is the occur? problem • How will you

impact of the • Use tools like implement?
problem? ‘Appreciation’, ‘5 • Who is
Whys’, ‘Drill responsible?
Down’, ‘Cause • What are the
and effect risks and
diagrams’ to benefits of
help identify implementing
casual factors the solution

Analyze your cost and effect process, and identify the changes you need for various systems. It is also
important that you plan ahead to predict the effects of your solution.
By doing this you can identify potential failures before they happen
88
Root cause analysis – Key points
Understanding and solving the problem
• Figure out what negative events
are occurring. Then, look at the
complex systems around those
problems, and identify key points
of failure. Finally, determine
solutions to address those key
points, or root causes
• As an analytical tool, Root Cause
10 Analysis is an essential way to
9
8
perform a comprehensive, system-
7 wide review of significant problems
6
5
as well as the events and factors 89
4
3
leading to them
2
1
• You can use tools to support your
Root Cause Analysis process
 5 Whys

WHY
WHY
WHY

WHY
Quickly getting to the root of a problem
WHY
• This is simple problem-solving technique to get in depth of a
problem quickly
• The 5-Why strategy made popular by Toyota Production
System in 1970s involves looking at any problem and asking
Why? and What caused the problem?
• Advantages of 5 Whys include:
− It quickly identifies the root cause of the problem
− It is simple and ea. sy to learn and apply 90
 5 Whys – Example

WHY
WHY
WHY
5 Whys
WHY
• Why is our client not satisfied with our work?
− Because we did not deliver on time WHY
• Why we did not complete the work on time?
− The work took much time than expected
• Why did it took much longer to complete?
− Because we underestimated the complexity of job
• Why did we underestimate the complexity of the job?
− Because we made a quick estimate and did not approach stage by stage
• Why did not we spot our deadline?
− Because we are runn.ing behind otherprojects 91
Cause and Effect Analysis Identifying the likely cause of problems

• This technique is also called as

‘Cause and Effect diagrams’,
‘Fishbone’ diagrams or
‘Ishikawa diagrams’
• This tool explores all the things
that caused the problem and it
is useful before you think or
draw a solution
• ‘Cause and Effect’ diagrams
solve the problem completely
and not part by part
− Identifies the root cause of
the problem
− Analyzes performance of
the entire system
− Identifies where and why a
process is not working
92
Cause and Effect analysis – the process
1 2 3 4
Look at the
Identify possible Analyze your
Identify the problem major factors
causes diagram
involved

• List down what • Identify factors that • For each factor • Investigate the likely
exactly the are part of the which you have causes further
problem is problem– like listed in step 2, look • Make a list of
• Identify who is systems, out all possible causes on a paper
involved/ infrastructure, causes of the and try to test each
responsible employees, external problem that may one
forces relate to the factor
• Check out where • Note the possible
and when the • Use models like • If cause is large, causes actually
problem occurs McKinsey’s 7S breakdown to small effecting the
framework – sub-causes as done problem
Strategy, Structure, in ‘Cause and Effect
Systems, Shared diagrams’
Values, Skills, Style • Have a diagram
and Staff or 4Ps of showing all possible
marketing – Product, causes of the
Place, Price and problem that you
Promotion face

93
Cause and Effect Analysis – Key points

4 Steps involved in Cause and

Effect analysis

• Identify the problem

• Work out the major factors
involved
• Identify possible causes
• Analyze your diagram
• Cause and Effect diagram
plays an important role
when you are trying to
solve complex problems

94
Confidence Building

95
2 /3 Video

96
 Support Ideas with Data

Say it Straight

Develop an Informal Channel

The various ways to influence people are as follows:

Build a Consensus
Ways to build confidence among People

Be Committed
Ways to build confidence among People
Support Ideas with Data

Support Ideas with Data:

To influence a team or a meeting, executives need to
clearly present their ideas and thoughts with facts
and/or information to support it. Many people
respond positively when a view is supported with
data or something concrete. Some background
research pays. If you get some information that will
add credibility to your argument, your chance of
influencing the cause or fact is very high.
Ways to build confidence among People
Say it Straight

Say it Straight:
The skill of influencing depends largely on the way
you put across your point of view. HR experts say
executives should communicate their point of view
in a way that makes a direct impact. Both the
substance and the way you put it across plays a big
role in influencing. Carefully choose the words, the
timing, the forum and the way the point of view is put
across. Saying it with a lot of conviction causes a
greater impact.
Ways to build confidence among People
Develop an Informal Channel

Develop an Informal Channel:

It is important to use multiple channels to influence.
Apart from formal influence, which is done through
meetings, informal influencing of key people is
important. Such informal influencing can be done in
office corridors, by walking into the cubicle or even
in the canteen. Build a network with colleagues and
a good working relationship with key officials during
such informal encounters and convey your point of
view as if you were thinking about it.
Ways to build confidence among People
Build a Consensus

Build a Consensus:
A good communicator, it is said, is one who listens
more and talks less, since he then influences the
most. Such an approach helps to gain the
confidence of team mates. Listen and understand
their point of view. At a senior level, directing
someone will have little influence. The best
influencing style is probing, consulting and
questioning, as it helps to gain consensus.
Ways to build confidence among People
Be Committed

Be Committed:
The biggest impact will depend on how a
professional lives up to his commitment and whether
or not he is a man of action. But don’t commit to
something that may be difficult to achieve. If you
cannot follow what you preach, then the next time,
your colleagues or subordinates will not listen to you
and won’t take you at face value.
Rapport Assessment

Entrepreneurial Approach / Mind-set

Managing Emotional
Leadership and team skills
Networking
Problem Solving Techniques
Confidence building

103
Stress Management

104
 ‘A’ TO ‘Z’ OF
STRESS MANAGEMENT
ABC
 Always take time for yourself, at least 30
minutes per day.

 Be aware of your own stress meter: Know

when to step back and cool down.

 Concentrate on controlling your own

situation, without controlling everybody
else.
DEF
 Daily exercise will burn off the stress
chemicals.

 Eat lots of fresh fruit, veggies, bread and

water, give your body the best for it to
perform at its best.

 Forgive others, don't hold grudges and be

tolerant -- not everyone is as capable as
you..
GHI
 Gain perspective on things, how important is the
issue?

 Hugs, kisses and laughter: Have fun and don't be

afraid to share your feelings with others.

 Identify stressors and plan to deal with them

better next time..
JKL
 Judge your own performance realistically;
don't set goals out of your own reach.

 Keep a positive attitude, your outlook will

influence outcomes and the way others
treat you.

 Limit alcohol, drugs and other stimulants,

they affect your perception and
behaviour...
MNO
 Manage money well, seek advice and
save at least 10 per cent of what you
earn.

 No is a word you need to learn to use

without feeling guilty.

 Outdoor activities by yourself, or with

friends and family, can be a great way to
relax....
PQR
 Play your favourite music rather than
watching television.

 Quit smoking: It is stressing your body

daily, not to mention killing you too.

 Relationships: Nurture and enjoy them,

learn to listen more and talk less.....
STU
 Sleep well, with a firm mattress and a
supportive pillow; don't overheat yourself
and allow plenty of ventilation.

 Treat yourself once a week with a

massage, dinner out, the movies:
Moderation is the key.

 Understand things from the other person's

point of view......
VWX
 Verify information from the source before
exploding.

 Worry less, it really does not get things

completed better or quicker.

 Xpress: Make a regular retreat to your

favourite space, make holidays part of
your yearly plan and budget.......
YZ
 Yearly goal setting: Plan what you want to
achieve based on your priorities in your career,
relationships, etc.

 Zest for life: Each day is a gift, smile and be

thankful that you are a part of the bigger
picture........
FRIENDS, LET US FOLLOW THIS
ALPHABET ON “STRESS
MANAGEMENT” TO HAVE A LESS
STRESSFUL AND MORE
ENJOYABLE LIFE.
Assessment

116
Creativity & Innovation
Assessment

118
Topics

 Difference between creativity and innovation

 Mind mapping
 Reframing
 Assumption reversal
 Analogies and Metaphorical Thinking
 Discontinuity
 Brainstorming
 Discussion and possible barriers
 Putting it all together - Activity
What is creativity
What is innovation

121
Creativity vs Innovation

122
How our brain works?

Hare Brain Tortoise Mind

Divergent vs Convergent Thinking

Divergent Thinking

CCoonnvveerrggeennttTThhiniknki nigng
124
Assumption / Problem reversal

Here's an assumption that many businesses make: customers

want good service. But the assumption
reversal technique proposes that you turn that around: customers
don't want good service.

By questioning the seemingly obvious assumptions about a

problem, you can spark off new ideas for tackling it. Even the most
basic assumptions are up for analysis.

125
Analogies and Metaphorical Thinking

126
 Crisps were like leaves, and
then thought about how you
would pack leaves efficiently.
If you compress dried leaves,
they break. However, you can
press leaves so long as they are
moist and not dry.

This led the manufacturers to the

idea of mixing dried potato with
water and then pressing
it into shape, so the crisps could
be stacked and occupy less
space on the supermarket
shelves

127
 Brainstorming
The creative problem solving method
Benefits of Brainstorming
Mind Map
Mind mapping

133
Discontinuity

an approach which forces you out of the rut by introducing

untypical behavior or ideas

Video 134
Force field technique
Understanding Risks & Mitigating them

136
What is Risk ?

 Risk
–noun
exposure to the chance of injury or
loss; a hazard or dangerous chance: It's
not worth the risk.

 A Risk is potential event with negative

consequences that has not happened
yet.

 A possibility of the loss- but the loss has

not happened yet.
Risks can be…….

 Risk as hazard—
• managers should place their emphasis on
minimizing negative events;

 Risk as uncertainty—
• managers should study all possible
outcomes with an eye toward reducing the
variance between anticipated outcomes
and actual results;

 Risk as opportunity--
• managers must assess the risks inherent in
opportunities, for taking too little risk can be
as much a management failure as taking
too much.
Examples of Risk

 Change in requirements

 Staff turnover

 Supplier delivery time dependenc y

 Incorrect estimation

 Product competition

 Change in timelines
Processes involved
 Risk assessment
• identification and evaluation of risks and risk
impacts, and recommendation of risk-
reducing measures

 Risk mitigation
• prioritizing, implementing, and maintaining
the appropriate risk-reducing measures

 Evaluation and assessment

• continual evaluation process
Risk Assessment

 Determination of quantitative or
qualitative value of risk related to a
concrete situation and a recognized
threat (also called hazard).

 Risk assessment consists of an objective

evaluation of risk in which assumptions
and uncertainties are clearly considered
and presented.
Risk Identification

 Risk identification begins at the earliest

stages of a project and continues
throughout the project life cycle.

 Risk Identification is the process which

seeks to understand the project,
determine which risks are likely and
document the characteristics of the
risks.

 It is mostly concerned with

opportunities and threats.
How to identify
 Initial risks are identified during
• proposal preparation
• project initiation
 Various sources available for identifying risks
• Project Leader’s (PL’s) experience
• Project specific requirements/constraints
• Risk Identification Questionnaire and risk data
base
• Lessons learnt from earlier projects/phases
 Any team member can identify a new project risk

 Risks are categorized and documented in the Risk

Management Plan (RMP) as part of Project
Management Plan (PMP)
Tools to identify risks
 Brain storming

 Mind mapping

 Strength, Weak, Opportunities, Threat

analysis

 Use of experts

 Influence diagrams

 Risk identification questionnaire

 Relevant post project review reports

Effective Communication Skills
Objectives

• Characteristics of communication.
• Purpose of communication.
• Process of communication.
• Importance of feedback.

14
6
Overview

 What is communication?
• A process
• An exchange of meanings, ideas, and thoughts
• The use of a common set of symbols

14
7
The Communication Process

Feedback

To
Sends

Interprets Message
Sender

Formulates COMMUNICATION
PROCESS Receiver

To

Message Delivers
through
Channel

14
8
Effective communication

The delivery of message from the sender to the

receiver is an important part of effective
communication, however the receiver interpreting it
and taking appropriate action is even more
important

14
9
Effective Communication

 The essentials of good communication:

• Confidence

• Conviction

• Enthusiasm

15
0
Effective Communication…

Keep

It

Short and

Simple

15
1
The Power of Spoken Words

15
2
Verbal Communication

 Verbal messages are the expression of

thoughts in spoken words.
 The verbal portion of your message is
language, which comprises the words,
phrases, and sentences that you use.
 You can use verbal communication in
many forms such as an oration, a lecture, a
presentation, or even in simple
conversation.

15
4
Essentials

 A good vocabulary is essential for creating

effective verbal communication.

 In speaking, accurate use of language and

fluency alone are not enough. It is equally
important to know
• what to say
• to whom
• and when.

15
5
Summary

Be Prepared Be Vivid

Be Clear Verbal Communication Be Simple

Be Concise
 Must Say
 Should say

 Might Say
15
6
Nonverbal Communication

15
7
Objectives

• Distinguish between the use of verbal and nonverbal

communication.
• Apply techniques of nonverbal communication.
• Interpret nonverbal cues in communication.
• Identify the impact of nonverbal messages on verbal
messages.

15
8
Chin

Verbal + Nonverbal communication


Effective communication

15
9
Nonverbal Communication
 Kinesics
The study of body movements. The gestures, posture and
movement of eyes help communicate message to the
receiver

 Proxemics
The physical distance that a person maintains during
conversation.

 Paralanguage
Paralanguage is the vocal and nonverbal dimension of
speech. It is about the manner in which you say something
rather than the words that you speak.

16
0
Barriers to Communication

16
1
Objectives

• Identify various barriers to communication.

• Identify methods to overcome these barriers.
• Apply these preventive measures to overcome various barriers
to communication.

16
2
Barriers to Communication

 Types
• Perception
• Bias
• Semantic

16
3
16
4
Perception

165
Perception

16
6
Perception

167
Perception

 Perception is the lens through which you see the

world.

 It effects the way you interpret a message.

 Your perception is based on your experiences and

viewpoints.

16
8
Bias

 When you receive a message, you often

make your own assumptions about the details
that are missing from the message.
 These assumptions are either based on your
experience or your liking and thus are biased.
 If you do not seek clarification on these
assumptions, you are likely to misunderstand
the message.

16
9
Video

170
Semantic Barrier

 Semantic refers to the meaning conveyed by

a word or a sentence in a language.

 Use of inappropriate or ambiguous language

can lead to misunderstandings.

He had a plant on the file cabinet that was

right in the center.
She killed the man with a gun
17
1
Video

172
What do you mean?

I didn’t say he stole that money!

17
3
Lack of Attention

 Reasons

• Time pressures
• Communication overload
• Unnecessary extra information
• Faulty channels

17
4
Cultural differences

 Cultural differences between people can

break the flow of communication and lead to
the transmission of incomplete or unclear
messages. One commonly faced problem is
the pronunciation differences between
different cultures.

 For example, an Indian talking to an

American might mistake some word for
another and vice-versa.

17
5
How to Overcome Barriers to
Communication
 As a sender of the message:
• Present the message idea clearly and consistently
• Ensure completeness of the message
• Understand the receiver
• Use appropriate channels
• Seek feedback from the receiver

 As a receiver of the message

• Improve listening
• Clarify the message idea
• Understand the sender

17
6
Listening

18
1
Objectives

 At the end of this lesson, you will be able to:

• Discover your own listening skills.
• Identify the importance of listening.
• Describe the listening process.
• Distinguish between different listening styles.
• Identify the techniques of active listening.

18
2
Listening is an important part of good
communication

“People don’t care how much you

know, but they know how much
you care…by the way you listen”
-Bob Conklin

18
3
To be an Ideal Listener

• Stop talking to others and to yourself

• Try to walk in the speaker’s shoes
• Sound and be interested
• Note nonverbal behavior
• Don't interrupt unless imperative
• Listen between the lines
• Try to speak affirmatively while listening

18
4
Why Listen at all?

 Listening is:
• A principle way of learning.
• A means of creating a listener.
• A way of helping people.

18
5
Active Listening

 Purposes of Active Listening

• Verifying a message
• Expressing acceptance
• Prompting the speaker

18
6
How do you Listen?

 Receiving
– Tip: Tune out distractions and focus on registering the message.

 Interpreting
– Tip: Be open to the possibility that the speaker's frame of
reference could be different from yours.

 Remembering
– Tip: Identify central ideas and create a mental outline of key
points.

18
7
How do you Listen?

 Evaluating
– Tip: Resist evaluation till you comprehend the message.
– Tip: Distinguish facts from inferences or opinions .
– Tip:Identify biases or prejudices.

 Responding
– When the speaker is talking
1. Tip: Use back-channeling cues.
– When the speaker has finished talking
1. Tip: Use more elaborate responses.

18
8
Some Barriers to Listening

• Listening selectively
• Interrupting persistently
• Daydreaming
• Succumbing to external distractions
• Evading the difficult or technical
• Criticizing the speaker’s delivery or audio-visual aids

18
9
Questions that Win & Keep Customers

19
0
Objective

 At the end of this lesson, you will be able to:

• Identify various types of probing.
• Identify the importance of probing in customer management.
• Probe for success

19
1
Probing

 Probing is a technique of questioning to discover

what a persons need, wants and his opinion about a
certain issue.

19
2
Probing

 The skill of asking relevant and meaningful

questions

 Helps in uncovering and developing

customer needs.

 Helps change tracks in a discussion

 Makes the other person think

19
3
Importance of Probing

 Probing helps you to

• Uncover and develop customers need
• Focus your customer on issues that you want them to
consider
• Change tracks in a discussion
• Makes the other person think
• Keep the other persons attention
• Prove to your customer that you really care for them

19
4
Two types of probes

 Open-ended questions
 Close-ended questions

19
5
Open Probes

 These are questions that reveal information about

emotions and thoughts.
 Open ended questions are used to gather
information about the customer and what is there in
his mind before you introduce your solution to his
problems.

19
6
Closed Probes

 These questions are used for narrowing down the

choices of the customer to ‘Yes’ or ’No’

19
7
Goal Setting
 “SMART” GOALS
S SPECIFIC
M MEASURABLE
A ACHIEVABLE
R REALISTIC
T TIME BOUND
2 video Maradona & kids perseverance

200
 Steps That
Helps You
Create And
Achieve Goals
KEY GOALSETTING QUESTIONS

• CHALLENGE
• THE GOAL
• ACTION PLAN
• TARGET DATE
Setting Goals
 Goals are of FOUR
types.
1. Regular Work Goals.
2. Problem Solving
Goals.
3. Innovative Goals.
4. Developmental Goals.
Topics completed
 Entrepreneurial Approach / Mind-set
 Managing Emotional
 Leadership and team skills
 Networking
 Problem Solving Techniques
 Confidence building
 Stress management
 Developing creativity & innovative thinking
 Understanding Risks & Mitigating them
 Effective communication skills
 Goal setting for performance
204
Thank You

205
Leadership and Managing Power
Insights from Mahabharata

Urdhvabahurviraumyesa na ca kashcicchrnoti me /
Dharmadarthashca kamashca sa kimartham na sevyyata //

“I raise my arms and I shout – but no one listens !

From dharma comes success and pleasure : Why is dharma not practised?”
– Svargarohana Parva [“Ascent to Heaven”] [ 1]

Six figures etched on the Himalayan skyline. As they inch up the steep bleak heights,
suddenly the last figure, a woman, crumbles. A slight pause, then the five labour on
upwards. One by one, four fall. “Why? Why?” the shrieking wind whistling down the icy
gorges tears the question to shreds. The lone survivor does not look back. He vanishes
from sight on Mount Meru—Exeunt, followed by a mongrel.

‘The first spectacle that Yudhishthira saw when he entered heaven was Duryodhana
gloriously esconced in a beautiful seat and radiating a heroic sun-like
splendour….Yudhishthira said, “This is not heaven.”’ [2]

Alone on the slopes of Meru, dragging in the thin, icy air in short agonizing gasps,
waiting for the end, Yajnaseni-Draupadi watches the past flash by in iridescent vignettes.
Finally empress of Bharatavarsha indeed: all children and kin slaughtered;sakha Krishna
and his clan decimated in internecine strife, the Yadava women abducted by staff-
wielding robbers from the custody of Gandiva-wielding invincible Arjuna; mother-in-law
Kunti retiring to the forest and dying in a forest fire; and now not one of her five
husbands has turned back to be with her in her last moments.Nathavati anathavat, five-
husbanded indeed, but ever without protection! What was Kurukshetra all about? A
struggle for power, a wreaking of vengeance, a righteous war to establish dharma?

“What are the roots that clutch, what branches grow

out of this stony rubbish? Son of man,
You cannot say, or guess, for you know only
A heap of broken images…. [3]
Power is craved because of the pleasure it brings, but the history of kingship recounted
in the epic brings home a very different perception: individual power has to be given up
in the interest of public welfare.

The epic tells us that when the unhindered play of individualism led to the strong
oppressing the weak [matsyanyaya], with none enforcing the rules agreed upon, the
vexed people decided to give up their individual power in the interest of general welfare
and approached Vaivasvat Manu for assuming overlordship. For his pains they offered
one-fiftieth of their herds, one-tenth of their agricultural produce and one-fourth of the
merit that the subjects would accrue by observing dharma.[4] The massive corpus of
the Shanti Parva is devoted to Bhishma’s discourse on the intricacies of Raja dharma,
the way of the king, in which the key pronouncement is:
 Atma jeyah sada rajna tato jeyashca shatravah /
Ajitatma narapatirvijayeta katham ripun //

“First the raja shall conquer enemies.

He who has not conquered himself, how will that raja succeed in conquering enemies?” 5]

In another account the epic throws significant light on the implications of exercising
power in governance. The first king was Ananga, and it is with his grandson Vena that
we come across the record of what power brings in its wake: one cannot have enough of
it. That is why power is said to corrupt, and when it is absolute in nature, the corruption it
brings about is also total. Vena became a tyrant, oppressing the people so that they slew
him and in his place chose Prithu as king, for he had mastered the science
of danda [chastisement] that upholds dharma. It is Prithu who cultivated the earth, made
it yield its fruits so that it was called “Prithivi” after him. Because he protected all from
harm, he was called Kshatriya, and because he pleased all the people he was renowned
as raja

[6]
Ranjitashca prajah sarvastena rajeti shabdoyate //

From one point of view, Vyasa’s epic is a study of the use and abuse of power. It is not
that in itself power is good or bad. It is essentially a force, a weapon, that can be used to
save and foster or to harm and extort: “Desiring power first as an instrument for the
achievement of other ends, he falls in love with and retains it as an end in itself … the
man who has drunk of the draught of power loses his wisdom and , forgetful of the end
which power should have achieved, dictates for the sake of dictating.”[8] This, indeed, is
what Vyasa recounts.

Essentially what the epic depicts is the fortunes of the dynasty founded by Yayati, and
the struggle between his descendants for the hegemony of Bharatavarsha. As a dynast,
he is a watershed in Pauranik history. Of his five sons the Yadavas, stemming from the
disinherited eldest son, Yadu, and the Pauravas descending from the youngest son Puru
who gets the throne, are the most important. One branch of the family establishes itself
in Hastinapura, while another rules in Magadha. The Kauravas, Pandavas and
Panchalas are all Pauravas, battling amongst themselves on Kurukshetra with the
Yadava Krishna presiding over it all.

The first attempts to establish tyrannical supremacy are made by Jarasandha of

Magadha (modern Bihar). He makes Kansa, son of the head of the Mathura oligarchy,
his son-in-law, and then manipulates him into imprisoning the titular head, his father
Ugrasena. Kansa becomes tyrant of Mathura. One by one Jarasandha imprisons
eightysix princes, his goal being to sacrifice a hundred to Shiva to celebrate his
coronation an emperor, samrat. Around him he builds a circle of like-minded abusers of
the people’s trust: Dantavakra of Karusha and Sishupala of Chedi in central India,
Bhishmaka of Vidarbha in the south-west, Kalayavana beyond the western borders, the
ruler of Kashi (Benares), Paundraka Vasudeva of Pundra (Bengal) in the east, Naraka of
Pragjyotishapura (Assam) in the north east. The only person with the statesman’s vision
to perceive Jarasandha’s design is Krishna. To save the Yadavas from being enslaved,
he persuades them to abandon Mathura, which was being repeatedly attacked by
Jarasandha, and to re-establish themselves in the fortified city of Dvaraka on the
western seashore. From here he cast an eagle eye over Bharatavarsha, seeking
desperately for a countervailing force.

In the natural course of things, this force should have been available in Hastinapura, for
it was here that the great righteous monarch Bharata had ruled, after whom the country
took its name “Bharatavarsha”. But here, again, personal lust was allowed to cloud a
ruler’s vision of public welfare. Bharata the eponymous dynast had displayed the true
qualities of greatness. Finding all his sons unworthy to rule, he discarded blind
adherence primogeniture, adopted the Brahmin Bharadvaja and, renaming him Vitatha,
gave him the kingdom. This over-riding concern for the welfare of the people instead of
caring for the claims of one’s progeny is what sets Bharata apart. It is precisely the lack
of this in his descendants Shantanu and Dhritarashtra that heralds the doom of the
dynasty. The contrast Shantanu presents to his ancestor Bharata is astonishing. In
pursuing the gratification of his personal desire for the intoxicatingly fragrant and dark
fisher-maiden Kali Shantanu is blind to the paramount consideration of the welfare of his
subjects, who already have in Devavrata a completely qualified heir-apparent. He
eagerly concurs in Gangadatta-Devavrata’s vow to abjure the throne and marriage. By
way of appreciation he confers on his son the boon of choosing the moment of his death.
And this becomes the bane of Bhishma’s life.

Shantanu dies before his sons from Satyavati reach majority. The eldest, Chitrangada, is
killed fighting a Gandharva, with no sign of his invincible foster-brother fighting at his
side. Vichitravirya becomes king as a minor, makes no mark whatsoever, and is
prematurely provided by Bhishma, at the insistence of queen mother Satyavati, hungry
for progeny, with two voluptuous brides. Vichitravirya dies without issue, as “driven by
passion, (he) became/a victim of his own lust.” These are words which will be echoed by
his foster-son, Pandu who laments:

Noble blood is of little help

Deluded by passions, the best
of men turn wicked, and reap
the evil that they sow.
My father was born noble,
his father was noble too.
Lust was his ruin, he died
while still a youth.
And in his lustful field
I was sown by Krishna Dvaipayana.
And I am a victim of the hunt !
My mind is full of killing,
shooting down deer.[8]

Bhisma: Power Unused

It is the death of Vichitravirya that leads to the first exposition of Bhishma’s superhuman
qualities. When Satyavati pleads with him to satisfy the craving of Ambika and Ambalika
for sons (a typical case of desire transference, for it is she who is desperate for
grandsons), and thereby save the dynasty from extinction, this is his response:
 I will give up the three worlds
I will give up heaven,
I will give up more than the three worlds and heaven,
But I will not give up my truth.
Earth may give up fragrance,
Water its wetness,
Light clarity,
Wind movement,
Sun may give up splendour,
fire its heat,
moon coolness
sky either,
Indra, Vritra-slayer, may give up valour,
Yama the just, justice,
But I will not break my vow.

Now comes an extremely revealing comment:

Let doom overtake the world !
Immortality cannot tempt me,
nor lordship of the three worlds !
I will not break the vow. [9]
This is the essence of Bhishma’s dharma. His attachment to the vow of celibacy takes
over-riding precedence over everything else, including the public weal. He is not
bothered about the chaos that will occur in Hastinapura with no one to inherit the throne.
His major concern is that his vow must remain intact. The motivation is highly complex,
for in it play a number of factors: resentment against his mother Ganga for depriving him
of paternal love from birth and then of maternal love from the crucial adolescent age
onwards; disgust for a father who dotes on a teenaged fisher-girl oblivious of his
obligations to the people; anger against Satyavati, the cause of the terrible sacrifice he
has had to make. Once more, the end result is self prized above service.

What is the nature of this famous vow? It is not only the giving-up of a Crown Prince’s
right to the throne [which had been done by some of his ancestors like Yati and his uncle
Devapi] but also the incredible sacrifice of a Kshatriya right to beget progeny in order to
subserve a father’s infatuation for a fisher-girl. The futility of it all is that the vow is
adhered to long after its purpose has been served and even when it becomes
dysfunctional to the extent of threatening the very existing of the dynasty of which
Bhishma is the sole remaining representative.

Of a piece with this obstinate adherence to his vow is Bhishma’s peculiar attachment to
Hastinapura itself. He is the same age as Satyavati, if not older, but she does not follow
her into vanaprastha in the forest after the death of Pandu, when Vyasa advises his
mother and her two daughters-in-law not to be witnesses to the suicide of their race.
Bhishma is entombed in a perpetual brahmacharya ashrama, the first of the four stages
in a human being’s life. He eschews the stage of a householder, does not retire to the
forest, and fails to become a sanyasi. With this goes an obsession with Hastinapura, so
strong that he can bring himself to support the Pandavas only verbally, but needs must
ally himself physically with the Dhartarashtras despite knowing them to be in the wrong.
And that he does to the extent of leading their armies against the Pandavas in a cause
which he believes to be wrong! Truly, he is a man divided against himself. The only
rationale he provides for his behaviour is that he and Drona are borne on the
Hastinapura monarch’s exchequer and hence bound to serve him. Yet, Yuyutsut, son of
Dhritarashtra, has no hesitation in rising above loyalty to his brothers to cross-over to the
side he knows to be in the right. It is Gandhari who points out to her husband at the time
of Krishna’s peace-mission that the warriors on whom their son foolishly depends will not
lead him to victory because, although they will fight on his side being rajapinda
bhayat[borne on the state’s payroll], their hearts will not be with him.[10] Bhishma
himself echoes this when he tells them that he, along with Kripa and Drona, are bound to
the Kauravas “by need”, that is, they are borne on the Kaurava exchequer. [11]

It is Bhisma who is instrumental in bringing about the deaths of the successors to the
Hastinapura throne, albeit unwittingly. We have already seen that his over-eagerness to
provide his stepbrother with a surfeit of brides resulted in Vichitravirya’s premature
demise. This was followed his going out of his way to procure a second bride for Pandu,
whose very name indicates the state of his wife. It is significant that the blind
Dhritarashtra was not provided a second wife by Bhishma. Pandu had gone to
asvayamvara (bridegroom-choice ceremony) on his own. No Kuru king is found
attending any previous to this. Bhishma paid considerable bride price to procure Madri
who becomes the direct cause of Pandu’s death.

It is significant that when Pandu leaves Hastinapura on a self-imposed exile, Bhishma

does not protest. Nor does he ever enquire after the welfare of this scion of the dynasty
in the Himalayan wilderness. Even news of the birth of the sons to Pandu, cursed with
death in intercourse, does not arouse curiously or lead to any embassy from the capital
to the forest to celebrate the birth of hairs to the sterile throne. The same indifference
was displayed during the battle in which his stepbrother Chitrangada died. It is an though
Bhishma were pleased to have the consumptive Vichitravirya engrossed in his wives,
and then blind Dhritarashtra on the throne, as titular monarchs with himself as the all-
powerful Grey Eminence actually his alone. Unfortunately, the coming of Shakuni,
accompanying his sister to her life-long immurement in darkness in Hastinapura
compelled by Bhishma, changed the entire completion of the situation. Is it not
symptomatic of Bhishma’s insensitivity to human feelings that he should never have
enquired of Gandhari the reason for bandaging her eyes permanently, or have asked her
not to do so? It is as though, having suppressed his strongest urge and failed to
sublimate it, Bhishma became the ultimate misogynist, automatically stonewalling
against awareness of feelings of others, particularly women. This is consistent with his
indifference to the predicament in which he places Amba that ends in her suicide. The
price has to be paid by Hastinapura, whose vitals Shakuni worms into, exuding that
poison which corrodes the dynasty. Incredibly, Bhishma yet again remains a silent
spectator to the poisoning of Bhima, the gutting of the House of Lac, the division of the
kingdom, the cheating in the dice-game, the disrobing of Draupadi, the refusal to restore
Indraprastha after the exile is over. It is the supreme example of the “Witness” stance,
suddenly broken when war begins. Then the Witness unaccountably turns into the
Fighter against those in whose cause he believes, yet whom he will, perversely, not
support.

“In tragic life, God wot, no villain need be;

Passion spin the plot. We are betrayed
By what is false within.” [12]
It is supremely ironic that the prince who earned the sobriquet of “Bhishma” and came to
be renowned as the greatest of renouncers should be so hopelessly bound to his
father’s throne as not only to preside over the suicide of the dynasty, but to actually
participate in it on the side he knows to be in the wrong! Indeed, Devavrata-Gangadatta-
Bhishma is another Prometheus, bound in adamantine chains to the icy Caucasian
peaks of the Hastinapura throne, wracked in immortal agony as the Dhartarashtra-
Pandava fratricidal strife eats into his vitals endlessly. For, perversely, he cannot, or will
not, die till liberation comes in the form of mortal arrows showered by a grandchild who
loves him.

It speaks volumes for the much-vaunted wisdom of Bhishma that he never cast a glance
eastward of Hastinapura towards the alarming imperialistic ambitions of Magadha’s
Jarasandha despite the phenomenon of nearly a hundred kings having been captured
and nearby Mathura attacked repeatedly. A contingent from Hastinapura even
accompanied the Magadhan army’s onslaught on Mathura. One gets a sense of
Bhishma presiding over a small and weak kingdom, worried only about the traditional
enemies, the Panchalas [which is why Drupada’s sworn enemy Drona is immediately
taken into employment in Hastinapura], and blind to the growing threat of the
Jarasandha-Shishupala-Dantavakra-Kashi-Paundraka-Naraka-Kalayavana combine
gathering forces to the south, the east and the west. Bhishma merely made sure of the
north-western border through marital alliances with Madra and Gandhara, and the west
by marrying Dhritarashtra’s daughter Duhshala to Jayadratha, the Sindhu King. He was
unaware that the tenuous link down the Ganga with Kashi, whose princesses were the
Queen-mothers of Hastinapura, was already snapped by Magadha. It is young Krishna
who puts paid to these imperialistic designs by killing each of the tyrants separately,
without any assistance from Bhishma, renowned as the greatest statesman of the age.

This failed statesman, and this misogynist par excellence who abuses his Kshatriya
prowess to ruin the lives of Amba, Ambika, Ambalika, Kunti, and watches, without
protest, the attempted disrobing of Draupadi, is also a Commander-in-Chief who
deprives his army of its best warrior, Karna, by insulting him so grossly that he withdraws
from battle. Further, he announces that he will not slay any of the Pandavas and will
befriend them in his thoughts at night, although he will fight against them during the day.
What a splendid morale booster for his army! Over a period of ten days he kills
thousands of innocent soldiers but not a single Pandava. Unlike Drona, Bhishma does
not even think of capturing Yudhishthira as a way to end the war. It is as though he were
trying to tire out Duryodhana till he agrees to a truce. Repeatedly Duryodhana voices his
anguish over Bhishma’s half-hearted leadership, which he will not relinquish. A peculiar
dharma indeed!

It is a fact that Bhishma bestrides the epic like a colossus and it is because of this that
he has been celebrated over millennia as the repository of statecraft and the
embodiment of the warrior code, dharma-dharma, to be looked up to by all succeeding
generations. This aura is like the upanishadic golden lid veiling the face of truth. What
Vyasa shows us is Bhishma standing as the last bulwark of the ancient dharma in which
loyalty to the clan over-rode all other claims; in which fidelity to one’s word was the be-all
and end-all; into which considerations of the larger public weal did not enter. The
deceptive aura of perfection is ruthlessly dispelled in the Draupadi-
vastraharana episode. Never have the limitations of Bhishma’s way of life been exposed
so mercilessly as when Draupadi challenges him to stand by those very tenets of nobility
which the Kuru court supposed to uphold.

Let us listen to that traumatic exchange of words:

Draupadi said:

“It is most wrong, most wrong

to drag me in my period
before the Kuru heroes. But none
here finds it wrong.
Oh the shame of it! If all
these great Kuru heroes
Find nothing wrong here, then
the dharma of the Bharatas
Is dead, the dharma of the
Kshatriyas is dead.
Drona, Bhishma, Vidura,
and the great monarch
Have lost their greatness—else
why are they silent?…
There is no sabha without elders,
no elders without dharma
there is no dharma without truth,
no truth without honesty.”

Bhishma said:

“Noble lady…. What can I say?

It’s all very puzzling.
Dharma is very subtle…
Very confusing.
I don’t know what to say.” [13]

Here is Bhishma prefiguring Hamlet in mulling over a philosophical dilemma while a

queen’s honour is at stake! Within Bhishma plays, subconsciously, that deep seated
grievance against mother and stepmother because of which he treats women as chattel.
He is wholly oblivious of his obligation, as the patriarch in society, to set an example for
others to follow. That is why, pointing to his silence, Karna argues that Draupadi must
have been duly won and orders watch in a silence that is stupefying for its callousness.
As she is about to be dragged away to the servants’ quarters, Panchali makes a last
attempt to arouse the sopoforic manhood of the Kuru Court whose guardian Bhishma is
supposed to be:

Never before have we heard of

a wife forced to stand
Before a sabha. The Kurus have broken
that ancient rule…
Something must be very wrong
if the Kurus let their
 Innocent daughter-in-law
suffer in this way!
Where is your sense of dharma ?

Bhishma said, “Shining lady,

I have already said
that Dharma is subtle.[14]

What Bhishma says now is of very great importance, for it speaks of the breakdown of a
system of values, of dharma having become an empty shell:

“What a strong man says often

becomes the only dharma;
A weak man may have dharma on his side
but who listens to him ?
To tell you the truth
I don’t know what to say.”[15]

The face of Truth is hidden by not a golden lid but a sadly tarnished one. Here is the
greatest of patriarchs enmeshing himself in the dialectics of reason: whether Draupadi
has been won or not. As if that issue is of more importance than protecting her modesty
and saving the reputation of the Kuru Court whose code enshrines protecting the weak
as a central tenet. The confusion in Bhishma becomes evident as he abruptly swings to
asserting that the family which has taken Draupadi as daughter-in-law will not stray from
the path of dharma. Yet he does not lift a finger to free her from brutal Duhshasana’s
clutches. Instead, he voices a meaningless approval of her stance:

“Your conduct now, O Panchali,

is worthy of you—
Though you suffer, you appeal to
the truths of Dharma.
Our elders, learned-in-dharma
Drona and others, sit
Here with lowered eyes like dead men
with life-breaths gone.”[16]

Indeed, the life-breath of this dharma is gone. What exists is a putrefying corpse kept
artificially alive, shown ultimately in Bhishma’s death-in-life on the bed-of-arrows. It is
revealing that explicit prohibition, disgust at the proceedings and warning is voiced finally
not by the Kshatriya Bhishma, protector of Hastinapura, but by the son of a mixed-caste
sage and a maid servant, Vidura:

“Now they insult a woman

Nobility is dead.
The Kauravas conspire sinfully…
Dharma violated in a
sabha, destroys the sabha…Kurus,
do not abandon dharma.”[17]
The problem is that Vidura is powerless. He can merely advise, exhort, and plead with
the blind Dhritarashtra who, obsessed by his desire that the throne must be his son
Duryodhana’s, is deaf to all appeals. In the very beginning of the epic we are told that
the Kauravas are a giant tree of passion whose root is the weak-minded Dhritarashtra.
Its seed is infatuation, its branches are anger and pride rooted in ignorance. [18] The state
power remains reined in, for

“The best lack all conviction, while the worst

Are full of a passionate intensity.”

Bhishma’s failure as a leader of the polity lies in his never having practiced the raja-
dharma he speaks of at length to Yudhishthira on his bed-of-arrows which seems to
become his penance for inaction. In a Kshatriya the “witness” stance only brings about
the destruction of the policy. The Kshatriya must use power to protect the rights of the
weak, for that is his dharma, the truth of his nature. To abjure this because of a self-
imposed vow and turn into the Egotistical Sublime of the age brings destruction and
misery in its wake not only for oneself, but also for the entire society of which such a
person is the corner stone, the pillar of strength. Withdrawal from the rightful use of
danda and exercising state power for lokasamgraha, holding together the people in the
way of dharma, is abdication that betrays the Kshatriya code. Indeed, in Bhishma,
between the ideal and the reality falls the shadow. Here is a leader fallen by the way.
When the celestial sage Narada visits Dhritarashtra, he tries to instruct him in the
dangers that wielders of state power are prone to. In this attempt he recounts the
example of Yayati, the founder of the dynasty. In Yayati’s own words:
I have lived in many realms,
I was adored by the gods,
I shone like the gods,
I was powerful like the gods
for millions of years I made love
to apsaras in the Nandana-gardens,
under clustering, lovely trees
ornamented with flowers
shedding delicate scent upon us…
Then a fearful-faced messenger came
And shouted loudly, thrice:
‘Lost! Lost! Lost!’
And I fell from Nandana. [20]
Yayati states the reason for his fall: his overweening pride in the merit of his virtuous
acts and his self-love:

“Ill deeds cancel good deeds.

Pride is the road to hell…..
I was virtuous once---
All gone-- irrevocably.”[21]

It is, therefore, not enough to be virtuous. Once must also be wise:

“Be wise and virtuous--- learn from me/who finds heaven?”
Here it is important to recall that Yayati need not have learned all this the hard way. His
father was Nahusha, the only human selected by the gods to rule over them. The power
surrendered by the gods to Nahusha is manipulated by him into a means for satiating his
craving for Indra’s wife. Those qualities of head and heart which had led the devas to
elect Nahusha to rule over them are submerged in the tidal waves of arrogance and lust
that obliterate all nobility and lead to loss of the celestial throne. Strangely enough, the
son does not learn a lesson from his father’s predicament. Instead, he repeats that tragic
tale of pride and lust and the doom to which they drive men, particularly those who wield
power over others. Yayati gives in to the advances of his wife Devayani’s friend-turned-
maid Sharmishtha, daughter of the asura king Vrishaparva. The result is the terrifying
affliction of instant decrepitude visited upon him by the furious sage Shukra. But the king
is inveterately prey to the hungers of the senses, ad pleads pitifully with son after son to
take on his senility and gift him youth for some time more. It is only Puru, the youngest,
who agrees and inherits Yayati’s throne, with the people being summoned and explained
at length why primogeniture has not been followed. Yayati frolics in the forests
with apsaras till he realizes that desire cannot be quenched, and comes back to return
Puru his youth, accepting his own senility. Yayati is extremely important to us as an
archetypal symbol of Lust in Action, and his words to Puru pulsate with a wisdom born of
anguish and tortured experience:

“Desire never ends,

Desire grows with feeding.
Like sacrificial flames
Lapping up ghee.

Become the sole lord of

The world’s paddy-fields, wheat-fields,
Precious stones, beasts, women –
Still not enough.

Discard desire.

This disease kills. The wicked

Cannot give it up, old age
Cannot lessen it. True happiness
Lies in controlling it.” [22]

What follows is of extreme importance to each of us imprisoned for birth after birth in
“This earthly hell/which seems to offer no release” [23]. For, Yayati is Everyman who has
reaped the fruits of his toil, but then falls victim to his innate hubris and loses all that he
has so painfully built up, till fellow-men come to his rescue. This is the essence of the
wisdom Yayati has extracted from his vastly varied experience of life here and in the
hereafter, which he narrates as answer to the question, “Who finds heaven?”

He who has wealth yet does yajna,

He who is learned yet humble,
He who, knowing the Vedas, is ascetic.
Shun pride of wealth,
Shun vanity of Veda-knowing …
Power, effort, are vain and useless.
 Fate is the lord—remember this,
And shun pride, and cast off grief. [24]

But from this fatalism, Yayati progresses to the equanimity celebrated generations later
by one of his descendants, Krishna:

The wise are always equable,

Not sorrowing in sorrow, not rejoicing in joy…
O Ashtaka, I do not fear fear,
I do not grieve over grief. [25]

Yayati’s attack is squarely on pride:

The wise say: Seven gates,
Asceticism, charity, serenity,
Self-control, modesty, simplicity,
And kindness, lead to heaven…
Pride cancels all these..
Study, control of speech, respect
For ritual, performance of yajna—
These remove fear. Mixed with pride,
These four create fear, O king…
‘I gave so much,
I performed many yajnas
I am learned,
I keep my vows’ –
All vanity, all pride.
Fearful.
Give it up, absolutely. [26]

When we study Mahabharata for lessons in the use of power, it is three male figures
who spring to mind side by side with three women. Bhishma is flanked on either side by
Krishna and Karna. Similarly, Satyavati forms a trio with Kunti and Draupadi.

Karna: I am myself alone—self-destructive power

Karna, like Bhishma, harbours grievance against his mother and is chained by an
outdated concept of loyalty to a benefactor, regardless of the innate merit of the situation
and the superordinate goal of lokasangraha. The mainspring of his actions I, however,
not even this dharma, but an obsession with himself. For Karna it is social status and
recognition that constitute the source of power. Indeed, he is the true counterpart
of Bhishma’s Egotistical Sublime. The fact of his inferior birth is a poisonous ulcer
eating into his soul and impelling him to acts of incredible prowess, conquering single-
handed for Duryodhana all the territories that the four Pandavas had won for
Yudhishthira’s rajasuya yajna. Once he had even worsted the mighty Jarasandha, who
gifted him the town of Malini in appreciation. For the same reason he took the vow of
never refusing a mendicant, and thereby knowingly deprived himself of his invulnerability
and his benefactor Duryodhana of sure victory.

Thus, as in the case of Bhishma, it is inflexible determination to stick to one’s word,

whatever the consequences, which leads to doom. In both their cases, their own self is
prized above all else [in the case of Karna, even above his much vaunted loyalty to
Duryodhana and his goal of slaying Arjuna]. Although Karna does not emerge victorious
in his encounters with Arjuna and even with the Gandharvas when Duryodhana is
captured. Yet he alone saves the Kaurava host from annihilation at the hands of
Ghatotkacha. It is of him that Yudhishthira is the most apprehensive. Krishna sets much
store by Karna, Knowing that if he stands aside Duryodhana would not dare go to war.
On more than one occasion Krishna tries to persuade Karna to join the Pandavas, the
last being just before the battle when Karna, Achilles like, had withdrawn from the battle
because of Bhishma’s insult. Even Bhishma regarded him as a great warrior ad
deliberately insulted him to take advantage of his hypersensitive self-image and keep
him from fighting his brothers. Bhishma provides a valuable psychological insight into
Karna’s character when he informs him that because of his birth against the law of
nature—supra-human and mortal intercourse not sanctified by marital rites—he
developed an unhealthy envy of nobility of character which was accentuated by his
keeping company with a mean individual like Duryodhana.

But, it is this warrior who publicity terms Draupadi a harlot, asks that she be stripped,
and joins six others to attack the teenaged Abhimanyu jointly, against all canons of fair
battle. It is Karna who seals the fate of this mighty teenager by cutting his bowstring from
behind. Unfortunately, Vyasa does not tell us of the inner workings of Karna’s mind
and heart. In lending a hand in killing his rival’s son did he feel he was in some
way avenging his many defeats at Arjuna’s hands? In calling Draupadi a whore
about whom it is of no concerns whether she is clothed or naked, was he taking
revenge for having been publicly rejected by her in the svayamvara on account of
his caste?

All this shows his confusion over what dharma and power are all about, and it is
this confusion about dharma that is flung back at him by Krishna when he entreats
Arjuna to wait till has extricated the chariot wheel from the mud, and can take up arms
again. Karna, too, is a man divided against himself, yet undoubtedly noble in his silence
about his mother’s secret and wise in his judgement. For, he tells Krishna not to reveal
the secret to Yudhishthira who will invariably offer the kingdom to him and he will
inexorably hand it over to Duryodhana. All his tremendous power has throughout been
put in the service of adharma because of his profound sense of a lacerated ego. Here is
a hero who knows, like Bhishma, that he is on the side of wrong, but is a slave of
his word and will not shift to support what he knows to be the right. His greatness
as a man shines radiantly in the fact that while he knows that he is battling his blood
brothers, and is promise-bound not to slay them, they are all eager to kill this
charioteer’s son! His slicing off the skin-armour and flesh earrings is an external symbol
of the inner splitting-in-two of his very psyche. One part of him knows that Duryodhana’s
plans are evil. This part in Karna is all that is admirable in a human being. It is the
“Surya” part of him, shining in an effulgent glory which rivets all attention on him right
from the beginning. This it is that catches the eye of Duryodhana who grapples Karna to
his breast with hoops of steel. It is this part of him that defeats each of his brothers in
turn, except Arjuna, and lets them go unharmed (even with a kiss on the infuriated but
helpless Bhima’s cheek) although by killing them or by capturing Yudhishthira for
Duryodhana [as Drona had planned] he could have ended the war.

However, a miasma of intrigue and evil envelops this sun in Karna. The chariot-wheel of
Karna’s life is, as it were, entrapped in a quicksand, being sucked under slowly but
surely, as he connives in the heinous abuse of state power by Shakuni and Duryodhana,
with the blind monarch Dhritarashtra eagerly acquiescing. The helping hand of succour
offered by Krishna is rejected on egotistic grounds alone. As Krishna points out:

“The world is doomed because you do not accept

my advice.
When the world’s doom nears, my friend,
wrong appears right,
wrong gets embedded in the heart
and stays there.” [27]

All that Karna is concerned about is that his reputation must remain unsullied at all costs
and he must find out who is better: Arjuna or himself. Karna has waded in too far by now
to return. Perhaps death is his only salvation.

Krishna: Power used to change the polity

Krishna presents a total contrast. He has no hesitation in surmounting loyalty to kith and
kin in slaying his maternal uncle Kamsa who has become a tyrant and his cousin
Shishupala who has allied himself to the imperialistic ambitions of Jarasandha. Free
from greed for personal aggrandizement, Krishna refuses to become the ruler of the
Yadavas, and puts old Ugrasena back on the throne. The opposite of Jarasandha in his
goal, Krishna would be no samrat, for his status is that of svarat, he removes the tyrants
and aggrandisers of public wealth. Finally, the killing of Jarasandha restores
independence to nearly a hundred chieftains and frees the Yadava clans and indeed of
the country as a whole, of the spectre of the all – constricting Magadhan python. Here is
the idea of lokasangraha exemplified. Krishna’s use of power is precisely what should
have engaged Bhishma: protect the virtuous and destroy the wicked, paritranaya
sadhunam vinashayaca dushkritam. 28

Krishna respects Bhishma, but prefers to stay with Vidura, for he is aware of the narrow
confines of the old dharma which he has made it his mission to demolish. In this task the
unknown Pandavas are chosen by him as the instruments for setting up a state founded
upon the ancient principle of the raja being the person who ensures the welfare, the
happiness, of the people. They are linked to him through their mother Pritha [his paternal
aunt] and are free from dysfunctional traditional concepts of dharma because of the very
nature of their diverse paternity. He binds them closer to himself by arranging his sister
Subhadra’s abduction by Arjuna, and by training their son Abhimanyu to become a great
warrior. He not only builds up the numerous Yadava clans into a confederacy to be
reckoned with by the time of the battle of Kurukshetra, which is why both sides vie for
their patronage, but also gifts considerable wealth to the Pandavas and guides them into
becoming rulers in their own right. He gets them recognized as benevolent, righteous
rulers because of their role in the removal of Jarasandha. He ensures that in each
conquered kingdom they restore the ruler to his throne, asking for his allegiance only
through presence in therajasuya yajna. After the exile is over, he advises a peace-
mission, despite the vociferous protests of his favourite sakhi Krishnaa, so that the
Pandavas cannot be faulted for having precipitated a war.

Krishna’s leadership in the war itself is too well known to need recital. In each case the
over-riding concern is that those who use power rightfully for the new dharma
oflokasangraha must be victorious. He does not suffer from the limitations of Bhishma or
Karna regarding attachment to a vow as a be-all and end-all. Where necessary, he
breaks his vow of not taking up arms and rushes to kill Bhishma. It is again Krishna who
dexterously finds a way to prevent Arjuna killing Yudhishthira out of blind adherence to a
vow. Knowing that a fresh Karna may overwhelm Arjuna, he avoids a confrontation till
Karna is tired, and then browbeats Arjuna into killing him when afoot and unarmed,
regardless of what others might say, because with Karna alive the Pandavas cannot win
the war. For the same reason, he gets them to pursue a tired–out Duryodhana, denying
him time to recuperate. With unerring instinct he takes the victorious brothers away from
their camp, otherwise they would also have been slaughtered by Ashvatthama in his
manic frenzy. It is he who saves Bhima from being killed by the Narayana weapon, from
losing to Duryodhana in the final duel and being crushed in furious Dhritarashtra’s
embrace at the end.

Yet, this supreme leader of men failed with his own people. The confederacy he had so
laboriously built up destroyed itself. In an internecine strife as tragic and as totally
annihilating as the Kurukshetra holocaust. Its seeds lay in the unrestrained indulgence in
liquor and the arrogance of wealth that led to flagrant insults to sages. Once again it is
unfettered individual liberty that spells doom. We are reminded of Plato’s discourse that
it is the “democratic man” who is the source of the tyrannical man, for in him all impulses
are allowed free indulgence and he considers himself entitled to indulge whichever
solicits him most powerfully at the moment instead of being ruled by a superordinate
marshalling vision that pursues ends valuable in themselves, namely goodness, beauty
and truth. Of these the power impulse is the strongest and establishes a tyranny over the
rest. [29]

The intensely human nature of Krishna’s own predicament is revealed in an amazing

disclosure to Narada (my translation):-

“I live listening to the bitter comments of kinfolk, despite having given them half my
wealth. As one anxious to obtain fire keeps rubbing the kindling, similarly my kinsmen
are constantly churning and scorching my heart with their harsh words. Sankarshan is
mighty but drunk; Gada is delicate and averse to labour; Pradyumna is engrossed with
his own beauty. Despite such persons and others among the Andhakas and Vrishnis
being on my side, I am helpless passing the days. Ahuka and Akrura are excellent
friends of mine, but if I show affection for one, the other becomes furious. Hence, I do
not express affection for any. And because of friendship it is very difficult to discard
them… whoever has Ahuka and Akrura on his side is miserable beyond compare, and
he whose cause they do not espouse is also immeasurably sorrowful…O Narada!
Because of the need to control them, I suffer like one forced sail on two boats at
one.”[30]

The utterly human nature of Krishna’s dilemma does not, surely, need any gloss.
Krishna himself states [31]

Aham hi tat karishyami param purushakaratah/

Daivam tu na maya shakyam karma karttumkathancna//

“I can express human prowess to the utmost;

but I do not have the slightest power to alter what is fated.”
It is the very human-ness of Krishna which is part of the secret lying behind the
irresistible fascination he exercises over millions even in the closing years of the
twentieth century. Even without going into the Gita, reading of the epic brings out
powerfully the remarkable qualities of head, heart and hand which make Krishna pre-
eminent among leaders of men. The finest account of this is given by Bhishma himself
when he announces why Krishna ought to be honoured above all during therajasuya
yajna:

“The sun shames all shining things,

So Krishna shames all with his
wisdom, strength, and fame.
Like the sun shining where
there is no sun,
like the air blowing where
there is no air,
Krishna comes among us,
illuminates and gladdens..
Some of the greatest Kshatriyas
have been defeated by
Krishna in battle…
Which is why we revere Krishna
though there are other
great kings and elders..
O king of Chedi, do not think
we are whimsical in
Revering Krishna, or that we
want benefits from him,
or that we think of him
as a relative…
We revered him first keeping
his heroism, success,
and glory in mind…

There are two reasons for

revering Govinda Krishna
All the Vedas and Vedangas
are known to him,
and he has shown boundless prowess.

Who else but Keshava can boast as much?

Generosity, shrewdness, immersion in
shruti, bravery, gentleness,
humility, enterprise, intelligence, handsomeness,
firmness, joy and success – are Krishna’s.” [32]

And yet, what is the end of this supreme human, “Purushottama”? The Empire of
Righteousness he has established is a veritable field of ashes, peopled by wailing
widows and infants, which Karna had so vividly figured forth in a dream related to
Krishna:
 “Powerful Yudhishthira climbed a hill
Of human bones,
smiled and ate sweet ghee-curd from
a golden cup.”[33]

Did Duryodhana have the last word when he told the Pandavas and Krishna, after being
felled by a blow below the belt (my translation) [34]:

“I have studied the scriptures, given away gifts as prescribed, ruled over the sea-girted
earth, placed my foot on the heads of enemies, possessed the greatest wealth, and
enjoyed that rare pleasure savoured by the gods which is the envy of other kings, and
ultimately won that death in battle which is prayed for by Kshatriyas following dharma.
Hence, who can have a better end than mine? Now I leave for heaven with my brothers
and friends, while you all stay behind on this earth, the living-dead, with hearts wrung
with sorrow.”

Here it is Duryodhana who appears to represent the successful leader! We recall the
undying loyalty of Karna and Ashvatthama, and of those hundreds of kings who willingly
laid down their lives in his cause. The Pandavas are overshadowed by the radiance of
Duryodhana’s nobility as he rises to the defence of Karna when his supposedly low birth
is laughed at, and his rousing defence of innate worth as the true measure of nobility
instead of judging it by one’s birth. This is precisely the beauty of Vyasa’s epic. There
are no easy answers in life. But we must not be swept away by the grandeur of
this dying speech. His end itself depicts what happens when power is used for
serving egotistic urges. It may bring immediate, illusory success. Ultimately the
misuser has to share the ruinous fate of Nahusha and Yayati.

Women: the true leaders

Satyavati
Among the women, Satyavati virtually takes Hastinapura by storm and ensures that it is
her blood which runs through its rulers. She is the cause of Devavrata turning into
Bhishma, and she fulfils her foster-father’s – and doubtless her own – desire of having
her progeny on the throne in a way that Shantanu had never dreamt of while agreeing
with indecent alacrity to meet her father’s conditions for the marriage. By having her
illegitimate son Vyasa father children on the widows of her son, she has descendants
who carry in them nothing of Shantanu’s royal blood at all. She is the unquestioned
authority in Hastinapura and has, in common with her grand daughter-in-law Kunti, an
eldest son born out of wedlock. Unlike Kunti, however, Satyavati is not ashamed to own
her unmarried motherhood before society, for that is the advantage of belonging to a low
caste and not having to keep up appearances. As an adopted daughter, any exposure of
misdemeanour would bring opprobrium on the Shurasenas, as Kuntibhoja makes amply
clear while warning Pritha (significantly, he calls her by her original name) to please
Durvasa punctiliously. After Pandu’s death, Satyavati gracefully retires to the forest,
unlike the obsessed Bhishma, accepting Vyasa’s advice not to be a witness to the
suicide of her race. In successfully using the power of her sexuality to ensure she gets
what she wants Satyavati reminds us of the earliest queens of the Chandravamsha:
Devayani and Sharmishtha. She is also like Shakuntala not only in having an apsara as
her mother, but particularly in insisting, before giving in to the amorous advances of the
infatuated king of Hastinapura, that her son alone must inherit the throne. It is she who is
responsible for the chronicle of the Dynasty of Puru becoming the biography of the
descendants of the dark complexioned fisher-girl Kali through her dark and ill-favoured
illegitimate son fathered by a sage. Thereby, she is a revolutionary figure who upsets the
entire mystique of royalty. Through Satyavati it is a parvenu dynasty that takes over the
ancient seat of the Chandravamsha. The Shudra Nandas of Pataliputra are not,
therefore, the first low caste dynasty to rule over a kingdom. To Satyavati must go the
credit of founding the first mixed caste dynasty, and that too of such importance as to
have the greatest of epics written about it.

Kunti

Satyavati’s daughter-in-law Pritha-Kunti is the epic’s most remarkable study in

leadership and the use of power. Given away in childhood by her father Shura to
Kuntibhoja, she is, as a nubile girl, placed by her adoptive father at the sole disposal of
the eccentric Durvasa who gifts her an incantation that can summon any god to her bed.
Immediately after Durvasa’s departure, the adolescent Kunti is curious to test the
potency of the mantra and impulsively intones it gazing at the resplendent rising sun.
The Sun God arrives and refuses to leave without enjoying her. Like her future mother-
in-law Satyavati, Kunti displays remarkable presence of mind in obtaining two similar
boons from the important deity: her virginity will remain unimpaired and the son will
resemble his father in glory. She sets her “sun”- child adrift in the river Ashva. In
the svayamvara that follows, she chooses Pandu of Hastinapura, only to find Bhishma
snatching her happiness away by marrying him off to the more attractive Madri. She
insists on accompanying her husband into exile and then faces a situation that is
horripilating: her husband commands her to beget son after son. It is in this husband-
wife encounter [35] that Kunti’s individuality shines out. In response to Pandu’s request
to beget children by soliciting a worthy person, Kunti first primly refuses:

“Not even in touch will I

be embraced by another.”

Though she has already given birth to Karna, it evidence of her firm resolve to preserve
an unsullied reputation after marriage, because of which she does not follow the
example of her mother-in-law in acknowledging her pre-marital son. Despite the
inexplicable exile of Pandu-and possibly because of its peculiar unexplained nature-
Kunti must have had expectations of a rehabilitation. With that in view, she would be
particular not to do anything which might create problems in the hoped-for return to
Hastinapura. That would also explain why she does not tell Pandu about Karna despite
his frantic desire for progeny. Children born with the sanction of her husband would be a
completely different proposition from a pre-marital son born to an unmarried princess.

Then she narrates-perhaps with unconscious irony-the ancient tale of Bhadra who begot
seven sons by embracing the corpse of her husband Vyushitashva who died
prematurely of consumption like Pandu’s father because of over-indulgence. Pandu
refuses to invite death-in-intercourse with Kunti (ironically, that is precisely what he does
with Madri ) and urges that she will only be doing what is sanctioned by the Northern
Kurus, that the new custom of sticking to one man is very recent, [36] and that she has
the precedents of Sharadandayani, Madayanti, Ambika, Ambalika and the scriptural
directive of Shvetaketu (he could have added his ancestress Madhavi, daughter of
Yayati). None of these commands cut any ice with Kunti, whose character is far stronger
than her husband’s. She gives in only when Pandu abjectly begs her:

“Sweet lady,
I fold my palms
joining the tips
of my lotus-leaf fingers
and I implore you
listen to me!” [37]

Look at the sheer grace and power of her answer:

“Best of Bharatas ! Great adharma
it is for a husband to ask
repeatedly a favour; shouldn’t a wife
anticipate his wishes?” [38]
With delightful one-upwomanship, she reveals that where he had wanted her to summon
some eminent Brahmin, she has the power to call any god to her bed. Like her mother-
in-law revealing her final weapon, Vyasa, to Bhishma only in the last extremity, Kunti
shares the secret of her mantra only after bringing her husband literally to his knees.
Thereafter, too, Kunti has the last word where Pandu’s desires are concerned. After
obtaining three sons, when the greedy Pandu (very much like his grandmother
Satyavati) urges Kunti to have more, she bluntly refuses to abuse that rare power for
self-indulgence and quotes the scriptures back to him (as he had quoted Shvetaketu to
her):

“The wise do not sanction

a fourth conception, even in crisis.
The woman who has intercourse
with four men has loose morals;
the woman who has intercourse
with five is a prostitute.”[39]

Although her ready knowledge of the scriptures is admirable, her words are also
tragically ironic, for she actually has had relations with four different men [that word is a
give-away for if she had been summoning only gods, this prohibition ought not to have
been invoked by her, and Pandu surely would have seized upon that flaw to command
her to gratify his hunger for more sons]. Even more tragic is the last statement, for that is
precisely the fate into which she thrusts her daughter-in-law Draupadi. And in the dice-
game it is Karna, her first-born, who, on the basis of this same scriptural
pronouncement, declares Draupadi a whore. In that horripilating scene we cannot but
agree with Naomi Wolf’s condemnation of masculine culture’s efforts to “punish the slut”,
the sexually adventurous woman who crosses the ambiguous lines separating “good”
from “bad”.[40]

Kunti’s inflexible determination is again revealed when she flatly refuses Pandu’s
request to help Madri in having more children. Despite his bravado before Madri [‘I know
that if I ask Kunti/she will not refuse me”], Pandu slinks away before Kunti’s fury:
 “She deceived me”, said Kunti.
“With one mantra I gave her,
she managed to get two sons.
I am afraid she will get
more sons than I. Scheming woman!
What a fool I was!
Had I known, I too
would have summoned the Ashvins,
and obtained twins.
Don’t come to me again, my lord,
saying give her the mantra.”[41]

The motivation, of course, is not to be outdone, because in sexual one-upwomanship

Madri consistently has the better of Kunti who admits this:

“Princess of Vahlika!
You are fortunate indeed –
I never had the chance to see
his face radiant in intercourse.” [42]

Even in death, Madri accompanies her husband. Her tribute to Kunti brings out the
beauty of character which makes her into a leader of men:

“Could I bring up your children

As if they were mine?”

asks Madri [43] lacking that nobility of character which conquers the ego’s petty
jealousies. Madri continues:

“You are blessed. There is none like you…

you are my light,
my guide, most respect-worthy,
Greater in status, purer in virtue.” [44]

How true this description is of Kunti ! A superb instance of the sublimation of the libido
into a single-minded determination to win back her sons’ rights, she brings up five
children in a hostile court, bereft of relatives and allies. We see no signs of either
Kuntibhoja or the Shurasenis coming forward to give her shelter or support. Once
Bhishma has provided her with a roof over her head, it is solely Kunti who guards her
children. The insecurity is of such dimensions that she dare not inform Bhishma of the
attempt to poison Bhima. It is she who gets the Nishada woman and her five sons drunk
in the House of Lac so that no evidence is left of the Pandavas’ escape when it is gutted.
The comment of Professor P.Lal, the epic’s eminent transcreator, is worth noting in this
respect: “Instigating Macbeth-Bhima was Kunti, unerring instinct she is able to rally the
drooping spirits of her sons:

“Hai! I am Kunti, mother

of five sons, and I thirst
for water sitting in their midst!” [45]
Again, where Yudhishthira stops short with preventing Bhima from slaying the infatuated
Hidimba, Kunti with remarkable foresight seizes on this fortuitous occurrence to cement
an alliance for the friendless five:

“I can see no way

of taking fit revenge
for the terrible injustices
that Duryodhana has done us.
A grave problem faces us.
You know Hidimba loves you...
Have a son by her.
I wish it. He will work
for our welfare. My son,
I do not want a no
from you. I want your promise
now, in front of both of us.”[46]

We know how useful the fruit of this union, Ghatotkacha, was for them subsequently
during their exile and as the saviour of Arjuna from Karna’s infallible weapon in the war
at the cost of his own life. It is again Kunti who instructs her first grandchild so as to
ensure his loyalty:

“You are one of the Kurus

To me you are like Bhima himself
You are the eldest son of the Pandavas
Therefore, you should help them.” [47]

Thus, the Pandava dynasty is slowly but surely structured into an entity with multi-racial
affinities. Earlier we have seen how, because of Kunti, Bhima is befriended by the Naga
Aryaka who is her father’s maternal grandfather. Here an alliance with the forest-
dwelling Rakshasas is established. Later, Arjuna will forge other alliances with the
Nagas, Manipur and Dvaraka.

It is profoundly instructive to study how Kunti educates her sons in the proper
use of power. Her abiding concern for the welfare of the common man, which she
inculcates into them, is brought out tellingly in the Ekachakra episode where she
comes forward, over-ruling Yudhishthira’s frantic remonstrances, to depute Bhima to
meet the ogre Baka in place of the Brahmana who has given them shelter. It is
necessary to note this exchange between son and mother, in which Kunti, as earlier with
Pandu, emerges totally victorious. Yudhishthira says pretty harshly,

“The man who gives us

Confidence that one day we will rule
The world’s wealth after
Killing the sons of Dhritarashtra
Mother, what right had you
To expose him like this?
Have you lost your reason?
Have our sufferings unbalanced you?” [48]
Never again will Yudhishthira upbraid his mother in such strong terms. The only other
instance occurs after the war when he gets to know that Karna was his elder brother. It
only shows the inability of the young man to appreciate the profound wisdom and
practical sense underlying this apparently rash decision fraught with life-risk to their sole
protector. After pointing out that they ought to repay the kindness of the Brahmana for
“He indeed is a man whose gratitude/exceeds the favour he receives”[49], she reminds
Yudhishthira of Bhima’s superhuman strength, and then teaches him a lesson in
kingship:

“It’s a king’s duty to protect

even the Shudra if the Shudra
seeks protection.” [50]

As we have seen, it is in failing to protect that Bhishma’s greatest failing lay as a

Kshatriya. Kunti then pulls up her son masterfully:

“I’m not foolish; don’t think

me ignorant; I’m not being selfish.
I know exactly what I am doing.
This is an act of dharma.”

She explains the reasons for taking the decision:

“Yudhishthira, two benefits
will follow from this act –
one, we’ll repay a Brahmin,
two, we’ll gain moral merit…
a Kshatriya who helps
a Brahmin gets the highest
heaven in his after-life.”[51]
Kunti’s maturity, the ability to observe life closely and use the learning from experience
for arriving at swift decisions to benefit simultaneously both society and her children, set
her apart from all other persons in the epic save Krishna.

After staying with a poor Brahmana in Ekachakra, Kunti now puts up in a potter’s house
in Panchala, further down in the caste hierarchy. The point to note is how she is bringing
up her children virtually from the lowest level of society to the status of rulers. In that
process, she turns necessity to glorious gain. For, the enforced exile brings her sons into
close contact with the common people, so that they develop that feeling for the felt
needs of the vast majority which equips them for ruling over them as true rajas, those
who discharge the duty of pleasing their subjects, and share in the merit accrued thus.

Kunti’s intention is to obtain the daughter of Drupada as daughter-in-law and thus gain
the alliance of the traditional enemy of the Kauravas, so that a firm foundation can be
established for the plan to win back her sons’ birthright. Her keen far sight has intuited
the ruination attendant on any splitting up of the united five. Hence she plays that grim
charade of pretending not to know what Bhima and Arjuna are referring to when they ask
her to see what they have brought home. For, in 190.29 we find Yudhishthira and the
two Madreyas have ‘slipped out of the enclosure” the moment the skirmish started over
Arjuna winning Draupadi. These three are already back when Draupadi is brought home
by the other two. Moreover, their very coming to Panchala was with the aim of jointly
winning Draupadi, as advised by Vyasa in Ekachakra. Kunti is fully in the know of Arjuna
having won Draupadi, but she also knows that so long their lives have revolved only
around her. She can be replaced only by a single woman, not five, if their unity is to
remain intact. That is why she deliberately asks that whatever has been brought should
be shared out and enjoyed as usual. After “discovering” her “mistake”, her only worry is
that something must be done so that her spoken command does not become untrue.
[52] Yudhishthira’s speech to Drupada makes it amply clear that the decision is actually
Kunti’s although the brothers are eagerly acquiescing [“Each had her in his heart”] [53]. It
is also a magnificent tribute to the total respect and implicit obedience paid by them to
Kunti, which is unexampled in the epic. Despite all the paeans to Gandhari’s virtues as a
wife, her complete failure as a mother to command any respect from Duryodhana (he
does not hesitate to insult her by stalking out of the court in anger when she admonishes
him) only serves to highlight the qualities which make Kunti pre-eminent among all
women in Mahabharata and indeed among almost all the leading characters:

“My mother’s will is my will

Because I think she is right….
Isn’t it said that obedience
To gurus is a supreme virtue?
What greater guru than one’s mother?
Our mother’s clear command was
“Share and equally enjoy
What you have.” Best of dvijas!
To me this is the highest dharma.[54]

It is instructive to see how keen Kunti is that her stratagem should not be foiled . She
immediately appeals to Vyasa as Yudhishthira finishes speaking:

“What dharma-firm Yudhishthira says

Is right. I fear my words will
Become as pointless as lies.
And if that happens, will I
Not be tainted with untruth?” [55]

As usual, Kunti ensures that she has her way, this time with the help of Vyasa, her
actual father-in-law. Kunti’s ambition for her children is finally voiced openly when she
formally blesses Draupadi after the marriage ceremonies:

“May you be queen of

the kingdom of the Kurus
With your dharma-loving husband
in the capital of Kurujangala.” [56]

Simultaneously, Kunti’s nephew Krishna, son of her brother Vasudeva, comes forward
with Yadava wealth to build up the power of the Pandavas.

The truly powerful do not cling to power. They know when and how to wield it but
also, even more important, when not to use it. Kunti is no queen mother glorying in
her new royalty and ordering her daughter-in-law about. Hereafter she retreats into the
background, silently giving up pride of place to Draupadi. But opportunely thrice she
comes forward using the power that is coiled up within her most effectively for the benefit
of her sons. When her sons are exiled, she decided to stay back in Hastinapura as a
silent but constant reminder to the Kauravas of the violated rights of the Pandavas. She
will not allow Dhritarashtra to forget conveniently what is due to his nephews just
because they are in exile. Then, when Krishna comes with the peace mission to
Hastinapura, she tells him to urge Yudhishthira to fight for their rights as Kshatriyas
must. She compares his obsession with peace to those who, not understanding the true
sense, of the Vedas ruin their intelligence by immersing it in rituals. To inspire him, she
repeats a tactic used in the Varanavata exile:

“Can anything be more humiliating than

that your mother,
friendless and alone, should have to
eat others’ food ?
Strong-armed one, recover the ancestral
paternal kingdom
use gentleness, dissension, gifts, force
or negotiation.—
Follow the dharma of rajas, redeem
your family honour.
Do not, with your brothers, watch your
merits waste away.” [57]

To inspire him further, she bids Krishna repeat to Yudhishthira the thrilling exhortation of
Vidula to her son Sanjaya who is reluctant to face battle with the king of Sindhu who has
already defeated him once:

“Flare up, even if briefly, like

tinduka-wood.
Do not smoulder away in billowing
fireless smoke.”[58]

To these twin spurs to prick them on, Kunti now adds the culminating motivating factor:
the insult to her daughter-in-law, and upbraids her sons in no uncertain terms in order to
arouse their manhood which has gone into hibernation:

“The princess of Panchala followed all dharmas,

yet in your presence
they mocked her – how can you ever
forgive this insult?
The kingdom lost did not hurt me,
the defeat at dice
did not hurt me; the exile of my sons
did not hurt me
so much as the humiliation of Draupadi
weeping in the sabha
as they mocked her. Nothing more painful
than that insult.” [59]
The other instance of her outstanding leadership is the last act to secure the safety of
her beloved sons. Once again it is a conscious decision not to take the easy way out like
Madri had done, but to undergo the traumatic experience of acknowledging to her first-
born the truth about his birth, kept secret so long as her greatest shame. Karna rejects
her, but in having apparently failed, Kunti turns her loss to glorious gain, obtaining his
promise that he will not kill any of them except Arjuna. Moreover, she effectively
weakens him from within. For, while he knows that he is battling his mother’s sons,
Arjuna only knows that this is the detestable charioteer’s son who must be slain for his
crimes against Draupadi and Abhimanyu.

Kunti’s actions are, indeed, quite unconventional and wholly autonomous starting with
her first pregnancy. It is only she who agrees to shoulder the awesome burden of
bringing up five teenagers in a hostile court, without resources but for the tacit support of
Vidura, dependent on the tender mercies of Dhritarashtra and the indecisive ruminations
of Bhishma on dharma’s subtleties. Up to their marriage, it is overwhelmingly Kunti’s
story: the story of her masterly guidance at every step to gather allies around her sons
till they are able to claim their inheritance. And yet, her guiding touch is ever unobtrusive,
yet firm and unmistakable.

Kunti has that rare capacity to surprise us which characterises great leaders who know
how to use power. When everything that she worked for has been achieved—the war is
over, her beloved sons are the rulers of Hastinapura and her daughter-in-law has been
avenged-she astonishes them all by resolving to retire to the forest with, of all persons,
Dhritarashtra and Gandhari to spend her life in ascesis and in serving the old couple
responsible for her sufferings! Her reply to Bhima’s anguished query as to why she
urged them to wade into this river of blood if she was going to leave them is a revealing
insight into the remarkable nature of this greatest of Vyasa’s heroines. Kunti says that
she had inspired them to fight so that they did not suffer oppression at their relative’s
hands. But, having glutted herself with happiness during her husband’s rule [which itself
is an ironic statement in view of Pandu’s rule exceptionally abbreviated tenure as king],
she has no desire to enjoy a kingdom won by her sons. Neither the tears of her sons,
nor the entreaties of Dhritarashtra succeed in changing her mind. Gifted away as a child
by her father like a piece of property, in adolescence callously placed by her foster father
at the mercy of an eccentric sage, her curiosity making her the victim of a god’s lust,
choosing as husband one who never consummated the marriage and made her beget
children from others thrice over, never the recipient of any assistance from her father or
foster-father when in exile, her end, as that of Bhishma, symbolises the angst that
consumed her. Kunti chooses to die as a forest-fire engulfs her.

What is the secret of this remarkable power that flows from within these women of
Vyasa? It is a state of virginity. Even more than Satyavati, Kunti is a virgin in the Jungian
sense. In return for allowing Parashara to enjoy her, Satyavati had obtained boons of
remaining youthful and fragrant forever and of regaining her virginity after the birth of
Vyasa. In that encounter we find a superb instance of the use of her sexual power by an
adolescent fisher-girl of outstanding intelligence [60]

Kunti, too, obtains the identical blessing from Surya. This state of “virginity” is not
merely a physical condition but refers to an inner state of the psyche which
remains untrammelled by any slavish dependence on a particular man. Madri
presents the exact opposite concept of the “married” woman who is dependent on what
others think, and therefore she does what she may not actually approve of. “She is not
one-in-herself but acts as female counterpart or syzygy to some male.” On the other
hand, “The woman who is psychologically virgin is not dependent in this way. She is
what she is because that is what she is.” This “virgin” is “one-in-herself (and) does what
she does not because of any desire to please, not to be liked, or to be approved, even
by herself,.. but because what she does is true. Her actions may, indeed be
unconventional.” [61]

In the ultimate analysis, “all power is really soul-power”, writes Sri Aurobindo,
“for all material energy contains hidden the vital, mental, psychic, spiritual energy
and in the end it must release these forms of the one Shakti, the vital energy.’’[62]
How truly Kunti exemplifies this in all the crucial decisions concerning her sons, and in
the ultimate choice of her life’s ending !

Draupadi

The last of this unique trio of “Virgins” is Draupadi, adept in the chandrayana vrata,
whereby she is able to regain her virginity before changing each husband as Narada
specifically mentions while describing the multiple weddings. She replaces Kunti as the
nave of the Pandava-wheel, and also acts as the axle for the Panchala-Pandava-Yadava
chariot. Wholly unconventional in accepting the opprobrium, along with the staggering
challenge, of having five husbands (her mother-in-law had only temporary encounters
with Surya, Dharma, Vayu and Indra), her success is so complete that she is besought
by the intrigued Satyabhama to share the secret of her success. Right from her birth
from the sacrificial flames, Vyasa gives us a vivid picture of this extraordinary dark
beauty who is the instrument of Drupada’s vengeance on the Kauravas. If she shares
with her mother-in-law the fact of having “known” five men, then like her grand-mother-
in-law she is dark, endowed with enchanting bodily fragrance and rivetingly lovely. [63]

Draupadi shocks her contemporaries by daring to challenge the Kuru elders’ very
concept of Dharma in a situation where any other woman would have collapsed in
hysterics. None can answer her. Can we even imagine any woman who would suffer
attempted in the forest and countenance her husband forgiving the abductor; this to be
followed by public molestation in Virata’s court with her husband reprimanding her for
making a scene; be carried off to be cremated with the dead Kichaka; and then, when all
seems ready for war, to hear her husbands tell Krishna to sue for peace and still remain
loyal to them, and sane! The worst is yet to come, with the decimation of all her sons by
Ashvatthama. Ultimately Draupadi becomes queen, but what does she have left for
herself, we wonder. And at the very end, when she stumbles and falls, dying, on the
Himalayan ridges, not one of the five husbands tarries by her side. Not one even turns
back with a word of comfort. Self-born of the sacrificial flames, Yajnaseni leaves the
world all by herself, nathavati anathavat, five-husbanded yet without a husband.

It is then that we realise that this remarkable “virgin” never asked anything for herself.
Virtually a kritya, an avenging fury, ritually invoked to sate Drupada’s desire for
vengeance, everything she does is with single-minded determination to goad the
Pandavas into destroying the Kauravas. By snubbing Karna publicly, flouting
Dhrishtadyumna’s announcement that the successful marksman would win her hand,
she makes the viryashulka contest where the strongest wins the bride into a
true svayamvara (bridegroom-choice ceremony). Simultaneously, her decisive
intervention plants seeds of the assault on her in the Kaurava court where Karna takes
his sweet revenge. Again, it is her mysterious silence when Yudhishthira announces the
polyandrous decision which cements the brotherhood into an invincible fighting force.

Throughout the exile her bitter recriminations are aimed at ensuring that her husbands
never forget that they have to avenge the gross insult she has suffered. That is indeed
why she insists on accompanying them while their other wives stay back with the
children. The climax of this is seen when she upbraids her intimate
friend, sakha, Krishna in the Udyoga Parva on finding that her husbands (save
Sahadeva) are all in favour of suing for peace. After pouring out her injuries, she takes
up her serpent-like thick, glossy hair and with tearful eyes urges Krishna to recall these
tresses when he sues for peace. Sobbing, she announces that her five sons led by
Abhimanyu and her old father and brothers will take revenge if her husbands will not.
Krishna’s response is precisely what she has been aiming for:

“Consider those you disfavour

as already dead !..
The Himavant hills may move, the
earth shatter
in a hundred pieces, heaven collapse ;
my promise stands..
You will see your enemies killed…”[64]

Who but Krishnaa can upbraid Krishna thus: “No husband have I, nor son, nor brother.
So much so, O Madhusudana, that even you are not mine. “[65] Who else can virtually
lay down the law to Krishna, tell him that he is bound to protect her whenever necessary,
and cite four reasons for this? [66]

Caturbhih karanaih Krishna tvaya rakshyasmi nityashah/

Sambandhad gauravat sakhyat prabhutvena ca keshava//’

[She is his paternal aunt’s daughter-in-law;

she is renowned;
he is her close friend;
he wields power over all.
Hence she depends upon him most of all].

Krishna does not let her down.

Besides this, however, she uses the powers of her unrivalled charms and intellect to
achieve her ends as no other epic character does. After Kichaka has kicked her in
Virata’s court and Yudhishthira’s response has been to direct her not to make a scene,
the manner in which she goes about taking revenge is an engrossing study of how a
beautiful woman in adverse circumstances can turn her sexuality into an irresistibly
powerful motivator. She does not approach Arjuna, knowing him since the dice-game to
be a true disciple of Yudhishthira. Then Bhima alone had roared out his outrage. Now it
is to him that she goes in the dark of the night and finds him asleep in the kitchen.
Panchali presses intimately close to Bhima like a woman driven by sexual desire, as a
wild she-crane snuggles up to its mate and a three-year old cow in season rubs against
a bull. The important word here is “like”: she is not actually sexually stimulated but is
feigning in order to manipulate Bhima. She twines herself round him as a creeper
entwines a massive shala tree on the Gomati’s banks, as the bride of the sleeping king
of beasts clasps him in a dense forest, as an elephant-cow embraces a huge tusker. As
Bhima awakes in Panchali’s arms, she crowns it all by speaking in dulcet vina like tones
pitched at the gandhara note, the third in the octave. Her long speech is a telling lesson
in motivational strategy. To rouse his anger she narrates all her misfortunes, even how
she, a princess, has now to carry water for the queen’s toilet, particularly mentioning
how she swoons when he wrestles with wild beasts much to the amusement of the
queen and her maids who gossip that she and the handsome cook must be lovers.
Finally, in a marvellous feminine touch, she extends her palms to him, chapped with
grinding unguents for the queen. His reaction is all that she had planned for so
consummately:

“Wolf-waisted foe-crushing Bhima covered

his face with the
delicate, chapped hands of his wife,
and burst into tears.”[67]

Kichaka’s death is sealed.

Beyond all this, however, Draupadi seems to have had a profound awareness that
she was an instrument to achieve the annihilation of a dying era and an ancient
dharma, so that a new age could take birth. And being so aware, she offered up
her entire being, her whole life, as a flaming sacrifice in that holocaust of which
Krishna was the presiding deity as well as the motive force and the major
protagonist.

We have seen that those who are celebrated as flawless acmes of perfection to be
looked up to as role models by society are actually flawed, human creatures obsessed
with their individual egotistic needs and pre-occupations.

Bhishma may superficially appear to be representing a sublime ideal of celibacy ad

allegiance to the given word, but actually he is affecting an artificial witness stance out of
a sense of deep hurt and deprivation, which goes against the very nature of the
Kshatriya and results in the destruction of that same kingdom which he considers
himself born to protect. Karna might appear to be nobility and generosity personified, but
actually he is eating his heart out in envy and every act of his is triggered by a sense of
deeply injured merit, a hyper-sensitivity about his low caste, which goes so far as to
drive him to bid a princess to be stripped in public and to term her a prostitute. Krishna,
the purushottama, is desperately lonely, friendless and the victim of those whom he has
constantly gone out of his way to help.

On the other hand, it is the trio of heroines who usually escape our attention who turn
out to be the real Grey Eminences. In them we find validation of Naomi Wolf’s
celebration of women as “sexually, powerful magical beings.”[68]. The dynasty which
Vyasa is concerned with most of all is created by Satyavati, a fisher-girl. One branch of it
is created and carried forward by Kunti, quite on her own. The other branch is
annihilated by Draupadi’s relentless quest for revenge. It is they who are the real
leaders, the true wielders of power in its many forms—sexual, maternal and state—in
this epic which is usually looked upon as a male-preserve and is, in some communities,
banned reading for unmarried women.
A very different type of use of power is depicted in the lives of the sages. One type is
represented in Vashishtha, and the other in Vishvamitra. In Parashurama we have a
third and quite unique type. All the three sages are linked to the epic tale. Vishvamitra is
the father of Shakuntala, and thereby an ancestor of the Bharata dynasty. The very birth
of Bhishma is because of Vashishtha’s cursing the Vasus for their theft of his cow.
Parashurama is the guru of Bhishma in weapon-craft, and also of Drona and Karna. The
helpless condition of Karna before Arjuna is because of the curse of Parashurama.

Parashurama anticipates Krishna in the concept of a mission to root out the decrepit,
effete, and decadent rulers of society. This, of course, is an integral component of the
avatara’s personality. Parashurama belongs to a society where the Kshatriyas have
degenerated into tyrants, who do not scruple to slay Brahmins in their search for hidden
gold. The Haiheyas, descended through Yadu, launch a murderous assault on the
Richika-Bhargavas, to the extent of destroying embryos, till the effulgence of Aurva
stops them. Aurva embarks on a terrifying penance for annihilating all Kshatriyas,
exclaiming:

“The man with power to punish

Who does not punish
What he knows deserves punishment
Himself sins.
Many kings and nobles
Could have saved my ancestors
Yet they did not—they chose
Riskless luxury instead
If I, who have power
To punish, do not now punish,
What is to prevent other men
From repeating the crime?” [69]

Aurva is persuaded by the manes of ancestors to cast his fury into the sea, and thus
both the Kshatriyas and the Brahmins seem to have come to an uneasy truce, with the
Brahmin virtue of forgiveness having won the day.

This is, however, a temporary reprieve. The arrogant Karttavirya Arjuna destroys the
hermitage of Aurva’s grandson Jamadagni and kills the sage, which leads to the
declaration of an all–out war against them by Parashurama, in whom the fury of Aurva
seems to have descended. This remains a unique event in Pauranik Bharata, in which a
Brahmin takes to arms to end, once and for all, the oppression of those who are meant
to protect. At the end of twenty-one battles, society is left bereft of Kshatriya males. This
awesome achievement of Parashurama earns him the sixth place in the pantheon of
Vishnu’s incarnations. Parashurama performs the obsequies of his ancestors in five
lakes of Kshatriya, the site of the epic holocaust. The Kshatriya race is given a new
lease of life through Brahmins impregnating the Kshatriya widows. In the process, the
Kshatriyas have been taught a lesson, and the balance between the two superior castes
has been restored.

That virtue of forgiveness which Aurva reluctantly reverts to, and which is foreign to
Parashurama’s nature, is depicted at length as the pre-eminent quality holding society
together in the life of Vashishtha and the story of Vishvamitra’s all-consuming jealousy of
his greatness. The Vishvamitra of the epic is not that great seer of Rig Veda, the
discoverer of the Gayatri mantra. He is shown as a proud monarch who cannot accept
being worsted by a mere forest-dwelling sage. No lessons have been learnt from the
experiences of the power-drunk Haiheyas at the hands of Parashurama. It becomes his
life’s mission to attain the same status as Vashishtha’s, that of a brahmarshi, and to put
him down somehow. Ridden by that obsession, he turns the king of South Koshala,
Mitrasaha-Kalmashapada into a cannibal, who destroys all the sons of Vashishtha.
Despite this, Vashishtha “bore it as Meru bears the earth” [178.43] and decides to give
up his life rather than harm Vishvamitra. When Kalmashapada tries to devour
Vashishtha’s pregnant daughter-in-law, Vashishtha frees him from the Rakshasa state.
The amazing nobility of the sage is now seen. Kalmashapada, like Pandu, has been
cursed with death in intercourse. Hence he begs Vashishtha to father a son on Queen
Madayanti (she, unlike Madri, repulsed her husband’s amorous advances) and the sage
consents. When his grandson Parashara organises a Rakshasa-destruction sacrifice
(prefiguring the serpent-annihilation rite of Janamejaya), it is Vashishtha who dissuades
him from exterminating innocent Rakshasas for the fault of Kalmashapada. Not only this,
but when the penitent Vishvamitra, finally free from envy, approaches him begging
pardon, it is Vashishtha who crowns his relentless pursuit after recognition as a seer by
addressing him as brahmarshi! The perfect self-control seen in Vashishtha, whose name
itself means “sense-subduer”, is unparalleled and is a telling instance of the superiority
of spiritual and moral strength over brute power.

Vishvamitra, on the other hand, is the Brahmin can become the Parashurama showed
the world that the Brahmin can become the greatest of all warriors, Vishvaratha, king of
Kanyakubja, proved to society that a Kshatriya can become the greatest of sages. It is
Vishvamitra characteristic to take up lost causes. Thus, grateful to Trishanku (a prince of
the Ikshvaku dynasty banished for having eaten a cow of Vashishtha’s, raped a
Brahmin’s wife and his family during a famine, Vishvamitra goes all out to ensure that
the sacrifice sought to be held by him is a success, despite the boycott by Vashishtha
and the gods. Trishanku had lost caste and was living with Chandalas. The incensed
Vishvamitra took up the challenge and created new deities to accept the offerings (in the
Rig Veda III.9 he refers to 3339 gods in place of the Vedic 33). Vishvamitra had no
hesitation in asking a Chandala to share with him the only food available, dog’s meat, on
the eminently practical ground that if the body itself did not exist, how could one practice
dharma and earn merit? However, where spiritual wisdom was concerned, it was
Vashishtha who remained the supreme master, as sublimely recorded in the Yoga-
Vashishtha Ramayana.

It is these sages who play a critical role in securing the cohesiveness of the social
structure and establishing it on the [46] highest principles of human conduct, protecting
which is the job of the Kshatriya raja. One of the reasons for the collapse of moral order
noticed in the epic is the absence of great sages in the courts of Hastinapura,
Indraprastha and Dvaraka. Dhritarashtra’s family priest is not even mentioned, while the
Pandavas pick up Dhaumya, who is no more than a good ritualist. The age of
Vashishtha and Vishvamitra is long passed. Vyasa is no replacement for them.

Yet, it is Vyasa who is the stage-manager, truly the “arranger” as his name denotes. At
every critical stage he appears to provide a different turn to the course of events.
Commanded by his mother to intervene to save the dynasty, he cannot cut himself off
thereafter. It is he who ensures that Gandhari does not discard the aborted foetus, and
produces from it the 101 Dhartarashtras (as Aurva had long back the 60,000 sons of
Sagara). He appears at the right time to guide the Pandavas to Draupadi’ssvayamvara,
and to ensure that she is married to all five of them. During the exile it is Vyasa who
advises Arjuna how to obtain celestial weapons. It is because of him that Sanjaya can
see the entire battle and narrate it to Dhritarashtra. After the war he steps in to prevent
general annihilation from the twin missiles launched by Arjuna and Ashvatthama. Finally,
it is he who advises the Pandavas to depart on their last journey. It is Krishna
Dvaipayana Vyasa’s anguished cry—placed ironically in the “Ascension to Heaven”
section—that is left ringing in our ears, echoing down the dusty corridors of recorded
time. One answer is provided in Bhishma’s discourse from the death-in-life bed of arrows
in terms of the metaphor of the Kamavriksha 70which Sri Ramakrishna transformed into
the marvellous parable of desire under the Kalpataru. It is the other Krishna, Vasudeva,
who evokes it in a wondrous eidetic image [47] that begins with the same word, urdhva,
and goes on to provide the solution [71]:

Urdhvamulamadhah shakhamashvattham prahurvyayam /

Chandamsi yasya parnani yastam veda vedavit //

“Mention is made of a cosmic fig-tree rooted above,

Whose leaves are said to be the Vedas;
The knower of this fig-tree
is the knower of the Vedas.
Its branches reach out below and above,
And the gunas nourish them;
Its flowers are the objects of the senses;
Below the ground flourish more roots,
Giving birth to action.
You may not see its real shape,
nor its end, birth and existence.
Slice this fig-tree with the sword of non-attachment.”

Each of us has to find that answer for oneself. Each one of us has to become the
protagonist in one’s individual course of life. What the epic can and does provide us is
with are lessons to be drawn from the experiences of the leaders in the epic narrative, so
that we can, avoid those pitfalls and live a proactive instead of a reactive life; shape our
destiny using power not for self-aggrandisement but for developing the self to subserve
the public weal.

– Pradip Bhattacharya
December 15, 2002
 Value addition of plantation crops
Dr. M.R.Manikantan, Principal Scientist, ICAR-CPCRI, Kasaragod

Plantation crops are an integral segment of our agricultural economy and are a significant driving
force for growth and development of the agrarian economy of many states in India. The major
plantation crops in the country include coconut, arecanut, oil palm, cashew, tea, coffee and
rubber. Besides, spice crops and cocoa are also considered as plantation crops. The plantation
crop sector contributes a significant amount to the foreign exchange and the magnitude of direct
and indirect employment provided by the sector makes it vital for overall economic
development. The demand for processed commodities is steeply rising and food preferences of
the next generation consumers are changing. The emerging challenges and opportunities call for
a paradigm shift in the innovation driven post harvest and food processing research system to
connect inventions with the entrepreneur in the entire food supply chain for the promotion of
product diversification in plantation sector.

COCONUT

Coconut is one of the most important commercial crops in tropical areas and usually referred as
‘tree of heaven’. India is the third largest producer of coconut in the world with 22167 million
coconuts per year. Coconut is an important source of vegetable oil used for both edible and
industrial applications. India consumes 40% of annual production for their culinary and religious
purpose, 35% used as copra, 6% for value addition and industrial purposes, 17% for tender nut
uses and 2% for seed purpose. A full sized coconut weighs about 1.44 kg. A whole coconut
consists of approximately 50% husk, 15% shell, 25% meat and 10% water. Coconut kernels
contain carbohydrate (10-20%), fat (35%) and protein (4%) at moisture content between 40-50%.
Coconut is also considered as a ‘functional food’ because it provides additional health benefits
apart from its nutritional constituents.

Storage/seasoning, husking and shelling are major unit operations involved in any
coconut industry. It is a common practice to store them for a period of more than two weeks.
Handling of tender coconuts will be easy if a major part of the husk is removed. But, when
partial removal of husk is done, the colour of the nut will be changed to brown thereby reducing
the attractiveness of the nut. Technologies for minimal processing of tender coconut have been
developed by Kerala Agricultural University (KAU) for retaining the flavour and to prevent
discolouration. The process involves dipping (partially) dehusked tender coconut in a solution of
0.50% citric acid and 0.50% potassium metabisulphate for three minutes. The product can be
stored up to 24 days in refrigerated condition at 5-7 degree centigrade. By using this process,
tender coconut can be transported to distant place and served chilled like any other soft drink.
Optimized uniform size facilitates using of plastic crates and insulated chill boxes for
transporting and storage.
 To reduce the cost of transport, coconuts are usually husked in the garden itself.
Traditionally husking is done manually by skilled workers with the help of an iron spike driven
to the ground. The work calls for skill and is strenuous. A handy and popular coconut husking
tool, called ‘keramitra’, is available for domestic use. A few manually and power operated
coconut husking machine have been developed. The capacity of a manually operated husking
machine is 100-130 nuts/h compared with 400-600 nuts/h of the power operated one. In the fresh
kernel processing industries, shelling and removal of testa are the common labour intensive unit
operations. The Central Plantation Crops Research Institute (ICAR-CPCRI), Kerala has
developed shell removing machine for partially dried and fresh coconut, manually operated
coconut splitting device and coconut testa removing machine.

DRY PROCESSING OF COCONUT

Copra production
Main end product of dry processing is copra and coconut oil. Copra drying is one of the
major unit operations in dry processing. Fresh coconut kernels contain 50-55% moisture content,
which is to be brought down to 5-6% by drying. Converting coconut into copra can yield 15%
more income and copra to coconut oil can fetch another 10% income to the farmer. Drying must
be carried out within four hours of splitting since coconut kernels deteriorate very rapidly due to
growth of mould and bacteria. The methods generally used for drying of copra are sun drying,
smoke drying or kiln drying and drying by mechanical means. To obtain good quality white
copra, particularly during rainy season, a suitable dryer using indirect heating is essential. The
existing direct type kiln dryers are not desirable as the product becomes inferior in quality due to
smoking and improper drying. To overcome these problems, shell fired copra drier and poly
house solar driers developed by ICAR-CPCRI are being used.

Extraction of oil from copra

In most of the coconut producing countries, copra crushing has become a traditional
industry. Power driven ‘Chekkus’ or rotary mills, expellers and hydraulic presses are used for
crushing on a commercial scale. In the organized sector, expellers are used to crush copra. A
double crushing unit gives better extraction; hence series of expellers are preferred. The clean
copra is passed to disintegrator, where it is converted into a coarse meal. The meal is heated in
the cooker for 30 minutes by steam up to 70oC. Then it is fed continuously to the expeller from
which the oil and the cake are forced in different streams. The first expeller gives 50% extraction
and the second extracts the remaining, leaving about 10% oil in cake compared to 70% in copra.
This oil is filtered by means of a filter press and stored in mild steel or plastic tanks. Bulk
packaging is done in tin containers. High density poly ethylene containers and polymeric nylon
barrier pouches are used for small consumer packing. The oil cake is used as cattle feed either
directly as such or after removing the oil by the solvent extraction method.
Edible copra
It is of two types – ball copra and cup copra. Ball copra is made from fully matured
whole unsplit nuts. Lakshadweep Micro, a local type cultivar grown in Lakshadweep islands, is
best for ball copra. Edible copra is utilized in sweet snacks preparations and as an ingredient in
the processed foods.

WET PROCESSING OF COCONUT

Desiccated coconut
Desiccated coconut is the white kernel of the coconut, comminuted and desiccated to a
moisture content of less than 3%. ICAR-CPCRI has developed coconut grater, pulverizer and
dryer for making desiccated coconut. It is a very important commercial product having demand
all over the world in the confectionary and in other food industries, as one of the main subsidiary
ingredients of fillings for chocolate, candies, etc. It is also used as decoration for cakes, biscuits,
ice cream and toasted for short eats. The manufacturing process involves selection of matured,
seasoned, ungerminated, undamaged, dehusked nuts, deshelling, paring of the testa, slicing the
kernel and removal of water, washing, sterilizing (blanching) using hot water, disintegrating into
granular pieces of 1-5 mm size, drying in batch type of semi automatic tray dryers or fluid bed
dryers to bring down the moisture to 3%, cooling the product to room temperature, sieving,
grading and packing in polyethylene lined craft paper.

Coconut chips
Coconut chips are a ready to eat snack prepared from 9-10 months old coconuts.
Preparation of coconut chips is a simple technology and the process includes paring, slicing,
osmotic dehydration and drying. Coconut chips can be prepared by dehydrating the intermediate
moisture coconut kernel. Intermediate moisture coconut kernel is the mature coconut kernel
after removing the moisture content of the kernel partially by osmotic dehydration by using
osmotic mediums like sugar syrup. Coconut Chips is crispy and can be packaged and marketed
in laminated aluminium pouches, which will have shelf life of 6 months. Since it is in ready-to-
eat form, it could be used as snacks at any time. Coconut chips with different flavour can be
prepared by adding the required flavour essence in the osmotic medium. Instead of sweet, salted
coconut chips and medicated coconut chips can also be prepared by suitable change in the
osmotic medium. Chips can be fortified by adding carrot juice/beetroot juice in the sugar
solution. The machines required for chips making are shell remover, paring machine, slicer,
osmotic dehydration tank and dryer. ICAR-CPCRI has developed both manual and power
operated coconut and multi crop slicing machine for making coconut chips.

Coconut milk and related products

Coconut milk is an emulsion of coconut oil in water obtained from the gratings of the
fresh kernel after they are mixed with some water, kneaded and pressed out. It was found that
the coconut milk extracted with water at 80°C and having pH of 8 was yielded milk with highest
total solids. The milk is pleasant and sweet with an agreeable flavour. A comparison of the
coconut milk with cow’s milk has shown that coconut milk is richer in fat, poorer in protein and
sugar content. Apart from household culinary uses, coconut milk is utilized as a substitute for
dairy milk as evaporated and sweet condensed milk and in the preparation of white soft cheese,
yoghurt and many other foodstuffs. Commercial production of these products has been promoted
in the Philippines, Thailand, Indonesia, Western Samoa, Sri Lanka and Malaysia and to some
extent in India.

Bottled coconut milk

The processing technology involves extraction of milk from coconut, straining the milk
in a cheese cloth into an aluminium kettle with 0.1 percent benzoic acid before placing the kettle
in an autoclave at 117oC for three minutes with steam injection. The temperature of the milk in
the pot is then brought down to 80-85oC, by running tap water. The milk is then homogenised
for about five minutes and bottled at 70oC to 80oC. The final product is as good as cow’s milk
and is highly nutritious.

Coconut cream
Coconut cream is the concentrated form of milk extracted from fresh matured coconuts. It
is a white, smooth, liquid cream with excellent coconut flavour and 20-30% fat, aseptically
packed. This is an instant product, which can either be used directly or diluted with water to
make curries, sweets, desserts, puddings, etc. It is essentially used as a fat source for the
reconstitution of the skimmed dairy milk and as a component of infant milk powders. It can also
be used in manufacturing bakery products and flavouring foodstuffs. 10,000 mature nuts could
yield about 2500 kg of coconut cream and 500 kg of residual grating. Coconut Development
Board (CDB), Kochi in collaboration with CSIR-National institute for interdisciplinary science
and technology (CSIR-NIIST), Thiruvananthapuram has developed technology for the
preservation and packing of coconut cream in tin containers. The process involves dehusking of
the fully mature nuts, breaking the nuts into halves, deshelling, washing and blanching of the
kernel, grating, comminuting of the grated kernel to extract the milk, filtration through vibrating
screens, additions of emulsifier and stabilizers, emulsifications, pasteurizations, hot filling in
cans, can seaming and sterilization. Processed and packed coconut cream has shelf-life of six
months. Once opened, it should be stored in refrigerator for subsequent use.

Coconut skim milk

Coconut skim milk is a solution of the soluble components of coconut after the cream is
separated in a cream separator. Skimmed milk is a good source of quality protein suitable for the
preparation of many useful food products or as supplemental protein source, especially in regions
deficient in animal proteins. Freshly prepared coconut milk from pared kernel is filtered through
a 120 mesh vibrating screen and the pH of the filtered milk is raised from 6.3 to 7.0 with the
additions of sodium hydroxide. The milk is then pasteurized at about 60"C for one hour and
subsequently centrifuged in a cream separator to yield the aqueous phase or the protein rich skim
milk. Skim milk can be concentrated to a protein rich non-fat solid-product for industrial use.
Skim milk can be used for the production of a variety of products like spray dried powder,
coconut honey, coconut jam and sweetened condensed milk. In addition, it can also be used as a
substitute for the preparation of fermented beverage concentrate and also as a source of vegetable
casein. The gastro-intestinal disturbances in infants can be treated by feeding coconut milk,
which shows that coconut skim milk having the same protein level (1.6 percent) as mother's milk
is well-utilized by infants.

Coconut milk powder

Coconut milk powder is the dehydrated form of the coconut milk. This product has a
good keeping quality and retains the natural flavor, texture and taste of coconut milk. It is
prepared by spray drying the coconut milk along with homogenizer and emulsifier and without
any preservative. This is produced on a commercial scale in the Philippines, Malaysia and India.
The CDB in collaboration with the CFTRI has developed technology for spray drying of coconut
milk. The process involves deshelling, paring, disintegration of the kernel, squeezing the
comminuted kernel in a screw press, standardization of coconut milk with maltodextrin and
sodium cassienate, pasteurization, spray drying and packing in aluminum packets. The powder is
easily dissolved in water to form a milky white liquid with the flavour and texture of coconut
milk. To make coconut cream, it is suggested to mix or blend 100g powder with 120 ml water.
The product contains 60.5 per cent fat, 27.29 per cent carbohydrates, 9.6 per cent protein, 1.75
per cent ash, 0.8 to 2.0 per cent moisture and 0.02 per cent crude fibre.

Coconut yoghurt
Yogurt from coconut milk can also be consumed by lactose intolerant. Coconut milk was
preheated at a temperature of 90°C for 3 min. It was then cooled till the temperature reduced to
40°C. 3% inoculum was mixed to the coconut milk and the cultured coconut milk was incubated
at 37°C for 8 hours then it was stored at 4°C. A combination of soymilk (50%) and coconut milk
(50%) has also been used in the preparation of soycoconut yoghurt. Coconut milk can also be
used along with cow milk to produce acceptable and affordable yoghurt.

Coconut cheese
White soft cheese can be made from a mixture of 40% skimmed milk and 50% coconut
milk which will have the same flavour, aroma, texture and acceptability as 100% cow’s milk
cheese. Fresh kernel is grated and pressed to extract milk. Coconut milk is allowed to stand for
eight hours until the cream is collected at the top. The cream is slowly scooped out and the
skimmed milk heated with vinegar to coagulate the proteins. The coagulated protein is mixed
with the cream and kneaded with salt.

Coconut syrup
Coconut syrup, a translucent, free-flowing liquid is prepared by cooking homogenized
coconut milk with an equal amount of refined sugar and di-sodium-phosphate equivalent to 0.25
per cent of the volume of the milk or 0.05% citric acid, until the mixture attained a TSS content
of 65-70 per cent. The hot mixture is poured in sterile containers or lacquered tin cans and sealed
hermetically. It gives a delicious instant drink, which is milk-white in colour when mixed with
water and is also an excellent bread spread. It is used as a topping for bakery products or as a
mixer in alcoholic drinks or may be diluted in water and used in cooking rice cakes and other
delicacies.

Coconut jam
Coconut jam is a high-sugar coconut food product commonly consumed as dessert,
bread-spread, etc. It is prepared by cooking sweetened coconut milk to a very thick consistency
at low heat with constant stirring. Process for preparation of coconut jam using tender coconut
pulp with a shelf life of 6 months has already been standardized. Coconut milk is extracted after
mixing coconut gratings with equal quantity of water and mixed with brown sugar and glucose in
the proportions of 10.25 percent and 5.5 percent respectively based on the weight of the milk,
and cooked over a slow fire with constant stirring for about 20 minutes. The mixture is strained
for removing suspended matter and again cooked over high heat. Before the mixture begins to
thicken, citric acid at the rate of 0.25 percent of the original weight of the milk is added and
cooking continued over low heat until the mixture thickens. The product is hot filled in sterilised
containers and sealed hermetically. The jam so obtained has a rich creamy coconut flavour.

Coconut honey
Coconut honey is viscous syrup, similar to coconut syrup but less creamy and less nutty
in flavour used as topping for pancakes and waffles. To the coconut milk, 60% of brown sugar
and 30% of glucose are added by weight with 0.5 per cent of sodium alginate as a stabilizer and
then boiled in steam heated containers until a thick consistency is reached. The product is then
hot filtered in lacquered sterile tin containers or bottles and sealed. The final product is a golden
coloured, thick paste with a nut flavor. This can also be used as an excellent base for soft drinks.

Medium/low fat, desiccated coconut flour

After extraction of milk, the residual coconut cake can be dried and sold as medium/low
fat, desiccated coconut, which may be used in bakery and preparation of low calorie foods. The
flour so obtained typically contains 7-8% protein, 3-5% moisture and 17% oil. It can be used as
an ingredient in weight control foods because of its high fibre content. The protein contained in
the flour is identical to that contained in the original fresh kernel. The dried coconut residue is
passed through a special type of screw press under a specified expeller setting to reduce oil
content of the residue. The defatted flakes are dried to reduce its moisture content to 2.5 to 3.0
per cent. These flakes can also be utilized in different food formulations such as extrusion,
baking and confectionery. They can also be used for enriching the nutritional values of wheat
flour, rice flour etc. The oil extracted from the dried gratings is of superior quality, which could
command premium price. Coconut flour is naturally low in digestible carbohydrates and high in
fibre content and good proteins and hence is a health promoting food. This has 4 times more
fibre than oat bran, 2 times more than wheat bran. Technologies are available now to prepare
coconut milk residue and virgin coconut oil (VCO) cake flour based compressed bar, porridge,
laddoo, halwa, and noodles. Processes for preparation of ready-to-eat food items such as coconut
pickle and coconut chutney powder have been developed and standardized by ICAR-CPCRI,
Kasaragod. These products can be prepared from the by-products obtained while preparing the
coconut chips and virgin coconut oil.

Virgin coconut oil

VCO is the oil obtained from fresh, mature endosperm (kernel-meat) of the coconut by
mechanical or natural means, with or without use of heat, no chemical refining, bleaching or de
odorizing and maintains the natural aroma and nutrients. It is called “virgin” because the oil
obtained is pure, raw and pristine. VCO is suitable for human consumption in its natural form. It
is the purest form of coconut oil, crystal clear, contains natural vitamin E and has longer shelf
life with very low free fatty acid content (0.1 %). VCO has been reported to be an excellent
source of antioxidants including phenolic compounds. It has a fresh coconut aroma ranging from
mild to intense depending on extraction process.

VCO can be extracted directly from the fresh coconut meat or from coconut milk or from
coconut milk residue. For decades, people in coconut producing countries like India and
Philippines boiled coconut milk extracted from freshly grated or comminuted (grated, chopped,
granulated) coconut meat with or without the addition of water, to produce coconut oil for hair
and body massaging applications. The different methods involved in VCO production are Hot-
processing, Natural fermentation, Centrifugation and Extraction from dried grating (EDG). The
choice of the technology to be adopted depends to a great extent on the scale of operation, the
degree of mechanization, the amount of investment available and the market demand.

Bottled Coconut Water

Bottling of coconut water for use as a soft drink is gaining popularity. Coconut water can
be marketed as natural soft drink if preserved and packed. Non-carbonated beverage can be
produced from the coconut water of mature nuts. The process involves collection of water,
filtration, upgradation (to adjust pH, taste, Total Soluble Sugar and shelf life) and pasteurisation,
filtration and bottling. The bottled drink can be stored for three months at ambient temperature.
The drink can also be carbonated and used as beverage. Delicious beverages can be made from
matured coconut water on blending with lemon juices or other fruit juices. These beverages
could be an alternate for synthetic beverages, which are not good for health. CSIR-NIIST,
Thiruvananthapuram has developed a process for the upgradation and preservation of mature
coconut water. The process essentially consists of upgrading the flavour of mature coconut water
to the level of tender coconut water by supplementation with additives including sugar and
preserving it by a judicious combination of heat pasteurization and permitted chemicals. Coconut
water squash can be prepared from mature coconut water using the ingredients sugar, citric acid,
lemon juice, ginger and sodium benzoate. It contains sodium, potassium, Vitamin C and
Carbohydrate with calorific value of 300 Kcal. The carbonated and non-carbonated beverages
stored in aluminum and poly ethylene laminated packages has a shelf life of six months at room
temperature.
Frozen coconut water
Fresh coconut water from newly opened coconuts is collected under hygienic condition
and suspended solids and oil in the samples are removed by means of three-way centrifuge. The
salts present in coconut water may be removed if desired, prior to concentration, to produce a
very sweet product by centrifugation and passing the centrifuged coconut water through a mixed-
bed ion-exchange resin. Ten litres of coconut water would yield about 800g of concentrate. The
concentrate can be frozen or preserved in cans and after dilution to the desired strength; it can be
used as base for the production of carbonated and non-carbonated coconut beverages. The
concentrated coconut water is also reported to be used successfully in the brewery industry.

Preserved tender coconut water

The water of tender coconut, technically the liquid endosperm, is the most nutritious
wholesome beverage that nature has provided for the people of the tropics to fight the sultry heat.
Once exposed to air, the liquid rapidly loses most of its organoleptic and nutritional
characteristics, and begins to ferment. Tender coconut water is at its optimum level of
acceptability and economic viability for commercial use when nuts are 6-7 months maturity.
Hence it is ideal to preserve coconut water at this stage of maturity to derive maximum benefits.
Packed tender coconut water involves collection of water, filtration, adjustment of pH, total
soluble sugar and taste, pasteurization, filtration and packaging. Ultra filtration system can also
be used to clarify the tender coconut water. It can either be packed in bottles or in cartons. The
bottled drink can be stored for three months at ambient temperature. A system for non thermal
preservation of tender coconut water was developed using low ash filter paper and cellulose
nitrate membrane which reduced the microbial population and retained the organoleptic
properties. Since the tender coconut water is highly susceptible to heating, it is subjected to
minimum heating and bio preservatives like Nisin is added, which helped in maintaining the
natural pH of 4.9-5.2.

Canning of tender kernel

A technology has been developed for the canning/bottling of the kernel of tender nuts of
different age groups. It is now possible to preserve kernels of 8 to 10 month old nuts and also
jelly- like formations obtained from 6 to 7 months old nuts. For canning, meat from 8-10 months
old nuts is first scooped out, the adhering testa removed by using a sharp knife and the pared
meat cut into stripes 0.5 cm thick and 6 cm long after washing. The stripes are put in cans to
which is added 50° B syrup with 0.01 per cent sodium metabisulphite. The filled cans are then
exhausted at 78°C, sealed and processed at 110°C for about 20 minutes. In the processing of jelly
like meat obtained from tender nuts 6-7 months old, the meat is scraped out and to every part of
the meat a corresponding amount of refined sugar is added. The mixture is cooked in low heat
until the sugar is totally dissolved, hot packed in sterilized bottles and closed tightly. An effort on
value addition and product diversification has resulted in the development of new products such
as tuty-fruity and candy from fresh kernels. Processed young tender coconut kernel could be in
the form of sweetened dehydrated/dried (or) young tender coconut kernel in syrup (or) dried
chips. These young coconut kernel products are ideal for dessert (or) snack food.

Coconut Vinegar
Coconut vinegar is the resultant product of alcoholic and acetic fermentation of sugar
enriched coconut water. Coconut water can be converted into vinegar by using vinegar
generators. The matured coconut water consisting of about 3 per cent sugar content is
concentrated to 15 per cent level by fortifying with sugar after filtration. Then, the sugar is
heated to boiling point. The pasteurized mixture is then cooled and inoculated with active dry
yeast Sacharomyces cerviseae (1.5g/liter). After alcoholic fermentation for about 5 to 7 days, the
clear liquid is siphoned off and inoculated with mother vinegar or starter culture containing
aceteobactor bacteria. This acetified vinegar is then aged before bottling. The vinegar generator
assembly comprises a feed vat, an acidifier and a receiving vat for collection of vinegar. Vinegar
has extensive use as a preservative in the pickle industry and flavouring agent in food processing
sector.

Nata-de-coco
Nata-de-coco is a chewy, translucent, jelly like foodstuff formed by the action of a
microorganism Acectobactor xylinium in a culture medium of mature coconut water. The culture
solution is prepared by mixing coconut water with sugar and acetic acid at a stipulated
proportion, which is inoculated with Acectobactor xylinium through a culture liquid. It is filled
in glass jars covered with thin cloth and kept for 2-3 weeks without any disturbance. During this
period a white or cream colored jelly like substance forms and floats on the top of the culture
medium. It is harvested, cut into pieces and washed in pure water to remove all acid. It is then
immersed in flavoured sugar syrup for 12 hours and packed in glass bottles. It is an excellent
ingredient for sweet fruit salads, pickles, fruit cocktails, drinks, ice cream, sherbets and other
recipes. CDB has developed a technology under laboratory conditions for the production of nata-
de-coco from matured coconut water. It was found that 100 litres of coconut water would yield
about 20 kg of raw nata. The College of Home Science, Tamil Nadu Agricultural University,
Madurai has developed a technology for preparation of coconut Jelly. Coconut jelly stored in
glass bottles was found to be best up to 180 days.

Snow ball tender coconut

The soft tender kernel or solid endosperm of tender coconut is a delicious dessert and
contains good amount of nutrients. The tender coconut kernel is good for convalescing patients.
The traditional method of its extraction is difficult and time consuming. Thus the kernel of the
tender coconut is sometimes eaten or else thrown away. Coconut of 8 month maturity is more
suitable for making snow ball tender coconut. Before scooping out the globular tender kernel
with water, a groove is made in the shell by using a machine developed exclusively for this by
ICAR-CPCRI. By inserting the scooping tool, specially made for this purpose, in between the
tender kernel and shell and then by rotation of the nut, the snow ball is scooped out from the
shell. It is nutritive and used as drink and snacks at the same time. Since the snow ball tender nut
can be individually packed in 200 gauge thickness LDPE film and refrigerated at 15°C under
hygienic conditions, the shelf-life of this product is prolonged for about 15 days and therefore
this ready-to-serve product is found to become popular. ICAR-CPCRI has developed a technique
and fabricated the machinery to pull out the whole round soft kernel from the nut.

Dressed tender nuts

It is a partially dehusked cool tender coconut. Since husk constitute major portion of the
volume of tender coconut, partial portion of the husk is removed. The 7-8 months old green
tender nuts are machine shaved to an attractive and uniform hexagonal shape, the smallest size
possible that can retain the fluid safely inside. After removal of husk, tender coconut is wrapped
with food grade polyethylene for aesthetic and hygienic purpose. These machine-shaved nuts are
kept in cold rooms before serving.

Coconut sap (neera) and its value added products

Kalparasa (coconut sap or neera) extracted from coconut spadix is a healthy nutritious drink. It is
rich in carbohydrates, minerals, proteins, vitamins; antioxidants etc. A major difference between
the sap of coconut and other juices is in its collection. Unlike in sugarcane or other fruits, where
the cane or fruit is immediately crushed or macerated to extract the juice, in coconut it trickles
drop by drop from the cut end of inflorescence over a period of time. The lengthy collection
period coupled with unhygienic and unorganized way of its collection leads to fermentation of
the sap both by enzymatic and microbial action. In the traditional method, the sap is collected in
internally lime coated earthen pots or bamboo sacs. Lime, preservatives or anti fermentation
chemicals however were not completely successful to prevent the sap deterioration. It could be
preserved as fresh and unfermented only when it is collected under cold condition as in the
simple ‘ice-box technology’ developed at CPCRI. This technique consists of an adopter to
connect to the cut end of inflorescence, a connecting pipe and a collection container housed in an
ice-box with ice cubicles. The sap thus collected is farm fresh, hygienic, chemical free and zero
alcoholic. It can be stored fresh for any length of time under freeze condition. A healthy tree can
produce 1.5 to 3.0 liter of sap per spadix per day and can produce on an average 100 litres of sap
over a period of 45 days. Coconut produces 12 to 14 spadices per year. Even if 6 spadices are
tapped and the rest are allowed to produce nuts, 600 litres of sap and nuts can be produced
without much reduction. The whole process is simple; allowing local population in palm tree
habitats to tap and sell it as chemical free nutritious drink or produce natural coconut sugar and
can convert their coconut palms into an instant cash crop that reaps great financial benefits.

Coconut sugar, jaggery and honey are obtained by boiling unfermented sap in moderate heat to
evaporate the water at 115 degree Celsius. Faintly thick heated syrup is cooled to get coconut
honey or syrup. Still thicker consistency of the syrup is poured to moulds of either coconut leaf
or steel to obtain jaggery. Sugar forms from thick syrup, which is continuously stirred to avoid
burning and to form granulation. At this stage the liquid will change into solid form and it is
immediately cooled. When it is cooling, it is stirred continuously to break the lumps. The sugar
obtained is sieved to get uniform particle size and to produce quality product.

Coconut sugar is also known as coconut palm sugar, coco sugar or coco sap sugar. Unlike
cane sugar which supplies only calories, coconut sugar supplies calories and nutrients. It has high
mineral content and is a rich source of potassium, magnesium, zinc and iron. In addition to this,
it contains all essential amino acids required for protein synthesis, and rich in B complex
Vitamins like B1, B2, B3 and B6. When compared to brown sugar (prepared from sugar cane
molasses), coconut sugar has twice the iron, four times the magnesium and over 10 times the
amount of zinc.

VALUE-ADDED NON-FOOD PRODUCTS OF COCONUT

Among the non food products, coir, coconut pith and shell assume commercial importance.
Other parts of the palm especially coconut wood and leaves are recently gaining attention.

Coir fibre
The coir fibre is extracted from coconut husk. The husk usually forms 35-45% of the
weight of the whole nut on ripening. The husk of an average coconut weighs about 0.4 kg of
which 30% constitutes coir fibre and the remaining 70% is pith, outer skin etc. There are two
types of coir fibre: white fibre and brown fibre. White fibre is extracted from retted coconut
husk. Kerala produces mostly white fibre, which is used for making traditional coir products like
mats, mattings, rugs and carpets. Brown fibre is extracted from unretted husk. It is mainly used
for the manufacture of curled coir. Curled coir is used in the rubberized coir mattress, sofa
cushion, bolsters, pillows, carpet underlay etc. The world production of coir fibre is estimated at
0.330 million tonnes per annum of which the contribution of India and Sri Lanka is about 65%
and 32% respectively. India is a major exporter of coir and coir products and earns over 11,000
million rupees a year. Indian coir industry employs more than 1.5 lakh weavers and 4 lakh
spinners. The industry demands modernization and marketing efforts to be competitive in the
world market. Beside coir fiber and products, coir pith also has export potential.

Natural fibre extraction

After natural retting the husk is taken out of water and washed to get rid of the mud and dirt. The
outer skin is then peeled off and the husk placed on wooden blocks and beaten with a mallet for
separating fibre from the pith. It is cleaned and then spread in shade for drying. It is then
occasionally beaten up with poles to remove the remnants of pith and impurities still adhering to
the fibre. This also helps the mixing of long and short fibres thoroughly for making superior
types of fibre. Now technology is available for retting within 30 days by using bacteria called
‘coir ret’.
Mechanical extraction
The non-retting process involves direct decortications or mechanical extraction. Fibre from the
not-retted husk or partially retted husk or fresh green husk is extracted by mechanical means.
The yield from retted husk is more than that from unretted husk.

Structure and properties of coir fibre

The chemical constituents of pure coir are cellulose (32-43%), Lignin (40-45%),
hemicelluloses (0.15 – 0.25%) and pectin which makes it more extensible compared to other
natural fibres. The fibre is weather-resistant and also resistant to fungal and bacterial
decomposition, which are attributed to the high lignin content. Lignin is the main constituent
responsible for the stiffness of the coir and also partly responsible for the natural colour of the
fibre.

Coir pith
Coir pith constitutes as much as 70% of the husk and was a waste product of the coir
industry. Coconut pith, flufy light lignocellulose material which essentially binds the coir fibres
in the husk gets liberated in the form of dust during fibre extraction. It is a spongy, highly
hygroscopic, extremely compressive and has a good percentage of combustible matter with low
ash content. The calorific value of unretted pith is greater than that of retted pith. Accordingly,
unretted pith i.e., pith available from the mechanical defibring industries can be utilised for
producing fuel briquettes to be used as substitute fuel in place of firewood used in tile and brick
industries and for other industrial heating purposes. Coconut pith available from the mechanical
coir defibring units is sieved through an IS 8 mesh sieve to remove long coir fibres and mixed
with 20 per cent cow dung in the form of slurry. The mixture is aged for about 24 hours and then
passed through an extruder to produce hollow cylindrical briquettes which are subsequently dried
in the sunlight. The success of briquetting will depend upon consistency of the mixture and
quality of binder slurry. Retted pith which is having a better water holding capacity can be used
as water retention material in sandy soils and also as an insulation material with other suitable
additives since it has a low thermal conductivity.

Coconut pith will decompose in the soil very slowly as its pentosan-lignin ratio (0.30) is below
0.5 which is the minimum required for the slow decomposition of organic matter in the soils.
Pith is excellent surface mulch in all kinds of soils. Now technology is available with CPCRI to
convert pith into compost using organic cultures. It absorbs slightly more than 8 times its weight
of water (82.3%) and releases it comparatively slowly. It has been found that by incorporation of
2 per cent by weight of pith with sandy soil, the water holding capacity of the soil could be
increased by 40 per cent.

Coconut shell
Coconut shell is another important commercial product. On an average the whole
coconut shell of Indian origin weighs around 60-65 g. The lignin content is about 36%. The very
high content of lignin in its composition renders the shell very durable enabling it to resist quick
degradation and easy decomposition even under wet conditions. It is liable for easy ignition and
emits enormous thermal emission during the process. Hence, it is mainly used as fuel. To a lesser
extent, it is used as a raw material for the manufacture of hookah shells, various domestic
utensils, curios, fancy items etc. Recently, ice cream cups, spoons, forks and handicraft items
made out of coconut shell are being exported to European countries. Shell charcoal, activated
carbon, and shell flour are the main commercial products obtained from the shell. Shell charcoal
is obtained by burning the shell of fully matured nuts with a limited supply of air so that they do
not burn away to ash but are only carbonized. The output of charcoal in the traditional pit method
is just below 30 per cent of the weight of the original shells. In India the average output in the
traditional method has been found to be 35 kg of charcoal from 1000 whole shells or about
30,000 whole shells yield 1 tonne of charcoal. Shell is converted to shell charcoal by
carbonization process in mud pits, brick kilns and metallic kilns. To obtain good quality
charcoal, fully dried, clean, mature shells should be used. Now several modern methods are in
vogue for the production of charcoal. In the modern waste heat recovery unit the heat generated
by the burning of coconut shells is used for drying copra and shell charcoal is obtained as
byproduct. Good charcoal is uniformly dark and produces a metallic sound when dropped on
hard ground. The charcoal has a high adsorption capacity for gases and colouring matter and
can, therefore, be used as a refining agent both as a deodoriser and as a decolouriser. The shell
charcoal also finds way to laundries, smitheries, etc. The commercial value of shell charcoal lies
in its use as the primary raw material for the production of activated carbon.

Activated carbon
Activated Carbon is a non graphite form of carbon which could be produced from any
carbonaceous material. Coconut shell based activated carbon is considered superior to those
obtained from other sources due to its small macro pore structure which renders it more effective
for the adsorption of gas/vapor and for the removal of color and odor of compounds. It is widely
used in the refining and bleaching of vegetable oils and chemical solutions, water purification,
recovery of solvents and other vapors, recovery of gold, and in gas masks for protection against
toxic gases. On an average 3 tons of coconut shell charcoal would yield 1 ton of activated
carbon. The process of manufacturing can be divided into three steps (a) carbonisation of
coconut shells using carboniser (b) activation in rotary kilns and (c) post processing involving
washing, drying and sieving. Of late, a large number of plants based entirely on coconut shell
charcoal have come up in the major coconut growing countries. Appropriate technology is
available now for production of coconut shell charcoal and activated carbon granule at
community level. In this method ground level smoke spread is totally avoided and quality of
charcoal is better than that prepared by the conventional pit method. Design of the rotary based
fluidized bed reactor permits an input capacity of 2 ton shell charcoal per day to produce around
0.6 ton activated carbon. The world demand for activated carbon is estimated at 1.2 million tons.
Japan, USA, Germany, Singapore, Ghana, Korea & Taiwan are the major importers of activated
carbon. Philippine, Sri Lanka, India, Indonesia, Thailand are the major activated carbon
producing countries.
Coconut shell flour
The pulverized form of shell is known as ‘Coconut shell flour’. This is manufactured
from shells of fully matured nuts. Coconut shell flour gives a smooth and lustrous finish to
moulded articles and also improves their resistance to moisture and heat. The coconut shell
powder finds extensive uses in plywood and laminated board industries, as a phenolic extruder
and as filler in synthetic resin glues, mosquito coils, agarbathy industries. Coconut shell flour is
preferred as substitute for bark powder, furfurol and peanut shell powder because of uniformity
in quality and chemical composition and also has better properties in respect of water absorption
and resistance to fungal attack. Coconut shell flour is manufactured from matured coconut shell
by using pulverizes / ball mills. 12,000 shells would yield around one tonne shell flour. The
manufacture of shell flour is not an organized industry in India. It is manufactured in sizes
ranging from 80-200 mesh. Philippines, Indonesia and Sri Lakha are the major exporters of
coconut shell flour.

Coconut wood
Coconut wood is not naturally durable and it should be properly treated to protect it from
wood destroying organisms like termites and decay fungi. The non-pressure method, which
involves brushing, spraying, dipping, steeping, dip diffusion, double diffusion and hot and cold
bath appears to be promising. The preservatives used are either oil borne liquids such as
creosote, pentachlorophenol and cuprinol or waterborne salts like the standard chromated copper
arsenate (CCA) under different trade names. The service life of treated wood is two to six times
more than the untreated material. Coconut wood is also found useful in the manufacture of
particle boards

ARECANUT

Arecanut (Areca catechu L.) is an important commercial crop in India and is popularly known as
betelnut. Arecanut has been widely used in South-East Asia, and the Pacific Ocean islands. India
ranks first in terms of both area (47%) and production (47%) of arecanut. The present area and
production of arecanut is 0.45 million ha and 0.61 million tonnes respectively. While its primary
use has been as a masticator, it is also used by the local population in native systems of human
and veterinary medicine, in certain religious and social functions. Arecanut is reported to have
pharmacological properties which may be attributed to its biochemical components such as
polyphenols, alkaloids, polysaccharides, fat and proteins. Arecanut extract possess potential anti-
oxidative activity and inhibition of free radicals and reactive oxygen species. Other parts of the
arecanut palm like sheath, stem, leaf, etc. are used in farms and households for manuring,
packaging, construction etc. Harvesting of arecanut is done by skilled climbers who cover about
50-100 palms in a day. Mechanical arecanut palm climbing device is available for easy climbing
the palm by any unskilled persons. The post harvest processing consists of deshelling arecanut
and its boiling followed by drying of the boiled arecanuts. The stage of harvesting depends on
type of produce for consuming markets. There are two main types of nuts – kalipak, prepared out
of immature green nuts and chali prepared from ripe nuts. The season of harvesting affects
quality of processed nut considerably. Several age-old and crude methods are followed for
preserving arecanut to keep the moist chewing feel. In Kerala, the fresh ripe fruits are stored in
water and are known as ‘neetadaka’. The process for preservation of fresh ripe arecanut consists
of washing freshly harvested nuts in chlorinated water (100 ppm) to remove the adhering dirt.
The fruits are then blanched in 0.2 per cent calcium chloride solution. This treatment is known to
reduce the microbial load, destroys the enzymes and preserves the firmness of husk. The fruits
are then kept immersed in a solution containing 0.1 per cent in sodium benzoate and 0.2 per cent
potassium metabisulphite acidified to a pH of 305 to 4.0 in hydrochloric acid. This process
ensures the preservation of fruits in fresh ripe conditions for 10-12 months. The nut contains
mainly polyphenols, polysaccharides, fibre and fat. The husk contains easily fermentable
substances such as sugar and pectin. These are easily attacked by bacteria when stored in water.
The husk is loosened and the bright orange color is lost. Because of fermentation, foul smell is
produced which penetrates into the edible nut. The inner core is practically well-preserved. It can
be stored up to 10-12 months by blanching followed by steeping the ripe arecanuts with sodium
benzoate and potassium metabisulphite. The important factors affecting the quality of arecanut
are colour, tenderness, gleam, shape, weight etc. The arecanut products include herbal mouth
wash, writing ink, heel ointment, cola type soft drink, mouth fresheners to wine, gutka, pan
masala ‘kaju supari’ having ingredients such as cashewnut and arecanut which can be consumed
completely. Though some ayurvedic medicines use arecanut as ingredients, the quantity of the
commodity used is less. With limited market, these value-added products command a limited
consumption area.

Chali
The most popular trade type of arecanut is the dried, whole nut, known as chali or
‘kottapak’. Fresh ripe nuts are dried in the sun by spreading in single layers for 35-40 days. To
facilitate uniform drying, sometimes the outer skin is peeled off. Lack of attention during drying,
unexpected rains and unsuitable wet drying yards contribute to onset of fungal infection and
result in a poor quality final product. To facilitate quick drying and easy dehusking, its fruits are
cut longitudinally in two halves and sun dried for about 10 days. The kernels are scooped and
give a final drying. This type of product is known as parcha and is produced mainly in Kerala
and Karnataka. The well-known grades of ‘chali’ in descending order of size are ‘Moti’,
‘Srivardhan’, Jamnagar’ and ‘Jini’. Other quality and marketable characteristics are uniformity in
size, absence of immature nuts, surface cracking, husk sticking, fungus and insect attack and
good cutting feel, inside structure and taste. A dehusking device has been developed to remove
husk from dry arecanuts at ICAR-CPCRI. Several such dehusking machines have also been
developed by private entrepreneurs. A mechanical through-flow drier has been recommended for
making chali and parcha. The drier consists of drying chamber with four perforated trays, heat
exchanger, fuel furnace and a centrifugal blower. ‘Kalipak’ can also be conveniently dried using
this drier. In this type of dryer, hot air is allowed to penetrate through the bed of material kept in
trays. The dryer has a cabinet, which is connected to a heat exchanger through a centrifugal
blower. The bottom section of heat exchanger is connected to an oven and the top to a chimney.
Drying is completed in 60-70 hours over a period of 7-8 days at progressively increasing
temperature between 45 and 70oC. The drying procedure consists of 8 hours consecutive drying
followed by equilibration for 16 hours outside the dryer. Small holders’ multipurpose dryer,
using agricultural waste as fuel developed by CPCRI can be used for drying arecanut. About
150 kg of arecanut can be dried in this dryer in 100 h (10 days).

Kalipak
It is another important form of processed arecanut. The nuts of 6-7 months maturity are
dark green and soft. The processing consists of husking, cutting the soft nuts into pieces, boiling
the cut pieces with water or dilute extract from previous boiling, kali coating and drying. Usually
the fresh arecanut harvested is dehusked within 24 hours. Manual dehusking of arecanut is slow
process and needs skilled labour. Tamil Nadu Agricultural University, Coimbatore has
developed dehusker of 48 kg/h capacity for fresh arecanut which can be operated either manually
or by 1.5 kW electric motor. Kali coating imparts a good glassy appearance. In interior
Karnataka, the boiling and ‘kali’ coating operations are combined into single operation. The cut
nuts are boiled in a thicker extract called ‘Chogaru’. During the boiling operation, the same
water is used for boiling two to three batches of arecanuts. The extracts obtained from processing
are concentrated nearly ten folds by boiling over open fire to produce kalipak. Polyphenols are
the major components in it. Both sun drying and oven drying are adopted for kalipak processing.
During monsoon, artificial drying over an open fire is done. Though drying is accelerated, smoky
off flavor is not desirable. A well-dried product with a dark brown colour is preferred. Other
desirable qualities in ‘Kalipak’ are crisp chewing feel, glossy appearance, a well-toned
astringency and absence of over mature nuts.

Scented supari
There are many varieties of scented suparies. Dried arecanuts are broken into bits,
blended with flavor mixture and packed. Roasting of bits in oil or ghee is also practiced. Scented
supari is made both from chali and kalipak. The chali supari is more popular. About 75% of the
marketed produce is consumed after processing either as kalipak or chali.

OTHER USES OF ARECANUT

Tannins
Tannins are obtained as a by-product from the process of preparing immature betel nuts
for masticatory purpose. Tender nut contains tannins 30-37%, while ripe nuts have only 16-22%.
The tannic acid obtained from its nut, when mixed with ferrous sulphate in warm distilled water
gives black writing ink of acceptable quality. Other uses of tannin are as adhesive in plywood
industries and as textile dye.

Fat
The nuts contain 8-12% fat having comparable characteristic with hydrogenated coconut
oil. Areca fat can be made edible by refining with an alkali. The fat could be softened by
fractional crystallization using hexane (25oC) and randomization using sodium methoxide, which
gives products desirable for use as confectionery fat. Simple blending of areca fat with butter fat
and cocoa fat in a 3:1 ratio followed by interesterification of areca fat and cocoa fat in a 1:1 ratio
give good products acceptable in confectioneries. It can be a substitute for vanaspati in
preparations of sweets and biscuits.

Arecanut husk
Arecanut husk is the outer cover of areca fruit. It constitutes 60-80% of the total volume
and weight of the fruits (fresh weight basis). It is now being largely wasted except for being used
as an inferior fuel and mulch. Several processes have been developed for utilization of areca
husk for making hard boards, plastic and brown wrapping paper. The husk fibre extracted by
soaking in water for 3 weeks and beating with a mallet can be used for thick boards, fluffy
cushions and non-woven fabrics. It can be a good source of furfural and xylose for industrial
applications. Areca nut, coarsely disintegrated, is digested with ten-fold excess of 8 per cent
sulphuric acid for three hours. The acidic extract yields 9-11 per cent crude xylose and 2-3 per
cent pure xylose. The digested, recovered husk is mixed with 25 per cent zinc chloride and
heated to 800oC for two hours in closed container. The crude charcoal thus obtained is processed
to yield 25-28% of high quality activated carbon. Areca husk can be used as a substrate for
mushroom cultivation.

Areca leaf sheath

Areca leaf sheath is yet another raw material obtained from the arecanut palm. Leaf
sheaths are one of the raw materials for making composts and bio-degradable and eco-friendly
plates. Annually a palm sheds 5-6 leaves. Constituents of leaf sheath are cellulose (43%), crude
fibre (33%) and ash (5%) and leaf sheath manure contains 0.7% N2, 0.3% P2O5 and 0.1% K2O.
National Institute of Animal Nutrition and Physiology developed a process protocol for the
production of fodder using 12mm ground size of areca leaf sheath and recommended 3.5 kg per
cow per day as a supplement. A process has been developed at CPCRI, Kasaragod, for making
plyboards from leaf sheath for tea chest, sint case and file board manufacture. Two plies of
processed arecanut sheaths in combination with an ordinary wood veneer as core glued with urea
formaldehyde resin are used for making the plyboards. Plyboards prepared from areca leaf sheath
may be used for making suitcases, fileboards, and tea chests. By using leaf sheath cup making
machine, cups of different sizes and shapes can be made. Further, to get a flat sheath of uniform
thickness and to remove the bucklings of folds for making plyboard, the sheath is flattened under
pressure and heat. For this, the sheaths are soaked in water to about 75 per cent moisture and
then pressed for 30 min in a hot Plate press at 4 kg/cm2 pressure and 110ºC temperature. This
process gives flat sheaths of 1.0-1.5 mm thickness with about 12 per cent moisture. To prevent
fungal growth on the sheath surface, it can be soaked in 1 per cent copper sulphate solution for
24 hr before pressing. The pressed sheaths are then air dried for one hour or longer. The CFTRI,
Mysore, has developed a machine for making cups and throw-away plates which can substitute
the paper plates.
Arecanut stem and leaf
Arecanut stem forms a useful building material in the villages and is widely used in
arecanut growing area for a variety of construction purposes. The leaves are good source of
organic manure. Their approximate composition is N2 (0.94 %); P2O5 (0.096 %) and K2O (1 %).
In south Asia, the stem after sharpening is used for dehusking coconuts. Nails made of areca
stem are widely used in furniture industry. Hollow stems lend themselves to use as drainage and
irrigation pipes in the villages. Oyster mushrooms are the ideal ones for the arecanut sector due
to its ability to utilize lignin rich arecanut wastes and the climatic conditions prevailing in
plantations are also ideal for its growth. Conditions have been standardized for cultivation of
oyster mushrooms using arecanut leaf sheath and bunch waste.
OIL PALM
Palm oil is obtained from fleshy mesocarp of fresh oil palm fruit of right maturity essentially
through a wet rendering process, which contains about 45-55% of oil. It constitutes 33 per cent
of the world’s oil and fat export trade. Palm oil is the second major oil produced in the world
after soybean oil. Presence of an extremely active lipase in its mesocarp renders oil inedible
unless proper care is taken from harvestings to transport to subsequent processing of the fruits.
This enzyme is bound to the membrane of fat globules and any damage to the membrane triggers
the activity and free fatty acids are released thus, could be as high as 60% depending on severity
of damage. High free fatty acid makes the oil not only inedible but also makes rate of rancidity
faster, fixes the colour and increases refining loss. Palm oil mills therefore, should be located in
the palm plantation to process the fruits immediately after harvesting.

Harvesting of fruits at right maturity is important with respect to yield and quality of
palm oil, since immature fruits yield less oil and over maturity fruits have high free fatty acid.
Excessive bruising of fruit bunches should be avoided during harvesting and transporting.
Processing of fresh fruit bunches within at least 24 hours after harvesting is essential to obtain
edible quality raw palm oil. Various devices and methods are available now to avoid damage to
fruits during harvesting and transporting.

Sterilization
This serves the dual objectives of inactivation of the enzyme lipase and loosening of the
fruits from the bunch. It also softens the cell-wall and coagulates proteins that facilitate oil
extraction in the subsequent stages. Sterilization of fresh fruit bunches for 60 minutes at 45 psi is
optimum. The sterilizer is a long cylindrical vessel provided with steam inlet and outlet and
pressure gauge. The fresh fruit bunches are loaded in a perforated cage. It is placed in the
sterilizer.

Stripping
The processing of sterilization loosens the fruits but does not separate them from
bunches. The loose fruits are stripped off with the aid of a mechanical bunch stripper. This
device is a rotary drum with baffles and perforations. As sterilized bunches are thrown into the
rotating drum (20 rpm), the fruits are separated from the bunches. The loose fruits fall through
the perforators and the empty bunch passes through the other end of drum.

Digestion
Purpose of digestion is to convert loose fruit pulp and in the process the cell-wall are
broken facilitating releases of oil with the help of thermal and mechanical energy. The digester is
a vertical jacketed cylindrical vessel fitted with a centrally mounted agitator having specially
designed blades rotating at slow (25 rpm). The loose fruits are charged into the digester from the
top with the aid of an elevator. Live steam is injected into the jacket and into the vessel to
maintain the temperature at 95oC. The digested mash with semi-solid consistency is discharged
through a discharge chute at the bottom.

Pressing
The digested mash consisting of oil, water, seed, fibre and other suspended matter is
charged into a perforated cage and subjected to pressing. The pressing is done while the mash is
hot (80-90oC) at 750 psi. The hot oil-water mixture with suspended solids is expelled through the
perforations leaving the solid press cake in the cage. Continuous type screw press expellers are
now available which increase the extraction efficiency.

Clarification
The oil-water mixture is filtered to remove the fibrous debris. It is collected in the
clarification tank. Clarifier is vertical cylindrical vessel fitted with steam coil. The oil-water
mixture is diluted with hot water (1:2) and heated at 95oC. The oil being lighter rises to the top
and is decanted continuously into a collection tank. The watery sludge at the bottom is
discharged as waste.

Purification
The crude palm oil from clarifier is passed through a high speed centrifuge at 80oC to
remove the trace of solid impurities and water. The pure raw palm oil thus obtained is stored in
tanks. Excess moisture in the oil leads to free fatty acid release and quality deterioration on
storage. Vacuum drying is adopted in the process to remove excess of moisture. The raw palm
oil is stored in tanks provided with steam coils.

Nut recovery
Palm kernel oil is derived from the palm nut recovered from the press cake. Mechanical recovery
of seeds involves breaking and drying the press cake, followed by separation of the nuts. The
unit consists of a steam-jacketed paddle, conveying and cake breaking section. During the
passage, the press cake is broken with the help of the rotating paddles and the press cake is also
dried as it is heated in the steam jacket. The lighter fibre is drawn into a cyclone and the heavier
nuts are allowed to fall into a horizontal rotating nut polishing drum. The fibre thus separated is
used as boiler fuel. Final removal of residual fibre from the nuts is achieved in the polishing
drum along with grading of nuts based on size.
 The small palm oil mill envisages only up to the nut recovery stage and the nut as a
saleable product. The palm kernel and shell mixture obtained is separated into kernel and shell in
a clay bath maintained at particular specific gravity. The shell being heavier, sink and the kernel
being lighter floats and is skimmed off. The separated kernel is dried to final moisture of 6-8%.
The kernel is powdered and steam conditioned followed by expression of oil in expeller. The
kernel oil is similar to coconut oil in fatty acid composition. The palm kernel oil recovery is
about 2% on fresh fruit bunch and it fetches a premium price.

TEA

Tea cultivation in India has a long history of application in traditional system of medicine as well
as for consumption. India is cultivating and consuming tea for hundreds of years. Commercial
production of tea in India started with the arrival of English East India Company. Tea is a major
beverage in India. It is considered as the second cheapest drink after water. India and China are
the largest producers as well as the consumers of tea. 70% of tea produced in India is consumed
in India itself. Tea is grown in places having rain in most of the years. Hilly terrain is preferred
for tea plantation since water will flow away. Tea is prepared by steeping processed leaves or
buds in boiling water.

Main stages of processing

1. Plucking, 2. Withering, 3. Distruption, 4. Oxidation, 5. Fixation, 6. Rolling, 7. Drying, 8.

Curing and 9. Grading.

1. PLUCKING: Tea leaves & flushes, including the terminal bud and two young leaves are hand-
picked, typically twice a year.

2. WITHERING: Freshly plucked leaves are laid out on the floor inside a cool breezy room. The
purpose of withering is to reduce the moisture content in the leaves and to allow the flavor
compounds to develop.

3. DISRUPTION / LEAF MACERATION: The tea leaves are bruised or torn in order to promote
and quicken oxidation. Includes kneading, rolling, tearing, and crushing.

4. OXIDATION / FERMENTATION: The volatile compounds within the leaves changes to

produce theaflavin and thearubigin. Theaflavins lend briskness and brightness to the tea while
thearubigins offer depth and fullness to the liquor that’s produced. Controlled oxidation is
maintained to obtain specific flavour and aroma of tea.

5. FIXATION / KILL-GREEN: It is done to stop the tea leaf oxidation at desired level by
moderately heating it.
6. ROLLING: Wilted/fixed leaves are gently rolled, and depending on the style, they are shaped
to look wiry, kneaded, or as tightly rolled pellets. During rolling action, essential oils and sap
oozes out, intensifying the taste further. More tightly rolled the leaves, the longer they will retain
their freshness.

7. DRYING: It is done to finish the tea for sale. It includes panning, sunning, air drying, or
baking. Drying enhances a tea’s flavor and ensures its long shelf-life

8. CURING: Some teas are subjected to aging and fermentation to make them more palatable.
Some types of Chinese Pu-erh, for example, are aged and fermented for years, much like wine.

Instant Tea: Instant teas are produced from black tea by extracting the liquor from processed
leaves, tea wastes, or undried fermented leaves, concentrating the extract under low pressure, and
drying the concentrate to a powder by freeze-drying, spray-drying, or vacuum-drying.

Herbal tea: “Herbal teas” are single or blended infusions of leaves, fruits, bark roots or flowers
of almost any edible, non-tea plant. They are naturally caffeine free.
 RUBBER

The main crop from a rubber plantation is latex, a milky white dispersion of rubber in water,
which is harvested by the tapping process. Two to three hours after tapping, the latex
collected in the cup is transferred to a clean bucket. About 70-80 per cent of the crop from a
rubber plantation is in the form of latex.
The latex which gets solidified in the tapping panel (tree lace) and the collection cups (cup
lump) also form part of the crop and are collected by the tapper in a basket just prior to
tapping. The latex spilt and/or overflowed to the ground (earth scrap) when gets dried up is
also collected as scrap once in a month. These are collectively called field coagulum.
Latex and field coagulum are highly susceptible to bacterial action and therefore it is essential
to process these into forms that will allow safe storage and marketing.
General composition of latex
Rubber - 30-40%, Resins - 1-2.0%, Proteins - 2-2.5%, Sugars - 1-1.5%, Ash - 0.7-0.9%,
Water - 55-65%
Fresh latex, as it comes out from the tree is slightly alkaline or neutral. It becomes acidic
rapidly due to bacterial action. The formation of organic acids neutralizes the negative charge
on rubber particles and the latex gradually gets coagulated on keeping. Therefore, fresh latex
cannot be kept for long without preservative treatment.
Latex can be processed into any of the following forms
1. Preserved field latex and latex concentrate, 2. Sheet rubber, 3. Block rubber and 4. Crepe
rubber.
Field coagulum can be processed only into crepe rubber or block rubber.
Preserved field latex
Field latex is preserved using suitable preservative for long term storage. The processing of
preserved field latex consists essentially of adding the preservative (usually ammonia,
minimum 1%) to the sieved latex, bulking, settling, blending and packing. Field latex can also
be preserved with LATZ (Low ammonia – TMTD – Zinc oxide) system.
Latex Concentrate
There is good market for preserved latex concentrate, as it is an important raw material with a
wide range of applications. Two important methods of processing latex into preserved latex
concentrate are commercially practiced.
1. Concentration by Creaming
The processing of latex into creamed concentrate involves the mixing of a creaming agent
such as ammonium alginate or tamarind seed powder with properly preserved field latex and
allowing the latex to separate into two layers; an upper layer of concentrated latex and a lower
layer of serum containing very little rubber. The lower layer of serum is removed, leaving the
latex concentrate having about 50-55% DRC (dry rubber content), which is often tested,
packed and marketed.
2. Concentration by Centrifugation
The processing of latex into latex concentrate by centrifugation involves the separation of
preserved field latex into two fractions, one containing the concentrated latex of more than
60% dry rubber and the other containing 4-8% dry rubber (skim latex).
Skim latex is generally coagulated with sulphuric acid, made into crepe, dried and marketed
as skim rubber, which is a low-grade rubber.
Preservation of Centrifuged Latex
Centrifuged latices are commercially available as high ammonia (HA – minimum 0.6%
ammonia) and low ammonia (LA - 0.2 to 0.3% ammonia) types. The former is preserved
solely with ammonia and the latter contains one or more preservatives in addition to
ammonia. The most popular LA type latex is low ammonia TMTD – Zinc oxide (LA-TZ)
which contains 0.2 to 0.3% ammonia, 0.013% TMTD, 0.013% zinc oxide and 0.05% lauric
acid.
Ribbed Smoked Sheet (RSS)
Latex is coagulated in suitable containers into thin slabs of coagulum and sheeted through a set
of smooth rollers followed by grooved set and dried to obtain sheet rubber. Depending on the
drying method sheet rubbers are classified into two: ribbed smoked sheets and air dried sheets
(pale amber unsmoked sheets). It is the simplest method of processing latex into marketable
form.

Technically Specified Rubber (TSR)

Technically specified rubber (TSR) is a modern marketable form of natural rubber produced
from latex and field coagulum. The production of TSR started only during the 1960’s, prior to
which raw natural rubber was marketed in conventional forms like sheet and crepe for which
only visual grading was done. From 1950’s onwards well packed and scientifically characterized
synthetic rubbers became commercially available in bulk quantities. To compete with synthetic
alternatives, TSR was developed.

TSR is produced in almost all NR producing countries. In India, TSR production started in the
year 1973. It is marketed with quality certification from the Bureau of Indian Standards, under
the name Indian Standard Natural Rubber (ISNR).

Production

Several commercial processes are being used for the production of TSR. Unit operations in the
process of manufacture are 1) Size reduction, 2) Dewatering, 3) Dirt removal, 4) Drying, 5)
Blending and 6) Grading. The important parts of machinery being used for the said operations
are slab cutter, coagulum crusher, pre-breaker, macerator/crepe roller, hammer mill/shredder
driers and baling press. TSR bales produced are packed in low-density polyethylene (LDPE)
bags. Each bale shall have a weight of 25kg and will have an identification number such as
lot/batch number marked on the cover.

Different Grades of TSR and its Possible Areas of Consumption

ISNR 3CV: Produced from good quality field latex and is viscosity stabilized at a narrow range
(60 ± 5). It is used for the manufacture of tyres, engineering components, extruded and
calendared products.

ISNR 3L: Produced from good quality field latex used for making light coloured products,
feeding bottle teats, large industrial rollers, paper and printing industry.

ISNR 5: Produced from field latex or high quality field coagulum. It is widely used in the
manufacture of conveyor belts, cycle tubes, engine mountings, footwear etc.
ISNR 10, ISNR 20 and ISNR 50: Produced from quality field coagulum. ISNR 10 and ISNR 20
grades are used by tyre manufactures. ISNR 50 is used for the production of less costlier non-
critical applications like handmade hose, footwear, mats and moulded goods.

The status of TSR in India Compared to Other Major NR Producing Countries

Country % TSR Based on NR Production

Indonesia, Malaysia More than 70 per cent

Thailand About 17 per cent

India About 13 per cent

Crepe Rubbers
Crepe rubbers are processed from fresh latex coagulum, field coagulum or cuttings of RSS.
When any of these materials, after necessary preliminary treatments, is passed through a set of
crepe making machines, crinkly, lace-like rubber is obtained. This, when dried, is called crepe
rubber. Crepe rubbers are classified into latex crepe and field coagulum crepe, depending on the
starting material used.

Latex Crepe

Pale latex crepe (PLC) and sole crepe are the two latex grade crepe rubbers. Latex to be used for
the production of PLC and sole crepe shall be free from yellow pigments as far as possible. Also
the coagulum shall not undergo enzymic discolouration.

1. Pale Latex Crepe

Starting Material: Fresh Field Latex

It is produced from latex of which the yellow colouring pigment is removed by either fractional
coagulation or by bleaching or a combination of the two. The latex is sieved, diluted, bulked and
treated with sodium bisulphate to avoid enzymic discolouration.

Fractional coagulation is then effected by adding acetic or oxalic acid to remove the undesired
colouring matter present in latex. The coagulum containing the colouring matter in the latex due
to partial coagulation is removed by sieving. In the bleaching process, the colouring matter is
bleached using certain bleaching agents such as tolyl mercaptan or its sodium/potassium salts.

After fractional coagulation and or bleaching, the final coagulation is done using formic or oxalic
acid. The coagulum is then passed through a creping battery. The thin crepe is then dried, graded
and packed. Pale latex crepe is generally graded into four groups viz; IX, 1, 2 and 3.
Different grades of PLC are used for high quality products such as pharmaceutical articles, light
coloured and transparent goods, adhesives, tapes, tubings and derivatives such as chlorinated
rubber.

2. Sole Crepe

Starting Material: Dried PLC

The dried PLC is cut into proper sizes and lamination is done with hand. A table, which can be
heated, and machines that can press the laminated crepes are the additional requirements for the
production of sole crepe. Sole crepe is marketed in different sizes and thickness. The thickness of
the various types of sole crepes, specified by the consumers is 1.5, 3.2, 4.7, 6.3 and 9.5 mm and
the size of laminated piece is generally 90 x 30 cm. A variation of 0.4 mm in thickness is
allowed. The sole crepe after sizing is packed in bales. The maximum weight of the crepe in each
bale shall be 101.7 kg and the minimum 72.6 kg. Sole crepe is used primarily for the production
of translucent shoe soling materials.

3. Field Coagulum Crepe

The unit operations involved in crepe production from field coagula are soaking of the coagulum
in water, crepe making, drying, grading and packing. For the production of crepe rubbers from
field coagulum, the minimum set of machinery required consists of a macerator, crepe roller and
one finishing machine.

The crepe prepared from field coagulum materials fall into five types.

i. Estate Brown Crepe (EBC)

Starting material: Cup lumps and other higher grades offField coagulum

The preprocessing consists of soaking the coagulum in water for 24 h and washing the cup lumps
and scraps to remove dirt. The washed materials are passed through a creping battery. The crepe
thus obtained is air-dried, graded and packed. Three different grades of EBC are produced viz,
IX, 2X and 3X.

ii. Thin Brown Crepe (Remills)

Starting material: Wet slab coagulum, unsmoked sheets and cupLumps

The materials are washed and milled in the creping battery. The crepe obtained is air-dried,
graded and packed. three different grades are produced: 1, 2, 3 and 4.

iii. Thick Blanket Crepe

Starting material: Wet slabs, unsmoked sheets or other high grade Scraps
The processing consists of milling the material in the creping battery, air drying and packing.
Four different grades are viz, 2, 3 and 4.

iv. Flat Bark Crepe

Starting material: All types of low grades scrap including earth Scrap

The details of processing are the same as that of estate brown crepe.

v. Smoked Blanket Crepe

Starting material: Smoked rubber derived exclusively from ribbed smoked sheet or cuttings

The processing consists of milling the materials in the creping battery, air drying and packing.
The crepe from field coagulum grade is packed in bales as specified in the Green Book.

Different grades of field coagulum crepe are used in appropriate proportions in blends with other
forms of natural rubber to make products such as tyres, footwear, retreads, mechanical goods,
extruded items, etc.

Modified Forms of Natural Rubber

Physical Modification

Oil–Extended Natural Rubber (OENR)

Petroleum oils are used in rubber, either as a process aid or as an extender. When the oil added is
below 10 parts per hundred rubber it is termed as process aid and above that is termed extender,
which cheapens the product. Natural rubber, which contains oil as an extender is termed oil
extended natural rubber. In tyres OENR can impart high skid resistance on wet road, and
resistance to wear and groove cracking. Oil addition to rubber can be carried out in latex or dry
stage.

Latex Carbon Black Masterbatch

It is made by mixing carbon black in the form of dispersion in latex and the resultant rubber-
black mixture is coagulated, dried and baled. Latex stage mixing of carbon black in rubber can
save energy.

Thermoplastic Natural Rubber (TPNR)

Thermoplastic elastomers (TPE) are a new class of materials which posses the processing
characteristics of thermoplastics and properties of vulcanised rubbers at room temperature. TPEs
can soften reversibly with heat like thermoplastics, but possess considerable resilience and
flexibility, a characteristic of vulcanised rubbers. Thermoplastic natural rubber made from a
blend of NR and polypropylene (PP) with certain definite composition can function as a TPE.
The elastic properties of TPNR could be improved, with partial crosslinking of the rubber phase,
known as dynamic vulcanisation. TPNR is generally resistant towards heat and ozone. TPNR
may find application in footwear, sports goods, automobiles etc.

Superior Processing (SP)Natural Rubber

Superior processing (SP) rubber consists of an intimate mixture of vulcanised and unvulcanised
rubber. It is made by mixing vulcanised latex with preserved field latex in different proportions,
followed by coagulation and drying. Typical grades are SP 20, PA 80 and PA 57. SP 20 – A
blend that contains 20 parts vulcanised and 80 parts unvulcanised NR. It is available in sheet and
crepe forms. PA 80 – A blend of 80 parts vulcanised and 20 parts unvulcanised NR. PA-57 – An
oil extended version of PA 80. Superior processing rubbers find application in extruded products
as it can reduce die swell, especially in lightly filled components.

Deproteinized Natural Rubber (DPNR)

DPNR is a highly purified form of natural rubber with very low nitrogen and ash contents. It is
suitable for electrical and engineering applications. Removal of proteins from NR reduces its
moisture sensitivity thereby improving its engineering properties. Deproteinization is usually
effected by an enzymic means. Enzymes hydrolyse the proteinaceous non-rubber materials into
water soluble forms, which are then washed away during subsequent processing.

Chemical Modification

Chemical modification of NR depends on the chemical reactivity of the rubber molecule.

Different types of commercially relevant chemically modified forms of NR are shown below.

Chlorinated Rubber

It is one of the early forms of chemically modified NR which finds commercial application.
Chlorination of NR is carried out in solution or in latex with gaseous chlorine. The chlorine
content of the product is about 65 per cent. It is a pale cream coloured thermoplastic powder,
which is non-flammable and highly resistant to chemicals. Chlorinated rubber finds application
in paints, adhesives, printing inks, paper coatings and textile finishes.

Epoxidised Natural Rubber (ENR)

Though the mechanical properties of NR are superior to those of most synthetic rubbers, it
cannot compete with speciality synthetic elastomers with regard to properties such as gas
permeability and resistance to hydrocarbon oils. Latex stage epoxidation of NR under controlled
conditions gives a chemically-modified form of NR, called epoxidised natural rubber (ENR)
with improved resistance to hydrocarbon oils, low air permeability, increased damping and good
bonding properties while retaining the high strength properties of NR. Improvement in these
properties depends on the degree of epoxidation. Consequently two grades of ENR, ENR-25 and
ENR 50 with 25 and 50 mole per cent of epoxidation respectively, have attained commercial
importance. ENR can find application in products, which require, hydrocarbon oil resistance and
air impermeability such as in oil seals and tyre inner tubes respectively. Another distinctive
feature of ENR is the high degree of reinforcement achieved with silica fillers without the
addition of a silane coupling agent.

Silica reinforces ENR-25 and ENR 50 to an extent equivalent to that obtained with carbon black.
Another interesting feature of ENR is its high wet grip and lower rolling resistance, which makes
it a choice in tyre tread compounds. High bondability of ENR with other materials finds
application in adhesives and sealants. Other general applications envisaged for ENR are in
milking inflation, pharmaceutical and food contact applications, conveyor belting, shoe soles,
floor covering, engine mountings etc.

Constant Viscosity (CV) and Low Viscosity (LV) Rubber

Natural rubber undergoes hardening or increase in viscosity during primary processing and
subsequent storage under ambient conditions. This behaviour is termed ‘storage hardening’ and
is enhanced by low relative humidity. The hardening occurs via a crosslinking reaction between
the carbonyl groups randomly distributed on the rubber chain and the amino acids present in the
non-rubber constituents. Storage hardening causes processing problems like consumption of
higher energy. The hardening problem can be avoided by pretreating the latex with certain
chemicals viz., hydroxylamine hydrochloride, hydroxylamine neutral sulphate or semicarbazide.
Low viscosity rubber (LV) is a viscosity stabilized rubber added with a small quantity of
naphthenic oil.

Chemical Modification by Grafting

Grafted natural rubber is a chemically modified form of natural rubber prepared by polymerising
vinyl monomers onto natural rubber either in latex or in solution. Methyl methacrylate (MMA),
styrene and acrylonitrile are the important monomers used for grafting on to NR. Generally
grafting can be achieved using free radical initiation by two methods: by use of chemicals and by
irradiation with gamma rays.

Poly (Methyl-Methacrylate) Graft Natural Rubber

It is produced by reacting methyl methacrylate monomer in NR latex with suitable initiators. A

wide range of products is possible depending upon the amount of MMA monomer used for
grafting. Malaysia have commercialised this product since 1950 under the trade name
‘Heveaplus MG’. Three grades viz. MG 30, MG 40 and MG 49 are popular where the number
represent the percentage of MMA content in the grafted rubber. PMMA grafted NR has higher
modulus. It can provide self reinforced vulcanisates. It finds use in adhesive and shoe industry.
Polystyrene Graft Natural Rubber (SGNR)

Polystyrene can be grafted onto NR by polymerising styrene in NR latex. Grafting can be

initiated by chemical means or by gamma radiation. The SGNR could be used as a modifier in
microcellular products.

NR Modification by Intramolecular Changes

Liquid natural rubber and cyclised natural rubber are the two commercially important
modifications under this group.

Liquid Natural Rubber (LNR)

Extensive size reduction of the molecular chains of NR by depolymerisation leads to the

formation of liquid NR. LNR can be produced by thermal or chemical depolymerisation of NR.
Thermal depolymerisation involves heating of the masticated NR at 220 to 240°C for a
predetermined time under stirring, while chemical depolymerisation involves an oxidation –
reduction reaction using phenylhydrazine and air.

LNR may find application in making flexible mould and printing industry and as binder for
grinding wheels, reactive plasticizer in polymers etc.

Cyclized Natural Rubber

Cyclized rubber is a hard brittle thermoplastic derivative of NR obtained by treating NR with

acidic catalysts such as sulphuric acid, aromatic sulphonic acids and lewis acids such as stannic
chloride, titanium tetrachloride and boron trifluoride. A simple method of preparation is by
mixing 100 parts of NR with 8 parts of para toluene sulphonic acid and heating the resulting
mixture at 140°C. Cyclized rubber may find applications in adhesives, bonding agents, paints,
shoe soles, hard mouldings, industrial rollers etc. and as a reinforcing resin.

Vulcanization

Vulcanization is a chemical process for converting natural rubber or related polymers into more
durable materials via the addition of sulphur or other equivalent curatives or accelerators.

Radiation Vulcanisation

Radiation vulcanisation is a new method for vulcanisation of rubber, especially latex with
gamma rays, in the presence of a sensitizer namely normal butyl acrylate. The sensitizer is used
to reduce the radiation dose. The advantage of radiation vulcanisation over sulphur vulvanization
are the absence of n-nitrosamines, very low cytotoxicity and protein allergy. Radiation
vulcanised latex can be used for the commercial production of gloves, condoms, catheters etc. In
India, radiation vulcanisation plant with a capacity of 3 tonnes/day installed in Rubber Board is
the only facility available for the production of vulcanised latex.
Until recently the most important product from the rubber tree was its latex and efforts to
improve the tree concentrated upon increasing the latex yield. Typically following an
exploitation period of about thirty years the trees are felled for replanting with higher yielding
clones. Until recently, most of the timber was used as fuel. With the depletion of tropical forests,
leading to a shortage of timber for many industrial and engineering uses, attention has turned
towards rubber wood as an alternative source of timber.

Conclusion

The plantation crop sector is a major determinant of growth of the agricultural sector in the
country. While the challenges faced by this sector are numerous, these are, however, not
insurmountable. A well reasoned and cohesive application of cutting edge research, institutional
support for development and creative policy initiatives can ensure a vibrant plantation crop
sector in the country.
Online Training for Master Trainers on Spices and Plantation
Crops Processing

Plant Layout and Maintenance for Spices and Plantation

Crops Processing

Dr. R. Pandiselvam,
Scientist (Agricultural Structure & Process Engineering),
ICAR –Central Plantation Crops Research Institute, Kasaragod
Email: anbupandi006@gmail.com
1
Trimmed Tender Nut
 Trimmed Tender Nut

• The average weight of the tender coconut is 1.2 kg of which the

husk constitutes around 65% of the total weight.
• Trimming and shaping the tender coconut facilitate ease of
packaging and reduce transportation cost. 4
Traditional Method
Performance

TM
Collection of tender coconuts Trimming

Chemical dipping Blanching

Wrapping

Refrigerated storage
 Selection of plant location
1. Nature of the product and industry-Turmeric, Sugar/Chemical
2. Nearness to raw materials- Neera/milk – Primary –Near –S-
F/GM-Pune; Hangyo Pvt. Ltd.

3. Proximity to market – High volume compared to raw

materials/Perishable/Confectionaries

4. Workforce requirement –Skilled/Unskilled –Software -

Bengalore
5. Transportation facility-Dehydration plant/Vacuum plant
6. Land- Easy assessment/cheap and availability of water

7. Availability of power and fuel

8. Climatic Conditions-Coastal area (Kasaragod)/Drying; Textile-
weaving of threads –High Humidity
 Selection of plant location
9. Total cost (TC)-Location- TC minimum

10. Government Policy- Free Trade Agreement (India-Thailand-

Zero-Custom duty), loan, investment subsidy (DIC, CDB, SFAC,
MOFPI)

11. Environmental regulations

12. Historical Place/Religious place-Nanu farm (Eco tourism,

Goa)

13. Personal factors

14. Other factors-Import-Fish Processing

 Plant layout

Plant layout embraces the physical arrangement of

industrial facilities. This arrangement, either installed
or in plan, includes the space needed for material
movement, storage, indirect labour and all other
supporting activities or services, as well as for office
equipment and personnel.
Richard Muther

Plant layout is the arrangement of machines, work areas

and service areas within a factory.
George R. Terry
 Objectives

The primary objective of plant layout is to maximize

production capacity at minimum cost
1. Minimizing handling of materials
2. Ensuring optimum utilization of men, materials,
equipment and available space.
3. Achieving good work flow and avoiding accumulation of
work.
4. Minimizing delays and bottlenecks in the production
system.
5. Ensuring safety of workmen by minimizing and
eliminating the chances of accidents.
6. Providing for effective supervision and production
control.
7. Flexibility in design to adapt to the changing future
requirements
 Steps involved in designing a plant layout

1. Collection of required data-size of the plant, type of

products, method of production, extent of space available,
extent of mechanization etc., are to be collected.
2. Preparation of blueprint for the floor plan- The layout
provides for unhindered movement of men and materials
with minimum possible effort and time.
3. Preparation of process chart and flow diagram-The process
chart and flow diagram depicting the various activities to be
performed and the linkages between them has to be
prepared.
4. Preparation of draft layout-A draft layout needs to be
prepared clearly depicting the positioning of men and
materials and the process flow.
5. Test run-A test run is important to understand the efficiency
of the layout in a real time work environment.
 Types of layout

Selection depends upon the machines and techniques used in

the production
Wanniarachchi et al., 2016
According to the principle of flow, the layout plan arranges the work area for each
operation or process so as to have an overall smooth flow through the production
/ service facility. The basic types of flow patterns that are employed in designing
the layout are I-flow, L-flow, U- flow, S-flow and O – flow.

(a) I-Flow: separate receiving and

shipping area.
(b) L-Flow: when straight line flow chart
is to be accommodated.
(c) U-Flow: very popular as a
combination of receiving and dispatch
(d) S-Flow: when the production line is
long and zigzagging on the production
floor is required.
(e) O-Flow when it is desired to
terminate the flow near where it is
originated
 Process Flow Diagram (PFD)

• A PFD is a simplified flow diagram of a single process unit, a

utility unit, a complete process module.
• The purpose of a PFD is to provide a preliminary
understanding of the process system indicating only the
main items of equipment, the main pipelines and the
essential instruments, switches and control valves.
• A PFD also indicates operating variables, such as mass flow,
temperatures and pressures, which are tabulated at
various points in the system. The PFD is a document
containing information on: 1. Process conditions and
physical data of the main process streams. 2. Main process
equipment with design data. 3. Main Process lines. 4. Mass
(material) balance. 5. Heat balance (if applicable).
Total investment on machines for processing 500 nuts /day
Rs.15 Lakhs (Hot process)
Rs.12 Lakhs (Fermentation process)

Unit Production Cost – Rs.420 per litre

Breakeven Period – 103 days
Net profit percentage – 47.17

Production Details per year

VCO – 7500 litres (5 l per 100 nuts) (20% of kernel weight)
Milk residue – 7500 kg
VCO Cake – 1500 kg
Testa – 1000 kg
Husk – 60000 kg
Shell – 20000 kg
Water – 15000 litres
Quantitative Process Flow Diagram (PFD)
Combined Process Flow Diagram (PFD)

https://slideplayer.com/slide/13435925/
Most industrial building
Single Storey Building
 High bay and Monitor Type Buildings

These types of single storey buildings are designed to give maximum overhead
space for a given floor space if properly designed and constructed almost all the
vertical walls can have windows for natural illumination.
The monitor type building is usually found in companies requiring good natural
ventilation and considerable overhead room for operating cranes and other
overheads facilities. Buildings for foundries and steel mills are often of the
monitor or highway type enabling the firms to take advantage of the natural
ventilation resulting from the high roof.
 References

1. http://www.simplinotes.com/plant-location-facility-
location/2/
2. https://www.yourarticlelibrary.com/industries/plant-
layout/top-10-factors-affecting-plant-location-
explained/34618
3. http://ecoursesonline.iasri.res.in/mod/page/view.php?
id=124501
4. http://ecoursesonline.iasri.res.in/mod/page/view.php?
id=1136
5. https://www.kau.edu.sa/Files/0060757/Subjects/Plant
%20design%20CHEN%20451.pdf
6. https://www.conceptdraw.com/examples/equipments-
and-their-symbols-in-chemical-industry
 Dr. R. Pandiselvam,
Scientist,
ICAR –Central Plantation Crops Research
Institute, Kasaragod, Kerala
Email: anbupandi006@gmail.com

30
PMFME – ToMT on Spices and Plantation Crops Processing – 20.01.2021

Value Addition of Plantation

Crops

Dr.M.R.Manikantan
Principal Scientist
ICAR-Central Plantation Crops Research Institute
Kasaragod
Introduction about Plantation Crops

y They are an integral segment and driving force for

growth and development of our agricultural economy
y Major Crops - Coconut, arecanut, oil palm, cashew, tea,
coffee and rubber
y Contributes a significant amount to the foreign
exchange
y Provides direct and indirect employment
Solutions to increase the income from plantation
sector:
y Increase production & productivity
y Product diversification, Byproduct utilization &
Value addition
Some facts about coconut
Coconut (Cocos nucifera)

Tree of heaven or kalpavriksha

93 countries – 12.2 million ha – 59.98 million tonnes

Indonesia (3.61 million ha), Philippines (3.5 million ha), India (2.09
million ha)

India (22.2 billion nuts, 10614 nuts/ha), Indonesia (16.4 billion nuts,
4530 nuts/ha), Philippines (14.7 billion nuts, 4196 nuts/ha)

0.6 million farmers, 12 million depend on coconut, processing

generates employment opportunities for 2 million people

Processing share (6% in India, 40% in Sri Lanka, 50% in Malaysia

and 60% in Indonesia and Philippines)
 Economic Importance:
• Coconut is a unique Crop, providing food, livelihood security and has
immense socio religious importance in the country.
• Provides employment opportunities to 10 million people which include
a significant percentage of women workers under coir and coir based
industries.
• Contribution to GDP Rupees 10000 crores
• Export Earnings Rupees 2000 crores
• Contribution of coconut oil to total
vegetable oil pool 6-8 %

5
Some facts
Tender Coconut – 6- 7 months matured (17%)

Matured coconut – 11 – 12 months matured (83%)

Whole coconut – Husk (50%), Shell (15%), Kernel (25%), Water (10%)

Consumption Pattern
40% - Culinary and Religious Purpose
35% - Copra
6% - Value addition (1% VCO, 1% Coconut milk, 4% DC Powder)
17% - Tender coconut
2% - Seed
COCONUT INDUSTRY: SUPPLY – VALUE CHAIN
 Coconut Based Farming Systems
Production of quality raw material
Missing links
• Efforts on scaling up of technology
Inflorescence sap MARKETING adoption for higher productivity
• Efficient devices for harvesting
Unfermented sap • Inadequate market analysis

Tender coconut

Minimally Packaged tender Marmalade • Process optimisation, field trials;

processed tender coconut water + type jam marketing
coconut kernel
• Scaling up and commercial production;
Husk-briquettes marketing
• Value addition as ayurvedic formulation
Coconut chips and clinical trials
• VCO byproduct utilization
VCO Herbal VCO
Endosperm
• Process standardization of flavoured
Dietary fibre
Copra / oil drinks
Coconut water
Coconut
Flavoured drinks Vinegar • Process standardization and production
at community level and marketing
Shell
Activated charcoal Handicrafts
• Establishing a plant for community level
Husk processing of activated carbon
Coir, fuel, coir pith etc.

Coconut stem wood • Coconut timber plants with advanced

technology
Treated wood Wood waste–fuel briquettes
 Coconut Industry in
India
Copra Processing units 12000
Oil Mills 3000
Virgin coconut oil manufacturing units 25
Coconut cream & Spray dried milk powder one each
Packaging tender nuts 7
Coconut Water based Vinegar units 30
Desiccated coconut powder manufacturing units 66
Activated carbon 7
Shell Charcoal Many
Shell powder unit 7
Coir fiber industries 15000
Coconut shell based Handicraft units Many
 MATURE COCONUT
YOUNG COCONUT

• DESICCCATED COCONUT
COCONUT JAM • COCONUT MILK POWDER
• ROASTED COCO PASTE
• COCONUT CHIPS
COCO PUDDINGS
• BALL & CUP COPRA
• COCONUT YOGHURT
COCO ICE CREAM • FRESH COCO GRATING
• DEHYDRATED EDIBLE
YOUNG COCONUT IN
SYRUP
COCONUT MEAT
• COCO OIL/ VIRGIN CNO
• COCONUT FLOUR
 Coconut Oil

Coconut→Dehusking→
Splitting→Drying→
Disintegration→Expelling
Copra – Dried kernel of coconut (Ball and Cup) (23%
Direct Edible + 77% Cooking, Hair, Toiletry, Industrial)

Harvesting, Seasoning, Dehusking, Splitting, Drying,

Deshelling, Drying, Storage

Harvesting – Selecting 12 to 13 months matured

coconut
Seasoning – Storage under shade place
Dehusking – Removal of husk – Manual and
Mechanical
Splitting – Split into two cups – Manual and
Mechanical
Drying – Sun, Conventional Kiln, Indirect Hot Air,
Mechanical and Solar drying (50-55% to 5-6%)
Deshelling – Removal of shell – Manual and
Mechanical
Ball Copra
Ball copra is made from fully matured unsplit nuts,
stored for 9-12 months on a raised platform. During this
period, the coconut water is absorbed slowly and
kernel dries out and loosens from shell producing a
rattling sound when shaken. Nut is de-husked and
shelled to obtain whole dry kernel knows as ball
copra

Lakshadeep Micro – best for ball copra

(Kurian et al., 2007)
Partially dehusked nuts can be used for copra production (Nair
and Joseph, 1987)

Partial dehusked coconut Heating at 55-60C for 8h daily for

3 days and stored in gunny bags for 10 days Repeat till
become ball copra (This will take about 6 months)
 Coconut dehusking equipment

Traditional para

Hand operated tool

( Commercial)

Pedal operated model

( CPCRI model)
120 nuts/h
14
1/18/2021 14
 Coconut Splitting Device Coconut De-shelling Machine
(CPCRI model)
(CPCRI model)

Capacity – 200 nuts/batch

Capacity:500 nuts/hr.
Time taken for 1 batch : 4 min.
Can be operated by unskilled person.
Speed : 10 rpm;
1/18/2021 15
 Copra Driers(CPCRI)

Capacity:3500 nuts/batch

Capacity:400 nuts/batch

Capacity:1000 nuts/batch
Dr SJK Annamali, PS & Head, CIAE
1/18/2021 16
IEP Coimbatore
 Capacity:2000 nuts/batch
Capacity:2000 nuts/batch

1/18/2021 17
Capacity : 1500 nuts.
Solar cum electrical dryer with waste as fuel

Capacity – 2000 nuts Continuous monitoring of temperature with alarm

facility at set value
 Solar tunnel drier (TNAU)

1/18/2021 19
Low cost solar drier_Farmer Model

1/18/2021 20
Commercial Dryers
 Production of coconut oil
Copra cleaning using magnetic separator
↓
Copra crushing/cutting
↓
Cooking/Steaming (70C – 88C for 30 min)
↓
I or pre-pressing (50% extraction)
↓
II pressing (10% oil in cake)
↓ Utilization
Filtration 39.4% Edible oil
↓ 46.5% Toiletry
Storage 14.1% Industrial
(HDPE and Nylon)
↓
Packing
Methods of oil extraction
‘Chekku’/’’Ghani’/Rotary mill – Manual/Cattle, – 100 kg/8h,
Power driven – 200 to 300 kg/ day shift with 1 kg gum
acacia
Expellers – Small (2-3 Ton per 8 h shift) and Big (20-40
Ton for pre pressing and
& 7-20 Ton for pressing per shift of 8h )
Hydraulic Press
Solvent extraction

Oil Yield
Chekku – 58-60%, Rotary – 62-63%, Expeller – 63-65%

Residual oil in the cake

Chekku – 12-17%, Rotary – 10-12%, Expeller – 8-10%,
Solvent – 0.5-1%
1/18/2021 24
Capacity:30 kg copra/hr.
Cost: Copra cutter
Copra cutter:Rs.12000
Oil Expeller:Rs.50000
Filter press:Rs.40000
Tota cost:Rs.1,10,000 (Machinery only)
Storage tank and other fittings:Rs.8000
Cost of oil extraction per Kg. of copra: 90 Paise

Coconut oil
expeller

Filter Press
DIETARY OIL

BODY OIL BIO-FUEL

BABY OIL
OLEOCHEMICAL

MASSAGE OIL
NUTRICEUTICAL
PRODUCTS

BODY CREAM
PHARMACEUTICAL
PRODUCTS

LOTION SHAMPOO
 Coconut Oil
List of Machinery: Copra cutter, bucket elevator,
Steam jacketed kettle, oil expeller, screw
conveyor, Crude coconut oil storage tanks, filter
press, micro filter, Filtered oil storage tank, Baby
boiler, Packaging unit.
Yield: 3 ton oil from 5 ton copra
Total project cost: Rs.72 lakhs for 3 ton/d capacity
Plant & Machinery cost: Rs.25 lakhs
Annual sales turnover – Rs. 315 lakhs
Net profit – Rs. 12 lakhs
Return on investment – 28%
Income Generation from Dry Processing

¾Cost of coconut: Rs.10.00.

¾Cost of 1000 nuts: Rs. 10000.00.

¾Production of copra: 150 kg

¾Average Cost of drying / Kg. of copra using

any type of dryer : Rs.2.00.

¾Cost of oil extraction: Rs.1.00.

¾Cost of drying & oil extraction for 1000nuts:

150x3.00= Rs.450.00.
 ¾ Total cost : 10450.00.
¾ Yield from 1000 nuts: 97.5 Kg. of oil.
¾ Cost of oil : Rs. 120/Kg.
¾ Cost of oil for 1000 nuts: 11700.00
( Recovery assumed as 65%).

Profit : Rs. 1250.00 (21.88%).

Virgin coconut oil (VCO)

™Extracted from fresh and mature coconut by mechanical or

natural means, with or without use of heat

™Purest and healthiest form of coconut oil

™Contains natural vitamin E, antioxidants, polyphenols and

lauric acid.

™Used as functional, cosmetic and pharmaceutical oil

™ICAR-CPCRI has standardized the process technology and

developed the machineries for the production of both hot and
fermentation process VCO.

™About 29 entrepreneurs have adopted our technology.

 VIRGIN COCONUT OIL

DIETARY OIL
NUTRICEUTICAL
BODY OIL PRODUCTS

BABY OIL PHARMACEUTICAL

PRODUCTS

MASSAGE OIL SHAMPOO

LOTION

BODY CREAM
Machineries developed for production of VCO

Coconut
harvesting
Coconut dehusker

Coconut desheller
Testa Remover

VCO

Cake Flour VCO Cooker

Coconut Milk Extractor

Milk Residue Flour Coconut Pulverizer

Extrudates
VCO by fermentation technique

1000 gm
coconut
oil
oil gratings,
750ml
water, 30cc
starter
Comparative Quality Characteristics of VCO by hot and
fermentation processes with commercial coconut oil

Chemical parameters Hot process Fermented Commercial

VCO VCO Coconut Oil

Tocopherol (µg/g) 15-20 20-30 2-6

(Vitamin E)
Polyphenols (µg/g) 500-700 350-500 150-250

Antioxidant activity (%) 80-90 65-75 35-45

Total investment on machines for processing 500 nuts /day
Rs.15 Lakhs (Hot process)
Rs.12 Lakhs (Fermentation process)

Unit Production Cost – Rs.420 per litre

Breakeven Period – 103 days
Net profit percentage – 47.17

Production Details per year

VCO – 7500 litres (5 l per 100 nuts) (20% of kernel weight)
Milk residue – 7500 kg
VCO Cake – 1500 kg
Testa – 1000 kg
Husk – 60000 kg
Shell – 20000 kg
Water – 15000 litres
 Byproducts
Coconut kalkam - a
byproduct from oil
prepared by hot
processing, rich in protein
(18%) and fibre (2%).
Kalkam as such can be
eaten. Many food
preparations such as
laddu, can be prepared
from this. Kalkam is
added to make fortified
ata ,rice flour etc.
Cocodates
Ingrdnts:Kalkam,Dates,Wheat rava,jaggery and VCO
 Value added products using coconut meal

Fortified Atta
Atta incorporated with defatted coconut meal
Defatted coconut meal at the rate of 25 %
mixed with atta was found to be acceptable on
sensory evaluation in terms of colour, flavour,
texture and overall acceptability
Fortified maida
Defatted coconut meal incorporated maida
used for bread
 VCO meal based porridge

VCO meal :25%

Sugar powder :25%
Skimmed milk powder :20%
Pineapple powder :10%
Green gram powder :8%
Sweet potato powder :5%
Carrot powder :5%
Gooseberry powder :2%
VCO Capsules
Coconut chips
™Crispy, Crunchy, Sweet/Salty, delicious nutritionally
rich chips

™prepared out of 8-9 months matured coconut kernels.

™Beneficial alternative food to present-day junk snack

foods.

™Rich in dietary fibre and antioxidant.

™They do not require continuous deep oil frying as other

chips.

™ICAR-CPCRI has standardized the process technology

for the production of different varieties of coconut chips.
 Process protocol developed for production of coconut chips

Coconut
harvesting
Coconut dehusker
Coconut desheller
Testa Remover
Medicated Chips

Osmotic dehydration Blancher Coconut Slicer

of slices
Chips
Total investment on machines for processing 250
nuts per day – Rs.6 Lakhs

Unit Production Cost – Rs.8.45 / packet of 25 g

Breakeven Period – 56 days
Net profit percentage – 57.71

Production Details per year

Chips – 11250 kg (150g per nut) (50% of kernel weight)
Husk – 30000 kg
Shell – 10000 kg
Water – 7500 litres
Testa – 500 kg
Desiccated Coconut

shell Dried coconut

powder is DC
kernel

Coconut powder
 Desiccated Coconut

Cutting Disinte
Shelling Paring &washing
Sterilizing
grating

Drying Drying

Paring oil Grading

packing
Composition of Desiccated Coconut
Moisture – 1.3 – 2.5%, Protein – 6.0‐6.6%,
Oil – 68 – 72%, Carbohydrate – 18 – 20%,
Crude Fibre – 4 – 6%
Yield – 1 tonne from 10,000 nuts
List of Machineries: Dehusker, Desheller, Testa
remover, Washing unit, inspection conveyor,
Blanching unit, Pulverizer, DC Powder cooler,
Lump breaker, Vibro siever, Packaging unit
Capital Investment: Rs.130 lakhs for processing
15,000 nuts per day
 Optimized condition
Raw material composition
9 15% CMR, 25% corn flour
and 60% rice flour
Extrusion process
parameters
¾ 220 rpm screw speed
¾ 140oC extrusion
temperature
Cost analysis

Particulars Cost ( Rs.)

Cost of Machinery 4400000
Working capital 4780000
Selling cost 5 / packet
Unit cost of production 3.164356
Breakeven period 131.8564
Net profit % 21
 Extrusion Process

Raw materials Mixing

Extrusion

Storage
Coating

Packaging
Extrusion Unit @ ICAR-CPCRI
• COCONUT CHEESE
• MILK POWDER (DEHYDRATED
MILK)
ƒ COCONUT HONEY
ƒ COCONUT CANDY
ƒ COCONUT SKIM MILK BEVERAGE
ƒ COCONUT PROTEIN
ƒ Virgin Coconut Oil
 Coconut milk extractor-Manual
Purpose
z To extract coconut
milk manually from
fresh grated coconut
Specification
z Capacity-05 Lit.

z No hydraulic press

z Operation-Manual

z Cost: Rs.15,000/-
 Coconut milk extractor-Manual
Purpose
z To extract coconut
milk manually from
fresh grated coconut
Specification
z Capacity-15 Lit.
z Hydraulic press-8
tons
z Operation-Manual
z Cost: Rs.35,000/-
Coconut milk expellers

Capacity of Single screw – 250 nuts/h

Capacity of double screw – 1000 nuts/h
Coconut milk based frozen dessert
y Non-dairy probiotic vegan product
y Ingredients: coconut milk/cream, coconut sugar,
tender coconut water, stabilizers with
incorporation of air during freezing process.
y Specification for standard ice cream/ frozen
dessert
Characteristics Requirement
Total solids (%) 36
Fat (%) 10
Acidity ( %lactic acid) 0.25
Sucrose (%) 15
Stabilizer & emulsifier (%) 0.5
Coconut frozen dessert -100L mix/ hr or 200L mix
/day ( 400 L frozen dessert / day)
Particulars Economic analysis of Frozen
dessert made of Coconut milk+
coc. Sugar+ tender coconut
(Rs.)
Cost of Machinery 1860000
Working capital 7636000
Selling cost 150/ L
Unit cost of production 81.02258
Breakeven period 58.0683
Net profit % 46
Process flow Pasteurizer Homogenizer Ageing vat

Mixing vat

Freezer Hardening unit

Coconut milk related products
•Bottled milk
•Coconut cream
•Coconut skim milk
•Sweetened condensed milk
•Coconut milk powder
•Coconut yoghurt
•Coconut cheese
•Coconut syrup
•Coconut jam
•Coconut honey
Coconut Cream (23% fat and 4% protein)
Process: Dehusking, deshelling, testa removing,
blanching, pulverizing, milk expelling, filtration,
emulsification, stabilization, homogenization,
pasteurizing (95C for 10 min), hot filling in can,
seaming, sterilizing in rotary vat (15 psi for 20 min),
cooling
Yield from 10,000 ripe green coconuts
2500 kg coconut cream and 500 kg residue
Plant and machinery cost: Rs.75 lakhs
Total project cost: Rs.2.15 crores
 Flavored Coconut Milk
Process: Dehusking, deshelling, testa removing,
blanching, pulverizing, milk expelling, filtration,
mixing with water and additives (10‐12% sugar, 2%
stabilizer, emulsifier and flavors) , Agitation,
Homogenization, UHT sterilization (140C for 15 sec),
filling in the sterilized PP bottle and sealing.
Yield of 4000 lit flavored milk from 5,000 coconuts
Plant and machinery cost: Rs.132 lakhs
Total project cost: Rs.2.23 crores
Pay back period – 4.5 years, IRR – 19%
Break even point – 49%
Tender Coconut Water and
Value Added Products From
Coconut Water
 COCONUT WATER
TENDER NUT MATURED NUT

• Tender Nut Water • Coconut Water Concentrate

• Tender Nut Water & (Syrup) – Beverage on dilution
Meat Shake – coconut lemonade/
• Pouched / Tinned
tender Nut Water pineapple/ mango
• Tender coconut • Carbonated/ non carbonated
wine coconut water
• Snow ball • Vinegar
Tendernut punch & cutter
for
Tendernut parlour
 Minimal Processing of Tender coconut water

• Natural freshness lost in 24 to 36 hours

• Minimal processing technology
– Partial dehusking
– Dip in a solution of 0.50% citric acid and 0.50%
potassium metabisulphate for three minutes
• Product can be stored up to 24 days in
refrigerated condition at 5-7 0C
Minimally Processed Tender Coconut
Minimally Processed Tender Coconut
 Snowball tendernut
Prepared from 7-8 months old nut.

Removal of husk - making groove on the

shell - scooping out the shell.

For making groove a machine has been

developed.
 Production of SBTN

Harvesting
husk
Tender Nut

Making groove

Scooping of snow ball Tender shell

Snowball Tender Nut

Snow Ball Tender Nut Machine
 Packaging of SBTN

LDPE film of 200 G ‐ 15 days at 15 C (in fridge)

‐ 8 hr in ambient

For transporting the SBTN ‐ a plastic crate of 500 (L) x 325 (B)
x 150 (H) mm size with lid capacity of each tray is 15.
Preservation and Packing Tender coconut water

Technology
Packing tender coconut water in pouches/
aluminium cans with shelf life of more than six
months under normal ambience condition and
12 months under refrigerated condition
Technology available with Coconut
Development Board
Developed by DFRL, Mysore
Packed tender coconut water:
Developed by DFRL
In flexible pouches and aluminium beverage containers
Optimum age of the tender coconuts - six months
Storage - 3 month under ambient
- 6 month under refrigerated

Process
Boil tendernut water at mild
heat, filter, seal it with or
without carbonation add a
little sodium citrate and citric
acid
 Packing TCW in pouches / Al cans
Capacity of plant: 5000 nuts / day
List of machines: Mechanical washing system with
conveyor, Automatic boring and sucking system, SS
filter / clarifier, collection tank, treatment tank,
pasteurization unit, boiler, filling and sealing
machine, shrink wrapping machine, air compressor,
coding machine
Total project cost: Rs.131.4 lakhs
Plant & Machinery cost: Rs.65 lakhs
Internal rate of return – 18%
Break even point (sales) – 51%
 Coconut Water Beverages

Processed and packed for marketing as a

soft drink
Processing technologies
z RRL Technology
Lemon juice blended mature coconut water beverage

Total soluble solids and

acidity of lemon juice
are brought to
13.5˚Brix and 2%
respectively
Beverage packed in
laminated standby
pouches followed by
in-pack pasteurization
for 15 minutes
 Coconut vinegar
Made by fermenting coconut water

Preservative and flavouring agent in

z Pickles

z Salads

z Sauces etc.
 Coconut vinegar

Ingredients
Coconut water - 1 litre
Sugar - 12 %
Ammonium sulphate - 0.1 %
Citric acid - 0.2 %
Yeast -1g
 Coconut Vinegar
Coconut
Filtering Boiling with sugar Cooling
Water

adding
Store for 10 days brewers yeast

Siphon clear Add mother vinegar

solution into wide
Store for 3 weeks Raw vinegar
Mouth jars
(acetic fermentation)

Pasteurize at
Coconut Cool 60-70 deg.C
Vinegar For 20 mts
Product Specification
Acidity – 5.26 – 5.76, Total solids – 1.83‐1.92%,
Total ash – 0.38 – 0.42%, Alcohol ‐ Nil
Specific gravity – 1.008 – 1.012
Yield – 100 litre vinegar from 100 litre coconut water
Land required for 100 lit/day capacity – 25 cents
Plant & Machinery Cost – Rs.2.5 lakhs
Total Project Cost – Rs. 6 lakhs
Annual sales turnover – Rs. 4 lakhs
Net profit – Rs. 0.8 lakhs
Return on investment – 20%
 Coconut water squash

Ingredients
Coconut water - 1L
Sugar - 1 kg
Ginger - 50 g
Citric acid - 5g
Lemon juice - 13-15 lemons
Sodium benzoate - 0.05 %
 Method of preparation

Filtered coconut water

Add sugar

Heat in medium flame

When sugar melts add citric acid, lemon & ginger juice

Continue heating up to 80º C

Cooling & filtering

Add sodium benzoate

Packing in sterilized bottles

Coconut water squash

 Coconut water based jelly preparation
Filtered coconut water (1 lit)

Add sugar (150 g)

Heat in medium flame

When sugar melts add China agar 10 g

Continue heating up to 85º C for 10 min

Cooling

Add flavor (optional)

Packing in sterilized cups and keeping in

refrigerator

Coconut water jelly

 Nata- de- coco
Prepared from matured coconut water
Gelatinous delicacy formed by the action
of a micro-organism in a culture medium
of coconut water
Health food because of its high fibre
content
Technology available with Coconut
Development Board
Coconut
water
Nata-de-coco
Mixing with sugar Boiling
Filtering
and acetic acid

Distribution in wide Adding of Cooling

Mouthed jars Culture

Storing In Harvesting Washing

undisturbed condition the jelly

Boiling Preserving in Slicing into

Sugar solution cubes

Packing in Finished
Sterilisation product
Pouches/bottles
Commercial Brands
 Other Products
Coconut honey
Coconut sauce
Coconut lemonade
Wine
Coconut jam, etc
 What is kalparasa?
ƒ Phloem sap of coconut tree
ƒ Fresh
ƒ Hygienic
ƒ Unfermented or zero alcoholic
ƒ Collected under cold
temperature using coco‐sap
chiller
ƒ Rich in sugars, proteins, amino
acids, minerals, antioxidants,
vitamins
 Important steps in Sap Collection and
Marketing
ICAR‐CPCRI, Kasaragod, Kerala

1. Collection/extraction of sap
PB & PHT Division

2. Preservation

3. Processing-
a) Ready to serve drink
b) By-products viz. sugar, jaggery, honey,
syrup
Coco-sap Chiller
ICAR-CPCRI developed a coco-sap chiller to collect
Kalparasa
A double jacketed portable device, which maintains the
internal temperature cool with ice cubicles.
y It is a hollow PVC pipe
¾ One end is expanded to into a box
shape to house sap collection
container bound by ice cubicles.
¾ Other end is wide enough to insert
and remove a collection container.
• Side walls are covered with an
insulating jacket.
• Retains low temperature for 12 to 15
hours.
K. B. Hebbar September 2, 2015
 Cocosap chiller
ICAR‐CPCRI, Kasaragod, Kerala
PB & PHT Division

Coconut
inflorescence
Insulation 1

Neera

ICE
 Sap collected by different methods
ICAR‐CPCRI, Kasaragod, Kerala
PB & PHT Division

Traditional method CPCRI method

 Quality Aspects of sap collected by cocosap chiller

Attribute CPCRI Traditional

Technique Technique
ICAR‐CPCRI, Kasaragod, Kerala

Soluble solids (ºBrix) 15.5 to 18 13 to 14

pH 7 to 8 6 or low
PB & PHT Division

Colour Light orange & Oyster white

honey color
Defects, decay, insects, Absent Present
Pollen, dust
Flavour Sweet & Harsh odour
delicious
Chemicals & extraneous Absent Present
matter
Microbial load Low High
 Nutritional status of sap
Biochemical parameters Range Average
pH 6.8-7.5 7.18
ICAR‐CPCRI, Kasaragod, Kerala

Total sugar (g) 12-16 15.5

Reducing sugar (g) 0.400-0.800 0.600
PB & PHT Division

Amino acids (g) 0.163-0.308 0.245

Protein (g) 0.150-0.250 0.200
Phenolics (mg) 4.80-5.40 5.10
Antioxidant activity (mM TE) 0.300 -0.350 0.320
Minerals
Sodium (mg) 69.4 – 117.5 90.6
Potassium (mg) 146.1-182.4 168.4
Phosphorus (mg) 2.0-6.4 3.9
Manganese (mg) 0.009-0.014 0.012
Copper (mg) 0.028-0.035 0.031
Zinc (mg) 0.018-0.026 0.020
 PB & PHT Division
ICAR‐CPCRI, Kasaragod, Kerala
Kalparasa stored in dispenser for sale
 Returns from the sale of fresh sap

y Selling price of fresh sap or Neera - Rs. 125/l

ICAR‐CPCRI, Kasaragod, Kerala

y Farmers share - Rs. 30/l *

Tappers cost - Rs. 25/l
PB & PHT Division

y
y Rest (Marketing and other profit) - Rs. 70/l

* on an avg. a tree can yield 3 l/day – Rs.90

1 month – Rs.2700
6 month – Rs. 16,200
 Packaging of neera
Simple pasteurization of the unfermented sap in
polypropylene (PP) bottles could extend the shelf life of
ICAR‐CPCRI, Kasaragod, Kerala

sap up to 45 days at 4ᵒC to 6ᵒC, which otherwise

required to be stored at -1 to -3ᵒC.
PB & PHT Division
 Value added products from the sap

Moisture content: < 1%

ICAR‐CPCRI, Kasaragod, Kerala

Shelf life in aluminium

packs: 6 months
PB & PHT Division

Natural coconut sugar

Natural coconut Honey

¾Chemicals free
¾Healthier substitute for artificial
sweeteners
Natural coconut jaggary ¾Devoid of any anti-nutritional
factors.
¾Rich source minerals
 Process flow of production of sugar
Coconut sap
(pH >7) (15ᵒ Brix)
ICAR‐CPCRI, Kasaragod, Kerala

Boiling at 90‐100ᵒC in Double jacketed cooker

PB & PHT Division

Complete removal of water from the sap

Cooling at room temperature

Powdering of sugar clumps in to uniform size

Packaging of sugar in 100µm aluminium foil

 Process flow of honey and jaggery
Coconut sap
(pH >6.5) (15ᵒ Brix)
ICAR‐CPCRI, Kasaragod, Kerala

Boiling at 90‐100ᵒC in Double jacketed cooker

PB & PHT Division

80ᵒ Brix >85ᵒ Brix

Cooling at room Pour hot into moulds prepared out

temperature of coconut leaves/steel

Bottling in sterilized PP bottles Cooling at room temperature

Coconut Honey Coconut Jaggery

 Coconut Sugar
Nutritional Information
Total sugars (g) 92
Protein (g) 2.9
Dietary Fibre (g) 2.5
Phenolics (mg) 25
Minerals
Potassium (g) 1.0
Phosphorous (mg) 80
Magnesium (mg) 30
Sodium (mg) 50
Zinc (mg) 2.1
Manganese (mg) 0.1
Iron (mg) 2.2
Copper (mg) 0.2
Best natural sweetener
Chemical free
Rich in potassium, magnesium, zinc & iron
Low in glycemic index
Rich in vitamin B complex and essential amino acids
 KALPA SUGAR AND ITS VALUE ADDED
PRODUCTS

KALPA KALPA DARK KALPA SWEETS

DRINKING CHOCOLATE
CHOCOLATE
 Arecanut

Used in South and South‐East Asia and the

Pacific Ocean Islands
Masticator, veterinary medicine, in certain
religious and social functions
Other parts ‐ sheath, stem, leaf, etc. ‐ in farms
and households for manuring, packaging,
construction etc.
Harvesting
Harvesting ‐ 50 ‐100 palms
Mechanical arecanut palm climbing device
Stage of harvesting depends on type of product

kalipak/Red boiled supari

Prepared out of immature green nuts
Harvesting (6‐7 months), Peeling, Whole / split ,
Boiling, Drying
Kottapak/white supari
from ripe nuts, called chali
Harvesting (9‐10 months), Drying, Dehusking
Preservation of arecanut with husk:

Several age‐old and crude methods

1. Fresh ripe fruits ‐ in water ‐ neettadaka

2. In Assam fresh ripe arecanut is stored in pits.
Drying of ripe nuts:
35‐40 days
A. Peeled off partially
B. Fruits are cut longitudinally

In mechanical through‐flow drier

Drying ‐ 60‐70 hr spread over 7‐8 days at
progressively increasing temp. 45‐700 C
8 hr. drying period followed by 16 hr. equilibration
outside the drier
Arecanut dehusking
* Generally done manually
CPCRI arecanut dehusker
Kalipak:
6‐7 months ‐ Karnataka and Kerala
Dehusking, cutting the soft nut into pieces, boiling
the cut pieces with water or a thin extract from a
previous boiling, ‘Kali’ coating and drying
Both sun drying and oven drying
Chogaru – tannin ‐ leather
Scented Supari:
Breaking ‐ blending with flavour mixture –
packaging
Roasting of bits in oil or ghee
Taste characteristics of nut:

Astringency is the characteristic taste of arecanuts

Polyphenols responsible for this
Astringent characteristics in arecanut decreases with maturity.

storage of nut:
In stored nuts, ‐ significant decrease in all the constituents
Colour development on chewing:
Chewing of arecanut with betel leaf and slaked
lime
In addition to the stimulation and pleasant
taste, chewing results in bright red colour of the
mouth.
Catechin turns brilliant red immediately after
addition of alkali (pH 10) which gradually turns
reddish brown on standing for more than 2 hours
 Alternative uses of arecanut
Tannins:
Tannins are obtained as a by‐product from the
process of preparing immature betel nuts for
masticatory purposes.
It was found that tannic acid from the nut, when
mixed with ferrous sulphate in warm distilled water
gave black writing ink of acceptable quality.
Other uses of tannin are as adhesive in plywood
industries and as a textile dye.
Fats:
The nuts contain 8‐12 % fat.
Extracted by solvent extraction
Characteristics ‐ coconut oil.

Blending of areca fat with butter fat and cocoa fat ‐

gave good products acceptable in confectioneries.
 Arecanut husk:
Constitutes 60‐80 %
Inferior fuel and mulch

Several processes ‐making hard boards, plastic and

brown wrapping paper.

Areca husk is used as a substrate for mushroom

cultivation.
Plyboards ‐ suitcases, fileboards, and tea chests
Plyboards ‐ Two plies ‐ urea formaldehyde resin
Leaf sheath cup making machine
For this ‐ soaked in water (75%) ‐pressed for 30 min
in a hot Plate press at 4 kg/cm2 pressure and 110ºC
temperature. This process gives flat sheaths of 1.0‐
1.5 mm thickness with about 12 % moisture.

To prevent fungal growth ‐ soaked in 1 %

copper sulphate solution for 24 hr before pressing
Pressed sheaths are then air dried for one hour
or longer.
 Medicinal Use of Arecanut

•Use of arecanut in the treatment of

leucoderma, leprosy, cough, fits, worms,
anemia and obesity.

•It was also used as purgative, appetizer,

stimulant and as an anthelmintic.
 Low cost arecanut harvester

1/18/2021 119
 Arecanut stripper (TNAU)

Capacity – 650-950 kg/hr

1/18/2021
Stripping efficiency – 99.8 % 120
 Solar drier for Arecanut

1/18/2021 121
 UAS Model Manual CPCRI, Kasargoad
Arecanut Dehusker Pedal Operated
80 kg raw nuts / h (4 persons)
1/18/2021
Arecanut Dehusker:
122
 Chali Dry Arecanut Dehusker
(M/s Mathana Home Industries, Sagar)

Test Parameter Performance

Throughput dehusking capacity, kg/h 200
Dehusking efficiency, % 96.5
Dehusked, powdered nut loss, % 8.2
Dehusked nut damage, % 10.6

1/18/2021 123
Sl. Parameters value
No
1. Moisture content of husk, % (wb) 58
3. Optimum speed of drum, rpm 260

4. Dehusking efficiency % 82
6. Capacity, Kg / h 48

1/18/2021
Dehusker for tender arecanut (TNAU) 124
 Present use for areca nut leaf sheath

™ Degradable natural disposable plates

™ Highly commercialized
™ Sophisticated equipment –hydraulically operated
available

2-3 plates per sheath

1/18/2021 125
 Areca leaf sheath shredder – size reduction for
dry fodder ( CIAE)

1/18/2021 126
1/18/2021
Milk Federation Society , Village Panaje, Puttur 129
 Ponmani shredder for areca garden wastes for
mulching

1/18/2021 130
 Infield transport

1/18/2021 131
 Innovative enterprise by
Areca farmer
model

1/18/2021 132
 Areca harvester

1/18/2021 133
 Arecanut grader cum destoner

1/18/2021 134
 Arecanut dehusker

1/18/2021 135
 Vermi compost from areca husk

1/18/2021 136
 Arecanut leaf sheath plate making
machine- Solar powered battery
operated

1/18/2021 137
 Areca plantation waste shredder for insitu
application

1/18/2021 138
 Tipping type wheel barrow for transport of
harvested arecanuts , manure etc.,

1/18/2021 139
 Oil palm processing
Potential crop yields 4-5 tonnes of
edible oil /ha
Technology package has been
designed and developed by
NIIST(RRL), Trivandrum
 Harvesting and Handling
Oil formation in the fruit takes place during the
last 2-3 weeks of fruit ripening
It is important not to harvest under ripe fruits to
obtain maximum yield
Harvesting of over ripened fruits results in poor
quality of oil with high FFA content and
impaired bleachability
Fruit contains an active enzyme, lipase which
splits the oil in to an undesirable FFA leading to
quality problems during storage, processing and
refining
Enzyme is activated while harvesting &
transportation
 Good harvesting practices

Minimum damage to the fruits while

harvesting and transport

Transportation of the harvested fruits

with minimum delay so as to minimise
the damage due to lipase enzymes
 Bunch or fruit sterilization

To sterilize the fruit it can be

a) cooked in water
b) treated with high pressure steam in a sterilizer tank.

Whole fruit bunches absorb large quantities of water

when cooked.
Therefore, if the fruits are cooked it is best to thresh
bunches before cooking.
If the bunches are steamed much less water is needed.
Steaming loosens the fruits from bunches making
threshing easier.
Consequently, if the fruits are steamed it is best to
thresh bunches after steaming.
 Sterilization
Purpose
z To inactivate the enzyme lipase
z To loosen the fruit to facilitate stripping
z To soften the tissue for better digestion
z To coagulate protein and to partially
dehydrate the mesocarp
z Horizontal type steriliser with cage and rail
systems are adopted for efficient handling
of fresh fruit bunches (FFB)
During sterilization it is important to ensure that there
is as little air as possible in the sterilizer.

Air not only acts as a barrier to heat transfer, but oil

oxidation increases considerably at high
temperatures.

Oxidation is the main factor responsible for the

discolouration of palm kernels, leading to poor
bleaching ability of the extracted oil and reduction of
their protein value of the press cakes
 Stripping
Process involves the separation of the fruits from the
bunch stalks

Rotary drum stripper is used

Consists of cylindrical drum with small section

channel bars arranged at equal intervals inside the
drum

During the rotation of the drum, centrifugal force is

exerted on the bunches- fruits scattered

Fruits carried by conveyor and collected in a silo

 Digestion
Digestion is the process of releasing the palm oil
through the rupture of the oil-bearing cells.
Pounding the fruit at high temperature destroys the
fruit's outer cover (exocarp), and completes the
disruption of the cells already begun in the sterilization
phase
Contamination from iron is a risk during the phase that
has the highest risk of metal wear during the milling
process
Iron contamination increases the risk of oil oxidation
and the onset of oil rancidity
Accomplished in a vertical steam jacketted cylindrical
vessel provided with beater arms
Temperature is maintained at 90-95°C by means of
steam
 Pressing
To extract the oil from the digested material
Two methods can be used

a) dry method using mechanical pressure to squeeze out the oil

Using the dry method the objective of the pressing stage is to
squeeze the oil out of the mixture of oil, water, pulp, fibre and nuts
by applying mechanical pressure on the digested mash.

(Oil press is a heavy metal cage and a metal plunger to press the
material in the cage. There are a large number of different presses
but the principal of operation is similar for all)

The pressure should be increased gradually to allow time for the oil
to escape.

If the depth of the material is too great, oil will be trapped in the
centre. To prevent this, heavy ‘layer plates’ can be inserted into the
raw material;
 Wet extraction method
Hot water is used to leach out the oil.

Advantage is that it is simple and completely leaches all oil and

non-oily solid substances out of the digester.

The amount of water required to flush the pulp is normally the same
as that required for diluting the viscous oil that comes from the
mechanical press in the preparation for clarification.

It is important that only hot water is used in the process, as cold

water severely reduced the yield.
Some machinery is designed to combine the digestion and wet
extraction method.

The flushing extractor is designed to pound a batch of boiled fruit

(digestion) in the entry section of the machine while exerting a
centrifugal pressure (extraction) of the mashed pulp in another
section to expel the palm oil in one operation
 Oil clarification
The fluid coming out of the press is a mixture of palm oil,
water, cell debris, fibrous material and dirt.
The purpose of the clarification is to separate the oil
from these impurities.

a) add hot water to the fluid in the ratio of 3:1. The water
will create a separation in the fluid causing most solids
to fall to the bottom and oil droplets to rise to the top

b) pass the diluted mixture without solids through a

screen to remove coarse fibres

c) decant the clear oil into a clean tank. At this point the
clarified oil still contains traces of water and dirt.

The accumulated sludge can be collected and used to

kill weeds within the production area.
 Clarifier
Crude oil is discharged in to the clarifier after passing
through a vibratory screen

Diluted further with hot water (oil to water ratio is 1:2)

Temperature is maintained at 90-95°C by steam

Oil being lighter rises to the top; sludge water

containing all the solids and impurities settled at the
bottom

Oil from top can be continuously drained by admitting

hot water at the bottom
 Oil Purification and Drying

Oil after clarification still contain 0.4-0.6% of

water and 0.1-0.2% of sludge – Affect the
quality of the oil

Bulk of the water and other impurities are

removed by high speed centrifuge

Further reduction of moisture is achieved by

vacuum drying
 Oil Quality
The required quality of the crude palm oil depends on the
demands of the final consumer

a) for the edible oil refining industry the most important

quality criteria:
low content of free fatty acids
low content of products of oxidation
readily removable colour.

The most critical phases in the process to satisfy these

criteria are:
bunch sterilization as soon as possible after harvest
effective clarification
good oil drying
 Oil storage and transport
Requires careful handling during
storage and transport

Deterioration results in colour fixation

and bleaching problems, off flavours
and loss of oil during refining
 Waste disposal and effluent
treatment
Empty fruit bunches, fibre and kernel shell
are used as fuel

Sludge waste can be converted in to fertilizer

Estimated that 0.6m3 of water is required to

process 1 tonne of FFB

2.5 tonnes of effluent is generated for every

tonne of palm oil produced
 TEA
„ Camellia Sinensis is indigenous to China and parts of
India.
„ Tea is now grown throughout the world including
Japan, Sri Lanka, Nepal,Kenya,Pakistan, Argentina and
Australia.
„ In the tea trade, SriLanka and Taiwan are still referred
to by their former names of Ceylon and Formosa,
respectively.
„ Tea can reference either the plant itself or an infusion
made by steeping the dried leaves or buds of this
evergreen shrub in hot water.
„ The word tea is also loosely used to describe infusions
made from herbs, spices, and dried fruits.
 Types of tea
„ Tea is classified into three basic types:
1) Green tea
2) Black tea
3) Oolong tea
 Contd…
„ Black tea
„ It is fully oxidized and often yields a full-bodied amber brew.
„ It undergoes five basic manufacturing stages: withering,
rolling, fermenting, firing and sorting.
„ Green tea
„ does not undergo the oxidization process.
„ It has a herbaceous flavor and is green or yellowish in color.
„ The leaves are sometimes steamed after which it is rolled, fired
and sorted
„ Oolong tea
„ is partially oxidized and prepared by withering, rolling,
fermenting and then drying.
„ The oxidization process continues for a predetermined time
based on the master's skill and knowledge
Green tea
 Withering
„ The process begins by evenly spreading the shoots out on trays, or
fine meshed screens.
„
„ Withering takes place in open air room utilizing the effect of
natural breezes to wilt the leaves or, in special facilities with
controlled heating and ventilating equipment.

„ Process effectively reduces the moisture content to about 50% of

its natural state.

„ The leaves become limp and are now suitable for rolling.
„ The first stage in tea manufacturing is the process of
withering.

„ The harvested tea leaves are uniformly spread out on a

withering trough which is normally 4 to 5 feet wide and
50 to 70 feet long.

„ In Darjeeling processing approximately 65% of the

moisture is removed from the green leaf by blowing hot
and cold air for about 14-16 hours.

„ The leaf becomes limp so as to withstand twisting and

rolling under pressure without crumbling
 Rolling
„ The purpose of rolling is to rupture the cells.
„ During this process, plant enzymes are released and begin a
chemical reaction when exposed to oxygen.
„ The leaves which are withered are put in the rollers which may
vary in size.
„ Normally, they are 36" and 48" sized rollers which are capable of
rolling 70 to 120 kgs withered leaves.
„ The pressure exerted on the leaf is in 'open and pressure'
sequence.
„ This procedure lasts for 45 minutes.
„ During this process the green colour of the leaf is replaced by
brown coppery coloured texture.
„ The process of rolling under pressure twist the leaf, rupture the
cells and release the natural juices, promoting oxidation and
acceleration of pigmentation
 Fermentation
„ Oxidization, commonly referred to as "fermentation", is the most important stage in the
manufacturing of oolong and black teas.

„ This process makes it uniquely different from green tea which is not allowed to oxidize.

„ Green tea skips this process and proceeds directly to the firing ovens to reduce the
moisture content.

„ Oxidization is carried out in custom designed facilities.

„ Depending on the temperature, technique and the style of

tea desired, oxidization time can range from 45 minutes to many hours.

„ The characteristic color and aroma determine the completion of this process based on
tradition and knowledge.

„ Great skill is needed during this phase because it can dramatically affect the finished
product if proper timing and air circulation are not
followed.
 Fermentation
„ Fermentation room is usually kept clean and cold and the process is carried out at a low
temperature.

„ During hot season a humidifier is used with less than 20°C hygrometric difference to keep
the air humid.

„ An experienced tea maker judges the optimum fermentation on the basis of subjective
assessment.

„ The period varies from 2 to 4 hours.

„ Fermentation process is a very sensitive one.

„ The flavour of the tea can be affected by a minutes delay in adjusting the correct fermenting
period.

„ The colour becomes dark and coppery during this stage and a typical aroma develops.

„ This stage, in which the flavanoids combine with oxygen in the air, develops the unique
flavour of Darjeeling Tea.

„ This process is the one which differentiates a black, oolong and green tea variety.

„ Black tea undergoes full fermentation; oolongs are semi-fermented while green teas are not
fermented at all
 Drying
„ Firing halts the oxidization process by subjecting the leaves to a
stream of hot air.
„ Temperatures between 190–210 degrees Fahrenheit are required
for about 20-30
minutes to produce black tea with a moisture content of 2-3 %.
„ The dried tea is sorted
into different grades by passing it over a series of vibrating screens
of different mesh
sizes. The passage of teas through this system produces a number
of grades with
evenly sized particles.
„ Teas are then packaged according to particle size and sold as
dust, fannings, broken leaf, or whole leaf grade
 Grading
„ The mechanically oscillated sieves are used for
sorting out the tea for grading purpose. There is
a gradual decrease in the sieve size from top to
bottom which faciliates bigger size teas to
remain on the top and the brokens to the
bottom
 Grades of Tea
„ Special Finest Tippy Golden Flowery Orange Pekoe (SFTGFOP) is simply
the best; 10 – 15 mm twists with plenty of tip and a smooth, luxurious taste.
• Tippy Golden Flowery Orange Pekoe (TFGOP) and Flowery Orange
Pekoe (FOP) refer to long twists of large leaf tea with a generous amount of tip
and a superior smooth taste.
• Orange Pekoe (OP) is a large leaf tea with whole rolled leaves, but not tippy.
• Pekoe is a smaller grade of tea leaf, moderately neat. The liquor has more
colour than OP, but not the smoothness of flavour.
• Golden or Flowery Broken Orange Pekoe (G or FBOP) is a neat, square
leaf of 1 – 2 mm with plenty of pale tip; a sign of solid quality and strong taste.
• Broken Orange Pekoe (BOP) is a smaller leaf with good strength and a neat,
dust-free appearance. Many everyday teas are BOP and offer good quality, colour
and flavour.
• Broken Orange Pekoe Fannings (BOPF) and Dust are Orthodox leaves
intentionally rolled an sifted small. It is consumed in local markets or for tea bags
 Tea Tasting
„ Exporters are provided samples from tea brokers in preparation for auction.
„ Specific lot numbers reference each plantation's product for traceability
purposes.
„ The teas are judged based on appearance, aroma, and flavor. The samples are
carefully examined by professional tea tasters. Each lot of tea is sampled
before leaving the
factory.
„ The visual appearance of the leaves is judged before tasting begins.
„ Now the tea is brewed and ready to taste. The brewed leaves are set on top of
the brewing cups so that their color and aroma can also be observed. Aroma
plays a major role in the sense of taste. The tester inhales the bouquet of the
freshly brewed tea before tasting it.
„ The tea is then swirled in the mouth and then spit out
 Harvesting and
Processing of Rubber
 Tapping
Harvesting in rubber is known as tapping.
Tapping is the periodical removal of thin slices of
bark to extract rubber latex.
It is the process of controlled wounding with the
shaving of bark removed. The latex vessels are
found in the inner layer of soft bast of the bark.
The latex vessels are concentrated in in the soft
bast arranged in a series of concentric rings of
inter connecting vessels.
Tapping is done by skilled men.
Types of Tapping Knives
While tapping, the cambium should not be
damaged as otherwise callus formation will take
place causing swellings.
The rubber trees attain tappable stage in about
seven years. The best season for tapping is March or
September depending upon girth of the tree.
The latex vessels in the bark flow at an angle of 320
to the right and therefore a cut at higher level from
the left to right has to be carried to facilitate
opening of a large number of latex vessels.
Tapping is done in the early morning, late tapping
will cause reduction in the flow of latex.
 Tapping Systems & Intensity
Sl.No Tapping Sytems Intensity Remarks

1 s2d2- Half spiral, tapping Recommended for budded

alternate days for 6 months 100 % plants.
and rest for 3 months.

2 s2 d3- Half spiral, tapping at Recommended for clonal plants.

every three day for 6 months 67 %
and rest for 3 months.
3 s2 d1 – Half spiral daily Followed by small growers but it
tapping. 200 % favours brown blast incidence
and causes early deterioration of
trees.
In South India, rubber trees shed their leaves
during December- January & immediately again
they put forth the new leaves and flowering.

During this period the trees are given rest since

the yield of the rubber will be poor if tapped.
The yield of the rubber steeply increases year by
year and the peak is reached at 14-18 years after
planting.
Then it slowly declines . After 40 years it may
not be economical to maintain the trees.

The latex yield will vary with the clone, age of

trees, fertility of soil, climatic conditions and
skill of the tapper.
 Types of Tapping

1. Puncture tapping
 Puncture tapping or micro tapping is basically an
incision method of tapping. Micro tapping is done with
a small needle on a vertical band of stimulated bark.
 The length of the strip is usually limited to 60 cm and
the number of punctures made may be 4 or 5.
Puncture tapping
2. Slaughter tapping
 Intensive tapping prior to felling of the old trees is
called slaughter tapping. It is often done at higher
levels sometimes even on branches with the help of
ladders and not on the usual renewed bark levels.
 As the objective of slaughter tapping is to extract
as much as latex as possible from the available
bark, no consideration is given to the
technique, intensity or standard of tapping.
Slaughter tapping
 Rain guarding
 By fixing a polythene rain guard to the trunk of the tree above the
tapping panel, tapping can be carried out during rainy season also

 Growth regulators like 2,4 dichloro phenoxy acetic acid and 2,4,5
tri-chloro phenoxy acetic acid are applied through vegetables oils
these are applied in a broad band round the trunk under the
tapping cut of the rubber tree many proprietory products like
stimulex, flow more, ready rub containing the above growth
regulators are available in the market as rubber stimulant
Rain guarding
Contents Percentage(%)

Rubber 30-40

Protein 2-2.5

Resin 1-2

Sugar 1-1.5

Water 55-60
 Generally used anti-coagulants

• Ammonia, Sodium sulphate & Fomalin.

• Ammonia 0.7% is the most popular latex

preservative.
 Yield of Rubber

• In South India, the annual yield of rubber is

about 375 kg/ha from seedlings where as
budded plantations yield about 900-1000 kg
/ha
 Processing of Rubber
• The latex that flows out from the rubber trees on
tapping is channeled into a container, generally
coconut shell cups then is transferred to clean
buckets, two to three hours after tapping.

• The latex which gets dried up on tapping panel (tree

lace) and the collection cups shell scrap also form a
part of the crop and are collected by the tapper in
baskets just prior to tapping.
• The latex split including over flown on the
ground (earth scrap), when gets dried up, is
also collected once in a month. Normally
10-20 % of the total crop constitute the
tree lace, shell scrap and earth scrap.
Rubber can be processed and marketed as

1. Preserved latex concentrates.

2. Dried sheet rubber.

3. Dry crepe rubber

 Preserved latex concentrates
• The latex is collected in the storage tank, from
there it is brought to a centrifuge machine, rotating
at 1400 rpm. Due to centrifugal action, liquid
portion comes out.
• The upper layer and the concentrated latex, is
collected and brought to bulking tank and mixed
with chemical and packed in drums. 60% rubber is
present in it.
• Skim latex is taken to another tank then
sulphuric acid is added which gets coagulated
& it is milled to get skim crepe. It is of poor
quality while the concentrated latex fetches
very higher price.
 Dried sheet rubber
• Anti-coagulants (solutions of
ammonia, Formalin or sodium sulphite are
added to the cups to prevent the coagulation of
latex before it reaches the factory.
• The latex so collected is then bulcked and then
strained to remove the impurities. It is then
diluted to a standard consistency of 12-15%
rubber.
• Special hydrometers like mrtrolac, latex meter
are employed to measure the percentage of
rubber.
• After dilution, the latex is strained through a 60
mesh screen for the second time.
• Then it is poured into the special coagulating
tanks or aluminium pans which is divided into
many compartments by thin aluminium sheets
and acetic acid or formic acid is used for
coagulation.
• Slow coagulation produces a soft rubber which
is easy to work on the rollers.
• The acid is to be added quickly and mixed
thoroughly with the latex. Froth formed is
removed to avoid formation of bubbles on the
surface of rubber sheets.
Dried sheet rubber
Rubber rolling
• After coagulatuion, rubber sheets are repeatedly washed
several times with changes of water & passed through
hand or power operated rollers. In the roller excess water
& dissolved impurities are pressed & squeezed out
• The surface of the rollers may be either smooth, or
grooved or zig zag or straight or diamond pattern, its
impression is normally left on the surface of the sheets
when they come out of the press
• These sheets are hung in shade for 2 or 3 hrs, for dripping
in a dust free place
• They are taken to smoke houses for thorough drying. Smoking
of rubber sheet is done to dry the sheets properly

• To avoid formation of blisters. In the smoke house, the sheets

are smoked at a low temperature of 48-500 C with fairly high
humidity during the first day subsequently during second to
fourth day the temperature being 680 C with low RH

• They are taken out, graded & packed. Such products are known
as smoked sheets or dry ribbed sheet rubber
Various grades of rubber sheets are

• RMA IX, RMA-1, RMA-2, RMA-3, RMA-4,

RMA-5.
• High grade rubber sheets are clear, free
from blisters, translucent & of a golden
brown colour & fetch a better price.
 Dry crepe rubber

• When coagulum from latex or any form of

field coagulum after necessary preliminary
treatments is passed through a set of creeping
machines to get crinkly, lace like rubber called
crepe rubber after drying.
• Various grades of crepe rubbers are
• EPC Super 1X, EPC 1X, EPC 2X & EPC 3X.
Dry crepe rubber
 Natural Rubber Grades and Applications

Product Group Type/Grade Formats Primary Applications

Processing Traded
Latex Preserved Fresh liquid latex Tanks; Contraceptives,
Concentrates Latex is centrifuged, and 205kg surgical dipped
& Pale Crepe Concentrates: preserved with drums, goods, rubber
High ammonia. A flexibags threads,
ammonia second staging of balloons
(HA); Low centrifuging
ammonia improves quality.
(LATZ)
Pale Crepe Fresh liquid latex, 25 kg Medical sundries,
deliberately bales footwear,
coagulated, cements, adhesives
bleached, and
milled
Product Group Type/Grade Formats Primary Applications
Processing
Traded
Technically TSR CV: Tyres, engineering
Specified Constant components, extruded and calendared products.
Rubber viscosity from
(TSR) latex
TSR L: Light Light colored products, feeding bottle teats, large
coloured from industrial rollers, paper and printing industry;
latex injection bottle caps, syringe heads, transparent
high quality, light items.
coloured
rubber.
TSR 5: Coagulated 33.3kg Conveyor belts, cycle tubes, engine mountings,
Equivalent to 1 latex, bales footwear etc. Molded and extruded items like auto
RSS from sheets granulated, (35kg+/- components, bridge bearings, rubber linings
cleaned, 5%), etc.
blended and Shrink
TSR 10: Field dried wrapped Inner tubes, conveyor belts, footwear, water
grade material . proofing materials, hoses and tubes.

TSR 20: Base All types of automobile tyres, re-treading materials,

field grade mats and other general rubber product
material
TSR 50 Less costlier non-critical applications like
handmade hose, footwear, mats and molded goods.
 Natural Rubber Grades and Applications

Product Group Type/Grade Formats Primary Applications

Processing
Traded
Ribbed RSS 1 Coagulated Industrial sector when
Smoked RSS 2 rubber extra tough rubber is
Sheets RSS 3 sheets, needed ; RSS are used
(RSS) RSS 4 completely when extra tough (due
RSS 5 dried using to extensive cross
smoke. linking)
rubber is needed. Some
applications are tires,
tank liners, industrial
products, etc.
 Codex Alimentarius and
Standards for Spices, Tea, Coffee etc.
set by Codex, FSSAI and others
SPS, History of Codex, Structure, Relevance,
Standards for Spices from Codex/FSSAI/ASTA/ESA

S. Dave
 Purpose of the SPS Agreement?

The right to
protect Avoiding
human, unnecessary
animal barriers
or plant life to trade
or health

Key Principles include --

• Harmonization (OIE, IPPC, Codex)
• Stricter standards based on scientific justification
2
2
 International Standards
Standard-setting
organizations
(the three sisters)

plant health animal health food safety

IPPC OIE CODEX

3
3
What is Codex..?

4
4
 • Joint body of FAO and WHO
• The Commission held its first
meeting in Rome in June 1963.
• It, currently, meets annually,
alternatively between the
headquarters of FAO (Rome) and
WHO (Geneva)

30 founding
members

5
5
 India
99% of the world’s population 1964

51+1
2
24
17

49
33

12

Latest member is Timor Leste (2018)

Now 189 (188 +1) members of Codex Alimentarius 6
Courtesy FAO
 What does it do…?
❖ The Codex Alimentarius –
- adopts standards;
- codes of practice; and
- guidelines.

Codex sets
voluntary
standards
7
 The Mandate
The Mandate of Codex is to establish international food
standards to --
• protect the health of consumers; and
science-based
• to ensure fair practices in the food trade. standards

This mandate is accomplished by:

• promoting coordination of food
standards work by –
- members (189) and
- observers (237)
[international governmental (58),
non-governmental (163) and
UN (16) organizations];
• working transparently;
• working by consensus. 8
8
Main Codex Committees…

9
 Commodity Committees (4)

• CCFFP * • CCFFV
(fish and (fresh fruits & veg.)
fishery products)

• CCFO • CCSCH
(fats & oils) (spices and
culinary herbs)

* reactivated in 2020
(by correspondence)
10
 General Subject Committees (10+1)

• CCFA • CCGP
(additives) (general principles)
• CCCF
(contaminants) • CCMAS
(analysis & sampling)
• CCFH
(food hygiene) • CCNFSDU
• CCFICS (nutrition)
(inspection)
• CCPR
• CCFL (pesticides)
(labeling)
• Task Force on AMR * • CCRVDF
(vet. drugs)
* reactivated in 2016 11
 Regional Coordinating Committees (6)

• CCAFRICA (49) • CCASIA (24)

(Africa - Uganda) (Asia - China)

• CCNASWP (14) • CCLAC (33)

(North America and (Latin America and
South West Pacific - Fiji) the Caribbean - Ecuador)

• CCEURO (51+1) • CCNE (17)

(Europe - Kazakhstan) (Near East - Saudi
Arabia)

12
Relevance of Codex

in standards - setting…

13
 Relevance of Codex to members

➢ Based on scientific principles and risk analysis

➢ Consensus-based approach – truly global
➢ Covers a wide range – products, codes of practice, methods,
MRLs, audits, ethics, equivalence, etc.
➢ Easy to harmonize national legislations
➢ Provides flexibility in adaptation
➢ Exchange of information is standardized
➢ Saves time and facilitates trade
➢ Helps settle differences
➢ Reference standard in WTO
(Biotech Products, Hormones, Sardines, COOL)
14
Work relevant to Developing Countries…
(some examples)
➢ Mycotoxins, Melamine, Dioxins, Heavy Metals (CCCF)
➢ General Standards for Contaminants & Toxins (CCCF)
➢ MRLs for Pesticides and Vet. Drugs (CCPR, CCRVDF)
➢ General Standards for Food Additives (CCFA)
➢ Codes of Practice and Control of Viruses in Food (CCFH)
➢ National Food Control System (CCFICS)
➢ Foreign on-site Audits & Assessments (CCFICS)
➢ Judgment of Equivalence (CCFICS)
➢ Principles of Risk Analysis (CCGP)
➢ GM and Nutrition Labeling (CCFL)
➢ Several Nutrition (CCNFSDU)
➢ Methods of Analysis and Sampling (CCMAS)
➢ Several commodity standards etc. etc... (spices)
15
Codex work on Spices and
other items…

16
Codex work on Spices / Cocoa / Desiccated Coconut

Codex Standards for Spices and Culinary Herbs (4)

http://www.fao.org/fao-who-codexalimentarius/committees/committee/related-
standards/en/?committee=CCSCH

Codex Standards for Cocoa and Cocoa Products (4)

http://www.fao.org/fao-who-codexalimentarius/committees/committee/related-
standards/en/?committee=CCCPC

Codex Standards for Desiccated Coconut

http://www.fao.org/fao-who-codexalimentarius/sh-
proxy/en/?lnk=1&url=https%253A%252F%252Fworkspace.fao.org%252Fsites%25
2Fcodex%252FStandards%252FCXS%2B177-1991%252FCXS_177e.pdf

17
 Status of work by CCSCH
4 Standards Adopted 7 Standards at various 2 New Work Proposals
(not yet taken up due to
by CAC Steps of Adoption heavy workload)
Black, White and Draft Standard for Dried
Green Peppers Oregano (Step 5) Turkey Cardamom
India / Iran
Draft Standard for Dried
Cumin or Dehydrated Ginger Dried or Dehydrated
(Step 5) Nigeria Turmeric India
Draft Standard for Dried
Dried Thyme Basil (Step 5) Egypt

Dried or Dehydrated Draft Standard for Dried

Garlic Cloves (Step 5) Nigeria

Draft Standard for Dried

Saffron (Step 5) Iran
Draft Standard for Dried
Chilli peppers / Paprika
(Step2/3) ARG / IND
Draft Standard for Dried
Nutmeg (Step 2/3) 18
Indonesia
Codex work on Spices / Tea / Coffee

GSFA (Food Additives) (2019) –

Food Category 12 (Salts, spices, soups, sauces,

salads, protein products)
12.2 (Herbs, spices, seasonings, and condiments)
12.2.1 (Herbs and spices – dehydrated, whole,
ground, powder, paste, mixes)
12.2.2 (Seasonings and condiments, tenderizers)

19
Codex work on Spices / Tea / Coffee
Food Category 14 (Beverages, excl. dairy products)
14.1 (non-alcoholic)
14.1.4 (Water-based flavoured drinks, including “sport,”
“energy,” or “electrolyte” drinks and particulated drinks:
Includes all carbonated and non-carbonated varieties and
concentrates. Includes products based on fruit and vegetable
juices; coffee-, tea- and herbal-based drinks)
14.1.5 Coffee, coffee substitutes, tea, herbal infusions, and
other hot cereal and grain beverages, excluding cocoa:
includes ready-to-drink products, their mixes & concentrates.
[e.g. chicory-based hot beverages (postum)], ice tea, mate
tea, their mixes (e.g. instant coffee, powder for hot
cappuccino beverages); Treated coffee beans for
manufacturing coffee products 20
Codex work on Spices / Tea / Coffee /
Cashew / Desiccated Coconut

General Principles of Food Hygiene

[CXC 1-1969 (2003; revised in 2020)]

Code of Hygienic Practice for Low-Moisture Foods

[CXC 75-2015(2018)]

Code of Hygienic Practice for Tree Nuts (incl. cashew)

[CXC 6-1972]

Code of Hygienic Practice for Desiccated Coconut

(CXC 4-1971)
21
Codex work on Spices / Tea / Coffee / Cashew

Codex Standards for Pesticide MRLs

(online database) (2019)
(4844 MRLs for different combination of
pesticides and commodities)

[ ⁓ 90 pesticides in different spices]

[ ⁓ 30 pesticides in teas – black / green / others]
[ > 40 pesticides in coffee beans]
[ 1 pesticide in cashew]
22
Codex work on Spices / Tea / Coffee / Cashew
GSCTFF (Contaminants and Toxins) (2019)
Code of Practice for the Prevention and Reduction
of Lead contamination in Foods (CXC 56-2004)

Code of Practice for the Prevention and Reduction

of Mycotoxins in Spices (CXC 78-2017)
http://www.fao.org/fao-who-codexalimentarius/sh-
proxy/en/?lnk=1&url=https%253A%252F%252Fworkspace.fao.or
g%252Fsites%252Fcodex%252FStandards%252FCXC%2B78-
2017%252FCXC_078e.pdf

No Codex MLs for Aflatoxins;

India: 30 ppb; EU: B1 - 5 ppb; Total - 10 ppb
23
Codex work on Spices/Tea/Coffee/Cashew/Cocoa
(contaminants and toxins contd.)

Code of Practice for the Prevention and Reduction of

Aflatoxin contamination in Tree Nuts - incl. cashew
(CAC/RCP 59-2005)

Code of Practice for the Prevention and Reduction of

Ochratoxin A contamination in Coffee (CAC/RCP 69-
2009)

Code of Practice for the Prevention and Reduction of

Ochratoxin A contamination in Cocoa (CXC 72-2013)

24
Codex work on Spices / Tea / Coffee
(contaminants and toxins contd.)

Code of Practice for the Reduction of Acrylamide in

Foods (CXC 67-2009)

Code of Practice for the Reduction of Contamination

of Food with Polycyclic Aromatic Hydrocarbons
(PAH) from Smoking and Direct Drying Processes
(CXC 68-2009) - spices have a large surface area

25
Who is responsible for Codex work
in India ? FSSAI
In India, Codex Contact Point is in FSSAI
- Codex Division
- There are Shadow Committees

26
FSSAI Regulatory Framework…

27
 SIX PRINCIPAL REGULATIONS
1) Food Safety and Standards (Licensing and Registration)
Regulations, 2011
2) Food Safety and Standards (Packaging and Labeling)
Regulations, 2011
3) Food Safety and Standards (Food Products Standards and
Food Additives) Regulations, 2011
4) Food Safety and Standards (Contaminants, Toxins and
Residues) Regulations, 2011
5) Food Safety and Standards (Prohibition and Restriction for
Sale) Regulations, 2011
6) Food Safety and Standards (Referral Laboratories and
Sampling) Regulations, 2011
28
 Food Safety and Standards
(Packaging and Labeling) Regulations, 2011

• Packaging requirements of various pre packaged

food products are described
• Prescribes specific labelling requirements for
infant food, infant milk substitute, edible oils and
fats and other products
• Requirement of Nutritional information on the
label
• Defines the Health Claims and Nutrition claims
29
 Label Must Carry…
1. Name of the food
2. List of ingredients in descending order
3. Nutritional information
4. Veg./ Non-Veg. logo of appropriate dimensions
5. Specific declaration of food additives and colors / flavors
6. Name and complete address of manufacturer
7. Net content and drained weight by weight or Volume
8. Lot No. / Code No. / Batch identification
9. Date of Manufacturing /Packing
10. Best Before Date or Use By Date
11. Country of Origin for Imported food
12. Instructions for use

30
Nutritional Information
✓ Nutritional information is the
declaration of nutritional composition
of the food. It provides an idea of the
nutrition that can be derived from
that particular article of food
✓ Nutritional information should always
be stated in numerical terms. The
nutrition information for a particular
food article is declared per 100g or
100ml or per serving of the food on
the label
31
 Contd…
These regulations have been revised with the
objective of having three different regulations
with respect to :
• Packaging specifications (notified);
• Labelling and Display (notified);
• Advertisement and Claims (notified).

32
FOOD SAFETY AND STANDARDS
(FOOD PRODUCTS STANDARDS
AND FOOD ADDITIVES)
REGULATIONS, 2011

33
THREE PARTS: (i) Food Standards; (ii) Food Additives; and,
(iii) Microbiological Requirements

1st PART: There are 13 product categories in the chapter and

standards for about 377 products have been provided. following
slides mention only the names product categories --
• Dairy products and analogues

• Fats, oils and fat emulsions

• Fruits and vegetable products

• Cereals and cereal products

• Meat and meat products

34
• Fish and fishery products

• Sweets and confectionary

• Sweetening agents including honey

• Salt, spices and related products

• Beverages (other than dairy and
fruits & vegetables based)
• Other food products and ingredients

• Proprietary food

• Irradiated food

35
2nd PART: This part deals with the use of Food Additives in
various categories of food products. These are prescribed in
Tables 1 – 15 of Appendix A.
- It also contains a GMP Table applicable to food products.
- It also has a negative list in the Annex (e.g. butter milk).

The list specifies --

(i) their limits

(ii) some specific label declarations with

respect to certain food additives

36
3rd PART: This part prescribes the Microbiological
requirements of various food products. These are
contained in Appendix B.

• Mainly addresses high - risk food products

(fishery products, meat, poultry, dairy products)

• Other food products also including low - moisture foods

(fruit & vegetable products, spices)

37
FOOD SAFETY AND STANDARDS
(CONTAMINANTS, TOXINS AND
RESIDUES) REGULATIONS, 2011

38
This Regulation contains 3 parts that specify the limits
in various foods :
➢ METAL CONTAMINANTS: MLs for 9 Metal Contaminants
➢ CROP CONTAMINANTS AND NATURALLY OCCURING TOXINS:
• Limits for 5 Crop Contaminants
• Limits for 4 naturally occurring toxins
• Limits for 3 PCBs and PAHs in fish products
➢ RESIDUES:
• MRLs for Pesticides
• Tolerance Limit for Antibiotics
Regularly updated
39
➢ METAL CONTAMINANTS: This regulation
prescribes the limits for Heavy Metals and Metal
Contaminants for various foods and commodities
1. Lead 10. Tin
2. Arsenic
3. Copper
4. Cadmium
5. Mercury
6. Methyl mercury
7. Chromium
8. Nickel
9. Zinc (removed)
40
➢ CROP CONTAMINANTS AND NOTS

This defines Crop Contaminants and specifies their

limits for foods --
• Contaminants: Aflatoxins (Total, M1), Ochratoxin A,
Patulin, DON
• NOTS: Agaric acid, Hydrocyanic acid, Hypericine,
Saffrole
• Also prescribes the limit for Polychlorinated
Biphenyls (PCBs) and Polycyclic Aromatic
Hydrocarbons (PAH) compounds in fish products
41
➢ RESIDUES: This lists out limits for residues of
- 213 Pesticides
- 103 Vet. Drugs in :
• Prohibited list of antibiotics and other Pharmacologically
Active Substances in sea foods including shrimps, prawns
or any other variety of fish and fishery products.
• Limits for Antibiotics in Honey: Chloramphenicol,
Nitrofurans and its metabolites, Sulphonamides,
Streptomycin, Tetracycline, etc.
• Limits of Biotoxins in fish and fishery products
• Limits of Histamine level in fishery products
• Maximum level for Melamine
42
FOOD SAFETY AND STANDARDS
(PROHIBITION AND
RESTRICTION FOR SALE)
REGULATIONS, 2011

43
➢ This Regulation deals with Restrictions and Prohibitions
on sale of 15 products. It also prescribes
22 conditions (restrictions / prohibition)
➢ Contains 3 main clauses:
• Sale of certain admixtures is prohibited
(water in milk, butter in ghee, mixing two oils)

• Restrictions on use of certain ingredients

(tobacco, nicotine, acetylene gas, kesari daal, argemone seeds, cassia)

• Prohibition and restriction on sale of certain products

(bottled water without BIS mark, loose spices, compounded asafoetida
exceeding one kilogram in weight except in a sealed container,
loose blended edible oil, fresh fruits may be coated with bees wax /
carnauba wax / shellac wax with limits)
44
 FSSAI Regulations
• Regulations have been specified for Heavy Metals, NOTS,
Aflatoxins and Pesticides [Food Safety and Standards
(Contaminants, Toxins and Residues) Regulations, 2011]

• Quality Specifications for more than 40 spices and condiments

and other items [Food Safety and Standards (Food Products Standards
and Food Additives) Regulations, 2011]
• Cardamom • Tea
• Chillies • Coffee
• Cinnamon • Cocoa beans
• Cassia • Areca nuts
• Cloves • Desiccated coconut
• Coriander
• Cumin etc.. etc.. Lets’ see some examples…
45
 FSSAI Regulations for Contaminants for
Spices / Arecanut / Tea / Coffee / Cocoa etc..
Contaminant Max. Limit Contaminant Max. Limit
HEAVY METALS NOTS
Lead (all spices) 10 ppm/ dry basis Saffrole
(foods containing 10 ppb
Arsenic (all spices) 5.0 ppm mace and nutmeg)
Copper (turmeric) 5.0 ppm AFLATOXINS
Arsenic (turmeric) 0.1 ppm Aflatoxins Total
30 ppb
Tin (turmeric) 0.01 ppm (all spices)
Cadmium (turmeric) 0.01 ppm Aflatoxin B1
15 ppb
(all spices)
Lead (tea) 5.0 ppm/ dry basis Aflatoxins Total
15 ppb
Copper (tea) 150 ppm (areca nut)
Copper (coffee beans) 30 ppm Aflatoxin B1
10 ppb
5.0 on dry fat free (areca nut)
Lead (cocoa powder)
substance basis Salmonella
70 on fat free 26 spices Absent in 25 gm
Copper(cocoa powder)
substance basis 46
 FSSAI Regulations for Spices

Cardamom (Elaichi):
Essential Chhoti Chhoti Chhoti Badi Badi Badi
Quality Elaichi Elaichi Elaichi Elaichi Elaichi Elaichi
Parameters whole seeds powder whole seeds powder
Volatile oil Min. Min. Min.
Min. 3.5% Min. 3.0% Min. 1.0% by
content on 3.5% by 1.0% 1.0% by
by V/W by V/W V/W
dry basis V/W by V/W V/W
Max. Max. Max.
Max. 13.0 Max. 11.0 Max. 12.0 %
Moisture 13.0 % 12.0 % 11.0 %
% by wt. % by wt. by wt.
by wt. by wt. by wt.

• Pesticide MRLs have also specified :

Copper Oxychloride (determined as elemental Copper), Copper Sulphate
(determined as elemental Copper), Diafenthiuron, Monocrotophos,
Quinalphos and Fosetyl-Al
47
 FSSAI Regulations for Spices
Ginger: dried rhizome of Zingiber officinale Roscoe
Essential Quality Dried Ginger whole Dried Ginger powder
Parameters (Sonth, Dried Adrak) (Sonth, Dried Adrak)
Volatile oil content
Min. 1.5% by V/W Min. 1.0 % by V/W
on dry basis
Moisture Max. 12.0 % by wt. Max. 12.0 % by wt.

Total ash on dry basis

(a) unbleached Max. 8% by wt. Max. 8% by wt.
(b) Bleached Max. 12% by wt. Max. 12% by wt.
Calcium as Calcium
oxide on dry basis
Max. 1.1% by wt. Max. 1.1% by wt.
(a) Unbleached
(b) Bleached Max. 2.5% by wt. Max. 2.5% by wt.

• It may be bleached with lime

48
 FSSAI Regulations for Spices
Turmeric (Haldi): primary or secondary rhizomes
commercially called bulbs or fingers of Curcuma longa
• shall be free from Lead Chromate added starch and any other
extraneous colouring matter.

Quality and Safety Turmeric (Haldi) Turmeric (Haldi)

Parameters whole powder
Colouring power expressed as
-- Min. 2.0% by wt.
curcuminoid content on dry basis
Test for lead chromate Negative Negative
There are also specifications for moisture, acid insoluble ash,
total ash, total starch; also extraneous matter, defective rhizomes
and insect damaged matter in case of whole turmeric
• Maximum Limits for heavy metals -- lead, copper, arsenic, tin and
cadmium also specified
• MRL for insecticide ‘Zineb as CS2’ has also been specified for turmeric 49
 FSSAI Regulations for Spices

Tamarind: Tamarindus indica

Requirements
Characteristics
(in %)
Moisture content Not more than 20.0

Organic extraneous matter (w/w) Not more than 5.0

Total ash (w/w) on dry basis Not more than 6.0

Acid insoluble ash (w/w) on dry basis Not more than 1.0

Crude fibre (w/w) on dry basis Not more than 9.0

Tamarind seeds Not more than 0.5

50
 FSSAI Regulations for Spices

Coriander (Dhania): dried mature fruits (seeds) of

Coriandrum sativum

Essential Quality Coriander (dhania) Coriander (dhania)

Parameters whole powder

Moisture Max. 9.0% by wt. Max. 9.0% by wt.

Volatile oil content

Min. 0.1% by v/w Min. 0.09% by v/w
on dry basis

There are also specifications for moisture, acid insoluble ash,

total ash; also extraneous matter, splits, insect damaged
matter in case of whole coriander.

51
 FSSAI Regulations for Tea
• Tea: other than Kangra tea obtained exclusively from leaves, buds and
tender stems of Camellia sinensis (L) O. Kuntze
• Kangra Tea : derived exclusively from leaves, buds and tender stems of
Camellia sinensis grown in Kangra and Mandi valleys of H P
Can be sold only after it is graded and marked as per the Agmark Act
• Green Tea: derived exclusively, and produced by acceptable processes,
notably enzyme, inactivation, rolling or communition and drying,
from leaves, buds and tender stems of Camellia sinensis (L) O. Kuntze

- may contain natural flavours and natural flavouring substances

- subject to proper label declaration and registration with tea board
- pectinase enzyme can be added up to a level of 0.2%.
- iron filings shall not be more than 250 mg/kg
- there are also specifications for moisture, acid water soluble ash,
acid insoluble ash alkalinity, total ash, water extract, crude fibre
52
 FSSAI Regulations for Coffee

Coffee: dried seeds of Coffea arabica, Coffea liberica,

Coffee excelsa or Coffea canephora (robusta)

Coffee Decaffeinated Soluble Decaffeinated

Characteristics (green raw or (roasted and Coffee soluble coffee
unroasted) ground) powder powder
Caffeine
Not less than Not less
(anhydrous) Max. 0.1% Max. 0.1%
1.0% than 2.8%
m/m

There are also specifications for moisture, soluble / insoluble ash,

total ash and aqueous extracts

Coffee - Chicory Mixture: Coffee content NOT less than 51% by mass
53
 FSSAI Regulations for Cocoa beans
Cocoa Beans: properly fermented and dried whole seeds of tree
Theobroma cacao L.

Characteristics Requirements
Moisture content (Max.) 8%

Moldy Beans (Max. by count) 4%

Slaty Beans (Max. by count) 8%

Insect damage (Max. by count) 2%

Germinated and Flat Beans (Max. by count) 4%

There are definitions of beans -- moldy/slaty/insect damaged/

germinated/flat/broken/fragments/piece of shell/smoky
54
FSSAI Regulations for Areca nuts

Areca nuts or Betel nuts or Supari:

nuts obtained from Areca Palm (Areca catechu L.)

Characteristics Requirements
Moisture content (Max.) 7%

Damaged nuts (Max. by wt.) 12%

Damaged by moulds and
3%
insects (Max. by wt.)

55
 FSSAI Regulations for
Grated Desiccated Coconut
Grated Desiccated Coconut: product obtained by peeling,
milling and drying the kernel of coconut (Cocos nucifera)

Characteristics Requirements
Extraneous vegetable matter Not more than 15 units / 100 gm

Moisture (m/m) Not more than 3.0%

Total Ash (m/m) Not more than 2.5%

Oil Content (m/m) Not less than 55.0%

Acidity of extracted fat

Not more than 0.3%
pressed as Lauric Acid (m/m)

Sulphur dioxide Not more than 50.0 ppm

56
 ASTA Specifications for Spices

Name of Whole Excreta Insect

Excreta, Extraneous
spice, seed insects, of Mould defiled/
others matter
or herb dead mammals infested

% % %
By count mg/lb mg/lb
(by wt.) (by wt.) (by wt.)

Cardamom 4 3 1 1 1 0.5

Coriander 4 3 10 1 1 0.5
Ginger 4 3 3 3 3 1
Black
2 1 5 1 1 1
pepper
Turmeric 3 5 5 3 2.5 0.5

57
 ASTA Guidance Documents for Spices

• Prevention of adulteration and contamination

• Allergens
• Screening tools for contaminants
• Pesticide residues
• GAP, GMP and HACCP guidelines for spices
• Physical specifications and cleaning guidelines
• Microbial safety of spices
• Validation of process controls
• US Labeling Regulations
58
 ESA Quality minima for Spices

Total Ash Acid Insoluble Moisture Volatile Oil

Product (%, w/w Ash (% w/w (ml/100 gm
max.) (%, w/w max.) max.) min.)

Cardamom 9 2.5 12 4

Coriander 7 1.5 12 0.6

Ginger 8 2 12 1.5

Black pepper 7 1.5 12 2

Turmeric, whole 8 2 12 2.5

Turmeric, ground 9 2.5 10 1.5

59
ESA Quality minima Documents for Spices

• Prevention of adulteration
• Allergens
• Labeling of allergens
• Dehydration factors for spices
• Contaminants and pesticide residues
• Good Agriculture Practices
• Analytical methods

60
thank you

☺
 Codex Alimentarius and Standards for Spices, Tea, Coffee, etc.
set by Codex, FSSAI and Others
* S Dave
1. INTRODUCTION

With the expanding world economy, liberalization of food trade, growing consumer demand,
developments in food science and technology, and improvements in transport and
communication, international trade in fresh and processed foods has been increasing rapidly.

To a large extent, due to more accessibility of countries to food export markets, health protection
measures have taken a prominent place. The process has been facilitated by the coming into
force on 1st January 1995 of the WTO Agreement under which the Agreement on Application of
Sanitary and Phyto-Sanitary (SPS) Measures and Agreement on Technical Barrier to Trade
(TBT) that cover food safety and quality, respectively, are important.

Under the WTO Agreement, the SPS Agreement has a two-fold mandate, namely,

(a) Countries have a right to protect the life and health of their plants, animals and human
beings; and
(b) While doing so, member countries should ensure that they do not create unnecessary barriers
to trade.

The key provisions of the SPS Agreement and their implications for Laos are:

(1) All WTO member countries are required to follow a non-discriminatory approach, whereby,
they cannot discriminate between imported food products and those produced
domestically. This means that the same regulations will apply to food products of domestic
origin and imported foods. It also means that in respect of India, clearance of imported food
products by the Customs at Indian ports (points of entry) is subject to the provisions of the
Regulations notified by the Food Safety and Standards Authority of India (FSSAI). Once cleared
at the ports of entry, the imported food products come under the purview of routine regulatory
control (including monitoring) of the FDD and their food inspectors;

(2) The exporting countries have to comply with the standards (Regulations) of the importing
countries. Thus, when India exports food products to another country, India has to comply with
the Regulations of that country. Similarly, when any other country wishes to export its food
products to India, that country has to comply with the Regulations notified by the FSSAI. There
---------------------------------------------------------------------------------------------------------------------
* S Dave is the former Chairman of Codex Alimentarius Commission and former Advisor to FSSAI.
could be instances when developed countries or some of the India Food Business Operators
(FBOs) might argue that their products are compliant with the EU or US-FDA standards and,
therefore, such products should be accepted in the Laos market. However, this is not correct. It is
only the food regulations notified by the FSSAI that are supreme in India (neither EU nor US-
FDA standards or the standards of any other country);

(3) It must also be remembered that, in the context of food products, international standards in
the framework of WTO are ONLY the Codex standards. While Codex standards are
international standards, these are voluntary in nature and the SPS Agreement encourages all
WTO members to align their National standards (regulations) with Codex standards. The Codex
standards can be adopted with or without modifications as required under the Indian conditions.
This process is generally known as the harmonization of National standards with Codex. The up-
gradation of food standards (and notified as Regulations) via the harmonization process should
be a dynamic process and continue on the basis of current science, needs and National
regulations and procedures;

(4) It is clearly mentioned that Codex standards are the reference standard in the framework of
WTO. As mentioned above, under the SPS Agreement, countries are expected to align their
National standards (Regulations) with those of Codex. However, countries also have a right to
adopt standards which are stricter than Codex provided such standards are developed in a
transparent manner and with sound scientific justification. Nonetheless, such standards should be
strict only to the extent necessary in the context of food safety (the principle of ALOP --
Appropriate Level of Protection);

(5) While adopting stricter standards, countries are required to ensure that they do not create
unnecessary barriers to trade. Such barriers are against the spirit of WTO and can be challenged
in the WTO system;

(6) While setting standards, countries are required to take into account the concerns (technical
and economic feasibility) of developing countries. It is, however, noted that on several
occasions, this step remains on paper and such concerns are not taken into account in their true
spirit;

(7) In any case, if an exporting country finds it difficult to comply with the standards of the
importing country due to lack of technical capacity, it can seek technical assistance for building
capacity to meet the requirements of the importing country. The importing country has an
obligation to provide the required technical assistance to the exporting country.
2. INTERNATIONAL STANDARDS SETTING BODIES

In order that countries can exercise their right to protect the life and health of their plants,
animals and human beings without creating unnecessary barriers to trade, the SPS Agreement
has recognized the following three international standards-setting bodies. These are also termed
as the "Three Sisters of the SPS Agreement".

The Three Sisters

plant health animal health human health

(i) International Plant Protection Convention (IPPC), which is based in Rome sets
international standards for plant health. IPPC works towards preventing the introduction and
spread of pests of plants and plant products, and to promote appropriate mitigation measures for
their control. In India, the nodal department is the Department of Plant Protection and Quarantine
(PPQ), Department of Agriculture. It is a part of National Plant Protection Organisation (NPPO),
which participates in the IPPC meetings. The Joint Secretary for PPQ is the designated as the
SPS Enquiry Point for plant health in India.

(ii) Office International des Epizooties (OIE), also known as the World Organization for
Animal Health, is based in Paris and sets international standards for animal health. OIE's
primary objective is to protect the health of animals and to ensure a safe and fair trade in animals
and animal products worldwide, by ensuring transparency in the global animal disease
situation and by publishing health standards for international trade. It also sets guidelines
for animal welfare although this mandate does not fall under the SPS Agreement. In India, the
nodal department is The Department of Animal Husbandry & Dairying under the Ministry of
Agriculture. It's Joint Secretary is also designated as the SPS Enquiry Point for animal health in
India and is responsible for participating in the OIE meetings.
(iii) Codex Alimentarius Commission (CAC) is a body jointly set-up by FAO and WHO for
setting international standards for food safety for human health. These food standards and
related texts aim at protecting consumers’ health and ensuring fair practices in the food trade. In
India, the National Codex Contact Point is in FSSAI, who is responsible for India's participation
in the Codex meetings and coordination of all Codex related work at the national level.

Thus, Codex Alimentarius is a compilation of international standards and codes of practice for
foods and guidelines on the basis of which a number of countries have developed their own
national food regulatory policies and regulations.

The SPS Agreement specifically requires that members participate, to the extent of their
resources, in the relevant international organizations and specifically makes reference to the
Codex Alimentarius Commission (Codex), the Office Internationale des Epizooties (OIE), and
the International Plant Protection Convention (IPPC).

3. CODEX ALIMENTARIUS COMMISSION

The 11th FAO Conference held in 1961 decided to establish the Codex Alimentarius
Commission (CAC) and this was endorsed by WHO during the Joint FAO / WHO Food
Standards Conference held in 1962. Eventually, Codex Alimentarius Commission, as a body of
the United Nations, held its first session in 1963. There were 30 founding members. The Codex
Secretariat is located inside the FAO Headquarters in Rome. The sessions of the CAC are,
currently, held annually alternately in Rome and Geneva.

The CAC develops harmonized international food standards, codes of practice and guidelines
with the twin mandate, namely, (i) to protect the health of consumers, and, (ii) to ensure fair
practices in the food trade. These standards are based on current science and the scientific
opinion provided by independent international risk assessment groups of FAO and WHO.

"Codex Alimentarius" includes standards for all the principal foods, whether processed, semi-
processed or raw, for distribution. The Codex Alimentarius also includes provisions in respect of
food hygiene, food additives, residues of pesticides and veterinary drugs, contaminants, labelling
and presentation, methods of analysis & sampling, and import & export inspection &
certification; as well as codes of practice to prevent / reduce contamination in foods.

Currently, the membership of Codex Alimentarius Commission comprises of 189 members [188
member countries (including Lao PDR) and 1 Member Organization (European Union)], 237
Codex Observers (only those observers are included in the list that are approved by the
Directors-General of FAO and WHO on the recommendations of CAC). India is a member of
Codex Alimentarius Commission since 1964 and continues to be a partner in the international
food standards development process. The latest member of CAC is Timor - Leste in Asia, which
became a Codex member in 2018. Region-wise, the 189 members are as follows:
(i) Africa -- 49 countries
(ii) Asia -- 24 countries
(iii) Europe -- 50 countries plus the European Union
(iv) Latin America and Caribbean -- 33 countries
(v) Near - East -- 17 countries
(vi) North America and South-West Pacific -- 14 countries

The 237 Codex Observer Organizations include:

a) 58 International Inter-Governmental Organizations (IGOs), e.g., ACP Group, ARSO,

ASEAN, AU, COMESA, EFTA, OIE, OECD, SAARC, WCO, WTO;
b) 163 International Non-Governmental (INGOs), e.g., AOAC, COLEACP, GAIN, IAF,
IFOAM, ISO, ILSI, CI, IDF, ICMSF, IADSA, IFPRI, FIA, USP; and
c) 16 UN Organizations. e.g., ECE, IAEA, ITC, ESCAP, UNCTAD, UNDP, UNIDO, UNICEF,
UNECA, WFP.

The Codex Alimentarius Commission functions with the help of a Chairperson and 3 Vice -
Chairpersons. The current Codex Secretary is Mr. Tom Heilandt and is supported by an efficient
team of about 20 officers and staff including an IT expert. The Codex Secretariat functions under
the administrative control of FAO.

4. RELEVANCE OF CODEX WITH WTO - SPS

Although the Codex Alimentarius was established in 1963 and the standards development
process was initiated in 1963, its importance and relevance to trade law and, consequently, the
political implications of the standard setting work of Codex increased considerably in 1995 with
the creation of the World Trade Organization and the ratification of the WTO agreements. And
Codex came to be referenced in the WTO SPS Agreement.

The SPS Agreement is closely linked to the Agreement on Technical Barriers to Trade (TBT),
which was signed in the same year and has similar goals. The TBT Agreement emerged from the
Tokyo Round of WTO negotiations and was negotiated with the aim of ensuring non-
discrimination in the adoption and implementation of standards, technical regulations and
conformity assessment procedures. The same principles that apply to the SPS Agreement apply
to the TBT Agreement. It is not directly linked to food safety but several labelling aspects are
covered by the TBT Agreement. The International Organisation for Standardization (ISO) is also
referenced in the TBT Agreement. In India, the Bureau of Indian Standards (BIS) is a member of
ISO and is also the TBT Enquiry Point.
5. BENEFITS OF CODEX

Several countries have made requests for setting Codex standards, e.g., MLs for food
contaminants like mycotoxins in spices, aflatoxins in ready-to-eat peanuts; MRLs for certain
pesticides; guidance document on labelling of non-retail containers of food products; and
standards of several products. If FSSAI were to set the standards on its own, it would require lot
of infrastructure, expertise, huge funds and time. A lot of explanation would also need to be
given to WTO members on the data and the risk assessment process; and if any gaps are
observed, the entire process may have to be redone. Hence, utilising the Codex process is the
best option. Therefore, an active participation in Codex is called for with all eyes and ears open.
This is necessary to also guard against any adverse trade implications.

Another major benefit of participation in Codex discussions is that India, in collaboration with
other developing countries, can argue with the members to agree on standards and practices that
are technically and economically feasible, thereby, look after its trade interests. We should not
forget that Codex standards are the only reference standards in any WTO dispute settlement
process, and, therefore, India utilises Codex standards for its own National standards-setting
process. Even if India does not participate in a Codex Committee meeting, India still remains a
party to the decisions and such standards are applicable to India too. This is simply because all
Codex agenda items are on the Codex website and India is a member of Codex since 1964. Most
developing countries have suffered in their exports because they have not participated in Codex
discussions whatever the reason may have been.

A third big advantage of participation in Codex is that it helps build capacity in the country for
setting standards. Conventionally, when a country makes proposals for setting new Codex
standards, the same country plays an active role in the respective Working Groups. It gives an
opportunity to work with several developed and developing countries on drafting of the
document. In the process, the individual of that country gets to learn many new things that need
to be taken into consideration. This experience also helps in making useful contribution to Codex
work led by other countries.

It is, thus, noted that the following are the benefits of Codex and of participating in Codex
meetings:
a) It is easy for countries to align the national legislations so as to be in sync with global
standards;
b) It provides flexibility in adaptation with international standards;
c) It saves financial resources in carrying out scientific risk assessment for framing standards
(Regulations);
d) Exchange of information between two or more countries is standardized and is easy;
e) It saves time and facilitates trade;
f) It helps countries to settle differences with the trading partners.
6. NATURE OF CODEX STANDARDS

The Codex standards can be general or product specific. The General Standards, Guidelines and
Codes of Practices adopted are those that apply to all products and product categories. These
typically deal with hygienic practices, labelling, additives, inspection & certification, nutrition,
residues of veterinary drugs and pesticides as well as methods of analysis and sampling. Codex
commodity standards refer to a specific product or food groups, e.g., Codex Standard for
mangoes, Codex Standard for certain canned fruits, spices, etc.

As per current information, Codex has developed more than 360 texts including standards for
food products, codes of practice and guidelines, and are available on the Codex website.

Some texts, such as codes of practice, are used extensively in training in order to achieve a
change of behaviour in producers which lead to safer food.

As mentioned earlier, Codex standards and related texts are voluntary in nature and are not a
substitute for, or alternative to national legislation. It is the law / regulations of a country that the
food producers / processors / industries must follow. Countries should take legal steps at the
national level to incorporate Codex standards into their legislation for enforcement.

7. COMMITTEES OF CODEX ALIMENTARIUS COMMISSION

Codex Alimentarius Commission is assisted in its work by its subsidiary bodies that include an
Executive Committee, ten active General Subject Committees, four active Commodity
Committees, one Ad-hoc Inter-Governmental Task Force and six Regional Coordinating
Committees. The General Subject Committees carry out work that has relevance for all food
commodities while Commodity Committees develop standards for specific foods or classes of
food. Task Forces work on specific issues that do not fall under the purview of any other Codex
Committee and have a limited scope of work. All the Committees (except the Executive
Committee) are hosted by member countries. Thus, the host countries nominate an official or
expert to chair the respective sessions. Most General Subject Committees are held annually,
whereas the Commodity Committees have a variable frequency ranging from 18 months to 24
months and also depends upon the workload and decision of the Commission.

The list of active Codex Committees and Task Force functioning under the CAC is:-

(a) General Subject Committees / Task Force (active)

S. Frequency
Name of General Subject Committee Host Country
No. (approx.)
Codex Committee on Contaminants in Foods
(i) The Netherlands 12 months
(CCCF)
(ii) Codex Committee on Food Additives (CCFA) China 12 months
 (iii) Codex Committee on Food Hygiene (CCFH) USA 12 months
Codex Committee on Food Import and Export
(iv) Australia 18 months
Inspection and Certification Systems (CCFICS)
(v) Codex Committee on Food Labelling (CCFL) Canada 18 months
12 months
Codex Committee on General Principles
(vi) France (depending
(CCGP)
on agenda)
Codex Committee on Nutrition and Foods for
(vii) Germany 12 months
Special Dietary Uses (CCNFSDU)
(viii) Codex Committee on Pesticide Residues (CCPR) China 12 months
Codex Committee on Residues of Veterinary
(ix) USA 18 months
Drugs in Foods (CCRVDF)
Codex Committee on Methods of Analysis and
(x) Hungary 12 months
Sampling (CCMAS)
Ad hoc Codex Intergovernmental Task Force on Republic of
(xi) 12 months
Anti-Microbial Resistance (TFAMR) Korea

(b) Commodity Committees (active)

S. Frequency
Name of Commodity Committee Host Country
No. (approx.)
Codex Committee on Fresh Fruits and Vegetables
(i) Mexico 24 months
(CCFFV)
Codex Committee on Fish and Fishery Products
(ii) Norway 18 months
(CCFFP) - working by correspondence
(iii) Codex Committee on Fats and Oils (CCFO) Malaysia 24 months
Codex Committee on Spices and Culinary Herbs
(iv) India 18 months
(CCSCH)

(c) FAO / WHO Coordinating Committees

S. Current Frequency
Name of Regional Coordinating Committee
No. Coordinator (approx.)
FAO / WHO Coordinating Committee for Africa
(i) Uganda 24 months
(CCAFRICA)
FAO / WHO Coordinating Committee for Asia
(ii) China 24 months
(CCASIA)
FAO / WHO Coordinating Committee for Europe
(iii) Kazakhstan 24 months
(CCEURO)
 FAO / WHO Coordinating Committee for Latin
(iv) Ecuador 24 months
America and the Caribbean (CCLAC)
FAO / WHO Coordinating Committee for Near
(v) Saudi Arabia 24 months
East (CCNE)
FAO / WHO Coordinating Committee for North
(vi) Fiji 24 months
America and South West Pacific (CCNASWP)

8. CODEX WORK ON SPICES AND OTHER ITEMS

Commodity Standards

The following commodity standards have been adopted by Codex and links to these are also
given below:

(a) Codex Standards for Spices and Culinary Herbs (4)

These four items are black/white/green pepper; cumin; thyme; and dried / dehydrated garlic.
Work on dried oregano, dried / dehydrated ginger, dried basil, dried cloves and dried saffron is at
advanced stage of adoption. And work on elaboration of Codex standards for dried chili peppers
and for dried nutmeg has started. Two now proposals for cardamom and dried / dehydrated
turmeric is still to be taken up.

(b) Codex Standards for Cocoa and Cocoa Products (4)

These include cocoa butter, cocoa mass, dry mixture of cocoa and sugars, and chocolate and
chocolate products.

(c) Codex Standards for Desiccated Coconut

General Subject Standards

(a) Food Additives: General Standards for Food Additives (GSFA): Spices and condiments fall
under Food Category 12; and tea / coffee fall under Food Category 14.

(b) Food Hygiene: The most important text developed by CCFH in 1969 and revised several
times until 2003, is the "General Principles of Food Hygiene". The current text was revised
in 2020 along with the updated HACCP Annexes. In addition, The following Codes of
Hygienic Practice are useful for spices, tea, coffee, cocoa and other products:

(i) Code of Hygienic Practice for Low-Moisture Foods [CXC 75-2015 (2018)]
(ii) Code of Hygienic Practice for Tree Nuts (incl. cashew) [CXC 6-1972]
(iii) Code of Hygienic Practice for Desiccated Coconut (CXC 4-1971)
(c) Pesticide Residues: Non adherence to the MRL requirements of importing countries and lack
of implementation of Good Agriculture Practices at the farm level leads to rejection of food
products and, consequently, decline in exports, particularly, to the developed markets. Many
countries do not have a scientific way for registering use of pesticides and fixation of MRLs
at the national level. CCPR has, therefore, provided this guidance by specifying MRLs for
different combinations of pesticides and commodities in a scientific manner. This
information can be accessed at the following link in the Codex online database published in
2019. The following information might be of interest:

(i) There are about 90 pesticides in different spices;

(ii) There are about 30 pesticides in teas – black / green / others;
(iii) There are more than 40 pesticides in coffee beans;
(iv) There is only 1 pesticide in cashew

(d) Contaminants in Food: Presence of contaminants in food are extremely harmful to human
health and adversely affect market access. Most countries are concerned about their presence
in food products. It is, therefore, advisable that the Government of Laos and Food Business
Operators ensure implementation of best practices along the entire value chain in order to
minimize the presence of contaminants in food.

CCCF has established Maximum Levels or Guideline Levels of various contaminants like
mycotoxins (Aflatoxins and other Mycotoxins in peanuts, dried figs and spices, DON in
cereals, Ochratoxin A in coffee, Fumonisins, etc.; heavy metals; radionuclides; and other
contaminants like HCN, melamine. The details of "General Standard for Contaminants and
Toxins in Food and Feed" (GSCTFF) can be accessed at the link. In addition, the following
information will be useful for all stakeholders:

(i) Code of Practice for the Prevention and Reduction of Lead contamination in Foods
(CXC 56-2004)
(ii) Code of Practice for the Prevention and Reduction of Mycotoxins in Spices (CXC 78-
2017)
(iii) Code of Practice for the Prevention and Reduction of Aflatoxin contamination in Tree
Nuts - incl. cashew (CAC/RCP 59-2005)
(iv) Code of Practice for the Prevention and Reduction of Ochratoxin A contamination in
Coffee (CAC/RCP 69-2009)
(v) Code of Practice for the Prevention and Reduction of Ochratoxin A contamination in
Cocoa (CXC 72-2013)
(vi) Code of Practice for the Reduction of Acrylamide in Foods (CXC 67-2009)
(vii) Code of Practice for the Reduction of Contamination of Food with Polycyclic Aromatic
Hydrocarbons (PAH) from Smoking and Direct Drying Processes (CXC 68-2009)
9. FSSAI REGULATIONS

The following regulations are important for spices, tea, coffee, cocoa, etc.

(a) Quality Specifications for more than 40 products including the following are available in
Food Safety and Standards (Food Products Standards and Food Additives) Regulations,
2011:
 Cardamom  Tea
 Chillies  Coffee
 Cinnamon  Cocoa beans
 Cassia  Areca nuts
 Cloves  Desiccated coconut
 Coriander
 Cumin etc..

In respect of spices, there are specifications for volatile content of the oil on dry basis,
moisture, total ash on dry basis (bleached / unbleached in case of ginger), calcium content as
CaO on dry basis in case of ginger, extraneous matter, acid insoluble ash, total starch (in case
of turmeric), defectiveness, insect damage matter, and crude fibre.

In respect of tea, the following information is also important:

• Kangra Tea: derived exclusively from leaves, buds and tender stems of Camellia sinensis
grown in Kangra and Mandi valleys of H P and can be sold only after it is graded and
marked as per the Agmark Act.
• Green Tea: derived exclusively, and produced by acceptable processes, notably enzyme,
inactivation, rolling or communition and drying, from leaves, buds and tender stems of
Camellia sinensis (L) O. Kuntze.
• Tea may contain:
- natural flavours and natural flavouring substances
- can be sold subject to proper label declaration and registration with tea board
- pectinase enzyme can be added up to a level of 0.2%.
- iron filings shall not be more than 250 mg/kg
- there are also specifications for moisture, acid water soluble ash, acid insoluble ash
alkalinity, total ash, water extract, crude fibre

In respect of coffee, the following information is also important:

• Coffee may be green raw or unroasted; caffeinated or decaffeinated; and soluble coffee
• there are also specifications for moisture, soluble / insoluble ash, total ash, water extract
• In a Coffee - Chicory mixture, the coffee content should not be less than 51% by mass
 In respect of cocoa beans, areca nuts and grated desiccated coconut, it is also important to
remember that there are separate definitions for moldy / slaty / insect damaged / germinated /
flat / broken / fragments / piece of shell / smoky beans; and specifications have also been
prescribed in terms of percentage.

(b) Regulations have been specified for Heavy Metals, NOTS, Aflatoxins and Pesticides [Food
Safety and Standards (Contaminants, Toxins and Residues) Regulations, 2011]. Maximum
Limits have been prescribed for heavy metals, naturally occuring toxic substances,
mycotoxins as well as for microbiological contamination. These are as follows:

Contaminant Max. Limit

HEAVY METALS
Lead (all spices) 10 ppm/ dry basis
Arsenic (all spices) 5.0 ppm
Copper (turmeric) 5.0 ppm
Arsenic (turmeric) 0.1 ppm
Tin (turmeric) 0.01 ppm
Cadmium (turmeric) 0.01 ppm
Lead (tea) 5.0 ppm/ dry basis
Copper (tea) 150 ppm
Copper (coffee beans) 30 ppm
Lead (cocoa powder) 5.0 on dry fat free substance basis
Copper(cocoa powder) 70 on fat free substance basis
NOTS
Saffrole (foods containing
10 ppb
mace and nutmeg)
AFLATOXINS
Aflatoxins Total (all spices) 30 ppb
Aflatoxin B1 (all spices) 15 ppb
Aflatoxins Total (areca nut) 15 ppb
Aflatoxin B1 (areca nut) 10 ppb
Salmonella
26 spices Absent in 25 gm
10. ASTA STANDARDS

The American Spice Trade Association (ASTA) is a private body of the spices traders in the US
and their members, generally, prefer to accept spices in line with the ASTA standards. ASTA has
established quality specifications for the presence of insects, excreta of mammals and others,
mould, extraneous matter etc. in respect of spice, for instance, cardamom, coriander. ginger,
black pepper, turmeric, etc.

ASTA has also established the following guidance documents for use by the producers and
suppliers of spices:
• Prevention of adulteration and contamination
• Allergens
• Screening tools for contaminants
• Pesticide residues
• GAP, GMP and HACCP guidelines for spices
• Physical specifications and cleaning guidelines
• Microbial safety of spices
• Validation of process controls

11. ESA QUALITY MINIMA FOR SPICES

Similarly, the European Spice Association (ESA), a private body of spices traders in Europe, has
established quality specifications for moisture, total ash, acid insoluble ash, volatile oil content,
etc. in respect of spice, for instance, cardamom, coriander. ginger, black pepper, turmeric (whole
and ground), etc.

ESA has also developed the following requirements and guidance documents for application by
its members:
• Prevention of adulteration
• Allergens
• Labeling of allergens
• Dehydration factors for spices
• Contaminants and pesticide residues
• Good Agriculture Practices
• Analytical methods

It is important to note that for export of spices and other products to the developed markets, the
legal requirements specified under their legislations is a mandatory requirement. However, the
private standards, such as those of ASTA and ESA are the requirements established by the trade.

*****
 .

The Ultimate Book of Business Creativity

50 Great Thinking Tools for Transforming Your Business

ROS JAY

CAPSTONE

I
 .

Copyright © Ros Jay 2000

The right of Ros Jay to be identified as the author of this work has been asserted in accordance with
the Copyright, Designs and Patents Act 1988

First published 2000 by

Capstone Publishing Limited
Oxford Centre for Innovation
Mill Street
Oxford OX2 0JX
United Kingdom
http://www.capstone.co.uk

All rights reserved. Except for the quotation of short passages for the purposes of criticism and review,
no part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form
or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior
permission of the publisher.

A CIP catalogue record for this book is available from the British Library and the US Library of
Congress

ISBN 1-84112-066-9

Typeset in 11 pt Plantin by
Sparks Computer Solutions Ltd, Oxford
http://www.sparks.co.uk
Printed and bound by
T.J. International Ltd, Padstow, Cornwall

This book is printed on acid-free paper

Substantial discounts on bulk quantities of Capstone books are available to corporations,

professional associations and other organizations. If you are in the USA or Canada, phone
the LPC Group for details on (1-800-626-4330) or fax (1-800-243-0138). Everywhere
else, phone Capstone Publishing on (+44-1865-798623) or fax (+44-1865-240941).

II
Contents

Introduction 1

The 7 × 7 Technique 9

Analogies and Metaphorical Thinking 16

Association 21

Assumption Reversal 26

Attribute Listing 31

Brainstorming 37

Brainwriting 44

Conscious Intuitive Techniques 49

Crawford Slip Method 58

Delphi Technique 65

Discontinuity 68

Drawing Techniques 72

Excursion Technique 76

FCB Grid 81

Forced Relationship 86

Force-field Analysis 91

Gordon/Little Technique 96

Involving An Outsider 100

Left-brain/Right-brain Thinking 105

Lotus Blossom Technique 110

Mind Mapping 114

Morphological Analysis 119

III
Nominal Group Technique 123

Pattern Language 128

Problem Reversal 134

Questions 138

Random Stimulation 142

Rice Storm (TKJ Method) 147

Scenarios 152

Sensory Images 155

Six Thinking Hats 159

Storyboarding 163

Synectics 168

Two Words Technique 173

Unconscious Intuitive Techniques 176

Verbal Checklist 184

Further Reading 189

Creativity Software 190

Useful Web Sites 192

Index 193

IV
 .

Introduction
''Creativity consists of looking at the same thing as everyone else and thinking something different."
Albert Szent-Gyorg yi(biochemist and Nobel Prize winner)

"It is the function of creative man to perceive and to connect the seemingly unconnected."
W illiam Plomer(writer)

Everyone has their own definition of creativity, but most of us know it when we see it. Creativity is the
first step towards innovation—it is the process of generating ideas, but there is more to it than that.
The ideas generated by the creative process must be workable. There is no creative value in an idea
which cannot be applied.

The creative function of the mind is not easy to explain. It belongs in the part of the brain which is not
logical, rational and analytical, but abstract, intuitive and non-linear. It is no surprise that we often say
"an idea came to me" or "it just popped into my mind"—even when you have just had a creative idea,
you probably don't really know how you did it. However, creativity is largely about being able to see
patterns and connections that you and others had not detected before.

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Creativity is about change. Changing the way we look at things, changing the way we do things. As
Miles Davis said: "If anyone wants to keep creating, they have to be about change."

The Creative Culture

Creativity is certainly a skill and not simply a talent you are born with. Although some of us practice it
more than others, we can all become creative thinkers with a little training. And creativity is fast
becoming an essential skill that we must all learn. It is no longer enough to have a few creative people
in the organization; you need to have an organization of creative people. The pace of change in
business is accelerating, and creative ideas are essential for keeping up with that pace. Businesses
around the world—including your competitors—are learning to create a culture of creativity.
Organizations like 3M, Hewlett-Packard and Texas Instruments have led the way, but soon creative
organizations will be the norm.

So how do you turn your business into a creative organization? First, you need a culture which fosters
creativity, and then you need to teach the people in the organization to use their creative ability.
Creating the right culture involves:

• encouraging people to use intuitive as well as logical skills;

• rewarding creativity;

• using group creative techniques as a regular approach to problem solving and idea generation; and

• recognizing that creativity isn't possible without mistakes, and therefore allowing mistakes in the
pursuit of creativity.

Teaching people to be creative entails showing them techniques, such as the ones in this book, and
encouraging them to practice them. As with everything, the more we use our creative skills, the better
they become. We can also learn to be creative by imitating others or learning from other people's ideas
and approaches. So everyone in the organization should be encouraged to:

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• read books which describe other people's creative achievements and inspire new ideas in the reader;

• read newspaper and magazine articles about business successes; and

• network with other people, including visiting on-line support and discussion groups.

It is worth realizing that most creative people do not have a higher quality of ideas than others, so
much as a higher quantity. The more ideas you generate, the more good ideas you will generate. Many
of the techniques in this book aim to generate a high quantity of ideas for precisely this reason. If you
need convincing, here are two illuminating quotes from people who should know what they are talking
about:
''The best way to g et a g ood idea is to g et lots of ideas."

Linus Pauling(chemist and Nobel Prize winner)

"The only sure way to avoid making mistakes is to have no new ideas."

Albert Einstein(mathematical physicist and Nobel Prize winner)

One study of 2,036 scientists throughout history found that the most highly respected produced not
only more great works, but also more bad ones. The point about them was simply that they were
prolific.

Thinking in Creative Mode

While it is almost impossible to describe exactly how you reached a creative realization, there are
certain ways of thinking which are more likely to result in creative ideas. Some people divide thinking
into two main types:

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• convergent thinking—logical evaluation to reduce a wide range of ideas or information down to a

single answer or idea;

• divergent thinking—opening up the mind to produce a wide range of original and diverse ideas.

Both of these have their place, but it is divergent thinking which is the route to creativity. Most of us,
however—chiefly through habit—tend to favor convergent thinking most of the time. Convergent
thinking is vital to the application of creative ideas, but it is not the way to generate those ideas.

One of the most important methods of divergent thinking is what is often known as lateral thinking (the
term coined by Edward de Bono), or "out of the box" thinking. Both of these terms refer to breaking
away from narrow, habitual thinking and approaching problems from a different, sideways angle.

For example, suppose you want to phone a friend of yours to ask them to dinner next week, but you
don't know the number. You look it up in your address book, but the number you have is out of date.
You check the phone book, but they seem to be ex-directory. You call a mutual friend to ask for it,
but they are out. You call another and their line seems to be out of order. What do you do? Well,
suppose you apply the lateral thinking approach. Don't get hung up on using the phone (if you'll pardon
the pun). Why not e-mail them instead? Like most lateral solutions it is blindingly simple once you see
it—but for some reason we frequently fail to see these obvious answers.

If the Question is Right, There Must be an Answer

It seems that one of the important components of creative thinking is the conviction that there is an
answer to your problem. If you know what you are trying to achieve, whether it is understanding the
structure of subatomic particles or finding a way to restore your falling sales figures, you need to
believe that it is possible. This seems to fire

4
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the creative process. Henry Ford said, "Whether you believe you can, or whether you believe you
can't, you're absolutely right."

Alexander Graham Bell invented the telephone as a result of a misunderstanding. He read a description
of an invention which was written in German. He thought it described an instrument with the function of
a telephone so, inspired by this, he developed his own working telephone. He then discovered that the
German invention was something else entirely. But his creative ability to invent the telephone had been
fired by the belief that it was possible.

Another scientist read about the invention of the electron microscope. He didn't learn, however, the
way it worked. So he developed three different ways of building one himself. When he checked the
patent, he found that he had duplicated the original discovery with one of his. But, of his remaining two
methods, one was superior to the original and made the patent obsolete.

One of the keys to knowing that an answer can be found lies in finding the right question to ask. Bell
asked himself how he could create an invention which could relay a voice over distance down a cable,
and asking the right question led to his ground-breaking discovery. When asked what single event was
most helpful in developing his Theory of Relativity, Einstein replied, "Figuring out how to think about
the problem."

To approach a problem using lateral thinking, it often helps to ask yourself, "What am I really trying to
achieve here . . . and can I achieve it any other way?" In other words, get outside the problem and
walk all round it, examining it from different angles. That is how you realize that you are not trying to
phone your friend specifically, but simply to communicate with them. Much non-creative thinking is the
result of getting stuck in a thinking rut, and devising the right question to ask is often the spur to finding
the solution.

Using this Book

This book is a collection of recognized, well-used techniques all of which are designed to spark the
creative process. A book cannot have

5
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your ideas for you, but it can help you to create the right mental environment to have them for yourself.
Different techniques suit different problems, and you will find the range of techniques here covers most
types of problem you are likely to encounter in business. This book will help you to:

• generate ideas;

• solve complex problems;

• solve simple but seemingly intractable problems;

• create new business opportunities; and

• develop new products and services and improve existing ones.

Once you have become familiar with the techniques here, and incorporated them into your everyday
working life, you will find you generate more ideas than you ever had before. Remember, quantity of
ideas is what counts. You should soon earn yourself a reputation as an ideas person.

I would urge you to try as many of these techniques as you can. If you always use the same one or
two, your thinking will get stuck in a rut again—it will just be a different rut from the last one. Each
entry explains the type of situation for which that technique is most helpful, so find opportunities to test
out something new. You will also find cross-references to other similar or related ideas."

Each entry indicates whether it is generally regarded as an individual or a group technique—but hey,
we're being creative here. You can experiment with anything you like; the information here is just a
guideline to help you when you first learn the technique. Try using individual techniques in a group,
develop your own variations—whatever seems to work. So long as you generate ideas as a result, go
for it.

I have also categorized each technique according to whether it is best for problem solving or for idea
generation. Clearly you can argue that all idea generation is a form of problem solving, but the point is
to try and break down the entries a little so that you can more easily find a technique to suit you. The
meaning, for the purposes of this book, of these terms is given below.

6
 .

• Problem solving. You have a specific situation which needs to be resolved (problem) and you need
to find ideas to help you achieve this solution (e.g. resolving a design flaw in a product, reducing costs
in line with market forces, finding a delivery method that fulfills your cost/quality/time criteria).

• Idea generation. You have a broad question which you would like answered, but the need to
address it is not so specific (e.g. developing new products, finding new markets, looking for original
ways to promote a product or service).

Some techniques are listed as being useful for both applications, and of course you are free to be
creative in your use of any of the techniques.

Finally, the matrix shown overleaf may help you to narrow down possible techniques according to
whether they are individual or group techniques, and whether they are best for problem solving or idea
generation. You should find that most if not all these techniques are not only stimulating but also
enjoyable. So relax and have fun—both are states which foster creativity.

In a climate of change, it is creativity which will drive organizations and individuals towards success.
And to move forward we must learn—learn to open our minds to new ways of thinking and new
possibilities for our organizations, for our products and services, and for ourselves.
"A learning org anization is one that is continually expanding its capacity to create itsSurvival
future.
learningor what is more often called
adaptive learning is important—indeed it is necessary. But for a
learning org anization,
adaptive learningmust be joined bygenerative learning
, learning that enhances
our capacity to create."

Peter Seng e(academic and author)

7
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Matrix of techniques.

8
 .

The 7 × 7 Technique
The 7 × 7 technique begins with a large numbers of ideas, each jotted down on a slip of paper. These
ideas or thoughts will have been generated in a fairly unstructured way—perhaps through
brainstorming, or maybe over a period of time noting down ideas as they come to you. However, they
will all be related to a particular objective such as making customers even happier, or restructuring the
buying department. In any case, you now have a jumble of ideas and you need to sort them into a
logical system so you can address them.

Individual technique: idea generation

This technique for evaluating and prioritizing large numbers of ideas which have
been generated in response to a particular objective was developed by Carl
Gregory. You start with more ideas than you can get your head around, and you
end up with fewer ideas, set out in a structured order of priority.

See also: Storyboarding.

9
 .

Nine Key Steps

There are nine key steps in this process (not seven, as you might have imagined). The name of the
technique is derived from the fact that you start by setting out your idea slips on a 7 × 7 racking board:
one with seven rows and seven columns. (The racking board isn't important; you can lay the slips out
anywhere you like.) You are ready to start when you have at least two racking boards full of ideas, or
when you have exhausted your pile of idea slips.

Step 1:—
Combine Similar Ideas

First, reduce the number of slips by discarding anything which really isn't useful or pertinent. Then
combine any duplicated or very similar ideas. Now group together slips of related ideas. You can give
each of these groups a collective title.

Step 2:—
Exclude Anything Irrelevant

You will no doubt find that some ideas aren't relevant to the objective of the technique, or are
completely impracticable. Put these to one side.

Step 3:—
Modify the Ideas

You may now find that some of your remaining ideas need to be modified in the light of the steps you
have taken so far.

Step 4:—
Defer Anything Which is Not Timely

You have already excluded ideas which were not relevant. Now you

10
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are setting aside ideas which, although relevant to the objective, are not suitable at the moment but
may be useful later.

Step 5:—
Feedback

Check through all the slips you have removed—combined, excluded, modified or deferred—to see if
they give you any additional ideas or insights into the remaining slips.

Step 6:—
Classify into Dissimilar Columns

Now you've finalized the slips you are using for the rest of the process. The next steps will help you
classify and prioritize your ideas. First of all, give each group of related ideas its own column on your
racking board. Contrary to what you might imagine, seven columns aren't compulsory for this
technique; you may well need a few more.

Step 7:—
Rank Ideas in Each Column

For each column in turn, rank the ideas in order of the most important or useful—in the context of your
objective.

Step 8:—
Generalize the Columns

Give each column a heading which reflects its main theme or idea.

Step 9:—
Rank the Columns

Now put the most important or critical column on the left, the next most important in the next column
and so on.

11
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At the end of this process you can easily evaluate which idea is the most important (it's in the top left
hand corner), and all your remaining ideas will be prioritized for you with the least important (but still
valid) in the bottom right corner.

As you can see, this could just as well have been called the 9 × 9 technique, or the 6 × 8 technique.
The precise numbers aren't critical; it is your ideas which matter. Although this technique is essentially
an individual one, it can be adapted for use in group sessions.

Example

Let's suppose that your objective is to find ways to make your customers even happier. You've been
jotting down ideas for a while, you've held a brainstorming session with key people, and you've asked
everyone to pass on any other ideas to you. You have now collected around a hundred or so ideas for
improving customer service. However, you clearly can't put them all into effect immediately, so you're
going to use the 7 × 7 technique to help you assess and prioritize them.

Combine

To begin with, you can take out redundant idea slips such as improve despatch method; you've
changed to a far better delivery service since you jotted that one down. And you can combine similar
ideas such as design new catalogue and make catalogue less confusing.

Exclude

Now set aside the ideas which really aren't on, such as cut all prices by 50%.

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Modify

You may now find that you want to write out new idea slips in the light of these changes. For example,
you could replace the two slips about the catalogue design with only one, which says design new
catalogue with a focus on clarity.

Defer

This is the time to set aside any slips with ideas which are useful but not right now. For example, make
customer reception area brighter and more modern can wait until the building is refurbished next
year, but will then be worth considering.

Feedback

Some of the ideas you have put aside may give you further useful ideas. Perhaps you could cut all your
prices by 50% if you did it as part of an offer to new customers, or big spenders, or long-term
customers. And maybe you could improve the reception area now if you replaced that tatty old
furniture in advance of the refurbishment.

Classify by Dissimilar Columns

Now put all the ideas you have into related groups. For example, you could create a column out of:

• give more training in customer care;

• increase staffing at busy times;

• give a monthly award to the most customer-friendly member of staff;

• give people from despatch a chance to meet customers;

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. . . and so on: they are all personnel ideas.

Rank Ideas in Each Column

Once you have created your columns, put the ideas in order of importance. Only you know which is
the most important, or urgent, but here's an example:

1. increase staffing at busy times;

2. give more training in customer care;

3. give specific training in complaint handling;

4. reward instances of really good customer service by individual staff;

5. give people from despatch a chance to meet customers;

6. give a monthly award to the most customer-friendly member of staff; and

7. put name badges on all staff who meet customers.

Generalize Columns

Give a title to each of your columns, for example: people, products, systems, presentation,
publications, communications, prices.

Rank Columns

Finally, decide what you consider is the most important or urgent column and put it on the left, as
shown in the table. Put the remaining columns in order of precedence from left to right.

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systems products people communications prices presentation publications

1

15
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Analogies and Metaphorical Thinking

To use this approach to creative problem solving, you first need to know what analogies and
metaphors are. An analogy compares two things which are not obviously similar on the surface, but
which the analogy shows to be alike in some way. For example, you could explain how white blood
corpuscles work by drawing an analogy with a school of piranha fish: they swim around gently until
they spot something alien in their environment. They descend on it in a group and attack it until they
have destroyed it. Then they go back to floating in the current.

A metaphor is just a simple type of analogy. It is a figure of speech which likewise links two apparently
unconnected ideas, such as the corporate jungle or the slings and arrows of outrageous fortune.

Analogies and metaphors can help you to solve problems creatively by encouraging you to look at
your problem from a new angle.

Individual technique: problem solving

Analogies and metaphors are common ways of thinking. This technique

harnesses them and uses them to help solve problems by looking at them in a
different way.

See also: Forced relationship, Excursion technique, Synectics.

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Simply by looking for analogies or metaphors to describe your problem, you often arrive at a solution.
All you need to do is to focus on the problem and then think of something else which is basically
different but has some similarity. Pursue the comparison and see if it leads you to a solution.

So if your problem is that you intermittently receive so many orders that your despatch department
can't process them all, you might decide that this is analogous to everyone trying to get out of a cinema
at once when the movie finishes, and having to queue up to leave. A solution to the cinema problem,
such as more exit doors, may lead you to a solution to the rush of orders. Perhaps you could have
your "exit routes" prepared in advance—stockpile assembled packing cases, do some of the
paperwork in advance, service delivery vehicles so none of them is out of action at the crucial time.

The point is partly that forcing yourself to dream up analogies frees you from the kind of logical
thinking that stifles many attempts to find a solution to a knotty problem. As you will see when you
read the examples below, none of the solutions illustrated would ever have been likely to be reached
without the sideways look at the problem that the analogy provided.

Of course not every analogy is guaranteed to lead you to the perfect solution to your problem, and you
do have to recognize when you are flogging a dead horse. The whole point about an analogy is that the
two ideas are very different although they have similarities. So the comparison will, by definition, break
down at some point. And it may break down before reaching a useful answer to your problem.

When this happens, try looking for another analogy. One approach is to list three or four analogies
before you start thinking any of them through in detail. If one lets you down, don't worry. Just try the
next one. This approach may lead you indirectly to a solution simply by changing the way you think
about the problem, even if none of the analogies specifically answers it.

Although this is essentially an individual technique, you will find that it can be used in a group session.
Here are some real examples of analogies being used to solve problems.

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Example 1

A company making potato crisps wanted to do something to prevent crisp packets taking up so much
shelf space. They are filled with air, making them very inefficient in terms of space, but if you remove
the air they crumble. The solution lay in an analogy: they decided that crisps were like leaves, and then
thought about how you would pack leaves efficiently.

If you compress dried leaves, they break. However, you can press leaves so long as they are moist
and not dry. This led the manufacturers to the idea of mixing dried potato with water and then pressing
it into shape, so the crisps could be stacked and occupy less space on the supermarket shelves. The
resulting product, as you may have guessed, was Pringles.

Example 2

A company in Colorado which manufactured mining equipment wanted to design a machine which
could both dig ore and move it onto a conveyor belt. Fortunately, one of the team working on the
project was an entomologist, who saw a comparison with a preying mantis, which picks up its food
with its forelegs and then puts it in its mouth. This analogy led to the development of a machine which
stands astride a conveyor belt and has huge "forelegs" with shovels at the end to dig out the ore and
then load it onto the moving belt.

This uses a type of analogy technique known as bionics. It is the same as any other analogous thinking
technique, except that you specifically look for analogies in nature.

Example 3

A company which produces farm products wanted to develop a way in which farmers could plant
seeds at exactly equal distances apart. Using the analogy of a machine-gun belt, they designed a tape
with

18
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seeds spaced along it. This could be put in the furrow where the biodegradable ribbon would
disintegrate.

Example 4

The modern television was invented in 1921 by a 14 year old boy named Philo T. Farnsworth. He
lived on a farm in Idaho, and the neat rows of furrows on the farm gave him the idea of creating a
picture out of light and dark dots. As he tilled a potato field with a horse-drawn plough, he conceived
the notion of using an electron beam to scan images in the same way. By the age of 21 he had created
the first working television which could receive electronic images.

Personal Analogy

This is a particular type of technique in which you imagine yourself personally involved in the problem.
Suppose you are trying to find a way to improve your supermarket checkouts: imagine that you are an
item of shopping being put on the conveyor belt and passed through the checkout. Or you might want
to simplify your ordering process: imagine you are an order from a customer and follow your route
through the system. The idea is not just to go through the process but to imagine how you would feel in
the situation.

Example of Personal Analogy

In a group personal analogy session at one shampoo manufacturer, the aim was to develop a new
shampoo. The managers all imagined that they were human hairs, and considered how they felt being
washed. Some wanted to be treated gently, others washed thoroughly. Some hated being blow-dried,
others didn't like being washed too often. This wide variation in attitudes led them to realize that hair is

19
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different, and they developed a shampoo which could adapt itself to different types of hair. It became
one of the top-selling brands.

20
 .

Association
Most of us have played a game, at least as children, in which one of you says a word. The next person
says the first word that comes into their head as a result of hearing the original word, and the next
person likewise responds with the first word they think of, and so on. This is called free association,
and it is the basis of this creativity technique.

Your mind will generally associate with another word on one of three principles:

• Contiguity. This is the principle of an object or idea near to the one mentioned. So the word
encyclopedia might lead to the word library.

Individual technique: problem solving/idea generation

This technique isn't supposed to give you the answer to your question or problem; it
is intended to set you on the path towards it. By making associations between things
or ideas you can spark off thoughts which lead you to your goal.

See also: Focused-object technique, Forced relationship, Random stimulation,

Synectics.

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• Similarity. Here, you will associate something which is very like the previous word. So carrot might
follow the word potato.

• Contrast. In this case, a word opposite or nearly opposite will follow. So safe might lead to
dangerous.

By allowing your mind to associate freely, you can generate thoughts which may spark off useful ideas;
this technique aims to generate the spark, not the idea itself. You are simply aiming to create,
randomly, a list of words which might help you to look at things differently.

You need to start this process with a word, obviously. You can use a word, or two-word phrase,
connected with the issue you want to address, or you can pick a word at random, for example by
allowing a book to fall open and pointing at a word on the page where it opens.

Write down your starting word at the top of the page, on the left-hand side. In a column beneath it,
write down the next word that comes to mind, and the next, and so on. Keep going until you have a
list of around 10–20 words. For example, let's start with the random word seashore:

1. seashore

2. shell

3. cup

4. tea

5. racing car

6. track

7. monitor

8. screen

9. check

10. tartan.

These words are only going to be helpful if you put them into the context of the problem you are trying
to solve or the ideas you are trying to generate. So now use the right hand column to note down any
thoughts which each of these words gives you in relation to this. For example, suppose you are trying
to think of new designs for children's pushchairs, the table might well look as shown:

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Word Free association

Seashore Design a "four wheel drive" pushchair to push easily on soft or

sandy terrain

Shell Make a rigid weatherproof shell to put the child in which opens out
like a clam shell and clicks shut again leaving only the child's head
exposed

Cup Attach a cup or bottle holder to the side of the buggy

Tea Put a picnic rack on the back which doesn't overbalance the buggy

Racing car Put a small engine in a pushchair to make going uphill easier

Track Could the pushchair have caterpillar tracks instead of wheels for
pushing on rough ground?

Monitor Attach a remote tracking device so parents can monitor where

nanny takes the pushchair, and which bleeps if it goes out of range

Screen Incorporate a small television or video screen in front of the child

Check Design a pushchair which checks whether the safety restraint is

done up properly, and won't release the brake unless it is

Tartan Redesign fabric options in a choice of checks or other patterns

Of course, these words might have sparked off completely different ideas in someone else which is
why, although this is generally regarded as an individual technique, it can be very productive as a group
technique too.

There are all sorts of variations on the basic free association technique. Here's an example which starts
from a phrase related to the issue you want to address. First, you produce a two-word phrase
consisting of an action verb and an object. So for the pushchair you might choose the phrase improve
pushchair or design seating or modify wheels. You write the words down with four lines drawn
between them. Let's use the phrase adapt buggy:

Adapt _____ _____ _____ _____ buggy

Now treat the lines as verbal stepping stones, and use free association to get from your starting word
to your final word. See if you can

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give the last of the four words some link to the object, without abandoning the free association.

Adapt alter church service friendly buggy

Once again, take each of these words in turn and try to find some way of using them to spark an idea
for adapting your buggies:

• Alter. Make the height of the handles adjustable to suit whichever adult is pushing.

• Church. Create a silent pushchair which won't wake a sleeping baby; no squeaky wheels or creaky
seats.

• Service. Design a really durable, long lasting buggy which will appeal to parents planning a large
family who don't want to keep investing in new pushchairs.

• Friendly. Give a buggy a furry lining and arms like a bear's, with paws on the end, and a bear's head
above the child's, so they are being hugged every time they sit in it.

Examples

There is no doubt that allowing your mind to pursue a link between two freely associated objects can
lead to a creative flash. The popular belief that Newton discovered gravity by being hit on the head by
a falling apple was wrong, according to the man himself. His own account of how he conceived the
notion of universal gravitation was a little different, and relied on association. The apple certainly fell,
though Newton never claimed it hit him on the head; he later said that as the apple fell he
simultaneously noticed the moon in the sky. He just happened to associate the moon and the apple in
his mind, and to speculate on whether the same force that kept the moon in the sky also made the
apple fall.

More recently, Campbell's Soup used free association to develop a new range. Starting with the
randomly selected word handle, a group free-associated via the word utensil to fork. Someone
made a joke

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about eating soup with a fork, and the others reflected on the fact that you couldn't possibly eat soup
with a fork unless it was full of chunks of meat or vegetables. That's how Campbell's Chunky Soups
were conceived.

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Assumption Reversal
Here's an assumption that many businesses make: customers want good service. But the assumption
reversal technique proposes that you turn that around: customers don't want good service.

So where did that get us? Well, the point is that by taking a mirror-image view we can generate new
ways of approaching problems. And while the reverse assumption itself may not be the answer, it may
help to generate an answer. In the example above, try following through the reversal. Suppose you
stop giving customers good service; what will happen? Here are a few possibilities:

• You won't need to employ such good staff, or so many of them.

• You won't need to spend so much on staff training.

Individual technique: idea generation

By questioning the seemingly obvious assumptions about a problem, you can

spark off new ideas for tackling it. Even the most basic assumptions are up
for analysis.

See also: Problem reversal.

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• It won't matter if you keep selling out of stock before you've reordered.

• You won't need to personalize mailshots.

These are just a few examples of the effects of not giving customers good service. And you might have
noticed that all of them will save you money. Suppose you passed these savings on to the customer? In
exchange for good service they will get much lower prices. Or perhaps the answer is to exchange
some aspects of good service for a smaller price saving. It's an active policy that has worked very well
for some companies. And we only came up with it by reversing the assumption that customers want
good service.

Assumption reversal is all about looking at a situation from the opposite perspective. Identify the
assumptions you are making and then turn them around. The original assumptions aren't necessarily
wrong, but by reversing them you can generate new solutions. Sometimes of course the original
assumptions are wrong, and false assumptions limit the range of solutions you can come up with. So
by breaking the assumptions you widen your scope for resolving your problem.

So what assumptions should you reverse? The answer is, reverse the most basic ones first. Perhaps
you want to increase the response to your direct mail campaigns. So start by listing the assumptions
you're making. For example, you may be assuming:

• Direct mail is a worthwhile way to promote your products.

• Your products are worth having.

• There is a potential for more response to your mailshots.

• The response you are asking for (call for more information, place an order or whatever) is the one
the recipient wants to make.

These are very basic assumptions. But now try reversing them:

• Direct mail is not the best way to promote your products.

• Your products are not desirable to your prospects.

• You are already getting the maximum possible response.

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• The recipient doesn't want to respond in any of the ways you are inviting them to.

In some cases the original assumption may have been right, in others it may have been wrong. But
either way, this approach should open up new avenues of thought for you. For example:

• Perhaps you should explore the possibility of finding another way to promote your
range—advertising or exhibiting or cold calling.

• What would you do if your products weren't good enough? Even if they are, this train of thought may
help you improve them. What aspects would need improving or altering? Or is the whole range
obsolete—are you doing the equivalent of trying to sell audio cassettes into a market increasingly
dominated by CDs?

• What if you have saturated the market, and there are no new customers to reach? It's an unlikely
(though not impossible) scenario, but it could lead to some very interesting alternative ideas.

• Suppose you invite a different response to your mailshot. Would prospects like to come to a product
demonstration? E-mail a response? Turn up at your exhibition stand?

This example should show you how assumption reversal can open up new lines of investigation that
you wouldn't otherwise have explored. When it comes to developing new products, assumption
reversal can also stimulate creative ideas. Suppose you are developing a new ice-cream range. Here is
a taster of the kind of assumptions you are likely to make:

• Ice-cream is cold.

• It comes in sweet flavors.

• It is packaged in tubs.

• It is smooth-textured.

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. . . and many more. This kind of assumption reversal exercise could lead you to develop an ice-cream
which comes in small lumps, perhaps in different favors, like jelly beans. Or you might come up with
something which looks and tastes like ice-cream but isn't cold. Or maybe you could develop a range
of savory ice-creams—tomato or avocado or sweet pepper. How about packaging ice cream in tins
or tubes or jars or producing it in perforated sheets? Assumption reversal is a great way of generating
these kind of wacky solutions.

Freeform Assumption Reversal

This is a variation on the basic technique, and is aimed at generating a creative atmosphere. It is a form
of assumption reversal which isn't linked to a particular situation, but simply helps you to relax and
come up with creative ideas. Just identify everyday assumptions or accepted situations and then smash
them . . . and see what happens. You can pick any assumptions you like, but here are a few examples
to try:

• Suppose the only means of getting to work—for everyone—was by horse.

• Imagine that the cycle of night and day lasted a year instead of a day, so it was night for six months
and then day for six months (if you live at the pole, don't bother with this one).

• What would happen if all workers were equal, with no bosses?

• Imagine if you had to keep on going to school until you were 40.

Let's take the first one as an example to see what sort of ideas it sparks off. For a start, everyone
would have to own a horse, and stabling, and would have to find time to look after it. Everyone would
have to work within a few miles of home. Offices and places of work would need stables instead of
car parks. There would be a huge demand for silage and hay. People would become ambitious for a
better cart or a top of the range carriage . . . and so on.

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This kind of exercise is useful as a starter to a creative session—solo or group—to put you in a
creative frame of mind in which you are open to all sorts of quirky thoughts and ideas.

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Attribute Listing
What are the attributes of a toothbrush? It's plastic; it has bristles at one end to clean teeth; it has a
long thin handle to hold it by. Attribute listing is a fairly simple technique which involves identifying the
key elements of a problem or product and then examining each in turn, looking for ways to improve it.
So in the case of the toothbrush you might consider:

• making it out of a different material;

• using something other than bristles; or

• changing the shape of the handle.

The purpose of attribute listing is to get you to focus on aspects of a product or problem that you
might otherwise overlook. You might

Individual technique: problem solving/idea generation

Professor Robert Platt Crawford developed this approach, in which you

break down a problem or object into its component parts, or attributes, and
analyze each in turn.

See also: Lotus blossom technique, Mind mapping, Morphological analysis.

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normally consider ways to improve your range of toothbrushes by thinking in terms of the function of a
toothbrush as a whole, but attribute listing helps you to consider individual aspects of it in isolation,
such as the bristles.

This is attribute listing at its simplest, but you can list attributes for any problem or object. For a more
complicated object, such as a personal organizer for example, you would need to list its features first
and then the attributes of each feature. The adjoining table shows how your list might look.

Feature Attributes

Closure Popper

Cover Leather

Black

Inside pockets

Binder Metal ring clips

6 clips

Dividers A-Z/Jan-Dec

Grey

17 cm × 9.5 cm

Paper W hite

17 cm × 9.5 cm

Now you need to look at each attribute in turn and develop new ideas for improving it. Is there some
other closure you could use than a popper? Could you expand on the idea of inside pockets? Do you
have to use dividers and paper in the same size?

Physical attributes are not the only ones you can list. You can look at your subject from all sorts of
angles. For example, you can list:

• social attributes—responsibilities, taboos, politics, leadership;

• process attributes—selling, marketing, manufacturing, distributing, time;

• psychological attributes—needs, motivation, image; and

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• price attributes—cost to the supplier, manufacturer, wholesaler, retailer, customer.

Attribute listing is useful because it throws your focus onto features which you wouldn't necessarily
consider otherwise. We tend to look at objects as a single unit, and describe them in terms of their
function. If you manufactured personal organizers, for example, and were asked to describe one, you
would probably explain that it was a single folder in which you could keep all your most important
personal paperwork, especially your diary and address book, along with notes, accounts, street maps
and so on.

You probably wouldn't detail every attribute—the fastening, the color of the dividers and so on. And
this is why it's so easy to overlook these attributes when you are trying to solve problems or generate
ideas. But it is often just these features which can stimulate the ideas you need.

One screwdriver manufacturer focused on the handle of its screwdrivers. This led them to the
realization that most craftsmen and women use both hands to turn a screwdriver—at least
sometimes—but that the handle only has room for one hand to hold it comfortably. So they redesigned
the screwdriver with a handle suitable for using with both hands, and called it the Bacho Ergo
screwdriver. Since then, Ergo tools have won huge acclaim for their design.

Example

Attribute listing is particularly useful for improving complicated products and service procedures. You
can list the stages in a service process to solve a particular problem with quality, speed or cost: for
each attribute come up with ideas related to improving quality or speed, or reducing costs. The
adjoining table, using the physical attributes of the personal organizer, provides an example of a
completed attribute list.

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Feature Attributes Ideas

Closure Popper Ties, buckle, velcro

Cover Leather Plastic, board

Black Primary colors, patterns

Inside pockets Outside pocket for mobile phone

Binder Metal ring clips Lever arch

6 clips 3 clips

Dividers A-Z in 13 pairs A-Z in 26 sing le sections

Jan–Dec 18 month diary

Grey Primary colors, color code months

17 cm × 9.5 cm Taller with section markers at top instead of side

Paper W hite Pastel shades

17 cm × 9.5 cm Diary at top and addresses at bottom

Combined Techniques

Attribute listing works well in conjunction with certain other techniques, especially for generating new
ideas. For example you can use it to focus on a particular aspect of a product or service before going
into a brainstorming session.

Another useful angle is attribute association chains. In this case you start as usual by listing features and
attributes but you then take each attribute in turn and use free association (see p. 21) to generate a
list of words as a basis for stimulating fresh ideas. The aim in the example given here is to cut the cost
of manufacturing shampoo. First, list the features and their attributes.

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Features Attributes

Bottle Plastic

Clear

Round

Lid Plastic

Grey

Label Square

Contains information

Shampoo Viscous

Mauve

Cleans hair

Now, for each attribute, free associate four or five words. Here we take shampoo as an example.

Attribute Free association

Viscous Sticky—g lue—paper—sheet—bed

Mauve Purple—velvet—soft—tactile

Cleans hair Scrubs—prison—cag e—bars—alcohol

Then take each of these freely generated words and consider them in association with the attribute in
question, to see if they inspire you to new ideas. Try to come up with an idea for each word, however
hard it seems. You'll be surprised how quickly you get into it. Let's take the free association words for
viscous as an example, and let's see what ideas they generate for a new approach to shampoo.

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Free association New idea

Sticky Develop a shampoo that is tackier than others so it doesn't run

throug h your fing ers when you try to use it

Glue Create a solid shampoo stick with special formulation shampoo to

apply before washing to one part of the hair which is stuck tog ether
with food, bubble g um or whatever

Paper Impreg nate paper with shampoo so it can be rubbed on to wet hair.
Can't spill or leak in transit

Sheet Make a special pillowcase cover to use if you g o to bed with damp
hair. It speeds up the drying process as well as protecting the sheets

Bed "Bed of roses" shampoo rang e scented by real preserved flowers or

petals in the bottom of the bottle

Attribute analogy chains operate on a similar principle except that instead of using free association you
use analogies and metaphors (see p. 16) to generate ideas. So the attribute black might generate the
analogy like being in a cave at night; the attribute January to December might generate a long
year. These analogies and metaphors give you a different angle for sparking off creative ideas.

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Brainstorming
When you need quick answers to a fairly simple question, brainstorming is one of the most popular
and most effective techniques. The word brainstorming is often used simply to mean getting together to
come up with ideas, but true brainstorming is a much more specific thing.

It was developed in 1941 by Alex Osborn, a partner in an ad agency, to improve advertising ideas in
both quantity and quality. Basically, members of the group offer ideas as they think of them—and they
can be as wacky and offbeat as they like—and the ideas are written on a flipchart or board. The aim is
to produce loads of ideas; quality is not important at this stage. The group reconvenes later to evaluate
the ideas.

Group technique: idea generation

This is an anything-goes type of meeting which encourages a free flow of

ideas in an atmosphere which is positive and aimed at consensus.

See also: Brainwriting, Lotus blossom technique, Mind mapping,

Storyboarding, Synectics.

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The principle is that you need to produce a high quantity of ideas in order to produce a high quality of
ideas. The more ideas the group generates, the more of them will be really good; so you need to make
it as easy as possible to volunteer ideas. In a good brainstorming session, the ideas will be falling over
each other to come out much of the time.

The point about brainstorming is that you are not allowed to make any judgements on the ideas put
forward. All too often, creativity is quashed by someone making an instinctive and negative assessment
of a suggestion. How often, in meetings, do you hear:

• "We tried that before and it didn't work."

• "We can't afford that."

• "We haven't got the resources."

• "Customers just wouldn't go for that.''

• "It wouldn't work."

These are the kind of criticisms which are banned in brainstorming sessions. As a result, people are
free to make imaginative suggestions without feeling intimidated or inhibited. Some of these ideas may
well be impracticable or inadvisable, but only by allowing all the duff suggestions can you let through
the ideas that might look duff at first but could eventually turn out to be just the answer you needed. So
the weak ideas are just as important as the good ones because they create the environment which
allows good ideas to emerge.

The Rules of Brainstorming

In order to brainstorm effectively, you must follow the rules developed by Osborn. You need a group
of between six and 12 people, from any department or background that seems relevant. If you have
fewer than six you don't tend to generate enough ideas. More than 12, however, can become too
intimidating (which is counter-productive) and can produce too many ideas to cope with. You also
need a group leader, whose role we'll look at more closely in a mo-

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ment. And you need someone whose job it is to record all the ideas somewhere that can be seen by
everybody.

Here are the key rules to follow:

• No criticisms or judgements should be made about any idea. This is the most important rule of all.

• All ideas are encouraged, no matter how bizarre.

• The group should aim to produce as many ideas as possible.

• You can combine ideas to create new ones, or refine or build on other people's ideas.

A brainstorming session should usually last about half an hour to forty minutes; beyond that the ideas
can start to dry up. The focus should be on the ideas themselves and not on who volunteered them.
This should follow through to the evaluation later, since the lack of criticism during the brainstorm is not
going to encourage people to open up if they know that everyone is just waiting for the evaluation
session to make them feel stupid.

The Group Leader

The leader organizes the session and notifies the group in advance. This agenda should include all the
relevant, objective facts about the topic to be brainstormed. At the start of the session the leader
should repeat these to remind everyone what they are brainstorming and why. Then they should write
the focal question where everyone can see it throughout the session.

The focal question is the reason you're all in the room. It might be "how can we improve our delivery
service?" Or it could be "what new product lines should we be developing?" Or maybe ''how do we
stop customers breaking expensive goods on the shop displays?"

Now the leader opens the session by asking for suggested answers to the focal question. Their job
becomes that of a facilitator: encouraging ideas, keeping the group focused on the question, and

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ensuring the rules are followed—especially the rule banning criticism.

Occasionally ideas can begin to flag during the session, in which case it is the leader's job to stimulate
the flow. This can often be done simply by asking "what else?" or "any more ideas?'' But sometimes
specific techniques are needed to spark of a new chain of ideas, especially if some of the group are not
naturally very creative thinkers. For example:

• Ask specific group members to come up with ideas.

• Give everyone in turn 30 seconds to come up with an idea.

• Use humor to relax people into a more creative frame of mind.

• Make one or two wacky suggestions to spark the group off.

• Ask abstract questions such as "what do people hate?" or "how do people like to be treated?" and
get the group to relate the answers to the focal question to spark off fresh ideas.

• Introduce another technique such as free association (see p. 21), analogy (see p. 16) or forced
relationship (see p. 86) briefly and use it to stimulate a new wave of ideas.

The Evaluation Session

You can't evaluate ideas during the brainstorming session or you will defeat the object of it. People
cannot open up to free flowing ideas at the same time as closing off unusable ideas and crossing off
options. Either you are broadening your horizons or you are narrowing them down. So the evaluation
session has to take place later.

You can use the same leader to evaluate or choose a different group leader. Ideas should be sorted
into related groups, and the group should rank the ideas according to usefulness and priority. The
leader will need to encourage the group to consider all ideas, however wacky, rather than write them
off on an instinctive judgement.

Although some judgement is inherent in evaluation, the leader still needs to encourage a positive
approach, and make sure no one is

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made to feel stupid or embarrassed about an idea that was theirs. If the group likes an idea but thinks
it is too expensive or impracticable, the leader should try to get the group to find a way round the
problems, rather than give up. If the leader wants to motivate the group by reward, it is important to
reward the group as a whole, or its members for participating, rather than to reward individuals for
their ideas. This keeps the focus on the ideas and not on who generated them.

How To Use Brainstorming

Brainstorming works for answering relatively simple, specific questions. It is not designed to help you
figure out complex technical problems or broad issues. You should only address one focal question in
a session, and the session will probably burn out after half an hour or so. Up to this time, however, the
leader should work hard to keep the ideas flowing.

Brainstorming's apparent simplicity leads some people to write it off on the basis that nothing that easy
can be that much better than any old meeting to discuss a challenge or problem. Such people,
however, are making a mistake. Brainstorming has been researched thoroughly, and the evidence is
that it generates far more ideas than normal group meetings to address the same kind of questions. Its
key features are its spontaneity, its positive approach to all ideas and its deferral of judgement. So long
as these rules are adhered to, it is a highly effective approach, as thousands of organizations can attest.

Brainstorming Variations

Visual Brainstorming

Here's an interesting variation on brainstorming, which suits some people very well. Many people are
visual rather than verbal thinkers, so instead of writing down ideas, get people to draw them. Other

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people may well be stimulated by drawings into coming up with fresh ideas of their own.

Another type of visual brainstorming involves getting group members to draw the problem or
challenge:

1. List the attributes of the focal topic (see attribute listing, p. 31). For example, for ideas to improve
the design of a piece of machinery, list each component part of the machine.

2. Next, get each person to choose one of these components and draw it in as much detail as they
can.

3. Now lay all the drawings out, or pin them to the wall, so everyone can see them. Try to place the
components in their approximate positions relative to each other.

4. Finally, get everyone to examine the drawings and use them as a springboard to launch new ideas
from.

Take Five

Take five is a variation on brainstorming which works with larger groups than 12, and can work well
in groups with several members who are inhibited about volunteering ideas. It starts in the same way as
a standard brainstorming session, with a focal question and a reminder of the facts and issues around
it. After this:

1. Each participant spends the next two minutes compiling a list of ideas to help answer the question.

2. Participants then divide into groups of five and pool their ideas within the group.

3. Each group collectively ranks these ideas in order of importance.

4. The groups convene and create a short list of no more than ten ideas, made up of the most
important ideas from each group.

5. This shortlist is then evaluated and discussed by all the participants together.

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Solo Brainstorming

There is a perfectly valid argument that you can't brainstorm alone. However, there is no reason why
you shouldn't take as many of the best bits of brainstorming as possible and use them solo; after all,
anything goes.

If you're brainstorming on your own, write down every idea you think of, without considering whether
it is good or bad. Jot each one down on a separate slip of paper to make them easier to evaluate later.
Once you have run out of ideas, sort the slips into related groups, and then rank the ideas in each
group.

Examples

There are plenty of examples of improvements made by companies as a result of brainstorming

sessions. Honda engineers came up with an idea at a brainstorming session which led to an increase in
fuel efficiency of 35 percent in the Honda Civic VX.

One company used a brainstorming bulletin board, where a question was posted and everyone invited
to pin ideas on the board around it. (These ideas in turn generate others, and the bulletin board can
stay up for as long as you like.) The company announced on the board that it would pay $100 to any
employee who produced an idea that saved the company money straight away. The first person to win
posted a suggestion that the reward be cut to $50.

International Paper Company (IP) has opened a centre in New York to help customers design better
packaging for their products. They bring together customers, their own packaging designers, scientists
and technicians for brainstorming sessions. These sessions have produced several important and
innovative new designs for packaging, such as a liquids container with a flat top which is more efficient
to ship.

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Brainwriting
Brainwriting is a silent version of brainstorming. But simply taking the noise and verbal interaction out
of brainstorming changes the whole thing. In particular, it removes the possibility of the group leader
favoring any particular participants; it can be hard to avoid giving priority to the ones who push their
suggestions forward most vocally. Brainwriting can therefore be very useful if you have a mixed group
where some people are much quieter than others, and you're concerned their ideas may go unvoiced
or unheard. With brainwriting, everyone can come up with ideas simultaneously.

Brainwriting also puts the emphasis, more strongly than brainstorming does, on piggybacking on each
other's ideas. Almost all the variations on it are based around this principle.

Group technique: idea generation

Brainwriting is similar to a written version of brainstorming, but with a strong

emphasis on building on each other's ideas. It lacks a little in spontaneity, but
gives everyone an equal input (brainstorming can favor whoever can shout the
loudest).

See also: Brainstorming, Nominal Group Technique.

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So what exactly is it? The basic brainwriting technique, developed at the Batelle Institute in Frankfurt,
Germany, follows these steps:

1. The focal question is identified, so everyone knows what their ideas need to address.

2. Everyone sits around a table (about six to eight is the ideal group size), and each participant writes
down their ideas for about five minutes—as many ideas as they can think of.

3. After five minutes, each person passes their sheet of paper to the person sitting next to them. For
the next five minutes each person builds on the ideas they have been passed to add more ideas of their
own.

4. After five more minutes the papers are passed on again, and the process continues. Three passes is
generally enough, but you can continue if you think it will generate more useful ideas.

5. The leader collects up the papers and reads out the ideas. They can also be written up on a board.
The group now evaluates the ideas it has generated (this can be deferred to a later session).

The same guidelines apply to brainwriting as to brainstorming:

• Encourage wild and wacky ideas.

• Don't allow criticism of anyone's suggestions.

• Defer judgement on all ideas until the evaluation at the end of the session.

As with brainstorming, this technique enables you to generate a very large number of ideas, including a
large number of high quality ideas, in a very short time.

It can be harder to encourage bizarre ideas when people are not interacting as they are in verbal
brainstorming, but it is often the craziest ideas which lead to the most creative answers. So if you have
a group which needs help to come up with really offbeat ideas, here are a couple of techniques for
teasing them out:

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• Offer a reward for the most bizarre idea produced during the session.

• Explain that in the evaluation session you will take the two wackiest ideas and work on ways to
make them practicable.

• One technique, known as the Brainwriting Game, involves competing to produce the craziest idea.
Everyone writes down their craziest idea on a card, and the cards are then displayed. For the next 15
or 20 minutes, everyone goes round in silence and writes below everyone else's ideas suggestions to
make them practicable—this will reduce their chances of winning the wackiest idea competition. At the
end of this process, everyone votes on the most implausible idea. You also have a set of cards to
evaluate which list bizarre ideas and ways to make them work.

Brainwriting Variations

Brainwriting Pool

A brainwriting pool works in a very similar way to the standard technique. Everyone writes down at
least four ideas, and then puts their list in the middle of the table. Whenever anyone feels their ideas
drying up, they simply swap their paper for one of the ones in the middle and carry on, piggybacking
on the ideas on the new list.

The brainwriting pool can go on for about 25 to 30 minutes, and everyone should swap their list for
one from the middle at least once. The big advantage of this system is that if the ideas are still flowing
freely, no one has to pass on their sheet of paper. Everyone is free to get all their own ideas down first.

Method 6-3-5

Method 6-3-5 is a more structured approach to brainwriting. You need a group of six people sitting
around a table. Each one draws three columns on a sheet of paper, and writes an idea relevant to the

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focal question at the top of each one. After five minutes they pass on the sheet to the next person. (6-
3-5 derives its name from using six people with three ideas in five minutes.) Everyone now adds three
more ideas which build on the ones they have been passed. The paper is passed on again to a total of
six times—in other words until the papers have all been right the way round the group.

If your math is good you'll have realized that this method will generate 108 ideas in half an hour. Even
allowing for duplications this is still a very high quantity of ideas to come up with.

Brainwriting Versus Brainstorming

Because of its similarity to brainstorming, brainwriting is often compared with it. Research indicates
that brainwriting will generate more good ideas in the same length of time than brainstorming will. But
most people find the atmosphere of a brainstorming session extremely stimulating, and can miss this
during brainwriting if they compare the two approaches. If you find this is a problem, you can combine
the two. Start by brainstorming the first few ideas to write down, and then use these as the basis for a
brainwriting session.

Example

Imagine you are a printing company running a brainwriting session to come up with ideas for promoting
your new range of stationery papers. Remember that ideas don't have to be limited by being
practicable. A good idea can be made to work later. Just get the core idea down on paper. One of
your half dozen finished brainwriting sheets might look like the list overleaf.

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• Write to prospective customers on our new stationery range.

• Send top customers 100 compliment slips printed in their own logo, name
and address on the new paper.

• Advertise a competition for the best company logo design; the winning
company gets a free order of stationery on the new paper range.

• Hold a "guess how many sheets of paper in the bundle" competition at trade
fairs.

• Send customers our own business card printed on the new range.

• Print top customers' logos in a range of colors on new paper/or in black on

a range of paper colors, and ask them to consider which they prefer.

• Send out an "invoice" on the new paper asking for competition entries
instead of for money.

• Offer to take back old stocks of stationery in part exchange for orders for
new stationery.

• Offer customers 100 free compliment slips or letterheads for their home
address with every business order they place.

• Send out swatch books with the customer's own logo on each swatch.

• Send customers two duplicate sales letters in the same envelope, one on
their usual paper and one on the new paper.

• Run a "spot the difference'' competition at trade fairs to see if customers can
rank different quality papers in order.

• Print on all invoices how much the order would have cost using the new
paper.

• Glue the edges of letterheads and comp slips printed on the new range so
they are supplied in tear-off pads—much neater and easier for storage.

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Conscious Intuitive Techniques

"The supreme task . . . is to arrive at those universal elementary laws from which the cosmos can be built up
by pure deduction. There is no logical path to these laws—only intuition resting on sympathetic
understanding."
Albert Einstein

Well, if it was good enough for Einstein, it's good enough for us. The principle behind all these
techniques is that the answer to your problem is somewhere inside your head, and you just have to find
it. You know that feeling when a particular word or name is on the tip of your tongue, but you can't
quite capture it: these techniques are conscious exercises to help your mind grasp the answer as it
floats around in mental cyberspace.

Individual technique: problem solving

This is a bundle of techniques all of which are designed to steer your mind
towards that sudden light-bulb moment when inspiration comes to you in a
flash.

See also: Unconscious intuitive techniques.

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As you may have realized, these techniques all assume that the answer is there to be found. In order
for them to work, you need to accept this. If you think that you don't have the answer, it isn't logical to
use this approach. You must believe that if your mind can simply make the right connection, you will
solve your problem.

If you are grappling with a difficult problem, you often have the feeling that the answer is there but you
can't quite reach it. Those are the times when it's worth using one of these techniques. The more
complex a problem is, the more useful this kind of approach is. Complex problems require you to find
connections between so many variables, that a flash of inspiration is often the only way to see the
answer. Research increasingly shows that for the knottiest questions intuition often succeeds where
rational thinking fails.

General Guidelines

To use any of these techniques, you must first immerse yourself in the problem. Get to 'know it well, so
that your mind is aware of all the factors that need taking on board. Then relax. Sometimes relaxation
alone helps (see Unconscious intuitive techniques, p. 176), but all these techniques work better
when you are relaxed. Turn down the lights, take a warm bath, have a glass of wine, take a catnap . . .
whatever helps you to wind down before you begin.

Then choose a technique you feel will work for you. If you're new to this, just pick one you like the
sound of and try it. Most people have favorite techniques which they feel work best for them, although
conventional wisdom would advise you to have as many different techniques as possible in your
repertoire. Otherwise you can get stuck in a rut of always using the same approach, and being stuck in
a rut is of course a block to creativity.

Visualization

There are different ways of using visualization to solve problems

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creatively. But the point is always to put you in the right frame of mind for finding the solution you
need. They should all be relaxing, but they are more than simple relaxation techniques, because you
make a conscious choice to visualize in a way which suits your problem.

Color Visualization

This entails meditating on a particular color for about 15 minutes. After this, you speak or write
affirmations of the color. Then let your mind go back to the problem and you often find that a solution
jumps out at you.

We'll look at the detailed process in a moment, but the first thing to do is to choose a color which suits
the problem and the kind of solution you want to find:

• Red is stimulating and exciting. Choose it for strength and stamina in attacking a problem.

• Orange is a warm, happy, touchy-feely color. It's a good one to use if you want to appeal to people
(perhaps your problem involves attracting customers, or getting colleagues behind you).

• Yellow is inspirational. It's the color to choose when you want to increase your intuitive powers to
find a solution that will involve making connections between different aspects of your problem.

• Green is the color of healing and harmony. It will increase your empathy and feeling for others
(maybe you have an industrial relations problem to solve).

• Blue is the most relaxing color, although not the most creative. Choose it when you feel that tension
and stress are getting in the way of finding a solution.

• Indigo is original and creative. It's the best color to choose if you're looking for highly creative
approaches to a problem.

• Violet is creative too, in a more offbeat way. If you want your ideas to be not only creative but also
radical—even revolutionary—choose violet.

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So now you've chosen your color, what do you do with it? Set aside about 15 minutes or so and lie
down somewhere comfortable with your eyes closed. Breathe deeply until you feel relaxed. You are
ready to begin.

1. Say to yourself "I want the qualities of indigo'' (or whatever color you have chosen).

2. Visualize a ball of indigo light above your head. See it touch your head and fill it with indigo,
washing around and clearing your head of any negative thoughts or blocks.

3. Now let the light spread to your neck, massaging and cleansing it. Slowly allow it to spread down
through your body, visualizing it clearly as it massages you and clears away any residual negative
thoughts. See it spread to your shoulders, arms, hands and fingers. Let it fill your chest, lungs, heart,
stomach, spine.

4. The indigo light should now flood down through your body and legs in a constant stream, from the
top of your head to your toes, and then flow away from you. You are being continually bathed in
indigo, clearing out any last vestige of resistance to creative indigo thoughts.

5. After a few minutes, open your eyes, trying to retain the sense that you are filled with indigo. Sit up
slowly.

6. Finally, affirm—either aloud or writing on a pad—that you are indigo. You can choose your own
affirmations but they should be something like: "I am indigo," "I have the creative qualities of indigo," "I
am creative" and other positive statements. Believe them as you say or write them.

You should now find yourself feeling very different, and therefore able to look at your problem from an
entirely different—and well selected—viewpoint. Amazing results can be achieved with this kind of
intuitive approach.

A variation on color visualization involves choosing the appropriate color for your problem and then
spending a day noticing anything you see in that color. If you also focus on your problem off and on
throughout the day, your mind should begin to make links be-

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tween the colored things you see and the problem. If you want to improve staff loyalty and you focus
on green, you may (almost certainly) see a green tree sometime during the day. This might lead your
mind to think of planting trees in the company grounds, and giving each employee their own spot and
letting them choose and plant their own tree. That would give them a permanent link with the company.

Visualizing the Problem

This is a very different approach from visualization. In this case you need to relax, close your eyes and
visualize the problem. Maybe you need to find a more efficient system for repairing customers'
products; perhaps your customers are spread all round the country but need a service engineer from
your base within hours if the product breaks down.

Visualize the scenario. See the product break down, the customer identify the problem and call your
engineers. See your engineers preparing to visit, and then go through the whole process of the journey,
the arrival with the customer, and the repair. Go through it in as much detail as possible.

Often, a solution to your problem comes out of this process intuitively. It is more productive than
physically going through the process, or examining the product, because your brain is not occupied
with actually doing the thing; you can relax and put your full focus into the visualization.

Visualizing Objects

This technique involves finding an object that relates to your problem in some way. For a financial or
cost problem you might choose a ten dollar bill. For a security problem you might opt for a set of
keys. If you want to improve morale, choose a book that makes you smile, or a poem that inspires
you.

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Physically hold the object you have chosen, and meditate on it for several minutes. Think about how it
feels and smells, the sound it makes, and note these down on a sheet of paper. Move it around in your
hands. Think about what it symbolizes, how it makes you feel, what memories it holds for you. Write
down how you feel about it. Ask yourself what it can do for you, and write down the answers.

Choose a quality which the object represents for you. The quality of a set of keys might be privacy.
Focus on this quality as you close your eyes. Imagine yourself being imbued with this quality as you
hold the object. Do this until you feel full of the quality you have chosen, and then focus on your
problem directing this quality at it.

Imagery

The idea behind this is that you can set your mind a challenge and then use an imagery technique to
conjure up strong images. Note these images, and then look for links with your original challenge—the
problem you are wrestling with. This is a powerful process and often throws up impressive results.

1. Start, as usual, by relaxing. Lie down somewhere comfortable and close your eyes.

2. Concentrate on the problem you want to solve. Form it into a question and ask your subconscious.
For example: "How can I increase my employees' loyalty to the company?"

3. Now imagine you are going on a journey. You can buy tapes of guided meditations, or you might
like to devise your own. For example: You are walking down a sandy path between dunes onto a
beach. You take your shoes off and feel the sand between your toes as you walk. You pass the
tideline, full of seaweed and shells, pieces of driftwood and a crab claw. You continue down to
the edge of the water and wait for the waves to wash over your feet. The first wave to come up
is colder than you expected, and washes over your feet. Out to sea, you can see a huge tanker,
but the rest of the sea and the beach is deserted. You turn right and walk along the water
line . . . Your

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journey should last about 20 minutes, and should be as detailed as the example just given. Allow
scope for a variety of images; you might take a boat trip, explore a cave, or turn inland and walk
through a wood.

4. The journey might be anywhere—on a train, through a thunderstorm, in outer space—but at the end
it is a useful technique to find a message concealed somewhere. It might be a piece of parchment in a
treasure chest, a message in a bottle, a note in an envelope left on the mantelpiece of an empty house.
Open it and see what it says.

5. Now concentrate on the images you have seen and open your eyes. Immediately write down or
draw the images before you lose them. These are not only visual images, but also feelings, impressions,
smells and any others. For example, you might record such things as warmth, seaweed, waves, cold
and so on.

6. Use these images you have written or drawn to help you find the answer to your problem.
Sometimes it will leap out at you; other times you will have to look long and hard to see the
connections. The idea, however, is that your mind will throw up images which are relevant to the
challenge you set it at the beginning.

Hypnogogic Imagery

You produce hypnogogic images as you are drifting off to sleep, and it is these which this technique
aims to tap into. As before, relax, close your eyes and focus on the challenge you are setting your
mind. Try to empty your mind so that you begin to float off into sleep. Allow the sounds and images to
appear.

Just before you lose control, wake up and record the sounds, shapes and images as quickly as
possible, because they tend to recede very fast. Again, look for connections between these images
and your problem.

If you are prone to fall asleep too quickly, there is a way round this. Salvador Dali used to use this
technique to summon up images he could paint. He would relax in a chair holding a spoon. On the

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floor, beneath the spoon, was a metal plate. As he fell asleep the spoon would fall from his fingers on
to the plate and wake him up.

Imaginary Mentor

Small children often have imaginary friends, and many people retain these—or replace them with new
imaginary friends—into adulthood. These imaginary friends can be not only companions but also
mentors. General MacArthur used to call up his father for advice on his strategy in the Pacific. Mozart
and Milton, both as creative as you could realistically aspire to be, had their own inner guides.

The gist is that if you are relaxed enough your unconscious mind—through your imaginary
mentor—will be able to converse with you without being controlled by your conscious mind. This can
throw up answers to problems that you wouldn't arrive at through conscious thought alone. In effect,
this means that if you are relaxed enough you may control both halves of the conversation to begin
with, but your mentor will begin to speak with a mind of their own.

Clearly you need to start by choosing a mentor. They can be real or imaginary, alive or dead. You can
choose your grandfather, an ancient goddess, Fred Flintstone, Einstein . . . whoever you feel
personifies the aspect of your unconscious that you want to summon up. Perhaps you want someone
with a more serious outlook than you, or a more wacky one, or more rational. Most people have just
one mentor who personifies a quality which they regularly need to access. But you might have two or
three you can call on. However, regularly using the same mentor works best for most people, rather
than picking someone new each time. That way you can build up a solid relationship.

Once you have chosen your imaginary mentor, you are ready to converse with them:

1. As with all these techniques, the first thing to do is to relax. Lie down and close your eyes.

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2. Imagine a soft, glowing white light around you, bathing your body.

3. Now imagine yourself walking into a favorite place—a house, a beach, a wood, a garden. Imagine
all the detail you can; the smell, the sounds, the atmosphere. Make it as real as you can.

4. Now see your mentor walking towards you. Study their face, and see what emotions you feel. Be
as detailed as you can.

5. Now ask your mentor: "Please guide me. Help me to find a resolution to my problem." Explain the
problem and give all the necessary facts. Be as natural and realistic as possible, and listen to your
mentor's responses.

6. Have a conversation with your mentor, and take on board whatever they say just as you would with
a real person sitting beside you in the room.

7. End the conversation and have your mentor invite you to call them up whenever you need to, and
reassure you that they are there to help you.

8. Open your eyes, and record what your mentor has said to you.

Example

An importer was having trouble selling car seat covers made from wooden beads. They were very
popular in Asia, but he couldn't overcome the resistance he encountered in the US because the
concept was unfamiliar to people. He used a color visualization and focused on the color yellow.
Suddenly the image of a yellow New York taxi came into his head.

He gave a free seat cover to taxicab drivers, and persuaded them to use it. The drivers liked it.
Passengers asked about it and the taxi drivers made great salespeople—and the seat covers each had
the importer's phone number displayed on the back. Sales now run at well over 100,000 seat covers a
year.

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Crawford Slip Method

The Crawford Slip Method, or CSM, was developed in the US in the 1920s by CC Crawford. It is
particularly useful for addressing complex problems, especially where you need input from a lot of
people. You can use CSM with a group of hundreds, but it is most commonly used with groups of
about 20 or 30. (Its name is derived from the fact that everyone writes suggestions and ideas on slips
of paper.)

Broadly speaking, the group leader devises a detailed set of target statements, designed to elicit
responses from the group. Participants are then given a pile of slips or small index cards each, and
asked to write down ideas, using a fresh slip for each idea. All the ideas are then incorporated into a
final report.

Group technique: problem solving

A large group spends a short time writing down as many ideas as possible in
response to a detailed set of statements and questions. The ideas are each
recorded on a separate slip of paper and then incorporated into a report.

See also: Rice storm.

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CSM differs from many other creative techniques in several ways:

• It works best with large groups. Each person may generate around 20 ideas in a session, so a group
of 25 people might give you 500 ideas.

• CSM is devised to cope with complex problems.

• It starts from a detailed set of statements about the problem, where the majority of techniques start
from a single focal question.

• The participants are not generally involved in the process after submitting their ideas.

• The end product is a report which should incorporate all the ideas barring duplications. The leader
alone, or a task force, compiles the report.

Target Statements

The starting point for CSM is the target statements, which are compiled in advance. A target statement
consists of a basic problem area, a stated overall problem, and additional statements which help define
the problem. An example is shown in targets "A" and "B."

Target A: office move planning (basic problem area)What are the key challenges of the move?
(overall problem)• What concerns employees most about the move?• What are the main difficulties
involved in planning the move?• What are the main frustrations, problems, bottlenecks, delays of the
move expected to be?• Write each frustration, problem or difficulty related to the move on a separate
slip.

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Target B: logistics of the move (basic problem area)

How to make the move physically (overall problem)

• Solutions are just problems in reverse.

• What are your best suggestions for remedying the problems you just
identified?

• What have you seen or heard of other people doing that worked well?

• If you were in charge, what would you change to make things run more
smoothly?

• Write your first thoughts on a slip; don't wait for a better idea to come.

• Write each idea on a separate slip.

You might add more target statements, up to about three or four for a session. It all depends on what
you want from the group. You might add a target statement relating to morale problems associated
with the move, for example.

The Key Steps

1. Once the target statements are prepared, the group meets. Participants are each given a stack of
slips or small index cards to write their ideas on. These should be deliberately small to keep the ideas
concise, and to make the next stages easier.

2. The participants are given the first target statement and asked to write their ideas on the slips. Give
them about ten minutes to do this. Then move on to the next statement.

3. At the end of the session collect the slips and thank the participants for their ideas.

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4. Now perform the data reduction and write the report (we'll look at this in more detail in a moment).

The Rules of Engagement

There are certain rules which the participants in CSM should follow when writing their ideas on the
slips. These are intended to make the ideas clear and concise, and easy to use for the later stages of
the process.

• Write along the long side of the slip, not across the short end.

• Write on the top edge of the slip.

• Write one sentence only on each slip.

• If an idea requires an explanation, write the explanation on a separate slip.

• Use short sentences and simple words.

• Write in note form (don't bother with words like ''it" or "which").

• Don't use jargon.

• Write out acronyms in full, at least the first time you use them.

• Keep writing until the leader calls time.

Compiling the Report

Once the session is over, you have a huge pile of slips or index cards. The next stage is to sort these
out. Begin by organizing them into lots of general categories, removing duplications as you go. Then
combine these into a few major categories.

You should now be able to see an outline for your report, which you compile as you would any other
report, incorporating the ideas on the slips into sections, paragraphs and bullet points.

As you can see, the end result of CSM is the kind of report most managers frequently prepare. The
only difference is that in the space of half an hour or so, CSM gives you a huge reservoir of valuable

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ideas to draw on, and everyone you involve in the process shares in the ownership of the final report.
As with many creative thinking techniques, the process is of great diplomatic importance, in making
everyone feel they have had an input into the final solution, process or decision.

CSM in Action

Imagine that you are in an increasingly competitive hi-tech industry, with a growing need for top
quality, well trained, motivated staff in areas of the business where you have not previously invested
heavily in personnel. You have agreed that the key to remaining competitive is to change your
recruitment strategy, but you have not yet examined how to achieve this effectively.

This is a good opportunity to bring senior managers together for a creative session using CSM,
beginning with your first target statement "A".

Give everyone about ten minutes to write all their ideas on slips of paper or small index cards, and then
collect these in. Pin up the next target statement "B" (or hand round copies) and give the group another
ten minutes or so to record ideas related to these statements and questions.

Target A: changing our employee profile

Employing top quality people

• A business is only as good as the people it employs.

• What will be the key benefits of employing the best people?

• What will be the implications in terms of cost, training, staff turnover, team
relationships?

• What will be the effect from our customers' point of view?

• Write each idea on a separate slip.

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Target B: suitable applicants

How can we locate suitable people?

• Where are the best people likely to be?

• How can we let them know that we want to hear from them?

• What are likely to be the biggest problems in identifying and attracting the
attention of the best people?

• Write each idea on a separate slip.

Now repeat the process again with your final target statement "C":

Target C: attracting top people

How can we persuade people they would like to work for us?

• Recruitment is a two-way process.

• What factors will determine whether people want to come and work for us?

• What could we offer that other companies don't, which would have real
appeal?

• How can we let potential applicants know that we are worth applying to?

• What do you consider the plus points of working for this particular
company?

• What are the minus points of working for this company?

• Write each idea on a separate slip.

At the end of this process, collect up all the slips. You can now use these ideas to produce your
report, which will cover:

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• the benefits of changing your recruitment strategy;

• the effects of the new strategy;

• how to reach potential applicants;

• how to encourage applications from the right people; and

• how to make sure that the best people want to work for you.

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Delphi Technique
In ancient Greece, if you wanted to know the future, you asked the oracle at Delphi. The Delphi
technique is quite specialized; you would only use it when you wanted to call on the ideas of a group of
experts (who are probably geographically separated) to produce a forecast. It has been used, for
example, to make predictions ranging from future trends in logistics management to expected tourism
levels in Singapore.

The technique for this kind of forecasting is a little long-winded, but effective. You need to construct a
questionnaire based around the scenario you want forecast. This questionnaire is then mailed (or e-
mailed) to each of your experts.

Group technique: problem solving

This non-interactive forecasting technique generates creative input from a

disparate group of people. Questionnaires are mailed to each member of the
group, their responses combined and refined, and then returned to them. This
process continues until consensus is reached.

See also: Nominal group technique.

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When the results are returned, they must be analyzed and summarized. These summaries are then
returned to the experts, who are asked to revise their responses where necessary. If any response
varies widely from those of the rest of the group, the expert is asked to justify their difference of
opinion.

The revised responses, and any justifications, are then summarized and circulated again. This process
of summarizing and revising continues until the group reaches a consensus.

Pros and Cons

This technique arguably generates a lower level of creativity than some; however it does have a
number of advantages to offset this:

• It can bring together the ideas of experts who are geographically separate.

• Everyone has an equal input.

• Ideas remain linked to the person who generated them, which can be useful when experts are being
used.

• Ideas are not influenced by pressure from the rest of the group.

There are disadvantages to the Delphi technique, which you need to take into account before you use
it:

• The quality of the questionnaires and the input of the analyst are hugely important in the success of
the process.

• It is time-consuming, even if you use e-mail to communicate with your group of experts. Summarizing
and refining the responses takes time.

• It lacks the spontaneity of many other creative techniques.

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Example

Suppose you want your group of experts to predict the most important trends over the next ten years
in your industry—say it's the fast food industry. A typical set of questions is contained in the adjoining
questionnaire.

Questionnaire

• What are the greatest threats facing the fast food industry over the next ten
years?

• What are the greatest opportunities?

• What will fast food customers be looking for in terms of service?

• What will customers want in terms of product range?

• How do you see the size of the fast food market changing in the next ten
years?

Take the first question as an example. You might find that you get a list of twenty threats. In that case,
try to summarize them into broad categories—too much competition, increasing costs, lack of suitable
locations—and return this summary to your experts for them to agree or revise. Perhaps just one of
your experts came out of left field and suggested that a huge increase in vegetarianism would threaten
the conventional fast food market. In that case ask them to justify this prediction, and circulate their
evidence.

Go through this process with the whole questionnaire. After a couple more trips back and forth, you
should arrive at a summarized response to your questionnaire which all your experts are happy with.

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Discontinuity
An accountant I used to work with had an unusual way of solving problems. If he simply couldn't
fathom out why, for example, the books didn't balance, he would say: "Time to change my socks." He
would then remove his shoes, take off his socks and turn them inside out, put each one back on the
other foot, and replace his shoes. Then he would straighten up, look at the ledger again, and say: "Aha.
This is wrong here. The customer changed the order on Tuesday morning, I remember now, and we
put through a credit note and we also cancelled the original order ...'' It was uncanny how this
apparently pointless sock-changing palaver gave him the solution almost every time.

In fact, this is a perfect example of discontinuity. Habitual behavior does not stimulate our thinking. But
by putting ourselves into

Individual technique: problem solving/idea generation

The principle behind this is that your mind can get stuck in a rut, which inhibits
creativity. Discontinuity is an approach which forces you out of the rut by
introducing untypical behavior or ideas to jar you into a new way of thinking.

See also: Random stimulation.

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a new mode of operating, we force our minds to see the world differently, which often leads us to new
realizations and connections. The point about changing the socks was that it was a conscious act
designed to make my colleague feel different. Feeling different is only a small step away from thinking
differently.

As a creative technique, discontinuity is about forcing yourself to look at things from a fresh
perspective by upsetting routines or by thinking in a way to which your mind is unaccustomed.

Creating Discontinuity

Changing your socks is not your only option (good news for anyone who doesn't wear socks). There
are two key types of discontinuity you can create: discontinuity of behavior and discontinuity of
thought.

Discontinuous behavior is just a matter of doing things differently. Coming into work early, or taking
the train instead of driving. You could watch a television program you don't normally watch, or read a
children's book (if you are a parent, try reading a grown-up book for a change). Eat food you never
generally eat, or buy yourself bright pink underwear. Hold your meetings in the park instead of the
office, or stand on a chair to hold phone calls. Try talking in a different accent all day. Ask your
colleagues to address you by a different name. Get tipsy at lunchtime—or if this is your usual style, try
staying sober all afternoon.

Discontinuity is a fun technique, and you'll find you start to think differently. The only rule is that you
can't keep repeating the same behavior change, or it ceases to be discontinuous. If you get your
colleagues to address you as Myrtle every day, it will slip into habit within a few days.

Discontinuous thinking is about provoking our minds into new thought paths by thinking in a new
way. This juxtaposes old and new thinking to produce creative ideas. The way to do this is to give
your mind something untypical to think about. It may be a piece of poetry or an inspirational quote.
But don't use your favorite poem

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which you know by heart; find something new—perhaps by opening an anthology at random.

Zen Buddhists use Zen koans to force their minds to open up and think creatively. A koan is a short
story, usually about a Zen master and student, which is designed to reveal a great truth to those who
can understand it. If you grew up in the 60s, you'll probably enjoy this approach to discontinuous
thinking. Even if you didn't, you may well find it stimulating. Here is an example:
A Zen master wanted to appoint a monk to open a new monastery. He told his students that the job would
g o to whoever answered his question most ably. He placed a jar of water on the g round and said: "W ho
can say what this is without speaking its name?"

The chief monk said, "It can't be called a wooden shoe." The cooking monk, who was named Isan, tipped
the jug over with his foot and left.

The Zen master smiled and said, "The chief monk has lost.'' So Isan became master of the new monastery.

You can think about your poem, quote or koan for a while and then go back to your problem and see
if you look at it in a different light. Or, as a more general approach to creative thinking, start each day
with a different koan or a new inspirational piece of writing.

Discontinuity is a driving force behind Edward de Bono's invented word, "Po," which stands for
"provocative operation;" something which jerks you out of your existing pattern of thinking. It is also
the principle underlying Roger von Oech's bestselling creativity book, A Whack on the Side of the
Head.

Discontinuity in Action

Suppose you're puzzling over how to handle promotions in your department. You have two very able
people, but only one can be promoted to the newly vacated post. You would be happy to pro-

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mote either, and don't want to set up rivalries and resentment. After worrying away at the problem for
a while, you decide to try discontinuity to help you find a new angle on it.

The precise nature of the discontinuity isn't important since it doesn't need to relate to the problem in
any way—it simply needs to jolt you into a new viewpoint. So you decide that tomorrow morning you
will come into work by train instead of by car, and you'll read a Gary Larson cartoon book on the
train (a good choice for discontinuous thinking). Instead of working in your own office, you'll share a
desk with one of your team and work in the open plan office with everyone else. You'll have a
lunchtime drink at the pub with some of your staff instead of working through. And you won't think
about the problem again until you're on the train on the way home.

By the time you head home, you should be in a very different frame of mind from usual, and able to
approach your problem from a different perspective. This can lead to new insights. For example, why
not create two new posts of equal status and promote both your star people? Or devise some kind of
job share so that they both share the function of the vacated post, with salary and job titles to reflect
the new workload? By freeing yourself up to wander around the problem and look at it from new
angles, discontinuity can give you some lateral solutions.

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Drawing Techniques
Creativity is handled in the same (right) hemisphere of the brain as visual skills, while verbal skills are
located in the left hemisphere. This means that many people find it easier to link creative and visual
skills together than creative/verbal skills, since you focus your thinking in only one side of the brain. So
if you try a pictorial approach to creative thinking you may find your creative juices flow more freely.
This technique may work especially well for men, since they are typically more inclined to use one
hemisphere of the brain at a time, while women's brains seem to use both sides at once more readily.

If you are already a keen doodler, you may well realize its benefits. If you aren't, these techniques will
have the added benefit for

Individual/group techniques: idea generation

Many of us like to doodle while we're on the phone, or to sketch an object as

we talk about it to get a clearer picture—literally. This group of techniques
draws on the brain's ability to think visually as well as verbally.

See also: Brainwriting, Conscious intuitive techniques, Left-brain/right-brain

thinking, Pattern language.

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you of opening up a new way of thinking, which in itself is a spur to creativity.

Draw Your Problem

One of the simplest drawing techniques is simply to sit down with your pen and paper and draw your
own perception of the problem. If you were designing a kitchen and you wanted to work out how to
fit in all the appliances and the furniture, you would probably do this without thinking. But try it for less
obviously visual problems.

Perhaps you are trying to solve the problem of customer complaints about frequent late deliveries. Try
drawing out the delivery routes, or drawing the delivery vehicles, or even drawing an angry customer
shouting at a driver. Simply by focusing the right side of your brain on the problem, you often spark off
a solution.

Doodles and Scribbles

If you want to take a more abstract approach, focus on your problem and then just doodle the first
thing that comes into your mind, concrete or abstract. As with all creative and intuitive techniques, it
helps to do this when you are already relaxed. Many people like to draw a border of some kind
around the page, which represents the parameters of the problem or challenge so as to help you focus
on it. You might also want to experiment with:

• drawing with your other hand;

• drawing with your eyes closed;

• drawing with colored pencils; or

• using ink splashes, sponged patterns and other methods of creating images.

You can keep drawing for as long as you feel you want to, and complete one drawing or several.
When you have finished, study your

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drawing or doodle. Look at the whole picture and at individual parts of it. Somewhere in the drawing,
you should see something which helps you to a realization about your problem or challenge. Look for
patterns and shapes, or relevance in objects or people you've drawn.

Brainsketching

This is a very different technique, and a group one, but it also harnesses the creative power of visual
thinking. It is very similar to brainwriting but uses visual images rather than words. Here's what you do:

1. After establishing the focal question, each member of the group draws an idea for a solution on a
sheet of paper in front of them. This can be a clear illustration of the solution but it doesn't have to be.
It can be abstract or symbolic. Group members should not talk while they are doing this.

2. After a set time—five minutes is about right—everyone passes their drawing on to the person next
to them.

3. On receiving the new drawing, each group member studies it and then tries to improve it. This might
entail adding to it, making notes on it, or perhaps drawing a fresh sketch inspired by it.

4. Repeat this process until time is up; three passes is generally enough.

5. The whole group now evaluates the ideas on each sheet of paper.

Examples

Thomas Edison was a keen visual thinker. Before he formulated an important idea, he used to make
hundreds of sketches and abstract doodles. Many of his doodles which he drew before inventing the
light bulb still exist, although they are meaningless to just about everyone else.

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Another keen doodler was Leonardo da Vinci. He used to scribble randomly on a sheet of paper with
his eyes closed. When he had finished, he studied the page for patterns, people, events or objects in
the random lines. This, apparently, produced many of his best inventions and works of art. Da Vinci
wrote:
"I must mention a new method of study which, althoug h it may seem trivial and almost ludicrous, is very
helpful in awakening the mind to all sorts of inventions. W hen you look at a stain-spotted wall you may
recog nize a similarity to various landscapes beautiful with mountains, rivers, boulders, trees. Or you mig ht
see battles and men in action, or strang e faces and outfits, and an infinite variety of thing s which you
could clarify into whole, well-drawn forms."

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Excursion Technique
Suppose you have a really difficult problem to solve. You've already tried another technique, perhaps
brainstorming, but the group hasn't come up with a solution. This is when the excursion technique is
likely to prove useful. It works especially well if the problem is quite narrow in scope, and when you
know you need a radical solution but you can't quite put your finger on it.

Maybe you are trying to find a way to design a motorized pushchair that doesn't present any safety
hazards. So far every possible solution you've come up with presents another problem, but you're
convinced there's an answer if only you could look at the problem in the right way.

The excursion technique has four basic steps. Here's an overview:

Group technique: problem solving

This technique pulls out all the stops to solve really knotty problems by
combining visualization and analogy techniques in a group setting.

See also: Forced relationship, Synectics.

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1. The excursion itself—each member of the group goes on a personal visualized journey and
records what they see.

2. Analogies—each person now finds analogies between the images from the excursion and the
problem at issue.

3. Evaluating the analogies—the next step is to identify the practical use of these analogies so as to
create solutions to the problem.

4. Sharing with the group.

The Excursion

The group leader reminds everyone of the problem they are there to solve. Then each person closes
their eyes and spends about ten minutes going on a private visual journey of their own in a location
given to them by the leader. If any members of the group are unused to this, it is very important that
the leader coaches them in order to ensure that they let their imaginations run freely.

• The excursion can be to any place the leader determines, real or imaginary. You might choose a
railway journey, a theme park, a farm, a mountain road, a World War I trench, a journey through
space, a walk through a favorite city . . . anywhere you like.

• The important thing is for participants to let their imaginations run. Anything goes; they can visualize
whatever comes to them.

• They should examine everything on their excursion in detail. If they take a walk through a wood they
should notice, for example, the leaves, the type of trees, whether it's sunny or overcast, the sound of
the twigs cracking beneath their feet, any wildlife—squirrels, birds, wild flowers, toadstools—the smell
of the place . . . in other words everything they would notice if they were really there, looking around
and taking it all in.

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The participants should record what they see on the left hand side of a sheet of paper. So for the
example above they might list oak trees, acorns, sunshine, crackling twigs, squirrel, toadstools, and so
on. They can do this either as they go along or after they have finished. Many people prefer to make
these notes at the end of the excursion otherwise they have to open their eyes during it, which can
break their thread.

The Analogies

The next step is for each participant to spend about 15 minutes looking for analogies between the
objects on their list and the problem they are there to solve. So if you're trying to design a safe
motorized pushchair, you might come up with something similar to the adjacent two-column table.

Observation Analogy

Oak trees Pushchair motor should be strong and long -lasting

Acorns An acorn is smooth and rounded so that you can't hurt

yourself on it

Sunshine Sunshine g ives streng th and life to plants and animals, just as
the motor does to the pushchair

Crackling The cracking sound of the twig s is like the noise of the
motor.

Squirrel Squirrels hide thing s, just as the motor should be hidden out of
reach

Toadstools Toadstools appear and disappear overnig ht, and the motor
should come on and g o off as it is needed

You don't have to be pedantic about using only analogies; what matters is to find some kind of
relationship between the object visualized and the problem you want to solve.

Evaluation

This is really the most crucial stage. Each group member now has to

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decide how the analogy or relationship between each object and the problem can actually be used to
find a solution. These are the ideas you are here to generate, and this is just as creative a process as
the first two steps. The ideas generated should be written down in a third column appended to the
existing two-column table.

Observation Analogy Solution

Oak trees Pushchair motor should No batteries which

be strong and long -lasting can run down, no fuel
which needs refilling

Acorns An acorn is smooth and Entire motor unit enclosed

rounded so that you can't in a smooth sphere
hurt yourself on it

Sunshine Sunshine g ives streng th Solar power?

and life to plants and
animals, just as the motor
does to the pushchair

Crackling twig s The cracking sound of Clockwork mechanism

the twig s is like the noise or dynamo
of the motor

Squirrel Squirrels hide thing s, Enclose the motor and motor and
just as the motor should prop shaft inside a
be hidden out of reach childproof casing between
the front wheels which is
disg uised as a footrest

Toadstools Toadstools appear and Motor which winds up as

disappear overnig ht, you push along or downhill,
and the motor should and helps propel the
come on and g o off pushchair uphill when you
release it

Sharing

The final step is the one which introduces valuable group interaction. Each member of the group shares
with the others the ideas on their list, starting with the excursion and the analogies, before going on to
explain the solutions. The group as a whole can then build on

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these ideas to come up with a workable solution. In this example, you might end up designing a
pushchair driven, when going uphill, by a dynamo concealed beneath the footrest, and recharged by
the motion of pushing the pushchair on the flat or downhill. As you see, not every idea is
incorporated—you might in fact have pursued the solar power route instead—and other participants
may have generated very different but equally valid ideas. But the excursion technique has produced a
solution to a long-standing problem.

Example

This is a very creative process which combines more than one technique. This is one reason why it is
so effective. By the time group members begin to share their ideas they should be in a very creative
mode. Consequently some of the ideas may be reached very indirectly... but hey! Who cares so long
as you find the answers you need?

One instance of this is a group of people from NASA who wanted to find 'a way to fasten space suits.
Since this was proving difficult, the group leader decided to try using' the excursion technique. He got
the group members to go on an imaginary journey through a jungle. In the final, sharing stage of the
exercise, one man described being ''clawed at by weeds" and, as he said this, he demonstrated by
clasping his hands together with his fingers interlocked. Although this meant little to him, the other
members of the group made comment on the gesture and discussed it. To them, it was reminiscent of
Velcro clasping as it overlaps. The eventual solution to their problem was a kind of Velcro-style
fastener.

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FCB Grid
The FCB grid was the brainchild of Richard Vaughn of the Foote, Cone and Belding advertising
corporation. He devised it to help identify the market position of products and services, and to spot
any gaps in the market. If you want to analyze your position relative to that of your competitors, or to
look for market gaps, or—like Richard Vaughn—formulate a marketing strategy, try drawing an FCB
grid.

Start by drawing a four-cell matrix. On one axis mark high involvement and low involvement, and
on the other mark think and feel (see Fig. 1, p. 82).

Individual technique: idea generation

The FCB grid is a simple matrix, which helps you identify and position new
products and services by creating a visual representation of their place in the
market.

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Fig . 1

• High involvement represents expensive products and services such as holidays, cars and
computers.

• Low involvement represents inexpensive products and services such as dry cleaning, groceries or
stationery.

• Think represents products and services with which customers are not emotionally involved, but
choose on the basis of verbal, numerical, analytical, cognitive criteria. These are such things as
computer software, cameras and dishwashers.

• Feel represents products or services that have an emotional appeal such as beauty products, clothes
and fiction books.

You can now place any product in the correct quadrant of the matrix. For example, you would put
breakfast cereal in the bottom left—low involvement/think—quadrant. A mortgage goes in the top
left section. An expensive designer wedding dress belongs in the top right, and everyday make-up
goes in the bottom right.

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To make the FCB grid useful, however, you need to take this one step further. You also need to place
products in the right part of the quadrant. So a life insurance policy would be part way up the high
involvement square, but not as high up as a house or a luxury boat. On the other hand, it would be well
over to the left of the think section, since it is selected by the customer on almost entirely functional
rather than emotional criteria.

A sports car, on the other hand, is also a high involvement product, but is probably selected more on
the basis of feeling than thinking. Concrete data about performance is important, so it should be close
to the 'think' side, but it is generally the image of the car that sells it, so it goes in the top right cell (see
Fig. 2).

You can place your own products in their rightful positions in the matrix, and you can also put your
competitors' products in place. This way, you can see how a group of products is spread out around
the matrix. You might find that your product falls in the middle of a cluster of competitors' products, or
that it is located somewhere very

Fig . 2

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different. Or you might establish that your own product or service range is grouped closely together,
and you are missing opportunities to diversify.

The FCB matrix is a valuable way to generate ideas. You might notice that you have products
everywhere except in the bottom right quadrant. This should spur you to look for mileage in
developing low involvement/feel products.

You can, of course, put anything else you want to on your axes. You might have a range of fridges
with varying capacity, and different sized ice-compartments. If you arrange these on an FCB grid
(numbering each product in the range to make the grid easier to read), it might look something like the
one shown in Fig. 3.

This makes it very easy to see at a glance that what you don't have is a low capacity fridge with a large
ice compartment. Perhaps there is a market for this, with people who buy a lot of frozen foods.

Fig . 3

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Example

One of the very best advertisements for the FCB grid is Apple Computers. Before launching, Apple
drew up a grid of the computer market. All the main players were selling computers in the high
involvement/think quadrant. Going into the same type of market as these huge organizations such as
IBM would have been lunacy. So Apple decided to position themselves diametrically opposite, in the
low involvement/feel sector.

They made a computer for ordinary people instead of for experts, and they called it a personal
computer—a much more feely name than, for instance, a minicomputer. They adopted a marketing
strategy, which emphasized that their computers were part of a whole new concept, designed for non-
experts and really user-friendly. And this was the strategy that made them so successful competing
against the giants of the industry.

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Forced Relationship
Sometimes the key to finding new ideas lies in combining existing ideas or concepts. Forced
relationship techniques work by making you find connections that you might not otherwise have seen.
There are various ways of doing this, some of them reminiscent of other techniques. Two of the key
ones are the circle of opportunity, and forced analogy.

Circle of Opportunity

This technique starts with a list of twelve key attributes of the product or service you are trying to
generate ideas around (see Attribute

Individual technique: idea generation

The spur to creativity in this technique comes from forcing your mind to make
connections between two apparently unconnected things, one of which relates
to the ideas you want to generate.

See also: Analogies and metaphorical thinking, Morphological analysis,

Random stimulation, Two words technique.

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listing, p. 31). Imagine you are a tour operator trying to develop a new type of holiday. You would
list attributes such as destination, food, transport, warm, distance, sunshine, luxury, swimming, activity,
accommodation, time, children. You are looking for twelve words, which you associate with holidays;
but it doesn't matter which twelve you choose.

1. Draw a circle and mark off twelve numbered points around it, like a clockface. Beside each of
these numbers, write a key attribute (see Fig. 4).

2. Now throw two dice to choose an attribute. Then throw a single die to choose another attribute.

3. Think about both these attributes separately and in combination. Think of unusual ways to develop
these attributes, and ways of combining both attributes. For example, you might have thrown 4 and 11:
distance and children. How can you combine these? Perhaps you could run holidays where the
children stay

Fig . 4

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separately from their parents—near enough to keep an eye but far enough for a bit of peace and
privacy. Or maybe you could organize long distance holidays for children without their parents but with
qualified adults to look after them.

4. Free associate the two attributes, separately and together. For example, distance might give you:
space, emptiness, room, door. Children might give you: playing, swing, fresh air, weather. Now
use these words to help you find other ideas. For example, space and weather might make you think
of wide open spaces where you can watch the weather—maybe holidays to view solar eclipses or
chase twisters. Door and playing might give you the idea of an indoor play area for kids—perhaps
self-catering chalets which include a child's playroom equipped with toy cars, indoor slides and other
toys.

5. You can also use these attributes as the basis for other techniques such as mindmapping or
brainstorming. Although circle of opportunity is generally used as an individual technique, it can also
work well in a group session.

As a variation of this technique, you might choose general attributes, rather than ones that relate to
your particular topic. For example, you might list the items shown in Fig. 5.

This is a circle of opportunity, which you might use time and again to generate different product ideas.
Or you might list functional attributes of a process, such as selling, marketing, promotion,
manufacturing, time, economy and so on. It's up to you to decide which attributes will help you find the
ideas you're looking for.

Forced Analogy

In the analogy technique on p. 16, the aim of the exercise was to find an analogy for your problem.
Forced analogy, however, doesn't allow you such a luxury. You can't choose the analogy. This is
much better suited to finding new ideas than to solving problems, although it can be used for either.

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Fig . 5

The gist is simple. You simply compare the subject you want ideas for with something else that has
nothing obvious in common with it. Then you have to find similarities between the two. You can
generate random objects to compare your subject with in several ways:

• Open a book at random and find a word.

• Prepare a list of about 60 words and write each one on a card. Then choose a card at random.

• Cut pictures out of magazines, stick them on cards and use these instead of words.

Now list the attributes of this randomly chosen object, and then find a similarity with your subject for
each one. So for your holiday ideas, you might find the word tree. List the attributes of a tree first of
all, and then find analogies between these and a holiday. Use these analogies to generate ideas.

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Example

In his book The Art of Creative Thinking, Robert Olson shows how to draw analogies about a
corporate organization structure from a matchbox.

Attributes of a
matchbox Corporation

Striking surface on two sides The protection an org anization needs ag ainst strikes

Six sides Six essential org anizational divisions

Sliding center section The heart of the org anization should be slideable or
flexible

Made of cardboard Inexpensive method of structure—disposable

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Force-Field Analysis
Kurt Lewin originally devised force-field analysis as a model for managing change. He argues that
change is brought about when the driving force for change exerts greater pressure than the restraining
forces that resist it. The change that results is caused by this interaction. The tendency for those who
want change is to push for it, but this is likely to invite resistance. Lewin developed force-field analysis
to help find other ways to bring about change. He suggests that a better way to bring about change
might be to lower the resistance rather than to increase the pressure. Force-field analysis helps identify
ways to do this.

Force-field analysis can, in fact, be used to resolve a far wider range of problems. It is a useful
technique to use if you are faced with a challenge that you are not certain you can meet fully. Perhaps
you want to increase your market share, or persuade senior management to expand your department.
Maybe you want to put together a

Individual technique: problem solving

Developed by Kurt Lewin, this is a kind of variation on the traditional ''listing

the pros and cons" approach to problem solving. It helps you to define the
challenge, identify your strengths and weaknesses, and then do something
about it.

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presentation that will help win you a new contract, or perhaps you want to sell off part of the business
for the best possible price. Force-field analysis can help you to assess whether a plan is worth
pursuing or, if you have already decided to pursue it, force-field analysis can help you improve it.

Force-field analysis forces you to identify the plus and minus factors in the challenge—all the forces
acting on it, both positive and negative. Then you can examine how you can swing the balance further
in your favor by:

• maximizing your strengths; and/or

• minimizing your weaknesses; and/or

• adding more positive factors.

The Steps

1. The first thing to do is to draw up two lists: all the positive forces in one and all the negative forces in
the other.

2. Now draw a diagram showing these two lists in columns either side of a central divide, and show
the tug-of-war between them.

3. Use this diagram to look for ways to reduce the divide.

Imagine that you plan to launch a big Web site that will give information and invite customers to order
from you on the Net. Your force-field analysis might look like Table 1.

The next step is to look for ways to reduce the resistance to change, increase the pressure, or add
more positive factors, since any of these will swing the balance in favor of change. This is shown in
Table 2.

A popular adaptation involves allocating a score, from 1 (weak) to 5 (strong), to each force. This way
you can establish a numerical assessment of the balance of forces on either side. You could do this as
in the third table. Initially the forces for change come to 10 points, and the forces against total 11
points.

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Once the forces against change have been reduced, however, the equation swings much more strongly
in favor of change (12:7), even allowing for the additional cost of staff training, as in the fourth table.

Example

Force-field analysis can be broadened to analyze challenges and plans other than those which involve
managing change. In this case, rather than putting forces for and against change at the top of the
columns, simply put positive and negative forces.

Let's suppose you want to put together a big presentation, and you're concerned you won't pull it off
successfully. By using force-field analysis, you can identify your chances of success, and then take
action to improve them, listing the positive and negative forces, as in Table 4.

Now have a look and see whether any of the positive forces can be enhanced further, new positive
forces added, or negative forces reduced. How about bringing in a professional coach to train the
presenters to improve their skills and stop them being so nervous? And if your own managers are
uninspiring as presenters, perhaps you could ask a charismatic manager from another part of the
company to take a lead role in presenting. As for the script, you could go on a course in presentation
skills and learn how to improve it yourself. Now your force-field analysis should look more like the
Table 5.

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Your big presentation now looks more likely to succeed. You have reduced the negative forces, and
added to the positive ones, to create a far more promising scenario (see Table 6).

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Gordon/Little Technique
One of the biggest blocks to creativity is being too close to the problem you're trying to solve. This can
make it impossible to see the wood for the trees, and tends to generate only trite and obvious ideas.
Back in 1961, William Gordon, of the Arthur D Little consulting firm, came up with this technique to
get around this common problem.

The broad idea is to pull back as far from the problem as possible by looking at the most abstract
expression of it you can find. So, for example, instead of asking the question "how can we cut our
delivery times from two weeks to 48 hours?" you simply ask:

• "How can we make our customers happy?"

• After exploring the answers to this question, you make it a little more specific: "How can we give
good customer service?"

• Generate answers to this and then become more specific still: "What do customers want from a
delivery service?''

Group technique: problem solving

When you can't see the woods for the trees, this technique uses an abstract
approach to help find creative solutions.

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• Finally, state the real question: "How can we cut our delivery times from two weeks to 48 hours?"
and generate ideas in the light of the answers to the previous questions.

Three levels of decreasing abstraction before you restate the original question is generally about right,
but of course you can vary this if you wish.

The role of the leader in this technique is important, since it is their job to encourage the group to think
in big, broad terms, and to pose questions that help towards this. As the questions become more
concrete, it is increasingly important to keep this creative mood going, and to arrive at the final
problem with a more open mind than usual.

It often works well to keep the group in the dark about the real problem at issue until the last part of
the session. However this is often not possible, and often group members will guess by the second or
third level of abstraction what they are there to resolve.

Example

Here's an example to illustrate how the answers to abstract questions can help to illuminate a more
concrete question. Say your problem is that you have a very high level of absenteeism and you need to
find ways to reduce it. Begin by asking the group a very abstract question: "How do you get people to
do what you want them to?" The answers might include:

• pay them;

• bribe them;

• make it fun for them;

• threaten them;

• trick them; and

• persuade them.

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For your next question, moving slightly closer to the real problem, you could ask: "What makes people
want to do something?" Ideas might include:

• they enjoy it;

• it makes them feel important;

• it brings a financial reward;

• it makes them feel physically good;

• it makes them feel part of a social group; and

• it earns them praise.

The final level of abstraction might be: "Why do people come to work?'' The list of ideas might look
something like this:

• they need the money;

• they enjoy it;

• they like to see their friends at work; and

• they want an excuse to get out of the house.

Having been through all these stages, you can now tell the group the real question—"How can we
reduce absenteeism?"—and ask them to generate ideas in the light of their answers to the previous
questions. Here are a few possibilities, and the earlier ideas that sparked them:

• Rearrange workstations so that people are better able to talk to their colleagues (help them to feel
part of a social group).

• Reward the people with the best attendance records by upgrading job titles (make them feel
important).

• Pay people an attendance bonus for very low absenteeism (bribe them).

• Organize some kind of lottery or bingo style continuous competition. If you don't turn up, you can't
collect that day's lucky number (make it fun for them).

• Introduce flexitime so that people can work when it suits them best (give them an excuse to get out
of the house).

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• Improve break time facilities: add a gym (make them feel physically good) and a comfortable rest
room (they like to see their friends).

• Post a list each month of those people who have made a hundred percent attendance (give them
praise).

• Paint the place in bright colors, have fun motivational meetings at the start of the day, play games at
work (make it fun for them).

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Involving An Outsider
Have you ever noticed that when someone calls you up and says "I'm after ideas for something, could
you think about it and call me back?", somehow the ideas never flow well. However, if the same
person calls you and says "Have you got five minutes? I'm after some ideas," between the two of you,
you often find that ideas come tumbling out.

Some people resist asking for input from others as though it is an admission of their inability to solve
the problem on their own. In fact, however, it produces results you couldn't generate on your own,
because the other person provides a creative stimulus. The combination of two minds is greater than
the sum of its parts.

Individual technique: problem solving/idea generation

The time-honored practice of asking for advice or input from someone else
might seem incongruous at first in this book, but it can be one of the most
creative—and simplest—ways to solve problems or generate ideas.

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Who to Ask

One of the most important aspects of this creative technique is knowing who to ask. Of course, you
can consult as many people as you like, but the most efficient approach is to ask the most potentially
productive. And who you ask depends on what you want from them.

Expert Advice

The most common, but arguably least creative, application of this technique is to go to an expert. Find
someone who is a professional or who has encountered your problem before. In this case you are not
really asking for new ideas; merely for existing ideas which you are unaware of but the expert will
know. In fact, experts can sometimes be less creative than others because they are too closely
involved in the problem.

Experience in One Part of the Problem

Perhaps you have a sticky problem to resolve with your staff, which involves great diplomacy. You
could try asking someone who knows little about dealing with staff but a great deal about diplomacy.
How about asking a nurse? Or a police officer? Their different perspective still incorporates the core
skills you need to draw on, and can stimulate a creative new approach.

Diplomacy is not the only skill you might want to call on. Perhaps you know someone with no
technical understanding of your problem but a very methodical, logical mind which might help you to
find the solution you want. Some people are notable for their empathetic understanding of human
emotions, or their natural grasp of physics, or their intuitive ability to solve problems. When you feel
you need outside input, think about what it is you want, and then consult someone with the skills
you've identified.

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Neutrality

There are times when the problem in question is very controversial, and arouses strong feelings.
Should you merge two departments into one? How can you extend the premises into the car park
without removing most employees' parking spaces? Which staff are going to have to be laid off? In
these circumstances, the important thing is to find someone neutral, who will be more open to finding
creative solutions than those who have their own agenda. Being relaxed about the subject will open
them up to ideas that someone tense and hung up on the issue is unlikely to come up with.

Distance From the Problem

Sometimes you are wrestling with a problem and you're quite sure the answer is staring you in the face,
but you just can't see it. In this sort of situation, it helps to find someone who is not involved in the
problem at all and who may be able to see what you simply can't. A friend, partner or even a child will
often help you to solve this sort of problem creatively.

High Level Creativity

Some people have naturally quirky, creative minds. Cultivate these people, and consult them when you
encounter the kind of problem which you feel needs a really radical or off-the-wall solution.

Getting the Best From Other People

There is an art to getting the best input from outsiders. As well as cultivating a list of friends,
colleagues, ex-colleagues, family and so on to consult when you need outside help, you also need to
ask in the right way to get the best response.

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Take Their Time

As a creative technique, asking an outsider doesn't simply mean getting someone else's ideas. It means
combining someone else's ideas with your own to produce a creative merger of ideas. To do this, you
need to interact. So it's no good stating your problem and asking someone to go away, think about it,
and then come back with any ideas. You have to talk to them directly. Ask them for a few minutes of
their time and, if they are busy, ask for some time later rather than just leaving it with them. By all
means tell them what you want to discuss with them, but make sure the end result is an interactive
creative session on the phone or face to face.

Don't Crowd Them With Facts

Outsiders are generally useful because they aren't blinded by the problem. You may not be able to see
the wood for the trees, but they can. So don't give them unnecessary information. Just give them an
outline of the problem. If they ask, or you feel it's needed, you can fill them in with more detail.

There is a great temptation to limit solutions to a problem. It's easy to say "Now so much business is
done by phone or on the Net, we need to find a way of streamlining our sales department without
redundancies and without moving offices." But perhaps the reason you can't see a workable solution
yourself is because you are hung up on avoiding redundancies or an office move. Don't hamstring your
outsider in this way, or they will be unable to see anything you can't see yourself. Perhaps the answer
lies in voluntary redundancies, or sales staff working from home; ideas which are easier to see if you
aren't trying to avoid redundancies or moving offices.

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Don't be Negative

Bear in mind that an answer that doesn't take account of all the details may be the spark that helps you
find a workable solution. So don't be too quick to say "Ah, that couldn't work because . . ." Think
about how the idea could be adapted to fit the conditions—or how the conditions could be adapted to
fit the solution.

Suppose you want to develop a device to help frail or disabled people to pick up your range of heavy
saucepans without dropping them. You ask an outsider who suggests a heavy-duty rubber glove with
grips on it, which help hold the handle without slipping. Don't rush to say, ''That wouldn't work
because the handles are hot and they would melt the rubber." How about changing the material from
rubber to a heat-resistant fiber? Or redesigning the saucepans to incorporate handles that don't heat
up? The reason you're asking someone else is in order to find a new approach to a solution, so use it,
don't reject it.

Example

Children are a classic source of good ideas when your own dry up. They have a freshness of
approach, and are often uncluttered by the knowledge and assumptions which dog the rest of us.
Sometimes they can see the obvious when we can't.

A salesman for Panasonic provided some sample camcorders for the kids to play with at his son's
birthday party. While they were using them, he asked some of the kids for ideas for improving them.
One of the kids said they were great, but wanted one for left handers. Until then, no one had marketed
a camcorder that was suitable for left handers but, as a result of this suggestion, Panasonic developed
a camcorder with a viewfinder that swiveled to accommodate both right and left handers.

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Left-Brain/Right-Brain Thinking
The brain is divided into two hemispheres, right and left, which meet in a central band of fibers that
transfers information between them, known as the corpus callosum. The right and left hemispheres
each have their own mode of thinking and, although we all use both sides of the brain, most of us favor
one more than the other. The right brain is essentially creative and the left brain analytical.

What is more, if you use both sides of the brain at once the two modes of processing interfere with
each other, reducing their potential performance. So the most productive way of thinking is to use your
own favored side of the brain, and think in a way which doesn't attempt to use the other side. In other
words, think purely creatively with no thought for logic or practicality, or be analytical and objective
and forget about coming up with original ideas altogether. This technique does just that.

Group technique: idea generation

The two hemispheres of the brain utilize different styles of thinking—one

creative and non-verbal, the other logical and analytical. This technique
maximizes each and then brings the two together to generate creative yet
workable ideas.

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Of course, there is a sense in which this is cringingly oversimplified, but it is clear and helpful for the
purpose of generating ideas; if you want to train your staff up to take degrees in neurology, you'll need
to go into more detail. Obviously you can't shut down either side of the brain completely; you will still
need to speak and write for example, and to use your brain for all sorts of unconscious functions. But
you can maximize your use of one side of the brain, and minimize your use of the other.

The Stages

Step 1

The first stage of this technique is for everybody taking part to identify whether they are predominantly
a left-brain or a right-brain thinker. There are questionnaires and tests to establish this, but for the
purpose of this technique they are unnecessary. Most people know perfectly well which side of the
brain they favor (and so do their colleagues), once they understand the difference, and that's good
enough for this exercise.

So what's the difference? Well, left-brain thinking is logical, analytical, verbal, linear, non-artistic.
Right-brain thinking, by contrast, is creative, artistic, emotional, non-linear. The table below gives a
clear picture of the difference: if you show it to a group, almost everybody will identify more with one
than the other.

Step 2

Once everybody has decided which side of the brain they favor, divide them into two groups. Put all
the left-brain dominant people in one group, and all the right-brain dominant people in the other group.
This works best with a good half dozen or so people in each group.

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Left-brain Right-brain

Verbal Non-verbal

Analytical Holistic

Intellectual Intuitive

Linear Non-linear

Objective Subjective

Sequential Multiple

Rational Emotional

Directed Free

Concrete Abstract

Converg ent Diverg ent

Structured Flexible

Log ical Musical

Mathematical Creative

Speaking Visual-pictorial

Pattern user Pattern seeker

Judg mental Non-judg emental

Orderly Disorderly

Literal Metaphorical

Step 3

Now instruct the groups to come up with ideas that address the focal question. Ask the left-brain
group to generate as many practical, rational, conventional ideas as they can. Ask the right-brain group
to come up with bizarre, wacky and non-rational ideas. Give the groups about 15 to 20 minutes for
this part of the exercise, and have at least two people in each group record the ideas.

Step 4

Once the two groups have come up with as many ideas as they can, swap half the people in each
group over, so that each group now contains half left-brain and half right-brain thinkers. Each group
should have a copy of each of the two lists—left-brain ideas and right-brain ideas.

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Step 5

The groups should now combine ideas from the two lists and use these combinations to generate new ideas.
One of the most productive ways to combine ideas is to take one idea at random from each list and find ways to
combine the two you've selected (but the left-brain thinkers will probably want to find a more methodical
method).

Example

Let's imagine you want to come up with new designs and features for your range of lawnmowers. Your left-
brain group might suggest ideas such as:

A make the handle a more comfortable shape;

B develop a more reliable engine;

C use a blade which cuts even lower;

D give the lawnmower a tighter turning circle; and

E create a more durable outer casing.

Meanwhile, your right-brain thinkers might come up with:

F design a lawnmower which cuts grass clippings so finely they can be spread on the lawn without being
visible;

G have a detachable strimmer on the side of the mower to strim banks and edges as you mow;

H develop a lawnmower that can tell when you run it across the grass whether it needs mowing; and

I design a mower that is powered by rotted compost.

Combining one idea from each group at random, let's look at some possible combination ideas:

B/F make a lawnmower that shaves the grass rather than rotating a blade;

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C/H put a sensor on the blade so that it stops if it doesn't sense grass at the height it is set at;

A/G Design a mower with a matching strimmer that clips securely on to the handle so you can carry it
around with you;

D/F collect the clippings in a cylinder which sprays them out in a wide arc instead of depositing them in
lumps; and

E/I compress and collect the grass clippings in a cylinder mounted on the casing, which adds composting
fluid from a refillable reservoir. When the clippings are emptied they will be ready to compost down
faster.

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Lotus Blossom Technique

This is a popular method of generating ideas in a group, since it flows fast from one theme to another.
However, it is also a useful technique to use on your own. The lotus blossom technique is helpful at the
beginning of a process to generate lots of ideas to work on, and it is also valuable in finding new
applications for existing products or technologies—this is something the Japanese are very good at,
and the technique was developed in Japan.

It was developed by Yasuo Matsumura, president of Clover Management Research, and is sometimes
known as the MY method after his Japanese initials. Lotus blossom petals—like many other
flowers—radiate out from the center. In this technique, ideas radiate out from the center following the
same pattern. These ideas, in turn, become the center of a new lotus blossom.

Individual or group technique: idea generation

This technique replicates the structure of the lotus flower. It takes a central
theme and finds ideas for it. Each of these ideas then becomes a central theme
with more ideas radiating out from it, and so on.

See also: Attribute listing, Mind mapping.

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The Steps

1. Start by writing your central theme or issue in the center of the MY lotus blossom diagram shown
here.

2. In each of the eight squares around the central square, write a related idea. If you are working in a
group, you can brainstorm these eight ideas.

3. Now transfer these eight ideas to the central squares of the outer ring of boxes, and surround each
one with another eight ideas.

4. If you wish, you can repeat the process, with any of these ideas at the center of a lotus flower.

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5. You will inevitably find, especially if you radiate out more than twice, that your ideas begin to dry
up. Even two iterations, as you can see, will generate 64 ideas. If you used every one of these as the
center of a new lotus flower you would give yourself scope for a further 512 ideas. So be realistic.
After the basic two iterations, create new boxes for only the most promising ideas, and aim simply to
fill in as many squares as you can.

Instead of writing eight ideas around the central box, you might prefer to list eight attributes of a
product or problem. So if you are looking for new ideas for designing telephones, you might list:
receiver, handset, buttons, ringer, memory, special features, casing, sound quality. You can then
brainstorm ideas around each of these.

Example

Imagine your central theme is washing machine. You manufacture them and you are looking for new
ideas to develop. The items surrounding washing machine might well be those shown here.

Also shown is a possible outer box generated by detergent.

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Each of the other seven outer boxes would have eight ideas around them. You could take any of the
most promising ideas, such as number 8: attach bottle straight on to machine, and generate a further
eight ideas radiating out from this.

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Mind Mapping
If you are using the creative right side of your brain, you inhibit its potential by using the logical left side
strongly at the same time; the more you focus your thinking in one hemisphere, the more productively it
works. So it stands to reason that if you are trying to think creatively you don't want to focus your left
brain on recording your ideas in a structured, logical manner.

Mind mapping is a right-brain approach to recording ideas. But it is more than that: it also helps you to
generate ideas because it gives your creative mind free rein. It encourages you to let go of boundaries
and structures and to think expansively.

Individual technique: idea generation

Developed in the mid-70s by Tony Buzan, mind maps are a visual and free-form
method of developing ideas using right-brain thinking. They use association
literally to draw connections between ideas and create a map of a subject.

See also: Attribute listing, Brainstorming, Left-brain/right-brain thinking, Lotus

blossom technique.

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Tony Buzan originally developed this technique for note taking, but it soon became apparent that it
works extremely well for generating new ideas. What is more, although it records ideas—and is useful
for this in brainstorming, for example—you rarely need to refer to it again because you will find that
you remember it so clearly.

The Steps

If you haven't encountered mind mapping before, you'll have to read this description in tandem with the
following diagram or it will make no sense. The basic gist of mind mapping is to begin with a central
theme, encapsulated as a key word, which you write in the center of your page. (Most people prefer
to turn an A4 sheet round so it is in landscape format.) You can draw a circle or box around this key
word, or any shape you like. If the key word is packaging, you might want to draw a 3-D cube
around it. If it is accommodation, you might draw a house, and so on.

Now draw lines leading from this central theme as you generate ideas, and along each one write any
other key words relating to the theme which spring to mind. Or you might prefer to write the keyword
with a box or circle round it, and link this to the central key word with a line.

You can write other words and ideas related to these key words beside them, or in lines leading off
them, or whatever works for you. Just keep going, linking and relating ideas until you have run out.

The Rules

There aren't any rules. Your right brain does its own thing, and the aim is to give it as much freedom as
possible. As with brainstorming, anything goes. Get the ideas down first, and worry later about how
useful each one is. You can write the satellite key words first, and then work on the ideas leading off
from them. Or just write one of

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them down and explore that before you move on to the next. You can jump around the page, jotting
ideas down as you think of them. You can create subsidiary groups of words leading from other
groups, which lead in turn from other groups. You can write ideas down anywhere on the page you
like; don't worry about putting them in the 'right' place. Just make sure you get your ideas down and
explore them.

Use as many techniques as you can to get the information down in a way that suits you. You might:

• use drawings and symbols;

• color code ideas;

• use a highlighter pen to indicate e.g. take action on this now or get more info;

• use capital letters for some ideas;

• use larger or smaller writing for different ideas; and

• use arrows to connect ideas.

Some people never get to grips with mind mapping—the lack of logical structure just doesn't suit them.
But huge numbers of people who learn the technique continue to use it. And everyone has their own
style. Some people produce very colorful mind maps, others don't color code but have pictures
everywhere, some mind maps are neat and use only words, some are a mess with icons and personal
symbols everywhere.

Example

Here is an example of a mind map, which explores the idea of mind mapping. A mind map is very
subjective, and the process of creating it is often more important than the map itself. Using someone
else's mind map just doesn't work. So the example shown here will illustrate what a mind map is, but
you will find it easier to follow this text than to learn about mind mapping from the map itself.

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All sorts of successful business people swear by mind mapping. Among many others the engineer
responsible for Boeing's technical publications unit keeps notes on everything he needs to know as a
series of mind maps in a spiral bound notebook. He also has a 40 × 4 foot mind map he once
produced, displayed on his wall.

Others use mind maps to help them decide how and when to sack employees, to develop
presentations or proposals, to predict future trends, to explore new markets and to develop new
products and services. Try it.

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Morphological Analysis
This technique is credited to Fritz Zwicky who devised it in the mid-60s, although many minor
variations on it have been developed since. It is particularly useful for modifying products or services,
or developing new ones.

The basic idea, and the simplest version, is to list attributes of a product or service across the top of a
grid. Below each, list all the variations you can think of for that attribute. So if you run a picture framing
business and want to develop new product and service variations, you might list: frame, glass, picture,
delivery. Under each, allow yourself as many boxes as you like; five is about right for a simple analysis.
In each, list all the variations of the attribute above that you can think of (see table).

Individual/group technique: idea generation

Morphology is the study of structure and form, and this technique helps you
to generate ideas by creating new combinations of attributes.

See also: Attribute listing, Forced relationship, Verbal checklist.

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Frame Glass Picture Delivery

Plastic Clear Customer's own Customer collect

W ood Perspex Chosen from rang e Deliver to customer

Metal Non-reflective Own photog raph Post/courier

Board ''Soft-focus" finish Photo-montag e Gift delivery

Glass No g lass Commission Self-assembly

Now all you have to do is take one idea from each column—chosen at random—and use the
combination to spark off new ideas. Go through this process several times and see how many good
ideas you come up with.

For example, you might select: board, perspex, customer's own picture, self-assembly. You could sell
DIY picture framing kits in materials people can easily cut to size themselves.

Or you might select: glass, non-reflective, photo-montage, gift delivery. You could sell classy, glass-
framed montages of customers' own photos and then gift package them and deliver them to an address
of the customer's choice. So people could send their parents a collection of photos of the
grandchildren, or send someone a montage of photos of their favorite pets or cars or gardens.

Variations

You don't have to stick to listing variations of the attributes you use. You can create a grid, which lists
attributes along one axis and change words along the other. Change words might be verbs, adverbs or
adjectives, such as multiply, enlarge, shrink, combine, modify and so on. In this case, you would pick a
square on the grid at random, and read off the entries on the two axes to generate an idea.

If you use ten attributes and ten change words, you should be able to generate a hundred ideas. As
with many creative techniques, quantity is the important thing to begin with; the more ideas you
generate, the more high quality ideas you'll end up with. In the example shown, the product being
considered is a food processor.

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• You might pick box x and combine blade and add to. Perhaps a rotating unit with four rather than
two blades would be more efficient?

• If you select box y you combine lid and omit. How about a sliding top on the bowl rather than a
separate lid?

• Box z gives you bowl and inside out. Maybe you could design a flexible bowl that you can turn
inside out in order to remove the food more completely after processing.

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3-D Morphology

This variation entails using a matrix with three axes, which gives you a huge range of possible ideas—a
ten by ten by ten matrix would produce 1000 ideas. You can list attributes on all three axes so you
combine three attributes rather than two. This is similar to the forced relationship technique where, for
example, you would generate an idea from the attributes whisk, lid and base unit. (Maybe you could
have a whisk spinning on a vertical rod that is attached to the lid at the top and the base unit at the
bottom.)

You don't have to list attributes on all three axes. You might list attributes on one, change words on
another and questions on a third: for example, you might use the matrix above but add a third axis
listing: who, where, what, when, why, how.

The third axis might list, according to your product or service, colors, materials, company departments
or anything else you think is a relevant variable to generate ideas with. If this sounds rather
complicated to put down on paper, there are software programs that help you to enumerate the
combinations, and will give you random combinations to use (see p. 190).

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Nominal Group Technique

The nominal group technique (NGT) is intended for small groups. It differs from most other group
techniques in that there is very little interaction between group members. What's the point of that, you
might ask. Well, there are times when you want to minimize interaction because it may lead to conflict,
or particularly when one person is likely to dominate the group and thereby the outcome of the
session. Some people dominate through force of personality, but sometimes it is the presence of
someone of authority that dominates the rest of the group. Whatever the reason, NGT circumvents the
problem.

It should be said, on the minus side, that the lack of interaction of course removes some of the creative
spark. Group interaction makes creative sessions more fun and allows people to piggy-back on the
ideas of their colleagues. But NGT certainly has a place when

Group technique: problem solving

This technique derives its name from the fact that the group is a group in name
only. This is a non-interactive approach to solving problems in small groups.

See also: Delphi technique.

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you reckon that the group is unlikely to interact in a positive way for some reason.

The technique restricts discussion of ideas to a simple explanation where necessary, and group
members then vote for ideas by secret ballot. It works well with fairly narrowly defined problems such
as developing strategy. At the end of the NGT session you will have chosen a solution, and it is
important that all group members accept the decision of the group as final.

The Stages

There are four key stages in NGT: generating written ideas, recording ideas, clarifying ideas and voting
on ideas.

Stage 1—
Generating Written Ideas

The group leader defines the problem being addressed, and writes it on a flipchart or board for
everyone to view. Each group member, without discussion, writes down all their ideas in a five or ten
minute period.

Stage 2—
Recording Ideas

The ideas are recorded, round-robin fashion, on the flipchart or board, without discussion. The leader
asks each person in turn to give one idea from their list that has not already been given by someone
else. This continues around the group until everyone has exhausted their list and all the ideas are
recorded in view of the group.

Stage 3—
Clarifying Ideas

Before the group can vote on the ideas, it is important to make sure that everyone understands them
all. So this stage consists of working

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through every item on the list, in the order they were recorded, and asking the group if they have any
questions. If anyone is unclear about what any of the ideas mean, the person who put forward the idea
explains it. They should take a maximum of one minute to clarify the meaning of the idea. However, the
object is not to sell the idea—simply to explain it. The merits of the idea should not be discussed, but
group members can ask questions to help them understand.

Stage 4—
Voting on Ideas

It is not uncommon to come up with 50 or even 100 ideas in a nominal group session. So the next
stage is to vote for the group's best choice. You can choose your own voting system, but here is the
most popular. Each participant writes down what they consider to be the top five ideas on an index
card. They rank these from one to five, allocating five points to their favorite idea through to one point
for the least favorite of the five. These cards are all handed to the leader, who adds up the points for
each idea and announces the top ideas. Occasionally one clear favorite emerges, but generally it is
necessary to hold a second round of voting.

In the second round, the leader announces the top five to ten ideas (it is often clear which are the front
runners). The voting process is repeated, but this time participants vote for their top two or three
choices only. Again, their favorite idea should be allocated two or three points, and their least favorite
selection only one.

Variation

The Improved Nominal Group Technique combines NGT with the Delphi technique (see p. 65). Its
aim is to preserve the anonymity of the person submitting each idea, so there is no scope for personal
loyalties or animosity to interfere in the process. To achieve this, everyone submits their ideas in
advance of the meeting, with any

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necessary explanation, so that the session can pick up at stage three with the leader reading out any
explanations needed to clarify the ideas. The group then goes straight into the first round of voting.

NGT in Action

Suppose a strong new competitor has emerged on the market. You need to decide on a strategy for
dealing with this threat. However, you 'know from informal discussion that factions are emerging
among your managers. Some feel strongly that resources should go into strengthening your market
position, while others are insistent that you must diversify into other markets in order to survive.

An open meeting is likely to prove unpleasant and divisive. It will probably achieve little, and may well
create all sorts of people problems you could well do without. What is more, the more junior
managers will worry about who they are seen to support, and this may influence the position they
adopt.

This situation is ideal for NGT. You may even wish to use the improved version so that the ideas
submitted are anonymous. All the issues are likely to be debated and argued informally before the
meeting, so the arguments won't need reiterating.

Of course, this kind of new strategy will need open debate and decision making at some stage, but not
necessarily now. You can take as the theme of the session: where should we invest our resources to
counter the threat of new competition? This, after all, is the area of intense disagreement. Once this
question is resolved, you can discuss the next stage—the detail—more amicably.

Your managers may have a number of ideas. Those who support diversification will presumably have
some basic idea of how to diversify. Those who favor strengthening your market position will
doubtless have broad ideas as to how this could be achieved. Some managers may have new ideas
they have not felt able to voice before. All these ideas should be listed and recorded. The subsequent
vote should make it possible for people to register their views honestly and for a majority view to
come through clearly.

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For a key strategic decision such as this, you may feel that more formal debate is needed if opposing
views emerge in close competition. But more often you will find that there is a clear majority, and this
is an effective and fair way to identify it. For issues which are less critical, if equally emotive, NGT can
be used even where the opposing factions are more evenly matched.

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Pattern Language
Some of us find it easier to be creative if we are free from the constraints of verbal language. Even
those of us who are very verbal thinkers can find that our creative mind is opened up if we look at
ideas visually for a change. The right side of the brain is the creative side, and also the side where
visual skills are located, so it is often effective to use pictures rather than words when trying to think
creatively.

Pattern language was originally developed by architects Alexander, Ishikawa and Silverstein to help
create new building designs. It is a useful technique for finding creative solutions to sticky problems, or
for finding new products or new applications for products. If you get on well with it, it can become a
regular technique; if you are more of a verbal thinker by preference, try pattern language when verbal
thinking doesn't seem to be getting you anywhere.

Individual technique: problem solving/idea generation

Sometimes your brain responds better to visual than to verbal stimulation.

Pattern language takes the attributes of a problem and translates them into
abstract symbols.

See also: Attribute listing, Drawing techniques.

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The principle behind pattern language is simple. Instead of trying to express the elements of a problem
or challenge verbally, and then looking for connections between the words, which will spark ideas, you
do the same thing using patterns and symbols.

The Stages

Start by listing the attributes of your problem or subject. For example, suppose you are trying to find a
way of speeding up the progress of queues through checkouts in your stores. You might list the
attributes of the process as:

• checkout assistant;

• customers;

• speed;

• trolleys;

• conveyor belt;

• movement;

• barcode reader;

• till;

• bags;

• money;

• purse; and

• receipt.

Now draw a graphic symbol of each attribute on an index card. Write the attribute on the back of the
card. It doesn't matter whether you can draw or not, and it doesn't matter if the symbol you draw
would make no sense to anyone else—it has nothing to do with them. The technique is for your benefit
alone. Don't spend too long thinking about the symbol, just allow it to evolve naturally. The act of
drawing the symbols is the first stage of letting go and opening up your intuitive, creative responses.
The diagram overleaf shows some examples of symbols to illustrate the attributes of the checkout
process.

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If the attributes of your particular problem are more abstract, the symbols will be more symbolic, of
course, like the ones illustrated here for speed and movement. For example, you might want to create
symbols for different departments on your organization, such as distribution, marketing, accounts or
production. What do they mean to you? Distribution might be an envelope, or a map of the region with
arrows on it, or a lorry. Marketing might be a simple representation of a street market, or a
newspaper, or someone on a platform talking to lots of other people. Just draw whatever comes to
mind and feels appropriate to you.

Now spread out all the cards on the desk with the symbols facing up. Move them around. Mix and
match symbols randomly. Just take two or three cards and focus on them, and perhaps add others in
turn. Don't try to force anything; just move the cards around intuitively.

You might find that you come up with ideas or quickly, or you might want to use other techniques such
as free association (see p. 21) or forced relationship (see p. 86) to stimulate ideas. If your ideas start
to dry up, try adding more symbols—for the example above you could add anything you personally
associate with checkout queues, for example:

• car keys;

• small children;

• chatter;

• food;

• groceries;

• pen;

• chequebook;

. . . and so on. Your ideas may well come from seeing something completely different in a symbol from
what you originally meant by it. For example, you might use an asterisk to symbolize a taboo subject,
and then see it as a star and use that idea to spark off ideas. So be as open to inspiration as possible; it
doesn't matter where good ideas come from, just so long as they come.

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The checkout symbols could stimulate all sorts of ideas. For example:

• The symbols for customers, barcode reader and receipt all suggest a long line or strip divided into
separate units. Maybe you need more types of checkout. Not just 5 items or less and cash only, but
also checkouts for no items to be weighed and customers with children (with toys or video screens to
entertain the kids in the queues) and 20 items or less.

• The checkout assistant symbol calls to mind someone singing or dancing. How about making
queueing more entertaining so customers don't mind the time it takes? Employ a stand-up comic to
amuse customers, or hold a sing-song (you could combine this with the last idea and have, say, half a
dozen checkouts at one end of the store for entertainments). Or just have posters with quiz questions
or mind puzzles on them, which are changed every week.

• The customers symbol together with the symbol for speed suggests two different modes of queueing:
one queue per checkout, or a single queue as you might get in a bank or post office. How about all
customers joining a single queue and the front person from the queue moving to the next available
checkout? Or, if this is impracticable, how about one queue to every half dozen checkouts?

• The conveyor belt symbol looks a bit like a safety-pin. Together with the trolleys symbol this
suggests the possibility of having a printed list of purchases pinned to the trolley. The trolley has a lid
and the barcode of anything put into the trolley is automatically registered as it goes in. If you change
your mind, the barcode registers a subtraction as you take the item out of the trolley. When you arrive
at the checkout, the list is simply fed into the till and the total added up. All you have to do is pay; no
more conveyor belts.

• The trolleys spark off the idea of railway stations and porters. How about porters who will do all or
part of your shopping for you. They wait by the entrance for customers to give them a

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shopping list, and shop while the customer sits in the coffee shop, or the customer and the porter do
half the shopping each. The queue at the checkout may not be quicker, but the actual shopping
process is.

These are just a few ideas to show how stimulating pattern language can be, and what creative ideas it
can generate. Forcing your mind to address problems in a whole new way is very liberating and opens
up your creative processes.

Example

An excellent example of pattern language at work is the banker who wanted to develop some way of
reducing the problem of stolen checks. He decided to use this technique to help him. After drawing a
blank several times—with several sets of symbols—he finally saw the solution. It was sparked by the
act of using pictures itself. He decided to produce checkbooks with checks that carried a picture of
the customer on them.

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Problem Reversal
Like assumption reversal, this is essentially an individual technique, but one that can be adapted very
well to group use. Assumption reversal (see p. 26) is an excellent method of generating ideas around a
broad question, in which you challenge the assumptions implicit in that question. By contrast, problem
reversal focuses on solving a specific problem rather than generating broad ideas, but uses a similar
approach to do so.

The Stages

The technique is very straightforward, and begins with a clear statement of your problem. For
example:

Individual technique: problem solving

This technique turns a problem on its head in order to find a new perspective
from which to view it.

See also: Assumption reversal.

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1. Our supermarket trolleys get stolen too easily.

2. Our accounts department is obstructive towards other departments.

3. Our seasonal ranges of fashion shoes become obsolete too quickly.

Having identified your problem, the next step is to reverse it. You can reverse any part of the problem
you like; it doesn't have to be the verb. Now write down your new ''problem". It doesn't matter if it
makes much sense or not:

1. Our supermarket trolleys get returned too easily.

2. Other departments are obstructive towards our accounts department.

3. Our seasonal ranges of fashion shoes become obsolete too slowly.

Having reversed your problem, simply study the new version and see what ideas it gives you. Work
out how you could generate the reversed effect. For example, how would you go about making it "too
easy" to return supermarket trolleys? This may lead you to ideas for preventing them being stolen.
Another option is to think, "What if ...?" What if everyone else was obstructive towards the accounts
department? What effect would that have? What would you do about it? Or perhaps you need to
consider what everyone else hasn't—this is why the Japanese started making small, fuel-efficient cars,
to compete with all the huge gas-guzzlers on the market. Let's have a look at the three examples above
and see what solutions the reversal process suggests.

The Problems and Their Solutions

Our Supermarket Trolleys Get Returned Too Easily

How could trolleys be returned so easily? Perhaps there might be a financial reward for returning them,
or a refund, or free sweets for

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the kids. Or they might have some kind of homing device. They could become unusable in some way
once they travel beyond 500 yards of the store—perhaps an inbuilt receiver causes the wheels to lock
up once it goes out of range of the transmitter at the store. Maybe the trolleys are fixed to a network
of tracks on the ground; they can be guided around the store along the tracks, and to any of the car
park spaces, but can't go beyond this. All of these ideas could help to reduce theft; instead of trying to
punish people who remove trolleys, incentivize people to return them.

Other Departments are Obstructive Towards Our Accounts Department

If this were the case, the accounts department might be given special concessions and help to
overcome the problem. Or other departments might be asked to justify their behavior, and to rectify it.
This train of thought could lead you to wonder whether the accounts department sees it the same way
as everyone else. Perhaps in their eyes it is everyone else who is unhelpful or obstructive, and perhaps
you should ask accounts to justify their behavior. Maybe they can, and perhaps they really do need
extra support or concessions.

Our Seasonal Ranges of Fashion Shoes Become Obsolete Too Slowly

What would happen if this were the case? Your R&D department would have to cut back if you didn't
bring out new designs so frequently. Production would produce far more units of each design, and this
would mean materials could be ordered in greater bulk, and therefore more cheaply. The production
schedule would ease off, without the urgency to get the designs in the shops before they became
obsolete. Sales staff would have to sell fewer designs, and those they sold would have a much longer
shelf life.

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Looking at the problem from this perspective, perhaps you should get out of the seasonal fashion shoe
market and sell shoes and boots in designs that last longer. After all, the original problem—our
seasonal ranges of fashion shoes become obsolete too quickly—suggests that you might not be
positioned where you are most comfortable in the market. A born fashion shoe producer would
probably never consider this a problem in the first place.

Examples

Many companies have done well out of problem reversal. Businesses like Apple Computers have
looked at the market and instead of saying "how can we compete with all these big players?" have
asked themselves "how can we do what all these other companies aren't doing?"

Alfred Sloan, who took over General Motors in 1946 and turned it around, was a master of problem
reversal. One classic example was the problem that people had to buy cars before they could drive
them. He pioneered the concept of buying a car in installments, making car ownership accessible to a
new market. When he realized that GM had eight models of car which were competing with each
other and with everyone else (chiefly Ford), he looked for the opposite approach to resolve the
problem. He slimmed down the range to five cars, and targeted each at a different type of consumer.
He did this so successfully that you could tell what kind of person someone was by the car they drove.

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Questions
There are some creative techniques that involve wacky ideas that shake up your thinking and force you
to find links between words like tapeworm and caravan. These questions aren't like that. They
involve straightforward, linear thinking applied directly to your own problem. But the right questions
can, nevertheless, lead you to creative solutions. There are two standard questioning techniques that
are widely used in creative thinking: asking why, and the six basic questions.

Asking Why

This is a quick and simple approach, which anyone who has ever had

Individual technique: problem solving

The key to finding the right answer to your problem is finding the right
question. Often you find that asking comparatively simple questions leads you
to answers you might not otherwise have found.

See also: Verbal checklist.

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small children will already know intimately. It entails asking the question "why?" until you get a
satisfactory answer. You need to repeat the question five times. The point of this is that it forces you
deeper into a problem than you might otherwise go, so the time to use it is when you feel that you
haven't really got to the root of the problem.

Suppose the problem is that you have an important report to write and you're so close to the deadline
that it's touch and go whether you'll be able to complete it on time. What is the real root of the
problem? Start by stating the problem, and then ask "why?'' five times. Like this:

I'm not sure I can complete my report on time.

1. Why?—I've left it almost too late to start.

2. Why?—I've been putting it off.

3. Why?—I want it to be really impressive, but I don't know what to say.

4. Why?—I don't know how to write a report properly.

5. Why?—I've never had any training in report writing.

Aha. So the root of the problem is that you need to enroll on a course, or read a really good book,
that will teach you how to write reports professionally. When you see this process written out it seems
quite obvious, but it generally isn't so obvious. To take this example, how many people do you know
who regularly put off writing reports, and never address the root problem? Maybe the root problem is
that they are underconfident about their use of English, or that they dread the response to the report
and are in denial about it. It doesn't have to be lack of training. But asking why five times would
uncover the root cause so that they could address it.

The Six Basic Questions

When you're developing a new product, service or process, some of the most obvious questions
sometimes get missed. This can lead to

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problems later on. To use a genuine example, suppose you are constructing the world's biggest Ferris
wheel on the bank of the River Thames to celebrate the new millennium. In amongst everything else,
you forget to think through the question: "How will we get the wheel into position?" The result: a fiasco
in which the whole country watches in quiet amusement as your Ferris wheel remains suspended,
embarrassingly horizontal, across the width of the river.

The good news is that there are only six questions you can ask. Other questions are just variations on
these. Rudyard Kipling recorded them in a more memorable form than anyone else:
I keep six honest serving men
(They taug ht me all I knew);
Their names are W hat and W hy and W hen
And How and W here and W ho.

Simply working through these six questions in relation to your proposed product or process should
help you to identify any potential problems or opportunities at an early stage in development. You
might simply want to ask the questions in any order, and you can do this in a group session:

• What?

• Where?

• When?

• Who?

• Why?

• How?

Another effective way of going through this process is to write the subject in the middle of the page
and then create a mind map around it to build on (see opposite).

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Random Stimulation
The whole point about creative techniques is that they open your mind up to think in a new way. So if
you repeatedly use the same technique, you are defeating the object. That's not to say that it will never
work, but it will be less effective because your mind will simply get stuck in a new rut.

Random stimulation is one of the techniques people are most frequently guilty of using too often. But
the reason for this is that it's very simple, quick and effective. If you haven't used it before, or haven't
used it recently, it is a valuable technique to try. It works well when you feel your thinking about a
particular problem or challenge is too rigid, and you want a fresh approach.

Random stimulation is a similar to a less structured form of association (see p. 21) or forced
relationship (see p. 86). All you do is

Individual technique: problem solving/idea generation

Introducing a completely random element into thinking about a problem or

challenge stimulates your mind to find new patterns and connections. This is a
very quick, simple and popular technique.

See also: Association, Forced relationship.

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take a random word, generally a noun, and think about it. Then relate these thoughts back to your
problem, or the product or service you want to develop. It doesn't always work, but then it takes so
little time it doesn't matter if it takes a few goes to get a result. It works surprisingly often.

The important thing is to pick a genuinely random word. Don't look for one that you think is going to
be productive for the subject in question. Make sure that you arrive at the word by chance. And don't
give up on it too quickly. Spend a good five minutes or so thinking about it, and noting down your
thoughts, before you decide to try another word or another technique. If you try again with another
word, give yourself a break. It can work well to try a fresh word each day until your problem is
resolved. If you know that you have to wait a whole day before trying again, it can deter you from
giving up too easily on the first word you find.

Choosing a Word

The key to random stimulation is choosing a suitable random word. The best words to use are nouns
which are simple and which summon up a visual image. You also want words that make you think of
lots of other images. For example, the word water might make you think of the bath, or washing up,
or the sea, or drinks. So if you use one of the techniques for selecting words which involves devising
your own list, bear these points in mind—the words should be simple, visual, and stimulate other
images.

• You can simply open a dictionary or a newspaper and point with your eyes closed.

• Use a computer program that picks a random word for you (see page 190).

• Write your own list of 60 words. Number these and, when you want to use one, look at the second
hand of your watch. What- ever number of seconds it points to is the reference number for the word
on your list.

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• Keep a bag or box full of random words written on small cards or slips of paper. You can add to
these any time you like. When you want a random word, just put your hand in and use the first word
you pull out.

In the box is a sample list of 60 words that you might use as the basis of your own list.

arm spot roof camera slug lampshade tile fishmonger button zodiac pill screen
baby sock biscuit stamp tractor acrobat garage typhoon kiwi engine mountain
army flu birthday hockey sweatshirt fridge cat shampoo crowd pudding
scanner flour wicket lake café pamphlet toast horseshoe clock magnet
eyelashes ink rainforest cream ghost umbrella report wok snake-skin oak
armchair wax trolley fire France iceberg timetable

Variation

If you prefer, or you want a change, use pictures instead of words. These help stimulate the non-
verbal, creative, right-hand side of the brain. Many people find pictures easier to relate to than words.

You can find a random picture by letting a magazine fall open, or an art book, or you could create
your own set of picture cards from photographs or postcards, or pictures cut out of magazines. If you
create your own set to pick from at random, aim for about sixty images.

You'll find that if you use a picture of a single object, it may not give you much more stimulation than
the word for the same object would have done. So try to find pictures with a mood or a story behind
them. These can spark off a rich vein of imaginative thought, which can lead to very creative ideas.

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Examples

Suppose you are looking for ways to reduce your travelling time between meetings. You select a word
at random—let's say it's octopus. Think about an octopus for a while:

• it has eight legs;

• it lives in the sea;

• it swims;

• it changes color according to its emotions;

• you can eat it; and

• it has three hearts.

After thinking about the word octopus for a while, go back to your original problem with travelling
time, and think about the two things together. Can you see any connection? Does the word octopus
give you any ideas? How about these?

• An octopus has eight legs. If you could be in eight places at once, you would solve a lot of your
problems. How about teleconferencing? Or rescheduling your time so that you arrange appointments
and meetings geographically—all your meetings at the office on a Monday, in the city center on a
Tuesday, to the north and west of town on a Wednesday and so on.

• What about the fact that an octopus has three hearts? What if you had three locations you worked
at, and encouraged as many people as possible to meet you at the one nearest to them. Pick three
places that you have to visit from time to time anyway—your office and two other company sites for
example.

• Or, thinking about eating octopus, meet people for business lunches. That way you can use the
lunchtime you save to travel in, and you still get to eat.

The same word might have given you a completely different set of ideas, but this is an example of how
random stimulation can lead you to look at your problem or challenge in a completely new way.

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One excellent, real life example of random stimulation is the development of distortion-free glass.
Alastair Pilkington, of Pilkington Brothers, had spent years trying to find a way of producing glass
without distortions. The production method at the time involved passing molten glass through rollers,
which created distortions that had to be polished, and the thinking of the time was that the only way to
improve the result was to develop better grinding and polishing techniques.

But one evening, Alastair Pilkington was doing the washing up at home. He was daydreaming and
watching a bar of Ivory soap floating in the water. He imagined glass floating like the soap, and a
sudden realization came to him. He invented a concept called float glass, whereby the glass is made in
an oven in which it floats on molten tin. It cools and hardens before the tin, and can then be passed on
to the toughening stage of the process without ever going through the rollers which caused the
imperfections. The whole grinding and polishing part of the process is redundant, and the glass is
distortion-free.

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Rice Storm (TKJ Method)

As the name Rice Storm might suggest, this is a Japanese method, also known as the TKJ method.
And it is a technique that suits the Japanese approach very well. It focuses on the aims of the group
rather than the individuals within it, and preserves the anonymity of the person who has generated each
idea. As with most other techniques, this can inhibit creativity because the group members do not
spark off each other, but it can be very useful if group commitment and cohesion is needed.

The other great benefit of using the rice storm approach is that it begins with the process of identifying
the problem, before going on to look for solutions. Disagreement or misunderstanding about the
problem can be one of the causes of failure or friction in a creative

Group technique: problem solving/idea generation

This technique is quite complicated, and is divided into two stages: defining
the problem and finding a solution. It is an excellent approach for bringing
together individual ideas in a way that is acceptable to the whole group.

See also: Storyboarding.

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group. Rice storm has two distinct phases: problem definition and problem solution.

Problem Definition

1. The group leader gives the group a general theme, which covers the area of the problem. Each
person then writes down facts that are pertinent to this on index cards—one fact per card. The facts
should be significant, not trivial. Allow about ten minutes for this stage; that should give you up to
about twenty facts per person.

2. The leader then collects up all the cards and redistributes them; this ensures anonymity since people
aren't working with their own cards.

3. The leader now reads one card aloud, chosen at random.

4. Group members now look through their stack of cards and select any which relate to the card that
was read. They read these cards out to the group. All these related cards go into a pile, and the group
gives the set a name that encapsulates its essence, and brings together all the cards in the set.

5. This process is repeated until all the cards are grouped into named sets.

6. These sets are then brought together by the same process until a single, all-inclusive set is created
and named. This full named set is the group's consensus definition of the problem.

For example, suppose the general problem is that sales are dropping. The facts written on index cards
might be such things as:

• The products are less popular than they were.

• Prices have gone up faster than the competition.

• The sales force is demotivated.

• There are lots of competing products on the market.

• Our corporate image is of a company that doesn't care about its customers.

• Advertising is badly targeted.

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In a group of, say, ten people, you might end up with about 150 cards. Some of these will be
duplications and some closely related. Perhaps the leader starts by reading out a card that says:
''Prices have gone up faster than the competition." Group members might now build a set round this
card by reading out related facts such as:

• prices are too high;

• our products are no longer competitive;

• the market is very price-sensitive;

• our competitors are keeping prices down;

• our raw materials are too costly;

. . . and other relevant statements. Once this set is complete, it has to be named. In this case, the name
set might be uncompetitive pricing. Other name sets might be poor marketing, demotivated sales
force and so on.

Once all the cards have been grouped into named sets, some of these might be combined again. For
example negative image and lack of advertising might have been combined into poor marketing.
Eventually, all these named sets have to be brought together into a final group definition of the
problem. For example: "The sales force is demotivated by having to sell to customers who see us as
uncaring and over-priced."

Problem Solution

Having reached consensus about the nature of the problem, the next stage is to find a solution. The
process for this is very similar to the process for defining the problem.

1. Group members write down all the solutions they can think of to the problem as defined in about a
ten minute period. Again, each idea is written on a fresh index card. The ideas do not have to relate to
the previously stated facts, only to the problem definition.

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2. The cards are collected and redistributed.

3. The leader once again picks a card at random and reads it out.

4. Group members now read out any related solutions on the cards in front of them and form a set of
cards with these related ideas. This set is then given a name.

5. The process is repeated until all the cards are sorted into sets, each of which has been given a
name.

6. Finally, an all-inclusive solution, which incorporates all the sets, is created and given a name. One
way to do this is to ask the group: "What is the essence of these ideas?" and encourage them to come
up with suggestions. The leader should then bring these suggestions together into a statement which
expresses the solution, and with which everyone is happy.

For example, the initial ideas, which the participants write down, might include:

• invite customers to a special function;

• give long-standing customers discounts;

• send Christmas cards to all customers;

• set up a customer careline;

• hold weekly motivational sessions with the sales force;

• train the sales force to present a caring image; and

• support key charities and publicize the fact.

Again, you might end up with as many as 15 or 20 ideas per person. These cards would be sorted into
groups such as:

• launch a PR drive;

• woo customers directly;

• motivate the sales force; and

• improve customer communications.

These solution sets can finally brought together by answering the question "What is the essence of
these ideas?" The final solution

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statement might be: "Launch a drive to reinvent our image as a more caring organization."

Variations

You can skip the stage of combining all the problem named sets into a single definition of the problem.
You might feel that there is really more than one problem, and to try to combine them would
oversimplify. In this case, you could stop the first part of the process with up to half a dozen named
problem sets, and then go through the second, solution-finding process for each of them.

Another variation involves drawing. The leader can draw a picture of the problem in front of the group
and suggest they use it to help them generate ideas. Or some of the ideas generated could be
converted into graphics and the group asked to use these to come up with still more ideas.

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Scenarios
It is essential for all businesses to plan for the future. We all know that. But it isn't always that easy.
After all, we have no idea what the future holds. The idea of scenarios is to construct four or five
different, plausible models of the future based around key drivers of future development such as
changes in competition, new technology, national or international recession and so on.

Scenarios are most commonly used to prepare alternative strategies. This usually involves a SWOT
analysis—analyzing the organization's internal and external forces to identify its Strengths,
Weaknesses, Opportunities and Threats. The aim is to identify strategies for building strengths and
reducing weaknesses, in order to maximize opportunities and minimize threats to the business. Any
problem situation that is changing is a candidate for scenarios.

Group technique: idea generation

This technique requires time, and entails thinking about the future of the
business. Although the technique involves writing future scenarios, the ideas
generated in the process are more important than the scenarios themselves.

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By preparing for these future scenarios, you can generate ideas that will give you a competitive edge
now, whether or not the future turns out as you anticipated. If you think, for example, that future
competition might drive prices down, you are forced to think of ways to pull your own costs down.
Even if prices don't go down in the event, you can still reduce your costs.

The Stages

1. The first step is to identify your problem. For example: ''What impact will developing technology
have on the business?" or "How will expanding competition affect pricing policy?" or "What if our core
product becomes obsolete?"

2. Next, identify between three and five key drivers which will determine your organization's future,
such as the economy, new technology, market structure, cash flow, competition and so on.

3. Now construct a future scenario around each of these key drivers. You need to come up with
plausible scenarios such as:

• your key competitor reduces prices by 20 percent;

• the country goes into recession;

• new technology makes our current product lines obsolete;

• competitors merge to create a market with a few big players instead of lots of smaller ones;

• new technology prices out our product lines;

• the pound becomes increasingly strong; or even

• nothing changes.

4. Focus on how the scenario outline will affect key factors such as technological change, corporate
structure, product lines and so on. Build a detailed scenario around each of your key drivers—this is
the creative part of the process—and look for ways to build on the opportunities and reduce the
threats they present. Consider how you can use your strengths, and which weaknesses will make you
most vulnerable. Look for business opportunities

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and ideas for capitalizing on the scenario you have constructed. Let's say your scenario supposes that
new technology will price you out of the market. Could you spearhead the new technological changes?
Or could you find a new application for your existing products? Or a modification which will bring the
price right down so that it remains competitive? Or a valuable feature that the new technology won't be
able to provide?

Construct a story or narrative around your scenario. Suppose you are a customer going through the
process of buying or using your product (with the new technology described in the scenario in place).
Suppose you are a sales executive preparing a presentation under the conditions of the new corporate
structure scenario. Suppose you are sitting down to plan a marketing campaign when your main
competitor's prices have just plummeted.

5. Summarize all your scenarios and the impact they will have on your business, and use them to
develop strategies. And explore the ideas you have generated which are valuable whatever the future
holds.

Example

Scenarios are an everyday technique at RICOH in Japan, one of the leading manufacturers of office
automation equipment. It gives top priority to creative research. RICOH's planners study probable
customer needs in the future to decide what to research. They study social trends and developments in
technology, and use these to construct scenarios such as the office in the year 2005. They construct
a detailed narrative around this scenario, imagining, for example, what life would be like for a typical
customer, and what technology they would be using during their working day. They use these
scenarios as a source of ideas for potential new products, about ten to fifteen of which they pick for
research each year.

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Sensory Images
As many of the creative techniques in this book demonstrate, looking at a problem from a new
perspective is often the key to solving it. When your mind breaks out of its usual rut into new ways of
thinking, you can tap into rich new creative resources. One of the techniques for doing this is to use
your five senses to give you a new angle on the problem.

It really does help to be relaxed for this approach (for relaxation technique see Unconscious intuitive
techniques, p. 176). Close your eyes. Take each of your senses in turn and generate sensory images
about your problem. Ask yourself:

• What does it look like?

• How does it feel?

• What sound does it make?

Individual technique: problem solving/Idea generation

To open up your mind to new ideas, try activating different parts of your
brain. This approach is all about using the five senses as creative triggers.

See also: Association.

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• How does it smell?

• What does it taste like?

You may be thinking that this is all very well for a concrete problem such as developing a new
product, but what about an abstract problem? What if your problem is that interest rates have gone up
again? What's that supposed to smell like?

The point is that these sensory images aren't going to be the answer to all your problems in themselves,
but they can spark off ideas by association. So long as you stay in the general area of the problem, you
can come up with images that you can easily relate back to your problem. In the case of interest rates,
you could think about the smell of the financial pages of the newspaper, or of your accounts office. Or
the smell of the coffee as you sit round the board table late into the night working on the problem. Any
strong images, especially ones which evoke feelings—such as the feeling of sitting up all night worrying
about a problem—are useful stimulators.

Variations

Another option is to put more distance between you and the problem, and use your senses to summon
up images that are unrelated to it. Then think about these images in relation to the problem and see if
they spark off any ideas. Do this by relaxing and closing your eyes and then, taking one sense at a
time, allow one or more images to flow into your mind. Think about the first strong taste that comes to
mind, or the most striking or unusual thing you remember seeing recently.

Another option is to take any experience you've had, such as driving a car, being trapped in a lift,
visiting a funfair or bathing the dog. Think about all the sensory stimulations of the experience. One
way to do this is to draw a five senses mind map of the experience (see Mind mapping, p. 114). Then
see how you can apply these sensory images to your problem.

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Here's another variation. Think of ways in which you can directly apply the five senses to your
problem. This works particularly well for generating new products or services, or improving existing
ones. Suppose you want to come up with new ideas for office cleaning services:

• Sight—Make the offices look more attractive; supply fresh flowers or offer plant care as well as
cleaning.

• Sound (or lack of it)—Use the quietest possible vacuum cleaners, and make a point of being as near
silent as possible, so as not to disturb office workers. Don't even say "good evening" unless they speak
to you first.

• Touch—What do most office workers touch most often? Their keypads. Why not offer a
specialized computer cleaning service, including cleaning the mouse, using a mini-vacuum on the
keypad and so on.

• Taste—Leave a bowl of mints in reception after you've finished cleaning, and one in each meeting
room.

• Smell—Use air fresheners, and offer clients a choice of scents -- let the occupants of each room
choose their own scent.

Example

Suppose you are looking for radical ideas to improve your range of cookers. What sort of ideas and
associations might you five senses give you? Here are some possible answers to the basic five
questions, along with ideas they might generate. The ideas don't always relate directly to the sense that
gave rise to them—that's fine. A good idea is a good idea.

• What does it look like?—Black or white, shiny enamel with stainless steel trim. Squared corners,
taller than it is wide. Hob on top, oven underneath.

Ideas—Expand the range of colors and trim materials. Put the oven and hob next to each other at
work surface height so the

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cooker is wider than it is high, and the oven is at a more practical height.

• How does it feel?—Smooth and cold when not being used, front is hot when oven is on.

Ideas—Use materials which don't heat up when the oven or hob is on. Use material for oven door that
changes color when oven is on.

• What sound does it make?—The sound of the fan when the oven is on, and the bleep of the timer.

Idea—Develop a silent fan. Install a voice chip, which tells you when it is time to check the oven
instead of just bleeping. It could perform a variety of other functions as well, such as telling you if you
have left the oven or hob turned on but unused for more than a preset time.

• How does it smell?—Of nothing except when it is in use, when it smells slightly of the food being
cooked in it.

Idea—Include an option for releasing the smell from the oven when it is wanted—for cooking bread
or Sunday roasts or winter stews—and shutting it off when the smells are less inviting.

• What does it taste like?—Metallic, presumably, and not pleasant.

Idea—Include a salt dispenser on the side of the cooker for easy salting of vegetables and stews. This
could be designed to stay dry so the salt doesn't clog up.

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Six Thinking Hats

Six thinking hats is a method of thinking about any problem which separates your thoughts, or those of
the group, into different types of thinking—such as emotional, logical, creative and so on. De Bono
identifies six different kinds of thinking, each of which he identifies by a different color, so you have
white hat thinking, red hat thinking, black, yellow, green and blue hat thinking.

The point of this is to make sure that each kind of thinking is applied to the problem. Many of us find it
difficult to think in certain ways; for example we are cautious planners and find it hard to be positive
and optimistic. But if you put on the relevant metaphorical hat, you will find it easier to think positively.

And it has another key benefit too. In a group situation, six thinking hats reduce ego-problems and
conflict. If you have, say, the intuitive hat on, you can put forward feelings without any rational

Group technique: problem solving/idea generation

This method was developed by Dr Edward de Bono in the early 1980s. It sets
out a framework for thinking, which recognizes six different modes of thinking and
increases clarity of thought by using only one at a time.

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argument to support them. Under other circumstances this might leave you open to criticism and
demands that you justify your position, but not if you are wearing the red (emotional) thinking hat.

The formality and artificiality of this system is, curiously, its strength. It makes the participants aware
that they are playing a game, and they are therefore more inclined to stick to the rules. In a sense it isn't
you talking, it's the hat. This removes a lot of opportunity for ego or personal friction.

The Six Hats

Let's have a look at the type of thinking that belongs to each hat. You'll notice that de Bono has
picked colors that relate to the kind of thinking involved—yellow is happy, black is negative and so
on—so it is quite easy to remember what kind of thinking is directed by each hat.

• White hat thinking—This is pure facts and figures. Looking at the data without making any
judgements.

• Red hat thinking—Use this to express feelings, intuitive responses, hunches.

• Black hat thinking—The most negative hat. This is the logical hat of caution and devil's advocate.
Wear the black hat to examine obstacles and reasons why the thing won't work.

• Yellow hat thinking—The hat of positive, optimistic thinking. This is a constructive thinking hat,
which looks for benefits and reasons why the plan or project will work.

• Green hat thinking—This is the hat to use for the most creative thinking. It is the hat of alternatives,
of provocative ideas, of change.

• Blue hat thinking—This is the hat for standing back and taking an overview. In this hat you look not
so much at the subject but at the thinking itself. It is by wearing the blue hat that you can see that what
is needed is some white hat thinking, for example.

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Using the Hats

De Bono isn't recommending that we should constantly switch from one hat to another. Most of the
time we think normally, but the six thinking hats are there as a tool to use when it seems useful. The
idea is that as many people as possible in the organization should be familiar with the tool, and it should
become part of the culture, to be used in several ways in discussions or meetings. It might help to give
some examples of how the method can be used:

• The chair of a meeting might say "I think we need some yellow hat thinking here." The participants
switch into positive mode for a while, regardless of their individual views about the subject. This gets a
fresh perspective on the problem, and encourages the more negative members of the group to look at
things from a different perspective.

• You might ask someone to put a particular hat on for a while. Perhaps someone is taking a very
logical view of a problem, which you feel has a strong emotional content—for example, they are
discussing the cost benefits of redundancies and you are more concerned with the impact on morale.
You might request that they put on the red hat for a few moments.

• Most people spend most of their time in black hat mode. A group leader might ask one or more
people to switch to a different hat for a while. This can liberate people who might feel obliged to take
the cautious view for fear of being blamed if they associate themselves with a riskier course of action.

• You might ask to put a hat on yourself. If, for example, you have a radical idea that you are a little
embarrassed about be- cause of its bizarre nature, you might say "I'd like to put on the green hat.'' This
signals that you are putting forward a creative idea, but you are not attempting to apply logic,
judgement or any other kind of thinking to it; you are simply throwing the idea into the ring, absolved
of any requirement to justify it. Or you might say, "With my red hat on, I don't like this idea."

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Again, you can express your viewpoint with no obligation to justify it.

• If you are planning a project or process, the group leader might decide to apply each different type
of thinking in turn, as a whole group. To begin with, you might ask everyone to put on their white hats
to assemble all the relevant facts and figures. Then you might work through the other hats in turn to be
sure you have covered all the key angles.

• You can also use the six thinking hats on your own. You might be aware that you are getting bogged
down in black hat thinking over something, constantly looking for the negative, and you might make a
conscious decision to apply yellow hat thinking. Or you might put on each hat in turn.

Six thinking hats is a fascinating approach to thinking, both creative and analytical, and well worth
exploring. If you want to try it, it is well worth reading de Bono's own book Six Thinking Hats (see
Further reading, p. 189).

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Storyboarding
Although it was Walt Disney who originally conceived the idea of storyboarding—now widely used
throughout the film industry—it was one of his executives, Mike Vance, who refined the concept into
the technique described here. Mike Vance joined Disney in the 1960s, and recognized that
storyboarding had a much wider application than film making alone. In the late 70s he left to become a
consultant, advising businesses on how to use storyboarding.

Storyboarding is a highly creative process for project management and problem-solving. You begin by
defining the problem or project, and writing this on a topic card (see example) which you pin

Group technique: problem solving/idea generation

Walt Disney originally devised this approach for planning animated films. He
created a series of illustrations depicting major scenes in the film, and then
built up a story around each one to flesh out the plan. In its business
application, storyboarding entails creating a board that sets out key concepts
and then links them together.

See also: 7 × 7 technique, Brainstorming, Rice storm.

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at the top of a cork board (or something similar). Then you create a storyboard by developing
headings across the top of the board (generally written on index cards and pinned up). Next, you
brainstorm around each header card, and pin up each of the ideas you generate under the relevant
heading as a subber card (see Table below).

Storyboards have great benefits as a creative technique:

• Putting the ideas up on a board helps you to see the whole picture; you can see how the ideas
interconnect and fit together, and they often help you cross-fertilize ideas between one set of sub cards
and another.

• Storyboards help you to immerse yourselves in a project or problem, piggy-backing on ideas and
seeing new possibilities or areas for attention.

• The storyboard can remain in place on the wall throughout the project or the problem-solving
process, and can be copied down if anyone needs a portable copy.

The Stages

There are two stages to storyboarding: creative thinking and critical thinking. The first stage is the
process for creating the storyboard. This is best done in a group of between eight and twelve people,
with a leader and a recorder. The technique used to generate the storyboard is brainstorming (see p.
37): all ideas are encouraged with no criticism or judgement of any ideas at this stage.

TOPIC CARD

Header Header Header Header Header Header Header

Subber Subber Subber Subber Subber Subber Subber

Subber Subber Subber Subber Subber Subber Subber

Subber Subber Subber Subber Subber Subber Subber

Subber Subber Subber Subber Subber Subber Subber

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1. Identify the overall problem or topic, and write it on a card. This is the topic card and should be
pinned at the top of the board. The card might say "launching the new range" or "raising our profile
among end users" or "streamlining the production process."

2. Next, pin up two standard header cards, which should appear on every storyboard. At the top left
of the board (but below the level of the topic card) pin up a header saying purpose. At the other end
of the board pin up the final header saying miscellaneous.

3. Brainstorm the purpose header, and list under it all the subbers you can think of. For example, if the
topic is streamlining the production process you might include purpose subbers such as: reduce
costs, speed up production times, minimize technical breakdowns and so on.

4. Now brainstorm all the other headers you think are relevant to the topic. These are the major issues
you think are relevant to the project or problem. If the topic is launching the new range the other
headers are likely to include such issues as: the launch event, production schedules, publicity, preparing
systems, staff training, and so on. If you're not sure whether something is important enough to be a
header or not, make it a header for the moment, and you can always relegate it to a subber later.

5. Next, take each header in turn and brainstorm all the ideas you can think of which should go under
this header. So under your header publicity you might include subbers such as: television advertising,
direct mail, "PS'' on all delivery notes, in-store demonstrations.

About half an hour or so is generally long enough for a creative thinking session. After this, take a
break and then return for the critical thinking session, which generally takes up to about an hour and a
half.

1. Look at each header in turn and evaluate it. Why is the header on the board? Will the idea work?
Consider whether the idea really belongs as a header or not. If not, either move it somewhere

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else as a subber, or get rid of it. This may mean repositioning the subbers underneath it—just because
the header has to go, it doesn't mean all the subbers under it necessarily have to.

2. Now go on to the subbers. A brainstorming session such as you have just held is intended to
produce a high quantity of ideas, so you need to slim these down now to something more manageable.
So go through all the subbers evaluating each one, and deciding whether it really belongs there. At the
end of this process you have your storyboard.

Four Types of Storyboard

There are generally reckoned to be four main types of storyboard. Sometimes you will want to
produce only a planning or an ideas board, or perhaps both. However, for a major project you will
need to create each of these four storyboards in turn.

1. Planning storyboard—This is the first board you need to produce, and its headers should cover all
the main areas related to the topic. It is the springboard for the other storyboards, and for the project
as a whole.

2. Ideas storyboard—The second storyboard is the one where creative ideas are developed. If
you're working on a major project which needs creative input, one of the headers on the planning
board should relate to generating ideas or guidelines for creative thinking or something of the sort.
This header would generally become the topic card for the ideas storyboard, and the subbers under it
would become headers on the ideas storyboard. You may also decide to add other headers to this
board, perhaps relating to solutions you have generated while brainstorming the subbers.

3. Organization storyboard—This is the storyboard that starts to put the project into action. It
covers the key questions of what needs to be done, when each task should start, and who is going

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to do it. The header cards for this storyboard will be the key tasks that make up the project.

4. Communications storyboard—Once you have established what needs to be done, when, and by
whom, the next stage is to communicate it. This storyboard sets out the answers to the questions of
who needs to know, what they need to know, when they need to know it, and how are they going to
be told. The header cards will generally list the key tasks once again, but the subbers will differ from
the organization board.

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Synectics
This highly creative approach to problem solving was devised by William Gordon on the premise that
creative problem- solving is best achieved by using non-rational thought to reach a rational solution. It
works well when you have a problem that has been proving hard to solve, or which you feel is going to
need a radically creative approach. The word synectics comes from the Greek and means bringing
forth together; the idea is that you can find links between seemingly unconnected things, and by
putting them together you can find a solution.

Synectics is a bit like brainstorming with lots of other bits thrown in. It employs a range of techniques,
particularly analogies and metaphors

Group technique: problem solving

Synectics is founded on the principle that since creativity is more closely

related to the emotional than to the rational, people are more likely to be
creative if they are thinking in an emotional way. This technique incorporates
several others, particularly analogy, association and the excursion technique.

See also: Analogies and metaphorical thinking, Association, Brainstorming,

Excursion technique.

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(see p. 16), association (p. 21), and the excursion technique (p. 76), to help the mind make these
connections between apparently unrelated things, ideas, people and so on. It does this in order to
achieve a twofold purpose:

• to make the strange familiar (which promotes learning); and

• to make the familiar strange (which promotes innovation).

The techniques used, and the way in which the synectics session is conducted, draw on the emotional
and irrational functions of the mind, which William Gordon argued were more conducive to creative
thought. He set out three fundamental assumptions on which he based synectics:

1. Our creativity increases once we understand the mental processes that determine our behavior.

2. The emotional and irrational components of creative behavior are more important than the
intellectual and rational components.

3. We can all learn to harness these emotional and irrational elements.

The Stages

The synectics process generally requires a group leader and about half a dozen other people, including
the problem owner. The attitude of the group is important to the success of the process. As with
brainstorming, it is important that everyone is open to free-thinking and apparent contradiction in order
to maximize creativity. Although the basic technique used is brainstorming, it is brainstorming with a
difference. In this case participants are encouraged to be critical at certain times, in order to harness
the emotional response.

The role of the group leader is vital, since it is the leader who decides which techniques to employ
when, and when to encourage criticism of ideas. The leader should be experienced in working with

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other creative techniques, in order to 'know when to bring them in to the process.

1. The first step is to identify the problem. This is the stage of making the strange familiar. First, state
the problem as you perceive it. The problem should then be discussed and analyzed. The problem
owner should explain why it is a problem, what solutions have been tried so far, and what they want to
achieve as a result of this session. Once everyone understands the problem it should be defined in a
problem statement. This part of the process probably doesn't need to take more than a few minutes.

2. The second stage is to make the familiar strange. The group now begins to brainstorm solutions to
the problem, which the leader writes up on a board as in any brainstorming session. However, at any
time it seems useful the leader can ask the group to use other techniques to help stimulate emotional,
irrational and creative thinking about the problem. The most commonly used techniques to use are:

• analogies and metaphors (finding an analogy for the problem);

• association (free associating concepts and ideas and then looking for a relation with the problem);
and

• excursion technique (a visualized journey whose images are recorded and then used to find analogies
with the problem).

You can also use trigger words, which are instructions to transform ideas into something else. For
example, if the trigger word empathize is employed, the group members can interpret it in any way
they choose: sympathize, imagine they are the subject, imagine the subject has human characteristics,
be subjective and emotional about the subject. Some sample trigger words are shown in the box.

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subtract add transfer empathize animate superimpose change scale substitute

fragment isolate distort disguise contradict parody prevaricate hybridize
symbolize mythologize fantasize repeat combine

This is the creative part of the exercise, and will take up to about an hour. During this stage all ideas
are written up, but there is no requirement yet to arrive at a solution. However, the leader can
encourage criticism of ideas (unlike a true brainstorming session) if the emotional reaction to this seems
worthwhile.

3. The final stage is to relate the ideas generated back to the original problem, encouraging the
group—and the problem owner in particular—to find a suitable solution. The group should then
discuss any proposed solutions until the best one is identified.

Synectics in Action

Let's say that one of your people is working on developing a new kind of printer which will take
continuous A4 listing paper without perforated strips down the edges. The biggest problem is finding a
mechanism for keeping the paper straight without the sprocket holes down the perforated strips.

In order to resolve this, you call together the development technician concerned plus five other
people—two more technicians, a paper specialist, a major customer who is interested in this new
product and your production manager.

To begin with, you state the problem and your development technician explains why it is such a knotty
problem, and what the requirements are that the final product needs to meet. Between you, you
produce a problem statement: To produce a mechanism for feeding continuous A4 sheets through
a printer without slipping, using no sprocket holes or perforated edges.

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Open the session proper by brainstorming possible solutions, encouraging everyone to suggest
anything they can think of and piggyback on each other's ideas. Record all these ideas on a flipchart.

If this doesn't produce a result, ask the group to think of analogies for feeding paper through a printer.
They might suggest putting clothes through a mangle, or newspapers through a printing press, or pasta
through a cutting machine. Now ask them to think of analogies from nature (this is known as bionics).
They may suggest, for example, underwater lava flows, which push continuously through fissures in the
sea bed. You could ask the group to work on any ideas they generate by applying trigger words. For
example, you might instruct them to exercise the idea. Or to multiply it. Whatever trigger word you
choose, they are free to interpret it as they wish.

You might try free association. Pick a word at random, perhaps one from earlier in the session, which
is not directly associated with the problem. You might choose volcano. Go round the group asking the
first person to free associate another word from this one, and then asking each person in turn to free
associate a word from the one given by the person before them. Record all these words, and then ask
the group to look for connections between these words and the problem. Brainstorm some more using
these words.

Try the excursion technique. Ask everyone in the group to close their eyes and go on a visualized
journey through a particular location—maybe a theme park. Give them ten minutes, and then ask them
to record the images they saw on their journey. Ask each person in turn to share their key images with
the group, and get everyone to look for analogies and connections between these images and the
problem.

You should find that a creativity-fest of this kind will generate plenty of ideas for solving problems, and
that as the session continues the group's creativity levels will escalate. The trick is to keep the
momentum going, and to encourage everyone to use each other's ideas as a springboard. If the group
begins to get stuck in a rut, that's the time to bring in a new technique.

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Two Words Technique

This is a simple and fun technique for generating ideas or solutions when you're stuck on a problem.
All you have to do is to reduce your problem or subject to two words, and then list synonyms for each
of these. Then put these synonyms together in new combinations. No two words mean exactly the
same thing; they all have different nuances at the least. So by substituting new words in place of the
original ones, you open up a whole new range of creative stimulants.

The Stages

1. First of all, think about your problem or challenge and find two words that sum it up. These two
words might constitute a phrase but they don't have to. They simply have to express the problem.

Individual technique: problem solving/idea generation

This simple technique reduces the focus of your ideas to two words, and then
uses these words to stimulate new ideas.

See also: Forced relationship.

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They might be increase/sales, non-stick/textured, promote/discounts, or sack/George.

2. Next, draw two columns and write one of your two words at the top of each.

3. Beneath each word, list all the words you can find which mean pretty much the same thing. Don't
think about whether these words are applicable in the context of the original problem, just choose
words which are synonyms in general. You can use a thesaurus to do this if you like.

4. Now combine your first word with each of the words in the other column in turn. See what ideas
these new combinations generate.

5. Repeat this process using the second of your original two words in combination with each of the
words in the first column.

6. Now you can go on to work through all the other combinations available, starting with the first
synonyms from each column and so on. You might find, for example, that the original words
promote/discounts might, when you work your way down the columns, give you the combination
augment/rebate. This might spark off new ideas for promoting a discount. How about increasing the
discount by one percent for every consecutive monthly order?

Example

Suppose your problem is that you need to recruit new staff to your department. The problem is that
you need highly trained people and they are not easy to find. First, reduce your problem to two
words—let's say recruit people. Now write down each of these words at the top of a column, and list
synonyms underneath, as in the following Table.

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recruit people

employ staff

eng ag e employees

hire individuals

enlist humans

appoint mortals

commission parties

entertain characters

post g uys

As you can see, there are nine words in each column. That gives you a total of 81 possible
combinations. That must be enough to generate some good ideas. Here are some possibilities:

• appoint/individuals—You could ask top people in your organization and others to network to find
possible applicants.

• employ/guys – This could spark off the idea of fireworks (forgive the pun). How about sending a
direct letter to top people who are already employed enclosing a sparkler and a note saying, ''We're
looking for bright sparks."

• hire/guys—You could use a headhunter.

• commission/employees—Announce to all your staff that anyone who introduces you to a potential
employee will get a cash reward if that person is appointed.

• entertain/parties—Hold a party or special event and invite top people in the field so you can meet
them; it's a simple step to start talking to them about joining the organization.

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Unconscious Intuitive Techniques

The unconscious mind is a powerful creative tool. It does not follow the same patterns of logic and
rational thinking that we tend to follow consciously, so it is more open to creative thought. It is, after
all, where our dreams come from. So it stands to reason that if we want to think creatively, we would
do well to tap into this resource. The problem is, as we know from our dreams, that it tends to get
carried away on its own path, and we have to learn how to direct it towards the particular problem we
want solved.

All these techniques and approaches depend on the assumption that your mind holds the answer
somewhere, you simply have to find a way to release it, or to recognize the pattern or connection that
is the clue to it. These techniques are worth trying when you

Individual technique: problem solving

This is a collection of techniques that involve setting your mind to work

without structured conscious involvement. The idea is that your unconscious
mind is capable of coming up with the answers if you just leave it alone for a
while.

See also: Conscious intuitive techniques.

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feel sure that you know the answer, or are capable of finding a solution, but you can't quite see it at the
moment.

Using Your Intuition

Intuition is one of the strongest waking experiences of our subconscious mind at work. Some of us
place complete faith in our intuition; some of us mistrust or ignore it completely. Most of us fall
somewhere between these two extremes, but tend to use our intuition less than we might. The reason
is that using your intuition is a skill, but it is one that most of us never practice. So when it matters, we
are reluctant to rely on our gut feelings.

In order to practice using your intuition, listen to your gut feelings. Make a conscious effort to
recognize them. Before you open a letter, think about what you reckon might be inside. When the
phone rings, pause for a second to think who it might be on the other end of the line. Before you talk
to a customer, listen to your intuition about what outcome the meeting will achieve—will you close the
deal, finalize the details, sort out the problem or whatever the conversation is about? Take note of
what your intuition tells you, and see how often it is right. Learn to listen to it.

Intuition is an essential management tool, but it must almost always be combined with reasoned
thought. When it comes to problem solving, let your intuition guide you, but once you find a solution
see if you can work your way to it by reason and analysis as well. Research into what makes
managers successful has found that intuition is an important tool. Many successful managers make gut
decisions and then check them with logical analysis, or conversely use their intuition to check up on
decisions or ideas reached through rational thought. In other words, they search for an answer until
they find one which satisfies both the conscious and the unconscious process.

Intuition is also useful for finding solutions quickly. With practice, your intuition will be right almost as
often as the more laborious analytical approach—which will still get it wrong sometimes.

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Often speed is more important than the actual solution you arrive at, and in these cases it makes sense
to rely on your gut feeling.

If you need persuading that you should use your intuition when it comes to creative problem solving,
here are a few examples of successful intuitive thinking:

• Henry Heinz used the number 57 because it just came into his head. Heinz actually had far more than
57 varieties of food at the time.

• Sam Walton founded the retailing giant Wal-Mart on principles he arrived at purely by gut feeling.
He felt certain that he could build a successful retailing chain by giving cut-rate prices and avoiding
major cities. He also felt that it was important to treat employees like members of a big family.

• When microwave technology was first developed, the experts all said that there was no future for it
as a cooking medium; people just didn't want it. George Foerstner of Amana Refrigeration, Inc felt
otherwise. His intuition told him that if the price was right, people would buy microwave cookers. On
the basis of this gut feeling he developed and marketed the first microwave ovens, and proved the
experts wrong.

Relaxation

Our subconscious takes a back seat to our conscious thought processes when we are awake. So if the
answer is there, it may not be apparent. We need to get our conscious minds to shut up for a moment.
We need to calm down not only our rational thinking, but also our emotions. Negative emotions in
particular, such as worry, anger and stress, inhibit our ability to listen to our subconscious.

The answer is to relax. Mental relaxation leads to more creative intuitive thought, and deep relaxation
produces alpha brain waves which are conducive to intuitive thought (in our normal waking state our
brains use the quicker, shallower beta waves). If the solution is

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already somewhere in your mind, you are more likely to see it in alpha state than in beta state.

There are several different relaxation techniques you can use; find the one that suits you best.
Whichever you use you should be on your own in a peaceful environment, comfortable but able to sit
for about a quarter of an hour with your eyes closed but without falling asleep. Then simply empty your
mind, use the technique you have chosen, and allow your thoughts to drift. When you have finished,
come round slowly—open your eyes, breathe deeply and slowly stretch your arms and legs—before
going back to the fray. Here are a few techniques to try if you don't already have your own preferred
one:

• Think about some occasion in the past when you have been relaxed and happy. Imagine this in detail,
and try to recreate the sense of calm and relaxation. It might be lying on a beach in the sun, walking in
the country, sitting in front of the fire with a mug of cocoa, or watching a sunset. Imagine this scene
regularly; every day if possible, if only for three or four minutes. After a while, your mind will associate
this with relaxation, and you will be able to use this technique to create a state of relaxation at will.
Then you can empty your mind and allow your thoughts to drift.

• Try tensing and releasing every muscle in your body in turn. With your eyes closed, simply focus on
tensing your toes and then releasing them slowly. Now tense your feet and then slowly release. Work
your way slowly up your body—calves, knees, thighs, buttocks, lower back, stomach, upper back,
chest, shoulders, upper arms, lower arms, hands, fingers, neck, head, face, eyes, forehead. As you
progress, each part of your body that relaxes should stay relaxed. By the time you reach the end, you
should be deeply relaxed and your mind should be empty.

• Breathe slowly in and out to a count of five each way allowing your ribcage to expand and contract
but without moving your diaphragm. Now breathe in and out to a count of five using your diaphragm
only—in other words, without allowing your ribcage to expand and contract. Finally, breathe in to a
count

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of five expanding your ribcage, and then breathe in further using your diaphragm to a count of five.
Breathe out again with your diaphragm first and then your ribcage. Repeat this whole cycle—ribs in
and out, diaphragm in and out, ribs then diaphragm in, diaphragm then ribs out—at least three times,
or until you feel deeply relaxed.

• Breathe slowly and deeply as you count backwards from fifty down to one.

• Imagine a huge hot-air balloon on the ground in the middle of a green field. Picture yourself placing
all your anxieties, fears, stress and negative feelings in the basket. Then untie the rope that holds the
balloon and watch it lift up, carrying away all your unwanted emotions. Watch it until it disappears
from view beyond the horizon.

Don't assume that the answer will come to you immediately. It may do, but then again sometimes it
won't come at all. More often, you will find at least some insight into the solution to your problem,
even if you don't find the whole solution. But it may not happen at once. Perhaps later in the day, or
the next time you relax, or the next time you think logically about the problem, you will see a solution
you hadn't seen before.

This is a particularly good technique to use when it is the problem itself which is making you tense and
stressed. Maybe you're worrying about how to persuade a key client to accept an important proposal,
or perhaps your team members are falling out over a particular issue that you need to resolve.

Sleeping On It

How often have you struggled to remember the name of an actor—or a movie, or the customer you
met at that exhibition last month, or the thing you forgot to write on your shopping list—only to have it
spring into your mind an hour or two after you've given up trying to remember it?

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Just because you are not consciously thinking about something, it doesn't mean you are not thinking
about it subconsciously. Your subconscious is constantly processing ideas, images and information.
This technique involves making sure that your subconscious is working on your particular problem
rather than anything else. You want it to generate ideas to solve your problem so that next time you
come back to it you see the solution. Sometimes the ideas will simply pop into your head while you're
doing something else—just like the name of that actor.

Sleeping on it is not the only way to incubate ideas. (It was, however, Einstein's favorite method. If he
encountered a really knotty problem, he used to take a nap.) It doesn't matter whether you go to
sleep, go out for the evening, go into a tough meeting or take a bath. The only thing that matters is that
you do something unconnected with the problem. But you have to prime your subconscious first:

• Immerse yourself in the problem for a while. Read any information about it. Think about it. Talk to
your colleagues about it.

• Say to your subconscious: "OK, here's the problem. I need to find a way to make a shampoo bottle
that stands up on its own, but all the shampoo comes out of it—even the last bit—without any hassle.
Think about it, and let me know when you come up with an answer."

• Now stop thinking about the problem. Distract yourself if necessary. Either wait for inspiration to
strike, or go back to the problem after a couple of hours, or a couple of days.

Tapping Into Your Dreams

This is quite similar to sleeping on a problem, except that you are looking for the answer in your
dreams rather than in a moment of conscious thought after you wake up. Many highly creative people
keep dream diaries, in which they record their dreams; one of the

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most famous of these was the French philosopher Descartes. Other people too have been inspired by
their dreams:

• Samuel Taylor Coleridge dreamed the poem Kubla Khan.

• Robert Louis Stephenson dreamed his novels before he wrote them.

• A model of the atom came to the physicist Niels Bohr in a dream.

• The arrangement of the elements was dreamt by Dmitri Mendeleyev.

These are just a few examples of the power of dreams. The question is, how do you harness that
power? As with sleeping on a problem, you need to be clear exactly what the problem is that you are
trying to solve. Formulate a question that expresses it clearly, and think about this before you fall
asleep. Be prepared to do this for several nights in a row before you find the answer. After that, you
need to remember your dreams:

• If you don't usually remember your dreams, wake up half an hour earlier than usual—this makes you
more likely to wake during a period of dreaming. Before you open your eyes, concentrate on thinking
through and remembering the dream, or you may well forget it when you get up.

• Keep a notebook beside your bed and record everything you can remember of the dream before
you get up. You can write, sketch, or whatever helps you get the dream down.

• Now think about how the dream might relate to your problem. The answer may be direct or, more
likely, indirect. You may need to free associate (see p. 21) with one or two images from the dream
(use your intuition to decide which ones).

• Continue to record your dreams each morning. The more you do this, the more detail you will be
able to remember.

Dreaming solutions to problems is usually indirect. You might dream a particular word or image that is
a clue, rather than a clear answer.

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For example, the inventor of the sewing machine, Elias Howe, was having trouble with the finer points
of the design. One night he dreamed he was captured by savages carrying spears. The spears each
had a hole in the tip. On waking, Howe realized that the modification he needed was to put the hole at
the tip of the needle—the opposite end to the hole in an ordinary needle.

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Verbal Checklist
When you have a complex problem to solve, it is important to be sure that you cover every possible
angle to solve it. One of the best ways to do this is with a checklist you can run through. Checklists
can be made up of either single words or questions. There are plenty of standard ones around for
different problems, or you can develop your own, perhaps by adapting an existing one.

One of the most important things about using checklists is that you must do it properly. It's no good
skimming through the list; you need to spend time on every single item on the list—and a long time on
some of them—for the technique to work. Although checklists are generally regarded as an individual
tool, you can of course use them in a group. You could go through the list and identify the items that
provoke most thought and then brainstorm these.

Individual technique: problem solving/idea generation

By going through a structured process—a checklist of words or

questions—you can make sure you examine every aspect of a problem or
every possible solution.

See also: Morphological analysis, Questions.

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As you go through your checklist, alone or in a group, record the answers, notes and ideas you
generate. If you don't find a solution, you should at least have made the problem clearer so you can go
on and use another technique to solve it.

The Osborn Verbal Checklist

One of the most popular checklists of all time is the one devised by Alex Osborn, who also invented
brainstorming. This is a checklist for finding improvements for a product or service. Osborn took nine
verbs to apply to the product or service, and then added questions to expand on the ideas prompted
by each of the nine words. The result is shown below.

Put to other uses? New ways to use as is? Other uses if modified?
Adapt? W hat else is like this? W hat other idea does this sug g est?
Does the past offer parallel? W hat could I copy? W hom
could I emulate?

Modify? New twist? Chang e meaning , color, motion, sound, odor,

form, shape? Other chang es?

Mag nify? W hat to add? More time? Greater frequency? Strong er?
Hig her? Long er? Thicker? Extra value? Plus ing redient?
Duplicate? Multiply? Exag g erate?

Minify? W hat to subtract? Smaller? Condensed? Miniature? Lower?

Shorter? Lig hter? Omit? Streamline? Split up? Understate?

Substitute? W ho else instead? W hat else instead? Other ing redient?

Other material? Other process? Other power? Other
place? Other approach? Other tone of voice?

Rearrang e? Interchang e components? Other pattern? Other layout?

Other sequence? Transpose cause and effect? Chang e
pace? Chang e schedule?

Reverse? Transpose positive and neg ative? How about opposites?

Turn it backward? Turn it upside down? Reverse role?
Chang e shoes? Turn tables? Turn other cheek?

Combine? How about a blend, an alloy, an assortment, an en-

semble? Combine units? Combine purposes? Combine appeals?
Combine ideas?

From Applied imag ination, Alex Osborn, reproduced by permission of the Creative Education
Foundation

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Creating Your Own Checklist

The second box contains a group of verbs you might apply to a product or service to find ideas for
improving it. It is obviously not exhaustive, but you can add words of your own to these to create your
own checklist.

multiply divide eliminate subdue

invert separate transpose unify

dissect distort rotate flatten

squeeze complement submerg e freeze

harden open up melt heat

soften fluff up bypass add

subtract widen repeat thicken

stretch extrude help protect

fold shake smooth color

seg reg ate integ rate symbolize abstract

The Phoenix Checklist

This checklist of questions was developed by the CIA to help agents examine a challenge or problem
from every angle. It is a two-part checklist: first it explores the problem and then the plan for resolving
it.

The Problem

• Why is it necessary to solve the problem?

• What benefits will you receive by solving the problem?

• What is the unknown?

• What is it you don't yet understand?

• What is the information you have?

• What isn't the problem?

• Is the information sufficient? Or is it insufficient? Or redundant? Or contradictory?

• Should you draw a diagram of the problem? A figure?

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• Where are the boundaries of the problem?

• Can you separate the various parts of the problem? Can you write them down? What are the
relationships of the parts of the problem? What are the constants of the problem?

• Have you seen this problem before?

• Have you seen this problem in a slightly different form?

• Do you know a related problem?

• Try to think of a familiar problem having the same or a similar unknown

• Suppose you find a problem related to yours that has already been solved. Can you use it? Can you
use its method?

• Can you restate your problem? How many different ways can you restate it? More general? More
specific? Can the rules be changed?

• What are the best, worst and most probable cases you can imagine?

The Plan

• Can you solve the whole problem? Part of the problem?

• What would you like the resolution to be? Can you picture it?

• How much of the unknown can you determine?

• Can you derive something useful from the information you have?

• Have you used all the information?

• Have you taken into account all essential notions in the problem?

• Can you separate the steps in the problem-solving process? Can you determine the correctness of
each step?

• What creative thinking techniques can you use to generate ideas? How many different techniques?

• Can you see the result? How many different kinds of results can you see?

• How many different ways have you tried to solve the problem?

• What have others done?

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• Can you intuit the solution? Can you check the result?

• What should be done? How should it be done?

• Where should it be done?

• When should it be done?

• Who should do it?

• What do you need to do at this time?

• Who will be responsible for what?

• Can you use this problem to solve some other problem?

• What is the unique set of qualities that makes this problem what it is and none other?

• What milestones can best mark your progress?

• How will you know when you are successful?

Verbal Checklists In Action

Let's say you manufacture kitchen equipment—blenders, mixers, juicers and so on. Several new
competitors have recently entered the market, and competition is tougher than ever. Prices are being
driven down, margins are slipping and you need to find ways to cut costs. Trouble is, you've been
trimming them for months, you've renegotiated with all your suppliers, and you're running out of
options. You need to come up with something radical.

Try applying a few verbs from your checklist at random. Here in the table are three examples, and the
ideas they might generate.

Color Suppose you reduce the number of finishes and colors your products come in?
At the moment, most have at least three options. Cut this to two and you'd cut
costs, without necessarily damag ing sales.

Bypass How about selling direct to customers as well as throug h retailers? Bypass the
middle person with a mail order arm of the business, and you could increase
your marg ins substantially.

Protect W hat about packag ing ? All that bubble-wrap to protect your g oods in transit is
expensive. Maybe you could develop low-cost packag ing that still prevents
breakag es.

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Further Reading
101 Creative Problem Solving Techniques, James M. Higgins, The New Management Publishing
Company, Winter Park, FL, 1994.

A Whack on the Side of the Head, Roger von Oech, Warner Books, New York, 1998.

Applied Imagination, Alex Osborn, Creative Education Foundation, Buffalo, NY, 1963.

Brain Boosters for Business Advantage, Arthur B. VanGundy, Pfeiffer & Company, San Diego,
CA, 1995.

Cracking Creativity: The Secrets of Creative Genius, Michael Michalko, Ten Speed Press,
Berkeley, CA, 1998.

Creative Whack Pack, Roger von Oech, United States Games Systems, Stamford, CT, 1989.

Instant Creativity, Brian Clegg & Paul Birch, Kogan Page, London, 1999.

Lateral Thinking: Creativity Step-By-Step, Edward de Bono, HarperCollins, London, 1973.

Six Thinking Hats, Edward de Bono, Little, Brown & Co, New York, 1985.

The Mind Map Book, Tony Buzan, Plume Books, New York, 1996.

Think out of the Box, Mike Vance & Diane Deacon, Career Press, Franklin Lakes, NJ, 1995.

Thinkertoys, Michael Michalko, Ten Speed Press, Berkeley, CA, 1991.

Use Both Sides of Your Brain, Tony Buzan, Plume Books, New York, 1991.

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Creativity Software
Axon Idea Processor, Axon Research—This is a sketchpad for visualizing and organizing ideas,
creating mind maps, text processing, checklists, hints and problem solving.

CK Modeller, IDON Software—A graphics-based program for recording and manipulating ideas
using shapes.

Corkboard/Three by Five, MacToolKit—This allows you to storyboard using virtual index cards on
a bulletin board.

Creative Whack Pack, Creative Think Software—This is the electronic version of the Creative
Whack Pack (see Further Reading). Give the program a problem and it will show you randomly
selected cards and questions to stimulate your creative processes.

IdeaFisher, Fisher Idea Systems—A sophisticated program for brainstorming and problem solving,
this helps you generate solutions for problems such as marketing strategies, articles, advertising and
promotion, and generating names for things.

Innovation Toolbox, Infinite Innovations Ltd, UK—This program uses many techniques such as
random input, the Osborn verbal checklist, brainstorming, analogies and many others, all within a
problem solving structure.

MindMan, MindMan Infocentre—An easy and quick way to create mind maps with graphic features;
you can easily change the mind map using drag and drop, and choose your preferred format to print it.

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Serious Creativity, Meta4 Software—A computer-based training package based on Edward de

Bono's Six Thinking Hats system.

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Useful Web Sites

The Creativity Web—http://www.ozemail.com.au/~caveman/Creative—This aims to be the most up-
to-date resource center for creativity and innovation on the Internet. It is packed with information
about books, software, people, organizations, quotations, techniques, the brain and more.

Directed Creativity—http://www.directedcreativity.com. This site has a comprehensive collection of

creativity techniques.

Edward de Bono—http://www.edwdebono.com—This gives information on most of de Bono's work

in the teaching of creativity including Six Thinking Hats and lateral thinking.

The Innovation Network—http://www.thinksmart.com—Numerous articles on personal creativity

and organizational innovation in the article archives.

What a Great Idea!—http://www.whatagreatidea.com—The Web site of Charles 'Chic' Thompson,

author of What a Great Idea and Yes But. Full of ideas on how and where to get ideas, and how to
overcome resistance to them.

Enchanted Mind—http://www.enchantedmind.com—A colorful, welldesigned site with a great deal

of information on creativity techniques as well as articles, puzzles and humor.

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Index

adaptive learning 7

analogies/metaphors

described 16-17

examples 18-19

forced 88-9

personal 19-20

Apple Computers 85

Arthur D Little 96

association

contiguity 21

contrast 22

described 21

examples 24-5

in practice 22-4

similarity 22

assumption reversal

freeform 29-30

in practice 26-9

attribute listing

combined techniques 34-6

example 33-4

physical 32

in practice 32, 33

price 33

process 32

psychological 32 193

purpose 31-2
 social 32

Bell, Alexander Graham 5

Boeing 118

Bohr, Niels 182

Bono, Edward de 4, 159, 161, 162

brainstorming

aims/principles 37-8

evaluation session 40-41

examples 43

group leader 39-40

in practice 41

rules 38-9

in storyboarding 164-6

in synectics 169

variations

solo 43

take five 42

visual 41-2

versus brainwriting 47

brainwriting

described 44-5

example 47-8

guidelines 45

techniques 45-6

variations

method 6-3-5 46-7

pool 46

versus brainstorming 47

Buzan, Tony 114, 115

194
 .

Campbell's Soup 24-5

change management see force-field analysis

CIA 186

Coleridge, Samuel Taylor 182

conscious intuitive techniques

described 49-50

example 57

general guidelines 50

imagery 54-5

hypnogogic 55-6

imaginary mentor 56-7

visualization 50-51

color 51-3

objects 53-4

problem 53

convergent thinking 4

Crawford, C.C. 58

Crawford Slip Method (CSM)

compiling the report 61-2

described 58-9

in practice 62-4

rules of engagement 61

target statements 59-60

key steps 60-61

creativity 1-2

culture 2-3

further reading 189

question and answer 4-5 195

software 190-91
 techniques 6-8

thinking 3-4

web sites 192

Dali, Salvador 55-6

Davis, Miles 2

Delphi technique

described 65-6

example 67

pros and cons 66

discontinuity

behavior 69

creating 69-70

described 68-9

in practice 68, 70-71

thinking 69-70

Disney, Walt 163

divergent thinking 4

drawing techniques

brainsketching 74

described 73-4

doodles/scribbles 73-4

examples 74-5

first step 73

dreams see unconscious intuitive techniques

Einstein, Albert 5, 49, 181

excursion technique

basic steps

analogies 77, 78

evaluating analogies 77, 78-9

excursion itself 77-8

196
sharing with group 77, 79-80
 described 76

example 80

FCB grid

described 81

example 85

feel 82

high involvement 82

low involvement 82

in practice 82-4

think 82

Foerstner, George 178

force-field analysis

described 91-2

example 94-5

steps 92-4

forced relationships

analogy 88-9

circle of opportunity 86-8

described 86

197
 .

example 90

General Motors 137

generative learning 7

Gordon, William 96, 168

Gordon/Little technique

described 96-7

example 97-9

Heinz, Henry 178

Hewlett-Packard 2

Honda 43

Howe, Elias 183

IBM 85

idea generation 9

association 21-5

assumption reversal 26-30

attribute listing 31-6

brainstorming 37-43

brainwriting 44-8

definition 7

discontinuity 68-71

drawing techniques 72-5

FCB grid 81-5

forced relationships 86-90

involving an outsider 100-103

left-brain/right-brain thinking 106-9

198
lotus blossom technique 110-13

mind mapping 114-18

 morphological analysis 119-22

pattern language 128-33

random stimulation 142-6

rice storm 147-51

scenarios 152-4

sensory images 155-8

six thinking hats 159-62

storyboarding 163-7

7×7 technique 9-14

two words techniques 173-5

verbal checklist 184-8

imagery 54-5

hypnogogic 55-6

imaginary mentor 56-7

improved nominal group technique 125-6

International Paper (IP) Company 43

intuition see conscious intuitive techniques; unconscious intuitive techniques

involving an outsider

described 100

don't be negative 104

don't crowd them with facts 103

example 104

getting the best from other people 102

take their time 103

who to ask 101

distance from problem 102

experience in one part of problem 101

expert advice 101

high level creativity 102

neutrality 102

Kipling, Rudyard 140

199
L
lateral thinking 4

left-brain/right-brain thinking

described 106-7

example 108-9

stages 106-8

Lewin, Kurt 91

lotus blossom technique

described 110

example 112-13

steps 111-12

MacArthur, General 56

Matsumura, Yasuo 110

Mendeleyev, Dmitri 182

Milton, John 56

200
 .

mind mapping

described 114-15

example 116-18

rules 115-16

steps 115

morphological analysis

3-D 122

described 119-20

variations 120-21

Mozart, Wolfgang Amadeus 56

MY method see lotus blossom technique.

NASA 80

Newton, Sir Isaac 24

nominal group technique (NGT)

described 123-4

in practice 126-7

stages

clarifying ideas 124-5

generating written ideas 124

recording ideas 124

voting on ideas 125

variation 125-6

Oech, Roger von 70

Olson, Robert 90

Osborn, Alex 37, 185

''out of the box" thinking 4

outsider involvement see involving an outsider 201

P
Panasonic 104

pattern language

described 128-9

example 133

principle behind 129

stages 129-33

Pilkington, Alastair 146

Pilkington Brothers 146

problem reversal

described 134

examples 137

in practice 135-7

stages 134-5

problem solving

analogies/metaphorical thinking 16-20

association 21-5

conscious intuitive techniques 49-57

Crawford slip method 58-64

definition 7

Delphi technique 65-7

discontinuity 68-71

excursion technique 76-80

force-field analysis 91-5

Gordon/Little technique 96-9

involving an outsider 100-103

nominal group technique 123-7

pattern language 128-33

problem reversal 134-7

questions 138-41

random stimulation 142-6

rice storm 147-51

sensory images 155-8

202
six thinking hats 159-62

storyboarding 163-7
 synectics 168-72

two words techniques 173-5

unconscious intuitive techniques 176-83

verbal checklist 184-8

questions

asking why 138-9

described 138

ferris wheel depiction 140-41

six basic 139-40

random stimulation

choosing a word 143-4

described 142-3

examples 145-6

203
 .

variation 144

relaxation technique see unconscious intuitive techniques

rice storm (TKJ method)

benefits 147-8

described 147

problem definition 148-9

problem solution 149-51

variations 151

RICOH 154

scenarios

described 152

examples 154

in practice 152-3

stages 153-4

Senge, Peter, on learning 7

sensory images

described 155-6

example 157-8

variations 156-7

six thinking hats

benefits 159-60

black 160

blue 160

described 159

green 160

in practice 161-2

red 160

white 160 204

yellow 160
Sloan, Alfred 137

Stephenson, Robert Louis 182

storyboarding

brainstorming in 164-6

creative thinking 164

critical thinking 164

described 163-4

header card 164

stages 164-6

subber card 164

types 166

communications 167

ideas 166

organization 166-7

planning 166

survival learning 7

SWOT analysis 152

synectics

brainstorming in 169

described 168-9

in practice 171-2

stages 169-70

identify problem 170

make familiar strange 170-71

relate ideas to problem 171

trigger words 170

7 × 7 technique 9

example 12

classify by dissimilar columns 13-14

combine 12

defer 13

exclude 12
205
feedback 13

generalize columns 14
 modify 13

rank columns 14

rank ideas in each column 14

nine steps 10

classify into dissimilar columns 11

combine similar ideas 10

defer anything not timely 10-11

evaluate 12

exclude anything irrelevant 10

feedback 11

generalize columns 11

modify ideas 10

rank columns 11

rank ideas in each column 11

Texas Instruments 2

3M 2

206
 .

TKJ method see rice storm (TKJ method)

two words techniques

described 173

example 174-5

stages

combine words 174

draw two columns 174

list similar words 174

repeat process 174

think of problem/challenge 173-4

work through all combinations 174

unconscious intuitive techniques

described 176-7

relaxation 178-80

sleeping on it 180-81

tapping into your dreams 181-3

using your intuition 177-8

Vance, Mike 163

Velcro 80

verbal checklist

creating 186

described 184-5

Osborn 185

Phoenix 186

plan 187-8

problem 186-7

in practice 188 207

Vinci, Leonardo da 75
visualization 50

color 51-3

objects 53-4

problem 53

Wal-Mart 178

Walton, Sam 178

Zen Buddhism 70

Zwicky, Fritz 119

208