DESIGN THINKING – 5TH SEM – AUDIT COURSE

Course Outcomes:

Upon successful completion of the course the students will be able to

1. Understand the principles and approach of design thinking

2. Be familiar with processes and methods of research

3. Generate and develop design ideas through different technique

4. Enhance their creative and innovative thinking skills

5. Practice thinking creatively and innovative design and development

Unit:1 DESIGN THINKING – BASICS. 7 Hours

Design process: Traditional design, Design thinking, Existing sample design projects, Study on designs around us, Compositions/structure of a

design,

Innovative design: Breaking of patterns, reframe existing design problems, Principles of creativity Empathy: Customer Needs, Insight-leaving from

the lives of others/standing on the shoes of others, Observation. The Basis for Design Thinking Design Thinking Frameworks.

Design (Defn) :- Generally speaking, it is the process of envisioning and planning the
creation of objects, interactive systems, buildings, vehicles, etc. It user-cantered, i.e.
users are at the heart of the design thinking approach. It is about creating solutions for
people, physical items or more abstract systems to address a need or a problem. Design
is a multidimensional concept that encompasses the intentional creation or
arrangement of elements to achieve a specific purpose or solve a problem. It's not just
about aesthetics, it also involves functionality, usability, and sometimes even cultural or
societal considerations. Design can be found in various fields, including graphic design,
product design, architecture, fashion, user experience design, and more. At its core,
design involves creativity, critical thinking, problem-solving, and often collaboration
with other disciplines to bring ideas to life in tangible or digital forms.

The 5 Stages in the Design Thinking Process

Design thinking is a methodology which provides a solution-based approach to solving

problems. It’s extremely useful when used to tackle complex problems that are ill-defined
or unknown—because it serves to understand the human needs involved, reframe the
problem in human-centric ways, create numerous ideas in brainstorming sessions and
adopt a hands-on approach to prototyping and testing. When you know how to apply the
five stages of design thinking you will be impowered because you can apply the
methodology to solve complex problems that occur in our companies, our countries, and
across the world.

Design thinking is a non-linear, iterative process that can have anywhere from three
to seven phases, depending on whom you talk to. We focus on the five-stage design
thinking model proposed by the Hasso Plattner Institute of Design at Stanford (the
d.school) because they are world-renowned for the way they teach and apply design
thinking.

 Empathize: research your users' needs.

 Define: state your users' needs and problems.
 Ideate: challenge assumptions and create ideas.
 Prototype: start to create solutions.
 Test: try your solutions out

Stage 1: Empathize- research your users' needs.

The first stage of the design thinking process focuses on user-centric research. You
want to gain an empathic understanding of the problem you are trying to solve. Consult
experts to find out more about the area of concern and conduct observations to engage
and empathize with your users. You may also want to immerse yourself in your users’
physical environment to gain a deeper, personal understanding of the issues involved—
as well as their experiences and motivations. Empathy is crucial to problem solving and
a human-centered design process as it allows design thinkers to set aside their own
assumptions about the world and gain real insight into users and their needs.

Depending on time constraints, you will gather a substantial amount of information to

use during the next stage. The main aim of the Empathize stage is to develop the best
possible understanding of your users, their needs and the problems that underlie the
development of the product or service you want to create.

Stage 2: Define—State Your Users' Needs and Problems

In the second phase of design thinking, where you define the problem statement in a
human-centered manner. In the Define stage, you will organize the information you have
gathered during the Empathize stage. You’ll analyse your observations to define the core
problems you and your team have identified up to this point. Defining the problem and
problem statement must be done in a human-centered manner.

For example, you should not define the problem as your own wish or need of the
company: “We need to increase our food-product market share among young teenage
girls by 5%.”

You should pitch the problem statement from your perception of the users’ needs:
“Teenage girls need to eat nutritious food in order to thrive, be healthy and grow.”

The Define stage will help the design team collect great ideas to establish features,
functions and other elements to solve the problem at hand—or, at the very least, allow
real users to resolve issues themselves with minimal difficulty. In this stage, you will
start to progress to the third stage, the ideation phase, where you ask questions to help
you look for solutions: “How might we encourage teenage girls to perform an action that
benefits them and also involves your company’s food-related product or service?” for
instance.

Stage 3: Ideate—Challenge Assumptions and Create Ideas

 Ideat
e: the third phase of design thinking, where you identify innovative solutions to the
problem statement you’ve created.

During the third stage of the design thinking process, designers are ready to generate
ideas. You’ve grown to understand your users and their needs in the Empathize stage,
and you’ve analyzed your observations in the Define stage to create a user centric
problem statement. With this solid background, you and your team members can start
to look at the problem from different perspectives and ideate innovative solutions to
your problem statement.

There are hundreds of ideation techniques you can use—such as

Brainstorm, Brainwrite, Worst Possible Idea and SCAMPER. Brainstorm and Worst
Possible Idea techniques are typically used at the start of the ideation stage to stimulate
free thinking and expand the problem space. This allows you to generate as many ideas
as possible at the start of ideation. You should pick other ideation techniques towards
the end of this stage to help you investigate and test your ideas, and choose the best
ones to move forward with—either because they seem to solve the problem or provide
the elements required to circumvent it.

Stage 4: Prototype—Start to Create Solutions

Prototype: the fourth phase of design thinking, where you identify the best possible
solution.
 The design team will now produce a number of inexpensive, scaled down versions of the
product (or specific features found within the product) to investigate the key solutions
generated in the ideation phase. These prototypes can be shared and tested within the
team itself, in other departments or on a small group of people outside the design team.

This is an experimental phase, and the aim is to identify the best possible solution for
each of the problems identified during the first three stages. The solutions are
implemented within the prototypes and, one by one, they are investigated and then
accepted, improved or rejected based on the users’ experiences.

By the end of the Prototype stage, the design team will have a better idea of the
product’s limitations and the problems it faces. They’ll also have a clearer view of how
real users would behave, think and feel when they interact with the end product.

Stage 5: Test—Try Your Solutions Out

Test: the fifth and final phase of the design thinking process, where you test solutions to
derive a deep understanding of the product and its users.

Designers or evaluators rigorously test the complete product using the best solutions
identified in the Prototype stage. This is the final stage of the five-stage model; however,
in an iterative process such as design thinking, the results generated are often used to
redefine one or more further problems. This increased level of understanding may help
you investigate the conditions of use and how people think, behave and feel towards the
product, and even lead you to loop back to a previous stage in the design thinking
process. You can then proceed with further iterations and make alterations and
refinements to rule out alternative solutions.
The ultimate goal is to get as deep an understanding of the product and its users
as possible.

Design Stages :-

1. Understanding the Problem: This initial stage involves gathering information,

conducting research, and defining the problem or opportunity that the design aims to
address. It's crucial to understand the context, users, constraints, and objectives.
2. Research and Exploration: Once the problem is understood, designers explore
potential solutions. This may involve brainstorming, sketching, gathering inspiration,
studying relevant examples, and considering various perspectives.
3. Concept Development: Based on the research and exploration, designers begin to
develop concepts or ideas for addressing the problem. These concepts may be rough
sketches, wireframes, prototypes, or other forms of representation that help visualize
potential solutions.
4. Refinement and Iteration: Design is an iterative process, so concepts are refined and
iterated upon based on feedback, testing, and further exploration. This stage may
involve multiple rounds of refinement to hone in on the most effective solution.
5. Prototyping: Once a concept begins to take shape, designers create prototypes or
mock-ups to test the functionality, usability, and feasibility of the design. Prototypes can
range from low-fidelity sketches or digital wireframes to high-fidelity interactive
prototypes.
6. Testing and Evaluation: Prototypes are tested with real users to gather feedback and
insights. Testing helps identify strengths, weaknesses, and areas for improvement in the
design. This feedback informs further iterations and refinements.
7. Implementation: Once the design has been refined and validated through testing, it's
ready for implementation. This stage involves finalizing the design, preparing assets,
and coordinating with developers, manufacturers, or other stakeholders to bring the
design to fruition.
8. Evaluation and Feedback: After implementation, designers may continue to gather
feedback and evaluate the design's performance in real-world use. This feedback loop
helps inform future iterations and improvements.

Throughout the design process, communication and collaboration are essential, as

designers often work closely with clients, stakeholders, and other team members to
ensure the final product meets the desired objectives and requirements

Traditional design

Traditional design often refers to design styles, methodologies, or approaches that are
based on historical or cultural traditions. It frequently highlights workmanship, legacy,
and timeless beauty. Traditional design can differ significantly based on the cultural
environment, historical period, and regional influences. Here are some examples of
traditional design styles.

1. Classic Architecture: Architectural styles such as Greek, Roman, Gothic, Renaissance,

and Baroque reflect historical design ideas and construction processes. These forms
frequently incorporate intricate detailing, symmetry, and grandeur.

2. Victorian interior design was popular throughout Queen Victoria's reign in the
nineteenth century and is distinguished by rich colours, intricate patterns, and
decorative flourishes. It frequently features flowery patterns, hefty furniture, and
beautiful woodwork.
 3. The Arts and Crafts Movement, which began in the late nineteenth and early twentieth
centuries, emphasised workmanship, simplicity, and natural materials. It eschewed
mass-produced, industrial aesthetics in favour of handcrafted goods and traditional
workmanship.

4.Traditional Chinese or Japanese design typically emphasises harmony, balance, and

symbolism. Traditional Chinese design may include motifs like dragons, phoenixes, and
floral designs, whereas traditional Japanese design frequently involves tatami mats,
sliding doors (shoji), and minimalist aesthetics.

5. Colonial or Colonial Revival Design: Colonial architecture and interior design are
inspired by colonial-era designs such as Colonial America or British Colonialism. These
forms frequently incorporate symmetrical facades, columns, and traditional
craftsmanship.

Traditional design styles have historical roots, but they can still be relevant and
important in today's design. Many designers take inspiration from old design aspects
and merge them into modern interpretations, resulting in settings and products that
combine historical charm with contemporary sensibility.

DESIGN THINKING

Design thinking is a human-centered approach to problem solving and innovation that

began in design but has since spread to other industries and disciplines. It entails an
organised approach for developing creative solutions to complicated challenges while
focusing on the requirements and viewpoints of end users. Design thinking often
includes the following fundamental principles:

1. Empathy: Design thinking begins with a deep understanding of the people for whom
you are designing. This involves empathizing with their needs, desires, behaviors, and
challenges through methods such as user research, interviews, and observation.
2. Problem Definition: Once empathy is established, the problem or challenge is defined
from the user's perspective. This step involves reframing the problem in a way that
focuses on addressing the underlying needs and motivations of the users rather than
just the symptoms.
3. Ideation: In this phase, creative brainstorming techniques are used to generate a wide
range of potential solutions to the defined problem. Quantity is valued over quality
during ideation, encouraging participants to think divergently and explore
unconventional ideas.
4. Prototyping: Ideas generated during the ideation phase are translated into tangible
prototypes or representations that can be quickly tested and evaluated. Prototypes can
range from low-fidelity sketches or mock-ups to interactive prototypes, depending on
the complexity of the solution.
5. Testing and Iteration: Prototypes are tested with real users to gather feedback and
insights. This feedback informs further iterations and refinements of the design. The
design thinking process is iterative, allowing for multiple rounds of testing and
refinement to develop the most effective solution.
6. Implementation: Once a solution has been validated through testing, it is implemented
or scaled up for real-world use. Implementation involves finalizing the design,
preparing for production or deployment, and addressing any logistical or organizational
considerations.

Design thinking is characterized by its iterative and collaborative nature, as well as its
emphasis on creativity, empathy, and user-centeredness. It is not limited to designers
and can be applied by anyone seeking innovative solutions to complex problems,
whether in business, education, healthcare, or other domains.

Existing sample design projects

1. User Interface (UI) Design for a Mobile Banking App: A design team is tasked with
redesigning the user interface for a mobile banking application to improve usability and
enhance the overall user experience. The project involves conducting user research,
creating wireframes and prototypes, and collaborating with developers to implement
the new design.
2. Product Design for a Sustainable Water Bottle: A product design firm is hired to
create a sustainable water bottle that reduces single-use plastic waste. The project
involves ideation, prototyping, and testing of different materials and designs to optimize
functionality, durability, and environmental impact.
3. Architectural Design for a Sustainable Office Building: An architecture firm is
commissioned to design a new office building with a focus on sustainability and energy
efficiency. The project involves integrating passive design strategies, renewable energy
systems, and green building materials to minimize environmental impact while
maximizing occupant comfort and productivity.
4. Graphic Design for a Brand Identity Refresh: A marketing agency is hired to refresh
the brand identity of a fashion retail company. The project includes designing a new
logo, typography, color palette, and visual assets to reflect the company's values,
personality, and target audience while maintaining brand consistency across various
touchpoints.
5. Interior Design for a Co-working Space: An interior design firm is tasked with
designing a co-working space that fosters creativity, collaboration, and productivity.
The project involves space planning, furniture selection, lighting design, and decor
choices to create a welcoming and functional environment for freelancers, startups, and
small businesses.
6. Package Design for a New Food Product: A food manufacturing company is launching
a new line of organic snacks and needs packaging that communicates the product's
quality, health benefits, and flavor variations. The project involves designing eye-
catching labels, choosing sustainable packaging materials, and considering shelf appeal
and regulatory requirements.
7. User Experience (UX) Design for an E-commerce Website: An online retail startup
wants to improve the user experience of its website to increase conversion rates and
customer satisfaction. The project involves conducting user research, creating user
personas and journey maps, and redesigning the website's navigation, layout, and
checkout process for optimal usability and engagement.
8. Exhibition Design for a Museum: A museum is planning a new exhibition on a
historical event and needs a captivating design that educates and engages visitors of all
ages. The project involves conceptualizing the exhibition layout, designing interactive
displays, selecting multimedia elements, and creating signage and graphics that enhance
the storytelling experience.
9. Environmental Graphic Design for a Corporate Office: A corporate office is
undergoing a rebranding initiative and needs environmental graphics that reflect the
company's values, culture, and brand identity. The project involves designing wall
murals, wayfinding signage, and interior graphics that create a cohesive and inspiring
workplace environment for employees and visitors.
10. Urban Planning and Landscape Design for a Public Park: A city government is
renovating a public park to make it more accessible, sustainable, and enjoyable for
residents and tourists. The project involves master planning, site analysis, community
engagement, and landscape design to create functional and aesthetically pleasing
outdoor spaces, amenities, and recreational opportunities.
11. Industrial Design for a Medical Device: A medical device manufacturer is developing
a new wearable device for monitoring vital signs and needs a design that is comfortable,
intuitive to use, and aesthetically pleasing. The project involves prototyping, user
testing, and iterative refinement of the device's form, materials, and ergonomics to meet
regulatory standards and user needs.
12. Experiential Design for a Trade Show Booth: A technology company is participating
in a trade show and wants a booth design that attracts attention, showcases its products
and services, and encourages attendee interaction. The project involves conceptualizing
the booth layout, designing interactive demos, incorporating branding elements, and
coordinating logistics for a successful event presence.

These sample design projects illustrate the diverse range of design disciplines and
applications, from digital interfaces and product development to architecture and
branding. Each project requires a unique combination of creativity, problem-solving,
and collaboration to achieve its objectives and meet the needs of its intended users or
stakeholders.

Studying designs around us

Studying designs around us can provide valuable insights into how design influences
our daily lives, shapes our experiences, and addresses societal needs. Here are some
potential areas of study related to designs in our environment:

1. Architecture and Urban Design: Analyze the architectural styles, spatial layouts, and
infrastructure of buildings, neighborhoods, and cities. Explore how design choices
impact urban livability, sustainability, and community well-being.
2. Graphic Design and Visual Communication: Examine the use of typography, color,
imagery, and layout in various forms of visual communication, such as advertising,
signage, packaging, and digital media. Investigate how design influences consumer
behavior, brand perception, and cultural norms.
3. Product Design and Industrial Design: Investigate the form, function, and usability of
everyday products, from household appliances and furniture to consumer electronics
 and transportation vehicles. Consider how design impacts user experiences, safety,
accessibility, and environmental sustainability.
4. Fashion Design and Textile Design: Explore trends, techniques, and cultural
influences in fashion and textile design. Analyze garment construction, fabric choices,
and aesthetic expressions in clothing, accessories, and textile art.
5. Interior Design and Environmental Design: Study interior spaces and built
environments to understand how design affects human behavior, mood, and
productivity. Examine the use of lighting, furniture, materials, and spatial planning in
creating functional and aesthetically pleasing interiors.
6. Experience Design and Service Design: Investigate the design of immersive
experiences, such as theme parks, museums, restaurants, and digital interfaces. Explore
the principles of service design in optimizing customer journeys, interactions, and
touchpoints across various service industries.
7. Sustainable Design and Design for Social Impact: Explore innovative approaches to
sustainable design, including eco-friendly materials, energy-efficient technologies, and
circular economy principles. Investigate design solutions that address social and
environmental challenges, such as poverty, inequality, healthcare access, and climate
change.
8. Historical and Cultural Perspectives on Design: Examine the historical context and
cultural significance of design movements, styles, and artifacts. Analyze how design
reflects and shapes cultural identities, values, and traditions across different societies
and time periods.

By studying designs around us through these various lenses, researchers, scholars, and
practitioners can gain a deeper understanding of the role of design in shaping our world
and envisioning more inclusive, sustainable, and meaningful futures.

Compositions/structure of a design

The composition or structure of a design refers to how its elements are arranged and
organized within a given space or context. A well-designed composition balances visual
elements such as lines, shapes, colors, textures, and typography to create harmony,
emphasis, and hierarchy. Here are some key aspects of the composition and structure of
a design:

1. Hierarchy: Establishing a clear hierarchy helps guide the viewer's attention and
understanding of the design. This can be achieved through the use of size, scale,
contrast, and placement to emphasize certain elements over others.
2. Balance: Balance refers to the distribution of visual weight within a composition. There
are three main types of balance: symmetrical, asymmetrical, and radial. Symmetrical
balance involves mirroring elements on either side of a central axis, while asymmetrical
balance relies on visual counterweights to create equilibrium. Radial balance radiates
from a central point outward.
3. Proximity: Grouping related elements together creates visual cohesion and helps
convey relationships and hierarchy. Proximity can be used to organize content,
establish flow, and improve readability in designs such as layouts and interfaces.
4. Alignment: Aligning elements along a common axis or grid creates a sense of order and
structure in the design. Alignment helps establish visual connections between elements
and promotes readability and clarity.
5. Repetition and Consistency: Repeating visual elements such as shapes, colors, and
patterns creates unity and reinforces the design's visual identity. Consistency in
typography, spacing, and styling across different elements ensures coherence and
reinforces brand identity.
6. Contrast: Contrast creates visual interest and emphasizes important elements within
the design. This can be achieved through differences in color, size, shape, texture, or
value. Effective use of contrast helps draw attention to focal points and enhances
readability and impact.
7. Whitespace (Negative Space): Whitespace refers to the empty space between
elements in a design. It provides visual breathing room, enhances readability, and
directs the viewer's focus. Strategic use of whitespace can improve visual hierarchy,
balance, and overall aesthetics.
8. Flow and Movement: Guiding the viewer's eye through the design in a deliberate
sequence helps create a sense of flow and movement. This can be achieved through the
arrangement of visual elements, directional cues, and gestalt principles such as
proximity and continuity.

By considering these compositional principles and structures, designers can create

visually compelling, cohesive, and effective designs that engage viewers and
communicate messages clearly and effectively.

Innovative design
Introduction to innovative design encompasses exploring creative and groundbreaking
approaches to problem-solving, often through the integration of technology,
sustainability, user-centricity, and novel methodologies. Innovative design seeks to
push the boundaries of conventional thinking to address complex challenges and
opportunities in new and unconventional ways. Here's a breakdown of key components
of innovative design:

1. Creativity and Exploration: Innovative design begins with an open-minded and

exploratory mindset that embraces curiosity, experimentation, and divergent thinking.
It involves breaking free from conventional constraints and exploring new possibilities,
ideas, and solutions.
2. User-Centric Approach: Innovation in design often revolves around understanding
and empathizing with the needs, desires, and behaviors of end users. Design thinking
methodologies, such as empathizing, defining, ideating, prototyping, and testing, help
ensure that solutions are human-centered and address real-world needs and pain
points.
3. Technology Integration: Leveraging emerging technologies and digital tools is a
hallmark of innovative design. Whether it's incorporating artificial intelligence, virtual
reality, internet of things (IoT), or other cutting-edge technologies, innovative designers
embrace technological advancements to enhance functionality, interactivity, and user
experiences.
4. Sustainability and Environmental Responsibility: In response to global challenges
such as climate change and resource depletion, innovative design places a strong
emphasis on sustainability and environmental responsibility. Designing products,
services, and systems that minimize environmental impact, promote circular economy
principles, and address social and ethical considerations is essential for sustainable
innovation.
5. Cross-Disciplinary Collaboration: Innovation often thrives at the intersection of
different disciplines, industries, and perspectives. Collaborative approaches that bring
together diverse expertise, backgrounds, and skill sets foster interdisciplinary creativity
and drive innovation forward.
6. Iterative and Adaptive Process: Innovation is rarely a linear process; it requires
iteration, experimentation, and continuous learning. Embracing a mindset of iteration
and adaptation allows designers to refine and improve their ideas through feedback,
testing, and refinement.
7. Risk-Taking and Resilience: Innovation involves taking calculated risks and
embracing failure as an inherent part of the creative process. Designers must be willing
to step outside their comfort zones, challenge assumptions, and learn from setbacks in
order to drive meaningful change and innovation.
8. Ethical and Inclusive Design: Inclusive design principles ensure that innovative
solutions are accessible and equitable for all users, regardless of their abilities,
backgrounds, or circumstances. Ethical considerations, such as privacy, security, and
social impact, are also integral to responsible innovation.

By embracing these principles and approaches, designers can cultivate a culture of

innovation and create solutions that address pressing challenges, improve quality of life,
and inspire positive change in the world.

Breaking of patterns
Breaking patterns in design involves intentionally deviating from established norms,
conventions, or expectations to create innovative and thought-provoking solutions. By
challenging traditional approaches and experimenting with unconventional ideas,
designers can push the boundaries of creativity and inspire fresh perspectives. Here's
how breaking patterns can manifest in design:

1. Unconventional Aesthetics: Instead of following conventional design trends or styles,

designers may opt for bold, avant-garde aesthetics that defy expectations and provoke
emotional responses. This could involve unconventional color palettes, abstract shapes,
or unexpected combinations of materials.
2. Disruptive Functionality: Breaking patterns in functionality involves reimagining how
products or services work to better meet user needs or address emerging challenges.
This could mean introducing disruptive technologies, unconventional features, or
alternative use cases that challenge established norms.
3. Unexpected Contexts: Placing familiar objects or elements in unexpected contexts can
create contrast and intrigue. Designers may play with juxtaposition, scale, or context to
challenge perceptions and spark curiosity.
4. Deconstruction and Reconstruction: Deconstructing familiar objects, processes, or
systems allows designers to examine their fundamental components and reimagine
 them in new and innovative ways. By breaking down established patterns, designers
can explore alternative structures, functions, and meanings.
5. Cultural Subversion: Breaking patterns in design can involve subverting cultural
norms, stereotypes, or expectations to challenge prevailing attitudes and provoke
critical reflection. This could involve using satire, irony, or parody to critique societal
conventions and provoke thought.
6. Interactive Experimentation: Interactive design offers opportunities to break
patterns by inviting users to actively engage with the design process. Interactive
installations, participatory experiences, or user-generated content can challenge
preconceived notions and foster co-creation and exploration.
7. Cross-Disciplinary Collaboration: Collaborating with experts from diverse disciplines
can break patterns by introducing fresh perspectives and approaches. By bringing
together artists, scientists, engineers, and other specialists, designers can break down
silos and foster interdisciplinary innovation.
8. Sustainability and Circular Design: Embracing sustainability principles and circular
design strategies challenges the linear patterns of consumption and waste. Designers
may explore alternative materials, closed-loop systems, or regenerative approaches to
create more sustainable and resilient solutions.

By breaking patterns in design, designers can stimulate creativity, provoke critical

thinking, and inspire meaningful change. Whether through unconventional aesthetics,
disruptive functionality, or cultural subversion, breaking patterns opens up new
possibilities for innovation and expression.

Introduction to reframing existing design problems:

Design problems are multifaceted challenges that require innovative solutions to

address effectively. However, approaching these problems from the same perspective
often leads to predictable solutions. To unlock creativity and find truly groundbreaking
solutions, designers must learn to reframe existing design problems.

Reframing a design problem involves shifting perspectives, questioning assumptions,

and exploring alternative interpretations to uncover new insights and opportunities. By
reframing a problem, designers can break free from traditional thinking patterns and
discover innovative approaches that may have been previously overlooked.

In this guide, we will explore the art of reframing existing design problems, discussing
techniques, examples, and best practices to inspire creative thinking and drive
meaningful innovation. Whether you're a seasoned designer looking to inject fresh
perspectives into your work or a newcomer eager to explore the possibilities of design,
mastering the art of reframing will empower you to tackle complex challenges with
creativity, curiosity, and confidence.

Principles of creativity Empathy

 Creativity and empathy are intertwined principles that play crucial roles in the design
process and problem-solving. Here's a closer look at how empathy contributes to
creativity and some key principles related to both:

1. Understanding Others' Perspectives: Empathy involves putting oneself in others'

shoes to understand their thoughts, feelings, and experiences. By empathizing with
users, clients, and stakeholders, designers gain valuable insights into their needs,
preferences, and pain points, which can inspire creative solutions that resonate with
them on a deeper level.
2. Human-Centered Design: Human-centered design places empathy at its core,
prioritizing the needs and experiences of end users throughout the design process. By
empathizing with users, designers can create solutions that are intuitive, inclusive, and
impactful, leading to better outcomes and user satisfaction.
3. Cultural Sensitivity: Empathy extends beyond individual experiences to encompass
cultural contexts, societal norms, and diverse perspectives. Designers who are
empathetic to cultural differences can create designs that are respectful, inclusive, and
relevant to diverse audiences, fostering greater acceptance and engagement.
4. Problem Identification: Empathy helps designers identify and define problems more
accurately by understanding the underlying needs, motivations, and constraints of
stakeholders. By empathizing with the challenges faced by others, designers can
uncover opportunities for innovation and develop solutions that address real-world
issues effectively.
5. Collaboration and Communication: Empathy facilitates collaboration and
communication by fostering understanding, trust, and respect among team members.
Designers who practice empathy can build stronger relationships, navigate conflicts
more effectively, and leverage diverse perspectives to co-create innovative solutions.
6. User Feedback and Iteration: Empathy guides designers in soliciting and interpreting
user feedback with compassion and understanding. By empathizing with users'
experiences and emotions, designers can identify areas for improvement, iterate on
designs iteratively, and refine solutions to better meet user needs and expectations.
7. Ethical Considerations: Empathy encourages designers to consider the ethical
implications of their work and prioritize the well-being and interests of all stakeholders.
By empathizing with the potential impact of their designs on individuals, communities,
and the environment, designers can make more informed decisions and create socially
responsible solutions.

In summary, empathy is a fundamental principle of creativity that underpins human-

centered design, fosters collaboration, and promotes ethical and inclusive solutions. By
practicing empathy in the design process, designers can create meaningful, innovative
solutions that resonate with users and address real-world challenges effectively.

Principles of creativity Empathy: Customer Needs,

Absolutely, empathy plays a significant role in understanding and addressing customer

needs, which is crucial for fostering creativity in design and problem-solving. Here's
how empathy intersects with customer needs:
1. Deep Understanding: Empathy enables designers to develop a deep understanding of
customer needs by putting themselves in the customers' shoes. By empathizing with
customers' experiences, emotions, and challenges, designers can gain insights into their
desires, preferences, and pain points.
2. Identifying Unmet Needs: Empathetic designers are adept at recognizing unmet needs
and latent desires that customers may not articulate explicitly. By observing and
empathizing with customers' behaviors, frustrations, and aspirations, designers can
uncover opportunities for innovation and create solutions that address these unmet
needs effectively.
3. Contextual Relevance: Empathy helps designers consider the broader context in which
customers operate, including their cultural backgrounds, social norms, and
environmental factors. By empathizing with customers' contexts, designers can create
solutions that are culturally sensitive, contextually relevant, and aligned with
customers' values and lifestyles.
4. Building Trust and Loyalty: Empathetic designers prioritize building trust and rapport
with customers by demonstrating genuine care, understanding, and responsiveness. By
empathizing with customers' concerns and preferences, designers can foster deeper
connections, enhance customer satisfaction, and build long-term loyalty and advocacy.
5. Co-Creation and Collaboration: Empathy fosters collaborative relationships between
designers and customers, empowering customers to participate in the design process
and co-create solutions that meet their needs effectively. By involving customers in
ideation, feedback, and iteration, designers can ensure that the final designs resonate
with customers and address their needs comprehensively.
6. Iterative Improvement: Empathetic designers continuously seek feedback and iterate
on their designs based on customers' evolving needs and preferences. By empathizing
with customers' experiences and emotions, designers can identify areas for
improvement, refine solutions iteratively, and deliver products and services that delight
and exceed customers' expectations.

In summary, empathy is a foundational principle of creativity that enables designers to

understand, empathize with, and address customer needs effectively. By cultivating
empathy in the design process, designers can create innovative solutions that resonate
with customers, foster meaningful connections, and drive positive outcomes for both
customers and businesses.

Insight-leaving from the lives of others/standing on the shoes of

others
Insight-leaving from the lives of others or standing in the shoes of others is a
fundamental aspect of empathy that plays a crucial role in understanding people's
perspectives, experiences, and emotions. This concept is central to human-centered
design and problem-solving, as it allows designers to develop insights into users' needs,
motivations, and behaviors by empathizing with their lived experiences. Here's a deeper
exploration of insight-leaving from the lives of others:

1. Empathetic Understanding: Insight-leaving involves empathizing with others'

experiences by imagining what it would be like to be in their shoes. This requires
stepping outside one's own perspective and biases to view the world from the
 perspective of others, whether they are customers, users, stakeholders, or members of
different communities.
2. Perspective-Taking: Insight-leaving entails actively putting oneself in the shoes of
others and imagining their thoughts, feelings, and experiences. This involves
suspending judgment, listening attentively, and seeking to understand the world from
their vantage point. By adopting different perspectives, designers can gain insights into
users' needs, aspirations, and challenges that inform the design process.
3. Deep Empathy: Insight-leaving goes beyond surface-level understanding to cultivate
deep empathy for others' experiences and emotions. It involves connecting with people
on an emotional level, recognizing their humanity, and empathizing with their joys,
sorrows, hopes, and fears. Deep empathy enables designers to develop meaningful
insights that drive empathetic design solutions.
4. User-Centered Design: Insight-leaving is a foundational principle of user-centered
design, which prioritizes understanding and addressing users' needs, preferences, and
goals. By leaving their own perspectives and immersing themselves in users' lives,
designers can uncover insights that inform the creation of user-centric solutions that
resonate with users and enhance their experiences.
5. Identifying Unmet Needs: Insight-leaving enables designers to identify unmet needs
and opportunities for innovation by empathizing with users' experiences and
frustrations. By understanding users' pain points and challenges, designers can develop
solutions that address these needs effectively and improve users' lives.
6. Cultural Sensitivity: Insight-leaving extends to considering cultural differences and
nuances in understanding users' experiences and preferences. Designers who practice
insight-leaving are mindful of cultural norms, values, and traditions that shape users'
behaviors and perceptions, ensuring that design solutions are culturally sensitive and
inclusive.

Overall, insight-leaving from the lives of others or standing in the shoes of others is a
powerful tool for designers to develop empathy, gain valuable insights, and create
meaningful solutions that address users' needs and enhance their experiences. By
embracing insight-leaving, designers can foster empathy, drive innovation, and make a
positive impact on the world.

Insight-leaving from the lives of others/standing on the shoes of

others, Observation.
Insight-leaving from the lives of others, also known as standing in the shoes of others, is
a foundational aspect of empathy and observation in the context of design and problem-
solving. It involves adopting a perspective-taking approach to understand people's
experiences, behaviors, and needs by immersing oneself in their world. Here's an
explanation of how insight-leaving and observation intersect:

1. Empathetic Observation: Insight-leaving begins with empathetic observation, which

involves keenly observing and listening to others to understand their perspectives and
experiences. This requires paying attention to verbal and non-verbal cues, such as body
language, facial expressions, tone of voice, and gestures, to glean insights into people's
thoughts and emotions.
2. Immersive Empathy: Insight-leaving goes beyond surface-level observation to
immerse oneself in the lives and experiences of others. This entails imagining what it
would be like to be in their shoes, to think and feel as they do, and to understand the
world from their perspective. By immersing oneself in others' experiences, designers
can develop a deeper understanding of their needs, motivations, and challenges.
3. Contextual Understanding: Insight-leaving involves considering the broader context
in which people operate, including their cultural backgrounds, social environments, and
situational factors. Designers who practice insight-leaving are attuned to the nuances of
people's lives and the contextual factors that shape their behaviors and decisions.
4. Identifying Patterns and Insights: Through empathetic observation, designers can
identify patterns, trends, and insights that inform the design process. By observing how
people interact with products, services, and environments in their natural context,
designers can uncover unmet needs, pain points, and opportunities for innovation.
5. User-Centered Design: Insight-leaving is a fundamental principle of user-centered
design, which prioritizes understanding and addressing users' needs, preferences, and
goals. By immersing themselves in users' lives and experiences, designers can develop
empathy for their users and create solutions that resonate with their needs and
aspirations.
6. Iterative Learning: Insight-leaving is an iterative process that involves continuous
learning and refinement based on observation and feedback. Designers who practice
insight-leaving are open to new perspectives, willing to challenge assumptions, and
responsive to users' evolving needs and preferences.

In summary, insight-leaving from the lives of others or standing in the shoes of others is
a powerful approach to observation that enables designers to develop empathy, gain
valuable insights, and create meaningful solutions that address users' needs and
enhance their experiences. By immersing themselves in users' worlds and adopting
their perspectives, designers can drive innovation and make a positive impact on the
world.

The Basis for Design Thinking

Design thinking is a problem-solving methodology that is rooted in the principles and
practices of design. At its core, design thinking is based on a human-centered approach
to innovation, emphasizing empathy, creativity, and iterative prototyping. Here's an
explanation of the basis for design thinking:

1. Human-Centeredness: Design thinking starts with a deep understanding of the people

for whom you are designing. It prioritizes empathy for users' needs, motivations, and
behaviors, ensuring that solutions are tailored to address real-world problems and
enhance user experiences.
2. Iterative Process: Design thinking is an iterative and non-linear process that involves
cycles of ideation, prototyping, testing, and refinement. By embracing experimentation
and learning through failure, design thinking enables designers to explore multiple
possibilities and arrive at innovative solutions iteratively.
3. Creative Problem-Solving: Design thinking encourages divergent thinking and
creative problem-solving techniques to generate novel ideas and solutions. It fosters a
culture of curiosity, exploration, and open-mindedness, empowering designers to
 challenge assumptions, break through constraints, and explore unconventional
approaches.
4. Collaborative Approach: Design thinking emphasizes collaboration and
interdisciplinary teamwork, bringing together diverse perspectives, skills, and expertise
to tackle complex challenges. By fostering collective creativity and co-creation, design
thinking enables cross-functional teams to leverage their collective intelligence and
drive innovation forward.
5. Prototyping and Testing: Design thinking emphasizes rapid prototyping and user
testing to gather feedback, validate assumptions, and iterate on solutions. By creating
tangible prototypes early in the design process, designers can quickly test and refine
their ideas based on user insights, ensuring that final solutions are relevant, feasible,
and desirable.
6. Bias Towards Action: Design thinking encourages a bias towards action, prioritizing
tangible outcomes and real-world impact over theoretical perfection. It values
experimentation, learning by doing, and embracing ambiguity, empowering designers to
take calculated risks and learn from failures in pursuit of innovation.
7. Systems Thinking: Design thinking takes a holistic approach to problem-solving,
considering the broader ecosystem in which solutions operate. It encourages designers
to explore interconnected relationships, unintended consequences, and systemic
implications of their designs, ensuring that solutions address root causes and create
positive ripple effects.
8. Empathy and User Insights: Design thinking relies on empathy and user insights to
inform the design process. By deeply understanding users' needs, motivations, and
behaviors, designers can create solutions that are meaningful, relevant, and impactful,
fostering genuine connections and relationships with users.

In summary, the basis for design thinking lies in its human-centered approach, iterative
process, collaborative mindset, and emphasis on creativity, prototyping, and empathy.
By embracing these principles and practices, design thinkers can tackle complex
challenges, drive innovation, and create solutions that make a meaningful difference in
the world.

Design Thinking Frameworks.

Design thinking frameworks provide structured methodologies and guidelines for

applying design thinking principles to the problem-solving process. These frameworks
typically consist of a series of stages or phases that guide designers through the process
of understanding, ideating, prototyping, testing, and implementing solutions. While
there are variations in different frameworks, they generally share common principles
and approaches. Here are explanations of some popular design thinking frameworks:

1. Stanford d.school Design Thinking Process: Developed by the Hasso Plattner

Institute of Design at Stanford University (commonly known as the d.school), this
framework consists of five key stages:
a. Empathize: Understand the needs, motivations, and behaviors of users through
research, observation, and interviews.
b. Define: Synthesize research findings to define the problem statement or challenge in
a human-centered way.
 c. Ideate: Generate a wide range of creative ideas and potential solutions through
brainstorming and collaboration.
d. Prototype: Build low-fidelity prototypes or representations of potential solutions to
explore and test ideas quickly and affordably.
e. Test: Gather feedback from users through testing and iteration to refine and improve
prototypes and solutions iteratively.
2. IDEO Design Thinking Framework: IDEO, a global design and innovation consultancy,
uses a similar framework that emphasizes five key modes of thinking:
a. Empathize: Understand the needs and perspectives of users through observation,
interviews, and immersion.
b. Define: Frame the problem statement or challenge in a way that focuses on
addressing users' core needs and aspirations.
c. Ideate: Generate a diverse range of ideas and concepts through brainstorming,
sketching, and experimentation.
d. Prototype: Create rapid prototypes to visualize and communicate potential solutions,
allowing for quick iteration and feedback.
e. Test: Test prototypes with users to gather feedback, validate assumptions, and refine
solutions based on user insights.
3. IBM Design Thinking Framework: IBM's design thinking framework consists of three
core principles—empathy, focus, and iteration—and emphasizes continuous learning
and improvement. It includes the following stages:
a. Observe: Understand users' needs and pain points through observation, interviews,
and data analysis.
b. Reflect: Synthesize insights from observation to identify key challenges and
opportunities.
c. Make: Generate ideas, concepts, and prototypes to address identified challenges and
meet users' needs.
d. Iterate: Test prototypes with users, gather feedback, and iterate on solutions based
on user insights and stakeholder feedback.

These are just a few examples of design thinking frameworks commonly used in
practice. While the specific stages and terminology may vary, the underlying principles
of empathy, ideation, prototyping, and iteration remain consistent across different
frameworks. Designers can adapt and customize these frameworks to suit the unique
needs and context of their projects, enabling them to approach problem-solving with
creativity, empathy, and effectiveness.
Unit:2 DESIGN THINKING – THE NEED 8 Hours

Defining and formulating the problem, selecting the problem, necessity of defining the problem, importance of literature review in defining a

problem, literature review-primary and secondary sources, reviews, monograph, patents, research databases, web as a source, searching the web,

critical literature review, identifying gap areas from literature and research database, development of working hypothesis. Basics of project, concept

note, problem solving techniques, research tools.

PROJECT IMPLEMENTATION

Designing, Implementing, testing, documentation & final assessment. Sustainable product design, Ergonomics, Semantics,

Entrepreneurship/business ideas, Product Data Specification, establishing target specifications, Setting the final specifications. Design projects for

teams.

COMPUTER AND ITS ROLE

Use of statistical software. Introduction to evolutionary algorithms - Fundamentals of Genetic algorithms, Simulated Annealing, Neural Network

based optimization, Optimization of fuzzy systems.

Project areas e.g. Agriculture, Défense, Healthcare, Smart city, Smart energy, Security Systems, Automobile, Space, Green Earth, Automobiles,

Assistive Aid, Water Management, Swachh Bharat, etc.

IMPORTANT POINTS TO KEEP IN MIND WHILE DEFINING THE RESEARCH
PROBLEM

1. The correct question needs to be addressed if research is to help decision makers. A

right answer to the wrong question leads either to bad advice or to no advice.
2. Usually in problem we have an inclination to rationalize and defend our actions once
we have started upon a specific research plan. The perfect time to examine and think
about alternative techniques is in the planning stage. If it is completed unnecessary
expense of false start and redoing work may be prevented.
3. An excellent beginning in problem definition is to ask what the decision maker want
to know if the requested information can be gathered without error and without
expense.
4. Another excellent rule to follow is “Never settle on a specific strategy” without
developing and taking into consideration at least one alternate option”.
5. The problem definition stage of research is the determination and structuring of the
decision maker’s question. It should be the decision maker’s question and not the
researcher’s question.
6. What decision do you face? Unless you have decision to make, there isn’t any research
problem.
7. What are the alternatives? In case there are no options to choose, once again there is
absolutely no research problem.
8. What are the factors for selecting the best alternative? Unless you have criteria for
evaluation, again there’s no problem.
9. The researcher should stay away from the acceptance of the superficial and the
obvious. Frequently we all hear that a problem clearly expressed is a problem half
solved. This statement indicates the necessity of defining a research problem in research
methodology . This actually also results in a smoother progress on all the following
steps which are needed for finishing a research project.
LITERATURE REVIEW-PRIMARY AND SECONDARY SOURCES:

Research for your literature review can be categorised as either primary or secondary in
nature. The simplest definition of primary sources is either original information (such
as survey data) or a first person account of an event (such as an interview transcript).
Whereas secondary sources are any publshed or unpublished works that describe,
summarise, analyse, evaluate, interpret or review primary source materials. Secondary
sources can incorporate primary sources to support their arguments.
Ideally, good research should use a combination of both primary and secondary sources.
For example, if a researcher were to investigate the introduction of a law and the
impacts it had on a community, he/she might look at the transcripts of the
parliamentary debates as well as the parliamentary commentary and news reporting
surrounding the laws at the time.
Examples of primary and secondary sources

Primary sources: Secondary sources:

Diaries Journal articles

Audio recordings Textbooks

Transcripts Dictionaries and

encyclopaedias

Original Biographies
manuscripts

Government Political commentary

documents

Court records Blog posts

Speeches Newspaper articles

Empirical studies Theses

Statistical data Documentaries

Artworks Critical analyses

Film footage

Photographs

MONOGRAPHS

Research Monographs are “separately published reports on original research that are
too long, too specialized, or otherwise unsuitable for publication in one of the standard
journals. Each Monograph is self-contained, frequently summarizes existing theory or
practice before presenting the author’s original and previously unpublished work, and is
likely to be one of a series of such research monographs in the same field.” However, it
may be added that ordinarily, a monograph is a short treatise. It differs from a treatise in
the same that it is work done on a more limited scale. Otherwise, both have the same
features and serve the same purposes. A research monograph presents the results of the
original research.

What is Research Monographs?

A research monograph is a detailed, in-depth publication that delves into a particular

topic or subject matter. It is a type of academic writing that is designed to present
original research findings, analyses, and interpretations. Research monographs are
often published by academic publishers or university presses, and they are typically
intended for a specialized audience of scholars, researchers, and graduate students.

Research monographs can take various forms, depending on the discipline or field of
study. They can be theoretical, empirical, or a combination of both. They can focus on a
single topic or cover a broad range of related topics. They can also vary in length, from
relatively short publications to massive tomes that span hundreds of pages.

The primary purpose of a research monograph is to advance knowledge and

understanding in a particular field or discipline. To achieve this objective, the author
must undertake extensive research, analyze data, and develop arguments based on
evidence. The author must also demonstrate mastery of the relevant literature and
critically review existing research on the topic.
The structure of a research monograph typically follows a standard format, which
includes an introduction, literature review, methodology, results, discussion, and
conclusion. The introduction provides an overview of the topic and the research
question, while the literature review summarizes previous research on the topic. The
methodology section outlines the research design and methods for collecting and
analyzing data. The results section presents the findings of the study, and the discussion
section interprets and contextualizes those findings. Finally, the conclusion summarizes
the key points of the study and identifies areas for further research.

Research monographs are important because they contribute to the development of

knowledge and understanding in a particular field or discipline. They provide a
comprehensive and authoritative account of research findings and interpretations and
often serve as a reference source for other researchers in the field. Research
monographs can also have practical implications, informing policy and practice in
various settings.

In summary, a research monograph is a significant type of academic publication that

presents original research findings, analyses, and interpretations in a particular field or
discipline. It is a comprehensive and authoritative account of research and serves as a
reference source for other researchers in the field. As such, research monographs play a
vital role in advancing knowledge and understanding in various fields of study.
PATENTS

Definition
A patent is protection granted by a national government for an invention. This
protection excludes others from making, using or selling an invention for a period of up
to 20 years. Many drug companies and university researchers seek patent protection to
recover research and development costs for patents related to specific genes and
proteins, laboratory techniques and drugs. In order for patents to be issued by a
granting agency such as a Patent Office they need to be new, useful and not obvious to
others working in the same field.

Requirements for patentability

1. Usefulness/Utility - The claimed invention must be useful/functional. A machine

must work according to its intended purpose and a chemical must exhibit an
activity or have some use.
2. Novelty -The invention must be different than anything known before; it must
not have been described in a prior publication and it must not have been publicly
used or sold.
3. Non-obviousness/Ingenuity -The invention must be a development or an
improvement that would not have been obvious beforehand to workers of
average skill in the technology involved.

Novelty and non-obviousness are judged against everything publicly known before the
invention, as shown in earlier patents and other published material. This body of public
knowledge is called "prior art.”
Types of Patents
There are three types of patents:

1. Utility patents - issued for any process, machine, article of manufacture, or

compositions of matters, or any new useful improvement. In general, this type of
patent protects the way an item is used or works. For example, golf club head.
2. Design patents - issued for a new, original, and ornamental design for an article
of manufacture. In general, this type of patent protects the appearance of an
item, for example, safety goggles.
3. Plant patents - issued for asexually reproduced, distinct, and new varieties of
plants. For example, a Dahlia plant named 'mystic wizard'.

Patent Families
A patent family:

 is a group of patent documents from different countries that protect the same
invention.
 defines the geographic scope of patent protection for an invention.
 is useful for locating alternate language versions of a patent document.
Note: Patent coverage only applies within the country that grants a patent so that an
inventor must file a patent application in every country for which protection is wanted.
RESEARCH DATABASES

Research databases are organized collections of computerized information or data such

as periodical articles, books, graphics and multimedia that can be searched to retrieve
information. Databases can be general or subject oriented with bibliographic citations,
abstracts, and or full text. The sources indexed may be written by scholars, professionals
or generalists.

Research databases that are retrieved on the World Wide Web are generally non-fee
based, lack in-depth indexing, and do not index proprietary resources. Subscription or
commercial databases are more refined with various types of indexing features,
searching capabilities, and help guides.

Selecting Appropriate Online Databases

Your topic statement determines the type of database, kind of information, and the date
of the sources that you will use. It is important to clarify whether your topic will require
research from journals, magazines, newspapers, and books or just journals. To
understand the differences between magazines, journals, and newspapers, see
the Magazines, Journals, and Newspapers: What's the Difference section under
Evaluating Sources.

Search Strategies
Before you begin to search the databases, it is important that you develop a well
planned comprehensive search strategy. Determine what your keywords are and how
you want them to link together. Always read the help screens and review any tutorials
that have been developed for a particular database.
After you determine what your keywords are, consult any subject headings or guides to
locate controlled vocabulary such as a thesaurus that may appear in the subject field.
You will also want to decide what other fields may be valuable for your search.
Boolean searching is one of the basic and best search strategies that is used by most
online databases.
For more help with search strategies see Search Strategies section.

WEB AS A SOURCE:

Internet users frequently rely on the World Wide Web for doing research because it
contains large amounts of quality resources.
Misinformation on the Web is a problem because anyone can publish on it. Since the lack
of quality control exists, it requires Internet users to filter information for quality Web
sites. For example, books, journals, magazines, and newspapers, editors are used to edit
and screen information before it is published.
While librarians can help users to filter misinformation, it is important for users to be
able to discern when information is factual rather than opinion and other gray areas of
information. Identifying the types of Web site categories can help in selecting the
appropriate kind of sources and give credibility to a paper. Knowing how to identify a
few categories will be invaluable for your research.
Types of Website Categories

 Informational sites provide factual information such as reference sources,

libraries, statistics, and events. These sites are frequently published by
educational institutions or governmental bodies. These sites usually
have edu or gov as their domains.

 News sites primarily provide current information. Using news sources is a way
of keeping abreast of some on-going events hourly, daily, weekly, or monthly.
Most of these sites have a com domain but can also have an org domain.
 Advocacy sites are published by organizations to influence public opinion. Most
of the organizations that publish these sites are non-profit. These types of sites
usually have an org domain.
 Business/Marketing sites are published by a commercial company primarily to
market and sell products. This type of site has a com domain.
 Personal sites are published by individuals who may be or may not be affiliated
with a larger body. These sites frequently have a com or edu domain with a tilde
(~), but can have another type of domain.
 Counterfeit sites try to disguise themselves as the authentic site. The purpose is
to disseminate wrong information in many instances. Some can be developed for
humor and others for bias. These sites will have any domain.

SEARCHING THE WEB:

The World Wide Web (WWW) is one of the most used Internet applications and
contains a variety of information resources. It is an information system based on
hypertext and hypermedia with Uniform Resource Locators (URL), which are addresses
that allow users to move from document to document within the computer network.
This system allows users to view documents that often include formatted text, graphics,
audio, and video.
While the Web has a vast amount of information such as current news, government
organizations, and links to libraries, it is important to understand that the WWW does
not contain everything and all information is not factual. Additionally, it is important to
note that some resources are proprietary or fee based. To effectively do research using
the WWW, you should understand the tools to search, the Web's content, its
organization, and its strengths and weaknesses.
What is a literature review?
Stated most simply, it is an overview of published and unpublished materials which help
answer two fundamental questions:
1. What are the current theoretical or policy issues and debates related to your topic?
2. What is the current state of knowledge about these issues and problems?

Why do a review of the literature?

1. As a way to frame and focus a research project
 When research questions are formed without sustained reference to the
literature, the study is likely to be marred by
1. Naïve research instruments that lack conceptual underpinnings
2. Problems with sense-making because the researcher is not alert to themes that
may be identifiable
3. Problems with claims-making because the researcher lacks the knowledge to
state its significance for theory, policy or practice.
 Knowledge of the literature can help:
1. Tighten research questions
2. Enhance conceptual sensitivity
3. Provide a source for making comparisons
4. Provide a cache of descriptive data
5. Provide questions for initial observations and interviews
6. Stimulate questions during the analysis
7. Suggest areas for theoretical sampling
8. Confirm findings, or, findings can be used to show where current literature is
incorrect, simplistic, or partial
9. Model ways of making claims about the possible significance of your work.
2. As a way to justify a research project to stakeholders
 Although ideas for the research topic can come from anywhere (including
biography or personal interest), the purpose and significance of the research and
its relevance are generally established through showing its place in what is
already known about the subject.
 Particularly if you are writing a proposal, the way you justify the purpose and
significance of your research project to funding sources, committees, and other
gatekeepers is by critically reviewing the published literature on your topic and
showing how the proposed research will contribute to the conversation.

Types of Literature and Types of Literature Reviews

 In general, the literature can be divided into four substantive categories:
1. Topical literature relevant to the subject matter of the research
2. Theoretical literature relevant to concepts and theoretical frameworks
3. Methodological literature relevant to strategies of data collection and analysis
4. Policy literature relevant to the implementation and effectiveness of
interventions
 Although these categories of literature are potentially relevant to any research subject,
the goals and purposes of the research should determine which are useful to any
particular research project.
 Although the theoretical and methodological literature can generally be found in
published books and articles, the topical and policy literature is scattered more widely
in the so-called “gray literature” which can include foundation reports, conference
proceedings, dissertations, magazines, etc., as well as in government reports and
statistical sources. Naturally, these sources require much greater effort to uncover and
are harder to review in a systematic way.
 Not all literature reviews are the same or conducted for the same purpose.

Tips on doing a critical literature review:

Finding usable literature:
 Browse discipline-specific or area-specific reviews (Annual Review of Sociology,
etc.)
 Look through past several years of flagship journals
 Use key terms to search electronic databases
 Limit yourself to 10 or so items to actually review (varies by project of course),
only about half of which you will actually read properly.
Reviewing the literature:
 Don’t just summarize the studies, evaluate them (but don’t be too dismissive)
 Look for key themes and issues running through them
 Take a holistic view of the relevant literature to provide an overview of what it
says
 Pay attention to the utility of qualitative research methods to address key
themes and issues.
Remember, the literature review is part of the research process. Like data collection and
analysis, it should be systematic and thorough

RESEARCH GAP

Definition:

Research gap refers to an area or topic within a field of study that has not yet been
extensively researched or is yet to be explored. It is a question, problem or issue that
has not been addressed or resolved by previous research.

How to Identify Research Gap

Identifying a research gap is an essential step in conducting research that adds value
and contributes to the existing body of knowledge. Research gap requires critical
thinking, creativity, and a thorough understanding of the existing literature. It is an
iterative process that may require revisiting and refining your research questions and
ideas multiple times.
 Here are some steps that can help you identify a research gap:
 Review existing literature: Conduct a thorough review of the existing literature in
your research area. This will help you identify what has already been studied and
what gaps still exist.
 Identify a research problem: Identify a specific research problem or question that
you want to address.
 Analyze existing research: Analyze the existing research related to your research
problem. This will help you identify areas that have not been studied,
inconsistencies in the findings, or limitations of the previous research.
 Brainstorm potential research ideas: Based on your analysis, brainstorm
potential research ideas that address the identified gaps.
 Consult with experts: Consult with experts in your research area to get their
opinions on potential research ideas and to identify any additional gaps that you
may have missed.
 Refine research questions: Refine your research questions and hypotheses based
on the identified gaps and potential research ideas.
 Develop a research proposal: Develop a research proposal that outlines your
research questions, objectives, and methods to address the identified research gap.

DEVELOPMENT OF WORKING HYPOTHESIS

A working hypothesis is a preliminary assumption or proposition that is subject to
further testing and verification. It is an integral component of the research process as it
guides the researcher in defining the research problem and designing the research
methodology. The working hypothesis is not a definitive statement, but rather a starting
point for further investigation.
Importance of a Working Hypothesis
Developing a working hypothesis is essential for a successful research project. It helps
the researcher in the following ways:
 Guides research design: A well-defined working hypothesis can guide the selection of
the appropriate research design and methodology.
 Defines the research problem: The working hypothesis can help in defining the
research problem and determining the scope of the research project.
 Provides a framework for analysis: The working hypothesis provides a framework for
data analysis, helping the researcher in interpreting the results of the study.
Steps in Developing a Working Hypothesis
Here are the steps involved in developing a working hypothesis:
Step 1: Identify the Research Problem
The first step in developing a working hypothesis is to identify the research problem.
The research problem should be clearly defined and should align with the research
question or objective.
Step 2: Conduct a Literature Review
 Conducting a literature review can help in identifying existing theories, models, and
concepts related to the research problem. The literature review can provide insights
into the factors that influence the research problem and can help in developing a
preliminary assumption.
Step 3: Formulate a Preliminary Assumption
Based on the literature review, formulate a preliminary assumption or proposition that
explains the relationship between the variables of interest.
Step 4: Refine the Assumption
Refine the preliminary assumption by revising and testing it against available evidence.
The assumption should be specific, testable, and capable of generating meaningful
results.
Step 5: Develop the Working Hypothesis
Finally, develop the working hypothesis based on the refined assumption. The working
hypothesis should be clear, concise, and provide direction for the research project.

BASICS OF PROJECT, CONCEPT NOTE, PROBLEM SOLVING TECHNIQUES, RESEARCH

TOOLS.
During each step, you may find it helpful to utilize various problem-solving
techniques, such as:
 Brainstorming: A free-flowing, open-minded session where ideas are generated and
listed without judgment, to encourage creativity and innovative thinking.
 Root cause analysis: A method that explores the underlying causes of a problem to find
the most effective solution rather than addressing superficial symptoms.
 SWOT analysis: A tool used to evaluate the strengths, weaknesses, opportunities, and
threats related to a problem or decision, providing a comprehensive view of the
situation.
 Mind mapping: A visual technique that uses diagrams to organize and connect ideas,
helping to identify patterns, relationships, and possible solutions.
Brainstorming

When facing a problem, start by conducting a brainstorming session. Gather your

team and encourage an open discussion where everyone contributes ideas, no matter
how outlandish they may seem. This helps you:
 Generate a diverse range of solutions
 Encourage all team members to participate
 Foster creative thinking

When brainstorming, remember to:

 Reserve judgment until the session is over
 Encourage wild ideas
 Combine and improve upon ideas
 Root Cause Analysis

For effective problem-solving, identifying the root cause of the issue at hand is
crucial. Try these methods:
 5 Whys: Ask “why” five times to get to the underlying cause.
 Fishbone Diagram: Create a diagram representing the problem and break it down into
categories of potential causes.
 Pareto Analysis: Determine the few most significant causes underlying the majority of
problems.

SWOT Analysis

SWOT analysis helps you examine the Strengths, Weaknesses, Opportunities, and
Threats related to your problem. To perform a SWOT analysis:
1. List your problem’s strengths, such as relevant resources or strong partnerships.
2. Identify its weaknesses, such as knowledge gaps or limited resources.
3. Explore opportunities, like trends or new technologies, that could help solve the
problem.
4. Recognize potential threats, like competition or regulatory barriers.

SWOT analysis aids in understanding the internal and external factors affecting the
problem, which can help guide your solution.

Mind Mapping
A mind map is a visual representation of your problem and potential solutions. It
enables you to organize information in a structured and intuitive manner. To create
a mind map:
1. Write the problem in the center of a blank page.
2. Draw branches from the central problem to related sub-problems or contributing
factors.
3. Add more branches to represent potential solutions or further ideas.
Mind mapping allows you to visually see connections between ideas and promotes
creativity in problem-solving.
 Examples of Problem Solving in Various Contexts

Business

In the business world, you might encounter problems related to finances, operations,
or communication. Applying problem-solving skills in these situations could look
like:
 Identifying areas of improvement in your company’s financial performance and
implementing cost-saving measures
 Resolving internal conflicts among team members by listening and understanding
different perspectives, then proposing and negotiating solutions
 Streamlining a process for better productivity by removing redundancies, automating
tasks, or re-allocating resources
Education

In educational contexts, problem-solving can be seen in various aspects, such as:

 Addressing a gap in students’ understanding by employing diverse teaching methods to
cater to different learning styles
 Developing a strategy for successful time management to balance academic
responsibilities and extracurricular activities
 Seeking resources and support to provide equal opportunities for learners with special
needs or disabilities

Daily Life
Everyday life is full of challenges that require problem-solving skills. Some examples
include:
 Overcoming a personal obstacle, such as improving your fitness level, by establishing
achievable goals, measuring progress, and adjusting your approach accordingly
 Navigating a new environment or city by researching your surroundings, asking for
directions, or using technology like GPS to guide you
 Dealing with a sudden change, like a change in your work schedule, by assessing the
situation, identifying potential impacts, and adapting your plans to accommodate the
change.

# Purpose of Design Thinking

Creativity is the key to finding solutions to any problem. The essence of design
thinking is user-specific and useful in any complex system. It is about recognizing
the problem and finding the solution. Clearly, it is knowing your end users and
the impact of the solution on them. The purpose is to provide all businesses with
a uniform innovation process.
  Solving a human need: Perceiving human behavior and patterns. Also,
uncovering the pain points of consumers and providing solutions.
 Tackling difficult problems: Careful observation to identify ambiguous
problems and
 surface solutions.
 Imagining impossible things with a possibility: An iterative approach tackles
 problems. Leads to innovative solutions that do not yet exist.
 Running a structured organization: First, doing research with an intention of
getting
 outcomes. Then creating prototypes and testing them.

Stages of Design Thinking in Business

Design thinking is a human-centric, solution-based approach to solving

problems. With reverse and repeat, the phases progress from concrete to
abstract thinking. Abstract thinking increases the likelihood of an idea being
unique. But still, it is critical to anchor abstract ideas into concrete thinking for a
valid solution. The following four steps describe effective innovation and design
thinking:

Fig. Stages of Design Thinking

# Steps in Design Thinking:

1. Designing
2. Implementing
3. Testing
4. Documentation
5. Final assessment.
PROJECT IMPLEMENTATION Stages

1. Designing
Design thinking is a non-linear, iterative process that teams use to understand
users, challenge assumptions, redefine problems and create innovative solutions
to prototype and test. It is most useful to tackle ill-defined or unknown problems
and involves five phases: Empathize, Define, Ideate, Prototype and Test.
The design thinking process aims to satisfy three criteria: desirability (what do
people desire?), feasibility (is it technically possible to build the solution?) and
viability (can the company profit from the solution?). Teams begin with
desirability and then bring in the other two lenses.
Core features of design thinking include the abilities to:

 deal with different types of design problems, especially ill-defined

and 'wicked' problems
 adopt solution-focused strategies
 use abductive and productive reasoning
 employ non-verbal, graphic/spatial modelling media, for example, sketching
and prototyping.

2. Implementing
Followings are the steps for implementation of design thinking:

 Empathize: research your users' needs.

o Design thinking revolves around a deep interest in developing and
understanding the end-user, which starts with empathy. In this
stage, you ask a series of questions that get to the heart of the
problem, the assumptions, and the implications, so that you can
understand their needs, thoughts, emotions, and motivations.
 o Depending on time constraints, you will gather a substantial
amount of information to use during the next stage. The main aim
of the Empathize stage is to develop the best possible
understanding of your users, their needs and the problems that
underlie the development of the product or service you want to
create.
 Define: state your users' needs and problems.
o In the Define stage, you will organize the information you have
gathered during the Empathize stage. You’ll analyze your
observations to define the core problems you and your team have
identified up to this point. Defining the problem and problem
statement must be done in a human-centered manner.
o For example, you should not define the problem as your own wish
or need of the company: “We need to increase our food-product
market share among young teenage girls by 5%.”

 Ideate: challenge assumptions and create ideas.

o During the third stage of the design thinking process, designers are
ready to generate ideas. You’ve grown to understand your users
and their needs in the Empathize stage, and you’ve analyzed your
observations in the Define stage to create a user centric problem
statement. With this solid background, you and your team
members can start to look at the problem from different
perspectives and ideate innovative solutions to your problem
statement.

 Prototype: start to create solutions.

o The design team will now produce a number of inexpensive, scaled
down versions of the product (or specific features found within the
product) to investigate the key solutions generated in the ideation
phase. These prototypes can be shared and tested within the team
itself, in other departments or on a small group of people outside
the design team.
o This is an experimental phase, and the aim is to identify the best
possible solution for each of the problems identified during the
first three stages. The solutions are implemented within the
prototypes and, one by one, they are investigated and then
accepted, improved or rejected based on the users’ experiences.
o By the end of the Prototype stage, the design team will have a
better idea of the product’s limitations and the problems it faces.
They’ll also have a clearer view of how real users would behave,
think and feel when they interact with the end product.
  Test: try your solutions out.
o Designers or evaluators rigorously test the complete product using
the best solutions identified in the Prototype stage. This is the final
stage of the five-stage model; however, in an iterative process such
as design thinking, the results generated are often used to redefine
one or more further problems. This increased level of
understanding may help you investigate the conditions of use and
how people think, behave and feel towards the product, and even
lead you to loop back to a previous stage in the design thinking
process. You can then proceed with further iterations and make
alterations and refinements to rule out alternative solutions. The
ultimate goal is to get as deep an understanding of the product
and its users as possible.
3. Testing
o Testing is, quite simply, the process of testing your prototype on real users.
During the test phase, you’ll see how your target users interact with your
prototype, and gather valuable feedback. You’ll learn where your prototype
succeeds and where it needs to be improved. The insights gathered during the
testing phase will enable you to iterate on your prototype.
o Testing is not the end of the design thinking process, since design thinking
happens in loops, and we may find some mistakes and will have to go back to
the other stages such as ideation or research. The whole process could be an
infinite loop. Some products such as digital software's, never actually finish, and
constantly need updating to keep up with the evolving technology. While some
products do finish. A movie, a story etc. But they constantly need reflection and
learnt from.
o For example, prototyping can be undertaken early on in the project — ahead of
ideation — in order to discover more about the users. Simple prototypes can be
developed, not just to test ideas, but to understand more about how users
operate on a daily basis. For example, the Prototyping stage could feed into the
Empathize stage.

4. Documentation
o Design documentation is important because it tells the story of why and how a
product or project was designed. It helps everyone involved understand what
was done and why, so that the final result is the best it can be. Having design
documentation also makes it easier to fix and update things later on. Basically,
it makes the design process smoother and helps ensure the success of the
project.
o Design documentation includes information about target users, product
features, essential implementation details, design decisions that you have
 agreed upon, project deadlines, and anything else that the project requires you
to keep track of.

Having no design documentation can result in a number of problems:

 Bits and pieces of information will get lost. Reasons for changes will be
tough to recall. Either you’ll have to spend more time searching for answers
as to why something was done, or you’ll have to move on without them.
 Insights will be disconnected. There’ll likely be plenty of data but no
coherent source of findings that your team could benefit from.
 Lack of clarity. Teams will continue working in their own way. Marketing,
UX, developers, graphic designers, and others won’t be in sync with one
another.
 The design process won’t be efficient.
 Inability to scale or iterate: If the design process and decisions are not
documented, it can be difficult to scale or make changes to the product in
the future.

5. Final assessment
Rather than simply validating or recreating the finished ideas of others, design
thinking presents opportunities for students to do more than they know. In order for
the design process to be purposeful and support the instructional dimensions
named above, clear evaluation strategies must exist. Some areas to consider for
evaluation and assessment include the following:

o Problem Identification and Solutions: How did the student arrive at a particular
solution or idea? What was the process? Was prior knowledge activated and
demonstrated in this process? What was the range of solutions that students
considered?
o Research and Exploration: What range of research was used in designing a
solution? What prior knowledge was demonstrated and enhanced during this
process.
o Design Techniques: What range of computer-assisted or hand-work techniques
was used for prototyping? What was the demonstrated level of competency?
o Effectiveness of Solutions: How well does the solution fit the problem? What
metacognitive processes are used to evaluate the solution? What protocols did
the student imagine for testing a particular solution?

# Sustainable product design

Design thinking is a human-centered, iterative process that involves empathizing

with users, defining problems, ideating solutions, prototyping, and testing. It
encourages a holistic perspective that goes beyond aesthetics and functionality to
consider the environmental, social, and economic impacts of a product throughout
its lifecycle.
 Sustainable Principles in Design Thinking

To create more sustainable products, design thinking often integrates several key
principles:

o Circular Economy: Design thinking promotes a circular economy approach,

where products are designed to be reused, remanufactured, or recycled, thus
reducing waste and conserving resources.
o Life Cycle Assessment (LCA): LCA helps assess the environmental impact of a
product from raw material extraction to disposal. Designers use LCA data to
make informed decisions about materials and manufacturing processes.
o Biomimicry: Nature-inspired design is another aspect of sustainable product
development. By emulating nature's efficient, waste-free processes, designers
can create products that are more resource-efficient.
o Sustainable Materials: Design thinking encourages the use of environmentally
friendly materials, such as recycled plastics, renewable resources, and
biodegradable alternatives.
o Energy Efficiency: Sustainability in product design often involves optimizing
energy use, reducing emissions, and promoting energy-efficient features.

Case Studies in Sustainable Design Thinking

1. Tesla Electric Cars: Tesla's electric vehicles (EVs) exemplify sustainable design
thinking. The company's commitment to reducing carbon emissions is evident in
its use of renewable energy sources for manufacturing and its focus on energy-
efficient EVs that lower greenhouse gas emissions.
2. IKEA's Circular Design: IKEA has embraced the circular economy through its
commitment to designing products with sustainability in mind. By offering
modular furniture and recycling programs, IKEA aims to reduce waste and
extend product lifecycles.
3. Patagonia's Sustainable Apparel: Outdoor clothing brand Patagonia employs
design thinking principles to create durable, repairable, and recyclable clothing.
Its "Worn Wear" initiative encourages customers to repair and trade in used
garments, reducing textile waste.

# Ergonomics

The ergonomic design discipline focuses on designing products and environments that
are comfortable, efficient, and safe for humans to use. It is a multidisciplinary field
drawing on knowledge from engineering, psychology, and physiology, to improve the
interaction between humans and their environment.
Importance of Ergonomic Design
Ergonomic design is essential in all industries to help reduce workplace injuries,
improve productivity, and increase employee satisfaction. Products and environments
designed with ergonomic principles in mind are easier and safer for people to use,
reducing the risk of injury and increasing productivity.

Principles of Ergonomic Design

The principles of ergonomic design – designing products and environments that are
easy to use, comfortable, and safe – can be achieved by considering factors such as:
 the physical and mental capabilities of people
 the layout and design of workspaces
 the type of work being performed

Benefits of Ergonomic Design

3.1 Improved Productivity
Ergonomic design can help to improve productivity by reducing the time and effort
required to complete tasks. Products and environments designed with ergonomic
principles in mind are easier and more comfortable for people to use, allowing them to
work more efficiently.
3.2 Reduced Workplace Injuries
Ergonomic design can help to reduce workplace injuries by reducing the physical strain
and stress placed on workers. Designing workspaces and products that are comfortable
and safe to use helps reduce the risk of injury and increase overall safety.
3.3 Better Employee Satisfaction
Ergonomic design can also improve employee satisfaction by creating a more
comfortable and enjoyable work environment. When workers are comfortable and safe,
they are more likely to be satisfied with their job and less likely to experience burnout
or other negative outcomes.
3.4 Improved Quality of Work
Ergonomic design can improve the quality of work by reducing errors and increasing
accuracy. When workers are comfortable and focused, they are more likely to produce
high-quality work that meets or exceeds expectations.

Application of Ergonomic Design in Different Industries

Manufacturing Industry
Ergonomic design is important in manufacturing because it can help reduce workplace
injuries, improve productivity, and increase employee satisfaction. For example,
ergonomic design can be used to design workstations that are comfortable and safe for
workers, reducing the risk of injury and improving productivity.
Healthcare Industry
In healthcare, ergonomic design is crucial to help improve patient outcomes and reduce
workplace injuries. Ergonomic design can be used to design equipment and workspaces
that are comfortable and safe for healthcare professionals, reducing the risk of injury
and improving overall patient care.
Information Technology (IT) Industry
In IT, ergonomic design can help to reduce the risk of musculoskeletal disorders and
improve productivity. Ergonomic design can be used to design workstations and
products that are comfortable and safe for workers, reducing the risk of injury and
improving overall efficiency.
Retail Industry
In retail, ergonomic design is important to help improve customer service and reduce
workplace injuries. Ergonomic design can be used to design workspaces and products
that are comfortable and safe for workers, reducing the risk of injury and improving
overall customer satisfaction.
Challenges in Implementing Ergonomic Design
Despite the numerous benefits of ergonomics, there are some challenges in
implementing it in different industries.
1. Cost: Ergonomic design may require additional resources and training, which can
be costly and time-consuming.
2. Resistance to change: Some organizations may resist implementing changes to
their current work practices or equipment.
3. Lack of Expertise: Some organizations may lack the experience and training
required to effectively implement ergonomic design principles.

# Semantics

Semantic design is an approach that focuses on adding a layer of meaning to the tools
and features we use for crafting user interfaces. For us, it means building our design
platform with a comprehensive understanding of what the designer needs.

Semantic design influences

To help paint the picture, let’s talk about inspiration. We first got the idea for semantic
design from the use of semantics in language and technology.

HTML and markdown, for example, are great at translating abstract concepts from code
into titles, paragraphs, and inputs that browsers can then turn into documents or
websites.

By applying semantics to code, screen readers can interpret what’s on a page and make
it accessible for people with functional diversity.

Semantic design layers

While the payoff is worth it, understanding and applying semantic design can be
complex. You have to work against preexisting logic and strike a balance between doing
and overdoing.

For example, while we all know a red hexagon sign means we need to stop our car,
accidents still happen. But would swapping the stop sign for a flashier visual cue be
more effective — or would it lead to confusion?
There are also multiple layers to how we understand and inform meaning. When we
bring semantics into design, the process itself turns into a system. Because I’m a
product designer, I like to call this three-layered system the design stack.

Data
Data is made up of every written or variable content that is part of the Artboard. This
includes Images like avatars and headers, and text, such as titles, paragraphs and labels.

Visual
Visuals add context, rhythm and structure to your data. They are the most essential
elements of the design stack. Visuals can be Components, shapes, colors, and icons —
essentially all sorts of individual layers or complex groups of layers such as Symbols.

Prototyping
The prototyping layer connects visuals and Artboards to create a narrative through
interactions. It does this by linking components, text and Artboards to communicate
with the user.

Next, let’s take a look at some applications of semantic design.

Examples of semantic design in Sketch

Semantic design is still in its early days at Sketch, but there are already a few features
making use of it.

Overlays
In semantic design, elements on an Artboard should be aware of their purpose. A good
example of applied semantic design inside Sketch is the ability to turn Artboards
into overlays.

Overlay: An umbrella term for any type of interaction or message that appears on top of
the existing UI — such as pop-ups and modals.
When toggling from Screen to Overlay, Sketch shows you a new set of options to help
you design more realistic prototypes. This dynamism is also great for handoff since
developers can fully visualize and understand interactions before coding.

You can easily toggle between Screen and Overlay to customize different behaviors
depending on the Artboard type you choose.

Semantic design rules

While bringing semantics into your designs can be a great asset, it’s easy to get carried
away and start changing everything. So, before implementing any new semantic feature,
make sure it:

1. Doesn’t take away from the designer’s creative freedom

2. Is backed by research that proves the new model aligns with how people already
use the tool
3. Truly belongs in your platform’s ecosystem because it adds tangible, measurable
value.
Because semantic design often affects more than one feature, it’s trickier to disable or
tweak the feature once it’s out. That’s why it’s important to remember that the ultimate
goal of semantic design is to communicate better.

# Entrepreneurship/business ideas

How does using design thinking help your entrepreneurship?

a. Understand your customers

b. Define your value proposition
c. Generate creative ideas
d. Test and validate your assumptions
e. Build and launch your MVP
f. Learn and improve continuously
g. Here’s what else to consider
a. Understand your customers
The first step of design thinking is to empathize with your customers and
understand their pains, gains, and goals. This involves conducting research,
interviews, observations, and surveys to gather insights and data. By doing
this, you can create personas and customer journey maps that represent your
target segments and their experiences. These tools can help you identify
opportunities and challenges for your entrepreneurship.

b. Define your value proposition

The second step of design thinking is to define the problem you want to solve
and the value you want to create for your customers. This involves
synthesizing your research findings and articulating a clear and compelling
value proposition. A value proposition is a statement that describes how your
product or service solves a customer problem, meets a customer need, or
delivers a customer benefit. It also explains how you are different from your
competitors and why customers should choose you.

c. Generate creative ideas

The third step of design thinking is to ideate and generate as many possible
solutions as you can for your value proposition. This involves using various
brainstorming techniques, such as mind mapping, sketching, prototyping, and
storytelling, to explore different angles and perspectives. By doing this, you
can unleash your creativity and discover new possibilities for your
entrepreneurship.

d. Test and validate your assumptions

The fourth step of design thinking is to test and validate your ideas and
assumptions with your customers. This involves creating low-fidelity
prototypes, such as mockups, wireframes, or landing pages, that illustrate the
key features and benefits of your product or service. Then, you can conduct
experiments, such as interviews, surveys, or A/B tests, to collect feedback and
data from your customers. By doing this, you can learn what works and what
doesn't, and iterate on your ideas accordingly.

e. Build and launch your MVP

The fifth step of design thinking is to build and launch your minimum viable
product (MVP), which is the simplest version of your product or service that
can deliver value to your customers and test your business model. This
involves selecting the most important and validated features and benefits
from your prototypes, and developing them into a functional and usable
 product or service. Then, you can launch your MVP to the market and
measure its performance and impact.

f. Learn and improve continuously

The sixth and final step of design thinking is to learn and improve
continuously based on your results and feedback. This involves analyzing
your data and metrics, such as customer satisfaction, retention, revenue, and
growth, and identifying what you can do better or differently. Then, you can
apply your learnings and insights to refine your value proposition, improve
your product or service, or pivot to a new direction if needed.

g. Here’s what else to consider

For innovation projects, one must go through this cycle over and over again
and again. It's an iterative approach where you get deeper and deeper into
the details. An important step I'm missing is the market segmentation incl.
segmentation of personas or alike. The pain points, the gain creators etc. all
depend very heavily on the user (or stakeholder) in mind and it could well be
that the Value Prop. needs to be adjusted as soon as you learn about sub-
segments in your customer group.

Examples of Design Thinking

Design thinking is a powerful tool to approach difficult business problems. You can
apply it to both big and small problems. Real-world examples are an effective way to
leverage design thinking. However, it is beneficial to learn how big brands and
companies approach problems. Also delivers what users and customers expect from
them.

While these examples prove the success that design thinking can yield. You can
therefore learn and practice it before implementing them into your business model.

1. Netflix
Netflix, an industry giant is a prime example of design thinking . Not only it came
up with the idea to stream movies to customers’ homes through the internet. But also
eliminated the inconvenience of delivering DVDs to customers’ homes on a
subscription model. Accordingly, they kept using design thinking to come up with
new ideas. They also responded to the need for original content that wasn’t airing on
other networks. It took design thinking a step further after adding short trailers to its
interface. Hence improving their user experience.
2. Uber
With the help of design thinking, Uber introduced cashless payments. Eventually,
reducing fraudulent transactions. It also provided the power to give ratings to both
drivers and users. Therefore increasing their incentives for good behavior. Above
all, it eliminated problems that had been plaguing customers in the past.
3. Uber Eats
Food delivery apps have changed the way we eat. Each restaurant has its own
specialty and Uber Eats connects people to these places in cities. Design thinking
helped shadow delivery drivers from restaurant to customer. Thus, ensuring a
smooth delivery process. Although, transforming the customer experience of food
delivery added to its success, constant evolution was the key.

4. Oral B
Oral B upgraded its electric toothbrush using design thinking. Not only did the
company find effective solutions. But also prototyped before implementation.
While users expected the toothbrush to charge conveniently during travel. At the
same time, ordering replacement heads should be easy to handle. Also, the
toothbrushes should connect to phones and send notifications on time as alerts. The
focus was on what users wanted rather than what the company wanted to sell.

Challenges of Design Thinking in Business:

A successful innovation delivers the best possible solutions with low risk and costs.
Businesses should develop useful strategies to achieve outcomes. When applying the
design thinking process, organizations encounter new obstacles now and then.

 Superior solutions:
Predictable ways often lead to conservative solutions. While exploring new ideas,
teams get hung up. Therefore, action-oriented managers become impatient to tackle the
problem. It is better to incorporate a customer-driven approach. But sometimes it is
difficult for customers to know they want something that doesn’t yet exist.

 Low risks and high cost-effectiveness:

Uncertainty is part of the design thinking process. Too many ideas dilute focus and
resources. Innovators must let go of unsuccessful ideas. Otherwise, it often kills
creativity to avoid higher risks.

 Employee engagement:
Innovation won’t succeed unless all employees of a company work towards a common
goal. The sure shot way to get the employees’ support is to involve them in generating
ideas. Sometimes, employees’ perspectives differ from organizational goals. Thus,
expectations result in an incoherent environment and chaos.

 Structure of Design
Experienced designers often criticize design thinking as being too structured and linear.
Fear of making mistakes drives most employees. So, they focus more on preventing
errors than on grabbing opportunities. They opt for indecision behavior rather than
taking action when faced with the risk. Fear of failure takes over them. Design thinking
tools deliver assured security, helping innovators achieve desired results.

 Immersion
It is advisable to review feedback and surveys to identify the problem. The better the
data, the better the conclusion. Sometimes innovators believe in pre-existing theories
about customer preferences. They have their own biases and don’t recognize the needs
of people.

Importance of Design Thinking in Business

In recent decades, the world has seen rapid developments in technology. Certainly, this
has brought more interconnectivity. Design thinking provides a means to cope with a
customer-centric approach. It allows you to think outside the box to illustrate a problem
and solve it on a deeper level. Design thinking proves to improve the world around us.
Thus, generating ground-breaking solutions in a less disruptive, yet creative way.

While design thinking has been around for a long now, still many corporations are not
prepared to adopt it. Nevertheless, a growing number of brands forced to put in place
innovative strategies. Business executives, product engineers, marketers, and all should
rework to beat the competition.

Use of statistical software

Design thinking is a creative and user-centric approach to solving problems that

involves empathy, ideation, prototyping, and testing. Integrating statistical software into
the design thinking process would definitely enhance the decision making and improve
the outcomes.

Empathize:

Hotjar1 provides heat maps and session recordings to understand user behaviour on
websites. It helps you empathize with users by visualizing their interactions.

UserZoom1 offers live user interviews and usability testing remotely, aiding in
understanding user needs and pain points.

Define:

Data analysis using statistical software helps define problem areas by identifying
patterns, trends, and outliers. User behaviour analytics can reveal pain points and areas
for improvement.

Ideate:

Data visualization tools (e.g., Tableau, Power BI) help generate insights and ideas.
Clustering algorithms can group similar user behaviours or preferences.

Prototype:

A/B testing with statistical significance testing ensures that design changes have a
positive impact.

Regression analysis can predict user behaviour based on design variations.

Test:
Usability testing with statistical metrics (e.g., success rates, completion times) validates
design changes.

Multivariate testing compares multiple design variations simultaneously. It should be

noted that data-driven design thinking combines creativity with empirical evidence,
leading to better user experiences and innovative solutions. Following are some of the
useful softwares.

R: R is an open-source programming language and environment for statistical

computing and graphics. It’s highly extensible, with a vast ecosystem of packages for
various statistical analyses. R is favored by researchers, data scientists, and statisticians
due to its flexibility and active community support.

Python with Pandas: Python, combined with the Pandas library, offers robust data
manipulation and analysis capabilities. It’s versatile, easy to learn, and integrates well
with other tools. Python’s popularity extends beyond statistics, making it a valuable
choice for data professionals.

SAS: SAS (Statistical Analysis System) is widely used in academia, healthcare, and
business analytics. It provides a comprehensive suite of statistical tools, including data
management, regression, and machine learning. SAS is known for its reliability and
scalability.

SPSS (IBM SPSS Statistics): SPSS is a user-friendly software package for statistical
analysis. It’s commonly used in social sciences, marketing research, and healthcare. SPSS
offers a graphical interface and supports a wide range of statistical tests and
visualizations.

Stata: Stata is a powerful statistical software with a focus on data management,

econometrics, and social sciences. It provides an intuitive interface, extensive
documentation, and a large user community. Stata is particularly popular among
researchers and policymakers.

Minitab: Minitab is designed for quality improvement and process optimization. It’s
user-friendly, making it suitable for beginners. Minitab offers statistical tools, graphical
analysis, and DOE (Design of Experiments) capabilities.

GraphPad Prism: Although primarily used for scientific and biomedical research,
GraphPad Prism also serves as statistical software. It excels in analysing experimental
data, creating graphs, and performing nonlinear regression.

When choosing a statistical software, factors such as ease of use, functionality,

community support, cost, integration, and scalability should be considered.

Evolutionary algorithms:
Evolutionary algorithms (EAs) are fascinating techniques inspired by the biological
evolution. They play a crucial role in iterative problem solving across various domains.

What Are Evolutionary Algorithms?

EAs belong to the family of metaheuristic optimization algorithms. They draw

inspiration from natural evolution processes.

Key mechanisms include:

Reproduction: Creating new candidate solutions (individuals).

Mutation: Introducing small changes to individuals.

Recombination (Crossover): Combining genetic material from two parents.

Selection: Determining which individuals survive and reproduce based on their fitness
(quality).

EAs iteratively evolve a population of candidate solutions toward optimal or near-

optimal solutions.

Applications of Evolutionary Algorithms:

 Finance: Portfolio optimization, risk assessment.

 Engineering: Design optimization, parameter tuning.
 Healthcare: Drug discovery, treatment planning.
 Manufacturing: Process optimization, scheduling.
 Artificial Intelligence: Neural network training, feature selection etc.

Why Use Evolutionary Algorithms?

 Adaptability: EAs can handle various problem types without making

assumptions about the underlying landscape.
 Versatility: They work for both single-objective and multi-objective
optimization.
 Exploration: EAs explore solution spaces effectively, even when problem
complexity is high.
 Monte-Carlo Nature: EAs resemble Monte-Carlo methods, making them robust
explorers.

Challenges and Considerations:

Computational Complexity: Evaluating fitness functions can be resource-intensive.

Fitness Approximation: Overcoming complexity by approximating fitness.

Problem-Algorithm Link: Algorithm complexity doesn’t always correlate directly with

problem complexity.
EAs offer a powerful toolbox for tackling real-world challenges. Whether you’re an
advanced undergraduate, graduate student, or industry professional, understanding EAs
can enhance your problem-solving skills.

Genetic algorithms:

Genetic algorithms (GAs) are fascinating computational techniques inspired by the

principles of natural genetic systems.

Analogous to Natural Selection:

GAs simulate the process of natural selection observed in biological evolution.

Individuals within a population compete for resources and have varying fitness levels.
Successful (fittest) individuals mate, creating offspring with a combination of their
genetic material.

Genes from the fittest parents propagate throughout generations, leading to better
adaptation to the environment.

Search Space and Chromosomes:

The population of individuals exists within a search space. Each individual represents a
potential solution to a given problem. Individuals are encoded as finite-length vectors
(analogous to chromosomes) composed of components (genes). These genes represent
variable aspects of the solution.

Fitness Score:

Each individual receives a fitness score based on its ability to compete.

Optimal or near-optimal solutions are sought based on fitness.

Individuals with better fitness scores have a higher chance of reproducing.

Reproduction and New Generations:

Individuals with better fitness scores mate and produce offspring.

Crossover and mutation operators combine parental chromosomes to create new

offspring.

The population size remains static, so some individuals die to make room for new
arrivals.

Over successive generations, better solutions emerge while less fit individuals are
replaced.

Iterative Improvement:
Each new generation typically contains more “better genes” than the previous one. GAs
iteratively improve partial solutions toward optimal or near-optimal outcomes.

GAs intelligently explore solution spaces, adapt to changing environments, and mimic
the principles of evolution to find high-quality solutions for optimization and search
problems.

Simulated Annealing:

Simulated Annealing (SA) is a powerful optimization technique that approximates the

global optimum of a given function.

SA draws inspiration from thermodynamics, specifically the annealing process in

metallurgy. Just as metals cool and anneal, SA iteratively explores solution spaces to find
optimal or near-optimal solutions.

How does It work:

SA operates in a large search space, making it useful for problems with numerous local
optima.

The algorithm starts with an initial positive temperature and progressively cools it to
zero.

Key components:

Reproduction: Creating new candidate solutions.

Mutation: Introducing small changes to solutions.

Crossover (Recombination): Combining genetic material from parents.

Selection: Determining which solutions survive based on fitness.

Accepting worse solutions allows for a broader search for the global optimum.

Applications:

SA is valuable for problems where finding an approximate global optimum is more

critical than precise local optima.

Common applications include:

 Traveling Salesman Problem

 Boolean Satisfiability Problem
 Protein Structure Prediction
 Job-Shop Scheduling

Why “Simulated Annealing”?:

The name comes from the annealing process in metallurgy. Both annealing and SA
involve temperature control and alteration of physical properties based on
thermodynamic free energy.

SA is a versatile metaheuristic that can tackle hard optimization problems where exact
algorithms fail. It’s a slow-cooling exploration method that seeks global optima.

Neural Network (NN) optimization involves enhancing the performance of neural

networks by adjusting their parameters. Let’s explore some key aspects:

Why to Optimize Neural Networks?

Neural networks are powerful models for various tasks (e.g., image recognition, natural
language processing). Optimization aims to find the best configuration (weights, biases,
hyperparameters) for a given problem.

Optimization Techniques:
Gradient Descent (GD): Adjusts weights based on the gradient of the loss function.
Variants include:

Stochastic Gradient Descent (SGD): Uses random mini-batches for efficiency.

Momentum: Accelerates convergence by considering past gradients.

Adam: Combines adaptive learning rates and momentum.

RMSProp: Adapts learning rates based on recent gradient magnitudes.

AdaGrad: Adjusts learning rates for each parameter individually.

AdaDelta: Improves AdaGrad by addressing its drawbacks.

LBFGS: Limited-memory Broyden–Fletcher–Goldfarb–Shanno algorithm for

optimization.

Genetic Algorithms (GA): Inspired by natural selection, evolve neural network

architectures.

Particle Swarm Optimization (PSO): Simulates social behavior to find optimal

weights.

Artificial Bee Colony (ABC): Mimics bee foraging behavior.

Backtracking Search Algorithm (BSA): Backtracks to improve solutions.

Lightning Search Algorithm (LSA): A modern technique.

Whale Optimization Algorithm (WOA): Inspired by whale behavior.

Challenges:

Local Minima: Neural networks can get stuck in suboptimal solutions.

Overfitting: Balancing model complexity and generalization.

Hyperparameter Tuning: Finding the right learning rate, batch size, etc.

Architecture Optimization:

Finding optimal neural network architectures (e.g., hidden layers, neurons) is crucial.
Techniques like Bayesian Optimization and Random Search explore architecture space.
Optimizing neural networks involves a mix of mathematical techniques, heuristics, and
creativity. Researchers and practitioners continually explore new methods to improve
model performance

Fuzzy optimization involves enhancing the performance of systems that deal with
uncertainty, imprecision, and partial truth. Let’s explore this fascinating field:

Fuzzy Logic and Fuzzy Systems:

Fuzzy logic is a mathematical theory that handles partial truth using linguistic variables
(e.g., “hot,” “cold”). Fuzzy systems use fuzzy logic to reason about data. They can be
applied in various domains, including fuzzy controllers, diagnosis systems, and
classification.

Fuzzy Sets and Membership Functions:

A fuzzy set in a universe of discourse is defined by a membership function that assigns a

degree of membership (between 0 and 1) to each element. Membership functions
capture imprecision and uncertainty, allowing for more accurate modelling of real-world
data.

Fuzzy Optimization Techniques:

Evolutionary Algorithms (EAs): Genetic algorithms, particle swarm optimization, and
other EAs have been successful in designing efficient fuzzy systems. Flexible
Mathematical Programming: This approach optimizes fuzzy models by considering
uncertainty and partial truth.

Fuzzy Programming: It deals with optimization in the presence of uncertainty. Instead

of strict true/false criteria, it allows for partial truth and captures the concept of
imprecision.

Applications:

Fuzzy optimization techniques find widespread application in fields such as

engineering, management, economics, finance, and environmental science. Examples
include investment strategy, supply chain planning, traffic flow optimization, and
sustainable energy.

Fuzzy optimization provides a flexible and robust approach to solving complex

problems where exactness is not always possible. It bridges the gap between precise
mathematical models and the inherent fuzziness of real-world data.

Unit:3 RESEARCH ETHICS, IPR AND SCHOLARY PUBLISHING 8 Hours

Ethics-ethical issues, ethical committees (human & animal); IPR- intellectual property rights and patent law, commercialization, copy right, royalty,

trade related aspects of intellectual property rights (TRIPS); scholarly publishing- IMRAD concept and design of research paper, citation and ac-

knowledgement, plagiarism, reproducibility and accountability.

1. Introduction
2. Codes and Policies for Research Ethics
3. Promoting Ethical Conduct in Science
4. Animal Used In Research
5. What is Plagiarism?
6. Avoiding Plagiarism in Writing
7. Attribution
8. Types of Plagiarism
9. What is Copyright?
10. Trade Related Aspects of Intellectual Property Rights (TRIPS)
11. IMRAD concept: Design of research paper

Ethics :-

1. Introduction
Research ethics involves the application of fundamental ethical principles to a variety of
topics involving scientific research.
The application of fundamental ethical principles to a topics like:
1. The design and implementation of research involving human experimentation, animal
experimentation.
2. Various aspects of academic scandal, including scientific misconducts (such as fraud,
fabrication of Data and plagiarism),
3. Whistle blowing (wrongdoing within an organization to the public or to those in
positions of authority); regulation of research, etc. Research ethics is most developed as
a concept in all the scientific research.
4. Research in the social sciences presents a different set of issues than those in medical
research.
The scientific research enterprise is built on a foundation of trust. Scientists trust that
the results reported by others are valid. Society trusts that the results of research reflect
an honest attempt by scientists to describe the world accurately and without bias. But
this trust will endure only if the scientific community devotes itself to exemplifying and
transmitting the values associated with ethical scientific conduct.

'ethics' focuses on the disciplines that study standards of conduct, such as philosophy,
theology, law, psychology, or sociology. For example, a "medical ethicist" is someone who
studies ethical standards in medicine. One may also define ethics as a method,
procedure, or perspective for deciding how to act and for analysing complex problems
and issues. For instance, in considering a complex issue like global warming, one may
take an economic, ecological, political, or ethical perspective on the problem. While an
economist might examine the cost and benefits of various policies related to global
warming, an environmental ethicist could examine the ethical values and principles at
stake.

Many different disciplines, institutions, and professions have norms for behavior that
suit their particular aims and goals. These norms also help members of the discipline to
coordinate their actions or activities and to establish the public's trust of the discipline.
For instance, ethical norms govern conduct in medicine, law, engineering, and business.
Ethical norms also serve the aims or goals of research and apply to people who conduct
scientific research or other scholarly or creative activities. There is even a specialized
discipline, research ethics, which studies these norms.

Why it is important to adhere to ethical norms in research?

1. Norms promote the aims of research, such as knowledge, truth, and avoidance of
error. For example, prohibitions against fabricating, falsifying, or misrepresenting
research data promote the truth and avoid error
2. Research often involves a great deal of cooperation and coordination among many
different people in different disciplines and institutions, ethical standards promote
the values that are essential to collaborative work, such as trust, accountability,
mutual respect, and fairness. For example, many ethical norms in research, such as
guidelines for authorship, copyright and patenting policies, data sharing policies,
and confidentiality rules in peer review, are designed to protect intellectual property
interests while encouraging collaboration.
3. Many of the ethical norms help to ensure that researchers can be held accountable to
the public. For instance, federal policies on research misconduct, conflicts of interest,
the human subject protections, and animal care and use are necessary in order to
 make sure that researchers who are funded by public money can be held
accountable to the public.
4. Ethical norms in research also help to build public support for research. It is seen
that people more likely to fund research project if they can trust the quality and
integrity of research.

Finally, many of the norms of research promote a variety of other important moral
and social values, such as social responsibility, human rights, and animal welfare,
compliance with the law, and health and safety. Ethical lapses in research can
significantly harm human and animal subjects, students, and the public. For example,
a researcher who fabricates data in a clinical trial may harm or even kill patients and
a researcher who fails to abide by regulations and guidelines relating to radiation or
biological safety may jeopardize his health and safety or the health and safety of staff
and students.

ORGANIZATIONS AND ETHICS COMMITTEES

All organizations that are involved in research involving human participants have set
up a code of practice for their researchers. Universities will have their own codes of
practice. The role of ethics committees is to oversee the research carried out in their
organizations in relation to ethical issues. It is they who formulate the research
ethics code of conduct and monitor its application in the research carried out by
members of their organizations. Applying for ethics approval inevitably involves
filling in forms.
Every research and academic institution is now required to have an ethical
committee. Every research project has to be scrutinised by this committee, and it is
only after this approval that one can go to the field to collect data. Most international
publications also require ethical approval certificates before considering a research
paper for publication. It is to be noted that most ethical
guidelines take cognisance of bio-medical or experimental research. Even when
social or behavioural research is considered, the guidelines outline large quantitative
samples and present road map for research that is rooted in positivist mode of
analysis.
Qualitative and ethnographic research requires more flexible settings. When
methods like narrative research, in-depth interviews, participant observations or
case studies are generated, conforming to pre-tested and ethical committee
approved schedules or questionnaires may not suffice. In this kind of research
informed consent actually means consent in process. In method of
purposive sampling, sample is not collected on the basis of a systematic sampling.
Sample gets generated in the field as one moves from one respondent to other. In
such situations, it is also not possible to take written consent from each respondent
as it may violate their right to privacy. Obtaining written consent from a formally
illiterate person is another issue that some researcher may face. Even if researcher
attempts to explain, there are occasions, when respondent may not comprehend the
purpose. In a recent human genome research study, blood samples were drawn
from Jarwa Adivasis living in secluded terrains of Andaman Nicobar Islands. Even
when the tribals agreed to give blood sample, they were not aware as to what use
that sample was being put. Hence, there was no informed consent involved in it.
Recognising these limitations, ICMR in its ethical guidelines observe:
Social and behavioural sciences research approaches are not always positivist and,
therefore, articulation of a hypothesis may not be possible at the beginning of the
research. Instruments/documents are developed during the course of the research;
are reflective; and may keep changing as the research progresses. The EC must be
kept informed about these changes and appropriate re-consent taken from
participants.

CODES AND POLICIES FOR RESEARCH ETHICS

Given the importance of ethics for the conduct of research, it should come as no
surprise that many different professional associations, government agencies, and
universities have adopted specific codes, rules, and policies relating to research
ethics. Many government agencies, such as the National Institutes of Health (NIH),
the National Science Foundation (NSF), the Food and Drug Administration (FDA), the
Environmental Protection Agency (EPA), and the Department of Agriculture (USDA)
have ethics rules for funded researchers. Other influential research ethics policies
include the Uniform Requirements for Manuscripts Submitted to Biomedical
Journals (International Committee of Medical Journal Editors), the Chemist's Code of
Conduct (American Chemical Society), Code of Ethics (American Society for Clinical
Laboratory Science) Ethical Principles of Psychologists (American Psychological
Association), Statements on Ethics and Professional Responsibility (American
Anthropological Association), Statement on Professional Ethics (American
Association of University Professors), the Nuremberg Code and the Declaration of
Helsinki (World Medical Association). The following is a rough and general summary
of some ethical principals that various codes address*:
1. Honesty: Strive for honesty in all scientific communications. Honestly report
data, results, methods and procedures, and publication status. Do not fabricate,
falsify, or misrepresent data. Do not deceive colleagues, granting agencies, or
the public.
2. Objectivity: Strive to avoid bias in experimental design, data analysis, data
interpretation, peer review, personnel decisions, grant writing, expert
testimony, and other aspects of research where objectivity is expected or
required. Avoid or minimize bias or self-deception. Disclose personal or
financial interests that may affect research.
3. Integrity: Keep your promises and agreements; act with sincerity; strive for
consistency of thought and action.
4. Carefulness: Avoid careless errors and negligence; carefully and critically
examine your own work and the work of your peers. Keep good records of
research activities, such as data collection, research design, and correspondence
with agencies or journals.
5. Openness: Share data, results, ideas, tools, resources. Be open to criticism and
new ideas.
6. Respect for Intellectual Property: Honor patents, copyrights, and other forms
of intellectual property. Do not use unpublished data, methods, or results
without permission. Give credit where credit is due. Give proper
acknowledgement or credit for all contributions to research. Never plagiarize.
7. Confidentiality: Protect confidential communications, such as papers or grants
submitted for publication, personnel records, trade or military secrets, and
patient records.
8. Responsible Publication: Publish in order to advance research and
scholarship, not to advance just your own career. Avoid wasteful and duplicative
publication.
9. Responsible Mentoring: Help to educate, mentor, and advise students.
Promote their welfare and allow them to make their own decisions.
10. Respect for colleagues: Respect your colleagues and treat them fairly.
11. Social Responsibility: Strive to promote social good and prevent or mitigate
social harms through research, public education, and advocacy.
12. Non-Discrimination: Avoid discrimination against colleagues or students on
the basis of sex, race, ethnicity, or other factors that are not related to their
scientific competence and integrity.
13. Competence: Maintain and improve your own professional competence and
expertise through lifelong education and learning; take steps to promote
competence in science as a whole.
14. Legality: Know and obey relevant laws and institutional and governmental
policies.
15. Animal Care: Show proper respect and care for animals when using them in
research. Do not conduct unnecessary or poorly designed animal experiments.
16. Human Subjects Protection: When conducting research on human subjects
minimize harms and risks and maximize benefits; respect human dignity,
privacy, and autonomy; take special precautions with vulnerable populations;
and strive to distribute the benefits and burdens of research fairly.
17. There are many other activities that do not define as "misconduct" but which
are still regarded by most researchers as unethical. These are called "other
deviations" from acceptable research practices and include:
 Publishing the same paper in two different journals without telling the
editors
 Submitting the same paper to different journals without telling the
editors
 Not informing a collaborator of your intent to file a patent in order to
make sure that you are the sole inventor
 Including a colleague as an author on a paper in return for a favor even
though the colleague did not make a serious contribution to the paper
 Discussing with your colleagues confidential data from a paper that
you are reviewing for a journal
 Trimming outliers from a data set without discussing your reasons in
paper
 Using an inappropriate statistical technique in order to enhance the
significance of your research
 Bypassing the peer review process and announcing your results
through a press conference without giving peers adequate information
to review your work
 Conducting a review of the literature that fails to acknowledge the
contributions of other people in the field or relevant prior work
 Stretching the truth on a grant application in order to convince
reviewers that your project will make a significant contribution to the
field
 Stretching the truth on a job application or curriculum vita
 Giving the same research project to two graduate students in order to
see who can do it the fastest
  Overworking, neglecting, or exploiting graduate or post-doctoral
students
 Failing to keep good research records
 Failing to maintain research data for a reasonable period of time
 Making derogatory comments and personal attacks in your review of
author's submission
 Promising a student a better grade for sexual favors
 Using a racist epithet in the laboratory
 Making significant deviations from the research protocol approved by
your institution's Animal Care and Use Committee or Institutional
Review Board for Human Subjects Research without telling the
committee or the board
 Not reporting an adverse event in a human research experiment
 Wasting animals in research
 Exposing students and staff to biological risks in violation of your
institution's biosafety rules
 Rejecting a manuscript for publication without even reading it
 Sabotaging someone's work
 Stealing supplies, books, or data
 Rigging an experiment so you know how it will turn out
 Making unauthorized copies of data, papers, or computer programs
 Deliberately overestimating the clinical significance of a new drug in
order to obtain economic benefits
These actions would be regarded as unethical by most scientists and some might even
be illegal. Most of these would also violate different professional ethics codes or
institutional policies.

Promoting Ethical Conduct in Science

Many of you may be wondering why you are required to have training in research ethics.
You may believe that you are highly ethical and know the difference between right and
wrong. You would never fabricate or falsify data or plagiarize. Indeed, you also may
believe that most of your colleagues are highly ethical and that there is no ethics
problem in research.
If you feel this way, relax. No one is accusing you of acting unethically. Indeed, the best
evidence we have shown that misconduct is a very rare occurrence in research, although
there is considerable variation among various estimates. The rate of misconduct has
been estimated to be as low as 0.01% of researchers per year (based on confirmed cases
of misconduct in federally funded research) to as high as 1% of researchers per year
(based on self-reports of misconduct on anonymous surveys).
Clearly, it would be useful to have more data on this topic, but so far there is no evidence
that science has become ethically corrupt. However, even if misconduct is rare, it can
have a tremendous impact on research. Consider an analogy with crime: it does not take
many murders or rapes in a town to erode the community's sense of trust and increase
the community's fear and paranoia. The same is true with the most serious crimes in
science, i.e. fabrication, falsification, and plagiarism. However, most of the crimes
committed in science probably are not tantamount to murder or rape, but ethically
significant misdeeds that are classified by the government as 'deviations.' Moreover,
there are many situations in research that pose genuine ethical dilemmas.
Will training and education in research ethics help reduce the rate of misconduct in
science? It is too early to tell. The answer to this question depends, in part, on how one
understands the causes of misconduct. There are two main theories about why
researchers commit misconduct. According to the "bad apple" theory, most scientists are
highly ethical. Only researchers who are morally corrupt, economically desperate, or
psychologically disturbed commit misconduct. Moreover, only a fool would commit
misconduct because science's peer review system and self-correcting mechanisms will
eventually catch those who try to cheat the system. In any case, a course in research
ethics will have little impact on "bad apples," one might argue.
According to the "stressful" or "imperfect" environment theory, misconduct occurs
because various
institutional pressures, incentives, and constraints encourage people to commit
misconduct, such as
pressures to publish or obtain grants or contracts, career ambitions, the pursuit of profit
or fame, poor supervision of students and trainees, and poor oversight of researchers.
Moreover, defenders of the stressful environment theory point out that science's peer
review system is far from perfect and that it is relatively easy to cheat the system.
Erroneous or fraudulent research often enters the public record without being detected
for years. To the extent that research environment is an important factor in misconduct,
a course in research ethics is likely to help people get a better understanding of these
stresses, sensitize people to ethical concerns, and improve ethical judgment and
decision making. Misconduct probably results from environmental and individual
causes, i.e. when people who are morally weak, ignorant, or insensitive are placed in
stressful or imperfect environments. In any case, a course in research ethics is useful in
helping to prevent deviations from norms even if it does not prevent misconduct.
Many of the deviations that occur in research may occur because researchers simple do
not know or have never thought seriously about some of the ethical norms of research.
For example, some unethical authorships practices probably reflect years of tradition in
the research community that has not been questioned seriously until recently. If the
director of a lab is named as an author on every paper that comes from his lab, even if he
does not make a significant contribution, what could be wrong with that? That's just the
way it's done, one might argue. If a drug company uses ghost-writers to write papers
"authored" by its physician-employees, what's wrong about this practice? Ghost writers
help write all sorts of books these days, so what's wrong with using ghost-writers in
research?
Another example where there may be some ignorance or mistaken traditions is conflicts
of interest in research. A researcher may think that a "normal" or "traditional" financial
relationship, such as accepting stock or a consulting fee from a drug company that
sponsors her research, raises no serious ethical issues. Or perhaps a university
administrator sees no ethical problem in taking a large gift with strings attached from a
pharmaceutical company. Maybe a physician thinks that it is perfectly appropriate to
receive a $300 finder’s fee for referring patients into a clinical trial. If "deviations" from
ethical conduct occur in research as a result of ignorance or a failure to reflect critically
on problematic traditions, then a course in research ethics may help reduce the rate of
serious deviations by improving the researcher's understanding of ethics and by
sensitizing him or her to the issues.
Finally, training in research ethics should be able to help researchers grapple with
ethical dilemmas by introducing researchers to important concepts, tools, principles,
and methods that can be useful in resolving these dilemmas. In fact, the issues have
become so important that the NIH and NSF have mandated training in research ethics
for graduate students

ANIMAL USED IN RESEARCH

Animals play a significant role in research. They are used in a variety of ways by
researchers, such as for testing new pharmaceuticals, as teaching tools for medical
students and as experimental subjects for new surgical procedures. Research with
animals is necessary and vital to biomedical research because animal research is
frequently a necessary first step towards research involving new medical treatments
and pharmaceuticals intended for human use.
Many dedicated organizations and individuals are interested in protecting and
safeguarding animal subjects as regards their use in research. Some organizations are
interested in eliminating the use of animals in research. Others consider research with
animals a necessary evil to the advancement of medicine, but still aim to eliminate
unnecessary suffering, pain and poor facility conditions for animal subjects.
To protect animals, research projects that use animals have to be reviewed. These
review processes
assess the risks and benefits of using animals in research. This can prove difficult for
project reviewers and often makes for intense debates and arguments about the
appropriate use of animal subjects, particularly because the animal subjects usually
bear all the risks while human beings realize all the benefits. Debates also centre on
judging how much pain is too much, whether or not animals experience pain in the same
way that humans do and whether or not these ideas should even factor into the debate
at all.
To assure that research with animals is conducted ethically and responsibly, the
government has created regulations involving the use and care of animals involved in
teaching, testing, and research.
Animals are used for many purposes within schools, universities and research
establishments. Others are studied within their natural habitats. The purposes for which
they are used and the impact on these animals themselves varies considerably. In all
cases, it is essential that the individual animal is treated in humane and considerate
manner.

Regulation and Controls

Research and teaching using animals may only be performed when they are essential:
 To obtain and establish significant information relevant to the understanding of
humans and/or animals;
 For the maintenance and improvement of human and/or animal health and
welfare;
 For the improvement of animal management or production;
 To obtain and establish significant information relevant to the understanding,
maintenance or
improvement of the natural environment; or
 For the achievement of educational objectives.
Projects using animals may only be performed after a decision has been made that they
are justified, weighing the predicted scientific or educational value of the research
against the potential effects on the welfare of the animals. Investigators and teachers
must submit a written proposal to an Animal Ethics Committee for all animal projects
which must take into account the expected value of the knowledge to be gained, the
justification for the project and all ethical and animal welfare aspects taking into
account the 3RS - Replacement, Reduction and Refinement as outlined in the Australian
Code of Practice for the Care and Use of Animals for Scientific Purposes.
In South Australia compliance with the Australian Code of Practice for the Care and Use
of Animals for Scientific Purposes (the Code) is mandatory and a legal requirement.
Breaches of the Code can incur penalties under the Animal Welfare Act 1985. The
purpose of the Code is to ensure the ethical and humane care and use of animals in
research and teaching. The principles set out in the Code are for guidance of
investigators, teachers, institutions, Animal Ethics Committees (AECs) and all people
involved in the care and use of animals for scientific purposes.

The Code emphasizes the responsibilities of investigators, teachers and institutions

using animals to ensure that the use of animals is justified, that the welfare of the
animals is always considered, to promote the development of techniques that replace
the use of animals, to minimise the numbers of animals used and to refine procedures to
avoid pain or distress in animals.

The 3 Rs: Replacement, Reduction and Refinement

Encapsulated in the code of practice for the care and use of animals for scientific
purposes is the
requirement for scientific and teaching activities to consider the 3Rs.
1. Replacement: Techniques that totally or partially replace the use of animals for
scientific purposes must be sought and used wherever possible.
2. Reduction: Each project must use no more than the minimum number of animals
necessary to ensure scientific and statistical validity. The principle of reducing the
number of animals used should not be implemented at the expense of greater suffering
of individual animals. Scientific and teaching activities involving the use of animals must
not be repeated unless essential for the purpose or design of the project. Teaching
activities must involve no more than the minimum number of animals required to reach
the educational objectives. Overproduction of animals bred for scientific purposes
should be avoided so that the need to kill healthy animals is minimized.
3. Refinement: Animals must be suitable for the scientific purpose taking into account
their biological characteristics including behaviour, genetic attributes and nutritional,
microbiological and general health status. The design and management of animal
accommodation should meet with species-specific needs. Special consideration is
required where this is precluded by the requirements of the project. Animals should be
transported, housed, fed, watered, handled and used under conditions that meet
species-specific needs.

The welfare of the animals must be a primary consideration in the provision of care,
which should be based on behavioural and biological needs. Wildlife should not be taken
from natural habitats unless animals bred in captivity are not available or are not
suitable for the specific scientific purpose. Investigators and teachers who use animals
for scientific purposes must employ the best available scientific and educational
techniques and be competent in the procedures they perform or must be under the
direct supervision of a person competent in the procedure.

Projects should be designed to avoid both pain and distress in animals. If this is not
possible, pain or distress must be minimized. Pain and distress cannot be evaluated
easily in animals and therefore investigators and teachers must assume that animals
experience these in a manner similar to humans unless there is evidence to the contrary.
Decisions regarding the animals' welfare must be based on this assumption. An animal
with signs of pain or distress not predicted in the proposal must have the pain or
distress alleviated promptly. Alleviation of such pain or distress must take precedence
over completing the project. If this is not possible the animal must be euthanized
without delay.
Scientific and teaching activities that may cause pain or distress of a kind or degree for
which anaesthesia would normally be used in medical or veterinary practice must be
carried out using anesthesia appropriate to the species and the procedure. Pain
management appropriate to the species, the procedure and the circumstances must be
provided. The use of local or general anesthetic, analgesic or tranquilizing agents must
be appropriate to the species, and should at least parallel their use in current medical or
veterinary practice. Where it is established that the purpose of the project precludes the
use of anesthetic or analgesic agents to alleviate pain, the planned endpoint of the
project must be as early as feasible to avoid or minimise pain or distress in the animals.
Neuromuscular blocking agents must not be used without appropriate general
anesthesia, except in animals where sensory awareness has been eliminated. If such
agents are used, continuous or frequent monitoring of paralyzed animals is essential to
ensure that the depth of anesthesia is adequate to prevent pain or distress. Death as an
end point must be avoided wherever possible. Scientific and teaching activities involving
the use of animals must be of minimum duration compatible with the objectives of the
project.

Copyright:

Copyright is a form of intellectual property protection granted under the Indian law to
authors. This will include literary work, songs, sound recordings, cinematographic films,
computer programs, tables and databases. Copyright ensures that authors can protect
their work and those who steal it can face legal action.
Copyright is a right given by the law to the creators of literary, dramatic, musical and
artistic works and producers of cinematograph films and sound recordings. Copyright
law gives an author or creator of a work a diverse bundle of exclusive rights over his
work for a particular period of time. In Gramophone Co. v. Birender Bahadur Pandey,
AIR 1984 SC 667, Chinnapa Reddy, J. observed that an artistic, literary or musical work
is the brainchild of the author, the fruit of his labour and so, considered to be his
property. It is, therefore, recognised by all civilized nations to be worthy of protection
through national laws and international conventions. Copyright law protects the owner
of the copyright in a work from an unlawful reproduction or exploitation of his work by
others.

The Copyright law protects expressions of ideas rather than the ideas themselves. Under
section 13 of the Copyright Act 1957, copyright protection is conferred on literary
works, dramatic works, musical works, artistic works, cinematograph films and sound
recording. For example, books and computer programs are protected under the Act as
literary works.

Copyright refers to the exclusive rights vested in the owner of copyright by virtue of
Section 14 of the Copyright Act, 1957. The owner of the copyright or someone who is
authorized to act on behalf of the owner can exercise these rights.
Copyright protection is conferred on all original work that has not been copied from
elsewhere. It could be writing, music, film or sound recordings. Copyright protection starts
the moment you create any work. It is a good idea to obtain copyright registration to ensure
proper protection. It also ensures that there is documented evidence of a work in the
Copyright Register maintained by the
Registrar of Copyrights. Registration also will be of great help when you as the copyright
holder want to take civil or criminal action against the infringer.

As per Section 17 of the Act, the author or creator of the work is the first owner of
copyright. An exception to this rule is when an employer becomes the owner of
copyright in circumstances where the employee creates a work during employment.

As India is a member of the Berne Convention, copyright protection of work first

published in India is available across several countries of the world who are members.
The duration of copyright protection in India as per the Copyright Act, 1957 is 60 years.
The five amendments were made to Copyright Act, 1957 during 1983, 1984, 1992, 1994,
1999 and 2012 after its implementation in 1958
(Copyright Office, GoI). The Copyright (Amendment) Rules, 2021 were recently notified
by the Ministry of Commerce and Industry (Department for Promotion of Industry and
Internal Trade), GoI Notification, 2021.

Section 57 of the Act details two basic rights of an author which are:
1. Right of Paternity.
2. Right of Integrity.

Right of Paternity refers to the right of an author to claim authorship of work. It also
confers the right to prevent others from claiming authorship of his work.

Right of integrity empowers the author to prevent distortion, mutilation or other

alterations of his work that can harm his or her reputation.

Intellectual Property Rights (IPR)

Intellectual property (IP) refers to ideas, inventions, and creativity of mind that had
given the readiness of the public to grant the status of the property. World Intellectual
Property Organization (WIPO) defined Intellectual property as creations of the mind,
such as inventions, literary and artistic works, designs, symbols, names and images used
in commerce (WIPO, https://www.wipo.int/about-ip/en/). Intellectual Property Rights
(IPR) provides the right to the author for their creativity.

Unlike Fundamental Rights of citizens which are guaranteed by the Constitution of a

country, IPRs are statutory rights enacted by the lawmaking authority in a country.
Conventionally, many forms of IPRs are recognised. They are traditionally classified into
two main categories:
 Copyright and related rights: i.e., rights granted to authors of literary and
artistic works, and the rights of performers, producers of phonograms and
broadcasting organizations. The main purpose of protection of copyright and
related rights is to encourage and reward creative work. The distinguishing
feature of this category of rights is that they protect only the tangible expression
of an idea and not the idea itself. Further, these rights generally come into
existence the moment a work is created and need not be registered with any
central authority.
 Industrial property: This category includes:
o The protection of distinctive signs such as trademarks and geographical
indications, and
o Industrial property protected primarily to stimulate innovation, design
and the creation of technology which are protected through laws on
protection of inventions (patents), industrial designs and trade secrets.

Copyright is one of the significant parts of intellectual property rights. The major types
of intellectual properties are:
 Patents: It is an exclusive right granted to an invention which is a product or a
process that provides, in general, a new way of doing something, or offers a new
technical solution to a problem (WIPO,https://www.wipo.int/patents/en/)
 Industrial Designs: Features of any shape, configuration, surface pattern, the
composition of lines and colours applied to an article
(www.copyright.gov.in/Documents/handbook.html)
 Trademarks: Itis a sign capable of distinguishing the goods or services of one
enterprise from those of other enterprises by any mark, name, or logo (WIPO,
https://www.wipo.int/trademarks/en/)
 Copyright: Expression of ideas in material form and includes thics and
Intellectual literary, musical, dramatic, artistic, cinematography work, audio
tapes, and computer software (www.copyright.gov.in)
 Geographical Indications: It is a sign used on products that have a specific
geographical origin and possesses qualities or a reputation that are due to that
origin (WIPO, https://www.wipo.int/ geo_indications/en/)

The IPRs covered by the TRIPS Agreement are:

 Copyright and related rights (i.e. the rights of performers, producers of sound
recordings and broadcasting organizations)
 Trademarks, including service marks
 Geographical indications including appellations of origin
 Industrial designs
 Patents including the protection of new varieties of plants
 Layout-designs (topographies) of integrated circuits
 Undisclosed information, including trade secrets and test data

Trade-Related Aspects of Intellectual Property Rights (TRIPS)

The Agreement on Trade related Aspects of Intellectual Property Rights of the WTO
is commonly known as the TRIPS Agreement or simply TRIPS. TRIPS is one of the
main agreements comprising the World Trade Organisation (WTO) Agreement. This
Agreement was negotiated as part of the eighth round of multilateral trade
negotiations in the period 1986-94 under General Agreement on Tariffs and Trade
(GATT) commonly referred to as the Uruguay Round extending from 1986 to 1994. It
appears as Annex 1 C of the Marrakesh Agreement which is the name for the main
WTO Agreement. The Uruguay Round introduced intellectual property rights into
the multilateral trading system for the first time through a set of comprehensive
disciplines. TRIPS agreement was signed on 15th April 1994 and it came into effect
on January 1st,1995. It is a multilateral agreement on intellectual property (IP)
between WTO members on traderelated aspects. TRIPS combined conventions of
World Intellectual Property Organization (WIPO) namely the Paris Convention for
the Protection of Industrial Property and the Berne Convention for the Protection of
Literary and Artistic Works for setting up standards for the protection of IPR. The
WIPO administers many other international conventions on IPRs also.

The other characteristics of the TRIPS agreement are enforcement of IPR and
resolution of disputes related to trade among the members (Source: WTO,
https://www.wto.org/english/tratop_e/ trips_e/intel2_e.htm)

The TRIPS Agreement is part of the “single undertaking” resulting from the Uruguay
Round negotiations. This implies that the TRIPS Agreement applies to all WTO
members, mandatorily. It also means that the provisions of the agreement are
subject to WTO dispute settlement mechanism which is contained in the Dispute
Settlement Understanding (the “Understanding on Rules and Procedures Governing
the Settlement of Disputes”). The TRIPS Agreement is one of the most important
agreements of the WTO.

While the IPR Conventions and treaties create the international standards in
protection of IPRs which are to be followed by the member countries, substantive
trade related disciplines on IPRs under these international conventions have been
adopted by reference into the WTO through the TRIPS Agreement. This means that
the Agreement provides rules for trade and investment in ideas and creativity by
incorporating standards laid down in certain exact provisions of the major IPR
conventions. The WTO provides that “intellectual property” should be protected
when trade is involved. Thus, through the TRIPS, the WTO makes it mandatory for all
its member countries to follow basic minimum standards of IPR provided for under
TRIPS and bring about a degree of harmonization of domestic laws in this field.

Indian obligations under TRIPS

To meet international obligations under the TRIPS, various existing domestic IPR
laws have been amended from time to time. For example, in the area of patents, the
Indian Patent Act 1970 was amended in order to make it conform to TRIPS. The first
amendment to the Patent Act 1970 was effected through the Patents (Amendment)
Act, 1999 that was brought into force retrospectively from 1st January, 1995. The
amended Act provided for filing of applications for product patents in the areas of
drugs, pharmaceuticals and agro chemicals even though such patents were not
allowed. However, provision was made that such applications were to be examined
only after 31-12-2004. This was necessitated in view of the transitional
arrangements allowed under the TRIPS Agreement. Under the transitional
arrangements, a grace period was allowed to developing country members to make
their laws TRIPS-compatible provided they met certain conditions. One such st
condition was that to avail of 10 year grace period (till 1 January 2005) under TRIPS,
a 'mail-box' of applications would have to be created in which all product-patent
application would be placed for subsequent examination on merits from January
2005. In the intervening period, the applicants were to be allowed Exclusive
Marketing Rights (EMR) to sell or distribute these products in India, subject to
fulfilment of certain conditions. The second amendment to the 1970 Act was made
through the Patents (Amendment) Act, 2002. This Act came into force on 20 May
2003 with the introduction of new Patent Rules, 2003 by replacing the earlier
Patents Rules, 1972. With these amendments, India met all its obligations relating to
patent protection that it was required to meet by the year 2000 under the TRIPS
Agreement. It also brought the Patents Act in conformity with the requirements of
the Patent Cooperation Treaty of WIPO as modified until 2001. The third
amendment to the Patents Act 1970 was introduced through the Patents
(Amendment) Ordinance, 2004 with effect from 1st January, 2005. This Ordinance
was later replaced by the Patents (Amendment) Act 2005 (Act 15 of 2005) on 4th
April, 2005 which was brought into force from 1-1-2005. This amendment obliged
India to grant product patents to drugs and medicines and food and chemical
products. This final amendment brought India in full compliance with its TRIPS
obligations.

Similarly, in the case of trademarks, the governing law in India now is Trade Marks
Act, 1999 brought into force with effect from September 15, 2003 to bring it in
compliance with TRIPS by repealing the Trade and Merchandise Marks Act, 1958.

The Copyright Act, 1957 today is compliant with most international conventions and
treaties in the field of copyrights. India is a member of the Berne Convention of 1886
(as modified at Paris in 1971), the Universal Copyright Convention of 1951 and
TRIPS. Though India is not a member of the Rome Convention of 1961, the Copyright
Act, 1957 is fully compliant with the provisions of this Convention. Two new treaties,
collectively termed as Internet Treaties, were negotiated in 1996 under the auspices
of the World Intellectual Property Organization (WIPO). These treaties are the 'WIPO
Copyrights Treaty (WCT)' and the 'WIPO Performances and Phonograms Treaty
(WPPT)'. These treaties were negotiated essentially to provide for protection of the
rights of copyright holders, performers and producers of phonograms in the Internet
and digital era. India is not a member of these treaties. However, the current set of
amendments placed by the Government before the Parliament seeks to bring the law
in conformity with these treaties as well.

Writing a Scientific Research Report (IMRAD)

IMRaD is an acronym for Introduction, Methods, Results, and Discussion. It describes
the format for the sections of a research report. The IMRaD (or IMRD) format is
often used in the social sciences, as well as in the STEM fields.

“IMRaD” format refers to a paper that is structured by four main sections:

Introduction, Methods, Results, and Discussion. This format is often used for lab
reports as well as for reporting any planned, systematic research in the social
sciences, natural sciences, or engineering and computer sciences.

While IMRaD provides a logical flow and concise structure, the format does not
follow the actual research process. Thus, when it comes to the writing process,
experts recommend structuring manuscripts in the following order (with sections
varying in length):

1. Materials and Methods: This section can be written first while conducting the
experiment.

2. Results: Statistical analyses will provide a better understanding of the study

impact.

3. Introduction: This section should be written after the actual experiment as it can
include brief data on materials and methods.

4. Discussion: Based on the study results, research weaknesses are also a major
component in the Discussion section.

5. Conclusion: It should describe the main research conclusions and their impact.

6. Title: This is one of the most challenging aspects of writing. Thus, researchers are
encouraged to write down a few titles and select one to modify further.

7. Abstract: This part comes last as it should be based on all the previous sections.

Introduction – Make a case for your research

The introduction explains why this research is important or necessary or important.
Begin by describing the problem or situation that motivates the research. Move to
discussing the current state of research in the field; then reveal a “gap” or problem in
the field. Finally, explain how the present research is a solution to that problem or
gap. If the study has hypotheses, they are presented at the end of the introduction.

Methods – What did you do?

The methods section tells readers how you conducted your study. It includes
information about your population, sample, methods, and equipment. The “gold
standard” of the methods section is that it should enable readers to duplicate your
study. Methods sections typically use subheadings; they are written in past tense,
and they use a lot of passive voice. This is typically the least read section of an IMRaD
report.

Results – What did you find?

In this section, you present your findings. Typically, the Results section contains only
the findings, not any explanation of or commentary on the findings (see below).
Results sections are usually written in the past tense. Make sure all tables and
figures are labeled and numbered separately. Captions go above tables and beneath
figures.

Discussion – What does it mean?

In this section, you summarize your main findings, comment on those findings (see
below), and connect them to other research. You also discuss limitations of your
study, and use these limitations as reasons to suggest additional, future research.

Abstract – Summarize the entire study

The abstract for the report comes at the beginning of the paper, but you should write
it after you have drafted the full report. The abstract provides a very short overview
of the entire paper, including a sentence or two about the report’s purpose and
importance, a sentence or two about your methods, a few sentences that present the
main findings, and a sentence or two about the implications of your findings. (See
our handout on Writing Abstracts.)

Reporting versus Commenting on your Findings

In the Results section, you simply report your findings. In the Discussion section, you
comment on them.

Report 1. Refer to your table or figure and state the main trend
(Results Table 3 shows that Spam Filter A correctly filtered more junk emails
section) than Filter B
2. Support the trend with data
Filter A correctly filtered.... The average difference is....
3. (If needed) Note any additional, secondary trends and support
them with data
In addition.... Figure 1 also shows....
4. (If needed) Note any exceptions to your main trends or
unexpected outcomes.
However....
Comment 1. (If needed) Provide an explanation
 (Discussio A feasible explanation is.... This trend can be explained by....
n section) 2. (If needed) Compare to other research
X is consistent with X’s finding... In contrast, Y found....
3. (If needed) Evaluate whether the findings support or contradict a
hypothesis
4. State the bottom line: what does the data mean?
These findings overall suggest.... These data indicate....

Common problems in IMRAD drafts:

 The Abstract does not provide a clear statement of the main findings.
 The Introduction does not communicate clearly why the research is
important.
 The Methods section is not detailed enough or is disorganized.
 The Results section provides comments and explanations instead of simply
reporting results.
Introduction: The Introduction is one of the essential parts of a manuscript as it
describes the research problem of interest. This section provides relevant
background information and describes the purpose of the study; including current
cite reviews of conflicting results. When it comes to research aims, researchers must
conduct clinical trials to fill a gap in the existing knowledge by reducing waste and
increasing research value. Additionally, authors can include a few sentences about
the study procedure.

Materials and Methods: The Materials and Methods section describes the study
procedure and methodologies. Note that this part should be written in the past
tense. Methods and Materials should be detailed enough to facilitate reproducibility.
As explained earlier, reproducible research is crucial as it’s a mark of credibility and
ethical responsibility. Reproducible research is particularly relevant in big data
research. Thus, the authors must present all the methods and statistical procedures
employed in their study. To improve readability, different subheadings (for each
methodology) can be included.

Results: The Results section should follow a logical order, which is usually arranged
in order of importance. Authors can use subheadings to separate the data. Note that
this section does not include any interpretations or implications, but the study
results and their statistical importance (including p values). Visuals and display
items (e.g., tables, charts) can also convey vital data and facilitate readability.

Discussion and Conclusions: The Discussion section should explain the meaning of the
study results. In this section, authors should state if their findings are consistent with
existing research or contrasting with previous studies. Inconclusive results and
limitations are also essential in objective science as they highlight the need for
additional experiments and future research. In fact, researchers should always discuss
how their study expands on previous findings and contributes to existing scientific
knowledge.

Citation and Acknowledgement

This usually follows the Discussion and Conclusions sections. Its purpose is to thank all
of the people who helped with the research but did not qualify for authorship (check the
target journal’s Instructions for Authors for authorship guidelines). Acknowledge
anyone who provided intellectual assistance, technical help (including with writing and
editing), or special equipment or materials.
A citation is both a signpost and an acknowledgement. As a signpost, it signals the
location of your source. As an acknowledgement, it reveals that you are indebted to that
source. A citation can appear in different formats: within the text (in-text citation) at the
bottom of the page (footnotes), or at the end of the paper (endnotes). Different
disciplines use different formats. The mechanics of citing are complicated, and vary in
each format. To answer specific questions on the mechanics of citation, please consult
sources describing each type. You may find it most useful to think about how citations
function as a way for you as a writer to communicate with your reader. By using
citations, you keep the reader always apprised of whose idea or words you are using at
any given time in each sentence and in each paragraph. Three Reasons Why Citation is
Important Citation is important because it is the basis of academics, that is, the pursuit
of knowledge. In the academic endeavor, individuals look at evidence and reason about
that evidence in their own individual ways. That is, taking what is already known,
established, or thought, they use their reasoning power to create new knowledge. In
creating this knowledge, they must cite their sources accurately for three main reasons:

Reason One: Because ideas are the currency of academia First, citing sources is
important because the currency of academia is ideas. As a result, academics want to
accumulate that currency; they want to get credit for their contributions. When a writer
cites ideas, that writer honors those who initiated the ideas.

Reason Two: Because failing to cite violates the rights of the person who originated the
idea Second, keeping track of sources is important because, if you use someone else's
idea without giving credit, you violate that person's ownership of the idea. To
understand this violation, envision the following scenario: You and your friend are
discussing some ideas from class during lunch one day, and you make what you consider
to be a particularly insightful observation. During class discussion that afternoon, your
friend brings up your observation but neglects to point out that it is yours, not his. The
professor beams and compliments your friend on his clear and insightful thinking. In
this scenario, you likely feel that there's something unfair about your friend’s implicit
claim that your idea was his or her own. After all, you had been thinking about the idea,
perhaps had devoted time to developing it, and you are not getting credit for it. Worse,
someone else is. That sense of violation you feel, the sense that something valuable has
been stolen from you, suggests why failure to cite sources hurts another person.

The Importance of Citation - 2 - Reason Three: Because academics need to be able to

trace the geneology of ideas Third, keeping track of sources is important because
academics value being able to trace the way ideas develop. Consider the scientist who
looks at an experiment described in a new publication, and then decides to perform an
experiment to extend the results. At the same time, other scientists are planning
experiments to test the findings, to contest the findings, to relate the findings to their
own research: all of these "second generation" experiments owe their inspiration to the
original idea. If another person reads one of the "second generation" ideas, proper
citation will allow that person to explore the original publication to trace the way the
idea has developed. In general, scholars must be able to trace how ideas develop in
order to consider, think about, and test them accurately. So giving credit to the original
source of ideas is the right thing to do, as well as the basis on which academia is built.
For more discussion on the ethical responsibilities of scientists in citing sources, sharing
credit, and other matters, please see On Being a Scientist: Responsible Conduct in
Research, Second Edition (National Academy of Sciences, National Academy of
Engineering, Institute of Medicine 1995). These three reasons suggest why it is
important both to cite sources and to use them well. And neither is easy. You will learn
about how to cite, when to cite, and why to cite throughout your college career. Your
work in the tutorial is intended only to help you begin to consider these complicated
questions.

Plagiarism:

Plagiarism is basically using someone else’s words or ideas as your own without
attributing it to the original source. It is akin to stealing intellectual property as it is
appropriating credit for other people’s ideas or sentences. It is an act of intellectual
dishonesty. It is protected by laws of the land.
Three attributes that are sacrosanct for any publishing house are:
• Credibility
• Reliability
• Professionalism
A good publishing firm will always stick to ethical values as ultimately that is its biggest
strength. This is also what serious readers want. They want original and reliable content
and not content that has been “lifted” from another published work or even from an
independent writer who has written this elsewhere and has just recycled it.

It is plagiarism when a writer picks up information gathered by another writer and

weaves it into his story without crediting the original source. It is plagiarism when
sentences and paragraphs are copied and woven into your article. It is plagiarism when
an idea propounded by someone else is picked up and propounded as your idea. It is
just not done. Important values like integrity and credibility get damaged when there
are charges of plagiarism. It dents the reputation of both the writer and the publishing
house.

Plagiarism destroys the reputation of the writer and the publishing house that carries
that work. Once it is detected, both will find it extremely difficult to regain their
reputation. Readers will always suspect them even if they stick to the truth as they
would suspect it has been lifted from elsewhere.
With so much of content floating around and with information available on anything
imaginable, the temptation to just lift material is huge. Those who do it also feel that
they will not be caught. But today, there is easily available software on the internet itself
to detect plagiarism in minutes. Many careers have been cut short even before they
started as they were caught pushing content written by
others as their own. It is also very easy for any reader to figure out if you have lifted
material using search engines for detection. Educational institutions now use this
software to detect plagiarism by students in their assignments.

AVOIDING PLAGIARISM IN WRITING

One of the ways that will help is to organize your research in such a way that when you
pick up some material, you must immediately make a note of it so that you will end up
attributing it. Also, write everything in your own words even if you find material which
is well-written and you feel it is ideal to use it.
One way of not falling into the tempting trap of plagiarism is to do your own research. It
will ensure that your information is original. You will also feel good about it. In case you
want to add some vital information that you have not got but someone else has, make
sure to credit it to them. Many Indian websites are now doing this and it has only added
to their credibility.

Plagiarism checking tools:

Some of the paid plagiarism detection software are
 iThenticate (http://www.ithenticate.com )
 Turnitin (https://turnitin.com )
 Ephorus (http://www.ephorus.com )
 Urkund (http://www.urkund.com )
 Plagiarism Scanner (http://www.plagiarismscanner.com )
Some examples of free online software are
 Duplichecker Checker (http://www.duplichecker. Com )
 Viper (http://www.scanmyessay.com )
 Plagium (http://www.plagium.com )
  Plagiarism Checker (http://www.plagiarismchecker.com)

For professional writers, the best way to avoid plagiarism is to use plagiarism checking
tools like Turnitin after they have finished writing. Then, while doing the final editing,
they can attribute sources of information and quotes. In case you want to quote or even
paraphrase an author’s idea, take care to attribute it right there so that you do not forget
to do it later. If you are doing an academic paper, you could use a citation organization
tool such as Zotero or EndNote. It is better to be safe than sorry. It may be a good idea to
also create a bibliography using a free bibliography generator tool. One of the
advantages of using a plagiarism checker is that you may stumble upon sentences that
you have in your copy that closely resembles something that you read while researching
and unconsciously got into your writing. Resources like Quetext can help you to
compare your work with millions of others. With advanced technology to detect
plagiarism, there is no escape

ATTRIBUTION

Always remember that you must use quotation marks when you are picking up an idea
or concept or comment that someone has made to you. By using quotation marks, you
are making it clear that someone else said it and it is not your thought. You must also
identify who said it. Then it becomes clearly apparent to the reader that you drew on
someone else’s ideas. A lot of facts, data and statistics would come from other published
sources. It is important to tell the reader where you got it from. It adds to the credibility
of the piece and the best thing is that you have not compromised on your sense of ethics.

Types of Plagiarism

Direct Plagiarism: It is Direct Plagiarism when you copy someone else’s work word for
word. Inserting a paragraph as it is without attributing it to its writer is direct
plagiarism. Even if you get someone to write for you and not credit that person, it is
Direct Plagiarism.
Paraphrase Plagiarism: When you make a few minor changes to someone’s work and
then pass it on as your original work, it is Paraphrase Plagiarism. Many think that it is
okay to paraphrase someone else’s work or ideas in your own words. It is certainly not
okay. It is plagiarism if you are not attributing it to the author or thinker. Take care to
ensure that you do not give the feeling that the ideas are yours when they are not.
Mosaic Plagiarism: When you borrow phrases that have been articulated by a source
without using quotation marks and attributing it, it is Mosaic Plagiarism. Many think
they are smart and try to camouflage plagiarism by superficially changing words or
sentences.
Accidental Plagiarism: It is Accidental Plagiarism when citations are not there or when
sources are incorrectly cited as you are careless with your writing, editing and cross
checking.
Self-Plagiarism: If you copy your own work and then submit the same which has
already been published elsewhere without mentioning it, it is Self Plagiarism. Just
changing a sentence here and there or mildly altering its structure is not enough; you
need to have new ideas and concepts for it to be worthy of being published again. One
way to avoid Self Plagiarism is to rewrite the article with a new focus, add new
information, get fresh interviews, add some additional boxes with information and,
maybe, adopt a new style of writing.

Reproducibility and Accountability

Researchers need to apply the principles of openness to all the stages of their research
cycle as a step forward towards Open Science to increase openness, integrity,
collaboration, and reproducibility in scholarly research. Reproducibility, closely related
to replicability and repeatability, is a major principle underpinning the scientific
method. For the findings of a study to be reproducible means that results obtained by
an experiment or an observational study or in a statistical analysis of a data set should
be achieved again with a high degree of reliability when the study is replicated.
Accountability is a central issue in ethics and politics, one closely related to other
concepts such as responsibility, integrity, and authenticity. In ethics, individuals are
held accountable for their actions. In a democracy, citizens of the state ultimately hold
politicians accountable. In both instances, however, there are questions about how such
accountability is to be practiced, and in reference to what standards. Similar questions
arise with regard to accountability in scientific and engineering research. Accountability
in research or research accountability as general terms may thus refer to a range of
concerns and practices related to the philosophies, policies, systems, procedures, and
standards for analyzing and promoting ethical conduct in research.

In the worlds of business, finance, and government, accountability also implies a more
specific reference to accounting in the sense of bookkeeping methods that involve
maintaining the financial records of monetary transactions and the regular preparation
of statements concerning the assets, liabilities, and operating results of some activity. To
assure the accuracy of such financial accounts, one well-developed dimension of the
accounting profession is auditing. Audits review and examine accounts to determine
whether they are reasonably accurate and presented in an understandable manner. The
attempt to adapt such methods from the fields of business and finance to those of
scientific research is called data auditing (DA), and constitutes a special effort to assure
accountability in research.

Unit:4 ENTREPRENEURSHIPS 7 Hours

Opportunities & statutory requirements – information of Government Regulations – Gomasta, Company formation – types, Startups, entrepreneurial

decision process, business opportunities, preparing business plan & feasibility, financing. (Inputs from CA may also be incorporated)

Statutory Requirements for Starting a Business

Starting a new business venture in India is not as easy as it might seem. Several legal
formalities are to be complied with, for both new as well as established businesses and
startups. Some of these formalities include financial regulations, tax obligations as well
as employment law regulations, which are central to the functioning of every business
organization in India.

Entrepreneurs when planning to enter the Indian dimension should make sure that they
are complying with all the legal obligations that the law of the land demands. One of the
most important of these obligations is to get the business legally registered. Once
registered, the next step is to choose the appropriate company/business
structure before starting working on other documentation formalities that are required.
When it comes to business/company structure, individuals should wisely choose their
company/business structure as it allows the venture to operate efficiently and reach the
desired targets and profitability. For starting a company in India, any one of these
following business structures can be opted for, with each presenting its pros and cons:·
 Sole Proprietorship
 Partnership
 Limited Liability Partnership
 OPC (One Person Company)
 Private Limited Company
 Public Limited Company

What are the legal requirements for starting a business ?

From forming a founders’ agreement to protecting intellectual property, entrepreneurs

must be aware and updated about the latest laws governing their business and market.
Some of these crucial legal formalities that entrepreneurs in India should be aware of
before setting up a business venture are:
Deciding on a business name

Once you decide which business structure fulfills your purpose, you are then required to
choose a business name that reflects your venture’s ideology and make sure it is not
already claimed by some other entity. For this, you will have to choose an entity name
that safeguards your entity at the state level, a trademark that safeguards your entity at
the national level and a domain name that gives life to your venture online.

Creation of a founder’s agreement

A Founder’s Agreement is a document that has important details about the founding
members of a venture/business. The document thus acts as an agreement that legally
establishes the rights, ownership, responsibilities, dispute resolution, and other terms
executed between the founders and the company.

Therefore, having a well-drafted Founders Agreement with all the necessary details
forms a solid foundation for the journey of a business. The agreement can also act as the
go-to guide in the case of any disagreements arise.

Acquire all the legal licenses and registrations

Once the Founder’s Agreement is drafted, the authorization to do business is what’s

required next. The authorizations come in the form of legal licenses and registrations.
While some of them are general and are required for all kinds of businesses other are
specialized and are additionally required for certain kinds of businesses. Example
Include:

General registrations:
 GST registration
 Permanent Account Number
 Tax Account Number
 Bank Account
 Shop and Establishments license (License for physical premises to the
commercial establishment)
Specialized registrations:
 IEC code (To do import and export business)
 FSSAI License (To start a food business)
 Kosher Registration (To deal with kosher goods)
  Halal Registration (To deal with Halal goods)
 Other licenses for other types of businesses
Be acquainted with the relevant tax regime and accounting norms

Taxes are an important part of every business and when it comes to India, there are a
wide variety of taxes such as central tax, state tax, and even local taxes that may apply to
some businesses. Since different business and operating sectors attract different taxes,
knowing the relevant text regime well in advance can be quite useful.

There are also various schemes and initiatives such as the Central Government’s
‘Startup India’ initiatives that aim to promote startups, via various exemptions and tax
holidays.

Good knowledge of such initiatives and pro-startup regulations can also come in handy.
A startup can also avail of income tax exemption for 3 years as well as tax exemptions
from capital gains and investments above the Fair Market Value. Therefore, holistic
knowledge of taxation can prove to be fruitful for growth and even expansion.

As far as business accounting is concerned, it is good practice for a business to maintain

proper books of accounts and audit them from time to time ensuring that relevant
accounting and taxation rules are being followed.

For this, having a sound payment and invoicing system can help ensure a clear
accounting system.

Be acquaint with labour laws

Labour laws are part of every organization, small or big. When your venture is
recognized as a company that hires people, your organization is subject to several
labour laws regardless of its scale. These laws govern crucial issues such as minimum
wages, gratuity, PF payment, weekly holidays, maternity benefits, sexual harassment,
and payment of bonus among other key areas.

Safeguard Intellectual Property

Intellectual property is a vital part of most businesses today, especially for tech-centric
ventures. Be it codes, algorithms or even research findings, all these are some of the
common intellectual property owned by an organization.
The creation and the subsequent protection of these intellectual properties are central
to the effective growth of every innovating venture. Therefore, legal know-how in
relation to IPR laws can come in handy at every stage of a venture’s journey.

Startups can also take the advantage of the Scheme for Startups Intellectual Property
Protection (SIPP) under the Startup India initiative, that nurtures and mentor
innovative and emerging technologies and help in its due protection and
commercialization.

Creating a proper business policy

Creating a proper business policy is another step that can take a venture towards
success. It is something that keeps the employees as well as the management focused.
This way desired targeted growth can be easily achieved.

Get business insurance of your choice

Business insurance can safeguard your venture in cases where the personal liability
protections of your venture aren’t enough. Insurance can protect not just your
individual assets, but your business’s assets too. Some types of insurances such as
unemployment and disability insurance are even compulsory by law.

It’s also a wise decision to have avail insurance that protects your startup from other
potential risks. Some of these include general liability insurance, product liability
insurance, commercial property insurance etc.

Have a clear idea about the mode of winding up

Winding up a company is a difficult call to make. When a company decides to shut down,
all the stakeholders, from vendors to investors are needed to be informed in advance
making the entire procedure a task that needs to be thoroughly planned and executed.

From the legal standpoint, there are three ways to wind up:

 Court or Tribunal Route

 Voluntary Closure/ Fast Track Exit Mode
Documents required for starting a business in India

The first step to establish a business in India is to make sure that the documents
required for registration are complete. Any error in documentation can put all the
efforts in vain.
There are a lot of legal formalities and documentation that are necessary for setting up a
business in India. The following are the most crucial documents required:
 Digital Signature Certificate (DSC)
 Director Identification Number (DIN)
 Registration on the MCA Portal
 Certificate of Incorporation
 Commencement of Business Certificate

Along with these documents, you will also need documents that officially represent your
business’s company’s office address, PAN number, GST registration, ROC registration,
Professional Tax registration, Provident Fund registration, and ESIC registration.

Various startup documents are also required to be arranged before starting a startup in
India. Below is the list of those documents:

#1 Bylaws

Bylaws act as sets of rules. They make sure that every startup functions smoothly with
correctness and gives voice to everyone involved in the working.

#2 Memorandum of Understanding

It consists of all formal conversations you have made with suppliers, potential partners
and others involved in the business. An MOU is a good way to lay the terms of a project
or relationship between employees and employers in writing.

#3 Licensing Agreement

A licensing agreement is entered by two parties basically in scenarios such as

maintaining possession of a product or control over an asset and another company/
individual desiring to use the asset.
#4 Non-Disclosure Agreement

It is the first thing that you are required to reach out for when dealing with any client or
investor. It ensures that the privacy of your company, as well as that of the other party,
remains protected.

Aside from aforesaid documents, other startup documents that may assist you in
beginning a startup in India are the Intellectual Property agreement, Employment
agreement, Non-compete agreement etc.

Adhering to legal formalities is very important for any business; knowledge and
compliance to applicable laws is the initial step to ensure smooth business
operations.

The best ways to ensure that your company is always safe and does not face legal
complications and consequences is by hiring professional legal counsel to provide
advice, oversee and maintain legal records.

Entrepreneurial Opportunities

Aspiring entrepreneurs can come up with ideas all day long, but not every idea is
necessarily a good idea. For an idea to be worth pursuing, we must first determine
whether the idea translates into an entrepreneurial opportunity. Entrepreneurial
opportunity is the point at which identifiable consumer demand meets the feasibility of
satisfying the requested product or service. In the field of entrepreneurship, specific
criteria need to be met to move from an idea into an opportunity. It begins with
developing the right mindset—a mindset where the aspiring entrepreneur sharpens
their senses to consumer needs and wants, and conducts research to determine
whether the idea can become a successful new venture.

In some cases, opportunities are found through a deliberate search, especially when
developing new technologies. In other instances, opportunities emerge serendipitously,
through chance. But in most cases, an entrepreneurial opportunity comes about from
recognizing a problem and making a deliberate attempt to solve that problem. The
problem may be difficult and complex, such as landing a person on Mars, or it may be a
much less complicated problem such as making a less expensive and more comfortable
mattress, as companies like Casper and Purple did.
Theories of Opportunity

In the twentieth century, economist Joseph Schumpeter, stated that entrepreneurs

create value “by exploiting a new invention or, more generally, an untried technological
possibility for producing a new commodity or producing an old one in a new way, by
opening up a new source of supply of materials or a new outlet for products, by
reorganizing an industry” or similar means.

According to Schumpeter, entrepreneurial innovation is the disruptive force that

creates and sustains economic growth, though in the process, it can also destroy
established companies, reshape industries, and disrupt employment. He termed this
force creative destruction. Schumpeter described business processes, including the
concept of downsizing, as designed to increase company efficiency. The dynamics of
businesses advances the economy and improves our lifestyle, but the changes
(sometimes through technology) can make other industries or products obsolete. For
instance, Schumpeter provided the example of the railroad changing the way companies
could ship agricultural products quickly across the country by rail and using ice “cold
cars,” while at the same time, destroying the old way of life for many ranchers who
wrangled cattle from one location to their intended commercial destination.

Today, we might think of the displacement of taxi drivers by ride-sharing services such
as Uber and Lyft as a modern-day example of this concept. To own and operate a New
York City cab, for instance, one must buy what is called a taxi medallion, which is
basically the right to own and operate a cab. Drivers take out loans to buy these
medallions, which cost hundreds of thousands of dollars. But now, ride-sharing services
have eaten in to the taxi industry, all but destroying the value of the medallions, and the
ability of taxi drivers to make the same money they were before the popular services
existed. This change has left many taxi drivers in financial ruin.3 Schumpeter argued
that this cyclic destruction and creation was natural in a capitalist system, and that the
entrepreneur was a prime mover of economic growth. To him, the goal was to progress,
and progression starts with finding new ideas. He identified these methods for finding
new business opportunities:

1. Develop a new market for an existing product.

2. Find a new supply of resources that would enable the entrepreneur to produce
the product for less money.
3. Use existing technology to produce an old product in a new way.
4. Use an existing technology to produce a new product.
5. Finally, use new technology to produce a new product.

We can understand theories of opportunity as related to supply or demand, or as

approaches to innovations in the use of technology. The first situation is a demand
opportunity, whereas the remaining situations are supply situations. The final three
incorporate technological innovations. Supply and demand are economic terms relating
to the production of goods.

Supply is the amount of a product or service produced. Demand is the consumer or

user desire for the outputs, the products, or services produced. We can use the ideas
from Schumpeter to identify new opportunities. Our focus is on identifying where the
current or future supply and the current or future demand are not being met or are not
aligned, or where technological innovation can solve a problem.

More recent research has expanded on the concept of technological entrepreneurial

opportunities, identifying several areas: creating new technology, utilizing technology
that has not yet been exploited, identifying and adapting technology to satisfy the needs
of a new market, or applying technology to create a new venture.4

Regardless of which of Schumpeter’s paths entrepreneurs pursue, before investing time

and money, the business landscape requires a thorough investigation to see whether
there is an entrepreneurial opportunity. Remember, entrepreneurial opportunity is the
point at which identifiable consumer demand meets the feasibility of satisfying the
requested product or service. “Feasibility” in this definition includes identifying a sizable
target market interested in the product or service that has sufficient profitability for the
venture’s financial success.

Identifying Opportunity

A good place to begin your entrepreneurial quest is to read as much as you can,
especially with new technology developments, even outside the field you work in.
Remember that as technologies start to emerge, we often do not yet understand their
commercial potential. For example, microwave technology was first applied in radars to
track military submarines. But, thanks to a curious man named Percy Spencer and the
accidental melting of a peanut bar in his pocket one day while tinkering with the
technology, the microwave was born. It would take a few decades for it to be produced
at a price the mass market could afford.5

Think of drones, too. When they were invented, the multiple uses for this technology
were not yet identified. Now, drone technology is being used by real estate firms,
package delivery services, agriculture, underwater search and scientific research,
security, surveillance, and more. Being tuned in to new experiences and information can
lead to identifying opportunities. Entrepreneur Fred Smith found a system to solve the
problem of overnight package delivery in founding Federal Express.6 As a college
student, he wrote a paper for an economics class where he discussed his business idea.
He earned only a C on his paper, by the way. He received his bachelor’s degree in 1966
and went on to found Federal Express a few years later, which, in 2019, generated
almost $70 billion in revenue.7 Prior to starting Federal Express, Smith was in the US
Marine Corps serving in Vietnam where he observed the military’s logistics
systems.8 This is where he honed his interest in shipping products while in the military.
Many entrepreneurs start their business after working for someone else and seeing a
better way to operate that business, and then start their own competing business.

Note that entrepreneurs need to be careful about starting competing businesses.

See Telling Your Entrepreneurial Story and Pitching the Idea and Business Structure
Options: Legal, Tax, and Risk Issues for information on noncompete clauses and
agreements. Indeed, some entrepreneurs, like Smith, conduct research as an idea
percolates, paying attention to new experiences and information to further advance
their idea into an entrepreneurial opportunity. However, they must ensure that the
existing product, service, or business process is not covered by any active and protected
intellectual property (patent, trademark, copyright, or trade secret), as discussed
in Creativity, Innovation, and Invention and Fundamentals of Resource Planning.

Identifying consumer needs may be as simple as listening to customer comments such

as “I wish my virtual orders could be delivered more quickly.” or “I can never seem to
find a comfortable pillow that helps me sleep better.” You can also observe customer
behavior to gather new ideas. If you are already in business, customer feedback can be a
simple form of market research.

When purchasing an existing business or franchise, the process is a bit different. The
first step will usually be searching for a business that suits your experience, personal
preferences, and interests. You will still want to conduct research to understand the
industry, the local market, and the business itself. Then, you will begin to examine all
available company financial data. If purchasing a franchise, you may want to contact
other franchise owners and discuss their experience in working with the franchisor.

Drivers of Opportunity

Some recent drivers for change in the entrepreneurial space include new funding
options, technological advancements, globalization, and industry-specific economics.

 Increased access to capital through social media sources like crowdsourcing (see
the chapter on Problem Solving and Need Recognition Techniques for a more
detailed discussion of crowdsourcing) is having a significant impact on
entrepreneurship in that it enables underserved people and communities—such
as women, veterans, African Americans, and Native Americans, who otherwise
might not be able to start and own a business—to become entrepreneurs.
 Technological advancements continue to provide new opportunities, ranging
from drones to artificial intelligence, advancements in medical care, and access to
learning about new technology. For example, drone technology is being used to
map and photograph real estate, deliver products to customers, and provide
 aerial security and many other services. Cell phones have spawned many new
business opportunities for a wide range of cell phone accessories and related
products, ranging from cell phone cases to apps that help make our cell phones
faster for business and personal use.
 Increased globalization drives entrepreneurship by allowing importing and
exporting to flourish. Globalization also helps spread ideas for new products and
services to a world market instead of a local or regional market. Combined with
the Internet and computer technology, even small businesses can compete and
sell their products around the globe.
 Economic factors could include a strong economy that fuels other businesses. For
example, growth in the housing market fuels growth for many housing-related
products and services, ranging from interior decorating to landscaping as well as
furniture, appliances, and moving services.

Some other economic indicators favor entrepreneurship. According to the 2019

Goldman Sachs Economic Outlook, consumer confidence is up, business confidence is
up, interest rates remain reasonable and steady, more people are working, and wages
are higher. When the economy is strong, there are generally more opportunities
available and more potential customers with money to purchase your products and
services; but of course, there are no guarantees.

Information of Government Regulations

 Each state has its own Shop and Establishment Act. Thus, the shop and
establishment licence varies from state to state. The general provisions of this Shop
and Establishment Act across all states remains the same.

 However, the business owner needs to obtain the license under the Shops and
Establishment Act of the state in which he carries on business.

 Each state has its own Shop and Establishment Act. Thus, the shop and
establishment licence varies from state to state. The general provisions of this
Shop and Establishment Act across all states remains the same.

 However, the business owner needs to obtain the license under the Shops and
Establishment Act of the state in which he carries on business.

The choice regarding types of business for startups plays a pivotal role in shaping the
trajectory of a business in India. Making such a choice requires careful consideration of
factors like registration, ownership structure, and liability of the owners. These factors
distinguish one business type from the other and help you make an informed decision
best suited for your business needs. While registration delineates the formalities and
legal recognition of a venture, ownership structure delineates the distribution of control
and profits among stakeholders.

Liability, on the other hand, defines the extent to which individuals associated with the
business are personally accountable for its obligations. A few common types of business
you may encounter based on these factors include Sole Proprietorship, Partnership
Firms, Limited Liability Partnerships (LLPs), One Person Companies (OPCs), Private
Limited Companies, and Public Limited Companies. Let’s understand each of these
business structures one by one.

Factors Categorizing Types of Business for Startups

Understanding the factors that influence the categorization of different types of startups
in India is crucial for entrepreneurs embarking on their business journey. These factors
not only determine the legal framework within which a business operates but also
impact its operational flexibility, ownership distribution, and liability obligations. By
comprehensively assessing these factors, entrepreneurs can make informed decisions
that align with their business goals and aspirations.

Categorization of the Common Types of Startups in India

1. Registration:

The registration process for each business structure varies, ranging from minimal
formalities for Sole Proprietorships to more comprehensive requirements for corporate
bodies like Private Limited and Public Limited Companies. This process involves
obtaining legal recognition and adhering to regulatory frameworks, ensuring
compliance with applicable laws and regulations. Sole Proprietorships and Partnership
Firms typically involve simpler registration procedures than Limited Liability
Partnerships (LLPs) and Companies, which require registration with regulatory
authorities such as the Registrar of Firms or Companies.

 Sole Proprietorship: Typically involves obtaining necessary licenses and

permits at the local level.
 Partnership Firms: Involves drafting a partnership deed and registering it with
the state’s Registrar of Firms.
  Limited Liability Partnerships (LLPs): Requires incorporation and registration
of LLP Agreement with the Registrar of Companies (RoC).
 Companies: Requires incorporation and registration of MOA & AOA with the
Registrar of Companies (RoC).

2. Ownership Structure:

Ownership structure delineates how ownership interests are distributed and managed
within different types of business in India. Sole Proprietorships are owned and operated
by a single individual, while Partnership firms and LLPs involve multiple partners
sharing ownership and responsibilities according to the terms of a partnership deed.
One-Person Companies (OPCs) allow sole individuals to own and operate separate legal
entities. Private and Public Limited Companies are owned by multiple shareholders who
appoint directors to manage their company’s affairs. Public Limited Companies have
wider ownership through publicly traded shares as well.

 Sole Proprietorship: Owned and managed by a single individual.

 Partnership Firms: Jointly owned and managed by two or more partners.
 Limited Liability Partnerships (LLPs): Owned and managed by partners with
limited liability, similar to traditional partnerships but with the benefit of limited
liability.
 One Person Company (OPC): Owned and managed by a single individual,
providing the benefits of a separate legal entity.
 Private Limited Company: Owned by shareholders who appoint directors to
manage the company’s affairs.
 Public Limited Company: Ownership is dispersed among public shareholders,
with directors managing the company on behalf of shareholders.

3. Liability of Owners:

Liability refers to the legal responsibility of individuals associated with a business for its
obligations and debts. In Sole Proprietorships and Partnership Firms, owners have
unlimited liability, meaning they are personally accountable for business debts. Limited
Liability Partnerships (LLPs) provide partners with limited liability protection,
safeguarding personal assets from business liabilities. Similarly, companies provide
shareholders with limited liability, protecting personal assets from the company’s debts
and obligations.

 Sole Proprietorship and Partnership Firms: Owners have unlimited liability,

meaning they are personally responsible for all business debts and obligations.
 Limited Liability Partnerships (LLPs): Partners have limited liability,
protecting their personal assets from business liabilities.
 Companies: Shareholders’ liability is limited to the extent of their share capital,
safeguarding their personal assets from business debts and obligations.

Common Types of Startups in India

Startups in India have the flexibility to choose from various business structures, each
offering unique advantages and suitability depending on the nature of the venture and
the preferences of the founders. The most common types of business structures include
Sole Proprietorships, Partnership Firms, Limited Liability Partnerships (LLPs), One
Person Companies (OPCs), Private Limited Companies, and Public Limited Companies.
Each structure comes with its own set of characteristics, ranging from simplicity and
autonomy in the case of Sole Proprietorships to enhanced credibility and access to
funding for Private Limited Companies. Understanding the differences between these
structures is crucial for entrepreneurs in making informed decisions about the legal
framework within which their startups will operate.

Sole Proprietorships

Sole Proprietorships are the simplest types of business for startups, where individuals
own and operate their ventures without any distinction in their legal identities. In this
structure, the owner has full control over the operations and decision-making processes,
making it an attractive option for those seeking autonomy in their business ventures.
However, one of the defining features of Sole Proprietorship is the unlimited personal
liability borne by the owner. This means that the owner’s personal assets are at risk to
cover business debts and legal obligations, which can pose a significant risk, especially
in case of financial difficulties or lawsuits.

Sole Proprietorships are well-suited for small-scale businesses and individual

entrepreneurs looking for simplicity and autonomy in running their operations. They
are ideal for businesses with low-risk profiles and limited expansion plans, such as
freelancers, consultants, and small service providers. However, entrepreneurs
considering this structure should carefully weigh the benefits and drawbacks and assess
their risk tolerance before proceeding, as the unlimited liability aspect can have
significant implications for their personal finances and assets.

Advantages:

 Easy to Set Up
 Minimum Legal Formalities
 Full Control over Management & Decision Making
 Simplicity in Taxation
 Low Cost of Compliance
Disadvantages:

 Unlimited Liability for the Sole Owner

 Personal Assets at Risk of Loss
 Challenges in Receiving Funds
 Limited Growth Potential
 Less Credible
 No Distinct Legal Identity
 Lack of Continued Existence

Partnership Firms

Partnership Firms are common types of business in India where two or more
individuals join together to carry out operations and gain profits. In this structure,
partners share ownership, management responsibilities, and profits according to the
terms outlined in a partnership deed. Partnership Firms can be formed with relative
ease, requiring a written agreement between the partners detailing aspects such as
profit-sharing ratios, roles and responsibilities, and decision-making processes. This
agreement is essential for defining the terms of the partnership, and ensuring
transparency in business operations.

Partnership Firms are well-suited for small to medium-sized businesses, professional

practices, and entrepreneurial ventures where partners wish to collaborate and share
resources, including risks. They are particularly common in industries such as legal,
accounting, consulting, and healthcare, where professionals come together to form
partnerships based on shared expertise and client networks. However, potential
partners should carefully consider the implications of unlimited liability and the
importance of a well-drafted partnership agreement to mitigate risks and ensure
smooth business operations.

Advantages:

 Pooled Resources & Financial Contribution

 Diverse Skills & Expertise
 Pass-through Taxation
 Flexibility in Management
 Low Cost of Compliance
Disadvantages:

 Shared Yet Unlimited Liability for Partners

 Personal Assets of Partners at Risk of Loss
 Frequent Conflicts can Lead to Delayed Decision-Making Process
 Difficult to Transfer Ownership
 Challenges in Raising Funds
 Lack of Continued Existence

Limited Liability Partnership (LLP)

Limited Liability Partnerships (LLPs) are a relatively recent addition to the business
landscape in India, offering a hybrid structure that combines elements of traditional
partnerships and companies. LLPs provide partners with limited liability protection,
shielding personal assets from business debts and obligations, while also allowing
flexibility in management and taxation. This structure is particularly attractive for
professionals and service-based businesses seeking to limit personal liability without
the stringent compliance requirements of companies.

LLPs are formed by registering with the Registrar of Companies (RoC), requiring the
submission of incorporation documents and compliance with statutory requirements.
Unlike traditional partnerships, LLPs have a separate legal identity, allowing them to
enter into contracts, own assets, and sue or be sued in their own name. Partners in an
LLP are not personally liable for the debts and obligations of the business beyond their
agreed contribution, providing them with a degree of financial security and risk
mitigation.

Advantages:

 Limited Liability for Partners

 Flexible Management
 Distinct Legal Identity of Business
 Separate Authority to Control Management
 Low Cost of Compliance
 Perpetual Existence
Disadvantages:

 Significant Cost of Incorporation

 Limited Access to Capital
 Public Disclosure of Financial Information
 No Option for Equity Investment
 High Income Tax Rates
 Hefty Penalties for Non-Compliance

One Person Companies (OPCs)

One Person Companies (OPCs) are unique types of Startups in India meant for sole
entrepreneurs who wish to start ventures with limited liability protection. In an OPC, a
single individual holds 100% ownership and controls the entire business, similar to a
Sole Proprietorship. However, unlike a Sole Proprietorship, an OPC provides limited
liability protection to the owner, safeguarding personal assets from business debts and
obligations.

One-person companies (OPCs) are well-suited for individual entrepreneurs and small
business owners looking for limited liability protection and formal recognition of their
business entity. They are particularly suitable for professionals, freelancers, and solo
entrepreneurs operating in industries such as consulting, IT services, and creative
industries. However, potential owners should carefully consider the regulatory
requirements and compliance obligations associated with OPCs and seek professional
advice to ensure compliance and mitigate risks effectively.

Advantages:
  Distinct Legal Identity
 Limited Liability for Sole Owner
 100% Share in Profits for Sole Owner
 Perpetual Succession
 Easy Access to Funding
 Enhanced Credibility & Transparency in Operations
 Full Control in Decision-Making Process
 Perpetual Succession through Nominee
 Low Taxation Rates
 Shareholder relieved from Involvement in Day-to-Day Management
Disadvantages:

 High Cost of Compliance

 Sole Owner Bears the Entire Capital Burden
 Public Disclosure of Financial Information
 Suitable for Small Businesses
 Foreign Ownership Prohibited
 Restrictions in Business Activities

Private Limited Companies

Private Limited Companies are one of the most popular types of business in India,
known for offering limited liability protection to shareholders. These shareholders hold
the ownership of the company via shares allocated through private placement. The
company is managed by directors and the core decisions are collectively taken by the
Board. The shareholders are generally not involved in the company’s day-to-day affairs.
The liability of shareholders is limited to the extent of their shareholding in the
company. This means that shareholders’ personal assets are protected from business
debts and obligations. Limited liability also enhances the credibility and trustworthiness
of the company, making it an attractive option for funding from investors, lenders, and
business partners.

Private Limited Companies are well-suited for entrepreneurs and businesses looking for
limited liability protection, credibility, and flexibility in ownership and management.
They are particularly suitable for medium to large-sized enterprises operating in
industries such as manufacturing, technology, and services. However, potential owners
should carefully consider the regulatory requirements and compliance obligations
associated with Private Limited Companies and seek professional advice to ensure
compliance and mitigate risks effectively.

Advantages:

 Distinct Legal Identity

 Shared and Limited Liability for Shareholders
 Perpetual Succession
 Easy Access to Funding
 High Growth Potential
 Enhanced Credibility & Transparency in Operations
 Perpetual Succession
 Low Taxation Rates
 Shareholder relieved from Involvement in Day-to-Day Management
Disadvantages:

 High Cost of Incorporation

 High Cost of Compliance
 Public Disclosure of Financial Information
 Restricted Transfer of Shares
 Sale of Shares Prohibited to the Public
 Exhaustive Decision-Making Process

Public Limited Companies

Public Limited Companies are prestigious types of business for startups known for their
ability to raise capital from the public through the issuance of shares on stock exchange
markets. In a Public Limited Company, ownership is divided into shares held by
shareholders, and the company is managed by directors appointed by the shareholders.
This structure allows for separation between ownership and management, providing
stability and continuity to the business. The core feature of a Public Limited Company is
limited liability, where the liability of shareholders is limited to the extent of their
shareholding in the company. This means that shareholders’ personal assets are
protected from business debts and obligations.
Public Limited Companies are well-suited for established businesses seeking to raise
significant capital from the public and enhance their visibility and credibility in the
market. They are particularly suitable for large corporations operating in industries
such as finance, telecommunications, and manufacturing. However, potential owners
should carefully consider the regulatory requirements and compliance obligations
associated with Public Limited Companies and seek professional advice to ensure
compliance and mitigate risks effectively.

Advantages:

 Distinct Legal Identity

 Shared and Limited Liability for Shareholders
 Perpetual Succession
 Free and Public Transfer of Shares
 High Growth Potential
 Enhanced Credibility & Transparency in Operations
 Perpetual Succession
 Low Taxation Rates
 Shareholder relieved from Involvement in Day-to-Day Management
Disadvantages:

 High Cost of Incorporation

 High Cost of Compliance
 Stringent Regulatory Requirements from RBI & SEBI
 Public Disclosure of Financial Information
 Exhaustive Decision-Making Process

Process for StartUps

Startups are booming in India. The government is also supporting young entrepreneurs
to establish startups. Startups help to boost the country's economy. A startup is a
business that offers innovative products or services that provide solutions to a
problem existing in society. A startup may also redevelop a current product or service
into something better.
Steps to Register Your Startup
Step 1: Incorporate your Business

You must first incorporate your business as a Private Limited Company, Partnership
firm or a Limited Liability Partnership. You have to follow all the normal procedures for
registration of any business like submitting the registration application and obtaining
the Certificate of Incorporation/Partnership registration.

You can incorporate a Private Limited Company or a Limited Liability Partnership

(LLP) by filing the registration application to the Registrar of Companies (ROC) of your
region. You can establish a Partnership Firm by filing the application for registration of
your firm with the Registrar of Firms of your area. You need to submit the required
documents and fees to the Registrar of Companies or Registrar of Firms along with the
registration application.

Step 2: Register with Startup India

Then the business must be registered as a startup. The entire process is simple and
online. Visit the Startup India website and click on the ‘Register’ button as shown below.
Enter your name, email ID, mobile number, password and click on the ‘Register’ button.

Next, enter the OTP which is sent to your email and other details like, the type of user,
name and stage of the startup, etc., and click on the ‘Submit’ button. After entering these
details, the Startup India profile is created.

Once your profile is created on the website, startups can apply for various acceleration
and incubator/mentorship programmes on the website, along with getting access to
learning resources, funding options, government schemes and market access.

Step 3: Get DPIIT Recognition

The next step after creating the profile on the Startup India Website is to avail the
Department for Promotion of Industry and Internal Trade (DPIIT) Recognition. This
recognition helps the startups to avail benefits like access to high-quality intellectual
property services and resources, relaxation in public procurement norms, self-
certification under labour and environment laws, easy winding of company, access to
Fund of Funds, tax exemption for 3 consecutive years and tax exemption on investment
above fair market value. On the next page, click on ‘Apply Now'. It will redirect to
the National Single Window System (NSWS) website. Companies and LLPs should
register on the NSWS website, add form ‘Registration as a Startup’ and fill ‘Startup
Recognition Form’ to get DPIIT recognition.

For getting DPIIT Recognition, log in with your registered profile (account) credentials
on the Startup India website and click on the ‘Apply for DPIIT Recognition' option under
the ‘Recognition’ tab.

Step 4: Recognition Application

On the ‘Startup Recognition Form’, you need to fill the details such as the entity details,
full address (office), authorised representative details, directors/partner details,
information required, startup activities and self-certification. Click on the plus sign on
the right-hand side of the form and enter each section of the form. After entering all the
sections of the ‘Startup Recognition Form’, accept the terms and conditions and click on
the ‘Submit’ button.

Step 5: Documents for Registration

 Incorporation/Registration Certificate of your startup

 Proof of funding, if any
 Authorisation letter of the authorised representative of the company, LLP
or partnership firm
 Proof of concept like pitch deck/website link/video (in case of a validation/
early traction/scaling stage startup)
 Patent and trademark details, if any
 List of awards or certificates of recognition, if any
 PAN Number

Step 6: Recognition Number

That’s it! On applying you will get a recognition number for your startup. The certificate
of recognition will be issued after the examination of all your documents which is
usually done within 2 days after submitting the details online.
Step 7: Other Areas

Patents, trademarks and/or design registration: If you need a patent for your
innovation or a trademark for your business, you can easily approach any from the list
of facilitators issued by the government. You will need to bear only the statutory fees
thus getting an 80% reduction in fees.

Funding: One of the key challenges faced by many startups has been accessing finance.
Due to lack of experience, security or existing cash flows, entrepreneurs fail to attract
investors. Besides, the high-risk nature of startups, as a significant percentage fail to
take off, puts off many investors.

In order to provide funding support, the Government has set up a Startup India Seed
Fund Scheme (SISFS) on 21.01.2021 with an outlay of Rs.945 crore to provide financial
assistance to startups in the next 4 years.

Self Certification Under Employment and Labour Laws: Startups can self certify
under labour laws and environment laws so that their compliance costs are reduced.
Self-certification is provided to reduce regulatory burden thereby allowing them to
focus on their core business. Startups are allowed to self-certify their compliances
under 6 labour laws and 3 environment laws for a period of 3 to 5 years from the date of
incorporation.

Units operating under 36 white category industries as published on the website of the
Central Pollution Control Board do not require clearance under 3 environment-related
Acts for 3 years.

Tax Exemption: Startups are exempted from income tax for 3 years. But to avail
these benefits, they must be certified by the Inter-Ministerial Board (IMB). The Startups
incorporated on or after 1st April 2016 can apply for the income tax exemption.

Key Features of the Fund of Funds

 The Fund of Funds shall be managed by the Small Industries Development

Bank of India (SIDBI)
 Life Insurance Corporation (LIC) shall be a co-investor in the Fund of Funds
 The Fund of Funds shall contribute to a maximum of 50% of the SEBI
registered Venture Funds (“daughter funds”). In order to be able to receive
the contribution, the daughter fund should have already raised the balance
 50%. The Fund of Funds shall have representatives on the board of the
venture fund based on the contribution made.
 The Fund shall ensure support to a broad mix of sectors such as
manufacturing, agriculture, health, education, etc.

It’s very easy to register as a startup thanks to the various government initiatives.
However, you can focus on your key area while we at ClearTax help you from start to
finish right from incorporating your company to getting your startup recognition.

Preparing the Business

Plan The business plan is the key ingredient for a successful business and is often
ignored. This session shows you how to create an individualized business plan, and
provides the tools to make it easy.

 What is a Business Plan?

Why prepare a business plan?

What to avoid in your business plan

 Business Plan Format

Vision statement
The people
Business profile
Economic assessment

 Eight Steps to a Great Business Plan

Set time aside to prepare

Focus and refine concept
Gather data
Outline the specifics of your business
Include experience
Put your plan into a compelling form
Enhance with graphics
Share draft with trusted advisers

 Does Your Plan Include the Following Necessary Factors

A sound business concept

Understanding your market
Healthy, growing and stable industry
Capable management
Able financial control
Consistent business focus
Mindset to anticipate change
Plans for online business

What Is A Business Plan?

The primary value of your business plan will be to create a written outline that
evaluates all aspects of the economic viability of your business venture including a
description and analysis of your business prospects. We believe that preparing and
maintaining a business plan is important for any business regardless of its size or
nature. But it will not ensure your success. If you maintain a correct assessment of the
changing economics of your business, your plan will provide a useful roadmap as well as
a financing tool. But if you have miscalculated the potential, then your business plan
could become a roadmap leading to failure.

Since the My Own Business Institute (MOBI) course is broken down into fifteen of the
most important topics to consider in starting or operating a business, your business
plan can easily be organized into this same format. You can download the business plan
template included in this session, fill it in and print.

Search engines, libraries and bookstores provide sources that sell ready-made plans for
specific businesses. But it is our recommendation that you be sole author of your plan.
Write out the plan yourself, in your own words.

Keep in mind that creating a business plan is an essential step for any prudent
entrepreneur to take, regardless of the size of the business. This step is too often
skipped, but we have made it easy for you by providing this ready format to build your
plan as you progress through this course.

Be aware now that most start-up entrepreneurs are reluctant to write down their
business plan. It is, therefore, strongly recommended that you complete each segment of
the plan as you progress through this course.
Do not expect that all of your plan's initial assumptions will be correct. Instead, look at
your business plan as an ongoing assessment that you will frequently review and change
to conform to actual operating experiences. For example, your cash flow projection
should be updated frequently to ensure ongoing liquidity (not running out of cash).

Your business plan will become your roadmap to chart the course of your business. But
at the outset you cannot predict all of the changing conditions that will surface. So after
you have opened for business, it is important that you periodically review and update
your plan.
Why Prepare A Business Plan?
Your business plan is going to be useful in a number of ways.

 First and foremost, it will define and focus your objective using appropriate
information and analysis.
 You can use it as a selling tool in dealing with important relationships including your
lenders, investors and banks.
 Your business plan can uncover omissions and/or weaknesses in your planning
process.
 You can use the plan to solicit opinions and advice from people, including those in your
intended field of business, who will freely give you invaluable advice. Too often,
entrepreneurs forge ahead ("My Way!") without the benefit of input from experts who
could save them from potentially disastrous mistakes. "My Way" is a great song, but in
practice can result in unnecessary hardships. To help get started in lining up
appointments, you can fill in and use the Key People to Review My Business Plan
template. People to meet with include your investors, family members, banker, lawyer,
attorney, business mentors, trusted business friends, potential customers, competitors
(distant ones), potential landlords, and the U.S. Small Business Administration.

What to Avoid in Your Business Plan

Place some reasonable limits on long-term, future projections. (Long-term means over
one year.) At this point, stick with short-term objectives and modify the plan as your
business progresses. Too often, long-range planning becomes meaningless because the
reality of your business can be different from your initial concept.

Avoid optimism. In fact, to offset optimism, be extremely conservative in predicting

capital requirements, timelines, sales and profits. Few business plans correctly
anticipate how much money and time will be required. Avoid language or explanations
that are difficult to understand. Spell out your strategies in the event of business
adversities.

Don't depend entirely on the uniqueness of your business or even a patented invention.
Success comes to those who start businesses with great economics and not necessarily
great inventions.

Eight Steps To A Great Business Plan

Start-up entrepreneurs often have difficulty writing out business plans. This discipline is
going to help you in many ways so don't skip this planning tool! To make it easier, here
are eight steps that will produce a worthwhile plan:

1. Set time aside to prepare your business plan as you work through the MOBI courses.
2. Focus and refine your concept based on the information you have collected.
3. Gather all the data you can on the feasibility and the specifics of your business
concept.
4. Outline the specifics of your business, using a "what, where, why, how" approach.
5. Include your experience, education and personal information.
6. Fill in the templates at the end of each session. Use clear language and realistic
projections.
7. You may wish to enhance your presentation with bar charts, pie charts and graphics.
8. Share a draft of your plan with trusted advisers. Use their feedback to improve the
plan.

feasibility
Companies often have problems that can be solved through a variety of solutions, and
they need to pick the best approach. A feasibility report can help you evaluate the
feasibility of different solutions to help you choose the best one. If your company needs
to choose the best path for a project or solution for a problem, it's useful to know how to
prepare a feasibility report.

What is feasibility report?

A feasibility report aims to determine the feasibility of solutions or project paths and
choose the best option. The feasibility report serves to break down different approaches
to a problem or project and help readers understand the feasibility of each approach.
Based on the evaluation outlined in the report, readers can decide whether to take the
report's recommendation of the best approach. This thorough analysis of different
approaches can help companies make the best possible decisions on projects and
problems.

What is the purpose of feasibility report?

A feasibility report aims to determine the feasibility of solutions or project paths and
choose the best option. The feasibility report serves to break down different approaches
to a problem or project and help readers understand the feasibility of each approach.
Based on the evaluation outlined in the report, readers can decide whether to take the
report's recommendation of the best approach. This thorough analysis of different
approaches can help companies make the best possible decisions on projects and
problems.

FINANCIAL ASPECTS OF BUSINESS PLAN

Finance is a business function that uses numbers and analytical tools to help managers
make better decisions. Every business owner must learn at least basic finance principles
to effectively run his company. Finance helps management gain a clear understanding of
the company’s current financial position, particularly whether the business is profitable
or not. Companies of all sizes benefit from thorough financial planning to guide the
business steadily down the path to future growth.

Forecasting And Planning

During the planning process, management determines numerical goals for the upcoming
12 months, or in the case of a long-range plan, for three years or more. Company
management then maps out the actions that need to be taken, and the timeframe, for the
goals to be reached. Finance comes into play when the action steps are converted to
forecast numbers for revenues and expenses. Managers with financial planning
expertise are able to create forecasts that are attainable yet aggressive. They must also
have sufficient understanding about company operations to build spreadsheet financial
models based on assumptions that are realistic.

Accounting And Measuring Results

Accounting is the branch of finance responsible for recording financial data and
generating financial statements that show the company’s operating results, as well as
other critical functions such as tax compliance. Accounting has its own set of rules and
standards for the recording of financial information and the presentation of results,
called Generally Accepted Accounting Principles, or GAAP. Strict compliance with the
standards allows company management to be assured the statements they receive are
complete and accurate. Finance goes one step further and interprets the results.
Variance analysis is done to compare actual results to forecast and uncover the reasons
for negative or positive deviations. Finance staff members compare the company’s
financial results to those of other companies in the industry to see whether the company
is performing above or below average, compared with its peers.

Monitoring Cash Position

All businesses, particularly smaller ones that do not have large cash reserves or
borrowing capacity, must always keep an eye on their cash position -- the inflows and
outflows of cash. The finance department is charged with forecasting cash flow to
prevent potentially disruptive shortages of cash. In a small company this can mean
serious problems, such as not being able to pay employees at the end of the week.
Investing surplus cash to achieve a maximum return is also part of the finance function.
In larger companies these investment activities take place on a daily basis and involve
constant monitoring of the financial markets to select the best investments for such
things as the company’s employee retirement plan.

Analysis for Decision Making

Finance can be likened to a toolbox for company management to use. The tools help
answer questions that management must address when making small and large
decisions. A small decision might be whether to lease or buy a new copy machine. A
large decision for which finance provides guidance could be whether to acquire a
competitor in order to grow the company more quickly. The goal of the data gathering
and sometimes complex financial modeling utilized in finance is to ensure the company
makes the most efficient use of its finite resources, including the capital, human
resources and productive capacity.

How to Write the Financial Section of a Business Plan

An outline of your company's growth strategy is essential to a business plan, but it just
isn't complete without the numbers to back it up. Here's some advice on how to include
things like a sales forecast, expense budget, and cash-flow statement.

How to Write the Financial Section of a Business Plan:

The Purpose of the Financial Section Let's start by explaining what the financial section
of a business plan is not. Realize that the financial section is not the same as accounting.
Many people get confused about this because the financial projections that you include--
profit and loss, balance sheet, and cash flow--look similar to accounting statements your
business generates. But accounting looks back in time, starting today and taking a
historical view. Business planning or forecasting is a forward-looking view, starting
today and going into the future.

The financial plan is one of the most important parts of a professional business plan:
you should have a clear vision of your future business finances from the very beginning.
Of course, it is impossible to predict exact numbers of sales and so on, but you should
know the approximate numbers you expect to get.

Here are the components of the financial part of a business plan:

 Sales forecast.
 Expenses budget.
 Cash flow statement.
 Income projections.
 Assets and liabilities.
 Breakeven analysis.