Attribution and Citation
Attribution and Citation
Citations (references) credit others for their work, while allowing the readers to trace
the source publication if needed. Any portion of someone else’s work or ideas in
papers, patents, or presentations must be used in any new document only by clearly
citing the source. This applies to all forms of written sources in the form of texts,
images, sounds, etc. and failure to do may be considered plagiarism which will be
described in detail in subsequent chapters of this book. One should avoid distress
and embarrassment by learning exactly what to cite. Depending on the exact type
© Springer Nature Singapore Pte Ltd. 2019 23
D. Deb et al., Engineering Research Methodology, Intelligent Systems
Reference Library 153, https://doi.org/10.1007/978-981-13-2947-0_3
24 3 Attributions and Citations: Giving Credit Wherever Due
of material, the researcher may need to give due credit to the creator of the original
source.
The growth of knowledge in any field of study, especially in technological fields,
is primarily incremental and a researcher invariably and naturally builds upon prior
information. There are well-established means of preventing and spreading knowl-
edge through publication of patents, papers (conference paper and the peer-reviewed
journal paper), or articles, and also through textbooks and classrooms. While it is
true that a research needs to leverage the prior art in the area of research interest so
as to make further development, at the same time it is important to ensure that credit
for that existing knowledge is suitably acknowledged.
When a bibliography of previously published patents or papers is placed in the
new works of a researcher, a connection is established between the new and previous
work. As per relevance to context, the researcher provides due credit through the
use of a citation. Citations help the readers to verify the quality and importance of
the new work and justification of the findings. It is a way to tell readers that certain
material in the researcher’s present work has come from another source and as an
ethical responsibility, appropriate credit has been given to the original author or
writer. Materials that can be cited include journal papers, conference proceeding,
books, theses, newspaper articles, websites, or other online resources and personal
communication. Preferably, citations should be given at the end of a sentence or the
end of a paragraph as can be seen even in this particular paragraph. Citation must
contain enough details so that readers can easily find the referenced material [1].1
A researcher needs to cite each source twice: (i) in-text citation, in the text of the
article exactly where the source is quoted or paraphrased, and (ii) a second time in
the references, typically at the end of the chapter or a book or at the end of a research
article. Most citation styles have the same or similar elements, but differ on the order
of elements and layout. Unless otherwise specifically required by a particular journal
or a book, one may choose any style of one’s choice as long as one is consistent.
The citation elements differ and so what is to be recorded can differ from one source
to another. It is also important to mention the date the source was published and
sometimes also the particular date it was accessed by the researcher if it is related to
web content.
LaTeX, a document preparation system often used by engineering researchers to
automatically format documents that comply with standard formatting needs, is very
effective to track and update citations. LaTeX has a steep learning curve and will
be repeatedly used in this book to address different issues pertaining to technical
writing which is intimately linked with research for engineers.
There are three main functions of citation:
(i) Verification function: Authors have a scope for finding intentional or uninten-
tional distortion of research or misleading statements. Citation offers the readers
1 Forinstance, the fact that citations should supply enough details for readers to find the referenced
material is not an original proposition of the author of this book. Therefore, a suitable source such
as the reference in [1] has been cited with all available publication details.
3.1 Citations: Functions and Attributes 25
a chance to ascertain if the original source is justified or not, and if that assertion
is properly described in the present work [2].
(ii) Acknowledgment function: Researchers primarily receive credit for their work
through citations. Citations play crucial role in promotion of individual
researchers and their continued employment. Many reputed organizations and
institutes provide research funding based on the reputations of the researchers.
Citations help all researchers to enhance their reputation and provide detailed
background of the research work.
(iii) Documentation function: Citations are also used to document scientific concepts
and historical progress of any particular technology over the years [3].
Citations are the currency that authors would wish to accumulate and the techni-
cal community gives them credit for these contributions. When other authors make
citations, they honor those who initiated the ideas. Authors demonstrate their com-
prehension skills by identifying, estimating, and incorporating other’s research work
and then create and express their own ideas precisely while acknowledging ownership
of ideas through citation [4].
Authors should cite sources to indicate significance of the work to the reader. Rel-
evant citations help authors develop an easily understandable argument and prevent
the need to navigate through work irrelevant to the reader’s interest areas. Failure to
cite appropriately infringes on the rights of the researcher who did the original work.
There are certain cases when references do not fulfill the actual goal of citations
and acknowledgments, and thus do not benefit the reader.
1. Spurious citations: In certain cases, when citation is not required or an appro-
priate one is not found, if the author nevertheless goes ahead with including one
anyways, it would be considered as a spurious citation. These sorts of citations
do not add any value to the reader in terms of properly understanding the paper.
Such actions result in loss of time of the reader or reviewer in looking for the
cited paper that is otherwise not relevant. Just as due credit should be given to
a paper through citation, inappropriate credit must be avoided so that the credi-
bility of a research work or of the journal or conference proceedings where that
paper is published is not lost through this sort of carelessness [1].
2. Biased citations: When authors cite the work of their friends or colleagues despite
there being no significant connection between the two works, or when they do
not cite work of genuine significance because they do not wish to give credit in
the form of citation to certain individuals, then such actions can be classified as
biased citations. Neglect of citations to prior work whose conclusions or data
contradict the current work is also biased.
3. Self-citations: There is nothing wrong in citing one’s prior work if the citation
is really relevant. Self-citation of prior papers is natural because the latest paper
is often a part of a larger research project which is ongoing. Sometimes, it is
also advantageous for the reader because citations of all the related works of the
same author are given in one paper and this may reduce the effort of the reader in
trying to find the full versions of those papers. However, it is helpful and ethical
only if all the papers are really relevant to the present work [5].
26 3 Attributions and Citations: Giving Credit Wherever Due
However, there can also be negative impact on the journal as well as individual
researchers due to inappropriate and irrelevant self-citations. Self-citations in
such cases may be either spurious or biased or even both. Editors of journals
who ignore such types of citations and allow by negligence or otherwise, to be
included in published materials end up directly or indirectly altering the impact
factor of those publications [6].
4. Coercive citations: Despite shortcomings, impact factors remain a primary
method of quantification of research, as described later in detail in Chap. 10.
One side effect is that it creates an incentive for editors to indulge in coercion
to add citations to the editor’s journal. Even if not explicitly stated, the implied
message is that the author could either add citations or risk rejection [7]. Such
demands consequently diminish the reputation of the journal.
From the above discussions, it is clear that the author(s) must maintain a balance
between too few and too many citations. At the same time, author(s) must give credit
whenever due even if it is their own work.
The citation rate of any research paper depends on various factors including signifi-
cance and availability of the journal, publication types, research area, and importance
of the published research work. Other factors like length of the title, type of the title,
and selected keywords also impact the citation count [8].
Title is the most important attribute of any research paper. It is the main indication
of the research area or subject and is used by researcher as a source of information
during literature survey. Title plays important role in marketing and makes research
papers traceable. A good title is informative, represents a paper effectively to readers,
and gains their attention. Some titles are informative but do not capture attention of
readers, some titles are attractive but not informative or related to the readers’ research
area [9]. The download count and citation of a research paper might be influenced
by title. There are three different aspects which provide a particular behavior to the
title: (i) types of the title, (ii) length of the title, and (iii) presence of specific markers
[10].
Stremersch et al. [11] analyzed title characteristics of the papers published during
1990–2002 in the area of research and studied relationship between title character-
istics and citation, which concluded that title length positively affects the number of
citations. In another study, Sagi and Yechiam [12] found that highly amusing titles
have fewer citations and pleasant titles have no significant relation with citations. In
yet another study, Jacques and Sebire [8] analyzed different papers’ titles and their
citations hit for 25 most-cited and 25 least-cited research and review papers of a
particular genre of journals, and found a strong association between title lengths and
citation rates, with highly cited articles having more than twice as many words in the
title compared with lower cited papers. Jamali and Nikzad [13] analyzed several open
3.2 Impact of Title and Keywords on Citations 27
access papers and found that articles with question-type titles are downloaded more
but poorly cited compared to the descriptive or declarative titles. Declarative titles
are downloaded and cited less than descriptive titles but difference is not much [13].
As per analysis of Habibzadeh and Yadollahie [14], longer titles are strongly associ-
ated with higher citation rates. Longer titles mainly include the study methodology
and/or results in more detail, and so attracts more attention and citations [14].
In general, titles containing a question mark, colon, and reference to a specific
geographical region are associated with lower citation rates, also result-describing
titles usually get citations than method-describing titles. Additionally, review articles
and original articles usually receive more citations than short communication articles.
At least two keywords in the title can increase the chance of finding and reading the
article as well as get more citations.
Keywords represent essential information as well as main content of the article,
which are relevant to the area of research. Search engines, journal, digital libraries,
and indexing services use keywords for categorization of the research topic and to
direct the work to the relevant audience. Keywords are important to ensure that readers
are aware about research articles and their content [15]. If maximum number of
allowable keywords are used, then the chance of the article being found increases and
so does the probability of citation count of the article. Usage of new keywords should
be minimal as such keywords may not be well known to the research community and
so may lead to low visibility of the article.
types of citations. Three articles (X, Y, and Z) and five references (X1, X2, X3, Y1,
and Y2) of article X and Y, respectively, are considered. A, B, and C are authors
of article X, and D, E, F, G, and also A are authors of article Y. Article Z has two
authors H and E. References X1, X2, X3, Y1, and Y2 have authors (A, P), (H, R),
(D), (Q, B, F), and (R), respectively.
Based on co-authorship citation network, references X1 and Y1 are considered
self-citation, reference X3 is a level-1 co-author citation because author of article Y is
direct collaborator of author A, reference X2 is a level-1 co-author network because
author A is collaborator of E who collaborated with H. We conclude that papers
which frequently cite collaborators will also often cite collaborators of collaborators.
Collaborations certainly impact citation counts.
The nature of engineering research has evolved rapidly and now relies heavily on
data to justify claims and provide experimental evidences [20] and so data citations
must fetch proper credit to the creator of the dataset as citations of other objects
like research articles. Data citations should have provisions to give credit and legal
3.3 Knowledge Flow Through Citation 29
Examples:
1. Historical Data, Sotavento (Wind Farm), Corunna, Spain (July 2016): [Accessed:
4 Oct, 2016] Retrieved from http://www.sotaventogalicia.com/en/real-time-data/
historical
2. Deb, D (2016). [Personnel survey]. Unpublished raw data.
Citation styles differ primarily in the order, and syntax of information about refer-
ences, depending on difference in priorities attributed to concision, readability, dates,
authors, and publications. Some of the most common styles for citation (as well as
other aspects of technical writing) used by engineers are as follows:
1. ASCE style (American Society of Civil Engineers)2
(a) Reference list: This part is to be placed in the bibliography or references
at the end of the article or report. A template with example for the same is
given below:
Example:
Wearstler, K., and Bogart, J. (2004). Modern glamour. Regan Books, NY.
Example:
Blade cleaning services (2015): http://www.bladecleaning.com/problematica
(29 Oct, 2016).
Example:
Johnston, L. (2014). “How an Inconvenient Truth Expanded The Climate
Change Dialogue abd Reignited An Ethical Purpose in The United States”.
1–160.
2 http://library.canterbury.ac.nz/services/ref/asce.shtml.
3.3 Knowledge Flow Through Citation 31
(b) In-text citation for journals or books: The following part is to be placed right
after the reference to the source of the citation assignment:
Template
(Author Surname/Website URL Year Published)
Examples:
i. Citation is a very important part of technical writing. (Deb 2016)
ii. Engineers create devices to monitor mountains so that nearby inhab-
itants can be warned of impending eruptions. (Teachengineering.org
2014)
3 http://www.ieee.org/documents/style_manual.pdf.
4 https://www.asme.org/shop/proceedings/conference-publications/references.
32 3 Attributions and Citations: Giving Credit Wherever Due
Every author should know that what should/should not be acknowledged. Author
should acknowledge quotation, ideas, facts, paraphrasing, funding organization, oral
discussion or support, laboratory, and computer work.
(i) Quotation: In technical writing such as in the field of engineering, quotes are
used very rarely. Quotations are of two types:
(a) Direct quotations are used when author use actual words or sentences in the
same order as the original one. Author should use quotation marks for the
words or sentences with proper acknowledgment.
(b) Indirect quotation summarizes or paraphrases the actual quote. In such cases,
it is important to acknowledge with proper name and date.
(ii) Authors should acknowledge people who give appropriate contribution in their
research work. Non-research work contributions are not generally acknowl-
edged in a scientific paper but it may be in a thesis. Persons must be acknowl-
edged by authors, who gave a scientific or technical guidance, take part in
some discussions, or shared information to author. Authors should acknowl-
edge assistants, students, or technicians, who helped experimentally and theo-
retically during the research work.
(iii) If the researcher received grant from a funding agency and if those funds were
used in the work reported in the publication, then such support should always
be acknowledged by providing full details of the funding program and grant
number in the acknowledgment section.
The authors should also gratefully acknowledge use of the services and facilities
of any center or organization with which they are not formally affiliated to [22].
An example of acknowledgment of grant received is as follows:
3.4 Acknowledgments and Attributions 33
Acknowledgments:
This research work was funded in part by the Extra Mural Research Fund-
ing 2014–17 (Individual Centric) of the Department of Science and Tech-
nology (DST), Govt. of India.
If there are any concerns that the provision of the information provided in
acknowledgment may compromise the anonymity dependent on the peer review
policy of a particular journal or conference proceedings, the author(s) may
withhold the acknowledgment information until the submission of the final
accepted manuscript. Many technical journals explicitly discourage authors to
thank the reviewers in their article submissions. This could be construed as
favoritism or an attempt to encourage reviewers to accept their manuscript for
reasons other than scientific merit.
(iv) Acknowledging that results have been presented elsewhere: If the results were
presented as an abstract in a journal, then there should be a suitable citation.
If the results were presented as part of scientific meeting, symposium, or other
gathering, then some relevant information should be provided. At the very least,
the name of the gathering and year should be cited. Other helpful items include
the location of the gathering (city and state or country) and the full date of the
occasion.
By acknowledging all help received in one’s research work, the author(s) demon-
strate integrity as a researcher, which in turn encourages continued collaboration from
those who helped out in different ways. One may also appropriately bolster one’s
colleagues’ careers, as being credited in an acknowledgment section is emerging as
one of many ways a researcher’s professional impact is evaluated.
Acknowledgment is no longer simply a means of expressing gratitude. Funding
agencies these days often require that their grant be acknowledged and explicitly state
the exact information to be provided if the research work leads to a publication. The
grantee is responsible for assuring that an acknowledgment of support is made in any
publication (including websites) of any direct or indirect outcomes from the funded
project. The format of required information is often explicitly stated in the terms and
conditions of grants provided. Acknowledgments are also appropriate in technical
presentations. Failure to acknowledge funding may result in the discontinuation of
current funding and/or ineligibility to receive future funding for a certain number of
years or indefinitely.
Unless the information can be considered “common knowledge,”5 proper attri-
bution of an idea, algorithm, computational methodology, or experimental design is
required even if a journal operates with double-blind review.6
Summary
Citation is a specific form of attribution, but attribution itself can be done in many dif-
ferent ways. For engineers, citation is very useful to their careers due to the prevailing
publish or perish environment. Proper citation and reference:
• Gives credit and respect to the original author(s).
• Allows readers to find the original source(s).
• Strengthens the credibility of your report. If a researcher does not cite the sources,
it is plagiarism.
Plagiarism is using another person’s ideas without giving credit or citation and
is an intellectual theft. Plagiarism comes in varying degrees, and there are serious
consequences for a researcher if caught plagiarizing. All academic and industrial
research organizations have integrity and misconduct policies. Even past one’s time at
a research organization, evidence of plagiarism can affect the integrity and credibility
and can also retrospectively make an earned degree null and void.
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