|| Jai Sri Gurudev |

Sri Adichunchanagiri Shikshana Trust (R)

SJB INSTITUTE OF TECHNOLOGY

Study material
Notes
Subject Name: Research Methodology & Intellectual Property
Rights
Subject Code: 21RMI56
Semester: V
By

Faculty Name: Dr. Pavitra Bai S

Designation: Associate Professor

Department of Information Science & Engineering

Aca. Year: Odd Sem /2023-24
 Module 1

• Introduction: Meaning of Research

• Objectives of Engineering Research
• Motivation in Engineering Research
• Types of Engineering Research
• Finding and Solving a Worthwhile Problem
• Ethics in Engineering Research
• Ethics in Engineering Research Practice
• Types of Research Misconduct
• Ethical Issues Related to Authorship

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
Introduction: Meaning of Research, What Is Research?

Research refers to a careful, well-defined (or redefined), objective, and systematic method of
search for knowledge, or formulation of a theory that is driven by inquisitiveness for that which
is unknown and useful on a particular aspect so as to make an original contribution to expand the
existing knowledge base. Research involves formulation of hypothesis or proposition of solutions,
data analysis, and deductions; and ascertaining whether the conclusions fit the hypothesis.
Research cycle starts with basically a practical problem: one must be clear what the problem being
attempted to solve is and why it is important. This problem motivates a research question without
which one can tend to get lost in a giant swamp of information. The question helps one zero in
onto manageable volume of information, and in turn defines a research project which is an activity
or set of activities that ultimately leads to result or answer, which in turn helps to solve the practical
problem that one started with in the first place as shown in Fig. 1.1.

The building up of background for doing research includes one to acquire the ability to connect
different areas.
The purpose is to prepare the mind for active work as opposed to becoming a repository or an
encyclopedia. Research is not just about reading a lot of books and finding a lot of, gathering a lot
of existing information. It is instead adding, maybe small and specific, yet original, contribution
to that existing body of knowledge. So, research is about how one poses a question which has

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
relevance to the world that we are living in, and while looking for that answer one has to be as
systematic as one can be. There must be a balance between what is achievable in a research
program with a finite endpoint and also, the contribution it is going to make.
The objective of a good research program is to try and gain insight into something. Or indeed, to
try and solve a problem. Good research questions develop throughout the project actually and one
can even keep modifying them. Through research, one would like to make, or develop, new
knowledge about the world around us which can be written down or recorded in some way, and
that knowledge can be accessed through that writing or recording.

The categories of knowledge in research

The ways of developing and accessing knowledge come in three, somewhat overlapping,
broad categories:
(i) Observation is the most fundamental way of obtaining information from a source, and it could
be significant in itself if the thing that we are trying to observe is really strange or exciting or is
difficult to observe. Observation takes different forms from something like measurements in a
laboratory to a survey among a group of subjects to the time it takes for a firmware routine to run.
Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
The observational data often needs to be processed in some form and this leads to the second
category of knowledge, the model.
(ii) Models are approximated, often simplified ways of describing sometimes very complex
interactions in the form of a statistical relationship, a figure, or a set of mathematical equations.
For instance, the modeling equation captures the relationship between different attributes or the
behavior of the device in an abstract form and enables us to understand the observed phenomena.
(iii) The final category is a way of arranging or doing things through processes, algorithms,
procedures, arrangements, or reference designs, to get a certain desired result.
The categories of knowledge as enumerated above are shown in Fig. 1.2.
1.1 Objectives of Engineering Research
The objective of engineering research is to solve new and important problems, and since the
conclusion at the end of one’s research outcome has to be new, but when one starts, the conclusion
is unknown. So, the start itself is tricky, one may say. The answer is, based on “circumstantial
evidence”, intuition, and imagination, one guesses what may be a possible conclusion. A guess
gives a target to work toward, and after initial attempts, it may turn out that the guess is incorrect.
But the work may suggest new worthy avenues or targets which may be based on some
modifications of the initial target, or may need new techniques, or one may obtain negative results
which may render the initial target or some other targets as not realizable, or may
lead to fortunate discoveries while looking for something else.
Research objectives can sometimes be convoluted and difficult to follow.
Knowing where and how to find different types of information helps one solve engineering
problems, in both academic and professional career.
Lack of investigation into engineering guidelines, standards, and best practices result in failures
with severe repercussions. As an engineer, the ability to conduct thorough and accurate research
while clearly communicating the results is extremely important in decision making.
The main aim of the research is to apply scientific approaches to seek answers to open questions,
and although each research study is particularly suited for a certain approach, in general, the
following are different types of research studies:

Exploratory or formulative, descriptive, diagnostic, and hypothesis-testing.

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
The objectives of engineering research should be to develop new theoretical or applied knowledge
and not necessarily limited to obtaining abilities to obtain the desired result. The objectives should
be framed such that in the event of not being able to achieve the desired result that is being sought,
one can fall back to understanding why it is not possible, because that is also a contribution toward
ongoing research in solving that problem. Of course, someone else might come along and actually
propose a different approach where the desired objective is indeed possible to be achieved.

1.2 Motivation in Engineering Research

The possible motives may be the result of one or more of the following desires:
(i) Studies have shown that intrinsic motivations like interest, challenge, learning, meaning,
purpose, are linked to strong creative performance;
(ii) Extrinsic motivating factors like rewards for good work include money, fame, awards, praise,
and status are very strong motivators, but may block creativity. For example: Research outcome
may enable obtaining a patent which is a good way to become rich and famous.
(iii) Influences from others like competition, collaboration, commitment, and encouragement are
also motivating factors in research. For example: my friends are all doing research and so should
I, or, a person that I dislike is doing well and I want to do better.
(iv) Personal motivation in solving unsolved problems, intellectual joy, service to community, and
respectability are all driving factors.
The following factors would be a mix of extrinsic and intrinsic aspects:
(i) Wanting to do better than what has been achieved in the world,
(ii) improve the state of the art in technology
(iii) Contribute to the improvement of society
(iv) Fulfillment of the historical legacy in the immediate sociocultural context.
Several other factors like government directives, funding opportunities in certain areas, and terms
of employment, can motivate people to get involved in engineering research.

1.3 Types of Engineering Research

The different types of research are

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
(i) Descriptive versus Analytical: Descriptive research includes comparative and correlational
methods, and fact-finding inquiries, to effectively describe the present state of art. The researcher
holds no control over the variables; rather only reports as it is. Descriptive research also includes
attempts to determine causes even though the variables cannot be controlled. On the contrary, in
analytical research, already available facts for analysis and critical evaluation are utilized. Some
research studies can be both descriptive and analytical.
(ii) Applied versus Fundamental: Research can either be applied research or fundamental
(basic or pure) research. Applied research seeks to solve an immediate problem facing the
organization, whereas fundamental research is concerned with generalizations and formulation of
a theory. Research concerning natural phenomena or relating to pure mathematics are examples of
fundamental research. Research to identify social or economic trends, or those that find out
whether certain communications will be read and understood are examples of applied research.
The primary objective of applied research is to determine a solution for compelling problems in
actual practice, while basic research is aimed at seeking information which could have a broad
base of applications in the medium to long term.
(iii) Quantitative versus Qualitative: Quantitative research uses statistical observations of a
sufficiently large number of representative cases to draw any conclusions, while qualitative
researchers rely on a few nonrepresentative cases or verbal narrative in behavioral studies such as
clustering effect in intersections in Transportation engineering to make a proposition.

1.4 Finding and Solving a Worthwhile Problem

A researcher may start out with the research problems stated by the Supervisor or posed by others
that are yet to be solved. Alternately, it may involve rethinking of a basic theory, or need to be
formulated or put together from the information provided in a group of papers suggested by the
Supervisor.
Research scholars are faced with the task of finding an appropriate problem on which to begin
their research. Skills needed to accomplish such a task at the outset, while taking care of possible
implications are critically important but often not taught
Once the problem is vaguely identified, the process of literature survey and technical reading,
would take place for more certainty of the worthiness of the intended problem. However, an initial
Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
spark is ideally required before the process of literature survey may duly begin. Sometimes, an
oral presentation by somebody which is followed by asking questions or introspection provides
this perspective which reading papers do not.
At other times, a development in another subject may have produced a tool or a result which has
direct implications to the researcher’s subject and may lead to problem identification.
A worthwhile research problem would have one or more attributes. It could be
nonintuitive/counterintuitive even to someone who knows the area, something that the research
community had been expecting for some time, a major simplification of a central part of the theory,
a new result which would start off a new subject or an area, provides a new method or improves
upon known methods of doing something which has practical applications, or a result which stops
further work in an area.
The researcher has to be convinced that the problem is worthwhile before beginning to tackle it
because best efforts come when the work is worth doing, and the problem and/or solution has a
better chance of being accepted by the research community.
Not all problems that one solves will be great, and sometimes major advancements are made
through solutions to small problems dealt with effectively.
Some problems are universally considered hard and open and have deep implications and
connections to different concepts. The reality is that most researchers in their lifetime do not get
into such problems.
However, hard problems get solved only because people tackle them. The question a researcher
has to grapple with whether the time investment is worth it given that the likely outcome is
negative, and so it is a difficult personal decision to make. At the same time, even in the case of
failure to solve the intended hard problem, there may be partial/side results that serve the
immediate need of producing some results for the dissertation.
4-step procedure for mathematical problem-solving, which is relevant to engineering
researchers as well. Recent work such as suggest the relevance of these recommendations. The
recommended steps to solve a research problem are
(i) Understand the problem, restate it as if it’s your own, visualize the problem by drawing figures
and determine if something more is needed.

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
(ii) One must start somewhere and systematically explore possible strategies to solve the problem
or a simpler version of it while looking for patterns.
(iii) Execute the plan to see if it works, and if it does not then start over with another approach.
Having delved into the problem and returned to it multiple times, one might have a flash of insight
or a new idea to solve the problem.
(iv)Looking back and reflecting helps in understanding and assimilating the strategy and is a sort
of investment into the future.

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
Chapter 5

Ethics in Engineering Research

Ethics generally refers to a set of rules distinguishing acceptable and unacceptable conduct,
distinguishing right from wrong, or wise aphorisms like the sayings of Chanakya.1 Most people
learn such norms in their formative years, but moral development continues through different
stages of growth.
Although everyone recognizes some common ethical norms, but there is difference in
interpretation and application. Ethical principles can be used for evaluation, proposition or
interpretation of laws.
Ethics are not laws, but laws often follow ethics because ethics are our shared values. International
norms for the ethical conduct of research have been there since the adoption of the Nuremberg
Code.
Two simple but significant questions to address the tricky issue of authorship in research:
(1) who should be included as an author
(2) the appropriate order of listing of authors.
In an increasingly interconnected world, the issue of co authorship is very relevant to all
researchers. There are issues around individuals who may be deeply involved during the conduct
of the research work, but may not contribute in the drafting phase. Additionally, certain universities
now put restrictions on research ethics. Research ethics and the responsible conduct of research
are often erroneously used interchangeably.
Research ethics examines the appropriate application of research outcomes, while responsible
conduct of research deals with the way the work is undertaken.
5.1 Ethics in Engineering Research Practice
Technological developments raise a whole range of ethical concerns such as privacy issues and
data related to surveillance systems, and so engineering researchers need to make ethical decisions
and are answerable for the repercussions borne out of their research as outcomes.
The reason that ethics matter in data used in engineering research is usually because there is impact
on humans. Certain practices may be acceptable to certain people in certain situations, and the

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
reasons for unacceptability may be perfectly valid. We have unprecedented access to data today,
and unprecedented options for analysis of these data and consequences in engineering research
related to such data. Are there things that are possible to do with this data, that we agree we should
not do? Engineering ethics gives us the rule book; tells us, how to decide what is okay to do and
what is not.
Engineering research is not work in isolation to the technological development taking place.
Researchers make many choices that matter from an ethical perspective and influence the effects
of technology in many different ways:
(i) By setting the ethically right requirements at the very outset, engineering researchers can
ultimately influence the effects of the developed technology.
(ii) Influence may also be applied by researchers through design (a process that translates the
requirements into a blueprint to fulfill those requirements). During the design process, decision is
to be made about the priority in importance of the requirements taking ethical aspects into
consideration.
(iii) Thirdly, engineering researchers have to choose between different alternatives fulfilling
similar functions.
Research outcomes often have unintended and undesirable side effects. It is a vital ethical
responsibility of researchers to ensure that hazards/risks associated with the technologies that they
develop, are minimized and alternative safer mechanisms are considered. If possible, the designs
should be made inherently safe such that they avoid dangers, or come with safety factors, and
multiple independent safety barriers, or if possible a supervisory mechanism to take control if the
primary process fails.
5.2 Types of Research Misconduct
Engineering research should be conducted to improve the state-of-the-art of technologies.
Research integrity encompasses dealing fairly with others, honesty about the methods and results,
replicating the results wherever possible so as to avoid errors, protecting the welfare of research
subjects, ensuring laboratory safety, and so forth. In order to prevent mistakes, peer reviews should
take place before the research output is published.
There may be different types of research misconduct as described in research articles

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
which can be summarized as follows:

(i) Fabrication (Illegitimate creation of data): Fabrication is the act of conjuring data or
experiments with a belief of knowledge about what the conclusion of the analysis or experiments
would be but cannot wait for the results possibly due to timeline pressures from supervisor or
customers.
(ii) Falsification (Inappropriate alteration of data): Falsification is the misrepresentation or
misinterpretation, or illegitimate alteration of data or experiments, even if partly, to support a
desired hypothesis even when the actual data received from experiments suggest otherwise.
Falsification and fabrication of data and results, hamper engineering research, cause false
empirical data to percolate in the literature, wreck trustworthiness of individuals involved, incur
additional costs, impede research progress, and cause actual and avoidable delays in technical
advancement. Misleading data can also crop up due to poor design of experiments or incorrect
measurement practices. The image of engineering researchers as objective truth seekers is often
jeopardized by the discovery of data related frauds. Such misconduct can be thwarted by
researchers by always trying to reproduce the results independently whenever they are interested
to do further work in a published material which is likely to be part of their literature survey.
(iii) Plagiarism (Taking other’s work sans attribution): Plagiarism takes place when someone uses
or reuses the work (including portions) of others (text, data, tables, figures, illustrations or
concepts) as if it were his/her own without explicit acknowledgement. Verbatim copying or
reusing one’s own published work is termed as self-plagiarism and is also an unacceptable practice
in scientific literature. The increasing availability of scientific content on the internet seems
to encourage plagiarism in certain cases, but also enables detection of such practices through
automated software packages.
How are supervisors, reviewers or editors alerted to plagiarism?
(i) Original author comes to know and informs everyone concerned.
(ii) Sometimes a reviewer finds out about it during the review process.
(iii) Or, readers who come across the article or book, while doing research.
Although there are many free tools and also paid tools available that one can procure institutional
license of, one cannot conclusively identify plagiarism, but can only get a similarity score which

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
is a metric that provides a score of the amount of similarity between already published content and
the unpublished content under scrutiny.
However, a low similarity score does not guarantee that the document is plagiarism free. It takes
a human eye to ascertain whether the content has been plagiarized or not. It is important to see the
individual scores of the sources, not just the overall similarity index. Setting a standard of a
maximum allowable similarity index is inadequate usage of the tool. Patchwork plagiarism is more
difficult to evaluate.
There are simple and ethical ways to avoid a high similarity count on an about to be submitted
manuscript. Sometimes, certain published content is perfect for one’s research paper, perhaps in
making a connection or fortifying the argument presented. The published material is available for
the purpose of being used fairly. One is not expected to churn out research outcomes in thin air.
However, whatever is relevant can be reported by paraphrasing in one’s own words, that is, without
verbatim copy. One can also summarize the relevant content and naturally, the summary invariably
would use one’s own words.
In all these cases, citing the original source is important. However, merely because one has cited
a source, it does not mean that one can copy sentences (or paragraphs)
of the original content verbatim.
A researcher should practice writing in such a way that the reader can recognize the difference
between the ideas or results of the authors and those that are from other sources. Such a practice
enables one to judge whether one is disproportionately using or relying on content from existing
literature.
(iv) Other Aspects of Research Misconduct: Serious deviations from accepted conduct could be
construed as research misconduct. When there is both deception and damage, a fraud is deemed to
have taken place. Sooner or later ethical violations get exposed.
Simultaneous submission of the same article to two different journals also violates publication
policies. Another issue is that when mistakes are found in an article or any published content, they
are generally not reported for public access unless a researcher is driven enough to build on that
mistake and provide a correct version of the same which is not always the primary objective of the
researcher.

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
Fabrication and falsification of data in published content can hurt honest researchers getting their
work published because what they can churn out may short fall of what is already published
through misconduct till the misconduct is established and subsequently retracted.
5.3 Ethical Issues Related to Authorship
Academic authorship involves communicating scholarly work, establishing priority for their
discoveries, and building peer-reputation, and comes with intrinsic burden of acceptance of the
responsibility for the contents of the work. It is the primary basis of evaluation for employment,
promotion, and other honors.
There are several important research conduct and ethics related issues connected to authorship of
research papers and are summarized herewith in the context of engineering research.

Credit for research contributions is attributed in three major ways in research publications: by
authorship (of the intended publication), citation (of previously published or formally presented
work), and through a written acknowledgment (of some inputs to the present research).
Authorship establishes both accountability and gives due credit. A person is expected to be listed
as an author only when associated as a significant contributor in research design, data
interpretation, or writing of the paper.
Including “guest” or “gift” (co authorship bestowed on someone with little or no contribution to
the work) authors dilutes the contribution of those who actually did the work, inappropriately
inflates credentials of the listed authors, and is ethically a red flag highlighting research misconduct
. Sometimes, the primary author dubiously bestows co authorship on a junior faculty or a student
to boost their chances of employment or promotion, which can be termed as Career-boost
authorship.
There is also an unfortunate malpractice of co authorship that can be described as “Career-
preservation authorship” wherein a head of the department, a dean, a provost, or other
administrators are added as Coauthors because of quid pro quo arrangement wherein the principal
author benefits from a “good relation” with the superiors and the administrator benefits from
authorship without doing the required work for it .
Sometimes, an actual contributor abstains from the list of authors due to nondisclosed conflict of
interest within the organization. Such co authorships can be termed as ghost co authorship. Full

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0
disclosure of all those involved in the research is important so that evaluation can happen both on
the basis of findings, and also whether there was influence from the conflicts.
In another type of questionable authorship, some researchers list one another as coauthors as a
reciprocal gesture with no real collaboration except minimal reading and editing, without truly
reviewing the work threadbare. Some authors, in trying to acquire a sole-authored work, despite
relying on significant contribution to the research work from others, recognize that effort only by
an acknowledgment, thereby misrepresenting the contributions of the listed authors. The
unrecognized “author” is as a consequence, unavailable to readers for elaboration. All listed
authors have the full obligation of all contents of a research article, and so naturally, they should
also be made aware of a journal submission by the corresponding author. It is imperative that their
consent is sought with respect to the content and that they be agreeable to the submission. In case
of misconduct like inappropriate authorship, while the perpetrator is easier to find, the degree of
appropriate accountability of the coauthors is not always obvious. Being able to quantify the
contributions so as to appropriately recognize and ascertain the degree of associated accountability
of each coauthor, is appealing.
Double submission is an important ethical issue related to authorship, which involves submission
of a paper to two forums simultaneously. The motivation is to increase publication possibility and
possibly decrease time to publication. Reputed journals want to publish original papers, i.e., papers
which have not appeared elsewhere, and strongly discourage double submission.

Reference: Dipankar Deb , Rajeeb Dey, Valentina E. Balas “Engineering Research Methodology”,
ISSN 1868-4394 ISSN 1868-4408 (electronic), Intelligent Systems Reference Library, ISBN 978-
981-13-2946-3 ISBN 978-981-13-2947-0 (eBook), https://doi.org/10.1007/978-981-13-2947-0