RESEARCH METHODOLOGY &

INTELLECTUAL PROPERTY RIGHTS

21RMI56
 Course Objectives:
CO1. To Understand the knowledge on basics of research
and its types.
CO2. To Learn the concept of Literature Review, Technical
Reading, Attributions and Citations.
CO3. To learn Ethics in Engineering Research.
CO4. To Discuss the concepts of Intellectual Property Rights
in engineering.
 .

MODULE -2
Literature Review and Technical
Reading
 CONTENTS
Literature Review and Technical Reading, New and Existing
Knowledge, Analysis and Synthesis of Prior Art Bibliographic
Databases, Web of Science, Google and Google Scholar, Effective
Search: The Way Forward Introduction to Technical Reading
Conceptualizing Research, Critical and Creative Reading, Taking Notes
While Reading, Reading Mathematics and Algorithms, Reading a
Datasheet.

Attributions and Citations: Giving Credit Wherever Due,

Citations: Functions and Attributes, Impact of Title and Keywords on
Citations, Knowledge Flow through Citation, Citing Datasets, Styles
for Citations, Acknowledgments and Attributions, What Should Be
Acknowledged, Acknowledgments in, Books Dissertations, Dedication
or Acknowledgments.
 Literature Review and Technical Reading

 The primary goal of literature review is to know

the use of content/ideas/approaches in the
literature to correctly identify the problem.

 It also helps the researcher to understand clearly

that the research to be undertaken would
contribute something new and innovative.
 NEW AND EXISTING KNOWLEDGE

• New knowledge in research can only be interpreted within the

context of what is already known, and cannot exist
without the foundation of existing knowledge.

• The new knowledge can have vastly different interpretations

depending on what the researcher’s background, and one’s
perception of that new knowledge.

• Often, but not always, the textbooks contain the older

established knowledge and the research papers the newer
work.
• Reading the textbooks on one’s topic provide the established
knowledge and the background to be able to read the newer
work usually recorded in the research papers.

• Very often, reading a textbook is not too difficult for it is written

as a teaching instrument, and the author of the textbook
normally starts from the basics and take the reader, through
everything that one needs to be able to understand that topic.

• The research paper is written for other researchers out on the

edge of knowledge and it assumes that the reader already knows
a lot in that field. A researcher may find oneself continually
going back to other sources to try and interpret what is going on
in a particular research paper.
• An effective review of literature ensures a firm
foundation for advancing knowledge, facilitates
theoretical growth, eliminates as areas that might be of
interest, and opens new avenues of possible work.

• An efficient literature review is centered around concepts

and not authors.

• A literature review should be able to summarize as to

what is already known from the state of the art, detail the
key concepts and the main factors or parameters and the
underlying relationships between those, and provide a
compulsive reason to do further work in the field.
 A good literature survey is typically a two-step process as
enumerated below:
(i) Identify the major topics or subtopics or concepts relevant to the subject under
consideration.

(ii) Place the citation of the relevant source (article/patent/website/data, etc.) in the
correct category of the concept/topic/subtopic.

• A comprehensive literature survey should methodically analyze and

synthesize quality archived work, provide a firm foundation to a
topic of interest and the choice of suitable research methodologies,
and demonstrate that the proposed work would make a novel
contribution to the overall field of research.
 ANALYSIS AND SYNTHESIS OF PRIOR ART
• After collecting the sources, usually articles, intended to be used in
the literature review, the researcher is ready to break down each
article and identify the useful content in it, and then synthesize the
collection of articles.
• A literature survey grid of N topics and M sources is shown below
to help crystallize the information in different categories.
Table 2.1 The literature survey grid
A researcher should analyze the relevant information ascertained
in Table 2.1 by undertaking the following steps:
(i) Understanding the hypothesis,
(ii) Understanding the models and the experimental conditions used,
(iii) Making connections,
(iv) Comparing and contrasting the various information, and
(v) Finding out the strong points and the loopholes.

The goal of literature survey is to bring out something new to

work on through the identification of unsolved issues, determine
the problems in the existing models or experimental designs, and
present a novel idea and recommendations.
Few criteria that could help the researcher in the evaluation of
the information under study:

 Authority: What are the author’s credentials and affiliation? Who

publishes the information?
 Accuracy: Based on what one already knows about the topic or
from reading other sources, does the information seem credible?
Does the author cite other sources in a reference list or
bibliography, to support the information presented?
 Scope: Is the source at an appropriate comprehension or research
level?
 BIBLIOGRAPHIC DATABASES

• A bibliographic database contains bibliographic records.

• It is an organized collection of references to published digital

literature, which includes conference proceedings, journals
and newspaper articles, government and legal publications,
patents, standards, reports, books, periodicals, etc.

• A large proportion of bibliographic data available in these

databases generally belong to conference papers, articles, etc.,
rather than just monologues.

• These contain rich and relevant subject descriptions such as

keywords, subject terms, and call numbers.
 POPULAR BIBLIOGRAPHIC DATABASES ARE:

Web of Science:
 Web of Science (formerly known as ISI or Thomson Reuters)
includes multiple databases, as well as specialized tools.

 It is a good search tool for scholarly materials requiring

institutional license and allows the researcher to search in a
particular topic of interest, which can be made by selection in fields
that are available in drop down menu such as title, topic, author,
address, etc.

 The tool also allows sorting by number of citations (highest to

lowest), publication date. Based on the researcher’s need the search
result can be broadened or narrowed down using the built-in fields
provided in this website.
 When clicked on any of the search results, this website
provides the title of the paper, authors, the type of journal,
volume, issue number and year of publication, abstract,
keywords, etc., so that the researcher has enough information
to decide if it is worthwhile to acquire the full version of the
paper.

GOOGLE AND GOOGLE SCHOLAR

 Google is a great place to start one’s search when one is
starting out on a topic.

 It can be helpful in finding freely available information, such

as reports from governments, organizations, companies, and so
on. However, there are limitations:
(i) It’s a “black box” of information. It searches everything on the Internet,
with no quality control—one does not know where results are coming from.

(ii) There are limited search functionality and refinement options .

What about Google Scholar?

Google Scholar limits one’s search to scholarly literature. However, there are
limitations:
1. Some of the results are not actually scholarly. An article may look
scholarly at first glance, but is not a good source upon further inspection.

2. It is not comprehensive. Some publishers do not make their content

available to Google Scholar.

3. There is limited search functionality and refinement options.

There are search operators that can be used to help narrow down
the results. These help one find more relevant and useful sources
of information. Operators can be combined within searches. Here
are some basic ones that one can use:
1. OR—Broadens search by capturing synonyms or variant spellings of
a concept. Example: Synchronous OR asynchronous will find results
that have either term present.

2. Brackets/Parentheses ( )—Gather OR’d synonyms of a concept

together, while combining them with another concept. Example: RAM
(synchronous OR asynchronous).

3. Quotation marks “ ”—Narrow the search by finding words together

as a phrase, instead of separately. Example: RAM (synchronous OR
asynchronous) “Texas Instruments”.
4. Site—limits the search to results from a specific domain or website.
This operator is helpful when searching specific websites such as the
BC government, which is Example: RAM (synchronous OR
asynchronous) “Texas Instruments” site: http://ieeexplore.ieee.org.

5. Filetype—limits the search to results with a specific file extension

one could look for pdf’s, PowerPoint presentations, Excel spreadsheets,
and so on. Example: RAM (synchronous OR asynchronous) “Texas
Instruments” site: http:// ieeexplore.ieee.org, filetype: pdf

The Search Tools button at the top of the Google results gives you a
variety of other options, such as limiting the results by date. There
are other operators and tools that one can use in Google and
Google Scholar.
Effective Search: The Way Forward

A researcher must consider what type of information is needed,

and where it could be found. Not all information is available
online.

Some information is only available in print. It can take time for

scholarly and peer-reviewed information to be published.

One might not be able to find scholarly information about

something currently being reported in the news.

In such a case, the researcher should look for similar studies that
would be applicable to the specific topic; look for broad
information (general process, technology, etc.), as well as
information that addresses the specific context of the researcher’s
report.
Searching is an iterative process:
• Experiment with different keywords and operators;
• Evaluate and assess results, use filters;
• Modify the search as needed; and
• When relevant articles are found, look at their citations and references.

After the search is complete, the researcher needs to engage in critical and
thorough reading, making observation of the salient points in those sources, and
summarize the findings.

A detailed comparison and contrast of the findings is also require to be done. This
entire process may be needed to be done multiple times.

One must note that the literature survey is a continuous and cyclical process that
may involve the researcher going back and forth till the end of the research project.
 INTRODUCTION TO TECHNICAL READING
While reading an engineering research paper, the goal is to
understand the technical contributions that the authors are making.

Technical reading is a strategy used to obtain a great amount of

information in a short time from textbooks, professional journals, and
other technical materials.

The most productive reading techniques are skimming, scanning,

active reading, detailed reading, speed reading, and Structure-
Proposition-Evaluation reading.
• A simple, efficient, and logical approach for identifying
articles and reading them suitably for effective research.

• Start out the skimming process by reading the title and

keywords (these are anyways, probably what caught the initial
attention in the first place).

• If on reading these, it does not sufficiently seem to be

interesting; it is better to stop reading and look for something
else to read.

• One should then read the abstract to get an overview of the

paper in minimum time.
• Again, if it does not seem sufficiently important to the field of
study, one should stop reading further.

• If the abstract is of interest, one should skip most of the paper

and go straight to the conclusions to find if the paper is relevant
to the intended purpose, and if so, then one should read the
figures, tables, and the captions therein, because these would not
take much time but would provide a broad enough idea as to
what was done in the paper.

• If the paper has continued to be of interest so far, then Read

 Introduction section to know the background information

about the work.
 Results and Discussion sections which is really the heart of
the paper.
 The Experimental Setup/Modeling, etc.,
 CONCEPTUALIZING RESEARCH
Conceptualization is the process in which the researchers identify
key concepts used in the research and provide a unified explanation
of those concepts and it must be accepted by the community of other
researchers and recognized as significant.

Coming up with a good research objective, conceptualizing the

research that meets all of these requirements is a tough thing to do.

It means that one must already be aware of what is in the literature.

That is, by the time one actually has a good research objective, one is
probably already an expert at the edge of knowledge else it is
difficult to say with confidence that one has a good research
objective.
If one is doing research at the Ph.D. level or higher, then
conceptualizing the research is probably something that one
needs to do oneself.

This is a very tough step because one needs to know all that
literature in the field. So, when working at the Ph.D. level, one
needs to be prepared to become that expert, one needs to be
continually reading the literature so as to bring together the three
parts:

(i) significant problem,

(ii) the knowledge that will address it, and
(iii) a possible way to make that new knowledge
 CRITICAL AND CREATIVE READING
Reading a research paper is a critical process.
The reader should not be under the assumption that reported results or
arguments are correct. Rather, being suspicious and asking
appropriate questions is in fact a good thing. Have the authors
attempted to solve the right problem?
Are there simpler solutions that have not been considered?
What are the limitations (both stated and ignored) of the solution and
are there any missing links?
Are the assumptions that were made reasonable?
Is there a logical flow to the paper or is there a flaw in the reasoning?
Critical reading is relatively easy. It is relatively easier to
critically read to find the mistakes than to read it so as to find the
good ideas in the paper. Use of judgmental approach and
boldness to make judgments is needed while reading.

Reading creatively is harder, and requires a positive approach in

search.

In creative reading, the idea is to actively look for other

applications, interesting generalizations, or extended work which
the authors might have missed.
 TAKING NOTES WHILE READING
• A researcher reads to write and writes well only if the reading
skills are good.

• The bridge between reading and actually writing a paper is the act
of taking notes during and shortly after the process of reading.

• Many researchers take notes on the margins of their copies of

papers or even digitally on an article aggregator tool.

• In each research paper, there are a lot of things that one might like
to highlight for later use such as definitions, explanations, and
concepts. If there are questions of criticisms, these need to be
written down so as to avoid being forgotten later on.
• On completing a thorough reading, a good technical
reading should end with a summary of the paper in
a few sentences describing the contributions.

• A thorough reading should bring out whether there

are new ideas in the paper, or if existing ideas were
implemented through experiments or in a new
application, or if different existing ideas were
brought together under a novel framework.

• Obviously, the type of contribution a paper is

actually making can be determined better by
having read other papers in the area.
 READING MATHEMATICS AND ALGORITHMS
• An engineering researcher generally cannot avoid
mathematical derivations or proofs as part of research
work.

• In fact, these are the heart of any technical paper.

Therefore, one should avoid skimming them. By meticulous
reading of the proofs or algorithms, after having identified
the relevance of the paper, one can develop sound
understanding about the problem that the authors have
attempted to solve. Implementation of an intricate
algorithm in programming languages such as C, C++ or
Java is prone to errors.

• And even if the researcher is confident about the paper in

hand, and thinks that the algorithm will work, there is a fair
chance that it will not work at all. So one may wish to code
it quickly to check if it actually works.
 READING A DATASHEET
Researchers in different fields of engineering will need to read
certain types of documents.
For example, mechanical and civil engineers would need to read
drawings related to mechanical parts and buildings.
Researchers in the field of electronics need to read datasheets.
On occasions, researchers in other fields may also need to
incorporate a certain electronic part in which case careful reading of
the datasheet is imperative.

Datasheets are instruction manuals for electronic components, which

(hopefully) details what a component does and how one may use it.

Datasheets enable a researcher (or a working professional) to design

a circuit or debug any given circuit with that component.
• A pin out provides the physical location of a part’s pins, with
special mark for pin1 so that the part can be correctly plugged
into the circuit.

• Some parts also provide graphs showing performance versus

various criteria (supply voltage, temperature, etc.), and safe
region for reliable operation which should be carefully read
and noted by the researcher.

• One should be also in the lookout for truth tables which

describe what sort of inputs provide what types of outputs, and
also timing diagrams which lay out how and at what speed
data is sent and received from the part.
 ATTRIBUTIONS AND CITATIONS:
(Giving Credit Wherever Due)
CITATIONS: FUNCTIONS AND ATTRIBUTES
• 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.
• 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].

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.

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.
There are three main functions of citation:

(i) Verification function: Authors have a scope for finding intentional or

unintentional distortion of research or misleading statements. Citation offers the
readers 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

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
2. Biased citations
3. Self-citations
4. Coercive citations
 IMPACT OF TITLE AND KEYWORDS ON CITATIONS

The citation rate of any research paper depends on various factors including
significance 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 .

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.

• 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.
• 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.
 KNOWLEDGE FLOW THROUGH CITATION
• Knowledge flows through verbal communications, books, documents,
video, audio, and images, which plays a powerful role in research
community in promoting the formulation of new knowledge.

• In engineering research, knowledge flow is primarily in the form of

books, thesis, articles, patents, and reports. Citing a source is important
for transmission of knowledge from previous work to an innovation.
Production of knowledge can be related to the citation network.

• Knowledge flow happens between co-authors during research

collaboration, among other researchers through their paper citation
network, and also between institutions, departments, research fields or
topics, and elements of research.
• Figure 2.1 shows the relationship between citations, knowledge flow, and
elements such as researchers, papers, journal publications or conferences, and
institutions.

• If paper A is cited by paper B, then knowledge flows through citation networks

across institutions.

Fig. 2.1 Citation-based knowledge flow

• The complex interdisciplinary nature of research encourages scholars to
cooperate with each other to grab more advantages through collaboration,
thereby improving quality of the research.

Figure shows a relationship between co-authorship and different 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.
 CITING DATA SETS

• 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

attribution to all contributors, enable identification and access,
while recognizing that a specific style may not apply to all data.
• Ascertaining the ownership of data can be a complicated issue
especially with large datasets, and issues of funding can also make it
a difficult matter.

• A researcher should obtain necessary permission for using data from

a particular source. Citations related to datasets should include
enough information so that a reader could find the same dataset
again in the future, even if the link provided no longer works.

• It is proper to include a mixture of general and specific information

to enable a reader to be certain that the search result is the same
dataset that was sought.
STYLES FOR CITATIONS
• Citation styles differ primarily in the order, and syntax of
information about references, 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)

(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:
(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:
2. IEEE style (Institute of Electrical and Electronics
Engineers) IEEE style is standard for all IEEE journals and
magazines, and is frequently used for papers and articles in
the fields of electrical engineering and computer science. The
IEEE style requires endnotes and that references be cited
numerically in the text. Those submitting to an IEEE
publication should see guidelines for the specific journal or
magazine and may also refer to the complete IEEE editorial
style manual. Some examples of IEEE styles of citations for
different types of sources are enumerated below:

3. ASME style (The Association of Mechanical Engineers)

ACKNOWLEDGMENTS AND ATTRIBUTIONS
Acknowledgment section is a place to provide a brief appreciation of
the contribution of someone or an organization or funding body to the
present work. If no particular guideline is available for the intended
publication, then it can be introduced at the end of the text or as a foot
note.

Acknowledgment is a common practice to recognize persons or

agencies for being responsible in some form or other for completion of
a publishable research outcome.

Acknowledgment displays a relationship among people, agencies,

institutions, and research. In some case, certain individuals may help in
the research work but may not deserve to be included as authors.
• As a sign of gratitude, such contributions should be acknowledged.
Classification of acknowledgment into six different categories like moral,
financial, editorial, institutional technical and conceptual support.

• Acknowledgments and attributions are also very important in the

publications of journal or conference papers. Giving proper credit wherever
it is due is very important and even if the contribution is minor, it should not
be neglected.

• A researcher should always recognize the proprietary interest of

others. Whenever possible, author shall give name of persons who may be
responsible, even if nominally, for designs, inventions, writings, or other
accomplishments.

• In engineering research, acknowledgments are meant for participating

technicians, students, funding agency, grant number, institution, or anyone
who provides scientific inputs, shared unpublished results, provided
equipment, or participated in discussions.
WHAT SHOULD BE ACKNOWLEDGED?
• 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
acknowledged in a scientific paper but it may be in a thesis. Persons must
be acknowledged by authors, who gave a scientific or technical guidance,
take part in some discussions, or shared information to author. Authors
should acknowledge assistants, students, or technicians, who helped
experimentally and theoretically 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.

• An example of acknowledgment of grant received is as follows:

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.
ACKNOWLEDGMENTS IN BOOKS/DISSERTATIONS

A page of acknowledgments is usually included at the beginning of a

thesis/ dissertation immediately following the table of contents. These
acknowledgments are longer than the one or two sentence statements in
journal papers or articles in conference proceedings.

These detailed acknowledgments enable the researcher to thank all those

who have contributed in completion of the research work. Careful
thought needs to be given concerning those whose inputs are to be
acknowledged and in what order.

Generally, one should express appreciation in a concise manner and

avoid emotive language. The following are often acknowledged in these
types of acknowledgments: main supervisor, second supervisor, peers in
the lab, other academic staff in the department, technical or support staff
in the department, colleagues from other departments, other institutions,
or organizations, former students, family, and friends.
DEDICATION OR ACKNOWLEDGMENTS?
• Dedication is almost never used in a journal paper, an article in a
conference proceedings, or a patent, and it is used exclusively in
larger documents like books, thesis, or dissertations.

• While acknowledgments are reserved for those who helped out with
the book in some way or another (editing, moral support, etc), a
dedication is to whomever the author would like it to be dedicated to,
whether it is the author’s mother, the best friend, the pet dog, or
Almighty God.

• And yes, it is possible to dedicate something to someone while also

mentioning them in the acknowledgments.
For example, one may dedicate a book to one’s spouse, but
acknowledge them for being the moral support and putting up with
when one got very stressed.

The acknowledgments in technical books can be sometimes as brief as

the ones in journal articles.

The acknowledgment section of a technical report may be a paragraph

that is longer than a journal paper but shorter than dissertations.
Generally, the length of the acknowledgment may have some
correlation with the length of the document.
• References

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