BRMK557 – Research Methodology & Intellectual Property Module – 1: Introduction

MODULE 1: INTRODUCTION
Syllabus

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

MEANING OF 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 is a process of creating, or formulating knowledge that does not yet exist. Thus research
is an art of scientific investigation

OBJECTIVES OF ENGINEERING RESEARCH

The purpose of research is to discover answers to questions through the application of scientific
procedures. The main aim of research is to find out the truth which is hidden and which has not been
discovered as yet. Though each research study has its own specific purpose, we may think of research
objectives as falling into a number of following broad groupings:
1. Exploratory or Formulative research studies: To gain familiarity with a phenomenon or toachieve
new insights into it
2. Descriptive research studies: To portray accurately the characteristics of a particular individual,
situation or a group
3. Diagnostic research studies: To determine the frequency with which something occurs or with
which it is associated with something else
4. Hypothesis-testing research studies: To test a hypothesis of a causal relationship between
variables
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.
 Research objectives can sometimes be convoluted and difficult to follow. Knowing whereand how
to find different types of information helps one solve engineering problems, in both academic and
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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 indecision 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
 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.

MOTIVATION IN ENGINEERING RESEARCH

The possible motives may be the result of one or more of the following desires:

 Studies have shown that intrinsic motivations like interest, challenge, learning, meaning, purpose,
are linked to strong creative performance;
 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 andfamous.
 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.
 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:

 Wanting to do better than what has been achieved in the world

 Improve the state of the art in technology
 Contribute to the improvement of society
 Fulfillment of the historical legacy in the immediate socio-cultural context.

Several other factors like government directives, funding opportunities in certain areas, andterms of
employment, can motivate people to get involved in engineering research.

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TYPES OF ENGINEERING RESEARCH

Descriptive versus Analytical:

 Descriptive research includes comparative and co relational 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 variablescannot
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

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.

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 non representative cases or verbal narrative in
behavioral studies such as clustering effect in intersections in Transportation engineering to make
a proposition.
Conceptual vs. Empirical

 Conceptual research is that related to some abstract idea(s) or theory.

 It is generally used by philosophers and thinkers to develop new concepts or to reinterpretexisting
ones.
 On the other hand, empirical research relies on experience or observation alone, often without due
regard for system and theory.
 It is data-based research, coming up with conclusions which are capable of being verified by
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observation or experiment. We can also call it as experimental type of research.

 In such research it is necessary to get at facts firsthand, at their source, and actively to go about
doing certain things to stimulate the production of desired information.
 In such research, the researcher must first provide himself with a working hypothesis orguess as to
the probable results. He then works to get enough facts (data) to prove or disprove his hypothesis.
 He then sets up experimental designs which he thinks will manipulate the persons or the materials
concerned so as to bring forth the desired information.
 Such research is thus characterized by the experimenter‘s control over the variables understudy
and his deliberate manipulation of one of them to study its effects.
 Empirical research is appropriate when proof is sought that certain variables affect other variables
in some way. Evidence gathered through experiments or empirical studies is today considered to
be the most powerful support possible for a given hypothesis.

ENGINEERING RESEARCH PROCESS

Research process consists of series of actions or steps necessary to effectively carry out research and the
desired sequencing of these steps.

The chart indicates that the research process consists of a number of closely related activities, as shown
through I to VII. But such activities overlap continuously rather than following a strictly prescribed
sequence
1. Formulating the research problem: There are two types of research problems, viz., those which
relate to states of nature and those which relate to relationships between variables. At the very
outset the researcher must single out the problem he wants to study,i.e., he must decide the general
area of interest or aspect of a subject-matter that he wouldlike to inquire into.

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2. Extensive literature survey: Once the problem is formulated, a brief summary of it should be written
down. It is compulsory for a research worker writing a thesis for aPh.D. degree to write a synopsis
of the topic and submit it to the necessary Committee or the Research Board for approval. At this
juncture the researcher should undertake extensive literature survey connected with the problem.
3. Development of working hypotheses: After extensive literature survey, researcher should state in
clear terms the working hypothesis or hypotheses. Working hypothesis is tentative assumption made
in order to draw out and test its logical or empirical consequences.
Hypothesis should be very specific and limited to the piece of research in hand because it has to be
tested. The role of the hypothesis is to guide the researcher by delimiting the area of research and to
keep him on the right track. It sharpens his thinking and focuses attention on the more important facets
of the problem.
4. Preparing the research design: The research problem having been formulated in clear cut terms, the
researcher will be required to prepare a research design, i.e., he will have tostate the conceptual
structure within which research would be conducted. The preparationof such a design facilitates
research to be as efficient as possible yielding maximal information. In other words, the function of
research design is to provide for the collection of relevant evidence with minimal expenditure of effort,
time and money.
5. Determining sample design: The researcher must decide the way of selecting a sample or what is
popularly known as the sample design. In other words, a sample design is a definite plan determined
before any data are actually collected for obtaining a sample from a given population. Sampling can be
done choosing a particular unit, random unit selection, systematic pattern, homogenous group
(stratified sampling), quota, cluster or area, multi stages and sequential.
6. Collecting the data: In dealing with any real-life problem, it is often found that data at hand are
inadequate, and hence, it becomes necessary to collect data that are appropriate. There are several
ways of collecting the appropriate data which differ considerably in context of money costs, time
and other resources at the disposal of the researcher.Primary data can be collected either through
experiment or through survey. If the researcher conducts an experiment, he observes some
quantitative measurements, or the data, with the help of which he examines the truth contained in his
hypothesis. But in the case of a survey, data can be collected by any one or more of the following ways
by observation, through personal interview, through telephonic interview, by mailing the
questionnaire etc
7. Execution of the project: It is a very important step in the research process. If the execution of the
project proceeds on correct lines, the data to be collected would be adequate and dependable. The
researcher should see that the project is executed in a systematic manner and in time. A careful watch

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should be kept for unanticipated factorsin order to keep the survey as much realistic as possible.
8. Analysis of data: After the data have been collected, the researcher turns to the task of analyzing them.
The analysis of data requires a number of closely related operations such as establishment of
categories, the application of these categories to raw data through coding, tabulation and then drawing
statistical inferences. The unwieldy data should necessarily be condensed into a few manageable
groups and tables for further analysis. Thus, researcher should classify the raw data into some
purposeful and usable categories.
9. Hypothesis-testing: After analyzing the data as stated above, the researcher is in a position to test the
hypotheses, if any, he had formulated earlier. Do the facts support the hypotheses or they happen to
be contrary? This is the usual question which should be answered while testing hypotheses. Various
tests, such as Chi square test, t-test, F-test, have been developed by statisticians for the purpose. The
hypotheses may be tested through the use of one or more of such tests, depending upon the nature and
object of research inquiry. Hypothesis-testing will result in either accepting the hypothesis or in
rejecting it.
10. Generalizations and interpretation: If a hypothesis is tested and upheld several times, itmay be
possible for the researcher to arrive at generalization, i.e., to build a theory. As a matter of fact, the real
value of research lies in its ability to arrive at certain generalizations
11. Preparation of the report or the thesis: Finally, the researcher has to prepare the report of what has
been done by him. Writing of report must be done with great care keeping in view the following:
 The layout of the report should be as follows: (i) the preliminary pages; (ii) the main text,and (iii)
the end matter.
 In its preliminary pages the report should carry title and date followed by acknowledgements and
foreword. Then there should be a table of contents followed by a list of tables and list of graphs and
charts, if any, given in the report.
 The main text of the report should have the following parts:
a. Introduction: It should contain a clear statement of the objective of the research andan
explanation of the methodology adopted in accomplishing the research. The scope of the study
along with various limitations should as well be stated in this part.
b. Summary of findings: After introduction there would appear a statement of findings and
recommendations in non-technical language. If the findings are extensive, they should be
summarized.
c. Main report: The main body of the report should be presented in logical sequence and broken-
down into readily identifiable sections.
d. Conclusion: Towards the end of the main text, researcher should again put down the results of

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his research clearly and precisely. In fact, it is the final summing up.
 At the end of the report, appendices should be enlisted in respect of all technical data. Bibliography,
i.e., list of books, journals, reports, etc., consulted, should also be given in the end. Index should also
be given specially in a published research report.
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 groupof 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 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 non-intuitive/counterintuitive even to someone who knows the area, something that
the research community had been expecting for some time, a majorsimplification 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/orsolution 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.

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 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.
George Pólya (1887–1985) suggested a 4-step procedure for mathematical problem-solving, which is
relevant to engineering researchers as well.

The recommended steps to solve a research problem are

 Understand the problem, restate it as if it‘s your own, visualize the problem by drawing figures, and
determine if something more is needed.
 One must start somewhere and systematically explore possible strategies to solve the problem or a
simpler version of it while looking for patterns.
 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.
 Looking back and reflecting helps in understanding and assimilating the strategy, and is asort of
investment into the future.

ETHICS IN ENGINEERING RESEARCH

 Ethics generally refers to a set of rules distinguishing acceptable and unacceptable conduct,
distinguishing right from wrong as such
 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. Although 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 adoptionof the
Nuremberg Code in 1947.
 According to Whitbeck, the issues related to research credit dates back to the establishment of the
British Royal Society (BRS) in the seventeenth century to refine the methods and practices of
modern science. This event altered the timing and credit issues on the release of research results
since BRS gave priority to whoever first submitted findings for publication, rather than trying to
find out who had first discovered.
 Whitbeck raised two simple but significant questions to address the tricky issue ofauthorship in
research:
 Who should be included as an author and
 The appropriate order of listing of authors.
 In an increasingly interconnected world, the issue of co-authorship is very relevant to all

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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
 Government bodies and universities worldwide have adopted certain codes for 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.

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 thereis impact
on humans. Certain practices may be acceptable to certain people in certain situations, and the
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 thingsthat 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 theeffects of
technology in many different ways:
 By setting the ethically right requirements at the very outset, engineering researchers can
ultimately influence the effects of the developed technology.
 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.
 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 asupervisory mechanism to
take control if the primary process fails.

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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, which can be summarized as follows:

 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.
 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 and 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.
 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 andis 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 is a metric that

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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 ofthe 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.
 Other Aspects of Research Misconduct: Serious deviations from accepted conductcould be
construed as research misconduct. When there is both deception and damage, afraud 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 primaryobjective of the
researcher.

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.

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 There is 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 thelisted 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 no disclosed
conflict of interest within the organization. Such co-authorships can be termed as ghost co-authorship. Full
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 influencefrom the conflicts.
 In another type of questionable authorship, some researchers list one another as coauthorsas 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

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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.

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