Research Methods for Engineers PDF

Research Methods for Engineers Learn how to plan for success with this hands-on guide to conducting high-quality engineering research. Plan and implement your next project for maximum impact Step-by-step instructions that cover every stage in engineering research, from the identification of an appropriate research topic through to the successful presentation of results. Improve your research outcomes Discover essential tools and methods for producing high-quality, rigorous research, including statistical analysis, survey design and optimization techniques. Research with purpose and direction Clear explanations, real-world examples and over 50 customizable end-of-chapter exercises, all written with the practical and ethical considerations of engineering in mind. A unique engineering perspective Written especially for engineers, and relevant across all engineering disciplines, this is the ideal book for graduate students, undergraduates, and new academics looking to launch their research careers. DAVID V. THIEL is a Professor and Deputy Head (Research), Griffith School of Engineering, Griffith University, Australia. He has been teaching engineering research methods to students for several years, has managed numerous industry research and development contracts, is the author of over 120 papers published in international journals and is a Fellow of the Institution of Engineers Australia. Research Methods for Engineers David V. Thiel Griffith University, Australia University Printing House, Cambridge CB2 8BS, United Kingdom Cambridge University Press is part of the University of Cambridge. It furthers the University's mission by disseminating knowledge in the pursuit of education, learning and research at the highest international levels of excellence. www.cambridge.org Information on this title: www.cambridge.org/9781107034884 © Cambridge University Press 2014 This publication is in copyright. Subject to statutory exception and to the provisions of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press. First published 2014 Printed in the United Kingdom by Clays, St Ives plc A catalogue record for this publication is available from the British Library Library of Congress Cataloguing in Publication data Thiel, David V., author. Research methods for engineers / David V. Thiel, Griffith University, Australia. pages cm Includes bibliographical references and index. ISBN 978-1-107-03488-4 (hardback) – ISBN 978-1-107-61019-4 (paperback) 1. Engineering – Research – Methodology. I. Title. TA160.T45 2014 001.4′2 – dc23 2014007601 ISBN 978-1-107-03488-4 Hardback ISBN 978-1-107-61019-4 Paperback Cambridge University Press has no responsibility for the persistence or accuracy of URLs for external or third-party internet websites referred to in this publication, and does not guarantee that any content on such websites is, or will remain, accurate or appropriate. Contents Preface An introductory note for instructors 1 Introduction to engineering research 1.1 Why engineering research? 1.2 Next step research 1.3 Research questions 1.4 Engineering ethics 1.5 What constitutes conclusive proof? 1.6 Why take on a research project? 1.7 Chapter summary Exercises References 2 Literature search and review 2.1 Archival literature 2.2 Why should engineers be ethical? 2.3 Types of publications 2.4 Measures of research impact 2.5 Literature review 2.6 Keywords 2.7 Publication cost 2.8 Chapter summary Exercises References 3 Developing a research plan 3.1 Research proposals 3.2 Finding a suitable research question 3.3 The elements of a research proposal 3.4 Design for outcomes 3.5 The research tools 3.6 Chapter summary Exercises References 4 Statistical analysis 4.1 Introduction 4.2 Sources of error and uncertainty 4.3 One-dimensional statistics 4.4 Two-dimensional statistics 4.5 Multi-dimensional statistics 4.6 Null hypothesis testing 4.7 Chapter summary Exercises References 5 Optimization techniques 5.1 Introduction 5.2 Two-parameter optimization methods 5.3 Multi-parameter optimization methods 5.4 The cost function 5.5 Chapter summary Exercises References 6 Survey research methods 6.1 Why undertake a survey? 6.2 Ergonomics and human factors 6.3 Ethics approval 6.4 General survey guidelines 6.5 Survey statements 6.6 Survey delivery 6.7 Respondent selection 6.8 Survey timelines 6.9 Statistical analysis 6.10 Reporting 6.11 Chapter summary Exercises References 7 Research presentation 7.1 Introduction 7.2 Standard terms 7.3 Standard research methods and experimental techniques 7.4 Paper title and keywords 7.5 Writing an abstract 7.6 Paper preparation and review 7.7 Conference presentations 7.8 Poster presentations 7.9 Patents 7.10 Chapter summary Exercises References 8 The path forward 8.1 Publication trends 8.2 Getting started in research 8.3 Quality assurance (QA) 8.4 Occupational health and safety 8.5 A glimpse into the future of engineering research Exercises References Appendix A Matlab plot functions Appendix B Excel plot functions Index Preface This book is unashamedly idealistic. It aims first to convey to engineers and engineering undergraduates interested in conducting research a reminder of the fundamental principles of engineering, and then to explain the requirements of conducting excellent, publishable research which will benefit humankind. A number of issues distinguish engineering research from other forms of scientific research. These issues include the dedication of engineering to the betterment of humankind, an acknowledgement of the codes of ethics regulating all engineering activities, the use of engineering standards to ensure quality and acceptable research outcomes and a conviction that sustainability is now a major engineering imperative. The book is based on a lecture course delivered at Griffith University in the engineering school for coursework master's degree students both on and off campus. The initial concept for the course was developed by Professor Sherif Mohammed at Griffith University. This was revised substantially by the author and then further modified by other faculty staff involved in delivery of the course. The course has also been substantially improved by the students themselves – many of these students have English as a second or third language. To accommodate this, the book contains many starting hints particularly aimed at these students, so that students can rapidly progress without resorting to direct copying from other sources. The course required the students to submit three written assignments using engineering journal format (a template was provided) and appropriate structure and language. All three assignments were based on a published journal research paper selected by the student individually. The first assignment required the students to write a literature review based on the journal paper and additional relevant papers published more recently. The second assignment was a summary of the research methods used in the selected paper, and was combined with the Assignment 1 literature review, but modified in line with the instructor's feedback. The third assignment built on the previous two assignments and instructor feedback, but had the additional requirements of including a research plan, the research team, data analysis and data presentation. The students were required to create an ideal outcome graphically and to describe the statistical analysis to be used to verify their conclusions resulting from their research outcomes. The on-campus version of the course involved two classroom hours per week – one lecture and one workshop. Students were required to prepare for the workshop using topics presented to them before the class. Their workshop sheets were submitted at the end of each workshop for feedback. All workshop sheets were directly relevant to the preparation of their assignments. Commonly students were required to comment on each other's work, to present their work and to modify their workshop sheets in line with the class and lecturer feedback. Some of the exercises in this book were used for this purpose. The off-campus course was run in a similar manner, with students having access to the recorded lectures and the Powerpoint presentations from the lectures. Students were also required to prepare the same workshop sheets, and comment on each other's work using email. The feedback from the instructor and other class members was used to guide the students to improve their methodology and written work for their next submission – either the next workshop or the next assignment. For both on-campus and off-campus delivery, the student feedback was excellent. As with all courses, the more effort that students put into working with the material, the greater the rewards. The course taught even those students who were not aiming to undertake research work or a research career to look for academic research rigour in the published articles they read, and so to distinguish between solid research outcomes and other reports. It also provided guidelines for report writing – a common task in commercial and industrial workplaces. These skills are beneficial to an engineering career. All engineering disciplines can engage with the material in the book as the students self-select papers to review which are relevant to their specific discipline. Readers will quickly note that many of the exercises rely heavily on a fundamental understanding of a student's particular engineering discipline. Students who took the course without this fundamental knowledge of a discipline struggled significantly. I always enjoyed giving these classes. I hope readers enjoy this book and can make a positive contribution to humanity through their engineering expertise and research outcomes. In conclusion, I would like to thank my fellow academics in the Griffith School of Engineering and the students who have provided me with excellent motivation to teach the course. Most importantly, I express my thanks to my lovely family who have always provided me with wonderful support. David Thiel An introductory note for instructors This course was run at master's degree level at Griffith University for engineering graduates. For convenience, the book refers to the intended readers of the book as novice researchers, regardless of their status. While the first course was delivered to graduate students, some universities have introduced a research methods course in their engineering undergraduate degree programmes. When teaching the course, we assume the following knowledge gained from undergraduate engineering studies: A basic understanding of the fundamental concepts and language in a relevant engineering discipline; Some experience in laboratory experimentation including the application of mathematical laws to plot and understand sets of results; A basic understanding of measurement theory, errors in measurements and statistics; The efficient use of a method of analyzing and plotting data (e.g. Matlab or MS Excel). As a number of the topics in the book are covered in undergraduate engineering degree programmes, the content of this book provides a concise introduction to these concepts. The reader should look to more comprehensive texts for a more careful, detailed analysis or to gain an understanding of the scientific background behind the use of these techniques. Each chapter includes a small list of references. More importantly, readers are given some keywords to conduct searches for further information on any topic. Many of the techniques outlined in the book are very quick and simple to implement using electronic tools. It is a five minute task for students: To plot a set of experimental data points as points and to include the line of best fit (usually a straight line), calculate the equation and the correlation coefficient; To find published scientific papers using a keyword search for a literature review. A failure to do these very simple things in a research report, thesis or research paper suggests to the reader that the author is not a competent researcher. Novice researchers must gain good habits if they are to become efficient, rigorous members of a research team. Undergraduate engineering students can be taught good experimental and writing habits if the classroom materials are presented in a professional manner. The class laboratory notes should be supplied in the form of a research project outline (see Figure 3.1) complete with an introduction, background theory, measurement techniques and suggested data analysis. There should be adequate references to the textbook and other published papers. Instructors can set an excellent example through this approach, and also demand a similar level of reporting. 1 Introduction to engineering research 1.1 Why engineering research? The disciplines of engineering are all described as the application of science to realistic systems which benefit humankind. Engineering research is therefore based on the principles of scientific research which, in turn, are based on the scientific method, in which observations (experiments), theories, calculations and models are derived from the existing body of scientific knowledge and verified independently by others who are experts in the field [2–4]. This latter process is called ‘peer review’. While this formal review by peers is not foolproof, it constitutes the best method of validation and verification of research results. Engineering research is based on precisely the same scientific method; however, the research is directed toward the practical application of science to products, services and infrastructure. Most research starts with a hypothesis; that is, a statement which can be either proved or disproved. In most cases it is easier to disprove a hypothesis because only one counter example is required to discredit the idea. To prove a hypothesis, it is necessary to exhaustively examine every possible case and make sure the hypothesis applies. Often this results in the creation of limiting conditions. The conclusion becomes slightly modified in that the hypothesis is valid providing certain conditions are met. A full evaluation of a hypothesis may take many years without a conclusive resolution. Example 1.1 Hypothesis statements ‘All mechanical systems can be described by damped simple harmonic motion equations.’ You could test many mechanical systems and find that this is true. However, if you find one example where this is not true, then the hypothesis fails. In this case, it is necessary to apply some limits to the statement. ‘The maximum efficiency of a solar cell is 28%.’ If you find one example of a solar cell which has a higher efficiency, then the hypothesis fails. ‘The laws of physics apply throughout the universe.’ Physicists and astronomers continue to assume this is true when describing the formation of stars. The history and philosophy of science encapsulates the scientific method and the creation of new knowledge [2–4] based on a new theory which has been subsequently verified by observation, experimentation and the logical development from previously accepted theories, but this is not the subject of this book. In some cases theoretical concepts are deduced long before experimental verification. In other cases, theoretical concepts are deduced from experimental observations. The history of science is full of examples of both. There are many books which discuss scientific research and its methods [5–8]: so how does engineering research differ from research in science? A preliminary answer is to require engineering research activities to fulfill all of the following objectives: The research must be applied to human systems; The research must yield practical outcomes; The research must yield outcomes which benefit humanity; The research must be ethically based; The research should consider environmental outcomes; The research must be based on standard industry based testing. A more detailed explanation of these issues is provided in the following chapters. Example 1.2 Research opportunities A new material has been proved scientifically to be a reliable replacement for asphalt and concrete for road building. The material has excellent physical and chemical properties. An engineering research study of this material might also verify that the material is in abundant supply from renewable resources, the material itself can be recycled at the end of its usefulness in road material, and the toxicity of the material does not adversely impact the environment. A new transistor technology is based on a rare-earth metal which has extremely low abundance, is difficult to obtain and difficult to recover from e-waste. The research in this field constitutes esoteric science rather than engineering research because the outcomes are unlikely to be adopted widely unless improved environmental outcomes can be assured. Air transport using hydrogen balloons requires very little energy to raise the load and return the load to the ground. It was found to be not practical because of the flammability of the gas, its confinement/storage is difficult and the speed of movement is highly limited. Clearly scientific research and engineering research are not mutually exclusive. All medical science is directly related to improving the human condition through medical practice. Other human related fields, for example physiology, pharmacy, dentistry, psychology, education, etc also have some outcomes relevant to improving the human condition. Similarly many engineers engage in purely scientific research to test ideas with the long term aim of finding solutions to the practical implementation problems associated with the research outcomes. As there is no clear dividing line between these fields, many conferences and scientific journals report both scientific and engineering based research. This book is confined to engineering based research strategies, but the concepts are also very applicable to purely scientific research. Thus, further reading is readily available from scientific research methods books and papers [7–9]. Engineers, and hence engineering research, are constrained by quite formal codes of ethics. Every discipline of engineering has a code of ethics covering engineering practice in one or more different countries. The codes should influence how the research is conducted and ensure that the outcomes are improvements to humankind through improved environmental outcomes and minimal risk to users of the technology. In particular the concept of economical engineering design must be balanced with aspects of fail-safe and an understanding of materials and product reliability. In many cases these aspects are inherent in the research design, but good engineering research outcomes will require independent verification of not only the research itself, but also the applicability of systems designed from these research outcomes. Codes of ethics and their importance are discussed in Section 1.4. A research project is not complete until the results have been presented publicly for other experts in the field to comment and review. Thus publication of findings in the open, refereed, international literature and/or presentation at a meeting of research peers is an essential requirement of any research project. Only when the research outcomes have been reviewed by suitably qualified peers can the researchers declare that new knowledge has been created. This means that work conducted in secret (for example in a military research facility, in a high security research laboratory, or in other private venues), does not contribute to the world-wide body of knowledge, and therefore cannot be described as research. Example 1.3 Unsubstantiated claims Claims that top secret research by the US Government had revealed the existence of unidentified flying objects and the landing of extraterrestrial creatures have never been subjected to international scrutiny and so must not be regarded as contributing to new knowledge. Some claims of aromatherapists, chiropractors, water diviners, etc have never been substantiated by rigorous scientific examination and so do not contribute to new scientific or engineering knowledge. Similarly, a search of previous publications and patents does not constitute research. Thus, when a primary school child conducts ‘research’ on the Great Wall of China by copying the outcomes located using a computer search engine, this does not constitute rigorous scientific or engineering research. This student is gathering well established and previously reported information. This is an important distinction: research outcomes which are new to the researcher but are well known to others does not constitute original, publishable research. As a logical consequence of this argument, any original research must clearly identify all relevant prior work before the authors can claim to have developed new knowledge. This can be a significant challenge as the volume of published works continues to grow at an accelerating rate. 1.2 Next step research All research is built on the background and understanding of science developed over the centuries. When a person plans to engage in a research project to create new knowledge, it is vital that a recent and thorough understanding of the field is gained before designing the research project. A new research project will be built on the work of others, from Newton and Maxwell to Mohr and Edison. In addition, the research strategy and methods applied should be well regarded by the world-wide community of scholars. In order to emphasise this concept, it is possible to describe two approaches to research: (a) A new fundamental innovation that changes the way we think about the world in scientific terms. This can be described as a paradigm shift. (b) A step forward in our understanding of the engineering world based on one or more of the following ideas: The application of techniques commonly used in one field to another field; The modification of an existing concept or technique with improved outcomes; The modification of current technologies for improved efficiency, miniaturization, sustainability or environmental outcomes. Example 1.4 Translational research opportunities Mechanical engineers used the finite element method for many years before the electromagnetic equations were solved numerically using the method. This resulted in a new field of computational electromagnetics in the 1980s. Image analysis techniques used for face recognition and satellite based vegetation categorization can be applied to two and three-dimensional data sets in any field of engineering. Inertial sensors used in the automotive industry as air-bag triggering devices are now used in sports engineering for movement analysis and in mechanical engineering for vibration analysis. 1.3 Research questions A common method of focusing on a research project is to phrase a research question. The design of a single, succinct question is a challenge for all researchers and the research team may consider several iterations before it is accepted. The research question will directly lead to one or more methods of investigation, and these can be divided into a number of research aims. The research question can be phrased using one of the following questioning words: Why? Example 1.5 Research question ‘why?’ Why did the wind turbine fail in 100 kph winds? This question suggests a number of avenues of investigation. For example the researchers might: – review the literature for previous failure reports, – assess the wind conditions at the time of failure, – undertake numerical modelling experiments, – review fatigue and possible points of weakness, – conduct inspections of other wind turbines located in the area. What? Example 1.6 Research question ‘what?’ What is the effect on the strength of concrete when recycled concrete is used in the mix? This question suggests a number of avenues of investigation. For example the researchers might: – review the literature seeking results from previous trials, – conduct compression and shear experiments using different mixtures of concrete, – conduct strength calculations based on aggregate strength theory. How? Example 1.7 Research question ‘how?’ How can the braking system of a railway carriage be self-activating when its velocity exceeds a threshold value? This question suggests a number of avenues of investigation. For example the researchers might: – review the literature and patents for automatic braking systems, – calculate the braking power required, – conduct model-based experiments on braking systems. When? Example 1.8 Research question ‘when?’ When will the roof bolts in an underground tunnel fail through environmental degradation? This question suggests a number of avenues of investigation. For example the researchers might: – review the literature for previous studies in different rock types and environmental conditions, – review the types of roof bolts in common use, – conduct a survey of rock bolts in different tunnel environments to assess degradation, – conduct experiments to measure the degradation of the roof bolts under accelerated environmental conditions. These examples might suggest some of the work that has been previously reported. A review of the literature will mean that the research team does not have to ‘re-invent the wheel’, and can build their research on the published reports of others. It will also suggest that even if the same problem has not been solved previously, the methods used to solve similar problems might be appropriate to solve their specific problem. A good literature review can impact positively on the research methods that the research team might use. This is of significant value as the use of previously reported and peer reviewed methods adds confidence about the reliability of the research method and the subsequent independent review of the journal and conference papers arising from the research. Novice researchers should also note that a number of different methods of approach are suggested for each research question. It is mandatory that more than one method of investigation is used in all research projects in the hope that the results from a number of different approaches can be used to substantiate the conclusions from the project. This adds confidence in the research outcomes. 1.4 Engineering ethics As engineers are involved in all major infrastructure projects (dams, bridges, roads, railway lines, electricity distribution, telecommunications, vehicles, etc), it is not surprising that when one of these facilities fails, caused either by natural events (earthquakes, adverse weather, landslides, material failure, etc) or by human intervention (terrorist attack, stadium overloading, land contamination, water contamination, air pollution, lack of maintenance of facilities, land subsidence due to mining, etc), inevitably some of the blame and responsibility is levelled at the engineers who undertook the design, construction, maintenance and control of the facilities. Over the past 200 years, there have been engineering failures that have resulted in loss of human life, medical problems, the extinction of species, damage to the environment, and damage to the economic wellbeing of towns and entire countries. As a consequence of these disasters, the professionals engaged in engineering activities have created and joined professional societies. These societies are designed to minimize the likelihood of repeat occurrences through member registration and mandated self-improvement. This is achieved through two methods; firstly by the free exchange of information between practitioners, and secondly, through an adherence to codes of ethics which are designed to eliminate poor practice and, in extreme cases, to prevent negligent and incompetent people from placing the community at risk by working on such projects. These professional engineering societies therefore engage in processes of accreditation of individuals and university degree programmes, and the publication of research, engineering standards (best practice) and failure analyses. Example 1.9 Engineering disasters The mining of phosphate on small islands has resulted in untenable farmland, local climate change and water shortage for the inhabitants. The draining of a lake in Centre Asia resulted in the destruction of the environment and subsequently village life. The incorrect fitting of the fuel tank seals in the Challenger space shuttle resulted in the vehicle exploding during launch. The meltdown of the nuclear reactor at Chernobyl killed many people, caused significant radiation damage to those who survived, and caused the local area to be contaminated for the next several hundred years. Engineering societies require that practising engineers take a holistic view of projects which deliver a complete solution providing maximum benefit to all stakeholders (e.g. the community, the users of the product or service, their company or organization commissioned to undertake the work, and the environment both local and international). In most countries professional engineers are registered. It may be mandated in law that only a registered engineer is allowed to build a bridge or sign off on a control circuit used in a theme park ride. Without the signature of a registered engineer, the work is not permitted to start, or not permitted to operate. The registration process requires the person to be suitably trained (a university degree in engineering is most common) and must pledge to work within the guidelines of a Code of Ethics. Should engineers not conduct themselves appropriately, they can be removed from the register of professional engineers and barred from continuing to practise. Most engineering codes of ethics also prohibit engineers from practising outside their engineering discipline. While most engineering codes of ethics differ in the fine detail, there are some tenets (or statements) which are common to almost all of the engineering codes. Importantly, professional engineers are required to act in the best interests of humanity and the community. This requirement stands above all else and overrides engineers' responsibilities to: Their employers; Their family, friends and relatives; Their town, region and country. From this basic tenet, other tenets are derived which relate to: The environment (including sustainability); Public safety (including fail-safe design); The economic viability of their employer (cost-effective, reliable outcomes). The adherence to a code of ethics maintains the reputation of the engineering profession. For example the Institution of Engineers Australia code of ethics begins with the words: ‘As engineering practitioners, we use our knowledge and skills for the benefit of the community to create engineering solutions for a sustainable future. In doing so, we strive to serve the community ahead of other personal or sectional interests.’ The American Society of Civil Engineers (ASCE) use the following fundamental principles : ‘Engineers uphold and advance the integrity, honor and dignity of human welfare and the environment by: 1 Using their best knowledge and skill for the enhancement of human welfare and the environment; 2 Being honest and impartial and serving with fidelity the public, their employers and clients; 3 Striving to increase the competence and prestige of the engineering profession; and 4 Supporting the professional and technical societies of their discipline.’ And the first ASCE fundamental cannon is: ‘Engineers shall hold paramount the safety, health and welfare of the public and shall strive to comply with the principles of sustainable development in the performance of their professional duties.’ Many professional engineering organizations are now international, and this allows engineers trained in one country to operate without impediment in another country if both subscribe to a common code of ethics. The largest international engineering agreement is the Washington Accord , where signatory nations must allow regular inspection of the academic qualifications of their member nations and adherence to a common code of ethics. The codes of ethics commonly restrict the unauthorised copying of designs and other intellectual property. For this reason, engineering researchers must acknowledge the work of others in the development of their findings. When undertaking engineering research, the research team must understand the implications and restrictions which apply to their research projects based on their code of ethics. There is also an obligation that researchers must undertake their work to the best of their ability and in line with their training, within the standards defined by their discipline, to use appropriate terms to describe their work, and to provide unbiased reports on the success of their work [8, 12]. It is most important that the conclusions of a research project not only summarise the outcomes in a positive light, but probe the uncertainties and problems which might occur if the research results are applied to products and services. These matters will be discussed in some more detail in later chapters of this book. When the research involves the use of humans or animals, research funding bodies and the publishers of research outputs (journals and conference technical committees) require that the project plan be assessed for impacts on the human and animal subjects before the project begins. Such research projects include surveys (the participants are asked to respond to a set of questions), physical activities (the participants are asked to perform manual tasks) and mental activities (participants are asked to solve puzzles). Asking individuals to participate in a research project either voluntarily or for a reward or other benefit, can have significant negative consequences on the volunteers and the research outcomes. Example 1.10 A biased survey A company decides to ask its employees for feedback on their latest product, which was designed in-house. Some employees feel obliged to support the product concept because they do not wish to offend the design team or the general manager. The net result is a biased outcome of the survey and potential damage to the careers of those employees who did not respond favourably. In order to avoid the problems of biased research outcomes and perceived or real threats to the participants, an ethical approval procedure must be available to ensure that negative outcomes to the research and the research participants are avoided. This requires the following information to be presented to the target group in an understandable way: The task is voluntary; The participants are provided with information about the tasks and risks before commencing; The participants are provided with contact details if they have additional questions or feel aggrieved; The participants can withdraw at any time during the survey without recrimination; The survey responses are anonymous and the data are stored without the identification of individual participants; The accumulated results are provided to the participants when the final analysis has been completed. These requirements can be achieved in surveys using a number of different methods of approach: A common method is to have the work (for example surveys can be administered by an independent organization) conducted by an independent third party. This party will solicit the volunteers, collect the responses and ensure that the company seeking the data will not be provided with identification tags for individuals. There are now options for online surveys which are effectively anonymous. The individual profiles used in the survey are not sufficiently specific so that each individual cannot be easily identified. The design and conduct of surveys are discussed in more detail in Chapter 6. Example 1.11 Individual identification in surveys A participant profile which sought precise values for age, height and weight could easily result in the identification of an individual. A participant profile which sought responses to broad ranges of age, height and weight would reduce the chances of individual identification. 1.5 What constitutes conclusive proof? Research is designed to create new knowledge. This new knowledge needs to be substantiated appropriately, initially by the research team, and subsequently through the peer review process by the world-wide community of scholars who are experts in this field. Thus novice researchers must convince themselves that their results and conclusions are valid and supported by strong evidence. This is commonly done using more than one of the following techniques: Experimental measurement (particularly using standard tests); Theoretical development; Logic and mathematics; Numerical simulation; Statistical analysis; Comparison with previously published research outcomes; The use of multi-parameter optimization methods to obtain the best outcome of the design. Ideally a research team would engage in many, if not all, of these techniques to verify its results. This gives the independent reviewers of the work the best possible proof that the new knowledge has been validated and the conclusions are correct. Often, however, there may be problems in using this approach, for instance: There are no standard experimental methods applicable to a particular research investigation; Repeated experimental measurements are not possible so that statistical support is difficult; The theoretical frameworks available are too simplistic to describe the outcomes; There is no prior work which closely resembles this investigation; and Multi-parameter optimization is not possible as computational models are ineffective. These difficulties can all result in a probability of failure or project risk assessment. This is usually expressed as a probability. The publication of research results mandates that some supporting evidence is provided. A failure to do this will result in a failure to have the research outcomes accepted. It is therefore very important that the research team design a project in a manner which ensures that sufficient supporting evidence is available at its completion, either from the work itself or from other published works. Example 1.12 Questions for probability A glass window in a high rise building falls to the street below. A structural engineer is asked to calculate the probably that this event will occur again. How can the engineer verify her results given that only one event was recorded? The flight control system in an aircraft is rated as 99% reliable. Would you fly in this aircraft? A civil engineer quotes a dam wall as being able to with-stand a 1 in 100 year weather event. Would you be happy to live beneath the dam wall? In all cases, conclusive proof is required for the safety of the population. In mathematics, the concept of upper and lower limits can be applied to gain information about the solution to seemingly intractable problems. For example, if a function is not integrable (i.e. cannot be integrated using analytic means), one can choose two integrable functions – one of which is always greater than the function, and the other is always less than the function. By completing the two simpler integrals one can deduce the range within which the unknown function lies. In the same manner, simple models which provide upper and lower bounds to a more complex problem can be solved theoretically and/or computationally to deduce the likely range of outcomes from the more complex model. This method can provide additional support to the research results, even when a complete model has not been solved. 1.6 Why take on a research project? There are many reasons for an engineer to become involved in a research project. There are benefits to society as part of an engineer's charter as well as personal rewards. There is significant excitement in new discoveries. The possibility of developing something completely new, something of benefit to humanity and something to add to the world-wide body of knowledge is a strong motivation for undertaking research. While practising engineers may leave their mark on society through buildings, dams, rail-lines, aircraft, electronics products, medical devices, etc, usually the team of engineers or their company might only be known to the general public through a temporary sign on the work-site or a slim column in a newspaper. Sanitation and pipeline engineers, software engineers and many others might never be recognised publicly. It is often the case that the names of engineers become known when there are catastrophic failures. The publication of research outputs in the archival literature means that names of the members of the research team will never be lost in time. The research team will be recorded permanently. A successful research project can enhance your career. The peer review process and open publication means that the team is capable of work at the highest possible standard. This recognition is world-wide and can be used to advantage in developing tenders for international projects. The process of research training is part of every engineering undergraduate degree programme. Every laboratory experiment and every calculation is part of the development of an engineer, and the skills learnt are part of the expertise that can be used in research projects. For this reason many undergraduate engineering degree programmes either include or plan to include a research project or a research methods component. Undergraduate research training can provide a thorough grounding in many of the techniques outlined in this book. In a complementary way, engineering faculty staff should mandate that laboratory reports, assignments and other deliverables employ the typical research requirements outlined in this book – the research writing format, statistical analysis, appropriate checks on the validity of results and appropriate referencing. In addition, the development of lecture material and other resources should follow the norms of research methods, referencing, etc. This solid reinforcement of research techniques can greatly improve the quality of graduates and improve the student experience in undergraduate engineering programmes. 1.7 Chapter summary The objective of all engineering research is the creation of new knowledge which can be of benefit to humanity. New knowledge is based on well-known and well-accepted principles of scientific thought and measurement, and should be initiated through the development of a research question. In order that a research contribution can be claimed, novice researchers must have a good understanding of the basic principles of their discipline as commonly found in the well-known textbooks in the field. All engineering research is based on the scientific method of validation using the peer review process. Peer review of the research outcomes is an essential process in research. All engineering researchers must be familiar with their code of ethics and must behave ethically. In particular the research team must seek out and acknowledge the work of others. Exercises Many of the exercises in this book require the reader to choose a refereed, published paper in their discipline, to analyse the paper according to the instructions given in the exercises, and to extend the work reported as a new line of research. 1.1 Use an academic web search to locate a journal paper which describes a design outcome in your field of interest (i.e. your engineering discipline). You must enter several keywords which relate to your topic. Read the paper and, using your own words, demonstrate your understanding of the paper by: Writing out the major conclusions of the paper; Outlining the verification method(s) used to support these conclusions Describing the authors’ reflective comments on the quality of the design (positive and negative). List your comments on the following: The positive and negative environmental impacts of the new design; The fail-safe quality of the new design; The cost of manufacture or implementation of the new design compared to previous designs. 1.2 Find the code of ethics which covers your engineering discipline (the code might be specific to one particular country or geographical region). Rank the following aspects in terms of importance (usually indicated by the position in the code of ethics). Assume that the first tenet is the most important: Responsibility to the environment; Responsibility to sustainable outcomes; Responsibility to an employer; Responsibility to the general public; Responsibility to the nation. Following the strategy in Exercise 1.1, choose a published paper from your engineering discipline and comment on any of these priorities identified in this paper. Compare your results with the code of ethics list. What is your conclusion about the ethical approach taken in this paper? 1.3 After reading a published research paper, write down the research question you think the authors have addressed in undertaking this research. Do you think the paper adequately supports the conclusions reached in addressing this question? 1.4 In your undergraduate education or master's degree, choose three experiments (practical laboratory work) and identify the following: The aims of and methods used in the experiment; The conclusions from the experimental work; The methods of verification used to support your conclusions; The theory applied to support the experimental outcomes; The statistical techniques used to verify your outcomes. Do you consider that the post experimental analysis supported the experiment aims and conclusions? Outline how this research method might be improved to verify the outcomes through conclusive proof. References Keywords: engineering research, engineering ethics, code of ethics, research question, engineering sustainability, engineering disasters Davis, M., ‘Defining engineering: how to do it and why it matters’, in M. Davis (ed.), Engineering Ethics, Aldershot, England: Ashgate, 2005. Popper, K.P., The Logic of Scientific Discovery. New York: Basic Books, 1959. Gattei, S., Karl Popper's Philosophy of Science: Rationality without Foundations, New York: Routledge 2009. Kuhn, T.S., The Structure of Scientific Revolutions, (2nd edition), Chicago: University of Chicago Press, 1970. Marder, M.P., Research Methods for Science, Cambridge, UK: Cambridge University Press, 2011. O’Donoghue, P., Research Methods for Sports Performance Analysis, Oxford, UK: Routledge, 2010. Walliman, N., Research Methods, the Basics, Oxford, UK: Routledge, 2011. Fleddermann, C.B., Engineering Ethics, (4th edition), Upper Saddle River, NJ: Prentice Hall, 2011. Engineers Australia, ‘Our code of ethics’, adopted 28 July 2010, www.engineersaustralia.org.au/ethics, accessed 4 December 2012. American Society of Civil Engineers, ‘Code of Ethics, Fundamental Principles’, http://www.asce.org/Leadership-and-Management/Ethics/Code-of-Ethics/, accessed 4 December 2012. Hanrahan, H., ‘The Washington Accord: past present and future’, IEET accreditation training, International Engineering Alliance, 2011. http://www.washingtonaccord.org/washington- accord/Washington-Accord-Overview.pdf Whitbeck, C., Ethics in Engineering Practice and Research, Cambridge, UK: Cambridge University Press, 1998. 2 Literature search and review 2.1 Archival literature The world's total knowledge in the fields of science and engineering is stored in written form as published books and papers. Much of this is now stored digitally and available on-line. For a research team to successfully undertake new research they must contribute ‘new knowledge’ to this total store of knowledge through publication in the same way (i.e. through writing books and papers). In order to assess if a contribution is new knowledge, the research team must take the following steps: Review this vast store of knowledge; Conduct research to develop additional knowledge by building upon this previous knowledge; and Make their new knowledge available to the world-wide research community through publication following a rigorous peer review. The world-wide published scientific literature is commonly referred to as ‘archival literature’, because it is permanently stored and is deemed to be of value to future generations of research scientists and engineers. Once information is printed on paper, the content cannot be changed. This form of publication is different from some web based publications, where the content can be changed relatively easily. Publication in the archival scientific literature should be the common goal of all scientific and engineering research. Once published in this readily available form, engineering research and innovation can be used by all people, both nationally and internationally, for the betterment of human kind and improving the human condition. This is the goal of all engineering endeavours including research activities as outlined in Chapter 1. There is some scientific literature which is deemed to be worthy of preservation and some which is not. The distinction between these two categories is drawn on the basis of the scientific method and peer review, although the distinction can be a little blurred. A research team must understand and maintain current knowledge about innovations in the field of their research. It is important, however, that novice researchers distinguish between literature that is acceptable to the scientific community and that which is not acceptable. While there are exceptions to the broad publication categories, this section gives some general characteristics and guidelines for research teams when conducting a search in the scientific literature. The archival literature remains unchanged and available forever. This places great responsibility on researchers to ensure that their contributions are new, valuable and rigorously developed. Failure to do this can have significant negative impacts on the careers of the researchers concerned. Academic rigour in research is also an ethical requirement. Academics at tertiary institutions and researchers at research laboratories experience workplace pressure to publish large numbers of high quality papers in refereed journals. From time to time, a minority of researchers are exposed when their research papers are proved to be not new or the results have been fabricated. This constitutes a violation of the engineering code of ethics. 2.2 Why should engineers be ethical? There are many answers to this question; some are carrots (= incentives) and others are sticks (= threats). In this section, the first paragraphs directly appeal to professional conduct. The later paragraphs outline the problems that can arise if a researcher does not follow the laws of the community and the rules of the profession. Let's start with some carrots. As a member of a profession, an engineer is a highly respected member of society. There are many statistics derived from surveys of the general population which show that the engineering profession is one of the most trusted occupations in society. As part of the profession, an engineer is encouraged, through solidarity, to behave ethically like all other engineers, both predecessors and colleagues. In professional employment, engineers must make decisions based on facts and models irrespective of political and social influence. The same is true for engineers engaged in research. Some ‘whistle-blower’ engineers, i.e. engineers that report oncoming problems irrespective of their company or government bosses, have suffered significantly in their professional life by using the media or going to independent authorities to report malpractice. However, most engineers prosper when they provide independent expert advice to clients and the general public. A failure to behave ethically can result in some very undesirable effects on an engineering career. In its most simplistic form, copying another person's designs or theories is theft. That is, in most countries, an offender can be taken to a court of law, and if found guilty, can be fined and imprisoned. A commonly accepted legal definition of a breach of copyright is when more than 10% of a work is copied. In academia this is referred to as plagiarism and the penalties can range from a minor penalty (e.g. failing a particular assignment or examination) to a more major penalty (cancellation of enrolment and dismissal from the university). Example 2.1 Legality and unethical practice Take a book, cross out the author's name and replace it with your own. Do you think this is legal? Take the architectural plans for a house, cross out the designer's name and insert your own and sell it to a client. Do you think this is legal? Such behaviour is intolerable in the engineering profession and will result in legal action. A wider problem occurs if you copy material without first checking the validity of the calculations or the design. Assuming the design is implemented and a catastrophic engineering failure occurs, the consulting engineer who copied the work, or at least part of the engineering team, will be blamed for the consequences of this failure. Again prosecution can result, to the detriment of careers and future work contracts in engineering. The various professional engineering associations will find such behaviour unacceptable and the people concerned might lose their professional recognition as engineers and be disallowed from practising engineering. The fact remains that all engineers and publication officers (including the reviewers of scientific research papers) are humans and can make mistakes. This might include mathematical errors, incorrect observations, experimental errors, misinterpretation of data, etc. Should a person accept and copy information without acknowledgement and without exercising professional engineering judgement, these errors can be propagated through the literature to the detriment of the advancement of engineering science. All professional engineers must critically review information before accepting it and incorporating it into a design. If the information is proved to be valid, then the originators of the idea(s) must be mentioned (i.e. cited) as a primary source of the information, and it must be acknowledged that this original information has been copied in part or in full or adapted to suit the current problem. By doing this, the design team of engineers have behaved ethically, in addition to providing some protection should the design have fundamental or structural flaws. In the event of a failure, the team can responsibly say that the initial error was generated elsewhere. This will not negate the responsibility for not finding the flaws, as the team has still failed to adequately question and test the principles behind the design. This is an indication of engineering incompetence and an admission of liability. In addressing these issues, every engineer must have a strong and fundamental knowledge of their chosen discipline. If there are gaps in this knowledge, then the responsible engineer must call upon expert advice to cover any weakness or uncertainties in theoretical knowledge or understanding. For almost every article published in a scientific or engineering research journal, the authors or their institution/company are required to sign a copyright declaration passing ownership of the article to the journal publishers or the professional society which publishes the journal. This means that the researcher, anyone in the research team, or any other person, is not allowed to reproduce the words, tables or diagrams/figures in the article in any new publication. This is both an ethical and legal responsibility of the authors, and failure to adhere to this policy can result in the researchers being banned from publishing in that journal and even legal action against the authors found in breach of copyright. This point was discussed in Chapter 1. Another ethical issue is the proper recognition of the contribution of colleagues in a research team. The researchers who have contributed more than 10% of the research effort and can competently describe and present the research outputs to others, should be included in the list of authors. Thus a research project which required the expert services of a statistician, analytical chemist, materials scientist, etc must ask these questions before including or excluding their names on papers and books submitted for publication. Many journals in the life sciences ask all of the named authors to sign a form verifying their participation in the research project and to indicate the percentage contribution from every author. One contentious issue is whether the head of the research group, the leader of the laboratory, or the person who funded or attracted the funds for the research, should be automatically included in the list of authors. This must be considered before the work is undertaken, rather than when the publication is in the final draft of preparation. So what happens if the author(s) or publisher makes a significant mistake in the paper, and the paper is published with the error. The members of the research team are obliged to publish a correction to the original manuscript. This should normally be done quickly and, where possible, the correction should be published in a subsequent issue of the same journal as the original article. Should the research team find errors in previously published papers, then writing a short note to the journal editor will allow the authors of the original article to provide feedback and an erratum if appropriate. The publication process is primarily aimed at contributing to the total body of knowledge, and the elimination of errors in recently published articles is of significant value to the profession and the community at large. 2.3 Types of publications Whatever you say May fade away Whatever you write Might come back and bite While the spoken word, if unrecorded, may not be recalled clearly or exactly, the written word can last forever – whatever is written can and will be used to evaluate the competence of the author. In the technical areas, the works of Newton and Maxwell can be found and read by today's scholars. In an electronic age, where written work is recorded digitally and accessed publicly, papers can circulate the world within a second of publication and the contents will remain available and accessible forever. The written word will define a researcher's technical competence. It is therefore very important that researchers write well, in addition to understanding the importance of the written works from others. While some journals only publish electronically, the paper or electronic version is fixed at the time of publication and cannot be altered. The electronic file format used is the *.pdf (portable document format) which is difficult to edit. Errors in published papers are corrected using a correction note in the same journal that published the original work. Example 2.2 Dismissal resulting from unethical practice A number of university presidents and high ranking politicians have been forced to resign or have been dismissed from their positions because it was proved that some of their early student work was directly copied from others without proper acknowledgement (see the work of Gutenplag Wiki (Theodur zu Guttenberg, Silvana Koch-Mehrin, Veronica Sas), and others (Moon Dae-sung, Pál Schmitt, Madonna Constantine, Ward Churchill to name a few). Preserving your academic reputation is very important for your career. If you use the work of others without referencing the source, and the works you plagiarised were wrong, the profession will judge you as either a criminal (stealing ideas from others without acknowledgement) or incompetent (incapable of arriving at correct results from investigations). All science and engineering is based on the current understanding of the laws of nature (i.e. the physical, chemical, biological and mathematical laws). Researchers must read, understand and engage with the previously published work of other researchers in the same discipline of engineering. Note that some of the early published works, say in the 1930s, contain some of the concepts that have since been shown to be incorrect in the light of more recent developments. Example 2.3 A changing paradigm Greek philosophers thought light consisted of a stream of tiny particles (corpuscular theory). Newton supported the idea but Huygens advocated a wave theory for light. Young and Fresnel explained interference effects using this wave theory. Light was regarded as a transverse wave through ‘ether ’ based on the view that there was no such thing as completely empty space (we call it a vacuum) through which light could pass. The ether was required to carry the wave. Quantum theory has now replaced all of these theories.. The challenge for researchers is to distinguish what is credible scientific evidence from what is opinion, speculation, and sometimes factual error. This can be done, in part, by checking where the information was published. The strength in the scientific method is peer review. If papers have not been peer reviewed in a rigorous manner, then the findings are suspect. Novice researchers should distinguish between the various types of publications listed in Table 2.1 and use only those published works that are clearly steeped in the scientific method. The most rigorous publication type is the journal paper. Figure 2.1 exhibits many of the most important characteristics that can be used in defining the validity of the information contained in a publication. While the system of peer review is not foolproof and errors can be found and even propagated in later publications, this is the best and most widely accepted method available and is used to maintain the integrity of science and engineering principles. Researchers must understand this so that they know how and where to publish their work. Figure 2.1 An example of the first page of a refereed journal article. Note the following characteristics: the length of the title, the name and page details of the paper, the dates when the manuscript was received and revised, the index terms, the names and affiliations of the authors and the abstract. References are included in square brackets. Table 2.1 Broad categorisation of publications and their characteristics. A tick indicates that the descriptor is valid. A cross indicates that the descriptor is not valid. The symbol √/× indicates that the descriptor is sometimes valid. Journal Conference Books Standards Patents Theses Trade articles papers magazines Archival √ √ √ √ √ √ × scientific literature Evidence √ √ × √ √ × × of peer review Author's √ √ √ √ √ √ √/× names Author's √ √ √ √/× √ √ × affiliation Author's √ √ √ √/× √ × × contact details Title word √ √ × √/× √ √ × count >10 Abstract √ √ √/× √/× √ √ × Keywords √ √ × √/× √ √/× × Reflective √ √/× × √ √ √/× × assessment of results References √ √/× × √/× × √ × Publication √ √ √ √ √ √ √ date Researchers, however, may find many new ideas in most of the publication types listed in Table 2.1. The authors and publication must be cited in any reports if the material has been used as part of the research project. Each publication category given in Table 2.1 is discussed in more detail in the following sub-sections. These sub-sections describe some of the commonly accepted practices but individual publication mechanisms have variations on these processes. The information given in these sections serves as a guide only, and prospective authors must review all information provided by the targeted publication. 2.3.1 Journal articles Refereed journal articles are the most important and most valued contributions to the archival literature. While the time between the date of submission and the date of publication can be quite long – two years is not uncommon – most journal editors express the wish that the time between submission and publication be as short as possible. A period of six weeks for the return of the first review to the authors is a common target. The delay between submission and publication is caused mainly by the reviewing process. Reviewers perform their reviews on a voluntary basis. For this reason the selection of reviewers can take time as each potential reviewer must be approached (the title and abstract are sent) and then agree to undertake the review process within a set time frame (commonly four weeks). Once the final version of the paper has been approved, then an editorial committee will prepare the paper for publication. This causes additional delays. Journal articles are subjected to anonymous peer review. This means that two or more experts in the field are required to review the work, suggest corrections and approve the work as scientifically rigorous. While this review process is not always perfect – it depends on the dedication, ethics and competence of the reviewers – it is the best available source of expertise world-wide. Paper reviewers are selected by the journal's technical editorial staff. These reviewers are expected to have the required experience and competence in the field of research. Once the review has been completed the associate editor will make a decision on the suitability of the manuscript for publication. Commonly the reviewers must decide on one of the following recommendations: (a) Accept without change; (b) Resubmit with minor corrections (e.g. correct typographical errors, improve the quality of the graphs, add additional information, add additional references, etc); (c) Resubmit with major changes (additional research work required); (d) Reject (insufficient new material, scientific errors, flawed methodology, etc); (e) Reject (material is not relevant to this journal). All comments are sent to the authors together with the decision. In the case of categories (b) and (c), the authors must address every point raised by the reviewers, revise the manuscript (showing the changes) and resubmit to the journal for further consideration. The review process will then be repeated, usually with the same reviewers. In addition to commenting on the research methods, results and conclusions, the reviewers are asked to review the reference list and to provide the authors with a list of typographical errors. Reviewers will also comment on the quality of the graphs and other figures and the relevance of the paper to the journal for which it has been submitted. In the light of these comments the authors revise and resubmit the paper. Further comments will then be made by the reviewers. The paper will only be accepted for publication if all the reviewers are happy with the final draft of the paper. The paper is then passed to the editorial staff of the journal for a further review and additional questions might be asked of the authors. These are questions of clarity and language use rather than technical issues. Research journals in science and engineering, like most magazines, are published regularly in a yearly cycle. The volume number is usually the same for articles published during the same calendar year. Each issue published in the year contains a number of articles. The issue number is simply a count from the first issue release in the year (issue number 1). The page numbers run sequentially through the year. Thus the first article in issue number 1 starts on page 1. The first article in issue number 2 will continue from the last page number of first issue. Journal publications commonly report the latest scientific and engineering developments, although some review articles are published in order to consolidate the current knowledge in the field. Review articles might not contain new knowledge created by the authors, but will contain a very large reference list which covers the latest developments. Some journals specialize in this type of article (e.g. Proceedings of the IEEE). In both cases the papers are reviewed independently before publication is approved. All scholarly journals use an ISSN number (International Standard Serial number) and this can be found in the front pages of each issue. While most journal names are unique (world-wide), it is important for authors to use the correct journal title as many journals have similar names. Figure 2.1 shows a typical first page of a journal article. The major features revealed on the front page include: The title of the journal; The title of the paper (usually containing more than ten words); A list of the authors, their affiliations and contact details; An abstract which outlines the work and major conclusions; A list of keywords relating to the paper; The submission date, revision date and the publication details (e.g. the journal volume number, issue number, page numbers and date of publication). The title is sufficiently long to ensure that the contents of the article are uniquely identified. The author's names, affiliations, contact details are provided to allow other researchers to make contact with the research team to ask further questions about the work. The use of a prescriptive title (commonly more than ten words) ensures that the reader can establish the relevance of this work to their own research endeavours. Commonly an abstract is available publicly on the internet at no cost to the reader. There may be a cost to access the full paper unless the reader subscribes to this particular journal. The inclusion of keywords in the paper allows targeted, high speed computer searching. The references cited in the paper demonstrate that the work was based on the work of others in developing the field and allows the reader to undertake further background searches into the field. The publication date establishes the priority of the research work reported and is used by the research community to follow the path of the research development. Often two or more dates are published with the article. The first date is the earliest date and establishes when the researchers completed their work and the submitted paper was received by the journal. The review of the article is then undertaken and the paper might be resubmitted in light of the corrections made in response to the initial review. The last date is the date of publication; recently this date might be the date when the article was published on the web and/or the date when the article appeared in print. When submitting a paper for review, the authors are required to state that their article (in full or in part) has not been previously published and has not been submitted for publication elsewhere including another journal or conference. In addition to publishing ‘full papers’, many journals will publish shorter works such as comments on papers, corrections to papers, short notes, technical notes and letters. These publications are all listed in the archival scientific and engineering literature. Readers of the full papers might sometimes find that their search reveals these additional short papers. In particular, factual and mathematical errors can be misleading and so searching the authors' names or the paper title can be very useful in finding more recent information pertaining to the field and any corrections to the original paper. These additional comments, after peer review, will be published, and will cite the original paper. Some professional engineering associations also publish a magazine. These magazines can contain full journal-type articles and usually they are referenced in the same manner as journal papers. The articles are reviewed in a manner similar to journal papers, however, many items in the magazines will not be rigorously reviewed. Care must be taken when reading and citing magazine articles. 2.3.2 Short journal articles Most journals allow the publication of short articles. These can be in the form of ‘letters’, ‘short communications’, ‘comments’, ‘errata’ and ‘notes’. The reviewing procedure for most short articles is a quicker process. For some publications, only the editor or associate editor will review the submission. Comments on a published full paper are submissions from other researchers who have read the article and have suggested errors, misinformation and/or a failure of the article to review the literature fully. The comment will be sent to the original authors for a reply. Usually both the comment and the reply will be published in the same issue of the journal. Short communications are usually confined to the publication of new but minor discoveries, however, some short communications are used as a mechanism to gain speedy publication of new ideas. Both comments and short communications might have been assessed by an editor or associate editor of the journal only and a full review of the literature will not be included. Some journals only publish letters. These journals require authors to submit short articles in which the number of words and figures is limited. The review process is still rigorous, but reviewers are asked only to provide the journal editor with a yes/no decision to publish. The authors receive no feedback on the article. If accepted it will be published as it was submitted. Because of the page limits, letters have limited explanations, descriptions and a smaller number of references. Letters are usually published much more rapidly than full papers. 2.3.3 Conference papers Scientific and engineering conferences are meetings of engineering researchers with the aim of updating and reporting research developments not yet published. At these meetings researchers present research papers and discuss their latest findings, either through a formal presentation in a lecture room, or a poster presentation. Authors are usually required to submit a written paper to the conference technical committee. The paper is reviewed for relevance and correctness and the authors of the accepted papers are invited to make a presentation at the meeting. The papers are released to attendees at the conference as ‘conference proceedings’. This is the printed record of the conference. After the conference is over, the papers may be made available to the wider scientific community via the web and accessible through the scientific web-based search engines. These papers usually contribute to the archival literature. Conferences can be a preferred method for researchers to announce recent results as commonly the time scale between conference paper submission and publication is much shorter when compared to the journal review and publication process. Commonly conference papers are submitted six months before the conference and published on the first day of the conference. The rapid timescale of conferences means that the review process of papers is short or non-existent. If the conference includes a peer review process, the technical committee of the conference will assign the papers to one or two people on a panel of experts and the papers are usually reviewed on a pass/fail basis with only editorial changes allowed. Thus conference publications are usually not rigorously assessed and so should be regarded by novice researchers as important but subject to some uncertainty when compared to journal papers. Figure 2.2 shows a typical first page of full paper a presented at a conference. The major features revealed on the front page include: The title of the paper (usually containing more than ten words); A list of the authors, their institutions and contact details; An abstract which outlines the work and major conclusions; A list of keywords relating to the paper. Figure 2.2 An example of a conference paper. Note that the paper title is shorter, the author's names and affiliations are given, the paper has an abstract and the page numbers are given. Commonly the name of the conference does not appear with each article. References are included in square brackets. Most conferences will publish their papers as ‘proceedings’ of the conference and will use an ISBN number (International Standard Book number) rather than an ISSN number. The volume number will be confined to the number of volumes published for the particular conference. In some cases, conference presenters are invited to expand their paper and submit it as a journal publication in a ‘special issue’ of the journal. In this case the normal reviewing process for journal papers is followed, but with strict time lines for submission and publication. 2.3.4 Books There are three types of books commonly used by academics in their research: Textbooks; Research books (monographs); and Reference books. Textbooks are used in undergraduate and postgraduate courses and in training people to enter the engineering profession. These books usually have a very large circulation and often have repeated editions as the material is upgraded and errors are corrected. Commonly the titles of textbooks contain 2–4 words and are designed to be used for one or two courses/subjects in tertiary educational institutions such as universities. Often several textbooks will have the same name and so the author, publisher and date of publication must be included in references to the book. High quality textbooks are commonly re-released with corrections and additions as appropriate and so the edition number of the book is an important inclusion when citing the book in a research publication. Textbooks usual cover standard experimental, theoretical and computational techniques used in the field. Most textbooks have detailed references and bibliographies. When writing a research paper, the author need not rewrite the well-accepted theory, but rather an appropriate textbook can be used as a reference and a source of equations, definitions and standard experimental methods. Research books are written by experts in the research field. The target audience is the small, more specialised academic community and the books contain higher level information on a specific topic. A third type of book is the reference book. These books commonly contain an alphabetically ordered index of terms. These books might include ‘dictionary’, ‘encyclopaedia’ ‘reference’ in the title. Paper and electronic copies of books are subjected to professional examination between the time of writing and before publication. Commonly the material in a textbook is well established in the field and presents only that knowledge and understanding which reflects the current position. The front matter in every book includes the book title, author and affiliation, publisher and place of publication, an ISBN number, the date of publication and the edition number. Most of this information must be used when referencing the book in a scientific paper. 2.3.5 Standards The engineering profession usually provides practising engineers with standards. A standard is a document that defines a particular experimental technique or a requirement specification. Standards can also be used to define engineering terms so that the profession uses terms in a well-accepted and defined way. Novice researchers should be familiar with these terms and their precise definitions, and use them correctly when writing research papers. Engineering standards are reviewed as technology develops, and new standards are written and approved by experienced members of the profession in the relevant discipline. Following a review, some changes will be made and it may be that some previously accepted terms are no longer acceptable. Such terms are referred to as being ‘deprecated’. Such changes are made to resolve confusions and to add new terms as the technology develops. Most standards are published using an ISBN number (i.e. a book reference number). While the names of the committee members who developed the standard are listed inside the standard, the reference will be to the professional society rather than any one individual or group of individuals. The International Organization for Standards (ISO) and the International Electrotechnical Commission (IEC) maintain standards internationally; however, most countries have national standards authorities which are charged with the maintenance and implementation of national standards. Example 2.4 Examples of standards In the IEEE-SA Standards Definition Database are definitions of electrical, electronic and software engineering terms. In mechanical engineering, the mechanical properties of materials are measured using standard test procedures. In geotechnical engineering there are standard methods for testing the shear strength of soils. It is wise for a research team to use measurement techniques and numerical computational techniques which are defined by the most recent standard. Lesser known measurement techniques might lead to incorrect results which may compromise the research outputs. Commonly the standards terms and techniques are reproduced in part in textbooks and so seeking the original standards documents (often at quite high cost) may not be necessary. 2.3.6 Patents A patent is a document written to protect an idea for commercial advantage and exploitation. Patents are written and granted on the basis of their originality (referred to as an ‘inventive step’). The object of a patent is to protect an invention or innovation against commercial theft whereby one company makes a profit from an invention by another person or company. While each country maintains a patent assessment process and an inventory of patents granted, most patents are readily available using a web based search using keywords. Most patents will cite previous patents and other published literature. Patents are country specific – that is, most nations manage their own patents through a patent examination procedure before the patent is granted. Figure 2.3 shows an example of the front page of a registered patent from the United States of America; however, the patent format is different for different countries. The International Patents Treaty between nations ensures that there is some uniformity between the national patent offices. Figure 2.3 An example of a US patent. Note the inventors are listed together with their affiliations, the date of filing and the previous work (references cited) are listed. There are a number of codes for the sub-discipline of the invention (both national and international). The abstract summarises the invention. A patent is characterized by a patent number, the date when the patent was submitted, the authors of the patent and their affiliations, the sponsoring company, a brief summary and a series of six number codes which define the field in which the invention will find application. For example the first page of a USA patent (Figure 2.3) includes the ‘Field of search’ codes as 343/815 where 343 refers to a general subject area (antenna) and 815 is a more specific (subclass) of the area (with radio cabinet). The previous patents and papers in the area (called ‘prior art’) are also listed under ‘References cited’. The Abstract briefly outlines the subject material of the patent. The novelty claims of the invention are listed numerically at the end of the patent together with a series of figures. Figure 2.3 also includes the International Classification Code H01Q 1/24. Using the index one can determine that H refers to electricity, H01 refers to basic electric elements and H01Q defines aerials. Many scientific and engineering technologies are protected by patents and this can restrict their use in both the research and commercial environments. Using a patent for commercial benefit without the permission of the owners of the patent is regarded as an infringement and may cause legal action. Inventions (as defined by patents) can be purchased and sold and so the current owner of the intellectual property might not be listed on the patent. It is the inventors who must be listed if reference is made to a patent. Patent applications filed for consideration are assessed by the national patent office of the country in which patent protection is sought, and will be granted only if the technology or methodology is an inventive step. The time delay between the original submission of a patent application and the registration of the patent can be up to 3 years. The award of a patent does not imply that the technology functions in the manner described or that the method has advantages over existing technologies, despite any claims made in the patent document. Thus, when conducting a literature review, researchers must understand that while patents contain new ideas and novel applications of these ideas, they are not a reliable source of scientifically verified advances in the field. 2.3.7 Theses Many tertiary education institutions require their undergraduates, master's degree and PhD candidates to submit a thesis as part of their final assessment. If the student is awarded the degree, then the thesis may be available on the internet and will be identified during electronic searching. The status of these documents varies with institutions. Commonly most bachelor's and master's theses are marked on the basis of a pass/fail system and there is no revision of content in line with examiner's feedback. For this reason, theses can provide useful information but might not be a reliable source of competent, verified new knowledge. PhD theses are usually corrected in line with examiner's feedback and so constitute a more reliable source of information. Most institutions require PhD candidates to publish their work in the international scientific literature and so preferred references are to the published papers rather than the thesis itself. It should be noted that all theses bear the name of the candidate only and will not include the names of other members of the research team. This is another reason to refer to the published papers from the thesis rather than the thesis itself. Theses often carry useful information about experimental methods which are not always described in their entirety in journal or conference papers. In electrical engineering it is common to include circuit diagrams, in mechanical and structural engineering it is common to include mechanical drawings and in chemical engineering, comprehensive details of chemical processes. If used in further research, then these details should be referenced to the relevant thesis. Researchers need to remain cautious about the accuracy of the material in theses. 2.3.8 Trade magazine articles Trade magazines contain large numbers of advertisements as well as some articles written by the editorial staff of the magazine covering the latest developments in a particular sub-discipline or field of research. The writer is likely to be a scientific reporter rather than an expert in the field and will be reporting information previously released by research institutes and companies as press statements and other forms of publicity. These articles are generally review articles covering recent journal papers and/or company releases about new products. While such articles are generally informative, the articles are brief and lack scientific and engineering detail. These are not a particularly reliable source of new knowledge. They are secondary sources and so researchers should cite the original articles. Figure 2.4 is an example of a trade magazine article. Readers will note that the title is relatively short, there is no abstract/summary, there are no keywords, and the author's affiliation and contact details are not given. These articles commonly have very few references. Figure 2.4 An example of a complete article in a trade magazine. The title is relatively short and the name of the author is not included; only the name and brief contact details of the sponsoring organization are given. There are no references in the article (reproduced with permission, Electronics News, p. 4, 14 June 2013). 2.3.9 Newspaper articles Most general newspapers provide their readers with commentary on recent scientific and engineering innovations. As with trade magazines, the articles are quite short, lack detail and have a tendency to be sensationalist (to sell more papers). These articles do not contain a reflective summary on the research outcomes and so are of limited use as a research resource. Figure 2.5 is an example of an article published in a national newspaper. Note that the title is short, the author is a journalist and not a researcher, and there are no references. Figure 2.5 An example of a newspaper article related to an engineering discovery. The name of the author is given and the names of various researchers and their institutions are mentioned in the article. The article is an overview of a number of new developments, and has been taken from another publication (The Wall Street Journal). This is clearly a secondary source of information. Readers of this article can find more information about the developments by searching the archival literature using the names and keywords (reproduced with permission, The Australian, p. 16, 3 December 2012). 2.3.10 Infomercials This word describes video clips and written articles which are produced by a company with the aim of selling their expertise and products. The articles contain some factual information and specifications but little of the research approach used to develop the product (this would be of great benefit to competing companies). As the articles are not subjected to rigorous review by independent experts, the claims are unsubstantiated. These should not be used as reference material for researchers. Infomercials can be found in newspapers, trade journals, web sites and might resemble a newspaper article or scientific article, but these are usually clearly labelled as not part of the normal technical content. 2.3.11 Advertisements Advertisements on social media, television, magazines and newspapers contain little factual information and the claims are not supported by reliable evidence. They have not been subjected to independent review. For this reason researchers should not use advertisements as reference material. 2.3.12 Wikipedia This is a web based resource (www.wikipedia.org) commonly found by web search engines. Wikipedia articles contain definitions of terms, history and scientific and engineering facts. The articles are written by the general public which includes experts. The articles are well referenced in the scientific and engineering literature and so the articles constitute a secondary source of information rather than a primary source. The articles can be changed at any time by any individual from around the world, and can be changed back in the same manner. There are adjudicators who monitor the activity on the Wikipedia pages and will restrict changes if they appear frivolous or biased. Engineering and scientific papers should not include references to Wikipedia directly because it is subject to change. However, the original sources cited at the end of the article can be a valuable resource. While a researcher might cite a Wikipedia article to demonstrate changes or misunderstandings of some people, no other citation appears justifiable in the scientific press. 2.3.13 Web sites Web search engines which are specifically set up to search the refereed scientific literature will yield web sites with scientific and engineering information. Novice researchers should take care not to use the material from web sites unless the following guidelines are applied: The authors and their affiliations are clearly found and can be considered reputable; The date of ‘publication’ on the web can be found. Some universities and individual professors publish their lecture notes and laboratory notes on their web sites. These can prove to be a valuable resource for those not familiar with the field. In most cases, however, there is little new knowledge published on the web as researchers seek to gain credit for their work through refereed journal and book publications. 2.4 Measures of research impact There are many refereed scientific and engineering journals and so an extremely large number of published articles. The number appears to increase exponentially. The principal readership of these journals is other researchers in closely related areas of research. While it is quite difficult to establish how many people read a particular paper (for on-line journal articles the number of downloads is one such measure), the reference in a paper to another published paper is called a citation or ‘cite’. It can be argued that the inclusion of a reference to a paper in another paper is evidence that the cited paper formed the basis on which the new research was undertaken. For this reason, and because automated counting of citations is possible, one can review the number of citations of a published paper. A paper might have a very large number of citations because: It is very innovative (e.g. through the inclusion of ground-breaking research); It is a review paper with many references (and so subsequent papers need not contain a comprehensive review of a large number of papers individually to satisfactorily demonstrate background knowledge in the field); or It might be incorrect (i.e. all of the citations discuss the errors in the paper). Thus citation counts alone cannot be used as an assessment of the impact or value of the research outcomes reported in the paper. However, citation counts do constitute a measure of interest in a particular paper. It should be noted that most scientific papers have fewer than five citations. This indicates that while the journal editorial staff and the reviewers thought that the published paper has novelty and merit, the interest in most published papers is not high. Clearly the older the paper, the longer the time available to readers, and the more citations that the paper might accumulate. Thus a paper published last month is unlikely to have any citations. Conversely, the older the paper, the less likely it is to be highly relevant as more innovations are published. There are some seminal papers in the field where time does not diminish the citation rate (i.e. the number of cites per year). This introduces the concept of additional measures of research impact, which include citations and the time over which these citations are made. The half life of a journal is an index which takes time and citations into account. These indices are sometimes used to evaluate the performance of researchers and the journals themselves. For example, the h-index for an individual researcher is the number of papers that have more than the same number of citations. Example 2.5 h-index calculation If Mary Jones has published 100 papers in her career and 12 of these papers have been cited 12 times or more, Mary has an h-index of 12. It is clear that the number of citations depends on the database used. If the database includes journal papers, conference papers, books and magazine articles, then the citation count will be higher than an index where only journal citations are counted. The common computer data bases used in engineering are given in Table 2.2. Keyword searching, citation statistics and access to the paper abstracts and full text (if publicly accessible) are available from these databases. Table 2.2 Databases used for citation related indices. Database Web address Includes Scopus www.scopus.com

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