RM - Module2

2IC601 – RESEARCH
METHODOLOGY (RM)
MODULE-2:
RESEARCH PROCEDURES
Dr. Shrikant Kulkarni
shrikant.kulkarni@walchandsangli.ac.in
Mullah Nasiruddin owned a small banana farm in Konya. He wanted
to sell 3000 bananas in the market of Istanbul which is 1000 Kms
away from Konya. The price of 1 banana is 10 gold-dinars in
Istanbul. His carrier, the donkey, is able to carry as much as 1000
bananas at-a-time, but requires to eat 1 banana to move 1 km.
Can we make Nasiruddin very rich in above situation?

Content
• Research Procedures
– Formulation of a research problem.
– Experimental design & classification.
– Theoretical research,
– verification methods,
– Modeling and Simulations,
– Ethical aspects, IPR issues, Copyrights and
Patenting etc.
• What’s for next session
– Module-3 overview
Formulation of a research problem
• Importance
– The formulation of a research problem is the first and
most important step of the research process.
– A research problem is like the foundation of a
building.
• The type and architecture of the building depends on the
foundations. If the foundation is well designed and strong,
you can expect the building to be strong as well.
– A research problem can begin with something simple
to something very complex, depending on the nature
of the research theme.
– With new emerging technologies, many research
problems may be churned from issues in
performance, reliability and daily user applications.
Formulation of a research problem …
• A research problem, in general, refers to some
difficulty which a researcher experiences in
– the context of either a theoretical or practical
situation and wants to obtain a solution for the
same.
• Usually we say that a research problem does
exist if the following conditions are met with:
• A research problem does exist if the following
conditions are met with:
– There must be an individual (or a group or an
organization), let us call it ‘I,’ to whom the problem
can be attributed. The individual or the organization,
as the case may be, occupies an environment, say ‘N’,
which is defined by values of the uncontrolled
variables, Yj.
– There must be at least two courses of action, say C1
and C2, to be pursued. A course of action is defined by
one or more values of the controlled variables.
• For example, the number of items purchased at a specified
time is said to be one course of action.
WHAT IS A RESEARCH PROBLEM?
• A research problem does exist if the following
conditions are met with:
– There must be at least two possible outcomes, say O1 and
O2, of the course of action, of which one should be
preferable to the other.
• In other words, this means that there must be at least one
outcome that the researcher wants, i.e., an objective.
– The courses of action available must provides some chance
of obtaining the objective, but they cannot provide the
same chance, otherwise the choice would not matter.
• Thus, if P (Oj | I, Cj, N) represents the probability that an outcome
Oj will occur, if I select Cj in N, then P(O1| I , C1, N)  P(O1| I , C2 ,
N).
• In simple words, we can say that the choices must have unequal
efficiencies for the desired outcomes.
• Considerations in selecting a research problem
– Interest: The most important criterion in selecting a
research problem The whole research process is
normally time consuming and a lot of hard work is
needed.
• If you choose a topic which does not greatly interest you, it
would become difficult to keep up the motivation to write.
– Expertise: Before selecting a research problem, you
need to ensure that you met certain level of expertise
in the area you are proposing.
• Make use of the facts you learned during the study and of
course your research supervisors will lend a hand as well.
• Remember, you need to do most of the work yourself.
– Data availability: If your research title needs
collection of information (journal, reports,
proceedings) before finalizing the title, you need
to make sure you have these materials available
and in the relevant format.
– Relevance : Always choose a topic that suits your
interest and profession. Ensure that your study
adds to the existing body of knowledge. This will
help you to sustain interest throughout the
research period.
– Ethics: In formulating the research problem, you
should consider some ethical issues as well.
• Sometimes, during the research period, the study
population might be adversely affected by some
questions.
• Therefore, it is always good for you to identify ethics
related issues during the research problem formulation
itself.
Experimental design & classification
• Why do we perform experiments?
– Exploration: Try to get our head around an issue
– Comparison: Compare two or more things
(algorithms)
– Explanation: Explain how/why some property
works
– Demonstration: Demonstrate a point, proof of
concept, etc.
– Theory Validation: Validate some theoretical
result
Experimental Design & Classification …
• What is method?
– Clear, organized approach to scientific experimentation
– Plan containing a source, goal, and path to get there
– Collection of decisions about conducting experiments and
obtaining/interpreting results
• Without (sound) method:
– Restricted to mainly exploratory experimentation
– Can gain intuition, but no real answers
– Difficult to justify results to others
• With (sound) method:
– Allow full range of types of experimentation
– Can be used to determine clear answers
– Facilitates justification of results
• (Sound) Methodology
– Role of exploratory experimentation:
– Only the initial, observational phase of experimentation
– Not used to draw conclusions
– May never appear in published materials
• Used to help generate hypotheses
– Well-posed Questions
– Questions should be clear, precise, and to the point
– Questions should be tractable
– Questions form the basis for hypotheses
– Hypotheses should be falsifiable
– Clear, justifiable results stem from experiments addressing
a precise, well-posed question
• Mechanistic details:
– Clear statement of hypotheses
– Experimental design
– A priori decisions about result interpretation:
• What are the assumptions and their potential ramifications?
• What is being measured?
• What is meant by qualitative terms (e.g., ”better” or ”best”)?
• How will outliers be removed?
• What statistical tests will be run (why)?
• What confidence levels will be used?
• How many trials will be run?
Generally one should know (before the experiments are even

run) what the possible outcomes are, and what those
outcomes each mean in terms of the research question
• Empirical research (typically) cannot:
– Answer a question not (or poorly) posed
– Convince an audience of fact
– Provide general answers
• e.g., “Algorithm A is always better than B”
• Empirical research often can:
– Answer a question clearly posed
– Convince an audience of probable fact
– Provide conditional answers
• e.g., “Algorithm A is usually better than B on problems
with property X”
• Constructing Experimental Groups
– Top-down design of groups
• What are the “factors” of the experimental study?
• What are the “levels” of these factors?
• Develop a hierarchy based on problem and and algorithm?
• Sketch out what you believe the results will be for groups if
– Hypothesis is accepted or Hypothesis is rejected
– Important things to consider:
• What is being compared?
• Do you have control groups? What are they?
• How much do “frivolous” groups cost you?
• How important is turn-around time?
– Prioritize the groups
• Prioritize by importance
• Prioritize by turn-around need
• A singular driving point
– Try to focus on one question only
– Try to formulate the question in a clear, succinct way
– The “story” may be different than experimental history
• A clear point
– Don’t need to include every experiment
– Present only what is germane to the point
– Avoid presenting experiments that confuse the point
– Do not omit experiments that weaken the conclusion
• A replicable point
– Provide enough detail to replicate the experiment
– Do not overwhelm reader with tedious details
– Can also provide accessible secondary sources
Verification Methods
• Verification
– A verification is the confirmation by examination
and provision of objective evidence that specified
requirements have been fulfilled.
• Validation method
– A method validation is the process of establishing
the performance characteristics and limitations of
a method and the identification of the influences
which may change these characteristics and ‘to
what extent’.
Verification Methods
• Selection of Methods
– An integral part of the research hypothesis
validation is the use of standard methods.
Standard methods are used, whenever possible,
or unless otherwise specified by the ‘standard
organizations’.
– Non-standard methods are used in cases where a
standard method does not exist and the
examiner/validator has agreed to its use.
• A clear expression of quality objectives and testing
parameters or criteria are made when a non-standard
method is employed.
Verification Methods …
• Standard based Verification Method
– Standard or official methods need verification to
ensure that the research experimental
data/measurements are capable of performing the
analysis.
• Verification of an analytical procedure is the demonstration
that a proposed experiment is capable of replicating with an
acceptable level of performance a standard method.
• Verification under conditions of use is demonstrated by
meeting system suitability specifications established for the
method, as well as a demonstration of accuracy and
precision or other method parameters for the type of
method.
• Method performance is accomplished by using performance
characteristics
• Method Validation
– Validation of Method Performance : Non-standard and
laboratory-developed methods need method validation. The
method’s performance characteristics are based on the
intended use of the method. For example, if the method will be
used for qualitative analysis, there is no need to test and
validate the method’s linearity over the full dynamic range of
the equipment.
– Typical validation characteristics which should be considered in
validation of experiments are :
• accuracy,
• precision,
• specificity,
• detection limit,
• limit of quantitation,
• linearity,
• range, and
• ruggedness and robustness.
• Method Validation
– Validation of Method Performance : Non-standard and
laboratory-developed methods need method validation. The
method’s performance characteristics are based on the
intended use of the method. For example, if the method will be
used for qualitative analysis, there is no need to test and
validate the method’s linearity over the full dynamic range of
the equipment.
– Typical validation characteristics which should be considered in
validation of experiments are :
• accuracy,
• precision,
• specificity,
• detection limit,
• limit of quantitation,
• linearity,
• range, and
• ruggedness and robustness.
Modeling and Simulations
• Modeling and simulation are important in
research.
– Representing the real systems either via physical
reproductions at smaller scale, or via
mathematical models & allow
• representing the dynamics of the system via simulation,
and
• exploring system behavior in an articulated way which
is often either not possible, or too risky in the real
world.
Modeling and Simulations …
• Modeling and simulation (M&S) is getting information
about how something will behave without actually
testing it in real life.
– Example: if we wanted to design a race car, but weren't
sure what type of spoiler would improve traction the most,
we would be able to use a computer simulation of the car
to estimate the effect of different spoiler shapes on the
coefficient of friction in a turn.
– We're getting useful insights about different decisions we
could make for the car without actually building the car.
• More generally, M&S is using models, including

emulators, prototypes and stimulators, either statically
or over time, to develop data as a basis for making
managerial or technical decisions.
Modeling and Simulations …
• The use of M&S within engineering is well
recognized.
– Simulation technology belongs to the tool set of
engineers of all application domains and has been
included in the body of knowledge of engineering
management.
– M&S has already helped to reduce costs, increase the
quality of products and systems, and document and
archive lessons learned.
• To ensure that the results of simulation are
applicable to the real world, the engineering
researcher must understand the assumptions,
conceptualizations, and implementation
constraints of simulators.
Ethical aspects in Research
• The academic research enterprise is built on a
foundation of trust.
– Researchers trust that the results reported by
others are sound.
– Society trusts that the results of research reflect
an honest attempt by scientists and other
researchers to describe the world accurately and
without bias.
• But this trust will endure only if the scientific
community devotes itself to exemplifying and
transmitting the values associated with ethical research
conduct.
Ethical aspects in Research …
• What is Ethics in Research & Why is it Important?
– When most people think of ethics (or morals), they
think of rules for
• distinguishing between right and wrong, such as the Golden
Rule ("Do unto others as you would have them do unto
you"),
• a code of professional conduct like the Hippocratic Oath
("First of all, do no harm"),
• a religious creed like the Ten Commandments ("Thou Shalt
not kill..."), or
• a wise aphorisms like the sayings of Confucius.
– This is the most common way of defining "ethics":
norms for conduct that distinguish between
acceptable and unacceptable behavior.
• What is Ethics in Research & Why is it Important? …
– Many different disciplines, institutions, and professions
have norms for behavior that suit their particular aims and
goals.
– These norms also help members of the discipline to
coordinate their actions or activities and to establish the
public's trust of the discipline.
• For instance, ethical norms govern conduct in medicine, law,
engineering, and business.
– Ethical norms also serve the aims or goals of research and
apply to people who conduct scientific research or other
scholarly or creative activities.
– Research ethics is different throughout different types of
educational communities.
• The following is a summary of some ethical
principals in research:
– Honesty: Strive for honesty in all scientific communications.
Honestly report data, results, methods and procedures, and
publication status. Do not fabricate, falsify, or misrepresent
data. Do not deceive colleagues, granting agencies, or the
public.
– Objectivity: Strive to avoid bias in experimental design, data
analysis, data interpretation, peer review, personnel decisions,
grant writing, expert testimony, and other aspects of research
where objectivity is expected or required. Avoid or minimize
bias or self-deception. Disclose personal or financial interests
that may affect research.
– Integrity: Keep your promises and agreements; act with
sincerity; strive for consistency of thought and action.
• …
– Carefulness: Avoid careless errors and negligence; carefully and
critically examine your own work and the work of your peers.
Keep good records of research activities, such as data collection,
research design, and correspondence with agencies or journals.
– Openness: Share data, results, ideas, tools, resources. Be open
to criticism and new ideas.
– Respect for Intellectual Property: Honor patents, copyrights,
and other forms of intellectual property. Do not use
unpublished data, methods, or results without permission. Give
credit where credit is due. Give proper acknowledgement or
credit for all contributions to research. Never plagiarize.
– Confidentiality: Protect confidential communications, such as
papers or grants submitted for publication, personnel records,
trade or military secrets, and patient records.
• Key issues
– In terms of research publications, a number of key
issues include and are not restricted to:
• Honesty. Honesty and integrity is a duty of each author
and person, expert-reviewer and member of journal
editorial boards.
• Review process. The peer-review process contributes to
the quality control and it is an essential step to
ascertain the standing and originality of the research.
• Ethical standards. Recent journal editorials presented
some experience of unscrupulous activities.
• Authorship. Who may claim a right to authorship? In
which order should the authors be listed?
• What is not acceptable?
– Thesis or Papers that are routine extensions of
previous reports and that do not appreciably advance
fundamental understanding or knowledge in the area
– Incremental / fragmentary reports of research results
– Verbose, poorly organized, papers cluttered with
unnecessary or poor quality illustrations
– Violations of ethical guidelines, including plagiarism of
any type or degree (of others or of oneself) and
questionable research practices (QRP)
• Research Misconduct: means Fabrication,
Falsification, or Plagiarism (FFP) in proposing,
performing, or reviewing research, or in reporting
research results.
a) Fabrication is making up data or results and
recording or reporting them.
b) Falsification is manipulating research materials,
equipment, or processes, or changing or omitting
data or results such that the research is not
accurately represented in the research record.
c) Plagiarism is the appropriation of another person's
ideas, processes, results, or words without giving
appropriate credit.
d) Research misconduct does not include honest error
or differences of opinion.
Copyrights and Patenting
• Copyright
– Exclusive privilege to authors to reproduce,
distribute, perform, or display their creative
works.
• Trademark
– Word or symbol used by manufacturers to identify
goods.
Copyrights and Patenting …
• Intellectual Property : Patent
– “Patent Rights” are the limited rights to the profit
from excluding others
– Inventor is given
• the exclusive right to prevent others from
– making, using, and selling a patented invention
– for a fixed period of time
– in return for the inventor's disclosing the details of the
invention to the public.
• Patent systems encourage the disclosure of
information to the public by rewarding an
inventor for his or her endeavors.
• Patent bargain:
– Inventor – Fully discloses invention for all the
world to see
– Government – Limits competition by enforcement
of right to exclude others from practicing the
invention for a defined time period –
• Result: Super-competitive profits – because of limits to
competition
• Result: At the end of patent life, everyone can use the
invention freely
• Subject Matter
– “Anything under the sun made by man”
• New
– Can’t take something out of the public and get a
patent on it; “novelty”
• Useful
– More than for further research
• Non-obvious
– “Obvious” : May not be quite the same as what is
known, but close
• Full disclosure
– enablement, written description, best mode
• Benefits of Patenting
– Super-competitive profit encourages invention,
R&D investment.
– Encourages early disclosure of information.
– Discourages inefficiencies of duplicative R&D and
costs associated with keeping secrets
– Encourages collaborations where information is
transparent
– Stimulates markets by reward of premium pricing.
IPR
• What is Intellectual • Forms of Intellectual
Property ? Properties
– Property created as a – Copyrights
result of intellectual
creative effort or – Trademarks
commercial – Industrial Designs
reputation and – Patents
goodwill. Basic Form :
• Intangible – Integrated Circuits
• Territorial – Undisclosed Information.
• Statutory/Common
law Prov.’s
IPR Business strategy
• What IP can do for you
– Wealth creation
– Legitimate ownership
– Monopoly – market
advantage
– Entry into the big
league
– Bargaining power
– Talent attraction
– Collaborations
– Image of a trustworthy
organization
– Stay in business and
keep others out!
Module 3 - Overview
• Research Methods
– Steps in conducting research,
– Research Problem identification,
– Probable solutions,
– verification of the proposed methodology,
conclusions.
– Meaning, Need and Types of research design,
– Research Design Process,
– Measurement and scaling techniques,
– Data Collection – concept, types and methods,
Processing and analysis of data,
– Design of Experiment

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2IC601 – RESEARCH

Can we make Nasiruddin very rich in above situation?

Generally one should know (before the experiments are even

• More generally, M&S is using models, including

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