Engineering Research E-Book

Herman Tang

• Herausgeber: John Wiley & Sons
• Kategorie: Wissenschaft und neue Technologien
• Sprache: Englisch

Seitenzahl: 680

Veröffentlichungsjahr: 2020

Beschreibung

Master the fundamentals of planning, preparing, conducting, and presenting engineering research with this one-stop resource

Engineering Research: Design, Methods, and Publication delivers a concise but comprehensive guide on how to properly conceive and execute research projects within an engineering field. Accomplished professional and author Herman Tang covers the foundational and advanced topics necessary to understand engineering research, from conceiving an idea to disseminating the results of the project.

Organized in the same order as the most common sequence of activities for an engineering research project, the book is split into three parts and nine chapters. The book begins with a section focused on proposal development and literature review, followed by a description of data and methods that explores quantitative and qualitative experiments and analysis, and ends with a section on project presentation and preparation of scholarly publication.

Engineering Research offers readers the opportunity to understand the methodology of the entire process of engineering research in the real word. The author focuses on executable process and principle-guided exercise as opposed to abstract theory. Readers will learn about:

• An overview of scientific research in engineering, including foundational and fundamental concepts like types of research and considerations of research validity
• How to develop research proposals and how to search and review the scientific literature
• How to collect data and select a research method for their quantitative or qualitative experiment and analysis
• How to prepare, present, and submit their research to audiences and scholarly papers and publications

Perfect for advanced undergraduate and engineering students taking research methods courses, Engineering Research also belongs on the bookshelves of engineering and technical professionals who wish to brush up on their knowledge about planning, preparing, conducting, and presenting their own scientific research.

Leseprobe

Table of Contents

Cover

Title Page

Copyright

About the Author

Preface

Research Book?

Organization and Contents

Acknowledgments

Part I: Overview, Proposal, and Literature Review

1 Research Overview

1.1 Introduction to Research

1.2 Building Blocks of Research

1.3 Types of Research

1.4 Validity of Research Results

Summary

Exercises

References

2 Research Proposal Development

2.1 Research Initiation

2.2 Composition of Proposal

2.3 Proposal Development

2.4 Evaluation and Revision

2.5 Considerations For Improvement

Summary

Exercises

References

3 Literature Search and Review

3.1 Introduction to Literature Review

3.2 Literature Sources and Search

3.3 Conducting Literature Review

Summary

Exercises

References

Part II: Quantitative and Qualitative Methods

4 Research Data and Method Selection

4.1 Data in Research

4.2 Types of Data

4.3 Data Collection

4.4 Method Selection

Summary

Exercises

References

5 Quantitative Methods and Experimental Research

5.1 Statistical Analyses

5.2 Quantitative Research

5.3 Experimental Studies

5.4 Factorial Design of Experiment (DOE)

Summary

Exercises

References

6 Qualitative Methods and Mixed Methods

6.1 Qualitative Research

6.2 Questionnaire Survey

6.3 Interviews and Observations

6.4 Mixed-Method Approaches

Summary

Exercises

References

Part III: Management, Writing, and Publication

7 Research Execution and Management

7.1 Basics of Project Management

7.2 Research Administration

7.3 Pre-Award Management

7.4 Post-Award Management

Summary

Exercises

References

8 Research Report and Presentation

8.1 Introduction to Academic Writing

8.2 Elements of Report and Thesis

8.3 Development of Research Report

8.4 Research Presentation

Summary

Exercises

References

9 Scholarly Paper and Publication

9.1 Considerations For Publication

9.2 Publication Process

9.3 Target Scholarly Journals

9.4 Writing For Publication

Summary

Exercises

References

Epilogue

Index

Appendix A: Instruction Material Samples

A.1 Course Syllabus

A.2 Online Discussion Instruction

A.3 Weekly Introduction (Unit 1)

A.4 Weekly Assignment (Unit 1)

Appendix B: Research Prospectus Development Guidelines

B.1 General Instruction

B.2 Guideline for Section 1 – Problem Identification

B.3 Guideline for Section 2 – Literature Review

B.4 Guideline for Section 3 – Data and Method

B.5 Guideline for Section 4 – Project Plan

B.6 Guideline for Section 5 – Expected Results and Discussion

B.7 Guideline for Report Draft and Revision

B.8 Proposal Self-assessment

Appendix C.1: Research Prospectus: Designing a Process of using Virtual Reality for Accelerated Prototyping

C.1.1 Introduction

C.1.2 Background and Literature Review

C.1.3 Research Plan and Framework

C.1.4 The Research Methods

C.1.5 Expected Results

C.1.6 Conclusion Remarks

References

Appendix C.2: Research Prospectus: Influence of Organizational Culture on Adoption of Digital Substation Technology in North American Electric Utilities

C.2.1 Introduction

C.2.2 Problem Statement

C.2.3 Literature Review

C.2.4 Research Plan

C.2.5 Research Method

C.2.6 Anticipated Results

C.2.7 Conclusion

References

Appendix C.3: Research Prospectus: Metal Oxide Development on Fly Ash from Thermal Power Plant and Its Possible Usages

C.3.1 Introduction

C.3.2 Research Methods

C.3.3 Data Analysis

C.3.4 Research Plan

C.3.5 Expected Results

References

Appendix D: Typical Structures of Academic Articles

Original Paper Title (10–15 words)

Keywords (4–6 words)

Systematic Review Paper Title (10–15 words)

Keywords (4–6 words)

End User License Agreement

List of Tables

Chapter 1

Table 1.1 Characteristics of basic, applied research, and R&D.

Table 1.2 Characteristics of four types of research goals.

Table 1.3 A comparative view between internal and external validity.

Table 1.4 A checklist for internal validity.

Table 1.5 A checklist for external validity.

Chapter 2

Table 2.1 A simple checklist on research Idea in proposal development.

Table 2.2 Outcome examples of engineering research.

Table 2.3 Sections and questions of proposal preparation.

Table 2.4 A checklist of proposal peer- and self-assessment.

Chapter 3

Table 3.1 Engineering databases and sources.

Table 3.2 Open-access publications by some large publishers.

Table 3.3 Main patent databases.

Table 3.4 Boolean operator applications in literature search.

Table 3.5 A template of literature review summary.

Chapter 4

Table 4.1 Common data distributions.

Table 4.2 Some government data websites.

Table 4.3 Characteristics of qualitative and quantitative data.

Table 4.4 Stratified sampling vs. cluster sampling.

Table 4.5 Research objectives and methods.

Table 4.6 Characteristics of qualitative and quantitative analyses.

Table 4.7 Similar criteria of method evaluation.

Table 4.8 Relation analysis between research data and methods.

Chapter 5

Table 5.1 Types I and II errors.

Table 5.2 Examples of mathematical modeling in engineering research.

Table 5.3 Examples of engineering optimization research.

Table 5.4 Examples of simulation in engineering research.

Table 5.5 Examples of new technologies in engineering research.

Table 5.6 An example of

F

-test result.

Table 5.7 Examples of DOE in engineering research.

Table 5.8 An example of 2

2

DOE with two replicates.

Table 5.9 An example of 2

4

DOE.

Chapter 6

Table 6.1 Basics of some qualitative analysis methods.

Table 6.2 Required sample sizes (at 95% confidence level).

Table 6.3 Examples of five-point Likert scale.

Table 6.4 Characteristics of quantitative, qualitative, and mixed methods.

Table 6.5 Considerations for mixed method applications.

Table 6.6 Examples of mixed method studies in engineering research.

Chapter 7

Table 7.1 Tasks in four phases of research life cycle.

Table 7.2 Evaluation considerations of research performance.

Table 7.3 An example of work relationship between PI, RA, and Unit.

Table 7.4 Some funding information databases.

Table 7.5 Some large foundations for scientific research.

Table 7.6 A proposal development checklist – overall readiness.

Table 7.7 A proposal development checklist – key items.

Table 7.8 Statistics of US patent applications and grants.

Chapter 8

Table 8.1 Technical reports vs. scholarly papers.

Table 8.2 Examples of considering simple words.

Table 8.3 Examples of considering concise phrases.

Table 8.4 Examples of word selection for research statements.

Table 8.5 Considerations on conference costs.

Table 8.6 A recommended presentation file planning.

Chapter 9

Table 9.1 Destinations of research outcomes.

Table 9.2 Science and engineering articles in 2014.

Table 9.3 Engineering papers in scholarly journals selected by SCImago in 201...

Table 9.4 A checklist of journal selection.

Table 9.5 Some publisher's guides for journal selection.

Table 9.6 Some scholarly journals related to mechanical designs.

Table 9.7 Variant models of OA publication.

Table 9.8 Style differences between theses and papers.

Appendix A

Table A.1 Assignment contributions to course grade.

Table A.2 Learning performance and course grade.

Table A.3 A class schedule in a 15-week semester.

Appendix B

Table B.1 Development plan of research prospectus.

Table B.2 Recommended length for each section.

Table B.3 Project general information.

Table B.4 Self-assessment.

Appendix C.1

Table C.1.1 Literature review summary.

Table C.1.2 Summary of research milestones.

Table C.1.3 Proposed research budget.

Appendix C.2

Table C.2.1 Project budget for digital substation research.

Appendix C.3

Table C.2.1 Project timing.

Table C.2.2 Project resource requirements.

List of Illustrations

Preface

Figure 1 A learning pyramid.

Figure 2 Parts, chapters, and subjects of this book.

Chapter 1

Figure 1.1 A system view of research project.

Figure 1.2 Overall processes of basic and applied research. (a) Basic resear...

Figure 1.3 Main areas of research impacts.

Figure 1.4 Doctorate recipients in engineering and science from US universit...

Figure 1.5 Thinking levels and research capability.

Figure 1.6 A process flow of hypothesis-driven research.

Figure 1.7 Research methods and methodology.

Figure 1.8 An overall process of research projects.

Figure 1.9 Types of research and development.

Figure 1.10 Relationship among three types of research.

Figure 1.11 Aims and outcomes of engineering R&D.

Figure 1.12 A process flow of experimental and empirical research.

Figure 1.13 Knowledge and skill levels of research.

Figure 1.14 Overall validity target of research results.

Figure 1.15 Validity levels of research results.

Figure 1.16 Further development of research.

Chapter 2

Figure 2.1 Three cornerstone of research proposal. (a) Proposal stool model....

Figure 2.2 Four phases of research lifecycle.

Figure 2.3 An overall process flow of research project.

Figure 2.4 Structure of proposal description with hypothesis.

Figure 2.5 A typical organization of research proposal.

Figure 2.6 Elements of research description.

Figure 2.7 Elements of proposal budget section.

Figure 2.8 Research proposal development steps.

Figure 2.9 An example of research project timeframe.

Figure 2.10 Stages of proposal development.

Figure 2.11 An evaluation process of research proposals.

Figure 2.12 An overall evaluation of research proposal.

Figure 2.13 An illustration of cross-disciplinary research. (a) Proposal in ...

Chapter 3

Figure 3.1 A section of literature review in a paper.

Figure 3.2 Purposes and benefits of literature review.

Figure 3.3 Literature review and other parts of research.

Figure 3.4 Common steps of literature review.

Figure 3.5 Funnel view of literature review.

Figure 3.6 Two filters in literature search process.

Figure 3.7 Selection considerations for scholarly journals.

Figure 3.8 Advance search window of Google Scholar.

Figure 3.9 An example of open access publication.

Figure 3.10 A process flow of literature search using keywords.

Figure 3.11 A search example with constraints in a database.

Figure 3.12 Another search example with constraints in a database.

Figure 3.13 A literature tree for literature search.

Figure 3.14 A structure of literature review.

Figure 3.15 A diagram for the Toulmin method.

Figure 3.16 A typical structure of literature review article.

Figure 3.17 An example of main body of literature review article.

Chapter 4

Figure 4.1 Main elements of research data management.

Figure 4.2 Common distribution types of continuous data.

Figure 4.3 Main steps of data handling in research.

Figure 4.4 Basic types of data.

Figure 4.5 Scales of data.

Figure 4.6 Entire data, accessible data, and samples.

Figure 4.7 An illustration of types of I and II errors.

Figure 4.8 Types of probability sampling.

Figure 4.9 Types of non-probability sampling.

Figure 4.10 Factors of research method selection.

Figure 4.11 A process of action research.

Figure 4.12 A diagram of induction vs. deduction.

Figure 4.13 Characteristics of research methods.

Chapter 5

Figure 5.1 Descriptive and inferential statistical analysis.

Figure 5.2 Correlations between two sets of data.

Figure 5.3 An example of ANOVA result.

Figure 5.4 An example of nonlinear regression analysis.

Figure 5.5 An example of meta-analysis result of automation reliability.

Figure 5.6 A process flow of hypothesis driven research.

Figure 5.7 An illustration of

p

-value.

Figure 5.8 Modeling to bridge division between real word and research.

Figure 5.9 Types of computer simulation.

Figure 5.10 Two FEA examples. (a) Airplane empennage. (b) Orion crew module ...

Figure 5.11 Four types of comparative experiment studies.

Figure 5.12 Independent, dependent, and confounding variables.

Figure 5.13 Four types of true experimental studies and overall process.

Figure 5.14 A process with inputs and output for DOE.

Figure 5.15 A process flow of DOE.

Figure 5.16 An example of 2

4

DOE analysis results.

Figure 5.17 Options of fractional factorial designs.

Chapter 6

Figure 6.1 Methodology of qualitative and quantitative research.

Figure 6.2 Methods of qualitative research.

Figure 6.3 A process flow of grounded theory.

Figure 6.4 Purposes of qualitative research.

Figure 6.5 A data analysis flow in qualitative research.

Figure 6.6 A reflexive process in research.

Figure 6.7 Key elements of survey study.

Figure 6.8 A process flow of survey study.

Figure 6.9 Rating scales of survey studies.

Figure 6.10 An example of open-ended question.

Figure 6.11 An analysis process of survey data.

Figure 6.12 A process of interview study.

Figure 6.13 Types of interview study.

Figure 6.14 A process flow of focus group study.

Figure 6.15 Considerations for mixed method research.

Figure 6.16 Three types of mixed method arrangements.

Figure 6.17 Triangulation of research methodology.

Figure 6.18 Embedded mixed method designs.

Chapter 7

Figure 7.1 Four phases in research project life cycle.

Figure 7.2 Main aspects of research project management.

Figure 7.3 General vs. research project management.

Figure 7.4 Research efforts throughout project life span.

Figure 7.5 Three key elements of research proposal and execution.

Figure 7.6 An example of Gantt chart for research project.

Figure 7.7 A review process for reported issues in execution.

Figure 7.8 A diagram of trade-off between time and resources of a task.

Figure 7.9 A diagram of functionality of research administration.

Figure 7.10 Phases of research project management.

Figure 7.11 Pre-award tasks for external sponsors.

Figure 7.12 An overall IRB review process.

Figure 7.13 Trends of patent applications and grants.

Figure 7.14 Preparation steps for patent applications.

Chapter 8

Figure 8.1 Composition of research reports and papers.

Figure 8.2 A typical structure of thesis and dissertation.

Figure 8.3 A process flow of thesis and dissertation preparation.

Figure 8.4 Formality and detail of technical reports.

Figure 8.5 Key information in an executive summary.

Figure 8.6 Composition of conclusion section.

Figure 8.7 Examples of research method section.

Figure 8.8 Examples of result and discussion section.

Figure 8.9 Main information in introduction section.

Figure 8.10 A recommended writing process.

Figure 8.11 Research presentation vs. keynote speech. (a) Research presentat...

Figure 8.12 An example of poster layout.

Figure 8.13 An example of presentation slide design.

Figure 8.14 An example of presentation in a template. (a) Cover slide. (b) C...

Figure 8.15 Section connection and flow of research presentation.

Figure 8.16 Evaluation factors of student invention projects.

Chapter 9

Figure 9.1 Types of scholarly journal publications.

Figure 9.2 Paper review criteria and result – Example 1.

Figure 9.3 Paper review criteria and result – Example 2.

Figure 9.4 Paper review criteria and result – Example 3.

Figure 9.5 Author's work for paper publication.

Figure 9.6 Overall review process of paper publication. (a) Professional con...

Figure 9.7 A peer review process managed by AE.

Figure 9.8 Examples of reviewer's recommendations.

Figure 9.9 An hourglass model of technical writing.

Figure 9.10 Abstract Example 1 (Lin et al. 2011).

Figure 9.11 Abstract Example 2 (Tang 2018).

Figure 9.12 Abstract Example 3 (Morinaga et al. 2017).

Figure 9.13 Abstract Example 4 (Heimann and Krüger 2018).

Figure 9.14 Examples of result and discussion section.

Figure 9.15 Examples of iThenticate and TurnItIn reports. (a) iThenticate re...

Appendix B

Figure B.1 Sections of complete prospectus.

Appendix C.1

Figure C.1.1 An illustration of the proposed study model.

Figure C.1.2 Project timing of the proposed study.

Figure C.1.3 An illustration of data collection process for the study.

Appendix C.2

Figure C.2.1 Project Gantt chart.

Figure C.2.2 A competing values framework.

Guide

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Engineering Research

Design, Methods, and Publication

Herman TangEastern Michigan UniversityMI, US

This edition first published 2021

© 2021 John Wiley and Sons Inc.

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, except as permitted by law. Advice on how to obtain permission to reuse material from this title is available at http://www.wiley.com/go/permissions.

The right of He Tang to be identified as the author of this work has been asserted in accordance with law.

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Library of Congress Cataloging-in-Publication Data

Names: Tang, He (Herman), author.

Title: Engineering research : design, methods, and publication / Herman Tang.

Description: Hoboken : Wiley, [2021] | Includes index.

Identifiers: LCCN 2020029292 (print) | LCCN 2020029293 (ebook) | ISBN 9781119624486 (hardback) | ISBN 9781119624523 (adobe pdf) | ISBN 9781119624530 (epub)

Subjects: LCSH: Engineering–Research–Methodology.

Classification: LCC TA160 .T36 2021 (print) | LCC TA160 (ebook) | DDC 620.0072–dc23

LC record available at https://lccn.loc.gov/2020029292

LC ebook record available at https://lccn.loc.gov/2020029293

Cover Design: Wiley

Cover Image: © nadla/Getty Images

About the Author

He (Herman) Tang is an associate professor at the School of Engineering, Eastern Michigan University. His research experiences are in the areas of mechanical, manufacturing, quality engineering, and so on. Dr. Tang has published three technical books and many scholarly journal papers. He moreover serves as an associate editor and a reviewer for several scholarly journals and conferences, and a panelist for NSF.

Dr. Tang earned his doctorate degree in Mechanical Engineering from the University of Michigan – Ann Arbor, master's degree and bachelor's degree in Mechanical Engineering from Tianjin University, and MBA in Industrial Management from Baker College. Dr. Tang is a member of SAE International (originally Society of Automotive Engineers), SME (originally Society of Manufacturing Engineers), American Society of Mechanical Engineers (ASME), and American Society for Quality (ASQ).

Preface

Research Book?

Research Matters

Research is both one of the most important elements in the technical world and one of the most interesting learning features in higher education. Many universities have undergraduate research programs and offer research methodology courses to graduate students. The more advanced degree a student pursues, the greater the amount of research is required for success. Without research, an organization cannot develop or improve its products, processes, or services.

There are many types of engineering work, such as analysis, design, and construct. As engineers, we often ask “how” questions. On the other hand, research exploration is different as we more address “what” and “why” questions. In addition to engineering and technical knowledge, the following key traits can help researchers to be more successful. A skilled researcher is

Innovative

Collaborative

Interdisciplinary

Ethical

For applied research and engineering R&D, cost-effectiveness is critical as well. The contents of this book focus on research methodology with these imperatives.

Book Intent

This book serves a concise overview of critical aspects of research development, which includes thinking, planning, executing, administration, and disseminating of a research project. Its aim is to provide an essential body of work that is focused on the comprehension of general guidelines for new researchers. In addition, the basic doctrines, principles, procedure, methods, and considerations of research are also a valuable guide to undergraduate students who are just delving into the research field.

New researchers entering the field need systematic training on research methodology to learn the best and most effective practices. This book is a systematic guide for learning how to plan and execute a research project, report research findings, and publish research results. This text can also be useful for improving research practice and achievements for both new and experienced researchers alike.

The methodology in this book has been taught in my master's level course. Through the course learning, all students established better confidence, increased interests, and demonstrated more concrete knowledge. They were able to move forward in conducting research projects.

Book Characteristics

General Principles and Methods

While the research methods described in this book are applicable for all areas of studies, I have prepared this text primarily for the students who are in engineering and technology fields and with an assumption that readers have a basic mathematical and technical background. For every method described in this book, I have selected many examples and citations across multiple engineering disciplines that readers can reference for a better understanding of each concept.

Various practices and standards of R&D are sometimes specialized within each academic and professional field. Research in social sciences, for example, utilize the standard ISO 20252:2019 Market, opinion and social research, including insights and data analytics – vocabulary and service requirements. Many research methods can be applicable to almost all areas. The methods used medical sciences may have good application potentials in engineering and technology. The methods presented in this work are not exclusively limited to research in a specific engineering area. Hence, this book is comprehensive in its contents, including some uncommon approaches in engineering and technology, so that all readers have a reference of most available methods for their particular research projects.

Various Examples

One effective way to begin research work is to learn from other professionals and their current practices. The book cites over 460 scholarly papers and other types of sources in various engineering and technical areas. While not all the examples may be relevant to other specific research topics, the information, approaches, processes, and suggestions in the examples are the proven techniques that can be useful as a guide for readers perusing their own research projects.

Furthermore, as an engineer myself, I intentionally designed this book with many illustrations: 147 diagrams and 70 tables. Hopefully, you the readers can find the illustrations effective for your comprehension of research principles and methods.

As to be discussed more in Chapter 1, an emphasis on critical thinking is central when it comes to research. Readers are highly encouraged to bear critical thinking in mind when reading the text and to consider implementing these suggestions to improve the current techniques and progress with improved research methods.

Practice Guidelines

Regardless of technical discipline or research subject, one basic principle never changes: the best way to learn research is to practice. One cannot learn how to do research just by reading books but rather, one can use their books as guidance to make research more effective.

For learning, an old adage says that I hear and I forget. I see and I remember. I do and I understand. Referring to the learning pyramid (Figure 1) below, which is adapted from the original developed by Edgar Dale in his book Audio-Visual Methods in Teaching published in 1946, one can learn research better if we practice through exercise, discussion, developing research proposals, etc. When one is able to apply the knowledge learned toward conducting a real research project, one effectively learned the knowledge and improved our research capability and skills.

Figure 1 A learning pyramid.

Along with learning research methodology, my students develop their own research plans, section by section, corresponding to the relevant chapters of this book. At the end of my class, every student will have a good proposal, ready to move forward with conducting their own research. The guidelines and sample proposals developed from the course are included in the Appendices for instruction and learning references.

Organization and Contents

Overall Information Flow

I arrange the contents of this book in typical sequence for the execution of a research project. There are three parts and nine chapters, as described in the Figure 2.

Figure 2 Parts, chapters, and subjects of this book.

If readers want to learn research methodology systematically, it is a good idea to follow the chapters in order. If using this book as a reference manual, one can jump directly to the most relevant chapters.

Parts and Chapters

Part 1: Research introduction and development, including proposal writing and literature review.

Chapter 1 Research Overview. This first chapter introduces the concepts and building blocks of research. The chapter reviews three types (basic research, applied research, and R&D) and discusses the validity of research results. Providing a basic understanding of research, this chapter serves a starting point for preparing and executing research work.

Chapter 2 Research Proposal Development. This chapter presents the entire process of research development, focusing on a proposal development. Introducing an overall develop process, Chapter 2 explains how to draft, review, and revise a proposal, and addresses the key issues of the development process.

Chapter 3 Literature Search and Review. This chapter talks about the techniques and considerations of a literature search and many engineering literature sources. The chapter discusses the tasks and focal points of a literature review. The chapter also offers guidance on how to prepare a review, as well as some suggestions for review writing up.

Part 2: Various types of research methods.

Chapter 4 Data Collection and Method Selection. Starting with the discussion on the roles of data in research and the types of data, later on, this chapter addresses the main aspects of data collection and sampling. Based on data and other considerations, the chapter explains the selection considerations of different research methods.

Chapter 5 Quantitative and Experimental Research. This chapter presents the methods for research as four topics. The first one is about quantitative data analysis, including statistical analysis and interpretation. The second section is on engineering quantitative research methods. The third section discusses common experimental studies, and the fourth section introduces on Design of Experiment (DOE).

Chapter 6 Qualitative and Mix Methods. The chapter reviews characteristics of qualitative research and mixed-methods. The chapter discusses main qualitative approaches, including survey, interview, and observational studies. Based on these characteristics of methods, the chapter further discusses mixed-method approaches.

Part 3: Management, scholarly writing, and publication of research.

Chapter 7 Research Execution and Management. Performing research, particularly an external-funded project, can be complex and may require more teamwork with institutional administration. This chapter introduces the functions and requirements of project management for research execution. Then, the chapter presents the main functions of institutional research administration, including the proposal, pre-award, post-award, and closeout phases. For student research, the information presented in the chapter is a useful reference.

Chapter 8 Writing Up and Presentation. Research reports and presentations are integral parts of research work. This chapter discusses them and student theses. Then, the chapter reviews report design, suggests guidance, and illustrate some considerations in technical report writing. Last, the chapter recommends some practical guidelines for preparing presentations.

Chapter 9 Scholarly Paper and Publication. This final chapter provides real-world guidance for scholarly publication. The chapter discusses an overall publication process and targeting scholarly journals. Furthermore, the chapter provides recommendations on how to prepare a manuscript and work with journal editors for publication.

Exercises and Supplemental Materials

Research is not only about theories but practice as well. As previously emphasized, exercises are vital to learning this subject.

Two types of exercises are designed at the end of each chapter: Review Questions and Mini-project Topics. There are about 20 and 10 for each chapter, respectively, total 188 and 91. Both types of exercises are complementarily designed for individual student thinking and class team-learning activities.

The Review Questions can be used for immediate classroom/online discussion, while the Mini-project Topics, requiring more time and student's effort to search materials and critically prepare a short essay, to be used to lead further in-depth discussion on a particular topic. Many Review Questions and Mini-project Topics may be exchangeable; meaning a topic in Review Questions can be expended to a Mini-project or a Mini-project topic be simplified for an immediate discussion.

There are also three supplemental materials for in class lecture, including a sample course syllabus, project development guidelines, class exercise instructions, and discussions. These can be valuable for instructors as well as students. The best exercise while studying this subject is to plan and conduct an entire research prospectus. Following these guidelines, students can find an area of interest and develop a research prospectus in six steps. Instructors and students may refer to the appendices in a classroom setting and via online learning.

In addition, three research prospectuses developed by some of my former students are included for the reader's reference. These samples differ in subject, method, research process, style, etc., which reflects the openness and diversity of research.

Acknowledgments

I am deeply grateful to the mentors and colleagues of my research work at Tianjin University, University of Michigan—Ann Arbor, Fiat Chrysler Automobiles, and Eastern Michigan University (EMU). Although not involved directly in this book preparation, these mentors deserve a valid credit of the book as they influenced my research work and scientific thinking. The EMU 2019 Faculty Research Fellowship Award supported this book manuscript preparation.

Teaching this subject is among my favorite activities here at EMU. I really enjoy working with the students in classes, as we tackle over various research topics and challenges. Many of my students are experienced professionals; their insights and experiences have enhanced the manuscript in terms of practical and broad scope.

Special thanks go to the professionals in various areas for their reviews and suggestions on individual chapters. They include Dr. Grigoris Argeros, Dr. Kathy Chu, Kelly Getz, Dr. Dorothy McAllen, and Dr. Wade Tornquist. Thanks also go to Dr. Dan Fields, Dr. Sohail Ahmed, Dr. Bryan Booker, and Dr. Joe Bauer for sharing their teaching materials. EMU students Jacob Benn, Erin Butler, and Brendan Ostrom helped manuscript proofreading. I appreciate the authors and organizations for their works cited in the book.

I am grateful to three anonymous reviewers who supported and provided constructive recommendations on the book proposal and drafts of the chapters. Wiley's acquisition, editing, and publication teams, particularly Brett Kurzman, Steven Fassioms, and Sarah Lemore, played the integral roles to the quality and effective publication of the book. I greatly appreciate their work and contribution.

Last but not least, I would like to thank my wife's understanding and full support helping to bring this volume to fruition and to our sons Boyang and Haoyang, both engineers, for their great help in reviewing and editing on the manuscript.

Research is a broad, complex, and diversified practice that no single volume can cover every aspect of research. Regardless of just beginning research or acting on years of real-world experience, readers of this book can help improve this text. Send me your comments, criticism, and suggestions to [email protected] or [email protected] – I greatly appreciate your remarks and will be carefully reviewing them for future editions of this book.

Finally, thank you, readers, for your interest in research. I hope this book will help you gain a new understanding of research and in implementing an informed research project. I wish you the best of success in your research.

He (Herman) TangAnn Arbor, MI, USAJanuary 2020

Part IOverview, Proposal, and Literature Review

1Research Overview

1.1 Introduction to Research

1.1.1 What Is Research?

Research is a universal word. Professionals in almost all disciplines are prosecuting doing research, such as in science, engineering, medicine, languages, literature, history, and business. There are various definitions of research. However, the process and requirements of research in some areas, such as medical science, might be better defined than that of other fields. While difficult to define research comprehensively and precisely in one sentence, we can understand research from its various aspects.

1.1.1.1 Seeking New Knowledge

According to Merriam-Webster Dictionary, the word research is derived from the French “recherché,” which means “to go about seeking.” Research concerns the seeking and creation of new knowledge and understanding the principles and characteristics of a phenomenon. For example, another definition of research is “the process of finding out something that we don't already know” (Hazelrigg n.d.). The new thing should be interesting or of concern to a profession or humanity. Research can be any kind of investigation that intends to uncover new facts.

The words “what” and “why” may be used to show what research is about. Knowledge takes two forms: “know that” and “know why.” The “know that” may be called declarative knowledge, which represents ideas and understanding. As such, declarative knowledge is relatively easy to teach and learn. The “know why” is about a type of functional knowledge, which varies with individual capability.

In many cases, scientific work includes applied research (R) and engineering development (D) called research and development (R&D) in short. Such R&D efforts can be either applied research, development, or a combination of both and in context of “know how.” The yields of most engineering and technical R&D are new or improved physical artifacts, such as software, products, and processes. Sometimes, the research characteristics of R&D may be debatable as far as its contributions to new knowledge.

A key to research is an innovation to professional community at large. Think about some efforts that may look like but are not research. Here are a few common types (Leedy and Ormrod 2016):

Simply gathering information

Merely rummaging around for hard-to-locate information

Transfer of facts from on location to another

For example, the term “research” is often used for describing the act of information discovery in our daily life. For example, if one is looking for a new car, he/she may do “research” on various features, models, safety records, price, etc. When looking for a job, one would “research” the websites of companies with openings. These types of everyday exploratory activities are good for an individual's purposes, but no contribution to the general knowledge of a professional community. Therefore, such acts and efforts of information search are not scientific research because the information is not new to professional community.

1.1.1.2 A Systems Viewpoint

We may view a research project as a system (Figure 1.1), which can have different objectives and tasks, such as analysis, experiment, and computer simulation. From a system viewpoint, doing research is to invest inputs, consider influencing factors and distributions, and do original and diligent work for the expected outcomes. Accordingly, one of the important characteristics of research from a systems viewpoint is to deal with the complex relationship among inputs and controllable factors.

Figure 1.1 A system view of research project.

For a defined purpose or curiosity, knowledge exploration starts from observations. Figure 1.2 shows the overall process flow of systematic knowledge exploration: (i) basic research and (ii) applied research and R&D (problem-solving).

Figure 1.2 Overall processes of basic and applied research. (a) Basic research, (b) applied research and R&D.

After identifying a research question or problem, we need to establish our guess, or hypotheses, for basic research. Based on the question and hypotheses defined, we then develop a detailed study plan. For a relatively simple problem, we may directly address it.

Following the plan, we conduct the study, which includes data collection, analysis, and interpretation. In most cases, we submit our findings for publications to share with others. It is often the case that research results promote new questions. Following this circular process, the understanding and knowledge on a particular subject can continuously deepen and widen.

Exploring new knowledge never ends. “Research is iterative and depends upon asking increasingly complex or new questions whose answers in turn develop additional questions or lines of inquiry in any field” (ACRL, Association of College and Research Libraries 2016). Research continuously advances to new levels of knowledge and innovation.

1.1.1.3 General Characteristics

Research in all disciplines shares common characteristics in addition to the systematic exploration:

Scientific research is a structured study with a plan to execute and document the process and results.

Research work always has various assumptions.

Much research, particularly basic research, is normally hypothesis guided.

The entire research process, or methodology, is just as important as the specific methods used for research success.

Research methods and outcome always have limitations.

The outcomes from research should be independently verified or recognized by other professionals.

It may be a good exercise for reader to think about known research for these general characteristics. For example, what are the assumptions for a completed research project? Are they explicitly stated? Other questions may include the nature, method, and procedure used in the research.

Engineering R&D share common principles and methods from the research in other scientific fields, such as medical and social sciences, but may have some different emphases, characteristics, and practices. Engineering researchers can and should learn from the professionals in other disciplines to improve their research methodology. More discussion on engineering R&D is in a later section of this chapter.

1.1.2 Impacts of Research

1.1.2.1 Impacts on Societies

Research work needs resources, including funding, personnel, and facilities. A question often asked is “what is the return on that investment?” Therefore, researchers must provide the justification of a research project with positive impacts and effects.

The impacts of research can be the overarching benefits for human society. Research can contribute in many ways and areas, such as technological developments, environmental impact, economic benefits, health and wellbeing, national interests, and policy change.

The impact of research also depends on the type of research. Figure 1.3 illustrates how the three main areas of research (i.e. academic, economic, and societal) can have significant impacts. Situations are also various in terms of the designed impacts of research. For example, a research project may be purely scientific without an immediate impact on society. If a R&D project is for commercialization, the product may make a significant technological advance.

Figure 1.3 Main areas of research impacts.

The impacts from a research project depend on various factors, such as the type, objective, and size of a research project. For example, basic research, to be discussed in Section 1.3.1, is to expand humanity's knowledge. Two criteria related to the overall evaluation of basic research are intellectual merit of a new discovery and the broader impact on society.

While applied research and R&D have different applications, the impacts of such application-oriented research may be different from those of basic research. Industrial corporations often consider commercial advantages to fund R&D projects. In addition, corporations may support research institutes for basic and applied research as well.

1.1.2.2 For Specific Objectives

As discussed previously, the general objectives and benefits of different types of research are different and with substantial overlap:

Basic research to explore knowledge

Applied research to solve problems

R&D to generate new artifacts

In most cases, they may build on each other in succession through their similar goals. For example, new knowledge derived from basic research inspires theories leading to applied research and R&D. R&D in turn can raise demands to conducting basic and applied research.

Some funding sponsors focus on the solutions of particular problems or a specific area. The research projects funded by the sponsors may have very specific objectives and criteria. A granted research project should meet the sponsor's requirements, such as a better understanding of the phenomenon in question, more accurate predictions about future events, additional interventions for a better quality of environment or life. It is important to note that you as a researcher can have your idea first and then try to find and matching, funded opportunities.

The outcomes of a research project should be conducive to its predefined objectives. Here are a few examples of basic and applied research supported by the US government agencies:

The Basic Energy Sciences program of the US Department of Energy is to “discover new materials and design new chemical processes” (DOE

n.d.

-a).

The Advanced Scientific Computing Research program is to “discover, develop, and deploy computational and networking capability to analyze, model, simulate and predict complex phenomena important to the Department of Energy and the advancement of science” (DOE

n.d.

-b).

The

Secure and Trustworthy Cyberspace

(

SaTC

) program of US NSF states, “The goals of the SaTC program are aligned with the Federal Cybersecurity

Research and Development Strategic Plan

(

RDSP

) and the

National Privacy Research Strategy

(

NPRS

) to protect and preserve the growing social and economic benefits of cyber systems while ensuring security and privacy” (SaTC

n.d.

).

The Science Mission Directorate of NASA “targeted technology investments fill technology gaps, enabling NASA to build the challenging and complex missions that accomplish groundbreaking science” (NASA

n.d.

).

1.1.2.3 Benefits to Student Researchers

Research is a part of higher and graduate educations. Figure 1.4 shows the significant increase of doctorate degree recipients in engineering and science fields from US universities in recent 20 years (NSF 2018).

Figure 1.4 Doctorate recipients in engineering and science from US universities.

Source: Data from NSF (2018).

Research training and projects can start at an undergraduate or master's graduate level. Many universities offer a dedicated course on research methods for master's graduate students and some universities offer introductory courses and programs of research for undergraduate seniors (Depaola et al. 2015). A research course opens students a new opportunity to engage in creative and critical thinking that leads to hands-on engineering applications.

Some students consider doing research simply out of interest without any in-depth concern for anything else. Without much experience, they may be hesitant to choose research opportunities in curriculum. Before doing research, students should discuss with professors and experienced researchers and ask what prerequisites are needed. With the guidance and encouragement by experienced researchers and professors, students can quickly grow in motivation and understanding, start to develop their research skills, prepare to pursue a higher degree, and to become good researchers. A study showed that many undergraduate students discover their passion for research through exposure to simple research projects (Madan and Teitge 2013). A large survey with 15 000 respondents indicated that undergraduate research significantly increases understanding of how to conduct research and confidence in research skills (Russell et al. 2007).

Through completing a research thesis or capstone project, students can also deeply explore something they have a passion for and enrich their understanding of the topics. They can apply their learned skills do better future research and conduct industry projects they work on. In addition, research can help students in the following ways:

Improve critical thinking and intellectual independence

Develop creativity and problem-solving skills

Have opportunities to communicate special ideas

Enhance your determination and perseverance

Research work provides examples and accomplishments of students to their peers and employers, which offers insights to a person's credentials and background as well. In today's technical professions, if someone has a well-rounded mix of skills, he/she may stay relevant in a competitive position.

1.2 Building Blocks of Research

We refer to building blocks here as the essential elements of doing research. They include several key factors, including knowledge, competence, information, teamwork, resources, etc. These building blocks are essential to, as Dr. Richard Miller, President of Olin College of Engineering, said: “Learning things that matter; learning in context; learning in teams. Envisioning what has never been and doing whatever it takes to make it happen” (Ark 2019). In addition to proper knowledge, motivation and critical mindset play critical roles to research work and success. We address these building blocks in this section and will have more in-depth discussions in the following chapters.

1.2.1 Innovative Mind

1.2.1.1 Motivations to Research

In most cases, researchers are generally enthusiastic about what they do. For example, a researcher stated, “my research is motivated by interesting challenges arising from the growing size and complexity of modern pattern recognition problems in the sciences, engineering and social media” (Kpotufe 2014). In contrast, if burdened with a “have to do” mindset, one will not be very successful in their research.

Intrinsic motivating factors include curiosity, determination, and/or enjoyment of solving a challenging problem. For example, researchers may have strong personal preferences for a particular subject or direction of research.

While some motivation sounds extrinsic (such as educational requirements, studying for a master's or doctoral degree and professional career requirements, such as for employment, promotion, and recognition), these are all actually intrinsic motivation because researchers determine to pursue their career interests or educational paths. It still comes down to someone being personally motivated.

As general interests change and advance along with new technologies and community demands, it is important that an individual researcher's interests be in line with overall trends. For instance, in Computer Science and Engineering fields, students would most likely to do research in one of the significant advancing subjects: networking technologies and distributed systems, embedded systems, ubiquitous computing, interoperability and data integration, object-oriented programming, human–computer interaction, software safety, security and cryptography, and so on. In other words, successful researchers focus on the future and stay in the present.

1.2.1.2 Thinking and Research

As with any learning knowledge or skill, human cognition has several levels. Refer to Figure 1.5 for the general growth of capability and contribution of professionals.

Figure 1.5 Thinking levels and research capability.

In colleges, undergraduate education focuses on the comprehension of knowledge and it is application on Levels 1 and 2. Once proficient at the first two levels, students can analyze real and complex problems with their knowledge (Level 3), which is a starting point of a professional career, research, and creativity. With analysis and problem-solving, they become more capable to check, assess, and critique the work and achievements of themselves and others. Such capability of evaluation (Level 4) includes critical thinking and analysis, which is a foundation for creating and producing new understanding and/or artifact (Level 5). At the top level (Level 6), researchers are grown: becoming visionary leaders to predict and guide research directions. The higher level of knowledge and thinking, the more contributions we may have on the scientific and professional community.

Appropriate knowledge is often a prerequisite for critical thinking, creating, or improving solutions. Technical knowledge, along with other factors, influences cognitive capability, which plays an essential role in the success of research. We can learn particular thinking skills, such as deductive logic and inductive reasoning, from training and practice.

1.2.1.3 Critical Thinking

Critical thinking is a skill and process, which includes analyzing, assessing, and challenging an observation on a subject. Some authors defined critical thinking as “self-guided, self-disciplined thinking which attempts to reason at the highest level of quality in a fair-minded way” (Elder 2007). Critical thinking plays a more important role than that of observation, which does not necessarily generate a research question. Critical thinking questions may include

Questions beyond norms or traditions

Logical evaluation of evidence, process, and conclusions

Connections between similar or different ideas

Systematical review and consideration of all aspects and elements

Open minded to be challenged and to different perspectives

It is true that “many ideas that were previously thought of as ‘facts’ or ‘theories’ were debunked by others who did not give up in their quest to prove that inaccuracy of those ideas. Those who continued researching against what was ‘known’ were thought of as crazy” (Laird 2018). Thus, critical thinking is a key for us to challenge the existing understanding and generate new ideas and/or new methodology. We can find new opportunities and initiate new studies from thinking critically and challenging the existing status or conclusions.

Practicing critical thinking in a literature review often generates new ideas and questions, which is also an effective way to initiate a new research proposal. In the literature review section of published papers, the words like “however” and “although” are often used to challenge the existing status or scenarios. For example, the authors stated, “Although there have been considerable developments in manufacturing technologies and processes, the actual scope and elements of manufacturing systems are complex and not adequately defined” (Esmaeilian et al. 2016). In critical thinking mode, we may also question ourselves on different aspects of research, such as on its assumptions, data reliability, method adopted, interpretation, conclusions, and potential applications.

In workplace, there is an accountability vs. responsibility relationship, as with superiors and subordinates. In a university, there are student researchers and faculty advisors. For research, we should try to think outside the box on research as much as we can but not constrain our critical thinking based on work relationship. In conducting research, our technical discussion should be based on the convincible ideas and facts, rather than authority. Senior researchers must encourage and guide novice and young researchers on critical thinking and innovative initiatives to challenge the existing principles and status.

1.2.2 Assumptions and Hypotheses

1.2.2.1 Assumptions

Assumptions are the foundation and conditions that affect the outcome of research. Assumptions help narrow the scope of research work, effectively drive the execution process, and guide the focus of research work. In addition, any research task, such as data collection and analysis, is under certain assumptions based on physical constraints and situations. Assumptions affect the ways the data is gathered, analyzed, and concluded. Assumptions also indicate how far we have gone to prove findings.

Assumptions may or may not precisely reflect the real world. We should avoid assumptions that are extremely restrictive. Similarly, too many assumptions may result in the research becoming over simplified. If it turns out that the assumption is not reasonably accurate, then the findings and results may not be meaningful or externally valid. In other words, successful research outcomes are conditional to appropriate assumptions.

Assumptions may be broken down into three types: epistemological, ontological, and methodological. They are about the ways to acquire the knowledge, the nature of the world and human being in social contexts, and analysis of the methods used, respectively. Most assumptions in engineering applied research and R&D are methodological, related to the methods, data, and process.

Assumptions should be an integral part of research publication to make sure that the audience is aware of them. The assumptions, in either quantitative or qualitative form, should be stated in a proposal and in a result report later on and sometimes even in the title of a proposal and paper. For instance, this study clearly stated assumption in its title: “New two-phase and three-phase Rachford-Rice algorithms based on free-water assumption” (Li and Li 2018).

The abstract of a paper may include the assumptions as well. For example, a paper stated its assumptions thus: “This paper shows the usual inconsistency made in the linear elastic fracture mechanic, which is to estimate plastic zones (PZ) from a linear elastic (LE) analysis with correction of the PZ size based on assumptions of equilibrium” (Sousa and Figueiredo 2017). Another paper indicated, “… satisfies certain mild assumptions which we outline below” (Razaviyayn et al. 2013).

Sometimes, researchers consider some assumptions so obvious not to even mention them in a proposal or paper. However, even though they are not explicitly stated, the assumptions do exist.

1.2.2.2 Hypothesis

Before doing a research task, we often have a specific aim or expectation of the outcomes. Such an expectation may be formulated as a hypothesis, which is a predictive statement based on our knowledge, experience, and research targets. Therefore, most research, particularly basic research, is hypothesis-driven. The corresponding tasks are to test the hypotheses and draw conclusions, refer to Figure 1.6.

Figure 1.6 A process flow of hypothesis-driven research.

For example, a paper had its hypothesis statement (Davoodi-Nasab et al. 2018):

H0 : β1 = β2 = β3 = ⋯ = βk = 0

H1 : βj ≠ 0, for at least one j

Where, the null hypothesis (H0), as a starting point or a default position: all βj are zero. The alternative hypothesis (H1) is stated that at least one β is not zero.

Although stating a hypothesis mathematically is typical, not all researchers do so explicitly, particularly for applied research and R&D projects. There are various ways to state the hypothesis. For example, a paper stated, “The hypothesis of rigid adherents is here assumed” (Santarsiero et al. 2017). Another example expressed, “To evaluate the hypothesis that a reduction in tensile strength could be associated with some sort of reaction and/or interaction between HALS” (Staffa et al. 2017).

For the research using statistical analysis, we should explicitly state the hypotheses in format of H0/H1. We should also discuss the corresponding research tasks and results based on the stated hypotheses, which will be discussed more in Chapter 2.

1.2.3 Methodology and Methods

Both methodology and methods are the keys in research and play combined roles in research success. We often use the two terms of methodology and methods interchangeably in our professional communication. However, when we prepare and conduct research, it would be better to understand their differences and relationship. In a general sense, methodology is a broad scope and overall view of research, while methods are the specific approaches to conduct the research.

1.2.3.1 Methodology

Methodology is a general research strategy and procedure. It refers to all methods used to meet research objectives and all perspectives of a research process as a whole. Research methodology may include data collection, analysis approaches, equipment and facilities, process, validation, and so on.