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Module 1 RM and IPR lecture notes

Research Methodology (Visvesvaraya Technological University)

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RESEARCH METHODOLOGY &

INTELLECTUAL PROPERTY
RIGHTS
(18RMI56)

Dr. A. Chrispin Jiji

Associate Professor
Department of ECE
Cambridge Institute of Technology
Bangalore

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Textbook
1. Dipankar Deb, Rajeeb Dey, Valentina E. Balas “Engineering
Research Methodology”, ISSN 1868-4394 ISSN 1868-4408
(electronic), Intelligent Systems Reference Library, ISBN 978-981-
13-2946-3 ISBN 978-981-13-2947-0 (eBook),
[Link]

2. Intellectual Property A Primer for Academia by Prof. Rupinder

Tewari Ms. Mamta Bhardwa

Reference Book:
1. David V. Thiel “Research Methods for Engineers” Cambridge
University Press, 978-1-107-03488- 4

2. Intellectual Property Rights by [Link] Asia Law House 6th

Edition. ISBN: 978-93-81849-30-9

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MODULE 1
1. Introduction: What is Research (Meaning of
Research)
2. Objectives of Engineering Research
3. Motivation in Engineering Research
4. Types of Engineering Research
5. Finding and Solving a Worthwhile Problem
6. Ethics in Engineering Research
7. Ethics in Engineering Research Practice
8. Types of Research Misconduct
9. Ethical Issues Related to Authorship

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1. Introduction: What is Research (Meaning of Research)

Explain the fundamental principles of Engineering research
and how it involves systematically exploring and learning to
solve real-world problems

Key Points:
• What is Research
• Engineering Research
• The Research cycle
• Building background knowledge
• Making a contribution
• Types of Knowledge (Observation, Models, Processes)

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What is Research (Meaning of Research)

RESEARCH= RE + SEARCH
• Research is a way of finding out new things or solving problems by
following a careful and systematic method
• Its like being curious and looking for answers to things we don’t
know yet Formulation of hypothesis or
proposition of solutions, data
Interpretation of Existing
analysis, and deductions
Systematic method of facts, laws and theories
search for knowledge

Process of creating, or Research Discovery of new facts,

formulating knowledge laws and theories
that does not yet exist

Discovery of accepted
Arrive at a conclusion theories or laws in the
light of new facts

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According to Clifford Woody

Research comprises of
- Defining and redefining problems
- Formulating hypothesis of suggested solutions
- Collecting, organizing and evaluating data
- Making deductions and research conclusions
- Carefully testing and conclusions to determine whether they fit the
formulating hypothesis
Engineering Research
• Improving knowledge and skills to solve real-world problems or
understand things better
• Its all about exploring and learning to make the world better
• Good research means collecting information systematically and
going beyond what we already know
• In Engineering, it often starts from a broad area, then narrows
down to a topic, and finally focusses on a specific problem
• Finding a good problem to solve is a big part of research

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The Research flow diagram (Research cycle)

Research cycle starts with basically a practical problem. This problem

motivates a research question. The question in turn defines a research
project which is an activity or set of activities that ultimately leads to
result or answer, which in turn helps to solve the practical problem
that one started with in the first place as shown in Fig
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Building background Knowledge:

• Before doing research we need to learn and connect different areas
and ideas.
• This helps our mind get ready to work on new things.
Making a contribution
• Research is not just about reading a lot of books and finding a lot
of, gathering a lot of existing information, but adding small and
specific, yet original, contribution to that existing body of
knowledge.
• Research is like bringing a puzzle piece to complete a bigger
picture
• The objective of a good research program is to try and gain insight
into something. Or indeed, to try and solve a problem.
• Good research questions develop throughout the project actually
and one can even keep modifying them.
• To make, or develop, new knowledge about the world around us
which can be written down or recorded in some way, and that
knowledge can be accessed through that writing or recording.
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The categories of knowledge in research

There are three main ways we develop and access
knowledge: i) Observation ii) Models iii) Processes

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(i) Observation is the most fundamental way of obtaining information

from a source, and it could be significant in itself if the thing that we
are trying to observe is really strange or exciting, or is difficult to
observe. Observation takes different forms from something like
measurements in a laboratory to a survey among a group of subjects to
the time it takes for a firmware routine to run. The observational data
often needs to be processed in some form and this leads to the second
category of knowledge, the model.
(ii) Models are approximated, often simplified ways of describing
sometimes very complex interactions in the form of a statistical
relationship, a figure, or a set of mathematical equations. For instance,
the modeling equation captures the relationship between different
attributes or the behavior of the device in an abstract form and enables
us to understand the observed phenomena.
(iii) The final category is a way of arranging or doing things through
processes, algorithms, procedures, arrangements, or reference designs,
to get a certain desired result.

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• Good research involves systematic collection and analysis of

information and is followed by an attempt to infer a little bit
beyond the already known information in a way that is a significant
value addition.
• Usually, engineering research is a journey that traverses from a
research area (example: Control Systems), to the topic (example:
Control of Microbial Fuel Cells) and finally onto the problem
(example: Adaptive Control of Single Chamber Microbial Fuel
Cells) (Area → Topic → Problem).
• Getting a good problem to solve is more than half the work done.
However, sometimes the journey can be reverse, for example, the
traversal from (Problem → Topic → Area).
• This can happen when one is led to a problem through a connection
to another problem whose top structure is different.

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• Engineering research is the process of developing the perspectives

and seeking improvements in knowledge and skills to enable the
recognition, planning, design, and execution of research in a wide
range of forms relevant for engineering and technology investigations
and developments.
• We can start off by describing some problem in the world that exists
that is bugging or worrying us and that we should be addressing.
• It could be that there is something we would like to do or accomplish
but currently can not because we lack the knowledge to do so.
• It could be that there is something that already works, but we do not
know why and we would like to understand it better.
• It could be that we want to do something to see what will happen.

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2. Objectives of Engineering Research

Explain the significance of framing research objectives in
Engineering emphasizing their role in the research process and
the potential outcomes even when the desired result is not
achieved

Key points:
• Introduction
• The start of Engineering Research
• Chasing the guess
• Tricky objectives
• Types of Research (Exploratory or Formulative,
Descriptive Research, Diagnostic Research,
Hypothesis-Testing Research)
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Introduction:
• The primary objective of Engineering research is to apply
scientific methods to address unanswered questions and solve
real-world problems
• It is important to understand that research goals extend beyond
merely achieving a desired result
• Research objectives should be framed in such a way that even if the
desired outcome is not achieved, valuable insights are gained
• Understanding why a particular objective could not be met
contributes to ongoing research efforts
• In some cases a different approach or perspective may eventually
lead to the desired outcome

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Start of Engineering Research:

• When engineers begin their research, they are faced with a unique
challenge. They don’t have all the answers from the start
• To solve new and important problems, and since the conclusion at
the end of one’s research outcome has to be new, but when one
starts, the conclusion is unknown.
• So, the start itself is tricky, one may say.
• To kickstart the research journey engineers rely on a mix of
circumstantial evidence”, intuition, and imagination.
• One guesses what may be a possible conclusion.
• However it is important to note that this guess is not always
accurate

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Chasing the Guess:

• The guess, though not always right, provides a direction to work
towards
• Engineers embark experiments and investigations based on their
initial guess
• Sometimes they discover that their guess was incorrect.
• However this is not a failure. Instead it can lead to valuable
insights, new avenues of exploration, or even unexpected
discoveries
• In essence engineering research is a dynamic process where the
journey itself can reveal exciting opportunities and solutions that
were not apparent at the beginning
• This elements of unpredictability keeps the process engaging and
full of potential

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Tricky Objectives:
• Research objectives in engineering can sometimes appear complex
and challenging to follow
• Knowing where and how to find different types of information
helps one solve engineering problems, in both academic and
professional career.
• Lack of investigation into engineering guidelines, standards, and
best practices result in failures with severe effects.
• As an engineer, the ability to conduct thorough and accurate
research while clearly communicating the results is extremely
important in decision making.

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Types of Research:
• The main aim of the research is to apply scientific approaches to seek
answers to open questions, and although each research study is
particularly suited for a certain approach
• In general, the following are different types of research studies:
exploratory or formulative, descriptive, diagnostic, and hypothesis-
testing.

i) Exploratory or Formulative Research:

• To gain familiarity with a phenomenon or to achieve new insights
into it
• Researcher has no past data or only a few studies for reference
• It answer questions about How/When/Why
• Example: Murder investigation

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ii) Descriptive Research:

• To portray accuratively the characteristics of a particular individual,
situation or a group
• Describe current (present) status
• It answer questions about What/Where/When/ How?
• Example: survey studies, Historical events

iii) Diagnostic Research:

• It is a type of research that is used to identify the causes of a problem
• To determine the frequency with which something occurs or with
which it is associated with something else
• Example: Healthcare, Education, Business, Why a certain electronic
component in a device is malfunctioning and identifying the
contributing factors

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iv) Hypothesis-testing Research:

• Hypothesis states your predictions about what your research will
find.
• It is a tentative answer to your research question that has not been
tested
• To test a hypothesis of a casual relationship between variables
• Example: To test the relationship between gender and height
To investigate whether alternating the composition of a
particular alloy enhances its tensile strength

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3. Motivation in Engineering Research

Explain the various motivations that drive engineers to
engage in research, highlighting their diverse reasons and
how these motivations influence their research pursuits

Key points:
• Introduction
• Intrinsic motivation (Because its interesting)
• Extrinsic motivation (For the rewards)
• Influence from others
• Personal motivation
• Making the world better
• Some extra push
• External influences
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Introduction
• Motivation in Engineering research is like a bunch of different
reasons that drive engineers to explore, discover and create
• When engineers decide to do research, they have different reasons
that push them to explore new things

Intrinsic motivation (Because its interesting)

Some engineers
- just find research topics fascinating
- Curious and love a good challenge
- Learning new stuff
- Finding meanings in their work
- Solving a puzzle or involving in an exciting adventures

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Extrinsic motivation (For the rewards)

• Some engineers are motivated by rewards for good work include
money, fame, awards, praise, and getting a high status job are very
strong motivators, but may block creativity.
• For example: Imagine inventing something cool and getting a patent
for it. That could make you rich and famous

Influences from others

• Influences from others like competition, collaboration,
commitment, and encouragement are also motivating factors in
research.
• For example: my friends are all doing research and so should I, or, a
person that I dislike is doing well and I want to do better.

Personal motivation
Personal motivation in solving unsolved problems, intellectual joy,
service to community, and respectability are all driving factors.

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Making the world better

• Some engineers aims to beat what's already exist, make technology
better and contribute to making society better
• Wants to honor their cultural background and make their mark in
history

Some extra push

A mix of reasons can also motivate engineers
(i) Wanting to do better than what has been achieved in the world,
(ii) improve the state of the art in technology
(iii) Contribute to the improvement of society
(iv) Fulfillment of the historical legacy in the immediate sociocultural
context.

External influences
Several other factors like government directives, funding opportunities
in certain areas, and terms of employment, can motivate people to get
involved in engineering research.
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4. Types of Engineering Research

Key Points:
• Introduction
• Descriptive versus Analytical
• Applied versus Fundamental
• Quantitative versus Qualitative

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Introduction
• In Engineering research different types of research approaches play a
pivotal role in shaping the path to discovery and innovation
• These approaches include
- Descriptive
- Analytical
- Applied
- Fundamental
- Quantitative and
- Qualitative research

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Descriptive versus Analytical:

Descriptive research
• Descriptive means to describe the problem under research
• Purpose: includes comparative and correlational methods, an fact-
finding studies, to effectively describe the present state of art.
• Descriptive research focuses on “What?”, no hypothesis is needed
• Features: The researcher has no control over the variables (only
reports as it is i.e what has happened or what is happening.
• Examples:
- Frequency of shopping, which flavor of product people like
the most
- Imagine you are a wildlife photographer in a forest, capturing
images of animals without disturbing them. Your goal is to
document and show the different species and their behaviors
as they naturally occur in their habitat
• Methods used: survey methods

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Analytical Research
• Analytical research is about critically analyzing the facts, data &
information already available
• Analytical research focuses on “How?, Why?”, hypothesis is needed
• Example: Crime investigation
- Imagine you are a forensic investigator examining a crime scene.
You are not just documenting evidence; you are piecing together
clues to understand why the crime happened and who might be
responsible
- You are like a problem solver unraveling the mysteries behind the
incident
- In Engineering this could involve investigating a product failure
to determine the root cause and prevent future issues

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Applied versus Fundamental

Applied Research
• Applied Research seeks to solve an immediate problem facing the
group, society or organization
• It is like providing a quick solution to keep things running
• Example:
- How to reduce poverty in cities
- How to minimize crimes
- Think of a car manufacturer facing a problem with their vehicles
suddenly stalling. They conduct research to identify and fix the
immediate issue, ensuring that the cars run smoothly and safely
on the road

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Fundamental Research (Basic/Pure Research)

• Fundamental research is concerned with generalizations and
formulation of a theory.
• To gather knowledge
• Examples: Research concerning natural phenomena or relating to
pure mathematics
• No solution to a practical problem
• Example:
- natural phenomenon
- generalization about human behavior
- Astronomers studying the origins of galaxies and the
fundamental laws of the universe. Expand the understanding
of the universe structure and evolution. It is not about solving
an immediate problem but gaining profound knowledge

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Quantitative versus Qualitative

Quantitative Research
• Quantitative Research is used to collect & analyze numerical data or
facts and find results by applying statistical and mathematical
techniques
• Example:
- How much time is decreased in product life cycle after
implementing new technologies
- Imagine you are a market researcher analyzing survey responses
from thousands of people to determine which smartphone features
are most popular. Draw conclusion that certain percentage of
people prefer larger screens or better battery life

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Qualitative Research
• Qualitative research deals with collecting & analyzing non numerical
data to understand concepts, opinions or experience etc
• Qualitative research is used to understand human behavior, attitude,
motivation, satisfaction etc
• Example:
- Whether employees are satisfied with current reward system of a
company/organization
- Conducting in-depth interviews with a few individuals to
understand their personal experiences with a new technology.
Explore their unique stories and insights, diving deep into their
perceptives on how the technology has impacted their lives
Focusing on rich narratives and human experiences

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5. Finding and Solving a Worth while Problem

Describe the process of identifying and selecting a research
problem in Engineering and explain how this process contributes
to the overall quality of research

Key Points:
• Identifying a Research Problem
• Literature survey
• Ideas related to our problem
• What makes a problem good
• Not all problems are equal
• Steps to solve a problem

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Identifying a Research Problem

• A researcher may start out with the research problems stated by the
Supervisor or posed by others that are yet to be solved.
• Otherwise we might need to rethink a basic theory, or need to be
formulated or put together from the information provided in a group
of papers suggested by the Supervisor.
• Research scholars are faced with the task of finding an appropriate
problem on which to begin their research.

Literature Survey
• Once the problem is identified, we start doing literature survey and
technical reading to make sure that it is a good problem.
• However, an initial spark is ideally required before the process of
literature survey may duly begin.

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Ideas related to our Research

• Sometimes we get satisfactory moment even before we start reading
lot of books/papers
• Someone gives a talk and it makes us to think about the problem
• At other times, a different subject could give as an idea related to
our research.
What makes a problem good
• A good research problem has certain qualities
• Someone who knows the area, something that the research
community had been expecting for sometime, a major
simplification of a central part of the theory
• It could be a new result that starts a new subject or an area of
research or improves upon known methods of doing something
which has practical applications
• It might even stop people from working on a problem because it is
been solved so well.
• The researcher make sure that the problem is worth because we do
our best work when the problem is worth it.
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Not all problems are equal

• Not all problems that one solves will be great, but solving smaller
problems can lead to big discoveries.
• Some problems are universally considered hard and open, but get
solved because people try
• We might wonder if it is worth spending a lot of time on a tough
problem, but even if we don’t solve it completely, we could still
find useful things along the way
• At the same time, even in the case of failure to solve the intended
hard problem, there may be partial/side results that serve the
immediate need of producing some results for the dissertation.

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Steps to solve a problem

i) Understand it: Make sure we really get what the problem is about,
even try drawing it out
ii) Start somewhere: Begin by exploring different ways to solve the
problem or a simpler version of it.
iii) Try it out: Execute the plan to see if it works, and if it does not then
start over with another approach. Having delved into the problem
and returned to it multiple times, one might have a flash of insight
or a new idea to solve the problem.
iv) Reflect: After working on the problem, look back and think about
we have learned. This helps us understand things better and prepare
us for future research.

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6. Ethics in Engineering Research

Describe the significance of ethics in Engineering research, providing
examples of how ethical principles guide researchers and explain the
historical development of international rules for research ethics
including their impact on the conduct of research

Key Points:
• What are ethics
• International rules for Research Ethics
• Tricky questions about Authorship
• Rules and codes
• Why it matters

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What are Ethics

• Ethics refers to a set of rules distinguishing acceptable and
unacceptable conduct
• It helps us to figure out what is right and what is wrong.
• These rules guide our behavior and help us to make good choices in
life
• Ethical principles can be used for evaluation, proposition or
interpretation of laws.
• Although ethics are not laws, but laws often follow ethics because
ethics are our shared values.
International rules for research Ethics
• There have been International rules for the ethical conduct of
research since 1947 when the Nuremberg Code was adopted.
• People have cared about ethical issues in research for a long time
• In 17th century British Royal Society (BRS) changed how research
results were shared.
• BRS gave priority to whoever first submitted findings for
publication, instead of who discovered something first.
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Tricky questions about Authorship

• Whitbeck raised two simple but significant questions to address the
tricky issue of authorship in research:

(1) who should be included as an author and

(2) In what order they should be listed.

• This is especially important today when researchers from all over the
world work together.
• Some people might help a lot with the research but not write the
paper, so who gets credit.

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Rules and codes

• Certain universities even have rules about coauthorship to prevent
malpractices
• Government bodies, and universities worldwide have adopted certain
codes for research ethics.
• Some people confuse Research ethics with the responsible conduct of
research, but they are different.
• Research ethics is about making sure research is used in the right
way, while responsible conduct of research is about how research is
done.

Why it matters
• Help us to do good research and make sure it is used for the right
reasons
• They also make sure everyone gets the credit they deserve for their
hard work

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7. Ethics in Engineering Research Practice

Explain the significance of engineering ethics in research particularly in
the context of data-related technologies and how engineering
researchers can proactively address ethical concerns during the
development of technology

Key Points:
• Real life impact of Engineering research
• Data and its ethical dimensions
• Balancing possibilities and Ethics
• Role of Engineering Researchers
• Requirements & Ethical alternatives
• Mitigating unintended consequences

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Real life impact of Engineering research

• When Engineers conduct research, they often deal with data and
technology that can affect individuals and society as a whole
• For example, in surveillance systems data was collected for security
purposes. How this data is used can raise ethical concerns, especially
regarding peoples privacy.

Data and its ethical dimension

• One key reason that ethics matter in engineering research, especially
when dealing with data, is because this data often involves humans.
• Different situations, and people may have varying views on what is
acceptable or not.

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Balancing possibilities and Ethics

• Today we have access to vast amounts of data, and advanced tools to
analyze it.
• This raises an important question: Just because we can do something
with data, should we do it?
• Engineering ethics gives us the rule book; tells us, how to decide
what is okay to do and what is not.

Role of Engineering Researchers

• Engineering research is not work in isolation to the technological
development taking place.
• Researchers make many choices that matter from an ethical
perspective and influence the effects of technology

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Requirements
Different ways:
1. Setting ethical requirements:
• Right from the beginning, researchers can define ethical
requirement for their projects
• These requirements guide the development of technology,
ensuring it aligns with ethical principle
2. Ethical considerations in design
• During the design phase, researchers make a decision about how
to fulfill project requirements.
• Ethical aspects such as safety and fairness should be a part of
decision making process.
3. Choosing Ethical alternatives
• Researchers often face choices between different alternatives that
achieve similar goals
• Select the one that aligns with moral principles.

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Mitigating unintended consequences

• Research outcomes often have unintended and undesirable side
effects.
• It is a vital ethical responsibility of researchers to minimize these
risks and consider safer alternatives.
• This may involve designing technologies with built-in safety
measures or backup systems to prevent harm.

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8. Types of Research Misconduct

• Explain the importance of research integrity while also highlighting
other forms of research misconduct and their implications

Key Points:
• The essence of Research integrity
• Preventing mistakes through peer reviews
• Common types of Research Misconduct
• Detecting plagiarism
• Ethical avoidance of plagiarism
• Other forms of research misconduct

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The essence of Research integrity

• Engineering research should be conducted to improve the state-of-
the-art of technologies.
• Research integrity involves dealing fairly with others, conducting
studies honestly, replicating the results wherever possible so as to
avoid errors, protecting the welfare of research subjects, ensuring
laboratory safety, and so forth.

Preventing mistakes through peer reviews

• In order to prevent mistakes, peer reviews should take place before
the research output is published.

Common types of Research Misconduct

(i) Fabrication (Illegitimate creation of data):
• Fabrication involves making up data or experiments because of time
constraints or pressures from supervisor or customers.
• It undermines the integrity of research and can lead to false
information circulating in scientific literature.
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(ii) Falsification (Inappropriate alteration of data):

• Falsification occurs when data or experiments are misrepresented or
misinterpreted, or altered to support a desired hypothesis even when
the actual data received from experiments suggest otherwise.
• It can harm research progress and trust
• Misleading data can also crop up due to poor design of experiments
or incorrect measurement practices.
• The image of engineering researchers as objective truth seekers is
often risked by the discovery of data related frauds. Such misconduct
upset the researchers by always trying to reproduce the results
independently whenever they are interested to do further work in a
published material which is likely to be part of their literature survey.

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(iii) Plagiarism (Taking other’s work without credit):

• Plagiarism is copying someone's work or reuses the work (including
portions) of others (text, data, tables, figures, illustrations or
concepts) without giving proper credit.
• This unethical practice extends to self plagiarism, where one reuses
their work own work without acknowledgement
• Exact copying or reusing one’s own published work is termed as self-
plagiarism and is also an unacceptable practice in scientific literature.
• The increasing availability of scientific content on the internet seems
to encourage plagiarism in certain cases, but also enables detection of
such practices through automated software packages.

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Detecting Plagiarism
• Plagiarism can be identified through various means:
(i) Original author comes to know and informs everyone
concerned.
(ii) Sometimes a reviewer finds out about it during the review
process.
(iii) Or, readers who come across the article or book, while doing
research.
• Although there are many free tools and also paid tools available that
one can procure institutional license of, one cannot conclusively
identify plagiarism, but can only get a similarity score which is a
metric that provides a score of the amount of similarity between
already published content and the unpublished content under
scrutiny.
• However, a low similarity score does not guarantee that the document
is plagiarism free. It takes a human eye to ascertain whether the
content has been plagiarized or not.

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• It is important to see the individual scores of the sources, not just the
overall similarity index. Setting a standard of a maximum allowable
similarity index is inadequate usage of the tool. Patchwork plagiarism
is more difficult to evaluate.

Ethical avoidance of Plagiarism

• There are simple and ethical ways to avoid a high similarity count on
an about to be submitted manuscript.
• Sometimes, certain published content is perfect for one’s research
paper, perhaps in making a connection or fortifying the argument
presented.
• Paraphrasing the content in their own words.
• Summarize relevant material
• Always cite the original source
• Even when citing, researchers should avoid copying sentences or
paragraphs exactly
• They should aim to differentiate their ideas and writing from existing
sources
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Other Aspects of Research Misconduct:

• Serious deviations from accepted conduct could be construed as
research misconduct.
• Simultaneous submission of the same article to two different journals
also violates publication policies.
• Additionally, mistakes in published content are often not openly
acknowledged and corrected

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9. Ethical Issues Related to Authorship

Describe the ethical pitfalls in academic authorship, their implications
and scholarly communication and the shared responsibility among
coauthors and evaluate the strategies to address these concerns

Key Points:
• The significance of authorship
• Establishing credit in research
• Ethical pitfalls in authorship
• Shared responsibility and consent
• Quantifying contributions
• Double submission dilemma

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The significance of authorship

• Academic authorship involves communicating scholarly work,
establishing priority for their discoveries, and building peer-
reputation, and comes with intrinsic burden of acceptance of the
responsibility for the contents of the work.
• It is the primary basis of evaluation for employment, promotion, and
other honors.

Establishing credit in Research

• Credit for research contributions is attributed in three major ways in
research publications:
(i) by authorship (of the intended publication),
(ii) Citation (of previously published or formally presented work), and
(iii) The significance of authorship
(iv) through a written acknowledgment (of some inputs to the present
research).

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(i) by authorship (of the intended publication)

• A person is expected to be listed as an author only when associated as
a significant contributor in research design, data interpretation, or
writing of the paper.
• It establishes both accountability and recognition

(ii) Citation (of previously published or formally presented work)

Citing previously published or formally presented work acknowledges
the influence of others research on your own

(iii) Acknowledgment
Written acknowledgment recognizes contributions made to the present
research that don’t warrant authorship but are still valuable

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Ethical Pitfalls(drawbacks) in authorship

Several ethical concerns arise in academic authorship:
1) “Guest” or “Gift” authorship
2) Career-boost authorship.
3) “Career-preservation authorship”
4) Ghost coauthorship
5) Reciprocal authorship
6) Misrepresentation of contribution

1) “Guest” or “Gift” authorship

• Including authors who made little or no contribution to the work
dilutes the contribution of those who actually did the work,
inappropriately inflates credentials of the listed authors, and is
ethically a red flag highlighting research misconduct.
• Example: adding a name to boost someone's career prospects

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2) Career-boost authorship.
• Assigning coauthorship to junior faculty or a student to boost their
chances of employment or promotion is an unethical practice.

3) Career-preservation authorship
• Adding administrators such as head of the department, a dean, a
provost, or other administrators are added as Coauthors in exchange
for benefits is another concerning practice.
• The principal author benefits from a “good relation” with the
superiors and the administrator benefits from authorship without
doing the required work for it.

4) Ghost coauthorship
Sometimes, an actual contributor abstains from the list of authors due to
nondisclosed conflict of interest within the organization. Such
coauthorships can be termed as ghost coauthorship.

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5) Reciprocal authorship
• Some researchers list one another as coauthors as a reciprocal gesture
with no real collaboration except minimal reading and editing,
without truly reviewing the work.

6) Misrepresentation of contribution
• Some authors, in trying to acquire a sole-authored work, despite
relying on significant contribution to the research work from others,
recognize that effort only by an acknowledgment, thereby
misrepresenting the contributions of the listed authors. The
unrecognized “author” is as a consequence, unavailable to readers for
elaboration.

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Shared responsibility and consent

• All listed authors have the full obligation of all contents of a research
article.
• It is essential that authors are aware of a journal submission by the
corresponding author.

Quantifying contributions
• Efforts to quantify individual contributions and associated
accountability for each coauthor are appealing to address authorship
accountability more accurately.

Double Submission Dilemma

• Double submission is an important ethical issue related to authorship,
which involves submission of a paper to two forums simultaneously.
• The motivation is to increase publication chances but goes against the
principles of publishing original work in reputable journals

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