A Decision Undertaken By Management

Published Date: 02 Nov 2017

The establishment of the research project is a decision undertaken by management for the user. It has an impact on the resources available to management: financial, time, materials, human and equipment. By going through the process in a systematic manner, the user can control the selection of the most appropriate research within clearly defined goals.

Whenever an idea, a problem or an opportunity arises that leads to a research project being considered, a specific proposal and short initial study should indicate whether a full feasibility study is justified. Management should decide in general that a particular piece of research is necessary. Based on this preliminary consideration, management should assign a person to define the scope requirements.

One of the first steps in obtaining good quality research is the production of an unambiguous specification of what is required. Establishment of the scope requirements of the project is the most crucial aspect of the research process. Without clearly defined goals, it may be difficult to control the time taken and the cost of the project on a reasonable scale.

The aim of this chapter is to make students aware of:

� how to recognize a problem amenable to research,

� the scope, limitations and requirements of the research,

� the need for a formal research proposal.

The objective is that the student will be able to:

� identify the need for research,

� conduct a small investigation into the research problem,

� identify resources that are required,

� formulate the terms of reference for the research, and

� present a research proposal.

3.2 Research selection

How does a researcher choose a topic for research? The main criterion is the importance of the particular project. The research will be judged by this criterion, together with the skill and rigour with which it has been approached. Are there any other criteria and values involved, and do these have ethical implications?

Research may be a means to a personal end. Most researchers are not only seeking to add to the pool of knowledge, but also to advance their professional status. In the first instance this will be to acquire a research qualification, a master or doctoral degree that requires a research thesis. In some cases, a supervisor may direct the student to be involved in the supervisor�s own research, to become part of a project team or to research a problem that the supervisor has identified, or to investigate a trivial problem that will lead to a safe degree. In other cases the researcher may choose a topic from a personal interest.

Regardless of how the choice is made, the end product of the research is a degree. However limited this end may appear, it is nevertheless the primary objective of the research whatever other ends may ensue. The further goal of the student may be to obtain a teaching post at an academic institution, or a research post in industry, both of which are means to other ends such as making money, finding security, or other ideals such as teaching the future generation or adding to the sum of knowledge. It should never be forgotten that the goal of this research is a personal degree.

Similar considerations apply throughout a research career. The adage of publish or perish requires that the researcher publishes in sufficient volume to ensure recognition and promotion. There is often the dilemma of whether to choose a difficult problem in the knowledge that success will bring considerable personal prestige but failure will serve to reduce personal status, or to choose a problem where there is a reasonable assurance of producing results. The pressure to produce results, and the stigma attached to failure, are as prevalent in research as in other competitive professions.

The personal ambition of the researcher raises the question as to whether the results of such research are truly objective, or merely produced as a means to an end. Fortunately, academic research and published papers are subject to close scrutiny and stand on their own merit distinct from the motives of the researcher. History has shown that the pursuit of knowledge for whatever reasons has successfully expanded the pool of knowledge.

In the academic environment there are few constraints on the freedom to choose what to research, and many researchers are at a loss to know where to start. This is a research problem in itself, and requires the same rigour to identify a suitable problem as the research on the identified problem.

Sponsored research requires closer scrutiny. Usually the sponsor, be it government or industry, is seeking a particular set of answers to a specific problem and the ethical question arises as to whether this encroaches on the freedom of the researcher to publish the results irrespective of the findings. The same arises with the offer of employment where acceptance gives implicit ethical approval to all aspects of the organization and reduced freedom to choose the research.

Research is a social activity, and the researcher is accountable to society as a whole. The researcher cannot demand isolation from society, but at the same time expect financial and other support. Decisions on expenditure and safety are public or corporate decisions and failure to recognize this is detrimental to research as a whole. Researchers are no more skilled in making ethical and political decisions than others in society, but many researchers fail to appreciate that such judgements are ethical and not their concern alone.

3.1.1 Where do we start?

Finding a suitable research topic is throwing the beginner researcher in at the deep end. Lack of research experience makes the task that much harder if the researcher is free to choose any research question. But the researcher is never completely free to choose.

The researcher will have academic qualifications in a specific discipline, with further relevant experience and professional training. A novice researcher will be expected to research within the confines of that discipline and have the ability, time and resources for familiarization with relevant facets of the research. So that narrows the field considerably.

Within the discipline, there are particular areas that the researcher finds more interesting than others. These are a good place to start looking. Try and identify different aspects of these areas that you would like to know more about. Write these down in the form of questions.

The selection of a broad, general field of interest for research remains relatively easier than its specific demarcation. The crux of the matter is that the researcher must generate ideas within this field of interest that are meaningful and can be researched in practice. In this regard, there are five potential sources of ideas for research themes:

? Observation of phenomena and events.

? Common sense, meaning concepts that are taken to be true, but have never been empirically proven. The validation of such ideas can sometimes be extremely valuable because these ideas are then proven to be empirically sound.

? Theory: two functions can be distinguished in this regard:

� Theory organizes and explains facts.

� Theory generates new knowledge by focussing thinking on new aspects of behaviour.

? Previous research often stimulates further research which may result from criticism of the methodology, or an attempt to generalize the results.

? Research as a result of practical problems.

Endeavour to find out whether anyone else has successfully investigated these questions, and if they have, discard these questions. You do not need to reinvent the wheel; rather stand on the shoulders of others.

Rank the remaining questions in order of importance. The criteria that you use for ranking are actually unimportant; what is important is that you have started to make decisions.

Identify the need for such research, and conduct a small investigation into each problem. You are looking for an unambiguous specification of what is required and a set of clearly defined goals.

What do you want to know, and what is already known about each question? What is the scope of each question, and what are your limitations in solving the problem?

Have a guess as to how long you think it would take to complete the research for each question. How much do you think it will cost, what materials and equipment will you need, how many people will you need to help you? Write these alongside each question.

Write a one page Abstract for each question, as if the research has been completed. An Abstract is a brief summary of the final Research Report. It includes: a description of what the research is about, its scope and limitations, applicable problems, the theory and model used, data collection, processing and results interpretation techniques. The main findings from the research should be included. Add a comprehensive Title to the research. This serves to focus your mind as nothing else can, on what is involved with each question.

By this stage you should be in a position to decide whether you really want to continue with this research question. If not discard it. You will probably be left with two or three stimulating research questions. Otherwise, repeat this process and keep looking.

Having developed a Title and an Abstract, it is now time to write the Terms of Reference for each of these remaining questions. By the end of this exercise you will know which question to research.

3.2 Title

The title page is usually the first page of a document which the reader sees. Title pages give status to documents, and may also sometimes give weight, literally and metaphorically, to a very short but important report. Manuals, sets of instructions and reports usually have title pages, which contain standard information: title, author (or issuing company or division) and date. A reference may also be required, and the company logo, name, address, telephone and fax numbers are often included, perhaps in a company colour. In the case of commercial material, the name of the client company is usually given. A statement of confidentiality should be clearly shown (perhaps in red) if it is appropriate, but too much material is marked �company confidential� almost as a matter of course (�so that people read it� is often the excuse), and this downgrades the effect of the words on material that really is confidential. All these details are often standardised in company policy, but if an individual engineer can contribute to the layout of the title page, the engineer should remember that a cluttered appearance is unprofessional � and perhaps discuss with an editor the way to obtain maximum impact for the writing.

The Title for the research question includes a concise description of the research theme. It often indicates the demarcation of the research theme. It should be possible to deduce the rationale, feasibility and value of the research project from its Title. The Title is defined from:

The importance of the Title is established by one salient fact: more people will read the Title than any other part of the report. Indexing and retrieval systems often depend on the Title for key words on which to base the listings for the report, and being listed in the right category will determine whether the study comes to the attention of potential readers. Also, the interest inspired by a good Title may make the difference between large and small readerships. Accordingly, spend considerable effort on devising Title wording that is clear, concise, accurate, and appealing. Consider the Title (as with all headings and subheadings) as a separate document that is read in isolation from the text. Hence the information in the Title also needs to be included in the text. Do not assume that because it is in the Title it has already been said.

At the most general level, the Title describes what is studied, at least in general terms of naming the primary constructs examined and the type of research involved. Particular parts of the study that are unusual or of special interest (subjects, means of measurement or analysis, scope of data collection) will be noted. Mention of such specifics, however, is always constrained by the need for brevity. In the end a good Title tells enough to move the appropriate subset of potential readers, those who might reasonably have an interest in the content of the report, to the next step, which is reading the Abstract.

3.2.1 Composing the Title

The most important element in composing the Title is the research question. Get that right and the rest of the study should flow smoothly. As a result the choice of final question is not entirely directed by your burning interest. It is also driven by the implications of the appropriate research design, data collection method and system of analysis, as these place constraints on what might be feasibly completed with the resources and time available.

A useful way to start composing a Title is to brainstorm the elements you wish to cover in your research question. Write all these down at random on a sheet of paper. You will see that the brainstorm itself raises further issues you might want to consider.

The next stage is to select words from the brainstorm that best indicate the issues you expect the study to be addressing. It is useful at this point to remember the key words that might be used if your research were to be placed in a library database and accessed by other researchers. A colon is often a useful devise as it allows you to pull quite disparate elements of the brainstorm together.

Finally, check that the Title really does reflect the research question you have set and that the creativity of the brainstorm has not led you astray and away from your original intentions. Although you now have a Title, it is not immutable and will probably evolve with the Abstract until your final report.[Title page]

3.2.2 Title page

Each research document should be preceded by a single Title page containing:

Institution The name of the institution publishing the research document, such as academic institution for thesis or dissertation or professional institution for a paper in a professional journal.

Research Title The Title of this research document. A simple one line Title is best.

Document name

The name of the document, such as Research Report, Feasibility Report, etc.

Author/Researcher

The name and initials of the author or authors of the document (usually the researcher). List in alphabetical order for more than one author.

Date The date of this version of the document or the date of publication.

User Name of the user or sponsor of this research.

3.3 Abstract

The function of the Abstract is to extend the information provided in the Title and enable prospective readers to decide whether the problem described is amenable to their research, and if so whether the results are suitable to their problem. The Abstract is included as a single page preceding the Research Report and is published separately. It should be noted that the Abstract does not form part of the Research Report but summarizes the report. It is a separate document.

Almost all research publications require an Abstract, usually placed in prominent fashion on the first page of the paper. Often limited to a single-paragraph format, the Abstract ordinarily contains a general statement of the research topic, a brief description of the study design and the methods involved, and the most important results obtained. Journals with a strong professional orientation may encourage inclusion of a statement concerning the practical implications of the findings. The need for brevity limits the explanation, but artfully designed Abstracts can display most of the elements that will concern readers.

Abstracts have other important uses. Nothing concentrates the mind more than focussing on a proposed research question and writing a succinct Title and Abstract � for the final Research Report. It is an invaluable exercise to predict what the research findings will be, and to document these in the preliminary Abstract. Obviously, these must change through numerous versions before completion of the research, but keeping them up-to-date keeps the research on track.

Another important use is to refresh your memory weeks or months after reading another study, and single page Abstracts greatly facilitate the shuffling and categorization process when trying to compare multiple studies within a topic area. Also, Abstracts can serve to keep you superficially informed about new findings in an area of enquiry, particularly when time makes it impossible to read every relevant article in its entirety.

An Abstract is a snapshot that captures the most vivid elements of a complex process. The picture it provides is devoid of the rich contextual details necessary to evaluate critically and fully understand the study presented in the full report. Not only do Abstracts rarely contain material that will help you understand the limitations of the study, they are also unlikely to portray fully how significant the findings might be when taken in the dynamic context of an evolving field of knowledge.

Abstracts are enormously useful tools when employed for the purposes they can properly support, but they are designed to be no more than a portal of entry into the full report. As with Titles, when they invite you in with a clear and reasonably thorough idea of what will be encountered (or warn you off with the same degree of precision), they do their job well. Hence, it is important when crafting an Abstract to avoid saying too much, thus cluttering the reader�s decision process, or too little, thus depriving the reader of information essential to making the right decision.

The Abstract is a short and concise summary of the content of the document, without any interpretation. The Abstract should cover the following aspects of the research document:

� The goal and nature of the problem being investigated.

� Sufficient information about the method of research to give the reader a good idea of what has been done in the research.

� Only significant findings should be mentioned.

� The findings must be integrated into the researcher�s own conclusions.

� The relationship between the conclusions and the goal of the research must be clearly shown

The Abstract can be categorized as being descriptive rather than informative. A well-prepared and argued Abstract is the most important component of the research document. This is because:

� The Abstract is read first.

� In most cases only the Abstract is read.

� The decision on whether to study the complete manuscript is usually based on the Abstract.

� Often only the Abstract is used as a basis for further research and as a source reference.

� It should not waste the reader�s time.

The Abstract should meet the following requirements:

� It must be an accurate and precise representation of the goal and content of the research report.

� It must be self-explanatory.

� It must be concise and specific, but not at the expense of important information.

� It is intended to be merely a summary of the research report and not a commentary on the report, therefore it should not be evaluative in any way.

� It should be written in a logical and intelligible style.

3.3.1 Abstract specification

The Abstract should include:

Title A comprehensive Title should be chosen to allow the reader to determine whether the report contains relevant information. This should be a single line description of what the research does.

Author/Researcher

The full name of the Author with relevant qualifications. The SURNAME only should be capitalized.

Date Release date of the final Research Report, or current date of this Abstract.

Application Keywords that classify the research application areas and enable rapid searches for relevant reports. For example:

Civil engineering, structural analysis, computer methods, finite elements, shear walls, openings.

Abstract A comprehensive summary of the final Research Report. At all stages in the research project, the Abstract should be kept up to date to reflect the anticipated Research Report. It should include a description of what the research does, its scope and limitations, and types of problems solved. A description of the theory and model used should include data collection, processing and results interpretation techniques. The major conclusions drawn from the research should be given.

Access Information as to where the Research Report can be obtained.

3.4 Terms of Reference

After deciding on a particular line of research, the researcher needs to set out the structure of the research project in terms of specifying what is known about the problem and what is required to find a solution. The Terms of Reference should be established so that the researcher, supervisor and user are aware of what the researcher is being committed to over the next period of time. It provides the initial basis of the formal decision making process and defines the actual start of the research project.

The decision to research a specific question should not be rushed as the right choices help to ensure, but cannot guarantee, that resources will not be wasted by backtracking or restarting. Having committed to a particular direction, the researcher needs to endeavour to become aware of all the implications and check that the study is feasible.

The Terms of Reference should identify the user who wants the research and who else would be interested in the conclusions. It should include a definition of the problem to be investigated, what is included and what is not considered. It should provide an outline of the user requirements, the essential and desirable features as well as constraints.

Constraints on financial, time, materials, equipment and human resources should be indicated in the Terms of Reference. The definition of requirements should specify unambiguously the method by which performance can be measured. It is essential to ensure that the project boundary (definition and costs) is formally defined and agreed. A schedule of all relevant codes, standards, statutory requirements and research procedures should be prepared.

This forms the basis of the technical agreement with the user on what the researcher should provide. There is no reason why the Terms of Reference cannot be amplified or altered as the research proceeds, provided the user is made fully aware of all the implications that such changes may have. The Terms of Reference normally initiates the feasibility study, and should indicate who will perform the feasibility study, the resources required and when it will be completed.

3.4.1 Terms of Reference specification

The Terms of Reference should include:

Title Page Institution

Research Title

Terms of Reference

Author/Researcher

Date

User

Problem description

Problem field

Nature of problem

Scope of inquiry

Limitations of research

User requirements

Features

Aims of research

What the research will achieve.

Why the research is needed.

How the research will be conducted.

Where the research will take place.

How performance can be measured.

Who will undertake the research.

When the research can start.

How long the research will take.

Objective of research

Identify the research boundaries.

Identify the research products.

Identify the processes needed to produce them.

Ensure the quality of the products.

Identify the essential and desirable features.

Identify the functional requirements.

Identify the resources that are required (time, people, money, materials, equipment, etc.).

Identify the constraints on the resource usage.

Identify availability of resources.

Other interested parties.

Feasibility study

Who will perform the feasibility study?

How much will it cost?

How long will it take?

What other resources are needed.

Research procedure.

3.5 Research Proposal

The purpose of the Research Proposal is to provide the definitive statement of precisely what the research should do, without stating how these required actions should be achieved. It specifies in detail what can be input to the model, how it is interpreted and processed, and what is output. It is thus a research-independent document, which imposes no constraints on the research or modelling. The Research Proposal is usually developed in conjunction with the feasibility study and a literature survey.

The Proposal provides the information needed to help the user decide whether the research can aid the solution of the problem, whether the time scale is satisfactory, and how it can be funded. It also provides information that should help the user to evaluate the benefits expected to be gained from the research. Whenever possible, it should indicate what action can be taken to allow for any slight mismatching between the research and the problem. In extreme situations, this might involve adapting the research to suit the problem or reformulating the problem to suit the research.

The Proposal instructs the user in the actions to be taken in order to make use of the research, covering matters such as the model input, processing and output and the form in which they have to be provided. It also describes the technique of using the model and provides guidance that should help the user acquire expertise in the application of the research to the solution of the problem. To this end, the Proposal should provide information about the results the research will produce and how they could be used. It should also draw attention to the kinds of errors that the user is likely to encounter in interpretation.

The function of the Research Proposal is to provide sufficient and necessary information to enable the user to determine the suitability of the research; and to describe the problem, process and interpret the solution in an unambiguous manner. It provides instructions concerning:

� Representation of the problem in the form of a model suitable for solution by the research described.

� Data to be collected and the form in which it should be available.

� Specification of the format, means and dialogue for the model to process the data into information.

� Criteria immutably defined within the model.

� Upper and lower limits that can be specified by the user, and effects of transgressing the limits.

� Logical decisions that should be specified by the user, and options that may be specified with default actions if the option is not exercised.

� Upper and lower limits on data and physical dimensions that can be specified by the solution, the nature of variability (continuous or discrete) allowed, and properties assigned single values.

� The effect of errors made by the researcher and the means of recovery from such errors.

� A list of all anticipated errors with their causes and the remedial action to be taken.

� The means of altering information already collected.

� The means of processing the data, and any algorithms used.

� Methods of obtaining useful information from the model.

� The selection and presentation of all output available from the model.

� The means of exercising any options.

� Interpretation of the output and relation of the numerical and mathematical problem to the user problem.

� Provision and use of fallback and recovery requirements.

� Security arrangements.

� Illustrative examples of typical solutions.

Many of these instructions can only be answered after a feasibility study, and any temptation to write a Research Proposal without a feasibility study should be avoided. Instructions and advice should generally be addressed to the user without reference to the research environment. It should be assumed that the user has little or no experience in the conduct of similar research.

The Research Proposal is a means of communication, plan and contract. It is a communication between the researcher, supervisor and user or sponsor. It contains the schedule that will be followed, and is a binding contract between the parties. It implies that the researcher will be rewarded when the contract is successfully completed. The detailed Table of Contents of the final Research Report often forms the basis of a Research Proposal.

Any conflict between the user interpretation and the Research Proposal should be resolved; in the interim, discrepancies should be clearly stated to the user, with an indication of how to avoid that problem. When the Research Proposal has been specified and accepted, there is a continuing obligation to ensure that the integrity is maintained.

3.5.1 Research Proposal specification

The Research Proposal should include:

Abstract A single page Abstract of the final Research Report.

Title Page Institution

Research Title

Research Proposal

Author/Researcher

Date

User

Contents list

Introduction Brief description

Information defining which problems will be researched.

Applications

Province of the problem.

Principal features

Information defining a solution to the problem.

Scope and limitations.

History of research

This need not be documented in depth unless it is judged likely to have an important influence on decisions concerning choice and usage of the research. The dates during which the research is proposed should be stated, particularly if the methods of solution adopted are likely to be rendered obsolescent by later research.

Research team Brief curriculum vitae of each member, including qualifications and experience to perform this research (include full CV�s as attachments).

Requirements Summary of the main functional requirements of the model.

Outline of the model operation.

Overview of the model development.

Performance requirements of the model.

Constraints Resource constraints (financial, time, human, material, equipment, etc.).

Standards, codes of practice, ethical, quality, etc.

Cost/benefit Research costs.

Tangible and intangible benefits.

Impact Environmental impact.

Advantages and disadvantages.

Theoretical basis (modelling)

Description of, or references to, theoretical and/or empirical basis of methods.

Assumptions on which methods of solution depend.

Limits within which assumptions are valid.

Mathematical idealization of the problem: A description should be provided of ways in which the mathematical idealization simplifies and/or changes the practical problem.

Description of algorithms: The steps by which the mathematical idealization is manipulated to produce a solution of the problem. This should be a high-level description, preferably expressed in a mixture of plain language and mathematical formulae.

Mathematical techniques used: It will usually be appropriate to set out all relevant information as part of the description of the modelling. For the more usual techniques, it will often be enough to state the names by which they are known. For the less well known techniques, descriptions or suitable references should also be provided.

Numerical pitfalls: The user should be warned of any steps in the algorithms in which the procedures used might involve the risk of important rounding errors, instability or ill-conditioning.

Techniques for constructing the model of the problem.

User techniques: The user may be offered advice and guidance concerning techniques of problem modelling and/or data collection and presentation which may help towards more effective use of the research and/or better solutions for the problem.

Other advice: Whenever possible, guidance ought to be provided concerning dangers that may arise from use of the research, particularly in the stages of modelling the problem before processing, and interpreting and using the results to obtain an acceptable solution.

Model input Data required to be collected as input to the model.

Options available in connection with the input of data and the action to be taken to exercise such options.

Techniques for estimating and generating data values.

Sensitivities of model to inaccuracies in data.

Possible sources of inaccuracy in data, and techniques for minimizing these.

Data conventions: units, sign conventions and format.

Data input: The identification, purpose and method of data entry to the model should be described. Examples of typical data should be provided.

Default conditions: Details of any action taken in default of the provision of data (missing) and single valued data.

Boundary conditions and exceptional conditions: Upper and/or lower limits to data values. The Proposal should draw attention to any unusual results that might occur when data provided as input to the model reaches and/or transgresses the limits laid down for the scope and limitations of the model as defined. Attention should also be drawn to any known cases in which invalid data fails. The nature of variability (continuous or discrete) allowed for variables, and the step sizes where applicable.

Model processing

Options available in connection with the processing of data, and the action to be taken to exercise such options.

Options available for varying the conditions of the problem and the action to be taken to exercise such options.

Model output Numerical and textual output.

Graphical output.

Data available as output from the model:

The data provided as output from the model does not necessarily represent a solution for the problem. It may require selection, interpretation and further processing before an acceptable solution has been obtained.

Output options in connection with the selection and presentation of the model output and the action to be taken to exercise such options.

Output conventions: notation, units and sign conventions.

Interpretation and use of output:

The output provided will normally be only a solution for the model of the problem. With some problems it will be necessary to interpret the output to obtain a solution for the practical problem from which the model was abstracted.

Examples Worked examples of typical problems within the capability of the research. Whenever possible, the Proposal should include anticipated results chosen to illustrate the techniques of the research. The worked examples should each include the following:

Description of the problem:

Include main quantities that define the problem.

Description of process of idealization of the problem:

Particular reference should be made to any assumptions that have been adopted to accommodate the problem to the model.

Procedures for the acquisition and/or generation of data.

Samples of data.

Samples of output.

Exposition of meaning of output.

Description of process of using output to obtain a solution.

Solution description: Include main quantities that define the solution.

Limitations

Conclusions The objective of the Proposal is to convince the user that the research can solve the research problem in a timely manner and within a specific cost. The conclusions should therefore draw attention to the key issues and provide convincing arguments as to why the research should proceed.