Module – II

Syllabus:
Reviewing the literature: Importance of the Literature Review, new and existing knowledge, Steps
Involved in the Literature Review, Bibliography databases and Search Engines for Research Papers:
Web of Science and Google search. Developing a Theoretical and Conceptual Framework, Sample
Outline of a Literature Review.
Attributions and Citations: Giving Credit Wherever Due, Citations: Functions and Attributes,
Impact of Title and Keywords on Citations, Knowledge Flow through Citation, Citing Datasets,
Styles for Citations, Acknowledgments and Attributions.
08 Hours

Reviewing the literature:

About literature:
A literature survey (also known as a literature review) is a comprehensive assessment and
summary of existing research, scholarly articles, books, and other sources related to a specific topic
or area of interest. It is a critical part of any research project, thesis, or academic paper, as it helps to
contextualize the current work by reviewing what has already been studied, learned, and published.
 A literature review is a comprehensive summary of previous research on a topic.
 The literature review surveys scholarly articles, books, and other sources relevant to a
particular area of research.
 The review should enumerate, describe, summarize, objectively evaluate and clarify this
previous research.
 It should give a theoretical base for the research and help you (the author) determine the
nature of your research.
 The literature review acknowledges the work of previous researchers, and in so doing, assures
the reader that your work has been well conceived.
 It purpose is to convey to the reader what knowledge and ideas have been established on a
topic, and what their strengths and weaknesses are.

Example Topic: The impact of artificial intelligence (AI) on healthcare.

Introduction: An introduction would discuss how AI has transformed healthcare with

applications in diagnostics, treatment planning, and patient management. It could outline the
scope of the review, such as focusing on diagnostic accuracy, predictive analytics, and patient
engagement.

Body: The body might be organized by key themes:

o AI in Diagnostics: Studies that show how AI improves diagnostic accuracy, especially

in radiology and pathology.
o AI in Predictive Analytics: Research on AI's role in predicting patient outcomes or
disease progression.
o AI in Patient Engagement: Literature on how AI tools enhance patient engagement
and satisfaction.

Research Gaps: Identify areas where research is limited, such as long-term effects of AI in
patient care or the use of AI in low-resource settings.
Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.
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 Conclusion: Summarize that while AI has significant potential in healthcare, challenges like
data privacy and ethical considerations need further research.

In this way, a literature review provides a structured overview of existing knowledge, which is
essential for conducting well-informed research.

Q. Define a literature survey and explain why it is considered an essential part of any research
project or thesis with help of illustrative example. Understand (Level 2)

Key Aspects of a Literature Survey:

A literature survey provides a structured review of existing research, focusing on key aspects such as
understanding the field, identifying gaps, and preventing work duplication. It offers a foundational
framework for new research by connecting past studies and forming a context. The survey is
organized systematically, often by themes or methods, to synthesize findings. Highlighting research
gaps justifies the study’s purpose and supports new research directions. Overall, a literature survey
establishes credibility and context for the research question.

Purpose:
1. Understand the Field: It provides an understanding of the existing knowledge,
theories, and research gaps in the field.
2. Identify Gaps: A literature survey identifies gaps or limitations in the current research,
helping to justify the need for the new study.
3. Avoid Duplication: It ensures that the researcher is not duplicating previous work but
instead building upon or addressing unexplored areas.
4. Framework for Research: It helps in developing a theoretical or conceptual
framework for the research by understanding how different ideas and studies are
related.

Steps Involved:
1. Define the Research Topic: The first step is to clearly define the topic or research
question.
2. Search for Relevant Literature: Using academic databases (e.g., Google Scholar,
Web of Science, Scopus), journals, books, and other credible sources, gather relevant
studies and publications.
3. Evaluate Sources: Critically analyze the quality, relevance, and credibility of the
sources you’ve gathered.
4. Organize and Synthesize Information: Group similar studies together, compare and
contrast different viewpoints, and identify trends, patterns, or conflicts in the research.
5. Write the Survey: Summarize the key findings, identify research gaps, and provide a
logical flow that ties everything back to your research question or objective.

Q. Describe the key aspects of a literature survey, including its purpose and the steps
involved. Provide examples for each step to illustrate how they contribute to a
comprehensive understanding of the research field. Understand (Level 2).

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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Q. Define a purpose of literature survey in research. Provide an illustrative example to
highlight how a literature survey contributes to understanding and identifying research gaps.
Understand (Level 2).

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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Components of a Literature Survey:
A literature survey (or literature review) is a critical and systematic examination of published
research relevant to a specific topic. It forms the basis for new research by identifying what is already
known, where the gaps exist, and how a new study can contribute to the field.
A well-structured literature survey typically consists of four key components: Introduction, Body,
Research Gaps, and Conclusion.
Below is a detailed explanation of each component with examples.

1. Introduction
The introduction to a literature survey introduces the research topic and provides the reader with an
understanding of the scope of the review. It explains why the topic is significant and what the
objectives of the survey are. The introduction sets the tone by describing the key areas of focus, the
major theories or concepts, and the relevance of the topic to the larger field of study.
Purpose:
 To present the topic and give background information.
 To define the scope of the literature review (e.g., specific time periods, geographic locations,
theoretical frameworks).
 To explain why the review is important and how it relates to the research being conducted.
Example:
Suppose you are conducting research on the impact of artificial intelligence (AI) in healthcare.
The introduction of your literature survey might look like this:
 Introduction Example: “In recent years, the application of artificial intelligence (AI) in
healthcare has gained significant attention due to its potential to revolutionize medical
diagnostics, patient care, and clinical decision-making. This literature review aims to explore
the scope of AI implementations in healthcare, focusing on key areas such as diagnostic
accuracy, predictive analytics, and patient management. Given the rapid advancements in this
field, it is crucial to understand how AI has been utilized, its successes, and its limitations in
improving health outcomes.”

2. Body (Organized by Theme/Chronology/Methods)

The body of the literature survey discusses and synthesizes the literature you have reviewed. It can be
organized in several ways, including:
 Thematically: Grouping research by themes or topics.
 Chronologically: Presenting the literature in the order of publication to show how the field
has evolved over time.
 Methodologically: Discussing the different research methods used in the studies and
comparing their strengths and limitations.
The body should synthesize the literature, not just summarize each study. It should highlight the
relationships, patterns, and contradictions among the various sources.

Purpose:
 To organize the reviewed literature in a logical structure.
 To synthesize different studies, showing how they contribute to the overall understanding of
the topic.

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  To critically evaluate the literature, identifying consistencies, trends, and areas of
disagreement.

Example (Thematic Organization):

Let’s continue with the example of AI in healthcare. You might organize the body of your literature
review into the following themes:
 AI in Diagnostics: Review studies that discuss the use of AI in improving diagnostic
accuracy.
 AI in Predictive Analytics: Explore literature on how AI is used to predict patient outcomes
or disease progression.
 AI in Patient Management: Discuss studies that evaluate the role of AI in managing patient
data and personalized care.
Body Example: “Several studies have focused on the use of AI in improving diagnostic
accuracy. For example, Smith et al. (2020) found that AI algorithms could detect early-stage
lung cancer with a higher accuracy rate than traditional radiologists. Similarly, Jones et al.
(2021) explored AI’s role in predicting patient outcomes in intensive care units,
demonstrating that machine learning models could accurately predict mortality rates. Other
researchers, such as Patel et al. (2022), have focused on the use of AI in managing patient
records and customizing treatment plans, showing promising results in personalized
healthcare.”
In this example, the body is divided into themes, with studies grouped under each relevant theme.
Each paragraph compares the findings of different studies and discusses their implications.

3. Research Gaps
The research gaps section identifies areas where further research is needed or where current findings
are contradictory or incomplete. Highlighting these gaps is important because it shows how the
existing literature is limited and sets the stage for your own research to fill these gaps.
Purpose:
 To identify areas that have not been thoroughly studied or are underexplored.
 To show contradictions or inconsistencies in the literature.
 To justify the need for new research by outlining where current studies fall short.
Example:
Continuing with the AI in healthcare example, your research gaps might focus on areas where AI has
not yet been fully studied or where conflicting results exist.
Here, the gaps are clearly identified in terms of limited research in specific areas (e.g., pathology,
long-term effectiveness) and contradictory findings (e.g., patient outcomes).

4. Conclusion
The conclusion of the literature survey summarizes the key findings and how they relate to your
research. It ties together the main points from the body and highlights the significance of your
research within the context of the existing literature. It often sets up the rationale for why your own
research is important and needed.
Purpose:
 To summarize the major findings from the literature review.

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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  To restate the research gaps and how your study will address them.
 To provide a transition to the next section of your research (e.g., your methodology or
research design).
Example:
For the AI in healthcare example, your conclusion might summarize the key trends and research gaps
and set the stage for your own research contribution.
In this conclusion, the main points from the literature review are recapped, and a clear link is made
between the literature gaps and the intended research focus.

A literature survey is an essential part of academic research because it:

 Informs the researcher about what is already known.
 Guides the development of research questions or hypotheses.
 Shapes the direction of new research by identifying gaps or contradictions in the existing
literature.
A well-conducted literature survey not only demonstrates your understanding of the field but also
ensures that your research is relevant and valuable by addressing unanswered questions or filling gaps
in knowledge. By systematically reviewing the literature, researchers can position their work within
the broader academic landscape and ensure that their research contributes to the advancement of the
field.

Q. Explain the main components of a literature survey and discuss how each component
contributes to the overall understanding of a research topic. Understand (L2)

How To Review the Literature:

Writing literature reviews is a particularly important skill if you want to pursue a career in research.
We have written a step-by-step guide that you can follow below.

 Without specific research problem, it’s difficult to do the research.

 Review of literature makes gradually narrowing your research problem
 Danger in reviewing the literature without having a reasonably specific idea of what you want
to study.
 You should try broadly to conceptualize your research problem before undertaking your major
literature review.
 Conducting a literature review follows certain guidelines:
Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.
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 1. Searching for the existing literature in your area of study.
2. Reviewing the selected literature.
3. Developing a theoretical framework.
4. Developing a conceptual framework.

 The skills required for these tasks are different. Developing theoretical and conceptual
frameworks is more difficult than the other tasks.
1. Searching for the existing literature
To search effectively for the literature in your field you should define your problem you wish to
investigate.
There are three sources that you can use to prepare a bibliography:
 Books;
 Journals;
 Internet.
2. Reviewing the selected literature
 Now that you have identified several books and articles as useful,
 The next step is to start reading them critically to pull together themes and issues that are of
relevance to your study.

 It play very important role to define unique problem statement.

 Help to know the work carried so far.
 Help to identify their limitations/Issues.
 It creates motivation.
 Makes an Gap analysis of research work.

From the each paper try to identify the following points,

a. Aim of paper
b. Problem statement
c. Methodologies used
d. Data set used
e. Results obtained
f. Conclusion
g. Future scope/Further study: Also called as “Issues”

 Following is format used to explain about literature work.

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3. Developing a theoretical framework
 After performing literature survey it never-ending task.
 Map into the several theories that have been developed from different perspectives.
 Creates theoretical frame work for implementation.
 Your review of the literature should sort out the information, as mentioned earlier, within this
framework. Unless you review the literature in relation to this framework, you will not be able
to develop a focus in your literature search: that is
 Theoretical framework provides you with a guide as you read. Literature pertinent to your
study may deal with two types of information:

4. Developing a conceptual framework

 The conceptual framework is the basis of your research problem.
 It stems from the theoretical framework.
 The theoretical framework consists of the theories or issues in which your study is embedded.
 Conceptual framework describes the aspects you selected from the theoretical framework to
become the basis of your enquiry.
 Theoretical framework includes all the theories that have been put forward to explain the
relationship between fertility and mortality.

Q. How do you conduct a literature review, and Explain the guidelines required to carry out?
Provide illustrative examples to explain each step. Analyze (Level 2)

Importance of the Literature Review:

A literature review is a critical component of any research project, thesis, or academic paper. It
allows the researcher to identify what has been studied in a particular field, recognize gaps in
knowledge, and establish a framework for future research.
Here's why a literature review is important, with an example for each point to illustrate its
significance:
1. Provides a Foundation for Research
A literature review builds a foundation for your research by giving you a clear understanding of
previous work in your field. This ensures that your research is based on established knowledge.
 Example: If you're researching how artificial intelligence (AI) impacts education, the
literature review would explore key studies and findings on AI in education. This ensures that
you understand the foundational theories and findings before proposing new ideas or solutions.
2. Helps Identify Gaps in Research
By reviewing existing literature, researchers can find gaps—areas that haven't been fully explored
or require further investigation. These gaps can guide your research direction and help justify the
significance of your study.
 Example: In a review of studies on AI in education, you might discover that while there's
substantial research on AI in higher education, very little has been done on how AI affects
primary or secondary education. Your study could focus on this gap.
Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.
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3. Prevents Duplication of Work
A literature review ensures that you are not replicating work that has already been done. It saves
time and resources by helping you to avoid unnecessary duplication of previous studies.
 Example: If you're planning to research how machine learning improves medical diagnosis, a
literature review would reveal whether similar studies have already been conducted. If a
comprehensive study exists, you could modify your research to focus on an unexplored aspect,
like how machine learning could be applied to diagnosing rare diseases.
4. Provides a Context for Your Research
A literature review places your research within the broader academic context, showing how your
work fits into or diverges from what is already known. This helps to explain why your study is
relevant and necessary.
 Example: In a study on sustainable agriculture practices, your literature review would show
how your research on the use of drone technology to monitor crops builds on or challenges
existing research on traditional farming techniques.
5. Guides Methodology
A literature review can inform your methodological approach by examining the methods used in
previous studies. It allows you to adopt successful methods or modify approaches based on the
limitations of past research.
 Example: If you're conducting research on the effects of virtual reality (VR) on student
engagement, your literature review might highlight previous studies that used surveys or
experiments to gather data. You could adopt similar methods or improve them by using a
longitudinal study to track engagement over a longer period.
6. Supports Development of Theoretical Framework
The literature review helps you develop a theoretical or conceptual framework for your research.
It connects your study to established theories and models, which guides the research design and
data analysis.
 Example: If you’re studying consumer behavior in e-commerce, your literature review could
explore established theories like the Technology Acceptance Model (TAM). Your theoretical
framework could build on TAM by integrating new variables such as social media influence
on online purchases.
7. Strengthens Your Research Proposal
A well-conducted literature review demonstrates to supervisors, reviewers, or funders that you
have a deep understanding of the field. This adds credibility to your research proposal and
highlights the importance of your study.
 Example: If you're applying for funding for research on renewable energy solutions, your
literature review could show the evolution of solar power technologies and highlight the gap
in current research on affordable, scalable solutions for developing countries, thus justifying
the need for your proposed study.
8. Helps Refine Research Questions
By synthesizing the literature, you can clarify and refine your research questions or hypotheses,
ensuring they address the most pertinent issues and gaps in the field.
 Example: In a literature review on mental health interventions for teenagers, you might find
that most studies focus on therapy-based interventions, leaving a gap in research on the
effectiveness of mobile apps. This could lead you to refine your research question to explore
how mobile apps help teenagers manage anxiety.

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9. Identifies Key Authors and Works
 Importance: A literature review helps you identify the most influential researchers and
landmark studies in your field. Recognizing these contributions ensures your research is
aligned with the leading work in your area.
 Example: In the field of climate change, a literature review would identify key authors such
as James Hansen or the Intergovernmental Panel on Climate Change (IPCC). By citing these
works, your research on climate mitigation policies would be more credible.
10. Facilitates a Comparative Analysis
 Importance: A literature review enables you to compare and contrast various studies,
methodologies, and findings, which helps to highlight trends, consistencies, or contradictions
in the existing research.
 Example: A literature review on cancer treatment methods might reveal that while
chemotherapy is commonly studied, newer immunotherapy methods are showing promising
results. A comparative analysis would help illustrate the advantages and limitations of each
treatment approach.
11. Improves Research Design and Rigor
 Importance: A thorough review of the literature can expose common challenges in a field,
helping you to design a more rigorous study. It also provides ideas on how to address
potential limitations.
 Example: In a study on the psychological effects of social media, your literature review
might reveal that most studies struggle with self-reported data accuracy. To improve research
rigor, you could design your study to include objective measures like tracking screen time or
social media usage directly from smartphones.
12. Supports Publication and Patent Justifications
 Importance: A literature review justifies the value of your research for publication or patent
applications by showing how your work fills a gap in the existing body of knowledge or
solves a problem in a new way.
 Example: If you are developing a new technology for autonomous vehicles, your literature
review would show the existing solutions, their limitations, and how your technology
improves upon them. This justification would strengthen your patent application.
The literature review is a critical process in any research project as it ensures that the researcher has a
thorough understanding of the field, provides a framework for the research, and identifies areas that
need further exploration. By critically analyzing existing literature, a researcher can establish a strong
foundation for their work, refine their research questions, and ensure that their study adds meaningful
value to the academic community.

Q. Explain the importance of a literature review in a research project or thesis. Discuss the key
roles it plays, such as providing a foundation for research, identifying research gaps,
preventing duplication, and guiding methodology, with illustrative examples for each point.
Understanding (Level 2).

New And Existing Knowledge:

New knowledge in research is always built upon existing knowledge. Here's a simple explanation of
how they interact and why they are important:

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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 New Knowledge Needs a Foundation:
 New ideas or discoveries can only be understood in the context of what is already
known.
 Existing knowledge acts like a foundation for new research, providing the background
that supports new findings.

Different Interpretations Based on Background:

 The same new knowledge can be understood differently by different researchers based
on what they already know.
 What might seem unimportant to one researcher could be exciting to another, depending
on their experience in the field.

Identifying Problems Using Existing Knowledge:

 To show why new research is important, you need to explain the existing problem by
looking at what is already known in the field.
 Existing knowledge helps show that there is a gap or an issue that needs to be addressed.

How New Knowledge is Original:

 You can show that your research is original by explaining what is already known and
pointing out what is missing.
 This requires a solid understanding of the context, significance, and tools from the
existing literature.

Sources of Existing Knowledge:

 Existing knowledge comes from books, research papers, patents, and online databases.
 Textbooks usually contain older, well-established information, while research papers
present newer findings.
[

Textbooks vs. Research Papers:

 Textbooks are often easy to read because they explain topics from the basics, making it
easier for beginners to understand.
 Research papers are written for experts and often focus on very specific, new findings.
They assume the reader already knows a lot about the topic.

Building Knowledge Through Reading and Writing:

 To build a strong foundation of knowledge, you need to read and learn continually.
 It’s also important to write about what you’ve read in your own words. This helps you
process the information and fit it into your own research.

Reviewing How Research Builds on Other Work:

 Good research explains how it builds on past studies.
 A well-conducted literature survey (or review) provides a solid foundation for advancing
knowledge by showing how previous work connects with new research.

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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 Literature Review in Research:
 A good literature review explains what is already known, identifies gaps or
contradictions in the existing work, and shows why further research is necessary.
 It’s a two-step process: first, identify the major topics, then categorize relevant sources
under each topic.

Organizing and Using Knowledge:

 When reading something important, mark or highlight it. After reading, close the book
or paper, and write about the key points without copying them directly.
 This helps you understand the knowledge better and fit it into your research in a way
that makes sense.

Final Thoughts:
 A strong literature review supports new research by analyzing past work and showing
how the new research will add something original.
 It helps in developing research methods, identifying gaps, and ensuring that the new
knowledge will contribute meaningfully to the field.

By grounding your research in existing knowledge, you can ensure that your new knowledge is
well-supported and relevant to the academic conversation.

Finally the effective literature review makes following key points,

1. Summarizes the state of the art.
2. Details the key concepts and underlying relationships.
3. Describes complementary approaches and highlights inconsistencies.
4. Provides a compelling reason for further work in the field, making the case for the
originality of the research.

Example of New and Existing Knowledge:

Let’s say you are conducting research on the use of drones in precision agriculture. To establish
the importance and originality of your research, you would need to:

Review Existing Knowledge:

1. Start by reviewing what is already known about precision agriculture and drone
technology. For instance, studies might show how drones are used to monitor crop
health or map fields.
Identify Gaps:
1. Through the literature survey, you might find that while drones are used for crop
monitoring, there is limited research on their integration with AI for automated
decision-making in small-scale farming.

Justify New Knowledge:

1. You can then make the case that your research will fill this gap by developing a new
system where drones use AI to provide real-time recommendations to small farmers,
enhancing crop management and reducing resource waste.

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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This example shows how new knowledge (AI-enabled drones) can only be framed within the context
of existing knowledge (traditional drone usage in agriculture) to demonstrate the significance and
originality of the research.

Q. Discuss the impact of new and existing knowledge on the research process. How do these
knowledge sources influence the direction, methodology, and contributions of a research study?
Provide relevant examples to illustrate your points. Applying (Level 3)

Analysis and Synthesis of Prior Art:

When conducting a literature review, it is essential to analyze and synthesize the existing research,
often referred to as prior art. Here’s a simplified breakdown of how to approach this process:
Collect Sources (Articles, Papers, Patents):
 First, gather relevant sources like journal articles, patents, or books. These will form the
basis of your literature review.
Break Down Each Source (Analysis):
 After gathering the materials, the next step is to carefully read and analyze each one.
Look for key details such as:
1. The hypothesis or main question the author is addressing.
2. The models or methods used in the research.
3. The experimental conditions and how the study was conducted.
Synthesize the Information (Integration):
 Once you’ve analyzed individual sources, the next step is synthesizing them. This means
integrating the information from all sources to draw broader conclusions.
 The aim is to see how the studies connect, compare, and what new ideas emerge when
viewed as a whole.
Use a Literature Survey Grid:
 A literature survey grid is a simple way to organize the sources by topics and helps
identify which sources cover which topics.
 Example Grid:

Source 1 Source 2 Source 3

Topic A ✔ ✔

Topic B ✔

Topic C ✔

This grid helps you crystallize which sources cover which topics, making it easier to identify
patterns and gaps.

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How the Grid Works:
 Rows (Topics): Each row represents a different topic or subtopic that the researcher is
interested in.
 Columns (Sources): Each column represents a different source (e.g., Source 1, Source 2,
Source M), which could be articles, papers, books, or other materials the researcher has
reviewed.
 Checkmarks (✔): A checkmark is placed in the grid to indicate that a particular source
addresses or covers a specific topic.

Example:
 Topic 1: Covered by Source 2 and Source M.
 Topic 2: Covered by Source 1.
 Topic N: Covered by Source 1 and Source 2.

Purpose of the Literature Survey Grid:

 It helps in visualizing which sources contribute to which topics.
 Allows the researcher to see gaps in the literature where not many sources cover certain
topics.
 Helps in organizing and synthesizing the information, making it easier to compare and
contrast different research sources.
Steps for Analyzing the Information:
1. Understand the Hypothesis: What is each study trying to prove?
2. Understand Models/Experiments: What methods are used, and how are the
experiments set up?
3. Make Connections: How do the findings of different studies relate to each other?
4. Compare and Contrast: What are the similarities and differences between the
sources?
5. Find Strengths and Weaknesses: What are the strong points of the studies, and
where do they have loopholes or limitations?

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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 Critical Thinking:
 Be cautious and critical. Don’t just accept everything at face value. Especially with bold
claims, it’s good to question the validity and check for supporting evidence.
 This mindset helps you avoid mistakes and ensures that your analysis is thorough.

Goal of the Literature Survey:

 The main goal is to identify unsolved issues and problems in existing research. From
this, you can present new ideas or recommendations that address these gaps.

Evaluating Sources:
 While analyzing, it’s essential to evaluate the credibility of each source. Use the
following criteria:
1. Authority: Who is the author? Are they credible, and do they have the right
expertise?
2. Accuracy: Does the information seem reliable and well-supported by other
sources?
3. Scope: Is the content detailed enough for your research level?
4. Currency: How recent is the source? Is it still relevant?

Make Sure the Research Focus Is Just Right:

 Your research question should not be too narrow or too broad. This ensures that you can
find the right amount of literature to support your study without being overwhelmed.
By following these steps, you can effectively analyze and synthesize prior art to build a strong
foundation for your research.

Q. Explain the process of analyzing and synthesizing prior art in a literature review. Provide an
illustrative example to demonstrate each step. Understanding (Level 2)

Q. Describe how a literature survey grid can be used to organize research sources by topic.
Illustrate with an example. Understand (Level 2).

Q. Differentiate between analysis and synthesis of research sources. Provide examples of how
these processes contribute to the understanding of prior art in a literature review. Analyze
(Level 4)

Q. Evaluate the purpose of using a literature survey grid in identifying gaps within a field of
study. How does the grid help in pinpointing under-researched topics? Evaluate (Level 5)

Q. Construct a sample literature survey grid with three sources and three topics. Explain how
the grid helps in identifying patterns and relationships among sources. Create (Level 6) and
Apply (Level 3).

Steps Involved in the Literature Review:

A literature review is a critical analysis of existing research and knowledge related to a specific topic.
It involves systematically collecting, analyzing, and synthesizing information from various sources to
gain an understanding of the current state of research in that field. Below are the key steps involved
in conducting a thorough literature review, along with detailed explanations and examples.
Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.
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1. Identify the Research Topic or Problem
The first step in any literature review is to define the topic or the research problem. This involves
clarifying the scope of the research question, understanding what you want to learn or explore, and
framing the problem in a way that it can be researched effectively.
Purpose:
 To provide focus and direction for your literature review.
 Helps to avoid unnecessary reading and irrelevant sources.
Example:
 Topic: “The impact of Artificial Intelligence (AI) on personalized healthcare.”
 Research Problem: “How has AI contributed to advancements in personalized healthcare,
and what are the limitations and future challenges in this area?”

2. Search for Relevant Literature

This step involves conducting a comprehensive search for relevant literature. Use academic
databases, search engines, and libraries to gather sources such as journal articles, books,
conference papers, patents, and reports. Common databases include:
o Google Scholar
o Web of Science
o IEEE Xplore
o PubMed
o ScienceDirect
Purpose:
 To collect a wide range of sources that provide insight into your research problem.
 To ensure that the review is thorough and covers various perspectives.
Example:
 Searching Keywords: For the topic on AI in healthcare, you might use keywords such as “AI
in healthcare,” “machine learning in personalized medicine,” “healthcare AI applications,”
and “challenges in AI healthcare.”

3. Evaluate and Select Sources

After collecting a large number of sources, the next step is to evaluate them for relevance,
credibility, and quality. This means assessing whether the source directly relates to your research
question and whether it comes from reputable, peer-reviewed journals or publications.
Purpose:
 To focus only on the most relevant, high-quality research.
 To ensure that the review includes a balanced representation of perspectives and findings.
Example:
 Selection Criteria:
o Is the source published in a reputable journal (e.g., peer-reviewed)?
o Is the information up-to-date and relevant to the research problem?

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 o Does the source offer a novel perspective or valuable data that enhances
understanding of the topic?

4. Organize the Literature

Once you’ve selected your sources, organize them in a way that makes it easier to analyze and
synthesize the information. This step often involves creating categories or themes based on
common topics, methodologies, or findings.
Purpose:
 To identify connections and patterns between studies.
 To facilitate a structured and coherent synthesis of the literature.
Example:
 Thematic Organization:
o AI in Diagnostics: Studies that focus on AI applications in disease diagnosis.
o AI in Predictive Analytics: Research on AI’s role in predicting patient outcomes.
o Ethical Challenges of AI in Healthcare: Papers discussing privacy and bias issues
related to AI.

5. Analyze the Literature

In this step, you critically evaluate the information from the selected sources. This means looking at
the strengths, weaknesses, methodologies, results, and conclusions of each study. Compare findings
across studies, identify contradictions, and evaluate the reliability of the data.
Purpose:
 To critically assess the quality of the research and identify trends, inconsistencies, and gaps in
the literature.
 To identify the most important contributions and limitations in the field.
Example:
 Analysis: A study by Smith et al. (2020) may have used a robust AI algorithm for cancer
detection with high accuracy, but another study by Jones et al. (2021) may have found
limitations in applying similar AI models in low-resource settings. By comparing these, you
can assess the broader application of AI.

6. Synthesize the Information

Synthesis involves combining the information from various sources to form a coherent
understanding of the research problem. Instead of summarizing each study individually, focus on
integrating them by identifying common themes, highlighting agreements or disagreements, and
presenting a unified understanding of the literature.
Purpose:
 To create a logical narrative that integrates multiple perspectives and findings.
 To show how your research fits into the existing body of knowledge and where it contributes
something new.
Example:
 Synthesis: “Most studies agree that AI has significantly improved diagnostic accuracy in
areas like radiology and oncology. However, several researchers have noted that AI’s
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 effectiveness is limited by data quality and algorithm transparency, raising ethical and
practical challenges for its broader adoption.”

7. Identify Research Gaps

A key outcome of a literature review is to identify gaps in the existing research—areas that have
not been fully explored or where there are unresolved questions. These gaps provide the
justification for your own research.
Purpose:
 To highlight areas that require further investigation.
 To clarify the contribution that your research will make.
Example:
 Research Gap: “While many studies have explored AI’s role in diagnostics, there is a lack of
research on how AI can be effectively integrated into small healthcare practices, particularly
in developing countries. This gap indicates a need for further studies on AI’s scalability in
resource-limited environments.”

8. Write the Literature Review

Once the research is organized, analyzed, and synthesized, the next step is to write the literature
review. This should be structured in a clear and logical way, typically including the introduction,
body (organized by themes), research gaps, and a conclusion.
Purpose:
 To clearly communicate the current state of knowledge in the field.
 To provide a foundation for your own research by situating it within the existing literature.
Example:
 Introduction: Provides an overview of the research question and importance of AI in
healthcare.
 Body: Organized by themes such as AI in diagnostics, AI in predictive analytics, and ethical
challenges of AI.
 Research Gaps: Highlights the limited research on AI adoption in low-resource healthcare
settings.
 Conclusion: Summarizes the main findings and sets up your research question based on the
identified gaps.

9. Cite Sources Properly

Make sure to cite all the sources you reference in your literature review. This involves using a
consistent citation style (e.g., APA, MLA, Chicago) and including a full bibliography or reference list
at the end of your paper.

Purpose:
 To give proper credit to the original authors.
 To avoid plagiarism and provide readers with the information they need to find the sources
you’ve used.

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Example:
 APA Citation: Smith, J., & Jones, A. (2020). AI applications in healthcare: A review.
Journal of Medical Technology, 25(3), 56-78.

10. Revise and Finalize the Review

 After writing your literature review, it’s important to revise and edit for clarity, coherence,
and accuracy. Look for gaps in your analysis, check that your arguments are logically
structured, and ensure that all citations are accurate.
Purpose:
 To produce a polished and well-organized literature review that provides a comprehensive
overview of the research field.
 To ensure that the review is free of errors and easy to follow.
Example:
 After finishing the review, you may revise sections where certain studies need better synthesis
or reorganize paragraphs for better flow. You also check that every cited source appears in
your reference list.
Summary of the Steps Involved in a Literature Review:
By following these below steps, we can conduct a well-organized and insightful literature review that
will form the foundation of our research project.
1. Identify the Research Topic/Problem: Clarify what you want to explore.
2. Search for Relevant Literature: Use academic databases to gather sources.
3. Evaluate and Select Sources: Choose high-quality, relevant sources.
4. Organize the Literature: Group sources by themes or topics.
5. Analyze the Literature: Critically assess the sources and their findings.
6. Synthesize the Information: Integrate the findings into a coherent narrative.
7. Identify Research Gaps: Highlight areas that need further research.
8. Write the Review: Structure your review clearly with an introduction, body, and conclusion.
9. Cite Sources: Ensure proper citation of all references.
10. Revise and Finalize: Edit and proofread for clarity and coherence.

Q. Describe the steps involved in conducting a literature review, and illustrate each step with a
relevant example.Understand (Level 2)

Bibliography databases and Search Engines for Research Papers:

Web of Science and Google search.

Bibliographic databases are essential tools for researchers, offering "abstracting and indexing
services" that gather citation details and abstracts from scholarly works, facilitating access to a vast
range of research literature. These databases allow simultaneous searches across numerous sources,
helping researchers avoid dependence on a single database, which might carry inherent limitations.
For comprehensive research, it’s crucial to select databases relevant to the specific research question

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or area of interest. Below, we provide a brief overview of some widely-used bibliographic databases
favored by engineering researchers, though this summary is not exhaustive:

 IEEE Xplore: Focuses on electrical engineering, computer science, and electronics,

providing access to a large collection of technical literature.
 Scopus: Covers a wide array of subjects and includes tools for citation analysis, making it
valuable for tracking trends and influential studies across disciplines.
 Web of Science: Known for its high-quality content and multidisciplinary focus, it offers
extensive citation data that researchers can leverage for impact analysis.
 Google Scholar: Although less curated, it provides access to a broad range of scholarly
articles and is popular due to its accessibility and comprehensive search capabilities.
 PubMed: Primarily used for life sciences and biomedical research, offering a reliable
collection of literature in medicine and related fields.

Each of these databases has unique strengths, and selecting the right one depends on the research
field and specific goals. By strategically using multiple databases, researchers can enrich their review
process and ensure more robust, quality research findings.

 Unique Strengths of Each Database:

 Each database offers specific strengths tailored to different research fields and goals.
 Choosing the appropriate database based on research needs enhances the quality and
comprehensiveness of the review process.

 Enriching the Review Process:

 Using multiple databases strategically helps to capture a broader scope of literature.

 This approach ensures more robust, high-quality research findings by combining insights from
various sources.

 Web of Science:

 Comprehensive Platform: Offers multiple databases and specialized tools for scholarly
research.
 Customizable Search Options: Allows searching by title, topic, author, and address, with a
dropdown menu for flexible selection.
 Organized Results: Results can be organized by the number of citations, publication date, or
other criteria to improve research efficiency.
 Advanced Search Refinements:
o Allows refining searches using phrases in quotes, keywords, and the “Refine Results”
panel.
o Filters can narrow results by attributes like peer-reviewed status, date, language, etc.
 Broader Search Capabilities:
o Alternate word endings, synonyms, and scientific names can be used with “OR” to
expand the search.
 Cited Reference Search: Enables users to trace subsequent works that cite an earlier
publication, useful for tracking the development of ideas.

 Effectiveness of the Structured Search Process:

 Ensures relevance in search results, reducing time spent on unrelated sources.

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  Results can be refined or expanded as needed, making the search process more flexible and
efficient.

Google and Google Scholar serve as useful starting points in research, each with strengths and
limitations.
Google:
Google is particularly helpful when looking for open-access information like government reports,
organizational data, and company publications. However, it has significant drawbacks:
1. Lack of Quality Control: Google’s algorithm is a "black box," displaying a broad range of
information without guarantees of credibility.
2. Limited Refinement Options: The search tools available on Google do not allow for precise
refinement, making it challenging to filter results by scholarly criteria.

Google Scholar:
Google Scholar is more targeted toward academic content, although it also has some limitations:
1. Mixed Content Quality: Some results appear scholarly but may not meet rigorous academic
standards upon closer inspection.
2. Limited Coverage: Certain publishers restrict their content from Google Scholar, limiting its
comprehensiveness.
3. Limited Search Refinement: Like Google, Google Scholar lacks advanced filtering options.

Search Operators in Google and Google Scholar:

To improve search accuracy, a few search operators can help:
 OR: Broadens search to include synonyms or alternate spellings, e.g., Synchronous OR
asynchronous.
 Parentheses ( ): Groups terms, especially when combining concepts, e.g., RAM (synchronous
OR asynchronous).
 Quotation Marks " ": Ensures exact phrase matching, e.g., "Texas Instruments".
 Site: Limits results to a specific domain, e.g., site:ieeexplore.ieee.org.
 Filetype: Limits search by file type, e.g., filetype:pdf.
Using these operators, especially combined with Google Scholar’s basic filters, can yield more
precise results. However, for highly academic or specialized content, it’s advisable to also search
through dedicated academic databases, as they offer better quality control, tailored content for
specific disciplines, and more sophisticated search capabilities. Selecting databases based on the
research area, date coverage, and type of publication can provide focused and credible results for in-
depth research.

Reviewing Selected Literature:

After identifying relevant books and articles, the next step is to engage in critical reading to draw out
themes and issues pertinent to your study. This involves using a theoretical framework or developing
one as you progress, with each theme organized on a separate sheet or document.
Example Process: For instance, in an evaluation study on "community responsiveness" in health
services in Western Australia, the following themes helped shape the theoretical framework:

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  Definition of community responsiveness.
 Philosophical foundations of community responsiveness.
 Historical context in Australia.
 Usage in health planning.
 Strategies for achieving community responsiveness.
 Indicators of success or failure.
 Community participation.
 Implementation challenges.
 Stakeholder attitudes.

Each theme received its own separate documentation to systematically slot findings from reviewed
materials. As new information surfaces, additional themes may be introduced.

Critical Examination Aspects:

While reading the literature, it’s essential to:
1. Confirm whether the knowledge aligns with your framework.
2. Note theories, critiques, methodologies, and their criticisms.
3. Assess the generalizability of findings.
4. Identify contrasting opinions and provide a reasoned stance.
5. Recognize gaps in the body of knowledge.

Developing a Theoretical Framework:

To avoid excessive or irrelevant reading, establish main themes related to your research. Literature
generally provides two types of information:
1. Universal Information: Broad theories or generalizable concepts.
2. Specific Information: Local trends or programs related to your area.
Organize findings starting from general knowledge and narrowing to specifics, helping you clarify
the relevance and focus of your research. The paradox of needing a framework to review literature
effectively yet requiring literature to build a framework can be resolved by starting with an initial,
flexible framework that evolves with further reading. This approach ensures a focused, efficient
literature review that aligns closely with your study’s objectives.

Developing a Conceptual Framework:

The conceptual framework is foundational to your research problem and is derived from your
theoretical framework. While the theoretical framework encompasses the broader theories and
issues surrounding your study area, the conceptual framework hones in on particular aspects relevant
to your specific research question. It essentially translates the theoretical framework into a focused
lens through which you examine your research problem.

Relationship Between Theoretical and Conceptual Frameworks

Theoretical Framework: Provides a broad foundation of theories or perspectives within
which your study is situated. It may include all theories related to your topic, offering multiple
explanations or approaches.
Conceptual Framework: Focuses on selected aspects of the theoretical framework that
directly relate to your research problem. It specifies the particular variables or indicators you
intend to explore or test within your study.

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For example:
 Theoretical Framework: In research exploring the relationship between fertility and
mortality, the theoretical framework may include various theories explaining this relationship.
 Conceptual Framework: If you are examining the specific theory of "fear of non-survival"
as a factor affecting fertility rates, this becomes the focus of your conceptual framework,
aligning closely with your research objectives.

Purpose of the Conceptual Framework

The conceptual framework refines and narrows down your study’s focus to specific variables,
relationships, or indicators derived from the theoretical framework. By establishing these connections,
the conceptual framework provides clarity on what will be measured or analyzed, helping guide your
research design and data collection process. It ensures that the study remains directly connected to the
research problem, avoiding unnecessary breadth while maintaining depth in the investigation.

Q. Describe the primary functions of bibliographic databases and their importance in academic
research. Understanding (Level 2)

Q. Identify and explain the key differences between IEEE Xplore, Scopus, and Google Scholar
as search tools for academic research. Analyzing (Level 4)

Q. Explain how using search operators, such as OR and site, can improve the effectiveness of
searches in Google Scholar. Provide an example to support your answer. Applying (Level 3)

Q. Evaluate the strengths and limitations of Google Scholar in comparison to Web of Science
for conducting a comprehensive literature review. Evaluating (Level 5)

Q. Discuss how using multiple databases, like Web of Science and PubMed, can enhance the
quality of a literature review. Analyzing (Level 4)

Sample Outline of a Literature Review:

Sample Outline of a Literature Review is a structured framework used to organize and present
research findings from existing literature on a particular topic. It helps guide the writer through
systematically reviewing previous studies, identifying key themes, and analyzing gaps in the
research. This outline ensures that the literature review is coherent, comprehensive, and focused
on the research problem.
1. Introduction
 Description: Begin with an overview of the topic or research question. Briefly explain why
this topic is important and outline the purpose of the literature review. Mention the criteria for
selecting the literature (e.g., date range, focus area) and provide a roadmap of the review’s
structure to guide readers.
2. Theoretical Framework or Background
 Description: Discuss relevant theories, models, or key concepts that form the foundation of
the research. Explain how these theories relate to the research question and provide context.
This section is also where any historical context or foundational literature should be
introduced, highlighting how the chosen theories will help interpret the literature.

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3. Review of Key Themes and Concepts
 Description: Organize the review around major themes or concepts that are central to the
topic. Each theme should be treated as a sub-section:
o Theme/Concept 1: Summarize the research and findings related to the first theme.
Identify key studies and their conclusions, noting any agreements, controversies, or
differing viewpoints. Discuss the impact of these findings and any gaps related to this
theme.
o Theme/Concept 2: Summarize research on the second theme, following a similar
structure. Include analysis of key studies, relevant findings, and notable gaps or
limitations.
o Additional Themes: Repeat for other themes, ensuring each section synthesizes
relevant findings and highlights the implications of studies related to each theme.
4. Methodologies in Previous Research
 Description: Analyze the research methods used across the reviewed studies. Compare
qualitative, quantitative, and mixed-method approaches, and discuss their relevance to the
topic. This section should identify the strengths and limitations of each method, helping
readers understand how researchers have approached the topic and the effectiveness of these
approaches.
5. Identification of Gaps in the Literature
 Description: Summarize areas where research is limited or inconclusive. Identify gaps in the
literature, such as underexplored sub-topics, populations, or methodological weaknesses.
Discuss how addressing these gaps could benefit future research and provide new insights into
the topic.
6. Synthesis of Findings
 Description: Bring together findings across the different themes and research studies. Identify
overall trends, areas of consensus, and key disagreements. Discuss how these findings
contribute to the current understanding of the topic and any emerging patterns or directions in
the literature. This section should provide a cohesive understanding of the topic based on the
reviewed literature.
7. Conclusion
 Description: Conclude by summarizing the key insights gained from the literature review.
Discuss the implications of these findings, both for research and practical applications.
Provide recommendations for future research based on identified gaps and limitations, linking
these suggestions back to the research question or study objectives.

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Example: Example of Artificial Intelligence in Healthcare
Introduction
Artificial Intelligence (AI) is transforming healthcare through improved diagnostics, personalized
treatments, and real-time patient monitoring. This review summarizes current research, identifies
trends, highlights challenges, and suggests future research directions.
Key Themes
1. AI in Diagnostics: Studies show AI enhances diagnostic accuracy, especially in radiology
and pathology, by detecting subtle patterns. However, reliance on AI alone raises concerns
about potential misdiagnoses.
2. Personalized Treatment: AI algorithms tailor treatment plans to individual patients,
improving outcomes, particularly in oncology and cardiology. Challenges include data
privacy and ethical implications.
3. Patient Monitoring: AI-powered wearable devices enable real-time health tracking, which
improves patient satisfaction and reduces hospital visits. However, these tools need
refinement to reduce false alerts.
Gaps in the Literature There is a need for long-term studies, ethical frameworks, and research
focused on AI’s impact in developing countries.
Conclusion AI has immense potential to advance healthcare, but addressing ethical concerns, privacy
issues, and conducting broader studies are essential for its widespread adoption. Future research
should focus on long-term effects, ethical guidelines, and accessibility in low-resource settings.

Q. Discuss the importance of a Sample Outline in structuring a literature review. How does it
ensure coherence and relevance in a research study? Understanding (Level 2)

Attributions and Citations:

Giving Credit Wherever Due, Citations: Functions and Attributes, Impact of Title and Keywords on
Citations, Knowledge Flow through Citation, Citing Datasets, Styles for Citations, Acknowledgments
and Attributions.
Attributions and citations are essential for acknowledging the original authors of ideas, research, and
data used in your work. They provide credit where it’s due, avoid plagiarism, and allow readers to
trace sources for further study. Proper citations enhance the credibility of your work and respect
intellectual property rights. Always follow the appropriate citation style (e.g., APA, MLA) for
consistency.
Citations serve multiple essential functions in scholarly work by providing a means to credit the
original authors, validate claims, and allow readers to trace information back to its source. They are
critical in maintaining academic integrity and ensuring that ideas are properly attributed, which
prevents plagiarism and respects intellectual property. Citations support the growth of knowledge by
connecting new research to prior work, creating a network of scholarly communication across studies,
papers, patents, and other publications.

Main Functions of Citations:

Verification: Citations allow readers to verify sources and check the accuracy of the claims
made. This helps maintain transparency and lets readers judge the quality of the referenced
research.

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 Acknowledgment: Citations give credit to the original authors and researchers whose work
contributed to the current study, recognizing their intellectual contributions and enhancing
their professional reputations.
Documentation: Citations document the progression of ideas and historical developments in
a field, showing how new research builds on or diverges from past knowledge.

Types of Citation Issues:

 Spurious Citations: Adding irrelevant citations that do not contribute meaningfully to the
content.
 Biased Citations: Selectively citing work due to personal connections or omitting contrary
findings.
 Self-Citations: Citing one’s own work excessively when not relevant, which can inflate
metrics artificially.
 Coercive Citations: Editors requiring authors to cite specific journals, often to boost impact
factors, which undermines the integrity of academic publishing.
In finally, citations uphold scholarly ethics by appropriately acknowledging contributions, guiding
readers, and avoiding plagiarism. Proper citation practices, whether using tools like LaTeX or manual
styles, support a researcher's credibility and the reliability of their work.

Q. Explain the main functions of citations in scholarly work. How do citations support
academic integrity and knowledge growth? Understanding (Level 2)

Q. Discuss why it is essential to give proper attributions and citations in research. How does
this practice enhance the credibility of a research paper? Understanding (Level 2)

Impact of Title and Keywords on Citations:

The title and keywords of a research paper play a significant role in its visibility and, consequently,
its citation count. Here’s a summary of the impact and important aspects:
Title Impact:
1. The title is the first indication of a paper's topic and can determine whether it attracts
readers or gets lost in searches.
2. Length: Studies suggest that longer titles are often associated with higher citation
rates as they provide more detail, potentially including methodology or results.
3. Type: Different title types affect citations differently:
1. Descriptive titles (those that state the study’s content clearly) tend to attract
more citations than question-based or overly creative titles.
2. Result-oriented titles usually receive more citations than titles focused on
methods.
3. Special markers: Titles with question marks, colons, or specific geographic
references often receive fewer citations.

Keyword Selection:
1. Keywords are essential for indexing, helping search engines, journals, and databases
categorize and direct the paper to a relevant audience.

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 2. Using a maximum number of relevant keywords increases the paper’s discoverability,
which can lead to more citations.
3. Avoiding niche or new keywords is beneficial since such terms might not be widely
recognized, potentially reducing visibility.
In finally, a well-crafted, descriptive title and carefully chosen keywords improve a paper’s visibility
in academic searches, thus enhancing its chances of being cited.

Q. Explain how the choice of title and keywords in a research paper can affect its citation count
and visibility. Understanding (Level 2)

Knowledge Flow Through Citation:

Knowledge flows through verbal communications, books, documents, video, audio, and images,
which plays a powerful role in research community in promoting the formulation of new knowledge.
In engineering research, knowledge flow is primarily in the form of books, thesis, articles, patents,
and reports. Citing a source is important for transmission of knowledge from previous work to an
innovation. Production of knowledge can be related to the citation network. Knowledge flow happens
between co-authors during research collaboration, among other researchers through their paper
citation network, and also between institutions, departments, research fields or topics, and elements
of research.
Figure 3.1 shows the relationship between citations, knowledge flow, and elements such as
researchers, papers, journal publications or conferences, and institutions. If paper A is cited by paper
B, then knowledge flows through citation networks across institutions. The complex interdisciplinary
nature of research encourages scholars to cooperate with each other to grab more advantages through
collaboration, thereby improving quality of the research. In the examined the citation impact of the
South African publications among different collaboration types, discipline and sectors, and observed
that co-authored publications had more citations than single author paper and there was a positive co-
relation between number of authors and the number of citations.

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Q. Explain the concept of knowledge flow through citations and its role in research innovation.
Understanding (Level 2)

Citing Datasets:
Citing Datasets has become essential in engineering research due to the reliance on data for
validating claims and providing experimental evidence. Data citations should give proper credit to
dataset creators, similar to how research articles are cited. This includes legal attribution to all
contributors and ensuring identification and access to the data. However, citation styles may vary
depending on the dataset.
 Dataset Ownership and Permissions: Determining data ownership can be complex, especially
with large datasets involving multiple contributors or funding sources. Researchers must obtain
permission to use datasets, ensuring ethical and legal compliance.
 Information in Data Citations: Dataset citations should provide enough detail for readers to
locate the dataset, even if original links become unavailable. A mix of general (dataset title,
creators) and specific information (version, publication year) helps confirm that the dataset
identified is the correct one, enhancing reproducibility and transparency in research.
Figure 3.2 shows a relationship between co-authorship and different types of citations. Three articles
(X, Y, and Z) and five references (X1, X2, X3, Y1, and Y2) of article X and Y, respectively, are
considered. A, B, and C are authors of article X, and D, E, F, G, and also A are authors of article Y.
Article Z has two authors H and E. References X1, X2, X3, Y1, and Y2 have authors (A, P), (H, R),
(D), (Q, B, F), and (R), respectively. Based on co-authorship citation network, references X1 and Y1
are considered self-citation, reference X3 is a level-1 co-author citation because author of article Y is
direct collaborator of author A, reference X2 is a level-1 co-author network because author A is
collaborator of E who collaborated with H. We conclude that papers which frequently cite
collaborators will also often cite collaborators of collaborators. Collaborations certainly impact
citation counts.

Q. Explain the importance of citing datasets in engineering research. How does it contribute to
research transparency and credibility? Understanding (Level 2)

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Styles for Citations:
Citation styles are chosen based on the needs of the discipline and may differ in their approach to the
order and syntax of reference information, often prioritizing aspects such as concision, readability, or
emphasis on dates, authors, or publications. Here’s an overview of two commonly used citation styles
in engineering:
1. ASCE Style (American Society of Civil Engineers)
Reference List: ASCE style includes a full reference list at the end of the document, where each
entry provides complete bibliographic details.
Example Format: Author(s). Year. Title of the book/article. Publisher (for books) or Journal Title,
Volume(Issue), Page Range.
In-Text Citation: Citations within the text are usually placed right after the reference, using the
author’s last name and publication year.
Example: (Smith, 2020).

2. IEEE Style (Institute of Electrical and Electronics Engineers)

Endnotes: IEEE citations use numeric endnotes listed sequentially within the text, which correspond
to full references in the bibliography.
Example: [1] Smith, J., Title of Paper, Journal Name, vol. 1, no. 1, pp. 1-10, 2020.
In-Text Citation: Citations are numbered in the order they appear, using brackets.
Example: As noted in [1].

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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Each citation style has a manual with specific details for different sources, and it's essential to follow
these guidelines to ensure proper formatting and adherence to journal or publication requirements.

3. 3. ASME style (The Association of Mechanical Engineers)

Q. Explain the importance of selecting an appropriate citation style in engineering research.

How does it impact readability and scholarly communication? Understanding (Level 2)

Acknowledgments and Attributions:

The Acknowledgment section in research papers is dedicated to expressing appreciation for
contributions made by individuals, organizations, or funding bodies that facilitated the research. This
section is especially important for recognizing support that doesn’t warrant authorship but was still
valuable for the study’s success. If no specific guideline exists, acknowledgments can be placed at the
end of the text or as a footnote.
Acknowledgments help display the collaborative nature of research by showing connections between
researchers, agencies, institutions, and supporting organizations. They can be categorized as follows:
1. Moral Support: Encouragement or general support.
2. Financial Support: Recognition of funding bodies and grants.
3. Editorial Support: Help with writing or editing.
4. Institutional/Technical Support: Provision of facilities, equipment, or other technical aid.
5. Conceptual Support: Contributions of ideas or intellectual discussions.

Attributions are equally significant in publications, ensuring that even minor contributions are
credited. In engineering research, acknowledgments often include technicians, students, funding
sources (with grant numbers), and institutions that offered resources or insights, illustrating a web of
support and collaboration in advancing research outcomes.

What Should Be Acknowledged?

In research publications, acknowledgments serve as a formal way to recognize various forms of
support and contributions that played a role in completing the work. Here’s a breakdown of what
should be acknowledged:
Quotations and Paraphrasing: Direct or indirect use of another’s words, ideas, algorithms,
or methods requires proper acknowledgment, including quotations for exact phrasing and
citations for paraphrased content.
Contributors to the Research: People who provided scientific, technical guidance, or
engaged in discussions should be credited. This includes assistants, students, and technicians
who contributed to experiments or data analysis.
Funding Support: Funding sources should be acknowledged, including details such as grant
numbers, to fulfill obligations to funding agencies. This acknowledgment is crucial, as
omitting it may impact future funding opportunities.
Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.
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 Facilities and Equipment: Recognize any external institutions or organizations that provided
facilities, resources, or equipment used in the research.
Prior Presentations of Results: If the research was previously presented (e.g., in a
conference or symposium), it should be cited, including details of the event to provide context.
Double-Blind Review Anonymity: In cases where acknowledgment may reveal the author’s
identity, it is permissible to withhold acknowledgment details until the final accepted
manuscript to adhere to peer review policies.
Proper acknowledgments reflect research integrity and build a network of collaboration, while
compliance with funding agency guidelines is necessary to maintain support. These practices
strengthen the impact and credibility of the research work.

Q. Explain the purpose of the acknowledgment section in a research paper. Why is it essential
to include various forms of support that do not warrant authorship? Understanding (Level 2)

Acknowledgments in Books/Dissertations:
In a thesis or dissertation, an acknowledgments page usually follows the table of contents and is
more detailed than acknowledgments in journal articles or conference papers. This section allows the
researcher to formally thank everyone who contributed to the research.
Key points to consider:
 Length and Tone: Acknowledgments should be concise, formal, and free of overly emotive
language.
 Order of Acknowledgment: Typically, acknowledgments start with professional support,
followed by personal acknowledgments.
Common Acknowledgments Include:
 Academic Advisors: Primary supervisor and co-supervisors.
 Peers and Staff: Colleagues, lab peers, technical or support staff, and departmental academic
staff.
 Collaborators: Contributors from other departments, institutions, or organizations.
 Personal Support: Family and friends who provided moral or logistical support.
This structure maintains a professional tone while respectfully acknowledging all forms of assistance
received during the research journey.

Q. Explain why the acknowledgment section in a thesis or dissertation is typically more detailed
than that in journal articles or conference papers. Understanding (Level 2)

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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Dedication or Acknowledgments?
Dedications are unique to longer, personal documents such as books, theses, or dissertations and are
not typically included in journal papers, conference articles, or patents. A dedication is a personal
tribute from the author to whomever they wish, such as a family member, friend, pet, or even a
spiritual figure. Unlike acknowledgments, which are meant to thank those who directly contributed to
the work, a dedication is simply an expression of admiration or affection.

Key Differences:
 Purpose: Dedications are personal tributes, while acknowledgments express gratitude for
contributions.
 Inclusion in Both Sections: It’s possible to include someone in both sections, dedicating the
work to them while also acknowledging their support.
 Length and Placement: Dedications are often short and appear at the beginning, while
acknowledgments vary in length based on the document and detail contributions.
In technical books, acknowledgments may be brief, similar to those in journal articles, while in a
dissertation or thesis, they tend to be more detailed, often reflecting the document’s overall length
and formality.
Here's a table format to highlight the differences between dedications and acknowledgments in
academic writing:

Feature Dedication Acknowledgment

Personal tribute to individuals who Formal recognition of individuals and

Purpose inspired or supported the author on a institutions who contributed to the academic
personal level. or professional aspects of the work.
Personal, sometimes emotional; can Formal and concise, following academic
Tone
be informal. conventions.
Mentions family, friends, mentors, or
Thanks to advisors, collaborators, funding
Content anyone significant in the author’s
bodies, colleagues, and research assistants.
personal life.
Usually comes after the dedication and
Typically appears at the beginning of
Placement before main content like the table of contents
the work, before acknowledgments.
or introduction.

Q. Explain the difference between a dedication and an acknowledgment in academic writing.

Understanding (Level 2)

Copyright © Dr. Ramesh M. Kagalkar, Professor, Dept. of ISE, NCET, Bangaluru.

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