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RESEARCH METHODOLOGY AND IPR

UNIT 1:

Meaning of research problem:

A research problem is a specific issue, difficulty, contradiction, or gap in

knowledge that you will aim to address in your research. You might look for
practical problems aimed at contributing to change, or theoretical problems
aimed at expanding knowledge.

Bear in mind that some research will do both of these things, but usually the
research problem focus on one or the other. The type of research problem
you choose depends on your broad topic of interest and the type of
research you want to do.

This article helps you identify and refine a research problem. When writing
your research proposal or introduction, you will have to formulate it as
a problem statement and/or research questions.

Why is the research problem important?

Your topic is interesting and you have lots to say about it, but this isn’t a strong
enough basis for academic research. Without a well-defined research
problem, you are likely to end up with an unfocused and unmanageable
project.

You might end up repeating what other people have already said, trying to
say too much, or doing research without a clear purpose and justification. You
need a problem in order to do research that contributes new and relevant
insights.

Whether you’re planning your thesis, starting a research paper or writing a

research proposal, the research problem is the first step towards knowing
exactly what you’ll do and why.

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Step 1: Identify a broad problem area:

As you discuss and read about your topic, look for under-explored aspects
and areas of concern, conflict or controversy. Your goal is to find a gap that
your research project can fill.

Practical research problems

If you are doing practical research, you can identify a problem by reading
reports, following up on previous research, and talking to people who work
in the relevant field or organization. You might look for:

 Issues with performance or efficiency in an organization

 Processes that could be improved in an institution
 Areas of concern among practitioners in a field
 Difficulties faced by specific groups of people in society

If your research is connected to a job or internship, you will need to find a

research problem that has practical relevance for the organization.

Theoretical research problems

Theoretical research focuses on expanding knowledge and understanding
rather than directly contributing to change. You can identify a research
problem by reading recent research, theory and debates on your topic to find
a gap in what is currently known about it. You might look for:

 A phenomenon or context that has not been closely studied

 A contradiction between two or more perspectives
 A situation or relationship that is not well understood
 A troubling question that has yet to be resolved

Theoretical problems often have practical consequences, but they are not
focused on solving an immediate issue in a specific place (though you might
take a case study approach to the research).

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Sources of research problem:

The Sources of research problem is the situation that causes the researcher
to feel apprehensive, confused and ill at ease. It is the demarcation of a
problem area within a certain context involving the WHO or WHAT, the
WHERE, the WHEN and the WHY of the problem situation.
There are many problem situations that may give rise to research. Three
sources usually contribute to problem identification. Own experience or the
experience of others may be a source of problem supply. A second source
could be scientific literature. You may read about certain findings and notice
that a certain field was not covered. This could lead to a research problem.
Theories could be a third source. Shortcomings in theories could be
researched. Research can thus be aimed at clarifying or substantiating an
existing theory, at clarifying contradictory findings, at correcting a faulty
methodology, at correcting the inadequate or unsuitable use of statistical
techniques, at reconciling conflicting opinions, or at solving existing practical
problems. Usually we say that a research problem does exist if the following
conditions are met with:
1. There must be an individual (or a group or an organisation), let us call it ‘I,’
to whom the problem can be attributed. The individual or the organisation,
as the case may be, occupies an environment, say ‘N’, which is defined by
values of the uncontrolled variables, Yj.
2. There must be at least two courses of action, say C1 and C2, to be pursued.
A course of action is defined by one or more values of the controlled
variables. For example, the number of items purchased at a specified time
is said to be one course of action.
3. There must be at least two possible outcomes, say O1 and O2, of the course
of action, of which one should be preferable to the other. In other

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words, this means that there must be at least one outcome that the
researcher wants, i.e., an objective.
4. The courses of action available must provides some chance of obtaining
the objective, but they cannot provide the same chance, otherwise the
choice would not matter. Thus, if P (Oj | I, Cj, N) represents the probability
that an outcome Oj will occur, if I select Cj in N, then PbO1| I , C1, Ng ¹
PbO1| I , C2 , Ng . In simple words, we can say that the choices must have
unequal efficiencies for the desired outcomes.
Over and above these conditions, the individual or the organisation can be
said to have the problem only if ‘I’ does not know what course of action is
best, i.e., ‘I’, must be in doubt about the solution. Thus, an individual or a
group of persons can be said to have a problem which can be technically
described as a research problem, if they (individual or the group), having one
or more desired outcomes, are confronted with two or more courses of action
that have some but not equal efficiency for the desired objective(s) and are
in doubt about which course of action is best. We can, thus, state the
components of a research problem as under:
1. There must be an individual or a group which has some difficulty or the
problem.
2. There must be some objective(s) to be attained at. If one wants nothing,
one cannot have a problem.
3. There must be alternative means (or the courses of action) for obtaining
the objective(s) one wishes to attain. This means that there must be at
least two means available to a researcher for if he has no choice of means,
he cannot have a problem.
4. There must remain some doubt in the mind of a researcher with regard to
the selection of alternatives. This means that research must answer the
question concerning the relative efficiency of the possible alternatives.
5. There must be some environment(s) to which the difficulty pertains.

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Definition of a Research Problem:

The Research Problem is one which requires a researcher to find out the best
solution for the given problem, i.e., to find out by which course of action the
objective can be attained optimally in the context of a given environment.
There are several factors which may result in making the problem
complicated. For instance, the environment may change affecting the
efficiencies of the courses of action or the values of the outcomes; the
number of alternative courses of action may be very large; persons not
involved in making the decision may be affected by it and react to it
favourably or unfavourably, and similar other factors. All such elements (or at
least the important ones) may be thought of in context of a research problem.
Criteria Characteristics of a good research problem:
The ten important characteristics of a good research problem for a thesis are
summarized below. The list enables one to examine any research problem
and see the extent to which it measures up. Obviously, few problems will
achieve all ten characteristics but good problems should fulfill most of these
requirements. A few words are in order about each of them.
Characteristics of a good thesis research problem
1 The problem can be stated clearly and concisely.
2 The problem generates research questions.
3 It is grounded in theory.
4 It relates to one or more academic fields of study.
5 It has a base in the research literature.
6 It has potential significance/importance.
7 It is do-able within the time frame, budget.
8 Sufficient data are available or can be obtained.
9 The researcher’s methodological strengths can be applied to the
problem.

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Errors in selecting a research problem:

Selection error is the sampling error for a sample selected by a non-
probability method. When respondents choose to self-participate in a study
and only those interested respond, you can end up with selection error
because there may already be an inherent bias. This can also occur when
respondents who are not relevant to the study participate, or when there’s a
bias in the way participants are put into groups.

Example: Interviewers conducting a mall intercept study have a natural

tendency to select those respondents who are the most accessible and
agreeable whenever there is latitude to do so. Such samples often comprise
friends and associates who bear some degree of resemblance in
characteristics to those of the desired population.

How to avoid this: Selection error can be controlled by going extra lengths to
get participation. A typical survey process includes initiating pre-survey
contact requesting cooperation, actual surveying, and post-survey follow- up.
If a response is not received, a second survey request follows, and perhaps
interviews using alternate modes such as telephone or person-to- person.

5 Common errors in the research process:

Designing a research project takes time, skill and knowledge. If you don’t go
into the process with a clear goal and methods, you’ll likely come out with
skewed data or an inaccurate picture of what you were trying to accomplish.
With Qualtrics survey software, we make the survey creation process easier,
but still you may feel overwhelmed with the scope of your research project.
This handy guide might help.

While it’s important to use proper methodology in the research process, it’s
equally important to avoid making critical mistakes that could produce
inaccurate results. In this article, we’ll list 5 common errors in the research
process and tell you how to avoid making them, so you can get the best data
possible.

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Best Practices: Discover how to maximize your ROI with market research.

Some errors are made simply by asking questions the wrong way.

Get your research right every time with our ultimate guide to conducting
market research.

1. Population Specification

Population specification errors occur when the researcher does not

understand who they should survey. This can be tricky because there are
multiple people who might consume the product, but only one who
purchases it, or they may miss a segment looking to purchase in the future.

Example:

Packaged goods manufacturers often conduct surveys of housewives,

because they are easier to contact, and it is assumed they decide what is to
be purchased and also do the actual purchasing. In this situation there often
is population specification error. The husband may purchase a significant
share of the packaged goods, and have significant direct and indirect
influence over what is bought. For this reason, excluding husbands from
samples may yield results targeted to the wrong audience.

How to avoid this: Understand who purchases your product and why they
buy it. It’s important to survey the one making the buying decision so you
know how to better reach them.

2. Sampling and Sample Frame Errors

Survey sampling and sample frame errors occur when the wrong
subpopulation is used to select a sample, or because of variation in the
number or representativeness of the sample that responds, but the resulting
sample is not representative of the population concern.

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Unfortunately, some element of sampling error is unavoidable, but

sometimes, it can be predicted. For instance, in the 1936 presidential election
between Roosevelt and Landon, the sample frame was from car registrations
and telephone directories. The researchers failed to realize that the majority
of people that owned cars and telephones were Republicans, and wrongly
predicted a Republican victory.

Example: Suppose that we collected a random sample of 500 people from the
general U.S. adult population to gauge their entertainment preferences.
Then, upon analysis, found it to be composed of 70% females. This sample
would not be representative of the general adult population and would
influence the data. The entertainment preferences of females would hold
more weight, preventing accurate extrapolation to the US general adult
population. Sampling error is affected by the homogeneity of the population
being studied and sampled from and by the size of the sample.

How to avoid this: While this cannot be completely avoided, you should have
multiple people reviewing your sample to account for an accurate
representation of your target population. You can also increase the size of
your sample so you get more survey participants.

Download now: The Ultimate Guide to Conducting Market Research.

3. Selection

Selection error is the sampling error for a sample selected by a non-

probability method. When respondents choose to self-participate in a study
and only those interested respond, you can end up with selection error
because there may already be an inherent bias. This can also occur when
respondents who are not relevant to the study participate, or when there’s a
bias in the way participants are put into groups.

Example: Interviewers conducting a mall intercept study have a natural

tendency to select those respondents who are the most accessible and

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agreeable whenever there is latitude to do so. Such samples often comprise

friends and associates who bear some degree of resemblance in
characteristics to those of the desired population.

How to avoid this: Selection error can be controlled by going extra lengths to
get participation. A typical survey process includes initiating pre-survey
contact requesting cooperation, actual surveying, and post-survey follow- up.
If a response is not received, a second survey request follows, and perhaps
interviews using alternate modes such as telephone or person-to- person.

4. Non-responsive

Nonresponse error can exist when an obtained sample differs from the
original selected sample.

This may occur because either the potential respondent was not contacted or
they refused to respond. The key factor is the absence of data rather than
inaccurate data.

Example: In telephone surveys, some respondents are inaccessible because

they are not at home for the initial call or call-backs. Others have moved or
are away from home for the period of the survey. Not-at-home respondents
are typically younger with no small children, and have a much higher
proportion of working wives than households with someone at home. People
who have moved or are away for the survey period have a higher geographic
mobility than the average of the population. Thus, most surveys can
anticipate errors from non-contact of respondents. Online surveys seek to
avoid this error through e-mail distribution, thus eliminating not-at-home
respondents.

How to avoid this: When collecting responses, ensure your original

respondents are participating, and use follow-up surveys and alternates
modes of reaching them if they don’t initially respond. You can also use

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different channels to reach your audience like in person, web surveys, or

SMS.

5. Measurement

Measurement error is generated by the measurement process itself, and

represents the difference between the information generated and the
information wanted by the researcher. Generally, there is always some small
level of measurement error due to uncontrollable factors.

Example: A retail store would like to assess customer feedback from at-the-
counter purchases. The survey is developed but fails to target those who
purchase in the store. Instead, the results are skewed by customers who
bought items online.

How to avoid this: Double check all measurements for accuracy and ensure
your observers and measurement takes are well trained and understand the
parameters of the experiment.

While not all of these errors can be completely avoidable, recognizing them
is half the battle. Next time you’re starting a research project, use this blog as
a checklist to ensure you’re doing everything you can to avoid these common
mistakes.

Also, before you begin your next research project, read How to Define Your
Research Question. This is vital to any research project because you can’t
begin creating surveys unless you understand the research problem.

Ready to start your research journey? Access 50+ free expert-designed

templates and have a read of our guide to conducting market research
below.

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Scope and objectives of research problem:

What is the scope of operational research? To answer this, we will first have
to understand what operations research means. Operational Research can
be simply formulated as the science of rational decision- making along with
the study of the synthesis of intricate problematic situations. Thus, the nature
of operations research is purely scientific as it aims at determining the
systematic behaviour and hence optimizing the results. The scope and
applications of operations research empower decision-making in those
business aspects where there is a larger concern of allocation of scarce
resources especially like capital, investment, labour, etc.

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Scope and Application of Operations Research:

Operation Research centrally focuses on simplifying complicated business

problems into well-defined mathematical constructs and works specifying
expected behaviour as well as goals. The key application of Operations
Research is that it facilitates decision making in those aspects of a business
where resource allocation is paramount, i.e. capital, labour, time and other
business resources. Given that it is rooted in computer science and analytics,
there is an immense scope of operation research in every business enterprise.

Here are the key areas of the scope and application of operations research:

 Healthcare Management and Hospital Administration

 Financial Management, Budgeting and Investments
 Government Development / Public Sector Units
 Energy and Environment
 Marketing and Revenue Management
 Agriculture
 Telecommunication Networks
 Military Defences
 Supply Chain Management
 Purchasing / Procurement / Logistics
 National Plans / Budgets

Approaches of investigation of solutions for research problem:

Research approaches are plans and the procedures for research that span the
steps from broad assumptions to detailed methods of data collection, analysis,
and interpretation. This plan involves several decisions, and they need not be
taken in the order in which they make sense to me and the order of their
presentation here. The overall decision involves which approach should be
used to study a topic. Informing this decision should be the philosophical
assumptions the researcher brings to the study; procedures of inquiry (called
research designs); and specific research methods of data collection, analysis,
and interpretation. The selection of a research approach

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is also based on the nature of the research problem or issue being addressed,
the researchers’ personal experiences, and the audiences for the study. Thus,
in this book, research approaches, research designs, and research methods are
three key terms that represent a perspective about research that presents
information in a successive way from broad constructions of research to the
narrow procedures of methods.

THE THREE APPROACHES TO RESEARCH

Three research approaches are advanced: (a) qualitative, (b) quantitative, and
(c) mixed methods. Unquestionably, the three approaches are not as discrete
as they first appear. Qualitative and quantitative approaches should not be
viewed as rigid, distinct categories, polar opposites, or dichotomies. Instead,
they represent different ends on a continuum (Newman & Benz, 1998). A
study tends to be more qualitative than quantitative or vice versa. Mixed
methods research resides in the middle of this continuum because it
incorporates elements of both qualitative and quantitative approaches.

Often the distinction between qualitative research and quantitative research

is framed in terms of using words (qualitative) rather than numbers
(quantitative), or using closed-ended questions (quantitative hypotheses)
rather than open-ended questions (qualitative interview questions). A more
complete way to view the gradations of differences between them is in the
basic philosophical assumptions researchers bring to the study, the types of
research strategies used in the research (e.g., quantitative experiments or
qualitative case studies), and the specific methods employed in conducting
these strategies (e.g., collecting data quantitatively on instruments versus
collecting qualitative data through observing a setting). Moreover, there is a
historical evolution to both approaches—with the quantitative approaches
dominating the forms of research in the social sciences from the late 19th
century up until the mid-20th century. During the latter half of the 20th
century, interest in qualitative research increased and along with it, the
development of mixed methods research. With this background, it should
prove helpful to view definitions of these three key terms,

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● Qualitative research is an approach for exploring and understanding the

meaning individuals or groups ascribe to a social or human problem. The
process of research involves emerging questions and procedures, data
typically collected in the participant’s setting, data analysis inductively building
from particulars to general themes, and the researcher making interpretations
of the meaning of the data. The final written report has a flexible structure.
Those who engage in this form of inquiry support a way of looking at research
that honors an inductive style, a focus on individual meaning, and the
importance of rendering the complexity of a situation.

 Quantitative research is an approach for testing objective theories by

examining the relationship among variables. These variables, in turn, can
be measured, typically on instruments, so that numbered data can be
analyzed using statistical procedures. The final written report has a set
structure consisting of introduction, literature and theory, methods,
results, and discussion. Like qualitative researchers, those who engage
in this form of inquiry have assumptions about testing theories
deductively, building in protections against bias, controlling for
alternative explanations, and being able to generalize and replicate the
findings.
 Mixed methods research is an approach to inquiry involving collecting
both quantitative and qualitative data, integrating the two forms of
data, and using distinct designs that may involve philosophical
assumptions and theoretical frameworks. The core assumption of this
form of inquiry is that the combination of qualitative and quantitative
approaches provides a more complete understanding of a research
problem than either approach alone these definitions have considerable
information in each one of them. Throughout this book, I discuss the
parts of the definitions so that their meanings will become clear to you
as you read ahead.

Philosophical Worldviews:

Although philosophical ideas remain largely hidden in research (Slife &

Williams, 1995), they still influence the practice of research Philosophical
Worldviews Designs Quantitative (e.g., Experiments) Qualitative (e.g.,

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Ethnographies) Mixed Methods(e.g., Explanatory Sequential Postpositivist

Constructivist Transformative Pragmatic RESEARCH APPROACHES Qualitative
Quantitative Mixed Methods Research Methods Questions Data Collection
Data Analysis Interpretation Validation

Framework for Research—the Interconnection of Worldviews, Design, and

Research Methods

Four Worldviews:

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Alternative Research Designs:

Data collection:

Data collection is the process of gathering and measuring information on

variables of interest, in an established systematic fashion that enables one to
answer stated research questions, test hypotheses, and evaluate outcomes.
The data collection component of research is common to all fields of study
including physical and social sciences, humanities, business, etc. While
methods vary by discipline, the emphasis on ensuring accurate and honest
collection remains the same.

The importance of ensuring accurate and appropriate data collection

Regardless of the field of study or preference for defining data (quantitative,

qualitative), accurate data collection is essential to maintaining the integrity
of research. Both the selection of appropriate data collection instruments
(existing, modified, or newly developed) and clearly delineated instructions
for their correct use reduce the likelihood of errors occurring.

Consequences from improperly collected data include:

 inability to answer research questions accurately

 inability to repeat and validate the study
 distorted findings resulting in wasted resources

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 misleading other researchers to pursue fruitless avenues of

investigation
 compromising decisions for public policy
 causing harm to human participants and animal subjects

While the degree of impact from faulty data collection may vary by
discipline and the nature of investigation, there is the potential to cause
disproportionate harm when these research results are used to support
public policy recommendations.

Issues related to maintaining integrity of data collection:

The primary rationale for preserving data integrity is to support the detection
of errors in the data collection process, whether they are made intentionally
(deliberate falsifications) or not (systematic or random errors).

Most, Craddick, Crawford, Redican, Rhodes, Rukenbrod, and Laws (2003)

describe ‘quality assurance’ and ‘quality control’ as two approaches that can
preserve data integrity and ensure the scientific validity of study results. Each
approach is implemented at different points in the research timeline
(Whitney, Lind, Wahl, 1998):

1. Quality assurance - activities that take place before data collection

begins
2. Quality control - activities that take place during and after data
collection

Quality Assurance:

Since quality assurance precedes data collection, its main focus

is 'prevention' (i.e., forestalling problems with data collection). Prevention is
the most cost-effective activity to ensure the integrity of data collection. This
proactive measure is best demonstrated by the standardization of protocol
developed in a comprehensive and detailed procedures manual for data
collection. Poorly written manuals increase the risk of failing to identify

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problems and errors early in the research endeavor. These failures may be
demonstrated in a number of ways:

 Uncertainty about the timing, methods, and identify of person(s)

responsible for reviewing data
 Partial listing of items to be collected
 Vague description of data collection instruments to be used in lieu of
rigorous step-by-step instructions on administering tests
 Failure to identify specific content and strategies for training or
retraining staff members responsible for data collection
 Obscure instructions for using, making adjustments to, and calibrating
data collection equipment (if appropriate)
 No identified mechanism to document changes in procedures that
may evolve over the course of the investigation .

An important component of quality assurance is developing a rigorous and

detailed recruitment and training plan. Implicit in training is the need to
effectively communicate the value of accurate data collection to trainees
(Knatterud, Rockhold, George, Barton, Davis, Fairweather, Honohan,
Mowery, O'Neill, 1998). The training aspect is particularly important to
address the potential problem of staff who may unintentionally deviate from
the original protocol. This phenomenon, known as ‘drift’, should be corrected
with additional training, a provision that should be specified in the procedures
manual.

Given the range of qualitative research strategies (non- participant/

participant observation, interview, archival, field study, ethnography,
content analysis, oral history, biography, unobtrusive research) it is difficult
to make generalized statements about how one should establish a research
protocol in order to facilitate quality assurance. Certainly, researchers
conducting non-participant/participant observation may have only the
broadest research questions to guide the initial research efforts. Since the
researcher is the main measurement device in a study, many times there are
little or no other data collecting instruments. Indeed, instruments may need
to be developed on the spot to accommodate unanticipated findings.

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Quality Control

While quality control activities (detection/monitoring and action) occur

during and after data collection, the details should be carefully
documented in the procedures manual. A clearly defined communication
structure is a necessary pre-condition for establishing monitoring systems.
There should not be any uncertainty about the flow of information between
principal investigators and staff members following the detection of errors in
data collection. A poorly developed communication structure encourages lax
monitoring and limits opportunities for detecting errors.

Detection or monitoring can take the form of direct staff observation during
site visits, conference calls, or regular and frequent reviews of data reports to
identify inconsistencies, extreme values or invalid codes. While site visits may
not be appropriate for all disciplines, failure to regularly audit records,
whether quantitative or quantitative, will make it difficult for investigators to
verify that data collection is proceeding according to procedures established
in the manual. In addition, if the structure of communication is not clearly
delineated in the procedures manual, transmission of any change in
procedures to staff members can be compromised

Quality control also identifies the required responses, or ‘actions’ necessary

to correct faulty data collection practices and also minimize future
occurrences. These actions are less likely to occur if data collection
procedures are vaguely written and the necessary steps to minimize
recurrence are not implemented through feedback and education (Knatterud,
et al, 1998)

Examples of data collection problems that require prompt action include:

 errors in individual data items

 systematic errors
 violation of protocol
 problems with individual staff or site performance
 fraud or scientific misconduct

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In the social/behavioral sciences where primary data collection involves

human subjects, researchers are taught to incorporate one or more
secondary measures that can be used to verify the quality of information
being collected from the human subject. For example, a researcher
conducting a survey might be interested in gaining a better insight into the
occurrence of risky behaviors among young adult as well as the social
conditions that increase the likelihood and frequency of these risky behaviors.

To verify data quality, respondents might be queried about the same

information but asked at different points of the survey and in a number
of different ways. Measures of ‘ Social Desirability’ might also be used
to get a measure of the honesty of responses. There are two points that
need to be raised here, 1) cross-checks within the data collection
process and 2) data quality being as much an observation- level issue as
it is a complete data set issue. Thus, data quality should be addressed
for each individual measurement, for each individual observation, and
for the entire data set.

Each field of study has its preferred set of data collection instruments.
The hallmark of laboratory sciences is the meticulous documentation of
the lab notebook while social sciences such as sociology and cultural
anthropology may prefer the use of detailed field notes. Regardless of
the discipline, comprehensive documentation of the collection process
before, during and after the activity is essential to preserving data
integrity.

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Analysis:

What is data analysis in research?

Definition of research in data analysis:

According to LeCompte and Schensul, research data analysis is a process used

by researchers for reducing data to a story and interpreting it to derive
insights. The data analysis process helps in reducing a large chunk of data into
smaller fragments, which makes sense.

Three essential things take place during the data analysis process — the first
data organization. Summarization and categorization together contribute to
becoming the second known method used for data reduction. It helps in
finding patterns and themes in the data for easy identification and linking.
Third and the last way is data analysis – researchers do it in both top-down or
bottom-up fashion.

Marshall and Rossman, on the other hand, describe data analysis as a messy,
ambiguous, and time-consuming, but a creative and fascinating process

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through which a mass of collected data is being brought to order, structure

and meaning.

We can say that “the data analysis and interpretation is a process

representing the application of deductive and inductive logic to the research
and data analysis.”

Why analyze data in research?

Researchers rely heavily on data as they have a story to tell or problems to
solve. It starts with a question, and data is nothing but an answer to that
question. But, what if there is no question to ask? Well! It is possible to
explore data even without a problem – we call it ‘Data Mining’ which often
reveal some interesting patterns within the data that are worth exploring.

Irrelevant to the type of data, researchers explore, their mission, and

audiences’ vision guide them to find the patterns to shape the story they want
to tell. One of the essential things expected from researchers while analyzing
data is to stay open and remain unbiased towards unexpected patterns,
expressions, and results. Remember, sometimes, data analysis tells the most
unforeseen yet exciting stories that were not expected at the time of initiating
data analysis. Therefore, rely on the data you have at hand and enjoy the
journey of exploratory research.

Interpretation:

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What is Data Interpretation?:

Syracuse University defined data interpretation as the process of assigning
meaning to the collected information and determining the conclusions,
significance, and implications of the findings. In other words, it's giving
meaning to the collected 'cleaned' raw data.

Data Interpretation Examples:

Data interpretation is the final step of data analysis. This is where you turn
results into actionable items. To better understand it, here are 2 instances of
interpreting data:
Let's say you've got four age groups of the user base. So a company can notice
which age group is most engaged with their content or product. Based on bar
charts or pie charts, they can either: develop a marketing strategy to make
their product more appealing to non-involved groups or develop an
outreach strategy that expands on their core user base.
Another case of data interpretation is how companies use recruitment CRM.
They use it to source, track, and manage their entire hiring pipeline to see
how they can automate their workflow better. This helps companies save
time and improve productivity.

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Steps of Data Interpretation:

Data interpretation is conducted in 4 steps:

 Assembling the information you need (like bar graphs and pie charts);
 Developing findings or isolating the most relevant inputs;
 Developing conclusions;
 Coming up with recommendations or actionable solutions.
Considering how these findings dictate the course of action, data analysts
must be accurate with their conclusions and examine the raw data from
multiple angles. Different variables may allude to various problems, so
having the ability to backtrack data and repeat the analysis using different
templates is an integral part of a successful business strategy

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Necessary instrumentations:

Instrument is the general term that researchers use for a measurement

device (survey, test, questionnaire, etc.). To help distinguish between
instrument and instrumentation, consider that the instrument is the
device and instrumentation is the course of action (the process of
developing, testing, and using the device).
Instruments fall into two broad categories, researcher-completed and
subject-completed, distinguished by those instruments that researchers
administer versus those that are completed by participants. Researchers
chose which type of instrument, or instruments, to use based on the
research question. Examples are listed below:
Researcher-completed Instruments Subject-completed Instruments

Rating scales Questionnaires

Interview schedules/guides Self-checklists

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Tally sheets Attitude scales

Flowcharts Personality inventories

Performance checklists Achievement/aptitude tests

Time-and-motion logs Projective devices

Observation forms Sociometric devices

Usability
Usability refers to the ease with which an instrument can be administered,
interpreted by the participant, and scored/interpreted by the researcher.
Example usability problems include:
1. Students are asked to rate a lesson immediately after class, but there are
only a few minutes before the next class begins (problem with
administration).
2. Students are asked to keep self-checklists of their after school activities,
but the directions are complicated and the item descriptions confusing
(problem with interpretation).
3. Teachers are asked about their attitudes regarding school policy, but
some questions are worded poorly which results in low completion rates
(problem with scoring/interpretation).
Validity and reliability concerns (discussed below) will help alleviate usability
issues. For now, we can identify five usability considerations:
1. How long will it take to administer?
2. Are the directions clear?
3. How easy is it to score?
4. Do equivalent forms exist?
5. Have any problems been reported by others who used it?
It is best to use an existing instrument, one that has been developed and
tested numerous times, such as can be found in the Mental Measurements
Yearbook. We will turn to why next.

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UNIT 2:

Analysis Plagiarism:

Plagiarism is the unethical practice of using words or ideas (either planned or

accidental) of another author/researcher or your own previous works without
proper acknowledgment. Considered as a serious academic and intellectual
offense, plagiarism can result in highly negative consequences such as paper
retractions and loss of author credibility and reputation. It is currently a
grave problem in academic publishing and a major reason for paper
retractions

It is thus imperative for researchers to increase their understanding about

plagiarism. In some cultures, academic traditions and nuances may not insist
on authentication by citing the source of words or ideas. However, this form
of validation is a prerequisite in the global academic code of conduct. Non-
native English speakers face a higher challenge of communicating their
technical content in English as well as complying with ethical rules. The digital
age too affects plagiarism. Researchers have easy access to material and data
on the internet which makes it easy to copy and paste information.

How Can You Avoid Plagiarism in a Research Paper?:

Guard yourself against plagiarism, however accidental it may be. Here are
some guidelines to avoid plagiarism.

1. Paraphrase your content

 Do not copy–paste the text verbatim from the reference paper. Instead,
restate the idea in your own words.
 Understand the idea(s) of the reference source well in order to
paraphrase correctly or you may directly use an online paraphrasing
tool to paraphrase your content effortlessly.

Research ethics:

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 Ethics are the set of rules that govern our expectations of our own and
others’ behavior.
 Research ethics are the set of ethical guidelines that guides us on how
scientific research should be conducted and disseminated.
 Research ethics govern the standards of conduct for scientific
researchers It is the guideline for responsibly conducting the research.
 Research that implicates human subjects or contributors rears
distinctive and multifaceted ethical, legitimate, communal and
administrative concerns.
 Research ethics is unambiguously concerned in the examination of
ethical issues that are upraised when individuals are involved as
participants in the study.
 Research ethics committee/Institutional Review Board (IRB) reviews
whether the research is ethical enough or not to protect the rights,
dignity and welfare of the respondents.

Objectives of Research Ethics:

 The first and comprehensive objective – to guard/protect human

participants, their dignity, rights and welfare .
 The second objective – to make sure that research is directed in a
manner that assists welfares of persons, groups and/or civilization as a
whole.
 The third objective – to inspect particular research events and schemes
for their ethical reliability, considering issues such as the controlling risk,
protection of privacy and the progression of informed consent.

Principles of Research Ethics:

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The general principles of research ethics are:

Being honest with the beneficiaries and respondents. Being
Honesty honest about the findings and methodology of the research.
Being honest with other direct and indirect stakeholders.

Ensuring honesty and sincerity. Fulfilling agreements and

promises. Do not create false expectations or make false
Integrity promises.

Objectivity Avoiding bias in experimental design, data analysis, data

interpretation, peer review, and other aspects of research.

Informed consent  Informed consent means that a person knowingly,

voluntarily and intelligently gives consent to participate

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in a research.
 Informed consent is related to the autonomous right of
the individual to participate in the research.
 Informing the participant about the research objective,
their role, benefits/harms (if any) etc.
It includes:
 autonomy, which requires that those who are capable of
deliberation about their personal goals should be treated
with respect for their capacity for self-determination; and
 protection of persons with impaired or diminished
autonomy, which requires that those who are dependent
Respect for or vulnerable be afforded security against harm or abuse.
person/respondent

Maximize the benefits of the participants. Ethical obligation

to maximize possible benefits and to minimize possible
Beneficence harms to the respondents.

Non-maleficence/
Protecting the Do no harm. Minimize harm/s or risks to the human. Ensure
subjects (human) privacy, autonomy and dignity.

Responsible Responsibly publishing to promote and uptake research or

publication knowledge. No duplicate publication.

It means keeping the participant anonymous. It involves not

Protecting revealing the name, caste or any other information about the
anonymity participants that may reveal his/her identity.

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Protecting confidential information, personnel records. It

includes information such as:

 Introduction and objective of the research

 Purpose of the discussion
 Procedure of the research
 Anticipated advantages, benefits/harm from the research (if
any)
 Use of research
 Their role in research
 Right to refuse or withdraw
 Methods which will be used to protect anonymity and
confidentiality of the participant
 Freedom to not answer any question/withdraw from the
research
 Who to contact if the participant needs additional
Confidentiality
information about the research.
Avoid discrimination on the basis of age, sex, race, ethnicity or
other factors that are violation of human rights and are not related
Non-discrimination to the study.

Be open to sharing results, data and other resources. Also accept

Openness encouraging comments and constructive feedback.

Carefulness and
respect for Be careful about the possible error and [Link] credit to the
intellectual intellectual property of others. Always paraphrase while
property referring to others article, writing. Never plagiarize.

The obligation to distribute benefits and burdens fairly, to treat

equals equally, and to give reasons for differential treatment
based on widely accepted criteria for just ways to distribute
Justice benefits and burdens.

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Effective technical writing:

Top 10 Tips for Great Technical Writing:

 Good technical writing is in the eye of the beholder, or so they say.

But the reality is, we all know what good looks like, and often
we’re left wanting.
 Great technical writing is hard to find as the majority is either
overly complicated, long-winded or just lacking good basic
grammar. It can genuinely be really tough to find sources worth
reading and this is a shame, because with a few simple tweaks,
an average piece of technical writing can be turned into a great one.
Here are 10 tips you should consider to improve your own technical
writing efforts:
1. Understand what your audience is already likely to know
2. Think about how you present your information
3. Embrace supporting imagery
4. Simplify language at every opportunity
5. Be clear what readers will get from your content
6. Don’t take yourself too seriously
7. Avoid references to time-sensitive information
8. Analyze your competitor’s content for pointers
9. Revise and update your content over time
10. Get a 3rd party to read and review all writing before publishing

How to write report:

How to Write an Effective Project Report in 7 Steps:
1. Decide the Objective
Take some time to think about the purpose of the report. Do you need to
describe, explain, recommend, or persuade? Having a clear purpose from
the outset ensures that you stay focused, which makes it easier to engage
your reader.

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2. Understand Your Audience

Writing a formal annual report for your stakeholders is very different from a
financial review. Tailor your language, use of data, and supporting graphics to
the audience.
It is also useful to consider the personal communication style of the reader,
for example, how do they write emails or structure documents? Reflect their
preferences where possible. You may need to develop a more formal or
informal tone to your own natural style.
Adopting this technique will build rapport and make the reader more
receptive to your ideas

3. Report Format and Type

Before you start, check the report format and type. Do you need to submit a
written report or deliver a presentation? Do you need to craft a formal,
informal, financial, annual, technical, fact-finding, or problem-solving report?
You should also confirm if any templates are available within the organization.
Checking these details can save time later on!

4. Gather the Facts and Data

Including engaging facts and data will solidify your argument. Start with your
collaborative project site and work out as needed. Remember to cite sources
such as articles, case studies, and interviews.

5. Structure the Report

A report typically has four elements:
 Executive Summary. Your report will begin with the summary, which is
written once the report is finished. As the first item the reader encounters,
this is the most important section of the document. They will likely use the
summary to decide how much of the report they need to read so make it
count!

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 Introduction: Provide a context for the report and outline the structure of
the contents. Identify the scope of the report and any particular
methodologies used
 Body: It’s now time to put your writing skills to work! This is the longest
section of the report and should present background details, analysis,
discussions, and recommendations for consideration. Draw upon data and
supporting graphics to support your position
 Conclusion: Bring together the various elements of the report in a clear and
concise manner. Identify the next steps and any actions that your reader
needs to take.

6. Readability
Spend some time making the report accessible and enjoyable to read. If
working in Word, the Navigation pane is a great way to help your reader work
through the document. Use formatting, visuals, and lists to break up long
sections of text.

7. Edit
The first draft of the report is rarely perfect so you will need to edit and revise
the content. If possible, set the document aside for a few days before
reviewing or ask a colleague to review.

Paper Developing a Research Proposal:

 Writing based on research takes time, thought, and effort. Although

such work is challenging, it is manageable. Focusing on one step at a
time will help you conduct thorough, valid research and write a
thoughtful, convincing composition based on that research.
 Because planning makes for better research and better writing,
students are often called upon to write a research proposal – a formal
composition in which a researcher defines a topic and explains his or
her plans for researching that topic. Such a proposal is used not only to
create a coherent plan but also to convince a teacher or reviewer that
you have developed a relevant, focused, and interesting topic and that
your plans to research that topic will work.

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 There are a number of basic steps a researcher will take to develop a

research plan. Each of these steps constitute information that is
included in the research proposal:

1. Developing and defining a topic.

2. Exploring your purpose and audience for your research.
3. Conducting preliminary research.
4. Formulating a research question (and additional questions).
5. Creating a research plan.

Format of research proposal:

A research proposal describes what you will investigate, why it’s important,
and how you will do the research. The format of a research proposal varies
between fields, but most proposals should contain at least these elements:

 Cover page
 Introduction
 Literature review
 Research design
 Reference list

There may be some variation in how the sections are named or divided, but
the overall goals are always the same. This article takes you through a basic
research proposal template and explains what you need to include in each
part.

Purpose of a research proposal:

Academics often have to write research proposals to get funding for their
projects. As a student, you might have to write a research proposal as part of
a grad school application, or you might need to submit one before you start
writing your thesis or dissertation.

All research proposals are designed to persuade someone—such as a funding

body, educational institution, or supervisor—that your project is worthwhile.

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Research proposal aims

Relevance Convince the reader that your project is interesting, original and
important

Context Show that you are familiar with the field, you understand the current
state of research on the topic, and your ideas have a strong academic
basis

Approach Make a case for your methodology, showing that you have carefully
thought about the data, tools and procedures you will need to conduct
the research

Feasibility Confirm that the project is possible within the practical constraints of the
programme, institution or funding

How long is a research proposal?:

The length of a research proposal varies dramatically. A bachelor’s or
master’s thesis proposal can be just a few pages, while proposals for PhD
dissertations and research funding are often very long and detailed.

Although you write it before you begin the research, the proposal’s structure
usually looks like a shorter version of a thesis or dissertation (but without the
results and discussion sections).

A presentation and assessment by a review committee:

 Most granting agencies have reviewers’ guidelines that include

instructions for the format of the written review. These can be as broad
as section headings that will aid in the presentation of the

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written review and enable standardization for the reviews, and will
ensure that the reviews are comprehensive. Some organizations will
have the committee chair or a staff person compile and summarize all
of the reviewers’ comments; other will simply send the originals to the
researchers.6 Most agencies “blind” the reviewer from the
researcher—although the researcher will be able to obtain a list of
committee members, they will not know which members reviewed
their proposal.
 I present the review guidelines below not as a checklist but, rather, as
questions to focus the reviewer’s attention on aspects of a proposal for
consideration and comment. Whereas a checklist format usually
enables a reviewer to determine the presence or absence of certain
features (implying that absence is a weakness), the question format will
enable the reviewer to make an informed decision about the quality of
the proposed research. I am assuming reviewer competence—that is,
the review will be conducted by individuals with enough qualitative
knowledge and
 experience to make informed decisions about the adequacy of the
design and the abilities of the applicant.7 Furthermore, I assume that
the reviewers will have the wisdom to recognize that rather than a
promise of a product, the qualitative research proposal is just that—a
proposed way to proceed in exploring the problem. I also assume that
the reviewers (and granting officers overseeing the project) will
recognize the dictum “More bad data do not make good data,” so the
proposal should have enough latitude that if a strategy is not working
(and a researcher is not obtaining the type of data needed for analysis),
the researcher can modify data collection strategies. Qualitative
research cannot be designed as precisely as experimental designs are,
and, once in the field, it is essential that the investigator have the
freedom to correct design issues if necessary. Qualitative researchers
have even changed the questions asked if, once fieldwork commences,
the questions originally proposed appear misguided or off base.
 The primary reviewer has an important role in the presentation of the
proposal to the committee that significantly influences the score that

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the proposal receives, its ranking, and whether it is eventually funded.

The tone of the review, particularly that of the primary reviewer, can
set the tone for the whole review, and the enthusiasm expressed for
the project sets the stage for the receptivity of the committee to the
project and, ultimately, how well or how poorly the proposal is scored.
It is unlikely that many of the reviewers will have qualitative expertise,
and only a few members of the review committee might be content
experts. The odds that the reviewers will be versed in both the content
and the method are very low. Thus, a reviewer has an important
interpretive role, to present the study with enthusiasm or with guarded
criticism, carefully endorsing the strengths of the proposal or pointing
out weaknesses and the seriousness of these pitfalls.

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UNIT 3:

Nature of Intellectual Property:

Introduction:
In general, intellectual property deals with the rights that are given to an
individual with respect to his inventions or creativity of intelligence. It
protects the rights of the owner. It confers rights on the owner and gives an
exclusive right to use the same for a particular time period.

Types of Property Rights:

There are different types of intellectual property rights like patents,
copyrights, trademarks, geographical indication, industrial designs, plant
variety, etc. When an invention is made, it is protected by the patent. Any
literary work is protected by copyright and the designs are also protected.
IPR is a tool to protect the time and money of the person creating a particular
thing. It helps in the financial growth as well. It is pertinent to note that the
rights available under IP are effective in deterring a person to not the use the
rights of other on a particular product or thing. The World Intellectual
Property Organization (WIPO) also provides for the measures to be taken to
protect the intellectual property.

Nature of IP Rights:

1. The IP rights are intangible rights over the tangible rights.

2. If there is an infringement in the use of rights by some other party, the
owner of such rights has the right to sue such party for the infringement.
3. There are rights as well as duties on the owner. It means that IP does not
only confer the rights.
4. Many a times it is seen that there is co-existence of different rights at the
same time.
5. It is also pertinent to note that there are exhaustion of rights in the case
of IP rights.

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The scope of IP is very broad and it is classified under two heads:

1. Copyrights and
[Link] properties
All the types are included under the above two classification of rights.

Need For Promotion And Protection Of IP:

1. New inventions in the field of science and technology.

2. It encourages the publication, distribution, etc in the public and the world
is benefitted.
3. For the promotion of economic development which thereby increases the
quality of life.
In India, there are various legislations enacted for the protection of
intellectual property rights. It is based on the TRIPS agreement.

Conclusion:
Thus, there are various types of IPs and the laws provide for the protection
for the same.

Patents:

What is a patent?

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A patent is an exclusive right granted for an invention, which is a product or

a process that provides, in general, a new way of doing something, or offers
a new technical solution to a problem. To get a patent, technical information
about the invention must be disclosed to the public in a patent application.

Patent life cycle

 A patent is a type of intellectual property that gives its owner the legal
right to exclude others from making, using, or selling an invention for a
limited period of time in exchange for publishing an enabling disclosure
of the invention.[1] In most countries, patent rights fall under private
law and the patent holder must sue someone infringing the patent in
order to enforce their rights. In some industries patents

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are an essential form of competitive advantage; in others they are

irrelevant.
 The procedure for granting patents, requirements placed on the
patentee, and the extent of the exclusive rights vary widely between
countries according to national laws and international agreements.
Typically, however, a patent application must include one or more
claims that define the scope of protection that is being sought. A patent
may include many claims, each of which defines a specific property
right. These claims must meet
various patentability requirements, which in the US include
novelty, usefulness, and non-obviousness.
 What Are the 3 Types of Patents?
The three types of patents are design, utility, and plant. Utility patents
are for new discoveries, compositions of matter, machines, or
processes. Plant patents are for anyone that discovers or develops and
asexually reproduces a new variety of plant. A design patent is for
anyone that creates a new, original, and ornamental design.2

Designs :
A design patent, on the other hand, applies to the unique look of a
manufactured item. Take, for example, an automobile with a distinctive
hood or headlight shape. These visual elements are part of the car’s
identity and may add to its value; however, without protecting these
components with a patent, competitors could potentially copy them
without legal consequences.
Design patents issued since May 2015 last for 15 years from the date
the patent is granted and do not require maintenance fees. Patents
issued prior to that last for 14 years.3
Trade and Copyright:

What Is a Trademark?

Unlike patents, a trademark protects words and design elements that

identify the source of a product. Brand names and corporate logos are

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primary examples. A service mark is similar, except that it safeguards the

provider of a service instead of a tangible good. The term “trademark” is often
used in reference to both designations.5

Some examples of trademark infringement are fairly straightforward. You’ll

probably run into trouble if you try to bottle a beverage and call it Coca- Cola
or even use the famous wave from its logo since both have been protected
for decades.

However, a trademark actually goes a bit further, prohibiting any marks that
have a “likelihood of confusion” with an existing one. Therefore, a business
can’t use a symbol or brand name if it looks similar, sounds similar, or has a
similar meaning to one that’s already on the books, at least if the products or
services are related. If the trademark holder believes there’s a violation of
these rights, it may decide to sue.

What Is a Copyright?

Copyrights protect “original works of authorship,” such as writings, art,

architecture, and music. For as long as the copyright is in effect, the copyright
owner has the sole right to display, share, perform, or license the material.8

One notable exception is the “fair use” doctrine, which allows some degree
of distribution of copyrighted material for scholarly, educational, or news-
reporting purposes.9

Technically, you don’t have to file for a copyright to have the piece of work
protected. It’s considered yours once your ideas are translated into a tangible
form, such as a book, music, or published research; however, officially
registering with the U.S. Copyright Office before—or within five years of—
publishing your work makes it a lot easier to establish that you were the
original author if you ever have to go to court.

The duration of a copyright depends on the year it was created, as the laws
have changed over the years. Since 1978, most compositions have been
copyright-protected for 70 years after the author’s death. After that time,

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individual works enter the public domain and can be reproduced by anyone
without permission.10

As a general rule, the author retains ownership of copyright privileges, even

if the material is published by another company. There is an important
exception to this rule, though.

Materials you create for your employer as part of your job requirements, for
example, contributions to a podcast the company publishes, are usually
considered "works for hire." The employer, not you, retains the copyright. If
there’s a gray area, you can try to negotiate with the publisher over copyright
ownership prior to creating the piece; just be sure to get it in writing.11

Trademark Patent Copyright

What's A word, phrase, Technical inventions, Artistic, literary, or

legally design, or a such as chemical intellectually created
protected? combination compositions like works, such as novels,
that identifies pharmaceutical music, movies,
your goods or drugs, mechanical software code,
services, processes like photographs, and
distinguishes complex machinery, paintings that
them from the or machine designs are original and exist
goods or that are new, unique, in a tangible medium,
services of and usable in some such as paper, canvas,
others, and type of industry. film, or digital format.
indicates the
source of your
goods or

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Trademark Patent Copyright

services.

What's an Coca-Cola® for A new type of hybrid Song lyrics to “Let It

example? soft drinks engine Go”
from "Frozen"

What are Protects the Safeguards Protects your

the trademark from inventions and exclusive right to
benefits being registered processes from other reproduce, distribute,
of federal by others parties copying, and perform or
protection? without making, using, or display the created
permission and selling the invention work, and prevents
helps you without the other people from
prevent others inventor’s consent. copying or exploiting
from using a the creation without
trademark that the copyright holder’s
is similar to permission.
yours with
related goods or
services.

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Process of Patenting and Development:

The patent process for obtaining a patent protection involves 1) a
patentability opinion, 2) preparation and filing of the patent application, 3)
prosecution of the patent application, 4) issuance, abandonment or appeal
of the patent application and 5) maintenance fees.

Step 1: Patentability Opinion

The first step of the patent process is the patentability opinion which includes
a search of the prior art. During the search, we develop an opinion as to
whether the patent office is like to grant a patent on the invention. You don’t
have to go out and search for prior art references that might invalidate your
patent. However, you do have to disclose relevant information that you know
of to the patent office. In other words, there is no duty to search for prior art
but there is a duty to disclose relevant information to the patent office.

Step 2: Preparation and filing of a patent application

In the second step of the patent process, we write your patent application.
Upon your approval, we file the patent application with the Patent Office. The
preparation and filing of the patent application involves preparation of a
document that describes your invention. This document must be able to
allow another person to make and use your invention. The patent application
is not a check the box type of application.

Step 3: Patent prosecution

Prosecution of a patent application refers to the correspondence between the

patent attorney representing the inventor and the Patent Office.
Correspondence includes documents such as a written response to an Office
Action from the Patent Office. This response is an argument trying to
convince the examiner that your invention is worthy of a patent. The Office
Action is the official stance of the Patent Office whether they will grant you a
patent or not.

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Step 4: Issuance, Appeal or Abandonment

If the patent applicant is successful in the prosecution stage of the patent

process, then the patent application will issue as a patent. If the patent
applicant is unsuccessful in the prosecution stage then the patent applicant
may abandon the patent application or appeal the decision of the examiner
to an independent board for review as to whether the examiner is correct.

Step 5: Maintenance Fees:

If you are successful in obtaining a patent, then there are maintenance fees 3
½, 7 ½ and 11 ½ years that are due after issuance of your patent. This is the
overall general process for obtaining a patent.

Technological research:

Technological research proposes stimulating challenges starting from the new

scenarios arising since XX century, the environmental imperative imposes
new responsibilities, the industrial production, requires the rethinking of the
concept of "material culture" as well as new information technologies lead to
new models of theoretical and conceptual elaboration. We live a new
condition, defined by Augé «surmodernitè», where history fades into
actuality, space turns into images and individuals from being actors become
spectators.

The industrial design moves from tackling "traditional culture" of the project
to the "culture of innovation" for which the "know-how", which allows the
transition from theory to practice, is replaced by the "can-do" that is the
design of a technological solution allowing to model artifacts in a new way
and, as a consequence, introducing a different interaction between users and
the context.

The contribution illustrates the design experimentation of the industrial

invention “inclusive control system device [repositionable]”.

Innovation:

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What is R&D and Innovation?

R&D and Innovation is the process of developing and commercializing new
ideas, implementing new processes or changing the way your business
makes money. It can also be viewed as the activities required to keep
your business competitive and sustainable for the long term. This includes
research, new product/service development, new process development and
continuous improvement and new business models.

R&D Models
The activities that are classified as R&D differ from company to company, but
there are two basic models. In the first model, the primary function of an R&D
group is to develop new products; in the second model, the primary function
of an R&D group is to discover and create new knowledge about scientific and
technological topics for the purpose of uncovering and enabling development
of valuable new products, processes, and services. Under both models, R&D
differs from the vast majority of your company’s activities, which are
generally intended to yield nearly immediate profit or immediate
improvements in operations and involve little uncertainty as to the return on
investment.

How Does R&D Apply to Me?

Creating a structured R&D process can add significant value to your company,
bolstering its valuation and creating a greater value proposition, particularly
in advance of exit. By documenting the R&D process, your company is
effectively improving its ability to capture innovations early on and, where
appropriate, secure legal protection. Ensuring that appropriate safeguards
are in place – in the form of a trade secrets policy, invention disclosures
and/or NDAs, for example – will serve to protect new product development
in your company and generating documents detailing the R&D process will
create additional transferable IP assets in the form of organizational
knowledge.

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Development:

Development is a process that creates growth, progress, positive change or

the addition of physical, economic, environmental, social and demographic
components. The purpose of development is a rise in the level and quality
of life of the population, and the creation or expansion of local regional
income and employment opportunities, without damaging the resources of
the environment. Development is visible and useful, not necessarily
immediately, and includes an aspect of quality change and the creation of
conditions for a continuation of that change.

The international agenda began to focus on development beginning in the

second half of the twentieth century. An understanding developed that
economic growth did not necessarily lead to a rise in the level and quality of

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life for populations all over the world; there was a need to place an
emphasis on specific policies that would channel resources and enable social
and economic mobility for various layers of the population.

International cooperation on Intellectual Property:

International Cooperation:

 Committee on WIPO Standards (CWS)

 WIPO Global IP Protection systems

 WIPO Convention, Members, and Decision-Making bodies
 WIPO International Cooperation in the IP field
Committee on WIPO Standards (CWS) ↑
On January 2010 the Committee on WIPO Standards (CWS) replaced the
former Standards and Documentation Working Group (SDWG) of the
Standing Committee on Information Technologies (SCIT) (1998 – 2010).
 Special Rules of Procedure and Structure of the Standing Committee on
Information Technologies (SCIT)
 Background documentation and SCIT/SDWG history
WIPO Global IP Protection systems ↑
 International Patent applications:
PCT Resources - Patent Cooperation Treaty (PCT) - PATENTSCOPE database
The Treaty allows seeking patent protection for an invention simultaneously
in each of a large number of countries by filing an "international"
application.

 International Registration of Marks:

 The Madrid system for the international registration of marks - ROMARIN
database - Global Brand Database
Thanks to the international procedural mechanism, the Madrid system
offers a trademark owner the possibility to protect it in several countries by
simply filing one application directly with his own national or regional
trademark office.

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 International Registration of Industrial Design:

The Hague system for the international registration of industrial designs -
Hague Express database
This system allows the owner of an industrial design to apply for industrial
design protection in several countries by filing one application with the
International Bureau of WIPO
Procedure for grants of patents:

The complete patent process in India takes anywhere between 3 to 5

years and involves a series of steps to be mandatorily followed within
prescribed timelines to get a patent in India. Failure to avoid such deadlines
can also lead to loss of your patent application.

In this post, we will discuss in detail the procedure for grant of a patent in
India along with the tentative timelines involved during the patent process.

 Decision on doing it yourself or engaging a professional

 Check the Patentability of the invention by performing a search for
similar technologies
 Drafting a patent application (Provisional or Complete)
 Filing the patent application in India
 Publication of patent application
 Examination of the patent application
 Final decision on grant of patent
 Renewal
Patenting under PCT:
 The Patent Cooperation Treaty (PCT) came into existence in the
1970s to provide economical and streamlined means for filing of
patent application in several countries. With the scope and value of
patent protection increasing over time, the need for such a treaty
has only been validated. However, as businesses move to seek
worldwide patent protection under PCT, the pros and cons of the
treaty have also surfaced.
What is Patent Cooperation Treaty?

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 The Patent Cooperation Treaty (PCT) is an international IP

agreement that provides patent protection in several countries
through the filing of a single common application. The treaty,
governed by the World Intellectual Property Organization (WIPO),
has more than 150 nations as signatories, who are also known as PCT
Contracting States.
 Filing patent applications under PCT implies securing legal protection
for an invention under patent law in more than 150 countries at
once. Major global corporations, research institutes and universities
seek patent protection via PCT. It safeguards applicants against
accidental errors which are far more likely to occur if a separate
application is filed in every country of interest.

Advantages of the Patent Cooperation Treaty (PCT)

Emerging as the cornerstone of the international patent system, PCT
simplifies the managing and processing of patent applications. The benefits
of the treaty include:

 Parallel Patent Protection

 When an applicant files for patent in the US, it’s likely to preclude the
chances of obtaining patent protection in other countries. That’s where
the role of PCT comes in. The treaty allows businesses to have
simultaneous protection under patent law in the PCT contracting States,
including the US.
 Comprehensive International Patent Search
When one files a patent application with WIPO under PCT, the organization
conducts a global patent search that enables applicants to find out whether
the invention can be patented across the world. This knowledge can
significantly affect the very decision of patenting the invention itself.

For instance, if a patent is found to be unpatentable after disclosure in a PCT

application, it can prompt a decision to withdraw the application, preventing
the cost of national phase filing. Hence, it is also an efficient method of
managing risk.

 Time-effective Application Process

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Filing separate patent applications in all the PCT Contracting States would
require amending the application according to the rules and regulations of
each member country. The process will not only be daunting but also time-
consuming. The treaty accelerates all your patent applications globally. Some
of the PCT Contracting States also have PCT-Patent Prosecution Highway
Agreements that enable even faster processing.

 Strong Grounds for Patenting Decision

Once an applicant files a patent application under PCT, WIPO sends a global
patent search report and an opinion on the patentability of the product – both
make obtaining grant of a patent in selected countries considerably easier.
The information also plays a critical role in assessing the prospects of
acquiring a patent.

 Opportunity to amend applications

Applicants get an opportunity to amend a PCT application before entering
national phase countries. Amendments can be made on a voluntary basis or
in order to address the search and examination report which is issued by PCT.

Disadvantages of Patent Cooperation Treaty (PCT)

On the other side of the coin, PCT has certain disadvantages too. However, its
benefits surpass the negligible limitations. Some of the drawbacks of the
treaty are:

 Limited Patent Coverage

You can obtain only utility patents through patent applications under the PCT.
You can’t patent a design through this process. The process also creates
examination delays and it takes more time to acquire patent via PCT route.
But PCT gives you additional 18/19 months to select the countries of interest.

 Costlier Patent Process

The PCT also makes the patent process a bit costlier as it requires an applicant
to prosecute the application separately in each country. It also costs attorney
fees in international phase. However, the process can provide favorable and
cost-effective solutions such as streamlined prosecutions.

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However, PCT fee reductions are available when the PCT application is filed
electronically or the applicants belonging to developing countries get 90%
reduction in the official filing fee.

Conclusion
Amendments are made every year to simplify the PCT system and to make
sure it remains aligned with the interests of the applicants and the national
patent offices in respective countries. The treaty brings together nations,
motivates inventors, and enables the spread of technological advancement
to different corners of the world.

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UNIT 4:

Scope of Patent Rights:

A patent gives its owner certain exclusive rights with respect to an invention.
In return for these rights, the patent must describe how to construct the
invention and how to use it. This way, once the patent rights run out,
everyone can use the invention and so more knowledge becomes available to
society.

The rights conferred by a patent need to be defined well, so that it is clear to

everyone what is and is not covered by the patent. To this end, every patent
contains one or more so-called "claims", which provide a definition of what is
covered by the patent. Only things that meet the definition of the claims
infringe on the patent.

The purpose of claims:

The claims (typically found at the end of a patent document) provide a

definition of what the patent protects. Terms used in a claim may be defined
by the whole document, but ultimately only what is described in the claims is
protected.

To infringe, each and every element of a claim must be present in the

infringing product. If even a single element is missing, the product does not
infringe. It doesn't matter if the patent document says that that single
element is optional: if it's in the claim, it is required.

The claims are used in a very similar manner when judging the validity of a
patent (or application). When prior art is found, it must be compared against
the claims to determine if the patent is new and nonobvious. Even if the "spirit
of the invention" or the "general idea" is the same as in the prior art, if the
claims contain one feature that is not mentioned in the prior art, the invention
is new. If the one new feature is not obvious, then the claim is patentable.

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Extending the scope of patent protection:

Although the literal wording of the claims is the most important, there are still
ways to extend the scope of a patent beyond this literal wording. One way of
doing this is to redefine certain terms in the patent to give them a broader
meaning. That makes the claim broader than at first glance. Further, if the
patent holder can show that the infringer is doing something
equivalent to the patented feature, he can still prove infringement.

Licensing and transfer of technology:

INTRODUCTION
Technology Transfer (also called Transfer of Technology (TOT) and Technology
Commercialization)1 are the processes by which the information or
knowledge related to the technological aspects travel within the group or
between the organizations or entity. Taking this to the broader scenario, give
rise to International technology transfer in which the knowledge travels in
between the countries, which is not only limited to the Knowledge and
information, rather includes skill transferring, methods of manufacturing,
physical assets, know-how, and other technical aspects, and henceforth helps
in further development of the technology and innovation, by effectively
utilizing the technology transferred and finally incorporating it.

Technology transfer has been used in the movements of technology from the
laboratory to industry or from one application to another domain application
or taking developing countries into consideration technology transfer helps in
growing access to technologies which are related to other developed
countries and henceforth helps in approaching towards the newer
technologies and inventions i.e. from Developed to developing countries.

FORMS OF TECHNOLOGY TRANSFER:

Technology transfer can be classified into vertical and horizontal technology
transfer2

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Vertical transfer refers to transfer of technology where transmission of new

technologies is done from the generation of new technology during the
research and development programs into the science and technology
organizations, for instance, to the application related to the industrial and
agricultural sectors, or we can say that vertical transfer is the technology
transfer commencing from basic research to applied research, from applied
research to development followed by development to production.

While the horizontal technology transfer is the movement of a well-known

technology from one equipped environment to another (from one company
to another) or say refers to the transfer and use of technology used in one
place or organization to another place or organization.

As discussed above generally developed countries follow the route:-

Research -> Development -> Design -> Production

While less advanced and developing countries follow the route:-

Production -> Design -> Development -> Research

Difference between License and Assignment

Licensing and Assignment are different modes of technology transfer. The

assignment is when the assets or IP is permanently transferred by the owner
(i.e. assignor) to the buyer of the IP (i.e. assignee), by way of sale or transfer.
This results in a one-time payment of consideration or a lump sum payment
of royalty for the IP, by the assignee. The assignor transfers all rights, including
title over the asset, to the assignee.
Licensing on the other hand involves the owner of the intellectual property
(i.e. licensor) permitting the third party including a company or an
organisation (i.e. licensee) to use the IP as per the terms of a licensing
agreement, while maintaining ownership, resulting in continued earnings in
the form of a licensing fee.

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Technology Licensing can be done in the following different ways:

1. Licensing
2. Assignment
3. The joint venture (JV)

A Technology Transfer (TT) agreement may be:

 Exclusive
 Non-exclusive
Exclusive Licensing: The licensee has an exclusive right to use the IP, as per
the terms of the licensing agreement. This agreement is such that even the
licensor is not allowed to use the licensed asset for the duration as specified
by the license agreement. An exclusive license may be issued on either a
territorial basis (for instance, India only) or on a global basis (for the entire
world).
Non-Exclusive Licensing: In non-exclusive licensing, the licensor may license
out their assets to multiple licensees at the same time. Unlike an exclusive
license, all licensees are permitted to use the license as per the terms of the
license agreement. The licensors are also free to use the assets that they
licensed to others.

Patent information and databases:

 Patents are statutory negative rights granted for a limited period of time
for 20 years. The patent right conferred is the right to exclude others
from making, using, selling or offering for sale the patented invention
in any jurisdiction or from importing into the specific jurisdiction.
Patents are granted only for the inventions that are novel
i.e. new. It is crucial to check the state of art before filing a patent to
avoid anticipation.

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 The state of art includes patent applications, patents and non-patent

literature such as publications, articles, books, thesis, conference
proceedings etc. Patent databases are the source of patent
applications, publications etc. and helps in identifying the relevant state
of art.

 Patent database is a collection of technical information that is organized

so that it can easily be accessed, managed and updated. Across the
globe, there are approx. 180 Patent offices in different countries
operating in different languages. Thus, it is important for any database
to timely cover the documents of all possible jurisdictions.

Free Patent Databases

 Free patent databases are available for free access without any
subscription and can be accessed directly. This include

 • Government Database

 • Non-government Database

 Government Databases are maintained by the respective patent offices

of the country. They include the details of the patent applications only
restricted to the respective jurisdiction or globally. Government
databases are as follows:

 Patentscope
Espacenet
JPO IPDL
PatFT/AppFT
INPASS

 The non-government databases include Google Patents,

Freepatentsonline, Patent Lens etc.

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 Google Patents indexes more than 87 million patents and patent

applications with full text from 17 patent offices including the USPTO,
the EPO and databases from China, Japan and Korea.

 Freepatentsonline has search fields similar to PATFT. It allows for

searches including U.S., EP, (European), JP (Japanese), and WO (PCT)
patents. Alerts, portfolios, and PDF downloading are available with free
registration.

 Patent Lens, created by CAMBIA, an independent, international non-

profit has a structured search and good range of coverage. It provides
full text of PCT (1978-present), USPTO (AppFT, and PATFT (1976-
present), EPO (1980-present) and IP Australia (applications and patents
1998-present).

 Commercial Patent Databases

 Commercial Patent databases are available for search analytics only
upon subscription. The subscription tariffs vary from one database to
the other. The coverage and the provision of search strategies and
flexibility of operators also vary from one database to the other. The
following are the few commercial patent databases:

 TotalPatentOne from LexisNexis

Patbase from minesoft
Dialog from ProQuest
Orbit from Questal
STN
Thomson Innovation from Thomson Reuters
WIPS Global from WIPS

 The commercial Patent databases are associated with few advantages

such as:

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 Value added data: Corrected bibliographic data, improved

classification or indexing and timely update

 Sophisticated search and analysis tools: Chemical formula/Structure,

sequence searches, patent topographical tools, citation analysis,
machine translation

 Integrated access to non-patent literature

 Export of data into multiple formats

 Cost based on preferential access cost

 To summarize, no single patent database may not comprehensively

cover all relevant information as required and the search services and
databases differ in the features offered by them and a combined search
and analysis from of commercial and free patent database may be more
beneficial.

Geographical Indications:

A geographical indication (GI) is a sign used on products that have a

specific geographical origin and possess qualities or a reputation that
are due to that origin. In order to function as a GI, a sign must identify
a product as originating in a given place.

In addition, the qualities, characteristics or reputation of the product should

be essentially due to the place of origin. Since the qualities depend on the
geographical place of production, there is a clear link between the product
and its original place of production.

What rights does a geographical indication provide?

A geographical indication right enables those who have the right to use the
indication to prevent its use by a third party whose product does not conform
to the applicable standards. For example, in the jurisdictions in

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which the Darjeeling geographical indication is protected, producers of

Darjeeling tea can exclude use of the term “Darjeeling” for tea not grown in
their tea gardens or not produced according to the standards set out in the
code of practice for the geographical indication.

However, a protected geographical indication does not enable the holder to

prevent someone from making a product using the same techniques as those
set out in the standards for that indication. Protection for a geographical
indication is usually obtained by acquiring a right over the sign that
constitutes the indication.

For what type of products can geographical indications be used?

Geographical indications are typically used for agricultural products,

foodstuffs, wine and spirit drinks, handicrafts, and industrial products.

How are geographical indications protected?

There are four main ways to protect a geographical indication:

 so-called sui generis systems (i.e. special regimes of protection);

 using collective or certification marks;
 methods focusing on business practices, including administrative product
approval schemes; and
 through unfair competition laws.
These approaches involve differences with respect to important questions,
such as the conditions for protection or the scope of protection. On the other
hand, two of the modes of protection — namely sui generis systems and
collective or certification mark systems — share some common features, such
as the fact that they set up rights for collective use by those who comply with
defined standards.
Broadly speaking geographical indications are protected in different countries
and regional systems through a wide variety of approaches and often using a
combination of two or more of the approaches outlined above. These
approaches have been developed in accordance with different legal traditions
and within a framework of individual historical and economic conditions.

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UNIT 5:

New Developments in IPR:

Once a patent is granted, it should be administered and exploited. Patent

administration deals primarily with the monitoring and execution of all
actions that are necessary for the maintenance of the patent, including, in
particular, the payment of any annual renewal fees.

In the context of patent management, all opportunities should be used to

profitably exploit a granted patent, by the patent owner himself or by third
parties (licenses, patent sale etc.).

New developments in IPR:

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