How to read a paper如何读论文

How to Read a Paper
August 2, 2013

 

S. Keshav
David R. Cheriton School of Computer Science, University of Waterloo
Waterloo, ON, Canada
[e-mail]

ABSTRACT
Researchers spend a great deal of time reading research pa-
pers. However, this skill is rarely taught, leading to much
wasted eort. This article outlines a practical and ecient
three-pass method for reading research papers. I also de-
scribe how to use this method to do a literature survey.
1. INTRODUCTION
Researchers must read papers for several reasons: to re-
view them for a conference or a class, to keep current in
their eld, or for a literature survey of a new eld. A typi-
cal researcher will likely spend hundreds of hours every year
reading papers.
Learning to eciently read a paper is a critical but rarely
taught skill. Beginning graduate students, therefore, must
learn on their own using trial and error. Students waste
much eort in the process and are frequently driven to frus-
tration.
For many years I have used a simple `three-pass' approach
to prevent me from drowning in the details of a paper be-
fore getting a bird's-eye-view. It allows me to estimate the
amount of time required to review a set of papers. Moreover,
I can adjust the depth of paper evaluation depending on my
needs and how much time I have. This paper describes the
approach and its use in doing a literature survey.
2. THE THREE-PASS APPROACH
The key idea is that you should read the paper in up to
three passes, instead of starting at the beginning and plow-
ing your way to the end. Each pass accomplishes specic
goals and builds upon the previous pass: The first pass
gives you a general idea about the paper. The second pass
lets you grasp the paper's content, but not its details. The
third pass helps you understand the paper in depth.
2.1 The first pass
The rst pass is a quick scan to get a bird's-eye view of
the paper. You can also decide whether you need to do any
more passes. This pass should take about ve to ten minutes
and consists of the following steps:
1. Carefully read the title, abstract, and introduction
2. Read the section and sub-section headings, but ignore
everything else
3. Glance at the mathematical content (if any) to deter-
mine the underlying theoretical foundations

 

4. Read the conclusions
5. Glance over the references, mentally ticking o the
ones you've already read
At the end of the rst pass, you should be able to answer
the ve Cs:
1. Category: What type of paper is this? A measure-
ment paper? An analysis of an existing system? A
description of a research prototype?
2. Context: Which other papers is it related to? Which
theoretical bases were used to analyze the problem?
3. Correctness: Do the assumptions appear to be valid?
4. Contributions: What are the paper's main contribu-
tions?
5. Clarity: Is the paper well written?
Using this information, you may choose not to read fur-
ther (and not print it out, thus saving trees). This could be
because the paper doesn't interest you, or you don't know
enough about the area to understand the paper, or that the
authors make invalid assumptions. The rst pass is ade-
quate for papers that aren't in your research area, but may
someday prove relevant.
Incidentally, when you write a paper, you can expect most
reviewers (and readers) to make only one pass over it. Take
care to choose coherent section and sub-section titles and
to write concise and comprehensive abstracts. If a reviewer
cannot understand the gist after one pass, the paper will
likely be rejected; if a reader cannot understand the high-
lights of the paper after ve minutes, the paper will likely
never be read. For these reasons, a `graphical abstract' that
summarizes a paper with a single well-chosen gure is an ex-
cellent idea and can be increasingly found in scientic jour-
nals.
2.2 The second pass
In the second pass, read the paper with greater care, but
ignore details such as proofs. It helps to jot down the key
points, or to make comments in the margins, as you read.
Dominik Grusemann from Uni Augsburg suggests that you
\note down terms you didn't understand, or questions you
may want to ask the author." If you are acting as a paper
referee, these comments will help you when you are writing
your review, and to back up your review during the program
committee meeting.

 

1. Look carefully at the gures, diagrams and other illus-
trations in the paper. Pay special attention to graphs.
Are the axes properly labeled? Are results shown with
error bars, so that conclusions are statistically sig-
nicant? Common mistakes like these will separate
rushed, shoddy work from the truly excellent.
2. Remember to mark relevant unread references for fur-
ther reading (this is a good way to learn more about
the background of the paper).
The second pass should take up to an hour for an expe-
rienced reader. After this pass, you should be able to grasp
the content of the paper. You should be able to summarize
the main thrust of the paper, with supporting evidence, to
someone else. This level of detail is appropriate for a paper
in which you are interested, but does not lie in your research
speciality.
Sometimes you won't understand a paper even at the end
of the second pass. This may be because the subject matter
is new to you, with unfamiliar terminology and acronyms.
Or the authors may use a proof or experimental technique
that you don't understand, so that the bulk of the pa-
per is incomprehensible. The paper may be poorly written
with unsubstantiated assertions and numerous forward ref-
erences. Or it could just be that it's late at night and you're
tired. You can now choose to: (a) set the paper aside, hoping
you don't need to understand the material to be successful
in your career, (b) return to the paper later, perhaps after
reading background material or (c) persevere and go on to
the third pass.
2.3 The third pass
To fully understand a paper, particularly if you are re-
viewer, requires a third pass. The key to the third pass
is to attempt to virtually re-implement the paper: that is,
making the same assumptions as the authors, re-create the
work. By comparing this re-creation with the actual paper,
you can easily identify not only a paper's innovations, but
also its hidden failings and assumptions.
This pass requires great attention to detail. You should
identify and challenge every assumption in every statement.
Moreover, you should think about how you yourself would
present a particular idea. This comparison of the actual
with the virtual lends a sharp insight into the proof and
presentation techniques in the paper and you can very likely
add this to your repertoire of tools. During this pass, you
should also jot down ideas for future work.
This pass can take many hours for beginners and more
than an hour or two even for an experienced reader. At the
end of this pass, you should be able to reconstruct the entire
structure of the paper from memory, as well as be able to
identify its strong and weak points. In particular, you should
be able to pinpoint implicit assumptions, missing citations
to relevant work, and potential issues with experimental or
analytical techniques.
3. DOING A LITERATURE SURVEY
Paper reading skills are put to the test in doing a literature
survey. This will require you to read tens of papers, perhaps
in an unfamiliar eld. What papers should you read? Here
is how you can use the three-pass approach to help.
First, use an academic search engine such as Google Scholar
or CiteSeer and some well-chosen keywords to nd three to

 

ve recent highly-cited papers in the area. Do one pass on
each paper to get a sense of the work, then read their re-
lated work sections. You will nd a thumbnail summary of
the recent work, and perhaps, if you are lucky, a pointer to
a recent survey paper. If you can nd such a survey, you
are done. Read the survey, congratulating yourself on your
good luck.
Otherwise, in the second step, nd shared citations and
repeated author names in the bibliography. These are the
key papers and researchers in that area. Download the key
papers and set them aside. Then go to the websites of the
key researchers and see where they've published recently.
That will help you identify the top conferences in that eld
because the best researchers usually publish in the top con-
ferences.
The third step is to go to the website for these top con-
ferences and look through their recent proceedings. A quick
scan will usually identify recent high-quality related work.
These papers, along with the ones you set aside earlier, con-
stitute the rst version of your survey. Make two passes
through these papers. If they all cite a key paper that you
did not nd earlier, obtain and read it, iterating as neces-
sary.
4. RELATED WORK
If you are reading a paper to do a review, you should also
read Timothy Roscoe's paper on \Writing reviews for sys-
tems conferences" [3]. If you're planning to write a technical
paper, you should refer both to Henning Schulzrinne's com-
prehensive web site [4] and George Whitesides's excellent
overview of the process [5]. Finally, Simon Peyton Jones
has a website that covers the entire spectrum of research
skills [2].
Iain H. McLean of Psychology, Inc. has put together a
downloadable `review matrix' that simplies paper review-
ing using the three-pass approach for papers in experimen-
tal psychology[1], which can probably be used, with minor
modications, for papers in other areas.
5. ACKNOWLEDGMENTS
The rst version of this document was drafted by my stu-
dents: Hossein Falaki, Earl Oliver, and Sumair Ur Rahman.
My thanks to them. I also beneted from Christophe Diot's
perceptive comments and Nicole Keshav's eagle-eyed copy-
editing.
I would like to make this a living document, updating it
as I receive comments. Please take a moment to email me
any comments or suggestions for improvement. Thanks to
encouraging feedback from many correspondents over the
years.
6. REFERENCES
[1] I.H. McLean, \Literature Review Matrix,"
http://psychologyinc.blogspot.com/
[2] S. Peyton Jones, \Research Skills,"
http://research.microsoft.com/en-
us/um/people/simonpj/papers/giving-a-talk/giving-a-
talk.htm
[3] T. Roscoe, \Writing Reviews for Systems Conferences,"
http://people.inf.ethz.ch/troscoe/pubs/review-writing.pdf
[4] H. Schulzrinne, \Writing Technical Articles,"
http://www.cs.columbia.edu/hgs/etc/writing-style.html
[5] G.M. Whitesides, \Whitesides' Group: Writing a Paper,"
http://www.ee.ucr.edu/rlake/Whitesides writing res paper.pdf