what is literature of the study

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Literature Reviews

• What is a literature review?
• Steps in the Literature Review Process
• Define your research question
• Determine inclusion and exclusion criteria
• Choose databases and search
• Review Results
• Synthesize Results
• Analyze Results
• Librarian Support

What is a Literature Review?

A literature or narrative review is a comprehensive review and analysis of the published literature on a specific topic or research question. The literature that is reviewed contains: books, articles, academic articles, conference proceedings, association papers, and dissertations. It contains the most pertinent studies and points to important past and current research and practices. It provides background and context, and shows how your research will contribute to the field. 

A literature review should: 

• Provide a comprehensive and updated review of the literature;
• Explain why this review has taken place;
• Articulate a position or hypothesis;
• Acknowledge and account for conflicting and corroborating points of view

From  S age Research Methods

Purpose of a Literature Review

A literature review can be written as an introduction to a study to:

• Demonstrate how a study fills a gap in research
• Compare a study with other research that's been done

Or it can be a separate work (a research article on its own) which:

• Organizes or describes a topic
• Describes variables within a particular issue/problem

Limitations of a Literature Review

Some of the limitations of a literature review are:

• It's a snapshot in time. Unlike other reviews, this one has beginning, a middle and an end. There may be future developments that could make your work less relevant.
• It may be too focused. Some niche studies may miss the bigger picture.
• It can be difficult to be comprehensive. There is no way to make sure all the literature on a topic was considered.
• It is easy to be biased if you stick to top tier journals. There may be other places where people are publishing exemplary research. Look to open access publications and conferences to reflect a more inclusive collection. Also, make sure to include opposing views (and not just supporting evidence).

Source: Grant, Maria J., and Andrew Booth. “A Typology of Reviews: An Analysis of 14 Review Types and Associated Methodologies.” Health Information & Libraries Journal, vol. 26, no. 2, June 2009, pp. 91–108. Wiley Online Library, doi:10.1111/j.1471-1842.2009.00848.x.

Meryl Brodsky : Communication and Information Studies

Hannah Chapman Tripp : Biology, Neuroscience

Carolyn Cunningham : Human Development & Family Sciences, Psychology, Sociology

Larayne Dallas : Engineering

Janelle Hedstrom : Special Education, Curriculum & Instruction, Ed Leadership & Policy ​

Susan Macicak : Linguistics

Imelda Vetter : Dell Medical School

For help in other subject areas, please see the guide to library specialists by subject .

Periodically, UT Libraries runs a workshop covering the basics and library support for literature reviews. While we try to offer these once per academic year, we find providing the recording to be helpful to community members who have missed the session. Following is the most recent recording of the workshop, Conducting a Literature Review. To view the recording, a UT login is required.

• October 26, 2022 recording
• Last Updated: Oct 26, 2022 2:49 PM
• URL: https://guides.lib.utexas.edu/literaturereviews

• USC Libraries
• Research Guides

Organizing Your Social Sciences Research Paper

• 5. The Literature Review
• Purpose of Guide
• Design Flaws to Avoid
• Independent and Dependent Variables
• Glossary of Research Terms
• Reading Research Effectively
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Applying Critical Thinking
• Choosing a Title
• Making an Outline
• Paragraph Development
• Research Process Video Series
• Executive Summary
• The C.A.R.S. Model
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tiertiary Sources
• Scholarly vs. Popular Publications
• Qualitative Methods
• Quantitative Methods
• Insiderness
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Generative AI and Writing
• USC Libraries Tutorials and Other Guides
• Bibliography

A literature review surveys prior research published in books, scholarly articles, and any other sources relevant to a particular issue, area of research, or theory, and by so doing, provides a description, summary, and critical evaluation of these works in relation to the research problem being investigated. Literature reviews are designed to provide an overview of sources you have used in researching a particular topic and to demonstrate to your readers how your research fits within existing scholarship about the topic.

Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper . Fourth edition. Thousand Oaks, CA: SAGE, 2014.

Importance of a Good Literature Review

A literature review may consist of simply a summary of key sources, but in the social sciences, a literature review usually has an organizational pattern and combines both summary and synthesis, often within specific conceptual categories . A summary is a recap of the important information of the source, but a synthesis is a re-organization, or a reshuffling, of that information in a way that informs how you are planning to investigate a research problem. The analytical features of a literature review might:

• Give a new interpretation of old material or combine new with old interpretations,
• Trace the intellectual progression of the field, including major debates,
• Depending on the situation, evaluate the sources and advise the reader on the most pertinent or relevant research, or
• Usually in the conclusion of a literature review, identify where gaps exist in how a problem has been researched to date.

Given this, the purpose of a literature review is to:

• Place each work in the context of its contribution to understanding the research problem being studied.
• Describe the relationship of each work to the others under consideration.
• Identify new ways to interpret prior research.
• Reveal any gaps that exist in the literature.
• Resolve conflicts amongst seemingly contradictory previous studies.
• Identify areas of prior scholarship to prevent duplication of effort.
• Point the way in fulfilling a need for additional research.
• Locate your own research within the context of existing literature [very important].

Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper. 2nd ed. Thousand Oaks, CA: Sage, 2005; Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1998; Jesson, Jill. Doing Your Literature Review: Traditional and Systematic Techniques . Los Angeles, CA: SAGE, 2011; Knopf, Jeffrey W. "Doing a Literature Review." PS: Political Science and Politics 39 (January 2006): 127-132; Ridley, Diana. The Literature Review: A Step-by-Step Guide for Students . 2nd ed. Los Angeles, CA: SAGE, 2012.

Types of Literature Reviews

It is important to think of knowledge in a given field as consisting of three layers. First, there are the primary studies that researchers conduct and publish. Second are the reviews of those studies that summarize and offer new interpretations built from and often extending beyond the primary studies. Third, there are the perceptions, conclusions, opinion, and interpretations that are shared informally among scholars that become part of the body of epistemological traditions within the field.

In composing a literature review, it is important to note that it is often this third layer of knowledge that is cited as "true" even though it often has only a loose relationship to the primary studies and secondary literature reviews. Given this, while literature reviews are designed to provide an overview and synthesis of pertinent sources you have explored, there are a number of approaches you could adopt depending upon the type of analysis underpinning your study.

Argumentative Review This form examines literature selectively in order to support or refute an argument, deeply embedded assumption, or philosophical problem already established in the literature. The purpose is to develop a body of literature that establishes a contrarian viewpoint. Given the value-laden nature of some social science research [e.g., educational reform; immigration control], argumentative approaches to analyzing the literature can be a legitimate and important form of discourse. However, note that they can also introduce problems of bias when they are used to make summary claims of the sort found in systematic reviews [see below].

Integrative Review Considered a form of research that reviews, critiques, and synthesizes representative literature on a topic in an integrated way such that new frameworks and perspectives on the topic are generated. The body of literature includes all studies that address related or identical hypotheses or research problems. A well-done integrative review meets the same standards as primary research in regard to clarity, rigor, and replication. This is the most common form of review in the social sciences.

Historical Review Few things rest in isolation from historical precedent. Historical literature reviews focus on examining research throughout a period of time, often starting with the first time an issue, concept, theory, phenomena emerged in the literature, then tracing its evolution within the scholarship of a discipline. The purpose is to place research in a historical context to show familiarity with state-of-the-art developments and to identify the likely directions for future research.

Methodological Review A review does not always focus on what someone said [findings], but how they came about saying what they say [method of analysis]. Reviewing methods of analysis provides a framework of understanding at different levels [i.e. those of theory, substantive fields, research approaches, and data collection and analysis techniques], how researchers draw upon a wide variety of knowledge ranging from the conceptual level to practical documents for use in fieldwork in the areas of ontological and epistemological consideration, quantitative and qualitative integration, sampling, interviewing, data collection, and data analysis. This approach helps highlight ethical issues which you should be aware of and consider as you go through your own study.

Systematic Review This form consists of an overview of existing evidence pertinent to a clearly formulated research question, which uses pre-specified and standardized methods to identify and critically appraise relevant research, and to collect, report, and analyze data from the studies that are included in the review. The goal is to deliberately document, critically evaluate, and summarize scientifically all of the research about a clearly defined research problem . Typically it focuses on a very specific empirical question, often posed in a cause-and-effect form, such as "To what extent does A contribute to B?" This type of literature review is primarily applied to examining prior research studies in clinical medicine and allied health fields, but it is increasingly being used in the social sciences.

Theoretical Review The purpose of this form is to examine the corpus of theory that has accumulated in regard to an issue, concept, theory, phenomena. The theoretical literature review helps to establish what theories already exist, the relationships between them, to what degree the existing theories have been investigated, and to develop new hypotheses to be tested. Often this form is used to help establish a lack of appropriate theories or reveal that current theories are inadequate for explaining new or emerging research problems. The unit of analysis can focus on a theoretical concept or a whole theory or framework.

NOTE: Most often the literature review will incorporate some combination of types. For example, a review that examines literature supporting or refuting an argument, assumption, or philosophical problem related to the research problem will also need to include writing supported by sources that establish the history of these arguments in the literature.

Baumeister, Roy F. and Mark R. Leary. "Writing Narrative Literature Reviews."  Review of General Psychology 1 (September 1997): 311-320; Mark R. Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper . 2nd ed. Thousand Oaks, CA: Sage, 2005; Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1998; Kennedy, Mary M. "Defining a Literature." Educational Researcher 36 (April 2007): 139-147; Petticrew, Mark and Helen Roberts. Systematic Reviews in the Social Sciences: A Practical Guide . Malden, MA: Blackwell Publishers, 2006; Torracro, Richard. "Writing Integrative Literature Reviews: Guidelines and Examples." Human Resource Development Review 4 (September 2005): 356-367; Rocco, Tonette S. and Maria S. Plakhotnik. "Literature Reviews, Conceptual Frameworks, and Theoretical Frameworks: Terms, Functions, and Distinctions." Human Ressource Development Review 8 (March 2008): 120-130; Sutton, Anthea. Systematic Approaches to a Successful Literature Review . Los Angeles, CA: Sage Publications, 2016.

Structure and Writing Style

I.  Thinking About Your Literature Review

The structure of a literature review should include the following in support of understanding the research problem :

• An overview of the subject, issue, or theory under consideration, along with the objectives of the literature review,
• Division of works under review into themes or categories [e.g. works that support a particular position, those against, and those offering alternative approaches entirely],
• An explanation of how each work is similar to and how it varies from the others,
• Conclusions as to which pieces are best considered in their argument, are most convincing of their opinions, and make the greatest contribution to the understanding and development of their area of research.

The critical evaluation of each work should consider :

• Provenance -- what are the author's credentials? Are the author's arguments supported by evidence [e.g. primary historical material, case studies, narratives, statistics, recent scientific findings]?
• Methodology -- were the techniques used to identify, gather, and analyze the data appropriate to addressing the research problem? Was the sample size appropriate? Were the results effectively interpreted and reported?
• Objectivity -- is the author's perspective even-handed or prejudicial? Is contrary data considered or is certain pertinent information ignored to prove the author's point?
• Persuasiveness -- which of the author's theses are most convincing or least convincing?
• Validity -- are the author's arguments and conclusions convincing? Does the work ultimately contribute in any significant way to an understanding of the subject?

II.  Development of the Literature Review

Four Basic Stages of Writing 1.  Problem formulation -- which topic or field is being examined and what are its component issues? 2.  Literature search -- finding materials relevant to the subject being explored. 3.  Data evaluation -- determining which literature makes a significant contribution to the understanding of the topic. 4.  Analysis and interpretation -- discussing the findings and conclusions of pertinent literature.

Consider the following issues before writing the literature review: Clarify If your assignment is not specific about what form your literature review should take, seek clarification from your professor by asking these questions: 1.  Roughly how many sources would be appropriate to include? 2.  What types of sources should I review (books, journal articles, websites; scholarly versus popular sources)? 3.  Should I summarize, synthesize, or critique sources by discussing a common theme or issue? 4.  Should I evaluate the sources in any way beyond evaluating how they relate to understanding the research problem? 5.  Should I provide subheadings and other background information, such as definitions and/or a history? Find Models Use the exercise of reviewing the literature to examine how authors in your discipline or area of interest have composed their literature review sections. Read them to get a sense of the types of themes you might want to look for in your own research or to identify ways to organize your final review. The bibliography or reference section of sources you've already read, such as required readings in the course syllabus, are also excellent entry points into your own research. Narrow the Topic The narrower your topic, the easier it will be to limit the number of sources you need to read in order to obtain a good survey of relevant resources. Your professor will probably not expect you to read everything that's available about the topic, but you'll make the act of reviewing easier if you first limit scope of the research problem. A good strategy is to begin by searching the USC Libraries Catalog for recent books about the topic and review the table of contents for chapters that focuses on specific issues. You can also review the indexes of books to find references to specific issues that can serve as the focus of your research. For example, a book surveying the history of the Israeli-Palestinian conflict may include a chapter on the role Egypt has played in mediating the conflict, or look in the index for the pages where Egypt is mentioned in the text. Consider Whether Your Sources are Current Some disciplines require that you use information that is as current as possible. This is particularly true in disciplines in medicine and the sciences where research conducted becomes obsolete very quickly as new discoveries are made. However, when writing a review in the social sciences, a survey of the history of the literature may be required. In other words, a complete understanding the research problem requires you to deliberately examine how knowledge and perspectives have changed over time. Sort through other current bibliographies or literature reviews in the field to get a sense of what your discipline expects. You can also use this method to explore what is considered by scholars to be a "hot topic" and what is not.

III.  Ways to Organize Your Literature Review

Chronology of Events If your review follows the chronological method, you could write about the materials according to when they were published. This approach should only be followed if a clear path of research building on previous research can be identified and that these trends follow a clear chronological order of development. For example, a literature review that focuses on continuing research about the emergence of German economic power after the fall of the Soviet Union. By Publication Order your sources by publication chronology, then, only if the order demonstrates a more important trend. For instance, you could order a review of literature on environmental studies of brown fields if the progression revealed, for example, a change in the soil collection practices of the researchers who wrote and/or conducted the studies. Thematic [“conceptual categories”] A thematic literature review is the most common approach to summarizing prior research in the social and behavioral sciences. Thematic reviews are organized around a topic or issue, rather than the progression of time, although the progression of time may still be incorporated into a thematic review. For example, a review of the Internet’s impact on American presidential politics could focus on the development of online political satire. While the study focuses on one topic, the Internet’s impact on American presidential politics, it would still be organized chronologically reflecting technological developments in media. The difference in this example between a "chronological" and a "thematic" approach is what is emphasized the most: themes related to the role of the Internet in presidential politics. Note that more authentic thematic reviews tend to break away from chronological order. A review organized in this manner would shift between time periods within each section according to the point being made. Methodological A methodological approach focuses on the methods utilized by the researcher. For the Internet in American presidential politics project, one methodological approach would be to look at cultural differences between the portrayal of American presidents on American, British, and French websites. Or the review might focus on the fundraising impact of the Internet on a particular political party. A methodological scope will influence either the types of documents in the review or the way in which these documents are discussed.

Other Sections of Your Literature Review Once you've decided on the organizational method for your literature review, the sections you need to include in the paper should be easy to figure out because they arise from your organizational strategy. In other words, a chronological review would have subsections for each vital time period; a thematic review would have subtopics based upon factors that relate to the theme or issue. However, sometimes you may need to add additional sections that are necessary for your study, but do not fit in the organizational strategy of the body. What other sections you include in the body is up to you. However, only include what is necessary for the reader to locate your study within the larger scholarship about the research problem.

Here are examples of other sections, usually in the form of a single paragraph, you may need to include depending on the type of review you write:

• Current Situation : Information necessary to understand the current topic or focus of the literature review.
• Sources Used : Describes the methods and resources [e.g., databases] you used to identify the literature you reviewed.
• History : The chronological progression of the field, the research literature, or an idea that is necessary to understand the literature review, if the body of the literature review is not already a chronology.
• Selection Methods : Criteria you used to select (and perhaps exclude) sources in your literature review. For instance, you might explain that your review includes only peer-reviewed [i.e., scholarly] sources.
• Standards : Description of the way in which you present your information.
• Questions for Further Research : What questions about the field has the review sparked? How will you further your research as a result of the review?

IV.  Writing Your Literature Review

Once you've settled on how to organize your literature review, you're ready to write each section. When writing your review, keep in mind these issues.

Use Evidence A literature review section is, in this sense, just like any other academic research paper. Your interpretation of the available sources must be backed up with evidence [citations] that demonstrates that what you are saying is valid. Be Selective Select only the most important points in each source to highlight in the review. The type of information you choose to mention should relate directly to the research problem, whether it is thematic, methodological, or chronological. Related items that provide additional information, but that are not key to understanding the research problem, can be included in a list of further readings . Use Quotes Sparingly Some short quotes are appropriate if you want to emphasize a point, or if what an author stated cannot be easily paraphrased. Sometimes you may need to quote certain terminology that was coined by the author, is not common knowledge, or taken directly from the study. Do not use extensive quotes as a substitute for using your own words in reviewing the literature. Summarize and Synthesize Remember to summarize and synthesize your sources within each thematic paragraph as well as throughout the review. Recapitulate important features of a research study, but then synthesize it by rephrasing the study's significance and relating it to your own work and the work of others. Keep Your Own Voice While the literature review presents others' ideas, your voice [the writer's] should remain front and center. For example, weave references to other sources into what you are writing but maintain your own voice by starting and ending the paragraph with your own ideas and wording. Use Caution When Paraphrasing When paraphrasing a source that is not your own, be sure to represent the author's information or opinions accurately and in your own words. Even when paraphrasing an author’s work, you still must provide a citation to that work.

V.  Common Mistakes to Avoid

These are the most common mistakes made in reviewing social science research literature.

• Sources in your literature review do not clearly relate to the research problem;
• You do not take sufficient time to define and identify the most relevant sources to use in the literature review related to the research problem;
• Relies exclusively on secondary analytical sources rather than including relevant primary research studies or data;
• Uncritically accepts another researcher's findings and interpretations as valid, rather than examining critically all aspects of the research design and analysis;
• Does not describe the search procedures that were used in identifying the literature to review;
• Reports isolated statistical results rather than synthesizing them in chi-squared or meta-analytic methods; and,
• Only includes research that validates assumptions and does not consider contrary findings and alternative interpretations found in the literature.

Cook, Kathleen E. and Elise Murowchick. “Do Literature Review Skills Transfer from One Course to Another?” Psychology Learning and Teaching 13 (March 2014): 3-11; Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper . 2nd ed. Thousand Oaks, CA: Sage, 2005; Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1998; Jesson, Jill. Doing Your Literature Review: Traditional and Systematic Techniques . London: SAGE, 2011; Literature Review Handout. Online Writing Center. Liberty University; Literature Reviews. The Writing Center. University of North Carolina; Onwuegbuzie, Anthony J. and Rebecca Frels. Seven Steps to a Comprehensive Literature Review: A Multimodal and Cultural Approach . Los Angeles, CA: SAGE, 2016; Ridley, Diana. The Literature Review: A Step-by-Step Guide for Students . 2nd ed. Los Angeles, CA: SAGE, 2012; Randolph, Justus J. “A Guide to Writing the Dissertation Literature Review." Practical Assessment, Research, and Evaluation. vol. 14, June 2009; Sutton, Anthea. Systematic Approaches to a Successful Literature Review . Los Angeles, CA: Sage Publications, 2016; Taylor, Dena. The Literature Review: A Few Tips On Conducting It. University College Writing Centre. University of Toronto; Writing a Literature Review. Academic Skills Centre. University of Canberra.

Writing Tip

Break Out of Your Disciplinary Box!

Thinking interdisciplinarily about a research problem can be a rewarding exercise in applying new ideas, theories, or concepts to an old problem. For example, what might cultural anthropologists say about the continuing conflict in the Middle East? In what ways might geographers view the need for better distribution of social service agencies in large cities than how social workers might study the issue? You don’t want to substitute a thorough review of core research literature in your discipline for studies conducted in other fields of study. However, particularly in the social sciences, thinking about research problems from multiple vectors is a key strategy for finding new solutions to a problem or gaining a new perspective. Consult with a librarian about identifying research databases in other disciplines; almost every field of study has at least one comprehensive database devoted to indexing its research literature.

Frodeman, Robert. The Oxford Handbook of Interdisciplinarity . New York: Oxford University Press, 2010.

Another Writing Tip

Don't Just Review for Content!

While conducting a review of the literature, maximize the time you devote to writing this part of your paper by thinking broadly about what you should be looking for and evaluating. Review not just what scholars are saying, but how are they saying it. Some questions to ask:

• How are they organizing their ideas?
• What methods have they used to study the problem?
• What theories have been used to explain, predict, or understand their research problem?
• What sources have they cited to support their conclusions?
• How have they used non-textual elements [e.g., charts, graphs, figures, etc.] to illustrate key points?

When you begin to write your literature review section, you'll be glad you dug deeper into how the research was designed and constructed because it establishes a means for developing more substantial analysis and interpretation of the research problem.

Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1 998.

Yet Another Writing Tip

When Do I Know I Can Stop Looking and Move On?

Here are several strategies you can utilize to assess whether you've thoroughly reviewed the literature:

• Look for repeating patterns in the research findings . If the same thing is being said, just by different people, then this likely demonstrates that the research problem has hit a conceptual dead end. At this point consider: Does your study extend current research?  Does it forge a new path? Or, does is merely add more of the same thing being said?
• Look at sources the authors cite to in their work . If you begin to see the same researchers cited again and again, then this is often an indication that no new ideas have been generated to address the research problem.
• Search Google Scholar to identify who has subsequently cited leading scholars already identified in your literature review [see next sub-tab]. This is called citation tracking and there are a number of sources that can help you identify who has cited whom, particularly scholars from outside of your discipline. Here again, if the same authors are being cited again and again, this may indicate no new literature has been written on the topic.

Onwuegbuzie, Anthony J. and Rebecca Frels. Seven Steps to a Comprehensive Literature Review: A Multimodal and Cultural Approach . Los Angeles, CA: Sage, 2016; Sutton, Anthea. Systematic Approaches to a Successful Literature Review . Los Angeles, CA: Sage Publications, 2016.

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Libraries | Research Guides

Literature reviews, what is a literature review, learning more about how to do a literature review.

• Planning the Review
• The Research Question
• Choosing Where to Search
• Organizing the Review
• Writing the Review

A literature review is a review and synthesis of existing research on a topic or research question. A literature review is meant to analyze the scholarly literature, make connections across writings and identify strengths, weaknesses, trends, and missing conversations. A literature review should address different aspects of a topic as it relates to your research question. A literature review goes beyond a description or summary of the literature you have read. 

• Sage Research Methods Core Collection This link opens in a new window SAGE Research Methods supports research at all levels by providing material to guide users through every step of the research process. SAGE Research Methods is the ultimate methods library with more than 1000 books, reference works, journal articles, and instructional videos by world-leading academics from across the social sciences, including the largest collection of qualitative methods books available online from any scholarly publisher. – Publisher

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How to Write a Literature Review

What is a literature review.

• What Is the Literature
• Writing the Review

A literature review is much more than an annotated bibliography or a list of separate reviews of articles and books. It is a critical, analytical summary and synthesis of the current knowledge of a topic. Thus it should compare and relate different theories, findings, etc, rather than just summarize them individually. In addition, it should have a particular focus or theme to organize the review. It does not have to be an exhaustive account of everything published on the topic, but it should discuss all the significant academic literature and other relevant sources important for that focus.

This is meant to be a general guide to writing a literature review: ways to structure one, what to include, how it supplements other research. For more specific help on writing a review, and especially for help on finding the literature to review, sign up for a Personal Research Session .

The specific organization of a literature review depends on the type and purpose of the review, as well as on the specific field or topic being reviewed. But in general, it is a relatively brief but thorough exploration of past and current work on a topic. Rather than a chronological listing of previous work, though, literature reviews are usually organized thematically, such as different theoretical approaches, methodologies, or specific issues or concepts involved in the topic. A thematic organization makes it much easier to examine contrasting perspectives, theoretical approaches, methodologies, findings, etc, and to analyze the strengths and weaknesses of, and point out any gaps in, previous research. And this is the heart of what a literature review is about. A literature review may offer new interpretations, theoretical approaches, or other ideas; if it is part of a research proposal or report it should demonstrate the relationship of the proposed or reported research to others' work; but whatever else it does, it must provide a critical overview of the current state of research efforts. 

Literature reviews are common and very important in the sciences and social sciences. They are less common and have a less important role in the humanities, but they do have a place, especially stand-alone reviews.

Types of Literature Reviews

There are different types of literature reviews, and different purposes for writing a review, but the most common are:

• Stand-alone literature review articles . These provide an overview and analysis of the current state of research on a topic or question. The goal is to evaluate and compare previous research on a topic to provide an analysis of what is currently known, and also to reveal controversies, weaknesses, and gaps in current work, thus pointing to directions for future research. You can find examples published in any number of academic journals, but there is a series of Annual Reviews of *Subject* which are specifically devoted to literature review articles. Writing a stand-alone review is often an effective way to get a good handle on a topic and to develop ideas for your own research program. For example, contrasting theoretical approaches or conflicting interpretations of findings can be the basis of your research project: can you find evidence supporting one interpretation against another, or can you propose an alternative interpretation that overcomes their limitations?
• Part of a research proposal . This could be a proposal for a PhD dissertation, a senior thesis, or a class project. It could also be a submission for a grant. The literature review, by pointing out the current issues and questions concerning a topic, is a crucial part of demonstrating how your proposed research will contribute to the field, and thus of convincing your thesis committee to allow you to pursue the topic of your interest or a funding agency to pay for your research efforts.
• Part of a research report . When you finish your research and write your thesis or paper to present your findings, it should include a literature review to provide the context to which your work is a contribution. Your report, in addition to detailing the methods, results, etc. of your research, should show how your work relates to others' work.

A literature review for a research report is often a revision of the review for a research proposal, which can be a revision of a stand-alone review. Each revision should be a fairly extensive revision. With the increased knowledge of and experience in the topic as you proceed, your understanding of the topic will increase. Thus, you will be in a better position to analyze and critique the literature. In addition, your focus will change as you proceed in your research. Some areas of the literature you initially reviewed will be marginal or irrelevant for your eventual research, and you will need to explore other areas more thoroughly. 

Examples of Literature Reviews

See the series of Annual Reviews of *Subject* which are specifically devoted to literature review articles to find many examples of stand-alone literature reviews in the biomedical, physical, and social sciences. 

Research report articles vary in how they are organized, but a common general structure is to have sections such as:

• Abstract - Brief summary of the contents of the article
• Introduction - A explanation of the purpose of the study, a statement of the research question(s) the study intends to address
• Literature review - A critical assessment of the work done so far on this topic, to show how the current study relates to what has already been done
• Methods - How the study was carried out (e.g. instruments or equipment, procedures, methods to gather and analyze data)
• Results - What was found in the course of the study
• Discussion - What do the results mean
• Conclusion - State the conclusions and implications of the results, and discuss how it relates to the work reviewed in the literature review; also, point to directions for further work in the area

Here are some articles that illustrate variations on this theme. There is no need to read the entire articles (unless the contents interest you); just quickly browse through to see the sections, and see how each section is introduced and what is contained in them.

The Determinants of Undergraduate Grade Point Average: The Relative Importance of Family Background, High School Resources, and Peer Group Effects , in The Journal of Human Resources , v. 34 no. 2 (Spring 1999), p. 268-293.

This article has a standard breakdown of sections:

• Introduction
• Literature Review
• Some discussion sections

First Encounters of the Bureaucratic Kind: Early Freshman Experiences with a Campus Bureaucracy , in The Journal of Higher Education , v. 67 no. 6 (Nov-Dec 1996), p. 660-691.

This one does not have a section specifically labeled as a "literature review" or "review of the literature," but the first few sections cite a long list of other sources discussing previous research in the area before the authors present their own study they are reporting.

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What is a literature review?

A literature review is an integrated analysis -- not just a summary-- of scholarly writings and other relevant evidence related directly to your research question.  That is, it represents a synthesis of the evidence that provides background information on your topic and shows a association between the evidence and your research question.

A literature review may be a stand alone work or the introduction to a larger research paper, depending on the assignment.  Rely heavily on the guidelines your instructor has given you.

Why is it important?

A literature review is important because it:

• Explains the background of research on a topic.
• Demonstrates why a topic is significant to a subject area.
• Discovers relationships between research studies/ideas.
• Identifies major themes, concepts, and researchers on a topic.
• Identifies critical gaps and points of disagreement.
• Discusses further research questions that logically come out of the previous studies.

APA7 Style resources

APA Style Blog - for those harder to find answers

1. Choose a topic. Define your research question.

Your literature review should be guided by your central research question.  The literature represents background and research developments related to a specific research question, interpreted and analyzed by you in a synthesized way.

• Make sure your research question is not too broad or too narrow.  Is it manageable?
• Begin writing down terms that are related to your question. These will be useful for searches later.
• If you have the opportunity, discuss your topic with your professor and your class mates.

2. Decide on the scope of your review

How many studies do you need to look at? How comprehensive should it be? How many years should it cover? 

• This may depend on your assignment.  How many sources does the assignment require?

3. Select the databases you will use to conduct your searches.

Make a list of the databases you will search. 

Where to find databases:

• use the tabs on this guide
• Find other databases in the Nursing Information Resources web page
• More on the Medical Library web page
• ... and more on the Yale University Library web page

4. Conduct your searches to find the evidence. Keep track of your searches.

• Use the key words in your question, as well as synonyms for those words, as terms in your search. Use the database tutorials for help.
• Save the searches in the databases. This saves time when you want to redo, or modify, the searches. It is also helpful to use as a guide is the searches are not finding any useful results.
• Review the abstracts of research studies carefully. This will save you time.
• Use the bibliographies and references of research studies you find to locate others.
• Check with your professor, or a subject expert in the field, if you are missing any key works in the field.
• Ask your librarian for help at any time.
• Use a citation manager, such as EndNote as the repository for your citations. See the EndNote tutorials for help.

Review the literature

Some questions to help you analyze the research:

• What was the research question of the study you are reviewing? What were the authors trying to discover?
• Was the research funded by a source that could influence the findings?
• What were the research methodologies? Analyze its literature review, the samples and variables used, the results, and the conclusions.
• Does the research seem to be complete? Could it have been conducted more soundly? What further questions does it raise?
• If there are conflicting studies, why do you think that is?
• How are the authors viewed in the field? Has this study been cited? If so, how has it been analyzed?

Tips: 

• Review the abstracts carefully.  
• Keep careful notes so that you may track your thought processes during the research process.
• Create a matrix of the studies for easy analysis, and synthesis, across all of the studies.
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• Literature Review: The What, Why and How-to Guide
• Introduction

Literature Review: The What, Why and How-to Guide — Introduction

• Getting Started
• How to Pick a Topic
• Strategies to Find Sources
• Evaluating Sources & Lit. Reviews
• Tips for Writing Literature Reviews
• Writing Literature Review: Useful Sites
• Citation Resources
• Other Academic Writings

What are Literature Reviews?

So, what is a literature review? "A literature review is an account of what has been published on a topic by accredited scholars and researchers. In writing the literature review, your purpose is to convey to your reader what knowledge and ideas have been established on a topic, and what their strengths and weaknesses are. As a piece of writing, the literature review must be defined by a guiding concept (e.g., your research objective, the problem or issue you are discussing, or your argumentative thesis). It is not just a descriptive list of the material available, or a set of summaries." Taylor, D.  The literature review: A few tips on conducting it . University of Toronto Health Sciences Writing Centre.

Goals of Literature Reviews

What are the goals of creating a Literature Review?  A literature could be written to accomplish different aims:

• To develop a theory or evaluate an existing theory
• To summarize the historical or existing state of a research topic
• Identify a problem in a field of research 

Baumeister, R. F., & Leary, M. R. (1997). Writing narrative literature reviews .  Review of General Psychology , 1 (3), 311-320.

What kinds of sources require a Literature Review?

• A research paper assigned in a course
• A thesis or dissertation
• A grant proposal
• An article intended for publication in a journal

All these instances require you to collect what has been written about your research topic so that you can demonstrate how your own research sheds new light on the topic.

Types of Literature Reviews

What kinds of literature reviews are written?

Narrative review: The purpose of this type of review is to describe the current state of the research on a specific topic/research and to offer a critical analysis of the literature reviewed. Studies are grouped by research/theoretical categories, and themes and trends, strengths and weakness, and gaps are identified. The review ends with a conclusion section which summarizes the findings regarding the state of the research of the specific study, the gaps identify and if applicable, explains how the author's research will address gaps identify in the review and expand the knowledge on the topic reviewed.

• Example : Predictors and Outcomes of U.S. Quality Maternity Leave: A Review and Conceptual Framework:  10.1177/08948453211037398  

Systematic review : "The authors of a systematic review use a specific procedure to search the research literature, select the studies to include in their review, and critically evaluate the studies they find." (p. 139). Nelson, L. K. (2013). Research in Communication Sciences and Disorders . Plural Publishing.

• Example : The effect of leave policies on increasing fertility: a systematic review:  10.1057/s41599-022-01270-w

Meta-analysis : "Meta-analysis is a method of reviewing research findings in a quantitative fashion by transforming the data from individual studies into what is called an effect size and then pooling and analyzing this information. The basic goal in meta-analysis is to explain why different outcomes have occurred in different studies." (p. 197). Roberts, M. C., & Ilardi, S. S. (2003). Handbook of Research Methods in Clinical Psychology . Blackwell Publishing.

• Example : Employment Instability and Fertility in Europe: A Meta-Analysis:  10.1215/00703370-9164737

Meta-synthesis : "Qualitative meta-synthesis is a type of qualitative study that uses as data the findings from other qualitative studies linked by the same or related topic." (p.312). Zimmer, L. (2006). Qualitative meta-synthesis: A question of dialoguing with texts .  Journal of Advanced Nursing , 53 (3), 311-318.

• Example : Women’s perspectives on career successes and barriers: A qualitative meta-synthesis:  10.1177/05390184221113735

Literature Reviews in the Health Sciences

• UConn Health subject guide on systematic reviews Explanation of the different review types used in health sciences literature as well as tools to help you find the right review type
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Literature Review

• What is a Literature Review?
• What is NOT a Literature Review?
• Purposes of a Literature Review
• Types of Literature Reviews
• Literature Reviews vs. Systematic Reviews
• Systematic vs. Meta-Analysis

Literature Review  is a comprehensive survey of the works published in a particular field of study or line of research, usually over a specific period of time, in the form of an in-depth, critical bibliographic essay or annotated list in which attention is drawn to the most significant works.

Also, we can define a literature review as the collected body of scholarly works related to a topic:

• Summarizes and analyzes previous research relevant to a topic
• Includes scholarly books and articles published in academic journals
• Can be an specific scholarly paper or a section in a research paper

The objective of a Literature Review is to find previous published scholarly works relevant to an specific topic

• Help gather ideas or information
• Keep up to date in current trends and findings
• Help develop new questions

A literature review is important because it:

• Explains the background of research on a topic.
• Demonstrates why a topic is significant to a subject area.
• Helps focus your own research questions or problems
• Discovers relationships between research studies/ideas.
• Suggests unexplored ideas or populations
• Identifies major themes, concepts, and researchers on a topic.
• Tests assumptions; may help counter preconceived ideas and remove unconscious bias.
• Identifies critical gaps, points of disagreement, or potentially flawed methodology or theoretical approaches.
• Indicates potential directions for future research.

All content in this section is from Literature Review Research from Old Dominion University 

Keep in mind the following, a literature review is NOT:

Not an essay 

Not an annotated bibliography  in which you summarize each article that you have reviewed.  A literature review goes beyond basic summarizing to focus on the critical analysis of the reviewed works and their relationship to your research question.

Not a research paper   where you select resources to support one side of an issue versus another.  A lit review should explain and consider all sides of an argument in order to avoid bias, and areas of agreement and disagreement should be highlighted.

A literature review serves several purposes. For example, it

• provides thorough knowledge of previous studies; introduces seminal works.
• helps focus one’s own research topic.
• identifies a conceptual framework for one’s own research questions or problems; indicates potential directions for future research.
• suggests previously unused or underused methodologies, designs, quantitative and qualitative strategies.
• identifies gaps in previous studies; identifies flawed methodologies and/or theoretical approaches; avoids replication of mistakes.
• helps the researcher avoid repetition of earlier research.
• suggests unexplored populations.
• determines whether past studies agree or disagree; identifies controversy in the literature.
• tests assumptions; may help counter preconceived ideas and remove unconscious bias.

As Kennedy (2007) notes*, it is important to think of knowledge in a given field as consisting of three layers. First, there are the primary studies that researchers conduct and publish. Second are the reviews of those studies that summarize and offer new interpretations built from and often extending beyond the original studies. Third, there are the perceptions, conclusions, opinion, and interpretations that are shared informally that become part of the lore of field. In composing a literature review, it is important to note that it is often this third layer of knowledge that is cited as "true" even though it often has only a loose relationship to the primary studies and secondary literature reviews.

Given this, while literature reviews are designed to provide an overview and synthesis of pertinent sources you have explored, there are several approaches to how they can be done, depending upon the type of analysis underpinning your study. Listed below are definitions of types of literature reviews:

Argumentative Review      This form examines literature selectively in order to support or refute an argument, deeply imbedded assumption, or philosophical problem already established in the literature. The purpose is to develop a body of literature that establishes a contrarian viewpoint. Given the value-laden nature of some social science research [e.g., educational reform; immigration control], argumentative approaches to analyzing the literature can be a legitimate and important form of discourse. However, note that they can also introduce problems of bias when they are used to to make summary claims of the sort found in systematic reviews.

Integrative Review      Considered a form of research that reviews, critiques, and synthesizes representative literature on a topic in an integrated way such that new frameworks and perspectives on the topic are generated. The body of literature includes all studies that address related or identical hypotheses. A well-done integrative review meets the same standards as primary research in regard to clarity, rigor, and replication.

Historical Review      Few things rest in isolation from historical precedent. Historical reviews are focused on examining research throughout a period of time, often starting with the first time an issue, concept, theory, phenomena emerged in the literature, then tracing its evolution within the scholarship of a discipline. The purpose is to place research in a historical context to show familiarity with state-of-the-art developments and to identify the likely directions for future research.

Methodological Review      A review does not always focus on what someone said [content], but how they said it [method of analysis]. This approach provides a framework of understanding at different levels (i.e. those of theory, substantive fields, research approaches and data collection and analysis techniques), enables researchers to draw on a wide variety of knowledge ranging from the conceptual level to practical documents for use in fieldwork in the areas of ontological and epistemological consideration, quantitative and qualitative integration, sampling, interviewing, data collection and data analysis, and helps highlight many ethical issues which we should be aware of and consider as we go through our study.

Systematic Review      This form consists of an overview of existing evidence pertinent to a clearly formulated research question, which uses pre-specified and standardized methods to identify and critically appraise relevant research, and to collect, report, and analyse data from the studies that are included in the review. Typically it focuses on a very specific empirical question, often posed in a cause-and-effect form, such as "To what extent does A contribute to B?"

Theoretical Review      The purpose of this form is to concretely examine the corpus of theory that has accumulated in regard to an issue, concept, theory, phenomena. The theoretical literature review help establish what theories already exist, the relationships between them, to what degree the existing theories have been investigated, and to develop new hypotheses to be tested. Often this form is used to help establish a lack of appropriate theories or reveal that current theories are inadequate for explaining new or emerging research problems. The unit of analysis can focus on a theoretical concept or a whole theory or framework.

* Kennedy, Mary M. "Defining a Literature."  Educational Researcher  36 (April 2007): 139-147.

All content in this section is from The Literature Review created by Dr. Robert Larabee USC

Robinson, P. and Lowe, J. (2015),  Literature reviews vs systematic reviews.  Australian and New Zealand Journal of Public Health, 39: 103-103. doi: 10.1111/1753-6405.12393

What's in the name? The difference between a Systematic Review and a Literature Review, and why it matters . By Lynn Kysh from University of Southern California

Systematic review or meta-analysis?

A  systematic review  answers a defined research question by collecting and summarizing all empirical evidence that fits pre-specified eligibility criteria.

A  meta-analysis  is the use of statistical methods to summarize the results of these studies.

Systematic reviews, just like other research articles, can be of varying quality. They are a significant piece of work (the Centre for Reviews and Dissemination at York estimates that a team will take 9-24 months), and to be useful to other researchers and practitioners they should have:

• clearly stated objectives with pre-defined eligibility criteria for studies
• explicit, reproducible methodology
• a systematic search that attempts to identify all studies
• assessment of the validity of the findings of the included studies (e.g. risk of bias)
• systematic presentation, and synthesis, of the characteristics and findings of the included studies

Not all systematic reviews contain meta-analysis. 

Meta-analysis is the use of statistical methods to summarize the results of independent studies. By combining information from all relevant studies, meta-analysis can provide more precise estimates of the effects of health care than those derived from the individual studies included within a review.  More information on meta-analyses can be found in  Cochrane Handbook, Chapter 9 .

A meta-analysis goes beyond critique and integration and conducts secondary statistical analysis on the outcomes of similar studies.  It is a systematic review that uses quantitative methods to synthesize and summarize the results.

An advantage of a meta-analysis is the ability to be completely objective in evaluating research findings.  Not all topics, however, have sufficient research evidence to allow a meta-analysis to be conducted.  In that case, an integrative review is an appropriate strategy. 

Some of the content in this section is from Systematic reviews and meta-analyses: step by step guide created by Kate McAllister.

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What is a literature review?

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Introduction

Definition and use/purpose, four stages, questions to ask.

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Acknowledgements

This page is based on Write a Literature Review from UC Santa Cruz.

Helpful links

• Literature review assignments Helpful breakdown of common elements and their purposes in lit reviews from Auckland University of Technology
• Literature review scoring rubric From, Boote, D. N., & Beile, P. (2005). Scholars before researchers: On the centrality of the dissertation literature review in research preparation. Educational Researcher, 34(6), 3-15. doi:10.3102/0013189x034006003 (p.8)
• Writing a Short Literature Review An example of a literature review in stages, from annotated bibliography to lit review by William Ashton, Ph.D., York College, CUNY.

Not to be confused with a book review, a literature review surveys scholarly articles, books and other sources (e.g. dissertations, conference proceedings) relevant to a particular issue, area of research, or theory, providing a description, summary, and critical evaluation of each work. The purpose is to offer an overview of significant literature published on a topic.

A literature review may constitute an essential chapter of a thesis or dissertation, or may be a self-contained review of writings on a subject. In either case, its purpose is to:

• Place each work in the context of its contribution to the understanding of the subject under review
• Describe the relationship of each work to the others under consideration
• Identify new ways to interpret, and shed light on any gaps in, previous research
• Resolve conflicts amongst seemingly contradictory previous studies
• Identify areas of prior scholarship to prevent duplication of effort
• Point the way forward for further research
• Place one's original work (in the case of theses or dissertations) in the context of existing literature

The literature review itself, however, does not present new  primary  scholarship.

Similar to primary research, development of the literature review often follows four stages:

• Problem formulation—which topic or field is being examined and what are its component issues?
• Literature search—finding materials relevant to the subject being explored
• Data evaluation—determining which literature makes a significant contribution to the understanding of the topic
• Analysis and interpretation—discussing the findings and conclusions of pertinent literature

Literature reviews can comprise the following elements:

• An overview of the subject, issue or theory under consideration, along with the objectives of the literature review
• Division of works under review into categories (e.g. those in support of a particular position, those against, and those offering alternative theses entirely)
• Explanation of how each work is similar to and how it varies from the others
• Conclusions as to which pieces are best considered in their argument, are most convincing of their opinions, and make the greatest contribution to the understanding and development of their area of research

In assessing each resource (e.g., article, book chapter) you collect as part of your research, consider:

• Provenance—What are the author's credentials? Are the author's arguments supported by evidence (e.g. primary historical material, case studies, narratives, statistics, recent scientific findings)?
• Objectivity—Is the author's perspective even-handed or prejudicial? Is contrary data considered or is certain pertinent information ignored to prove the author's point?
• Persuasiveness—Which of the author's theses are most/least convincing?
• Value—Are the author's arguments and conclusions convincing? Does the work ultimately contribute in any significant way to an understanding of the subject?
• What is already known about the area of study? 
• What are the characteristics of the key concepts or the main factors or variables?
• What are the relationships between these key concepts, factors, or variables?
• What are the existing theories?
• What are the inconsistencies or other shortcomings in our knowledge and understanding?
• Why study (further) the research problem?
• What contribution can your study be expected to make? 
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The Research Proposal

83 Components of the Literature Review

Krathwohl (2005) suggests and describes a variety of components to include in a research proposal.  The following sections present these components in a suggested template for you to follow in the preparation of your research proposal.

Introduction

The introduction sets the tone for what follows in your research proposal – treat it as the initial pitch of your idea.  After reading the introduction your reader should:

• Understand what it is you want to do;
• Have a sense of your passion for the topic;
• Be excited about the study´s possible outcomes.

As you begin writing your research proposal it is helpful to think of the introduction as a narrative of what it is you want to do, written in one to three paragraphs.  Within those one to three paragraphs, it is important to briefly answer the following questions:

• What is the central research problem?
• How is the topic of your research proposal related to the problem?
• What methods will you utilize to analyze the research problem?
• Why is it important to undertake this research? What is the significance of your proposed research?  Why are the outcomes of your proposed research important, and to whom or to what are they important?

Note : You may be asked by your instructor to include an abstract with your research proposal.  In such cases, an abstract should provide an overview of what it is you plan to study, your main research question, a brief explanation of your methods to answer the research question, and your expected findings. All of this information must be carefully crafted in 150 to 250 words.  A word of advice is to save the writing of your abstract until the very end of your research proposal preparation.  If you are asked to provide an abstract, you should include 5-7 key words that are of most relevance to your study. List these in order of relevance.

Background and significance

The purpose of this section is to explain the context of your proposal and to describe, in detail, why it is important to undertake this research. Assume that the person or people who will read your research proposal know nothing or very little about the research problem.  While you do not need to include all knowledge you have learned about your topic in this section, it is important to ensure that you include the most relevant material that will help to explain the goals of your research.

While there are no hard and fast rules, you should attempt to address some or all of the following key points:

• State the research problem and provide a more thorough explanation about the purpose of the study than what you stated in the introduction.
• Present the rationale for the proposed research study. Clearly indicate why this research is worth doing.  Answer the “so what?” question.
• Describe the major issues or problems to be addressed by your research. Do not forget to explain how and in what ways your proposed research builds upon previous related research.
• Explain how you plan to go about conducting your research.
• Clearly identify the key or most relevant sources of research you intend to use and explain how they will contribute to your analysis of the topic.
• Set the boundaries of your proposed research, in order to provide a clear focus. Where appropriate, state not only what you will study, but what will be excluded from your study.
• Provide clear definitions of key concepts and terms. As key concepts and terms often have numerous definitions, make sure you state which definition you will be utilizing in your research.

Literature Review

This is the most time-consuming aspect in the preparation of your research proposal and it is a key component of the research proposal. As described in Chapter 5 , the literature review provides the background to your study and demonstrates the significance of the proposed research. Specifically, it is a review and synthesis of prior research that is related to the problem you are setting forth to investigate.  Essentially, your goal in the literature review is to place your research study within the larger whole of what has been studied in the past, while demonstrating to your reader that your work is original, innovative, and adds to the larger whole.

As the literature review is information dense, it is essential that this section be intelligently structured to enable your reader to grasp the key arguments underpinning your study. However, this can be easier to state and harder to do, simply due to the fact there is usually a plethora of related research to sift through. Consequently, a good strategy for writing the literature review is to break the literature into conceptual categories or themes, rather than attempting to describe various groups of literature you reviewed.  Chapter V, “ The Literature Review ,” describes a variety of methods to help you organize the themes.

Here are some suggestions on how to approach the writing of your literature review:

• Think about what questions other researchers have asked, what methods they used, what they found, and what they recommended based upon their findings.
• Do not be afraid to challenge previous related research findings and/or conclusions.
• Assess what you believe to be missing from previous research and explain how your research fills in this gap and/or extends previous research

It is important to note that a significant challenge related to undertaking a literature review is knowing when to stop.  As such, it is important to know how to know when you have uncovered the key conceptual categories underlying your research topic.  Generally, when you start to see repetition in the conclusions or recommendations, you can have confidence that you have covered all of the significant conceptual categories in your literature review.  However, it is also important to acknowledge that researchers often find themselves returning to the literature as they collect and analyze their data.  For example, an unexpected finding may develop as one collects and/or analyzes the data and it is important to take the time to step back and review the literature again, to ensure that no other researchers have found a similar finding.  This may include looking to research outside your field.

This situation occurred with one of the authors of this textbook´s research related to community resilience.  During the interviews, the researchers heard many participants discuss individual resilience factors and how they believed these individual factors helped make the community more resilient, overall.  Sheppard and Williams (2016) had not discovered these individual factors in their original literature review on community and environmental resilience. However, when they returned to the literature to search for individual resilience factors, they discovered a small body of literature in the child and youth psychology field. Consequently, Sheppard and Williams had to go back and add a new section to their literature review on individual resilience factors. Interestingly, their research appeared to be the first research to link individual resilience factors with community resilience factors.

Research design and methods

The objective of this section of the research proposal is to convince the reader that your overall research design and methods of analysis will enable you to solve the research problem you have identified and also enable you to accurately and effectively interpret the results of your research. Consequently, it is critical that the research design and methods section is well-written, clear, and logically organized.  This demonstrates to your reader that you know what you are going to do and how you are going to do it.  Overall, you want to leave your reader feeling confident that you have what it takes to get this research study completed in a timely fashion.

Essentially, this section of the research proposal should be clearly tied to the specific objectives of your study; however, it is also important to draw upon and include examples from the literature review that relate to your design and intended methods.  In other words, you must clearly demonstrate how your study utilizes and builds upon past studies, as it relates to the research design and intended methods.  For example, what methods have been used by other researchers in similar studies?

While it is important to consider the methods that other researchers have employed, it is equally important, if not more so, to consider what methods have not been employed but could be.  Remember, the methods section is not simply a list of tasks to be undertaken. It is also an argument as to why and how the tasks you have outlined will help you investigate the research problem and answer your research question(s).

Tips for writing the research design and methods section:

• Specify the methodological approaches you intend to employ to obtain information and the techniques you will use to analyze the data.
• Specify the research operations you will undertake and he way you will interpret the results of those operations in relation to the research problem.
• Go beyond stating what you hope to achieve through the methods you have chosen. State how you will actually do the methods (i.e. coding interview text, running regression analysis, etc.).
• Anticipate and acknowledge any potential barriers you may encounter when undertaking your research and describe how you will address these barriers.
• Explain where you believe you will find challenges related to data collection, including access to participants and information.

Preliminary suppositions and implications

The purpose of this section is to argue how and in what ways you anticipate that your research will refine, revise, or extend existing knowledge in the area of your study. Depending upon the aims and objectives of your study, you should also discuss how your anticipated findings may impact future research.  For example, is it possible that your research may lead to a new policy, new theoretical understanding, or a new method for analyzing data?  How might your study influence future studies?  What might your study mean for future practitioners working in the field?  Who or what may benefit from your study?  How might your study contribute to social, economic, environmental issues?  While it is important to think about and discuss possibilities such as these, it is equally important to be realistic in stating your anticipated findings.  In other words, you do not want to delve into idle speculation.  Rather, the purpose here is to reflect upon gaps in the current body of literature and to describe how and in what ways you anticipate your research will begin to fill in some or all of those gaps.

The conclusion reiterates the importance and significance of your research proposal and it provides a brief summary of the entire proposed study.  Essentially, this section should only be one or two paragraphs in length. Here is a potential outline for your conclusion:

• Discuss why the study should be done. Specifically discuss how you expect your study will advance existing knowledge and how your study is unique.
• Explain the specific purpose of the study and the research questions that the study will answer.
• Explain why the research design and methods chosen for this study are appropriate, and why other design and methods were not chosen.
• State the potential implications you expect to emerge from your proposed study,
• Provide a sense of how your study fits within the broader scholarship currently in existence related to the research problem.

As with any scholarly research paper, you must cite the sources you used in composing your research proposal.  In a research proposal, this can take two forms: a reference list or a bibliography.  A reference list does what the name suggests, it lists the literature you referenced in the body of your research proposal.  All references in the reference list, must appear in the body of the research proposal.  Remember, it is not acceptable to say “as cited in …”  As a researcher you must always go to the original source and check it for yourself.  Many errors are made in referencing, even by top researchers, and so it is important not to perpetuate an error made by someone else. While this can be time consuming, it is the proper way to undertake a literature review.

In contrast, a bibliography , is a list of everything you used or cited in your research proposal, with additional citations to any key sources relevant to understanding the research problem.  In other words, sources cited in your bibliography may not necessarily appear in the body of your research proposal.  Make sure you check with your instructor to see which of the two you are expected to produce.

Overall, your list of citations should be a testament to the fact that you have done a sufficient level of preliminary research to ensure that your project will complement, but not duplicate, previous research efforts. For social sciences, the reference list or bibliography should be prepared in American Psychological Association (APA) referencing format. Usually, the reference list (or bibliography) is not included in the word count of the research proposal. Again, make sure you check with your instructor to confirm.

An Introduction to Research Methods in Sociology Copyright © 2019 by Valerie A. Sheppard is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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1 What Is Literature and Why Do We Study It?

In this book created for my English 211 Literary Analysis introductory course for English literature and creative writing majors at the College of Western Idaho, I’ll introduce several different critical approaches that literary scholars may use to answer these questions.  The critical method we apply to a text can provide us with different perspectives as we learn to interpret a text and appreciate its meaning and beauty.

The existence of literature, however we define it, implies that we study literature. While people have been “studying” literature as long as literature has existed, the formal study of literature as we know it in college English literature courses began in the 1940s with the advent of New Criticism. The New Critics were formalists with a vested interest in defining literature–they were, after all, both creating and teaching about literary works. For them, literary criticism was, in fact, as John Crowe Ransom wrote in his 1942 essay “ Criticism, Inc., ” nothing less than “the business of literature.”

Responding to the concern that the study of literature at the university level was often more concerned with the history and life of the author than with the text itself, Ransom responded, “the students of the future must be permitted to study literature, and not merely about literature. But I think this is what the good students have always wanted to do. The wonder is that they have allowed themselves so long to be denied.”

We’ll learn more about New Criticism in Section Three. For now, let’s return to the two questions I posed earlier.

What is literature?

First, what is literature ? I know your high school teacher told you never to look up things on Wikipedia, but for the purposes of literary studies, Wikipedia can actually be an effective resource. You’ll notice that I link to Wikipedia articles occasionally in this book. Here’s how Wikipedia defines literature :

“ Literature  is any collection of  written  work, but it is also used more narrowly for writings specifically considered to be an  art  form, especially  prose   fiction ,  drama , and  poetry . [1]  In recent centuries, the definition has expanded to include  oral literature , much of which has been transcribed. [2] Literature is a method of recording, preserving, and transmitting knowledge and entertainment, and can also have a social, psychological, spiritual, or political role.”

This definition is well-suited for our purposes here because throughout this course, we will be considering several types of literary texts in a variety of contexts.

I’m a Classicist—a student of Greece and Rome and everything they touched—so I am always interested in words with Latin roots. The Latin root of our modern word literature  is  litera , or “letter.” Literature, then, is inextricably intertwined with the act of writing. But what kind of writing?

Who decides which texts are “literature”?

The second question is at least as important as the first one. If we agree that literature is somehow special and different from ordinary writing, then who decides which writings count as literature? Are English professors the only people who get to decide? What qualifications and training does someone need to determine whether or not a text is literature? What role do you as the reader play in this decision about a text?

Let’s consider a few examples of things that we would all probably classify as literature. I think we can all (probably) agree that the works of William Shakespeare are literature. We can look at Toni Morrison’s outstanding ouvre of work and conclude, along with the Nobel Prize Committee, that books such as Beloved   and  Song of Solomon   are literature. And if you’re taking a creative writing course and have been assigned the short stories of Raymond Carver or the poems of Joy Harjo , you’re probably convinced that these texts are literature too.

In each of these three cases, a different “deciding” mechanism is at play. First, with Shakespeare, there’s history and tradition. These plays that were written 500 years ago are still performed around the world and taught in high school and college English classes today. It seems we have consensus about the tragedies, histories, comedies, and sonnets of the Bard of Avon (or whoever wrote the plays).

In the second case, if you haven’t heard of Toni Morrison (and I am very sorry if you haven’t), you probably have heard of the Nobel Prize. This is one of the most prestigious awards given in literature, and since she’s a winner, we can safely assume that Toni Morrison’s works are literature.

Finally, your creative writing professor is an expert in their field. You know they have an MFA (and worked hard for it), so when they share their favorite short stories or poems with you, you trust that they are sharing works considered to be literature, even if you haven’t heard of Raymond Carver or Joy Harjo before taking their class.

(Aside: What about fanfiction? Is fanfiction literature?)

We may have to save the debate about fan fiction for another day, though I introduced it because there’s some fascinating and even literary award-winning fan fiction out there.

Returning to our question, what role do we as readers play in deciding whether something is literature? Like John Crowe Ransom quoted above, I think that the definition of literature should depend on more than the opinions of literary critics and literature professors.

I also want to note that contrary to some opinions, plenty of so-called genre fiction can also be classified as literature. The Nobel Prize winning author Kazuo Ishiguro has written both science fiction and historical fiction. Iain Banks , the British author of the critically acclaimed novel The Wasp Factory , published popular science fiction novels under the name Iain M. Banks. In other words, genre alone can’t tell us whether something is literature or not.

In this book, I want to give you the tools to decide for yourself. We’ll do this by exploring several different critical approaches that we can take to determine how a text functions and whether it is literature. These lenses can reveal different truths about the text, about our culture, and about ourselves as readers and scholars.

“Turf Wars”: Literary criticism vs. authors

It’s important to keep in mind that literature and literary theory have existed in conversation with each other since Aristotle used Sophocles’s play Oedipus Rex to define tragedy. We’ll look at how critical theory and literature complement and disagree with each other throughout this book. For most of literary history, the conversation was largely a friendly one.

But in the twenty-first century, there’s a rising tension between literature and criticism. In his 2016 book Literature Against Criticism: University English and Contemporary Fiction in Conflict, literary scholar Martin Paul Eve argues that twenty-first century authors have developed

a series of novelistic techniques that, whether deliberate or not on the part of the author, function to outmanoeuvre, contain, and determine academic reading practices. This desire to discipline university English through the manipulation and restriction of possible hermeneutic paths is, I contend, a result firstly of the fact that the metafictional paradigm of the high-postmodern era has pitched critical and creative discourses into a type of productive competition with one another. Such tensions and overlaps (or ‘turf wars’) have only increased in light of the ongoing breakdown of coherent theoretical definitions of ‘literature’ as distinct from ‘criticism’ (15).

One of Eve’s points is that by narrowly and rigidly defining the boundaries of literature, university English professors have inadvertently created a situation where the market increasingly defines what “literature” is, despite the protestations of the academy. In other words, the gatekeeper role that literary criticism once played is no longer as important to authors. For example, (almost) no one would call 50 Shades of Grey literature—but the salacious E.L James novel was the bestselling book of the decade from 2010-2019, with more than 35 million copies sold worldwide.

If anyone with a blog can get a six-figure publishing deal , does it still matter that students know how to recognize and analyze literature? I think so, for a few reasons.

• First, the practice of reading critically helps you to become a better reader and writer, which will help you to succeed not only in college English courses but throughout your academic and professional career.
• Second, analysis is a highly sought after and transferable skill. By learning to analyze literature, you’ll practice the same skills you would use to analyze anything important. “Data analyst” is one of the most sought after job positions in the New Economy—and if you can analyze Shakespeare, you can analyze data. Indeed.com’s list of top 10 transferable skills includes analytical skills , which they define as “the traits and abilities that allow you to observe, research and interpret a subject in order to develop complex ideas and solutions.”
• Finally, and for me personally, most importantly, reading and understanding literature makes life make sense. As we read literature, we expand our sense of what is possible for ourselves and for humanity. In the challenges we collectively face today, understanding the world and our place in it will be important for imagining new futures.

A note about using generative artificial intelligence

As I was working on creating this textbook, ChatGPT exploded into academic consciousness. Excited about the possibilities of this new tool, I immediately began incorporating it into my classroom teaching. In this book, I have used ChatGPT to help me with outlining content in chapters. I also used ChatGPT to create sample essays for each critical lens we will study in the course. These essays are dry and rather soulless, but they do a good job of modeling how to apply a specific theory to a literary text. I chose John Donne’s poem “The Canonization” as the text for these essays so that you can see how the different theories illuminate different aspects of the text.

I encourage students in my courses to use ChatGPT in the following ways:

• To generate ideas about an approach to a text.
• To better understand basic concepts.
• To assist with outlining an essay.
• To check grammar, punctuation, spelling, paragraphing, and other grammar/syntax issues.

If you choose to use Chat GPT, please include a brief acknowledgment statement as an appendix to your paper after your Works Cited page explaining how you have used the tool in your work. Here is an example of how to do this from Monash University’s “ Acknowledging the Use of Generative Artificial Intelligence .”

I acknowledge the use of [insert AI system(s) and link] to [specific use of generative artificial intelligence]. The prompts used include [list of prompts]. The output from these prompts was used to [explain use].

Here is more information about how to cite the use of generative AI like ChatGPT in your work. The information below was adapted from “Acknowledging and Citing Generative AI in Academic Work” by Liza Long (CC BY 4.0).

The Modern Language Association (MLA) uses a template of core elements to create citations for a Works Cited page. MLA  asks students to apply this approach when citing any type of generative AI in their work. They provide the following guidelines:

Cite a generative AI tool whenever you paraphrase, quote, or incorporate into your own work any content (whether text, image, data, or other) that was created by it. Acknowledge all functional uses of the tool (like editing your prose or translating words) in a note, your text, or another suitable location. Take care to vet the secondary sources it cites. (MLA)

Here are some examples of how to use and cite generative AI with MLA style:

Example One: Paraphrasing Text

Let’s say that I am trying to generate ideas for a paper on Charlotte Perkins Gilman’s short story “The Yellow Wallpaper.” I ask ChatGPT to provide me with a summary and identify the story’s main themes. Here’s a  link to the chat . I decide that I will explore the problem of identity and self-expression in my paper.

My Paraphrase of ChatGPT with In-Text Citation

The problem of identity and self expression, especially for nineteenth-century women, is a major theme in “The Yellow Wallpaper” by Charlotte Perkins Gilman (“Summarize the short story”).

Works Cited Entry

“Summarize the short story “The Yellow Wallpaper” by Charlotte Perkins Gilman. Include a breakdown of the main themes” prompt.  ChatGPT.  24 May Version, OpenAI, 20 Jul. 2023,  https://chat.openai.com/share/d1526b95-920c-48fc-a9be-83cd7dfa4be5 

Example Two: Quoting Text

In the same chat, I continue to ask ChatGPT about the theme of identity and self expression. Here’s an example of how I could quote the response in the body of my paper:

When I asked  ChatGPT  to describe the theme of identity and self expression, it noted that the eponymous yellow wallpaper acts as a symbol of the narrator’s self-repression. However, when prompted to share the scholarly sources that formed the basis of this observation,  ChatGPT  responded, “As an AI language model, I don’t have access to my training data, but I was trained on a mixture of licensed data, data created by human trainers, and publicly available data. OpenAI, the organization behind my development, has not publicly disclosed the specifics of the individual datasets used, including whether scholarly sources were specifically used” (“Summarize the short story”).

It’s worth noting here that ChatGPT can “ hallucinate ” fake sources. As a Microsoft training manual notes, these chatbots are “built to be persuasive, not truthful” (Weiss &Metz, 2023). The May 24, 2023 version will no longer respond to direct requests for references; however, I was able to get around this restriction fairly easily by asking for “resources” instead.

When I ask for resources to learn more about “The Yellow Wallpaper,” here is one source it recommends:

“Charlotte Perkins Gilman’s The Yellow Wallpaper: A Symptomatic Reading” by Elaine R. Hedges: This scholarly article delves into the psychological and feminist themes of the story, analyzing the narrator’s experience and the implications of the yellow wallpaper on her mental state. It’s available in the journal “Studies in Short Fiction.” (“Summarize the short story”).

Using Google Scholar, I look up this source to see if it’s real. Unsurprisingly, this source is not a real one, but it does lead me to another (real) source: Kasmer, Lisa. “Charlotte Perkins Gilman’s’ The Yellow Wallpaper’: A Symptomatic Reading.”  Literature and Psychology  36.3 (1990): 1.

Note: ALWAYS check any sources that ChatGPT or other generative AI tools recommend.

For more information about integrating and citing generative artificial intelligence tools such as ChatGPT, please see this section of  Write What Matters.

I acknowledge that ChatGPT does not respect the individual rights of authors and artists and ignores concerns over copyright and intellectual property in its training; additionally, I acknowledge that the system was trained in part through the exploitation of precarious workers in the global south. In this work I specifically used ChatGPT to assist with outlining chapters, providing background information about critical lenses, and creating “model” essays for the critical lenses we will learn about together. I have included links to my chats in an appendix to this book.

Critical theories: A targeted approach to writing about literature

Ultimately, there’s not one “right” way to read a text. In this book. we will explore a variety of critical theories that scholars use to analyze literature. The book is organized around different targets that are associated with the approach introduced in each chapter. In the introduction, for example, our target is literature. In future chapters you’ll explore these targeted analysis techniques:

• Author: Biographical Criticism
• Text: New Criticism
• Reader: Reader Response Criticism
• Gap: Deconstruction (Post-Structuralism)
• Context: New Historicism and Cultural Studies
• Power: Marxist and Postcolonial Criticism
• Mind: Psychological Criticism
• Gender: Feminist, Post Feminist, and Queer Theory
• Nature: Ecocriticism

Each chapter will feature the target image with the central approach in the center. You’ll read a brief introduction about the theory, explore some primary texts (both critical and literary), watch a video, and apply the theory to a primary text. Each one of these theories could be the subject of its own entire course, so keep in mind that our goal in this book is to introduce these theories and give you a basic familiarity with these tools for literary analysis. For more information and practice, I recommend Steven Lynn’s excellent Texts and Contexts: Writing about Literature with Critical Theory , which provides a similar introductory framework.

I am so excited to share these tools with you and see you grow as a literary scholar. As we explore each of these critical worlds, you’ll likely find that some critical theories feel more natural or logical to you than others. I find myself much more comfortable with deconstruction than with psychological criticism, for example. Pay attention to how these theories work for you because this will help you to expand your approaches to texts and prepare you for more advanced courses in literature.

P.S. If you want to know what my favorite book is, I usually tell people it’s Herman Melville’s Moby Dick . And I do love that book! But I really have no idea what my “favorite” book of all time is, let alone what my favorite book was last year. Every new book that I read is a window into another world and a template for me to make sense out of my own experience and better empathize with others. That’s why I love literature. I hope you’ll love this experience too.

writings in prose or verse, especially :  writings having excellence of form or expression and expressing ideas of permanent or universal interest (Merriam Webster)

Critical Worlds Copyright © 2024 by Liza Long is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

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Library Guide to Capstone Literature Reviews: Role of the Literature Review

The role of the literature review.

Your literature review gives readers an understanding of the scholarly research on your topic.

In your literature review you will:

• demonstrate that you are a well-informed scholar with expertise and knowledge in the field by giving an overview of the current state of the literature
• find a gap in the literature, or address a business or professional issue, depending on your doctoral study program; the literature review will illustrate how your research contributes to the scholarly conversation
• provide a synthesis of the issues, trends, and concepts surrounding your research

Be aware that the literature review is an iterative process. As you read and write initial drafts, you will find new threads and complementary themes, at which point you will return to search, find out about these new themes, and incorporate them into your review.

The purpose of this guide is to help you through the literature review process. Take some time to look over the resources in order to become familiar with them. The tabs on the left side of this page have additional information.

Short video: Research for the Literature Review

Short Video: Research for the Literature Review

(4 min 10 sec) Recorded August 2019 Transcript 

Literature review as a dinner party

To think about the role of the literature review, consider this analogy:  pretend that you throw a dinner party for the other researchers working in your topic area. First, you’d need to develop a guest list.

• The guests of honor would be early researchers or theorists; their work likely inspired subsequent studies, ideas, or controversies that the current researchers pursue.
• Then, think about the important current researchers to invite. Which guests might agree with each other?  Which others might provide useful counterpoints?
• You likely won’t be able to include everyone on the guest list, so you may need to choose carefully so that you don’t leave important figures out. 
• Alternatively, if there aren’t many researchers working in your topic area, then your guest list will need to include people working in other, related areas, who can still contribute to the conversation.

After the party, you describe the evening to a friend. You’ll summarize the evening’s conversation. Perhaps one guest made a comment that sparked a conversation, and then you describe who responded and how the topic evolved. There are other conversations to share, too. This is how you synthesize the themes and developments that you find in your research. Thinking about your literature research this way will help you to present your dinner party (and your literature review) in a lively and engaging way.

Short video: Empirical research

Video: How to locate and identify empirical research for your literature review

(6 min 16 sec) Recorded May 2020 Transcript 

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• Office of Student Research Administration
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• Visit the Writing Center

You can watch recorded webinars on the literature review in our Library Webinar Archives .

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• v.21(3); Fall 2022

Literature Reviews, Theoretical Frameworks, and Conceptual Frameworks: An Introduction for New Biology Education Researchers

Julie a. luft.

† Department of Mathematics, Social Studies, and Science Education, Mary Frances Early College of Education, University of Georgia, Athens, GA 30602-7124

Sophia Jeong

‡ Department of Teaching & Learning, College of Education & Human Ecology, Ohio State University, Columbus, OH 43210

Robert Idsardi

§ Department of Biology, Eastern Washington University, Cheney, WA 99004

Grant Gardner

∥ Department of Biology, Middle Tennessee State University, Murfreesboro, TN 37132

Associated Data

To frame their work, biology education researchers need to consider the role of literature reviews, theoretical frameworks, and conceptual frameworks as critical elements of the research and writing process. However, these elements can be confusing for scholars new to education research. This Research Methods article is designed to provide an overview of each of these elements and delineate the purpose of each in the educational research process. We describe what biology education researchers should consider as they conduct literature reviews, identify theoretical frameworks, and construct conceptual frameworks. Clarifying these different components of educational research studies can be helpful to new biology education researchers and the biology education research community at large in situating their work in the broader scholarly literature.

INTRODUCTION

Discipline-based education research (DBER) involves the purposeful and situated study of teaching and learning in specific disciplinary areas ( Singer et al. , 2012 ). Studies in DBER are guided by research questions that reflect disciplines’ priorities and worldviews. Researchers can use quantitative data, qualitative data, or both to answer these research questions through a variety of methodological traditions. Across all methodologies, there are different methods associated with planning and conducting educational research studies that include the use of surveys, interviews, observations, artifacts, or instruments. Ensuring the coherence of these elements to the discipline’s perspective also involves situating the work in the broader scholarly literature. The tools for doing this include literature reviews, theoretical frameworks, and conceptual frameworks. However, the purpose and function of each of these elements is often confusing to new education researchers. The goal of this article is to introduce new biology education researchers to these three important elements important in DBER scholarship and the broader educational literature.

The first element we discuss is a review of research (literature reviews), which highlights the need for a specific research question, study problem, or topic of investigation. Literature reviews situate the relevance of the study within a topic and a field. The process may seem familiar to science researchers entering DBER fields, but new researchers may still struggle in conducting the review. Booth et al. (2016b) highlight some of the challenges novice education researchers face when conducting a review of literature. They point out that novice researchers struggle in deciding how to focus the review, determining the scope of articles needed in the review, and knowing how to be critical of the articles in the review. Overcoming these challenges (and others) can help novice researchers construct a sound literature review that can inform the design of the study and help ensure the work makes a contribution to the field.

The second and third highlighted elements are theoretical and conceptual frameworks. These guide biology education research (BER) studies, and may be less familiar to science researchers. These elements are important in shaping the construction of new knowledge. Theoretical frameworks offer a way to explain and interpret the studied phenomenon, while conceptual frameworks clarify assumptions about the studied phenomenon. Despite the importance of these constructs in educational research, biology educational researchers have noted the limited use of theoretical or conceptual frameworks in published work ( DeHaan, 2011 ; Dirks, 2011 ; Lo et al. , 2019 ). In reviewing articles published in CBE—Life Sciences Education ( LSE ) between 2015 and 2019, we found that fewer than 25% of the research articles had a theoretical or conceptual framework (see the Supplemental Information), and at times there was an inconsistent use of theoretical and conceptual frameworks. Clearly, these frameworks are challenging for published biology education researchers, which suggests the importance of providing some initial guidance to new biology education researchers.

Fortunately, educational researchers have increased their explicit use of these frameworks over time, and this is influencing educational research in science, technology, engineering, and mathematics (STEM) fields. For instance, a quick search for theoretical or conceptual frameworks in the abstracts of articles in Educational Research Complete (a common database for educational research) in STEM fields demonstrates a dramatic change over the last 20 years: from only 778 articles published between 2000 and 2010 to 5703 articles published between 2010 and 2020, a more than sevenfold increase. Greater recognition of the importance of these frameworks is contributing to DBER authors being more explicit about such frameworks in their studies.

Collectively, literature reviews, theoretical frameworks, and conceptual frameworks work to guide methodological decisions and the elucidation of important findings. Each offers a different perspective on the problem of study and is an essential element in all forms of educational research. As new researchers seek to learn about these elements, they will find different resources, a variety of perspectives, and many suggestions about the construction and use of these elements. The wide range of available information can overwhelm the new researcher who just wants to learn the distinction between these elements or how to craft them adequately.

Our goal in writing this paper is not to offer specific advice about how to write these sections in scholarly work. Instead, we wanted to introduce these elements to those who are new to BER and who are interested in better distinguishing one from the other. In this paper, we share the purpose of each element in BER scholarship, along with important points on its construction. We also provide references for additional resources that may be beneficial to better understanding each element. Table 1 summarizes the key distinctions among these elements.

Comparison of literature reviews, theoretical frameworks, and conceptual reviews

This article is written for the new biology education researcher who is just learning about these different elements or for scientists looking to become more involved in BER. It is a result of our own work as science education and biology education researchers, whether as graduate students and postdoctoral scholars or newly hired and established faculty members. This is the article we wish had been available as we started to learn about these elements or discussed them with new educational researchers in biology.

LITERATURE REVIEWS

Purpose of a literature review.

A literature review is foundational to any research study in education or science. In education, a well-conceptualized and well-executed review provides a summary of the research that has already been done on a specific topic and identifies questions that remain to be answered, thus illustrating the current research project’s potential contribution to the field and the reasoning behind the methodological approach selected for the study ( Maxwell, 2012 ). BER is an evolving disciplinary area that is redefining areas of conceptual emphasis as well as orientations toward teaching and learning (e.g., Labov et al. , 2010 ; American Association for the Advancement of Science, 2011 ; Nehm, 2019 ). As a result, building comprehensive, critical, purposeful, and concise literature reviews can be a challenge for new biology education researchers.

Building Literature Reviews

There are different ways to approach and construct a literature review. Booth et al. (2016a) provide an overview that includes, for example, scoping reviews, which are focused only on notable studies and use a basic method of analysis, and integrative reviews, which are the result of exhaustive literature searches across different genres. Underlying each of these different review processes are attention to the s earch process, a ppraisa l of articles, s ynthesis of the literature, and a nalysis: SALSA ( Booth et al. , 2016a ). This useful acronym can help the researcher focus on the process while building a specific type of review.

However, new educational researchers often have questions about literature reviews that are foundational to SALSA or other approaches. Common questions concern determining which literature pertains to the topic of study or the role of the literature review in the design of the study. This section addresses such questions broadly while providing general guidance for writing a narrative literature review that evaluates the most pertinent studies.

The literature review process should begin before the research is conducted. As Boote and Beile (2005 , p. 3) suggested, researchers should be “scholars before researchers.” They point out that having a good working knowledge of the proposed topic helps illuminate avenues of study. Some subject areas have a deep body of work to read and reflect upon, providing a strong foundation for developing the research question(s). For instance, the teaching and learning of evolution is an area of long-standing interest in the BER community, generating many studies (e.g., Perry et al. , 2008 ; Barnes and Brownell, 2016 ) and reviews of research (e.g., Sickel and Friedrichsen, 2013 ; Ziadie and Andrews, 2018 ). Emerging areas of BER include the affective domain, issues of transfer, and metacognition ( Singer et al. , 2012 ). Many studies in these areas are transdisciplinary and not always specific to biology education (e.g., Rodrigo-Peiris et al. , 2018 ; Kolpikova et al. , 2019 ). These newer areas may require reading outside BER; fortunately, summaries of some of these topics can be found in the Current Insights section of the LSE website.

In focusing on a specific problem within a broader research strand, a new researcher will likely need to examine research outside BER. Depending upon the area of study, the expanded reading list might involve a mix of BER, DBER, and educational research studies. Determining the scope of the reading is not always straightforward. A simple way to focus one’s reading is to create a “summary phrase” or “research nugget,” which is a very brief descriptive statement about the study. It should focus on the essence of the study, for example, “first-year nonmajor students’ understanding of evolution,” “metacognitive prompts to enhance learning during biochemistry,” or “instructors’ inquiry-based instructional practices after professional development programming.” This type of phrase should help a new researcher identify two or more areas to review that pertain to the study. Focusing on recent research in the last 5 years is a good first step. Additional studies can be identified by reading relevant works referenced in those articles. It is also important to read seminal studies that are more than 5 years old. Reading a range of studies should give the researcher the necessary command of the subject in order to suggest a research question.

Given that the research question(s) arise from the literature review, the review should also substantiate the selected methodological approach. The review and research question(s) guide the researcher in determining how to collect and analyze data. Often the methodological approach used in a study is selected to contribute knowledge that expands upon what has been published previously about the topic (see Institute of Education Sciences and National Science Foundation, 2013 ). An emerging topic of study may need an exploratory approach that allows for a description of the phenomenon and development of a potential theory. This could, but not necessarily, require a methodological approach that uses interviews, observations, surveys, or other instruments. An extensively studied topic may call for the additional understanding of specific factors or variables; this type of study would be well suited to a verification or a causal research design. These could entail a methodological approach that uses valid and reliable instruments, observations, or interviews to determine an effect in the studied event. In either of these examples, the researcher(s) may use a qualitative, quantitative, or mixed methods methodological approach.

Even with a good research question, there is still more reading to be done. The complexity and focus of the research question dictates the depth and breadth of the literature to be examined. Questions that connect multiple topics can require broad literature reviews. For instance, a study that explores the impact of a biology faculty learning community on the inquiry instruction of faculty could have the following review areas: learning communities among biology faculty, inquiry instruction among biology faculty, and inquiry instruction among biology faculty as a result of professional learning. Biology education researchers need to consider whether their literature review requires studies from different disciplines within or outside DBER. For the example given, it would be fruitful to look at research focused on learning communities with faculty in STEM fields or in general education fields that result in instructional change. It is important not to be too narrow or too broad when reading. When the conclusions of articles start to sound similar or no new insights are gained, the researcher likely has a good foundation for a literature review. This level of reading should allow the researcher to demonstrate a mastery in understanding the researched topic, explain the suitability of the proposed research approach, and point to the need for the refined research question(s).

The literature review should include the researcher’s evaluation and critique of the selected studies. A researcher may have a large collection of studies, but not all of the studies will follow standards important in the reporting of empirical work in the social sciences. The American Educational Research Association ( Duran et al. , 2006 ), for example, offers a general discussion about standards for such work: an adequate review of research informing the study, the existence of sound and appropriate data collection and analysis methods, and appropriate conclusions that do not overstep or underexplore the analyzed data. The Institute of Education Sciences and National Science Foundation (2013) also offer Common Guidelines for Education Research and Development that can be used to evaluate collected studies.

Because not all journals adhere to such standards, it is important that a researcher review each study to determine the quality of published research, per the guidelines suggested earlier. In some instances, the research may be fatally flawed. Examples of such flaws include data that do not pertain to the question, a lack of discussion about the data collection, poorly constructed instruments, or an inadequate analysis. These types of errors result in studies that are incomplete, error-laden, or inaccurate and should be excluded from the review. Most studies have limitations, and the author(s) often make them explicit. For instance, there may be an instructor effect, recognized bias in the analysis, or issues with the sample population. Limitations are usually addressed by the research team in some way to ensure a sound and acceptable research process. Occasionally, the limitations associated with the study can be significant and not addressed adequately, which leaves a consequential decision in the hands of the researcher. Providing critiques of studies in the literature review process gives the reader confidence that the researcher has carefully examined relevant work in preparation for the study and, ultimately, the manuscript.

A solid literature review clearly anchors the proposed study in the field and connects the research question(s), the methodological approach, and the discussion. Reviewing extant research leads to research questions that will contribute to what is known in the field. By summarizing what is known, the literature review points to what needs to be known, which in turn guides decisions about methodology. Finally, notable findings of the new study are discussed in reference to those described in the literature review.

Within published BER studies, literature reviews can be placed in different locations in an article. When included in the introductory section of the study, the first few paragraphs of the manuscript set the stage, with the literature review following the opening paragraphs. Cooper et al. (2019) illustrate this approach in their study of course-based undergraduate research experiences (CUREs). An introduction discussing the potential of CURES is followed by an analysis of the existing literature relevant to the design of CUREs that allows for novel student discoveries. Within this review, the authors point out contradictory findings among research on novel student discoveries. This clarifies the need for their study, which is described and highlighted through specific research aims.

A literature reviews can also make up a separate section in a paper. For example, the introduction to Todd et al. (2019) illustrates the need for their research topic by highlighting the potential of learning progressions (LPs) and suggesting that LPs may help mitigate learning loss in genetics. At the end of the introduction, the authors state their specific research questions. The review of literature following this opening section comprises two subsections. One focuses on learning loss in general and examines a variety of studies and meta-analyses from the disciplines of medical education, mathematics, and reading. The second section focuses specifically on LPs in genetics and highlights student learning in the midst of LPs. These separate reviews provide insights into the stated research question.

Suggestions and Advice

A well-conceptualized, comprehensive, and critical literature review reveals the understanding of the topic that the researcher brings to the study. Literature reviews should not be so big that there is no clear area of focus; nor should they be so narrow that no real research question arises. The task for a researcher is to craft an efficient literature review that offers a critical analysis of published work, articulates the need for the study, guides the methodological approach to the topic of study, and provides an adequate foundation for the discussion of the findings.

In our own writing of literature reviews, there are often many drafts. An early draft may seem well suited to the study because the need for and approach to the study are well described. However, as the results of the study are analyzed and findings begin to emerge, the existing literature review may be inadequate and need revision. The need for an expanded discussion about the research area can result in the inclusion of new studies that support the explanation of a potential finding. The literature review may also prove to be too broad. Refocusing on a specific area allows for more contemplation of a finding.

It should be noted that there are different types of literature reviews, and many books and articles have been written about the different ways to embark on these types of reviews. Among these different resources, the following may be helpful in considering how to refine the review process for scholarly journals:

• Booth, A., Sutton, A., & Papaioannou, D. (2016a). Systemic approaches to a successful literature review (2nd ed.). Los Angeles, CA: Sage. This book addresses different types of literature reviews and offers important suggestions pertaining to defining the scope of the literature review and assessing extant studies.
• Booth, W. C., Colomb, G. G., Williams, J. M., Bizup, J., & Fitzgerald, W. T. (2016b). The craft of research (4th ed.). Chicago: University of Chicago Press. This book can help the novice consider how to make the case for an area of study. While this book is not specifically about literature reviews, it offers suggestions about making the case for your study.
• Galvan, J. L., & Galvan, M. C. (2017). Writing literature reviews: A guide for students of the social and behavioral sciences (7th ed.). Routledge. This book offers guidance on writing different types of literature reviews. For the novice researcher, there are useful suggestions for creating coherent literature reviews.

THEORETICAL FRAMEWORKS

Purpose of theoretical frameworks.

As new education researchers may be less familiar with theoretical frameworks than with literature reviews, this discussion begins with an analogy. Envision a biologist, chemist, and physicist examining together the dramatic effect of a fog tsunami over the ocean. A biologist gazing at this phenomenon may be concerned with the effect of fog on various species. A chemist may be interested in the chemical composition of the fog as water vapor condenses around bits of salt. A physicist may be focused on the refraction of light to make fog appear to be “sitting” above the ocean. While observing the same “objective event,” the scientists are operating under different theoretical frameworks that provide a particular perspective or “lens” for the interpretation of the phenomenon. Each of these scientists brings specialized knowledge, experiences, and values to this phenomenon, and these influence the interpretation of the phenomenon. The scientists’ theoretical frameworks influence how they design and carry out their studies and interpret their data.

Within an educational study, a theoretical framework helps to explain a phenomenon through a particular lens and challenges and extends existing knowledge within the limitations of that lens. Theoretical frameworks are explicitly stated by an educational researcher in the paper’s framework, theory, or relevant literature section. The framework shapes the types of questions asked, guides the method by which data are collected and analyzed, and informs the discussion of the results of the study. It also reveals the researcher’s subjectivities, for example, values, social experience, and viewpoint ( Allen, 2017 ). It is essential that a novice researcher learn to explicitly state a theoretical framework, because all research questions are being asked from the researcher’s implicit or explicit assumptions of a phenomenon of interest ( Schwandt, 2000 ).

Selecting Theoretical Frameworks

Theoretical frameworks are one of the most contemplated elements in our work in educational research. In this section, we share three important considerations for new scholars selecting a theoretical framework.

The first step in identifying a theoretical framework involves reflecting on the phenomenon within the study and the assumptions aligned with the phenomenon. The phenomenon involves the studied event. There are many possibilities, for example, student learning, instructional approach, or group organization. A researcher holds assumptions about how the phenomenon will be effected, influenced, changed, or portrayed. It is ultimately the researcher’s assumption(s) about the phenomenon that aligns with a theoretical framework. An example can help illustrate how a researcher’s reflection on the phenomenon and acknowledgment of assumptions can result in the identification of a theoretical framework.

In our example, a biology education researcher may be interested in exploring how students’ learning of difficult biological concepts can be supported by the interactions of group members. The phenomenon of interest is the interactions among the peers, and the researcher assumes that more knowledgeable students are important in supporting the learning of the group. As a result, the researcher may draw on Vygotsky’s (1978) sociocultural theory of learning and development that is focused on the phenomenon of student learning in a social setting. This theory posits the critical nature of interactions among students and between students and teachers in the process of building knowledge. A researcher drawing upon this framework holds the assumption that learning is a dynamic social process involving questions and explanations among students in the classroom and that more knowledgeable peers play an important part in the process of building conceptual knowledge.

It is important to state at this point that there are many different theoretical frameworks. Some frameworks focus on learning and knowing, while other theoretical frameworks focus on equity, empowerment, or discourse. Some frameworks are well articulated, and others are still being refined. For a new researcher, it can be challenging to find a theoretical framework. Two of the best ways to look for theoretical frameworks is through published works that highlight different frameworks.

When a theoretical framework is selected, it should clearly connect to all parts of the study. The framework should augment the study by adding a perspective that provides greater insights into the phenomenon. It should clearly align with the studies described in the literature review. For instance, a framework focused on learning would correspond to research that reported different learning outcomes for similar studies. The methods for data collection and analysis should also correspond to the framework. For instance, a study about instructional interventions could use a theoretical framework concerned with learning and could collect data about the effect of the intervention on what is learned. When the data are analyzed, the theoretical framework should provide added meaning to the findings, and the findings should align with the theoretical framework.

A study by Jensen and Lawson (2011) provides an example of how a theoretical framework connects different parts of the study. They compared undergraduate biology students in heterogeneous and homogeneous groups over the course of a semester. Jensen and Lawson (2011) assumed that learning involved collaboration and more knowledgeable peers, which made Vygotsky’s (1978) theory a good fit for their study. They predicted that students in heterogeneous groups would experience greater improvement in their reasoning abilities and science achievements with much of the learning guided by the more knowledgeable peers.

In the enactment of the study, they collected data about the instruction in traditional and inquiry-oriented classes, while the students worked in homogeneous or heterogeneous groups. To determine the effect of working in groups, the authors also measured students’ reasoning abilities and achievement. Each data-collection and analysis decision connected to understanding the influence of collaborative work.

Their findings highlighted aspects of Vygotsky’s (1978) theory of learning. One finding, for instance, posited that inquiry instruction, as a whole, resulted in reasoning and achievement gains. This links to Vygotsky (1978) , because inquiry instruction involves interactions among group members. A more nuanced finding was that group composition had a conditional effect. Heterogeneous groups performed better with more traditional and didactic instruction, regardless of the reasoning ability of the group members. Homogeneous groups worked better during interaction-rich activities for students with low reasoning ability. The authors attributed the variation to the different types of helping behaviors of students. High-performing students provided the answers, while students with low reasoning ability had to work collectively through the material. In terms of Vygotsky (1978) , this finding provided new insights into the learning context in which productive interactions can occur for students.

Another consideration in the selection and use of a theoretical framework pertains to its orientation to the study. This can result in the theoretical framework prioritizing individuals, institutions, and/or policies ( Anfara and Mertz, 2014 ). Frameworks that connect to individuals, for instance, could contribute to understanding their actions, learning, or knowledge. Institutional frameworks, on the other hand, offer insights into how institutions, organizations, or groups can influence individuals or materials. Policy theories provide ways to understand how national or local policies can dictate an emphasis on outcomes or instructional design. These different types of frameworks highlight different aspects in an educational setting, which influences the design of the study and the collection of data. In addition, these different frameworks offer a way to make sense of the data. Aligning the data collection and analysis with the framework ensures that a study is coherent and can contribute to the field.

New understandings emerge when different theoretical frameworks are used. For instance, Ebert-May et al. (2015) prioritized the individual level within conceptual change theory (see Posner et al. , 1982 ). In this theory, an individual’s knowledge changes when it no longer fits the phenomenon. Ebert-May et al. (2015) designed a professional development program challenging biology postdoctoral scholars’ existing conceptions of teaching. The authors reported that the biology postdoctoral scholars’ teaching practices became more student-centered as they were challenged to explain their instructional decision making. According to the theory, the biology postdoctoral scholars’ dissatisfaction in their descriptions of teaching and learning initiated change in their knowledge and instruction. These results reveal how conceptual change theory can explain the learning of participants and guide the design of professional development programming.

The communities of practice (CoP) theoretical framework ( Lave, 1988 ; Wenger, 1998 ) prioritizes the institutional level , suggesting that learning occurs when individuals learn from and contribute to the communities in which they reside. Grounded in the assumption of community learning, the literature on CoP suggests that, as individuals interact regularly with the other members of their group, they learn about the rules, roles, and goals of the community ( Allee, 2000 ). A study conducted by Gehrke and Kezar (2017) used the CoP framework to understand organizational change by examining the involvement of individual faculty engaged in a cross-institutional CoP focused on changing the instructional practice of faculty at each institution. In the CoP, faculty members were involved in enhancing instructional materials within their department, which aligned with an overarching goal of instituting instruction that embraced active learning. Not surprisingly, Gehrke and Kezar (2017) revealed that faculty who perceived the community culture as important in their work cultivated institutional change. Furthermore, they found that institutional change was sustained when key leaders served as mentors and provided support for faculty, and as faculty themselves developed into leaders. This study reveals the complexity of individual roles in a COP in order to support institutional instructional change.

It is important to explicitly state the theoretical framework used in a study, but elucidating a theoretical framework can be challenging for a new educational researcher. The literature review can help to identify an applicable theoretical framework. Focal areas of the review or central terms often connect to assumptions and assertions associated with the framework that pertain to the phenomenon of interest. Another way to identify a theoretical framework is self-reflection by the researcher on personal beliefs and understandings about the nature of knowledge the researcher brings to the study ( Lysaght, 2011 ). In stating one’s beliefs and understandings related to the study (e.g., students construct their knowledge, instructional materials support learning), an orientation becomes evident that will suggest a particular theoretical framework. Theoretical frameworks are not arbitrary , but purposefully selected.

With experience, a researcher may find expanded roles for theoretical frameworks. Researchers may revise an existing framework that has limited explanatory power, or they may decide there is a need to develop a new theoretical framework. These frameworks can emerge from a current study or the need to explain a phenomenon in a new way. Researchers may also find that multiple theoretical frameworks are necessary to frame and explore a problem, as different frameworks can provide different insights into a problem.

Finally, it is important to recognize that choosing “x” theoretical framework does not necessarily mean a researcher chooses “y” methodology and so on, nor is there a clear-cut, linear process in selecting a theoretical framework for one’s study. In part, the nonlinear process of identifying a theoretical framework is what makes understanding and using theoretical frameworks challenging. For the novice scholar, contemplating and understanding theoretical frameworks is essential. Fortunately, there are articles and books that can help:

• Creswell, J. W. (2018). Research design: Qualitative, quantitative, and mixed methods approaches (5th ed.). Los Angeles, CA: Sage. This book provides an overview of theoretical frameworks in general educational research.
• Ding, L. (2019). Theoretical perspectives of quantitative physics education research. Physical Review Physics Education Research , 15 (2), 020101-1–020101-13. This paper illustrates how a DBER field can use theoretical frameworks.
• Nehm, R. (2019). Biology education research: Building integrative frameworks for teaching and learning about living systems. Disciplinary and Interdisciplinary Science Education Research , 1 , ar15. https://doi.org/10.1186/s43031-019-0017-6 . This paper articulates the need for studies in BER to explicitly state theoretical frameworks and provides examples of potential studies.
• Patton, M. Q. (2015). Qualitative research & evaluation methods: Integrating theory and practice . Sage. This book also provides an overview of theoretical frameworks, but for both research and evaluation.

CONCEPTUAL FRAMEWORKS

Purpose of a conceptual framework.

A conceptual framework is a description of the way a researcher understands the factors and/or variables that are involved in the study and their relationships to one another. The purpose of a conceptual framework is to articulate the concepts under study using relevant literature ( Rocco and Plakhotnik, 2009 ) and to clarify the presumed relationships among those concepts ( Rocco and Plakhotnik, 2009 ; Anfara and Mertz, 2014 ). Conceptual frameworks are different from theoretical frameworks in both their breadth and grounding in established findings. Whereas a theoretical framework articulates the lens through which a researcher views the work, the conceptual framework is often more mechanistic and malleable.

Conceptual frameworks are broader, encompassing both established theories (i.e., theoretical frameworks) and the researchers’ own emergent ideas. Emergent ideas, for example, may be rooted in informal and/or unpublished observations from experience. These emergent ideas would not be considered a “theory” if they are not yet tested, supported by systematically collected evidence, and peer reviewed. However, they do still play an important role in the way researchers approach their studies. The conceptual framework allows authors to clearly describe their emergent ideas so that connections among ideas in the study and the significance of the study are apparent to readers.

Constructing Conceptual Frameworks

Including a conceptual framework in a research study is important, but researchers often opt to include either a conceptual or a theoretical framework. Either may be adequate, but both provide greater insight into the research approach. For instance, a research team plans to test a novel component of an existing theory. In their study, they describe the existing theoretical framework that informs their work and then present their own conceptual framework. Within this conceptual framework, specific topics portray emergent ideas that are related to the theory. Describing both frameworks allows readers to better understand the researchers’ assumptions, orientations, and understanding of concepts being investigated. For example, Connolly et al. (2018) included a conceptual framework that described how they applied a theoretical framework of social cognitive career theory (SCCT) to their study on teaching programs for doctoral students. In their conceptual framework, the authors described SCCT, explained how it applied to the investigation, and drew upon results from previous studies to justify the proposed connections between the theory and their emergent ideas.

In some cases, authors may be able to sufficiently describe their conceptualization of the phenomenon under study in an introduction alone, without a separate conceptual framework section. However, incomplete descriptions of how the researchers conceptualize the components of the study may limit the significance of the study by making the research less intelligible to readers. This is especially problematic when studying topics in which researchers use the same terms for different constructs or different terms for similar and overlapping constructs (e.g., inquiry, teacher beliefs, pedagogical content knowledge, or active learning). Authors must describe their conceptualization of a construct if the research is to be understandable and useful.

There are some key areas to consider regarding the inclusion of a conceptual framework in a study. To begin with, it is important to recognize that conceptual frameworks are constructed by the researchers conducting the study ( Rocco and Plakhotnik, 2009 ; Maxwell, 2012 ). This is different from theoretical frameworks that are often taken from established literature. Researchers should bring together ideas from the literature, but they may be influenced by their own experiences as a student and/or instructor, the shared experiences of others, or thought experiments as they construct a description, model, or representation of their understanding of the phenomenon under study. This is an exercise in intellectual organization and clarity that often considers what is learned, known, and experienced. The conceptual framework makes these constructs explicitly visible to readers, who may have different understandings of the phenomenon based on their prior knowledge and experience. There is no single method to go about this intellectual work.

Reeves et al. (2016) is an example of an article that proposed a conceptual framework about graduate teaching assistant professional development evaluation and research. The authors used existing literature to create a novel framework that filled a gap in current research and practice related to the training of graduate teaching assistants. This conceptual framework can guide the systematic collection of data by other researchers because the framework describes the relationships among various factors that influence teaching and learning. The Reeves et al. (2016) conceptual framework may be modified as additional data are collected and analyzed by other researchers. This is not uncommon, as conceptual frameworks can serve as catalysts for concerted research efforts that systematically explore a phenomenon (e.g., Reynolds et al. , 2012 ; Brownell and Kloser, 2015 ).

Sabel et al. (2017) used a conceptual framework in their exploration of how scaffolds, an external factor, interact with internal factors to support student learning. Their conceptual framework integrated principles from two theoretical frameworks, self-regulated learning and metacognition, to illustrate how the research team conceptualized students’ use of scaffolds in their learning ( Figure 1 ). Sabel et al. (2017) created this model using their interpretations of these two frameworks in the context of their teaching.

Conceptual framework from Sabel et al. (2017) .

A conceptual framework should describe the relationship among components of the investigation ( Anfara and Mertz, 2014 ). These relationships should guide the researcher’s methods of approaching the study ( Miles et al. , 2014 ) and inform both the data to be collected and how those data should be analyzed. Explicitly describing the connections among the ideas allows the researcher to justify the importance of the study and the rigor of the research design. Just as importantly, these frameworks help readers understand why certain components of a system were not explored in the study. This is a challenge in education research, which is rooted in complex environments with many variables that are difficult to control.

For example, Sabel et al. (2017) stated: “Scaffolds, such as enhanced answer keys and reflection questions, can help students and instructors bridge the external and internal factors and support learning” (p. 3). They connected the scaffolds in the study to the three dimensions of metacognition and the eventual transformation of existing ideas into new or revised ideas. Their framework provides a rationale for focusing on how students use two different scaffolds, and not on other factors that may influence a student’s success (self-efficacy, use of active learning, exam format, etc.).

In constructing conceptual frameworks, researchers should address needed areas of study and/or contradictions discovered in literature reviews. By attending to these areas, researchers can strengthen their arguments for the importance of a study. For instance, conceptual frameworks can address how the current study will fill gaps in the research, resolve contradictions in existing literature, or suggest a new area of study. While a literature review describes what is known and not known about the phenomenon, the conceptual framework leverages these gaps in describing the current study ( Maxwell, 2012 ). In the example of Sabel et al. (2017) , the authors indicated there was a gap in the literature regarding how scaffolds engage students in metacognition to promote learning in large classes. Their study helps fill that gap by describing how scaffolds can support students in the three dimensions of metacognition: intelligibility, plausibility, and wide applicability. In another example, Lane (2016) integrated research from science identity, the ethic of care, the sense of belonging, and an expertise model of student success to form a conceptual framework that addressed the critiques of other frameworks. In a more recent example, Sbeglia et al. (2021) illustrated how a conceptual framework influences the methodological choices and inferences in studies by educational researchers.

Sometimes researchers draw upon the conceptual frameworks of other researchers. When a researcher’s conceptual framework closely aligns with an existing framework, the discussion may be brief. For example, Ghee et al. (2016) referred to portions of SCCT as their conceptual framework to explain the significance of their work on students’ self-efficacy and career interests. Because the authors’ conceptualization of this phenomenon aligned with a previously described framework, they briefly mentioned the conceptual framework and provided additional citations that provided more detail for the readers.

Within both the BER and the broader DBER communities, conceptual frameworks have been used to describe different constructs. For example, some researchers have used the term “conceptual framework” to describe students’ conceptual understandings of a biological phenomenon. This is distinct from a researcher’s conceptual framework of the educational phenomenon under investigation, which may also need to be explicitly described in the article. Other studies have presented a research logic model or flowchart of the research design as a conceptual framework. These constructions can be quite valuable in helping readers understand the data-collection and analysis process. However, a model depicting the study design does not serve the same role as a conceptual framework. Researchers need to avoid conflating these constructs by differentiating the researchers’ conceptual framework that guides the study from the research design, when applicable.

Explicitly describing conceptual frameworks is essential in depicting the focus of the study. We have found that being explicit in a conceptual framework means using accepted terminology, referencing prior work, and clearly noting connections between terms. This description can also highlight gaps in the literature or suggest potential contributions to the field of study. A well-elucidated conceptual framework can suggest additional studies that may be warranted. This can also spur other researchers to consider how they would approach the examination of a phenomenon and could result in a revised conceptual framework.

It can be challenging to create conceptual frameworks, but they are important. Below are two resources that could be helpful in constructing and presenting conceptual frameworks in educational research:

• Maxwell, J. A. (2012). Qualitative research design: An interactive approach (3rd ed.). Los Angeles, CA: Sage. Chapter 3 in this book describes how to construct conceptual frameworks.
• Ravitch, S. M., & Riggan, M. (2016). Reason & rigor: How conceptual frameworks guide research . Los Angeles, CA: Sage. This book explains how conceptual frameworks guide the research questions, data collection, data analyses, and interpretation of results.

CONCLUDING THOUGHTS

Literature reviews, theoretical frameworks, and conceptual frameworks are all important in DBER and BER. Robust literature reviews reinforce the importance of a study. Theoretical frameworks connect the study to the base of knowledge in educational theory and specify the researcher’s assumptions. Conceptual frameworks allow researchers to explicitly describe their conceptualization of the relationships among the components of the phenomenon under study. Table 1 provides a general overview of these components in order to assist biology education researchers in thinking about these elements.

It is important to emphasize that these different elements are intertwined. When these elements are aligned and complement one another, the study is coherent, and the study findings contribute to knowledge in the field. When literature reviews, theoretical frameworks, and conceptual frameworks are disconnected from one another, the study suffers. The point of the study is lost, suggested findings are unsupported, or important conclusions are invisible to the researcher. In addition, this misalignment may be costly in terms of time and money.

Conducting a literature review, selecting a theoretical framework, and building a conceptual framework are some of the most difficult elements of a research study. It takes time to understand the relevant research, identify a theoretical framework that provides important insights into the study, and formulate a conceptual framework that organizes the finding. In the research process, there is often a constant back and forth among these elements as the study evolves. With an ongoing refinement of the review of literature, clarification of the theoretical framework, and articulation of a conceptual framework, a sound study can emerge that makes a contribution to the field. This is the goal of BER and education research.

Supplementary Material

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1.1: What is Literature?

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• Heather Ringo & Athena Kashyap
• City College of San Francisco via ASCCC Open Educational Resources Initiative

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Defining Literature

In order for us to study literature with any kind of depth, first we must decide what constitutes literature. While works like William Shakespeare’s Romeo and Juliet and Harper Lee’s To Kill a Mockingbird are almost universally accepted as literature, other works are hotly debated, or included or excluded based on the context. For example, while most consider Toni Morrison’s Beloved literature, others debate whether more recent publications such as David Mitchell’s Cloud Atlas or Rupi Kaur’s Instagram poetry constitute literature. And what about the stories told through tweets, like Jennifer Egan’s “Black Box” ? What about video games, like Skyrim , or memes, like Grumpy Cat?

Students often throw their hands up in the air over such distinctions, arguing literature is subjective. Isn't it up to individual opinion? Anything can be literature, such students argue. At first glance, it could seem such distinctions are, at best, arbitrary. At worst, such definitions function as a means of enforcing cultural erasure.

However, consider a story about Kim Kardashian’s plastic surgery in People Magazine . Can this be considered on the same level of literary achievement as Hamlet ? Most would concede there is a difference in quality between these two texts. A blurb about Kim Kardashian’s latest plastic surgery, most would agree, does not constitute literature. So how can we differentiate between such works?

Literature vs. literature

As illustrated in the somewhat silly example above, one way we can define what constitutes literature is by identifying what is definitely not literature. For our intents and purposes of defining most terms in this textbook, we will use the Oxford English Dictionary ’s definitions. Many professors who teach Literature use the concept of Big L Literature vs. little l literature (Rollison).

While the definition of little l literature is fairly easy to understand and apply, the definition of Big L Literature remains amorphous. What makes a work “artistic”? How do we define “superior” or “lasting”?

Let’s break down some of the defining qualities of literature in a bit more detail, starting with the word “artistic.”

Exercise 1.1.1

Consider the following works of art. Which of these images do you feel is higher quality or more “artistic”? Which is lower-quality or less artistic? Why? Justify your position by analyzing the elements of each artwork.

While there may be some debate, most students usually respond that Friedrich's painting is more artistic. This is due to several composition differences between the two works:

• Artist’s skill: it certainly appears as if the first image was produced by an artist with superior skill
• Fame: for anyone who knows art history, the first image is famous while the other is not
• Lasting quality: the first image has survived the test of time, remaining popular over two hundred years!
• Meaning: the first image likely conjures deeper feelings, themes, or ideas, such as isolation and the primacy of nature. This is why this image has become the face of Romanticism.

But what about the images demonstrate the artists’ superior skills? While the second image appears to be produced with a simple doodle, and quickly composed, the first indicates more complexity, attention-to-detail, and craft. Freidrich leverages different colors, textures, shapes, and symbols to evoke a feeling in the viewer. Skilled artists will use different techniques, like the way they move the paintbrush, the pressure they exert or the direction of the brush. They will use textured paintbrushes for a specific effect, such as the difference between the light fluffy clouds and dark mountain rocks. They will use different color pallets to project, as accurately as possible, the feelings they are trying to evoke. In short, while anyone can paint, true artists leverage many different skills, techniques, and materials to render what is in their imagination into a real-life product.

So how does this relate to our attempts to define literature?

Literature is art, but with words.

While the artist uses different colors, paintbrushes, mediums, canvases, and techniques, the writer uses different genres and literary techniques called literary devices . Just like different types of paint, paintbrushes, and artistic tools, there are literally hundreds of literary devices, but some of the most common are metaphor, simile, personification, and imagery. Genre is the type or style of literature. Each genre has its own conventions. Literary genres include creative nonfiction, fiction, drama, and poetry . Works that are literary tend to masterfully use genre conventions and literary devices to create a world in the mind of the reader. Works that are less literary tend to be for practical and/or entertainment purposes, and the writer dedicates less focused energy towards artfully employing literary devices.

However, just because a work is not as literary as another does not mean it cannot be enjoyed. Just like a stick figure or cartoon character might be perfectly fine if intended for a particular audience or purpose, readers can still enjoy People Magazine even though it is not of the same literary quality as Hamlet .

So, to use an example from earlier:

While some literature falls into clear designations of literature or not literature, most works are open to debate. Given the sometimes difficult task of determining whether a work falls into one camp or the other, it may be more helpful to think of Literature less as a dichotomy than a spectrum, with popular magazines on one end and works like Hamlet and Beloved on the other, and most written works falling somewhere between the two extremes.

The Literary Spectrum

This spectrum can be a helpful way to think about literature because it provides a more open-ended way to discuss writing as art than simply labeling works as literary or not. After viewing the above chart, why do you think popular magazines and a Calculus textbook are considered "less literary"? In terms of popular magazines, they do not fit the definition of literature as "lasting" in the sense that they usually fade from relevancy quickly after publication. Additionally, the authors of such magazines are striving for quick entertainment rather than leaving a meaningful impression on the reader. They tend not to use literary devices, such as metaphor, in a masterful way. On the other end, Shakespeare's Hamlet definitely fits the definition of "lasting," in that it has survived hundreds of years. It is full of literary devices used for rhetorical effect and, one would argue, it touches upon deep themes such as death, the afterlife, murder, vengeance, and love, rather than trifling issues such as a starlet's most recent plastic surgery.

Certainly, works of literature are up for debate: that is the quintessential question literary scholars might ask. What makes certain literary works survive the test of time? What makes a story, poem, or drama "good"? While literary scholars are less interested in proving a certain work is "good" or not -- and more focused on analyzing the ways to illuminate a given work -- it can be helpful for you to consider what kinds of literature you like and why you like it. What about the way it was written causes you to feel the way you do about it?

Who Decides What is Literature?

Now that we have at least somewhat clarified the definition of literature, who decides what works are or are not literature? Historically speaking, kings, queens, publishers, literary critics, professors, colleges, and readers (like you!) have decided which works survive and which works do not.

Aristotle was one of the first writers to attempt to decide what works fall into the category of literature, and what works do not. While Aristotle was most famous for his contributions to science and philosophy, he is also considered one of the first literary critics. A literary critic is a person who studies and analyzes literature. A literary critic produces scholarship called literary criticism . An example of this would be Aristotle’s Poetics , in which he identifies the defining qualities of a “good” Tragedy. Aristotle’s analysis of Tragedy was so influential that it is still used today, over two thousand years later!

When a work is officially decided to constitute literature, it enters something called the Canon. Not to be confused with the large metal tube that shoots bombs popular in the 16th through the 19th centuries (cannon), the Literary Canon is a collection of works that are considered by the powers that be to constitute literature. A work that falls into this designation is called canonical. So, to use an example from Aristotle’s Poetics , Aristotle defined Sophocles’ Oedipus Trilogy as the pinnacle of the Tragic Genre. From there, in part due to Aristotle's influence, Greek society valued Oedipus so much that they kept discussing, reading, referencing, and teaching it. Thus, it became a kind of shining example of the Tragic Canon, one which has lasted thousands of years and continues to be read and lauded to this day. Other tragedies, fairly or not, are often judged on their quality in comparison to Sophocles' works. Wild to think that someone who died thousands of years ago still influences what we consider literature today!

Memes and Video Games: Today's Literature?

All this talk of thousands-of-years-old texts might seem out of touch. A lot of people think "old and boring" and literature are synonymous. Students are often surprised to hear that comic books and video games can arguably be considered literature, too. There are plenty of arguments to be made that comic books, such as Maus by Art Spiegalman (1991) or Fun Home by Alison Bechdel (2006) are literature. Cutting edge literary scholars argue video games like Kentucky Route Zero by Cardboard Computer (2015) can be considered literary. There is also literature that is published in tweets, like Jennifer Egan's "Black Box" (2012). Some might even consider memes literature!

Generative question: do you think memes can be literary?

A meme is an image or video containing cultural values or ideas, often represented through allusion (implied reference to another work, without naming that work or its author). Memes can spread rapidly spreads through social media. Why? Because the best ones are #relatable; that is, they speak to a common human experience.

Usually memes take the form of text superimposed on an image. For example, the meme above conveys the dramatic reaction students sometimes give when I assign an essay. This is done primarily through a literary device called hyperbole , or exaggeration for rhetorical effect. It conveys its message comically through certain conventions that come along with the meme genre, such as the syntactic structure "me, a [insert noun]" and asterisks, which convey action. Just like in the Shakespearean drama, the colon indicates what each character (me and the students, in this case) is saying or doing. My chihuahua's face looks silly and very dramatic. Through this use of image, text, format, and convention, the meaning I intended to convey was that I was making fun of my students for being over-dramatic about what to me seems like a fairly simple assignment. While some might dismiss memes as shallow, when you start to unravel the layers of meaning, they can actually be very complex and even, dare I say, literary!

Think about a recent meme you have seen, or your favorite meme of all time. Imagine explaining this meme to someone who has no idea what it means. What is the message or idea behind the meme? What cultural reference points does it use to convey its message? In what ways might this meme be considered literature? How might this compare to a short poem, like a haiku?

Not Literature

Let's say you come to the conclusion that a meme, a gossip magazine, or the Twilight Series is not literary. Does that mean you have to feel guilty and give up reading it forever? Or that it is not "good"?

Just because a work is not literary does not mean it is "bad," that it does not have value, or that one cannot enjoy it. Indeed, there are plenty of examples of written works that are on the less literary side of the spectrum but are still fun and enriching to read. Joe Dirt i s not on the same artistic level of cinema as Schindler's List , but my husband still loves watching it. Nothing Taylor Swift has produced is as deep as Tupac Shakur's "Changes" (1992) or Mitski's "Last Words of a Shooting Star" (2014), but listening to Taylor Swift is my guilty pleasure. This is all to say that whether a text is literary or not is not as important as the methods of analyzing texts. In fact, texts which were excluded from literature are often argued into the literary canon through such analysis. Part of what makes analyzing literature so fun is that it means the definition of literature is always up for debate! This is especially important given the history of the canon.

The Problem with the Canon

In an ideal world, literature would be celebrated purely based on its artistic merit. Well-written works would last, poorly-written works would wither from public memory. However, that is not always the case. Works often achieve public prominence or survive based on qualities unrelated to skill or aesthetics, such as an author's fame, wealth, connections, or acceptance by the dominant culture. William Wordsworth, for example, was named Poet Laureate of England and has been taught as one of the "Big Six" major Romantic-era authors ever since. Indeed, he is accepted as part of the Romanticism literary canon. One would be hard-pressed to find a Literature anthology that does not feature William Wordsworth . However, how many people have read or heard of Dorothy Wordsworth , William Wordsworth's sister, who arguably depicted Romantic themes with equal skill and beauty? Or James Hogg, a Scottish contemporary of Wordsworth who was a lower-class shepherd? Similarly, while most readers have encountered F. Scott Fitzgerald or Edgar Allen Poe in their high school literature classes, how many have read Frederick Douglass in these same classes? In short, all artistic skill (arguably) considered equal, why do some authors predominantly feature in the Canon while others do not?

Let’s perform an experimental activity.

• Find a piece of paper or a whiteboard. On this piece of paper or whiteboard, write down as many works of literature that you feel constitute “Big L Literature.” Perhaps they are works you read in high school, works which have been made into films, or works you have been taught or told are literary masterworks. Don’t turn the page until you have written them down. Try to think of at least 10, but a larger sample size is better. Once you are finished, continue to the next paragraph.
• Alright, now look at your list. If you know the author of the literary texts you named, write their name next to the work. If you do not know the author, Google the information and write it down. Continue doing this until you have named the author of each work. Once you are finished, read on to the next paragraph.
• Now, as uncomfortable as it seems, label the gender/race/age/presumed sexual orientation of the authors you listed. After you have categorized them to the best of your ability, consider the following questions:
• What percentage of the authors are male?
• What percentage of the authors are white?
• What percentage of the authors are old/dead?
• What patterns do you notice? Why do you think this is?

I have replicated this experiment dozens of times in the classroom, and, in most classes, the vast majority of what students have been taught are “Literary Masterworks” are written by (pardon my colloquialism) dead white males. Although, as time progresses, it seems there is increasing but not proportionate representation on average. For example, while women make up about half of the population, over 80% of the most popular novels were written by men ("Battle"). While there are many possible reasons for this discrepancy in representation (which could be the focus of an entire textbook), what does this mean for scholars of literature? For students? For instructors? For society?

As a cultural relic, similar to art, many scholars suggest literature is a reflection of the society which produces it. This includes positive aspects of society (championing values such as love, justice, and good triumphing over evil), but it can also reflect negative aspects of society (such as discrimination, racism, sexism, homophobia, historical lack of opportunity for marginalized authors).

For example, enslaved Africans were often prevented from learning to read and write as a form of control. When Phillis Wheatley published her book of poetry, Poems on Various Subjects, Religious and Moral (1773) she had to defend the fact that she wrote it, due to popularly held racist views that slaves were incapable of writing poetry. Later, Frederick Douglass wrote about how his enslavers banned him from reading and writing, as they realized "education and slavery were incompatible with each other" (Douglass). He later championed his learning to read and write as the means which conveyed him to freedom. However, even when trying to publish The Narrative of the Life of Frederick Douglass ( 1845) his publishers were forced to prove that it was, in fact, an enslaved person who wrote the story and not a white man who wrote it for him. Slave owners actively attempted to keep this book from circulation as it threatened the institution of slavery upon which they depended. Indeed, to this day, Douglass' book continues to be banned in some prisons for its potential to incite revolution (Darby, Gilroy).

How could Black writers enter the canon en masse if they were not allowed to read or write? Or if they were forced to spend all of their waking hours working? And if those who had the means to read and write had to jump through absurd hoops just to have their works published? And if even those texts which were published were banned?

Similarly, throughout much of Western history, women have been discouraged from pursuing reading and writing, as it distracted from society's expectations for women to focus on motherly and household duties. Until the 1700s, women were not allowed to go to college. Even then, very few went: only the extremely wealthy. It was not until the 19th century that women attended college in representative numbers. Virginia Woolf wrote in A Room of One's Own that if there are fewer works of literature written by women, it is only because society, historically, has not given women the time, education, funding, or space to do so. In this extended essay, she describes an imaginary sister of William Shakespeare who could have been just as great of a writer had she the same opportunities as her brother.

I told you in the course of this paper that Shakespeare had a sister; but do not look for her in Sir Sidney Lee's life of the poet. She died young—alas, she never wrote a word. She lies buried where the omnibuses now stop, opposite the Elephant and Castle. Now my belief is that this poet who never wrote a word and was buried at the cross-roads still lives. She lives in you and in me, and in many other women who are not here tonight, for they are washing up the dishes and putting the children to bed. But she lives; for great poets do not die; they are continuing presences; they need only the opportunity to walk among us in the flesh. This opportunity, as I think, it is now coming within your power to give her.

Woolf argues that in our time those who have been excluded from literature can now join the canon by adding their voices. The inequity of representation in literature -- which has arguably improved, but in many ways persists today -- can be remedied if more people from a wide array of backgrounds and walks of life are empowered to study and create Literature. That is one reason why the current study of literature is so exciting. As a student and budding literary scholar, you have the power to influence culture through your reading and analysis of literature! For one author and scholar's perspective on this topic, please watch this the following TED Talk by Chimamanda Ngozi Adichie to see the ways in which such misrepresentations are harmful, and why it is important to veer away from the historically parochial Canon into what Chinua Achebe calls "a balance of stories" (qtd. Bacon).

• Original video available on TED Talk website
• Transcript of video

What "single stories" do you know? What are the "single stories" people have told about you? What story would you tell if you could? What kinds of stories do you want to read? Throughout this class, you will get the opportunity to encounter many different voices and stories from all over the world. While we faced hurdles of copyright permissions, the authors of this textbook attempted to embody the values espoused in this TED Talk & Chinua Achebe's conception of the "balance of stories." As you read the textbook, consider the stories which were omitted, why they were omitted, and what works of Literature you would include in this class if you could.

Works Cited

Bacon, Katie. "An African Voice." The Atlantic , 2000.

"Battle of the Authors: Are The Most Popular Rated Fiction Books Written by Men or Women?" Wordery , 1 Mar. 2019.

Darby, Luke. "Illinois Prison Bans Frederick Douglass's Memoir and Other "Racial" Books." GQ , 20 August 2019.

Douglass, Frederick. The Narrative of the Life of Frederick Douglass. 1845.

Friedrich, Caspar David. "Wanderer Above the Sea of Fog." Hamburger Kunsthalle Museum , 1818.

Gilroy, Paul. "Banned Books of Guantánamo: 'An American Slave' by Frederick Douglass." Vice , 14 Nov. 2014.

"literature, n.; 3b & 5" OED Online , Oxford University Press, September 2019, www.oed.com/view/Entry/109080. Accessed 6 September 2019.

Rollison, David. "Big L vs Little L Literature." Survey of World Literature I. College of Marin, 2008. Lecture.

Wheatley, Phillis. Poems on Various Subjects, Religious and Moral . 1773.

Woolf, Virginia. A Room of One's Own. 1929.

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Introduction to Literature: What? Why? How?

When is the last time you read a book or a story simply because it interested you? If you were to classify that book, would you call it fiction or literature? This is an interesting separation, with many possible reasons for it. One is that “fiction” and “literature” are regarded as quite different things. “Fiction,” for example, is what people read for enjoyment. “Literature” is what they read for school. Or “fiction” is what living people write and is about the present. “Literature” was written by people (often white males) who have since died and is about times and places that have nothing to do with us. Or “fiction” offers everyday pleasures, but “literature” is to be honored and respected, even though it is boring. Of course, when we put anything on a pedestal, we remove it from everyday life, so the corollary is that literature is to be honored and respected, but it is not to be read, certainly not by any normal person with normal interests.

Sadly, it is the guardians of literature, that is, of the classics, who have done so much to take the life out of literature, to put it on a pedestal and thereby to make it an irrelevant aspect of American life. People study literature because they love literature. They certainly don’t do it for the money. But what happens too often, especially in colleges, is that teachers forget what it was that first interested them in the study of literature. They forget the joy that they first felt (and perhaps still feel) as they read a new novel or a poem or as they reread a work and saw something new in it. Instead, they erect formidable walls around these literary works, giving the impression that the only access to a work is through deep learning and years of study. Such study is clearly important for scholars, but this kind of scholarship is not the only way, or even necessarily the best way, for most people to approach literature. Instead it makes the literature seem inaccessible. It makes the literature seem like the province of scholars. “Oh, you have to be smart to read that,” as though Shakespeare or Dickens or Woolf wrote only for English teachers, not for general readers.

What is Literature?

In short, literature evokes imaginative worlds through the conscious arrangement of words that tell a story. These stories are told through different genres, or types of literature, like novels, short stories, poetry, drama, and the essay. Each genre is associated with certain conventions. In this course, we will study poetry, short fiction, and drama (in the form of movies).

Some Misconceptions about Literature

Of course, there are a number of misconceptions about literature that have to be gotten out of the way before anyone can enjoy it. One misconception is that literature is full of  hidden meanings . There are certainly occasional works that contain hidden meanings. The biblical book of  Revelation , for example, was written in a kind of code, using images that had specific meanings for its early audience but that we can only recover with a great deal of difficulty. Most literary works, however, are not at all like that. Perhaps an analogy will illustrate this point. When I take my car to my mechanic because something is not working properly, he opens the hood and we both stand there looking at the engine. But after we have looked for a few minutes, he is likely to have seen what the problem is, while I could look for hours and never see it. We are looking at the same thing. The problem is not hidden, nor is it in some secret code. It is right there in the open, accessible to anyone who knows how to “read” it, which my mechanic does and I do not. He has been taught how to “read” automobile engines and he has practiced “reading” them. He is a good “close reader,” which is why I continue to take my car to him.

The same thing is true for readers of literature. Generally authors want to communicate with their readers, so they are not likely to hide or disguise what they are saying, but reading literature also requires some training and some practice. Good writers use language very carefully, and readers must learn how to be sensitive to that language, just as the mechanic must learn to be sensitive to the appearances and sounds of the engine. Everything that the writer wants to say, and much that the writer may not be aware of, is there in the words. We simply have to learn how to read them.

Another popular misconception is that a literary work has a  single “meaning”  (and that only English teachers know how to find that meaning). There is an easy way to dispel this misconception. Just go to a college library and find the section that holds books on Shakespeare. Choose one play,  Hamlet , for example, and see how many books there are about it, all by scholars who are educated, perceptive readers. Can it be the case that one of these books is correct and all the others are mistaken? And if the correct one has already been written, why would anyone need to write another book about the play? The answer is this:

Key Takeaways

There is no single correct way to read any piece of literature. 

Again, let me use an analogy to illustrate this point. Suppose that everyone at a meeting were asked to describe a person who was standing in the middle of the room. Imagine how many different descriptions there would be, depending on where the viewer sat in relation to the person. For example, an optometrist in the crowd might focus on the person’s glasses; a hair stylist might focus on the person’s haircut; someone who sells clothing might focus on the style of dress; a podiatrist might focus on the person’s feet. Would any of these descriptions be incorrect? Not necessarily, but they would be determined by the viewers’ perspectives. They might also be determined by such factors as the viewers’ ages, genders, or ability to move around the person being viewed, or by their previous acquaintance with the subject. So whose descriptions would be correct? Conceivably all of them, and if we put all of these correct descriptions together, we would be closer to having a full description of the person.

This is most emphatically NOT to say, however, that all descriptions are correct simply because each person is entitled to his or her opinion

If the podiatrist is of the opinion that the person is five feet, nine inches tall, the podiatrist could be mistaken. And even if the podiatrist actually measures the person, the measurement could be mistaken. Everyone who describes this person, therefore, must offer not only an opinion but also a basis for that opinion. “My feeling is that this person is a teacher” is not enough. “My feeling is that this person is a teacher because the person’s clothing is covered with chalk dust and because the person is carrying a stack of papers that look like they need grading” is far better, though even that statement might be mistaken.

So it is with literature. As we read, as we try to understand and interpret, we must deal with the text that is in front of us ; but we must also recognize (1) that language is slippery and (2) that each of us individually deals with it from a different set of perspectives. Not all of these perspectives are necessarily legitimate, and it is always possible that we might misread or misinterpret what we see. Furthermore, it is possible that contradictory readings of a single work will both be legitimate, because literary works can be as complex and multi-faceted as human beings. It is vital, therefore, that in reading literature we abandon both the idea that any individual’s reading of a work is the “correct” one and the idea that there is one simple way to read any work. Our interpretations may, and probably should, change according to the way we approach the work. If we read The Chronicles of Narnia as teenagers, then in middle age, and then in old age, we might be said to have read three different books. Thus, multiple interpretations, even contradictory interpretations, can work together to give us a fuller and possibly more interesting understanding of a work.

Why Reading Literature is Important

Reading literature can teach us new ways to read, think, imagine, feel, and make sense of our own experiences. Literature forces readers to confront the complexities of the world, to confront what it means to be a human being in this difficult and uncertain world, to confront other people who may be unlike them, and ultimately to confront themselves.

The relationship between the reader and the world of a work of literature is complex and fascinating. Frequently when we read a work, we become so involved in it that we may feel that we have become part of it. “I was really into that movie,” we might say, and in one sense that statement can be accurate. But in another sense it is clearly inaccurate, for actually we do not enter the movie or the story as IT enters US; the words enter our eyes in the form of squiggles on a page which are transformed into words, sentences, paragraphs, and meaningful concepts in our brains, in our imaginations, where scenes and characters are given “a local habitation and a name.” Thus, when we “get into” a book, we are actually “getting into” our own mental conceptions that have been produced by the book, which, incidentally, explains why so often readers are dissatisfied with cinematic or television adaptations of literary works.

In fact, though it may seem a trite thing to say, writers are close observers of the world who are capable of communicating their visions, and the more perspectives we have to draw on, the better able we should be to make sense of our lives. In these terms, it makes no difference whether we are reading a Homeric epic poem like The Odysse y, a twelfth-century Japanese novel like  The Tale of Genji , or a Victorian novel by Dickens, or even, in a sense, watching someone’s TikTok video (a video or movie is also a kind of text that can be “read” or analyzed for multiple meanings). The more different perspectives we get, the better. And it must be emphasized that we read such works not only to be well-rounded (whatever that means) or to be “educated” or for antiquarian interest. We read them because they have something to do with us, with our lives. Whatever culture produced them, whatever the gender or race or religion of their authors, they relate to us as human beings; and all of us can use as many insights into being human as we can get. Reading is itself a kind of experience, and while we may not have the time or the opportunity or  or physical possibility  to experience certain things in the world, we can experience them through reading. So literature allows us to broaden our experiences.

Reading also forces us to focus our thoughts. The world around us is so full of stimuli that we are easily distracted. Unless we are involved in a crisis that demands our full attention, we flit from subject to subject. But when we read a book, even a book that has a large number of characters and covers many years, the story and the writing help us to focus, to think about what they show us in a concentrated manner. When I hold a book, I often feel that I have in my hand another world that I can enter and that will help me to understand the everyday world that I inhabit.

Literature invites us to  meet interesting characters and to visit interesting places, to use our imagination and to think about things that might otherwise escape our notice, to see the world from perspectives that we would otherwise not have.

Watch this video for a discussion of why reading fiction matters.

How to Read Literature: The Basics

• Read with a pen in hand! Yes, even if you’re reading an electronic text, in which case you may want to open a new document in which you can take notes. Jot down questions, highlight things you find significant, mark confusing passages, look up unfamiliar words/references, and record first impressions.
• Think critically to form a response. Here are some things to be aware of and look for in the story that may help you form an idea of meaning.
• Repetitions . You probably know from watching movies that if something is repeated, that means something. Stories are similar—if something occurs more than once, the story is calling attention to it, so notice it and consider why it is repeated. The repeated element can be a word or a phrase, an action, even a piece of clothing or gear.
• Not Quite Right : If something that happens that seems Not Quite Right to you, that may also have some particular meaning. So, for example, if a violent act is committed against someone who’s done nothing wrong, that is unusual, unexpected, that is, Not Quite Right. And therefore, that act means something.
• Address your own biases and compare your own experiences with those expressed in the piece.
• Test your positions and thoughts about the piece with what others think (we’ll do some of this in class discussions).

While you will have your own individual connection to a piece based on your life experiences, interpreting literature is not a willy-nilly process. Each piece of writing has purpose, usually more than one purpose–you, as the reader, are meant to uncover purpose in the text. As the speaker notes in  the video you watched about how to read literature, you, as a reader, also have a role to play. Sometimes you may see something in the text that speaks to you; whether or not the author intended that piece to be there, it still matters to you.

For example, I’ve had a student who had life experiences that she was reminded of when reading “Chonguita, the Monkey Bride” and another student whose experience was mirrored in part of “The Frog King or Iron Heinrich.” I encourage you to honor these perceptions if they occur to you and possibly even to use them in your writing assignments. I can suggest ways to do this if you’re interested.

But remember that when we write about literature, our observations must also be supported by the text itself. Make sure you aren’t reading into the text something that isn’t there. Value the text for what is and appreciate the experience it provides, all while you attempt to create a connection with your experiences.

Attributions:

• Content written by Dr. Karen Palmer and licensed  CC BY NC SA .
• Content adapted from  Literature, the Humanities, and Humanity  by Theodore L. Steinberg and licensed under a  Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License.

The Worry Free Writer  by Dr. Karen Palmer is licensed under a  Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

Introduction to Literature Copyright © by Judy Young is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Literary Studies

Literary Studies is the study of written works of the imagination, of which poetry, drama and narrative fiction constitute today the most familiar types or genres. Most students and teachers of literature, however, see it as a more complex matter. It might be more accurate to describe it as a set of methods for examining the richness and diversity of experience through unusual uses of language, through a language that we recognize as different from everyday language and that thereby aspires to produce a reflection of and on the world not available to us otherwise. As such, literary works are also primary documents for investigating national histories, world events, the individual psyche, race, class, gender, science, economics, religion, the natural world, leisure and the other arts. Because literary studies engages with countless other disciplines, it is among the most interdisciplinary of any field of study.

Gloria Allaire, Medieval and Renaissance manuscripts; chivalric literature; Arthurian romances in Italian reworkings

Molly T. Blasing , 9th-21st century Russian poetry; photography and poetic writing; lyric theory; the Russian short story; madness in Russian literature and culture

Jianjun He , Early Chinese intellectual history; Classical Chinese poetry and late-imperial vernacular fiction

Julie Human, Medieval French romance, Arthurian literature

Harald Höbusch, Literature and Politics (Thomas Mann, Literature of the Weimar Republic), Expedition Literature, Youth Literature

Liang Luo, Chinese literature and culture, Sino-Japanese literary and cultural interactions, East Asian performance literature and popular culture

Milena Minkova,  Latin tradition in its continuity and globality; Medieval Latin and Neo-Latin; Latin Composition; Latin Pedagogy and Active Latin

Jeffrey Peters , Early Modern French Literature and Culture; Philosophies of Space; Masculinity and Rhetoric

Leon Sachs , History and culture of education, literary education, French republicanism, representations of war, science and literature, ecocriticism

Douglas Slaymaker , Film; Visual Arts; 20th-Century Japanese Fiction; Japanese Experience of France; Travel and Travel Writing

Jennifer Tunberg, Neo-Latin Fiction

Ghadir Zannoun , Modern Arabic Literature; Arab Women Writers; Nationalism in Modern Arabic Literature

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Why Study Literature?

05.15.2023 • 5 min read

Learn about the value and benefits of studying literature: how it develops our skills as well as shapes our understanding of the society we live in.

What Is Literature?

The benefits of studying literature.

Literature & Outlier.org

Many libraries in the U.S. are under attack.

From small towns to big cities, it’s more common to see protests outside of libraries. Libraries are under the microscope and being scrutinized for what content they have on their shelves.

Some people see certain books as a threat to society. While others believe everyone has a right to access any information they wish. The fact is literature is so powerful some people see it as dangerous and want to choose what the public has a right to read.

This is not the first time in history that people have tried to censor literature for what it says. So what really is literature and why is it so powerful?

In this article, we’ll define literature, talk about the history of literature, and the benefits of studying literature in college.

Literature is an art form that uses language to create imaginative experiences. It includes poetry, drama, fiction, and nonfiction.

Literature communicates ideas and emotions.It entertains, educates, and inspires readers. Literature explores complex themes and is an important part of human culture.

From its original Latin derivative, "writing formed with letters," to its current definition, a "body of written works," our understanding of literature has evolved.

Literature explains society and culture. It both criticizes and affirms cultural values based on the writer’s perceptions. It expresses and explores the human condition. It looks back to the past and onward toward the future.

As literature represents the culture and history of a language or people, the study of literature has great value. To study literature means looking deeply into a large body of written work and examining it as an art form.

Of course, there are many different literary genres, or types of literature. At a liberal arts school , a literature program, a student would study these genres extensively and understand the historical and cultural context they represent.

Literary Fiction vs. Genre Fiction

Students in a college literature program examine many forms of literature, including:

Some definitions of literature separate fiction into 2 categories: literary fiction and genre fiction. Genre fiction consists of more popular literature read for entertainment. Some examples of genre fiction include crime, fantasy, and science fiction stories.

Literary fiction explores themes of the human condition. These stories cannot be further categorized and are read primarily for a philosophical search for the meaning of life. Examples of literary fiction include The Great Gatsby by F. Scott Fitzgerald and Beloved by Toni Morrison.

You can discover more distinctions by studying literature in depth.

1. Literature Develops Communication Skills

The foundation of literature is the English Language. By reading literature, you can improve your knowledge of language: vocabulary, grammar, sentence structure, content creation, and more. When you immerse yourself in William Shakespeare, Celeste Ng, or Chinua Achebe, you're absorbing new words, expressions, and ideas—without even realizing it.

You can use everything you learn to improve your own writing and communication skills . You will use these skills beyond high school and college. In our everyday lives, we navigate personal relationships, craft emails, present projects, collaborate with teammates, analyze data, and more.

Yuval Noah Harari has written much of his own literature on the history and success of the human race. In his book Sapiens, he emphasizes our ability to craft stories as one of our most valuable skills: " Fiction has enabled us not merely to imagine things, but to do so collectively.” Through these collective stories, we learn about the human experience, both in smaller interpersonal ways and on a larger, more global scale.

2. Literature Teaches Us About the Human Condition

Literature helps us reflect on the human experience, teaching us about who we are and the world we live in. It presents a range of emotions, from love to anger to grief to happiness. It gives us insight and context about societal norms and cultural traditions.

It explores our history and our present; it imagines our futures. It introduces us to new ways of thinking and living, compelling us to think critically and creatively about our own experiences.

Through literature, we see we're not alone in our thoughts and feelings. The characters we read about have already experienced similar difficulties and worked to solve or change them, giving us the blueprint to do the same.

Jane Austen's Pride and Prejudice goes beyond social commentary to explore the complexities of familial relationships, romantic relationships, and friendships. Mr. Darcy insults Elizabeth Bennet without meaning to, Elizabeth Bennet makes harsh judgments without knowing all the facts, and Mrs. Bennet worries about her daughter's future constantly. We can see ourselves in them.

3. Literature Teaches Us About Empathy

When we connect with literature's characters and narratives, we learn how to empathize with others. While we’re not physically experiencing the raging seas in Virginia Woolf's To the Lighthouse or the loss of a loved one in William Shakespeare's Romeo and Juliet, we are swept up in the story and the emotion. This helps us develop empathy and emotional intelligence.

In a 2006 study , professors at the University of Toronto concluded a lifetime exposure to literary fiction positively correlated with advanced social ability. In 2020, the Harvard Business Review encouraged business students to read literary works to enhance their abilities to keep an open mind, process information, and make effective decisions.

4. Literature Helps Us Explore New Ideas

With words, and not actions, authors create spaces where we can explore new ideas, new structures, new concepts, and new products. When the only limit is your imagination, anything is possible in creative writing.

We can dive into the past to understand British society at the turn of the 19th century in Austen's Pride and Prejudice or jump into potential futures through Harari's Homo Deus. We can consider alternative futures like that in George Orwell's 1984 or conduct experiments in Robert Louis Stevenson's The Strange Case of Dr. Jekyll and Mr. Hyde.

We don't encounter monsters or humanoid robots in our everyday lives (at least we hope not!). But when we explore them through literature, we’re equipped to consider, challenge, and analyze concepts we don't yet know or understand. This practice opens our minds and allows us to be more flexible when we face the new and unknown. These critical thinking skills enable us to process information easier.

5. Literature Changes the Way We Think

With everything we learn from literature and the skills it helps us develop, literature changes the way we think, work, and act.

When we can think more critically, we arrive at different conclusions. When we open our minds and empathize with others, we better accept and tolerate differences. When we can articulate and communicate effectively, we work better together to achieve and succeed.

Whether English literature or Russian literature or French literature, literature is the key to understanding ourselves and society.

Literature and Outlier.org

Looking to study literature and develop your own writing skills? Outlier.org’s cutting-edge College Writing course is a great place to start. Through interviews with celebrated writers and writing secrets from instructor John Kaag, you'll learn how to use words to express yourself and communicate more effectively.

The course explores:

How to level up your love letters

What writing and magic have in common

How to write better professional emails using The Princess Bride

How to get your writing published

How to create the perfect short sentence

Outlier courses are 100% online, so you can learn at your own pace from the comfort of your own home. At $149 per credit, you’ll save 50% compared to other college courses, all while earning transferable credits from the top-ranked University of Pittsburgh. If you decide to continue your education in literature, you can take the credit with you to the degree program of your choice.

It’s no doubt studying literature will give you a well-rounded education. It is through literature that societies have grown and developed—inspiring change throughout the world. Choosing to study literature will not only give you a glimpse into the past but help you articulate the present and inspire change in the future. By studying literature you will have the power to connect with others and truly touch their hearts and minds.

About the Author

Bob Patterson is a former Director of Admissions at Stanford University, UNC Chapel Hill, and UC Berkeley; Daisy Hill is the co-author of Uni in the USA…and beyond published by the Good Schools Guide 2019. Together, they have established MyGuidED, a new educational tool for students looking to apply to university (launching 2023).

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Open Access

Peer-reviewed

Research Article

Functional connectivity changes in the brain of adolescents with internet addiction: A systematic literature review of imaging studies

Roles Conceptualization, Data curation, Formal analysis, Investigation, Methodology, Project administration, Software, Validation, Visualization, Writing – original draft, Writing – review & editing

Affiliation Child and Adolescent Mental Health, Department of Brain Sciences, Great Ormond Street Institute of Child Health, University College London, London, United Kingdom

Roles Conceptualization, Supervision, Validation, Writing – review & editing

* E-mail: [email protected]

Affiliation Behavioural Brain Sciences Unit, Population Policy Practice Programme, Great Ormond Street Institute of Child Health, University College London, London, United Kingdom

• Max L. Y. Chang, 
• Irene O. Lee

• Published: June 4, 2024
• https://doi.org/10.1371/journal.pmen.0000022
• Peer Review
• Reader Comments

Internet usage has seen a stark global rise over the last few decades, particularly among adolescents and young people, who have also been diagnosed increasingly with internet addiction (IA). IA impacts several neural networks that influence an adolescent’s behaviour and development. This article issued a literature review on the resting-state and task-based functional magnetic resonance imaging (fMRI) studies to inspect the consequences of IA on the functional connectivity (FC) in the adolescent brain and its subsequent effects on their behaviour and development. A systematic search was conducted from two databases, PubMed and PsycINFO, to select eligible articles according to the inclusion and exclusion criteria. Eligibility criteria was especially stringent regarding the adolescent age range (10–19) and formal diagnosis of IA. Bias and quality of individual studies were evaluated. The fMRI results from 12 articles demonstrated that the effects of IA were seen throughout multiple neural networks: a mix of increases/decreases in FC in the default mode network; an overall decrease in FC in the executive control network; and no clear increase or decrease in FC within the salience network and reward pathway. The FC changes led to addictive behaviour and tendencies in adolescents. The subsequent behavioural changes are associated with the mechanisms relating to the areas of cognitive control, reward valuation, motor coordination, and the developing adolescent brain. Our results presented the FC alterations in numerous brain regions of adolescents with IA leading to the behavioural and developmental changes. Research on this topic had a low frequency with adolescent samples and were primarily produced in Asian countries. Future research studies of comparing results from Western adolescent samples provide more insight on therapeutic intervention.

Citation: Chang MLY, Lee IO (2024) Functional connectivity changes in the brain of adolescents with internet addiction: A systematic literature review of imaging studies. PLOS Ment Health 1(1): e0000022. https://doi.org/10.1371/journal.pmen.0000022

Editor: Kizito Omona, Uganda Martyrs University, UGANDA

Received: December 29, 2023; Accepted: March 18, 2024; Published: June 4, 2024

Copyright: © 2024 Chang, Lee. This is an open access article distributed under the terms of the Creative Commons Attribution License , which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.

Data Availability: All relevant data are within the paper and its Supporting information files.

Funding: The authors received no specific funding for this work.

Competing interests: The authors have declared that no competing interests exist.

Introduction

The behavioural addiction brought on by excessive internet use has become a rising source of concern [ 1 ] since the last decade. According to clinical studies, individuals with Internet Addiction (IA) or Internet Gaming Disorder (IGD) may have a range of biopsychosocial effects and is classified as an impulse-control disorder owing to its resemblance to pathological gambling and substance addiction [ 2 , 3 ]. IA has been defined by researchers as a person’s inability to resist the urge to use the internet, which has negative effects on their psychological well-being as well as their social, academic, and professional lives [ 4 ]. The symptoms can have serious physical and interpersonal repercussions and are linked to mood modification, salience, tolerance, impulsivity, and conflict [ 5 ]. In severe circumstances, people may experience severe pain in their bodies or health issues like carpal tunnel syndrome, dry eyes, irregular eating and disrupted sleep [ 6 ]. Additionally, IA is significantly linked to comorbidities with other psychiatric disorders [ 7 ].

Stevens et al (2021) reviewed 53 studies including 17 countries and reported the global prevalence of IA was 3.05% [ 8 ]. Asian countries had a higher prevalence (5.1%) than European countries (2.7%) [ 8 ]. Strikingly, adolescents and young adults had a global IGD prevalence rate of 9.9% which matches previous literature that reported historically higher prevalence among adolescent populations compared to adults [ 8 , 9 ]. Over 80% of adolescent population in the UK, the USA, and Asia have direct access to the internet [ 10 ]. Children and adolescents frequently spend more time on media (possibly 7 hours and 22 minutes per day) than at school or sleeping [ 11 ]. Developing nations have also shown a sharp rise in teenage internet usage despite having lower internet penetration rates [ 10 ]. Concerns regarding the possible harms that overt internet use could do to adolescents and their development have arisen because of this surge, especially the significant impacts by the COVID-19 pandemic [ 12 ]. The growing prevalence and neurocognitive consequences of IA among adolescents makes this population a vital area of study [ 13 ].

Adolescence is a crucial developmental stage during which people go through significant changes in their biology, cognition, and personalities [ 14 ]. Adolescents’ emotional-behavioural functioning is hyperactivated, which creates risk of psychopathological vulnerability [ 15 ]. In accordance with clinical study results [ 16 ], this emotional hyperactivity is supported by a high level of neuronal plasticity. This plasticity enables teenagers to adapt to the numerous physical and emotional changes that occur during puberty as well as develop communication techniques and gain independence [ 16 ]. However, the strong neuronal plasticity is also associated with risk-taking and sensation seeking [ 17 ] which may lead to IA.

Despite the fact that the precise neuronal mechanisms underlying IA are still largely unclear, functional magnetic resonance imaging (fMRI) method has been used by scientists as an important framework to examine the neuropathological changes occurring in IA, particularly in the form of functional connectivity (FC) [ 18 ]. fMRI research study has shown that IA alters both the functional and structural makeup of the brain [ 3 ].

We hypothesise that IA has widespread neurological alteration effects rather than being limited to a few specific brain regions. Further hypothesis holds that according to these alterations of FC between the brain regions or certain neural networks, adolescents with IA would experience behavioural changes. An investigation of these domains could be useful for creating better procedures and standards as well as minimising the negative effects of overt internet use. This literature review aims to summarise and analyse the evidence of various imaging studies that have investigated the effects of IA on the FC in adolescents. This will be addressed through two research questions:

• How does internet addiction affect the functional connectivity in the adolescent brain?
• How is adolescent behaviour and development impacted by functional connectivity changes due to internet addiction?

The review protocol was conducted in line with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) guidelines (see S1 Checklist ).

Search strategy and selection process

A systematic search was conducted up until April 2023 from two sources of database, PubMed and PsycINFO, using a range of terms relevant to the title and research questions (see full list of search terms in S1 Appendix ). All the searched articles can be accessed in the S1 Data . The eligible articles were selected according to the inclusion and exclusion criteria. Inclusion criteria used for the present review were: (i) participants in the studies with clinical diagnosis of IA; (ii) participants between the ages of 10 and 19; (iii) imaging research investigations; (iv) works published between January 2013 and April 2023; (v) written in English language; (vi) peer-reviewed papers and (vii) full text. The numbers of articles excluded due to not meeting the inclusion criteria are shown in Fig 1 . Each study’s title and abstract were screened for eligibility.

• PPT PowerPoint slide
• PNG larger image
• TIFF original image

https://doi.org/10.1371/journal.pmen.0000022.g001

Quality appraisal

Full texts of all potentially relevant studies were then retrieved and further appraised for eligibility. Furthermore, articles were critically appraised based on the GRADE (Grading of Recommendations, Assessment, Development, and Evaluations) framework to evaluate the individual study for both quality and bias. The subsequent quality levels were then appraised to each article and listed as either low, moderate, or high.

Data collection process

Data that satisfied the inclusion requirements was entered into an excel sheet for data extraction and further selection. An article’s author, publication year, country, age range, participant sample size, sex, area of interest, measures, outcome and article quality were all included in the data extraction spreadsheet. Studies looking at FC, for instance, were grouped, while studies looking at FC in specific area were further divided into sub-groups.

Data synthesis and analysis

Articles were classified according to their location in the brain as well as the network or pathway they were a part of to create a coherent narrative between the selected studies. Conclusions concerning various research trends relevant to particular groupings were drawn from these groupings and subgroupings. To maintain the offered information in a prominent manner, these assertions were entered into the data extraction excel spreadsheet.

With the search performed on the selected databases, 238 articles in total were identified (see Fig 1 ). 15 duplicated articles were eliminated, and another 6 items were removed for various other reasons. Title and abstract screening eliminated 184 articles because they were not in English (number of article, n, = 7), did not include imaging components (n = 47), had adult participants (n = 53), did not have a clinical diagnosis of IA (n = 19), did not address FC in the brain (n = 20), and were published outside the desired timeframe (n = 38). A further 21 papers were eliminated for failing to meet inclusion requirements after the remaining 33 articles underwent full-text eligibility screening. A total of 12 papers were deemed eligible for this review analysis.

Characteristics of the included studies, as depicted in the data extraction sheet in Table 1 provide information of the author(s), publication year, sample size, study location, age range, gender, area of interest, outcome, measures used and quality appraisal. Most of the studies in this review utilised resting state functional magnetic resonance imaging techniques (n = 7), with several studies demonstrating task-based fMRI procedures (n = 3), and the remaining studies utilising whole-brain imaging measures (n = 2). The studies were all conducted in Asiatic countries, specifically coming from China (8), Korea (3), and Indonesia (1). Sample sizes ranged from 12 to 31 participants with most of the imaging studies having comparable sample sizes. Majority of the studies included a mix of male and female participants (n = 8) with several studies having a male only participant pool (n = 3). All except one of the mixed gender studies had a majority male participant pool. One study did not disclose their data on the gender demographics of their experiment. Study years ranged from 2013–2022, with 2 studies in 2013, 3 studies in 2014, 3 studies in 2015, 1 study in 2017, 1 study in 2020, 1 study in 2021, and 1 study in 2022.

https://doi.org/10.1371/journal.pmen.0000022.t001

(1) How does internet addiction affect the functional connectivity in the adolescent brain?

The included studies were organised according to the brain region or network that they were observing. The specific networks affected by IA were the default mode network, executive control system, salience network and reward pathway. These networks are vital components of adolescent behaviour and development [ 31 ]. The studies in each section were then grouped into subsections according to their specific brain regions within their network.

Default mode network (DMN)/reward network.

Out of the 12 studies, 3 have specifically studied the default mode network (DMN), and 3 observed whole-brain FC that partially included components of the DMN. The effect of IA on the various centres of the DMN was not unilaterally the same. The findings illustrate a complex mix of increases and decreases in FC depending on the specific region in the DMN (see Table 2 and Fig 2 ). The alteration of FC in posterior cingulate cortex (PCC) in the DMN was the most frequently reported area in adolescents with IA, which involved in attentional processes [ 32 ], but Lee et al. (2020) additionally found alterations of FC in other brain regions, such as anterior insula cortex, a node in the DMN that controls the integration of motivational and cognitive processes [ 20 ].

https://doi.org/10.1371/journal.pmen.0000022.g002

The overall changes of functional connectivity in the brain network including default mode network (DMN), executive control network (ECN), salience network (SN) and reward network. IA = Internet Addiction, FC = Functional Connectivity.

https://doi.org/10.1371/journal.pmen.0000022.t002

Ding et al. (2013) revealed altered FC in the cerebellum, the middle temporal gyrus, and the medial prefrontal cortex (mPFC) [ 22 ]. They found that the bilateral inferior parietal lobule, left superior parietal lobule, and right inferior temporal gyrus had decreased FC, while the bilateral posterior lobe of the cerebellum and the medial temporal gyrus had increased FC [ 22 ]. The right middle temporal gyrus was found to have 111 cluster voxels (t = 3.52, p<0.05) and the right inferior parietal lobule was found to have 324 cluster voxels (t = -4.07, p<0.05) with an extent threshold of 54 voxels (figures above this threshold are deemed significant) [ 22 ]. Additionally, there was a negative correlation, with 95 cluster voxels (p<0.05) between the FC of the left superior parietal lobule and the PCC with the Chen Internet Addiction Scores (CIAS) which are used to determine the severity of IA [ 22 ]. On the other hand, in regions of the reward system, connection with the PCC was positively connected with CIAS scores [ 22 ]. The most significant was the right praecuneus with 219 cluster voxels (p<0.05) [ 22 ]. Wang et al. (2017) also discovered that adolescents with IA had 33% less FC in the left inferior parietal lobule and 20% less FC in the dorsal mPFC [ 24 ]. A potential connection between the effects of substance use and overt internet use is revealed by the generally decreased FC in these areas of the DMN of teenagers with drug addiction and IA [ 35 ].

The putamen was one of the main regions of reduced FC in adolescents with IA [ 19 ]. The putamen and the insula-operculum demonstrated significant group differences regarding functional connectivity with a cluster size of 251 and an extent threshold of 250 (Z = 3.40, p<0.05) [ 19 ]. The molecular mechanisms behind addiction disorders have been intimately connected to decreased striatal dopaminergic function [ 19 ], making this function crucial.

Executive Control Network (ECN).

5 studies out of 12 have specifically viewed parts of the executive control network (ECN) and 3 studies observed whole-brain FC. The effects of IA on the ECN’s constituent parts were consistent across all the studies examined for this analysis (see Table 2 and Fig 3 ). The results showed a notable decline in all the ECN’s major centres. Li et al. (2014) used fMRI imaging and a behavioural task to study response inhibition in adolescents with IA [ 25 ] and found decreased activation at the striatum and frontal gyrus, particularly a reduction in FC at inferior frontal gyrus, in the IA group compared to controls [ 25 ]. The inferior frontal gyrus showed a reduction in FC in comparison to the controls with a cluster size of 71 (t = 4.18, p<0.05) [ 25 ]. In addition, the frontal-basal ganglia pathways in the adolescents with IA showed little effective connection between areas and increased degrees of response inhibition [ 25 ].

https://doi.org/10.1371/journal.pmen.0000022.g003

Lin et al. (2015) found that adolescents with IA demonstrated disrupted corticostriatal FC compared to controls [ 33 ]. The corticostriatal circuitry experienced decreased connectivity with the caudate, bilateral anterior cingulate cortex (ACC), as well as the striatum and frontal gyrus [ 33 ]. The inferior ventral striatum showed significantly reduced FC with the subcallosal ACC and caudate head with cluster size of 101 (t = -4.64, p<0.05) [ 33 ]. Decreased FC in the caudate implies dysfunction of the corticostriatal-limbic circuitry involved in cognitive and emotional control [ 36 ]. The decrease in FC in both the striatum and frontal gyrus is related to inhibitory control, a common deficit seen with disruptions with the ECN [ 33 ].

The dorsolateral prefrontal cortex (DLPFC), ACC, and right supplementary motor area (SMA) of the prefrontal cortex were all found to have significantly decreased grey matter volume [ 29 ]. In addition, the DLPFC, insula, temporal cortices, as well as significant subcortical regions like the striatum and thalamus, showed decreased FC [ 29 ]. According to Tremblay (2009), the striatum plays a significant role in the processing of rewards, decision-making, and motivation [ 37 ]. Chen et al. (2020) reported that the IA group demonstrated increased impulsivity as well as decreased reaction inhibition using a Stroop colour-word task [ 26 ]. Furthermore, Chen et al. (2020) observed that the left DLPFC and dorsal striatum experienced a negative connection efficiency value, specifically demonstrating that the dorsal striatum activity suppressed the left DLPFC [ 27 ].

Salience network (SN).

Out of the 12 chosen studies, 3 studies specifically looked at the salience network (SN) and 3 studies have observed whole-brain FC. Relative to the DMN and ECN, the findings on the SN were slightly sparser. Despite this, adolescents with IA demonstrated a moderate decrease in FC, as well as other measures like fibre connectivity and cognitive control, when compared to healthy control (see Table 2 and Fig 4 ).

https://doi.org/10.1371/journal.pmen.0000022.g004

Xing et al. (2014) used both dorsal anterior cingulate cortex (dACC) and insula to test FC changes in the SN of adolescents with IA and found decreased structural connectivity in the SN as well as decreased fractional anisotropy (FA) that correlated to behaviour performance in the Stroop colour word-task [ 21 ]. They examined the dACC and insula to determine whether the SN’s disrupted connectivity may be linked to the SN’s disruption of regulation, which would explain the impaired cognitive control seen in adolescents with IA. However, researchers did not find significant FC differences in the SN when compared to the controls [ 21 ]. These results provided evidence for the structural changes in the interconnectivity within SN in adolescents with IA.

Wang et al. (2017) investigated network interactions between the DMN, ECN, SN and reward pathway in IA subjects [ 24 ] (see Fig 5 ), and found 40% reduction of FC between the DMN and specific regions of the SN, such as the insula, in comparison to the controls (p = 0.008) [ 24 ]. The anterior insula and dACC are two areas that are impacted by this altered FC [ 24 ]. This finding supports the idea that IA has similar neurobiological abnormalities with other addictive illnesses, which is in line with a study that discovered disruptive changes in the SN and DMN’s interaction in cocaine addiction [ 38 ]. The insula has also been linked to the intensity of symptoms and has been implicated in the development of IA [ 39 ].

“+” indicates an increase in behaivour; “-”indicates a decrease in behaviour; solid arrows indicate a direct network interaction; and the dotted arrows indicates a reduction in network interaction. This diagram depicts network interactions juxtaposed with engaging in internet related behaviours. Through the neural interactions, the diagram illustrates how the networks inhibit or amplify internet usage and vice versa. Furthermore, it demonstrates how the SN mediates both the DMN and ECN.

https://doi.org/10.1371/journal.pmen.0000022.g005

(2) How is adolescent behaviour and development impacted by functional connectivity changes due to internet addiction?

The findings that IA individuals demonstrate an overall decrease in FC in the DMN is supported by numerous research [ 24 ]. Drug addict populations also exhibited similar decline in FC in the DMN [ 40 ]. The disruption of attentional orientation and self-referential processing for both substance and behavioural addiction was then hypothesised to be caused by DMN anomalies in FC [ 41 ].

In adolescents with IA, decline of FC in the parietal lobule affects visuospatial task-related behaviour [ 22 ], short-term memory [ 42 ], and the ability of controlling attention or restraining motor responses during response inhibition tests [ 42 ]. Cue-induced gaming cravings are influenced by the DMN [ 43 ]. A visual processing area called the praecuneus links gaming cues to internal information [ 22 ]. A meta-analysis found that the posterior cingulate cortex activity of individuals with IA during cue-reactivity tasks was connected with their gaming time [ 44 ], suggesting that excessive gaming may impair DMN function and that individuals with IA exert more cognitive effort to control it. Findings for the behavioural consequences of FC changes in the DMN illustrate its underlying role in regulating impulsivity, self-monitoring, and cognitive control.

Furthermore, Ding et al. (2013) reported an activation of components of the reward pathway, including areas like the nucleus accumbens, praecuneus, SMA, caudate, and thalamus, in connection to the DMN [ 22 ]. The increased FC of the limbic and reward networks have been confirmed to be a major biomarker for IA [ 45 , 46 ]. The increased reinforcement in these networks increases the strength of reward stimuli and makes it more difficult for other networks, namely the ECN, to down-regulate the increased attention [ 29 ] (See Fig 5 ).

Executive control network (ECN).

The numerous IA-affected components in the ECN have a role in a variety of behaviours that are connected to both response inhibition and emotional regulation [ 47 ]. For instance, brain regions like the striatum, which are linked to impulsivity and the reward system, are heavily involved in the act of playing online games [ 47 ]. Online game play activates the striatum, which suppresses the left DLPFC in ECN [ 48 ]. As a result, people with IA may find it difficult to control their want to play online games [ 48 ]. This system thus causes impulsive and protracted gaming conduct, lack of inhibitory control leading to the continued use of internet in an overt manner despite a variety of negative effects, personal distress, and signs of psychological dependence [ 33 ] (See Fig 5 ).

Wang et al. (2017) report that disruptions in cognitive control networks within the ECN are frequently linked to characteristics of substance addiction [ 24 ]. With samples that were addicted to heroin and cocaine, previous studies discovered abnormal FC in the ECN and the PFC [ 49 ]. Electronic gaming is known to promote striatal dopamine release, similar to drug addiction [ 50 ]. According to Drgonova and Walther (2016), it is hypothesised that dopamine could stimulate the reward system of the striatum in the brain, leading to a loss of impulse control and a failure of prefrontal lobe executive inhibitory control [ 51 ]. In the end, IA’s resemblance to drug use disorders may point to vital biomarkers or underlying mechanisms that explain how cognitive control and impulsive behaviour are related.

A task-related fMRI study found that the decrease in FC between the left DLPFC and dorsal striatum was congruent with an increase in impulsivity in adolescents with IA [ 26 ]. The lack of response inhibition from the ECN results in a loss of control over internet usage and a reduced capacity to display goal-directed behaviour [ 33 ]. Previous studies have linked the alteration of the ECN in IA with higher cue reactivity and impaired ability to self-regulate internet specific stimuli [ 52 ].

Salience network (SN)/ other networks.

Xing et al. (2014) investigated the significance of the SN regarding cognitive control in teenagers with IA [ 21 ]. The SN, which is composed of the ACC and insula, has been demonstrated to control dynamic changes in other networks to modify cognitive performance [ 21 ]. The ACC is engaged in conflict monitoring and cognitive control, according to previous neuroimaging research [ 53 ]. The insula is a region that integrates interoceptive states into conscious feelings [ 54 ]. The results from Xing et al. (2014) showed declines in the SN regarding its structural connectivity and fractional anisotropy, even though they did not observe any appreciable change in FC in the IA participants [ 21 ]. Due to the small sample size, the results may have indicated that FC methods are not sensitive enough to detect the significant functional changes [ 21 ]. However, task performance behaviours associated with impaired cognitive control in adolescents with IA were correlated with these findings [ 21 ]. Our comprehension of the SN’s broader function in IA can be enhanced by this relationship.

Research study supports the idea that different psychological issues are caused by the functional reorganisation of expansive brain networks, such that strong association between SN and DMN may provide neurological underpinnings at the system level for the uncontrollable character of internet-using behaviours [ 24 ]. In the study by Wang et al. (2017), the decreased interconnectivity between the SN and DMN, comprising regions such the DLPFC and the insula, suggests that adolescents with IA may struggle to effectively inhibit DMN activity during internally focused processing, leading to poorly managed desires or preoccupations to use the internet [ 24 ] (See Fig 5 ). Subsequently, this may cause a failure to inhibit DMN activity as well as a restriction of ECN functionality [ 55 ]. As a result, the adolescent experiences an increased salience and sensitivity towards internet addicting cues making it difficult to avoid these triggers [ 56 ].

The primary aim of this review was to present a summary of how internet addiction impacts on the functional connectivity of adolescent brain. Subsequently, the influence of IA on the adolescent brain was compartmentalised into three sections: alterations of FC at various brain regions, specific FC relationships, and behavioural/developmental changes. Overall, the specific effects of IA on the adolescent brain were not completely clear, given the variety of FC changes. However, there were overarching behavioural, network and developmental trends that were supported that provided insight on adolescent development.

The first hypothesis that was held about this question was that IA was widespread and would be regionally similar to substance-use and gambling addiction. After conducting a review of the information in the chosen articles, the hypothesis was predictably supported. The regions of the brain affected by IA are widespread and influence multiple networks, mainly DMN, ECN, SN and reward pathway. In the DMN, there was a complex mix of increases and decreases within the network. However, in the ECN, the alterations of FC were more unilaterally decreased, but the findings of SN and reward pathway were not quite clear. Overall, the FC changes within adolescents with IA are very much network specific and lay a solid foundation from which to understand the subsequent behaviour changes that arise from the disorder.

The second hypothesis placed emphasis on the importance of between network interactions and within network interactions in the continuation of IA and the development of its behavioural symptoms. The results from the findings involving the networks, DMN, SN, ECN and reward system, support this hypothesis (see Fig 5 ). Studies confirm the influence of all these neural networks on reward valuation, impulsivity, salience to stimuli, cue reactivity and other changes that alter behaviour towards the internet use. Many of these changes are connected to the inherent nature of the adolescent brain.

There are multiple explanations that underlie the vulnerability of the adolescent brain towards IA related urges. Several of them have to do with the inherent nature and underlying mechanisms of the adolescent brain. Children’s emotional, social, and cognitive capacities grow exponentially during childhood and adolescence [ 57 ]. Early teenagers go through a process called “social reorientation” that is characterised by heightened sensitivity to social cues and peer connections [ 58 ]. Adolescents’ improvements in their social skills coincide with changes in their brains’ anatomical and functional organisation [ 59 ]. Functional hubs exhibit growing connectivity strength [ 60 ], suggesting increased functional integration during development. During this time, the brain’s functional networks change from an anatomically dominant structure to a scattered architecture [ 60 ].

The adolescent brain is very responsive to synaptic reorganisation and experience cues [ 61 ]. As a result, one of the distinguishing traits of the maturation of adolescent brains is the variation in neural network trajectory [ 62 ]. Important weaknesses of the adolescent brain that may explain the neurobiological change brought on by external stimuli are illustrated by features like the functional gaps between networks and the inadequate segregation of networks [ 62 ].

The implications of these findings towards adolescent behaviour are significant. Although the exact changes and mechanisms are not fully clear, the observed changes in functional connectivity have the capacity of influencing several aspects of adolescent development. For example, functional connectivity has been utilised to investigate attachment styles in adolescents [ 63 ]. It was observed that adolescent attachment styles were negatively associated with caudate-prefrontal connectivity, but positively with the putamen-visual area connectivity [ 63 ]. Both named areas were also influenced by the onset of internet addiction, possibly providing a connection between the two. Another study associated neighbourhood/socioeconomic disadvantage with functional connectivity alterations in the DMN and dorsal attention network [ 64 ]. The study also found multivariate brain behaviour relationships between the altered/disadvantaged functional connectivity and mental health and cognition [ 64 ]. This conclusion supports the notion that the functional connectivity alterations observed in IA are associated with specific adolescent behaviours as well as the fact that functional connectivity can be utilised as a platform onto which to compare various neurologic conditions.

Limitations/strengths

There were several limitations that were related to the conduction of the review as well as the data extracted from the articles. Firstly, the study followed a systematic literature review design when analysing the fMRI studies. The data pulled from these imaging studies were namely qualitative and were subject to bias contrasting the quantitative nature of statistical analysis. Components of the study, such as sample sizes, effect sizes, and demographics were not weighted or controlled. The second limitation brought up by a similar review was the lack of a universal consensus of terminology given IA [ 47 ]. Globally, authors writing about this topic use an array of terminology including online gaming addiction, internet addiction, internet gaming disorder, and problematic internet use. Often, authors use multiple terms interchangeably which makes it difficult to depict the subtle similarities and differences between the terms.

Reviewing the explicit limitations in each of the included studies, two major limitations were brought up in many of the articles. One was relating to the cross-sectional nature of the included studies. Due to the inherent qualities of a cross-sectional study, the studies did not provide clear evidence that IA played a causal role towards the development of the adolescent brain. While several biopsychosocial factors mediate these interactions, task-based measures that combine executive functions with imaging results reinforce the assumed connection between the two that is utilised by the papers studying IA. Another limitation regarded the small sample size of the included studies, which averaged to around 20 participants. The small sample size can influence the generalisation of the results as well as the effectiveness of statistical analyses. Ultimately, both included study specific limitations illustrate the need for future studies to clarify the causal relationship between the alterations of FC and the development of IA.

Another vital limitation was the limited number of studies applying imaging techniques for investigations on IA in adolescents were a uniformly Far East collection of studies. The reason for this was because the studies included in this review were the only fMRI studies that were found that adhered to the strict adolescent age restriction. The adolescent age range given by the WHO (10–19 years old) [ 65 ] was strictly followed. It is important to note that a multitude of studies found in the initial search utilised an older adolescent demographic that was slightly higher than the WHO age range and had a mean age that was outside of the limitations. As a result, the results of this review are biased and based on the 12 studies that met the inclusion and exclusion criteria.

Regarding the global nature of the research, although the journals that the studies were published in were all established western journals, the collection of studies were found to all originate from Asian countries, namely China and Korea. Subsequently, it pulls into question if the results and measures from these studies are generalisable towards a western population. As stated previously, Asian countries have a higher prevalence of IA, which may be the reasoning to why the majority of studies are from there [ 8 ]. However, in an additional search including other age groups, it was found that a high majority of all FC studies on IA were done in Asian countries. Interestingly, western papers studying fMRI FC were primarily focused on gambling and substance-use addiction disorders. The western papers on IA were less focused on fMRI FC but more on other components of IA such as sleep, game-genre, and other non-imaging related factors. This demonstrated an overall lack of western fMRI studies on IA. It is important to note that both western and eastern fMRI studies on IA presented an overall lack on children and adolescents in general.

Despite the several limitations, this review provided a clear reflection on the state of the data. The strengths of the review include the strict inclusion/exclusion criteria that filtered through studies and only included ones that contained a purely adolescent sample. As a result, the information presented in this review was specific to the review’s aims. Given the sparse nature of adolescent specific fMRI studies on the FC changes in IA, this review successfully provided a much-needed niche representation of adolescent specific results. Furthermore, the review provided a thorough functional explanation of the DMN, ECN, SN and reward pathway making it accessible to readers new to the topic.

Future directions and implications

Through the search process of the review, there were more imaging studies focused on older adolescence and adulthood. Furthermore, finding a review that covered a strictly adolescent population, focused on FC changes, and was specifically depicting IA, was proven difficult. Many related reviews, such as Tereshchenko and Kasparov (2019), looked at risk factors related to the biopsychosocial model, but did not tackle specific alterations in specific structural or functional changes in the brain [ 66 ]. Weinstein (2017) found similar structural and functional results as well as the role IA has in altering response inhibition and reward valuation in adolescents with IA [ 47 ]. Overall, the accumulated findings only paint an emerging pattern which aligns with similar substance-use and gambling disorders. Future studies require more specificity in depicting the interactions between neural networks, as well as more literature on adolescent and comorbid populations. One future field of interest is the incorporation of more task-based fMRI data. Advances in resting-state fMRI methods have yet to be reflected or confirmed in task-based fMRI methods [ 62 ]. Due to the fact that network connectivity is shaped by different tasks, it is critical to confirm that the findings of the resting state fMRI studies also apply to the task based ones [ 62 ]. Subsequently, work in this area will confirm if intrinsic connectivity networks function in resting state will function similarly during goal directed behaviour [ 62 ]. An elevated focus on adolescent populations as well as task-based fMRI methodology will help uncover to what extent adolescent network connectivity maturation facilitates behavioural and cognitive development [ 62 ].

A treatment implication is the potential usage of bupropion for the treatment of IA. Bupropion has been previously used to treat patients with gambling disorder and has been effective in decreasing overall gambling behaviour as well as money spent while gambling [ 67 ]. Bae et al. (2018) found a decrease in clinical symptoms of IA in line with a 12-week bupropion treatment [ 31 ]. The study found that bupropion altered the FC of both the DMN and ECN which in turn decreased impulsivity and attentional deficits for the individuals with IA [ 31 ]. Interventions like bupropion illustrate the importance of understanding the fundamental mechanisms that underlie disorders like IA.

The goal for this review was to summarise the current literature on functional connectivity changes in adolescents with internet addiction. The findings answered the primary research questions that were directed at FC alterations within several networks of the adolescent brain and how that influenced their behaviour and development. Overall, the research demonstrated several wide-ranging effects that influenced the DMN, SN, ECN, and reward centres. Additionally, the findings gave ground to important details such as the maturation of the adolescent brain, the high prevalence of Asian originated studies, and the importance of task-based studies in this field. The process of making this review allowed for a thorough understanding IA and adolescent brain interactions.

Given the influx of technology and media in the lives and education of children and adolescents, an increase in prevalence and focus on internet related behavioural changes is imperative towards future children/adolescent mental health. Events such as COVID-19 act to expose the consequences of extended internet usage on the development and lifestyle of specifically young people. While it is important for parents and older generations to be wary of these changes, it is important for them to develop a base understanding of the issue and not dismiss it as an all-bad or all-good scenario. Future research on IA will aim to better understand the causal relationship between IA and psychological symptoms that coincide with it. The current literature regarding functional connectivity changes in adolescents is limited and requires future studies to test with larger sample sizes, comorbid populations, and populations outside Far East Asia.

This review aimed to demonstrate the inner workings of how IA alters the connection between the primary behavioural networks in the adolescent brain. Predictably, the present answers merely paint an unfinished picture that does not necessarily depict internet usage as overwhelmingly positive or negative. Alternatively, the research points towards emerging patterns that can direct individuals on the consequences of certain variables or risk factors. A clearer depiction of the mechanisms of IA would allow physicians to screen and treat the onset of IA more effectively. Clinically, this could be in the form of more streamlined and accurate sessions of CBT or family therapy, targeting key symptoms of IA. Alternatively clinicians could potentially prescribe treatment such as bupropion to target FC in certain regions of the brain. Furthermore, parental education on IA is another possible avenue of prevention from a public health standpoint. Parents who are aware of the early signs and onset of IA will more effectively handle screen time, impulsivity, and minimize the risk factors surrounding IA.

Additionally, an increased attention towards internet related fMRI research is needed in the West, as mentioned previously. Despite cultural differences, Western countries may hold similarities to the eastern countries with a high prevalence of IA, like China and Korea, regarding the implications of the internet and IA. The increasing influence of the internet on the world may contribute to an overall increase in the global prevalence of IA. Nonetheless, the high saturation of eastern studies in this field should be replicated with a Western sample to determine if the same FC alterations occur. A growing interest in internet related research and education within the West will hopefully lead to the knowledge of healthier internet habits and coping strategies among parents with children and adolescents. Furthermore, IA research has the potential to become a crucial proxy for which to study adolescent brain maturation and development.

Supporting information

S1 checklist. prisma checklist..

https://doi.org/10.1371/journal.pmen.0000022.s001

S1 Appendix. Search strategies with all the terms.

https://doi.org/10.1371/journal.pmen.0000022.s002

S1 Data. Article screening records with details of categorized content.

https://doi.org/10.1371/journal.pmen.0000022.s003

Acknowledgments

The authors thank https://www.stockio.com/free-clipart/brain-01 (with attribution to Stockio.com); and https://www.rawpixel.com/image/6442258/png-sticker-vintage for the free images used to create Figs 2 – 4 .

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• June 4, 2024 Issue

Current Literature

June 4, 2024

Study Examines Population-Level, Within-Hospital Disparities in Surgical Care

De Jager E, Osman S, Shen C, et al. Identifying Population-Level and Within-Hospital Disparities in Surgical Care . J Am Coll Surg . 2024, in press.

There is a lack of consensus on how to confirm population-level and hospital-level disparities in surgical care. This article used data from the ACS National Quality Improvement Program (NSQIP) to detect disparities in surgical outcomes according to the Area Deprivation Index, which is a measure of socioeconomic status in a community/neighborhood, race, and ethnicity.

Outcomes of interest included inpatient mortality, urgent readmission, surgical site infection, colectomy mortality, and spine surgery complications. Data on more than 4 million patients were included.

The analysis showed that population-level disparities were defined by ADI; these were consistent after statistical adjustments. After adjustment for patient risk factors, disparities were identified in 1.1% of hospitals. The authors noted that these findings were probably influenced by sample size variations among healthcare facilities and the fact that NSQIP hospitals tend to be larger academic centers; low-income patients and black patients are more likely to be treated in smaller hospitals with limited resources.

Additional research to identify and quantify surgical care disparities at the hospital level is needed.

Active Surveillance Is Safe, Effective for Patients with Low-Risk Papillary Thyroid Cancer

Levyn H, Scholfield DW, Eagan A, et al. Outcomes of Conversion Surgery for Patients With Low-Risk Papillary Thyroid Carcinoma . JAMA Otolaryngol Head Neck Surg . 2024.

Ho AS, Davies L, Yeh MW. Active Surveillance and Conversion Surgery for Low-Risk Thyroid Cancer-The Disconnect Between Literature and Practice . JAMA Otolaryngol Head Neck Surg . 2024.

Active surveillance (AS) of patients with low-risk papillary thyroid cancer with conversion surgery performed if progression of disease is detected is a practice introduced in the mid-1990s; however, surgical and oncologic outcomes of conversion surgery have not been well documented.

This article reported outcomes from a patient cohort ( n = 550) containing three comparison groups of patients: those who underwent conversion surgery because of disease progression, those who underwent conversion surgery without evidence of disease progression, and those who underwent immediate thyroidectomy. Propensity scoring was used to match patient characteristics.

The data analysis showed that the overall 5-year survival was 100% in all groups. Although the conversion surgery group had higher risk for aggressive tumor behavior, the rates of regional recurrence (5.1%), local recurrence (0%), and distant metastasis (0%) were similar in all groups.

The authors concluded that AS was a safe and effective approach for patients with low-risk papillary thyroid cancer.

In the editorial that accompanied the article, Ho noted that adoption of AS among surgeons in the US has been slow, in part because of perceived malpractice risk associated with this approach.

Bariatric Surgery May Reduce Risk of Breast Cancer in Obese Patients

Kristensson FM, Andersson-Assarsson JC, Peltonen M,  et al. Breast Cancer Risk After Bariatric Surgery and Influence of Insulin Levels: A Nonrandomized Controlled Trial . JAMA Surg . 2024

Kulkarni SA, Sterbling HM. Bariatric Surgery Reduces Breast Cancer Incidence in a Prospective Trial . JAMA Surg . 2024.

Kristensson and coauthors reported data from a prospective randomized trial conducted in Sweden. They compared rates of breast cancer at more than 20 years after a bariatric surgery procedure ( n = 1,420) with patients treated for obesity ( n = 1,447) with non-operative measures.

The data showed that there was a significant reduction in risk for breast cancer in patients who underwent bariatric surgery. The risk reduction was most pronounced in patients with elevated baseline levels of insulin.

The authors concluded that bariatric surgery was associated with reduced incidence of breast cancer in obese patients.

In the editorial that accompanied the article, Kulkarni and Sterbling noted that it is not known whether hyperinsulinemia or insulin resistance are true markers of increased breast cancer risk. They also emphasized that data adjusted for patient age were not reported. Other factors that may influence breast cancer risk in this patient group include estrogen levels, inflammatory markers, and types of bariatric surgery. These data support recognition of another important benefit of bariatric surgery in obese women.

In This Issue

Nutritional Assessment in Surgery Patients Is Essential

Listen to Drs. Rick Greene, Melissa Coleman, and Joseph Rappold discuss nutritional assessment of critically ill patients and more.

Apply to Serve as Host for Popular Surgical Jeopardy Session at Clinical Congress

Apply by June 12 for a chance to host one of Clinical Congress's most popular sessions.

General Surgery Certifying Examination Candidates: Register for Prep Course

Registrants can choose from two virtual courses offered on September 6 and September 10.

Bile Leak, Cholecystectomies, Orchiectomies Are Recent Hot Topics in ACS Communities

ACS members have access to protected forums and can take part in the discussions happening in various ACS communities.

Final Opportunity to Submit Nominations for Two Prestigious ACS Resident Awards Is June 10

Nominations for the ACS Exemplary Teaching Award and the Chassin Award are due by June 10.

Bioethicist Explores the Multifaceted Nature of Ethical Opioid Prescribing

Listen to Dr. Travis N. Rieder deliver the J. Conley Ethics and Philosophy Lecture at Clinical Congress 2023

US Surgeons: Participate in ACS Surgeon Well-Being Survey

Data from the survey will drive advocacy for workplace well-being, create national minimum standards, and more.

Plan Your Perfect Clinical Congress with Interactive Program Planner

Use the interactive Program Planner to browse educational programming available at this year's Clinical Congress in San Francisco.

Ophthalmology Mentoring Program Enhances Physician Workforce

Read about the initiative to increase diversity in ophthalmology and the role it can play in improving patient experience.

Long COVID May Have Long-Term Impact on Surgery

The May Bulletin article explores preoperative cognitive impairment in long COVID patients.

Special Topic: Literature and the Medicalised Body

B Trimester

'Odd to think that the piece of you I know best is already dead. The cells on the surface of your skin are thin and flat without blood-vessels or nerve-endings.' - Jeanette Winterson, 'The Cells, Tissues, Systems and Cavities of the Body'. This paper explores literature's engagement with the medicalised body and mind, mapping out the arts' responses to medical advances, beginning with the mid-nineteenth century and ending at the present day. We will study late nineteenth-century reactions to the scare of germs, vaccinations, and nervous disorders, move through the dark period of eugenics in the early twentieth century, and arrive at contemporary engagements with immune diseases and cancer, looking too at current political usages of the medicalised body. Incorporating film, novels, short stories, plays, and poetry, this paper will also draw on philosophical and medical texts to engage with illnesses and disorders in the body, mind, and nation-state. Authors such as G.B. Shaw, Samuel Beckett, Donna Haraway, Susan Sontag, Gerald Callahan, and Peter Sloterdijk will be included.

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The four building blocks of change

Large-scale organizational change has always been difficult, and there’s no shortage of research showing that a majority of transformations continue to fail. Today’s dynamic environment adds an extra level of urgency and complexity. Companies must increasingly react to sudden shifts in the marketplace, to other external shocks, and to the imperatives of new business models. The stakes are higher than ever.

So what’s to be done? In both research and practice, we find that transformations stand the best chance of success when they focus on four key actions to change mind-sets and behavior: fostering understanding and conviction, reinforcing changes through formal mechanisms, developing talent and skills, and role modeling. Collectively labeled the “influence model,” these ideas were introduced more than a dozen years ago in a McKinsey Quarterly article, “ The psychology of change management .” They were based on academic research and practical experience—what we saw worked and what didn’t.

Digital technologies and the changing nature of the workforce have created new opportunities and challenges for the influence model (for more on the relationship between those trends and the model, see this article’s companion, “ Winning hearts and minds in the 21st century ”). But it still works overall, a decade and a half later (exhibit). In a recent McKinsey Global Survey, we examined successful transformations and found that they were nearly eight times more likely to use all four actions as opposed to just one. 1 1. See “ The science of organizational transformations ,” September 2015. Building both on classic and new academic research, the present article supplies a primer on the model and its four building blocks: what they are, how they work, and why they matter.

Fostering understanding and conviction

We know from research that human beings strive for congruence between their beliefs and their actions and experience dissonance when these are misaligned. Believing in the “why” behind a change can therefore inspire people to change their behavior. In practice, however, we find that many transformation leaders falsely assume that the “why” is clear to the broader organization and consequently fail to spend enough time communicating the rationale behind change efforts.

This common pitfall is predictable. Research shows that people frequently overestimate the extent to which others share their own attitudes, beliefs, and opinions—a tendency known as the false-consensus effect. Studies also highlight another contributing phenomenon, the “curse of knowledge”: people find it difficult to imagine that others don’t know something that they themselves do know. To illustrate this tendency, a Stanford study asked participants to tap out the rhythms of well-known songs and predict the likelihood that others would guess what they were. The tappers predicted that the listeners would identify half of the songs correctly; in reality, they did so less than 5 percent of the time. 2 2. Chip Heath and Dan Heath, “The curse of knowledge,” Harvard Business Review , December 2006, Volume 8, Number 6, hbr.org.

Therefore, in times of transformation, we recommend that leaders develop a change story that helps all stakeholders understand where the company is headed, why it is changing, and why this change is important. Building in a feedback loop to sense how the story is being received is also useful. These change stories not only help get out the message but also, recent research finds, serve as an effective influencing tool. Stories are particularly effective in selling brands. 3 3. Harrison Monarth, “The irresistible power of storytelling as a strategic business tool,” Harvard Business Review , March 11, 2014, hbr.org.

Even 15 years ago, at the time of the original article, digital advances were starting to make employees feel involved in transformations, allowing them to participate in shaping the direction of their companies. In 2006, for example, IBM used its intranet to conduct two 72-hour “jam sessions” to engage employees, clients, and other stakeholders in an online debate about business opportunities. No fewer than 150,000 visitors attended from 104 countries and 67 different companies, and there were 46,000 posts. 4 4. Icons of Progress , “A global innovation jam,” ibm.com. As we explain in “Winning hearts and minds in the 21st century,” social and mobile technologies have since created a wide range of new opportunities to build the commitment of employees to change.

Reinforcing with formal mechanisms

Psychologists have long known that behavior often stems from direct association and reinforcement. Back in the 1920s, Ivan Pavlov’s classical conditioning research showed how the repeated association between two stimuli—the sound of a bell and the delivery of food—eventually led dogs to salivate upon hearing the bell alone. Researchers later extended this work on conditioning to humans, demonstrating how children could learn to fear a rat when it was associated with a loud noise. 5 5. John B. Watson and Rosalie Rayner, “Conditioned emotional reactions,” Journal of Experimental Psychology , 1920, Volume 3, Number 1, pp. 1–14. Of course, this conditioning isn’t limited to negative associations or to animals. The perfume industry recognizes how the mere scent of someone you love can induce feelings of love and longing.

Reinforcement can also be conscious, shaped by the expected rewards and punishments associated with specific forms of behavior. B. F. Skinner’s work on operant conditioning showed how pairing positive reinforcements such as food with desired behavior could be used, for example, to teach pigeons to play Ping-Pong. This concept, which isn’t hard to grasp, is deeply embedded in organizations. Many people who have had commissions-based sales jobs will understand the point—being paid more for working harder can sometimes be a strong incentive.

Despite the importance of reinforcement, organizations often fail to use it correctly. In a seminal paper “On the folly of rewarding A, while hoping for B,” management scholar Steven Kerr described numerous examples of organizational-reward systems that are misaligned with the desired behavior, which is therefore neglected. 6 6. Steven Kerr, “On the folly of rewarding A, while hoping for B,” Academy of Management Journal , 1975, Volume 18, Number 4, pp. 769–83. Some of the paper’s examples—such as the way university professors are rewarded for their research publications, while society expects them to be good teachers—are still relevant today. We ourselves have witnessed this phenomenon in a global refining organization facing market pressure. By squeezing maintenance expenditures and rewarding employees who cut them, the company in effect treated that part of the budget as a “super KPI.” Yet at the same time, its stated objective was reliable maintenance.

Even when organizations use money as a reinforcement correctly, they often delude themselves into thinking that it alone will suffice. Research examining the relationship between money and experienced happiness—moods and general well-being—suggests a law of diminishing returns. The relationship may disappear altogether after around $75,000, a much lower ceiling than most executives assume. 7 7. Belinda Luscombe, “Do we need $75,000 a year to be happy?” Time , September 6, 2010, time.com.

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Money isn’t the only motivator, of course. Victor Vroom’s classic research on expectancy theory explained how the tendency to behave in certain ways depends on the expectation that the effort will result in the desired kind of performance, that this performance will be rewarded, and that the reward will be desirable. 8 8. Victor Vroom, Work and motivation , New York: John Wiley, 1964. When a Middle Eastern telecommunications company recently examined performance drivers, it found that collaboration and purpose were more important than compensation (see “Ahead of the curve: The future of performance management,” forthcoming on McKinsey.com). The company therefore moved from awarding minor individual bonuses for performance to celebrating how specific teams made a real difference in the lives of their customers. This move increased motivation while also saving the organization millions.

How these reinforcements are delivered also matters. It has long been clear that predictability makes them less effective; intermittent reinforcement provides a more powerful hook, as slot-machine operators have learned to their advantage. Further, people react negatively if they feel that reinforcements aren’t distributed fairly. Research on equity theory describes how employees compare their job inputs and outcomes with reference-comparison targets, such as coworkers who have been promoted ahead of them or their own experiences at past jobs. 9 9. J. S. Adams, “Inequity in social exchanges,” Advances in Experimental Social Psychology , 1965, Volume 2, pp. 267–300. We therefore recommend that organizations neutralize compensation as a source of anxiety and instead focus on what really drives performance—such as collaboration and purpose, in the case of the Middle Eastern telecom company previously mentioned.

Developing talent and skills

Thankfully, you can teach an old dog new tricks. Human brains are not fixed; neuroscience research shows that they remain plastic well into adulthood. Illustrating this concept, scientific investigation has found that the brains of London taxi drivers, who spend years memorizing thousands of streets and local attractions, showed unique gray-matter volume differences in the hippocampus compared with the brains of other people. Research linked these differences to the taxi drivers’ extraordinary special knowledge. 10 10. Eleanor Maguire, Katherine Woollett, and Hugo Spires, “London taxi drivers and bus drivers: A structural MRI and neuropsychological analysis,” Hippocampus , 2006, Volume 16, pp. 1091–1101.

Despite an amazing ability to learn new things, human beings all too often lack insight into what they need to know but don’t. Biases, for example, can lead people to overlook their limitations and be overconfident of their abilities. Highlighting this point, studies have found that over 90 percent of US drivers rate themselves above average, nearly 70 percent of professors consider themselves in the top 25 percent for teaching ability, and 84 percent of Frenchmen believe they are above-average lovers. 11 11. The art of thinking clearly, “The overconfidence effect: Why you systematically overestimate your knowledge and abilities,” blog entry by Rolf Dobelli, June 11, 2013, psychologytoday.com. This self-serving bias can lead to blind spots, making people too confident about some of their abilities and unaware of what they need to learn. In the workplace, the “mum effect”—a proclivity to keep quiet about unpleasant, unfavorable messages—often compounds these self-serving tendencies. 12 12. Eliezer Yariv, “‘Mum effect’: Principals’ reluctance to submit negative feedback,” Journal of Managerial Psychology , 2006, Volume 21, Number 6, pp. 533–46.

Even when people overcome such biases and actually want to improve, they can handicap themselves by doubting their ability to change. Classic psychological research by Martin Seligman and his colleagues explained how animals and people can fall into a state of learned helplessness—passive acceptance and resignation that develops as a result of repeated exposure to negative events perceived as unavoidable. The researchers found that dogs exposed to unavoidable shocks gave up trying to escape and, when later given an opportunity to do so, stayed put and accepted the shocks as inevitable. 13 13. Martin Seligman and Steven Maier, “Failure to escape traumatic shock,” Journal of Experimental Psychology , 1967, Volume 74, Number 1, pp. 1–9. Like animals, people who believe that developing new skills won’t change a situation are more likely to be passive. You see this all around the economy—from employees who stop offering new ideas after earlier ones have been challenged to unemployed job seekers who give up looking for work after multiple rejections.

Instilling a sense of control and competence can promote an active effort to improve. As expectancy theory holds, people are more motivated to achieve their goals when they believe that greater individual effort will increase performance. 14 14. Victor Vroom, Work and motivation , New York: John Wiley, 1964. Fortunately, new technologies now give organizations more creative opportunities than ever to showcase examples of how that can actually happen.

Role modeling

Research tells us that role modeling occurs both unconsciously and consciously. Unconsciously, people often find themselves mimicking the emotions, behavior, speech patterns, expressions, and moods of others without even realizing that they are doing so. They also consciously align their own thinking and behavior with those of other people—to learn, to determine what’s right, and sometimes just to fit in.

While role modeling is commonly associated with high-power leaders such as Abraham Lincoln and Bill Gates, it isn’t limited to people in formal positions of authority. Smart organizations seeking to win their employees’ support for major transformation efforts recognize that key opinion leaders may exert more influence than CEOs. Nor is role modeling limited to individuals. Everyone has the power to model roles, and groups of people may exert the most powerful influence of all. Robert Cialdini, a well-respected professor of psychology and marketing, examined the power of “social proof”—a mental shortcut people use to judge what is correct by determining what others think is correct. No wonder TV shows have been using canned laughter for decades; believing that other people find a show funny makes us more likely to find it funny too.

Today’s increasingly connected digital world provides more opportunities than ever to share information about how others think and behave. Ever found yourself swayed by the number of positive reviews on Yelp? Or perceiving a Twitter user with a million followers as more reputable than one with only a dozen? You’re not imagining this. Users can now “buy followers” to help those users or their brands seem popular or even start trending.

The endurance of the influence model shouldn’t be surprising: powerful forces of human nature underlie it. More surprising, perhaps, is how often leaders still embark on large-scale change efforts without seriously focusing on building conviction or reinforcing it through formal mechanisms, the development of skills, and role modeling. While these priorities sound like common sense, it’s easy to miss one or more of them amid the maelstrom of activity that often accompanies significant changes in organizational direction. Leaders should address these building blocks systematically because, as research and experience demonstrate, all four together make a bigger impact.

Tessa Basford is a consultant in McKinsey’s Washington, DC, office; Bill Schaninger is a director in the Philadelphia office.

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FHFA Statistics Measuring Price Effects from Disasters Using Public Data: A Case Study of Hurricane Ian

​​What happens to home values after a disaster? In a  recent working paper , we address this question with a combination of readily available public data sources that track insurance claims and house prices. Focusing on a specific storm, Hurricane Ian, we use leading statistical estimation approaches, difference-in-differences (DiD) and synthetic control methods (SCM), to provide some insights. A key finding is that data limitations create problems for identifying precise price effects. This blogpost discusses the data, methodological choices, and basic findings.

As a preview, we find positive price effects for homes affected by the hurricane. However, our results should not be interpreted as causal, but more correlational. Several factors, including COVID-19 and measurement error, could have confounding influences which make it difficult to measure the effects of Ian’s damage on home prices. Still, the exercise is useful because it demonstrates how one might use public information and why it is useful to continue improving such data releases to support policy analyses.

Defining Damages from Hurricane Ian to Estimate Price Effects

Hurricane Ian struck southwest Florida on September 23, 2022, damaging homes across the state. According to the National Hurricane Center Tropical Cyclone Report, Hurricane Ian “was responsible for over 150 direct and indirect deaths and over $112 billion in damage, making it the costliest hurricane in Florida’s history and the third costliest in the United States history”. 1  Figure 1 shows that path of Ian through Florida. Real estate listings are shown with yellow dots (larger circles indicating counties with more properties for sale) and darker blue shading indicates places that had more claims filed for damages. The figure shows a large concentration of insurance claims in southwest Florida, which also has a large number of real estate listings. We focus on Lee County, which has the darkest shading and is located on the Gulf Coast side of the state where the storm first landed.

Figure 1: Hurricane Ian’s path through Florida in 2022

​We estimate price effects by combining publicly available damages data with real estate listings data for southwest Florida between March 2015 and June 2023. The Federal Emergency Management Agency (FEMA) determines real property damage to properties for claims with limited or no insurance as part of the Individuals and Households Program (IHP). This information is combined with real estate market activity from Multiple Listing Service (MLS) data sourced by CoreLogic.

The key challenge we face is that many damage-related reports rely on publicly available disaster data, which for privacy reasons typically only include coarse descriptions of location. As a result, individual properties must be assigned damages from an aggregate level (e.g., county or ZIP code), thus introducing measurement error. This is a problem because previous research has shown mismeasured “treatment” variables like damages to a home can create problems for estimating causal price effects. 2

After merging IHP and MLS data, treated areas are classified at the county or ZIP code levels and with each home in an area assigned the same treatment status. This occurs regardless of whether the home was damaged. We consider multiple ways to assign treatment at the county and ZIP code levels. While the full set of aggregate treatment definitions are shown in the paper, this blogpost only presents a preferred specification at the county level (with damages aggregated for all homes therein) where treatment indicates county damages exceed the median for other counties.

Preliminary Evidence

Real estate market measures are illustrated in two panels within Figure 2. While not shown here, the trends are similar between Lee County (the focus area) and the entire state of Florida. The left panel presents median list (solid navy line) and close prices (solid maroon line) for each month during our sample. Both price trends are noisy and lack a sharp change when the storm hit, which is denoted by the dashed vertical black line. The right panel shows a reduction in the number of new listings, suggesting that prices could have been propped up by a decrease in home supply. Alternatively, homes that sold after the storm could be disproportionately better quality and command a premium. We are agnostic about the correct channel at work here: more careful analysis is needed to identify the mechanism(s) operating to affect prices. Finally, a potential COVID-19 effect starts after 2020 with prices increasing more quickly in the left panel and greater listing volatility in the right panel.

The lack of a clear and sustained impact on home prices suggests a more rigorous empirical analysis is needed for prices. We emphasize that we do not claim to establish a causal relationship nor that a price adjustment mechanism is identified correctly. We simply aim to estimate any aggregate price effect while using public data and documenting the challenges even when using leading statistical approaches.

Figure 2:​ Real estate market activity in Lee County, Florida

Difference-in-Differences Method for Price Effects

The most common approach used in the disaster literature for estimating price effects is a difference-in-differences (DiD) or event study approach. 3  In generalized terms, this means comparing price trends in affected (“treated”) areas with price trends in unaffected (“control”) areas.

Figure 3: Dynamic DiD for Lee County where Hurricane Ian made landfall

Figure 3 conveys the DiD results for a dynamic treatment (“event study”). The horizontal axis represents time relative to Ian, with the vertical dashed line indicating Ian’s landfall. The vertical axis shows an estimated parameter that is the difference in price trends between affected and unaffected areas at each time, with the shaded area representing the 95% confidence interval of the parameter. Higher prices are correlated with damages post-Ian. Where is this shown? By the price trend increasing above the zero line after the dashed vertical line.

However, the key assumption underlying DiD is the parallel trends assumption, which says that absent Hurricane Ian the areas affected and not affected would have had similar price trends. To test whether this assumption holds, researchers commonly conduct “pre-trends” tests, checking whether before Ian affected and not affected areas had similar price trends. In Figure 3, this corresponds to the difference in price trends being close to zero prior to the dashed line. As the figure shows, there is evidence that parallel trends does appear to be violated about 20 to 25 months prior to Ian’s arrival. What happened at that time? That was the early period of COVID. This is problematic statistically because the homes that saw prices increase during the early stages of the pandemic were the same homes that were damaged by Ian, making identification of the true Ian price effects challenging.

Synthetic Control Method for Price Effects

Another approach one can take is to construct a suitable control using the synthetic control method (SCM) at the aggregated level. The SCM determines an optimal weighted average of untreated counties (i.e. its synthetic control) to match the pre-Ian price trends of Lee County. Figure 4 below illustrates Lee County and its synthetic control. The figure suggests a time-varying price premium of at least five percent that peaks in the low double digits a few months after Ian, similar to the DiD finding. However, despite the apparent good fit in the figure with the blue and red lines appearing to be on top of each other until the dashed vertical line, more sensitive goodness of fit tests indicate these estimates lack statistical significance.

Figure 4: Synthetic control for Lee County

In summary, using publicly available data it may be difficult to estimate price effects even when employing leading empirical techniques. While we record some evidence for positive price effects for Ian, it is possible that declines across many markets but less so in the target county. Either way, these results should be viewed with some skepticism because of an inability to establishing actual property-level damages when using public data. Given the local nature of damages, when one is unable to precisely identify which units are treated or not, finding a suitable control group is extremely difficult. For those interested in working with such data, we offer several suggestions in the paper and encourage you to read further.

1  See  https://www.nhc.noaa.gov/data/tcr/AL092022_Ian.pdf .

2  For recent academic research on this type of problem in a difference-in-differences setting, see Denteh Kedagni (2022) and Negi Negi (2022), for example. The problem is the mismeasurement of the treatment variable, often called a “misclassification” problem.

3  See another one of FHFA’s working papers, for a recent review of the applied disaster literature: Justin Contat, Carrie Hopkins, Luis Mejia, Matthew Suandi. 2024. “When Climate Meets Real Estate: A Survey of the Literature." Real Estate Economics.  https://doi.org/10.1111/1540-6229.12489 .

By:Justin Contat

Senior Economist

Division of Research and Statistics

By:Will Doerner

Supervisory Economist

By:Robert Renner

Senior Geographer

By:Malcolm Rogers

Tagged: FHFA Stats Blog; Source: FHFA; Natural Disasters; Natural Disaster Price Effects; hurricane; real estate valuation