need of literature survey in research

Why is it important to do a literature review in research?

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 “A substantive, thorough, sophisticated literature review is a precondition for doing substantive, thorough, sophisticated research”. Boote and Baile 2005

Authors of manuscripts treat writing a literature review as a routine work or a mere formality. But a seasoned one knows the purpose and importance of a well-written literature review.  Since it is one of the basic needs for researches at any level, they have to be done vigilantly. Only then the reader will know that the basics of research have not been neglected.

The aim of any literature review is to summarize and synthesize the arguments and ideas of existing knowledge in a particular field without adding any new contributions.   Being built on existing knowledge they help the researcher to even turn the wheels of the topic of research.  It is possible only with profound knowledge of what is wrong in the existing findings in detail to overpower them.  For other researches, the literature review gives the direction to be headed for its success. 

The common perception of literature review and reality:

As per the common belief, literature reviews are only a summary of the sources related to the research. And many authors of scientific manuscripts believe that they are only surveys of what are the researches are done on the chosen topic.  But on the contrary, it uses published information from pertinent and relevant sources like

• Scholarly books
• Scientific papers
• Latest studies in the field
• Established school of thoughts
• Relevant articles from renowned scientific journals

and many more for a field of study or theory or a particular problem to do the following:

• Summarize into a brief account of all information
• Synthesize the information by restructuring and reorganizing
• Critical evaluation of a concept or a school of thought or ideas
• Familiarize the authors to the extent of knowledge in the particular field
• Encapsulate
• Compare & contrast

By doing the above on the relevant information, it provides the reader of the scientific manuscript with the following for a better understanding of it:

• It establishes the authors’  in-depth understanding and knowledge of their field subject
• It gives the background of the research
• Portrays the scientific manuscript plan of examining the research result
• Illuminates on how the knowledge has changed within the field
• Highlights what has already been done in a particular field
• Information of the generally accepted facts, emerging and current state of the topic of research
• Identifies the research gap that is still unexplored or under-researched fields
• Demonstrates how the research fits within a larger field of study
• Provides an overview of the sources explored during the research of a particular topic

Importance of literature review in research:

The importance of literature review in scientific manuscripts can be condensed into an analytical feature to enable the multifold reach of its significance.  It adds value to the legitimacy of the research in many ways:

• Provides the interpretation of existing literature in light of updated developments in the field to help in establishing the consistency in knowledge and relevancy of existing materials
• It helps in calculating the impact of the latest information in the field by mapping their progress of knowledge.
• It brings out the dialects of contradictions between various thoughts within the field to establish facts
• The research gaps scrutinized initially are further explored to establish the latest facts of theories to add value to the field
• Indicates the current research place in the schema of a particular field
• Provides information for relevancy and coherency to check the research
• Apart from elucidating the continuance of knowledge, it also points out areas that require further investigation and thus aid as a starting point of any future research
• Justifies the research and sets up the research question
• Sets up a theoretical framework comprising the concepts and theories of the research upon which its success can be judged
• Helps to adopt a more appropriate methodology for the research by examining the strengths and weaknesses of existing research in the same field
• Increases the significance of the results by comparing it with the existing literature
• Provides a point of reference by writing the findings in the scientific manuscript
• Helps to get the due credit from the audience for having done the fact-finding and fact-checking mission in the scientific manuscripts
• The more the reference of relevant sources of it could increase more of its trustworthiness with the readers
• Helps to prevent plagiarism by tailoring and uniquely tweaking the scientific manuscript not to repeat other’s original idea
• By preventing plagiarism , it saves the scientific manuscript from rejection and thus also saves a lot of time and money
• Helps to evaluate, condense and synthesize gist in the author’s own words to sharpen the research focus
• Helps to compare and contrast to  show the originality and uniqueness of the research than that of the existing other researches
• Rationalizes the need for conducting the particular research in a specified field
• Helps to collect data accurately for allowing any new methodology of research than the existing ones
• Enables the readers of the manuscript to answer the following questions of its readers for its better chances for publication
• What do the researchers know?
• What do they not know?
• Is the scientific manuscript reliable and trustworthy?
• What are the knowledge gaps of the researcher?

22. It helps the readers to identify the following for further reading of the scientific manuscript:

• What has been already established, discredited and accepted in the particular field of research
• Areas of controversy and conflicts among different schools of thought
• Unsolved problems and issues in the connected field of research
• The emerging trends and approaches
• How the research extends, builds upon and leaves behind from the previous research

A profound literature review with many relevant sources of reference will enhance the chances of the scientific manuscript publication in renowned and reputed scientific journals .

References:

http://www.math.montana.edu/jobo/phdprep/phd6.pdf

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• USC Libraries
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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
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• Theoretical Framework
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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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• UConn Library
• 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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Writing a Literature Review

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A literature review is a document or section of a document that collects key sources on a topic and discusses those sources in conversation with each other (also called synthesis ). The lit review is an important genre in many disciplines, not just literature (i.e., the study of works of literature such as novels and plays). When we say “literature review” or refer to “the literature,” we are talking about the research ( scholarship ) in a given field. You will often see the terms “the research,” “the scholarship,” and “the literature” used mostly interchangeably.

Where, when, and why would I write a lit review?

There are a number of different situations where you might write a literature review, each with slightly different expectations; different disciplines, too, have field-specific expectations for what a literature review is and does. For instance, in the humanities, authors might include more overt argumentation and interpretation of source material in their literature reviews, whereas in the sciences, authors are more likely to report study designs and results in their literature reviews; these differences reflect these disciplines’ purposes and conventions in scholarship. You should always look at examples from your own discipline and talk to professors or mentors in your field to be sure you understand your discipline’s conventions, for literature reviews as well as for any other genre.

A literature review can be a part of a research paper or scholarly article, usually falling after the introduction and before the research methods sections. In these cases, the lit review just needs to cover scholarship that is important to the issue you are writing about; sometimes it will also cover key sources that informed your research methodology.

Lit reviews can also be standalone pieces, either as assignments in a class or as publications. In a class, a lit review may be assigned to help students familiarize themselves with a topic and with scholarship in their field, get an idea of the other researchers working on the topic they’re interested in, find gaps in existing research in order to propose new projects, and/or develop a theoretical framework and methodology for later research. As a publication, a lit review usually is meant to help make other scholars’ lives easier by collecting and summarizing, synthesizing, and analyzing existing research on a topic. This can be especially helpful for students or scholars getting into a new research area, or for directing an entire community of scholars toward questions that have not yet been answered.

What are the parts of a lit review?

Most lit reviews use a basic introduction-body-conclusion structure; if your lit review is part of a larger paper, the introduction and conclusion pieces may be just a few sentences while you focus most of your attention on the body. If your lit review is a standalone piece, the introduction and conclusion take up more space and give you a place to discuss your goals, research methods, and conclusions separately from where you discuss the literature itself.

Introduction:

• An introductory paragraph that explains what your working topic and thesis is
• A forecast of key topics or texts that will appear in the review
• Potentially, a description of how you found sources and how you analyzed them for inclusion and discussion in the review (more often found in published, standalone literature reviews than in lit review sections in an article or research paper)
• Summarize and synthesize: Give an overview of the main points of each source and combine them into a coherent whole
• Analyze and interpret: Don’t just paraphrase other researchers – add your own interpretations where possible, discussing the significance of findings in relation to the literature as a whole
• Critically Evaluate: Mention the strengths and weaknesses of your sources
• Write in well-structured paragraphs: Use transition words and topic sentence to draw connections, comparisons, and contrasts.

Conclusion:

• Summarize the key findings you have taken from the literature and emphasize their significance
• Connect it back to your primary research question

How should I organize my lit review?

Lit reviews can take many different organizational patterns depending on what you are trying to accomplish with the review. Here are some examples:

• Chronological : The simplest approach is to trace the development of the topic over time, which helps familiarize the audience with the topic (for instance if you are introducing something that is not commonly known in your field). If you choose this strategy, be careful to avoid simply listing and summarizing sources in order. Try to analyze the patterns, turning points, and key debates that have shaped the direction of the field. Give your interpretation of how and why certain developments occurred (as mentioned previously, this may not be appropriate in your discipline — check with a teacher or mentor if you’re unsure).
• Thematic : If you have found some recurring central themes that you will continue working with throughout your piece, you can organize your literature review into subsections that address different aspects of the topic. For example, if you are reviewing literature about women and religion, key themes can include the role of women in churches and the religious attitude towards women.
• Qualitative versus quantitative research
• Empirical versus theoretical scholarship
• Divide the research by sociological, historical, or cultural sources
• Theoretical : In many humanities articles, the literature review is the foundation for the theoretical framework. You can use it to discuss various theories, models, and definitions of key concepts. You can argue for the relevance of a specific theoretical approach or combine various theorical concepts to create a framework for your research.

What are some strategies or tips I can use while writing my lit review?

Any lit review is only as good as the research it discusses; make sure your sources are well-chosen and your research is thorough. Don’t be afraid to do more research if you discover a new thread as you’re writing. More info on the research process is available in our "Conducting Research" resources .

As you’re doing your research, create an annotated bibliography ( see our page on the this type of document ). Much of the information used in an annotated bibliography can be used also in a literature review, so you’ll be not only partially drafting your lit review as you research, but also developing your sense of the larger conversation going on among scholars, professionals, and any other stakeholders in your topic.

Usually you will need to synthesize research rather than just summarizing it. This means drawing connections between sources to create a picture of the scholarly conversation on a topic over time. Many student writers struggle to synthesize because they feel they don’t have anything to add to the scholars they are citing; here are some strategies to help you:

• It often helps to remember that the point of these kinds of syntheses is to show your readers how you understand your research, to help them read the rest of your paper.
• Writing teachers often say synthesis is like hosting a dinner party: imagine all your sources are together in a room, discussing your topic. What are they saying to each other?
• Look at the in-text citations in each paragraph. Are you citing just one source for each paragraph? This usually indicates summary only. When you have multiple sources cited in a paragraph, you are more likely to be synthesizing them (not always, but often
• Read more about synthesis here.

The most interesting literature reviews are often written as arguments (again, as mentioned at the beginning of the page, this is discipline-specific and doesn’t work for all situations). Often, the literature review is where you can establish your research as filling a particular gap or as relevant in a particular way. You have some chance to do this in your introduction in an article, but the literature review section gives a more extended opportunity to establish the conversation in the way you would like your readers to see it. You can choose the intellectual lineage you would like to be part of and whose definitions matter most to your thinking (mostly humanities-specific, but this goes for sciences as well). In addressing these points, you argue for your place in the conversation, which tends to make the lit review more compelling than a simple reporting of other sources.

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• What is a Literature Review? | Guide, Template, & Examples

What is a Literature Review? | Guide, Template, & Examples

Published on 22 February 2022 by Shona McCombes . Revised on 7 June 2022.

What is a literature review? A literature review is a survey of scholarly sources on a specific topic. It provides an overview of current knowledge, allowing you to identify relevant theories, methods, and gaps in the existing research.

There are five key steps to writing a literature review:

• Search for relevant literature
• Evaluate sources
• Identify themes, debates and gaps
• Outline the structure
• Write your literature review

A good literature review doesn’t just summarise sources – it analyses, synthesises, and critically evaluates to give a clear picture of the state of knowledge on the subject.

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Table of contents

Why write a literature review, examples of literature reviews, step 1: search for relevant literature, step 2: evaluate and select sources, step 3: identify themes, debates and gaps, step 4: outline your literature review’s structure, step 5: write your literature review, frequently asked questions about literature reviews, introduction.

• Quick Run-through
• Step 1 & 2

When you write a dissertation or thesis, you will have to conduct a literature review to situate your research within existing knowledge. The literature review gives you a chance to:

• Demonstrate your familiarity with the topic and scholarly context
• Develop a theoretical framework and methodology for your research
• Position yourself in relation to other researchers and theorists
• Show how your dissertation addresses a gap or contributes to a debate

You might also have to write a literature review as a stand-alone assignment. In this case, the purpose is to evaluate the current state of research and demonstrate your knowledge of scholarly debates around a topic.

The content will look slightly different in each case, but the process of conducting a literature review follows the same steps. We’ve written a step-by-step guide that you can follow below.

Prevent plagiarism, run a free check.

Writing literature reviews can be quite challenging! A good starting point could be to look at some examples, depending on what kind of literature review you’d like to write.

• Example literature review #1: “Why Do People Migrate? A Review of the Theoretical Literature” ( Theoretical literature review about the development of economic migration theory from the 1950s to today.)
• Example literature review #2: “Literature review as a research methodology: An overview and guidelines” ( Methodological literature review about interdisciplinary knowledge acquisition and production.)
• Example literature review #3: “The Use of Technology in English Language Learning: A Literature Review” ( Thematic literature review about the effects of technology on language acquisition.)
• Example literature review #4: “Learners’ Listening Comprehension Difficulties in English Language Learning: A Literature Review” ( Chronological literature review about how the concept of listening skills has changed over time.)

You can also check out our templates with literature review examples and sample outlines at the links below.

Download Word doc Download Google doc

Before you begin searching for literature, you need a clearly defined topic .

If you are writing the literature review section of a dissertation or research paper, you will search for literature related to your research objectives and questions .

If you are writing a literature review as a stand-alone assignment, you will have to choose a focus and develop a central question to direct your search. Unlike a dissertation research question, this question has to be answerable without collecting original data. You should be able to answer it based only on a review of existing publications.

Make a list of keywords

Start by creating a list of keywords related to your research topic. Include each of the key concepts or variables you’re interested in, and list any synonyms and related terms. You can add to this list if you discover new keywords in the process of your literature search.

• Social media, Facebook, Instagram, Twitter, Snapchat, TikTok
• Body image, self-perception, self-esteem, mental health
• Generation Z, teenagers, adolescents, youth

Search for relevant sources

Use your keywords to begin searching for sources. Some databases to search for journals and articles include:

• Your university’s library catalogue
• Google Scholar
• Project Muse (humanities and social sciences)
• Medline (life sciences and biomedicine)
• EconLit (economics)
• Inspec (physics, engineering and computer science)

You can use boolean operators to help narrow down your search:

Read the abstract to find out whether an article is relevant to your question. When you find a useful book or article, you can check the bibliography to find other relevant sources.

To identify the most important publications on your topic, take note of recurring citations. If the same authors, books or articles keep appearing in your reading, make sure to seek them out.

You probably won’t be able to read absolutely everything that has been written on the topic – you’ll have to evaluate which sources are most relevant to your questions.

For each publication, ask yourself:

• What question or problem is the author addressing?
• What are the key concepts and how are they defined?
• What are the key theories, models and methods? Does the research use established frameworks or take an innovative approach?
• What are the results and conclusions of the study?
• How does the publication relate to other literature in the field? Does it confirm, add to, or challenge established knowledge?
• How does the publication contribute to your understanding of the topic? What are its key insights and arguments?
• What are the strengths and weaknesses of the research?

Make sure the sources you use are credible, and make sure you read any landmark studies and major theories in your field of research.

You can find out how many times an article has been cited on Google Scholar – a high citation count means the article has been influential in the field, and should certainly be included in your literature review.

The scope of your review will depend on your topic and discipline: in the sciences you usually only review recent literature, but in the humanities you might take a long historical perspective (for example, to trace how a concept has changed in meaning over time).

Remember that you can use our template to summarise and evaluate sources you’re thinking about using!

Take notes and cite your sources

As you read, you should also begin the writing process. Take notes that you can later incorporate into the text of your literature review.

It’s important to keep track of your sources with references to avoid plagiarism . It can be helpful to make an annotated bibliography, where you compile full reference information and write a paragraph of summary and analysis for each source. This helps you remember what you read and saves time later in the process.

You can use our free APA Reference Generator for quick, correct, consistent citations.

To begin organising your literature review’s argument and structure, you need to understand the connections and relationships between the sources you’ve read. Based on your reading and notes, you can look for:

• Trends and patterns (in theory, method or results): do certain approaches become more or less popular over time?
• Themes: what questions or concepts recur across the literature?
• Debates, conflicts and contradictions: where do sources disagree?
• Pivotal publications: are there any influential theories or studies that changed the direction of the field?
• Gaps: what is missing from the literature? Are there weaknesses that need to be addressed?

This step will help you work out the structure of your literature review and (if applicable) show how your own research will contribute to existing knowledge.

• Most research has focused on young women.
• There is an increasing interest in the visual aspects of social media.
• But there is still a lack of robust research on highly-visual platforms like Instagram and Snapchat – this is a gap that you could address in your own research.

There are various approaches to organising the body of a literature review. You should have a rough idea of your strategy before you start writing.

Depending on the length of your literature review, you can combine several of these strategies (for example, your overall structure might be thematic, but each theme is discussed chronologically).

Chronological

The simplest approach is to trace the development of the topic over time. However, if you choose this strategy, be careful to avoid simply listing and summarising sources in order.

Try to analyse patterns, turning points and key debates that have shaped the direction of the field. Give your interpretation of how and why certain developments occurred.

If you have found some recurring central themes, you can organise your literature review into subsections that address different aspects of the topic.

For example, if you are reviewing literature about inequalities in migrant health outcomes, key themes might include healthcare policy, language barriers, cultural attitudes, legal status, and economic access.

Methodological

If you draw your sources from different disciplines or fields that use a variety of research methods , you might want to compare the results and conclusions that emerge from different approaches. For example:

• Look at what results have emerged in qualitative versus quantitative research
• Discuss how the topic has been approached by empirical versus theoretical scholarship
• Divide the literature into sociological, historical, and cultural sources

Theoretical

A literature review is often the foundation for a theoretical framework . You can use it to discuss various theories, models, and definitions of key concepts.

You might argue for the relevance of a specific theoretical approach, or combine various theoretical concepts to create a framework for your research.

Like any other academic text, your literature review should have an introduction , a main body, and a conclusion . What you include in each depends on the objective of your literature review.

The introduction should clearly establish the focus and purpose of the literature review.

If you are writing the literature review as part of your dissertation or thesis, reiterate your central problem or research question and give a brief summary of the scholarly context. You can emphasise the timeliness of the topic (“many recent studies have focused on the problem of x”) or highlight a gap in the literature (“while there has been much research on x, few researchers have taken y into consideration”).

Depending on the length of your literature review, you might want to divide the body into subsections. You can use a subheading for each theme, time period, or methodological approach.

As you write, make sure to follow these tips:

• Summarise and synthesise: give an overview of the main points of each source and combine them into a coherent whole.
• Analyse and interpret: don’t just paraphrase other researchers – add your own interpretations, discussing the significance of findings in relation to the literature as a whole.
• Critically evaluate: mention the strengths and weaknesses of your sources.
• Write in well-structured paragraphs: use transitions and topic sentences to draw connections, comparisons and contrasts.

In the conclusion, you should summarise the key findings you have taken from the literature and emphasise their significance.

If the literature review is part of your dissertation or thesis, reiterate how your research addresses gaps and contributes new knowledge, or discuss how you have drawn on existing theories and methods to build a framework for your research. This can lead directly into your methodology section.

A literature review is a survey of scholarly sources (such as books, journal articles, and theses) related to a specific topic or research question .

It is often written as part of a dissertation , thesis, research paper , or proposal .

There are several reasons to conduct a literature review at the beginning of a research project:

• To familiarise yourself with the current state of knowledge on your topic
• To ensure that you’re not just repeating what others have already done
• To identify gaps in knowledge and unresolved problems that your research can address
• To develop your theoretical framework and methodology
• To provide an overview of the key findings and debates on the topic

Writing the literature review shows your reader how your work relates to existing research and what new insights it will contribute.

The literature review usually comes near the beginning of your  dissertation . After the introduction , it grounds your research in a scholarly field and leads directly to your theoretical framework or methodology .

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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.

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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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Conduct a literature review

What is a literature review.

A literature review is a summary of the published work in a field of study. This can be a section of a larger paper or article, or can be the focus of an entire paper. Literature reviews show that you have examined the breadth of knowledge and can justify your thesis or research questions. They are also valuable tools for other researchers who need to find a summary of that field of knowledge.

Unlike an annotated bibliography, which is a list of sources with short descriptions, a literature review synthesizes sources into a summary that has a thesis or statement of purpose—stated or implied—at its core.

How do I write a literature review?

Step 1: define your research scope.

• What is the specific research question that your literature review helps to define?
• Are there a maximum or minimum number of sources that your review should include?

Ask us if you have questions about refining your topic, search methods, writing tips, or citation management.

Step 2: Identify the literature

Start by searching broadly. Literature for your review will typically be acquired through scholarly books, journal articles, and/or dissertations. Develop an understanding of what is out there, what terms are accurate and helpful, etc., and keep track of all of it with citation management tools . If you need help figuring out key terms and where to search, ask us .

Use citation searching to track how scholars interact with, and build upon, previous research:

• Mine the references cited section of each relevant source for additional key sources
• Use Google Scholar or Scopus to find other sources that have cited a particular work

Step 3: Critically analyze the literature

Key to your literature review is a critical analysis of the literature collected around your topic. The analysis will explore relationships, major themes, and any critical gaps in the research expressed in the work. Read and summarize each source with an eye toward analyzing authority, currency, coverage, methodology, and relationship to other works. The University of Toronto's Writing Center provides a comprehensive list of questions you can use to analyze your sources.

Step 4: Categorize your resources

Divide the available resources that pertain to your research into categories reflecting their roles in addressing your research question. Possible ways to categorize resources include organization by:

• methodology
• theoretical/philosophical approach

Regardless of the division, each category should be accompanied by thorough discussions and explanations of strengths and weaknesses, value to the overall survey, and comparisons with similar sources. You may have enough resources when:

• You've used multiple databases and other resources (web portals, repositories, etc.) to get a variety of perspectives on the research topic.
• The same citations are showing up in a variety of databases.

Additional resources

Undergraduate student resources.

• Literature Review Handout (University of North Carolina at Chapel Hill)
• Learn how to write a review of literature (University of Wisconsin-Madison)

Graduate student and faculty resources

• Information Research Strategies (University of Arizona)
• Literature Reviews: An Overview for Graduate Students (NC State University)
• Oliver, P. (2012). Succeeding with Your Literature Review: A Handbook for Students [ebook]
• Machi, L. A. & McEvoy, B. T. (2016). The Literature Review: Six Steps to Success [ebook]
• Graustein, J. S. (2012). How to Write an Exceptional Thesis or Dissertation: A Step-by-Step Guide from Proposal to Successful Defense [ebook]
• Thomas, R. M. & Brubaker, D. L. (2008). Theses and Dissertations: A Guide to Planning, Research, and Writing

• Ask a Librarian

Literature Reviews

• 1. What is a Literature Review?
• Developing a Research Question
• Types of Reviews
• EagleSearch and Research Databases
• Search Tips and Shortcuts
• 4. Organizing Your Research
• 5. Writing a Literature Review
• Additional Resources

Adding your piece to the puzzle

When writing a literature review, you are putting all the pieces of a jigsaw puzzle together to present to your readers. You are identifying if there are missing puzzle pieces and how your piece will help fill the gap.

What is a Literature Review?

A literature review is designed to summarize, synthesize, and discuss the current state of knowledge about a topic. You will survey books, articles, and other sources of information pertinent to your research topic in an effort to critically analyze and synthesize prior research and how it will inform your current research question.

Steely Library at Northern Kentucky University

2:11 Description of a literature review

NCSU Libraries

9:32 Overview of literature reviews for graduate students

Why are literature reviews an important part of research?

There are numerous reasons for completing and writing a literature review, these include: 

• Literature reviews provide a historical background to the area you are researching;
• Literature reviews provide a contemporary context in which your research is situated;
• Literature reviews can introduce theories on which your research is based;
• Literature reviews can provide definitions to technical terms or other jargon;
• Literature reviews provide the bigger picture as to where your research fits in the discipline;
• Literature reviews demonstrate how your research will help fill a gap in prior research.
• Next: 2. Planning a Literature Review >>
• Last Updated: Oct 25, 2023 10:38 AM
• URL: https://guides.erau.edu/lit-review

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What Is A Literature Review?

A plain-language explainer (with examples).

By:  Derek Jansen (MBA) & Kerryn Warren (PhD) | June 2020 (Updated May 2023)

If you’re faced with writing a dissertation or thesis, chances are you’ve encountered the term “literature review” . If you’re on this page, you’re probably not 100% what the literature review is all about. The good news is that you’ve come to the right place.

Literature Review 101

• What (exactly) is a literature review
• What’s the purpose of the literature review chapter
• How to find high-quality resources
• How to structure your literature review chapter
• Example of an actual literature review

What is a literature review?

The word “literature review” can refer to two related things that are part of the broader literature review process. The first is the task of  reviewing the literature  – i.e. sourcing and reading through the existing research relating to your research topic. The second is the  actual chapter  that you write up in your dissertation, thesis or research project. Let’s look at each of them:

Reviewing the literature

The first step of any literature review is to hunt down and  read through the existing research  that’s relevant to your research topic. To do this, you’ll use a combination of tools (we’ll discuss some of these later) to find journal articles, books, ebooks, research reports, dissertations, theses and any other credible sources of information that relate to your topic. You’ll then  summarise and catalogue these  for easy reference when you write up your literature review chapter. 

The literature review chapter

The second step of the literature review is to write the actual literature review chapter (this is usually the second chapter in a typical dissertation or thesis structure ). At the simplest level, the literature review chapter is an  overview of the key literature  that’s relevant to your research topic. This chapter should provide a smooth-flowing discussion of what research has already been done, what is known, what is unknown and what is contested in relation to your research topic. So, you can think of it as an  integrated review of the state of knowledge  around your research topic. 

What’s the purpose of a literature review?

The literature review chapter has a few important functions within your dissertation, thesis or research project. Let’s take a look at these:

Purpose #1 – Demonstrate your topic knowledge

The first function of the literature review chapter is, quite simply, to show the reader (or marker) that you  know what you’re talking about . In other words, a good literature review chapter demonstrates that you’ve read the relevant existing research and understand what’s going on – who’s said what, what’s agreed upon, disagreed upon and so on. This needs to be  more than just a summary  of who said what – it needs to integrate the existing research to  show how it all fits together  and what’s missing (which leads us to purpose #2, next). 

Purpose #2 – Reveal the research gap that you’ll fill

The second function of the literature review chapter is to  show what’s currently missing  from the existing research, to lay the foundation for your own research topic. In other words, your literature review chapter needs to show that there are currently “missing pieces” in terms of the bigger puzzle, and that  your study will fill one of those research gaps . By doing this, you are showing that your research topic is original and will help contribute to the body of knowledge. In other words, the literature review helps justify your research topic.  

Purpose #3 – Lay the foundation for your conceptual framework

The third function of the literature review is to form the  basis for a conceptual framework . Not every research topic will necessarily have a conceptual framework, but if your topic does require one, it needs to be rooted in your literature review. 

For example, let’s say your research aims to identify the drivers of a certain outcome – the factors which contribute to burnout in office workers. In this case, you’d likely develop a conceptual framework which details the potential factors (e.g. long hours, excessive stress, etc), as well as the outcome (burnout). Those factors would need to emerge from the literature review chapter – they can’t just come from your gut! 

So, in this case, the literature review chapter would uncover each of the potential factors (based on previous studies about burnout), which would then be modelled into a framework. 

Purpose #4 – To inform your methodology

The fourth function of the literature review is to  inform the choice of methodology  for your own research. As we’ve  discussed on the Grad Coach blog , your choice of methodology will be heavily influenced by your research aims, objectives and questions . Given that you’ll be reviewing studies covering a topic close to yours, it makes sense that you could learn a lot from their (well-considered) methodologies.

So, when you’re reviewing the literature, you’ll need to  pay close attention to the research design , methodology and methods used in similar studies, and use these to inform your methodology. Quite often, you’ll be able to  “borrow” from previous studies . This is especially true for quantitative studies , as you can use previously tried and tested measures and scales. 

How do I find articles for my literature review?

Finding quality journal articles is essential to crafting a rock-solid literature review. As you probably already know, not all research is created equally, and so you need to make sure that your literature review is  built on credible research . 

We could write an entire post on how to find quality literature (actually, we have ), but a good starting point is Google Scholar . Google Scholar is essentially the academic equivalent of Google, using Google’s powerful search capabilities to find relevant journal articles and reports. It certainly doesn’t cover every possible resource, but it’s a very useful way to get started on your literature review journey, as it will very quickly give you a good indication of what the  most popular pieces of research  are in your field.

One downside of Google Scholar is that it’s merely a search engine – that is, it lists the articles, but oftentimes  it doesn’t host the articles . So you’ll often hit a paywall when clicking through to journal websites. 

Thankfully, your university should provide you with access to their library, so you can find the article titles using Google Scholar and then search for them by name in your university’s online library. Your university may also provide you with access to  ResearchGate , which is another great source for existing research. 

Remember, the correct search keywords will be super important to get the right information from the start. So, pay close attention to the keywords used in the journal articles you read and use those keywords to search for more articles. If you can’t find a spoon in the kitchen, you haven’t looked in the right drawer. 

Need a helping hand?

How should I structure my literature review?

Unfortunately, there’s no generic universal answer for this one. The structure of your literature review will depend largely on your topic area and your research aims and objectives.

You could potentially structure your literature review chapter according to theme, group, variables , chronologically or per concepts in your field of research. We explain the main approaches to structuring your literature review here . You can also download a copy of our free literature review template to help you establish an initial structure.

In general, it’s also a good idea to start wide (i.e. the big-picture-level) and then narrow down, ending your literature review close to your research questions . However, there’s no universal one “right way” to structure your literature review. The most important thing is not to discuss your sources one after the other like a list – as we touched on earlier, your literature review needs to synthesise the research , not summarise it .

Ultimately, you need to craft your literature review so that it conveys the most important information effectively – it needs to tell a logical story in a digestible way. It’s no use starting off with highly technical terms and then only explaining what these terms mean later. Always assume your reader is not a subject matter expert and hold their hand through a journe y of the literature while keeping the functions of the literature review chapter (which we discussed earlier) front of mind.

Example of a literature review

In the video below, we walk you through a high-quality literature review from a dissertation that earned full distinction. This will give you a clearer view of what a strong literature review looks like in practice and hopefully provide some inspiration for your own. 

Wrapping Up

In this post, we’ve (hopefully) answered the question, “ what is a literature review? “. We’ve also considered the purpose and functions of the literature review, as well as how to find literature and how to structure the literature review chapter. If you’re keen to learn more, check out the literature review section of the Grad Coach blog , as well as our detailed video post covering how to write a literature review . 

Psst… there’s more!

This post is an extract from our bestselling short course, Literature Review Bootcamp . If you want to work smart, you don't want to miss this .

16 Comments

Thanks for this review. It narrates what’s not been taught as tutors are always in a early to finish their classes.

Thanks for the kind words, Becky. Good luck with your literature review 🙂

This website is amazing, it really helps break everything down. Thank you, I would have been lost without it.

This is review is amazing. I benefited from it a lot and hope others visiting this website will benefit too.

Timothy T. Chol [email protected]

Thank you very much for the guiding in literature review I learn and benefited a lot this make my journey smooth I’ll recommend this site to my friends

This was so useful. Thank you so much.

Hi, Concept was explained nicely by both of you. Thanks a lot for sharing it. It will surely help research scholars to start their Research Journey.

The review is really helpful to me especially during this period of covid-19 pandemic when most universities in my country only offer online classes. Great stuff

Great Brief Explanation, thanks

So helpful to me as a student

GradCoach is a fantastic site with brilliant and modern minds behind it.. I spent weeks decoding the substantial academic Jargon and grounding my initial steps on the research process, which could be shortened to a couple of days through the Gradcoach. Thanks again!

This is an amazing talk. I paved way for myself as a researcher. Thank you GradCoach!

Well-presented overview of the literature!

This was brilliant. So clear. Thank you

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Online Guide to Writing and Research

The research process, explore more of umgc.

• Online Guide to Writing

Planning and Writing a Research Paper

Survey the Literature

After you have decided on a topic that you want to learn more about, you need to review the literature that has been written about your topic.  This is called performing a literature review.  

If you are a UMGC student, you could use the search box in the middle of the library homepage , and see what you find out about your topic.  If you are not a UMGC student, then you can use your local library catalog, or you could do an internet search with your topic terms in Google and see what you might find.  This is a learning and discovering time.  

Steps for Surveying the Literature

Review the literature:  Take a few hours or an evening to investigate the library for journals, scholarly books, and publications from credible sources to give you a general sense of the topic.  When you are researching and finding resources, you are answering the question of how to review literature. 

Make sure to keep a list of the resources that you find useful.  This preliminary research will prepare you to frame your research question.

Weed out sources:  This is where you determine if the sources that you found will help your writing or if you need to “weed” out or remove any that are not helpful to you.   

Refine your topic:  This is where you determine if you need to reframe your topic to utilize all of the sources that you found when digging in to your topic.  In this part of the process, you are answering the question of why we do literature reviews in the first place.  When you refine and make your topic more detailed and concise, you will have an easier time when sitting down and writing your paper.  

Key Takeaways

• This process, like writing in general, is recursive. 
• You may need to survey the literature a few more times as you begin writing your paper.

Mailing Address: 3501 University Blvd. East, Adelphi, MD 20783 This work is licensed under a  Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License . © 2022 UMGC. All links to external sites were verified at the time of publication. UMGC is not responsible for the validity or integrity of information located at external sites.

Table of Contents: Online Guide to Writing

Chapter 1: College Writing

How Does College Writing Differ from Workplace Writing?

What Is College Writing?

Why So Much Emphasis on Writing?

Chapter 2: The Writing Process

Doing Exploratory Research

Getting from Notes to Your Draft

Introduction

Prewriting - Techniques to Get Started - Mining Your Intuition

Prewriting: Targeting Your Audience

Prewriting: Techniques to Get Started

Prewriting: Understanding Your Assignment

Rewriting: Being Your Own Critic

Rewriting: Creating a Revision Strategy

Rewriting: Getting Feedback

Rewriting: The Final Draft

Techniques to Get Started - Outlining

Techniques to Get Started - Using Systematic Techniques

Thesis Statement and Controlling Idea

Writing: Getting from Notes to Your Draft - Freewriting

Writing: Getting from Notes to Your Draft - Summarizing Your Ideas

Writing: Outlining What You Will Write

Chapter 3: Thinking Strategies

A Word About Style, Voice, and Tone

A Word About Style, Voice, and Tone: Style Through Vocabulary and Diction

Critical Strategies and Writing

Critical Strategies and Writing: Analysis

Critical Strategies and Writing: Evaluation

Critical Strategies and Writing: Persuasion

Critical Strategies and Writing: Synthesis

Developing a Paper Using Strategies

Kinds of Assignments You Will Write

Patterns for Presenting Information

Patterns for Presenting Information: Critiques

Patterns for Presenting Information: Discussing Raw Data

Patterns for Presenting Information: General-to-Specific Pattern

Patterns for Presenting Information: Problem-Cause-Solution Pattern

Patterns for Presenting Information: Specific-to-General Pattern

Patterns for Presenting Information: Summaries and Abstracts

Supporting with Research and Examples

Writing Essay Examinations

Writing Essay Examinations: Make Your Answer Relevant and Complete

Writing Essay Examinations: Organize Thinking Before Writing

Writing Essay Examinations: Read and Understand the Question

Chapter 4: The Research Process

Planning and Writing a Research Paper: Ask a Research Question

Planning and Writing a Research Paper: Cite Sources

Planning and Writing a Research Paper: Collect Evidence

Planning and Writing a Research Paper: Decide Your Point of View, or Role, for Your Research

Planning and Writing a Research Paper: Draw Conclusions

Planning and Writing a Research Paper: Find a Topic and Get an Overview

Planning and Writing a Research Paper: Manage Your Resources

Planning and Writing a Research Paper: Outline

Planning and Writing a Research Paper: Survey the Literature

Planning and Writing a Research Paper: Work Your Sources into Your Research Writing

Research Resources: Where Are Research Resources Found? - Human Resources

Research Resources: What Are Research Resources?

Research Resources: Where Are Research Resources Found?

Research Resources: Where Are Research Resources Found? - Electronic Resources

Research Resources: Where Are Research Resources Found? - Print Resources

Structuring the Research Paper: Formal Research Structure

Structuring the Research Paper: Informal Research Structure

The Nature of Research

The Research Assignment: How Should Research Sources Be Evaluated?

The Research Assignment: When Is Research Needed?

The Research Assignment: Why Perform Research?

Chapter 5: Academic Integrity

Academic Integrity

Giving Credit to Sources

Giving Credit to Sources: Copyright Laws

Giving Credit to Sources: Documentation

Giving Credit to Sources: Style Guides

Integrating Sources

Practicing Academic Integrity

Practicing Academic Integrity: Keeping Accurate Records

Practicing Academic Integrity: Managing Source Material

Practicing Academic Integrity: Managing Source Material - Paraphrasing Your Source

Practicing Academic Integrity: Managing Source Material - Quoting Your Source

Practicing Academic Integrity: Managing Source Material - Summarizing Your Sources

Types of Documentation

Types of Documentation: Bibliographies and Source Lists

Types of Documentation: Citing World Wide Web Sources

Types of Documentation: In-Text or Parenthetical Citations

Types of Documentation: In-Text or Parenthetical Citations - APA Style

Types of Documentation: In-Text or Parenthetical Citations - CSE/CBE Style

Types of Documentation: In-Text or Parenthetical Citations - Chicago Style

Types of Documentation: In-Text or Parenthetical Citations - MLA Style

Types of Documentation: Note Citations

Chapter 6: Using Library Resources

Finding Library Resources

Chapter 7: Assessing Your Writing

How Is Writing Graded?

How Is Writing Graded?: A General Assessment Tool

The Draft Stage

The Draft Stage: The First Draft

The Draft Stage: The Revision Process and the Final Draft

The Draft Stage: Using Feedback

The Research Stage

Using Assessment to Improve Your Writing

Chapter 8: Other Frequently Assigned Papers

Reviews and Reaction Papers: Article and Book Reviews

Reviews and Reaction Papers: Reaction Papers

Writing Arguments

Writing Arguments: Adapting the Argument Structure

Writing Arguments: Purposes of Argument

Writing Arguments: References to Consult for Writing Arguments

Writing Arguments: Steps to Writing an Argument - Anticipate Active Opposition

Writing Arguments: Steps to Writing an Argument - Determine Your Organization

Writing Arguments: Steps to Writing an Argument - Develop Your Argument

Writing Arguments: Steps to Writing an Argument - Introduce Your Argument

Writing Arguments: Steps to Writing an Argument - State Your Thesis or Proposition

Writing Arguments: Steps to Writing an Argument - Write Your Conclusion

Writing Arguments: Types of Argument

Appendix A: Books to Help Improve Your Writing

Dictionaries

General Style Manuals

Researching on the Internet

Special Style Manuals

Writing Handbooks

Appendix B: Collaborative Writing and Peer Reviewing

Collaborative Writing: Assignments to Accompany the Group Project

Collaborative Writing: Informal Progress Report

Collaborative Writing: Issues to Resolve

Collaborative Writing: Methodology

Collaborative Writing: Peer Evaluation

Collaborative Writing: Tasks of Collaborative Writing Group Members

Collaborative Writing: Writing Plan

General Introduction

Peer Reviewing

Appendix C: Developing an Improvement Plan

Working with Your Instructor’s Comments and Grades

Appendix D: Writing Plan and Project Schedule

Devising a Writing Project Plan and Schedule

Reviewing Your Plan with Others

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Understanding and Evaluating Survey Research

A variety of methodologic approaches exist for individuals interested in conducting research. Selection of a research approach depends on a number of factors, including the purpose of the research, the type of research questions to be answered, and the availability of resources. The purpose of this article is to describe survey research as one approach to the conduct of research so that the reader can critically evaluate the appropriateness of the conclusions from studies employing survey research.

SURVEY RESEARCH

Survey research is defined as "the collection of information from a sample of individuals through their responses to questions" ( Check & Schutt, 2012, p. 160 ). This type of research allows for a variety of methods to recruit participants, collect data, and utilize various methods of instrumentation. Survey research can use quantitative research strategies (e.g., using questionnaires with numerically rated items), qualitative research strategies (e.g., using open-ended questions), or both strategies (i.e., mixed methods). As it is often used to describe and explore human behavior, surveys are therefore frequently used in social and psychological research ( Singleton & Straits, 2009 ).

Information has been obtained from individuals and groups through the use of survey research for decades. It can range from asking a few targeted questions of individuals on a street corner to obtain information related to behaviors and preferences, to a more rigorous study using multiple valid and reliable instruments. Common examples of less rigorous surveys include marketing or political surveys of consumer patterns and public opinion polls.

Survey research has historically included large population-based data collection. The primary purpose of this type of survey research was to obtain information describing characteristics of a large sample of individuals of interest relatively quickly. Large census surveys obtaining information reflecting demographic and personal characteristics and consumer feedback surveys are prime examples. These surveys were often provided through the mail and were intended to describe demographic characteristics of individuals or obtain opinions on which to base programs or products for a population or group.

More recently, survey research has developed into a rigorous approach to research, with scientifically tested strategies detailing who to include (representative sample), what and how to distribute (survey method), and when to initiate the survey and follow up with nonresponders (reducing nonresponse error), in order to ensure a high-quality research process and outcome. Currently, the term "survey" can reflect a range of research aims, sampling and recruitment strategies, data collection instruments, and methods of survey administration.

Given this range of options in the conduct of survey research, it is imperative for the consumer/reader of survey research to understand the potential for bias in survey research as well as the tested techniques for reducing bias, in order to draw appropriate conclusions about the information reported in this manner. Common types of error in research, along with the sources of error and strategies for reducing error as described throughout this article, are summarized in the Table .

Sources of Error in Survey Research and Strategies to Reduce Error

The goal of sampling strategies in survey research is to obtain a sufficient sample that is representative of the population of interest. It is often not feasible to collect data from an entire population of interest (e.g., all individuals with lung cancer); therefore, a subset of the population or sample is used to estimate the population responses (e.g., individuals with lung cancer currently receiving treatment). A large random sample increases the likelihood that the responses from the sample will accurately reflect the entire population. In order to accurately draw conclusions about the population, the sample must include individuals with characteristics similar to the population.

It is therefore necessary to correctly identify the population of interest (e.g., individuals with lung cancer currently receiving treatment vs. all individuals with lung cancer). The sample will ideally include individuals who reflect the intended population in terms of all characteristics of the population (e.g., sex, socioeconomic characteristics, symptom experience) and contain a similar distribution of individuals with those characteristics. As discussed by Mady Stovall beginning on page 162, Fujimori et al. ( 2014 ), for example, were interested in the population of oncologists. The authors obtained a sample of oncologists from two hospitals in Japan. These participants may or may not have similar characteristics to all oncologists in Japan.

Participant recruitment strategies can affect the adequacy and representativeness of the sample obtained. Using diverse recruitment strategies can help improve the size of the sample and help ensure adequate coverage of the intended population. For example, if a survey researcher intends to obtain a sample of individuals with breast cancer representative of all individuals with breast cancer in the United States, the researcher would want to use recruitment strategies that would recruit both women and men, individuals from rural and urban settings, individuals receiving and not receiving active treatment, and so on. Because of the difficulty in obtaining samples representative of a large population, researchers may focus the population of interest to a subset of individuals (e.g., women with stage III or IV breast cancer). Large census surveys require extremely large samples to adequately represent the characteristics of the population because they are intended to represent the entire population.

DATA COLLECTION METHODS

Survey research may use a variety of data collection methods with the most common being questionnaires and interviews. Questionnaires may be self-administered or administered by a professional, may be administered individually or in a group, and typically include a series of items reflecting the research aims. Questionnaires may include demographic questions in addition to valid and reliable research instruments ( Costanzo, Stawski, Ryff, Coe, & Almeida, 2012 ; DuBenske et al., 2014 ; Ponto, Ellington, Mellon, & Beck, 2010 ). It is helpful to the reader when authors describe the contents of the survey questionnaire so that the reader can interpret and evaluate the potential for errors of validity (e.g., items or instruments that do not measure what they are intended to measure) and reliability (e.g., items or instruments that do not measure a construct consistently). Helpful examples of articles that describe the survey instruments exist in the literature ( Buerhaus et al., 2012 ).

Questionnaires may be in paper form and mailed to participants, delivered in an electronic format via email or an Internet-based program such as SurveyMonkey, or a combination of both, giving the participant the option to choose which method is preferred ( Ponto et al., 2010 ). Using a combination of methods of survey administration can help to ensure better sample coverage (i.e., all individuals in the population having a chance of inclusion in the sample) therefore reducing coverage error ( Dillman, Smyth, & Christian, 2014 ; Singleton & Straits, 2009 ). For example, if a researcher were to only use an Internet-delivered questionnaire, individuals without access to a computer would be excluded from participation. Self-administered mailed, group, or Internet-based questionnaires are relatively low cost and practical for a large sample ( Check & Schutt, 2012 ).

Dillman et al. ( 2014 ) have described and tested a tailored design method for survey research. Improving the visual appeal and graphics of surveys by using a font size appropriate for the respondents, ordering items logically without creating unintended response bias, and arranging items clearly on each page can increase the response rate to electronic questionnaires. Attending to these and other issues in electronic questionnaires can help reduce measurement error (i.e., lack of validity or reliability) and help ensure a better response rate.

Conducting interviews is another approach to data collection used in survey research. Interviews may be conducted by phone, computer, or in person and have the benefit of visually identifying the nonverbal response(s) of the interviewee and subsequently being able to clarify the intended question. An interviewer can use probing comments to obtain more information about a question or topic and can request clarification of an unclear response ( Singleton & Straits, 2009 ). Interviews can be costly and time intensive, and therefore are relatively impractical for large samples.

Some authors advocate for using mixed methods for survey research when no one method is adequate to address the planned research aims, to reduce the potential for measurement and non-response error, and to better tailor the study methods to the intended sample ( Dillman et al., 2014 ; Singleton & Straits, 2009 ). For example, a mixed methods survey research approach may begin with distributing a questionnaire and following up with telephone interviews to clarify unclear survey responses ( Singleton & Straits, 2009 ). Mixed methods might also be used when visual or auditory deficits preclude an individual from completing a questionnaire or participating in an interview.

FUJIMORI ET AL.: SURVEY RESEARCH

Fujimori et al. ( 2014 ) described the use of survey research in a study of the effect of communication skills training for oncologists on oncologist and patient outcomes (e.g., oncologist’s performance and confidence and patient’s distress, satisfaction, and trust). A sample of 30 oncologists from two hospitals was obtained and though the authors provided a power analysis concluding an adequate number of oncologist participants to detect differences between baseline and follow-up scores, the conclusions of the study may not be generalizable to a broader population of oncologists. Oncologists were randomized to either an intervention group (i.e., communication skills training) or a control group (i.e., no training).

Fujimori et al. ( 2014 ) chose a quantitative approach to collect data from oncologist and patient participants regarding the study outcome variables. Self-report numeric ratings were used to measure oncologist confidence and patient distress, satisfaction, and trust. Oncologist confidence was measured using two instruments each using 10-point Likert rating scales. The Hospital Anxiety and Depression Scale (HADS) was used to measure patient distress and has demonstrated validity and reliability in a number of populations including individuals with cancer ( Bjelland, Dahl, Haug, & Neckelmann, 2002 ). Patient satisfaction and trust were measured using 0 to 10 numeric rating scales. Numeric observer ratings were used to measure oncologist performance of communication skills based on a videotaped interaction with a standardized patient. Participants completed the same questionnaires at baseline and follow-up.

The authors clearly describe what data were collected from all participants. Providing additional information about the manner in which questionnaires were distributed (i.e., electronic, mail), the setting in which data were collected (e.g., home, clinic), and the design of the survey instruments (e.g., visual appeal, format, content, arrangement of items) would assist the reader in drawing conclusions about the potential for measurement and nonresponse error. The authors describe conducting a follow-up phone call or mail inquiry for nonresponders, using the Dillman et al. ( 2014 ) tailored design for survey research follow-up may have reduced nonresponse error.

CONCLUSIONS

Survey research is a useful and legitimate approach to research that has clear benefits in helping to describe and explore variables and constructs of interest. Survey research, like all research, has the potential for a variety of sources of error, but several strategies exist to reduce the potential for error. Advanced practitioners aware of the potential sources of error and strategies to improve survey research can better determine how and whether the conclusions from a survey research study apply to practice.

The author has no potential conflicts of interest to disclose.

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Methodology

• Survey Research | Definition, Examples & Methods

Survey Research | Definition, Examples & Methods

Published on August 20, 2019 by Shona McCombes . Revised on June 22, 2023.

Survey research means collecting information about a group of people by asking them questions and analyzing the results. To conduct an effective survey, follow these six steps:

• Determine who will participate in the survey
• Decide the type of survey (mail, online, or in-person)
• Design the survey questions and layout
• Distribute the survey
• Analyze the responses
• Write up the results

Surveys are a flexible method of data collection that can be used in many different types of research .

Table of contents

What are surveys used for, step 1: define the population and sample, step 2: decide on the type of survey, step 3: design the survey questions, step 4: distribute the survey and collect responses, step 5: analyze the survey results, step 6: write up the survey results, other interesting articles, frequently asked questions about surveys.

Surveys are used as a method of gathering data in many different fields. They are a good choice when you want to find out about the characteristics, preferences, opinions, or beliefs of a group of people.

Common uses of survey research include:

• Social research : investigating the experiences and characteristics of different social groups
• Market research : finding out what customers think about products, services, and companies
• Health research : collecting data from patients about symptoms and treatments
• Politics : measuring public opinion about parties and policies
• Psychology : researching personality traits, preferences and behaviours

Surveys can be used in both cross-sectional studies , where you collect data just once, and in longitudinal studies , where you survey the same sample several times over an extended period.

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Before you start conducting survey research, you should already have a clear research question that defines what you want to find out. Based on this question, you need to determine exactly who you will target to participate in the survey.

Populations

The target population is the specific group of people that you want to find out about. This group can be very broad or relatively narrow. For example:

• The population of Brazil
• US college students
• Second-generation immigrants in the Netherlands
• Customers of a specific company aged 18-24
• British transgender women over the age of 50

Your survey should aim to produce results that can be generalized to the whole population. That means you need to carefully define exactly who you want to draw conclusions about.

Several common research biases can arise if your survey is not generalizable, particularly sampling bias and selection bias . The presence of these biases have serious repercussions for the validity of your results.

It’s rarely possible to survey the entire population of your research – it would be very difficult to get a response from every person in Brazil or every college student in the US. Instead, you will usually survey a sample from the population.

The sample size depends on how big the population is. You can use an online sample calculator to work out how many responses you need.

There are many sampling methods that allow you to generalize to broad populations. In general, though, the sample should aim to be representative of the population as a whole. The larger and more representative your sample, the more valid your conclusions. Again, beware of various types of sampling bias as you design your sample, particularly self-selection bias , nonresponse bias , undercoverage bias , and survivorship bias .

There are two main types of survey:

• A questionnaire , where a list of questions is distributed by mail, online or in person, and respondents fill it out themselves.
• An interview , where the researcher asks a set of questions by phone or in person and records the responses.

Which type you choose depends on the sample size and location, as well as the focus of the research.

Questionnaires

Sending out a paper survey by mail is a common method of gathering demographic information (for example, in a government census of the population).

• You can easily access a large sample.
• You have some control over who is included in the sample (e.g. residents of a specific region).
• The response rate is often low, and at risk for biases like self-selection bias .

Online surveys are a popular choice for students doing dissertation research , due to the low cost and flexibility of this method. There are many online tools available for constructing surveys, such as SurveyMonkey and Google Forms .

• You can quickly access a large sample without constraints on time or location.
• The data is easy to process and analyze.
• The anonymity and accessibility of online surveys mean you have less control over who responds, which can lead to biases like self-selection bias .

If your research focuses on a specific location, you can distribute a written questionnaire to be completed by respondents on the spot. For example, you could approach the customers of a shopping mall or ask all students to complete a questionnaire at the end of a class.

• You can screen respondents to make sure only people in the target population are included in the sample.
• You can collect time- and location-specific data (e.g. the opinions of a store’s weekday customers).
• The sample size will be smaller, so this method is less suitable for collecting data on broad populations and is at risk for sampling bias .

Oral interviews are a useful method for smaller sample sizes. They allow you to gather more in-depth information on people’s opinions and preferences. You can conduct interviews by phone or in person.

• You have personal contact with respondents, so you know exactly who will be included in the sample in advance.
• You can clarify questions and ask for follow-up information when necessary.
• The lack of anonymity may cause respondents to answer less honestly, and there is more risk of researcher bias.

Like questionnaires, interviews can be used to collect quantitative data: the researcher records each response as a category or rating and statistically analyzes the results. But they are more commonly used to collect qualitative data : the interviewees’ full responses are transcribed and analyzed individually to gain a richer understanding of their opinions and feelings.

Next, you need to decide which questions you will ask and how you will ask them. It’s important to consider:

• The type of questions
• The content of the questions
• The phrasing of the questions
• The ordering and layout of the survey

Open-ended vs closed-ended questions

There are two main forms of survey questions: open-ended and closed-ended. Many surveys use a combination of both.

Closed-ended questions give the respondent a predetermined set of answers to choose from. A closed-ended question can include:

• A binary answer (e.g. yes/no or agree/disagree )
• A scale (e.g. a Likert scale with five points ranging from strongly agree to strongly disagree )
• A list of options with a single answer possible (e.g. age categories)
• A list of options with multiple answers possible (e.g. leisure interests)

Closed-ended questions are best for quantitative research . They provide you with numerical data that can be statistically analyzed to find patterns, trends, and correlations .

Open-ended questions are best for qualitative research. This type of question has no predetermined answers to choose from. Instead, the respondent answers in their own words.

Open questions are most common in interviews, but you can also use them in questionnaires. They are often useful as follow-up questions to ask for more detailed explanations of responses to the closed questions.

The content of the survey questions

To ensure the validity and reliability of your results, you need to carefully consider each question in the survey. All questions should be narrowly focused with enough context for the respondent to answer accurately. Avoid questions that are not directly relevant to the survey’s purpose.

When constructing closed-ended questions, ensure that the options cover all possibilities. If you include a list of options that isn’t exhaustive, you can add an “other” field.

Phrasing the survey questions

In terms of language, the survey questions should be as clear and precise as possible. Tailor the questions to your target population, keeping in mind their level of knowledge of the topic. Avoid jargon or industry-specific terminology.

Survey questions are at risk for biases like social desirability bias , the Hawthorne effect , or demand characteristics . It’s critical to use language that respondents will easily understand, and avoid words with vague or ambiguous meanings. Make sure your questions are phrased neutrally, with no indication that you’d prefer a particular answer or emotion.

Ordering the survey questions

The questions should be arranged in a logical order. Start with easy, non-sensitive, closed-ended questions that will encourage the respondent to continue.

If the survey covers several different topics or themes, group together related questions. You can divide a questionnaire into sections to help respondents understand what is being asked in each part.

If a question refers back to or depends on the answer to a previous question, they should be placed directly next to one another.

Before you start, create a clear plan for where, when, how, and with whom you will conduct the survey. Determine in advance how many responses you require and how you will gain access to the sample.

When you are satisfied that you have created a strong research design suitable for answering your research questions, you can conduct the survey through your method of choice – by mail, online, or in person.

There are many methods of analyzing the results of your survey. First you have to process the data, usually with the help of a computer program to sort all the responses. You should also clean the data by removing incomplete or incorrectly completed responses.

If you asked open-ended questions, you will have to code the responses by assigning labels to each response and organizing them into categories or themes. You can also use more qualitative methods, such as thematic analysis , which is especially suitable for analyzing interviews.

Statistical analysis is usually conducted using programs like SPSS or Stata. The same set of survey data can be subject to many analyses.

Finally, when you have collected and analyzed all the necessary data, you will write it up as part of your thesis, dissertation , or research paper .

In the methodology section, you describe exactly how you conducted the survey. You should explain the types of questions you used, the sampling method, when and where the survey took place, and the response rate. You can include the full questionnaire as an appendix and refer to it in the text if relevant.

Then introduce the analysis by describing how you prepared the data and the statistical methods you used to analyze it. In the results section, you summarize the key results from your analysis.

In the discussion and conclusion , you give your explanations and interpretations of these results, answer your research question, and reflect on the implications and limitations of the research.

If you want to know more about statistics , methodology , or research bias , make sure to check out some of our other articles with explanations and examples.

• Student’s  t -distribution
• Normal distribution
• Null and Alternative Hypotheses
• Chi square tests
• Confidence interval
• Quartiles & Quantiles
• Cluster sampling
• Stratified sampling
• Data cleansing
• Reproducibility vs Replicability
• Peer review
• Prospective cohort study

Research bias

• Implicit bias
• Cognitive bias
• Placebo effect
• Hawthorne effect
• Hindsight bias
• Affect heuristic
• Social desirability bias

A questionnaire is a data collection tool or instrument, while a survey is an overarching research method that involves collecting and analyzing data from people using questionnaires.

A Likert scale is a rating scale that quantitatively assesses opinions, attitudes, or behaviors. It is made up of 4 or more questions that measure a single attitude or trait when response scores are combined.

To use a Likert scale in a survey , you present participants with Likert-type questions or statements, and a continuum of items, usually with 5 or 7 possible responses, to capture their degree of agreement.

Individual Likert-type questions are generally considered ordinal data , because the items have clear rank order, but don’t have an even distribution.

Overall Likert scale scores are sometimes treated as interval data. These scores are considered to have directionality and even spacing between them.

The type of data determines what statistical tests you should use to analyze your data.

The priorities of a research design can vary depending on the field, but you usually have to specify:

• Your research questions and/or hypotheses
• Your overall approach (e.g., qualitative or quantitative )
• The type of design you’re using (e.g., a survey , experiment , or case study )
• Your sampling methods or criteria for selecting subjects
• Your data collection methods (e.g., questionnaires , observations)
• Your data collection procedures (e.g., operationalization , timing and data management)
• Your data analysis methods (e.g., statistical tests  or thematic analysis )

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• Open access
• Published: 07 August 2024

Management training programs in healthcare: effectiveness factors, challenges and outcomes

• Lucia Giovanelli 1 ,
• Federico Rotondo 2 &
• Nicoletta Fadda 1  

BMC Health Services Research volume  24 , Article number:  904 ( 2024 ) Cite this article

107 Accesses

Metrics details

Different professionals working in healthcare organizations (e.g., physicians, veterinarians, pharmacists, biologists, engineers, etc.) must be able to properly manage scarce resources to meet increasingly complex needs and demands. Due to the lack of specific courses in curricular university education, particularly in the field of medicine, management training programs have become an essential element in preparing health professionals to cope with global challenges. This study aims to examine factors influencing the effectiveness of management training programs and their outcomes in healthcare settings, at middle-management level, in general and by different groups of participants: physicians and non-physicians, participants with or without management positions.

A survey was used for gathering information from a purposive sample of professionals in the healthcare field attending management training programs in Italy. Factor analysis, a set of ordinal logistic regressions and an unpaired two-sample t-test were used for data elaboration.

The findings show the importance of diversity of pedagogical approaches and tools and debate, and class homogeneity, as effectiveness factors. Lower competencies held before the training programs and problems of dialogue and discussion during the course are conducive to innovative practice introduction. Interpersonal and career outcomes are greater for those holding management positions.

Conclusions

The study reveals four profiles of participants with different gaps and needs. Training programs should be tailored based on participants’ profiles, in terms of pedagogical approaches and tools, and preserve class homogeneity in terms of professional backgrounds and management levels to facilitate constructive dialogue and solution finding approach.

Peer Review reports

Several healthcare systems worldwide have identified management training as a precondition for developing appropriate strategies to address global challenges such as, on one hand, poor health service outcomes in front of increased health expenditure, particularly for pharmaceuticals, personnel shortages and low productivity, and on the other hand in terms of unbalanced quality and equal access to healthcare across the population [ 1 ]. The sustainability of health systems itself seems to be associated with the presence of leaders, at all levels of health organizations, who are able to correctly manage scarce resources to meet increasingly complex health needs and demands, at the same time motivating health personnel under an increasing amount of stress and steering their behaviors towards the system’s goals, in order to drive the transition towards more decentralized, interorganizational and patient-centered care models [ 2 ].

Recently, professional training as an activity aimed at increasing learning of new capabilities (reskilling) and improving existing ones (upskilling) during the lifetime of individuals (lifelong learning) has been identified by the European Commission as one of the seven flagship programs to be developed in the National Recovery and Resilience Plans (NRRP) to support the achievement of European Union’s goals, such as green and digital transitions, innovation, economic and social inclusion and occupation [ 3 ]. As a consequence, many member states have implemented training programs to face current and future challenges in health, which often represents a core mission in their NRRPs.

The increased importance of developing management training programs is also related to the rigidity and focalization of university degree courses in medicine, which do not provide physicians with the basic tools for fulfilling managerial roles [ 4 ]. Furthermore, taking on these roles does not automatically mean filling existing gaps in management capabilities and skills [ 5 ]. Several studies have demonstrated that, in the health setting, management competencies are influenced by positions and management levels as well as by organization and system’s features [ 6 , 7 ]. Hence, training programs aimed at increasing management competencies cannot be developed without considering these differences.

To date, few studies have focused on investigating management training programs in healthcare [ 8 ]. In particular, much more investigation is required on methods, contents, processes and challenges determining the effectiveness of training programs addressed to health managers by taking into account different environments, positions and management levels [ 1 ]. A gap also exists in the assessment of management training programs’ outcomes [ 9 ]. This study aims to examine factors influencing the effectiveness and outcomes of management training, at the middle-management level, in healthcare. It intends to answer the following research questions: which factors influence the management training process? Which relationships exist between management competencies held before the program, factors of effectiveness, critical issues encountered, and results achieved or prefigured at the end of the program? Are there differences, in terms of factors of effectiveness, challenges and outcomes, between the following groups of management training programs’ participants: physicians and non-physicians, participants with or without management positions?

Management training in healthcare

Currently, there is a wide debate about the added value of management to health organizations [ 10 ] and thus about the importance of spreading management competencies within health organizations to improve their performance. Through a systematic review, Lega et al. [ 11 ] highlighted four approaches to examine the impact of management on healthcare performance, focusing on management practices, managers’ characteristics, engagement of professionals in performance management and organizational features and management styles.

Although findings have not always been univocal, several studies suggest a positive relationship between management competencies and practices and outcomes in healthcare organizations, both from a clinical and financial point of view [ 12 ]. Among others, Vainieri et al. [ 13 ] found, in the Italian setting, a positive association between top management’s competencies and organizational performance, assessed through a multidimensional perspective. This study also reveals the mediating effect of information sharing, in terms of strategy, results and organization structure, in the relationship between managerial competencies and performance.

The key role of management competencies clearly emerges for health executives, who have to turn system policies into a vision, and then articulate it into effective strategies and actions within their organizations to steer and engage professionals [ 14 , 15 , 16 , 17 , 18 , 19 ]. However, health systems are increasingly complex and continually changing across contexts and health service levels. This means the role of health executives is evolving as well and identifying the capacities they need to address current and emerging issues becomes more difficult. For instance, a literature review conducted by Figueroa et al. [ 20 ] sheds light on priorities and challenges for health leadership at three structural levels: macro context (international and national), meso context (organizations) and micro context (individual healthcare managers).

Doctor-managers are requested to carry both clinical tasks and tasks related to budgeting, goal setting and performance evaluation. As a consequence, a growing stream of research has speculated whether managers with a clinical background actually affect healthcare performance outcomes, but studies have produced inconclusive findings. In relation to this topic, Sarto and Veronesi [ 21 ] carried out a literature review showing a generally positive impact of clinical leadership on different types of outcome measures, with only a few studies reporting negative impacts on financial and social performance. Morandi et al. [ 22 ] focused on doctor-managers who have become middle managers and investigated the potential bias in performance appraisal due to the mismatch between self-reported and official performance data. At the individual level, the role played by managerial behavior, training, engagement, and perceived organizational support was analyzed. Among others indications they suggested that training programs should be revised to reduce bias in performance appraisal. Tasi et al. [ 23 ] conducted a cross-sectional analysis of the 115 largest U.S. hospitals, divided into physician-led and non-physician-led, which revealed that physician-led hospital systems have higher quality ratings across all specialities and more inpatient days per hospital bed than non-physician-led hospitals. No differences between the groups were found in total revenue and profit margins. The main implication of their study is that hospital systems may benefit from the presence of physician leadership to improve the quality and efficiency of care delivered to patients as long as education and training are able to adequately prepare them. The main issue, as also observed by others [ 4 , 24 ], is that university education in medicine still includes little focus on aspects such as collaborative management, communication and coordination, and leadership skills. Such a circumstance motivates the call for further training. Regarding the implementation of training programs, Liang et al. [ 1 ] have recently shown how it is hindered, among others, by a lack of sufficient knowledge about needed competencies and existing gaps. Their analysis, which focuses on senior managers from three categories in Chinese hospitals, shows that before commencing the programs senior managers had not acquired adequate management competencies either through formal or informal training. It is worth noticing that significant differences exist between hospital categories and management levels. For this reason, they recommend using a systemic approach to design training programs, which considers different hospital types, management levels and positions. Yarbrough et al. [ 6 ] examined how competence training worked in healthcare organizations and the competencies needed for leaders at different points of their careers at various organizational levels. They carried out a cross-sectional survey of 492 US hospital executives, whose most significant result was that competence training is effective in healthcare organizations.

Walston and Khaliq [ 25 ], from a survey of 2,001 hospital CEOs across the US concluded that the greatest contribution of continuing education is to keep CEOs updated on technological and market changes that impact their current job responsibilities. Conversely, it does not seem to be valued for career or succession planning. About the methods of continuing education, an increasing use of some internet-based tools was found. Walston et al. [ 26 ] identified the factors affecting continuing education, finding, among others, that CEOs from for-profit and larger hospitals tend to take less continuing education, whereas senior managers' commitment to continuing education is influenced by region, gender, the CEO's personal continuing education hours and the focus on change.

Furthermore, the principles that inspire modern healthcare models, such as dehospitalization, horizontal coordination and patient-centeredness, imply the increased importance of middle managers, within single structures but also along clinical pathways and projects, to create and sustain high performances [ 27 , 28 , 29 ].

Whaley and Gillis [ 8 ] investigated the development of training programs aimed at increasing managerial competencies and leadership of middle managers, both from clinical and nonclinical backgrounds, in the US context. By adopting the top managers’ perspective, they found a widespread difficulty in aligning training needs and program contents. A 360° assessment of the competencies of Australian middle-level health service managers from two public hospitals was then conducted by Liang et al. [ 7 ] to identify managerial competence levels and training and development needs. The assessment found competence gaps and confirmed that managerial strengths and weaknesses varied across management groups from different organizations. In general, several studies have shown that leading at various organizational levels, in healthcare, does not necessarily require the same levels and types of competencies.

Liang et al. [ 30 ] explored the core competencies required for middle to senior-level managers in Victorian public hospitals. By adopting mixed methods, they confirmed six core competencies and provided guidance to the development of the competence-based educational approach for training the current and future management workforce. Liang et al. [ 31 ] then focused on the poorly investigated area of community health services, which are one of the main solutions to reducing the increasing demand for hospital care in general, and, in particular, in the reforms of the Australian health system. Their study advanced the understanding of the key competencies required by senior and mid-level managers for effective and efficient community health service delivery. A following cross-sectional study by AbuDagga et al. [ 32 ] highlighted that some community health services, such as home healthcare and hospice agencies, also need specific cultural competence training to be effective, in terms of reducing health disparities.

Using both qualitative and quantitative methods, Liang et al. [ 33 ] developed a management competence framework. Such a framework was then validated on a sample of 117 senior and middle managers working in two public hospitals and five community services in Victoria, Australia [ 34 ]. Fanelli et al. [ 35 ] used mixed methods to identify the following specific managerial competencies, which healthcare professionals perceive as crucial to improve their performance: quality evaluation based on outcomes, enhancement of professional competencies, programming based on process management, project cost assessment, informal communication style and participatory leadership.

Loh [ 5 ], through a qualitative analysis conducted in Australian hospitals, examined the motivation behind the choice of medically trained managers to undertake postgraduate management training. Interesting results stemming from the analysis include the fact that doctors often move into management positions without first undertaking training, but also that clinical experience alone does not lead to required management competencies. It is also interesting to remark that effective postgraduate management training for doctors requires a combination of theory and practice, and that doctors choose to undertake training mostly to gain credibility.

Ravaghi et al. [ 36 ] conducted a literature review to assess the evidence on the effectiveness of different types of training and educational programs delivered to hospital managers. The analysis identifies a set of aspects that are impacted by training programs. Training programs focus on technical, interpersonal and conceptual skills, and positive effects are mainly reported for technical skills. Numerous challenges are involved in designing and delivering training programs, including lack of time, difficulty in employing competencies in the workplace, also due to position instability, continuous changes in the health system environment, and lack of support by policymakers. One of the more common flaws concerns the fact that managers are mainly trained as individuals, but they work in teams. The implications of the study are that increased investments and large-scale planning are required to develop the knowledge and competencies of hospital managers. Another shortage concerns the outcome measurement of training programs, which is a usually neglected issue in the literature [ 9 ]. It also emerges that the training programs performing best are specific, structured and comprehensive.

Kakemam and Liang [ 2 ] conducted a literature review to shed light on the methods used to assess management competencies, and, thus, professional development needs in healthcare. Their analysis confirms that most studies focus on middle and senior managers and demonstrate great variability in methods and processes of assessment. As a consequence, they elaborate a framework to guide the design and implementation of management competence studies in different contexts and countries.

In the end, the literature has long pointed out that developing and strengthening the competencies and skills of health managers represent a core goal for increasing the efficiency and effectiveness of health systems, and management training is crucial for achieving such a goal [ 37 ]. The reasons can be summarized as follows: university education has scarcely been able to provide physicians and, in general, health operators, with adequate, or at least basic, managerial competencies and skills; over time, professionals have been involved in increasingly complex and rapidly changing working environments, requiring increased management responsibilities as well as new competencies and skills; in many settings, for instance in Italy, delays in the enforcement of law requiring the attendance of specific management training courses to take up a leadership position, hindered the acquisition of new competencies and the improvement of existing ones by those already managing health organizations, structures and services.

For the purposes of this study, management competencies refer to the possession and ability to use skills and tools for service organization and service planning, control and evaluation, evidence-informed decision-making and human resource management in the healthcare field.

Management training in the Italian National Health System

The reform of the Italian National Health System (INHS), implemented by Legislative Decree No. 502/1992 and inspired by neo-managerial theories, introduced the role of the general manager and assigned new responsibilities to managers.

However, the inadequate performance achieved in the first years of the application of the reform highlighted the cultural gap that made the normative adoption of managerial approach and tools unproductive on the operational level. Legislation evolved accordingly, and in order to hold management positions, management training became mandatory. Decree-Law No. 583/1996 (converted into Law No. 4/1997) provided that the requirements and criteria for access to the top management level were to be determined. Therefore, Presidential Decree No. 484/1997 determined these requirements and also the requirements and criteria to access the middle-management level of INHS’ healthcare authorities. This regulation also imposed the acquisition of a specific management training certificate, dictated rules concerning the duration, contents, and teaching methods of management training courses issuing this certificate, and indicated the requirements for attendance. Immediately afterwards, Legislative Decree No. 229/1999 amended the discipline of medical management and health professions and promoted continuous training in healthcare. It also regulated management training, which became an essential requirement for the appointments of health directors and directors of complex structures in the healthcare authorities, for the categories of physicians, dentists, veterinarians, pharmacists, biologists, chemists, physicists and psychologists.

The second pillar of the INHS reform was the regionalization of the INHS. Therefore, the Regions had to organize the courses to achieve management training certificates on the basis of specific agreements with the State, which regulated the contents, the methodology, the duration and the procedures for obtaining certification. The State-Regions Conference approved the first interregional agreement on management training in July 2003, whereas the State-Regions Agreement of 16 May 2019 regulated the training courses. The mandatory contents of the management training outlined the skills and behaviors expected from general managers and other top management key players (Health Director, Administrative Director and Social and Health Director), but also for all middle managers.

A survey was used to gather information from a purposive sample of professionals in the healthcare field taking part in management training programs. In particular, a structured questionnaire was submitted to 140 participants enrolled in two management programs organized by an Italian university: a second-level specializing master course and a training program carried out in collaboration with the Region. The programs awarded participants the title needed to be appointed as a director of a ward or administrative unit in a public healthcare organization, and share the same scientific committee, teaching staff, administrative staff and venue. The respondents’ profile is shown in Table  1 .

It is worth pointing out that the teaching staff is characterized by diversity: teachers have different educational and professional backgrounds, are practitioners or academics, and come from different Italian regions.

The questionnaire was submitted and completed in presence and online between November 2022 and February 2023. All participants decided to take part in the analysis spontaneously and gave their consent, being granted total anonymity.

The questionnaire, which was developed for this study and based on the literature, consisted of 64 questions shared in the following five sections: participant profile (10 items), management competencies held by participants before the training program (4 items), effectiveness factors of the training program (23 items), challenges to effectiveness (10 items), and outcomes of the training program (17 items) (an English language version of the questionnaire is attached to this paper as a supplementary file). In particular, the second section aimed to shed light on the participants’ situation regarding management competencies held before the start of the training program and how they were acquired; the third section aimed to collect participants’ opinions regarding how the program was conducted and the factors influencing its effectiveness; the fourth section aimed to collect participants’ opinions regarding the main obstacles encountered during the program; and the fifth section aimed to reveal the main outcomes of the program in terms of knowledge, skills, practices and career.

Except for those of the first section, which collected personal information, all the items of the next four categories – management competencies, effectiveness factors, challenges and outcome — were measured through a 5-point Likert scale. To ensure that the content of the questionnaire was appropriate, clear and relevant, a pre-testing was conducted in October 2022 by asking four academics and four practitioners, both physicians and not, with and without management positions, to fill it out. The aim was to understand whether the questionnaire really addressed the information needs behind the study and was easily and correctly understood by respondents. Therefore, the four individuals involved in the pre-testing were asked to fill it out simultaneously but independently, and at the end of the compilation, a focus group that included them and the three authors was used to collect their opinions and suggestions. After this phase, the following changes were made: in the ‘Participant profile’ section, ‘Veterinary medicine’ was added to the fields accounting for the ‘Educational background’ (item 3); in Sect. 2, it was decided to modify the explanation given to ‘basic management competencies’ and align it to what required by Presidential Decree No. 484/1997; in Sect. 3, item 25 was added to catch a missing aspect that respondents considered important, and brackets were added to the description of items 15, 16 and 29 to clarify the concepts of mixed and homogenous class and pedagogical approaches and tools; in Sect. 4, in the description of item 40, the words ‘find the energy required’ were added to avoid confusion with items 38 and 39, whereas brackets were added to items 41 and 45 to provide more explanation; in Sect. 5, brackets were added to the description of item 51 to increase clarity, and the last item was divided into two (now items 63 and 64) to distinguish the training program’s impact on career at different times.

With reference to the methods, first, a factor analysis based on the principal component method was conducted within each section of the questionnaire (except for the first again), in order to reduce the number of variables and shed light on the factors influencing the management training process. Bartlett's sphericity test and the Kaiser–Meyer–Olkin (KMO) value were performed to assess sampling adequacy, whereas factors were extracted following the Kaiser criterion, i.e., eigenvalues greater than unity, and total variance explained. The rotation method used was the Varimax method with Kaiser normalization, except for the second section (i.e., management competencies held by participants before the training program) that), which did not require rotation since a single factor emerged from the analysis. Bartlett's sphericity test was statistically significant ( p  < 0.001) in all sections, KMO values were all greater than 0.65 (average value 0.765), and the total variances explained were all greater than 65% (average value of approximately 70.89%), which are acceptable values for such analysis.

Second, a set of ordinal logistic regressions were performed to assess the relationships existing between management competencies held before the start of the course, effectiveness factors, challenges, and outcomes of the training program.

The factors that emerged from the factor analysis were used as independent variables, whereas some significant outcome items accounting for different performance aspects were selected as dependent variables: improved management competencies, innovation practices, professional relationships, and career prospects. Ordered logit regressions were used because the dependent variables (outcomes) were measured on ordinal scales. Some control variables for the respondent profiles were included in the regression models: age, gender, educational background, management position, and working in the healthcare field.

With the aim of understanding which explanatory variables could exert an influence, a backward elimination method was used, adopting a threshold level of significance values below 0.20 ( p  < 0.20). Table 4 shows the results of regressions with independent variables obtained following the criterion mentioned above. All four models respected the null hypothesis, which means that the proportional odds assumption behind the ordered logit regressions had not been rejected ( p  > 0.05). Third and last, an unpaired two-sample t-test was used to examine the differences between groups of participants in the management training programs selected based on two criteria: physicians and non-physicians, and participants with or without management positions.

First, descriptive statistics is useful for understanding the aspects participants considered the most and least important by category. This can be done by focusing on the items of the four sections of the questionnaire (except for the first one depicting participant profiles) that were given the highest and lowest scores at the sample level and by different groups of participants (physicians and non-physicians, participants with or without management positions). Table 2 summarizes the mean values and standard deviations by group of these higher and lower scores. Focusing on management competencies, all groups reported having mainly acquired them through professional experience, except for non-physicians who attributed major significance to postgraduate training programs, with a mean value of 3.05 out of 5. All groups agreed on the poor role of university education in providing management competencies, with mean values for the sample and all four groups below 2.5. It is worth noting that this item exhibits the lowest value for physicians (1.67) and the highest for non-physicians (2.37). In addition, physicians are the group attributing the lowest values to postgraduate education and professional experience for acquiring management competencies. In reference to factors of effectiveness, all groups also agree on the necessity of mixing theoretical and practical lessons during the training program with mean values of well above 4.5, whereas exclusive use of self-assessment is generally viewed as the most ineffective practice, except for non-physician, who attribute the lowest value to remote lessons (mean 1.82). Among the challenges, the whole sample and physicians and participants without management positions see the lack of financial support from their organization as the main problem (mean 4.10), while non-physicians and participants with management positions believe this is represented by a lack of time, with mean values, respectively, of 3.75 and 4. All agree that dialogue and discussion during the course have been the least relevant of the problems, with mean values below 1.5. Outcomes show generally high values, as revealed by the fact that the lowest values exhibit mean values around 3.5. It is worth noting that an increased understanding of the healthcare systems has been the main benefit gained from the program, with mean values equal to or higher than 4.50. The lowest positive impact is attributed by all attendees to improved relationships with superiors and top management, with mean values between 3.44 and 3.74, with the exception of participants without management positions who mention improved career prospects.

To shed light on the factors influencing the management training process, the findings of the factor analyses conducted by category are reported. Starting from the management competencies held before the training program, the following single factor was extracted from the four items, named and interpreted as follows:

Basic management competencies, which measures the level of management competencies acquired by participants through higher education, post-graduate training and professional experience.

The effectiveness factors are then grouped into six factors, named and explained as follows:

Diversity and debate, which aggregates five items assessing the importance of diversity in participants’ and teachers’ educational and professional backgrounds and pedagogical approaches and tools, as well as level of participant engagement and discussion during lessons and in carrying out the project work required to complete the program.

Specialization, which includes three items accounting for a robust knowledge of healthcare systems by focusing on teachers’ profiles and lessons’ theoretical approaches.

Lessons in presence, which groups three items explaining that in-presence lessons increase learning outcomes and discussion among participants.

Final self-assessment, made up of three items asserting that learning outcomes should be assessed by participants themselves at the end of the course.

Written intermediate assessment, composed of two items explaining that mid-terms assessment should only be written.

Homogeneous class, which is made up of a single component accounting for participants’ similarity in terms of professional backgrounds and management levels, tasks and responsibilities.

The challenges are aggregated into the following four factors:

Lack of time, which includes three items reporting scarce time and energy for lessons and study.

Problems of dialogue and discussion, which groups three items focusing on difficulties in relating to and debating with other participants and teachers.

Low support from organization, which is made up of two items reporting poor financial support and low value given to the initiative from participants’ own organizations.

Organizational issues, which aggregates two items demonstrating scarce flexibility and collaboration by superiors and colleagues of participants’ own organizations and unfamiliarity to study.

Table 3 shows the component matrix with saturation coefficients and factors obtained for the management competencies held before the training program (unrotated), effectiveness factors (rotated), and challenges (rotated).

A set of ordinal logistic regressions was performed to examine the relationships between management competencies held before the start of the course, effectiveness factors, challenges and outcomes of the training program. The results, shown in Table  4 , are articulated into four models, one for each selected outcome. In relation to model 1, the factors ‘diversity and debate’ ( p  < 0.001), ‘written intermediate assessment’ ( p  < 0.05) and ‘homogeneous class’ ( p  < 0.001) have a significant positive impact on the improvement of management competencies, which is also increased by low values attributed to ‘problems of dialogue and discussion’ ( p  < 0.01). In model 2, the change of professional practices in light of lessons learned during the program, selected as an innovation outcome, is then positively affected by ‘diversity and debate’ ( p  < 0.001), ‘homogeneous class’ ( p  < 0.05) and ‘organizational issues’ ( p  < 0.01), while it was negatively influenced by a high value of ‘basic management competencies’ held before the course ( p  < 0.05). Regarding model 3, ‘Diversity and debate’ ( p  < 0.001) and ‘homogeneous class’ ( p  < 0.01) have a significant positive effect on the improvement of professional relationships as well, whereas the same is negatively affected by ‘lessons in presence’ ( p  < 0.05). Finally, concerning model 4, the outcome career prospects benefit from ‘diversity and debate’ ( p  < 0.05) and ‘homogeneous class’ ( p  < 0.01), since both factors exert a positive effect. ‘Low support from organization’ negatively influences career prospects ( p  < 0.001). Table 4 also shows that the LR test of proportionality of odds across the response categories cannot be rejected (all four p  > 0.05).

Finally, it is worth noting that none of the control variables reflecting the respondent profiles (age, gender, management position, working in the healthcare field, and educational background) was found to be statistically significant. These variables are not reported in Table  4 because regression models were obtained following a backward elimination method, as explained in the method section.

In the end, the t-test reveals significant differences between physicians and non-physicians, as well as between participants with or without management positions. Table 5 shows only figures of t-test statistically significant with regards to competencies held before the attendance of the course, the factors of effectiveness, challenges of the training program, and outcomes achieved. In the first comparison, non-physicians show higher management competencies at the start of the program, with a mean value of 0.31, while physicians suffer from less support from their own organization with a mean value of 0.13 compared to -0.18, the mean value of the non-physicians. Concerning the second comparison, participants with management positions have higher management competencies at the start of the program (0.19 versus -0.13) and suffer more from lack of time, with higher mean values compared to participants without managerial positions, respectively 0.23 and -0.16. For what concerns the factors related to the effectiveness of the training program, participants with management positions exhibit a lower mean value in relation to written mid-term assessments, -0.24 versus 0.17, reported by participants with management positions. Differently, the final self-assessment at the end of the program is higher for participants with management positions, 0.24 compared to -0.17, the mean value of the participants without management positions. This latter category feels more the problem of low support from their organizations, with a mean value of 0.16 compared to -0.23, and is slightly less motivated by possible career improvement, with a mean value of 3.31 compared to 3.73 reported by participants with management positions.

The results stemming from the different analyses are now considered and interpreted in the light of the extant literature. Personal characteristics such as gender and age, differently from what was found by Walston et al. [ 26 ] for executives’ continuing education, and professional characteristics such as seniority and working in public or private sectors, do not seem to affect participation in management training programs.

The findings clearly show the outstanding importance of ‘diversity and debate’ and ‘class homogeneity’ as factors of effectiveness, since they positively impact all outcomes: competencies, innovation, professional relationships and career. These factors capture two key aspects complementing each other: on the one hand, participants and teachers’ different backgrounds provide the class with a wider pool of resources and expertise, whereas the use of pedagogical tools fostering discussion enriches the educational experience and stimulates creativity. On the other hand, due to the high level of professionalism in the setting, sharing common management levels means similar tasks and responsibilities, as well as facing similar problems. Consequently, speaking the same language leads to deeper knowledge and effective technical solutions.

In relation to the improvement of management competencies, it also emerges the critical role of a good class atmosphere, that is, the absence of problems of dialogue and discussion. ‘Diversity and debate’ and ‘class homogeneity’, as explained before, seem to contribute to this, since they enhance freedom of expression and fair confrontation, leading to improved learning outcomes. It is interesting to notice that the problems of dialogue and discussion turned out to be the least relevant challenge across the sample.

Two interesting points come from the factors affecting innovation. First, it seems that lower competencies before the training programs lead to the development of more innovative practices. The reason is that holding fewer basic competencies means a greater scope for action once new capabilities are learned: the spirit of openness is conducive to breaking down routines, and innovative practices hindered by a lack of knowledge and tools can thus be introduced. The reason is that holding fewer basic competencies means greater scope for action once new capabilities are learned: the spirit of openness is conducive to breaking down routines, and innovative practices hindered by a lack of knowledge and tools can thus be introduced. This extends the findings of previous studies since the employment of competencies in the workplace is influenced by the starting competence equipment of professionals [ 36 ], and those showing gaps have more room to recover, also in terms of motivation to change, that is, understanding the importance of meeting current and future challenges [ 26 ]. Second, more innovative practices are introduced by participants perceiving more organizational issues. This may reveal, on the one side, a stronger individual motivation towards professional growth of participants who suffer from lack of flexibility and collaboration from their own superiors and colleagues. In this regard, poor tolerance, flexibility and permissions in their workplace act as a stimulus to innovation, which can be viewed as a way of challenging the status quo. On the other side, in line with the above-mentioned concept, this confirms that unfamiliarity with the study increases the innovative potential of participants. Since this study reveals that physicians are neither adequately educated from a management point of view nor incentivized to attend post-graduation training programs, it points out how important is extending continuing education to all health professional categories [ 25 , 26 ].

The topic of competencies held by different categories needs more attention. The study reveals that physicians and participants without management positions start the program with less basic competencies. At the sample level, higher education is viewed as the most ineffective tool to provide such competencies, whereas professional experience is seen as the best way to gather them. Actually, non-physicians give the highest value to postgraduate education, which suggests they are those more interested or incentivized to take part in continuing education. Although holding managerial positions does not automatically mean having higher competencies [ 5 ], it is evident that such a professional experience contributes to filling existing gaps. Physicians stand out as the category for which university education, postgraduate education and professional experience exert the lowest impact on management competence improvement. Considering the relationship between competence held before the course and innovation, as described above, engaging physicians in training programs, even more if they do not have management responsibilities, has a major impact on health organizations’ development prospects. The findings also point out that effective management training requires a combination of theory and practice for all categories of professionals, not just for physicians, as observed by Loh [ 5 ].

The main outcome, in general and for all participant categories, is an increased understanding of how healthcare systems work, which anticipates increased competencies. This confirms the importance of knowledge on the healthcare environment [ 31 ], and clarifies the order of aspects impacted by training programs as reported by Ravaghi et al. [ 36 ]: first conceptual, then technical, and finally interpersonal. However, interpersonal outcomes are by far greater for those holding management positions, which extends the findings by Liang et al. [ 31 ]. In particular, participants already managing units report the greatest impacts in terms of ability to understand colleagues’ problems, improvement of professional relationships and collaboration with colleagues from other units. Obviously, participants with management positions, more than others, feel the lack of collaborative and communication skills, which represents one of the main flaws of university education in the field of medicine [ 4 ] and is also often neglected in management training [ 36 ]. This also confirms that different management levels show specific competence requirements and education needs [ 6 , 7 ]. 

It is then important to discuss the negative effect of lessons in presence on the improvement of professional relationships. At first glance, it may sound strange, but its real meaning emerges from a comprehensive interpretation of all the findings. First, it does not mean that remote lessons are more effective, as revealed by the fact that they, as a factor of effectiveness, are attributed very low values and, for all categories of participants, lower values than those attributed to lessons in presence and hybrid lessons. Non-physicians, in particular, attribute them the lowest value at all. At most, remote lessons are viewed as convenient rather than effective. The negative influence of lessons in presence can be explained by the fact that a specific category, i.e., those with management positions, rate this aspect much more important than other participants and, as reported above, find much more benefits in terms of improved relationships from management training. Participants with management positions, due to their tasks and responsibilities, suffer more than others from lack of time to be devoted to course participation. For them, as for the category of non-physicians, lack of time represents the main challenge to effectively attending the course. In the literature, such a problem is well considered, and lack of time is also viewed as a challenge to apply the skills learned during the course [ 36 ]. Considering that class discussion and homogeneity contribute to fostering relationships, a comprehensive reading of the findings reveals that due to workload, participants with management positions see particularly convenient and still effective remote lessons. Furthermore, if the class is formed by participants sharing similar professional backgrounds and management levels, debate is not precluded and interpersonal relationships improved as a consequence. From the observation of single items, it can be concluded that participants with management positions and in general those with higher basic management competencies at the start of the program, prefer more flexible and leaner training programs: intermediate assessment through conversation, self-assessment at the end of the course, more concentrated scheduled lessons and greater use of remote lessons.

Differently from what was found by Walston and Khaliq [ 25 ], the findings highlight that participants with management positions value the impact of management training on career prospects positively. These participants are also those more supported by their own organizations. Conversely, the lack of support, especially in terms of inadequate funds devoted to these initiatives, strongly affects physicians and participants without management positions, which clarifies what this challenge is about and who is mainly affected by it [ 36 ]. Low incentives mean having attended fewer training programs in the past, which, together with less management experience, explains why they have developed less competencies. Among the outcomes of the training program, the little attention paid by organizations is also testified by the lowest values attributed by all categories, except for participants without management positions, to the improvement of relationships with superiors and top management.

In general, the study contributes to a better understanding of the outcomes of management training programs in healthcare and their determinants [ 9 ]. In particular, it sheds light on gaps and education needs [ 1 ] by category of health professionals [ 2 ]. The research findings have major implications for practice, which can be drawn after identifying the four profiles of participants revealed by the study. All profiles share common characteristics, such as value given to debate, diversity of pedagogical approaches and tools and class homogeneity, rather than the need for a deeper comprehension of healthcare systems. However, they present characteristics that determine specific issues and education gaps, which are summarized as follows:

Physicians without management positions: low competencies at the start of the program and scarce incentives for attending the course from their own organization;

Physicians with management positions: they partially compensate for competence gaps through professional experience, suffer from lack of time, and are motivated by the chance to improve their career prospects;

Non-physicians without management positions: they partially fill competence gaps through postgraduate education, suffer from lack of time, and have scarce incentives for attending the course from their own organization;

Non-physicians with management positions: they partially bridge competence gaps through postgraduate education and professional experience, are the most affected by a lack of time, and are motivated by the chance to improve their career prospects.

Recommendations are outlined for different levels of action:

For policymakers, it is suggested to strengthen the ability of higher education courses in medicine and related fields to advance the understanding of healthcare systems’ structure and operation, as well as their current and future challenges. Such a new approach in the design curricula should then have as a main goal the provision of adequate management competencies.

For healthcare organizations, it is suggested to incentivize the acquisition of management competencies by all categories of professionals through postgraduate education and training programs. This means supporting them from both financial and organizational point of view, for instance, in terms of more flexible working conditions. Special attention should be paid to physicians who, even without executive roles, manage resources and directly impact the organization's effectiveness and efficiency levels through their day-by-day activity, and are the players holding the greatest innovative potential within the organization. Concerning the executives, especially in the current changing context of healthcare systems, much higher attention should be paid to fostering interpersonal skills, in terms of communication and cooperation.

For those designing training programs, it is suggested to tailor courses on the basis of participants’ profiles, using different pedagogical approaches and tools, for instance, in terms of teacher composition, lesson delivery methods and learning assessment methods, while preserving class homogeneity in terms of professional backgrounds and management levels to facilitate constructive dialogue and solution finding approaches. Designing ad hoc training programs would give the possibility to meet the needs of participants from an organizational point of view as well as, for instance, in terms of program length and lesson concentration.

Limitations

This study has some limitations, which pave the way for future research. First, it is context-specific by country, since it is carried out within the INHS, which mandatorily requires health professionals to attend management training programs to hold certain positions. It is then context-specific by training program, since it focuses on management training programs providing participants with the title to be appointed as a director of a ward or administrative unit in a public healthcare organization. This determines the kind of management competencies included in the study, which are those mandatorily required for such a middle-management category. Therefore, there is a need to extend research and test these findings on different types of management training programs, participants and countries. Second, this study is based on a survey of participants’ perceptions, which causes two kinds of unavoidable issues: although based on the literature and pre-tested, the questionnaire could not be able to measure what it intends to or capture detailed and nuanced insights from respondents, and responses may be affected by biases due to reactive effects. Third, a backward elimination method was adopted to select variables in model building. Providing a balance between simplicity and fit of models, this variable selection technique is not consequences-free. Despite advantages such as starting the process with all variables included, removing the least important early, and leaving the most important in, it also has some disadvantages. The major is that once a variable is deleted from the model, it is not included anymore, although it may become significant later [ 38 ]. For these reasons, it is intended to reinforce research with new data sources, such as teachers’ perspectives and official assessments, and different variable selection strategies. A combination of qualitative and quantitative methods for data elaboration could then be used to deepen the analysis of the relationships between motivations, effectiveness factors and outcomes. Furthermore, since the investigation of competence development, acquisition of new competencies and the transfer of acquired competencies was beyond the purpose of this study, a longitudinal approach will be used to collect data from participants attending future training programs to track changes and identify patterns.

Availability of data and materials

An English-language version of the questionnaire used in this study is attached to this paper as a supplementary file. The raw data collected via the questionnaire are not publicly available due to privacy and other restrictions. However, datasets generated and analyzed during the current study may be available from the corresponding author upon reasonable request.

Abbreviations

Italian National Health System

Kaiser–Meyer–Olkin

National Recovery and Resilience Plan

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Giovanelli, L., Rotondo, F. & Fadda, N. Management training programs in healthcare: effectiveness factors, challenges and outcomes. BMC Health Serv Res 24 , 904 (2024). https://doi.org/10.1186/s12913-024-11229-z

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Development and Validation of a Mobile-Centered Digital Health Readiness Scale (mDiHERS): Health Literacy and Equity Scale

Authors of this article:

Original Paper

• Hana Kim 1 , PhD   ; 
• Rebecca Schnall 2 , PhD   ; 
• Nagyeom Yoon 3 , BSN   ; 
• Seong-Joon Koh 4 , PhD   ; 
• Jisan Lee 3 * , PhD   ; 
• Jae Hee Cheon 5 * , PhD  

1 Department of Nursing, Hoseo University, Asan, Republic of Korea

2 School of Nursing, Columbia University, New York, NY, United States

3 Department of Nursing, Gangneung-Wonju National University, Wonju, Republic of Korea

4 Department of Internal Medicine and Liver Research Institute, Seoul National University College of Medicine, Seoul, Republic of Korea

5 Department of Internal Medicine, Yonsei University College of Medicine, Seoul, Republic of Korea

*these authors contributed equally

Corresponding Author:

Jisan Lee, PhD

Department of Nursing

Gangneung-Wonju National University

Department of Nursing, Gangneung-Wonju National University

Wonju, 26403

Republic of Korea

Phone: 82 337608646

Email: [email protected]

Background: There has been a rapid expansion of digital health care services, making the need for measuring and improving digital health readiness a priority. In response, our study team developed the Mobile-Centered Digital Health Readiness: Health Literacy and Equity Scale (mDiHERS) to measure digital health readiness.

Objective: We aim to develop and validate a scale that assesses digital health readiness, encompassing literacy and equity, and to ensure the effective use of mobile-centered digital health services.

Methods: This study was conducted from October 2021 to October 2022 to develop and validate the mDiHERS. Participants included patients with inflammatory bowel disease, which is a chronic condition requiring continuous management, and experts in medical and nursing informatics. The scale development involved a literature review, focus group interviews, and content validity evaluations. A total of 440 patients with inflammatory bowel disease were recruited for the validation phase, with 403 completing the survey. The scale’s validity and reliability were assessed through exploratory factor analysis and Cronbach α. The scale was translated into English by translators and bilingual and native researchers, ensuring its applicability in diverse settings.

Results: The mDiHERS consists of 36 items across 6 domains, with a 5-point Likert scale for responses. The validation process confirmed the scale’s construct validity, with 4 factors explaining 65.05% of the total variance. The scale’s reliability was established with Cronbach α values ranging from 0.84 to 0.91. The scale’s development considered the technical proficiency necessary for engaging with health mobile apps and devices, reflecting the importance of subjective confidence and objective skills in digital health literacy.

Conclusions: The mDiHERS is a validated tool for measuring patients’ readiness and ability to use digital health services. The mDiHERS assesses user characteristics, digital accessibility, literacy, and equity to contribute to the effective use of digital health services and improve accessibility. The development and validation of the mDiHERS emphasize the importance of confidence and competence in managing health digitally. Continuous improvements are necessary to ensure that all patients can benefit from digital health care.

Introduction

The digital health care service market has experienced significant expansion. Digital health, as defined by the US Food and Drug Administration, represents the convergence of people, information, technology, and connectivity, all of which collaboratively enhance health care delivery and outcomes. This extensive field includes various components such as mobile health (mHealth), health information technology, wearable devices, telehealth and telemedicine, and personalized medicine, each playing a crucial role in advancing the functionality and reach of contemporary medical practices [ 1 ].

The evolution of digital health is further propelled by patients who, as informed health consumers, are increasingly harnessing digital devices for health management [ 2 ]. Digital health services, as defined in this study, refer to the use of digital health to manage and monitor patient health outcomes, complementing the accessible, efficient, and patient-centric delivery of digital health [ 3 ]. A notable advancement in this domain is remote health managing and monitoring, which empowers patients to access health care services within the comfort of their homes, thereby fostering a sense of independence [ 3 , 4 ].

Increased use of digital health services has the potential to induce disparities in accessibility, proficiency, and the degree of health information and technology use among user groups, necessitating careful consideration of vulnerable populations. In response to these challenges, there is a growing emphasis on devising strategies to gauge the digital divide and implement system-wide solutions that champion digital inclusion, ensuring that marginalized groups are not left behind in the digital health landscape [ 5 ].

However, to support equitable provision of digital health services, prioritization should be given to measuring the digital divide rather than merely focusing on the means of delivery [ 6 ]. “Digital readiness” encompasses digital access, use, literacy, and the competency to engage with digital health services [ 7 ]. It emerges as a pertinent metric to assess disparities in digital health service use [ 7 ].

Existing digital health literacy scales have primarily focused on specific aspects. For instance, the Digital Health Literacy Instrument evaluates internet usage skills related to health on the web and computers but does not consider aspects related to mobile usage [ 6 ]. Similarly, the eHealth Literacy Scale assesses the ability to find, evaluate, and apply electronic health information to health issues but does not evaluate the importance of mHealth apps and devices and the ability to use mobile services required for daily life [ 8 ]. These limitations may result in an inaccurate reflection of users’ digital health readiness. Additionally, because existing health literacy scales rely on subjective measurements, it is impossible to know how an individual’s responses relate to actual skill level, whereas objective tests can directly measure an individual’s skills [ 9 , 10 ]. Motivated by this, our study endeavors to construct and validate a scale measuring digital health readiness consisting of subjective and objective questions.

One of the core principles of Healthy People 2020 is to eliminate health disparities and achieve health equity to attain health and well-being [ 11 ]. As the health care sector becomes digitized, digital access, such as through mobile apps, is now recognized as a social determinant of health [ 12 ]. Low digital access due to low digital literacy undermines health equity [ 13 ]. Despite the development and research of many tools to improve and measure equity, most of these tools only measure equity in health care settings and public health domains [ 14 - 16 ]. Specifically, the Health Equity Assessment Toolkit was developed for use primarily by public health professionals, researchers, and those with basic skills in health information systems and interpreting health-related data, rather than by the target population directly [ 17 ]. Therefore, our study developed measures to assess health equity based on digital literacy.

Inflammatory bowel disease (IBD), encompassing Crohn disease and ulcerative colitis, is characterized by chronic digestive tract inflammation. This condition leads to a range of symptoms that significantly impact the quality of life [ 18 ]. The persistent symptoms and activity of IBD, even with the best medical or surgical interventions, highlight the critical need for ongoing surveillance and management [ 19 ]. Given the complex, chronic nature of IBD, which significantly impairs quality of life, there have been various efforts to leverage technologies to modify behaviors and assist in the self-management of patients with IBD [ 20 , 21 ]. As of 2023, while over 40 free English-language IBD mobile apps have been found to meet acceptable quality criteria, there is a crucial need for enhanced design features to improve user interest and engagement [ 22 ]. Recognizing the importance of continuous and personalized interventions, which focus on the immediate management of IBD symptoms [ 23 ], it becomes essential to evaluate patients’ access to and understanding of mobile technology about the available apps. This study, therefore, seeks to create an instrument for evaluating digital health preparedness, with an initial focus on individuals with IBD. This demographic is not only in dire need of digital health solutions but also exhibits a higher demand for such services. While first tested for specific conditions, the assessment tool is designed to be flexible and applicable across a spectrum of health scenarios [ 24 ]. Consequently, this instrument could be applied to a broad range of patient groups beyond IBD in subsequent studies, aiming to bridge the digital health divide.

Study Design

Overview of study design.

This study was conducted from October 8, 2021, to October 7, 2022. This study was developed through a 4-step process. Step 1 involved a literature review to derive the initial scale items related to digital health literacy and digital health equity. Step 2 aimed to gain qualitative insights into the initial scale items by conducting focus group interviews (FGIs) with 6 patients with IBD and 6 experts, followed by an evaluation of the content validity of the initial scale items by 8 experts. Step 3 evaluated the validity and reliability of the final scale items quantitatively with 440 patients with IBD. This included survey research and statistical analysis. Step 4 translated the final scale items into both English and Korean simultaneously.

Participants and Inclusion Criteria

In all stages, patient participants were required to meet the following criteria: (1) have a confirmed diagnosis of ulcerative colitis or Crohn disease, (2) possess the ability to use a smartphone proficiently, (3) be adults aged 18 years or older, and (4) be willing and able to provide informed consent. Additionally, participants needed to be capable of completing FGIs or surveys as required in each stage.

Recruitment

Participant recruitment was conducted from November 30, 2021, to September 30, 2022. Patients with IBD were recruited in steps 2-1, 2-3, and 3-1. Recruitment was conducted in the outpatient clinic of the gastroenterology department at S Hospital in Seoul and through the IBD online community in the social network service (eg, KakaoTalk; Kakao Corp). Posters introducing this study, approved by the institutional review board and each institution, were posted in the outpatient clinic and online community. Interested participants were provided with a study consent form and an explanatory document, and this study was initiated after this study’s details were explained to them. Since the interviews or surveys of this study were conducted online, an exemption from written consent was obtained.

In steps 2-1 and 2-3, respectively, 6 patients with IBD were recruited [ 25 ] to conduct FGIs to evaluate the qualitative appropriateness of the draft version of the scale. Participants in the FGIs were compensated with approximately US $77 (₩100,000) each. In step 3-1, the target sample size had been determined as 440, based on a calculation of 10 times the number of items in the fourth draft version of the scale, while accounting for an anticipated dropout rate of 10% [ 26 ].

Experts were recruited in steps 2-1 and 2-2 through snowball sampling to evaluate FGI and content validity. A total of 6 experts were recruited in step 2-1, including 5 nursing informatics experts and 1 medical informatics expert. Experts who participated in content validity verification received approximately US $154 (₩200,000) each. In step 2-2, eight experts were recruited, including 4 nursing informatics experts, 1 medical informatics expert, 1 educational expert, 1 gastroenterology physician, and 1 user experience designer. Patients who participated in the online survey in step 3-1 were compensated with the equivalent of approximately US $23 (₩30,000).

Development of a Digital Health Readiness Scale

The primary objective of this study was to develop and validate a comprehensive scale for evaluating an individual’s readiness to engage with digital health services. The instrument focuses on assessing digital health literacy and equity among users. The overall process of scale development and the results of each step are shown in Figure 1 .

Step 1: Literature Review and Derivation of an Initial Item Pool

Step 1-1: literature review.

In our literature review process, we conducted a comprehensive search using both English and Korean languages, leveraging databases such as the Web of Science and the Korean database Research Information Sharing Service. Our search strategy focused on identifying literature and frameworks related to digital health literacy, digital health equity, and other relevant terms to ensure inclusivity and comprehensiveness, particularly concerning mHealth services. The timeframe for our literature review spanned from October 2021.

Step 1-2: Derived Initial Items Through Review by a Research Team

To derive items, the research team reviewed the subdomains identified in the literature review to determine the subdomains of this tool. Accordingly, the items derived in the previous stage were classified into each subdomain, and inappropriate items were excluded after reviewing their appropriateness and validity.

Step 2: FGI and Validity Assessment

Step 2-1: first round.

FGI was conducted with 6 patients with IBD to assess the face validity of the initial scale items and to gather qualitative insights regarding their relevance. These interviews were conducted online and spanned approximately 2 hours. The methodology involved structured open-ended questions, probing for understanding and appropriateness of the scale items. The process continued until data saturation was reached, indicated by the absence of new emerging data [ 27 ]. The questions were “Do you comprehend the items presented in the scale?” “In cases of lack of understanding, could you specify which aspects are unclear?” “Do you find the items within the scale to be suitable and relevant?” “If you perceive any items as unsuitable, could you elaborate on the reasons?” “Are there any elements or items that you believe should be added to enhance the scale?” and “Overall, what are your impressions or thoughts regarding the preliminary version of the scale?” In addition, FGI and content validity evaluation were conducted on 6 experts (5 in nursing informatics and 1 in medical informatics). Based on the above results, the second draft version was completed.

Step 2-2: Second Round

In this stage, 8 experts conducted FGI and content validity evaluation on the draft derived from the previous stage. The 8 experts comprised 4 in nursing informatics, 1 in medical informatics, 1 gastroenterology professor, 1 education doctorate, and 1 user experience designer. Then, the third draft of the scale reflecting experts’ opinions was derived.

Step 2-3: Third Round

In steps 2-3, FGI and face validity evaluation were conducted for 6 patients with IBD using the draft scale derived in the previous step using the same method as step 2-1. The research team reviewed the revised scale reflecting patient opinions and completed the fourth draft.

Step 3: Validity and Reliability Assessment

Step 3-1: administer scale to the participants.

An online survey was administered to 440 patients with IBD using the second draft of the scale derived in the earlier stage.

Step 3-2: Construct Validity

The construct validity was ascertained by examining the correlation between individual items and the overall scale score. A confirmatory factor analysis followed this.

Step 3-3: Reliability Analysis

The Cronbach α value was used to confirm reliability: if it was 0.75 or higher, it was evaluated as satisfactory, and if it was 0.6 or higher, it was evaluated as acceptable [ 26 ].

Step 4: Development of an English Version of the Scale

Step 4-1: translation.

After the reliability assessment, the final scale was concurrently developed in English and Korean to facilitate future translations. The Korean version was initially crafted, referenced by a translation into English adhering to part of World Health Organization (WHO) translation guidelines [ 28 ].

Step 4-2: Experts Review

Bilingual researchers specializing in medical informatics and nursing informatics reviewed the translated version of steps 4-1. Finally, a native English-speaking nursing informatics professor conducted a thorough review and revision, culminating in the finalized English scale version.

Statistical Analysis

The scale development involved conducting a literature review, classifying the collected content, and deriving categories through analysis of the scale developed from the literature. The scale was evaluated for face validity targeting patients with IBD, and its appropriateness was verified through expert content validity index (CVI) evaluation. The final developed scale was conducted through a survey, and the survey results were analyzed using SPSS (version 21.0; IBM Corp) as follows: first, the demographic characteristics of the participants were analyzed by frequency, percentage, average, and SD. Second, for the construct validity of the developed scale, item analysis was performed by calculating the correlation coefficient between individual items and the overall total score, and exploratory factor analysis was performed. Exploratory factor analysis was verified using principal component analysis and varimax rotation. Convergent validity was judged using the values derived through exploratory factor analysis, and the final questions were confirmed. Third, the Cronbach α was used to confirm the internal consistency of the developed scale.

Ethical Considerations

This study was conducted after obtaining approval (H-2108-238-1251) from the Seoul National University Hospital Bioethics Review Committee before starting this study to ensure the ethical protection of the research participants. All study participants received an explanation of this study and completed written consent. All data collected during this study period were protected through appropriate safeguards. Additionally, compensation was provided to all participants.

A thorough literature review was conducted to identify existing scales relevant to developing a digital health readiness evaluation scale for patients. The focus was primarily on mHealth literacy and digital health equity scales. A total of 6 scales and 3 frameworks on digital health readiness deemed suitable for this study were selected [ 8 , 29 - 36 ], and 97 items were confirmed from these scales and frameworks.

At this stage, we reviewed the subdomains derived from the literature review and determined 4 subdomains: familiarity, importance, equity, and usability (literacy). After classifying the 97 items derived from the previous stage into these 4 subdomains, we reviewed the appropriateness and validity of the items, excluding inappropriate ones. Additionally, we classified 7 user characteristics identified as important in the digital readiness framework into one additional subdomain and decided to include them in the final scale.

Table 1 presents the results of face validity evaluation and FGI performed on 6 patients with IBD. This process was instrumental in identifying items irrelevant to digital health readiness or requiring further clarification. The draft scale’s CVI was rigorously assessed by 6 experts, with a threshold of 0.8 indicating high validity [ 37 ]. In addition, FGI was used to identify essential domains of digital health readiness not included in this scale and to evaluate whether the readability and language used were appropriate for the participants or data collectors [ 38 ]. As a result of the expert CVI evaluation, 20 out of 78 items were confirmed to be less than 0.8. These items were partially revised and supplemented based on expert opinions. Comments on modifying items identified through FGI included providing commonly used terms and examples to aid respondents’ understanding. Moreover, duplicate items and items that did not fit the current medical environment were deleted. As a result, 14 of the existing 49 items were deleted, and 8 items (1 item on usability, 1 item on literacy, 2 items on equity, and 4 items on characteristics related to digital readiness) were added, completing the second draft with a total of 43 items. It was decided to classify 4 digital-related characteristics items added at the expert’s suggestion and 1 item among the existing scale into the digital-related characteristics domain and include them in the final scale.

a Overall feedback: Understanding of items: Participants found the terminology in the items complex and suggested modifications for easier comprehension by a broader audience. Item relevance: Expressed uncertainty about the significance of some items concerning digital literacy and equity.

In the expert CVI evaluation, 2 out of 78 items were confirmed to be less than 0.8 and were deleted. There were opinions that the items related to digital health equity in FGI were ambiguous, so some items were modified. Through this stage, the third draft with a total of 41 items was completed.

Face validity and FGI were performed on 6 patients with IBD. We collected opinions on the third draft derived from the previous stage and modified the scale by reflecting opinions on adding additional explanations to some terms and changing them with more accessible terms. Afterward, through review by the research team, one question inappropriate for measuring digital readiness was deleted. As a result, the fourth draft of 40 items was completed.

The survey, designed to assess the validity and reliability of the developed scale, encompassed a total of 403 participants. The demographic breakdown revealed that 68.5% (n=276) of the participants were under 40 years of age. Regarding gender distribution, 55.1% (n=222) were male. Educational background indicated that a significant majority, 75.2% (n=303), possessed at least a college degree. Detailed demographic characteristics are presented in Table 2 .

a IBD: inflammatory bowel disease.

b Mean 36.24 (SD 11.75).

c Mean 1.13 (SD 0.71).

Step 3-2: Constructive Validity

Construct validity was verified with the fourth draft of 40 questions, and at this time, 12 questions regarding user characteristics and digital readiness-related characteristics that were decided to be included in the final questions were excluded from the analysis. Initially, the correlation coefficient between each item and the overall score was analyzed. Further, 2 items (familiarity 1 and usability 1) with correlation coefficients below 0.3 were excluded [ 39 ]. The Kaiser-Meyer-Olkin measure yielded a high value of 0.92, and the Bartlett test of sphericity was statistically significant ( χ 2 378 =6940.63, P <.001), indicating suitability for factor analysis. All factor communalities were above 0.3. In the pattern matrix, items with factor loadings above 0.5 on 2 factors and those uniquely loaded on one factor were identified. Factor analysis was iteratively performed, removing one item at a time [ 40 ]. Ultimately, 24 items loaded on 4 factors. The Kaiser-Meyer-Olkin value for the final items was 0.91, and the Bartlett test of sphericity remained significant ( χ 2 276 = 6114.77, P <.001). The commonalities of the items were above 0.38, except for one item in factor 1. These 4 factors explained 65.05% of the total variance ( Figure 2 ). Despite low communality, one item from factor 1 was retained after consideration by the research team due to its relevance to the scale. The domain of the digital health readiness scale was named factor 1 as “capability to use mobile services,” factor 2 as “mHealth literacy,” factor 3 as “digital health equity,” and factor 4 as “perception of the importance of mHealth apps and devices” according to the content and characteristics of the loaded items.

Step 3-3: Reliability

The internal consistency of the final scale was evaluated using Cronbach α, as shown in Figure 2 . Cronbach α for each factor ranged from 0.84 to 0.91, indicating established reliability and acceptability of the newly developed scale [ 26 ].

This scale consists of 36 items, including 24 confirmed through reliability and validity verification, and 12 items (user characteristics, characteristics related to digital readiness) that were retained in the final scale during the scale development process ( Textbox 1 and Multimedia Appendix 1 ). Excluding the 12 items measuring user characteristics and characteristics related to digital readiness, the remaining 24 items were structured on a 5-point Likert scale. Responses range from 1 (“not at all”) to 5 (“very much”). Additionally, 5 items dedicated to evaluating digital health readiness focus on aspects of digital health accessibility. A total of 3 items, presented as multiple-choice questions, inquire about health management, information acquisition methods, and familiarity with mobile devices used for digital health services. Further, 2 items probe the willingness to pay for mHealth care services or purchase an mHealth care device. Moreover, 7 items gather data on user demographics, including age, gender, residence, occupation, education, subjective health status, and diagnosed diseases. The scale encompasses 6 domains. The total score is computed as the mean of the scores across 4 domains, excluding the user’s characteristics and characteristics related to digital readiness. Scores range from 1 to 5, with higher scores indicating greater readiness for digital health use.

Mobile services capability (10 items)

• This domain evaluates the respondent’s knowledge and proficiency in mobile device use and the extent of their integration into daily life.

Mobile health (mHealth) literacy understand and use mHealth apps and devices (6 items)

• This section assesses the respondent’s ability to comprehend and use information acquired through mobile health apps and devices.

Perception of the importance of mHealth apps and devices (3 items)

• This domain gauges the respondent’s perceived significance of mobile health apps and devices in health care management.

Digital health equity (5 items)

• This domain focuses on the environmental and resource factors influencing digital health accessibility and competency. It evaluates the respondent’s access to and capability with digital health care resources.

Characteristics related to digital readiness (5 items)

• This domain identifies critical characteristics associated with the respondent’s digital readiness. It includes methods of acquiring health information, familiarity with mobile devices for health information, experience in using digital health care services, and willingness to invest in and pay for digital health services. This domain assesses the respondent’s accessibility to digital health resources.

User’s characteristics (7 items)

• This section captures the respondent’s general demographic and socioeconomic characteristics pertinent to digital health readiness. It covered age, gender, area of residence, occupation, education, subjective health status, and diagnosed diseases.

We developed an English version of our questionnaire to widen this study’s reach and accessibility. As a global language, English allows us to gather data on Digital Health Readiness from diverse populations, enhancing the applicability of our findings. Offering the questionnaire in Korean and English enables researchers worldwide to use it effectively, strengthening the global understanding of digital health readiness. This decision ensures our research’s comprehensive and international relevance, aligning with our aim to adapt the tool for broader use beyond patients with IBD.

The final scale completed in the previous step was translated into English by a qualified translator and researcher who majored in English and nursing. After being translated independently, any differences in translation were agreed upon through online communication.

Bilingual researchers in English and Korean reviewed the translation of steps 4-1. In the process, we ensured that the translation applied to English speakers and corrected any expressions or cultural differences that might convey a different meaning. The English version of the scale was finally completed after a thorough review and revision by a nursing informatics professor in the United States whose native language is English ( Multimedia Appendix 2 ).

Principal Findings

In the rapidly evolving field of digital health care, accessibility to digital health services is an essential determinant of health outcomes [ 41 ]. Consequently, the concept of digital inclusion, especially for vulnerable groups, is gaining prominence in the digital health care landscape, necessitating a thorough assessment and integration of these considerations into the design and delivery of digital health services [ 6 ]. The development of the Mobile-Centered Digital Health Readiness: Health Literacy and Equity Scale (mDiHERS) for patients is a pioneering effort to quantify the readiness and capability of patients to engage with digital health services. This scale is particularly relevant given the chronic nature of IBD, which necessitates ongoing and continuous management and the potential for digital tools to enhance patient autonomy and care significantly. The mDiHERS addresses a critical gap in digital health literature by providing a validated tool that can assess patients’ digital access, literacy, and equity, which are essential for the effective use of digital health services.

In the mDiHERS, some items assess users’ ability to navigate and interpret digital interfaces. This ability is increasingly essential to affording opportunities to increase reach and engagement in the digital health care service [ 42 ]. Including items requiring users to interact with actual digital device screens—such as smartphones and wearable devices—addresses a vital component of digital health literacy: the technical proficiency necessary for engaging with health apps and platforms. This approach means that the mDiHERS not only captures the subjective confidence of users in their digital capabilities but also provides an objective measure of their practical skills. In other words, the mDiHERS acknowledges this by ensuring its assessment criteria encompass users’ perceived and actual abilities to manage their health digitally. This supports prior research that objective tests may be better suited to assessing an individual’s skills [ 10 ]. This is particularly pertinent for patients who rely on digital health monitoring and management tools, as it empowers them to become active, informed participants in their health care journeys. By emphasizing both confidence and competence, the mDiHERS aligns with the goals of digital health initiatives which aim to enhance patient autonomy and improve health outcomes through technology. This focus reflects the broader objectives within the digital health ecosystem, where patient empowerment and the democratization of health information are paramount.

The findings of this study underscore the importance of considering patient-specific factors when assessing digital readiness. The mDiHERS evaluates an individual’s ability and familiarity with using digital health services and their level of digital readiness, including the concept of equity, which has recently become necessary with the emergence of digital health services [ 7 ]. The tailored approach of the mDiHERS, focusing on patients with IBD, allows for a nuanced understanding of the challenges and opportunities within this group. It is evident that while digital health services offer immense potential, their benefits are not uniformly accessible. The mDiHERS can thus serve as a diagnostic tool to identify areas where interventions are needed to improve digital health engagement and patient outcomes. If digital health services regularly monitor digital readiness, they can easily identify users who need additional support. Furthermore, it can also effectively evaluate interventions’ effectiveness at all research stages. Therefore, the needs of digital health service users will be appropriately addressed.

Furthermore, assessing digital device usage skills should focus on more than just the technical aspects. As items in sections E and F of the mDiHERS exemplify, factors such as a patient’s cultural and educational background can influence their ability to use digital devices, necessitating a comprehensive approach incorporating these variables. Educational support and interventions tailored to patients from cultural and educational environments with potentially lower digital device usage skills will significantly enhance digital health literacy, accessibility, and, ultimately, digital health equity [ 43 ]. The mDiHERS underscores the need for an assessment that evaluates technical skills while also considering the patient’s overall background and circumstances. This approach contributes to developing more inclusive and customized support strategies for effectively using digital health services, ensuring all patients can benefit from advancements in digital health care.

The mDiHERS has the potential to be adapted for use in other patient populations and health conditions. Its application could lead to more personalized health care, where digital tools are used to their full potential to support health consumer’s care. However, the scale also highlights the need for health care systems to address the digital divide and ensure that all patients, particularly those with chronic conditions, have the necessary skills and resources to benefit from digital health innovations. The evolution of digital health services will likely present new challenges and opportunities, making the continuous refinement and application of tools such as the mDiHERS essential for achieving equitable and effective health care delivery.

Limitations and Recommendation

This study used online surveys and interviews. Participants with low digital literacy may have found participating difficult, possibly excluding them from the survey. Consequently, individuals with higher digital literacy might be overrepresented, leading to self-selection bias. This can hinder generalizing the findings to the entire population and can affect study results. To minimize this bias in future research, incorporating online educational interventions and paper-based surveys can help include those with low digital literacy. Promoting the study on various platforms can also improve accessibility. Recruiting a balanced number of participants across different age groups can enhance accuracy. IBD primarily affects individuals in their teens to thirties, making it challenging to have evenly distributed participants. Future research should aim to recruit a similar number of participants across different age groups to validate the tool thoroughly and improve the representativeness of the results.

Further, it is important to note that while we aimed to gather a broad range of literature and frameworks, our approach did not use a systematic review method, which may be considered a limitation. We acknowledge this limitation in our paper as it affects the comprehensiveness of our findings. Furthermore, due to the resource constraints of our study, it was only feasible to adhere partially to the WHO translation guidelines for tools. However, we suggest that future translations of the tool into other languages should follow the WHO’s translation guidelines for tools. Lastly, future studies are proposed to measure patient or health consumer digital readiness using the mDiHERS developed in this study to advance this research field. Subsequently, they should design and evaluate digital health services considering these results. This would facilitate the validation of the correlation between outcomes derived from the tool and the actual usage and effectiveness of digital health services.

Conclusions

The mDiHERS developed for this study measures patients’ readiness and ability to use digital health services. It is particularly useful for individuals and groups requiring continuous health management, such as IBD. mDiHERS assesses digital accessibility, literacy, and equity factors, contributing to the effective use of digital health services to enhance accessibility. The development and validation of the mDiHERS highlight the importance of patients’ confidence and competence in managing their health digitally. Continuous improvements are necessary to ensure that all patients can benefit from digital health care.

Acknowledgments

We would like to express our gratitude to Seung Gon Kim for his assistance in our research. This research was supported by the National Research Foundation of Korea (NRF-2021R1C1C1004505). The funding for this project was secured by the corresponding author, JL. The text, tables, and figures of this paper were entirely generated by the authors without any primary or significant contributions from generative artificial intelligence. However, ChatGPT was used to identify and correct grammatical errors in the English text written by the authors.

Data Availability

Data from this study are available upon reasonable request from the corresponding author.

Conflicts of Interest

None declared.

Mobile-Centered Digital Health Readiness: Digital Health Literacy and Equity Scale (mDiHERS) Korean version.

Mobile-Centered Digital Health Readiness: Digital Health Literacy and Equity Scale (mDiHERS) English version.

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Abbreviations

Edited by A Mavragani; submitted 17.03.24; peer-reviewed by D Yoon, KL Mauco; comments to author 10.04.24; revised version received 01.05.24; accepted 27.06.24; published 13.08.24.

©Hana Kim, Rebecca Schnall, Nagyeom Yoon, Seong-Joon Koh, Jisan Lee, Jae Hee Cheon. Originally published in the Journal of Medical Internet Research (https://www.jmir.org), 13.08.2024.

This is an open-access article distributed under the terms of the Creative Commons Attribution License (https://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work, first published in the Journal of Medical Internet Research (ISSN 1438-8871), is properly cited. The complete bibliographic information, a link to the original publication on https://www.jmir.org/, as well as this copyright and license information must be included.

More From Forbes

How to create and execute a knock-your-socks-off data-driven thought leadership campaign.

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CEO of Arketi Group , building thought leadership for a team specializing in PR/digital marketing for B2B tech companies.

I’ve never met a hungry journalist who didn’t love pie ... charts.

Reporters crave data-backed stories, and as communications professionals, we can deliver by conducting thoughtful, data-driven research that reinforces our thought leadership campaigns.

It takes more than a surface-level survey, however. Conducting quick-and-dirty research that ferrets out a single nuance or statistic will not cut it. Marketing and PR pros must be intentional with their survey research to capture insights that a reporter simply cannot find anywhere else.

Communicators are often tempted to shout out an exciting new data point, but creating a holistic, integrated campaign to share your thought leadership is what delivers impactful results. Remember, the goal is to get the phones ringing with customers and buyers, not to secure a feel-good media placement.

To make the most of our research and campaigns, we developed a four-step process to identify unique, one-of-a-kind trends that generate meaningful media engagement—plus a multitude of assets, tools and resources to amplify our work.

1. See What’s Out There Through A Literature Review

“Everything is created twice,” and when it comes to survey research, there is a good chance similar or related research exists. That is why we always conduct a thorough literature review prior to drafting our research premise or survey questions.

Academic research always begins with a deep review of past studies, so why should communicators operate any differently? Ask yourself: “What can our survey add to the existing body of knowledge?”

The literature review will also define whether updating older research is worth the push. While longitudinal—data tracked over time—studies are interesting, they are not always the most compelling. Introducing fresh, new insights around an industry or trend is rarely a wrong move.

2. Look Where Others Have Earned Coverage

Next, investigate where others’ data-driven campaigns have earned media placements to understand how well-received the information was. Did their survey results land coverage with a trade publication, media influencer or local outlet, or did they simply write a press release and distribute it through a wire service? All too often, the latter occurs, and results are wasted.

Do this before drafting the survey questions or premise. You don’t want to create a great survey and throw it into the wild without a solid earned media strategy. Considerable resources go into data-driven campaigns, so don’t waste those efforts.

3. Create And Test The Survey

How you craft a survey is key to netting powerful results. If the goal is to unearth novel, exciting research findings, standardized questions won’t cut it. For example, if your survey reveals a well-known fact such as, “People use fewer checks today than they did 10 years ago,” then it’s just white noise and not likely to generate meaningful results.

Data that breaks new ground is much more likely to generate media interest. If you discover consumers make better financial decisions with AI, for instance, not only are you tackling a timely topic, but you are also elevating the public conversation to address new angles and trends.

There’s an art to constructing survey questions. I suggest you go beyond the tried-and-true answers like yes, no, slightly agree, somewhat disagree and so on. Instead, consider using responses people would literally say such as, “Yuck, I would never use that product,” or, “That’s what I’ve been looking for!”

Confidently sharing that 45% of consumers say, “Yuck, I would never use that product” when asked about a gizmo is far more exciting than a headline that reads “45% of consumers have an unfavorable view.” Academic rigor is important, but injecting some creativity can level up a survey from good to great.

4. Use The Rule of Seven

Frame your story using a tried-and-true method: the press release. But don’t stop there. Use the press release as a starting point to present the most valuable information, build a case and make the data exciting for readers. Then, press on.

Create a FastFacts overview. This is a two-page, USA Today -style, charts-and-graphs document that presents the story of the data visually and with brief text. In today’s message-rich world, this is more appealing than a 65-page research report. Infographics are also effective but may lose some substance.

From there, put Arketi Group’s Rule of Seven to work: Take the content and repurpose it a minimum of seven times. Create animated charts and graphs to share on social media. Incorporate the findings into PowerPoint presentations for sales to share with customers. Host a webinar or virtual event announcing the research. Produce videos of executives analyzing the results and putting them into context for viewers. The possibilities are nearly endless.

This approach also gives our friends in the media more to work with. They may not use the assets verbatim, but often, they will use images and visuals to accompany their reporting. Such assets can also inspire media to translate the data in new ways for their own publication or outlet.

Have Data Cited For Years To Come

Survey research can uncover a treasure trove of valuable insights and information. The trick is translating that data into an effective, interesting narrative and launching a well-executed campaign to share it with stakeholders.

Plus, the beauty of a survey campaign is that you own the data. When others cite that information, they reference you and your thought leaders (or at least, they should). Another enduring benefit is that, if your data lives in perpetuity online, the likelihood of your research being used increases exponentially. As customers, prospects and media search for interesting data points about a topic, they will find your research—whether it is six, 12 or 18 months later. It’s the gift that keeps on giving!

Forbes Communications Council is an invitation-only community for executives in successful public relations, media strategy, creative and advertising agencies. Do I qualify?

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JSmol Viewer

Water insecurity and rights erosion: a comprehensive analysis of rohingya refugee camps in new delhi.

1. Introduction

Objectives of the study.

• Highlight the connection between access to clean and safe water and sanitation among the Rohingya refugees in Delhi, providing valuable insights that can inform policymakers in developing robust water-related policies that ensure equitable access to proper water and sanitation facilities for all.
• Fill the existing knowledge gap by examining the water security challenges faced by Rohingya refugees, with a specific focus on refugee camps in New Delhi, India.
• Comprehensively analyse the factors influencing water security in these camps, shedding light on the multifaceted nature of the problem.

2. Literature Review

2.1. linking wash with human rights and the right to water, 2.2. wash as a multidimensional concept, 2.3. gender disparities in wash and their impact on women’s well-being, 2.4. wash, malnutrition, and economic impact, 2.5. refugee and water crisis, 2.6. examples: case studies illustrating the interlinkage between refugees, human rights, and wash, 3. method and data, 3.1. study area.

Click here to enlarge figure

3.2. Data and Methods

• Focused Group Discussions (FGDs)
• One-on-One Household Interviews
• Literature Surveys and Document Archival Research

4. Findings and Discussions

4.1. inadequate water supply, 4.2. impact on daily life, 4.3. health consequences.

4.4. Gender Disparities in Water Consumption

4.5. economic and social impact, 4.6. environmental impact, 5. conceptual framework of water, sanitation, and hygiene (wash) and its association with different dimensions of human rights, including refugee rights, 6. conclusions, 6.1. addressing the complex nexus of water, sanitation, and human rights in refugee camps, 6.2. a dire water crisis, 6.3. health implications, 6.4. gender disparities and economic struggles, 6.5. environmental impact, 6.6. human rights and dignity, 7. recommendations for comprehensive intervention, author contributions, data availability statement, acknowledgments, conflicts of interest.

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Dasgupta, A.; Kar, S.; Sundberg, T.; Gautam, A.; Mukherjee, S. Water Insecurity and Rights Erosion: A Comprehensive Analysis of Rohingya Refugee Camps in New Delhi. Water 2024 , 16 , 2268. https://doi.org/10.3390/w16162268

Dasgupta A, Kar S, Sundberg T, Gautam A, Mukherjee S. Water Insecurity and Rights Erosion: A Comprehensive Analysis of Rohingya Refugee Camps in New Delhi. Water . 2024; 16(16):2268. https://doi.org/10.3390/w16162268

Dasgupta, Abesh, Surajit Kar, Trude Sundberg, Atul Gautam, and Subham Mukherjee. 2024. "Water Insecurity and Rights Erosion: A Comprehensive Analysis of Rohingya Refugee Camps in New Delhi" Water 16, no. 16: 2268. https://doi.org/10.3390/w16162268

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• Published: 10 August 2024

Mapping biomimicry research to sustainable development goals

• Raghu Raman 1 ,
• Aswathy Sreenivasan 2 ,
• M. Suresh 2 &
• Prema Nedungadi 3  

Scientific Reports volume  14 , Article number:  18613 ( 2024 ) Cite this article

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• Environmental sciences
• Environmental social sciences

This study systematically evaluates biomimicry research within the context of sustainable development goals (SDGs) to discern the interdisciplinary interplay between biomimicry and SDGs. The alignment of biomimicry with key SDGs showcases its interdisciplinary nature and potential to offer solutions across the health, sustainability, and energy sectors. This study identified two primary thematic clusters. The first thematic cluster focused on health, partnership, and life on land (SDGs 3, 17, and 15), highlighting biomimicry's role in healthcare innovations, sustainable collaboration, and land management. This cluster demonstrates the potential of biomimicry to contribute to medical technologies, emphasizing the need for cross-sectoral partnerships and ecosystem preservation. The second thematic cluster revolves around clean water, energy, infrastructure, and marine life (SDGs 6, 7, 9, and 14), showcasing nature-inspired solutions for sustainable development challenges, including energy generation and water purification. The prominence of SDG 7 within this cluster indicates that biomimicry significantly contributes to sustainable energy practices. The analysis of thematic clusters further revealed the broad applicability of biomimicry and its role in enhancing sustainable energy access and promoting ecosystem conservation. Emerging research topics, such as metaheuristics, nanogenerators, exosomes, and bioprinting, indicate a dynamic field poised for significant advancements. By mapping the connections between biomimicry and SDGs, this study provides a comprehensive overview of the field's trajectory, emphasizing its importance in advancing global sustainability efforts.

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Introduction.

Biomimicry, which combines 'bio' (life) and 'mimicry' (imitation), uses nature's patterns to solve human problems, aligning with the SDGs by fostering innovations 1 . This discipline studies natural processes to inspire sustainable designs and promote responsible consumption and production 2 . Biomimicry emphasizes sustainability, ideation, and education in reconnecting with nature to achieve the SDGs 3 . Collaboration among designers, technologists, and business experts is vital for translating natural mechanisms into commercial solutions 4 . Biomimetics, which aims for radical innovations by replicating living systems, strives for breakthroughs in economic growth 5 . By promoting systemic change through the emulation of nature's regenerative processes, biomimicry's alignment with the SDGs could enhance sustainability efforts. Merging biomimicry insights with SDGs could exceed sustainability benchmarks.

Integrating biomimicry with sustainable development goals (SDGs) is crucial for addressing global challenges. The SDGs offer a blueprint for global well-being and environmental stewardship by 2030 6 . They aim to protect the environment and foster social and economic development. Biomimicry provides innovative approaches to these objectives, drawing from natural strategies. While SDGs offer clear targets, biomimicry complements these by providing a unique lens for solutions 7 . The investigation of biomimicry in conjunction with the SDGs is based on the understanding that the development of biologically inspired materials, structures, and systems offers a novel and sustainable solution to design problems, particularly in the built environment 8 . By mimicking nature's answers to complicated challenges, biomimicry produces creative, clever, long-lasting, and environmentally responsible ideas.

The SDGs outline a comprehensive sustainability agenda targeting social equity, environmental conservation, and poverty alleviation 9 . The use of biomimicry in research can lead to the development of solutions that mimic natural efficiency 10 , revolutionizing industries with resource-efficient technologies and enhancing sustainability. This synergy could lead to environmentally friendly products, improved energy solutions, and effective waste management systems. Integrating biomimicry into industry and education promotes environmental stewardship and ecological appreciation 11 . Marrying biomimicry research with SDGs has accelerated progress toward sustainable development.

Biomimicry can provide insightful and useful solutions consistent with sustainability ideals by imitating the adaptability and efficiency observed in biological systems 12 . The built environment's use of biomimicry has a greater sustainable impact when circular design features are included 13 . Reusing materials, cutting waste, and designing systems that work with natural cycles are all stressed in a circular design. Combining biomimicry and circular design promotes social inclusion, environmental resilience, resourcefulness, and compassionate governance, all of which lead to peaceful coexistence with the environment. This all-encompassing strategy demonstrates a dedication to tackling the larger social and environmental concerns that the SDGs represent and design challenges 14 . Complementing these studies, Wamane 7 examined the intersection of biomimicry, the environmental, social, and governance (ESG) framework, and circular economy principles, advocating for an economic paradigm shift toward sustainability.

A key aspect of realizing the impact of biomimicry on SDGs is the successful translation and commercialization of biomimicry discoveries. This involves overcoming barriers such as skill gaps, the engineering mindset, commercial acumen, and funding. Insights from the "The State of Nature-Inspired-Innovation in the UK" report provide a comprehensive analysis of these challenges and potential strategies to address them, underscoring the importance of integrating commercial perspectives into biomimicry research.

This research employs bibliometric techniques to assess the integration and coherence within circular economy policy-making, emphasizing the potential for a synergistic relationship between environmental stewardship, economic growth, and social equity to foster a sustainable future.

In addressing the notable gap in comprehensive research concerning the contribution of biomimicry solutions to specific SDGs, this study offers significant insights into the interdisciplinary applications of biomimicry and its potential to advance global sustainability efforts. Our investigation aims to bridge this research gap through a systematic analysis, resulting in the formulation of the following research questions:

RQ1: How does an interdisciplinary analysis of biomimicry research align with and contribute to advancing specific SDGs?

RQ2: What emerging topics within biomimicry research are gaining prominence, and how do they relate to the SDGs?

RQ3 : What are the barriers to the translation and commercialization of biomimicry innovations, and how can these barriers be overcome to enhance their impact on SDGs?

RQ4: Based on the identified gaps in research and the potential for interdisciplinary collaboration, what innovative areas within biomimicry can be further explored to address underrepresented SDGs?

The remainder of this paper is arranged as follows. Section " Literature review " focuses on the literature background of biomimicry, followed by methods (section " Methods ") and results and discussion, including emerging research topics (section " Results and discussion "). Section " Conclusion " concludes with recommendations and limitations.

Literature review

The potential of biomimicry solutions for sustainability has long been recognized, yet there is a notable lack of comprehensive studies that explore how biomimicry can address specific sustainable development goals (SDGs) (Table 1 ). This research aims to fill this gap by investigating relevant themes and building upon the literature in this field.

Biomimicry, with its roots tracing back to approximately 500 BC, began with Greek philosophers who developed classical concepts of beauty and drew inspiration from natural organisms for balanced design 15 . This foundational idea of looking to nature for design principles continued through history, as exemplified by Leonardo Da Vinci's creation of a flying machine inspired by birds in 1482. This early instance of biomimicry influenced subsequent advancements, including the Wright brothers' development of the airplane in 1948 12 , 15 . The term "bionics," coined in 1958 to describe "the science of natural systems or their analogs," evolved into "biomimicry" by 1982. Janine Benyus's 1997 book, “Biomimicry: Innovation Inspired by Nature,” and the founding of the Biomimicry Institute (Biomimicry 16 ) were pivotal, positioning nature as a guide and model for sustainable design. Benyus’s work underscores the potential of biomimicry in tackling contemporary environmental challenges such as climate change and ecosystem degradation 12 , 17 .

In recent years, the call for more targeted research in biomimicry has grown, particularly in terms of architecture and energy use. Meena et al. 18 and Varshabi et al. 19 highlighted the need for biomimicry to address energy efficiency in building design, stressing the potential of nature-inspired solutions to reduce energy consumption and enhance sustainability. This perspective aligns with that of Perricone et al. 20 , who explored the differences between artificial and natural systems, noting that biomimetic designs, which mimic the principles of organism construction, can significantly improve resource utilization and ecosystem restoration. Aggarwal and Verma 21 contributed to this discourse by mapping the evolution and applications of biomimicry through scientometric analysis, revealing the growing significance of nature-inspired optimization methodologies, especially in clustering techniques. Their work suggested that these methodologies not only provide innovative solutions but also reflect a deeper integration of biomimetic principles in technological advancements. Building on this, Pinzón and Austin 22 emphasized the infancy of biomimicry in the context of renewable energy, advocating for more research to explore how nature can inspire new energy solutions. Their work connects with that of Carniel et al. 23 , who introduced a natural language processing (NLP) technique to identify research themes in biomimicry across disciplines, facilitating a holistic understanding of current trends and future directions.

To further illustrate the practical applications of biomimicry, Nasser et al. 24 presented the Harmony Search Algorithm (HSA), a nature-inspired optimization technique. Their bibliometric analysis demonstrated the algorithm's effectiveness in reducing energy and resource consumption, highlighting the practical benefits of biomimicry in technological innovation. Rusu et al. 25 expanded on these themes by documenting significant advancements in soft robotics, showing how biomimicry influences design principles and applications in this rapidly evolving field. Their findings underscore the diverse applications of biomimetic principles, from robotics to building design. Shashwat et al. 26 emphasized the role of bioinspired solutions in enhancing energy efficiency within the built environment, promoting the use of high solar reflectance surfaces that mimic natural materials. This perspective is in line with that of Pires et al. 27 , who evaluated the application of biomimicry in dental restorative materials and identified a need for more clinical studies to realize the full potential of biomimetic innovations in healthcare. Liu et al. 28 explored the application of nature-inspired design principles in software-defined networks, demonstrating how biomimetic algorithms can optimize resource and energy utilization in complex systems. This study builds on the broader narrative of biomimicry's potential to transform various sectors by offering efficient, sustainable solutions. Finally, Hinkelman et al. 29 synthesized these insights by discussing the transdisciplinary applications of ecosystem biomimicry, which supports sustainable development goals by integrating biomimetic principles across engineering and environmental disciplines. This comprehensive approach underscores the transformative potential of biomimicry, suggesting that continued interdisciplinary research and innovation are crucial for addressing global sustainability challenges effectively.

PRISMA framework

This study utilizes the PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) framework to structure its analysis, following the established five-step protocol: formulating research questions, defining a search strategy, executing a literature search, screening identified literature, and analyzing the findings (Page et al., 2021). The application of the PRISMA guidelines across various research domains, including the SDGs, is well documented 30 .

To ensure a comprehensive search, we searched the Scopus database, a widely utilized resource for bibliometric studies 31 (Donthu et al. 82 ), which led to the discovery of 46,141 publications from 2013 to 2023. This period marked significant research activity following the introduction of the SDGs at the Rio + 20 summit in 2012. Publications were identified using the following terms in the title and abstract: “ (biomimic* OR biomimetic* OR bioinspired OR bioinsp* OR bionic* OR nature-inspired OR "biologically inspired" OR bioinspiration OR biomimesis OR biognosis).”

During the screening phase, publications lacking complete author details were reviewed, narrowing the field to 46,083 publications for further analysis. The eligibility phase utilized proprietary algorithms to map publications to the 17 SDGs, informed by initiatives such as the University of Auckland (Auckland’s SDG mapping 32 ) and Elsevier's SDG Mapping Initiatives (Elsevier's SDG Mapping 33 ). The selection of the Elsevier SDG Mapping Initiative for this study was based on its seamless integration with Scopus, facilitating the use of predefined search queries for each SDG and employing a machine learning model that has been refined through expert review. This approach has been utilized in various studies to analyze research trends within emerging fields. For example, the exploration of green hydrogen was detailed by Raman et al. 34 , while investigations into Fake News and the Dark Web were conducted by Raman et al. 35 , 36 , 37 and Rama et al. 38 , respectively. These examples demonstrate the efficacy of SDG mapping in elucidating how research outputs align with and contribute to sustainable development goals in these emerging domains. This phase identified 13,287 publications as mapped to SDGs. In the inclusion phase, stringent criteria further filtered the publications to English-language journals and review articles, culminating in 13,271 publications deemed suitable for in-depth analysis. This process ensures a comprehensive and high-quality dataset for the study, reflecting the robust and systematic approach afforded by the PRISMA framework in evaluating literature relevant to SDGs.

Our keyword search strategy, while comprehensive, may capture papers that do not genuinely contribute to the field. To mitigate this, we employed manual verification. After the automated search, the authors conducted a manual review of a subset of the final set of identified papers to assess their relevance and authenticity in the context of biomimicry. The subset was based on 20 highly cited papers from each year. We believe that papers that are frequently cited within the community are more likely to be accurately classified. The authors mainly reviewed the introduction, methodology, and results sections to confirm the relevance and authenticity of the papers. However, we acknowledge that these steps may not fully eliminate the inclusion of irrelevant papers, which could skew the results of our meta-analysis.

SDG framework

The examination of sustainable development goals (SDGs) reveals their interconnected nature, where the achievement of one goal often supports progress in others. Studies by Le Blanc (2015) and Allison et al. (2016) have mapped out the complex web of relationships among the SDGs, identifying both strong and subtle linkages across different objectives. To visualize these connections, we employed a cocitation mapping approach using VOSviewer 39 , which allows us to depict the semantic relationships between SDGs through their cocitation rates in scholarly works. This approach generates a visual map where each SDG is represented as a node, with the node size reflecting the goal's research prominence and the thickness of the lines between nodes indicating the frequency of cocitations among the goals. This visual representation reveals the SDGs as an intricate but unified framework, emphasizing the collaborative nature of global sustainability initiatives.

Topic prominence percentile

The Scopus prominence percentile is a crucial metric indicating the visibility and impact of emerging research topics within the scientific community. High-ranking topics in this percentile are rapidly gaining attention, highlighting emerging trends and areas poised for significant advancements. This tool enables researchers and policymakers to identify and focus on innovative topics, ensuring that their efforts align with the forefront of scientific development 35 , 36 , 37 . Topics above the 99.9th percentile were used in this study.

Results and discussion

Rq1: sdg framework and interdisciplinary research (rq4).

This study evaluates biomimicry research through the framework of SDGs. A cocitation SDG map shows two clusters and provides insights into the interplay between biomimicry themes and SDGs, highlighting the cross-disciplinary nature of this research (Fig.  1 ). The blue box hidden behind the “3 – Good Health and Well-being” and “7 – Affordable and Clean Energy” is “11 – Sustainable cities and Communities”. The blue box hidden behind “15 – Life on Land” is “16 – Peace, Justice and Strong institutions”.

Interdisciplinary SDG network of biomimicry research.

Cluster 1 (Red): Biomimetic innovations for health, partnership, and life on land

This cluster comprises a diverse array of research articles that explore the application of biomimicry across various SDGs 3 (health), 17 (partnership), and 15 (land). The papers in this cluster delve into innovative biomimetic ideas, each contributing uniquely to the intersection of sustainable development and biological inspiration. SDG 3, emphasizing good health and well-being for all, is significantly represented, indicating a global effort to leverage biomimicry for advancements in healthcare, such as new medication delivery systems and medical technologies. Similarly, the frequent citations of SDG 17 underscore the vital role of partnerships in achieving sustainable growth, especially where bioinspired solutions require interdisciplinary collaboration to address complex challenges. Finally, the prominence of 15 SDG citations reflects a commitment to preserving terrestrial ecosystems, where biomimicry is increasingly applied in land management, demonstrating nature's adaptability and resilience as a model for sustainable practices. Table 2 lists the top 5 relevant papers from Cluster 1, further illustrating the multifaceted application of biomimicry in addressing these SDGs.

A unique binary variant of the gray wolf optimization (GWO) technique, designed especially for feature selection in classification tasks, was presented by Emary et al. 40 . GWO is a method inspired by the social hierarchy and hunting behavior of gray wolves to find the best solutions to complex problems. This bioinspired optimization technique was used to optimize SDG15, which also highlights its ecological benefits. The results of the study highlight the effectiveness of binary gray wolf optimization in identifying the feature space for ideal pairings and promoting environmental sustainability and biodiversity. Lin et al. 41 focused on SDG 3 by examining catalytically active nanomaterials as potential candidates for artificial enzymes. While acknowledging the limits of naturally occurring enzymes, this study explores how nanobiotechnology can address problems in the food, pharmaceutical, and agrochemical sectors.

The investigation of enzymatic nanomaterials aligns with health-related objectives, highlighting the potential for major improvements in human health. Parodi et al. 42 used biomimetic leukocyte membranes to functionalize synthetic nanoparticles, extending biomimicry into the biomedical domain. To meet SDG 3, this research presents "leukolike vectors," which are nanoporous silicon particles that can communicate with cells, evade the immune system, and deliver specific payloads. In line with the SDGs about health, this study emphasizes the possible uses of biomimetic structures in cancer detection and treatments. A novel strategy for biological photothermal nanodot-based anticancer therapy utilizing peptide‒porphyrin conjugate self-assembly was presented by Zou et al. 43 . For therapeutic reasons, efficient light-to-heat conversion can be achieved by imitating the structure of biological structures. By providing a unique biomimetic approach to cancer treatment and demonstrating the potential of self-assembling biomaterials in biomedical applications, this research advances SDG 3. Finally, Wang et al. 44 presented Monarch butterfly optimization (MBO), which is a bioinspired algorithm that mimics the migration patterns of monarch butterflies to solve optimization problems effectively. This method presents a novel approach to optimization, mimicking the migration of monarch butterflies, aligning with SDG 9. Comparative analyses highlight MBO's exceptional performance and demonstrate its capacity to address intricate issues about business and innovation, supporting objectives for long-term collaboration and sector expansion.

The publications in Cluster 1 show a wide range of biomimetic developments, from ecological optimization to new optimization techniques and biomedical applications. These varied contributions highlight how biomimicry can advance sustainable development in health, symbiosis, and terrestrial life.

Cluster 2 (green): Nature-inspired solutions for clean water, energy, and infrastructure

Cluster 2, which focuses on the innovative application of biomimicry in sustainable development, represents a range of research that aligns with SDGs 6 (sanitation), 7 (energy), 9 (infrastructure), and 14 (water). This cluster is characterized by studies that draw inspiration from natural processes and structures to offer creative solutions to sustainability-related challenges. The papers in this cluster, detailed in Table 3 , demonstrate how biomimicry can address key global concerns in a varied and compelling manner.

Within this cluster, the high citation counts for SDG 7 underscore the significance of accessible clean energy, a domain where biomimicry contributes innovative energy generation and storage solutions inspired by natural processes. This aligns with the growing emphasis on sustainable energy practices. The prominence of SDG 9 citations further highlights the global focus on innovation and sustainable industry, where biomimicry's role in developing nature-inspired designs is crucial for building robust systems and resilient infrastructure. Furthermore, the substantial citations for SDG 6 reflect a dedicated effort toward ensuring access to clean water and sanitation for all. In this regard, biomimicry principles are being applied in water purification technologies, illustrating how sustainable solutions modeled after natural processes can effectively meet clean water objectives.

The study by Sydney Gladman et al. (2016), which presented the idea of shape-morphing systems inspired by nastic plant motions, is one notable addition to this cluster. This discovery creates new opportunities for tissue engineering, autonomous robotics, and smart textile applications by encoding composite hydrogel designs that exhibit anisotropic swelling behavior. The emphasis of SDG 9 on promoting industry, innovation, and infrastructure aligns with this biomimetic strategy. SDGs 7 and 13 are addressed in the study of Li et al. 45 , which is about engineering heterogeneous semiconductors for solar water splitting. This work contributes to the goals of inexpensive, clean energy and climate action by investigating methods such as band structure engineering and bionic engineering to increase the efficiency of solar water splitting. Li et al. 46 conducted a thorough study highlighting the importance of catalysts for the selective photoreduction of CO2 into solar fuels. This review offers valuable insights into the use of semiconductor catalysts for selective photocatalytic CO2 reduction. Our work advances sustainable energy solutions by investigating biomimetic, metal-based, and metal-free cocatalysts and contributes to SDGs 7 and 13. Wang et al. 47 address the critical problem of water pollution. Creating materials with superlyophilic and superlyophobic qualities offers a creative method for effectively separating water and oil. This contributes to the goals of clean water, industry, innovation, and life below the water. It also correlates with SDGs 6, 9, and 14. Singh et al. 48 also explored the 'green' synthesis of metals and their oxide nanoparticles for environmental remediation, which furthers SDG 9. This review demonstrates the environmentally benign and sustainable features of green synthesis and its potential to lessen the environmental impact of conventional synthesis methods.

Cluster 2 provides nature-inspired solutions for clean water, renewable energy, and sustainable infrastructure, demonstrating the scope and importance of biomimicry. The varied applications discussed in these papers help overcome difficult problems and advance sustainable development in line with several SDGs.

RQ2: Emerging research topics

Temporal evolution of emerging topics.

Figure  2 displays the publication counts for various emerging topics from 2013 to 2022, indicating growth trends over the years. For 'Metaheuristics', there is a notable increase in publications peaking in approximately 2020, suggesting a surge in interest. 'Strain sensor' research steadily increased, reaching its highest publication frequency toward the end of the period, which is indicative of growing relevance in the field. 'Bioprinting' sharply increased over the next decade, subsequently maintaining high interest, which highlights its sustained innovation. In contrast, 'Actuators' showed fluctuating publication counts, with a recent upward trend. 'Cancer' research, while historically a major topic, displayed a spike in publications in approximately 2018, possibly reflecting a breakthrough or increased research funding. 'Myeloperoxidase' has a smaller presence in the literature, with a modest peak in 2019. The number of 'Water '-related publications remains relatively low but shows a slight increase, suggesting a gradual but increasing recognition of its importance. Research on exosomes has significantly advanced, particularly since 2018, signifying a greater area of focus. 'Mechanical' topic publications have moderate fluctuations without a clear trend, indicating steady research interest. 'Micromotors' experienced an initial publication surge, followed by a decline and then a recent resurgence, possibly due to new technological applications. 'Nanogenerators' have shown a dramatic increase in interest, particularly in recent years, while 'Hydrogel' publications have varied, with a recent decline, which may point toward a shift in research focus or maturity of the topic.

Evolution of emerging topics according to publications (y-axis denotes the number of publications; x-axis denotes the year of publication).

Figure  3 presents the distribution of various research topics based on their prominence percentile and total number of publications. Topics above the 99.9th percentile and to the right of the vertical threshold line represent the most emergent and prolific topics of study. Next, we examine the topics within each of the four quadrants, focusing on how each topic has developed over the years in relation to SDGs and the key phrases associated with each topic.

Distribution of research topics based on prominence percentile and total number of publications.

Next, we examine each research topic in four quadrants, assessing their evolution concerning SDGs. We also analyze the keyphrase cloud to identify which keyphrases are most relevant (indicated by their font size) and whether they are growing or not. In the key phrase cloud, green indicates an increasing relevance of the key phrase, grey signifies that its relevance remains constant, and blue represents a declining relevance of the key phrase.

Niche biomimetic applications

These are topics with a lower number of publications and prominence percentiles, indicating specialized or emerging areas of research that are not yet widely recognized or pursued (Quadrant 1—bottom left).

Myeloperoxidase; colorimetric; chromogenic compounds

The inclusion of myeloperoxidase indicates that inflammation and the immune system are the main research topics. The focus on chromogenic and colorimetric molecules suggests a relationship to analytical techniques for identifying biological materials. The evolution of the research is depicted in Fig.  4 a shows an evolving emphasis on various sustainable development goals (SDGs) over time. The research trajectory, initially rooted in SDG 3 (Good Health and Well-being), has progressively branched out to encompass SDG 7 (Affordable and Clean Energy) and SDG 6 (Clean Water and Sanitation), reflecting an expanding scope of inquiry within the forestry sciences. More recently, the focus has transitioned toward SDG 15 (Life on Land), indicating an increased recognition of the interconnectedness between forest ecosystems and broader environmental and sustainability goals. This trend underscores the growing complexity and multidisciplinary nature of forestry research, highlighting the need to address comprehensive ecological concerns along with human well-being and sustainable development.

Evolution of research ( a ) and key phrases ( b ).

The word cloud in Fig.  4 b highlights key phrases such as 'Biocompatible', 'Actuator', and 'Self-healing Hydrogel', reflecting a focus on advanced materials, while terms such as 'Elastic Modulus' and 'Polymeric Networks' suggest an emphasis on the structural properties essential for creating innovative diagnostic and environmental sensing tools. Such developments are pertinent to health monitoring and water purification, resonating with SDG 3 (Good Health and Well-being) and SDG 6 (Clean Water and Sanitation). The prominence of 'Self-healing' and 'Bioinspired' indicates a shift toward materials that emulate natural processes for durability and longevity, supporting sustainable industry practices aligned with SDG 9 (Industry, Innovation, and Infrastructure) and SDG 12 (Responsible Consumption and Production), contributing to the overarching aim of sustainable development.

Next, we analyzed the top 3 cited publications. Catalytically active nanomaterials, or nanozymes, are exciting candidates for artificial enzymes, according to Lin et al. 41 . The authors explore the structural features and biomimetics applications of these enzymes, classifying them as metal-, carbon-, and metal oxide-based nanomaterials. This study emphasizes the benefits of enzymes over natural enzymes, including their high stability, variable catalytic activity, and controlled production. Wang et al. 49 developed biomimetic nanoflowers made from nanozymes to cause intracellular oxidative damage in hypoxic malignancies. Under both normoxic and hypoxic conditions, the nanoflowers demonstrated catalytic efficiency. By overcoming the constraints of existing systems that depend on oxygen availability or external stimuli, this novel technique represents a viable treatment option for malignant neoplasms. Gao et al. 50 investigated the use of a dual inorganic nanozyme-catalyzed cascade reaction as a biomimetic approach for nanocatalytic tumor therapy. This approach produces a high level of therapeutic efficacy by cascading catalytic events inside the tumor microenvironment. This study highlights the potential of inorganic nanozymes for achieving high therapeutic efficacy and outstanding biosafety, which adds to the growing interest in nanocatalytic tumor therapy.

Water; hydrophobicity; aerogels

With an emphasis on hydrophobicity, aerogel use, and water-related features, this topic relates to materials science and indicates interest in cutting-edge materials with unique qualities. From Fig.  5 a, we can see that, initially, the focus was directed toward SDG 6 (Clean Water and Sanitation), which is intrinsically related to the research theme, as biomimetic approaches are leveraged to develop innovative water purification and management solutions. As the research progressed, the scope expanded to intersect with SDG 14 (Life Below Water) and SDG 7 (Affordable and Clean Energy), signifying a broadened impact of biomimetic innovations in marine ecosystem conservation and energy-efficient materials. The gradual involvement with SDG 9 (industry, innovation, and infrastructure) and SDG 13 (climate action) indicates the interdisciplinary reach of this research, which aims to influence industrial practices and climate change mitigation strategies.

The word cloud in Fig.  5 b reinforces this narrative by showcasing key phrases such as 'Hydrophobic', 'Bioinspired', 'Emulsion', and 'Oil Pollution', which reflect the emphasis on developing materials and technologies that mimic natural water repellency and separation processes. 'Aerogel' and 'polydopamine', along with 'Underwater' and 'Biomimetic Cleaning', suggest a strong focus on creating lightweight, efficient materials capable of self-cleaning and oil spill remediation. These keywords encapsulate the essence of the research theme, demonstrating a clear alignment with the targeted SDGs and the overall aim of sustainable development through biomimicry.

Three highly referenced works that have made substantial contributions to the field of biomimetic materials for oil/water separation are included in the table. The development of superlyophilic and superlyophobic materials for effective oil/water separation was examined by Wang et al. 47 . This review highlights the applications of these materials in separating different oil-and-water combinations by classifying them according to their surface wettability qualities. The excellent efficiency, selectivity, and recyclability of the materials—which present a viable treatment option for industrial oily wastewater and oil spills—are highlighted in the paper. Su et al. 51 explored the evolution of super wettability systems. The studies included superhydrophobicity, superoleophobicity, and undersea counterparts, among other extreme wettabilities. The kinetics, material structures, and wetting conditions related to obtaining superwettability are covered in the article. This demonstrates the wide range of uses for these materials in chemistry and materials science, including self-cleaning fabrics and systems for separating oil and water. Zhang et al. 52 presented a bioinspired multifunctional foam with self-cleaning and oil/water separation capabilities. To construct a polyurethane foam with superhydrophobicity and superoleophobicity, this study used porous biomaterials and superhydrophobic self-cleaning lotus leaves. Foam works well for separating oil from water because of its slight weight and ability to float on water. It also shows exceptional resistance to corrosive liquids. According to the article, multifunctional foams for large-scale oil spill cleaning might be designed using a low-cost fabrication technology that could be widely adopted.

Growing interest in bioinspired healthcare

These topics have a higher prominence percentile but a lower number of publications, suggesting growing interest and importance in the field despite a smaller body of research (Quadrant 2—top left).

Exosomes; extracellular vesicles; MicroRNAs

Exosomes and extracellular vesicles are essential for intercellular communication, and reference to microRNAs implies a focus on genetic regulation. The evolution of this topic reflects an increasing alignment with specific sustainable development goals (SDGs) over the years. The initial research focused on SDG 3 (good health and well-being) has expanded to encompass SDG 9 (industry, innovation, and infrastructure) and SDG 6 (clean water and sanitation), showcasing the multifaceted impact of biomimetic research in healthcare (Fig.  6 a). The research trajectory into SDG 9 and SDG 6 suggests broader application of bioinspired technologies beyond healthcare, potentially influencing sustainable industrial processes and water treatment technologies, respectively.

The word cloud (Fig.  6 b) underscores the central role of 'Extracellular Vesicles' and 'Exosomes' as platforms for 'Targeted Drug Delivery' and 'Nanocarrier' systems, which are key innovations in medical biotechnology. The prominence of terms such as 'Bioinspired', 'Biomimetic', 'Liposome', and 'Gold Nanoparticle' illustrates the inspiration drawn from biological systems for developing advanced materials and delivery mechanisms. These key phrases indicate significant advancements in 'Controlled Drug Delivery Systems', 'Cancer Chemotherapy', and 'Molecular Imaging', which have contributed to improved diagnostics and treatment options, consistent with the objectives of SDG 3.

The work by Jang et al. 53 , which introduced bioinspired exosome-mimetic nanovesicles for improved drug delivery to tumor tissues, is one of the most cited articles. These nanovesicles, which resemble exosomes but have higher creation yields, target cells and slow the growth of tumors in a promising way. Yong et al.'s 54 work presented an effective drug carrier for targeted cancer chemotherapy, focusing on biocompatible tumor cell-exocytosed exosome-biomimetic porous silicon nanoparticles. A paper by Cheng et al. 55 discussed the difficulties in delivering proteins intracellularly. This study suggested a biomimetic nanoparticle platform that uses extracellular vesicle membranes and metal–organic frameworks. These highly cited studies highlight the importance of biomimetic techniques in improving drug delivery systems for improved therapeutic interventions.

Nanogenerators; piezoelectric; energy harvesting

This topic advises concentrating on technology for energy harvesting, especially for those that use piezoelectric materials and nanogenerators. We see a rising focus on medical applications of biomimetics, from diagnostics to energy harvesting mimicking biological systems.

The evolution of this research topic reflects a broader contribution to the SDGs by not only addressing healthcare needs but also by promoting sustainable energy practices and supporting resilient infrastructure through biomimetic innovation (Fig.  7 a). Initially, the emphasis on SDG 3 (Good Health and Well-being) suggested the early application of biomimetic principles in healthcare, particularly in medical devices and diagnostics leveraging piezoelectric effects. Over time, the transition toward SDG 7 (Affordable and Clean Energy) and SDG 9 (Industry, Innovation, and Infrastructure) indicates an expansion of bioinspired technologies into sustainable energy solutions and industrial applications. Nanogenerators and energy harvesting techniques draw inspiration from biological processes and structures, aiming to optimize energy efficiency and contribute to clean energy initiatives.

The word cloud in Fig.  7 b emphasizes key phrases such as 'Piezoelectric', 'Energy Harvesting', 'Tactile Sensor', 'Triboelectricity', and 'Nanogenerators', highlighting the core technologies that are being developed. These terms, along with 'Bioinspired', 'Wearable Electronic Devices', and 'Energy Conversion Efficiency', illustrate the convergence of natural principles with advanced material science to create innovative solutions for energy generation and sensor technology.

Yang et al.'s 56 study in Advanced Materials presented the first triboelectrification-based bionic membrane sensor. Wearable medical monitoring and biometric authentication systems will find new uses for this sensor since it allows self-powered physiological and behavioral measurements, such as noninvasive human health evaluation, anti-interference throat voice recording, and multimodal biometric authentication. A thorough analysis of the state-of-the-art in piezoelectric energy harvesting was presented by Sezer and Koç 57 . This article addresses the fundamentals, components, and uses of piezoelectric generators, highlighting their development, drawbacks, and prospects. It also predicts a time when piezoelectric technology will power many electronics. The 2021 paper by Zhao et al. 58 examines the use of cellulose-based materials in flexible electronics. This section describes the benefits of these materials and the latest developments in intelligent electronic device creation, including biomimetic electronic skins, optoelectronics, sensors, and optoelectronic devices. This review sheds light on the possible drawbacks and opportunities for wearable technology and bioelectronic systems based on cellulose.

Leading edge of biomimetic sensing and electronics

This quadrant represents topics with both a high number of publications and a prominence percentile, indicating well-established and influential research areas (Quadrant 3—top right).

Strain sensor; flexible electronics; sensor

Figure  8 a highlights the progress of research on bioinspired innovations, particularly in the development of strain sensors and flexible electronics for adaptive sensing technologies. Initially, concentrated on health applications aligned with SDG 3 (Good Health and Well-being), the focus has expanded. The integration of SDG 9 (Industry, Innovation, and Infrastructure) indicates a shift toward industrial applications, while the incorporation of SDG 7 (Affordable and Clean Energy) suggests a commitment to energy-efficient solutions. Additionally, the mention of SDG 11 (Sustainable Cities and Communities) and SDG 12 (Responsible Consumption and Production) reflects the broadening scope to include urban sustainability and eco-friendly manufacturing practices.

Figure  8 b provides insight into the key phrases associated with this research topic, highlighting terms such as 'Bioinspired', 'Self-healing', 'Wearable Electronic Devices', 'Flexible Electronics', and 'Pressure Sensor'. These key phrases speak to the innovative approaches for creating sensors and electronics that are not only inspired by biological systems but also capable of seamlessly integrating human activity and environmental needs. The mention of 'Wearable Sensors' and 'Tactile Sensor' indicates a focus on user interaction and sensitivity, which is crucial for medical applications and smart infrastructure.

The top three articles with the most citations represent the cutting edge of this topic’s study. Chortos et al. 59 investigated how skin characteristics can be replicated for medicinal and prosthetic uses. Kim et al. 60 focused on creating ultrathin silicon nanoribbon sensors for smart prosthetic skin, opening up new possibilities for bionic systems with many sensors. A bioinspired microhairy sensor for ultraconformability on nonflat surfaces was introduced in Pang et al.'s 61 article, which significantly improved signal-to-noise ratios for accurate physiological measurements.

Cancer; photoacoustics; theranostic nanomedicine

Modern technologies such as photoacoustics, theranostic nanomedicine, and cancer research suggest that novel cancer diagnosis and therapy methods are highly needed. Figure  9 a traces the research focus that has evolved across various SDGs over time, commencing with SDG 3 (Good Health and Well-being), which is indicative of the central role of health in biomimetic research. It then extends into SDG 9 (Industry, Innovation, and Infrastructure) and SDG 7 (Affordable and Clean Energy), illustrating the cross-disciplinary applications of biomimetic technologies from healthcare to the energy and industrial sectors.

Figure  9 b provides a snapshot of the prominent keywords within this research theme, featuring terms such as “photodynamic therapy”, “photothermal chemotherapy”, “nanocarrier”, and “controlled drug delivery”. These terms underscore the innovative therapeutic strategies that mimic biological mechanisms for targeted cancer treatment. 'Bioinspired' and 'Biomimetic Synthesis' reflect the approach of deriving design principles from natural systems for the development of advanced materials and medical devices. 'Theranostic nanomedicine' integrates diagnosis and therapy, demonstrating a trend toward personalized and precision medicine.

A study conducted by Yu et al. 62 presented a novel approach for synergistic chemiexcited photodynamic-starvation therapy against metastatic tumors: a biomimetic nanoreactor, or bio-NR. Bio-NRs use hollow mesoporous silica nanoparticles to catalyze the conversion of glucose to hydrogen peroxide for starvation therapy while also producing singlet oxygen for photodynamic therapy. Bio-NR is promising for treating cancer metastasis because its coating on cancer cells improves its biological qualities. Yang et al.'s 63 study focused on a biocompatible Gd-integrated CuS nanotheranostic agent created via a biomimetic approach. This drug has low systemic side effects and good photothermal conversion efficiency, making it suitable for skin cancer therapy. It also performs well in imaging. The ultrasmall copper sulfide nanoparticles generated within ferritin nanocages are described in Wang et al.’s 64 publication. This work highlights the possibility of photoacoustic imaging-guided photothermal therapy with improved therapeutic efficiency and biocompatibility. These highly referenced articles highlight the significance of biomimetic techniques in furthering nanotheranostics and cancer therapy.

Established biomimetic foundations

Here, there are topics with a greater number of publications but a lower prominence percentile, which may imply areas where there has been significant research but that may be waning in influence or undergoing a shift in focus (Quadrant 4—bottom right).

Metaheuristics; Fireflies; Chiroptera

This topic is a fascinating mix of subjects. Using Firefly and Chiroptera in metaheuristic optimization algorithms provides a bioinspired method for resolving challenging issues. The thematic progression of research papers suggests the maturation of biomimetic disciplines that resonate with several SDGs (Fig.  10 a). The shift from initially aligning with SDG 3 (Good Health and Well-being) extends to intersecting with goals such as SDG 9 (Industry, Innovation, and Infrastructure), SDG 7 (Affordable and Clean Energy), SDG 11 (Sustainable Cities and Communities), SDG 13 (Climate Action), and SDG 15 (Life on Land). This diversification reflects the expansive utility of biomimetic approaches, from health applications to broader environmental and societal challenges.

The top keyphrases, such as 'Swarm Intelligence', 'Global Optimization', 'Cuckoo Search Algorithm', and 'Particle Swarm Optimization', are shown in Fig.  10 b highlights the utilization of nature-inspired algorithms for solving complex optimization problems. These terms, along with the 'Firefly Algorithm' and 'Bat Algorithm', underscore the transition of natural phenomena into computational algorithms that mimic the behavioral patterns of biological organisms, offering robust solutions in various fields, including resource management, logistics, and engineering design.

The three highly referenced metaheuristic publications centered around the “Moth Flame Optimization (MFO),” Salp Swarm Algorithm (SSA),” and Whale Optimization Algorithm (WOA).” The WOA, authored by Mirjalili and Lewis 65 , is a competitive solution for mathematical optimization and structural design issues because it emulates the social behavior of humpback whales. Inspired by the swarming behavior of salps, Mirjalili et al. 66 introduced the SSA and multiobjective SSA. This shows how well they function in optimizing a variety of engineering design difficulties. Finally, Mirjalili 67 suggested the MFO algorithm, which is modeled after the navigational strategy of moths and exhibits competitive performance in resolving benchmark and real-world engineering issues.

Bioprinting; three-dimensional printing; tissue engineering

The emphasis on sophisticated manufacturing methods for biological applications in this field suggests a keen interest in the nexus of biology and technology, especially in tissue engineering. As shown in Fig.  11 a, the topic's evolution encompasses Sustainable Development Goals (SDGs) that have transitioned over the years, including SDG 3 (Good Health and Well-being), which is inherently connected to the advancement of medical technologies and tissue engineering for health applications. This research also touches upon SDG 6 (Clean Water and Sanitation) and SDG 7 (Affordable and Clean Energy), suggesting applications of bioprinting technologies in the environmental sustainability and energy sectors. The progression toward SDG 9 (Industry, Innovation, and Infrastructure) and SDG 15 (Life on Land) reflects a broader impact, where biomimetic principles are applied to foster innovation in industrial processes and contribute to the preservation of terrestrial ecosystems.

Key phrases emerging from the word cloud in Fig.  11 b, such as “Hydrogel”, “Biofabrication”, “Tissue Scaffold”, and “Regenerative Medicine”, highlight the specialized methodologies and materials that are inspired by natural processes and structures. Terms such as 'Three-Dimensional Printing' and 'Bioprinting' underscore the technological advancements in creating complex biological structures, aiming to revolutionize the field of tissue engineering and regenerative medicine.

Three widely referenced papers about advances in 3D printing—particularly in bioprinting, soft matter, and the incorporation of biological tissue with functional electronics—are described next. Truby and Lewis’s 68 review of light- and ink-based 3D printing techniques is ground-breaking. This highlights the technology's capacity to create soft matter with tunable properties and its potential applications in robotics, shape-morphing systems, biologically inspired composites, and soft sensors. Ozbolat, and Hospodiuk 69 provide a thorough analysis of “extrusion-based bioprinting (EBB).” The adaptability of EBB in printing different biologics is discussed in the paper, with a focus on its uses in pharmaceutics, primary research, and clinical contexts. Future directions and challenges in EBB technology are also discussed. Using 3D printing, Mannoor et al. 70 presented a novel method for fusing organic tissue with functioning electronics. In the proof-of-concept, a hydrogel matrix seeded with cells and an interwoven conductive polymer containing silver nanoparticles are 3D printed to create a bionic ear. The improved auditory sensing capabilities of the printed ear show how this novel technology allows biological and nanoelectronic features to work together harmoniously.

RQ3: Translation and commercialization

Biomimicry offers promising solutions for sustainability in commercial industries with environmentally sustainable product innovation and energy savings with reduced resource commitment 71 . However, translating biomimicry innovations from research to commercialization presents challenges, including product validation, regulatory hurdles, and the need for strategic investment, innovative financial models, and interdisciplinary collaboration 71 , 72 , 73 , 74 . Ethical considerations highlight the need for universally applicable ethical guidelines regarding the moral debates surrounding biomimicry, such as motivations for pursuing such approaches and the valuation of nature 75 .

Addressing these barriers requires interdisciplinary collaboration, targeted education, and training programs. Strategic investment in biomimicry research and development is also crucial. Encouraging an engineering mindset that integrates biomimicry principles into conventional practices and developing commercial acumen among researchers is essential for navigating the market landscape 76 . Securing sufficient funding is essential for the development, testing, and scaling of these innovations 76 .

Successful case studies illustrate that the strategic integration of biomimicry enhances corporate sustainability and innovation (Larson & Meier 2017). In biomedical research, biomimetic approaches such as novel scaffolds and artificial skins have made significant strides (Zhang 2012). Architecture benefits through energy-efficient building facades modeled after natural cooling systems (Webb et al. 2017). The textile industry uses biomimicry to create sustainable, high-performance fabrics 77 .

RQ4: Interdisciplinary collaboration

Agricultural innovations (sdgs 1—no poverty and 2—zero hunger).

Environmental degradation, biodiversity loss, poverty, and hunger highlight the need for sustainable agricultural methods to mimic natural ecosystems. This includes computational models for ecological interactions, field experiments for biomimetic techniques, and novel materials inspired by natural soil processes. Research can develop solutions such as artificial photosynthesis for energy capture, polyculture systems mimicking ecosystem diversity, and bioinspired materials for soil regeneration and water retention 28 . These innovations can improve sustainability and energy efficiency in agriculture, addressing poverty and hunger through sustainable farming practices.

Educational models (SDG 4—Quality education)

Integrating sustainability principles and biomimicry into educational curricula at all levels presents opportunities for innovation. Collaborations between educators, environmental scientists, and designers can create immersive learning experiences that promote sustainability. This includes interdisciplinary curricula with biomimicry case studies, digital tools, and simulations for exploring biomimetic designs, and participatory learning approaches for engaging students with natural environments. Designing biomimicry-based educational tools and programs can help students engage in hands-on, project-based learning 10 , fostering a deeper understanding of sustainable living and problem-solving.

Gender-inclusive design (SDG 5—Gender inequality)

Gender biases in design and innovation call for research into biomimetic designs and technologies that facilitate gender equality. This includes participatory design processes involving women as cocreators, studying natural systems for inclusive strategies, and applying biomimetic principles to develop technologies supporting gender equality. Bioinspired technologies can address women's specific needs, enhancing access to education, healthcare, and economic opportunities. Interdisciplinary approaches involving gender studies, engineering, and environmental science can uncover new pathways for inclusive innovation.

Inclusive urban solutions (SDG 11—Sustainable cities and communities)

Rapid urbanization challenges such as housing shortages, environmental degradation, and unsustainable transportation systems require innovative solutions. Methodologies include systems thinking in urban planning, simulation tools for modeling biomimetic solutions, and pilot projects testing bioinspired urban innovations. Research on biomimetic architecture for affordable housing, green infrastructure for climate resilience, and bioinspired transportation systems can offer solutions. Collaborative efforts among architects, urban planners, ecologists, and sociologists are essential 78 .

Peace and justice (SDG 16—Peace, justice and institutions)

Social conflicts and weak institutions necessitate innovative approaches that integrate political science, sociology, and biology. Methods involve case studies, theoretical modeling, and participatory action research to develop strategies for peacebuilding and institutional development.

This research provides a comprehensive exploration of the multifaceted dimensions of biomimicry, SDG alignment, and interdisciplinary topics, demonstrating a clear trajectory of growth and relevance. Interdisciplinary collaboration has emerged as a pivotal strategy for unlocking the full potential of biomimicry in addressing underexplored SDGs.

While answering RQ1, the interdisciplinary analysis underscores the significant alignment of biomimicry research with several SDGs. This reflects the interdisciplinary nature of biomimicry and its ability to generate solutions for societal challenges. The analysis of two thematic clusters revealed the broad applicability of biomimicry across various sustainable development goals (SDGs). The first cluster includes health, partnership, and life on land (SDGs 3, 17, and 15), highlighting biomimicry's potential in medical technologies, sustainability collaborations, and land management. The second cluster encompasses clean water, energy, infrastructure, and marine life (SDGs 6, 7, 9, and 14), demonstrating innovative approaches to clean energy generation, sustainable infrastructure, and water purification.

In response to RQ2, this study highlights emerging topics within biomimicry research, such as metaheuristics and nanogenerators, which reflect a dynamic and evolving field that is swiftly gaining attention. These topics, alongside sensors, flexible electronics, and strain sensors, denote evolving research objectives and societal demands, pointing to new areas of study and innovation. This focus on interdisciplinary topics within biomimicry underscores the field’s adaptability and responsiveness to the shifting landscapes of technological and societal challenges.

In addressing RQ3, biomimicry holds potential for sustainable innovation but faces challenges in commercialization. Biomimicry inspires diverse technological and product innovations, driving sustainable advancements (Lurie-Luke 84 ). Overcoming these barriers through strategic investment, training, interdisciplinary collaboration, and ethical guidelines is essential for unlocking their full potential.

For RQ4 , the recommendations are formulated based on underexplored SDGs like 1, 4, 5, and 10 where biomimicry could play a pivotal role.

Future research could apply generative AI models to this dataset to validate the findings and explore additional insights. While our current study did not explore this topic, we see significant potential for this approach. Generative AI models can process extensive datasets and reveal patterns, potentially offering insights into biomimetic research correlations. The interpretation required for context-specific analysis remains challenging for generative AI 36 , 37

Our study provides valuable insights, but some limitations are worth considering. The chosen database might limit the comprehensiveness of the research captured, potentially excluding relevant work from other sources. Additionally, while the combination of cocitation mapping and BERTopic modeling provides a powerful analysis, both methods have inherent limitations. They may oversimplify the complexities of the field or introduce bias during theme interpretation, even with advanced techniques. Furthermore, our use of citations to thematically clustered publications as a proxy for impact inherits the limitations of citation analysis, such as biases toward established ideas and potential misinterpretations 79 , 80 . Another limitation of our study is the potential for missing accurate SDG mappings, as multiple SDG mapping initiatives are available, and our reliance on a single, Scopus-integrated method may not capture all relevant associations. Consequently, this could have resulted in the exclusion of papers that were appropriately aligned with certain SDGs but were not identified by our chosen mapping approach. Given these limitations, this study provides a valuable snapshot for understanding biomimicry research.

Data availability

All data generated or analyzed during this study are included in this published article and its supplementary information files.

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Raman, R., Sreenivasan, A., Suresh, M. et al. Mapping biomimicry research to sustainable development goals. Sci Rep 14 , 18613 (2024). https://doi.org/10.1038/s41598-024-69230-9

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Translation and interpreting teachers’ perceptions of dilemma and needs in their professional development

Roles Conceptualization, Formal analysis, Funding acquisition, Investigation, Methodology, Writing – original draft, Writing – review & editing

Affiliation College of Foreign Studies, Liaoning University, Shenyang, Liaoning Province, P. R. China

Roles Formal analysis, Methodology, Software, Visualization, Writing – review & editing

* E-mail: [email protected]

• Yi Liu, 

• Published: August 9, 2024
• https://doi.org/10.1371/journal.pone.0289269
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Since Chinese universities launched the postgraduate program of the Master of Translation and Interpreting (MTI) in 2007, approximately 300 high education institutions in China have been authorized to offer the MTI program. Behind the drastic springing-up of MTI programs during the decade, MTI teachers’ professional development draws the attention of MTI administrators and researchers. This study adopted a mixed-method of a large-scale survey among 514 MTI teachers across China and a qualitative interview study of seven participants and discussed MTI teachers’ perceptions of dilemmas and inner-world needs in their professional development. The findings indicate that MTI teachers’ dilemmas arise from the contradiction and entanglement in three mutually repulsive sectors of their professional development, i.e., teaching, research, and translation/interpreting practice, which hinder their professional development. And on the basis of the analysis, the present study proposes a synchronized “three-in-one” mechanism model with encouraging policies and environments as lubricant for the sustainable development of MTI teachers in the future, and it is hoped that this empirical research would provide some practice implications for the professional development of translation and interpreting teachers in China and beyond.

Citation: Liu Y, Liu J (2024) Translation and interpreting teachers’ perceptions of dilemma and needs in their professional development. PLoS ONE 19(8): e0289269. https://doi.org/10.1371/journal.pone.0289269

Editor: Steve Zimmerman, Public Library of Science, UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND

Received: February 24, 2023; Accepted: July 5, 2024; Published: August 9, 2024

Copyright: © 2024 Liu, Liu. 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: Yi Liu received funding from Postgraduate Education Reform Project of Liaoning Province 2022 (Grant Number: LNYJG2022009). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. URL: http://info.neu.edu.cn/_upload/article/files/c2/a7/ec6f61ee4b2da43f551d89398d29/7c84f1dc-adc7-43d6-b9e5-a8ef4386df6b.pdf ).

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

Introduction

With the increasing development of globalization and intercultural communication, there is high demand in China for skilled professional translators and interpreters for the purpose of introducing Chinese sociocultural and economic development to the world [ 1 ]. In such a context, the Academic Degree Committee under the State Council of the People’s Republic of China launched a new postgraduate program in 2007, i.e. Master of Translation and Interpreting (MTI) to meet the demand. Ever since the MTI program grows vigorously among Chinese universities, by the end of 2023, 316 high education institutions in China have been authorized to establish the MTI program, and the number is still rising. Behind the drastic springing-up of MTI during the decade, some potential problems emerge and draw the attention of MTI policy-makers, teachers, and researchers. At the first “International Forum on the Education and Development of Translation Talents” in 2015, Zhou Mingwei, director of the China Foreign Languages Publishing Administration, pointed out that the translation and interpreting (T&I) education does not match the speed of Chinese economic and social development, and the key point to this disparity is the shortage of highly qualified T&I teachers/trainers. According to “The Notice on Trial Running of MTI Programs” issued by the Academic Degree Committee under the State Council of China, the benchmark for a qualified MTI teacher is the completion of formal translation practice of at least 300,000 words or at least 20-hour real interpreting tasks. However, for a newly established professional post-graduate program, most MTI teachers were shifted from the academic postgraduate programs of linguistics, applied linguistics, or literature and did not have sufficient translation or interpreting practice and professional expertise essential to the practice-oriented post-graduate program [ 2 , 3 ]. This insufficiency brings criticism on the professional development of MTI teachers, which are unanimously perceived as the primary guarantee and core driving force for sustainable development of MTI education. Understanding teachers’ anxieties and inner-world needs is the key to promote their sustainable professional development [ 4 , 5 ]. This study, therefore, sets out to explore MTI teachers’ perceptions of dilemmas and needs in their professional development. It is hoped that the present descriptive study would provide empirical evidence for further exploration of T&I teachers’ professional development.

Literature review

Recent developments in the field of professional T&I education aroused research interest in T&I teachers. A number of studies examined T&I teachers’ general professional status quo, such as knowledge structure [ 6 ], competences [ 7 – 9 ], and quality [ 10 – 12 ]. More recent attention has focused on cognitive and psychological issues, exploring T&I teachers’ agency [ 13 , 14 ], beliefs and practices [ 15 – 19 ], as well as roles and identities [ 20 – 22 ]. There are also publications on T&I teacher education and professional development mode. Tao [ 23 ] pointed out that T&I teachers are expected to be good at research, teaching, and T&I practice. Kang & Shi [ 24 ] conducted a retrospective cohort study on unbalanced factors among interpreting teaching, practice, and research, and put forward a “Practice-Teaching-Research” model for interpreting teachers’ professional development. However, previously published works on T&I teachers’ professional development are mostly retrospective, theoretical, and speculative top-down studies that prescribe what educational and professional qualifications that T&I teachers should have, but there are few bottom-up empirical studies on the personal aspects of them [ 7 ], especially on their anxieties and inner-world needs.

As previously mentioned, compared to the teachers of other well-developed research-oriented postgraduate programs, the “green-handed” MTI teachers, mostly shifted from the teaching of other academic programs, tend to experience more dilemmas and challenges in their professional development. As faculty members of Chinese universities, MTI teachers are expected to have not only high academic research engagement [ 25 ], but also high engagement in professional practice of translation and interpreting [ 19 ]. The disparity between these two expectations, research engagement and practice engagement, impeded teachers’ academic promotion and development and induced more anxiety and dilemmas. Hence, T&I teachers’ professional development mode and dilemmas and needs in their professional development become a key research issue in the T&I education field. In recent years the author and her colleagues attempt to address the issue to explore Chinese MTI teachers’ dilemmas and needs in their professional development. For example, Liu & Xu [ 3 ] comprehensively described the current situation of MTI teachers in age, professional titles and academic qualifications, and the barriers in their teaching, research and T&I practice. In terms of professional development needs, Liu & Zhang [ 26 ] conducted a qualitative survey with 103 MTI teachers about the factors influencing their development and development needs. It found that teaching, T&I practice and research constitute “three-in-one” pattern of MTI teachers’ professional development as well as their competence framework. This study provides valuable insights for MTI teachers’ professional development. However, a qualitative method is unsuitable for obtaining a holistic picture of difficulties and needs in the professional development of a larger group of MTI teachers. The study we present here, seeks to examine the perceptions of dilemmas and needs of MTI teachers induced by challenges and difficulties in their professional development and try to construct a facilitative system to empower MTI teachers’ sustainable professional development. We approach this task on a larger scale than previous research and attempt to address the following two questions:

• What are MTI teachers’ perceptions of the challenges and dilemmas in teaching, research, and T&I practice?
• What are MTI teachers’ perceptions of the needs in their professional development?

Methodology

Quantitative research instrument.

As mentioned above, since by the time the project was conducted, there was no sufficient relevant empirical research on MTI teachers for reference. Hence, an open-ended questionnaire survey was first adopted to depict a general picture of the MTI teachers’ current situation. An exploratory prior stage for a study is suitable for the cases when the understanding of the certain issue is not very clear, when in-depth discovery and exploration of some special issues is required, and when the opinions and beliefs of some particular groups are to be inquired into [ 27 ]. This pilot qualitative exploratory study was conducted and published by the first author and her colleague (see Liu and Zhang [ 26 ] for detail).

On the basis of the pilot qualitative study, an anonymous self-completion questionnaire was designed for a large-scale survey. It covered participants’ understanding of informed consent of the research so that the participants first clarified the purpose of this study and ensured that the information they provided would be strictly confidential and used only for this study. The final version of the quantitative questionnaire in the present study includes two parts, i.e., demographic characteristics of the research participants and relevant dimensions regarding MTI teachers’ professional development. The main dimensions involved in this report include the degree of MTI teachers’ perceptions of the challenges and dilemmas in teaching (13 items), perceptions of factors affecting their T&I practice (9 items) as well as academic research engagement (9 items), perceptions of the needs of their professional development (9 items), perceptions of the needs of in-service training content (9 items) and modes (8 items). The 57-item adapted survey was scored using a 5-point Likert scale ranging from 1 (strongly disagree) to 5 (strongly agree) and was validated in the target sample, then utilized to examine MTI teachers’ perception of dilemma and needs in their professional development. After preliminary predictions and multiple revisions, the Cronbach’s Alpha of the finalized questionnaire reached 0.939, and the six dimensions ranged from 0.808 to 0.926, indicating acceptable reliability and good structure validity.

Quantitative data collection and analysis

The quantitative survey adopted the method of stratified sampling in data collection. The participants consist of 514 MTI teachers from 32 provinces, autonomous regions, and municipalities in China, who were recruited between December 28, 2018 and January 10, 2020. The ethical committee of College of Foreign Studies of Liaoning University approved the project.

The regional distribution of the participants is basically in line with the proportion of the number of MTI universities of the corresponding region to the total number of MTI universities. Besides, the types of universities, gender, age, academic title, and educational background were also considered in sampling, and the distribution fits the status quo of MTI teachers in China (see Table 1 ). Hence, the participants have a high degree of representation of the population of MTI teachers.

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The quantitative survey was conducted via an online questionnaire service system called Wenjuanxing ( www.wjx.com ), which lasted for five months. The data generated by the questionnaire were numerical, and descriptive statistics were performed through SPSS 26.

Qualitative interview as triangulation

In addition to the quantitative survey, this study also adopted qualitative interviews as supplementary to triangulate the findings. The mixed approach has been increasingly used and accepted to conduct social research due to its advantage in understanding the phenomena of the social world, seeing this world through complex lenses, and using eclectic methodologies that better respond to the multiple stakeholders of policy issues [ 28 ] (p. 455). At the end of the quantitative questionnaire, we also collected participants interested in the follow-up qualitative interview. If they were willing to participate in our follow-up interview, they would leave their contact information (e.g., telephone number, WeChat, or email) in the questionnaire. Mindful of gender, professional title, age, geographical distribution, and types of universities, 7 participants of the 514 MTI teachers were eventually selected for qualitative interview (see Table 2 ). Semi-structured interviews with those MTI teachers were conducted in Mandarin for 1.5 hours on average (face-to-face, over the telephone, or via WeChat, a social media platform) and audio-recorded with the participant’s permission. The interview questions were designed in reference to the six dimensions mentioned above of MTI teachers’ perceived difficulties and needs in their professional development. The qualitative interview data were transcribed in textual form and then coded through NVivo 12 after iterative reading and reflection by the researchers.

https://doi.org/10.1371/journal.pone.0289269.t002

Findings and discussion

In this section, we will report the findings and discussion on the basis of the quantitative survey, and with the data collected in both the previous qualitative questionnaire and afterward interview as supplementary evidence. As Kelly [ 7 , 29 ] suggested, a competent T&I trainer needs to have three different areas of competence and expertise, i.e., professional T&I practice, T&I studies as an academic discipline, and teaching skills. MTI teachers in Chinese universities experienced various difficulties and challenges in developing these types of competency that they are expected to have, which would be considered as major causes of the dilemmas in their professional development.

MTI teachers’ perceptions of dilemmas in teaching practice

Teaching is the essential and obligatory responsibility of all teachers. The questionnaire data shows that about 28% of teachers are satisfied with the current situation of MTI teaching in their universities, but nearly 72% of teachers are neutral or unsatisfactory (see Table 3 for details). The analysis of the questionnaire indicates the challenges that MTI teachers experienced in their teaching practice.

https://doi.org/10.1371/journal.pone.0289269.t003

As shown in Table 4 , the primary difficulty of the MTI teachers in teaching practice is the challenges caused by “varying levels of MTI students’ language proficiency” (Q4-3). In the qualitative questionnaire, most MTI teachers state that the quality of the students enrolled in the program is one of their concerns, especially students’ professional competence and competitiveness. There is still an apparent disparity between the prescriptive objectives of the program and market demand. Some teachers expressed their concerns about the unsatisfactory qualifications of MTI students, such as “unsolid language foundation” (9-T33), “lack of domain knowledge” (9-T31), and “unable to meet the need of the translation market” (7-T69). The items ranking second and third place are “insufficient time and energy” (Q4-4) and “lack of experience in T&I practice” (Q4-1). The triple obligations of teaching, research, and T&I practice which MTI teachers need to undertake simultaneously restrict each other in time and energy and impede teachers’ motivation in their professional development. As a participant stated:

On the one hand, translation practice conflicts with classroom teaching in time, and on the other hand, we are also expected to conduct research, and we do not have enough time and energy to complete all the three tasks. (T4)

https://doi.org/10.1371/journal.pone.0289269.t004

In addition, as a newly-established program, most MTI teachers just switched from teaching research-oriented postgraduate courses to practice-oriented courses, and the lack of professional T&I practice experience and motivation, according to the MTI teachers, has seriously impacted the quality of their teaching. For example, one teacher said that she teaches the MTI course simply because “our supervisors asked me to take the interpreting course since no one would like to take it” (T2), and another stated that:

Those (teachers) who meet the academic requirements and evaluation criteria may not have much experience in T&I practice, understanding of the translation market, or knowledge about translation technology (T7).

In addition, the statistics show that the program curriculum (Q4-5), facilities (Q4-7), and positioning (Q4-12) have not fully aligned with the emphasis of practicality and application in MTI education. Moreover, the data also indicates that MTI teachers have pressing needs for more teaching resources (Q4-6), greater team support (Q4-13), and stronger motivation of teaching (Q4-8).

MTI teachers’ perceptions of dilemmas in academic research

As university faculty members, MTI teachers are expected to be engaged in academic research [ 7 ], and research productivity is one of the major criteria for their career progression [ 25 ]. Table 5 presents MTI teachers’ recognition of factors which affect their engagement in T&I research.

https://doi.org/10.1371/journal.pone.0289269.t005

Of the nine factors, “difficulties of having papers published” (Q5-6) is currently the biggest obstacle for MTI teachers’ research engagement. The teachers believe that translation or interpretation is an applied skill, and relevant research on translation or interpretation is “non-academic”. For example, one teacher argued that “it is not easy to publish research papers on practice-oriented translation and interpretation” (T5). Moreover, the teachers complained that the acceptance rate of papers or research projects on translation and interpretation is quite low by academic journals or fund organizations, as one teacher stated, “T&I practice takes much time, and the papers written on translation or interpretation are not that theoretical and do not meet the taste of academic journals” (T4).

Secondly, “heavy teaching load” (Q5-1) is another major factor that hinders MTI teachers’ research engagement. Although most MTI teachers agreed on the importance of research, they argued that “teaching load is so heavy and stressful that they do not have extra spare time and energy for research” (11-T22). In the questionnaire, MTI teachers regarded “insufficient team support” (Q5-8) and “disconnection between research and MTI teaching” (Q5-9) as additional major factors that prevented them from more research engagement. Furthermore, those who recently switched from teaching research-oriented courses such as linguistics, language education, or literature reported that “the field of their academic research is not related to the actual MTI teaching” (11-T59).

Among all the factors, the lowest mean score is for “not interested in research” (Q5-7), indicating that MTI teachers are aware of the importance of research engagement for their professional development, but some environmental factors, such as difficulty in publication, complicated process of application, and heavy load of teaching demotivate their involvement in academic research. For example, T5 complained about the situation with some passiveness:

The application process is too complicated and following the requirement of other people instead of our own interests is also very boring… I prefer to summarize some experiences based on my own T&I practice. I don’t need to follow the academic research requirement, go through complicated application processes, and don’t need to be funded financially. (T5)

And they also express their expectation of more environmental support, such as greater teamwork support and higher resource accessibility to overcome these obstacles, which implies how important the environment is in shaping teachers’ professional development [ 30 , 31 ].

MTI teachers’ perceptions of dilemmas in T&I practice

The goal of MTI education is to serve the T&I industry [ 32 ]. Hence, professional translation practice is prescribed as a prerequisite for a qualified MTI teacher, the main reference for the evaluation of MTI teachers’ qualifications, and the criterion of their professional promotion as university teachers [ 6 , 7 ]. As Kiraly [ 33 ] argues that without professional T&I expertise or a professional self-concept, a teacher will not be able to help their students develop one. Therefore, engaging in professional practice in the mode of in-house practice or short-term practice in T&I firms or a freelance translator is perceived as an integral part of MTI teachers’ professional development.

Table 6 indicates that the factor of the highest mean value affecting MTI teachers’ participation in professional practice is “heavy load of research work” (Q6-2) and “heavy load of teaching tasks” (Q6-1). For example, one of the participants said:

On the one hand, engagement in T&I practice may conflict with teaching tasks in time, and on the other hand, the university requires full-time teachers’ research output. So we do not have enough energy and time for both of them. In the past few years, apart from teaching, I have been torn apart between research and T&I practice (T6).

https://doi.org/10.1371/journal.pone.0289269.t006

When speaking of their engagement in translation practice, the teachers state that lack of time and energy deprives them of the opportunities of either working in translation firms for in-house T&I practice or any other type of translation practice. In addition, the low service fee in the market further demotivates their participation in T&I practice (Q6-4). The factors of the lowest mean score were “no interest in T&I practice” (Q6-9) and “no benefits to professional development” (Q6-8). In the qualitative questionnaire, the teachers said, “we cannot learn translation only from books” (22-T80), and “high competence in T&I practice makes MTI teachers more qualified” (22-T39). It implies that MTI teachers hold the consensus that T&I practice is an indispensable part of their professional life, and teachers’ experience in professional translation practice is an essential guarantee for the success of MTI education. MTI teachers have the motive to undertake more T&I practice, but under the pressure of teaching and research, as well as other environmental factors, they have to reduce the investment of time and energy into the practice.

Perceptions of the needs of MTI teachers in their professional development

In addition to the exploration of MTI teachers’ perceptions of dilemmas arising from various challenges and difficulties in teaching, research, and T&I practice, in the questionnaire, we also explore an overall picture of the needs and expectations of MTI teachers in their professional development.

Table 7 indicates that the major needs of MTI teachers are “to understand the development of the T&I industry” (Q7-8), “to have more opportunities for in-service professional training” (Q7-9), “to learn modern T&I technology” (Q7-7) and “to enhance T&I competence” (Q7-1). It implies that MTI teachers expect to learn more about the T&I industry, to expand the relevant domain knowledge, and to enhance T&I competence. The participants in the open-ended questionnaire expressed their motivation to “establish more extensive contacts with publishers and T&I firms to get real T&I jobs” (13-T66) and “to go to T&I firms for further training and experience actual T&I projects in the market” (20-T37). And in the afterward qualitative interview, MTI teachers also reiterated that they “need professional T&I practice most because the objectives of the MTI program is to cultivate talented translators or interpreters, and MTI teachers themselves should be qualified first” (T6). In addition, in the era when information technology has revolutionized many traditional industries, T&I technology likewise became a focus of attention for MTI teachers. The teachers indicated that “A more urgent need is for the training of T&I technology” (20-T81). One teacher in the interview emphasized that:

T&I technology development is something we have to face. Though some teachers prohibited students from using machine translation in their practice, the students would use it anyhow. We should talk about how to use machine translation scientifically, how to distinguish good translation from poor translation, learn how to edit after translation, and learn how to control the quality of translation with tools and processes. We should not deny T&I technology, but be open and tolerant and keep up with the times (T2).

https://doi.org/10.1371/journal.pone.0289269.t007

They believed that T&I technology is an unstoppable tidal current in the translation industry, and the comprehension and mastery of it is an essential indicator for the professionalization of MTI teachers, which is critical for the success of the market-orientated and practice-orientated MTI program [ 34 ].

In addition to the need of increasing their professional and practical T&I competence, MTI teachers also scored higher on the needs of “to improve teaching skills” (Q7-3) and “to improve academic research competence” (Q7-2), indicating that, though slightly weaker than T&I practice, the needs for increasing teaching and research ability are likewise essential for MTI teachers’ professional development. When speaking of the abilities of a competent MTI teacher, the teachers in the qualitative questionnaire define that a competent MTI teacher should have “high competence in professional T&I practice, teaching and academic research” (22-T76). The item of the lowest mean among this category is “to enhance their education level” (Q7-6), indicating that the demand of MTI teachers to further their education is relatively low, and the most pressing currently for MTI teachers is to enhance the T&I practical competence rather than obtaining higher education degrees. It implies that the education level of MTI teachers in recent years has increased to a relatively satisfactory level in comparison to the situation ten years ago [ 3 ].

Perceptions of needs of MTI teachers for in-service training programs

Among various approaches to professional development, in-service training is perceived as one of the most efficient to enhance the qualifications of MTI teachers and to ensure the success of MTI education [ 16 , 35 – 37 ].

The statistics indicate that nearly 65% of the participants have participated in relevant in-service training. However, when inquired whether they were satisfied with the training, nearly half of them were average or unsatisfactory with the training program (see Table 8 ), and it implied that their expectations and needs for in-service training have not been fully accommodated. For example, a teacher mentioned his needs for long-term training programs:

Short-term in-service training is generally ineffective and can only give teachers a skin-deep, simple conceptual understanding, which is generally not profound enough for teaching and supervising students (T6).

https://doi.org/10.1371/journal.pone.0289269.t008

In terms of training contents, Table 9 indicates that the items of the highest mean values in this section are “T&I industry information” (Q9-6), “T&I technology” (Q9-7), “strategies in T&I practice” (Q9-3), and “T&I project management” (Q9-8). Most teachers articulate that they need to learn about the T&I industry, marketing, business operation, and management to complement their academic knowledge and understand the specifications of T&I jobs demanded in the market. This echoes the previously-mentioned MTI teachers’ needs for T&I practice skills, especially the industry knowledge and T&I technology, which are difficult to obtain in academic institutions and may only be acquired through participation in professional practice.

https://doi.org/10.1371/journal.pone.0289269.t009

The items following are related to T&I teaching and research methods, e.g., “T&I related pedagogical methods” (Q9-2) and “T&I related research methods” (Q9-5). It implies that the teachers need to improve their teaching skills, especially how to integrate theories with practice and how to teach efficiently. The items with the lowest score are “theoretical knowledge of T&I studies” (Q9-4), “pedagogic theories” (Q9-1), and “knowledge of related domains” (Q9-9). In comparison to the professional development need of the foreign language teachers of other programs in Chinese universities, i.e., language skills, linguistic theories, and pedagogical methods [ 4 ], MTI teachers need more training in professional practice and industry-related training, aligning with the practice-orientation of MTI program.

In terms of training modes, Table 10 shows that the greatest demand of MTI teachers is to participate in “actual T&I practice” (Q10-8). In the qualitative questionnaire, one teacher suggested that we “should be involved in actual T&I practice, project management, and other processes” (20-T38). In addition, as a newly established program, observing experienced teachers’ practice and teaching is an effective means of professional development for new MTI teachers, i.e., “to observe and learn from model MTI programs” (Q10-1), “to observe actual T&I practice” (Q10-7) and “to attend lectures of experts” (Q10-2). Some teachers also suggested that “it is more meaningful and rewarding for MTI teachers to learn from more successful MTI programs as a model” (20-T66). In addition, relevant seminars and conferences are also efficient means for MTI teachers to share experiences, such as “to attend teaching seminars” (Q10-4) and “to attend academic conferences” (Q10-5). In this category, the relatively lower scores were “to attend online training” (Q10-3) and “to attend in-house training in T&I firms” (Q10-6), and some teachers in the interview suggested that teachers should undertake more in-house training or participate in actual practice in T&I enterprises on a part-time basis, which is also previously suggested by other researchers [ 38 ]. However, in practice, due to teachers’ time and energy constraints, administrative policies, and other objective circumstances, a systematic administrative system supporting any kind of in-house training in T&I firms has not been developed in MTI teachers’ education and sustainable development programs.

https://doi.org/10.1371/journal.pone.0289269.t010

Findings and implications

On the basis of the above analysis and discussion of MTI teachers’ perceptions of dilemmas and needs in their professional development, we draw the following findings and implications. Firstly, MTI teachers are basically satisfied with the current status quo of MTI education, but some challenges in teaching, especially those caused by the varying levels of students in MTI education, insufficient number of qualified teachers, limited teaching resources, and the discrepancy between curriculum design and market demand, aroused the dilemma and concern for MTI teachers. While the MTI program is developing rapidly, corresponding measures and policies should be further implemented to formulate more reasonable enrollment requirements, enhance the quality of teaching, and adjust the curriculum to fit the market’s needs. As some scholars suggested, the rapid development of the MTI program cannot be at the expense of quality [ 39 ].

Secondly, it reveals that the most pressing need of MTI teachers’ professional development currently is to increase their knowledge about T&I industry and engagement in T&I practice, which are consistently believed to be the vital guarantee for the quality of MTI education. As previously reiterated, most MTI teachers are faculty members who just shifted from research-oriented postgraduate programs to practice-oriented MTI programs. They are fully aware of the necessity of enriching their T&I practice experience but do not have a clear and specific plan to implement this goal. Moreover, the constraints and entanglement of heavy teaching loads, high expectations of research engagement, and other environmental factors, as well as some personal factors, decrease their motivation to actively participate in T&I practice. Though MTI teachers are aware of the importance of T&I practice, the problems of how to engage in practice and how to resolve the contradiction between their identities as practice-oriented and research-oriented teachers perplexed them. Some scholars have attempted to explore this issue in recent years [ 22 , 34 , 40 , 41 ], but there is still no effective solution to the problem. It is suggested that in the future, some practical measures and policies to accommodate the needs of MTI teachers for T&I practice and proper teacher evaluation mechanisms to encourage teachers’ engagement in professional practice should be adopted.

Thirdly, regarding in-service training, the study reveals that most of the MTI teachers have had opportunities for in-service training and are generally satisfied with the training, but the needs of MTI teachers in terms of training have not been comprehensively considered. The current T&I teacher training mainly focuses on the teaching philosophy, principles, methods, and curriculum design, emphasizing the theoretical knowledge input and demonstrating successful teaching modes. However, the knowledge transmitted in the existing training does not come from teachers’ personal teaching experiences, and simply providing teachers with an imitable or authoritative model to follow is not sufficient [ 5 , 42 ]. Meanwhile, the training at the technical level neglects the personal development of MTI teachers as “whole persons” [ 3 , 43 ] and the cultivation of comprehensive literacy, and fails to develop a systematic professional knowledge system for teachers. Therefore, it is recommended that future training should focus on the all-round development of the whole MTI teacher community while at the same time caring for ongoing professional development needs of the individual teachers. It is necessary to consider not only MTI teachers’ initial needs of simply following a model, but also the long-term needs of sustainable professional development.

Moreover, the study finds that most teachers expressed the needs for teamwork support in teaching and research. As a new and rapidly developing program, the faculty is expanding, and many “novice teachers” who are newly shifted to or recruited as MTI teachers urgently need help and support in their professional development. However, while seeking external assistance, MTI teachers should also develop internal motives for their professional development. MTI teachers vary in their educational backgrounds, practice experiences, research fields, and knowledge structures. These differences are valuable resources for teachers to establish a learning community of mutual respect, trust, reciprocity, equality, and openness [ 44 , 45 ]. Through teachers’ interactions and mutual assistance in research, practice, and teaching, they would complement each other in their professional development. For example, teachers with robust research competence, teachers with rich experience in T&I practice, and teachers with rich teaching experience may cooperate with and assist each other as one community of practice. Building a learning community is one of the most efficient approaches to the maintenance of the professional development of tertiary teachers [ 46 , 47 ].

Fifthly, the environment is one of the most significant factors influencing teachers’ professional development [ 48 – 50 ]. The study finds that some environmental factors demotivate MTI teachers from their development, especially the requirement for their research productivity and promotion mechanism. Research engagement is a significant criterion in the evaluation and promotion system of the academic faculty in Chinese universities. However, their engagement in translation/interpreting and teaching practice inhibits their engagement in research. Therefore, the environmental factors should adapt to the characteristics and needs of MTI teachers. For example, to accredit the experience of MTI teachers in T&I practice in the evaluation system, to expand the range of academically recognized journals and papers related to T&I practice, to recognize the T&I projects undertaken by MTI teachers, to establish learning community of practice among MTI teachers, to differentiate promotion criteria for research-oriented and practice-orientated teachers, to balance the requirement of teaching, researching and T&I practice for MTI teachers. An encouraging environment would strengthen their professional identity and enhance their motivation for sustainable professional development [ 47 , 51 ].

What needs to emphasize is that, compared with the faculty of research-oriented programs, MTI teachers’ professional development follows a “trinity” model composed of teaching, academic research, and T&I practice. However, the study indicates that the relationship among the three components is mutually repulsive instead of mutually supportive, which disperses MTI teachers’ time and energy, creates contradiction and entanglement, and impedes their healthy, comprehensive and sustainable development. How to improve the “mutual transferability” [ 24 , 52 ] among research, teaching, and T&I practice and drive the three cogs under the same mechanism progress simultaneously ( Fig 1 ) is key to MTI teachers’ sustainable development. The development of an encouraging environment, proper positioning of T&I program, improvement of the quality of MTI curriculum, increase of the opportunities of the professional training, construction of a cooperative learning community, support of promotive evaluation system, and construction of a “whole-person” development concept are all the lubricants that enable the smooth progress of the “three-in-one” mechanism.

https://doi.org/10.1371/journal.pone.0289269.g001

The development of MTI teachers and MTI education are interdependent, and so are the quality of teaching and learning. Hence the exploration of teacher development serves the twin purposes of enhancing MTI teacher professional learning and improving the quality of MTI education. However, as a newly-established program, the teachers encountered more dilemmas and uncertainties, and the traditional “reference road-map” of foreign language teachers in other academic programs does not fit the needs of their professional development. How to construct a harmonious “three-in-one” model of teaching, research, and T&I practice is currently a significant issue in the field of MTI education. Ultimately, this research will be more meaningful when the results can find more empirical research conducted on MTI teachers in the future, especially from the perspective of constructivism, which focuses on the lived experiences and the inner voice of teachers as an individual person, and can also find more implementations of constructive policies and training to stimulate the enthusiasm and initiative of MTI teachers, enhance the professional competence of MTI teachers, and promote the sustainable development of MTI education. Apart from the core findings and implications, this research has two major limitations. First, we did not further categorize MTI teachers based on their specific pathway (translation or interpreting), making their respective needs and dilemmas of both groups remain underexplored. Moreover, this study adopts qualitative interviews with seven MTI teachers as supplementary to triangulate the quantitative findings. We also recognize the necessity of conducting in-depth qualitative studies in the future on MTI teachers to explore the innermost needs in their professional development.

Supporting information

https://doi.org/10.1371/journal.pone.0289269.s001

https://doi.org/10.1371/journal.pone.0289269.s002

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