the literature review should occur

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

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

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

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

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

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

What are Literature Reviews?

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

Goals of Literature Reviews

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

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

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

What kinds of sources require a Literature Review?

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

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

Types of Literature Reviews

What kinds of literature reviews are written?

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

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

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

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

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

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

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

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

Literature Reviews in the Health Sciences

UConn Health subject guide on systematic reviews Explanation of the different review types used in health sciences literature as well as tools to help you find the right review type
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Last Updated: Sep 21, 2022 2:16 PM
URL: https://guides.lib.uconn.edu/literaturereview

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Literature Reviews

Steps in the literature review process.

What is a literature review?
Define your research question
Determine inclusion and exclusion criteria
Choose databases and search
Review Results
Synthesize Results
Analyze Results
Librarian Support
Artificial Intelligence (AI) Tools
You may need to some exploratory searching of the literature to get a sense of scope, to determine whether you need to narrow or broaden your focus
Identify databases that provide the most relevant sources, and identify relevant terms (controlled vocabularies) to add to your search strategy
Finalize your research question
Think about relevant dates, geographies (and languages), methods, and conflicting points of view
Conduct searches in the published literature via the identified databases
Check to see if this topic has been covered in other discipline's databases
Examine the citations of on-point articles for keywords, authors, and previous research (via references) and cited reference searching.
Save your search results in a citation management tool (such as Zotero, Mendeley or EndNote)
De-duplicate your search results
Make sure that you've found the seminal pieces -- they have been cited many times, and their work is considered foundational
Check with your professor or a librarian to make sure your search has been comprehensive
Evaluate the strengths and weaknesses of individual sources and evaluate for bias, methodologies, and thoroughness
Group your results in to an organizational structure that will support why your research needs to be done, or that provides the answer to your research question
Develop your conclusions
Are there gaps in the literature?
Where has significant research taken place, and who has done it?
Is there consensus or debate on this topic?
Which methodological approaches work best?
For example: Background, Current Practices, Critics and Proponents, Where/How this study will fit in
Organize your citations and focus on your research question and pertinent studies
Compile your bibliography

Note: The first four steps are the best points at which to contact a librarian. Your librarian can help you determine the best databases to use for your topic, assess scope, and formulate a search strategy.

Videos Tutorials about Literature Reviews

This 4.5 minute video from Academic Education Materials has a Creative Commons License and a British narrator.

Writing the Literature Review: Common Mistakes and Best Practices

First Online: 21 November 2023

Cite this chapter

Kelly Heider 3

Part of the book series: Springer Texts in Education ((SPTE))

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The literature review is an essential component of academic research writing, providing a comprehensive overview of existing research and informing the development of new studies. However, writing an effective literature review can be a challenging task for many authors, particularly those new to academic writing. This chapter aims to guide authors through the process of writing a literature review by highlighting common mistakes and best practices. The chapter begins with three short narratives that describe difficulties both novice and prolific authors encounter when writing the literature review. A chapter activity follows with steps that guide authors through the process of developing a research question to frame the literature review. Authors are then prompted to complete a self-assessment activity which includes a series of questions designed to build their skills as academic research writers. The body of the chapter recommends strategies and techniques to help authors locate and evaluate sources that will serve as the building blocks for a literature review that is thorough, current, and well-written. The chapter concludes with a discussion of the threats and benefits of artificial intelligence-based text production in relationship to academic research writing. Overall, this chapter provides practical guidance for authors looking to improve their literature review writing skills and enhance the quality of their research output.

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Why, When, Who, What, How, and Where for Trainees Writing Literature Review Articles

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Artificial intelligence for literature reviews: opportunities and challenges

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Issue: AI-Based Text Production in Academic Research Writing

Artificial Intelligence (AI) is a relatively new technological development that can be used to support academic research writing, particularly reviews of research. Although it holds promise as a research tool, there are also concerns that AI-based scholarly writing could threaten not only the integrity but also the creativity of academic research writing. ChatGPT, an advanced chatbot developed by OpenAI (a nonprofit research company founded by Elon Musk and Sam Altman in 2015) has been at the center of much controversy as of late because of its ability to produce academic papers using artificial intelligence-based text production that have fooled academics and academic journal publishers (Hern, 2022 ; Lucey & Dowling, 2023 ; TechTarget, 2023 ). To demonstrate ChatGPT’s capabilities, consider its response to the question, “What is artificial intelligence-based text production?”.

Artificial Intelligence-Based Text Production is a process where machine learning algorithms are used to generate written content such as articles, product descriptions, social media posts, and more. It involves training machine learning models with vast amounts of data to learn how to generate human-like text automatically. The process can involve different techniques such as Natural Language Processing (NLP), deep learning, and neural networks to analyze and understand language patterns, grammar, context, and semantics. The resulting AI-generated text can be used for a wide range of applications, including content marketing, chatbots, language translation, and more. One of the main benefits of AI-based text production is that it can help businesses and organizations automate their content creation process, saving time and resources while producing high-quality content. However, it is important to note that AI-generated text may not always be perfect and may require human editing and review to ensure accuracy and coherence.

This response was produced by ChatGPT in about ten seconds. According to Anson ( 2022 ), “cutting and pasting all or part of this auto-generated text into a new text box can continue to prompt further content. The material is not plagiarized from existing sources but freshly composed. For this reason, it usually evades plagiarism-detection programs like Turnitin” (p. 40).

How Might AI-Based Text Production Threaten Academic Research Writing?

Obviously, computer-generated text that evades plagiarism-detection programs threatens the integrity of academic research writing. Some academic publishers have already banned or limited the use of AI-generated text in papers submitted to their journals (Lucey & Dowling, 2023 ). However, that is easier said than done. OpenAI recently developed a tool that attempts to distinguish between human-written and AI-generated text to prevent chatbots like ChatGPT from being abused, but it is only 26% effective (Wiggers, 2023 ).

Lucey and Dowling ( 2023 ) tested the credibility of ChatGPT by having expert reviewers examine papers produced by the chatbot. First, they asked ChatGPT to generate four parts of a research study: (1) research idea, (2) literature review, (3) dataset, and (4) suggestions for testing and examination. They chose a broad subject and instructed the chatbot to create a paper that could be published in “a good finance journal” (para. 6). Second, they pasted 200 relevant abstracts into the ChatGPT search box and asked the chatbot to consider the abstracts when generating the four-part research study. Finally, they asked academic researchers to read both versions of the AI-generated text and make suggestions for improvement. A panel of thirty-two reviewers read all versions of the four-part research study and rated them. In all cases, the papers were considered acceptable by the reviewers, although the chatbot-created papers that also included input from academic researchers were rated higher. However, “a chatbot was deemed capable of generating quality academic research ideas. This raises fundamental questions around the meaning of creativity and ownership of creative ideas—questions to which nobody yet has solid answers” (Lucey & Dowling, 2023 , para. 10).

How Might AI-Based Text Production Benefit Academic Research Writing?

Despite several publishers deciding to ban the inclusion of AI-based text production in submissions, some researchers have already listed ChatGPT as a co-author on their papers (Lucey & Dowling, 2023 ). There are many who believe there is no difference between the way ChatGPT produces text and the way authors synthesize studies in their literature reviews. In fact, the chatbot’s review is much more exhaustive because it can analyze “billions of existing, human-produced texts and, through a process akin to the creation of neural networks, generate new text based on highly complex predictive machine analysis” (Anson, 2022 , p. 39).

There are other advantages to using AI-based text production. It has the potential to aid groups of researchers who lack funding to hire human research assistants such as emerging economy researchers, graduate students, and early career researchers. According to Lucey and Dowling ( 2023 ), AI-based text production “could help democratize the research process” (para. 18). Anson ( 2022 ) also sees the potential in AI-based text production to “spark some new human-generated ideas” (p. 42), extract keywords, and create abstracts. The development of AI-based text production might also force instructors to change the way they teach academic writing. Instead of trying to detect or prevent the use of chatbots like ChatGPT, “a more sensible approach could involve embracing the technology, showing students what it can and can’t do, and asking them to experiment with it” (Anson, 2022 , p. 44). In other words, students could be asked to write about writing which leads to a deeper understanding of the writing process and the ability to transfer that understanding to any writing project (Wardle & Downs, 2019 ).

The Responsible Use of AI-Based Text Production in Academic Research Writing

The responsible use of AI-based text production in academic research writing involves understanding the technology's capabilities and limitations, as well as considering its potential impact on the research process. Researchers must carefully evaluate the intended purpose and context of using AI-generated text and make certain they are not compromising the authenticity and integrity of their research work. To ensure responsible use, it is essential to balance the benefits of increased efficiency and new insights with the need for originality and critical thinking in academic research writing. Researchers must also be transparent in disclosing the use of AI-generated text when submitting their work for publication. By adopting a responsible and thoughtful approach to the use of AI-based text production, researchers can maximize the benefits of the technology while maintaining the quality and authenticity of their research.

Applications of Technology

How to Write a Paper in a Weekend : https://youtu.be/UY7sVKJPTMA

Note : University of Minnesota Chemistry Professor, Peter Carr is not advocating for procrastination. This video outlines a strategy for generating a first draft after you have all your reading and notes assembled.

Research Gap 101: What Is a Research Gap & How to Find One : https://youtu.be/Kabj0u8YQ4Y

Using Google Scholar for Academic Research : https://youtu.be/t8_CW6FV8Ac .

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Heider, K. (2023). Writing the Literature Review: Common Mistakes and Best Practices. In: Renck Jalongo, M., Saracho, O.N. (eds) Scholarly Writing. Springer Texts in Education. Springer, Cham. https://doi.org/10.1007/978-3-031-39516-1_3

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Steps in Conducting a Literature Review

What is a literature review?

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

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

Why is it important?

A literature review is important because it:

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

APA7 Style resources

APA Style Blog - for those harder to find answers

1. Choose a topic. Define your research question.

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

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

2. Decide on the scope of your review

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

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

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

Make a list of the databases you will search.

Where to find databases:

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

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

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

Review the literature

Some questions to help you analyze the research:

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

Tips:

Review the abstracts carefully.
Keep careful notes so that you may track your thought processes during the research process.
Create a matrix of the studies for easy analysis, and synthesis, across all of the studies.
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Last Updated: Jun 20, 2024 9:08 AM
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Literature review.

What is a Literature Review?
What is Its Purpose?
1. Select a Topic
2. Set the Topic in Context
3. Types of Information Sources
4. Use Information Sources
5. Get the Information
6. Organize / Manage the Information
7. Position the Literature Review
8. Write the Literature Review

A literature review is a comprehensive summary of previous research on a topic. The literature review surveys scholarly articles, books, and other sources relevant to a particular area of research. The review should enumerate, describe, summarize, objectively evaluate and clarify this previous research. It should give a theoretical base for the research and help you (the author) determine the nature of your research. The literature review acknowledges the work of previous researchers, and in so doing, assures the reader that your work has been well conceived. It is assumed that by mentioning a previous work in the field of study, that the author has read, evaluated, and assimiliated that work into the work at hand.

A literature review creates a "landscape" for the reader, giving her or him a full understanding of the developments in the field. This landscape informs the reader that the author has indeed assimilated all (or the vast majority of) previous, significant works in the field into her or his research.

"In writing the literature review, the purpose is to convey to the reader what knowledge and ideas have been established on a topic, and what their strengths and weaknesses are. The literature review must be defined by a guiding concept (eg. 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.( http://www.writing.utoronto.ca/advice/specific-types-of-writing/literature-review )

Literature Review - what is a Literature Review, why it is important and how it is done

What are literature reviews, goals of literature reviews, types of literature reviews, about this guide/licence.

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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. " - Quote from Taylor, D. (n.d) "The literature review: A few tips on conducting it"

Source NC State University Libraries. This video is published under a Creative Commons 3.0 BY-NC-SA US license.

What are the goals of creating a Literature Review?

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.

When do you need to write a Literature Review?

When writing a prospectus or a thesis/dissertation
When writing a research paper
When writing a grant proposal

In all these cases you need to dedicate a chapter in these works to showcase what have been written about your research topic and to point out how your own research will shed a new light into these body of scholarship.

Literature reviews are also written as standalone articles as a way to survey a particular research topic in-depth. This type of literature reviews look at a topic from a historical perspective to see how the understanding of the topic have change through time.

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.
Book review essays/ Historiographical review essays : This is a type of review that focus on a small set of research books on a particular topic " to locate these books within current scholarship, critical methodologies, and approaches" in the field. - LARR
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 . San Diego, CA: Plural Publishing.
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 . Malden, MA: Blackwell Pub.
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.

Guide adapted from "Literature Review" , a guide developed by Marisol Ramos used under CC BY 4.0 /modified from original.

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Literature Review: The What, Why and How-to Guide: Literature Reviews?

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What is a Literature Review?

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." - Quote from Taylor, D. (n.d)."The Literature Review: A Few Tips on Conducting it".

Citation: "The Literature Review: A Few Tips on Conducting it"

What kinds of literature reviews are written?

Each field has a particular way to do reviews for academic research literature. In the social sciences and humanities the most common are:

Narrative Reviews: The purpose of this type of review is to describe the current state of the research on a specific research topic and to offer a critical analysis of the literature reviewed. Studies are grouped by research/theoretical categories, and themes and trends, strengths and weaknesses, and gaps are identified. The review ends with a conclusion section that 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.
Book review essays/ Historiographical review essays : A type of literature review typical in History and related fields, e.g., Latin American studies. For example, the Latin American Research Review explains that the purpose of this type of review is to “(1) to familiarize readers with the subject, approach, arguments, and conclusions found in a group of books whose common focus is a historical period; a country or region within Latin America; or a practice, development, or issue of interest to specialists and others; (2) to locate these books within current scholarship, critical methodologies, and approaches; and (3) to probe the relation of these new books to previous work on the subject, especially canonical texts. Unlike individual book reviews, the cluster reviews found in LARR seek to address the state of the field or discipline and not solely the works at issue.” - LARR

What are the Goals of Creating a Literature Review?

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.

When do you need to write a Literature Review?

When writing a prospectus or a thesis/dissertation
When writing a research paper
When writing a grant proposal

In all these cases you need to dedicate a chapter in these works to showcase what has been written about your research topic and to point out how your own research will shed new light into a body of scholarship.

Where I can find examples of Literature Reviews?

Note: In the humanities, even if they don't use the term "literature review", they may have a dedicated chapter that reviewed the "critical bibliography" or they incorporated that review in the introduction or first chapter of the dissertation, book, or article.

UCSB electronic theses and dissertations In partnership with the Graduate Division, the UC Santa Barbara Library is making available theses and dissertations produced by UCSB students. Currently included in ADRL are theses and dissertations that were originally filed electronically, starting in 2011. In future phases of ADRL, all theses and dissertations created by UCSB students may be digitized and made available.

Where to Find Standalone Literature Reviews

Literature reviews are also written as standalone articles as a way to survey a particular research topic in-depth. This type of literature review looks at a topic from a historical perspective to see how the understanding of the topic has changed over time.

Find e-Journals for Standalone Literature Reviews The best way to get familiar with and to learn how to write literature reviews is by reading them. You can use our Journal Search option to find journals that specialize in publishing literature reviews from major disciplines like anthropology, sociology, etc. Usually these titles are called, "Annual Review of [discipline name] OR [Discipline name] Review. This option works best if you know the title of the publication you are looking for. Below are some examples of these journals! more... less... Journal Search can be found by hovering over the link for Research on the library website.

Social Sciences

Annual Review of Anthropology
Annual Review of Political Science
Annual Review of Sociology
Ethnic Studies Review

Hard science and health sciences:

Annual Review of Biomedical Data Science
Annual Review of Materials Science
Systematic Review From journal site: "The journal Systematic Reviews encompasses all aspects of the design, conduct, and reporting of systematic reviews" in the health sciences.
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Literature Review Guide

The literature review, database search tips.

Back to Research Help
What is a Literature Review?
Plan Your Literature Review
Identify a Research Gap
Define Your Research Question
Search the Literature
Analyze Your Research Results
Manage Research Results
Write the Literature Review

What is a Literature Review? What is its purpose?

The purpose of a literature review is to offer a comprehensive review of scholarly literature on a specific topic along with an evaluation of the strengths and weaknesses of authors' arguments . In other words, you are summarizing research available on a certain topic and then drawing conclusions about researchers' findings. To make gathering research easier, be sure to start with a narrow/specific topic and then widen your topic if necessary.

A thorough literature review provides an accurate description of current knowledge on a topic and identifies areas for future research. Are there gaps or areas that require further study and exploration? What opportunities are there for further research? What is missing from my collection of resources? Are more resources needed?

It is important to note that conclusions described in the literature you gather may contradict each other completely or in part. Recognize that knowledge creation is collective and cumulative. Current research is built upon past research findings and discoveries. Research may bring previously accepted conclusions into question. A literature review presents current knowledge on a topic and may point out various academic arguments within the discipline.

What a Literature Review is not

A literature review is not an annotated bibliography . An annotated bibliography provides a brief summary, analysis, and reflection of resources included in the bibliography. Often it is not a systematic review of existing research on a specific subject. That said, creating an annotated bibliography throughout your research process may be helpful in managing the resources discovered through your research.
A literature review is not a research paper . A research paper explores a topic and uses resources discovered through the research process to support a position on the topic. In other words, research papers present one side of an issue. A literature review explores all sides of the research topic and evaluates all positions and conclusions achieved through the scientific research process even though some conclusions may conflict partially or completely.

From the Online Library

SAGE Research Methods is a web-based research methods tool that covers quantitative, qualitative and mixed methods. Researchers can explore methods and concepts to help design research projects, understand a particular method or identify a new method, and write up research. Sage Research Methods focuses on methodology rather than disciplines, and is of potential use to researchers from the social sciences, health sciences and other research areas.

Sage Research Methods Project Planner - Reviewing the Literature View the resources and videos for a step-by-step guide to performing a literature review.

The Literature Review: Step by Step

Follow this step-by-step process by using the related tabs in this Guide.

Define your Research question
Analyze the material you’ve found
Manage the results of your research
Write your Review

Getting Started

Consider the following questions as you develop your research topic, conduct your research, and begin evaluating the resources discovered in the research process:

What is known about the subject?
Are there any gaps in the knowledge of the subject?
Have areas of further study been identified by other researchers that you may want to consider?
Who are the significant research personalities in this area?
Is there consensus about the topic?
What aspects have generated significant debate on the topic?
What methods or problems were identified by others studying in the field and how might they impact your research?
What is the most productive methodology for your research based on the literature you have reviewed?
What is the current status of research in this area?
What sources of information or data were identified that might be useful to you?
How detailed? Will it be a review of ALL relevant material or will the scope be limited to more recent material, e.g., the last five years.
Are you focusing on methodological approaches; on theoretical issues; on qualitative or quantitative research?

What is Academic Literature?

What is the difference between popular and scholarly literature?

To better understand the differences between popular and scholarly articles, comparing characteristics and purpose of the publications where these articles appear is helpful.

Creating an Search String

This short video demonstrates how to create a search string -- keywords connected with Boolean operators -- to use in a library database search to retrieve relevant resources for any research assignment.

Database Search Menu Template Use this search menu template to plan a database search.
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Last Updated: Jun 14, 2024 10:44 AM
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Literature Review

Steps for Conducting a Lit Review
Finding "The Literature"
Organizing/Writing
Sample Literature Reviews
FAMU Writing Center

1. Choose a topic. Define your research question.

Your literature review should be guided by a central research question. Remember, it is not a collection of loosely related studies in a field but instead 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.

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?

Tip: 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.

Look at the Library's research guides in your discipline to select discipline-specific databases. Don't forget to look at books!
Make an appointment with or contact your subject librarian to make sure you aren't missing major databases.

4. Conduct your searches and find the literature. Keep track of your searches!

Tips:

Review the abstracts of research studies carefully. This will save you time.
Write down the searches you conduct in each database so that you may duplicate them if you need to later (or avoid dead-end searches that you'd forgotten you'd already tried).
Use the bibliographies and references of research studies you find to locate others.
Ask your professor or a scholar in the field if you are missing any key works in the field.
Use RefWorks to keep track of your research citations. See the RefWorks Tutorial if you need help.

5. 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?
Again, review the abstracts carefully.
Keep careful notes so that you may track your thought processes during the research process.

Composing your literature review

O nce you've settled on a general pattern of organization, you're ready to write each section. There are a few guidelines you should follow during the writing stage. Here is a sample paragraph from a literature review about sexism and language to illuminate the following discussion:

However, other studies have shown that even gender-neutral antecedents are more likely to produce masculine images than feminine ones (Gastil, 1990). Hamilton (1988) asked students to complete sentences that required them to fill in pronouns that agreed with gender-neutral antecedents such as "writer," "pedestrian," and "persons." The students were asked to describe any image they had when writing the sentence. Hamilton found that people imagined 3.3 men to each woman in the masculine "generic" condition and 1.5 men per woman in the unbiased condition. Thus, while ambient sexism accounted for some of the masculine bias, sexist language amplified the effect. (Source: Erika Falk and Jordan Mills, "Why Sexist Language Affects Persuasion: The Role of Homophily, Intended Audience, and Offense," Women and Language19:2.

Use evidence

In the example above, the writers refer to several other sources when making their point. A literature review in this sense is just like any other academic research paper. Your interpretation of the available sources must be backed up with evidence to show 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 review's focus, whether it is thematic, methodological, or chronological.

Use quotes sparingly

Falk and Mills do not use any direct quotes. That is because the survey nature of the literature review does not allow for in-depth discussion or detailed quotes from the text. Some short quotes here and there are okay, though if you want to emphasize a point, or if what the author said just cannot be rewritten in your own words. Notice that Falk and Mills do quote certain terms that were coined by the author, not common knowledge, or taken directly from the study. But if you find yourself wanting to put in more quotes, check with your instructor.

Summarize and synthesize

Remember to summarize and synthesize your sources within each paragraph as well as throughout the review. The authors here recapitulate important features of Hamilton's study, but then synthesize it by rephrasing the study's significance and relating it to their own work.

Keep your own voice

While the literature review presents others' ideas, your voice (the writer's) should remain front and center. Notice that Falk and Mills weave references to other sources into their own text, but they still maintain their own voice by starting and ending the paragraph with their own ideas and their own words. The sources support what Falk and Mills are saying.

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. In the preceding example, Falk and Mills either directly refer in the text to the author of their source, such as Hamilton, or they provide ample notation in the text when the ideas they are mentioning are not their own, for example, Gastil's. For more information, please see our handout on plagiarism .

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Last Updated: Oct 20, 2022 11:24 AM
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Frequently asked questions

What is the purpose of a literature review.

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

To familiarize 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.

Frequently asked questions: Academic writing

A rhetorical tautology is the repetition of an idea of concept using different words.

Rhetorical tautologies occur when additional words are used to convey a meaning that has already been expressed or implied. For example, the phrase “armed gunman” is a tautology because a “gunman” is by definition “armed.”

A logical tautology is a statement that is always true because it includes all logical possibilities.

Logical tautologies often take the form of “either/or” statements (e.g., “It will rain, or it will not rain”) or employ circular reasoning (e.g., “she is untrustworthy because she can’t be trusted”).

You may have seen both “appendices” or “appendixes” as pluralizations of “ appendix .” Either spelling can be used, but “appendices” is more common (including in APA Style ). Consistency is key here: make sure you use the same spelling throughout your paper.

The purpose of a lab report is to demonstrate your understanding of the scientific method with a hands-on lab experiment. Course instructors will often provide you with an experimental design and procedure. Your task is to write up how you actually performed the experiment and evaluate the outcome.

In contrast, a research paper requires you to independently develop an original argument. It involves more in-depth research and interpretation of sources and data.

A lab report is usually shorter than a research paper.

The sections of a lab report can vary between scientific fields and course requirements, but it usually contains the following:

Title: expresses the topic of your study
Abstract: summarizes your research aims, methods, results, and conclusions
Introduction: establishes the context needed to understand the topic
Method: describes the materials and procedures used in the experiment
Results: reports all descriptive and inferential statistical analyses
Discussion: interprets and evaluates results and identifies limitations
Conclusion: sums up the main findings of your experiment
References: list of all sources cited using a specific style (e.g. APA)
Appendices: contains lengthy materials, procedures, tables or figures

A lab report conveys the aim, methods, results, and conclusions of a scientific experiment . Lab reports are commonly assigned in science, technology, engineering, and mathematics (STEM) fields.

The abstract is the very last thing you write. You should only write it after your research is complete, so that you can accurately summarize the entirety of your thesis , dissertation or research paper .

If you’ve gone over the word limit set for your assignment, shorten your sentences and cut repetition and redundancy during the editing process. If you use a lot of long quotes , consider shortening them to just the essentials.

If you need to remove a lot of words, you may have to cut certain passages. Remember that everything in the text should be there to support your argument; look for any information that’s not essential to your point and remove it.

To make this process easier and faster, you can use a paraphrasing tool . With this tool, you can rewrite your text to make it simpler and shorter. If that’s not enough, you can copy-paste your paraphrased text into the summarizer . This tool will distill your text to its core message.

Revising, proofreading, and editing are different stages of the writing process .

Revising is making structural and logical changes to your text—reformulating arguments and reordering information.
Editing refers to making more local changes to things like sentence structure and phrasing to make sure your meaning is conveyed clearly and concisely.
Proofreading involves looking at the text closely, line by line, to spot any typos and issues with consistency and correct them.

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

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 thesis, dissertation , or research paper , in order to situate your work in relation to existing knowledge.

Avoid citing sources in your abstract . There are two reasons for this:

The abstract should focus on your original research, not on the work of others.
The abstract should be self-contained and fully understandable without reference to other sources.

There are some circumstances where you might need to mention other sources in an abstract: for example, if your research responds directly to another study or focuses on the work of a single theorist. In general, though, don’t include citations unless absolutely necessary.

An abstract is a concise summary of an academic text (such as a journal article or dissertation ). It serves two main purposes:

To help potential readers determine the relevance of your paper for their own research.
To communicate your key findings to those who don’t have time to read the whole paper.

Abstracts are often indexed along with keywords on academic databases, so they make your work more easily findable. Since the abstract is the first thing any reader sees, it’s important that it clearly and accurately summarizes the contents of your paper.

In a scientific paper, the methodology always comes after the introduction and before the results , discussion and conclusion . The same basic structure also applies to a thesis, dissertation , or research proposal .

Depending on the length and type of document, you might also include a literature review or theoretical framework before the methodology.

Whether you’re publishing a blog, submitting a research paper , or even just writing an important email, there are a few techniques you can use to make sure it’s error-free:

Take a break : Set your work aside for at least a few hours so that you can look at it with fresh eyes.
Proofread a printout : Staring at a screen for too long can cause fatigue – sit down with a pen and paper to check the final version.
Use digital shortcuts : Take note of any recurring mistakes (for example, misspelling a particular word, switching between US and UK English , or inconsistently capitalizing a term), and use Find and Replace to fix it throughout the document.

If you want to be confident that an important text is error-free, it might be worth choosing a professional proofreading service instead.

Editing and proofreading are different steps in the process of revising a text.

Editing comes first, and can involve major changes to content, structure and language. The first stages of editing are often done by authors themselves, while a professional editor makes the final improvements to grammar and style (for example, by improving sentence structure and word choice ).

Proofreading is the final stage of checking a text before it is published or shared. It focuses on correcting minor errors and inconsistencies (for example, in punctuation and capitalization ). Proofreaders often also check for formatting issues, especially in print publishing.

The cost of proofreading depends on the type and length of text, the turnaround time, and the level of services required. Most proofreading companies charge per word or page, while freelancers sometimes charge an hourly rate.

For proofreading alone, which involves only basic corrections of typos and formatting mistakes, you might pay as little as $0.01 per word, but in many cases, your text will also require some level of editing , which costs slightly more.

It’s often possible to purchase combined proofreading and editing services and calculate the price in advance based on your requirements.

There are many different routes to becoming a professional proofreader or editor. The necessary qualifications depend on the field – to be an academic or scientific proofreader, for example, you will need at least a university degree in a relevant subject.

For most proofreading jobs, experience and demonstrated skills are more important than specific qualifications. Often your skills will be tested as part of the application process.

To learn practical proofreading skills, you can choose to take a course with a professional organization such as the Society for Editors and Proofreaders . Alternatively, you can apply to companies that offer specialized on-the-job training programmes, such as the Scribbr Academy .

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Neal Haddaway

October 19th, 2020, 8 common problems with literature reviews and how to fix them.

3 comments | 320 shares

Estimated reading time: 5 minutes

Literature reviews are an integral part of the process and communication of scientific research. Whilst systematic reviews have become regarded as the highest standard of evidence synthesis, many literature reviews fall short of these standards and may end up presenting biased or incorrect conclusions. In this post, Neal Haddaway highlights 8 common problems with literature review methods, provides examples for each and provides practical solutions for ways to mitigate them.

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Researchers regularly review the literature – it’s an integral part of day-to-day research: finding relevant research, reading and digesting the main findings, summarising across papers, and making conclusions about the evidence base as a whole. However, there is a fundamental difference between brief, narrative approaches to summarising a selection of studies and attempting to reliably and comprehensively summarise an evidence base to support decision-making in policy and practice.

So-called ‘evidence-informed decision-making’ (EIDM) relies on rigorous systematic approaches to synthesising the evidence. Systematic review has become the highest standard of evidence synthesis and is well established in the pipeline from research to practice in the field of health . Systematic reviews must include a suite of specifically designed methods for the conduct and reporting of all synthesis activities (planning, searching, screening, appraising, extracting data, qualitative/quantitative/mixed methods synthesis, writing; e.g. see the Cochrane Handbook ). The method has been widely adapted into other fields, including environment (the Collaboration for Environmental Evidence ) and social policy (the Campbell Collaboration ).

Despite the growing interest in systematic reviews, traditional approaches to reviewing the literature continue to persist in contemporary publications across disciplines. These reviews, some of which are incorrectly referred to as ‘systematic’ reviews, may be susceptible to bias and as a result, may end up providing incorrect conclusions. This is of particular concern when reviews address key policy- and practice- relevant questions, such as the ongoing COVID-19 pandemic or climate change.

These limitations with traditional literature review approaches could be improved relatively easily with a few key procedures; some of them not prohibitively costly in terms of skill, time or resources.

In our recent paper in Nature Ecology and Evolution , we highlight 8 common problems with traditional literature review methods, provide examples for each from the field of environmental management and ecology, and provide practical solutions for ways to mitigate them.

Problem	Solution
Lack of relevance – limited stakeholder engagement can produce a review that is of limited practical use to decision-makers	Stakeholders can be identified, mapped and contacted for feedback and inclusion without the need for extensive budgets – check out best-practice guidance
Mission creep – reviews that don’t publish their methods in an a priori protocol can suffer from shifting goals and inclusion criteria	Carefully design and publish an a priori protocol that outlines planned methods for searching, screening, data extraction, critical appraisal and synthesis in detail. Make use of existing organisations to support you (e.g. the Collaboration for Environmental Evidence).
A lack of transparency/replicability in the review methods may mean that the review cannot be replicated – a central tenet of the scientific method!	Be explicit, and make use of high-quality guidance and standards for review conduct (e.g. CEE Guidance) and reporting (PRISMA or ROSES)
Selection bias (where included studies are not representative of the evidence base) and a lack of comprehensiveness (an inappropriate search method) can mean that reviews end up with the wrong evidence for the question at hand	Carefully design a search strategy with an info specialist; trial the search strategy (against a benchmark list); use multiple bibliographic databases/languages/sources of grey literature; publish search methods in an a priori protocol for peer-review
The exclusion of grey literature and failure to test for evidence of publication bias can result in incorrect or misleading conclusions	Include attempts to find grey literature, including both ‘file-drawer’ (unpublished academic) research and organisational reports. Test for possible evidence of publication bias.
Traditional reviews often lack appropriate critical appraisal of included study validity, treating all evidence as equally valid – we know some research is more valid and we need to account for this in the synthesis.	Carefully plan and trial a critical appraisal tool before starting the process in full, learning from existing robust critical appraisal tools.
Inappropriate synthesis (e.g. using vote-counting and inappropriate statistics) can negate all of the preceding systematic effort. Vote-counting (tallying studies based on their statistical significance) ignores study validity and magnitude of effect sizes.	Select the synthesis method carefully based on the data analysed. Vote-counting should never be used instead of meta-analysis. Formal methods for narrative synthesis should be used to summarise and describe the evidence base.

There is a lack of awareness and appreciation of the methods needed to ensure systematic reviews are as free from bias and as reliable as possible: demonstrated by recent, flawed, high-profile reviews. We call on review authors to conduct more rigorous reviews, on editors and peer-reviewers to gate-keep more strictly, and the community of methodologists to better support the broader research community. Only by working together can we build and maintain a strong system of rigorous, evidence-informed decision-making in conservation and environmental management.

Note: This article gives the views of the authors, and not the position of the LSE Impact Blog, nor of the London School of Economics. Please review our comments policy if you have any concerns on posting a comment below

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About the author

Neal Haddaway is a Senior Research Fellow at the Stockholm Environment Institute, a Humboldt Research Fellow at the Mercator Research Institute on Global Commons and Climate Change, and a Research Associate at the Africa Centre for Evidence. He researches evidence synthesis methodology and conducts systematic reviews and maps in the field of sustainability and environmental science. His main research interests focus on improving the transparency, efficiency and reliability of evidence synthesis as a methodology and supporting evidence synthesis in resource constrained contexts. He co-founded and coordinates the Evidence Synthesis Hackathon (www.eshackathon.org) and is the leader of the Collaboration for Environmental Evidence centre at SEI. @nealhaddaway

Why is mission creep a problem and not a legitimate response to an unexpected finding in the literature? Surely the crucial points are that the review’s scope is stated clearly and implemented rigorously, not when the scope was finalised.

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Published: 08 September 2024

Global analysis of social learning’s archetypes in natural resource management: understanding pathways of co-creation of knowledge

Michelle Bonatti ORCID: orcid.org/0000-0001-8511-5365 1 , 2 ,
Marcos Lana 3 ,
Leonardo Medina 1 , 2 ,
Paul Chevelev 4 ,
Carla Baldivieso 1 , 2 ,
Carla Errismann 1 , 2 ,
Pia Gleich 5 ,
Tatiana Rodriguez 6 ,
Luca Eufemia 7 ,
Teresa da Silva Rosa 8 ,
Juliano Borba 9 ,
Custodio Matavel ORCID: orcid.org/0000-0002-3800-7887 10 ,
Sandro Schlindwein 11 ,
Ray Ison ORCID: orcid.org/0000-0001-9191-119X 12 ,
Klaus Eisenack ORCID: orcid.org/0000-0001-9070-4017 2 ,
Jon Hellin ORCID: orcid.org/0000-0002-2686-8065 13 ,
Grazia Pacillo 14 ,
Vincent Vadez ORCID: orcid.org/0000-0003-2014-0281 15 , 16 ,
Jérôme Bossuet ORCID: orcid.org/0009-0005-1671-482X 15 , 17 ,
Aleksandra Dolinska &
Stefan Sieber ORCID: orcid.org/0000-0002-4849-7277 1 , 2

Humanities and Social Sciences Communications volume 11 , Article number: 1161 ( 2024 ) Cite this article

Metrics details

Complex networks
Environmental studies

Although social learning (SL) conceptualization and implementation are flourishing in sustainability sciences, and its non-rigid conceptual fluidity is regarded as an advantage, research must advance the understanding of SL phenomenon patterns based on empirical data, thus contributing to the identification of its forms and triggering mechanisms, particularly those that can address urgent Anthropocene socio-ecological problems. This study aims to discover fundamental patterns along which SL in natural resources management differs by identifying SL archetypes and establishing correlations between the SL process and overall geopolitical conditions. Using a systematic literature review comprising 137 case studies in the five continents, content analysis, and correlations were performed. Results show two main archetypes of social learning (endogenous and exogenous). Their occurrence was linked, to where social learning occurs and how venues/preconditions for social learning are placed. In the Global South, endogenous SL should be better potentialized as a catalyzer of deliberative processes for sustainable natural resources management.

Evaluating trust and shared group identities in emergent social learning processes in the Zambezi river basin

Six modes of co-production for sustainability

Institutional navigation for polycentric sustainability governance

Introduction.

Attempts to improve sustainable natural resource management (NRM) increasingly highlight the importance of generating conducive contexts for the co-creation of social–ecological strategies based on learning approaches, rather than relying on technocratic models built on hierarchy and linear conceptions of knowledge transfer (Kristjanson et al., 2014 ; Rodela, 2011 ; Pahl-Wostl, 2009 ; Ison and Russell, 2000 ; Armitage et al., 2008 ). Although technological advancements and technical understandings of social–ecological system dynamics are undoubtedly important and widely adopted in the environmental and agricultural sciences to steer sustainable transitions (e.g., climate-smart agriculture and sustainable intensification, among others), technocratic models tend not to transcend technical knowledge (Blok, 2018 ). Instead, they obscure the collective understanding of interdependencies, complexity, uncertainty, and competing truths in sustainable development (SD) agendas (Rist et al., 2007 ). Where technocratic management overshadows human responsibilities for the multiple crises of the Anthropocene, humanistic approaches focusing on collective processes and risk, bring them to light (Blok, 2018 ). Therefore, sustainable NRM requires further research and development that enables and institutionalizes new practice dynamics, interactions, roles, responsibilities, and pathways to co-create novel systems of knowledge and knowing.

Here, knowledge of sustainable NRM is understood as a form of cognitive understandings that guide natural resource management strategies, and as a relational achievement (Ison et al., 2013 ). Replacing accounts of individual discoverers and/or technology, knowledge for sustainable NRM is a result of humans–biophysical world interactions and co-creation processes (Gergen, 2011 ), which should be fostered to accelerate transformative development and democratic decision-making. This perspective has gained momentum since 2000, with a particular interest in learning-based and co-creation approaches in sustainability sciences (Kristjanson et al., 2014 ; Bonatti, 2018 ). However, knowledge co-creation settings can also face challenges, especially in co-creation settings among Global North and Global South actors. In this context, the current difference between “co-creation” and “classic” crowdsourcing initiatives is far from clear, resulting in some skepticism about the co-creation process since it can be used as a form of coloniality (Quijano, 2007 ) and scientific extractivism (Mpoe and Swartz, 2019 ). Co-creation denotes a deeper relationship and commitment by the involved parties, who must work to jointly ideate, design, and produce knowledge and strategies that benefit all based on alternative pedagogies in the form of practical reflexivity and dialogical research (praxis) (Freire, 2020 ; Baron, 2004 ). These alternative pedagogies are associated with social learning (SL) processes (Lotz-Sisitka et al., 2015 ).

Created during the 1960s in the educational sciences (Bandura and Walters, 1977 ), SL has quickly evolved conceptually and been adopted by several different disciplines and sub-disciplines. During the 1980s, SL was intensively used in Organizational Sociology, and in the 2000s, Sustainability Sciences embraced the concept as a fundamental pathway for the co-creation of strategies for sustainable natural resource management (Cundill and Rodela, 2012 ), hence establishing a second school of social learning (Bonatti, 2018 ). SL continues to be conceptualized, understood, and used in many different ways (Wals, 2007 ; Muro and Jeffrey, 2008 ; Reed et al., 2010 ; Collins and Ison, 2009 ; Bonatti et al., 2022 ).

Here, SL is defined as a process based on collaborative groups and networks that: (a) integrate different sources of knowledge; (b) undertake iterative and transformative actions as a result of critical learnings that transcend the individual and become situated within wider social units (Reed et al., 2010 ); and (c) generate an epistemological point of view that defines knowledge not as an object that can be transferred between people but as the result of an emergent, relational dynamic of social interactions (Ison et al., 2013 ). Social learning (the second school) is a process crucial for natural resource management and is found in different kinds of institutions and communities, although with diverse forms and functions. This implies that questions concerning the different functions of SL, how it contributes to sustainable transformations, and questions concerning conditions and structures that foster its emergence cannot be answered in a general way (Ison et al., 2013 ). Furthermore, the rapid growth and diversification of SL approaches have generated, in some cases, divergence about the meanings, outcomes, and limitations of SL for NRM. Since purposeful empirical social learning research is still comparatively new (Cundill et al., 2014 ; Kristjanson et al., 2014 ), emerging at a time of significant inter and transdisciplinary interest in societal change toward a more sustainable future (Cundill et al., 2014 ), research should forge a stronger and deeper understanding of SL processes, along with potential models for societal transformation and sustainable NRM. While some remarkable advances in social learning classifications (Rodela, 2011 ; Cundill and Rodela, 2012 ; Slater and Robinson, 2020 ) and metaphors (Ison et al., 2013 ) have been established, the actual design and organization of empirical cases that aim to trigger social learning remain largely underexplored. Therefore, although the conceptualization of social learning is rapidly evolving in sustainability science, and its non-rigid conceptual fluidity is regarded as an advantage (Ison et al., 2013 ), it is critical that research advances the understanding of social learning phenomenon patterns based on empirical evidence (Kristjanson et al., 2014 ). Further developments in this regard could contribute to the identification of different social learning forms, particularly those most effective in addressing urgent social–ecological problems in the Anthropocene.

To close this gap, this research advances theory in this area by identifying overall geopolitical contexts that differentiate social learning and identifying their archetypes. Archetypes are models based on patterns of behaviors or phenomena (Oberlack et al., 2019 ; Eisenack et al., 2019 ). Thus, archetypes of social learning refer to the fundamental paths/patterns through which people involved in NRM learn from each other in a social context. By investigating archetypes of social learning, this study can advance the understanding of social learning approaches and definitions of ‘what is’ social learning (Rodela, 2011 ; Cundill and Rodela, 2012 ; Ison et al., 2013 ; Reed et al., 2010 ), focusing particularly on the following research questions: What are the archetypical pathways of social learning in NRM? How do they occur in different social and geopolitical contexts? The primary aim is not only to understand the observed social learning phenomena through extensive empirical data but also to establish correlations between social learning, geopolitical location, and general socio-economic conditions. This is crucial for advancing the study of social learning and is particularly significant in showcasing potential alternative models of social learning that may emerge from various contexts.

This study, therefore, adopts a working hypothesis based on previous SL studies to guide the analysis. Chavez-Miguel et al. ( 2022 ), Bonatti et al. ( 2022 ), and Souza et al. ( 2020 ) show initial evidence regarding the potential emergence of different kinds of social learning based on initiatives led by communities living in adverse socioeconomic conditions in the Global South. Their research focuses, respectively, on Escuelas Campesinas (in Colombia), the Bucket Revolution, and the community of Lomba do Pinheiro (both in Brazil). These case studies offered initial evidence about a kind of social learning that is triggered through collective action at community levels that emerged autonomously possibly indicating different patterns of relational dynamics among social actors occurring in the Global South.

Although the Global South is not a static concept, it is understood that the concepts of Global North and Global South (or the North–South divide in a global context) are used to describe a grouping of countries sharing similar socioeconomic and political characteristics (Dados and Connell, 2012 ). The Global South is a term generally used to identify countries in the regions of Latin America, Africa, parts of Asia, and Oceania. Most, though not all, of the countries in the Global South, are characterized by low-income, dense populations, poor infrastructure, colonial past, minorities’ exclusion, and marginalization processes (Mahler, 2017 , 2018 ). Although this distinction has limitations given the changing global dynamics (Gray and Gills, 2016 ) and the potential to overlook specific contexts related to class, gender, and race that contribute to global inequalities (Dados and Connell, 2012 ), it represents the latest development and critical approach to the previous definition called developing or developing countries.

The previous studies, findings (Chavez-Miguel et al., 2022 ; Bonatti et al., 2022 ; Souza et al., 2020 ) are the central source of information for the development and investigation of the hypothesis of this study, and this type of social learning can be called Endogenous SL. A definition of this type of SL is only found in the work of Carlile ( 2013 ), where it is defined as a process rooted in the political, economic and social frameworks of the locality or region. This process would embody a form of social learning that convened stakeholders that represented not just a socially differentiated community of actors but a set of actors that acknowledged the traditions and local authorities of the region as well as an understanding of the local organizations (Carlile, 2013 ). Therefore, for the purpose of the analysis carried out here, Endogenous SL is initially understood as the process through which interacting individuals within a society or group learn from one another, rather than from external sources or formal instruction (Cunningham and Cunningham, 2008 ). This type of learning is “endogenous” because it originates from within the system or community itself (Wals and van der Leij, 2007 ). It involves the exchange of knowledge, behaviors, and skills through observation, practices, and communication among peers (Reed et al., 2010 ) sharing a territory (Berkes, 2009 ). This concept can be related to Endogenous Development which focuses on leveraging local resources, knowledge, and capacities to foster sustainable development from within a community or region (Vázquez-Barquero, 2002 ). It prioritizes the participation and empowerment of local populations, ensuring that development initiatives are culturally appropriate and rooted in local traditions and/or practices (Escobar, 1995 ; Ray, 1999 ).

A second type of SL called Exogenous, for which a formal definition does not exist (or cannot be found) in the literature, has also been identified, which could be included among the current social learning concepts. In this type of social learning, individuals or groups learn from experiences, information, and influences that originate outside their immediate social context or community (Reed et al., 2010 ) based on interactions with external social actors such as representatives of organizations. As a result, this study elaborates on actual and potential differences between endogenous and exogenous SL patterns to be confirmed on the basis of further empirical evidence.

The differentiation of two initial archetypes is crucial to provide a parameter for identifying the potential emergence of different types of social learning, based on initiatives led by communities living in the different geopolitical contexts. Although this study recognizes the limitations of using North–South relations (Gray and Gills, 2016 ; Dados and Connell, 2012 ), the adoption of this geopolitical differentiation was essential because different patterns of relational dynamics may occur in different socio-economic contexts, which could have implications for the emergence of different kinds of social learning to be identified at the global level.

To understand the observed social learning phenomena through extensive empirical data and to establish correlations between social learning and power structures and socio-economic conditions, four interconnected steps were applied: (1) development of the analytical framework (2) case study selection; (3) case study classification; and (4) clustering and definition of archetypes. Steps 2 and 3 are based on a systematic literature review, defined as systematic methods to identify, select, and critically appraise relevant research, collecting and analyzing data from the studies that are included in the review (Petticrew and Roberts, 2008 ).

Step 1—Development of the analytical framework

To answer the research questions, this study applied an archetype analysis, which can identify/represent recurring interaction patterns (Moallemi et al., 2022 ). Archetype analysis avoids the traps of overgeneralization and ideography by identifying recurring but non-universal patterns that hold for well-defined subsets of cases (Eisenack et al., 2019 ). This kind of analysis in sustainability research offers the opportunity to assess recurrent causes and effects of human–nature interactions as an integrated set of processes rather than isolated factors while considering the specific spatiotemporal contexts in which they evolve. Therefore, this study seeks to discover social learning generalizations about key interlinkages and patterns relevant to sustainable natural resource research by using archetype analysis as a core methodological approach (Kates et al., 2001 ). These patterns are useful for understanding functional similarities and differences from a broader perspective, thus informing decisions that must be made across diverse knowledge co-creation contexts (Miller et al., 2014 ; Sietz et al., 2019 ), linking empirical evidence with broader learning processes. Importantly, recognizing similarities can enhance learning and inform the scaling-up of sustainability improvements.

The analytical framework synthesizes some insights from a collection of seminal studies (Cundill and Rodela, 2012 ; Scholz et al., 2014 ; Slater and Robinson, 2020 ), which delineate essential characteristics and attributes of social learning in terms of materials (Slater and Robinson, 2020 ), processes (Cundill and Rodela, 2012 ), involved actors, methodologies, resources, and resulting outcomes such as new knowledge, reflective thinking, and newly forged relationships (Table 2 ). These fundamental elements were methodically integrated and organized through the lens of archetype analysis (Fig. 1 ), leading to the development of a comprehensive conceptual model that articulates the social learning phenomena within natural resource management (NRM). This model is structured around three principal dimensions—outputs, inputs, and geopolitical context—each aligning with the archetype analysis’s structural components: design, outcome, and diagnostic criteria.

Analytical framework.

The geopolitical context dimension delves into the interplay between political and geographic territories, drawing on the conceptualizations by Quijano ( 2007 ) and Dados and Connell ( 2012 ). The input dimension encapsulates the essential tools, participants, processes, and materials that facilitate social learning events (Cundill and Rodela, 2012 ; Slater and Robinson, 2020 ). Conversely, the output dimension captures the tangible and intangible products emanating from the social learning interactions (Scholz et al., 2014 ). Notably, this study opted to exclude the transformation of mental models from our analysis, as outlined by Scholz et al. ( 2014 ), due to their inherently higher subjective nature.

The 10 social learning key characteristics were defined as the 10 specific categories of analysis. In order to analyze comparable factors across heterogeneous cases, this study prioritized the inclusion of more objective categories (such as ‘geopolitical location’, ‘location’, ‘country’, ‘natural resource addressed’ and ‘resource availability’). However, subjective categories (‘relational capital’, ‘methods’, ‘targeted objective’ and ‘level of social learning’) are also included because of the importance of trying to understand the inputs and outputs of a social phenomenon (in this case, the social learning process). Therefore, this study has a certain degree of subjectivity in its analysis. These categories were classified as interdepend or independent to further analyses. The explanation of the interconnections and dependencies among categories was crucial for clarifying the possibility of category exclusions if necessary and enhancing the comprehension of our analytical framework. Analyzing interdependent relations requires an approach that considers the direct interactions, causal relations, and connections variables. In contrast, independent relations can be examined separately, focusing on individual effects.

Classifying and analyzing a consistent quantity of social learning cases based on these categories of analysis enables us to investigate the SL phenomenon in depth and its context, to identify the boundaries between the phenomenon under investigation and the context in which it occurs, as well as to generalize SL recurrent mechanisms, co-relations, and patterns (Cundill et al., 2014 ).

Step 2—Selection of study cases

To understand the current forms of social learning in NRM, this study systematically reviewed a selection of international peer-reviewed literature that directly assesses the status, processes, tools, barriers, outcomes, and opportunities for social learning NRM. Specific keywords were used in our initial search, such as “social learning” and “natural resource management,” in combination with variations of “case of study,” “study case,” “case,” or “case study,” which helped identify the initial 4220 documents (with 4072 of these documents from Web of Science and 158 from Science direct). These keywords were developed based on a rigorous process that drew from previous literature in the field and the collective familiarity of the authors with the topic (period of data collection September 20 to December 20, 2022). Non-empirical (theoretical and conceptual) literature and empirical cases of social learning that occurs without human group in-person collaboration were excluded. In other words, our review focused on empirical studies that included collaboration for on-ground actions, as well as publications including “learning” in the content.

To ensure a high standard of reporting quality of the revision process and its replicability, our study follows the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) guidelines, which includes a standard methodology that uses a guideline checklist and a flow diagram (Page et al., 2021 ). The flow diagram, which provides a schematic overview of the review steps, is depicted in Fig. 2 .

PRISMA flowchart of primary study selection.

After removing duplicate records (154), an initial screening of titles took place, excluding a total of 3523 records that were marked as ineligible. Subsequently, the remaining 553 documents were manually screened and further filtered based on the abstracts to include only peer-reviewed publications that: (1) explicitly analyze social learning or learning processes, directly mention social learning processes, or specifically use methods mentioning social learning; (2) relate it to sustainability and natural resources management (i.e., land use, water management, biodiversity, etc.); and (3) are peer-reviewed and published in international scientific journals (Table 1 includes specific criteria to including or excluding the articles). Accordingly, it was selected 130 articles that went through a full-text assessment. The scope of this review is limited to the natural resource management literature. This does not negate the importance of the other bodies of literature on the topic, particularly in the areas of pedagogy, governance, and policy. Rather, the limited scope of this review highlights the challenge of summarizing a large and rapidly growing discourse on social learning in natural resource management.

In order to ensure the reliability and validity of this systematic literature review, a rigorous quality assessment was conducted. This involved a multi-step process to evaluate the included studies and ensure the consistency and comparability of the data.

During the coding phase (Step 3), it became evident that one category of analysis, namely “Conflict,” consistently lacked sufficient and consistent information across the selected studies. Consequently, this category was deemed unsuitable for inclusion in the review. The decision to exclude the “Conflict” category was made in order to maintain the overall quality and reliability of the review by focusing on categories with more robust and consistent data. As illustrated in the analytical framework, conflict is an independent variable. Consequently, the exclusion of this category would not affect the overall analysis.

In addition to the exclusion of categories, meticulous attention was paid to the methodologies employed in the selected studies. It was observed that some articles employed methods related to computer games as a social learning process that were not directly comparable to the primary research focus of this systematic review. In order to maintain methodological consistency, comparability, and relevance to the research question, 21 articles were excluded from the review. Consequently, only a final sample of 109 articles met the inclusion criteria (see Supplementary Material : List of articles). To maintain the individual case study as the unit of analysis, articles discussing more than one case were analyzed on a per-case basis. This resulted in a total number of 137 individual cases of social learning for natural resource management.

Step 3—Classification of the cases according to categories of analysis

A content analysis was conducted on the selected papers through the following ten analytical categories of the analytical framework: 1. geopolitical location; 2. The type of participants; 3. Scope of learning; 4. Outcomes; 5. Relational capital generated; 6. Conflicts generated; 7. SL mediation/methodology applied; 8. Financial resource availability during the SL process; 9. SL level (endogenous or exogenous process); and 10. Natural resources are addressed with the SL process (Table 2 ).

The classification of the articles according to the categories of analysis was conducted by an interdisciplinary team ( n : 10) comprising geographers, politicians, agronomists, an economist, a sociologist, and a pedagogue, which had rounds of inter-rater checks for concordance. Regarding quality assurance of coding, to enable cross-article comparisons, we conducted a quality assessment of each coder to identify those who had missed entries or skipped significant questions/indicators. Individual training was conducted to understand and calibrate the categories of analysis and its variables. As such, all included studies underwent a thorough and independent review by the research team. The analysis and evidence synthesis were conducted using established coding procedures, adhering to recognized methodological guidelines (Haddaway et al., 2015 ). Each selected study was reviewed independently and cross-checked by at least two team members against these indicators. Discrepancies were resolved not merely by discussion, but by referring back to our operational definitions and consulting a third reviewer if necessary. This approach ensured a high standard of consistency and rigor in the assessment process.

Step 4—Clustering and defining archetypes: data treatment, patterns identification, and archetypes generation

Correlations between categories of analysis were processed to identify underlying structural conditions that differentiate and cluster the cases, resulting in potentially different archetypes. A comprehensive archetype analysis characterizes each archetype by three elements: (i) a configuration of attributes; (ii) a theory or hypothesis that explains the relation between the attributes; and (iii) a set of cases where it holds (Sietz et al., 2019 ).

Following this rationality, data treatment follows three steps: (1) finding the significant, positive, and negative correlations using Pearson’s bivariate correlations in the extracted information of the 109 papers/137 cases; (2) decomposing each significant correlation to discover attributes; and (3) constructing and linking the multiple variables analyzed then explaining and analyzing the working hypotheses. For that, we loaded the collected social learning data into a Python file and calculated the Pearson correlations with the aid of the Python library pandas. The network graphs were then created using the Python library networks by scaling each node with the strength of its corresponding correlation with the SL archetype (endogenous or exogenous) and colored depending on whether the correlation is positive or negative. Due to the social subject being analyzed, the correlation classification (weak to strong) follows the principles of correlation coefficients proposed by Akoglu ( 2018 ). The values ranged from strong negative correlations (dark red areas) to strong positive correlations (dark green areas).

A cartographic representation comparing the occurrence of Endogenous SL and Exogenous SL at the country scale was generated by ratio calculation with the help of the Python libraries Pandas and Plotly. A data analyst and a mathematician led this data analysis with the support of the team previously described.

Study limitations

It is essential to acknowledge the inherent limitations of our systematic review in the context of the field of Social learning in NRM. One prominent limitation arises from the significant heterogeneity in research methodologies (cases) observed across the body of literature we reviewed. In the absence of a universally agreed-upon protocol and the prevalent use of mixed methods by researchers, achieving a high degree of comparability among the studies included in this review was a formidable challenge. To mitigate this limitation, we made concerted efforts to carefully discuss it in interdisciplinary team and contextualize our results within the framework of this heterogeneity. Finally, it important to highlight that archetype analysis is was also chosen considering heterogeneity. As a methodology, archetype analysis is primarily driven by the objective of explaining outcomes in heterogeneous cases that lack universal patterns (Eisenack et al., 2019 ). Ultimately, the review omits certain publications like books, proceedings, dissertations, and non-English regional journals due to its primary emphasis on bibliographic databases. By prioritizing bibliographic databases, various other material types have been left out of the review. Further limitations are related to the overall use of the geopolitical category. It is important to note that the Global North-South divide is a simplification of complex realities. There are significant variations within each category, and some countries may not fit neatly into either group (Milanovic, 2016 ). Additionally, the rise of emerging economies, such as China and India, has challenged the traditional North-South dichotomy (Gray and Gills, 2016 ). Finally, it is acknowledged that other categories of analysis, such as governance systems, can be investigated in future research.

The results show significant correlations, both positive and negative, among the variables of the categories of analysis (SL level related to the others). The results are presented based on the two archetypes (endogenous and exogenous SL) (Figs. 3 and 4 ). Although there are nuances, the results show a trend aligned with the initial working hypothesis.

Exogenous significant, positive, and negative correlations between SL levels related to the other categories of analysis.

Endogenous significant, positive, and negative correlations between SL levels related to the other categories of analysis.

As a general result, the positive correlations, with strong to moderate effect strength among the variables, indicate that the patterns of each archetype of social learning can be characterized as (i) Endogenous social learning associated with learning by doing methods, financial resources scarcity, Global South, knowledge focused on community development, community individuals engagement and (ii) Exogenous social learning, associated to financial resources availability, fixed methods, Global North, general stakeholders engagement, focused on environmental knowledge and political agreements. Of the 137 study cases, discussed across 109 articles, 33 are classified as Endogenous SL, 90 as Exogenous SL, and 14 could not be categorized as belonging solely to one or another archetype.

The 14 cases have non-clear patterns (not patterned). Therefore it was not possible to define it as a pure Archetype itself. However, it was chosen to present it as a result to indicate that other kinds of archetypes might exist. The fact that 14 cases are not clearly categorized indicates that the proposed framework is not able to take account of the whole diversity of the social learning phenomena, implying the exclusion of specific cases. Examples of such cases include sources that were initially reporting Exogenous SL processes and then transitioning or having characteristics of Endogenous SL. As stated by Eisenack et al. ( 2019 ) if one observation does not fit to an archetype, this does not falsify the archetype simply because archetypes are not required to be universal. It only falsifies the applicability of that archetype in that case.

The results showing the strongest correlations for Exogenous SL and Endogenous SL are related to the three categories of analysis of input: “financial resources,” “method applied,” and “types of participants” (Figs. 3 and 4 ). The other categories of analysis can also be associated with Endogenous or Exogenous archetypes. Regarding the “Continent” category, while Europe is the continent where most cases of Exogenous appear, Latin America has the most frequency Endogenous cases. The category “location” does not show significant results related to specific countries. These results suggest that they are the conditions (structure and inputs) under which the different kinds of SL archetypes emerged, generating different outputs. Although these two archetypes are distinguishable, they are not entirely opponent or antagonist archetypes. The existence of these archetypes does not exclude the existence of other archetypes.

For this category of ‘natural resources’, endogenous SL is more closely correlated with ‘multiple resources’, while exogenous SL is more closely correlated with ‘ecosystems’. This may suggest that in some, but not most, cases, the social learning process has addressed multiple resources or systems. In the dataset, the proportion of occurrences of several natural resources is close for endogenous and exogenous (e.g. water, 42% of endogenous cases and 30% of exogenous cases), making the correlation for these items non-significant and signaling that this relationship could be due to chance rather than being a characteristic component of any archetypes.

Exogenous archetypes: correlations and characterization

See Fig. 3 .

Endogenous archetypes: correlations and characterization

See Fig. 4 .

Analysis of the multiple variables and the relation between the attributes

In Fig. 5 , the patterns of each archetype of social learning characterized as structure, input, and outcome are represented in a hierarchical form. Here, we construct and link the multiple variables, explaining and analyzing the working hypotheses about Endogenous and Exogenous SL according to the co-relations found.

Social learning archetypes essential features based on correlations found.

As the left side of Fig. 5 summarizes, in the SL endogenous archetype features where social learning outcomes are focused on increasing critical thinking and environmental knowledge, and strengthening participation. The inputs/conditions for generating these outputs are related to the use of learning-by-doing methods under conditions of scarcity of financial resources, with the aim of community development and participation mainly of individuals in the community. These conditions may have their origins in the geopolitical context of the societies in which these archetypes occur.

On the right side of Fig. 5 , in the SL Exogenous archetype, the social learning outputs are more centered on increased critical thinking and some combinations. The inputs/conditions (center of Fig. 1 ) for producing these outcomes are related to the use of pre-established methods in the condition of availability of financial resources with the participation of general stakeholders.

The correlations between exogenous SL and the Global North, as opposed to endogenous SL and the Global South, are not the strongest, but they clearly indicate a trend. Although most of the attributes of the structures, inputs, and outputs of each SL in NRM differ, the combined outcomes of relational capital (arrangements between a–c) have some common aspects (especially increased environmental knowledge). In the map (Fig. 6 ), the occurrence of Endogenous SL and Exogenous SL at the country scale is shown.

A cartographic representation delineating the occurrence of Endogenous SL and Exogenous SL at the country scale.

The results showed evidence of at least two main archetypes (Endogenous SL and Exogenous SL); confirming the working hypothesis that different patterns of SL are occurring. The inputs for and outputs of SL in NRM (as documented in the literature analyzed) differ strongly between processes with Exogenous SL and Endogenous SL. It can be associated with where social learning takes place (Global North/Europe or Global South/Latin America). Therefore, would the characteristics of Global North or South determine how the venues and preconditions for social learning are placed (more power-imbalanced settings and fewer resources)?

As presented in our hypothesis, a few studies (Chavez-Miguel et al., 2022 ; Bonatti et al., 2022 ; Souza et al., 2020 ) suggest that a different kind of social learning occurs in the territories of the Global South. When looking at communities in the Global South, the focus of social learning is more closely related to community development done by community individuals, where most “learning by doing” methodologies and low-resource SL processes are used. SL Endogenous might be a process close to what Pahl-Wostl ( 2009 ) conceptualized as social learning that proceeds in a stepwise fashion moving from single to double to triple loop learning where informal networks are considered to play a crucial role in learning processes.

As shown in the map (Fig. 6 ), the results of SL Endogenous show a correlation with the Global South, particularly Latin America. This region has been related to the emergence of numerous grassroots movements rooted in co-creation processes and community rationalities. Prominent examples include La Vía Campesina across Latin America (Desmarais, 2008 ), the landless workers’ movement in Brazil (Wolford, 2010 ), and the Proceso de Comunidades Negras in the Colombian Pacific (Escobar, 2008 ). Moreover, theoretical frameworks, including Freire ( 2020 ) and Fals Borda and Mora-Osejo ( 2004 ), shed light on several community-based initiatives and endogenous development in neglected areas.

In contrast to the community-based, endogenous archetypes of social learning seen in many Latin American contexts, Exogenous social learning processes are more prevalent in the Global North, particularly in Europe. Unlike community-based initiatives that often emphasize the importance of local knowledge, local identities, and their connection to specific territories, exogenous processes may not place a similar emphasis on these aspects. Exogenous social learning then incorporates a high level of advocacy and diverse civil society groups not directly representing the communities in multi-stakeholder networks (Pahl-Wostl et al., 2013 ). However, the focus of these processes is often on political agreements, policy development, and scientific recommendations that guide a societal transition towards sustainability (Schäpke et al., 2017 ). This may overlook the intricacies of local identities and their ties to the land and natural resources.

In the Global South, characterized processes such as structural exclusion and neglection (Mahler, 2018 ; Capdepuy, 2023 ) may exert an influence in terms of a self-designed process of innovative social learning emerging under a scarcity of financial resources, through the engagement of community members focusing on self-determined priorities for local development in the face of multiple crises. Therefore, it may indicate that some Global South communities might have developed endogenous social learning processes based on their self-rationalities and structures (Souza et al., 2020 ) in response to multiple crises and the possibility of handling an intersected process of exclusion (Bonatti et al., 2022 ). These results are in line with the assertion of Cundill et al. ( 2014 ) that social learning processes emerge in diverse contexts. For them, in the Global South, several factors that “go beyond choices related purely to methodological rigor influence the agenda of social learning research” (p.11). Exogenous SL might be established in settings where social actors have suffered less exclusion and marginalization by existing governance systems, possibly with more symmetric power relations. In general, the literature provides a variety of perspectives on various models and tools for social learning related to NRM and governance. In the Global North, for example, SL is often considered crucial for making the management and governance of natural resources more sustainable (Reed et al., 2010 ; Cundill and Rodela, 2012 ) without being directly related to community development. It is also tightly coupled with the history of interactions among those institutional representatives involved in NRM and their relational dynamics within a multi-stakeholder network. As results show, in Exogenous SL, stakeholders/institutional representatives tend to follow the agenda of developing learning focused on natural resource management.

In the case of Endogenous SL, which more commonly emerges in communities with historical legacies of oppression, distrust, and power asymmetries between actors, these factors should play a significant role in determining the kinds of research processes that are considered ethically and socially appropriate (Cundil et al., 2014 ). This may be creating the need for a ‘community engaged’ orientation to research through which scientific inquiry is not seen as ‘separate’ from the world in which it is constituted, but rather as a valid contributor to expanding learning. According to Freire ( 2020 ), a development process should start with an understanding of the participants’ perspectives about their reality. Thus, participants develop a type of diagnosis with a particular focus on how they understand their reality at that moment. At the beginning of the process, the mental models of the participants over their reality are also investigated. They become active, presenting narratives, images, improvisations, characters, and objects that reflect their true understanding of their realities. Through dialog, participants are encouraged to investigate and establish new perceptions about ways to see the proposed problems (Freire, 2020 ; Bonatti et al., 2021 ).

Policies and programs based on SL Exogenous approaches may undervalue or overlook the occurrence and potential of SL Endogenous approaches. It is crucial to understand the logic of SL Endogenous to promote sustainable NRM that clearly supports all involved actors while avoiding the replication of coloniality (Quijano, 2007 ; Escobar, 2012 ). Therefore, SL processes in the Global South can be better facilitated with what Jürgen Habermas describes as ‘communicative action,’ in contrast to ‘strategic action’ and instrumental rationality (Habermas, 1984 ). Sustainable NRM requires space for communicative action designed to share intersubjectively validated explanations of actual situations as well as to achieve the co-articulation of purpose and means required for transforming current norms, rules, and power relations, thus achieving sustainable development (Rist et al., 2007 ). In this context, this study does not intend to decisively determine the best models or archetypes, rather it seek to understand the existing archetypes, identifying the conditions under which they prosper. This study also highlighted SL models that may be invisible to the broader world given their peripheral/neglected territories of origin. It is also critical to emphasize that the idea is not to dichotomize, but rather to indicate that archetypes and learning processes can be complementary, as suggested by existing evidence and remembering that “there are Souths in the geographic North and Norths in the geographic South” (Mahler, 2018 , p. 32),

Finally, interfaces between SL processes here analyzed, endogenous development, and institutional changes (IC) theories might exist in NRM literature. This literature emphasizes commons management processes at different levels of governance and theorizes about participatory and community-based arrangements and practices that imply SL processes for social transformation (Pahl-Wostl and Hare, 2004 ; Romina, 2014 ; Thiel et al., 2015 ). This article also contributes to a better understanding of the mechanism of social transformation and collective action related to NRM especially to analysis of in which circumstances they occurred. Other schools of scientific knowledge conceptualize these related processes differently, but the mechanisms identified here point to clear theoretical interfaces. For example, from an institutional economic perspective, Thiel et al. ( 2015 ) explain that institutional change can be the product of two distinct processes, objective institutional design (OID) and subjective institutional design (SID). This study might contribute to Thiel’s (et al., 2015 ) findings to understand how the collective action process can be differentiated.

There is a dynamic and close relationship between changes in thinking and changes in social behavior, resulting in the development of social institutions and knowledge-creation processes (Wehn and Montalvo, 2018 ). In the literature on NRM, social learning processes and institutional change are linked, as this literature, especially that related to the management of common goods at different levels of governance, often theorizes about participatory arrangements and practices that involve collective learning processes for social transformation. These processes involve the co-creation of knowledge between actors with different interests, rationalities, and knowledge, collaborative and sustainable learning, and the development of social institutions that support socio-ecological sustainability (Bodin and Tengö, 2012 ; Chitata et al., 2021 ; Romina, 2014 ). Furthermore, emerging evidence in the NRM literature highlights the relationship between collective action, a common focus of institutional change studies, and social learning (Assuah and Sinclair, 2019 ; Bodin, 2012, 2017 ). In considering collaboration for social-ecological sustainability, Bodin ( 2017 ) emphasizes collaboration as the foundation of knowledge processes and key to collective action, suggesting that collaboration is a means to (i) enhance the generation of new knowledge through social learning, (ii) better integrate valuable insights from different knowledge systems, and (iii) disseminate knowledge and best practices among a wide range of actors (p. 2).

Further research needs are identified that align with the idea of investigating other categories of analysis such as governance systems, different levels of social learning, or sub-archetypes, which can occur during NRM. Bos et al. ( 2013 ) point out the need for a broader understanding of social learning by applying experimental processes that: (i) define whether all participating actors need to learn the same information about a socio-technical system, and (ii) critically assess the learning needs of different actors at different process points to empower these actors to act as change agents. With further elaboration this can facilitate a better understanding of the relationship between conflicts and social learning.

In terms of limitations, this study acknowledges that many social learning cases may be described using different terms, such as collective learning or transformative learning. The use of the term “sustainable natural resource management” also represents a limitation, considering that several natural resource management cases could be described as adaptive climate change, sustainable development, and NR governance, among others. Furthermore, it is important to note that social learning models from the Global South, such as indigenous or grassroots movements learning systems, may be underrepresented in this study because endogenous SL approaches are unlikely to be reported in scientific articles.

Conclusions

In this work, the case studies analyzed contribute to expanding upon Reed et al.’s, and Cundill et al.’s explanations of ‘what’ social learning is by understanding under which conditions social learning emerges and how it can be facilitated in specific contexts. In order to better develop pathways for co-creation in natural resources management, it is crucial to enrich the current literature in SL by providing evidence for alternative, invisible models of social learning that emerge from different contexts. From here, with this first evidence generated, further research should be undertaken to understand the governance systems and pedagogies used in different models and relations between types of social learning and governance systems.

Identifying archetypes of social learning that originated in the Global South could also shed light on how vulnerable social groups themselves address intersectional issues (racism, gender, and so on) alongside their processes of sustainable NRM. Communities facing failings or an absence of, functional governance systems and inadequate or missing public policies may be developing innovative systems of self-constructed knowledge based on collective learning centered on community needs, their significant universe, and the construction of identity as empowerment process. This includes a critical analysis of the state of vulnerability and neglect within which they live, as well as, concurrently, natural resource self-management.

These community-based development cases reveal a variety of SL mechanisms, leading to transformative natural resource management in the context of multiple socio-environmental crises, a typical scenario of the Global South. In the Global South, endogenous social learning should be better tapped as an instrument of development and catalyzer of deliberative processes for sustainable natural resource management. In this era of multiple environmental crises, research based on transdisciplinary networks of researchers should embrace and value different identities and learning models. As it advances, robust situated south learning models must be supported, with intentional efforts made to engage smaller institutions, thus avoiding an over-investment in a limited number of better-known organizations that apply exogenous structures where the endogenous might be more adequate or already operating.

Data availability

This manuscript is based on a systematic literature review. In this approach, all data generated or analyzed during this study are included in the manuscript and its supplementary information file (including references and data-generated Excel table) attached in the submission process.

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MB: Conceptualized the study, developed the methodology, led the writing process, reviewed and edited the manuscript, and supervised the project; ML: Contributed to data analysis and interpretation, reviewed and edited the manuscript; LM: Assisted with data collection and analysis, contributed to writing the original draft; PC: Data analysis, provided technical support and contributed to data visualization; CB: Participated in fieldwork, data collection, and analysis; CE: Assisted with literature review and contributed to writing specific sections; PG: Assisted with literature review; TdSR: Assisted with methodology and literature review; LE: Assisted with methodology development and data validation; TRS: Provided expertise on context and contributed to discussion section; JB: Assisted with data collection and contributed to writing the results section; CM: Assisted with data collection and contributed to writing the results section.; SS: Contributed to the conceptual framework and manuscript review.; RI: Provided theoretical guidance and critical review of the manuscript.; KE: Supervised the research process and contributed to the final manuscript revision.; JH: Contributed to the conceptual framework and manuscript review; GP: Contributed to the conceptual framework and manuscript review; VV: Contributed to the conceptual framework and manuscript review; JB: Contributed to the conceptual framework and manuscript review; AD: Contributed to methodology development and data collection protocols; SS: Provided overall project supervision, secured funding, and contributed to final manuscript review.

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Bonatti, M., Lana, M., Medina, L. et al. Global analysis of social learning’s archetypes in natural resource management: understanding pathways of co-creation of knowledge. Humanit Soc Sci Commun 11 , 1161 (2024). https://doi.org/10.1057/s41599-024-03590-5

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

INTRODUCTION

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

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

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

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

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

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

Comparison of literature reviews, theoretical frameworks, and conceptual reviews

	Literature reviews	Theoretical frameworks	Conceptual frameworks
Purpose	To point out the need for the study in BER and connection to the field.	To state the assumptions and orientations of the researcher regarding the topic of study	To describe the researcher’s understanding of the main concepts under investigation
Aims	A literature review examines current and relevant research associated with the study question. It is comprehensive, critical, and purposeful.	A theoretical framework illuminates the phenomenon of study and the corresponding assumptions adopted by the researcher. Frameworks can take on different orientations.	The conceptual framework is created by the researcher(s), includes the presumed relationships among concepts, and addresses needed areas of study discovered in literature reviews.
Connection to the manuscript	A literature review should connect to the study question, guide the study methodology, and be central in the discussion by indicating how the analyzed data advances what is known in the field.	A theoretical framework drives the question, guides the types of methods for data collection and analysis, informs the discussion of the findings, and reveals the subjectivities of the researcher.	The conceptual framework is informed by literature reviews, experiences, or experiments. It may include emergent ideas that are not yet grounded in the literature. It should be coherent with the paper’s theoretical framing.
Additional points	A literature review may reach beyond BER and include other education research fields.	A theoretical framework does not rationalize the need for the study, and a theoretical framework can come from different fields.	A conceptual framework articulates the phenomenon under study through written descriptions and/or visual representations.

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

LITERATURE REVIEWS

Purpose of a literature review.

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

Building Literature Reviews

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

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

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

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

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

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

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

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

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

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

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

Suggestions and Advice

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

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

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

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

THEORETICAL FRAMEWORKS

Purpose of theoretical frameworks.

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

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

Selecting Theoretical Frameworks

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

CONCEPTUAL FRAMEWORKS

Purpose of a conceptual framework.

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

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

Constructing Conceptual Frameworks

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

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

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

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

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

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Conceptual framework from Sabel et al. (2017) .

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

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

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

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

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

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

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

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

CONCLUDING THOUGHTS

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

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

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

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Open access
Published: 04 September 2024

Palatal groove associated with periodontal lesions: a systematic review illustrated by a decisional tree for management

Yvan Gaudex 1 , 2 ,
Vianney Gandillot 1 , 2 , 7 ,
Isabelle Fontanille 3 ,
Philippe Bouchard 1 , 2 ,
Stephane Kerner 1 , 2 , 4 , 5 &
Maria Clotilde Carra 1 , 2 , 6

BMC Oral Health volume 24 , Article number: 1037 ( 2024 ) Cite this article

Metrics details

Palatal groove represents a relatively uncommon developmental root anomaly, usually found on the palatal aspect of maxillary incisors. While its origin is controversial, its presence predisposes to severe periodontal defects.

This study aimed to provide a systematic review of the literature focusing on the varied diagnostic techniques and treatment modalities for periodontal lesions arising from the presence of palatal groove. Based on the existing evidence and knowledge, the study also provides a comprehensive decisional tree, guiding clinicians in the challenging decision-making process face to a palatal groove.

The literature search was conducted on Medline and Cochrane databases by two independent reviewers, who also performed the screening and selection process, looking for English written articles reporting on diagnosis and management (all treatment approaches) of periodontal lesion(s) associated with a palatal groove. Based on this literature, a comprehensive decisional tree, including a standardized palatal groove evaluation and tailored treatment approaches, is proposed. Moreover, a clinical case is described to demonstrate the practical application of the developed decisional tree.

Over a total of 451 articles initially identified, 34 were selected, describing 40 patients with 40 periodontal lesions associated with palatal grooves. The case report illustrates a deep, large, circumferential intra-bony defect on the palatal side of the tooth #22 associated with a shallow, moderately long palatal groove in an 18-year-old male patient. Following reevaluation, a single flap surgery was deemed necessary, combined with a regenerative procedure. At 2 years post-treatment, the tooth #22 is healthy, in a functional and esthetic position. The decision-making process, based on local and systemic patient’s conditions, should allow an early and precise diagnosis to prevent further complications and undertake an adequate treatment.

Palatal grooves are relatively rare; however, they are frequently associated with severe periodontal defects. The identification, diagnosis, prompt, and tailored management of the associated lesion is essential to mitigate potential periodontal and endodontic complications related to the presence of palatal groove.

Systematic Review Registration

[ https://www.crd.york.ac.uk/prospero/ ], identifier [C CRD42022363194].

Peer Review reports

Introduction

Palatal groove (PG) is defined as an anatomic anomaly characterized by the presence of a developmental groove on a dental root that, when present, is usually found on the palatal aspect of maxillary incisors [ 1 ]. Over the years, several terms have been used to describe this anomaly, including palatal or palate-gingival groove [ 2 , 3 ], developmental radicular anomaly [ 4 ], distolingual groove [ 5 ], radicular lingual groove [ 6 , 7 ], palatoradicular groove [ 8 , 9 ], radicular groove [ 10 ], and cinguloradicular groove [ 11 ].

The origin of the PG is controversial, but it is assumed to be related to the infolding of the enamel organ or Hertwig epithelial root sheath during the tooth development [ 12 ]. Additional hypogenetic root formation [ 13 , 14 ] as well as an altered genetic mechanism [ 15 ] have also been suggested.

PG is relatively rare. Everett et al. [ 5 ] reported a prevalence of PG on 2.8% of lateral incisors whereas Withers et al. [ 16 ] observed a PG on 2.3% of maxillary incisors (4.4% of maxillary laterals and 0.28% of maxillary centrals). Kogon et al. [ 8 ] examined 3168 extracted maxillary central and lateral incisors and found PG on 4.6% of them (3.4% of maxillary centrals and 5.6% of maxillary lateral incisors), with over half of the PG extending more than 5 mm apical to the cementoenamel junction leading to a localized periodontal lesion. The most recent study by Mazzi-Chevez et al. [ 17 ] observed 150 maxillary central incisors, lateral incisors, and canines with a micro-CT and found that PG affected 2% of central incisors and 4% of lateral incisors. In 100% of cases, the PG originated in the enamel.

As the term implies, PG is formed around the cingulum of the tooth and continues apically down from the cementoenamel junction, terminating at various depths and length along the root [ 18 ]. In contrast to maxillary bicuspids, incisors generally display a U-shaped groove.

This anatomic anomaly is frequently associated with a breakdown of the periodontal attachment involving the groove; a self-sustaining localized periodontal pocket can develop [ 4 ], where the PG itself provides a site for bacterial accumulation. The subsequent progressive inflammation along the PG and its apical portion may lead to periodontal and endodontic pathologic conditions [ 19 ]. Furthermore, there may be communication between the pulp canal system and the periodontium through the pulp cavity and/or accessory canals, which may also lead to combined endodontic-periodontal lesions [ 20 ]. According to the 2017 classification of periodontal and peri-implant diseases and conditions [ 21 ], PG can be classified as a localized tooth-related factor that modifies or predisposes to plaque-induced gingival diseases/periodontitis [ 22 ], and can be associated with periodontal abscess in non-periodontitis patients.

The prognosis for teeth with PG extending apically is often poor [ 12 ], highlighting the critical need for prompt and accurate diagnosis to avert further periodontal and endodontic complications, ultimately preventing tooth extraction. This study is fundamentally motivated by the scarcity of consolidated guidelines for managing such complex dental conditions. Hence, the objective of this study was to conduct a systematic review of the existing literature, focusing on the diagnosis and management of periodontal lesions linked to PG. Based on this review, the goal was to develop a comprehensive decisional tree, thereby proposing a standardized treatment protocol to aid in the clinical decision-making. This study also includes a clinical case report to demonstrate the practical application of the developed decisional tree, reinforcing its clinical relevance and utility.

Material and methods

Development of the systematic review protocol.

A protocol covering all aspects of the systematic review methodology was developed before starting the review. The protocol included the definition of: a focused question; the literature search strategy; the study selection criteria; the outcome measures; the screening methods; the data extraction; and the data synthesis. The protocol was registered in PROSPERO (CRD42022363194).

Defining the focused question

The research question was formulated according to the PICOS (Population, Intervention, Comparison, Outcome, Study) strategy, which identify the search and selection criteria as follows:

P: Patients with periodontal lesion(s) associated with a PG

I: PG identification (diagnosis) and management. All treatment approaches (non-surgical, surgical, with or without the adjunctive use of potentially regenerative materials, i.e. barrier membranes, grafting materials, growth factors/proteins and combinations thereof) were considered.

C: alternative treatment approach or no comparison.

O: periodontal parameters, including clinical attachment level (CAL, measure in mm), probing pocket depth (PPD, measured in mm), recession (REC, measured in mm), plaque index (PI, any validated clinical score), bleeding on probing (BOP) or other inflammatory indexes, radiographic bone loss.

S: Any type of human studies including case reports, with a minimum of 6 weeks follow-up after treatment. Only studies published in English were considered. Studies written in languages other than English, review articles, cell and/or animal studies, letters, editorials, conference summaries, commentaries, and studies considering PG with only an endodontic involvement or that used self-report assessment of treatment outcomes were not considered.

So, the focused question was formulated as follows: what is the efficacy of treatments for periodontal lesions associated with PG?

Search strategy

The literature was searched for articles published up to June 2022 on MEDLINE and Cochrane databases. Multiple combinations of pertinent search terms were employed (Supplemental Table 1). The reference lists of the included studies were also evaluated in order to identify additional articles. To ensure its reproducibility, the PRISMA guidelines were followed [ 23 ], and the PRISMA flowchart was filled [ 24 ] (Fig. 1 ).

PRISMA flow diagram on the selection process of the studies included in the systematic review

Literature screening and data extraction

The titles and abstracts of the initially identified studies were screened by two independent reviewers (Y.G. and V.G.). Then, the pre-selected studies underwent a full text evaluation to assess the final inclusion or not. All records for which inclusion was obtained “uncertain” for on reviewer, disagreement was solved by discussion between authors. Whenever needed, the authors of the selected studies were contacted to provide missing data.

Study screening and selection was carried out by using the Rayyan online software [ 25 ], which assisted the reviewers in the different step of the literature review process. Duplicate references were removed automatically using Mendeley software. Data extraction was carried out on a dedicated excel spreadsheet. The risk of bias assessment was carried out by using the Joanna Briggs Institute (JBI) scale [ 26 , 27 ].

The literature search resulted in 451 potentially relevant publications (Fig. 1 ). After the first selection step, based upon the title and abstract, 88 articles were pre-selected. After full-text evaluation, 34 articles were included and analyzed. All of them were case series and case reports. A total of 40 patients were described, of which 23 women (57.5%). The characteristics of the selected studies are presented in Table 1 . Their quality assessment is reported in Table 2 .

Qualitative synthesis of the literature

Among those 40 clinical cases, 12 cases report failed to provide a clinical description of the PG. Four studies described the PG depth alone, 17 studies described the PG length alone, and 7 studies provided a combined description of depth and length of the PG. From a periodontal point of view, the periodontal lesion morphology was correctly described (depth and width) in only 4 cases, 2 of which also reported the number of bony walls. Among the 22 cases reporting a diagnosis, 17 (77.3%) described combined endo-periodontal lesions, whereas 5 were purely periodontal lesions.

Endodontic involvement was present in 29 cases: 22 cases presented with a pulp necrosis, and 7 cases with an endodontic treatment. Pulp vitality was present in 10 cases and 1 case failed to report the endodontic status.

The endodontic treatment consisted in either a temporary filling (calcium hydroxide) later replaced by a definitive filling (gutta percha), or directly with a definitive filling (gutta percha) when indicated. Among those 29 endodontically treated teeth, 9 underwent an apicoectomy (using mineral trioxyde aggregate) at the surgical phase.

PG sealing was performed in 16 cases using mainly glass-ionomer cement but also mineral trioxide aggregate (MTA), tricalcium silicate cement, composite flow and amalgam. In 5 cases, an extra-oral filling of the groove was performed before the tooth reimplantation. In all cases, radiculoplasty was performed either for groove removal when it was shallow or by saucerization to allow a proper filling when grooves were deep.

To treat the PG associated periodontal defect, several different intervention types were described, using: allogenic bone, xenogeneic bone, alloplastic materials, barriers, growth factors and biological factors (and combinations thereof). These surgical regenerative procedures were reported in 25 cases. Only 2 cases [ 3 , 40 ], justified the use of biomaterials and flap designs in relation to the analysis of the associated periodontal lesion after PG management.

All cases reported clinical healing except for 2 cases of failures following tooth reimplantation due to external root resorption leading to tooth removal after 36 months [ 33 ] and 2 failures after 6 months following a surgery without regeneration or root filling [ 29 ]. The case with the longest follow-up (324 months) indicated that following an endodontic treatment with a periodontal regeneration and an orthodontic treatment, a recurrent periodontal breakdown occurred 11 years, leading to tooth extraction and implant placement [ 35 ].

Case-report

We describe the case of an 18-year-old male patient referred to the periodontics department of the Rothschild Hospital (AP-HP) in Paris. Written informed consent was obtained for the publication of clinical data and images included in this article. The patient was experiencing pain due to the inflammation on the palatal side of tooth #22 with intermittent suppuration. The clinical examination revealed a central, shallow, and of moderate length (up to 70% of the root length) PG on the tooth #22, with a probing pocket depth of 12 mm on the palatal side associated with a tooth mobility 3 (Mühlemann 1951). The tooth responded positively to electrical test. At the radiographic evaluation, bone loss could be noted mesially and distally of #22 (Fig. 2 ).

Case report. Clinical and radiographical initial situation of the tooth #22 presenting with a palatal groove. The periodontal charting showed deep periodontal pockets on the palatal probing sites associated with bleeding and plaque accumulation

A slight bony bridge could be distinguished between #21 and #22 in the coronal portion. Thus, a localized periodontal defect due to the presence of subgingival PG was diagnosed.

The periodontal treatment first consisted in a non-surgical debridement performed in one session. Tooth splinting was performed from #21 to #23 to minimize mobility (Fig. 3 ).

Root planning and flattening of PG on tooth #22: initial occlusal view of #22 ( a ); Manual scaling 22 ( b ); flattening of PG 22 in the coronal part ( c )

At the re-evaluation 8 weeks later, the tooth presented no superficial inflammation, but a persistent periodontal pocket of 12 mm deep on the palatal side. Surgery was indicated due to the presence of a large, deep, 3-wall intra-bony defect around tooth #22 (Fig. 4 ).

Regenerative therapy: view at the periodontal re-evaluation, 2-months after the initial treatment ( a ); large and deep 3-walls intra-bony defect ( b ); application of EMD ( c ); application of DBBM (soft tissue support, osteoconductive) ( d ); sutures ( e ); radiographic image at the 2-month follow-up ( f )

A SFA (Single Flap Approach) was designed with a surgical access limited on the palatal side for esthetic reason and optimal visualization. A full periosteal flap was raised, and the granulation tissue was removed. The aberrant local anatomy was corrected up to the most apical part and a regenerative procedure combining enamel matrix derivates with a bone substitute was applied to avoid soft tissue shrinkage and collapse. Sutures with a non-resorbable monofilament 6/0 were made using U-crossed and single points. A postoperative radiograph was taken (Fig. 4 f). An antibiotic therapy with amoxicillin (1 g twice a day for 7 days) was administered. Paracetamol was prescribed as a painkiller and a mouthwash containing 0.12% chlorhexidine gluconate were prescribed for 2 weeks postoperatively. Healing was uneventful and sutures were removed 10 days postoperatively.

At the 6 months reevaluation, the periodontal pocket was no deeper than 4 mm on the palatal side with no bleeding on probing. A recession of 1 mm was observed. Radiographically, a mineralized tissue could be observed up to both bony peaks mesially and distally to #22 (Fig. 5 ).

Re-evaluation at 6 months ( a ); 18 months ( b ) and 30 months ( c )

At the 1-year follow-up, periodontal health was maintained and an orthodontic treatment was undertaken. After 2 years of treatment, tooth #22 is still healthy with a CAL gain of 7 mm, a functional and esthetic position resulting in the patient’s satisfaction. These results support that periodontal regeneration can be effectively carried out also for deep intra-bony defect associated with PG, once the local risk factor has been adequately managed.

The results of the present systematic review indicate that PG are relatively uncommon root anomaly, but they are frequently associated with periodontal lesion that require treatment. The selected studies showed that PG can be managed concomitantly with periodontal regeneration, with or without associated endodontic treatment. It must be noted that the presence of a PG may play a significant role in exacerbating periodontal lesions. This could be explained, at least partly, by the mediation role of inflammatory factors like the TGF-B1, which is involved in the regulation of the inflammatory response and in the remodeling of periodontal tissues, as highlighted by recent studies [ 58 , 59 ]. These findings necessitate a nuanced and well-defined diagnostic and therapeutic approach, which should consider not only on the anatomical challenges linked to the presence of a PG but also on the underlying inflammatory mechanisms, in order to ensure an effective treatment and prevent potential endodontic complications.

A variety of treatments approaches has been described in case reports and case series and summarized in the present review. The appreciation of the morphology and origin of PG on maxillary incisors may be challenging and thus delay the diagnosis and treatment planning. Therefore, developing a standardized approach based on the available literature is advisable.

A PG can be classified according to its location, length along the root, and depth of the groove towards the pulp cavity [ 60 ]. The analysis of the associated periodontal lesion is also a key parameter to consider. Based on the work of Kim et al. [ 60 ], a simplified version including the groove description and the periodontal parameters has been suggested. Such a classification (Table 3 ) would provide the clinician with precise criteria to justify the therapeutic approach.

Groove location was disregarded in most cases, only one case [ 40 ] reported a distal location of the PG. It can be explained by the fact that this parameter will not affect the prognosis or the treatment sequence. In the latest study done on extracted teeth, PG appeared to originate in the distal area of the cingulum margin in most cases (65%), followed by the central fossa (25%), and the mesial area of the cingulum margin (10%) [ 61 ].

In terms of depth, only 7 cases reported a shallow PG (50%) and 7 cases reported a deep PG (50%) and no closed tube has been described. This finding is in accordance with Kogon’s study [ 8 ] where 44% percent of the PG were described as shallow depressions, 42% as deep depressions, and 4% as closed tubes.

Considering the groove length, 4 cases reported an extension in the cervical third of the groove (17%), 6 in the middle third (25%) and 14 cases in the apical third (58%). According to Pinheiro’s study [ 61 ], those grooves extended rarely only to the cervical third (5%), followed by the middle thirds (45%) and the apical thirds of the root in most cases (50%). It is of paramount importance for clinicians to understand the combination of both variations of groove depth along with their length to adapt an adequate treatment considering the fact that PG with deeper grooves and greater degree of extension are the determinants and predictors of poor prognosis periodontally and endodontically wise [ 5 , 31 , 42 ].

Considering the groove description in the selected studies, most of them failed to adequately report it. Only 7 of the 40 cases described the depth and length of the PG. This lack of analysis might result in an inadequate treatment highlighting the need for a classification.

Considering the periodontal approach of the associated intra-bony defect, the selection of the regenerative biologic principle (or material) to use with the soft tissue surgical approach dependeds on the morphology of the intra- bony defect (width, depth, and number of residual bony walls) and on the amount (and quality) of the soft tissues available to cover it [ 62 ]. As a general rule, deep and wide defects with only one residual bony wall require a mechanical stabilizer of the blood coagulum (membrane and/or bone filler), whereas in defects with lower defect angles and a greater number of bony walls, biologic mediators of the healing process (e.g. enamel matrix derivates) are indicated [ 62 ]. In the present study, only 2 cases [ 3 , 40 ] succeeded in justifying the use of their regenerative procedure based on the description and analysis of the associated intra-bony lesion. As for PG anatomy, this lack of description of the associated periodontal lesion morphology could mislead the diagnosis and result in a non-optimal treatment. The PG issue had mostly been a concern for endodontist based on those case reports coming from endodontic journals, which might explain the few periodontal parameters reported and the lack of a clear description of the intra-bony defect associated to justify the different management of the periodontal defect. Moreover, the selected case reports do not cover all potentially applicable regenerative techniques, which continue to evolve [ 63 , 64 , 65 ] and should be further investigated in the particular context, from the microbiological and inflammatory perspectives, of PG-associate lesions.

Based on the presented literature review and in order to guide clinicians towards a comprehensive and complete evaluation of PG associated lesion, we suggested a decisional tree (Fig. 6 ) that introduces the periodontal parameter in the PG assessment, after evaluating the endodontic status. Indeed, the successful management of a tooth with a PG is firstly dependent on endodontic status, which should be systematically assessed. In cases of negative pulp response and periapical lesions, an endodontic treatment has to be undertaken in the first place [ 66 ]. But, the periodontal evaluation is also cardinal to obtain a successful and long-lasting management of PG.

Decisional tree. This graph proposes a decision-making process for the management of PG-associated lesions that takes into account the endodontic status, the characteristics of the palatal groove, and the presence of intra-bony defect

The recognition and management of PG for tooth survival has been reported in details in a study done by Kim et al. [ 60 ] in 2017. In the rest of the considered literature, half of the treatments described were made without a clear initial diagnosis or proper description of the associated lesions to justify the type of regenerative strategy and flap design approached. Another interesting observation made in this review is that in the case of intentional replantation, among the 5 reported cases, 2 resulted in a failure necessitating the tooth removal [ 33 ]. This suggests that replantation strategy should be used as a the latest resort for complex cases involving a PG to the apex with a deep groove.

It must be acknowledged that the available literature and thus the present systematic review present several limitations. Firstly, as mentioned above, there is a lack of standardization in the diagnostic and treatment processes, with a high heterogeneity among the selected articles, most of the times case reports or case series. Secondly, the follow-up time was mostly set between 6 and 24 months, which may be too short to assess treatment outcomes or observed complications and relapse. Indeed, after a 36 months follow-up, failures have been reported [ 33 ] and after 10 years, a periodontal breakdown occurred on a treated tooth [ 35 ] and both resulted in the tooth removal. No re-entry surgery and/or histologic evaluations were described and no prospective longitudinal studies evaluating the stability of the clinical and radiographic parameters and the absence of the recurrence of disease were found. Thus, any conclusion about the success achieved with the treatments described in the present review should be drawn with caution as the long-term prognosis of the treatment of PG-associated lesions of teeth remains to be determined. Updates of case series and case reports that could describe results after 5, 10 and 15 years from the initial PG diagnosis are advocated. Finally, the level of the body of evidence on PG is considered as low. Although the nature of PG as rare condition may explain why mainly case reports or case series are published, future clinical and comparative studies should be designed to investigate PG management and treatment success at long term. Nonetheless, based on the currently available literature, a decisional tree (Fig. 6 ) has been proposed to guide clinicians and create a reference for PG management to respond to a patient’s health condition. This should be periodontally updated as new evidence emerges but in the meantime, it can be useful to provide a clinical guidance as well as a model for the standardization of the diagnostic and treatment processes in clinical cases dealing with PG management.

Teeth with PG represent a challenge for clinicians. Despite their rarity (2% of maxillary lateral incisors), the complexities associated with PG, such as diverse anatomical features and clinical scenarios, underscore the necessity for accurate diagnosis and tailored treatment approaches. This study provides a systematic review of pertinent literature, consisting mainly in case reports, and culminates in the proposal of a decision tree, which aims to assist clinicians in the decision-making process through a structured evaluation of the PG characteristics guiding the treatment approach. The ultimate goal is to mitigate potential periodontal and endodontic complications of PG while providing a successful management. In parallel, the present study highlights the need of future research on this topic, particularly with clinical studies with a sufficiently long follow-up to monitor the treatment outcomes and their stability over time. Indeed, further evidence is needed to develop standardized diagnostic and treatment protocols for PG.

Availability of data and materials

The datasets used and/or analysed during the current study available from the corresponding author on reasonable request.

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Service of Odontology, Rothschild Hospital (AP-HP), 5 Rue Santerre, Paris, 75012, France

Yvan Gaudex, Vianney Gandillot, Philippe Bouchard, Stephane Kerner & Maria Clotilde Carra

Department of Periodontology, UFR of Odontology, Université Paris Cité, 5 Rue Garanciere, Paris, 75006, France

Service of Odontology, CH Eure Seine Hospital, Evreux, France

Isabelle Fontanille

Cordeliers Research Centre, Laboratory of Molecular Oral Physiopathology, Paris, France

Stephane Kerner

Department of Periodontology, Loma Linda University School of Dentistry, Loma Linda, CA, USA

INSERM- Sorbonne Paris Cité Epidemiology and Statistics Research Centre, Paris, France

Maria Clotilde Carra

Institution Nationale Des Invalides, Paris, France

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Y.G. and V.G. drafted the manuscript text, and were involved in the literature review, data acquisition, analysis, and interpretation. Y.G. and V.G. prepared Tables 1 and 2 . Y.G., P.B. and I.F. Contributed the case report and Figs. 2 , 3 , 4 and 5 M.C.C and S.K. prepared Table 3 and Fig. 6 . M.C.C., P.B. and S.K revised the draft of the manuscript and contributed to the general criticism. All authors reviewed and approved the manuscript.

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Gaudex, Y., Gandillot, V., Fontanille, I. et al. Palatal groove associated with periodontal lesions: a systematic review illustrated by a decisional tree for management. BMC Oral Health 24 , 1037 (2024). https://doi.org/10.1186/s12903-024-04771-z

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DOI : https://doi.org/10.1186/s12903-024-04771-z

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The clinical utility of whole body vibration: a review of the different types and dosing for application in metabolic diseases.

1. Introduction

3. types of whole body vibration, 3.1. vertical (linear) vibration, 3.2. rotational (pivotal/teeter-totter/oscillating) vibration, 3.3. comparison of vertical and rotational vibration, 3.4. sonic wave vibration, 4. dose of whole body vibration, 4.1. frequency of vibration, 4.2. amplitude of vibration, 5. whole body vibration in metabolic disease, 5.1. use of whole body vibration in osteoporosis, 5.2. use of whole body vibration in overweight and obesity, 5.3. use of whole body vibration in type 2 diabetes, 5.4. use of whole body vibration in metabolic syndrome, 6. conclusions and future directions, author contributions, data availability statement, conflicts of interest.

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Click here to enlarge figure

Type of Vibration	Frequency	Amplitude	Clinical Implications
Vertical	↓	↓	rehabilitation, bone health
	↑	↑	weight loss
	↓	↑	increased quality of life in type 2 diabetes
	↑	↓	neuromuscular activation
Rotational	↓	↓	lowest side effect profile, indicated for neck pain or vertigo
Rotational	↓	↑	reduction in HbA , reduction in waist circumference, and fat mass
Sonic Wave	?	?	stability and mood enhancements in elderly

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Simon, A.B.; Bajaj, P.; Samson, J.; Harris, R.A. The Clinical Utility of Whole Body Vibration: A Review of the Different Types and Dosing for Application in Metabolic Diseases. J. Clin. Med. 2024 , 13 , 5249. https://doi.org/10.3390/jcm13175249

Simon AB, Bajaj P, Samson J, Harris RA. The Clinical Utility of Whole Body Vibration: A Review of the Different Types and Dosing for Application in Metabolic Diseases. Journal of Clinical Medicine . 2024; 13(17):5249. https://doi.org/10.3390/jcm13175249

Simon, Abigayle B., Pratima Bajaj, Joe Samson, and Ryan A. Harris. 2024. "The Clinical Utility of Whole Body Vibration: A Review of the Different Types and Dosing for Application in Metabolic Diseases" Journal of Clinical Medicine 13, no. 17: 5249. https://doi.org/10.3390/jcm13175249

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Institutional navigation for polycentric sustainability governance

Step 1—Development of the analytical framework

Step 2—Selection of study cases

Step 3—Classification of the cases according to categories of analysis

Step 4—Clustering and defining archetypes: data treatment, patterns identification, and archetypes generation