literature review for qualitative research

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Qualitative research: literature review .

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Exploring the literature review 

Literature review model: 6 steps.

Adapted from The Literature Review , Machi & McEvoy (2009, p. 13).

Your Literature Review

Step 2: search, boolean search strategies, search limiters, ★ ebsco & google drive.

1. Select a Topic

"All research begins with curiosity" (Machi & McEvoy, 2009, p. 14)

Selection of a topic, and fully defined research interest and question, is supervised (and approved) by your professor. Tips for crafting your topic include:

• Be specific. Take time to define your interest.
• Topic Focus. Fully describe and sufficiently narrow the focus for research.
• Academic Discipline. Learn more about your area of research & refine the scope.
• Avoid Bias. Be aware of bias that you (as a researcher) may have.
• Document your research. Use Google Docs to track your research process.
• Research apps. Consider using Evernote or Zotero to track your research.

Consider Purpose

What will your topic and research address?

In The Literature Review: A Step-by-Step Guide for Students , Ridley presents that literature reviews serve several purposes (2008, p. 16-17).  Included are the following points:

• Historical background for the research;
• Overview of current field provided by "contemporary debates, issues, and questions;"
• Theories and concepts related to your research;
• Introduce "relevant terminology" - or academic language - being used it the field;
• Connect to existing research - does your work "extend or challenge [this] or address a gap;" 
• Provide "supporting evidence for a practical problem or issue" that your research addresses.

★ Schedule a research appointment

At this point in your literature review, take time to meet with a librarian. Why? Understanding the subject terminology used in databases can be challenging. Archer Librarians can help you structure a search, preparing you for step two. How? Contact a librarian directly or use the online form to schedule an appointment. Details are provided in the adjacent Schedule an Appointment box.

2. Search the Literature

Collect & Select Data: Preview, select, and organize

AU Library is your go-to resource for this step in your literature review process. The literature search will include books and ebooks, scholarly and practitioner journals, theses and dissertations, and indexes. You may also choose to include web sites, blogs, open access resources, and newspapers. This library guide provides access to resources needed to complete a literature review.

Books & eBooks: Archer Library & OhioLINK

Databases: Scholarly & Practitioner Journals

Review the Library Databases tab on this library guide, it provides links to recommended databases for Education & Psychology, Business, and General & Social Sciences.

Expand your journal search; a complete listing of available AU Library and OhioLINK databases is available on the Databases  A to Z list . Search the database by subject, type, name, or do use the search box for a general title search. The A to Z list also includes open access resources and select internet sites.

Databases: Theses & Dissertations

Review the Library Databases tab on this guide, it includes Theses & Dissertation resources. AU library also has AU student authored theses and dissertations available in print, search the library catalog for these titles.

Did you know? If you are looking for particular chapters within a dissertation that is not fully available online, it is possible to submit an ILL article request . Do this instead of requesting the entire dissertation.

Newspapers:  Databases & Internet

Consider current literature in your academic field. AU Library's database collection includes The Chronicle of Higher Education and The Wall Street Journal .  The Internet Resources tab in this guide provides links to newspapers and online journals such as Inside Higher Ed , COABE Journal , and Education Week .

The Chronicle of Higher Education has the nation’s largest newsroom dedicated to covering colleges and universities.  Source of news, information, and jobs for college and university faculty members and administrators

The Chronicle features complete contents of the latest print issue; daily news and advice columns; current job listings; archive of previously published content; discussion forums; and career-building tools such as online CV management and salary databases. Dates covered: 1970-present.

Offers in-depth coverage of national and international business and finance as well as first-rate coverage of hard news--all from America's premier financial newspaper. Covers complete bibliographic information and also subjects, companies, people, products, and geographic areas. 

Comprehensive coverage back to 1984 is available from the world's leading financial newspaper through the ProQuest database. 

Newspaper Source provides cover-to-cover full text for hundreds of national (U.S.), international and regional newspapers. In addition, it offers television and radio news transcripts from major networks.

Provides complete television and radio news transcripts from CBS News, CNN, CNN International, FOX News, and more.

Search Strategies & Boolean Operators

There are three basic boolean operators:  AND, OR, and NOT.

Used with your search terms, boolean operators will either expand or limit results. What purpose do they serve? They help to define the relationship between your search terms. For example, using the operator AND will combine the terms expanding the search. When searching some databases, and Google, the operator AND may be implied.

Overview of boolean terms

About the example: Boolean searches were conducted on November 4, 2019; result numbers may vary at a later date. No additional database limiters were set to further narrow search returns.

Database Search Limiters

Database strategies for targeted search results.

Most databases include limiters, or additional parameters, you may use to strategically focus search results.  EBSCO databases, such as Education Research Complete & Academic Search Complete provide options to:

• Limit results to full text;
• Limit results to scholarly journals, and reference available;
• Select results source type to journals, magazines, conference papers, reviews, and newspapers
• Publication date

Keep in mind that these tools are defined as limiters for a reason; adding them to a search will limit the number of results returned.  This can be a double-edged sword.  How? 

• If limiting results to full-text only, you may miss an important piece of research that could change the direction of your research. Interlibrary loan is available to students, free of charge. Request articles that are not available in full-text; they will be sent to you via email.
• If narrowing publication date, you may eliminate significant historical - or recent - research conducted on your topic.
• Limiting resource type to a specific type of material may cause bias in the research results.

Use limiters with care. When starting a search, consider opting out of limiters until the initial literature screening is complete. The second or third time through your research may be the ideal time to focus on specific time periods or material (scholarly vs newspaper).

★ Truncating Search Terms

Expanding your search term at the root.

Truncating is often referred to as 'wildcard' searching. Databases may have their own specific wildcard elements however, the most commonly used are the asterisk (*) or question mark (?).  When used within your search. they will expand returned results.

Asterisk (*) Wildcard

Using the asterisk wildcard will return varied spellings of the truncated word. In the following example, the search term education was truncated after the letter "t."

Explore these database help pages for additional information on crafting search terms.

• EBSCO Connect: Searching with Wildcards and Truncation Symbols
• EBSCO Connect: Searching with Boolean Operators
• EBSCO Connect: EBSCOhost Search Tips
• EBSCO Connect: Basic Searching with EBSCO
• ProQuest Help: Search Tips
• ERIC: How does ERIC search work?

★ EBSCO Databases & Google Drive

Tips for saving research directly to Google drive.

Researching in an EBSCO database?

It is possible to save articles (PDF and HTML) and abstracts in EBSCOhost databases directly to Google drive. Select the Google Drive icon, authenticate using a Google account, and an EBSCO folder will be created in your account. This is a great option for managing your research. If documenting your research in a Google Doc, consider linking the information to actual articles saved in drive.

EBSCO Databases & Google Drive

EBSCOHost Databases & Google Drive: Managing your Research

This video features an overview of how to use Google Drive with EBSCO databases to help manage your research. It presents information for connecting an active Google account to EBSCO and steps needed to provide permission for EBSCO to manage a folder in Drive.

About the Video:  Closed captioning is available, select CC from the video menu.  If you need to review a specific area on the video, view on YouTube and expand the video description for access to topic time stamps.  A video transcript is provided below.

• EBSCOhost Databases & Google Scholar

Defining Literature Review

What is a literature review.

A definition from the Online Dictionary for Library and Information Sciences .

A literature review is "a comprehensive survey of the works published in a particular field of study or line of research, usually over a specific period of time, in the form of an in-depth, critical bibliographic essay or annotated list in which attention is drawn to the most significant works" (Reitz, 2014). 

A systemic review is "a literature review focused on a specific research question, which uses explicit methods to minimize bias in the identification, appraisal, selection, and synthesis of all the high-quality evidence pertinent to the question" (Reitz, 2014).

Recommended Reading

About this page

EBSCO Connect [Discovery and Search]. (2022). Searching with boolean operators. Retrieved May, 3, 2022 from https://connect.ebsco.com/s/?language=en_US

EBSCO Connect [Discover and Search]. (2022). Searching with wildcards and truncation symbols. Retrieved May 3, 2022; https://connect.ebsco.com/s/?language=en_US

Machi, L.A. & McEvoy, B.T. (2009). The literature review . Thousand Oaks, CA: Corwin Press: 

Reitz, J.M. (2014). Online dictionary for library and information science. ABC-CLIO, Libraries Unlimited . Retrieved from https://www.abc-clio.com/ODLIS/odlis_A.aspx

Ridley, D. (2008). The literature review: A step-by-step guide for students . Thousand Oaks, CA: Sage Publications, Inc.

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Chapter 9. Reviewing the Literature

What is a “literature review”.

No researcher ever comes up with a research question that is wholly novel. Someone, somewhere, has asked the same thing. Academic research is part of a larger community of researchers, and it is your responsibility, as a member of this community, to acknowledge others who have asked similar questions and to put your particular research into this greater context. It is not simply a convention or custom to begin your study with a review of previous literature (the “ lit review ”) but an important responsibility you owe the scholarly community.

Too often, new researchers pursue a topic to study and then write something like, “No one has ever studied this before” or “This area is underresearched.” It may be that no one has studied this particular group or setting, but it is highly unlikely no one has studied the foundational phenomenon of interest. And that comment about an area being underresearched? Be careful. The statement may simply signal to others that you haven’t done your homework. Rubin ( 2021 ) refers to this as “free soloing,” and it is not appreciated in academic work:

The truth of the matter is, academics don’t really like when people free solo. It’s really bad form to omit talking about the other people who are doing or have done research in your area. Partly, I mean we need to cite their work, but I also mean we need to respond to it—agree or disagree, clarify for extend. It’s also really bad form to talk about your research in a way that does not make it understandable to other academics.…You have to explain to your readers what your story is really about in terms they care about . This means using certain terminology, referencing debates in the literature, and citing relevant works—that is, in connecting your work to something else. ( 51–52 )

A literature review is a comprehensive summary of previous research on a topic. It includes both articles and books—and in some cases reports—relevant to a particular area of research. Ideally, one’s research question follows from the reading of what has already been produced. For example, you are interested in studying sports injuries related to female gymnasts. You read everything you can find on sports injuries related to female gymnasts, and you begin to get a sense of what questions remain open. You find that there is a lot of research on how coaches manage sports injuries and much about cultures of silence around treating injuries, but you don’t know what the gymnasts themselves are thinking about these issues. You look specifically for studies about this and find several, which then pushes you to narrow the question further. Your literature review then provides the road map of how you came to your very specific question, and it puts your study in the context of studies of sports injuries. What you eventually find can “speak to” all the related questions as well as your particular one.

In practice, the process is often a bit messier. Many researchers, and not simply those starting out, begin with a particular question and have a clear idea of who they want to study and where they want to conduct their study but don’t really know much about other studies at all. Although backward, we need to recognize this is pretty common. Telling students to “find literature” after the fact can seem like a purposeless task or just another hurdle for completing a thesis or dissertation. It is not! Even if you were not motivated by the literature in the first place, acknowledging similar studies and connecting your own research to those studies are important parts of building knowledge. Acknowledgment of past research is a responsibility you owe the discipline to which you belong.

Literature reviews can also signal theoretical approaches and particular concepts that you will incorporate into your own study. For example, let us say you are doing a study of how people find their first jobs after college, and you want to use the concept of social capital . There are competing definitions of social capital out there (e.g., Bourdieu vs. Burt vs. Putnam). Bourdieu’s notion is of one form of capital, or durable asset, of a “network of more or less institutionalized relationships of mutual acquaintance or recognition” ( 1984:248 ). Burt emphasizes the “brokerage opportunities” in a social network as social capital ( 1997:355 ). Putnam’s social capital is all about “facilitating coordination and cooperation for mutual benefit” ( 2001:67 ). Your literature review can adjudicate among these three approaches, or it can simply refer to the one that is animating your own research. If you include Bourdieu in your literature review, readers will know “what kind” of social capital you are talking about as well as what kind of social scientist you yourself are. They will likely understand that you are interested more in how some people are advantaged by their social capital relative to others rather than being interested in the mechanics of how social networks operate.

The literature review thus does two important things for you: firstly, it allows you to acknowledge previous research in your area of interest, thereby situating you within a discipline or body of scholars, and, secondly, it demonstrates that you know what you are talking about. If you present the findings of your research study without including a literature review, it can be like singing into the wind. It sounds nice, but no one really hears it, or if they do catch snippets, they don’t know where it is coming from.

Examples of Literature Reviews

To help you get a grasp of what a good literature review looks like and how it can advance your study, let’s take a look at a few examples.

Reader-Friendly Example: The Power of Peers

The first is by Janice McCabe ( 2016 ) and is from an article on peer networks in the journal Contexts . Contexts presents articles in a relatively reader-friendly format, with the goal of reaching a large audience for interesting sociological research. Read this example carefully and note how easily McCabe is able to convey the relevance of her own work by situating it in the context of previous studies:

Scholars who study education have long acknowledged the importance of peers for students’ well-being and academic achievement. For example, in 1961, James Coleman argued that peer culture within high schools shapes students’ social and academic aspirations and successes. More recently, Judith Rich Harris has drawn on research in a range of areas—from sociological studies of preschool children to primatologists’ studies of chimpanzees and criminologists’ studies of neighborhoods—to argue that peers matter much more than parents in how children “turn out.” Researchers have explored students’ social lives in rich detail, as in Murray Milner’s book about high school students, Freaks, Geeks, and Cool Kids , and Elizabeth Armstrong and Laura Hamilton’s look at college students, Paying for the Party . These works consistently show that peers play a very important role in most students’ lives. They tend, however, to prioritize social over academic influence and to use a fuzzy conception of peers rather than focusing directly on friends—the relationships that should matter most for student success. Social scientists have also studied the power of peers through network analysis, which is based on uncovering the web of connections between people. Network analysis involves visually mapping networks and mathematically comparing their structures (such as the density of ties) and the positions of individuals within them (such as how central a given person is within the network). As Nicholas Christakis and James Fowler point out in their book Connected , network structure influences a range of outcomes, including health, happiness, wealth, weight, and emotions. Given that sociologists have long considered network explanations for social phenomena, it’s surprising that we know little about how college students’ friends impact their experiences. In line with this network tradition, I focus on the structure of friendship networks, constructing network maps so that the differences we see across participants are due to the underlying structure, including each participant’s centrality in their friendship group and the density of ties among their friends. ( 23 )

What did you notice? In her very second sentence, McCabe uses “for example” to introduce a study by Coleman, thereby indicating that she is not going to tell you every single study in this area but is going to tell you that (1) there is a lot of research in this area, (2) it has been going on since at least 1961, and (3) it is still relevant (i.e., recent studies are still being done now). She ends her first paragraph by summarizing the body of literature in this area (after giving you a few examples) and then telling you what may have been (so far) left out of this research. In the second paragraph, she shifts to a separate interesting focus that is related to the first but is also quite distinct. Lit reviews very often include two (or three) distinct strands of literature, the combination of which nicely backgrounds this particular study . In the case of our female gymnast study (above), those two strands might be (1) cultures of silence around sports injuries and (2) the importance of coaches. McCabe concludes her short and sweet literature review with one sentence explaining how she is drawing from both strands of the literature she has succinctly presented for her particular study. This example should show you that literature reviews can be readable, helpful, and powerful additions to your final presentation.

Authoritative Academic Journal Example: Working Class Students’ College Expectations

The second example is more typical of academic journal writing. It is an article published in the British Journal of Sociology of Education by Wolfgang Lehmann ( 2009 ):

Although this increase in post-secondary enrolment and the push for university is evident across gender, race, ethnicity, and social class categories, access to university in Canada continues to be significantly constrained for those from lower socio-economic backgrounds (Finnie, Lascelles, and Sweetman 2005). Rising tuition fees coupled with an overestimation of the cost and an underestimation of the benefits of higher education has put university out of reach for many young people from low-income families (Usher 2005). Financial constraints aside, empirical studies in Canada have shown that the most important predictor of university access is parental educational attainment. Having at least one parent with a university degree significantly increases the likelihood of a young person to attend academic-track courses in high school, have high educational and career aspirations, and ultimately attend university (Andres et al. 1999, 2000; Lehmann 2007a). Drawing on Bourdieu’s various writing on habitus and class-based dispositions (see, for example, Bourdieu 1977, 1990), Hodkinson and Sparkes (1997) explain career decisions as neither determined nor completely rational. Instead, they are based on personal experiences (e.g., through employment or other exposure to occupations) and advice from others. Furthermore, they argue that we have to understand these decisions as pragmatic, rather than rational. They are pragmatic in that they are based on incomplete and filtered information, because of the social context in which the information is obtained and processed. New experiences and information can, however, also be allowed into one’s world, where they gradually or radically transform habitus, which in turn creates the possibility for the formation of new and different dispositions. Encountering a supportive teacher in elementary or secondary school, having ambitious friends, or chance encounters can spark such transformations. Transformations can be confirming or contradictory, they can be evolutionary or dislocating. Working-class students who enter university most certainly encounter such potentially transformative situations. Granfield (1991) has shown how initially dislocating feelings of inadequacy and inferiority of working-class students at an elite US law school were eventually replaced by an evolutionary transformation, in which the students came to dress, speak and act more like their middle-class and upper-class peers. In contrast, Lehmann (2007b) showed how persistent habitus dislocation led working-class university students to drop out of university. Foskett and Hemsley-Brown (1999) argue that young people’s perceptions of careers are a complex mix of their own experiences, images conveyed through adults, and derived images conveyed by the media. Media images of careers, perhaps, are even more important for working-class youth with high ambitions as they offer (generally distorted) windows into a world of professional employment to which they have few other sources of access. It has also been argued that working-class youth who do continue to university still face unique, class-specific challenges, evident in higher levels of uncertainty (Baxter and Britton 2001; Lehmann 2004, 2007a; Quinn 2004), their higher education choices (Ball et al. 2002; Brooks 2003; Reay et al. 2001) and fears of inadequacy because of their cultural outsider status (Aries and Seider 2005; Granfield 1991). Although the number of working-class university students in Canada has slowly increased, that of middle-class students at university has risen far more steeply (Knighton and Mizra 2002). These different enrolment trajectories have actually widened the participation gap, which in tum explains our continued concerns with the potential outsider status Indeed, in a study comparing first-generation working-class and traditional students who left university without graduating, Lehmann (2007b) found that first-generation working-class students were more likely to leave university very early in some cases within the first two months of enrollment. They were also more likely to leave university despite solid academic performance. Not “fitting in,” not “feeling university,” and not being able to “relate to these people” were key reasons for eventually withdrawing from university. From the preceding review of the literature, a number of key research questions arise: How do working-class university students frame their decision to attend university? How do they defy the considerable odds documented in the literature to attend university? What are the sources of information and various images that create dispositions to study at university? What role does their social-class background- or habitus play in their transition dispositions and how does this translate into expectations for university? ( 139 )

What did you notice here? How is this different from (and similar to) the first example? Note that rather than provide you with one or two illustrative examples of similar types of research, Lehmann provides abundant source citations throughout. He includes theory and concepts too. Like McCabe, Lehmann is weaving through multiple literature strands: the class gap in higher education participation in Canada, class-based dispositions, and obstacles facing working-class college students. Note how he concludes the literature review by placing his research questions in context.

Find other articles of interest and read their literature reviews carefully. I’ve included two more for you at the end of this chapter . As you learned how to diagram a sentence in elementary school (hopefully!), try diagramming the literature reviews. What are the “different strands” of research being discussed? How does the author connect these strands to their own research questions? Where is theory in the lit review, and how is it incorporated (e.g., Is it a separate strand of its own or is it inextricably linked with previous research in this area)?

One model of how to structure your literature review can be found in table 9.1. More tips, hints, and practices will be discussed later in the chapter.

Table 9.1. Model of Literature Review, Adopted from Calarco (2020:166)

Embracing Theory

A good research study will, in some form or another, use theory. Depending on your particular study (and possibly the preferences of the members of your committee), theory may be built into your literature review. Or it may form its own section in your research proposal/design (e.g., “literature review” followed by “theoretical framework”). In my own experience, I see a lot of graduate students grappling with the requirement to “include theory” in their research proposals. Things get a little squiggly here because there are different ways of incorporating theory into a study (Are you testing a theory? Are you generating a theory?), and based on these differences, your literature review proper may include works that describe, explain, and otherwise set forth theories, concepts, or frameworks you are interested in, or it may not do this at all. Sometimes a literature review sets forth what we know about a particular group or culture totally independent of what kinds of theoretical framework or particular concepts you want to explore. Indeed, the big point of your study might be to bring together a body of work with a theory that has never been applied to it previously. All this is to say that there is no one correct way to approach the use of theory and the writing about theory in your research proposal.

Students are often scared of embracing theory because they do not exactly understand what it is. Sometimes, it seems like an arbitrary requirement. You’re interested in a topic; maybe you’ve even done some research in the area and you have findings you want to report. And then a committee member reads over what you have and asks, “So what?” This question is a good clue that you are missing theory, the part that connects what you have done to what other researchers have done and are doing. You might stumble upon this rather accidentally and not know you are embracing theory, as in a case where you seek to replicate a prior study under new circumstances and end up finding that a particular correlation between behaviors only happens when mediated by something else. There’s theory in there, if you can pull it out and articulate it. Or it might be that you are motivated to do more research on racial microaggressions because you want to document their frequency in a particular setting, taking for granted the kind of critical race theoretical framework that has done the hard work of defining and conceptualizing “microaggressions” in the first place. In that case, your literature review could be a review of Critical Race Theory, specifically related to this one important concept. That’s the way to bring your study into a broader conversation while also acknowledging (and honoring) the hard work that has preceded you.

Rubin ( 2021 ) classifies ways of incorporating theory into case study research into four categories, each of which might be discussed somewhat differently in a literature review or theoretical framework section. The first, the least theoretical, is where you set out to study a “configurative idiographic case” ( 70 ) This is where you set out to describe a particular case, leaving yourself pretty much open to whatever you find. You are not expecting anything based on previous literature. This is actually pretty weak as far as research design goes, but it is probably the default for novice researchers. Your committee members should probably help you situate this in previous literature in some way or another. If they cannot, and it really does appear you are looking at something fairly new that no one else has bothered to research before, and you really are completely open to discovery, you might try using a Grounded Theory approach, which is a methodological approach that foregrounds the generation of theory. In that case, your “theory” section can be a discussion of “Grounded Theory” methodology (confusing, yes, but if you take some time to ponder, you will see how this works). You will still need a literature review, though. Ideally one that describes other studies that have ever looked at anything remotely like what you are looking at—parallel cases that have been researched.

The second approach is the “disciplined configurative case,” in which theory is applied to explain a particular case or topic. You are not trying to test the theory but rather assuming the theory is correct, as in the case of exploring microaggressions in a particular setting. In this case, you really do need to have a separate theory section in addition to the literature review, one in which you clearly define the theoretical framework, including any of its important concepts. You can use this section to discuss how other researchers have used the concepts and note any discrepancies in definitions or operationalization of those concepts. This way you will be sure to design your study so that it speaks to and with other researchers. If everyone who is writing about microaggressions has a different definition of them, it is hard for others to compare findings or make any judgments about their prevalence (or any number of other important characteristics). Your literature review section may then stand alone and describe previous research in the particular area or setting, irrespective of the kinds of theory underlying those studies.

The third approach is “heuristic,” one in which you seek to identify new variables, hypotheses, mechanisms, or paths not yet explained by a theory or theoretical framework. In a way, you are generating new theory, but it is probably more accurate to say that you are extending or deepening preexisting theory. In this case, having a single literature review that is focused on the theory and the ways the theory has been applied and understood (with all its various mechanisms and pathways) is probably your best option. The focus of the literature reviewed is less on the case and more on the theory you are seeking to extend.

The final approach is “theory testing,” which is much rarer in qualitative studies than in quantitative, where this is the default approach. Theory-testing cases are those where a particular case is used to see if an existing theory is accurate or accurate under particular circumstances. As with the heuristic approach, your literature review will probably draw heavily on previous uses of the theory, but you may end up having a special section specifically about cases very close to your own . In other words, the more your study approaches theory testing, the more likely there is to be a set of similar studies to draw on or even one important key study that you are setting your own study up in parallel to in order to find out if the theory generated there operates here.

If we wanted to get very technical, it might be useful to distinguish theoretical frameworks properly from conceptual frameworks. The latter are a bit looser and, given the nature of qualitative research, often fit exploratory studies. Theoretical frameworks rely on specific theories and are essential for theory-testing studies. Conceptual frameworks can pull in specific concepts or ideas that may or may not be linked to particular theories. Think about it this way: A theory is a story of how the world works. Concepts don’t presume to explain the whole world but instead are ways to approach phenomena to help make sense of them. Microaggressions are concepts that are linked to Critical Race Theory. One could contextualize one’s study within Critical Race Theory and then draw various concepts, such as that of microaggressions from the overall theoretical framework. Or one could bracket out the master theory or framework and employ the concept of microaggression more opportunistically as a phenomenon of interest. If you are unsure of what theory you are using, you might want to frame a more practical conceptual framework in your review of the literature.

Helpful Tips

How to maintain good notes for what your read.

Over the years, I have developed various ways of organizing notes on what I read. At first, I used a single sheet of full-size paper with a preprinted list of questions and points clearly addressed on the front side, leaving the second side for more reflective comments and free-form musings about what I read, why it mattered, and how it might be useful for my research. Later, I developed a system in which I use a single 4″ × 6″ note card for each book I read. I try only to use the front side (and write very small), leaving the back for comments that are about not just this reading but things to do or examine or consider based on the reading. These notes often mean nothing to anyone else picking up the card, but they make sense to me. I encourage you to find an organizing system that works for you. Then when you set out to compose a literature review, instead of staring at five to ten books or a dozen articles, you will have ten neatly printed pages or notecards or files that have distilled what is important to know about your reading.

It is also a good idea to store this data digitally, perhaps through a reference manager. I use RefWorks, but I also recommend EndNote or any other system that allows you to search institutional databases. Your campus library will probably provide access to one of these or another system. Most systems will allow you to export references from another manager if and when you decide to move to another system. Reference managers allow you to sort through all your literature by descriptor, author, year, and so on. Even so, I personally like to have the ability to manually sort through my index cards, recategorizing things I have read as I go. I use RefWorks to keep a record of what I have read, with proper citations, so I can create bibliographies more easily, and I do add in a few “notes” there, but the bulk of my notes are kept in longhand.

What kinds of information should you include from your reading? Here are some bulleted suggestions from Calarco ( 2020:113–114 ), with my own emendations:

• Citation . If you are using a reference manager, you can import the citation and then, when you are ready to create a bibliography, you can use a provided menu of citation styles, which saves a lot of time. If you’ve originally formatted in Chicago Style but the journal you are writing for wants APA style, you can change your entire bibliography in less than a minute. When using a notecard for a book, I include author, title, date as well as the library call number (since most of what I read I pull from the library). This is something RefWorks is not able to do, and it helps when I categorize.

I begin each notecard with an “intro” section, where I record the aims, goals, and general point of the book/article as explained in the introductory sections (which might be the preface, the acknowledgments, or the first two chapters). I then draw a bold line underneath this part of the notecard. Everything after that should be chapter specific. Included in this intro section are things such as the following, recommended by Calarco ( 2020 ):

• Key background . “Two to three short bullet points identifying the theory/prior research on which the authors are building and defining key terms.”
• Data/methods . “One or two short bullet points with information about the source of the data and the method of analysis, with a note if this is a novel or particularly effective example of that method.” I use [M] to signal methodology on my notecard, which might read, “[M] Int[erview]s (n-35), B[lack]/W[hite] voters” (I need shorthand to fit on my notecard!).
• Research question . “Stated as briefly as possible.” I always provide page numbers so I can go back and see exactly how this was stated (sometimes, in qualitative research, there are multiple research questions, and they cannot be stated simply).
• Argument/contributions . “Two to three short bullet points briefly describing the authors’ answer to the central research question and its implication for research, theory, and practice.” I use [ARG] for argument to signify the argument, and I make sure this is prominently visible on my notecard. I also provide page numbers here.

For me, all of this fits in the “intro” section, which, if this is a theoretically rich, methodologically sound book, might take up a third or even half of the front page of my notecard. Beneath the bold underline, I report specific findings or particulars of the book as they emerge chapter by chapter. Calarco’s ( 2020 ) next step is the following:

• Key findings . “Three to four short bullet points identifying key patterns in the data that support the authors’ argument.”

All that remains is writing down thoughts that occur upon finishing the article/book. I use the back of the notecard for these kinds of notes. Often, they reach out to other things I have read (e.g., “Robinson reminds me of Crusoe here in that both are looking at the effects of social isolation, but I think Robinson makes a stronger argument”). Calarco ( 2020 ) concludes similarly with the following:

• Unanswered questions . “Two to three short bullet points that identify key limitations of the research and/or questions the research did not answer that could be answered in future research.”

As I mentioned, when I first began taking notes like this, I preprinted pages with prompts for “research question,” “argument,” and so on. This was a great way to remind myself to look for these things in particular. You can do the same, adding whatever preprinted sections make sense to you, given what you are studying and the important aspects of your discipline. The other nice thing about the preprinted forms is that it keeps your writing to a minimum—you cannot write more than the allotted space, even if you might want to, preventing your notes from spiraling out of control. This can be helpful when we are new to a subject and everything seems worth recording!

After years of discipline, I have finally settled on my notecard approach. I have thousands of notecards, organized in several index card filing boxes stacked in my office. On the top right of each card is a note of the month/day I finished reading the item. I can remind myself what I read in the summer of 2010 if the need or desire ever arose to do so…those invaluable notecards are like a memento of what my brain has been up to!

Where to Start Looking for Literature

Your university library should provide access to one of several searchable databases for academic books and articles. My own preference is JSTOR, a service of ITHAKA, a not-for-profit organization that works to advance and preserve knowledge and to improve teaching and learning through the use of digital technologies. JSTOR allows you to search by several keywords and to narrow your search by type of material (articles or books). For many disciplines, the “literature” of the literature review is expected to be peer-reviewed “articles,” but some disciplines will also value books and book chapters. JSTOR is particularly useful for article searching. You can submit several keywords and see what is returned, and you can also narrow your search by a particular journal or discipline. If your discipline has one or two key journals (e.g., the American Journal of Sociology and the American Sociological Review are key for sociology), you might want to go directly to those journals’ websites and search for your topic area. There is an art to when to cast your net widely and when to refine your search, and you may have to tack back and forth to ensure that you are getting all that is relevant but not getting bogged down in all studies that might have some marginal relevance.

Some articles will carry more weight than others, and you can use applications like Google Scholar to see which articles have made and are continuing to make larger impacts on your discipline. Find these articles and read them carefully; use their literature review and the sources cited in those articles to make sure you are capturing what is relevant. This is actually a really good way of finding relevant books—only the most impactful will make it into the citations of journals. Over time, you will notice that a handful of articles (or books) are cited so often that when you see, say, Armstrong and Hamilton ( 2015 ), you know exactly what book this is without looking at the full cite. This is when you know you are in the conversation.

You might also approach a professor whose work is broadly in the area of your interest and ask them to recommend one or two “important” foundational articles or books. You can then use the references cited in those recommendations to build up your literature. Just be careful: some older professors’ knowledge of the literature (and I reluctantly add myself here) may be a bit outdated! It is best that the article or book whose references and sources you use to build your body of literature be relatively current.

Keep a List of Your Keywords

When using searchable databases, it is a good idea to keep a list of all the keywords you use as you go along so that (1) you do not needlessly duplicate your efforts and (2) you can more easily adjust your search as you get a better sense of what you are looking for. I suggest you keep a separate file or even a small notebook for this and you date your search efforts.

Here’s an example:

Table 9.2. Keep a List of Your Keywords

Think Laterally

How to find the various strands of literature to combine? Don’t get stuck on finding the exact same research topic you think you are interested in. In the female gymnast example, I recommended that my student consider looking for studies of ballerinas, who also suffer sports injuries and around whom there is a similar culture of silence. It turned out that there was in fact research about my student’s particular questions, just not about the subjects she was interested in. You might do something similar. Don’t get stuck looking for too direct literature but think about the broader phenomenon of interest or analogous cases.

Read Outside the Canon

Some scholars’ work gets cited by everyone all the time. To some extent, this is a very good thing, as it helps establish the discipline. For example, there are a lot of “Bourdieu scholars” out there (myself included) who draw ideas, concepts, and quoted passages from Bourdieu. This makes us recognizable to one another and is a way of sharing a common language (e.g., where “cultural capital” has a particular meaning to those versed in Bourdieusian theory). There are empirical studies that get cited over and over again because they are excellent studies but also because there is an “echo chamber effect” going on, where knowing to cite this study marks you as part of the club, in the know, and so on. But here’s the problem with this: there are hundreds if not thousands of excellent studies out there that fail to get appreciated because they are crowded out by the canon. Sometimes this happens because they are published in “lower-ranked” journals and are never read by a lot of scholars who don’t have time to read anything other than the “big three” in their field. Other times this happens because the author falls outside of the dominant social networks in the field and thus is unmentored and fails to get noticed by those who publish a lot in those highly ranked and visible spaces. Scholars who fall outside the dominant social networks and who publish outside of the top-ranked journals are in no way less insightful than their peers, and their studies may be just as rigorous and relevant to your work, so it is important for you to take some time to read outside the canon. Due to how a person’s race, gender, and class operate in the academy, there is also a matter of social justice and ethical responsibility involved here: “When you focus on the most-cited research, you’re more likely to miss relevant research by women and especially women of color, whose research tends to be under-cited in most fields. You’re also more likely to miss new research, research by junior scholars, and research in other disciplines that could inform your work. Essentially, it is important to read and cite responsibly, which means checking that you’re not just reading and citing the same white men and the same old studies that everyone has cited before you” ( Calarco 2020:112 ).

Consider Multiple Uses for Literature

Throughout this chapter, I’ve referred to the literature of interest in a rather abstract way, as what is relevant to your study. But there are many different ways previous research can be relevant to your study. The most basic use of the literature is the “findings”—for example, “So-and-so found that Canadian working-class students were concerned about ‘fitting in’ to the culture of college, and I am going to look at a similar question here in the US.” But the literature may be of interest not for its findings but theoretically—for example, employing concepts that you want to employ in your own study. Bourdieu’s definition of social capital may have emerged in a study of French professors, but it can still be relevant in a study of, say, how parents make choices about what preschools to send their kids to (also a good example of lateral thinking!).

If you are engaged in some novel methodological form of data collection or analysis, you might look for previous literature that has attempted that. I would not recommend this for undergraduate research projects, but for graduate students who are considering “breaking the mold,” find out if anyone has been there before you. Even if their study has absolutely nothing else in common with yours, it is important to acknowledge that previous work.

Describing Gaps in the Literature

First, be careful! Although it is common to explain how your research adds to, builds upon, and fills in gaps in the previous research (see all four literature review examples in this chapter for this), there is a fine line between describing the gaps and misrepresenting previous literature by failing to conduct a thorough review of the literature. A little humility can make a big difference in your presentation. Instead of “This is the first study that has looked at how firefighters juggle childcare during forest fire season,” say, “I use the previous literature on how working parents juggling childcare and the previous ethnographic studies of firefighters to explore how firefighters juggle childcare during forest fire season.” You can even add, “To my knowledge, no one has conducted an ethnographic study in this specific area, although what we have learned from X about childcare and from Y about firefighters would lead us to expect Z here.” Read more literature review sections to see how others have described the “gaps” they are filling.

Use Concept Mapping

Concept mapping is a helpful tool for getting your thoughts in order and is particularly helpful when thinking about the “literature” foundational to your particular study. Concept maps are also known as mind maps, which is a delightful way to think about them. Your brain is probably abuzz with competing ideas in the early stages of your research design. Write/draw them on paper, and then try to categorize and move the pieces around into “clusters” that make sense to you. Going back to the gymnasts example, my student might have begun by jotting down random words of interest: gymnasts * sports * coaches * female gymnasts * stress * injury * don’t complain * women in sports * bad coaching * anxiety/stress * careers in sports * pain. She could then have begun clustering these into relational categories (bad coaching, don’t complain culture) and simple “event” categories (injury, stress). This might have led her to think about reviewing literature in these two separate aspects and then literature that put them together. There is no correct way to draw a concept map, as they are wonderfully specific to your mind. There are many examples you can find online.

Ask Yourself, “How Is This Sociology (or Political Science or Public Policy, Etc.)?”

Rubin ( 2021:82 ) offers this suggestion instead of asking yourself the “So what?” question to get you thinking about what bridges there are between your study and the body of research in your particular discipline. This is particularly helpful for thinking about theory. Rubin further suggests that if you are really stumped, ask yourself, “What is the really big question that all [fill in your discipline here] care about?” For sociology, it might be “inequality,” which would then help you think about theories of inequality that might be helpful in framing your study on whatever it is you are studying—OnlyFans? Childcare during COVID? Aging in America? I can think of some interesting ways to frame questions about inequality for any of those topics. You can further narrow it by focusing on particular aspects of inequality (Gender oppression? Racial exclusion? Heteronormativity?). If your discipline is public policy, the big questions there might be, How does policy get enacted, and what makes a policy effective? You can then take whatever your particular policy interest is—tax reform, student debt relief, cap-and-trade regulations—and apply those big questions. Doing so would give you a handle on what is otherwise an intolerably vague subject (e.g., What about student debt relief?).

Sometimes finding you are in new territory means you’ve hit the jackpot, and sometimes it means you’ve traveled out of bounds for your discipline. The jackpot scenario is wonderful. You are doing truly innovative research that is combining multiple literatures or is addressing a new or under-examined phenomenon of interest, and your research has the potential to be groundbreaking. Congrats! But that’s really hard to do, and it might be more likely that you’ve traveled out of bounds, by which I mean, you are no longer in your discipline . It might be that no one has written about this thing—at least within your field— because no one in your field actually cares about this topic . ( Rubin 2021:83 ; emphases added)

Don’t Treat This as a Chore

Don’t treat the literature review as a chore that has to be completed, but see it for what it really is—you are building connections to other researchers out there. You want to represent your discipline or area of study fairly and adequately. Demonstrate humility and your knowledge of previous research. Be part of the conversation.

Supplement: Two More Literature Review Examples

Elites by harvey ( 2011 ).

In the last two decades, there has been a small but growing literature on elites. In part, this has been a result of the resurgence of ethnographic research such as interviews, focus groups, case studies, and participant observation but also because scholars have become increasingly interested in understanding the perspectives and behaviors of leaders in business, politics, and society as a whole. Yet until recently, our understanding of some of the methodological challenges of researching elites has lagged behind our rush to interview them.

There is no clear-cut definition of the term elite, and given its broad understanding across the social sciences, scholars have tended to adopt different approaches. Zuckerman (1972) uses the term ultraelites to describe individuals who hold a significant amount of power within a group that is already considered elite. She argues, for example, that US senators constitute part of the country’s political elite but that among them are the ultraelites: a “subset of particularly powerful or prestigious influentials” (160). She suggests that there is a hierarchy of status within elite groups. McDowell (1998) analyses a broader group of “professional elites” who are employees working at different levels for merchant and investment banks in London. She classifies this group as elite because they are “highly skilled, professionally competent, and class-specific” (2135). Parry (1998:2148) uses the term hybrid elites in the context of the international trade of genetic material because she argues that critical knowledge exists not in traditional institutions “but rather as increasingly informal, hybridised, spatially fragmented, and hence largely ‘invisible,’ networks of elite actors.” Given the undertheorization of the term elite, Smith (2006) recognizes why scholars have shaped their definitions to match their respondents . However, she is rightly critical of the underlying assumption that those who hold professional positions necessarily exert as much influence as initially perceived. Indeed, job titles can entirely misrepresent the role of workers and therefore are by no means an indicator of elite status (Harvey 2010).

Many scholars have used the term elite in a relational sense, defining them either in terms of their social position compared to the researcher or compared to the average person in society (Stephens 2007). The problem with this definition is there is no guarantee that an elite subject will necessarily translate this power and authority in an interview setting. Indeed, Smith (2006) found that on the few occasions she experienced respondents wanting to exert their authority over her, it was not from elites but from relatively less senior workers. Furthermore, although business and political elites often receive extensive media training, they are often scrutinized by television and radio journalists and therefore can also feel threatened in an interview, particularly in contexts that are less straightforward to prepare for such as academic interviews. On several occasions, for instance, I have been asked by elite respondents or their personal assistants what they need to prepare for before the interview, which suggests that they consider the interview as some form of challenge or justification for what they do.

In many cases, it is not necessarily the figureheads or leaders of organizations and institutions who have the greatest claim to elite status but those who hold important social networks, social capital, and strategic positions within social structures because they are better able to exert influence (Burt 1992; Parry 1998; Smith 2005; Woods 1998). An elite status can also change, with people both gaining and losing theirs over time. In addition, it is geographically specific, with people holding elite status in some but not all locations. In short, it is clear that the term elite can mean many things in different contexts, which explains the range of definitions. The purpose here is not to critique these other definitions but rather to highlight the variety of perspectives.

When referring to my research, I define elites as those who occupy senior-management- and board-level positions within organizations. This is a similar scope of definition to Zuckerman’s (1972) but focuses on a level immediately below her ultraelite subjects. My definition is narrower than McDowell’s (1998) because it is clear in the context of my research that these people have significant decision-making influence within and outside of the firm and therefore present a unique challenge to interview. I deliberately use the term elite more broadly when drawing on examples from the theoretical literature in order to compare my experiences with those who have researched similar groups.

”Changing Dispositions among the Upwardly Mobile” by Curl, Lareau, and Wu ( 2018 )

There is growing interest in the role of cultural practices in undergirding the social stratification system. For example, Lamont et al. (2014) critically assess the preoccupation with economic dimensions of social stratification and call for more developed cultural models of the transmission of inequality. The importance of cultural factors in the maintenance of social inequality has also received empirical attention from some younger scholars, including Calarco (2011, 2014) and Streib (2015). Yet questions remain regarding the degree to which economic position is tied to cultural sensibilities and the ways in which these cultural sensibilities are imprinted on the self or are subject to change. Although habitus is a core concept in Bourdieu’s theory of social reproduction, there is limited empirical attention to the precise areas of the habitus that can be subject to change during upward mobility as well as the ramifications of these changes for family life.

In Bourdieu’s (1984) highly influential work on the importance of class-based cultural dispositions, habitus is defined as a “durable system of dispositions” created in childhood. The habitus provides a “matrix of perceptions” that seems natural while also structuring future actions and pathways. In many of his writings, Bourdieu emphasized the durability of cultural tastes and dispositions and did not consider empirically whether these dispositions might be changed or altered throughout one’s life (Swartz 1997). His theoretical work does permit the possibility of upward mobility and transformation, however, through the ability of the habitus to “improvise” or “change” due to “new experiences” (Friedman 2016:131). Researchers have differed in opinion on the durability of the habitus and its ability to change (King 2000). Based on marital conflict in cross-class marriages, for instance, Streib (2015) argues that cultural dispositions of individuals raised in working-class families are deeply embedded and largely unchanging. In a somewhat different vein, Horvat and Davis (2011:152) argue that young adults enrolled in an alternative educational program undergo important shifts in their self-perception, such as “self-esteem” and their “ability to accomplish something of value.” Others argue there is variability in the degree to which habitus changes dependent on life experience and personality (Christodoulou and Spyridakis 2016). Recently, additional studies have investigated the habitus as it intersects with lifestyle through the lens of meaning making (Ambrasat et al. 2016). There is, therefore, ample discussion of class-based cultural practices in self-perception (Horvat and Davis 2011), lifestyle (Ambrasat et al. 2016), and other forms of taste (Andrews 2012; Bourdieu 1984), yet researchers have not sufficiently delineated which aspects of the habitus might change through upward mobility or which specific dimensions of life prompt moments of class-based conflict.

Bourdieu (1999:511; 2004) acknowledged simmering tensions between the durable aspects of habitus and those aspects that have been transformed—that is, a “fractured” or “cleft” habitus. Others have explored these tensions as a “divided” or “fragmented” habitus (Baxter and Britton 2001; Lee and Kramer 2013). Each of these conceptions of the habitus implies that changes in cultural dispositions are possible but come with costs. Exploration of the specific aspects of one’s habitus that can change and generate conflict contributes to this literature.

Scholars have also studied the costs associated with academic success for working-class undergraduates (Hurst 2010; Lee and Kramer 2013; London 1989; Reay 2017; Rondini 2016; Stuber 2011), but we know little about the lasting effects on adults. For instance, Lee and Kramer (2013) point to cross-class tensions as family and friends criticize upwardly mobile individuals for their newly acquired cultural dispositions. Documenting the tension many working-class students experience with their friends and families of origin, they find that the source of their pain or struggle is “shaped not only by their interactions with non-mobile family and friends but also within their own minds, by their own assessments of their social positions, and by how those positions are interpreted by others” (Lee and Kramer 2013:29). Hurst (2010) also explores the experiences of undergraduates who have been academically successful and the costs associated with that success. She finds that decisions about “class allegiance and identity” are required aspects of what it means to “becom[e] educated” (4) and that working-class students deal with these cultural changes differently. Jack (2014, 2016) also argues that there is diversity among lower-income students, which yields varied college experiences. Naming two groups, the “doubly disadvantaged” and the “privileged poor,” he argues that previous experience with “elite environments” (2014:456) prior to college informs students’ ability to take on dominant cultural practices, particularly around engagement, such as help seeking or meeting with professors (2016). These studies shed light on the role college might play as a “lever for mobility” (2016:15) and discuss the pain and difficulty associated with upward mobility among undergraduates, but the studies do not illuminate how these tensions unfold in adulthood. Neither have they sufficiently addressed potential enduring tensions with extended family members as well as the specific nature of the difficulties.

Some scholars point to the positive outcomes upwardly mobile youth (Lehmann 2009) and adults (Stuber 2005) experience when they maintain a different habitus than their newly acquired class position, although, as Jack (2014, 2016) shows, those experiences may vary depending on one’s experience with elite environments in their youth. Researchers have not sufficiently explored the specific aspects of the habitus that upwardly mobile adults change or the conflicts that emerge with family and childhood friends as they reach adulthood and experience colliding social worlds. We contribute to this scholarship with clear examples of self-reported changes to one’s cultural dispositions in three specific areas: “horizons,” food and health, and communication. We link these changes to enduring tension with family members, friends, and colleagues and explore varied responses to this tension based on race.

Further Readings

Bloomberg, Linda Dale, and Marie F. Volpe. 2012. Completing Your Qualitative Dissertation: A Road Map from Beginning to End . 2nd ed. Thousand Oaks, CA: SAGE. In keeping with its general approach to qualitative research, includes a “road map” for conducting a literature review.

Hart, Chris. 1998. Doing a Literature Review: Releasing the Social Science Research Imagination . London: SAGE. A how-to book dedicated entirely to conducting a literature review from a British perspective. Useful for both undergraduate and graduate students.

Machi, Lawrence A., and Brenda T. McEvoy. 2022. The Literature Review: Six Steps to Success . 4th ed. Newbury Park, CA: Corwin. A well-organized guidebook complete with reflection sections to prompt successful thinking about your literature review.

Ridley, Diana. 2008. The Literature Review: A Step-by-Step Guide for Students . London: SAGE. A highly recommended companion to conducting a literature review for doctoral-level students.

The process of systematically searching through pre-existing studies (“literature”) on the subject of research; also, the section of a presentation in which the pre-existing literature is discussed.

Follow-up questions used in a semi-structured interview  to elicit further elaboration.  Suggested prompts can be included in the interview guide  to be used/deployed depending on how the initial question was answered or if the topic of the prompt does not emerge spontaneously.

A tool for identifying relationships among ideas by visually representing them on paper.  Most concept maps depict ideas as boxes or circles (also called nodes), which are structured hierarchically and connected with lines or arrows (also called arcs). These lines are labeled with linking words and phrases to help explain the connections between concepts.  Also known as mind mapping.

The people who are the subjects of an interview-based qualitative study. In general, they are also known as the participants, and for purposes of IRBs they are often referred to as the human subjects of the research.

Introduction to Qualitative Research Methods Copyright © 2023 by Allison Hurst is licensed under a Creative Commons Attribution-ShareAlike 4.0 International License , except where otherwise noted.

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• How to Write a Literature Review | Guide, Examples, & Templates

How to Write a Literature Review | Guide, Examples, & Templates

Published on January 2, 2023 by Shona McCombes . Revised on September 11, 2023.

What is a literature review? A literature review is a survey of scholarly sources on a specific topic. It provides an overview of current knowledge, allowing you to identify relevant theories, methods, and gaps in the existing research that you can later apply to your paper, thesis, or dissertation topic .

There are five key steps to writing a literature review:

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

A good literature review doesn’t just summarize sources—it analyzes, synthesizes , and critically evaluates to give a clear picture of the state of knowledge on the subject.

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Table of contents

What is the purpose of a literature review, examples of literature reviews, step 1 – search for relevant literature, step 2 – evaluate and select sources, step 3 – identify themes, debates, and gaps, step 4 – outline your literature review’s structure, step 5 – write your literature review, free lecture slides, other interesting articles, frequently asked questions, introduction.

• Quick Run-through
• Step 1 & 2

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

• Demonstrate your familiarity with the topic and its scholarly context
• Develop a theoretical framework and methodology for your research
• Position your work in relation to other researchers and theorists
• Show how your research addresses a gap or contributes to a debate
• Evaluate the current state of research and demonstrate your knowledge of the scholarly debates around your topic.

Writing literature reviews is a particularly important skill if you want to apply for graduate school or pursue a career in research. We’ve written a step-by-step guide that you can follow below.

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See an example

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

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

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

Download Word doc Download Google doc

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

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

Make a list of keywords

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

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

Search for relevant sources

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

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

You can also use boolean operators to help narrow down your search.

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

You likely won’t be able to read absolutely everything that has been written on your topic, so it will be necessary to evaluate which sources are most relevant to your research question.

For each publication, ask yourself:

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

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

You can use our template to summarize and evaluate sources you’re thinking about using. Click on either button below to download.

Take notes and cite your sources

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

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

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

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

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

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

There are various approaches to organizing the body of a literature review. Depending on the length of your literature review, you can combine several of these strategies (for example, your overall structure might be thematic, but each theme is discussed chronologically).

Chronological

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

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

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

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

Methodological

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

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

Theoretical

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

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

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

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

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

As you write, you can follow these tips:

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

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

When you’ve finished writing and revising your literature review, don’t forget to proofread thoroughly before submitting. Not a language expert? Check out Scribbr’s professional proofreading services !

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

• Sampling methods
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Research bias

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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.

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.

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 credible sources on a topic, often used in dissertations , theses, and research papers . Literature reviews give an overview of knowledge on a subject, helping you identify relevant theories and methods, as well as gaps in existing research. Literature reviews are set up similarly to other  academic texts , with an introduction , a main body, and a conclusion .

An  annotated bibliography is a list of  source references that has a short description (called an annotation ) for each of the sources. It is often assigned as part of the research process for a  paper .  

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Writing a Literature Review

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

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

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

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

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

What are the parts of a lit review?

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

Introduction:

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

Conclusion:

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

How should I organize my lit review?

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

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

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

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

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

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

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

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

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What is a literature review?

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

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

Why is it important?

A literature review is important because it:

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

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1. Choose a topic. Define your research question.

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

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

2. Decide on the scope of your review

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

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

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

Make a list of the databases you will search. 

Where to find databases:

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

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

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

Review the literature

Some questions to help you analyze the research:

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

Tips: 

• Review the abstracts carefully.  
• Keep careful notes so that you may track your thought processes during the research process.
• Create a matrix of the studies for easy analysis, and synthesis, across all of the studies.
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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

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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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A Guide to Writing a Qualitative Systematic Review Protocol to Enhance Evidence-Based Practice in Nursing and Health Care

Affiliations.

• 1 PhD candidate, School of Nursing and Midwifey, Monash University, and Clinical Nurse Specialist, Adult and Pediatric Intensive Care Unit, Monash Health, Melbourne, Victoria, Australia.
• 2 Lecturer, School of Nursing and Midwifery, Monash University, Melbourne, Victoria, Australia.
• 3 Senior Lecturer, School of Nursing and Midwifery, Monash University, Melbourne, Victoria, Australia.
• PMID: 26790142
• DOI: 10.1111/wvn.12134

Background: The qualitative systematic review is a rapidly developing area of nursing research. In order to present trustworthy, high-quality recommendations, such reviews should be based on a review protocol to minimize bias and enhance transparency and reproducibility. Although there are a number of resources available to guide researchers in developing a quantitative review protocol, very few resources exist for qualitative reviews.

Aims: To guide researchers through the process of developing a qualitative systematic review protocol, using an example review question.

Methodology: The key elements required in a systematic review protocol are discussed, with a focus on application to qualitative reviews: Development of a research question; formulation of key search terms and strategies; designing a multistage review process; critical appraisal of qualitative literature; development of data extraction techniques; and data synthesis. The paper highlights important considerations during the protocol development process, and uses a previously developed review question as a working example.

Implications for research: This paper will assist novice researchers in developing a qualitative systematic review protocol. By providing a worked example of a protocol, the paper encourages the development of review protocols, enhancing the trustworthiness and value of the completed qualitative systematic review findings.

Linking evidence to action: Qualitative systematic reviews should be based on well planned, peer reviewed protocols to enhance the trustworthiness of results and thus their usefulness in clinical practice. Protocols should outline, in detail, the processes which will be used to undertake the review, including key search terms, inclusion and exclusion criteria, and the methods used for critical appraisal, data extraction and data analysis to facilitate transparency of the review process. Additionally, journals should encourage and support the publication of review protocols, and should require reference to a protocol prior to publication of the review results.

Keywords: guidelines; meta synthesis; qualitative; systematic review protocol.

© 2016 Sigma Theta Tau International.

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Qualitative systematic reviews: their importance for our understanding of research relevant to pain

This article outlines what a qualitative systematic review is and explores what it can contribute to our understanding of pain. Many of us use evidence of effectiveness for various interventions when working with people in pain. A good systematic review can be invaluable in bringing together research evidence to help inform our practice and help us understand what works. In addition to evidence of effectiveness, understanding how people with pain experience both their pain and their care can help us when we are working with them to provide care that meets their needs. A rigorous qualitative systematic review can also uncover new understandings, often helping illuminate ‘why’ and can help build theory. Such a review can answer the question ‘What is it like to have chronic pain?’ This article presents the different stages of meta-ethnography, which is the most common methodology used for qualitative systematic reviews. It presents evidence from four meta-ethnographies relevant to pain to illustrate the types of findings that can emerge from this approach. It shows how new understandings may emerge and gives an example of chronic musculoskeletal pain being experienced as ‘an adversarial struggle’ across many aspects of the person’s life. This article concludes that evidence from qualitative systematic reviews has its place alongside or integrated with evidence from more quantitative approaches.

Many of us use evidence of effectiveness for various interventions when working with people in pain. A good systematic review can be invaluable in bringing together research evidence to help inform our practice and help us understand what works. In addition to evidence of effectiveness, understanding how people with pain experience both their pain and their care can help us when we are working with them to provide care that meets their needs. A high-quality qualitative systematic review can also uncover new understandings, often helping illuminate ‘why’ and can help build theory. A qualitative systematic review could answer the question ‘What is it like to have chronic non-malignant pain?’

The purpose of this article is to outline what a qualitative systematic review is and explore what it can contribute to our understanding of pain. A qualitative systematic review brings together research on a topic, systematically searching for research evidence from primary qualitative studies and drawing the findings together. There is a debate over whether the search needs to be exhaustive. 1 , 2 Methods for systematic reviews of quantitative research are well established and explicit and have been pioneered through the Cochrane Collaboration. Methods for qualitative systematic reviews have been developed more recently and are still evolving. The Cochrane Collaboration now has a Qualitative and Implementation Methods Group, including a register of protocols, illustrating the recognition of the importance of qualitative research within the Cochrane Collaboration. In November 2013, an editorial described the Cochrane Collaboration’s first publication of a qualitative systematic review as ‘a new milestone’ for Cochrane. 3 Other editorials have raised awareness of qualitative systematic reviews in health. 4

Noblit and Hare 5 were pioneers in the area of synthesising qualitative data. They describe such reviews as aggregated or as interpretative. The aggregated review summarises the data, and Hannes and Pearson 6 provide a worked example of an aggregation approach. Interpretative approaches, as the name suggests, interpret the data, and from that interpretation, new understandings can develop that may lead to development of a theory that helps us to understand or predict behaviour. Types of interpretative qualitative systematic reviews include meta-ethnography, critical interpretative synthesis, realist synthesis and narrative synthesis. More details about these and other approaches can be found in other papers and books. 1 , 5 , 7 – 11 This article will describe one approach, meta-ethnography, as it was identified as the most frequently used approach, 1 and there are some examples using meta-ethnography that focus on pain. A meta-ethnographic approach can be used with a variety of qualitative methodologies, not only ethnography. The data for a meta-ethnography are the concepts or themes described by the authors of the primary studies.

Noblit and Hare 5 outlined the seven steps of a meta-ethnography: (1) getting started, (2) deciding what is relevant, (3) reading the studies, (4) determining how studies are related to each other, (5) translating studies into each other, (6) synthesising translations and (7) expressing the synthesis.

The first three might seem relatively straightforward, although Lee et al. 12 emphasised both the importance and nuances of the reading stage, and Toye et al. 13 discuss the complexities of making quality assessments of qualitative papers and searching for this type of study. You need to understand what data to extract from the papers and how you are going to do this.

You have to first identify what is a concept and what is purely descriptive. Toye et al. 2 describe a process for collaboratively identifying concepts. In determining how studies are related to each other and translating them into each other, the meta-ethnographer compares the concepts found in each study with each other and then groups similar concepts into conceptual themes. Translating studies into each other involves looking at where concepts between studies agree (reciprocal synthesis) and where they do not agree (refutational synthesis). Developing conceptual categories can be challenging as you need to judge the extent to which a concept from one study adequately reflects concepts from other studies and choose one that seems to fit best. This is discussed in more detail in Toye et al. 2 , 13

To synthesise the translation, a line of argument is then developed from the conceptual categories. How the concepts group and relate to each other are developed. This provides an overall interpretation of the findings, ensuring this is grounded in the data from the primary studies. You are aiming to explain, and new concepts and understandings may emerge, which can then go on to underpin development of theory. For example, a qualitative systematic review that explored medicine taking found that ‘resistance’ was a new concept, revealed through meta-ethnography, and this helped understanding of lay responses to medicine taking. 1 Hannes and Macaitis, 14 in a review of published papers, reported that over time, authors have become more transparent about searching and critical appraisal, but that the synthesis element of reviews is often not well described. Being transparent about decisions that are interpretative has its own challenges. Working collaboratively to challenge interpretations and assumptions can be helpful. 2 , 12 The next section will use examples of qualitative systematic reviews from the pain field to illuminate what this type of review can contribute to our understanding of pain.

What can a qualitative systematic review contribute to the field of pain – some examples

Toye et al. 2 , 15 undertook a meta-ethnography to look at patients’ experiences of chronic non-malignant musculoskeletal pain. At the time of this research, no other qualitative systematic reviews had been published in this area. Their review included 77 papers reporting 60 individual studies, resulting from searches of six electronic bibliographic databases (MEDLINE, EMBASE, CINAHL, PsycINFO, AMED and HMIC) from inception until February 2012 and hand-searching key journals from 2001 to 2012.

They developed a new concept which they identified as an ‘adversarial struggle’. This struggle took place across five main dimensions: (1) there was a struggle to affirm themselves, where there was a tension between the ‘real me’ (without pain) and ‘not real me’ (me with pain). (2) The present and future were often unpredictable, and construction of time was altered and they struggled to reconstruct themselves in time. (3) People struggled to find an acceptable explanation for their pain and suffering. (4) There was a struggle to negotiate the healthcare system and (5) a struggle for pain to be seen as legitimate, including the need to be believed, and a struggle to know whether to show or hide their pain. Some people were able to move forward with pain. They saw their body as more integrated, they re-defined what was normal, they told people about their pain, they were part of a community of people with pain and they felt more expert on how their pain affected them and what they could do about it.

So, this meta-ethnography highlighted the adversarial nature of having chronic musculoskeletal pain and how this struggle pervaded many different areas of their life. It also illustrated how by showing patients their pain is understood and being alongside the person in pain, they can start to move forward. A short film based on the 77 papers in this meta-ethnography has been made and is available on YouTube. 16 This film was made as an attempt to disseminate the findings of a meta-ethnography in a way that is accessible to a range of people.

Snelgrove and Liossi 17 undertook a meta-ethnography of qualitative research in chronic low back pain (CLBP) using meta-ethnography. They included 33 papers of 28 studies published between 2000 and 2012. They identified three overarching themes of (1) the impact of CLBP on self, (2) relationships with others (health professionals and family and friends) and (3) coping with CLBP. They found that very few successful coping strategies were reported. Like Toye et al., 2 , 15 they also reported disruption to self, distancing their valued self from their painful self, legitimising pain, the struggle to manage daily living and the importance of social relationships alongside negotiation of their care in the health system.

MacNeela et al. 18 also undertook a meta-ethnography of experiences of CLBP. They included 38 articles published between 1994 and 2012 representing 28 studies. They identified four themes: (1) the undermining influence of pain, (2) the disempowering impact on all levels, (3) unsatisfying relationships with healthcare professionals and (4) learning to live with the pain. They reported the findings being dominated by ‘wide-ranging distress and loss’. They discussed the disempowering consequences of pain and a search for help. However, they also highlighted self-determination and resilience and suggested these could offer ‘pathways to endurance’. They emphasised self-management and adaptation, which resonates with the moving forward category reported by Toye et al. 2 , 15

Froud et al. 19 looked at the impact of low back pain on people’s lives. They describe their approach as meta-ethnographic and meta-narrative. They included 49 papers of about 42 studies from inception of databases searched until July 2011. They described five themes: activities, relationships, work, stigma and changing outlook, which they derived from ‘participant-level data’. They described their findings as showing patients wanted to be believed. They highlighted the importance of social factors when developing relevant outcome measures. There are other examples of qualitative systematic reviews relevant to pain. 20 – 23

Different qualitative systematic reviews on a similar subject may come up with overlapping but also some different findings. This could be, for example, because different search periods or different inclusion criteria are used, so different primary studies may be included in different reviews. In addition, undertaking a qualitative systematic review requires researchers to interpret concepts. This interpretation does not need to be a limitation. For example, to ensure rigour and transparency, Toye et al. 24 report a process of collaborative interpretation of concepts among a team of experienced qualitative researchers to ensure individual interpretations were challenged and remained grounded in the original studies. They also published a detailed audit trail of the processes and decisions made. 2 Campbell et al. 1 argue ‘Meta-ethnography is a highly interpretative method requiring considerable immersion in the individual studies to achieve a synthesis. It places substantial demands upon the synthesiser and requires a high degree of qualitative research skill’. It is important to be able to think conceptually when undertaking a meta-ethnography, and it can be a time-consuming process. However, the ability of a meta-ethnography to synthesise a large number of primary research studies, generate new conceptual understandings and thus increase our understanding of patients’ experiences of pain makes it a very useful resource for our evidence-based practice.

The way forward

A register of qualitative systematic reviews would be useful for researchers and clinicians, so there was a clear way of identifying existing qualitative reviews or reviews that are planned or underway. The Cochrane Collaboration does now have a register for protocols of qualitative systematic reviews being undertaken under the aegis of the Cochrane Qualitative and Implementation Methods Group. It would help those wanting to undertake qualitative systematic reviews if reviews that were underway were registered and described more clearly to prevent duplication of effort, for example, using ‘qualitative systematic review’ and the methodological approach used (such as meta-ethnography) in the title and/or abstract. The Toye et al. 2 protocol 25 was accessible on the National Institutes for Health website from 2010. The Snelgrove and Liossi 17 study was done without external funding, so it would be difficult to pick up that it was underway. The MacNeela et al. 18 study was listed on the Irish Research Council for the Humanities and Social Sciences under their Research Development Initiative 2008–2009, but was described as ‘Motivation and Beliefs among People Experiencing Chronic Low Back Pain’, so it was not clearly identified at that stage as a qualitative systematic review. Finally, the Froud et al. 19 award details 26 do not mention qualitative systematic reviews or meta-ethnography. This highlights the difficulty of finding some of these reviews and the importance of a register of both completed and ongoing reviews.

This article has argued that qualitative systematic reviews have their place alongside or integrated with more quantitative approaches. There is an increasing body of evidence from qualitative systematic reviews. They can synthesise primary research, and this can be helpful for the busy practitioner. The methods for these approaches are still developing, and attention to rigour at each stage is crucial. It is important that each stage of the synthesis is reported transparently and that the researchers’ stance is clearly reported. 27 Meta-ethnographies published over the last year 2 , 15 , 17 – 19 have drawn together a wide range of primary studies and shown that people’s lives can be markedly changed by their pain across multiple dimensions of their life.

Declaration of Conflicting Interests: The authors declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.

Funding: The authors received no financial support for the research, authorship, and/or publication of this article.

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Reproduced from Grant, M. J. and Booth, A. (2009), A typology of reviews: an analysis of 14 review types and associated methodologies. Health Information & Libraries Journal, 26: 91–108. doi:10.1111/j.1471-1842.2009.00848.x

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A literature review is an academic text that surveys, synthesizes, and critically evaluates the existing literature on a specific topic. It is typically required for theses, dissertations, or long reports and  serves several key purposes:

• Surveying the Literature : It involves a comprehensive search and examination of relevant academic books, journal articles, and other sources related to the chosen topic.
• Synthesizing Information : The literature review summarizes and organizes the information found in the literature, often identifying patterns, themes, and gaps in the current knowledge.
• Critical Analysis : It critically analyzes the collected information, highlighting limitations, gaps, and areas of controversy, and suggests directions for future research.
• Establishing Context : It places the current research within the broader context of the field, demonstrating how the new research builds on or diverges from previous studies.

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Literature reviews can take various forms, including:

• Narrative Reviews : These provide a qualitative summary of the literature and are often used to give a broad overview of a topic. They may be less structured and more subjective, focusing on synthesizing the literature to support a particular viewpoint.
• Systematic Reviews : These are more rigorous and structured, following a specific methodology to identify, evaluate, and synthesize all relevant studies on a particular question. They aim to minimize bias and provide a comprehensive summary of the existing evidence.
• Integrative Reviews : Similar to systematic reviews, but they aim to generate new knowledge by integrating findings from different studies to develop new theories or frameworks.

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Paré, G. and Kitsiou, S. (2017) 'Methods for Literature Reviews' , in: Lau, F. and Kuziemsky, C. (eds.)  Handbook of eHealth evaluation: an evidence-based approach . Victoria (BC): University of Victoria.

Perplexity AI (2024) Perplexity AI response to Kathy Neville, 31 July.       

Royal Literary Fund (2024)  The structure of a literature review.  Available at: https://www.rlf.org.uk/resources/the-structure-of-a-literature-review/ (Accessed: 23 July 2024).

Library Services for Undergraduate Research (2024) Literature review: a definition . Available at: https://libguides.wustl.edu/our?p=302677 (Accessed: 31 July 2024).

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• Published: 22 August 2024

To share or not to share, that is the question: a qualitative study of Chinese astronomers’ perceptions, practices, and hesitations about open data sharing

• Jinya Liu   ORCID: orcid.org/0000-0002-9804-8752 1 ,
• Kunhua Zhao 2 , 3 ,
• Liping Gu 2 , 3 &
• Huichuan Xia   ORCID: orcid.org/0000-0002-0838-7452 1  

Humanities and Social Sciences Communications volume  11 , Article number:  1063 ( 2024 ) Cite this article

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Many astronomers in Western countries may have taken open data sharing (ODS) for granted to enhance astronomical discoveries and productivity. However, how strong such an assumption holds among Chinese astronomers has not been investigated or deliberated extensively. This may hinder international ODS with Chinese astronomers and lead to a misunderstanding of Chinese astronomers’ perceptions and practices of ODS. To fill this gap, we conducted a qualitative study comprising 14 semi-structured interviews and 136 open-ended survey responses with Chinese astronomers to understand their choices and concerns regarding ODS. We found that many Chinese astronomers conducted ODS to promote research outputs and respected it as a tradition. Some Chinese astronomers have advocated for data rights protection and data infrastructure’s further improvement in usability and availability to guarantee their ODS practices. Still, some Chinese astronomers agonized about ODS regarding the validity of oral commitment with international research groups and the choices between international traditions and domestic customs in ODS. We discovered two dimensions in Chinese astronomers’ action strategies and choices of ODS and discussed their descriptions and consequences. We also proposed the implications of our research for enhancing international ODS in future work.

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Citizen scientists—practices, observations, and experience

Perceived benefits of open data are improving but scientists still lack resources, skills, and rewards

A focus groups study on data sharing and research data management

Introduction.

Open data sharing (ODS) emphasizes scientific data’s availability to the public beyond its usability and distribution within academic communities (UNESCO, 2021 ). ODS has become increasingly significant since the Big Data era has engendered a paradigm shift towards data-intensive science (Tolle et al., 2011 ), and ODS has promoted data-intensive science to incorporate all stakeholders, such as researchers, policymakers, and system designers to address data processing and utilization issues collectively (Kurata et al., 2017 ; Zuiderwijk et al., 2024 ). Meanwhile, ODS has improved scientific discovery and productivity since different governments and funding agencies have endorsed ODS and published policies to facilitate it (Lamprecht et al., 2020 ). For example, the UK Research and Innovation (UKRI) issued the “Concordat on open research data” in 2016 to ensure that research data gathered and generated by the UK research community must be openly available to the public (UK Research and Innovation, 2016 ). The Chinese government published a “Scientific Data Management Methods” policy in 2018, requiring government-funded research to share its data with the public (General Office of the State Council of China, 2018 ). Besides such government initiatives, the scientific community has also proposed guiding principles for ODS, such as the “FAIR principles” to facilitate data sharing in respect of Findability, Accessibility, Interoperability, and Reuse (Wilkinson et al., 2016 ).

Astronomy is data-intensive and has long been regarded as a prime model of ODS for other scientific fields. For example, the famous Large Synoptic Survey Telescope (LSST) project has committed to real-time ODS after its start-up in 2025 and has released early survey data since June 2021 (Guy et al., 2023 ). Scholars have conducted a few studies to dig out the good practices of ODS in astronomy and found that ODS has a long tradition in astronomy supported by its well-established knowledge infrastructure and data policies (Zuiderwijk and Spiers, 2019 ; Borgman et al., 2021 ). Still, scholars found that some astronomers were hesitant to conduct ODS due to the high reward expectations (e.g., acknowledgment, institutional yearly evaluation, extra citation) and extra efforts (e.g., additional data description) required in ODS practices (Zuiderwijk and Spiers, 2019 ; Kim and Zhang, 2015 ); some astronomers also raised barriers about the usability and availability of data infrastructure to support ODS practices (Pepe et al., 2014 ).

Despite the ODS tradition in astronomy, researchers’ motivations and barriers to ODS may differ based on their cultural contexts. Most empirical studies of ODS have been conducted in Western and developed countries (Genova, 2018 ). Whether these findings hold in non-Western cultures deserves further exploration. Chinese culture and customs differ from Western ones, which may impose distinctive influences on Chinese people’s perspectives and behaviors. For example, Confucianism often renders Chinese individual researchers stick to collectivism or the societal roles assigned to them (Jin and Peng, 2021 ), which is less common in Western culture or academia to our knowledge. Also, scientific research paradigms have originated from and situated in Western culture for a long time. They call for critical examinations and alternative perspectives at the individual and societal or cultural levels, and ODS has been regarded as an essential lens to deliberate it (Serwadda et al., 2018 ; Bezuidenhout and Chakauya, 2018 ; Zuiderwijk et al., 2024 ).

Besides our concerns about cultural and research paradigm differences, Chinese astronomers’ distinctive characteristics have also motivated us to conduct this study. First, based on our prior experience with some Chinese astronomers, we have observed that Chinese astronomers follow enclosed or independent data-sharing norms that are uncommon to researchers in other disciplines. Their research seems to be more international than domestic. Since a slogan from the Chinese government has influenced many research disciplines (including ours) in China, advocating Chinese scholars to “Write your paper on the motherland” (Wang et al., 2024 ), we wondered how such propaganda would impact Chinese astronomers’ attitudes and behaviors. Second, a recent study has revealed that some Chinese astronomers struggled with ODS because they respected it as a tradition on the one hand and desired to gain career advantages (e.g., more data citations) on the other (Liu J, 2021). This finding contrasts another recent study’s conclusion that Chinese early career researchers (ECRs) (in non-astronomy disciplines) would only welcome ODS if the evaluation system rewarded them (Xu, et al., 2020 ). Hence, we wanted to investigate Chinese astronomers’ motivations and barriers regarding ODS further.

Finally, though ODS has been well-acknowledged internationally, it has not been studied or implemented extensively in most research disciplines in China, with astronomy as a rare exception. Hence, we posited that research about ODS in astronomy might shed light on other research disciplines’ popularization of ODS in China. In addition, previous studies on ODS in China have primarily focused on the Chinese government’s open data policies, infrastructure conditions, and management practices (Zhang, et al., 2022 ; Huang et al., 2021 ). To the best of our knowledge, little attention has been paid to Chinese researchers’ perceptions and practices. Thus, we wanted to conduct an exploratory investigation with Chinese astronomers to fill this gap and foster international ODS and research collaboration in Chinese astronomy and other research disciplines more broadly.

With these motivations in mind, we proposed the following research questions.

How do Chinese astronomers perceive and practice open data sharing?

Why do some Chinese astronomers hesitate over the issue of open data sharing?

To address those research questions, we conducted a qualitative study comprising 14 semi-structured interviews and 136 open-ended survey responses with Chinese astronomers to understand their practices and concerns regarding ODS. We found that many Chinese astronomers conducted ODS to promote research outputs and respected it as a tradition. Some Chinese astronomers have advocated for data rights protection and data infrastructure’s further improvement in usability and availability to guarantee their ODS practices. Still, some Chinese astronomers agonized about ODS regarding the validity of oral commitment with international research groups and the choices between international traditions and domestic customs in ODS. We discovered two dimensions in Chinese astronomers’ action strategies and choices of ODS and discussed these findings and implications. This study makes the following contributions. First, it provides a non-Western viewpoint for global ODS in astronomy and recommendations for advancing global and Chinese ODS policies and practices. Second, it reveals Chinese astronomers’ concerns, motivations, and barriers to conducting ODS. This may inspire domestic government, international research policymakers, and ODS platforms and practitioners to empathize with and support Chinese astronomers. Finally, this study may shed light on implementing ODS in other research disciplines in China, which has not been popular.

Literature review

The background of ods in science.

The open data movement in scientific communities was initiated at the beginning of the 21st century (e.g., Max Planck Society, 2003) (Tu and Shen, 2023 ). ODS, also known as open research data, advocates that the openness of scientific data to the public is imperative to science (UNESCO, 2021 ; Fox et al., 2021 ). Prior research has inquired about researchers’ intrinsic and extrinsic motivations for ODS. Intrinsic motivations include personal background and ethical perspectives. For example, a researcher’s personal background (research experience, gender, position, age, etc.) has been found to affect their ODS preferences, and significant differences have been observed in research experience (Zuiderwijk and Spiers, 2019 ; Digital Science et al., 2024 ). Also, a researcher’s ethical stance influences their ODS practices. Some researchers conduct ODS because they want to benefit the research community and promote reciprocity among data stakeholders, such as data producers, funders, and data users (Lee et al., 2014 ; Ju and Kim, 2019 ). Extrinsic motivations for ODS include incentive policies, data infrastructure, and external pressures from funders, journals, or community rules. Incentive policies, such as the promise of data citation and the rewarding credit from their institutions, effectively enhance ODS (Dorch et al., 2015 ; Popkin, 2019 ). Also, a well-established infrastructure could facilitate ODS by reducing its cost (Kim and Zhang, 2015 ). Moreover, regulations from researchers’ stakeholders (e.g., journals and funders) press their ODS practices as well. One example is developing data policies. Kim and Stanton proposed that journal regulative pressure has significantly positive relationships with ODS behaviors (Kim and Stanton, 2016 ).

Despite the motivations, researchers in ODS still have valid justifications for not conducting such practices (Zuiderwijk et al., 2024 ; Boeckhout et al., 2018 ). Sayogo and Pardo categorized those barriers into (1) technological barriers, (2) social, organizational, and economic barriers, and (3) legal and policy barriers (Sayogo and Pardo, 2013 ). More specifically, at the individual level, Houtkoop et al. found that ODS was uncommon in psychology due to psychologists’ insufficient training and extra workload (Houtkoop et al., 2018 ). Meanwhile, Banks et al. indicated that researchers in organizational research were afraid of exposing the quality of their data (Banks et al., 2022 ). In addition, researchers’ ethical concerns also influence their ODS practices, primarily privacy and fairness issues. Walsh et al. identified the privacy risks related to identity, attribute, and membership disclosure as the main ethical concerns about ODS (Walsh et al., 2018 ). Anane et al. worried that ODS could compromise fairness because some new or busy researchers might lose their data rights during the critical post‐first‐publication period (Anane-Sarpong et al., 2020 ). At the societal level, inadequate data policies have failed to guarantee researchers’ data rights, and property rights are unclear. Enwald et al. proposed that researchers in physics and technology, arts and humanities, social sciences, and health sciences were concerned about legal issues (e.g., confidentiality and intellectual property rights), misuse or misinterpretation of data, and loss of authorship (Enwald et al., 2022 ). Anane et al. found that data ownership was a crucial barrier affecting public health researchers’ willingness to share data openly (Anane-Sarpong et al., 2018 ).

The factors that influence astronomical ODS practices

Astronomy has been a prime example of ODS practices in scientific communities (Koribalski, 2019 ). For example, in gamma-ray astronomy, astronomers have explored how to render high-level data formats and software openly accessible and sharable for the astronomical community (Deil et al., 2017 ). In space-based astronomy, ODS has been an established norm in its research community for a long history (Harris and Baumann, 2015 ). In the interdisciplinary field of astrophysics, evidence has shown that papers with links to data, which also represent an approach of ODS, have a citation advantage over papers that did not link the data (Dorch et al., 2015 ). Additionally, many data archives in astronomy have been openly accessible to the public to increase their reusable value and potential for rediscovery (Rebull, 2022 ).

Prior studies have examined the socio-technical factors fostering ODS. Data policies support ODS implementations, and existing data infrastructure plays an essential role in ODS practices in astronomy (Pasquetto et al., 2016 ; Genova, 2018 ). For example, Reichman et al. attributed astronomy’s long tradition of ODS to its extensive and collaborative infrastructure (e.g., software and data centers) (Reichman et al., 2011 ). In practice, some famous astronomy organizations have built solid data infrastructures to support ODS, such as NASA Astrophysics Data System (ADS) and the International Virtual Observatory Alliance (IVOA) (Kurtz et al., 2004 ; Genova, 2018 ). Astronomy’s integrated knowledge infrastructure spanning decades and countries, encompassing observational data, catalogs, bibliographic records, archives, thesauri, and software, prompts global ODS among astronomers (Borgman et al., 2021 ). Many astronomers have a strong sense of duty to their research communities and the public. Thus, they would accept requests for data to assist colleagues and facilitate new scientific discoveries, which enhances ODS (Stahlman, 2022 ). Besides, astronomers perceived reciprocity influences their ODS practices. They aspire to improve their research outputs’ visibility and contribute to new, innovative, or high-quality research via ODS (Zuiderwijk and Spiers, 2019 ).

Still, some factors may hinder astronomers’ ODS practices. At the individual level, ODS may bring them extra learning load and academic reputation risks. For example, if astronomers perceive challenges in ODS or feel they need to acquire further knowledge, they may be less inclined to engage in such practices (Gray et al., 2011 ). Additionally, astronomers expressed concerns about the possibility of others discovering mistakes in the data (Zuiderwijk and Spiers, 2019 ). Pepe et al. also showed that the difficulty of sharing large data sets and the overreliance on non-robust, non-reproducible mechanisms for sharing data (e.g., via email) were the main hindrances to astronomers’ ODS practices (Pepe et al., 2014 ). At the societal level, an exponential increase in astronomical data volume has led to a continuous enrichment of utilization scenarios. ODS may involve data privacy or national security issues, especially when such data is integrated with other datasets. Thus, Harris and Baumann regarded the primary concern in global ODS as safeguarding national security and establishing appropriate licensing mechanisms (Harris and Baumann, 2015 ).

The development of ODS in China

The Chinese government has recognized ODS as a national strategy in both scientific and public service domains. They issued the “Scientific Data Management Methods” in 2018 and “Opinions on Building a More Perfect System and Mechanism for the Market-oriented Allocation of Factors” in 2022. These policies require that data from government-funded research projects must be shared with the public according to the principle of “openness as the norm and non-openness as the exception” (General Office of the State Council of China, 2018 ; General Office of the State Council of China, 2024 ). The Chinese government applied the “hierarchical management, safety, and control” concept as ODS arrangements to realize a dynamic ordered open research data at the social level (Li et al., 2022 ).

At the institutional level, the Chinese Academy of Sciences (CAS) has been actively promoting infrastructure construction and institutional repositories to support ODS. For example, CAS has affiliated eleven out of twenty national-level data centers that are foundational for ODS in China since 2019. Meanwhile, many Chinese journals have published data policies requesting that researchers append their papers with open-access data. The National Natural Science Foundation of China (NSFC) has funded over 6000 data-intensive research programs, encouraging ODS among them in compliance with the NSFC’s mandate (Zhang et al., 2021 ). Regarding Chinese researchers’ attitudes and practices toward ODS, Zhang et al. have observed that Chinese data policies have shifted from focusing on data management to encompassing both data governance and ODS. This shift has shrunk the gap between Chinese researchers’ positive attitudes toward ODS and their less active ODS behaviors (Zhang et al., 2021 ). Driven by journal policies, Chinese researchers’ ODS behaviors have been encouraged. For example, Li et al. found that more than 90% of the published dataset of ScienceDB is also paper-related data and proposed that the pressure from journals has been the main driving force for researchers to conduct ODS (Li et al., 2022 ). ScienceDB (Science Data Bank) is a general-purpose repository in China that publishes scientific research data from various disciplines (Science Data Bank, 2024 ).

Methodology

We conducted a qualitative study comprising 14 interviews and 136 open-ended survey questions with Chinese astronomers from 12 institutions. Our interview questions were semi-structured. Some were framed from the existing literature, and others were generated during the interviews based on the interviewees’ responses. Our open-ended questions are extended from a recent survey on data management services in Chinese astronomy (Liu, 2021 ). Table 1 depicts the formation of our interview questions that served as the major source of our research data. We acknowledge that the interviewees’ responses could be influenced by questions and context during the interview and tried to avoid such biases with the following strategies. First, although Chinese astronomers were hard to contact and recruit, we did our best to diversify our interview sample. Our interviewed Chinese astronomers included researchers and practitioners in observatories, scholars and Ph.D. students in astronomy at top universities in China, and researchers in astronomical research centers. Second, we conducted our interviews in different contexts, such as on campus, in observatories, at research centers, and over phones. Thus, we tried to de-contextualize our interview questions to reduce potential biases. Finally, our qualitative data and analysis were not only from interviews but also from our previous survey. We used the interview and survey data to corroborate and complement each other.

Data collection and analysis

Our interviews were conducted in person or via WeChat video. They lasted 30–45 min and were recorded and fully transcribed. Our recruitment was challenging and time-consuming due to COVID-19 and the limited number of Chinese astronomers available for the interview. We have obtained their informed consent and have followed strict institutional rules to protect their privacy and data confidentiality. In addition, we conducted a survey using the online platform ‘Survey Star’ and obtained responses from 136 Chinese astronomers. For the scope of this paper, we focus on reporting qualitative data.

We kept our first round of data analysis, including notetaking and transcription, simultaneous with the interview progress. Meanwhile, we have fully transcribed and translated the interview recordings in Chinese into verbatim in English. As for the data analysis part, we employed the thematic analysis technique to extract and analyze themes from the interview transcripts (The interviewees are numbered with the letter P) and open-ended survey responses (The survey responses are numbered with the letter Q). Thematic analysis is well-suited for analyzing interview transcripts and open-ended survey responses (Braun and Clarke, 2006 ). We referenced Braun and Clarke’s recommended phases and stages of the analysis process (Braun and Clarke, 2006 ). First, we read through transcriptions and highlight meaning units. Simultaneously, we conducted coding and identified participants’ accounts, which were presented in the form of notes. Second, we categorized the codes and subsequently attributed them with themes that corresponded to ethical concerns. Third, we verified the themes by having them reviewed by two additional authors to ensure high accuracy in our analysis. Finally, we linked our themes with existing literature to provide a more comprehensive narrative of our findings. Table 2 lists the demographic information of the interviewees.

We referenced Stamm et al.’s work to categorize the career stages of the Chinese astronomers we interviewed (Stamm et al., 2017 ). As shown in Table 2 , Most interviewees fall into the Senior-career stage because they have rich research experiences and resources in ODS.

Three types of Chinese astronomers’ behaviors at different ODS stages

We categorize the Chinese astronomers’ ODS behaviors into three types at different stages of ODS. First, Chinese astronomers mentioned that one type of ODS behavior is making the data publicly available on a popular platform (e.g., Github, NASA ADS, arXiv) or data centers after the proprietary data period has expired. The proprietary data period, or the exclusive data period, refers to the time between researchers first accessing the data and publishing their findings. This period typically ranges from one year to two years in astronomy, which aims to cover a normal and complete astronomical research cycle. P13 explained:

The data is not in our hands. After we use the telescope to complete the observations, the data will be stored in the telescope’s database. During the proprietary period (12 months), only you can view it. After the proprietary data period has passed, anyone can view it. (P13)

She meant that the raw data produced by astronomers were stored by the builders, who were also responsible for making those data visible to the public when the proprietary data period had expired. Zuiderwijk and Spiers’s survey has also revealed that astronomers seldom store raw data due to their inability to build a data center. Consequently, astronomers often do not influence data-sharing decisions directly but only propose data collection ideas (Zuiderwijk and Spiers, 2019 ).

Secondly, Chinese astronomers also regraded sharing the data with research teams or individuals upon their requests during the proprietary data period, which is also feasible. For example, P5, said:

I published one paper using research data whose proprietary period hasn’t expired. If someone emailed me to inquire whether they could obtain the data for “Figure 2” [here P5 referred to an exemplary figure in her previous publication]. I usually send the data to them. It is common [in astronomy] to communicate with the author via email to consult their willingness toward ODS. (P5)

P5 assumed that sharing data privately was allowed and common among astronomers when the proprietary data period had not yet expired. To some extent, P5 also transformed this private approach toward a visible approach by making his processed data public and publishing it on open platforms.

P11 added the reason why astronomers used this private approach:

The data is not immediately made available. There is a proprietary data period of one or two years. Priority is given to the direct contributors to use the data and produce the first batch of scientific results. After the proprietary data period has expired, others were allowed to discover the value of the data jointly…Other astronomers may also be interested in the data during the proprietary data period. After all, during this period, others were unable to conduct observations and produce data. (P11)

P11 explained that during the period when he applied for observation, others could not produce the data by using the same telescope. However, they might still be interested in such data. Thus, he might share their research data privately with other astronomers if he deemed it necessary for the other astronomers’ research.

Finally, besides the open sharing of research data, two other astronomers also introduced the third type of ODS behavior, the open sharing of research software, tools, and codes. P12 explained:

When the project was completed, project funders required all the research data to be submitted to a certain location for public use. We also needed to submit the software, tools, and related codes developed by astronomers. (P12)

According to P12, ODS is not merely about data per se but also its associated processing tools and accompaniment.

Another astronomer, P10, mentioned that astronomers may also share their software openly to enhance their research influence. P10 said:

Astronomers may openly share their programs in theoretical research and data simulation, particularly simulation programs or source files. They create open-source materials related to their articles and then make their software or related models available online. They also require acknowledgment if someone uses them later. Nowadays, many astronomers use this method for ODS. (P10)

Individual factors concerning Chinese astronomers’ motivations for ODS

Ods is a tradition and duty.

Twelve Chinese astronomers also mentioned that ODS was a traditional norm in astronomy, and they have been obeying it since they entered this scientific field. P11 said:

We have known a traditional norm since we started working in this field. That is, every time you apply for telescope observations and obtain data, this data must be made public one year later. Even if you have not completed your research or published a paper by then, the data will still be made public. For us astronomers, ODS is a natural practice and meaningful endeavor. We believe that astronomy is a role model of ODS for other research fields to follow. (P11)

Four Chinese astronomers also introduced the influence of the tradition of ODS on their motivations for ODS. For example, P10 said:

In the past, I have obtained data of my interest from other astronomers by emailing them. Therefore, if someone approaches me for data, I would also be willing to provide it. (P10)

Another two astronomers elaborated that they acknowledge the ODS tradition due to its benefit to both astronomers and telescopes. P1 said:

According to the international convention, to promote the influence of the telescope and enrich its research outputs, the data is released to the public based on different proprietary data periods. Each data release includes not only raw data but also data products generated by technical personnel processing the raw data. (P1)

I do not process raw data; instead, I typically utilize data products generated by telescopes. These data products, which are openly available in the public domain, assist individuals like me who lack technical expertise in processing raw data to conduct scientific research. Thus, we must also acknowledge the telescope’s contribution when publishing our findings. This is the norm in astronomy. (P13)

P1’s and P13’s opinions were common, which elaborated that telescopes have offered astronomers different kinds of data, enhancing their potential research outputs. In return, when researchers utilize the data generated by telescopes, they also contribute to the telescope’s influence and reputation.

It is worth noting that this tradition is also in telescopes’ data policies, which influences Chinese telescopes’ data proprietary periods setting. For example, the Chinese astronomy projects LAMOST and FAST release data policies that mention the proprietary data period following international conventions. As indicated by P6, the international convention typically observes the proprietary data period of six months to one and a half years.

Six Chinese astronomers believed that ODS is an established tradition in astronomy and ought to be respected and enacted as a duty without considering external factors or consequences. For example, P8, mentioned that:

Astronomy is a very pure discipline without economic benefit, and we have the tradition of ODS. Therefore, they state their data source or post a link to their data directly. My willingness to conduct ODS is also influenced by this atmosphere. Besides that, I regard ODS as a basic requirement because data should be tested [via ODS]. (P8)

Another two astronomers considered ODS in astronomy the nature of science, which motivated them to pursue the goal of openness persistently. For example, P11 said:

Astronomy exemplifies a characteristic of being borderless, where there is a strong inclination towards open academic exchange and sharing of resources and tools. Additionally, astronomy is pure due to its non-profit nature. Thus, astronomers have always maintained simplicity, leading to a culture of openness. (P11)

ODS brings beneficial consequences

Still, four Chinese astronomers hoped to improve their research influence and citations through ODS, especially the research to which they had devoted the most effort. For example, P10 said:

Astronomers not only release their data but also the software or code to process it. This is because if other astronomers use my software and code to process the data, they would also cite the papers with my shared software and code. This will increase the influence of my papers and software or code. (P10)

A similar perspective came from our survey responses Q19, Q22, Q34, and Q47, who also perceived that ODS could improve the research impact of their papers and data. For example, Q22 stated:

I have encountered situations where other researchers requested access to my data. One of the reasons I am willing to share data [with them] is to increase my paper citations. (Q22)

Additionally, some Chinese astronomers practiced ODS to replicate and validate their research. For example, Q26 said:

The primary reason I endorse ODS is to replicate my data analysis by peers and enable independent verification of my research outputs. (Q26)

ODS engenders reciprocity and collaboration opportunities

Fourteen Chinese astronomers mentioned that ODS could increase their research outputs and provide possibilities to obtain other astronomers’ data, thereby promoting the prosperity of research outputs in the entire astronomy community. More importantly, they have established a new type of collaborative opportunity through ODS when data are sufficient but resources/capacities to utilize data are limited. For example, P12 expressed that ODS had a positive impact on the research outputs of the scientific community:

An astronomer I respect once stated that initially, they wanted to conceal all research data, but this proved impossible due to the vast amount of data produced by the telescope. As a result, they released all the data from their large-scale projects. The outcome of this ODS behavior rendered explosive growth in research outputs. (P12)

Another two astronomers noted that ODS was essential to cultivate more astronomers to form collaborative efforts to increase research outputs in the scientific community. P6 said:

The data generated by telescopes used to observe transient events have not been subject to the proprietary data period. Once I observe such events, I will encourage other researchers to join in and rapidly identify these unexpected phenomena, facilitating subsequent observations using various telescopes to maximize scientific output as quickly as possible. (P6)

P6 elaborated that astronomers rely on collaborative efforts for special observations, such as discovering new stars, which maximizes the utilization of global telescope resources. This motivation strengthens collaborations among astronomers from different research teams. P14 added:

New events [e.g., new star discoveries] in astronomy often occur in transience. If I do not share information about these events, other astronomers will not know about them. With limited resources, I may be unable to observe them through other telescopes. However, sharing preliminary data about these events can maximize global resources. This allows for a collaborative effort to observe the event using resources from around the world. (P14)

P14 stated that ODS has the potential to appeal to more astronomers to research contributions through their subsequent and collective efforts based on the initial observation. P14’s opinion echoed Reichman et al.’s findings, which revealed that extensive and collaborative infrastructure was the primary driver behind the adoption of ODS (Reichman et al., 2011 ).

Prior research also indicated that limited resources and capacities would increase collaboration among astronomers in astrophysics research (Zuiderwijk and Spiers, 2019 ). A similar opinion also arose from our survey responses Q18, Q30, and Q52. For example, Q30 said:

I am good at processing data instead of writing papers. ODS can allow me to collaborate with someone who is good at writing papers to co-produce the research output. (Q30)

Societal factors concerning Chinese astronomers’ barriers to ODS

The limitations of verbal agreements in international collaboration.

Although most Chinese astronomers endorsed ODS, three were concerned about other astronomers who might have violated their initial commitments to using data for scientific purposes. For example, P7 commented:

I used to have experiences with foreign collaborators who violated their initial commitments, resulting in unpleasant consequences. Specifically, they promised in emails that they would process the data using a different approach from ours. However, they ended up using the same method and perspective as ours. There was not much to be said about it, as it was not illegal or against data policies’ regulations. It is a matter of trust and promises, and all I can do is not share data with them in the future. (P7)

P10 also added that often, the astronomers’ commitment to email correspondence had to rely on their self-discipline to materialize:

If the proprietary data period has not expired and you share the data with others, you have no control over what they do with it except to trust their promise in the email. This situation relies on the self-discipline of astronomers. (P10)

Three astronomers were also concerned about the validity of oral agreements about ODS. They referred to them as “gentlemen’s agreements.” For example, P14 explained:

In principle, data can be shared with others without a signed contract between us but based on the so-called gentleman’s agreement. Thus, some Chinese astronomers may not be willing to make their research data public because they must assume that everyone is a gentleman [to keep their promise], which may not always be the case as there are also scientists who are not accountable due to a highly competitive environment [in science]. (P14)

P14 regarded the “gentlemen’s agreements” as effective only to those who acted in good faith in fulfilling their commitments. They would not impose or presuppose any “ethical” constraints on collaborators. Hence, he noted that some astronomers were unwilling to share data openly within the proprietary data period because they did not trust the other astronomers’ accountability to fulfill their “gentlemen’s agreements.” Besides that, P6 explained the reason that astronomers have broken their commitments. He said:

In astronomy, some data policies have not been effectively constrained because it is impossible to encompass all subsequent data usage and collaboration situations at first…Also, there are many astronomy alliances. If you are not part of our alliance, you are not bound to commitments, which may lead to disputable issues. (P6)

Data is too dear to share immediately

Ten Chinese astronomers considered that the data they obtained possessed unique scientific values that could contribute to their publication priority and prolificity. Given the fact that publication priority, authorship order, and quantity are still the most important and prevalent factors in evaluating a scholar in China, it becomes comprehensible that these astronomers have expressed concerns about the risk of losing the ‘right of first publication’ if they openly share their processed data too soon. For example, P9 confessed:

I am unwilling to conduct ODS primarily because my research findings have not been published yet. I am concerned that ODS might lead to someone else publishing related findings before I do. (P9)

Similar concerns were also expressed in our survey responses Q42, Q46, and Q53. Q53 provided a more detailed explanation:

The individuals or organizations that produce data should have the right to use it first and only make it publicly available after a round of exploration and the publication of relevant research results. If the data is shared openly and completely from the outset, the number of people or organizations willing to invest time and money in obtaining data in the future will decrease since they can use data obtained by others instead of acquiring it by themselves. (Q53)

Another astronomer, P12, held a negative attitude toward ODS at the early stage of research because he was concerned that their data processing capacity was slower than the other research groups once the data was shared with them:

I put a lot of effort into processing data, and if my research findings have not been published but I release my data in three months [some international rules recommend astronomers to open their data as soon as possible], then someone with a more sophisticated data processing software may be able to write and analyze their research paper within a week because they already have the complete workflow prepared. This may upset the sharers who intended to publish a similar finding, as their work has been done so quickly [sooner than the sharer]. (P12)

A similar opinion could be seen in our survey response Q46:

The scientific community should ensure that those who have worked hard to produce the data also have the priority to publish their research findings before the data has been made publicly available. (Q46)

The disparities between the Chinese and foreign research infrastructures

Five Chinese astronomers expressed their concerns about the disparities between the Chinese and foreign research infrastructures. For example, P9 expressed his concern that adhering to international rules in astronomy might contradict the domestic rules in China due to national security and data confidentiality considerations. He said:

International organizations hope our country will lead in ODS, which may sometimes harm our interests. This is especially the case for the data produced through Chinese telescopes, which are published in international academic journals upon the international journal publishers’ requests because this data may involve confidential engineering tasks in Chinese telescopes that are subject to national security purposes. (P9)

Another astronomer, P4, also mentioned that astronomical data may include equipment parameters that may trigger national security concerns. Hence, she has undergone desensitization before conducting ODS:

Astronomical raw data are generated by the equipment directly and are categorized as first-level data [machine-generated data] in the data policies. More importantly, raw astronomical data should be processed before being opened to the public because the raw data may raise [national] security concerns and leakage equipment parameters. (P4)

P4’s concerns about national security are also reflected in China’s national data policies. For example, the Chinese government mandates the “hierarchical management, safety, and control” policy to supervise ODS to balance its order and dynamic (Li et al., 2022 ).

P8 added that Chinese astronomers are sometimes limited by national rules and domestic data infrastructure usability and accessibility. P8 said:

In some Chinese astronomical projects, only certain frequency bands are internationally permitted, and the first to occupy them claims ownership. Moreover, our data storage and ODS are limited by technical difficulties. We don’t have ODS platforms like NASA ADS. Even if there are, these platforms are currently not as recognized internationally as those abroad. Therefore, when astronomers publish papers or data, they default to submitting them to international platforms. (P8)

Societal factors concerning Chinese astronomers’ hesitations for ODS

The pressure from domestic data policies.

Five Chinese astronomers have mentioned that ODS is subject to the requirements of domestic data policies. Thus, they sense the pressure to conduct ODS. For example, P6 indicated that many astronomy projects in China were government-funded and required data sharing and submission conforming to government regulations as the priority.

Chinese telescopes are primarily funded by the government, as researchers have not yet had the ability to build a telescope on their own. The entire Chinese population is considered one collective, while those non-Chinese are another. The Chinese government aims to promote ODS to data generated by projects funded by public funds. If researchers have not submitted research data to the government-delegated data center, it could potentially impact their subsequent research project approval. By contrast, some foreign telescopes are built by private institutions and may not have the option for ODS. (P6).

Another astronomer, P3, proposed that Chinese mandatory data policies prompt the ODS scale. However, complicated troubles remained.

Our data policies are mandatory, especially for projects funded by national grants. That is, if you don’t conduct ODS, your projects may not be accepted. The volume of ODS is rising consequently. However, the issues related to ODS still need to improve, such as the Chinese astronomers’ initiative willing to ODS is weak, and [sometimes] their open data cannot be reused. There is a need further to investigate Chinese researchers’ [ODS] behaviors, particularly to find the stimulations for them to conduct ODS proactively. (P3)

Besides, three Chinese astronomers shared that the traditional funding source in astronomy also motivated their ODS. P8 explained:

In China, astronomical data [from national telescopes] is mostly institutional and collective. One can apply to use a telescope at a particular institution to obtain astronomical data. The applications may receive different priorities, but the data is not privately owned. (P8)

P8 meant that Chinese astronomers relied on large telescope projects funded by the government. Consequently, the ownership of their observed data belongs to the collective astronomical community in China rather than individual astronomers or research teams.

The language prerequisite in astronomy

Three astronomers have also introduced the issue of a language prerequisite in scientific communication. For example, P12 explained:

[Modern] astronomy predominantly originated from developed nations. Consequently, our conferences, data, and textbooks are primarily in English. However, this can be a barrier for young Chinese astronomers who are not proficient in English. At least among the researchers around me, everyone contends that English is a necessary prerequisite for entering the field of astronomy. That is to say, the entry barrier for astronomy is very high. I termed it “aristocratic science” because it is difficult to conduct astronomical research without good equipment, proficient English, or substantial funding. (P12)

Another astronomer, P9, dismissed astronomical journals in Chinese because these journals would not be acknowledged in the international astronomy community:

I believe English is a strict prerequisite in astronomy. If your English is poor, you may be restricted from engaging in ODS communication. I support [the slogan] publishing in Chinese to enhance Chinese scholars’ international influence, but most astronomical research originates from the West and is primarily dominated by Western institutions. Besides that, domestic journals are not valuable enough for academic evaluation or promotion due to their low influence factor. (P9)

Finally, P13 added that if Chinese astronomers always use English in ODS, it might potentially clash with the academic discourse system in China.

Some people may wonder why, as Chinese researchers, we need to use English to communicate our work. From my personal perspective, of course, I fully support promoting our research discourse system using Chinese as the primary language. However, from a [scientific] communication standpoint, there are times when we need to collaborate with foreign astronomers or improve communication efficiency [in English]. (P13)

The awareness of a competitive environment

Four Chinese astronomers have expressed concerns about ODS due to the highly competitive scientific community to which they belong. For example, P14 stated:

The field we are currently working in is highly competitive, so we need to consider protecting our team’s efforts. If we release the data, there is a possibility that other researchers using more advanced software tools could publish their findings before us. (P14)

Another astronomer, P12, remarked that this competitive atmosphere varies depending on the research directions. He said:

Competition is inevitable but varies across research areas. I engaged in two research areas. One is characterized by intense competition, but the other is more friendly. The highly competitive research area has many researchers pursuing high-quality data and tackling cutting-edge topics. Sometimes, competing with those who publish first or faster becomes necessary. In addition, one kind of “Nei Juan” may exist, which is competing to see who can open data faster. Because the faster your proposal is promised, the sooner your observation project will be approved. (P12)

“Nei Juan” (a.k.a. involution) manifests a fierce but often unfruitful competition to catch up with colleagues, peers, and generations (Li, 2021 ). P12 acknowledged the competitive environment that would push him to publish first or faster but also regarded “Nei Juan” as not always bad for ODS. Still, P9 considered that the “Nei Juan” issue may arise because Chinese astronomers want to catch up with the international astronomical development phase.

Generally speaking, astronomy is relatively less “Nei Juan” compared to other disciplines. However, its rapid development has begun to become more intense. Particularly, Chinese astronomy is in a phase of catching up, characterized by a collaborative yet competitive atmosphere with the international community. Our national astronomical teams, as a collective, are exerting great efforts to excel in some major projects compared to their foreign counterparts, engaging in strenuous research endeavors. (P9)

However, another astronomer, P11, regarded that ODS meant not “the sooner, the better.” P11 argued:

Some data may have been obtained through instrument testing, and its quality is not particularly high, resulting in lower reliability. If it is made openly accessible immediately, users may not obtain accurate results. Besides, the raw data may contain variances or noises originating from different instruments, requiring standardized processing through software to transform it into [reliable] data products. Only then can scientific users and the public truly benefit from this data. (P11)

The interpretation of Chinese astronomers’ ODS motivations and behaviors

Chinese astronomers’ motivations and behaviors in ODS can be interpreted threefold. First, a few Chinese astronomers’ obedience to ODS is traditional. They value the tradition of ODS in astronomy and contend that it should be respected and obeyed as an intrinsic duty (Heuritsch, 2023 ). Also, they acknowledge the value of astronomical ODS practices for scientific research and the whole scientific community, which makes them devote themselves to such practices (e.g., P8, P12). Hence, for them, extrinsic principles (e.g., FAIR), policies (e.g., those from the Chinese government), or individual research outputs do not determine their ODS decisions and behaviors. As P11 said, he had learned and obeyed this tradition since he entered the field of astronomy. This finding in China corroborates Stahlman’s prior research, indicating that astronomers have a strong sense of duty to their research communities and the public (Stahlman, 2022 ). Still, we found it impressive because these Chinese astronomers adhere to ODS traditions, dismissing the government slogan “Write your paper on the motherland,” which is rare in other research disciplines (including ours) in China.

Second, many Chinese astronomers would evaluate the consequences of ODS. One evaluation lens is self-interest. For example, several Chinese astronomers (e.g., P6, P12) have pointed out that ODS can potentially increase individual research outputs and their academic reputation, which motivates them to do it. It is noteworthy that some Chinese astronomers increase research outputs through ODS, both in terms of their personal contributions and for the entire astronomy community. Their evaluation priority is their own data/paper citation over ODS practices. Another evaluation lens is reciprocity. Some Chinese astronomers (e.g., P1, P10) perceive that the data sharer and user roles in ODS among astronomers can be exchanged. An open data sharer can become a user, and vice versa, in different research projects and times. As P10 mentioned, many Chinese astronomers have received the benefits of ODS from other astronomers when they lacked data or resources. As a result, they aspire to contribute to the community by providing opportunities and resources for fellow astronomers who face challenges similar to those they did previously. Thus, they adopt ODS in a respectful manner, hoping to receive the same treatment in the future. Abele-Brehm et al.’s study has revealed that researchers tended to conduct ODS out of reward promises (Abele-Brehm et al., 2019 ). Our findings complement it by differentiating self-interest-oriented and reciprocity-oriented rewards from ODS.

Third, some Chinese astronomers’ choice of ODS can be interpreted as contractual. Without ODS, they cannot receive government funding or get their research proposal accepted, which may impede their research progress and contribution. This finding corroborates Zuiderwijk and Spiers’ research, highlighting the significance of resource constraints and individual expectations benefits, which they could get extra citation or potential collaboration opportunities as essential motivators for ODS in astronomy (Zuiderwijk and Spiers, 2019 ). Furthermore, the development of modern astronomy in China is relatively retarded compared to the U.S. or European counterparts. The Chinese government sponsors most astronomical projects with public funding, hoping to enhance Chinese astronomy through centralized power and resources. For example, in 2018, the Chinese government implemented a scientific data management policy mandating the sharing of research data generated by public funding (General Office of the State Council of China, 2018 ). Thus, Chinese astronomers in contract with government-funded telescopes must enact ODS.

The societal barriers to Chinese astronomers’ ODS practices

We identified a few societal barriers to Chinese astronomers’ ODS practices. First, insufficient data rights protection during ODS may hinder Chinese astronomers’ enthusiasm or trust in conducting ODS. For example, P6 has raised the concern that some astronomical data policies are typically formulated by scientific alliances and only bind members within project teams. Thus, astronomers who do not belong to these alliances do not need to obey these policies. Moreover, P10 and P14 both complained that though they had contributed much data, time, and effort, some global ODS practices relied on verbal agreements, which often lacked enforcement and easily compromised their data rights in an international project. This insufficient protection of data rights may give rise to conflicts of interest among collaborating parties, discouraging subsequent data-sharing practices among Chinese astronomers.

Second, a data infrastructure that is weak in its usability and accessibility may deter some Chinese astronomers from choosing ODS. As P8 remarked, Chinese open research data infrastructures have not been well developed regarding data usability and accessibility, which pushes domestic astronomers to publish data via foreign open research platforms. This concern partly reflects the reality of the underdevelopment of data infrastructure in China, indicating that most of China’s domestic research data repositories have yet to establish licenses, privacy, and copyright guidelines. (Li et al., 2022 ).

Additionally, we found that a highly competitive environment could potentially trigger “Nei Juan” related to competing for publication priority, which could also affect Chinese astronomers’ ODS attitudes and behaviors. Specifically, the increasing emphasis on academic performance has led many Chinese researchers into a “weird circle” of self-imposed pressure to publish papers continuously. This phenomenon is exacerbated by the tenure system in top Chinese universities, which has significantly shaped researchers’ academic work and day-to-day practices (Xu and Poole, 2023 ). Thus, within the intensely competitive scientific landscape and the dominant evaluation system for paper publications, Chinese astronomers may potentially prioritize rapid paper publication over ODS because when scientific resources and academic promotions are scarce, data is invaluable to a researcher. As implied in P14’s quote, some Chinese astronomers may delay or opt out of ODS unless their data rights and research benefits can be ensured.

Two dimensions in the action strategies in Chinese astronomers’ choices for ODS

Apart from the individual and societal factors that motivate or deter Chinese astronomers’ OBS behaviors, we have identified two dimensions in the action strategies that influence their choice of ODS. These two dimensions are presented and interpreted in Table 3 .

First, some Chinese astronomers hesitated to ODS because they had to choose between domestic customs and international traditions in astronomy, which might influence or even determine some Chinese astronomers’ behaviors concerning ODS. For example, several Chinese astronomers (e.g., P11, P13) prioritized compliance with domestic policies over international ones in determining where and how to implement ODS (Zhang et al., 2023). Besides, as explained by P4, almost all Chinese astronomers receive national funding, which would influence their ODS behaviors due to national funding agencies’ requirements for project commitment and applications. China’s “dual track” approach emphasizing data openness and national security simultaneously requires researchers to obey the “Openness as the normal and non-openness as the exception” principle (Li et al., 2022 ). Meanwhile, open data governance and open data movement have gradually impacted government policies as various national security and personal privacy issues are emerging (Arzberger et al., 2004 ). Despite this, ODS policies or concerns about national security and personal privacy may not be suitable for astronomy because astronomy rarely involves security and privacy issues (as highlighted by P9 and P12). As the discrepancy between domestic and international policy environments widens, choosing different norms may pressure Chinese astronomers’ ODS behaviors.

Second, we found some ethical problems related to ODS from the language prerequisite or preference in Chinese astronomy. As mentioned by P12, language has become an entrance bar in Chinese astronomy because astronomy is sort of “aristocratic science” in the sense that English proficiency is a prerequisite for anyone or any institution that wants to participate in astronomy research and practices seriously. Consequently, there is no comparable citizen science project in China to Galaxy Zoo or Zooniverse in the U.S., and local or private colleges in China cannot afford to establish astronomy as a scientific discipline in their institutions because many people in Chinese citizen science projects or below-the-top institutions are not proficient in English. Related to it, as mentioned by P9, domestic journals about astronomy in China are unanimously regarded as inferior and not valuable enough for academic evaluation or promotion. This phenomenon in Chinese astronomy is distinctive from the other research disciplines in China, where domestic journals are not “biased” based on publication language.

Third, domestic astronomy projects obeying international propriety data period policies may exert extra pressure or restraint on Chinese astronomers to conduct ODS. For example, the LAMOST and FAST projects in China follow international conventions in setting their propriety data period and ODS policies in English. As a result, Chinese astronomers who are poor in English would confront logistic hindrances in harnessing these domestic astronomy projects to share their data, ideas, and publications in Chinese. If they want to implement international ODS via LAMOST or FAST, they must spend extra time, effort, or funding translating their data and ideas into English, which may affect their time and resource allocation in the other research activities within the proprietary data period, such as ODS. Hence, we surmise that this language obstacle for some Chinese astronomers could demotivate or discourage them from ODS.

Fourth, some Chinese astronomers may choose between personal development and scientific advancement regarding ODS. First, it may be due to the adverse effects of the Chinese academic promotion system on some astronomers. In China, universities and research institutions typically use publication lists to evaluate academic performance and promotion (Cyranoski, 2018 ). As P14 mentioned, competition for research publication has been growing in some areas of astronomy (e.g., burst source). Some Chinese astronomers may withhold ODS to prioritize their data rights and timely publication. It may also be interpreted by a prevalent phenomenon in the Chinese academy nowadays called “Nei Juan.” Consequently, some Chinese scholars, including astronomers, are pushed to be competitive or “selfish” to increase their research publications, citation metrics, funding opportunities, and data rights. Prior works have found that researchers’ data-sharing willingness tends to be low when perceived competition is high (Acciai et al., 2023 ; Thursby et al., 2018 ), and researchers’ intrinsic motivation gradually weakens when researchers’ organizations implement accountability measures (such as contract signing) and increasingly pursue performance-oriented academic research (Gu and Levin, 2021 ). These findings may also explain some Chinese astronomers’ hesitation about ODS.

Last but not least, astronomy is highly international, and ODS can encourage collaboration among astronomers from different countries. Nevertheless, as mentioned by P7, some collaborators may compromise their promises for data use, which disincentivizes data sharers’ willingness for continuous ODS. Astronomers, through the joint observations of multiple telescopes, can collectively identify the underlying reasons behind astronomical phenomena and thereby promote scientific advancement. However, with the impact of “Nei Juan” and the limitations of verbal commitments, some Chinese astronomers may find it challenging to choose between ODS and prioritizing their academic interests.

Conclusion and implications for future research

Many astronomers in Western countries may have taken ODS for granted to enhance astronomical discoveries and productivity. However, how strong such an assumption holds among Chinese astronomers has not been investigated or deliberated extensively. This may hinder international ODS with Chinese astronomers and lead to a misunderstanding of Chinese astronomers’ perceptions and practices of ODS. Thus, in this paper, we reported our findings from 14 semi-structured interviews and 136 open-ended survey responses with Chinese astronomers about their motivations and hesitations regarding ODS. Our study found that many Chinese astronomers regarded ODS as an international and established duty to obey or reciprocity to harness. However, some Chinese astronomers would also agonize about ODS for data rights concerns, usable and accessible data infrastructure preferences, and “Nei Juan” or academic promotion pressures. Synthesizing these findings, we summarize them as Chinese astronomers’ concerns and choices between domestic customs and international traditions in ODS. Despite the findings, our research has several limitations. First, we still need more data to test and generalize our findings about ODS to Chinese scholars in other disciplines. Second, we have not conducted a comparative analysis of perceptions, concerns, and behavioral differences among astronomers in other countries. In the future, we intend to address this gap by conducting a global study to provide a more comprehensive understanding of ODS in science.

Our research has several implications for future work. First, we advocate for empathy and compromise between domestic customs and international traditions in Chinese astronomy. Undoubtedly, developed and English-speaking countries have been dominant in science and research paradigms for a long time. On the positive side, such dominance has established various traditions, such as ODS in astronomy, which are respected and obeyed by many scholars worldwide, such as many astronomers in China. On the negative side, such long-standing scientific dominance may trigger a developing country’s domestic countermeasures or competing policies, which can agonize some domestic researchers and impede global ODS. For example, as we have revealed, some Chinese astronomers had regarded astronomy as an “aristocratic science” and screened out Chinese astronomers or citizen science participants who were not proficient in English. Future research can investigate further the power dynamics between international traditions and domestic customs in other cultures or research disciplines beyond ODS in astronomy.

Second, we suggest that the international astronomy community publish more inclusive ODS rules that consider the societal contexts of researchers from different countries with different cultural or language backgrounds. Efforts should be made to minimize the reinforcement of one’s dominant position in scientific research through ODS, and to develop more inclusive, sustainable, and equitable rules that appeal to more advantaged countries to join. This may be achieved by providing different languages of ODS platforms, translation assistance to draft collaboration agreements, and multiple options for international collaboration and communication among astronomers from different countries. In this regard, the CARE (Collective benefits, Authority to control, Responsibility, and Ethics) principles serve as a good example (Global Indigenous Data Alliance, 2019 ). Also, we propose that the Chinese government, academic institutions, and funding agencies be more globally leading and open-minded to stimulate ODS, not merely within the border but endeavor to become a global leader or at least an essential stakeholder to promote knowledge sharing and scientific collaboration.

Third, our research findings indicate that individual ethical perspectives among astronomers play a significant role in guiding their ODS practices. To start, reciprocity effectively enhances ODS regardless of the established or domestic research policies. Thus, we suggest that policymakers in China consider emphasizing more on the reciprocity benefits and build a collaborative effort across the scientific community. As the qualitative data from our findings revealed, collaboration benefits from ODS are highly motivating for Chinese astronomers. Still, we have identified concerns among Chinese astronomers. For instance, they have highlighted concerns about the limitations of verbal commitments for ODS within the proprietary data period, potentially engendering “free-riders” in research. Further, we noticed that some Chinese astronomers conduct ODS based on their respect for this tradition and obey it as their duty without considering external factors such as individual interests or community benefits. We posit that this ethical perspective is aligned with deontology. Therefore, we suggest that stakeholders of ODS, such as the scientific community, research institutions and organizations, and ODS platform developers, could propose specific norms or mottos regarding the ODS tradition in astronomy to stimulate astronomers’ voluntary sense of duty to conduct it.

Finally, since we found that some astronomers conducted ODS primarily for self-interests in academia, efforts should be made to ensure that the rights of researchers in astronomy are protected and that they do not bear any risks caused by others (e.g., data misuse, verbal breach of contract). Future research can administer surveys or experiments to explore how significantly these individual factors impact astronomers’ ODS behaviors.

Data availability

The complete translated and transcribed data from our study is available at Peking University Open Research Data ( https://doi.org/10.18170/DVN/JLJGPF ).

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The authors acknowledge the support of the Beijing Municipal Social Science Foundation under Grant [No. 22ZXC008].

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Liu, J., Zhao, K., Gu, L. et al. To share or not to share, that is the question: a qualitative study of Chinese astronomers’ perceptions, practices, and hesitations about open data sharing. Humanit Soc Sci Commun 11 , 1063 (2024). https://doi.org/10.1057/s41599-024-03570-9

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Thematically Synthesizing the Qualitative Evidence Reporting the Impact of Poverty Alleviation Programs in Low-income Communities in South Africa: A Review

• Madoda Sitshange (University of Stellenbosch)

Significant poverty levels raise critical questions about the impact of poverty eradication programs. Literature reviews play a critical role in highlighting impactful and ineffective socio-economic approaches. This article presents a review of nine qualitative studies that were reported between 2006 and 2013 in poor urban, semi-rural, and rural communities in South Africa. The main goal of this paper is to describe how low-income communities were impacted by programs to reduce poverty. Themes on strength-based interventions, participation, and holistic-multidimensional approaches, emerge from the content analysis as the best account of the impact of community-based poverty eradication programs. Due to the qualitative nature of the small sample of studies under review, a thematic synthesis of the qualitative data provides baseline evidence for further research to assess progress in the provision of development programs, and to generate more insight to strengthen evidence-informed approaches to address persistently high rates of poverty.

Keywords: poverty eradication, community-based programs, thematic synthesis, systematic review, qualitative evidence, social development

Sitshange, M., (2024) “Thematically Synthesizing the Qualitative Evidence Reporting the Impact of Poverty Alleviation Programs in Low-income Communities in South Africa: A Review”, Social Development Issues 46(3): 7. doi: https://doi.org/10.3998/sdi.6771

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A higher rate of poverty indicates that South Africa might not reach the 2030 National Development Plan (NDP) target of reducing poverty-induced hunger to 0 percent ( National Development Plan, 2012 ). The Human Development Report (HDR) presented data showing that 18.9 percent of the population, about 11 million South Africans, live on less than R28 ($1.90) for a day. In terms of the Human Development Index, a measurement of equality developed by the United Nations (UN) that ranks countries by analyzing their quality of life against their rate of industrial development, ranked South Africa 114 out of 189 countries due to its declining standard of living and deepening income inequality ( Human Development Report, 2022 ). Since the COVID-19 pandemic, inequality worsened as the country has dropped two levels lower on the index as a result of more than 2 million job losses ( Human Development Report, 2022 ; World Bank, 2022 ).

Consistent with the statistics that are reported by global development agencies, Statistics South Africa reported that 55.5 percent of the South African population could not afford to meet their basic needs ( Stats SA, 2017 ). In terms of the Gini coefficient index, which measures inequality on a scale from 0 to 1 (where the higher values indicate higher inequality), inequality rose from 0.66 in 1993 to 0.72 in 2006: despite a decrease from 2006 to 0.68 in 2015, South Africa is the most unequal country in the world ( Stats SA, 2017 ). The World Inequality Report presented data showing that in 2014 the richest 10 percent of the population received two-thirds of the national income, while the top 1 percent received 20 percent of the national income ( Alvaredo, Chancel, Piketty, Saez, & Zucman, 2018 ).

Women make up a large percentage of the poor. Compared to male-headed households, poverty is consistently higher in female-headed households. In 2015, poverty was found to be 51.2 percent among female-headed households compared to 31.4 percent in male-headed households ( Stats SA, 2019 ). Gender “…disparities are still predominant in South Africa’s labor market with unemployment at 29.5 for women and 26.1 for men” (National Development Agency, 2019:10). In addition to gender inequality, racial disparities continue to define post-apartheid South Africa socio-economic fault lines. While the post-1994 government social and economic transformation policies improved the living conditions of many black South Africans, many still live in poverty. Unemployment rates are 30.5 percent for black Africans and 8 percent for whites. Race still affects the ability to find a job, as well as the wages received once employed ( World Bank, 2018 ).

Literature Review

The reviewer’s content analysis of the qualitative studies under review was guided by theoretical perspectives in poverty studies. According to Bradshaw (2007) , five main theoretical perspectives provide a comprehensive view of the causes, effects, and solutions to poverty: (1) Individual deficiencies, (2) Cultural belief systems that support subcultures in poverty, (3) Political-economic distortions, (4) Geographical disparities, or (5) Cumulative and circumstantial origins.

Theoretical perspectives on poverty that proffer individualistic, systematic, and cyclical explanations are summarized in Table 1 advanced into a variety of multidimensional perspectives that inform contemporary analysis and research. According to Adetoro, Ngidi, and Danso-Abbeam (2023), “a multidimensional approach has been developed to analyze a wide range of multiple poverty interrelated levels involving severe deprivation of basic human needs, such as health, education, income-generation and living standards”. The Human Development Report (2022) links the concept of multidimensional poverty with a lack of clean water, inadequate access to healthcare services, malnutrition, poor health, and poor housing conditions.

Five theories of poverty

Source: Adopted from Bradshaw (2007) .

There seem to be definite areas of alignment between the South African social security system and the multidimensional poverty formulation. The Department of Social Development provides comprehensive social assistance programs for indigent individuals and families to access a range of benefits such as cash transfers, food aid, and a range of welfare services. Free basic education, free health care, and free social housing are part of social benefits that are provided by housing, health, and education government departments. A multi-departmental approach that collectively provides a range of poverty reduction programs is consistent with a multidimensional theoretical approach to poverty that is applied on a national scale to address inequality, vulnerability, and urban-to-rural poverty ( Mert & Kadioglu, 2016 ). Uni-dimensional assessments of poverty that look at monetary value and consumption, in conjunction with broader multi-dimensional approaches that focus on child poverty, early childhood development and literacy, are indicative of a dynamic theory of poverty that incorporates most of the elements in Bradshaw’s (2007) theory of poverty which considers individualistic to economic-political factors.

Zizzamia, Schotte, and Leibbrandt (2019) posit the concept of poverty dynamics, as referring to a fluid state where individuals, families, and communities experience cyclical periods of chronic poverty, transient poverty, and vulnerable poverty. In expanding on the poverty dynamics perspective, Schotte, Zizzamia, and Leibbrandt (2018) define fluid and cyclical poverty situations as conditions where the chronic poor are trapped in poverty, the transient poor are classified as below the poverty line but with above-average chances of escaping poverty, and the vulnerable are classified as above the poverty line but with above-average chances of falling into poverty. In terms of the poverty dynamics theory, a considerable share of the South African population can be classified as the transient poor and the vulnerable group, estimated as 27 percent of the population ( Zizzamia et al., 2019 ). The poverty dynamics theory draws attention to the rural and urban working poor as most vulnerable due to economic instability and volatile labor markets, irregular forms of employment, and government incompetence, which makes poverty a constant threat in their daily lives, hence are the largest population group that are beneficiaries of poverty alleviation programs.

Contextualization

Meta-synthesizing several qualitative studies sharing similar themes and methods is a well-tested scientific method for assessing and presenting broader experiences ( Graham & Masters-Awatere, 2020 ), which only some research studies can provide. The overriding aim of this article is to present a review of a small sample of primary research studies, that apply qualitative procedures to report data on the impact of poverty eradication programs, by addressing the following questions: In what ways did beneficiaries of community-based poverty eradication programs describe, in their own words, their impact? How did the beneficiaries of poverty eradication programs perceive the extent to which their living conditions improved because of poverty eradication programs?

The two research questions that guide the content analysis of qualitative studies are aimed at highlighting practices and approaches that are associated with positive and negative program outcomes. A review that focuses on program impact might contribute to the knowledge that the implementers of social development interventions need to strengthen the provision of poverty eradication programs. Global, regional, national, and/or local poverty eradication program providers require analysis of program impact to reduce high rates of poverty. Drawing key lessons from systematic reviews, using a review of literature in the paper is in line with the consensus in the research literature that (reviews) play an important role in documenting and disseminating scientific evidence on the impact of programs ( Hlongwa & Hlongwana, 2020 ; Petticrew & Roberts, 2006 ).

A review of poverty eradication programs implemented between 2006 and 2013 is intended to contribute to Lombard’s (2008) 10-year review of the implementation of the White Paper for Social Welfare (1997). The reviewer’s intention in presenting a thematic synthesis of studies focusing on poverty eradication is motivated by a need to provide another perspective on the progress of the social development approach by addressing both the root causes and effects of poverty.

Methodology

A thematic synthesis of qualitative studies on poverty eradication is guided by the question: How were the intended beneficiaries impacted by community-based poverty eradication programs? In addressing the research question, the reviewer sought to highlight themes and trends that may assist in reporting progress in the implementation of social development approaches.

The following keywords in the research report titles, abstracts, keywords, and text, guided the search for qualitative studies: “poverty/poverty-eradication/poverty-alleviation/poverty-reduction/anti-poverty”, “social exclusion”, “community-based program(s)/project(s)”, and “program/project impact”. The reviewer sourced relevant literature through an electronic search using the following databases: Social Science Citation Index on the Web of Science, Google Scholar, and the Social Science Database. A desktop internet search formed a critical part of the search, and some unpublished studies were accessed through the expert opinion of social development researchers. An online search of research reports in development studies, economics, social work, social development, politics, public health, sociology, psychology, and related social sciences and/or humanities disciplines, formed an essential part of the desktop internet search. Peer-reviewed online scientific publications were also examined. University websites were also searched for unpublished dissertations and technical research reports that focus on poverty eradication programs.

The entire search yielded studies that were reported during 2006–2013. This 10-year period is crucial for tracking and assessing progress since the social development approach became official policy, through the White Paper for Social Welfare (1997). The search for qualitative studies produced 76 research reports. The reviewer screened the 76 research studies using the inclusion and exclusion criteria, as presented in Table 2 .

Inclusion and exclusion criteria

After a comprehensive search of the literature, the reviewer applied the inclusion and exclusion criteria on the titles, abstracts, keywords, and text of the 76 reports to remove excluded and duplicated reports. While this is a review of literature, the Preferred Re-porting Items for Systematic Review and Meta-analysis Protocols (PRISMA-P) ( Shamseer et al., 2015 ) was applied by the reviewer, to explain the process used to arrive at studies selected for thematic synthesis, as outlined in Figure 1 .

Systematic review process-map.

Of the 76 studies, 16 studies were sourced through a desktop internet search, while an electronic database search yielded 60 studies. Of the 76 studies that represent data on issues related to poverty eradication, social exclusion, and community-based programs, 59 were excluded: 47 mainly because they are quantitative studies, eight use poverty definitions that are inconsistent with the literature review, another set of eight studies did not report the impact of community-based programs, while six studies neither indicate whether ethics clearance was obtained nor peer-review was conducted. Of the 17 studies that complied with the inclusion criteria, further screening narrowed down the number to 15, because two studies were duplicates. After further full-text eligibility assessment, the reviewer narrowed down the number to nine short-listed studies. After re-applying the inclusion and exclusion criteria on the short-listed studies, the reviewer arrived at nine final qualitative studies to be reviewed.

A blind procedure, where a second reviewer, without knowledge of the nine short-listed studies, repeated the process-map that is outlined above, by applying the inclusion and exclusion criteria to the 76 selected studies. The second reviewer confirmed the suitability of the nine studies selected for inclusion in the systematic review. All the included studies were debated to address any inconsistencies and areas of ambiguity as far as the inclusion and exclusion criteria required, and whether the processing of studies through the process-map was standardized and replicable. All nine studies listed in Table 2 are included mainly because of three factors: they all address “‘poverty/poverty-eradication/poverty-alleviation/poverty-reduction/anti-poverty”, “social exclusion”, “community-based program(s)/project(s)”, present qualitative data, and underwent ethics clearance or were peer-reviewed. Adato, Carter, and May (2006) explore household poverty traps and social exclusion. Mashau (2006) and Nkosi (2010) investigate the poverty situation and the impact of a strategy for poverty alleviation in rural and urban areas, while Van der Merwe (2006) provides a description and analysis of the very personal, subjective experience of poverty by Afrikaans-speaking people.

Stephen (2008) , explores factors that might have an impact on the communities’ anti-poverty projects. The study focuses on four projects: two agricultural projects and two non-agricultural projects. Blaauw, Viljoen, and Schenck’s (2011) study sought to determine the prevalence of child-headed households in Gauteng in order to establish a database and to ensure access to aid programs by needy child-headed households. Strydom, Wessels, and Strydom’s (2010) study assesses the effects of health issues and poverty on families in rural areas. Kaeana and Ross (2012) investigated beneficiaries’ perceptions of income-generating projects as alleviators or perpetrators of poverty, and lastly, Sikrweqe (2013) assessed whether a local program contributed towards achieving the goals of poverty reduction.

Table 3 further outlines the sample number and type, the age range of the participants, data collection procedures, and the geographical locations where each study was conducted. All the studies present qualitative data. A study with the smallest sample number reported four participants and a study with the largest sample size reported 700 participants. The age range of the respondents in all nine studies fell within the 18–60 bracket. All the studies (n = 9) interviewed people living and working in underprivileged communities. An overview of geographical areas where the qualitative data were collected shows that the studies were collected in five provinces in South Africa: Gauteng (n = 3), KwaZulu-Natal (n = 2), Limpopo (n = 2), Northern Cape (n = 1), and the Eastern Cape (n = 1).

Studies included in the systematic review.

Guided by relevant theoretical perspectives in poverty, social development, and community-based programs, the reviewer content analyzed the studies by coding of text “line-by-line”; followed by the development of “descriptive themes”; and lastly, the generation of “analytical themes” ( Thomas & Harden, 2008 ; Tong, Palmer, Craig, & Strippoli, 2016 ). “Thematic analysis” completed the identification and confirmation of emerging themes ( Thomas & Harden, 2008 ), and allowed the reviewer to present the qualitative evidence directly from the studies under review. The procedure that was followed by the reviewer enabled explicit translation of the qualitative data by “…synthesizing them in a transparent way, and facilitating the explicit production of new concepts and hypotheses” ( Thomas & Harden, 2008 , p. 1).

Results and Discussion

A thematic synthesis of 2006 to 2013 qualitative studies on the impact of community-based women empowerment programs.

The discussion of findings is presented under three themes: strength-based interventions, participation, and holistic, multi-dimensional approaches. Guided by the literature on poverty eradication, social exclusion, and community-based programs, a comprehensive content analysis of the qualitative data from the studies selected for review enabled the extraction and presentation of the following discussion of the research results.

Strength-based interventions

A content analysis of community-based poverty eradication programs shows that developing the strength of indigent individuals and families is crucial. Strydom et al.’s (2010) study highlights the importance of linkages between the well-being and happiness of beneficiaries and social services providers’ acceptance and enhancement of their (i.e., beneficiaries of poverty-eradication programs) strengths, and material and human resources. The impact of programs, in other words, will be greatly enhanced by leveraging underutilized personal and group coping and survival capabilities. Leveraging underutilized coping and survival capabilities might sustain the structure and functioning of indigent individuals, families, and communities ( Strydom et al., 2010 ). In an urban setting, Van der Merwe (2006 , p.141) posits that psychosocial programs “…need to capitalise on existing strengths and cultivate new personal strengths such as self-confidence, creativity, and capacity for hard work, self-determination, optimism and faith”.

Authors specifically identify social connections, as opposed to social isolation and social exclusion, as crucial for community-based programs to empower indigent individuals and families, to access income-generating opportunities or to cope better in times of periodical cycles of vulnerability to poverty ( Adato et al., 2006 ; Blaauw et al., 2011 ; Sikrweqe, 2013 ; Strydom et al., 2010 ).

Community-based poverty eradication programs that focus on building the strengths of women and children report a crucial area that social service providers need to focus on. Nkosi’s (2010) study found that child-headed and female-headed households went beyond being passive beneficiaries of cash transfers, to using limited savings to access crucial life-skills that translated into increased school attendance, fewer risks of malnutrition, and exposure to abuse. According to Blaauw et al. (2011) , school-based poverty eradication programs play a crucial role in improving the socioeconomic circumstances of child-headed households, primarily by directly linking the development of strengths to child-headed households to directly accessing social services and cash-transfers, rather than relying on adults who might abuse the resources. Even though poverty and the scarcity of resources can cause conflict in households, the respondents in Strydom et al.’s (2010) study felt strongly that the family was their important strength. As a strength that poverty eradication programs must build on, authors present data confirming the family as a form of social capital that is best placed to stabilize basic livelihood levels, owing to the observation that families have the capacity to adapt, change, and become closer in times of social and economic shocks ( Mashau, 2006 ; Stephen, 2008 ).

Gaps in eradicating poverty through the development of individual and family strengths receive great attention in the research literature. According to Adato et al. (2006 , p. 226), for individuals and families that are considered to be living below the poverty line, “…social capital at best helps stabilize livelihoods at low levels and does little to promote upward mobility”. Access to programs that provide a combination of assets with financial value, income-generating capabilities, and access to markets to build on assets over time, could sustainably address both the root causes and effects of poverty, and upward social mobility ( Adato et al., 2006 ; Stephen, 2008 ; Van der Merwe, 2006 ). Focusing poverty eradication programs on individuals and families has its critical limitations. According to Blaauw et al.’s (2011) post-intervention analysis, 26.2 percent of households cannot support even one person with their total monthly income, while less than 40 percent would be able to support a household of two to three members, with only 11.5 percent able to support a household size of four people, and none of the respondents’ households able to support a household size of six members. Holistic and multi-dimensional poverty eradication programs require evidence-informed approaches to supplement and complement strength-based interventions that support individuals, families, and larger communities.

Participation

Participation allowed the beneficiaries of community-based poverty eradication programs to highlight progress and identify gaps in service delivery ( Kaeana & Ross, 2012 ). Sikrweqe’s (2013) study echoes the theme of opening program monitoring and evaluating the voices of the beneficiaries, by presenting data showing that ward committees went beyond improving the participation of beneficiaries, and ensuring that the beneficiaries directly influence decisions about future developments in the neighborhood. The ability of ordinary members of society to influence decisions about development issues deepens democratic practices and governance ( Sikrweqe, 2013 ). Mashau’s (2006) assessment of a flagship local job creation project, highlights a human-centered approach to a collaborative approach to poverty eradication, that brought together the combined strengths of all key stakeholders, ordinary community members, government officials, business people, and non-governmental and faith-based organizations.

At a more practical level, Van der Merwe’s (2006) study emphasizes that, where possible, the beneficiaries must participate in all important areas and phases of program implementation to promote the type of community ownership that will invest in long-term sustainability. In recognition that participation in community-based poverty eradication programs is easier said than done, authors recommend further in-depth research analysis of the impact of participation on the outcomes of poverty eradication programs ( Blaauw et al., 2011 ; Kaeana & Ross, 2012 ; Mashau, 2006 ; Nkosi, 2010 ; Stephen, 2008 ; Van der Merwe, 2006 ). According to Stephen (2008) , least participatory programs tended to have pensioners as the majority of beneficiaries, thereby sensitizing social service providers to be more realistic and strategic in customizing models of participation to be more consistent with the capabilities of the intended beneficiaries.

The main conclusion in Kaeana and Ross’s (2012) study is that income-generating projects achieved their aims to some extent, but there were areas of improvement in terms of the participation of beneficiaries in decision-making. In reiterating the theme of the importance and limitations of participation, Adato et al. (2006) assert that while the impact of the beneficiaries’ participation in poverty eradication programs cannot be denied, there is no compelling evidence that community participation in poverty eradication translated directly into economic advancement and the accumulation of assets with long-term financial value. The link between the level of beneficiary participation in program processes to the reduction of poverty appears to be complex and still to be sufficiently examined, especially when participation occurs within holistic and multi-dimensional approaches.

Holistic and multi-dimensional approaches

A comprehensive and integrated research-informed approach to establish a local and contextually grounded database, according to Blaauw et al. (2011) and Strydom et al. (2010) , sets a standard for poverty to be addressed as the main target of health, development, education, employment creation, and environmental programs. A holistic, multi-disciplinary, and multi-dimensional approach to poverty eradication could be more impactful, in respect of the data that shows that poverty mainly manifests itself in the deprivation of income-generating opportunities, housing, lack of clean water, sanitation, health services, electricity, literacy, public infra-structure, and so on ( Mashau, 2006 ; Sikrweqe, 2012; Stephen, 2008 ; Strydom et al., 2010 ).

According to Kaeana and Ross’s (2012) study, a holistic and multi-pronged approach to poverty eradication needs to integrate income generation and employment creation, the provision of social and physical infrastructure including clinics and schools, measures to address social exclusion and institutionalized racism, xenophobia and sexism, the promotion of sustainable livelihoods, and the dissemination of the type of knowledge and skills that fosters human development at the community level. Community-based programs to raise awareness, through education and skills development are central themes that are frequently reported by the studies under review. For instance, more impactful community-based poverty eradication programs had more beneficiaries with secondary school education, while the worst performing were fewer ( Blaauw et al., 2011 ; Mashau, 2006 ; Nkosi, 2010 ; Van Der Merwe, 2006 ).

Deeper structural changes require innovative and novel approaches in light of growing levels of poverty, unemployment, and socio-economic inequality. According to some authors, the broader problem of “…poverty alleviation seems unlikely to be resolved until deeper structural changes make time and markets work more effectively for the broader community of all South Africans” ( Adato et al., 2006 , p. 245). A theme that cuts across most studies is that current social security programs play a significant role in alleviating poverty, but because of the growing inequality, the social security systems need to be improved to address gaps and shortcomings ( Adato et al., 2006 ; Kaeana & Ross, 2012 ; Sikrweqe, 2012). The research participants in Nkosi’s (2010) study, correctly recommend that gaps and weaknesses in social security programs can be best addressed through intersectoral collaborations between governmental and non-governmental service providers, in conjunction with the training of beneficiaries as a key element towards the sustenance of program impact and comprehensive service delivery. The findings are consistent will the assertion that policymakers recognize the integrated approach as more effective in low-middle-income countries ( Kumar & Cheng, 2024 ).

Recommendations

Similar to systematic reviews, literature reviews analyze an ever-growing scope of research on “best practices” for policy-making and policy evaluation ( Sundberg & Taylor-Gooby, 2013 ; Van Rooyen, Steward, & De Wet, 2012 ). This paper reviews the qualitative evidence to highlight approaches in poverty eradication that can be inferred as impactful and ineffective, subject to more advanced analysis through large-scale reviews that apply qualitative and quantitative methods. This article recommends further systematic reviews that will analyze studies conducted between 2016 and 2023, to provide a more recent and comprehensive picture of the progress and challenges related to social development programs. Reviews place greater emphasis on transparency and accountability ( Thomas & Harden, 2008 ), by providing an overview of impactful and ineffective approaches that no single study can provide. Themes on beneficiaries’ strengths and direct involvement in crucial phases of holistic and multi-multidimensional community-development processes, emerge in the paper as significant to track in forthcoming systematic reviews. Training and research in the three themes outlined above are key areas of focus in assessing progress in the implementation of the social development approach. As noted in a related paper, training “emerges as an important option in expanding the prospects of the intended beneficiaries of community-based programs” ( Sitshange, 2022 ).

Conclusions

Reviews are critical in evaluating the impact of poverty eradication programs. According to the authors, poverty alleviation programs have been ineffective and unsustainable ( Dipela & Mohapi, 2021 ; Raniga, 2018 ), hence high rates of poverty are consistently reported by statisticians. Reviewers of research studies have a responsibility to beyond painting the impact of poverty through numbers, to highlighting the impact of programs using the voices of community members. The thematic synthesis of qualitative research studies in poverty eradication notes a gap between theory and practice. While laws, policies, and institutions are in place to eradicate poverty, reviews need to empower relevant laws, policies, and institutions to prove impact and sustainability using evidence-based frames of reference. While the review that is presented in the paper is qualitative and limited, it lays a basis for more advanced studies on the impact of poverty eradication programs on individuals and groups.

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Madoda Sitshange, Department of Social Work, University of Stellenbosch, South Africa and Department of Politics and International Relations, University of Johannesburg, South Africa. He can be contacted at [email protected]

Harvard-Style Citation

Sitshange, M. (2024) 'Thematically Synthesizing the Qualitative Evidence Reporting the Impact of Poverty Alleviation Programs in Low-income Communities in South Africa: A Review', Social Development Issues . 46(3) doi: 10.3998/sdi.6771

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Sitshange, M. Thematically Synthesizing the Qualitative Evidence Reporting the Impact of Poverty Alleviation Programs in Low-income Communities in South Africa: A Review. Social Development Issues. 2024 9; 46(3) doi: 10.3998/sdi.6771

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Sitshange, M. (2024, 9 4). Thematically Synthesizing the Qualitative Evidence Reporting the Impact of Poverty Alleviation Programs in Low-income Communities in South Africa: A Review. Social Development Issues 46(3) doi: 10.3998/sdi.6771

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Mixed reality in clinical settings for pediatric patients and their families: a literature review.

1. Introduction

1.1. importance of new technologies in health and education, 1.2. definitions and distinctions between ar, vr, and mr, 1.3. conceptual challenges and frameworks, 1.4. technological advancements and applications, 1.5. the role of ar and mr in modern healthcare and education, 1.6. psychological and physical risks of ar and vr, 1.7. gaps in research and the need for focused mr interventions, 2. materials and methods, 2.1. identification, 2.2. screening and eligibility, 2.3. included articles, 3.1. overview of included studies, 3.1.1. search results, 3.1.2. study characteristics, 3.2. general characteristics of the studies, 3.2.1. methods, 3.2.2. study population, 3.3. description of the interventions, 3.3.1. clinical settings of the mr application, 3.3.2. mr devices and software, 3.3.3. mr-based interventions.

• Early Adoption in Pain Management: Mott et al. [ 43 ], in 2008, represented the early adoption of MR in pediatric care. A child could visualize a 3D animation character from multiple angles in an MR system with audio narration, which made the child perform tasks. This highlights MR’s application in pain management and its ability to improve patient experiences in medical settings.
• Developmental and Educational Tools: By 2015, Bai et al. [ 38 ] established a setting for patients playing with augmented toys in a mirror MR display to improve and learn how to pretend to play, a crucial skill for autistic children. This showed the application of AR as a tool for social and cognitive development in children with ASD, promoting interaction and engagement. Similarly, a study by Calle-Bustos et al. [ 36 ] revealed MR’s role in interactive education for chronic health conditions, such as diabetes mellitus. An Android device overlaying MR food on a real dish was used in an AR game to support therapeutic education for children with diabetes mellitus, significantly contributing to self-management education in pediatric diabetes.
• Anxiety Reduction and Advanced MR Applications: In 2020, studies by Tait et al. [ 34 ] and Bray et al. [ 35 ] exemplified the maturity of MR technologies. Tait et al. used a printed storybook and an MR-enabled iPad program overlaying MR graphics, animations, and a chatbot with embedded interactive quizzes for information evaluation. Bray et al. employed the preloaded iPad Xploro ® , a digital therapeutic (DTx) platform that adopts AR, gameplay, and artificial intelligence, providing information on health environments, key health staff, and hospital equipment. Another study by Libaw et al. [ 37 ] in 2020 furthered the application of MR in clinical settings by applying the AR “Jenny the Robot” distraction technique during mask induction to encourage patients to take deep breaths.
• Social and Communication Skills Enhancement: Extracted from the primary study of Karami et al. [ 32 ], five individual studies on ASD conducted between 2015 and 2018 applied MR interventions for various social and communication skill-enhancing purposes. In a study by Chen et al. [ 39 ], AR-based Video-Modeling with Storybook (ARVMS)—comprising seven sessions—was devised to learn the facial expressions and emotions of others in social situations.
• Integration with Therapeutic Methods: Other studies targeting children with ASD, such as those by Kurniawan [ 40 ] and Nubia et al. [ 41 ], showed a continued trend toward using MR for enhancing communication and social skills. Kurniawan developed the Picture Exchange Communication System with AR-based multimedia using visual aids in a more interactive format to improve the communication abilities of children with ASD. In contrast, Nubia et al. introduced the process and simulation of an MR-based pictogram recognition task to improve the attention process and the appearance of verbal language in participants with ASD.
• Innovative Smart Glasses Applications: Vahabzadeh et al. [ 42 ] illustrated the innovative use of smart glasses-based interventions. Specifically, they reported that Empowered Brain, a smart glasses-based social communication and behavioral intervention, was used to improve the duration of gaze at faces and reduce ADHD symptoms in children, adolescents, and young adults with ASD.

3.4. Outcomes

3.4.1. variables, 3.4.2. main effect, 4. discussion, 4.1. study design and methodological considerations, 4.2. intervention characteristics and technological implementation, 4.3. population characteristics and clinical settings, 4.4. functional outcomes and practical implications, 4.5. intervention settings, technological implementation, and functional outcomes, 4.6. interrelationships between functional outcomes, 4.7. family involvement, care continuity, and future research directions, 4.8. limitations and future research directions, 5. conclusions, conflicts of interest.

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Sin, J.E.; Kim, A.R. Mixed Reality in Clinical Settings for Pediatric Patients and Their Families: A Literature Review. Int. J. Environ. Res. Public Health 2024 , 21 , 1185. https://doi.org/10.3390/ijerph21091185

Sin JE, Kim AR. Mixed Reality in Clinical Settings for Pediatric Patients and Their Families: A Literature Review. International Journal of Environmental Research and Public Health . 2024; 21(9):1185. https://doi.org/10.3390/ijerph21091185

Sin, Jae Eun, and Ah Rim Kim. 2024. "Mixed Reality in Clinical Settings for Pediatric Patients and Their Families: A Literature Review" International Journal of Environmental Research and Public Health 21, no. 9: 1185. https://doi.org/10.3390/ijerph21091185

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• Open access
• Published: 04 September 2024

Insights into research activities of senior dental students in the Middle East: A multicenter preliminary study

• Mohammad S. Alrashdan 1 , 2 ,
• Abubaker Qutieshat 3 , 4 ,
• Mohamed El-Kishawi 5 ,
• Abdulghani Alarabi 6 ,
• Lina Khasawneh 7 &
• Sausan Al Kawas 1  

BMC Medical Education volume  24 , Article number:  967 ( 2024 ) Cite this article

Metrics details

Despite the increasing recognition of the importance of research in undergraduate dental education, limited studies have explored the nature of undergraduate research activities in dental schools in the Middle East region. This study aimed to evaluate the research experience of final year dental students from three dental schools in the Middle East.

A descriptive, cross-sectional study was conducted among final-year dental students from three institutions, namely Jordan University of Science and Technology, University of Sharjah (UAE), and Oman Dental College. Participants were asked about the nature and scope of their research projects, the processes involved in the research, and their perceived benefits of engaging in research.

A total of 369 respondents completed the questionnaire.  Cross-sectional studies represented the most common research type  (50.4%), with public health (29.3%) and dental education (27.9%) being the predominant domains. More than half of research proposals were developed via discussions with instructors (55.0%), and literature reviews primarily utilized PubMed (70.2%) and Google Scholar (68.5%). Regarding statistical analysis, it was usually carried out with instructor’s assistance (45.2%) or using specialized software (45.5%). The students typically concluded their projects with a manuscript (58.4%), finding the discussion section most challenging to write (42.0%). The research activity was considered highly beneficial, especially in terms of teamwork and communication skills, as well as data interpretation skills, with 74.1% of students reporting a positive impact on their research perspectives.

Conclusions

The research experience was generally positive among surveyed dental students. However, there is a need for more diversity in research domains, especially in qualitative studies, greater focus on guiding students in research activities s, especially in manuscript writing and publication. The outcomes of this study could provide valuable insights for dental schools seeking to improve their undergraduate research activities.

Peer Review reports

Introduction

The importance of research training for undergraduate dental students cannot be overstressed and many reports have thoroughly discussed the necessity of incorporating research components in the dental curricula [ 1 , 2 , 3 , 4 ]. A structured research training is crucial to ensure that dental graduates will adhere to evidence-based practices and policies in their future career and are able to critically appraise the overwhelming amount of dental and relevant medical literature so that only rigorous scientific outcomes are adopted. Furthermore, a sound research background is imperative for dental graduates to overcome some of the reported barriers to scientific evidence uptake. This includes the lack of familiarity or uncertain applicability and the lack of agreement with available evidence [ 5 ]. There is even evidence that engagement in research activities can improve the academic achievements of students [ 6 ]. Importantly, many accreditation bodies around the globe require a distinct research component with clear learning outcomes to be present in the curriculum of the dental schools [ 1 ].

Research projects and courses have become fundamental elements of modern biomedical education worldwide. The integration of research training in biomedical academic programs has evolved over the years, reflecting the growing recognition of research as a cornerstone of evidence-based practice [ 7 ]. Notwithstanding the numerous opportunities presented by the inclusion of research training in biomedical programs, it poses significant challenges such as limited resources, varying levels of student preparedness, and the need for faculty development in research mentorship [ 8 , 9 ]. Addressing these challenges is essential to maximize the benefits of research training and to ensure that all students can engage meaningfully in research activities.

While there are different models for incorporating research training into biomedical programs, including dentistry, almost all models share the common goals of equipping students with basic research skills and techniques, critical thinking training and undertaking research projects either as an elective or a summer training course, or more commonly as a compulsory course required for graduation [ 2 , 4 , 10 ].

Dental colleges in the Middle East region are not an exception and most of these colleges are continuously striving to update their curricula to improve the undergraduate research component and cultivate a research-oriented academic teaching environment. Despite these efforts, there remains a significant gap in our understanding of the nature and scope of student-led research in these institutions, the challenges they face, and the perceived benefits of their research experiences. Furthermore, a common approach in most studies in this domain is to confine data collection to a single center from a single country, which in turn limits the value of the outcomes. Therefore, it is of utmost importance to conduct studies with representative samples and preferably multiple institutions in order to address the existing knowledge gaps, to provide valuable insights that can inform future curricular improvements and to support the development of more effective research training programs in dental education across the region. Accordingly, this study was designed and conducted to elucidate some of these knowledge gaps.

The faculty of dentistry at Jordan University of Science and Technology (JUST) is the biggest in Jordan and adopts a five-year bachelor’s program in dental surgery (BDS). The faculty is home to more than 1600 undergraduate and 75 postgraduate students. The college of dental medicine at the University of Sharjah (UoS) is also the biggest in the UAE, with both undergraduate and postgraduate programs, local and international accreditation and follows a (1 + 5) program structure, whereby students need to finish a foundation year and then qualify for the five-year BDS program. Furthermore, the UoS dental college applies an integrated stream-based curriculum. Finally, Oman Dental College (ODC) is the sole dental school in Oman and represents an independent college that does not belong to a university body.

The aim of this study was to evaluate the research experience of final year dental students from three major dental schools in the Middle East, namely JUST from Jordan, UoS from the UAE, and ODC from Oman. Furthermore, the hypothesis of this study was that research activities conducted at dental schools has no perceived benefit for final year dental students.

The rationale for selecting these three dental schools stems from the diversity in the dental curriculum and program structure as well as the fact that final year BDS students are required to conduct a research project as a prerequisite for graduation in the three schools. Furthermore, the authors from these dental schools have a strong scholarly record and have been collaborating in a variety of academic and research activities.

Materials and methods

The current study is a population-based descriptive cross-sectional observational study. The study was conducted using an online self-administered questionnaire and targeted final-year dental students at three dental schools in the Middle East region: JUST from Jordan, UoS from the UAE, and ODC from Oman. The study took place in the period from January to June 2023.

For inclusion in the study, participants should have been final-year dental students at the three participating schools, have finished their research project and agreed to participate. Exclusion criteria included any students not in their final year, those who have not conducted or finished their research projects and those who refused to participate.

The study was approved by the institutional review board of JUST (Reference: 724–2022), the research ethics committee of the UoS (Reference: REC-22-02-22-3) as well as ODC (Reference: ODC-MA-2022-166). The study adhered to the Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) guidelines [ 11 ]. The checklist is available as a supplementary file.

Sample size determination was based on previous studies with a similar design and was further confirmed with a statistical formula. A close look at the relevant literature reveals that such studies were either targeting a single dental or medical school or multiple schools and the sample size generally ranged from 158 to 360 [ 4 , 8 , 9 , 10 , 12 ]. Furthermore, to confirm the sample size, the following 2-step formula for finite population sample size calculation was used [ 13 ]:

Wherein Z is the confidence level at 95% =1.96, P is the population proportion = 0.5, and E is the margin of error = 0.05. Based on this formula, the resultant initial sample size was 384.

Wherein n is the initial sample size = 384, N is the total population size (total number of final year dental students in the 3 schools) = 443. Based on this formula, the adjusted sample size was 206.

An online, self-administered questionnaire comprising 13 questions was designed to assess the research experience of final year dental students in the participating schools. The questionnaire was initially prepared by the first three authors and was then reviewed and approved by the other authors. The questionnaire was developed following an extensive review of relevant literature to identify the most critical aspects of research projects conducted at the dental or medical schools and the most common challenges experienced by students with regards to research project design, research components, attributes, analysis, interpretation, drafting, writing, and presentation of the final outcomes.

The questionnaire was then pretested for both face and content validity. Face validity was assessed by a pilot study that evaluated clarity, validity, and comprehensiveness in a small cohort of 30 students. Content validity was assessed by the authors, who are all experienced academics with remarkable research profiles and experience in supervising undergraduate and postgraduate research projects. The authors critically evaluated each item and made the necessary changes whenever required. Furthermore, Cronbach’s alpha was used to assess the internal consistency/ reliability of the questionnaire and the correlation between the questionnaire items was found to be 0.79. Thereafter, online invitations along with the questionnaire were sent out to a total of 443 students, 280 from JUST, 96 from UoS and 67 from ODC, which represented the total number of final year students at the three schools. A first reminder was sent 2 weeks later, and a second reminder was sent after another 2 weeks.

In addition to basic demographic details, the questionnaire comprised questions related to the type of study conducted, the scope of the research project, whether the research project was proposed by the students or the instructors or both, the literature review part of the project, the statistical analysis performed, the final presentation of the project, the writing up of the resultant manuscript if applicable, the perceived benefits of the research project and finally suggestions to improve the research component for future students.

The outcomes of the study were the students’ research experience in terms of research design, literature review, data collection, analysis, interpretation and presentation, students’ perceived benefits from research, students’ perspective towards research in their future career and students’ suggestions to improve their research experience.

The exposures were the educational and clinical experience of students, research supervision by mentors and faculty members, and participation in extracurricular activities, while the predictors were the academic performance of students, previous research experience and self-motivation.

The collected responses were entered into a Microsoft Excel spreadsheet and analyzed using SPSS Statistics software, version 20.0 (SPSS Inc., Chicago, IL, USA). Descriptive data were presented as frequencies and percentages. For this study, only descriptive statistics were carried out as the aim was not to compare and contrast the three schools but rather to provide an overview of the research activities at the participating dental schools.

The heatmap generated to represent the answers for question 11 (perceived benefits of the research activity) was created using Python programming language (Python 3.11) and the pandas, seaborn, and matplotlib libraries. The heatmap was customized to highlight the count and percentage of responses in each component, with the highest values shown in red and the lowest values shown in blue.

Potentially eligible participants in this study were all final year dental students at the three dental schools (443 students, 280 from JUST, 96 from UoS and 67 from ODC). All potentially eligible participants were confirmed to be eligible and were invited to participate in the study.

The total number of participants included in the study, i.e. the total number of students who completed the questionnaire and whose responses were analyzed, was 369 (223 from JUST, 80 from UoS and 66 from ODC). The overall response rate was 83.3% (79.6% from JUST, 83.3% from UoS and 98.5% from ODC).

The highest proportion of participants were from JUST ( n  = 223, 60.4%), followed by UoS ( n  = 80, 21.7%), and then ODC ( n  = 66, 17.9%). The majority of the participants were females ( n  = 296, 80.4%), while males represented a smaller proportion ( n  = 73, 19.6%). It is noteworthy that these proportions reflect the size of the cohorts in each college.

With regards to the type of study, half of final-year dental students in the 3 colleges participated in observational cross-sectional studies (i.e., population-based studies) ( n  = 186, 50.4%), while literature review projects were the second most common type ( n  = 83, 22.5%), followed by experimental studies ( n  = 55, 14.9%). Longitudinal studies randomized controlled trials, and other types of studies (e.g., qualitative studies, case reports) were less common, with ( n  = 5, 1.4%), ( n  = 10, 2.7%), and ( n  = 30, 8.1%) participation rates, respectively. Distribution of study types within each college is shown Fig.  1 .

Distribution in percent of study types within each college. JUST: Jordan University of Science and Technology, UOS: University of Sharjah, ODC: Oman Dental College

The most common scope of research projects among final-year dental students was in public health/health services ( n  = 108, 29.3%) followed by dental education/attitudes of students or faculty ( n  = 103, 27.9%) (Fig.  2 ). Biomaterials/dental materials ( n  = 62, 16.8%) and restorative dentistry ( n  = 41, 11.1%) were also popular research areas. Oral diagnostic sciences (oral medicine/oral pathology/oral radiology) ( n  = 28, 7.6%), oral surgery ( n  = 12, 3.2%) and other research areas ( n  = 15, 4.1%) were less common among the participants. Thirty-two students (8.7%) were engaged in more than one research project.

Percentages of the scope of research projects among final-year dental students. JUST: Jordan University of Science and Technology, UOS: University of Sharjah, ODC: Oman Dental College

The majority of research projects were proposed through a discussion and agreement between the students and the instructor (55.0%). Instructors proposed the topic for 36.6% of the research projects, while students proposed the topic for the remaining 8.4% of the projects.

Most dental students (79.1%) performed the literature review for their research projects using internet search engines. Material provided by the instructor was used for the literature review by 15.5% of the students, while 5.4% of the students did not perform a literature review. More than half of the students ( n  = 191, 51.7%) used multiple search engines in their literature search. The most popular search engines for literature review among dental students were PubMed (70.2% of cases) and Google Scholar (68.5% of cases). Scopus was used by 12.8% of students, while other search engines were used by 15.6% of students.

The majority of dental students ( n  = 276, 74.8%) did not utilize the university library to gain access to the required material for their research. In contrast, 93 students (25.2%) reported using the university library for this purpose.

Dental students performed statistical analysis in their projects primarily by receiving help from the instructor ( n  = 167, 45.2%) or using specialized software ( n  = 168, 45.5%). A smaller percentage of students ( n  = 34, 9.4%) consulted a professional statistician for assistance with statistical analysis. at the end of the research project, 58.4% of students ( n  = 215) presented their work in the form of a manuscript or scientific paper. Other methods of presenting the work included PowerPoint presentations ( n  = 80, 21.7%) and discussions with the instructor ( n  = 74, 19.8%).

For those students who prepared a manuscript at the conclusion of their project, the most difficult part of the writing-up was the discussion section ( n  = 155, 42.0%), followed by the methodology section ( n  = 120, 32.5%), a finding that was common across the three colleges. Fewer students found the introduction ( n  = 13, 3.6%) and conclusion ( n  = 10, 2.7%) sections to be challenging. Additionally, 71 students (19.2%) were not sure which part of the manuscript was the most difficult to prepare (Fig.  3 ).

Percentages of the most difficult part reported by dental students during the writing-up of their projects. JUST: Jordan University of Science and Technology, UOS: University of Sharjah, ODC: Oman Dental College

The dental students’ perceived benefits from the research activity were evaluated across seven components, including literature review skills, research design skills, data collection and interpretation, manuscript writing, publication, teamwork and effective communication, and engagement in continuing professional development.

The majority of students found the research activity to be beneficial or highly beneficial in most of the areas, with the highest ratings observed in teamwork and effective communication, where 33.5% rated it as beneficial and 32.7% rated it as highly beneficial. Similarly, in the area of data collection and interpretation, 33.0% rated it as beneficial and 27.5% rated it as highly beneficial. In the areas of literature review skills and research design skills, 28.6% and 34.0% of students rated the research activity as beneficial, while 25.3% and 22.7% rated it as highly beneficial, respectively. Students also perceived the research activity to be helpful for the manuscript writing, with 27.9% rating it as beneficial and 19.2% rating it as highly beneficial.

When it comes to publication, students’ perceptions were more variable, with 22.0% rating it as beneficial and 11.3% rating it as highly beneficial. A notable 29.9% rated it as neutral, and 17.9% reported no benefit. Finally, in terms of engaging in continuing professional development, 26.8% of students rated the research activity as beneficial and 26.2% rated it as highly beneficial (Fig.  4 ).

Heatmap of the dental students’ perceived benefits from the research activity

The research course’s impact on students’ perspectives towards being engaged in research activities or pursuing a research career after graduation was predominantly positive, wherein 274 students (74.1%) reported a positive impact on their research perspectives. However, 79 students (21.5%) felt that the course had no impact on their outlook towards research engagement or a research career. A small percentage of students ( n  = 16, 4.4%) indicated that the course had a negative impact on their perspective towards research activities or a research career after graduation.

Finally, when students were asked about their suggestions to improve research activities, they indicated the need for more training and orientation ( n  = 127, 34.6%) as well as to allow more time for students to finish their research projects ( n  = 87, 23.6%). Participation in competitions and more generous funding were believed to be less important factors to improve students` research experience ( n  = 78, 21.2% and n  = 63, 17.1%, respectively). Other factors such as external collaborations and engagement in research groups were even less important from the students` perspective (Fig.  5 ).

Precentages of dental students’ suggestions to improve research activities at their colleges

To the best of our knowledge, this report is the first to provide a comprehensive overview of the research experience of dental students from three leading dental colleges in the Middle East region, which is home to more than 50 dental schools according to the latest SCImago Institutions Ranking ® ( https://www.scimagoir.com ). The reasonable sample size and different curricular structure across the participating colleges enhanced the value of our findings not only for dental colleges in the Middle East, but also to any dental college seeking to improve and update its undergraduate research activities. However, it is noteworthy that since the study has included only three dental schools, the generalizability of the current findings would be limited, and the outcomes are preliminary in nature.

Cross-sectional (epidemiological) studies and literature reviews represented the most common types of research among our cohort of students, which can be attributed to the feasibility, shorter time and low cost required to conduct such research projects. On the contrary, longitudinal studies and randomized trials, both known to be time consuming and meticulous, were the least common types. These findings concur with previous reports, which demonstrated that epidemiological studies are popular among undergraduate research projects [ 4 , 10 ]. In a retrospective study, Nalliah et al. also demonstrated a remarkable increase in epidemiological research concurrent with a decline in the clinical research in dental students` projects over a period of 4 years [ 4 ]. However, literature reviews, whether systematic or scoping, were not as common in some dental schools as in our cohort. For instance, a report from Sweden showed that literature reviews accounted for less than 10% of total dental students` projects [ 14 ]. Overall, qualitative research was seldom performed among our cohort, which is in agreement with a general trend in dental research that has been linked to the low level of competence and experience of dental educators to train students in qualitative research, as this requires special training in social research [ 15 , 16 ].

In terms of the research topics, public health research, research in dental education and attitudinal research were the most prevalent among our respondents. In agreement with our results, research in health care appears common in dental students` projects [ 12 ]. In general, these research domains may reflect the underlying interests of the faculty supervisors, who, in our case, were actively engaged in the selection of the research topic for more than 90% of the projects. Other areas of research, such as clinical dentistry and basic dental research are also widely reported [ 4 , 10 , 14 , 17 ].

The selection of a research domain is a critical step in undergraduate research projects, and a systematic approach in identifying research gaps and selecting appropriate research topics is indispensable and should always be given an utmost attention by supervisors [ 18 ].

More than half of the projects in the current report were reasonably selected based on a discussion between the students and the supervisor, whereas 36% were selected by the supervisors. Otuyemi et al. reported that about half of undergraduate research topics in a Nigerian dental school were selected by students themselves, however, a significant proportion of these projects (20%) were subsequently modified by supervisors [ 19 ]. The autonomy in selecting the research topic was discussed in a Swedish report, which suggested that such approach can enhance the learning experience of students, their motivation and creativity [ 20 ]. Flexibility in selecting the research topic as well as the faculty supervisor, whenever feasible, should be offered to students in order to improve their research experience and gain better outcomes [ 12 ].

Pubmed and Google Scholar were the most widely used search engines for performing a literature review. This finding is consistent with recent reviews which classify these two search systems as the most commonly used ones in biomedical research despite some critical limitations [ 21 , 22 ]. It is noteworthy that students should be competent in critical appraisal of available literature to perform the literature review efficiently. Interestingly, only 25% of students used their respective university library`s access to the search engines, which means that most students retrieved only open access publications for their literature reviews, a finding that requires attention from faculty mentors to guide students to utilize the available library services to widen their accessibility to available literature.

Statistical analysis has classically been viewed as a perceived obstacle for undergraduate students to undertake research in general [ 23 , 24 ] and recent literature has highlighted the crucial need of biomedical students to develop necessary competencies in biostatistics during their studies [ 25 ]. One obvious advantage of conducting research in our cohort is that 45.5% of students used a specialized software to analyze their data, which means that they did have at least an overview of how data are processed and analyzed to reach their final results and inferences. Unfortunately, the remaining 54.5% of students were, partially or completely, dependent on the supervisor or a professional statistician for data analysis. It is noteworthy that the research projects were appropriately tailored to the undergraduate level, focusing on fundamental statistical analysis methods. Therefore, consulting a professional statistician for more complex analyses was done only if indicated, which explains the small percentage of students who consulted a professional statistician.

Over half of participating students (58.4%) prepared a manuscript at the end of their research projects and for these students, the discussion section was identified as the most challenging to prepare, followed by the methodology section. These findings can be explained by the students’ lack of knowledge and experience related to conducting and writing-up scientific research. The same was reported by Habib et al. who found dental students’ research knowledge to be less than that of medical students [ 26 ]. The skills of critical thinking and scientific writing are believed to be of paramount importance to biomedical students and several strategies have been proposed to enhance these skills especially for both English and non-English speaking students [ 27 , 28 , 29 ].

Dental students in the current study reported positive attitude towards research and found the research activity to be beneficial in several aspects of their education, with the most significant benefits in the areas of teamwork, effective communication, data collection and interpretation, literature review skills, and research design skills. Similar findings were reported by previous studies with most of participating students reporting a positive impact of their research experience [ 4 , 10 , 12 , 30 ]. Furthermore, 74% of students found that their research experience had a positive impact on their perspectives towards engagement in research in the future. This particular finding may be promising in resolving a general lack of interest in research by dental students, as shown in a previous report from one of the participating colleges in this study (JUST), which demonstrated that only 2% of students may consider a research career in the future [ 31 ].

Notably, only 11.3% of our students perceived their research experience as being highly beneficial with regards to publication. Students` attitudes towards publishing their research appear inconsistent in literature and ranges from highly positive rates in developed countries [ 4 ] to relatively low rates in developing countries [ 8 , 32 , 33 ]. This can be attributed to lack of motivation and poor training in scientific writing skills, a finding that has prompted researchers to propose strategies to tackle such a gap as mentioned in the previous section.

Finally, key suggestions by the students to improve the research experience were the provision of more training and orientation, more time to conduct the research, as well as participation in competitions and more funding opportunities. These findings are generally in agreement with previous studies which demonstrated that dental students perceived these factors as potential barriers to improving their research experience [ 8 , 10 , 17 , 30 , 34 ].

A major limitation of the current study is the inclusion of only three dental schools from the Middle East which my limit the generalizability and validity of the findings. Furthermore, the cross-sectional nature of the study would not allow definitive conclusions to be drawn as students’ perspectives were not evaluated before and after the research project. Potential confounders in the study include the socioeconomic status of the students, the teaching environment, previous research experience, and self-motivation. Moreover, potential sources of bias include variations in the available resources and funding to students’ projects and variations in the quality of supervision provided. Another potential source of bias is the non-response bias whereby students with low academic performance or those who were not motivated might not respond to the questionnaire. This potential source of bias was managed by sending multiple reminders to students and aiming for the highest response rate and largest sample size possible.

In conclusion, the current study evaluated the key aspects of dental students’ research experience at three dental colleges in the Middle East. While there were several perceived benefits, some aspects need further reinforcement and revision including the paucity of qualitative and clinical research, the need for more rigorous supervision from mentors with focus on scientific writing skills and research presentation opportunities. Within the limitations of the current study, these outcomes can help in designing future larger scale studies and provide valuable guidance for dental colleges to foster the research component in their curricula. Further studies with larger and more representative samples are required to validate these findings and to explore other relevant elements in undergraduate dental research activities.

Data availability

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

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Acknowledgements

The authors would like to acknowledge final year dental students at the three participating colleges for their time completing the questionnaire.

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M.A.: Conceptualization, data curation, project administration; supervision, validation, writing - original draft; writing - review and editing. A.Q: Conceptualization, data curation, project administration; writing - review and editing. M.E: Conceptualization, data curation, project administration; validation, writing - original draft; writing - review and editing. A.A.: data curation, writing - original draft; writing - review and editing. L.K.: Conceptualization, data curation, validation, writing - original draft; writing - review and editing. S.A: Conceptualization, writing - review and editing.

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Alrashdan, M.S., Qutieshat, A., El-Kishawi, M. et al. Insights into research activities of senior dental students in the Middle East: A multicenter preliminary study. BMC Med Educ 24 , 967 (2024). https://doi.org/10.1186/s12909-024-05955-5

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Developing community-based physical activity interventions and recreational programming for children in rural and smaller urban centres: a qualitative exploration of service provider and parent experiences

• Emma Ostermeier 1 ,
• Jason Gilliland 2 , 3 , 4 , 5 , 6 , 7 ,
• Jennifer D. Irwin 7 ,
• Jamie A. Seabrook 3 , 4 , 5 , 6 , 8 &
• Patricia Tucker 5 , 6 , 9  

BMC Health Services Research volume  24 , Article number:  1017 ( 2024 ) Cite this article

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Children’s physical inactivity is a persisting international public health concern. While there is a large body of literature examining physical activity interventions for children, the unique physical activity context of low-density communities in rural areas and smaller urban centres remains largely underexplored. With an influx of families migrating to rural communities and small towns, evaluations of health promotion efforts that support physical activity are needed to ensure they are meeting the needs of the growing populations in these settings. The aim of this community-based research was to explore service providers’ and parents’ perspectives on physical activity opportunities available in their community and recommendations toward the development and implementation of efficacious physical activity programming for children in rural communities and smaller urban centres.

Three in-person community forums with recreation service providers ( n  = 37 participants) and 1 online community forum with the parents of school-aged children ( n  = 9 participants) were hosted. An online survey and Mentimeter activity were conducted prior to the community forums to gather participants’ views on the barriers and facilitators to physical activities and suggestions for activity-promoting programs. The service provider and parent discussions were audio-recorded, transcribed verbatim, and analyzed following a deductive approach guided by Hseih and Shannon’s (2005) procedure for direct content analysis. A code list developed from the responses to the pre-forum survey and Mentimeter activity was used to guide the analysis and category development.

Seven distinct categories related to the existing physical activity opportunities and recommendations for programs in rural communities and smaller urban centres were identified during the analysis: (1) Recovery from Pandemic-Related Measures, (2) Knowledge and Access to Programs, (3) Availability, (4) Personnel Support, (5) Quality of Programs and Facilities, (6) Expenses and Subsidies, and (7) Inclusivity and Preferences.

To improve the health and well-being of children who reside in low-density areas, the results of this study highlight service provider and parent recommendations when developing and implementing community-based physical activity programs and interventions in rural and smaller urban settings, including skill development programs, non-competitive activity options, maximizing existing spaces for activities, and financial support.

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Physical activity is an important behaviour for children’s development, health, and well-being [ 1 ]. The World Health Organization’s guidelines for physical activity and sedentary behaviour recommend that children 5–17 years of age accumulate an average of 60 min of daily moderate-to-vigorous physical activity to attain physical, mental, and cognitive health benefits, including improved quality of life [ 2 ]; however, most children are not meeting the recommendations [ 3 , 4 ]. The high rates of physical inactivity have been further exacerbated by the COVID-19 pandemic, with the literature reporting considerable declines in children’s physical activity during stay-at-home orders [ 5 ] and activity levels remaining low following the reopening of recreational facilities [ 6 ]. In Canada, only 28% of children aged 5 to 17 years met the recommended amount of physical activity during the early years of the pandemic [ 7 ], an 11% decrease from the reported activity levels prior to the pandemic [ 8 ]. This is particularly troubling as sedentary lifestyles during childhood can cultivate unhealthy habits that will continue as they transition into adolescence [ 9 ] and persist into adulthood [ 10 ]. To help engage children in more physical activity as the public health precautions were lifted, parents highlighted the need for a variety of accessible, affordable programs that offered children the opportunity to be active outside of school [ 11 , 12 ]. Therefore, tailored and feasible health promotion interventions and initiatives are essential in preventing the persistent rise in physical inactivity.

Although there has been increasing support for interventions to promote physical activity in children, low-density areas – including dispersed rural communities (i.e., rural areas with a low population density and low population size), villages (i.e., small, semi-dense, rural settlements with a small population size), and smaller urban centres (i.e., semi-dense areas with a moderate population size) – have been underexplored [ 13 , 14 , 15 ], even though thinly populated communities have higher rates of obesity, chronic conditions (e.g., asthma and developmental delays) and mortality among children [ 16 , 17 ]. Due to the lower densities of development in rural and smaller urban settings, children in these areas commonly experience issues related to limited local resources and program options, reduced access to health-related services, and greater need for vehicular transportation to activities [ 18 , 19 ]. With the recent rise in migration of Canadians to rural areas [ 20 ], finding ways to help children from smaller communities overcome the barriers to physical activity participation is valuable. As Canada has the fastest-growing rural communities of the G7 countries [ 20 ], it can serve as an ideal location for additional research on children’s physical activity in less densely populated settings.

The Grade 5 ACT-i-Pass Program is a community-based physical activity intervention originally developed for London, Ontario, Canada that offers children in grade 5 free organized and drop-in activities at participating recreational facilities for the school year [ 21 ]. As previous evaluations of the program have indicated that the pass improved children’s physical activity [ 22 ], expanding the program to additional communities may be a promising approach to address children’s low physical activity levels; therefore, plans for offering the program in the neighbouring rural and smaller urban areas are underway.

Despite community-based interventions having the potential to foster much-needed population-level changes in physical activity [ 23 ], the effective implementation and intended outputs of these programs are vulnerable to the context and can be hindered by a variety of complex individual, social, and environmental conditions [ 24 ]. Durlak and Dupre [ 25 ] suggest that understanding the factors that influence program uptake and adoption by a specific community can help close the gap between an evidence-based intervention plan and its effectiveness in a real-world context. Thus, prior to investing the funds necessary to scale-up this program to rural and smaller urban settings, the extent to which community members would find programs like the ACT-i-Pass suitable needs to be determined to ensure a tailored version of the program that is most likely to be used by the target population is offered.

As an initial step of the program development phase, a needs assessment provides context into the factors associated with children’s engagement in physical activity and service providers’ capacity to offer recreation programs [ 26 ]. Specifically, a multisector approach to physical activity promotion can improve the quality and implementation of interventions in real-world settings by allowing families and community organizations to advise on the development and design of interventions based on their experiences and knowledge of the area [ 27 ]. Gaining input from the target audience during the planning stages of interventions can be used to highlight strategies to address the various social and environmental factors that influence physical activity participation, help align components of interventions with the needs and preferences of the target audience, generate buy-in from the community, and incentivize organizations to promote and adopt programs [ 28 , 29 ]. Notably, studies have shown that multi-disciplinary collaborations that integrate partners during the design stage of interventions can lead to more effective and sustainable health promotion initiatives [ 29 , 30 , 31 ].

The aim of this study was to host discussions with service providers and parents in Oxford, Elgin and Middlesex Counties to understand their experiences with the physical activity opportunities available in rural communities and smaller urban centres and gather their recommendations toward the development and implementation of efficacious physical activity programming for children in dispersed, resource-limited areas. To achieve this aim, this study explored factors which positively or negatively influence children’s physical activity participation in rural communities and smaller urban centres. Moreover, this study gathered parents’ and service providers’ perspectives about the design and/or implementation of health promotion initiatives in their community, specifically, the ACT-i-Pass Program and physical activity interventions targeting children.

Study design

This naturally-unfolding experiment is part of a larger study exploring the adaptation, implementation, and evaluation of the Grade 5 ACT-i-Pass Program expansion. As a case study, this research focuses on a predominantly rural region in Southwestern Ontario, Canada. Oxford, Elgin, and Middlesex counties are made up of farmland, outdoor attractions including conservation areas and beaches, and a variety of smaller urban centres (i.e., towns and small cities) and rural settlements (i.e., villages and dispersed communities) with populations of 22,015, 17,030, and 83,160 children ages 0 to 14 years, respectively [ 32 , 33 , 34 ]. To achieve the aim of this study, we hosted community forums, a group information collection technique that empowers members of the target area to use their knowledge and lived experiences to identify community-level impacts of interventions and provide locally derived strategies that can support beneficial behaviour changes while minimizing potential harms [ 35 ]. This study protocol was approved by Western University’s Non-Medical Research Ethics Board (REB #103954).

Participants and recruitment

Service providers and parents were recruited to participate in this study. Service providers were identified through an online search of recreational facilities, which was reviewed for missing organizations with program partners at the two health units and the municipal governments that attend to the residents of Oxford, Elgin, and Middlesex Counties in an effort to produce a comprehensive list of potential participants. Identified service providers were contacted via email and phone and provided details about the community forum, including an overview of the study. Potential parent participants were identified via the ACT-i-Pass registration form. For year 1 of the expanded program, information was distributed earlier than previous program years, including early access to the registration form, as part of a promotional effort to inform families that the program was now available to children in the counties. An extended pre-program promotion timeline also offered the project team time to recruit parents for the community forums and integrate their feedback into the program design for the upcoming year. Of those who consented to be contacted about research activities, parents were emailed an invitation to participate in the community forum, which included a brief overview of the study and the pre-forum survey.

Service providers were defined as any business, organization or community group that works with children and their families in the counties. To be eligible to participate in this study, service providers had to: (1) offer programs related to physical activity or have mandates that aimed to improve the health and well-being of children (i.e., physical activity program providers, municipal recreation representatives, small business owners who offered activities for children, government employees from family service branches, health unit representatives, and not-for-profit organizations); (2) provide services for families in Oxford County, Elgin County (including the City of St. Thomas), or Middlesex County; (3) speak and understand English; and (4) provided written and oral consent to participate in the study and to be audio-recorded.

Parents were eligible to participate in a community forum if they were the parent or guardian of a grade 5 child(ren) in Oxford, Elgin or Middlesex County who enrolled their child in the ACT-i-Pass during the early registration stage and consented to participate in the research study.

Data collection

Pre-forum survey.

As part of the invitation email for the community forum, service providers and parents were asked to complete an online (via Qualtrics) pre-forum survey. The service provider survey gathered details about their organization, key barriers and facilitators to physical activity opportunities, and the extent to which community members would find the ACT-i-Pass program appropriate for children in their area. Parents were posed similar survey questions as service providers except the parent survey asked to provide socio-demographic information instead of organization details.

Mentimeter activity

Before the start of the community forum conversations, service providers and parents were asked to engage in a brainwriting activity using Mentimeter interactive presentation software ( https://www.mentimeter.com/ ). Brainwriting is a form of idea generation where participants silently and independently record their ideas [ 36 ]. As an alternative to collaborative group-sharing sessions, brainwriting can be an effective way to gain a greater variety of unique ideas by engaging more participants in an activity while minimizing group conflicts, social pressure to conform to the group, and dominance of a few participants’ perspectives [ 37 , 38 ]. Participants could provide an unlimited number of responses to two questions: (1) What are the factors that influence children’s physical activity participation?; and (2) What program components or strategies can lead to successful physical activity programs and interventions in your community? Service provider and parent responses to the Mentimeter activity and the pre-forum survey, including their frequency counts, were amalgamated into a single list.

Community forum discussions

In total, 4 community forums were hosted for service providers ( n  = 3 forums) and parents ( n  = 1 forum) in Spring 2023. Community forums were organized and hosted separately for parents and service providers to acquire the perspective of those trying to access the activities as well as those trying to develop and run programs. In-person community forums with service providers were hosted at local community centres and libraries. Separate community forums were offered in Oxford, Elgin, and Middlesex Counties to improve geographic accessibility. The agenda of the community forums was organized in two parts. The first hour of the forum served as a promotional event for the health units to educate and recruit organizations to the ACT-i-Pass Program. Following a short break, the second hour was a research effort conducted by the research team to gather perspectives from community stakeholders about the physical activity opportunities that exist in the area.

Parent community forums were planned to be in-person, but the research team experienced issues with geographic accessibility, scheduling conflicts, and commitments impacting attendance; consequently, parent community forums were hosted online via Microsoft Teams. Differing from the service provider agenda, the first half hour consisted of an overview of the ACT-i-Pass and a question and answer session, following an hour of discussion guided by the research team about the physical activity opportunities for children in their community. The perspectives of children were not collected for this study as their input will be most valuable after completing a year of the program. By collecting children’s perspectives once they have used the pass, they can offer the research team insight into their experiences and propose adaptations to the ACT-i-Pass design that can improve the quality of the program.

The discussions lasted between 50 and 75 min ( \(\bar x\) = 61 min). Two members of the research team attended each community forum. One member acted as the moderator for all community forum discussions to ensure consistency. The second member took notes to capture all key ideas and thoughts from the participants. Prior to the questions, participants were provided an overview of the topics being discussed and asked if they still consented to be recorded.

The community forum conversations followed a semi-structured interview guide (Additional Files 1 & 2) developed by the research team. The guides for service providers and parents consisted of 7 and 6 questions respectively and a series of prompts. The questions were related to the recreational spaces and activity options available in their community (i.e., What organizations in your community provide physical activity programming for children?), the characteristics of the community that positively or negatively influence physical activity participation (i.e., What characteristics of Oxford/Elgin/Middlesex would you describe as factors that positively or negatively influence children’s physical activity participation?), and the adoption of the community-based programs into their communities (i.e., Do you have any recommendations for the ACT-i-Pass as we begin offering activities in Oxford/Elgin/Middlesex?). Conversations with service providers and parents were audio-recorded and transcribed verbatim via Microsoft Streams. A member of the research team de-identified and reviewed the transcripts for accuracy.

Data analysis

All transcripts were imported into QSR NVivo 12 and analyzed following the steps outlined in Hseih and Shannon’s [ 39 ] procedure for direct content analysis. A deductive approach to the content analysis was deemed appropriate for this study as the responses generated during the pre-forum survey and Mentimeter activity offered a participant-directed list of codes related to children’s physical activity participation, recreation programs, and health promotion interventions in the 3 counties [ 40 ].

The analysis started with the preparation of the coding list by developing the initial coding categories. A list of 119 codes was derived from the service provider- and parent-generated responses in the pre-forum survey and Mentimeter activity. As similar words and terms were used to describe the same phenomena, the responses were refined into a universal term, resulting in 102 unique codes. Subsequently, the codes were grouped into initial categories based on key concepts and a definition for each category was generated. The initial categories were developed by members of the research team who attended the community forums as they had more in-depth knowledge of the data and the nuances associated with statements made by the participants [ 41 ]. An audit trail with a detailed record of the research process was developed to add trustworthiness to the findings [ 42 , 43 ]. The list of pre-determined categories and their definitions were reviewed by an auditor to increase their accuracy and relevance to the responses provided by community forum participants [ 39 ].

Two reviewers analyzed the transcripts independently and collaborated to identify the final categories. Using multiple reviewers during coding can add reliability to the findings and improve the quality of the analysis by introducing various perspectives and lived experiences that can produce a deep, thorough exploration of the data [ 44 ]. The researchers first reviewed the transcripts to familiarize themselves with the data and note any initial patterns or thoughts on the discussions. To isolate the nuances in the topics discussed during the service provider and parent discussions, the data were organized by adding attribute codes to each transcript to identify the study population (i.e., parents or service providers) and location (i.e., Oxford, Elgin, or Middlesex) [ 45 ]. The reviewers then went through the transcript a second time and coded categories using the pre-determined code list. As some factors could be perceived as beneficial or a hindrance in different circumstances, reviewers included a second code, when applicable, to identify if the quote referred to a positive or negative experience. Statements that did not fit into one of the pre-determined codes were highlighted and reviewed to see if a new data-driven code was required.

Recommendations presented by Elo et al. [ 46 ] and Smith et al. [ 47 ] were integrated into the methodology of the study to add trustworthiness (i.e., credibility, transferability, dependability, and confirmability [ 48 ]) and rigour to the findings [ 49 ]. Transferability was introduced to the study by gathering direct testimony from service providers and parents in the counties and providing descriptions of the community and participant characteristics, which allows the reader to make a judgement if the findings are applicable to their settings [ 49 , 50 ]. To establish dependability to the analysis, reviewers engaged in memoing throughout the analysis process, which involved recording thoughts of the transcripts or possible answers to the research question to improve the transparency of the findings [ 45 ]. This process included a critical analysis of the transcripts to identify the potential influence of the focus group facilitators on participants’ responses and to identify potential leading or vague questions [ 46 ]. The reviewers met at various points throughout the analysis to discuss coding and to share notes. Following the categories being finalized by the two reviewers, the research team engaged in the process of “critical friends” to add credibility and conformability to the findings [ 47 ]. As an alternative to inter-rater reliability where the aim is to reach a consensus, this is a reflexive activity that encourages in-depth discussions amongst the research team, where the reviewers offer their interpretations of the data and others present critical feedback that can challenge the reviewers’ biases, pre-conceived ideas and knowledge of the subject matter that may have influenced the findings [ 47 ].

Participants

In total, 94 physical activity service providers and community organizations from across the counties of Oxford, Elgin and Middlesex were contacted. From the invited organizations, 42 representatives from 38 organizations attended one of the community forums, with 37 representatives (39.36%) consenting to participate in the research study (with time constraints noted as the primary reason for not staying for the community forum group discussion). Additionally, 79 parents consented to be contacted about ACT-i-Pass research projects. Of those who consented, 9 parents participated in the community forum (11.39%). Participants were dispersed across the counties, with most parents characterizing themselves as white ( n  = 8; 88.89%) and female ( n  = 9; 100%). See participant characteristics for both the service provider and parent community forums in Table  1 .

Category development

The positive and negative factors related to children’s physical activity participation and physical activity programs identified by service providers and parents during the Mentimeter activity and the pre-forum survey are visually represented in Fig.  1 A and B respectively.

Positive and negative factors related to children’s physical activity in rural and smaller urban centres. Positive factors are represented in blue ( A ) and negative factors are represented in red ( B ). The words represent service provider and parent responses to the pre-forum survey and Mentimeter questions related to children’s barriers and facilitators to physical activity participation, the design and implementation of physical activity programs, and recommendations for physical activity programs in their community

The synthesis of the service provider and parent responses to the Mentimeter activity and pre-forum survey resulted in 10 initial coding categories. Following the analysis of the transcripts and discussion amongst the research team, 1 new category was added and 4 categories were integrated into other existing categories due to similarities in content. This resulted in 7 unique categories. Further details on the categories and their definitions can be found in Fig.  2 .

Categories developed and adapted from the pre-forum survey, Mentimeter activity and community forum discussions. Yellow codes represent ideas discussed during service provider community forums, blue codes represent the ideas from the parent community forum, and green codes represent the ideas discussed by both groups

Recovery from pandemic-related measures

Conversations in all the community forums highlighted the long-term impacts of the COVID-19 pandemic on children’s physical activity. Specifically, service providers and parents believed the public health protections introduced to reduce transmission of the virus were associated with lower physical activity levels that have yet to return to pre-pandemic levels.

Despite both groups describing the barriers and challenges created by the pandemic, the focus of the discussions differed between parents and service providers. The community forum discussions with parents were directed toward their child’s quality of life. During the early stages of the COVID-19 pandemic in 2020 and 2021, all the parents agreed that children lacked access to activities, resulting in, “two years or so of limited access to everything and they didn’t even do it for an entire summer”. Without their regular opportunities during the closure of recreational facilities and gyms, some parents expressed concerns about the physical activity-related skills their children may lack, with one parent explaining, “they [gyms] had to modify a lot longer than other places due to the fact that they were known as potential super spreader locations”. As a result, some parents felt that “it’s unfortunate for our kids now who didn’t get that opportunity that you didn’t realize at the time was such a big developmental stage that they were in”. Without the opportunity for children to try different activities and develop their physical activity-related skills, parents worried about the long-term influence the early years of the pandemic may have had on their children’s physical activity participation.

Alternatively, service providers were focused on the influence of the pandemic-related protocols on program attendance and the consequential changes to the current program offerings and schedules. Following the re-opening of gyms and recreational spaces after the removal of COVID-19 protocols, many service providers felt that enrollment rates had not returned to pre-pandemic numbers. As one service provider mentioned, “getting kids to sign up for anything is difficult. Getting them to register for anything is impossible”. Another service provider expanded on this topic, discussing their experience recruiting children after they re-opened: “Pre-pandemic, all our programs were full. We were bursting at the seams March 2020. We are just slowly trying to figure out what people want right now. Our membership base is really changed and we’re not seeing the kids in the drop-in programs like we used to”. As a result, service providers had to adapt their programming options and scheduling. This includes “I would say at 6 out of our 10 branches we’ve changed our hours” and “trying to figure out what works and we’re hoping in the next session [Summer] to add a few more programs”.

Knowledge and access to programs

Both service providers and parents noted the concept of accessibility of activities for children in their communities; specifically, discussions were focused on the knowledge of and ability to partake in physical activity programs. One of the primary topics explored during the community forums was the unique aspects of the rural environment that influence children’s ability to get to the recreational facilities or small businesses offering activities. In addition to physical accessibility, service providers and parents discussed families’ awareness of the local physical activity opportunities.

Rural environments were described as low-density and dispersed spaces that, “if you live in a rural community, there’s no option if you don’t have a car” (Service Provider). The dispersed organization of these communities limits children’s ability to get to activities by themselves. Service providers and parents both described safety concerns with children travelling to activities by themselves, referring to “they’re [recreation facilities] a distance away and it’s the time of the year that’s dark” (Parent), and “there’s no bike paths leading to here [our facility], so those are barriers for that age” (Service Provider). Public transportation is non-existent in rural areas, placing pressure on parents to get their children to activities. As described by one parent, “I think it’s just access is a really big one, so like physically getting into the program and getting to London isn’t going to work for a lot of the community because there’s no public transportation between here and there.” This is a particularly large issue in small rural communities that lack resource availability and require families to travel to other municipalities or towns to access services, as mentioned by one parent: “I live in a town where we piggyback off the other town, so I have to travel only because my town doesn’t offer sports”. One challenge service providers can encounter is families’ unwillingness to travel to activities. Rural communities can cover a large area and it can be difficult to come up with programs that are accessible to all families within the region. As one service provider explained, “when we do county-wide scavenger hunts or something like that, if they live in the Far East they’re not going to [go]. Absolutely not. They might go to St. Thomas, but they’re not going from one end [of the county] to the other”.

In addition, many parents highlighted having difficulties finding programs for children, describing that it requires time and research on multiple platforms: “I think there’s programs all over the place. Some are private. Some are public. Some are invite only. Some of them are on Facebook and some of them are word of mouth.” As a result, one parent believed that they needed to be self-reliant to find their child after school activities and “sometimes we have to seek the questions and ask ourselves and not wait for the information to come to us”. One parent noted that access to information also differs among different socio-demographic groups in their region, with those from “the lower income side … [they] don’t have a lot of access to the information that gets sent out and be educated on things so there’s certainly a barrier of almost classism.”

One of the obstacles for service providers is figuring out how to best promote programs. While deliberating about effective ways to get information to parents, service providers indicated that the ultimate difficulty is that “there’s so much information out there that everything just gets bogged down, right? Gets lost in Facebook walls or Instagram or whatever”. Some service providers attributed promotion challenges to the popularity of different media platforms, specifically highlighting previously used modes of promotion now have limited effectiveness. Some examples provided by service providers included, “a newsletter every quarter of what’s going on and the newsprint in our area, people don’t read it anymore”, “FM radio is there and that’s supposed to be our local news for all that and most people don’t listen”, and “internet out in the rural areas is not always easy”.

Recommendations

To alleviate the issues associated with the physical accessibility of programs, parents and service providers recommended that interventions take the environment into greater consideration when developing programs for rural and smaller urban centres. Service providers encouraged more efforts to be focused on smaller communities that lack local recreational facilities and programs, including boosting the community’s use of outdoor spaces.

To better support parents’ understanding of the recreational opportunities available to their children, several parents spoke of the need for an online repository where the information for all physical activity programs can be found in one location, as emphasized by one who said, “it would be nice if there was a central spot where all of that [recreation programs] could be held and not necessarily relying on Facebook to find all that… ”.

Availability

A large portion of the community forum conversations centred around the availability of physical activity opportunities related to the programs, facilities, and resources in the community that can be used by children. Primarily, service providers and parents focused on the variety of activity options available to children.

In the counties, the activity options offered by municipalities can vary between communities, with some places not having programs, services and/or spaces for children to play. As one parent described:

They have the space, but they don’t have necessarily the programs. I’ll give you an example. We have a tennis court, but there’s nobody to run a tennis program. We don’t have the trained athlete or adult to run the programs. There’s badminton areas and volleyball areas, but there’s no one to run the program in our area again.

When trying to enrol in programs, some parents mentioned having difficulties getting a space for their child, with one parent highlighting, “show up two minutes late [to register] and now they can’t get in [the program]. Yeah, it really feels like if you already know then you’re good, but if it’s something new you’re trying to try out, good luck”. By not being able to enrol their child in local physical activity opportunities, parents struggle to get their children active outside of school.

In response to parents’ concerns about activities not being available or programs having insufficient spaces, service providers explained that limited activity offerings may be a consequence of previous attendance rates. As one service provider explained, “it gives you that justification to run the program that the numbers [participants] are there and it[s] driving revenue into your pocket, then you could say yeah let’s drive it forward”. Attendance is especially important in smaller, rural communities that have limited recreation budgets as underscored by one service provider who said, “[our municipality] does have a community center, but I know that they have been struggling to get people, so that’s affecting their offerings”. Consequently, local private organizations and small businesses are critical resources for physical activity in non-urban areas.

In addition to the activities, service providers referred to the available spaces for physical activity in rural and smaller urban centres. Predominantly, service providers focused on dispersed rural communities as they do not have local indoor recreational facilities. One service provider detailed, “again, it comes down to amenities and facilities. There aren’t really any there. It’s the rural part. There’s no facilities so there’s no programs”. While there may be a lack of indoor facilities for physical activity, a variety of outdoor spaces do exist in the counties; however, children can encounter challenges when trying to use these spaces. For instance, the definitions linked to specific places can limit children’s use of outdoor recreational facilities. One service provider referred to the definition of a space in terms of the associated activity: “Yeah, so if you have a big open park that is a soccer field, you can’t do anything else there but soccer. You can’t go and run around or do stuff because then they think you get kicked off”. In addition, service providers believed demographics, particularly age, influenced the places children felt they were allowed to use to play. For example, one service provider discussed older children’s experiences playing on the local playgrounds:

The facilities seem to be claimed by another group. It’s like your sense of belonging, like ‘well, I can’t go there’, and I hear it quite regularly by youth that are in that transitional age that they don’t feel like they could even go to the playground facility because it’s for younger kids and they’re deemed troublemakers if they’re there… so the facility might be there, but they’re not welcomed there.

Parents requested additional spaces in organized recreation programs to help alleviate their current frustrations. Conversely, based on the conversations with service providers, capacity can vary across community types and resource availability, as one service provider described, “if you look at what the capacity of the City of London compared to the capacity of the county and the capacity of each municipality is very different”. Service providers suggested that the development of seasonal programming should be influenced by the available spaces in the community, prioritizing activities that they can offer consistently and sustainably.

For service providers, particularly municipal recreation departments, to maximize the available spaces in the community and increase their capacity for additional programming, non-traditional locations for physical activity programs were suggested. This includes offering activities in any large, open room that is available such as a church, school, or library. The discussions also highlighted the large number of outdoor spaces in their communities. However, some parents noted that outdoor spaces were being underutilized, “you’re not just going to meet a bunch of kids at the park for a few hours. It’s rare that we just find random kids on the street that they can go play with… Yeah, my kids don’t have the internal appetite to just go outside and play”. Thus, parents believed additional outdoor organized activities, particularly during the summer, would be an advantageous way to increase the number of physical activity options and encourage more children to be active. Service providers did note that children may perceive certain outdoor locations as unwelcoming and unavailable and emphasized the importance of educating and redefining the way children view the spaces in their community.

Personnel support

There are multiple levels of support required for children to engage in physical activity. Service providers and parents highlighted four groups: friends and peers, parents/guardians, schools, and governments and municipalities.

Both service providers and parents discussed the difficulties parents/guardians face when trying to engage their children in physical activity. The discussions with service providers indicated that many families in rural communities “have to travel… My town is close enough to bigger centers, but, and as I hate to say, behind the times so there’s nothing”. Consequently, it can be difficult for parents who live in rural communities who drive longer distances to work. As one parent mentioned, “parents that work outside of their community have to drive all the way home at the end of the workday to pick up their child, and then to drive an hour back into [the city] is a lot of hours in a car. That is a lot of time consumed that is difficult for families and gas”. An additional issue service providers mentioned about parents’ ability to support active lifestyles was their knowledge of physical activity expectations for children. Some service providers felt, “the parents that I talked to in training have very little idea of physical activity guidelines, but they have an idea of what their child looks like. There are a lot of barriers and to kind of make sense of what’s out there and how it applies to raising a child”. As a result, service providers believed that low registration rates were potentially attributed to inadequate physical activity literacy.

While peers were primarily described as a positive influence on children’s physical activity, peer pressure was recognized by parents. If friends exhibit dislike for, or remove themselves from, an activity, this may discourage a child from participating. As one parent noted, “depending on who’s in their class, my daughter would definitely choose to sit on the sideline with her friend than try dodgeball”.

Governments and municipality officials were also highlighted by service providers as a group that has hindered children’s ability to be physically active. As one service provider describes, “a lot of policies in these small towns… I know that’s an issue in a lot of small communities, the liability issues”. Specifically, the safety protocols that need to be enforced at their facilities have led to inequities in activity access. As one service provider mentioned, “A lot of street hockey going on right now and the powers that be shutting it down… Hard getting their kids out to let them do anything because there’s always somebody watching saying ‘no, no, no you can’t’”. Similarly, another service provider talked about their skating programs and the new helmet regulations:

It was felt really hard this year with the new board policy for skating at the arenas. The school board implemented a policy of CSA-approved helmets, so children that only had a bicycle helmet could no longer participate in the school field trip for skating unless their families could pay to get them a hockey helmet or ice hockey helmet. Very limiting policy for those children to be able to participate.

While the government’s efforts aim to create a safety measure that protects children, they have also led to greater inequities in physical activity participation.

Facilitators

Peers were characterized as key influencers in children’s lives, with parents and service providers describing how they can encourage each other to be active. For example, parents highlighted, “if you can bring a friend with you they’re more than likely to go with a buddy or two or a couple people instead of by themselves”, and “you both can kind of support each other on the [basketball] court and it’ll be great and they had a great time, but it was only because her friend was joining that she joined”. Some service providers have also seen the benefits of peers encouraging participation in recreation programs, explaining, “our badminton program almost didn’t run this past season because we had one kid signed up for the first month and then within probably a week or so of us cancelling the program, we had 15 kids sign up because one kid told his friends”. Overall, peers were viewed as an important driver of physical activity for children by acting as a key support system during activities.

Besides peers, parents and guardians have a pivotal role in their children’s health and are “key to their child’s physical activity” (Parent). Many parents felt that it was their responsibility to encourage their children to be active: “I guess it also at the grade 5 level, it’s really the parent that needs to push it [physical activity]. The parent is the one that has to drive them. The parent has to free time up in the afternoon, not to be cooking or cleaning or picking up from the week, but let’s pause and do physical activity”. Some of the service providers believed parents demonstrated they recognized the relationship between physical activity and their children’s health and well-being: “I have parents emailing me every day right now about stuff, so I think parents are starting to see what we are seeing, that their kids aren’t active enough”. Many parents described being happy to take their children to activities, stating, “it’s a choice, but you also see the joy in the kid, your kid’s eyes and you wanna keep going because they just love it so much”.

In addition, schools were described as key settings for physical activity, with staff playing an important role in physical activity promotion. Parents believed schools, specifically physical education classes, are responsible for introducing children to activities:

The other thing with sports is that you have to sign up for a period of time and we were just saying, if they’re not introduced to it in school, how would they know if they like it? And then why would a parent pay $300 for them to try something that they might absolutely hate? So, something like school can help introduce sports.

Similarly, many service providers viewed schools as advantageous places for physical activity, specifically for afterschool programs as “schools can provide space after hours and the kids are already there”. Schools were also labelled as a central location for program promotion, with one service provider stating, “schools are actually sending their papers home. They send their newsletter home once a week, electronically”. In terms of staff, teachers can be ambassadors and advocates for children’s participation in physical activity. As one parent explains, “if you get it to the right teachers, they interact with parents all the time. I know that they will send like a video or something”.

Based on the conversations with service providers and parents, creating partnerships is important for community-based interventions and recreation programs. Some service providers believed that talking with “established organizations that have the audience has been a driver of success for programs especially”. Teachers and administrative staff at schools were key collaborators identified during the community forums as they are constantly in contact with parents and can easily share information about recreation programs with their classes. Service providers have talked about the benefits of teacher advocates for physical activity interventions like the ACT-i-Pass Program, with one recommending, “put it in some of the teachers’ brains that ‘hey, guess what? We got this ACT-i-Pass thing’. They can physically talk to a parent instead of just a paper or something that gets missed”. Additionally, service providers recommended that parents be provided more education about the national movement guidelines to reinforce the amount of physical activity children should be acquiring.

Quality of programs and facilities

The quality of the physical activity offerings and facilities was discussed during the service provider community forums. By quality, service providers referred to the facilities being in good condition and programs being led by trained personnel who are skilled in the activity.

A few service providers noted changes to the composition of the counties over the last few years, including the growing population, changing demographics and redevelopment, as one of the underlying reasons for lower program quality. This has been particularly difficult in rural and smaller urban centres, with one service provider explaining, “everyone’s moving out of the city into the smaller towns so it makes sense to expand them now, establish them now, but [my community] hasn’t done anything”. As a result, service providers stressed that the internal migration “changes the dynamic of how you look at programming too because you could have a group you catered to for a while and then you have a line of families that are coming in from other places. They are expecting a lot of different standards of smaller areas which forces us to grow too”.

To offer a quality program, many service providers emphasized the demand for qualified staff that are knowledgeable about the activity and “skilled enough to be able to actually provide the program”. As mentioned by one of the service providers, “finding that instructor is definitely the hardest part when you’re trying to either start or restart a program, because if you don’t have that person to lead it or you don’t have the right person to lead it, your program doesn’t work no matter whether you had 1500 kids interested in that program if you don’t have someone excited and skilled to run it”. Due to the low population size of rural and smaller urban centres, finding community members who are proficient in an activity and willing to teach the skills to children is one of the service providers’ key obstacles in offering recreation programs.

When offering new programs, service providers stressed the time needed to gain community buy-in, as recreation programs are a “community service, it’s a service that you’re offering the community, so their interest is important”. The challenge highlighted by service providers is the time and effort required to gain awareness and secure regular enrollment in programs, which is necessary for their longevity:

It doesn’t happen overnight that people will come … It’s building the consistency, so families know that’s what’s gonna happen, whether they have 3 people show up for open basketball or whether there’s 20 people show up. If you don’t have the consistency, I think it’s really hard to be able to keep programming and families close within that area to participate in it.

To encourage community engagement, service providers have found that partnerships can help provide useful insight into the program models that work and the different approaches that have been unsuccessful. For instance, some service providers believed that sharing their experiences with other organizations can improve the quality of physical activity offerings across the community. One service provider referred to their experience meeting with the recreation programmers across their county:

I mentioned earlier how the municipalities who are in recreation are more than willing to talk to each other and share information with each other about what works and what doesn’t work. We started to try to open a membership option with some of our recreation programs and we reached out to a couple [of organizations], like, ‘hey, have you seen that this is a good thing or not?’

Consulting families was also viewed as vital for higher-quality programs. One service provider found that “a big piece, if you wanted to utilize those spaces, would be to engage with the youth to understand, like, if we open the gym or do we have a structured basketball tournament or badminton tournament or whatever that be”. By talking with potential users, this provides “validation that if they are going to pay staffing to be there and that people are going to show up”.

To account for the rising population, a service provider suggested that municipalities need to account for physical activity-related facilities and staffing during the development of rural communities and smaller urban centres: “we need to be able to provide the programs and amenities that come with that [the county growing], but until other things grow, whether it’s facilities or staffing or availability or whatever it is, you won’t grow with the population”. Service providers from rural communities also noted that it takes time to gain awareness among families when they introduce new program offerings, recommending that fellow program coordinators “… keep in mind with timing, it’ll take time. The population is lower, but we find things take longer and you have to build over time. Be patient”.

Expenses and subsidies

The expenses related to physical activity programming were a predominant topic among all community forums; however, the focus of expenses for parents was related to the cost of attending activities, while service providers were associated with the cost of managing programs.

For parents, the topic of expenses was related to the cost of their child attending and participating in activities. Ultimately, many parents felt that the price of organized physical activity is too high, with some describing sports as unfeasible opportunities for their children. As one parent described her son’s hockey season, “we’ll be in at $5000 by the time the season’s done and that’s just local league. That is cheap hockey. Now, if he wants to go competitive, some of my friends are saying they’re spending $7,000 to $10,000 for them to play competitive”. Families attributed the challenges associated with expenses to the cost of living “getting worse. We had a conversation at our dinner table about the cost of living. Everyone’s talking about it increasing”. Due to the high prices, parents felt that it can be difficult for children to try a variety of activities and find what they enjoy as one parent reported, “we’d be more than willing to sign our kids up for a bunch of programs if they had them, if we could… I can maybe pick one and then that’s all you can get this year because it’s all financially I can do”, meaning that “the cost of certain programs are just not attainable for some people… there’s a much larger cost to getting into the programs, so that negates it for some people”.

In addition to the registration fee, parents attributed transportation and unplanned expenses as challenging supplemental costs. Parents described the cost of gas accumulating quickly throughout the season, “now I’m driving him every day, not every day, but to his practices and his games. Well, that’s gas money, that’s another thousand dollars”. There are also team events that can lead to activities being more expensive than planned. For instance, one parent discussed the extra costs they noticed as their child engaged in more team sports:

It’s not only just the cost of equipment, but people go out for dinner after or they go out for ice cream. It’s all those things that if you can’t afford to bring your child, pay for it, the child might just decide ‘I don’t wanna be the one who’s going and I can’t go out for a meal after or get that ice cream cone with the group because I don’t have the $4’, so it’s a lot.

In contrast, service providers were focused on the expenses of managing physical activity programs. Service providers described having to limit the types of activities they can offer due to their available funds. Service providers supporting rural communities believed that it “might be easier for cities and towns to run them [recreation programs] because maybe they have that built into their budget that they can have money to give a program. We don’t, unfortunately”. Also, due to limited funds, they may not be able to offer some free and low-cost programs, with one service provider explaining, “there’s pickleball nets and they get so many people out of that but it’s free and that’s not something that I can do with our programs”.

Service providers also discussed the available resources in their communities. Due to budgets, service providers reported issues getting access to the necessary equipment and the need to borrow supplies from partners or schools. For those who have the equipment, service providers experienced time and cost challenges of transporting their equipment to facilities: “We have our equipment because we have our own space… we can bring it there [to the school] but we can’t store it there, which means there’s an extra amount of time and money that goes into that transportation every week for each day”.

Finally, a lack of funds influences the type of staff working at service providers. As one service provider expressed, “getting actual programmers for us, ‘cause we don’t have the Y budget that would provide a programmer to us, so that is a challenge”. In order to recruit the necessary staff, many service providers have to counter the extra costs by increasing the price of their activities: “So then you start paying that that main instructor that price needs to go up in order for us to continue”. Either the price goes up or you don’t run the program”.

To improve access to resources, one suggestion offered by service providers involved partnering with other publicly-funded organizations, such as community centres or libraries, to supply children with equipment that they can borrow and bring home: “Through the Y[MCA] or a program like that where you could come and get sports equipment or things so they can try a sport whether it be a hockey stick or a baseball glove or a soccer ball or a basketball. To have a sports lending library there”.

To help fund activities, a few service providers found that gaining sponsorships from organizations was a beneficial way to acquire additional funds. As described by one service provider, “maybe there would be another business that might be willing to provide funding so if a child wanted to sign up or to be able to help out businesses that are keen to help but maybe just can’t afford it financially”. External funding partners can also subsidize activity fees for children by acting as a “sponsor a dance class or a Taekwondo class or a something like that”. As offering free programming was deemed difficult or impractical for service providers, it was suggested that grants and subsidy programs be used to help improve families’ access to recreation programs. Funding support offerings can provide opportunities related to “their income level and if they were under a certain level then they received 50% funding for all the registration fees”, or “a necessity program so money is just for low-income families to help cover the cost of activities”.

Inclusion and preferences

Offering a variety of activity types and levels to make service providers more welcoming to all children was another frequently discussed topic during the community forums. As stated by one service provider, “inclusivity is crucial to youth right now, right? So, if you’re not inclusive you’re not being positive and allowing everyone to participate and then you’re not gonna be successful and kids aren’t gonna participate”. The discussions concentrated on service providers having a diverse number of activity types and levels within each activity to consider children’s abilities and preferences.

Some service providers and parents credited children’s low engagement in physical activity to the confidence or skillset to participate in a specific activity. As one service provider discussed, “I have noticed a huge confidence issue. Not picking things up that they aren’t fantastic at right off the bat… ‘I’m not good, I’m outta here, everyone’s better than me’”. A few parents reported seeing confidence issues in their children, with one parent describing, “it’s so tricky, especially when you think about that confidence. The ability to do sport, especially hitting that grade 7, that 13-year-old where you’re very self-conscious.” An explanation for confidence issues is the pressure they feel from their peers when they “size themselves up. It’s a natural thing people do. The ‘am I better than you? Are you better than me?’ mentality” (Parent). To help grow children’s confidence, children are looking for “proper skills and drills, it’s very popular” (Service Provider).

The appropriateness of the available activities may also be lacking with the current program options. Specifically, children have different needs and a greater variety of activities will help offer programs suitable to the different skill sets and ages of children. One characteristic highlighted throughout the conversations was the competitive spirit of children. Some of the parents attributed the lack of participation in organized programs to the absence of non-competitive options for sports. As one parent mentioned, “I find that there’s kind of a gap between like rec hockey players and just base recreation players… They don’t like high levels.” Parents felt that many activities were “the team sport atmosphere. My child’s not competitive, so knowing that she wants to learn, she wants to be better, but she has her own internal competitiveness, not external”. A problem many parents encountered was trying to find programs for their children to try and learn activities, as underscored by one parent while discussing an introductory hockey program in their community:

Now, one thing I don’t know is having those same kids on the ice at the same time as those who have been playing the sport for years because if that’s the case, that’s gonna fail immediately. They almost need their own ice time or their own space that they’re learning at their level.

In addition to the activity options for non-competitive children, the activities need to be age-appropriate. For instance, children can be embarrassed when “my child who is 10 is doing say beginner hockey, but then there’s also 5-year-olds in that group. Even if she’s at the same level as them, she is not going back. She’s like ‘I’m at the same level as a 5-year-old. No, thank you’” (Parent). The financial and personnel constraints service providers experience have also affected the program offerings by prompting more co-ed activities that combine both boys and girls; however, one parent said this has negatively impacted her daughter’s participation in team sports as, “at her age, they’re often both male and female combined, so co-ed. What I’m seeing as a parent is that the boys are becoming bigger and more aggressive as in they’re competitive and she is not, so therefore, she gets intimidated”.

Offering children activities they want to participate in and are passionate about was described as critical for continued physical activity participation. Ultimately, parents cannot force their child to want to take part in an activity. As one service provider highlighted, “you know we have parents bringing kids 3 or 4 years old to take martial arts. The parents are making them do something that doesn’t really draw [their] interest, but after 11 years old they seem to make their own choices”. As one parent noted, providing children with the opportunity to try various activities can be beneficial “if you want them to stay active in the long run, they need to find something they enjoy”.

Moving forward, it will be important to offer activities for various skill levels. As noted by one service provider, “building people’s confidence up, giving them an opportunity—a safe space to try a sport or try an activity with people with the same skill level as them”. In order to develop children’s self-efficacy and increase program uptake, there needs to be a variety of program offerings to account for “the diversity in who the kids are, the ages of the kids and interests” (Service Provider). This can also be done by offering flexible activities where the programs are “something more that evolves and keeps them interested” and they can be adapted by “asking them if they feel good and you’re teaching them to help structure play” (Service Provider). In addition, offering non-competitive and entry-level programs can encourage children to join activities where “everybody that joined it was just kind of trying it. Nothing serious and it made it easier to attend those things as opposed to going with a group of kids who have been playing that sport for 7 years and you’re trying it for the first time” (Parent).

One strategy to alleviate the issue of activity options for all children is offering non-traditional activities. For instance, service providers reported, “people get bogged down with the traditional programming like soccer and basketball. There’s so many other programs that are out there” and “dodgeball’s huge right now. Just those off the cuff programs that aren’t traditional… just doing something that they don’t have the opportunity to do and just being creative with that”. Similarly, service providers suggested that program offerings should integrate trending activities among youth: Working on some trends in certain sports. Like, who would’ve thought pickleball? Cornholes replaced horseshoes. You know what I mean? You gotta kind of recognize it’s replacing something in a more modernizing way.

Through a series of community forums with service providers and parents, this study aimed to explore the physical activity opportunities in rural communities and smaller urban centres and to understand how to develop and implement community-based physical activity programs for children in areas with low resource availability. The discussions with service providers and parents highlighted a variety of barriers and facilitators to physical activity participation. Some examples of barriers included the distance to activities, the expenses related to physical activity programs, and limited resources to meet the population growth. In contrast, flexible activities, promoting programs through schools, and outdoor spaces were described as facilitators. In addition, recommendations for the development and implementation of physical activity programs for children in low-density and minimally resourced areas were noted. Recommendations covered a range of topics such as developing physical activity-related skills, utilizing non-traditional physical activity spaces, and centring program offerings around equipment and personnel capacities.

When asked about the factors that influence children’s physical activity, service providers and parents believed that the loss of organized programs and the closure of recreational facilities due to the government-regulated COVID-19 public health protections had a negative effect on their child(ren)’s physical activity. Children’s preference for organized recreational opportunities and limited involvement in active play is consistent with the evaluations of Canadian children’s physical activity participation [ 7 , 8 ], For instance, Sharp et al. [ 52 ] found that most rural children were looking for structured after school or weekend activities and would enrol in a wide variety of organized programs, such as physical activities, music, clubs, and tutoring. However, children’s desire to engage in organized activities conflicts with the body of literature asserting that there is a lack of resources in non-urban communities [ 53 , 54 ]. In a comparison of rural and urban Canadians, participants from rural communities are more likely to report barriers to accessing recreational facilities [ 55 ]. Due to the interest in more structured activities, implementing community-wide programs and finding strategies to improve recreation offerings can be a beneficial way to promote physical activity participation in resource-limited communities.

Accessibility was noted as a common barrier throughout the community forums, consistent with the literature on rural physical activity [ 56 ]. Poor accessibility was associated with the community structure and resources varying between communities. For instance, Gilbert et al. [ 19 ] found smaller rural communities with a population size of less than 6,000 residents had fewer resources and less infrastructure than larger communities, which may require a tailored intervention plan. Due to the longer distances between home and program offerings, transportation is one of the main barriers to physical activity in rural and smaller urban centres. In non-urban communities, public transportation is non-existent or unreliable, and active transportation is not available to children as parents may be concerned about the lack of bicycle lanes and sidewalks, their children travelling on underutilized routes, and wild animals [ 57 ]. Consequently, children cannot attend programs without a parent or family member acting as a driver. As a result, researchers and program coordinators need to understand the unique characteristics of the different communities in their jurisdiction when developing community-based programs and create an implementation plan that best meets the needs of the whole target population.

Outdoor spaces were also identified as a beneficial method for improving children’s physical activity. Both parents and service providers highlighted the variety of outdoor spaces that are unused by children without organized activities. In addition to engaging children in more physical activity, outdoor spaces have been found to provide various other health-related benefits, including increased self-esteem, problem-solving abilities, social behaviours, and motor skills [ 58 ]. While outdoor spaces can provide additional recreational opportunities when programs and facilities are limited, they may target those who are sufficiently active. For instance, children from rural and remote communities who reported being involved in a higher number of organized activities also reported greater involvement in unstructured leisure activities; this refutes the ‘over-scheduling hypothesis’ that proposes those who participate in more organized activities face time constraints that inhibit participation in unstructured forms of physical activity such as outdoor play [ 52 ]. As the outdoors can provide an open space for imagination and creative activities, offering non-traditional activities in these settings can help engage children who are not interested in sport-focused activity offerings.

In addition, parents and service providers described select individual-level factors as barriers to physical activity participation. Consistent across evaluations of urban and non-urban communities, children are potentially not participating in any programs due to their lack of interest in physical activity options [ 59 ]. Parents and service providers presented conflicting accounts for why there are issues with the current program offerings. Consequently, it is difficult to conclude if service providers’ limited capacity or families’ low uptake has led to a reduced variety of activity options, but they both likely play a role in children’s physical activity opportunities. With the rising internal migration to rural communities on account of the transition to virtual and hybrid work options available during the COVID-19 pandemic [ 20 ], there is an increasing demand for resources and services in these areas. As there are difficulties associated with recruiting staff and the capacity for communities to build more recreational facilities, program offerings should prioritize the resources that currently exist in the community, including integrating the land use and development plans for the municipality to account for the growing population [ 60 ].

One finding highlighted in the current study by both service providers and parents was the cost of recreation programs. Due to the high cost of extracurricular activities, family income is an important factor in physical activity participation for children [ 61 ]. For example, Kellstedt and colleagues [ 62 ] found that children’s chances of partaking in sports were 4 times more likely when they lived in a higher-income household. This aligns with the idea that socioeconomic-based health inequalities increase across the life course because of the cumulative advantage or disadvantage associated with differential access to health-promoting resources, much of which is rooted in early life exposures [ 63 ]. While many recommendations for reducing the economic accessibility of physical activity surround affordable programs, one frequently reported barrier among rural populations is the shortage of free and low-cost physical activity opportunities [ 55 ]. The high cost of activities was also noted as a challenge for service providers. Local governments in smaller communities tend to face financial challenges with limited revenue, minimal financial capacity, and a high cost of living [ 15 ]. As a result, service providers have difficulties maintaining their facilities and creating environments that better support physical activity, which means regular free activity offerings are not a viable solution in many communities.

Recommendations for physical activity interventions and recreation programs

In response to the identified facilitators and barriers related to recreation programs, service providers and parents offered recommendations to integrate into the expansion of the ACT-i-Pass Program and future physical activity interventions. Recognizing that the number of physical activity providers declines as the ACT-i-Pass shifts from a densely-populated city to more dispersed, resource-limited settings, the recommendations provide valuable adaptations to the intervention’s design and implementation that can offer physical activity opportunities tailored to the needs of families in rural and smaller urban communities. For instance, due to the range of conditions that exist in non-urban areas (e.g., population size, resources), the unique characteristics of the different communities and available resources need to be incorporated into community-based programs to ensure activities are accessible to all children, particularly those in low-density rural areas [ 64 ]. For example, the transportation options in dispersed communities differ from urban environments; therefore, additional attention needs to be placed on creating more programs in a variety of neighbourhoods or reducing transportation barriers by offering busing from schools to service providers or encouraging carpooling with other families.

Primarily, creating additional structured activity options for children was deemed a beneficial strategy for engaging children in greater amounts of physical activity. One suggestion included utilizing the abundance of outdoor spaces available in the area. Encouraging outdoor play and creating more outdoor programs in a variety of communities can help children be more active [ 65 ]. In addition, increasing the program offerings to service a greater variety of activity preferences and skill levels can allow programs and interventions to have a greater impact on the health behaviours of children. Traditional activity offerings are not reaching all children, particularly those not interested in sports or competitive environments; therefore, providing unique and fluid programs may help gain their interest in activities and engage them in more physical activity. Program coordinators were encouraged to integrate trending activities (e.g., pickleball) and flexible programs into their offerings. Flexible programs, alternatively termed scaffold play, are child-directed activities that are guided by an adult [ 66 ]. The objective of these activities is to foster children’s development and creativity as they work towards a specified objective outlined by the adult [ 67 ]. While this strategy is primarily used in a preschool context [ 68 ], it may continue to have benefits among older children.

Additionally, partnerships were a key recommendation from service providers, reinforcing the importance of collaborations in successful community-based interventions [ 69 ]. Specifically, it was stressed that community organizations and families are valuable sources of information and support when creating programs for children. Community organizations, such as government agencies and businesses, can assist in the administration of programs and interventions by offering financial support via subsidies or grants that reduce the financial strain of registration fees for families or facility management costs for service providers [ 70 ]. Other partners, such as schools, can also improve awareness of programs and interventions by acting as promoters [ 71 ]. Alternatively, engaging with families can give greater context to the community and help set priorities for interventions based on the interests and the supports needed by the target population [ 72 ].

As COVID-19 continues to influence the physical activity context, there are additional recommendations that need to be integrated into health promotion efforts. For instance, children missed pivotal years of physical education due to the closure of schools and recreational facilities. Perceptions of athletic ability, self-efficacy, and motivation to be active are all factors that can have a significant influence on physical activity behaviours [ 73 ]. Thus, interventions should integrate programs with a greater focus directed toward building children’s physical activity confidence by teaching skill sets and movement competence [ 74 ]. In addition, with many small businesses closing during the pandemic, redefining what qualifies as a setting for physical activity is important. In rural communities, children do take advantage of existing afterschool program opportunities (e.g., church youth groups) when school athletics programs, sports leagues, and recreation activities are limited or unavailable [ 52 ]. As the findings indicate that children are hesitant to use spaces without the guidance of an adult, creating structured programs will make non-conventional physical activity spaces more accessible for children. A full list of the recommendations provided by service provider and parent community forum participants is provided in Fig.  3 .

Service provider and parent-derived recommendations for physical activity programs and interventions in rural and smaller urban centres

Limitations

While this study provides valuable insights into rural and smaller urban centres and physical activity programs, there are limitations that must be considered. The parent community forums exclusively involved responses from mothers. While it is common that parental perspectives on their children’s health behaviours tend to come from mothers [ 75 ], we are missing the paternal perspective that may offer different experiences with their child(ren)’s physical activity. Additionally, our study consisted of families and service providers from Elgin (including the City of St. Thomas), Oxford, and Middlesex Counties. Based on responses to the Census Profile, the populations of these three communities consist primarily of English speakers and non-immigrants and have a lack of racial and ethnic diversity [ 32 , 33 , 34 ]. Due to the similarities between participants, we are unable to make conclusions about the influence of demographic characteristics on the experiences of families from our study area. While efforts were made to produce a thorough list of service providers, the perspectives of some organizations may have been missed if they did not have an online presence or if our community partners were unaware of their existence. Finally, rural communities and smaller urban centres are contextually diverse based on population size and physical activity-specific resources [ 19 ]. There are multiple definitions used to differentiate between urban, suburban, and rural areas that vary based on one or more community characteristic(s), such as population density, population size, distance from an urban area or distance to an essential service [ 76 ]. As a result, the applicability of findings to other non-urban spaces can be challenging and may only relate to the experiences of service providers and families who reside in rural communities, villages and small urban centres that are within an hour’s drive of a large urban centre.

To counter the rise in physical inactivity associated with the COVID-19 pandemic, developing and implementing interventions that can encourage children to live more active lifestyles are critical. To improve the quality and effectiveness of community-based interventions, researchers and program developers should collaborate with community members and organizations to adapt interventions to meet the needs of their target community. This is particularly important for small, dispersed communities that have unique characteristics based on their population size, number of recreational facilities, and activity options. Service providers and parents emphasized the need for interventions and programs that offer accessible, diverse, high-quality program options that are inclusive and meet the needs of all children in the community. To account for the impacts of the COVID-19 pandemic, interventions need to integrate additional opportunities for children to develop their confidence and physical activity-related skills and find resources that can reduce the economic strain associated with recreation programs. While a variety of suggestions from parents and strategies used by service providers were noted, further studies are needed to evaluate the impact of the recommendations on the effectiveness of interventions and recreation programs in rural and smaller urban centres with a focus on fidelity, uptake, use and changes to physical activity levels.

Data availability

The datasets generated and analyzed during the current study are not publicly available due to research ethics board requirements but are available from the corresponding author on reasonable request.

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Acknowledgements

We would like to thank Southwestern Public Health for their support in administering and organizing the ACT-i-Pass community forums. We also thank program service providers and local school boards (the London District Catholic School Board, Thames Valley District School Board, Conseil Scolaire Viamonde and Conseil Scolaire Catholique Providence) for their continued support of the ACT-i-Pass Program. We also thank the parents and organization representatives who took the time to attend the community forum and participate in a community forum discussion. Finally, we thank our research assistant, Samantha Lotzkar, who reviewed the transcripts for accuracy and acted as a secondary analyst.

This research was funded by the Lawson Foundation Miggsie Fund’s Community Grants (GRT 2022-49).

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E.O., J.G., J.I., J.S. and P.T. conceptualized the study. E.O. and P.T. developed the community forum guides. E.O. recruited study participants, moderated the community forums, conducted the analysis, and wrote the original manuscript draft. J.G., J.I., J.S. and P.T. reviewed and edited the manuscript. All authors have read and agreed to the published version of the manuscript.

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Ostermeier, E., Gilliland, J., Irwin, J.D. et al. Developing community-based physical activity interventions and recreational programming for children in rural and smaller urban centres: a qualitative exploration of service provider and parent experiences. BMC Health Serv Res 24 , 1017 (2024). https://doi.org/10.1186/s12913-024-11418-w

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Exploring perspectives: a scoping review of the challenges facing doctoral training in Africa

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• Oluwatomilayo Omoya   ORCID: orcid.org/0000-0002-0545-5341 1 ,
• Udeme Samuel Jacob   ORCID: orcid.org/0000-0002-3234-8226 2 ,
• Olumide A. Odeyemi   ORCID: orcid.org/0000-0002-6041-5027 3 &
• Omowale A. Odeyemi 4  

Given the growing demand to produce PhD holders in Africa, it is crucial to grasp the intricacies faced by PhD candidates. This review aimed to synthesise the existing studies that explore the perspectives of candidates pursuing or completing a PhD in Africa. In conjunction with the Joanna Briggs Institute (JBI) methodology for scoping reviews, a scoping review guide developed by Arksey and O’Malley ( 2005 ) was used. Multiple databases were searched, including EBSCO Host, Scopus, EMBASE, the Cumulative Index to Nursing and Allied Health Literature (CINAHL), Medline (Ovid), and Google Scholar. Of the 51 articles that were retrieved, 12 were included in the review from various African countries. All articles were screened for quality before inclusion. The studies explored the types and characteristics of the included articles. The studies were descriptively mapped using qualitative content analysis, which revealed five themes: the sociodemographic profile of the PhD candidates, funding, resources and training, supervision experiences, and coping mechanisms. There is evidence on sociodemographic characteristics, challenges posed by funding, inadequate resources, and supervisor–candidate relationships, the research addressing why African candidates are studying at a later age, gender-specific environmental and cultural barriers, and coping strategies used during candidature is comparatively limited. Consequently, further investigations in these areas are crucial to better support PhD candidates in Africa.

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Introduction

Doctor of Philosophy (PhD) degrees are considered to be a high priority in many continents, including Africa because they contribute to research output, innovation, economic and scientific growth (Alabi & Mohammed, 2018 ; Akudolu & Adeyemo, 2018 ; Tsephe & Potgieter, 2022 ; Molla & Cuthbert, 2016 ; ASSF, 2010 ). Furthermore, doctoral education is viewed as a driver for the strengthening of economic knowledge, and the development of capital driven by academia has been described as pivotal for the continent of Africa (ASSF, 2010 ; Bitzer & Matimbo, 2017 ; Lindtjørn et al., 2019 ; Molla & Cuthbert, 2016 ; Tsephe & Potgieter, 2022 ). Academic capital is the knowledge gained at a higher level of education with ideas and creativity that informs societal, economic, and scientific growth (Asongu & Nwachukwu, 2018 ; Bitzer & Matimbo, 2017 ; Gurib-Fakim & Signe, 2022 ). However, study delays, longer completion times, high attrition rates, low research training capacity and productivity pose challenges that impair the contribution of academic knowledge (Molla & Cuthbert, 2016 ; Alabi & Mohammed, 2018 ; Akudolu & Adeyemo, 2018 ).

In Africa, there has been an increase in the recognition of the need for investment in research and innovation, driven by African-led researchers to provide relevant solutions that address challenges within Africa (HIRSA, 2019 ). Reports by the British Council in partnership with the German Academic Exchange Service study included reports from six African countries: Ethiopia, Kenya, Ghana, Nigeria, Senegal, and South Africa (Alabi & Mohammed, 2018 ; Akudolu & Adeyemo, 2018 ; Barasa & Omulando, 2018 ; Nega & Kassaye, 2018 ; Herman & Sehoole, 2018 ; Dimé, 2018 ). The report commissioned a study that surveyed research and doctoral training capacity in sub-Saharan Africa. Several challenges were common across these countries. One of these was the limited source of funding to sustain quality PhD training, which was reflected in the experiences of the PhD candidates. Reports have indicated that candidates are generally satisfied with their programmes, but improvements are required in terms of funding, research infrastructure, and supervision (Alabi & Mohammed, 2018 ; Akudolu & Adeyemo, 2018 ; Nega & Kassaye, 2018 ; Herman & Sehoole, 2018 ; Dimé, 2018 , Barasa & Omulando, 2018 ). Supervision was reported to lack quality, especially due to supervisor shortages, and at times, candidates worked with supervisors who were not necessarily interested in their area of focus (Akudolu & Adeyemo, 2018 ; Molla & Cuthbert, 2016 ; Nega & Kassaye, 2018 ). As such, this has an impact on the quality of education, research output, and the challenges experienced in PhD training within universities.

A PhD is challenging regardless of the setting. Within the context of Africa, it appears that most PhD candidates are a cohort who work within the industry even though collaboration between academia and industry in Africa is lacking, especially in PhD training, which tends to follow a traditional, discipline-focused approach (Akudolu & Adeyemo, 2018 ; Nyemba et al., 2021 ; Osiru et al., 2022 ; Stackhouse & Harle, 2014 ). However, candidates may have to maintain full-time employment due to a lack of funding to support their PhD. Collaborations with international institutions are an important factor that has driven positive research output in some African countries (Herman & Sehoole, 2018 ), for example, South Africa has reported an increase in its research output due to strong international collaboration as well as national policies with strategic plans and visons (Gurib-Fakim & Signe, 2022 ; Herman & Sehoole, 2018 ). The number of PhD programmes available in some universities appears to have increased over the past decade, but several of these universities have noted low completion and high attrition rates (Barasa & Omulando, 2018 ; Dimé, 2018 ; Herman & Sehoole, 2018 ; Nega & Kassaye, 2018 ), for example, in Ethiopia, the completion rate has not consistently grown even though the number of programmes available has increased (Nega & Kassaye, 2018 ). Like Ethiopia, Kenya has a 5 to 50% attrition rate in its various institutions (Barasa & Omulando, 2018 ). At six Ghanaian universities, a total of 42,246 candidates were enrolled from 2012–2013, and only 65 of those candidates graduated (Alabi & Mohammed, 2018 ). These statistics show that intentional efforts are needed to address the challenges that doctoral candidates encounter.

Research output on a global level, from Africa currently occurs at a low rate of approximately 2%, indicating that Africa’s research capacity is lacking compared to that of other Western countries (Asongu & Nwachukwu, 2018 ; Gurib-Fakim & Signe, 2022 ). In addition, the World Health Organization’s (WHO) strategy for research in Africa has shown that improving global health and economic development is based on high-quality research and the best scientific evidence (WHO, 2012 ). While efficiency in research capacity and output in Africa has been identified as a priority, there are still gaps in education, health care, food insecurity, and skills. Thus, knowledge-driven by research outputs has been indicated to stimulate growth in various organisations and sectors (Whitworth et al., 2008 ; WHO, 2012 ). For growth to occur, the training of PhD candidates has been identified as a strategy to alleviate some of the poor outcomes in Africa’s health and economic development (Gurib-Fakim & Signe, 2022 ; Lindtjørn et al., 2019 ).

Efforts to boost Africa’s research abilities are being made by various organisations and government bodies. Studies have examined ways to strengthen Africa’s research capacity and its integration into policies (Bates et al., 2014 ; Dean et al., 2015 ; Mugabo et al., 2015 ). One of these studies suggests setting goals early, collaborative planning with diverse teams, assessing current capacity, making action plans, and evaluating progress until capacity is strengthened (Bates et al., 2014 ). Research collaboration with international organisations as an initiative to improve research capacity has been shown to benefit both sides (Dean et al., 2015 ). The Consortium for Advanced Research Training in Africa (CARTA) model is a key player in boosting research capacity. It focuses on restructuring and strengthening African Universities to produce skilled local scholars (Ezeh et al., 2010 , Balogun et al., 2021 ). Evaluations of the CARTA model show its significant impact on doctoral training, networking, equitable resource provision, research quality, and supervisory satisfaction (Christoplos et al., 2015 ; Balogun et al., 2021 ; Adedokun et al., 2014 ). Moreover, investments in informatics, bioinformatics, and data science training in Mali are enhancing research capacity in sub-Saharan Africa, fostering scientific innovation and knowledge dissemination (Shaffer et al., 2019 ).

The training of PhD candidates was largely identified as one of the major focus areas to strengthen research capacity (Balogun et al., 2021 ; Bates et al., 2014 . Mugabo et al., 2015 ; Fonn et al., 2016 ; Adedokun et al., 2014 ). In the training of PhD candidates, personalised development plans, quality assurance in PhD training, institutional polices, research facilities, and student well-being were often identified as gaps for needing improvement. Some of the common suggestions identified to address these gaps include improving internet access, providing dedicated office spaces for PhD candidates, training supervisors, and increasing the number of supervisors. Similarly, CARTA’s model of training PhD candidates emphasises collaboration to strengthen African universities’ research capacity and infrastructure.

Research examining the perspectives of doctoral students reveals that despite finding aspects of their programmes challenging, they also perceive them as valuable opportunities for personal growth and development (Nyarigoti, 2021 ; Sibomana, 2021 ). These challenges often serve as catalysts for growth and advancement. Successful doctoral students attribute their achievements to their confidence in tackling difficult tasks with determination. However, female doctoral students express encountering obstacles related to gender biases in both social and professional domains, hindering the fulfilment of their PhD aspirations. Additionally, African students relocating to other African countries for their PhDs report a unique experience of feeling like outsiders despite being in an African country (Herman & Meki Kombe, 2019 ). There is a need to understand more about the challenges faced by PhD and doctoral candidates in the African context. It is important to determine whether improvements have been made to further inform the research capacity and training of PhD candidates in Africa. Therefore, the aim of this scoping review was to map out the available literature on the challenges faced by PhD candidates in Africa to identify gaps and inform future research, policy, and practice.

A scoping review was undertaken to map out the current available literature on the experiences of PhD candidates in Africa. A scoping review protocol that guided the process is available as an open-access publication (Omoya et al., 2023 ). The proposed scoping review was conducted in accordance with Arksey and O’Malley’s ( 2005 ) six-step framework in conjunction with the Joanna Briggs Institute (JBI) methodology for scoping reviews (Peters et al., 2020 ). The six-step framework includes the following steps: (1) developing the research question; (2) identifying relevant studies; (3) selecting the study; (4) charting the data; (5) collating, summarising, and reporting results; and (6) consultations (not required in this review). The JBI approach to conducting and reporting scoping reviews and the meta-analyses extension checklist (Fig. S1 ) for scoping reviews (PRISMA-ScR) are attached for consistency in reporting (Tricco et al., 2018 ).

Research question

The scoping review question was developed using the JBI population, concept, and context (PCC) mnemonic as well as the Arksey and O’Malley ( 2005 ) framework for identifying a research question. The research question was developed from the need to produce knowledge that informs the challenges facing doctoral training in African Universities. From this research question, the title of the review was structured to reflect the PCC mnemonics. For example, in the PCC mnemonic, P stands for the population, and in this review, these are the “PhD candidates”. C is a concept, that is the “challenges facing doctoral training”, and the C-context is “Africa”. The scoping review question was titled “Exploring perspectives: A scoping review of the challenges facing doctoral training in Africa . ”.

Inclusion and exclusion criteria

In the second step, the identification of the relevant studies was assessed against the eligibility criteria as well as the objectives and aims of the scoping review detailed in the previously published protocol (Omoya et al., 2023 ). The inclusion criteria were research studies examining participants who had undertaken their PhD in Africa, studies that focused on the barriers and facilitators that have impacted doctoral training in Africa, and research studies written in English Language with a 20-year limit range. Studies that focused on the experiences of PhD candidates and supervisors were included, and studies that compared the experiences of people who undertook their PhD in Africa and outside of Africa were included if they contained information relating to the experiences of doing a PhD in Africa. Studies were excluded if they were based on the perspectives of postgraduate students who were not doing a PhD, if they focused only on PhD candidates outside of Africa, if they were research studies not written in the English Language, or if they were reviews or expert reports. Studies that focused on the evaluation of training programmes provided to PhD candidates during their candidature were excluded.

Search strategy

Within the second step of the framework, an in-depth process of the search process was performed, and the search terms were identified. The first search was initiated on August 08, 2023, across multiple databases: EBSCO Host, Scopus, EMBASE, Cumulative Index to Nursing and Allied Health Literature (CINAHL), Medline (Ovid), and Google Scholar. These databases were selected for a comprehensive overview across various disciplines. The initial search of the literature was performed with no inclusion or exclusion criteria applied.

Search terms

The search methods used the following keywords and phrases in combination: (“Experiences of doing a PhD”, OR “Attitudes”, OR “Lived Experience” OR “Perception”) AND (“PhD Candidate in West Africa” OR “Doctoral Candidate in Africa” OR “PhD Students in Sahara” OR “Doctoral Students in Nigeria”) AND (“West Africa” OR “South Africa” OR “Sahara” OR “Dark Continent” OR “East Africa” OR “North Africa”). As recommended by the JBI review methods, a three-step search strategy was employed. The first step utilised the use of EBSCO Host, Scopus, EMBASE, the Cumulative Index to Nursing and Allied Health Literature (CINAHL), Medline (Ovid), and Google Scholar. From this search, a list of keywords and phrases was generated by analysing the title and abstract of the identified studies. The second step of the database search was undertaken using the newly generated keywords across all the databases. Truncations were used in the second search to capture variations in terminologies and plural wordings in articles from different settings. Finally, a manual search of the reference lists and bibliographies of the articles was performed to identify other relevant studies. The full search strategy for one database, MEDLINE (OVID), is attached (Fig. 1 ).

Data base search. Data base search diagram showing the full search strategy of one database: MEDLINE (OVID)

Article selection

In accordance with the third step of the framework, relevant articles were selected and imported into Covidence. Duplicates were removed, and an initial title screen was performed (OO 1 ). The results obtained were then screened by examining their titles and abstracts (OO 1 , USJ, OO 3 ). The full texts of the studies were retrieved and further reviewed against the inclusion criteria (OO 1 , OO 2 , USJ). At this stage, three members of the research team (OO 1 , OO 2 , USJ) independently screened the articles, and any disagreements were resolved by unanimous decision (OO 1 , USJ, OO 2 ) and independently by another member of the research team (OO 3 ). The quality of the review was ensured by using Covidence to search for and remove duplicate articles. Evaluation of each article was based on the inclusion and exclusion criteria. One reviewer extracted all the data (OO 1 ). A flowchart of the review using PRISMA showed the detailed process of the initial search to data extraction (Fig. 2 ).

PRISMA flowchart. The PRISMA flow chart is the preferred reporting items for systematic reviews and meta-analyses that shows the detailed process of the initial search to data extraction

Data extraction

An adapted quality assessment tool by Hawker et al. ( 2002 ) was used to screen the 12 included studies (Table I ). All the included articles were rated as high-quality ranging between a score of 33–36. The data were extracted (OO 1 ) and reviewed by the research team (USJ, OO 2 , OO 3 ) for consistency and to ensure that the extracted data matched the aim of the scoping review. The data were incorporated into a template data extraction instrument using the JBI methodology guidance for scoping reviews (Tables 1 and 2 ). The draft data extracted in the scoping protocol were used, and no modifications were made throughout the process (Omoya et al., 2023 ) Footnote 1 . The descriptions of the data extracted into Table I included the author, date and location, title of the article, aims/purpose, sample size and setting, journal type, methodology, and key findings. This step allowed for a visual representation of the major findings of each article and how they address the aims of the scoping review.

A total of 51 articles were retrieved and imported into Covidence. After duplicates were removed and a brief tile screen was performed, 20 studies were subjected to the title and abstract screening stage. A total of 16 studies underwent full-text review, and 12 studies were included, as shown in the PRISMA flow chart (Fig. 2 ). Of the 12 studies included 33% ( N = 4) used mixed methods, 58% ( N = 7) were qualitative studies, and 8% ( N = 1) were descriptive quantitative studies. The studies were from different parts of Africa. There were two studies with participants from various African countries; others were evenly distributed, with two studies each from Ethiopia, Uganda, and South Africa. One study each was from Kenya and Nigeria. Two other studies, one from Ethiopia and one from Tanzania, collaborated with authors from South Africa. More articles were published in journals that focus on higher education, such as Higher Education Policy , Higher Education Research & Development , and the Journal of Education and Practice , Transformation in Higher Education , Higher Education , Innovations in Education and Teaching International . All the authors in the study worked in academia and higher education.

Sociodemographic profile of PhD candidates

Of the included articles, 75% ( N = 9) focused on the impact of gender and age on the experiences of PhD candidates. The number of male candidates was significantly greater in most of the studies than was the number of female candidates (Adekunle & Madukoma, 2022 ; Bireda, 2015 ; Mbogo et al., 2020 ;Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ); however, studies that focused on women indicated that the challenges faced by doctoral students vary according to gender (Bireda, 2015 ; Mkhize, 2022a , 2022b ; Mkhize, 2023 ; Tsephe & Potgieter, 2022 ). Most of the candidates were within the age bracket of 30–45 years (Adekunle & Madukoma, 2022 ; Bireda, 2015 ; Mkhize, 2022a , 2022b ; Mkhize, 2023 ; Tamrat & Fetene, 2022 ). Most of the participants were identified as African but from different ethnic groups within the same African country. This was prominent in studies from South Africa that included participants who identified as Afrikaans, Coloured, or White (Mkhize, 2022a , 2022b ; Mkhize, 2023 ). One of the studies reported the marital status of the candidates in their study, and most of the candidates identified themselves as married with children (Bireda, 2015 ). According to a study of African and European candidates, African candidates were more likely to be married with children than their European counterparts (Stackhouse & Harle, 2014 ).

Many of the articles reported on funding and financial challenges experienced by PhD candidates (Adekunle & Madukoma, 2022 ; Bireda, 2015 ; Bitzer & Matimbo, 2017 ; Fetene & Tamrat, 2021 ; Mbogo et al., 2020 ; Muriisa, 2015 ; Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ; Tsephe & Potgieter, 2022 ). The availability of scholarships for African doctoral students studying in Africa was commonly reported to be low. The lack of funding was a barrier to the depth, scope, and quality of the research produced (Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ). Four studies reported on initiatives such as fee waivers, partial funding, travel, and thesis (proof reading, printing, and editing) grants that were more available but insufficient to reduce financial pressure and the need to work full-time while studying (Bireda, 2015 ; Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ; Tsephe & Potgieter, 2022 ). The need for training on how to access funding opportunities and grant writing was reported in three studies (Bireda, 2015 ;Muriisa, 2015 ; Tamrat & Fetene, 2022 ). Three studies (Bireda, 2015 ; Mkhize, 2022a , 2022b : Mkhize, 2023 ) reported the emotional, psychological, and social factors that stemmed from financial uncertainties for women due to the unique set of challenges involved in balancing personal and professional roles.

Resources and training

Similar to insufficient funding, 67% ( N = 8) of the included studies described how the unavailability of institutional resources impacted the experiences of PhD candidates (Bireda, 2015 ; Muriisa, 2015 ; Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ). The most reported resources that were lacking included information and communication technology services, library and electronic search resources, lack of provision for learners with disabilities, unequipped laboratory and clinical facilities, lack of personal and study workspaces, noise pollution, insufficient physical library space, and other general services (Fetene & Tamrat, 2021 ; Muriisa, 2015 ; Stackhouse & Harle, 2014 ) . However, a university based in South Africa reported that their institution had good support and resources (Tsephe & Potgieter, 2022 ), for example, access to internet services, library resources, and office spaces. Additionally, workshop training was available on key topics, such as methodologies, literature reviews, and proposal writing, and was found to be beneficial. Five articles reported on the specific resources and training needs of PhD candidates (Bireda, 2015 ; Fetene & Tamrat, 2021 ; Muriisa, 2015 ; Tamrat & Fetene, 2022 ). In the study by Muriisa ( 2015 ) and Tamrat and Fetene ( 2022 ), participants reported specific training needs on the literature review process and writing, proposal writing, in-depth information on methodologies, software used for data analysis, the publication process, and securing dissertation grants. However, resources to facilitate these requests were unavailable, and when additional training was provided, it was often unplanned, rarely organised, and not institutionally initiated. In the study by (Muriisa  2015 ), participants requested training on how to access funds and write grants. One of the studies (Bireda, 2015 ) examined the experiences of PhD candidates enrolled in distance learning; candidates in their study requested access to resources and training on academic and writing skills, digital literacy, and research software because they were not readily available. Two studies reported on the pre-training and unpreparedness of PhD candidates who enrolled in PhD programmes and struggled to meet the demands of writing a thesis (Fetene & Tamrat, 2021 ; Muriisa, 2015 ).

Supervision experiences

Supervision experiences during the PhD programme were identified in 75% ( N = 9) of the studies (Bitzer & Matimbo, 2017 ; Craig et al., 2023 ; Fetene & Tamrat, 2021 ; Mbogo et al., 2020 ; Mkhize, 2023 ; Muriisa, 2015 ; Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ; Tsephe & Potgieter, 2022 ). These studies provided various descriptors to characterise the experiences of participants. Two studies from Kenya and Ethiopia reported on supervisors’ lack of expertise and experience in the areas they were allocated to provide supervision (Mbogo et al., 2020 ; Tamrat & Fetene, 2022 ). Two other studies from Uganda and Ethiopia reported that the qualifications required to be able to undertake supervision were not met at some universities (Muriisa, 2015 ; Tamrat & Fetene, 2022 ). Supervisors also had excessive workloads, teaching, and administrative responsibilities with significant time constraints, which were reported as reasons for supervisory challenges in three studies (Craig et al., 2023 ; Mbogo et al., 2020 ; Tamrat & Fetene, 2022 ).

One study compared African and European candidates’ supervisory experiences and reported that African respondents rated their supervisors highly more than European students did even though supervisory meetings were less frequent (Stackhouse & Harle, 2014 ). In another study from Uganda, although most participants seemed satisfied with their supervision experiences, they still raised issues such as those of other studies including lack of communication and disengagement from student research (Bireda, 2015 ; Fetene & Tamrat, 2021 ; Muriisa, 2015 ; Tamrat & Fetene, 2022 ), low levels of support, delays in providing feedback, unhelpful feedback, inappropriate guidance (Bireda, 2015 ; Fetene & Tamrat, 2021 ; Mbogo et al., 2020 ; Mkhize, 2022a , 2022b ), and difficulty finding a suitable supervisor (Craig et al., 2023 ; Mbogo et al., 2020 ; Tamrat & Fetene, 2022 ). Four articles reported more specifically on the common style of supervision experienced in the African context (Fetene & Tamrat, 2021 ; Mbogo et al., 2020 ; Muriisa, 2015 ; Tsephe & Potgieter, 2022 ). Two studies (Fetene & Tamrat, 2021 ; Muriisa, 2015 ) described the context and setting of the research environment as unconducive due to power imbalances between supervisors and students. Two studies from South Africa (Bitzer & Matimbo, 2017 ; Tsephe & Potgieter, 2022 ) provided a different view of supervision. The supervisory relationship was based on effective communication, trust, and mutual respect, which contributed to successful completion. Eight of those studies (Bireda, 2015 ; Fetene & Tamrat, 2021 ; Mbogo et al., 2020 ; Mkhize, 2022a , 2022b ; Muriisa, 2015 ; Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ; Tsephe & Potgieter, 2022 ) explored the causes of delays and completion times. A supportive relationship was reported as a major precursor for timely completion (Mbogo et al., 2020 ; Muriisa, 2015 ; Tamrat & Fetene, 2022 ). Other common causes of delays were related to students juggling work with family commitments (Bireda, 2015 ; Fetene & Tamrat, 2021 ; Mbogo et al., 2020 ; Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ). However, the supervisory challenges and factors impacting the completion times experienced by female doctoral candidates were distinct (Mkhize, 2022a , 2022b ; Mkhize, 2023 ; Tsephe & Potgieter, 2022 ). In South Africa, female doctoral candidates’ experiences were more challenging due to reports of racism, classism, xenophobia, and patriarchy (Mkhize, 2022a , 2022b ; Mkhize, 2023 ).

Five studies explored the role of supervisors (Bireda, 2015 ; Fetene & Tamrat, 2021 ; Mbogo et al., 2020 ; Muriisa, 2015 ; Tsephe & Potgieter, 2022 ) and the role of PhD candidates (Mbogo et al., 2020 ; Muriisa, 2015 ). These roles were described from the perspective of the supervisors and PhD candidates. PhD candidates expected supportive supervisors who provided encouragement in tough times (Bireda, 2015 ; Bitzer & Matimbo, 2017 ; Fetene & Tamrat, 2021 ;Stackhouse & Harle, 2014 ; Tsephe & Potgieter, 2022 ) and supervisors who shared beneficial information, e.g., access to funding, professional development, and conference attendance (Bireda, 2015 ; Fetene & Tamrat, 2021 ; Mbogo et al., 2020 ; Tamrat & Fetene, 2022 ). Supervisors expect PhD students to be accountable, take initiative (Bitzer & Matimbo, 2017 ; Mbogo et al., 2020 ; Muriisa, 2015 ), have good writing skills (Mbogo et al., 2020 ), and be able to work independently (Mbogo et al., 2020 ; Muriisa, 2015 ).

Coping mechanism

Four studies have reported on various strategies used by PhD candidates to address challenges concerning funding, resources, training, and supervisor support (Adekunle & Madukoma, 2022 ; Fetene & Tamrat, 2021 ; Tamrat & Fetene, 2022 ; Tsephe & Potgieter, 2022 ). In the study by Fetene and Tamrat ( 2021 ), students who had had similar experiences with these challenges in the past were supportive of how to access funding; they also gave tips on supervisor rapport building and shared library resources. In the study by Tsephe and Potgieter ( 2022 ), which examined contributors to African women’s doctoral graduate success, factors including family/spousal support and a belief in God were important for coping when they encountered difficulties. As a coping mechanism, self-efficacy and education resilience are personal attributes that candidates believe are important for survival and contribute to research productivity (Adekunle & Madukoma, 2022 ; Tsephe & Potgieter, 2022 ). Even though research productivity was low, research self-efficacy scores were high (Adekunle & Madukoma, 2022 ). Most respondents believe that they have the individual capacity and resilience to adhere to behaviours that are important for them to succeed in their research undertaking. Two studies examined mental and emotional health (Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ). Emotional difficulties were present at times, but participants rarely felt depressed . One study by Fetene and Tamrat ( 2021 ) discussed the coping strategies used by doctoral candidates in more detail, for instance, students adopted various coping mechanisms, such as diligently fostering positive relationships with their supervisors. Additionally, some resorted to utilising libraries beyond their institution, particularly those with dependable internet access, to obtain articles and research materials. Some also reached out to colleagues abroad, requesting assistance in downloading articles relevant to their field of study (Fetene & Tamrat, 2021 ). Other strategies include the use of YouTube videos to self-teach and gain knowledge in certain areas of research (Fetene & Tamrat, 2021 ). Some students stay with their families in the same household rather than paying rent in different locations or saving enough capital before commencing their programmes (Fetene & Tamrat, 2021 ).

The impact of sociodemographic factors: age

In this review, sociodemographic factors such as age, gender, marital status, and ethnic group were commonly reported. However, in some articles (Bireda, 2015 ; Fetene & Tamrat, 2021 ; Mkhize, 2022a , 2022b ; Mkhize, 2023 ; Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ), the challenges faced by doctoral students varied according to these demographic factors. African students were often reported to be within the higher age bracket due to personal life challenges and barriers that prevented enrolment in a PhD at an earlier age (Fetene & Yeshak, 2022 ;Sooryamoorthy & Scherer, 2022a , 2022b ; Tamrat & Fetene, 2022 ). This review revealed that doctoral students from Africa were studying later in life and reported a longer time between qualifications. Access to training and the ability to receive funding are also impacted by age, and funders have restrictions on the age limit for which students are eligible (Balogun et al., 2021 ; Stackhouse & Harle, 2014 ).

Most African candidates are mature-age students, with an average age of 45 years reported (Scherer & Sooryamoorthy, 2022 ; Tamrat & Fetene, 2022 ). Most PhD students, at the time of enrolment, will have the responsibilities of family and work, which can impact their ability to devote the time needed for their PhD studies (Tsephe & Potgieter, 2022 ). Furthermore, most candidates are left with no choice due to the economic climate but to seek additional work to supplement their income and support their family (Stackhouse & Harle, 2014 ; Tsephe & Potgieter, 2022 ). However, in South Africa, the percentage of graduates under the age of 30 was greater for white graduates than for their black counterparts (ASSF, 2010 ; Cloete et al., 2016 ). There is an inherent need for resources and interventions for PhD candidates in Africa with the knowledge that a high percentage of candidates are within the higher age brackets and need to juggle family and work commitments. Although the impacts of age on the experiences of African PhD candidates have been adequately reported, further research should focus on exploring the specific reasons why African candidates are studying at a later age so that interventions can be tailored to meet the needs of potential candidates.

The impact of sociodemographic factors: gender

Current evidence has shown that women may face a unique set of challenges during their PhD (Bireda, 2015 ; Mkhize, 2022a , 2022b ; Mkhize, 2023 ; Tsephe & Potgieter, 2022 ). Although the number of women enrolling is increasing in some African Universities, many others still report low enrolments. Moreover, African candidates were more likely to be married and have had children (Stackhouse & Harle, 2014 ). The traditional role of caretaking combined with the role of a PhD candidate tends to increase stress and cause delays in study (Tsephe & Potgieter, 2022 ). Although progress has been made in strengthening research capacity, as evidenced by The Consortium for Advanced Research Training in Africa (CARTA), that focused on addressing the practical needs of African women by providing support for gender roles that can inhibit their participation in training (Khisa et al., 2019 ). However, there is a greater need for support that is gender-responsive. According to a report by the British Council and DAAD ( 2018 ) examining several selected African countries (Ethiopia, Ghana, Kenya, Nigeria, Senegal, and South Africa), the number of females enrolling in PhD training is increasing, but the attrition rate is still significantly high (Ayee, 2022 ; Sooryamoorthy & Scherer, 2022a , 2022b ). The reasons for this difference were attributed to the cultural responsibilities and expectations that women give priority to family rather than professional accomplishments (El Allame et al., 2022 ).

Similarly, in an Ethiopian study, the underrepresentation of female doctoral students was found to be significant at all postgraduate levels, including doctoral studies (Tamrat & Fetene, 2022 ). In other countries, such as Mozambique, Ghana, and Uganda, female students enrolled in a doctoral study was still lower than that of men (Ayee, 2022 ; Etomaru et al., 2023 ; Mariano et al., 2022 ). The disproportionate representation of women in PhD training in Africa signifies the need for additional investigations to address the inadequate participation of women in research and innovation. Balancing personal and professional roles is challenging, and support that meets African women’s needs during their PhD candidature is warranted. Moreover, in countries where apartheid and colonisation policies still permeate into present times, the experiences of women during their PhD were challenging, and women candidates rarely completed on time (Mkhize, 2022a , 2022b ; Mkhize, 2023 ). Black women felt that they were looked down on, undermined, and underestimated in a structural system that worked to exclude them (Mkhize, 2022a , 2022b ; Mkhize, 2023 ). Beyond the need to further understand the expectations placed on women academics, an opportunity exists to explore the environmental and cultural barriers that are oppressive to the needs of women during their PhD journeys.

The role of supervisors

The significant impact that supervisors have on the successful completion of a PhD has been reported in several studies. With respect to the supervisory experiences of students, studies have shown an increased chance of completion (Bitzer & Matimbo, 2017 ; Tsephe & Potgieter, 2022 ); longer duration (Adekunle & Madukoma, 2022 ; Mkhize, 2023 ; Muriisa, 2015 ; Stackhouse & Harle, 2014 ; Tamrat & Fetene, 2022 ); or an increase in attrition rate (Adekunle & Madukoma, 2022 ; Fetene & Tamrat, 2021 ; Muriisa, 2015 ; Stackhouse & Harle, 2014 ) based on the supervisor–student relationship. For PhD candidates, having a relationship with their supervisor based on mutual respect was one of the highest reported accounts of successful completion (Bitzer & Matimbo, 2017 ; Fetene & Tamrat, 2021 ; Tsephe & Potgieter, 2022 ). Although, evidence has shown that some African Universities have increased the amount of PhD enrolment and the availability of potential supervisors, but completion rate has remained low (Akudolu & Adeyemo, 2018 ; Jowi, 2021 ; Muriisa, 2015 ). This difference was attributed to the style of supervision used in most African institutions, which is often characterised by power imbalances between the supervisor and the supervisee (Fetene & Tamrat, 2021 ; Mkhize, 2023 ; Muriisa, 2015 ).

In addition to the supervisor–student relationship, expectations are placed on each other’s roles. Like PhD candidates, supervisors also had expectations of their students. Nonetheless, when expectations are clearly communicated immediately from the onset, successful completion, and a smooth relationship are achieved (Bitzer & Matimbo, 2017 ; Fetene & Tamrat, 2021 ; Muriisa, 2015 ; Tsephe & Potgieter, 2022 ). Furthermore, supervisors’ expectations are based on the approach that a PhD is an independent study and largely driven by the student; students should be accountable, motivated, and take initiative (Muriisa, 2015 ). Based on these insights into supervisory experiences, the importance of defined expectations and joint understanding of roles is a facilitator in the completion of doctoral studies. In a report exploring the research and PhD capacities in sub-Saharan Africa that surveyed alumni to determine their satisfaction with their PhD programmes, the top aspects that indicated how satisfied they were with their training were based on competence, capacity, and quality of supervision, as well as the professional relationships they had with their supervisors (Alabi & Mohammed, 2018 ). Overall, the high workload of supervisors also impacts the quality of supervision (Dime, 2018 ; Barasa & Omulando, 2018 ).

Therefore, reforms and policies to enhance the quality of supervision are warranted. Recommendations have been made for establishing ethical guidelines for supervisors to alleviate issues around hierarchical organisational culture and poor supervisory practices (Barasa & Omulando, 2018 ; British Council & DAAD, 2018 ). Additionally, potential PhD candidates need to be aware of expectations regarding workload, research capacity, and the knowledge of the research itself. To boost research capacity, the professional development of supervisors by providing training and courses has been reported in some South African Universities (Molla & Cuthbert, 2016 ). Even though there is recognition of the need for training potential supervisors, the impacts of the training that has been provided in some contexts have not often been reported (Lindtjørn et al., 2019 ; Maluwa et al., 2019 ). More research exploring the evaluation and benefits of these professional trainings are needed. A recent study by Alio et al. ( 2021 ) investigated the enhancement of research capabilities for innovation in sub-Saharan Africa. The report highlighted certain African nations including Nigeria, South Africa, Senegal, Kenya, Angola, and Ethiopia have addressed their limited research capacity by investing in training initiatives to enhance research skills. These efforts aim to improve the standard of research activities and productivity. Training such as this is crucial because it is important that both supervisors and students have the resources needed to support them in order to fulfil their roles.

The relationship between coping strategies and research productivity

In this review, various survival strategies that are used as coping mechanisms are commonly linked to research productivity (Adekunle & Madukoma, 2022 ; Fetene & Tamrat, 2021 ; Tamrat & Fetene, 2022 ; Tsephe & Potgieter, 2022 ). Generally, PhD productivity and success tend to be linked to institutional and governmental practices, whereas most African institutions have inefficient systemic practices and relatively low government budgetary allocations to facilitate completion and productivity (Akudolu & Adeyemo, 2018 ; Molla & Cuthbert, 2016 ). Therefore, to enhance research productivity, African candidates must develop their own coping mechanisms and strategies outside of institutions. In one study, one of the coping mechanisms that accounted for success for African women who completed their PhD was their belief in God (Tsephe & Potgieter, 2022 ). The women in the study stated that their belief in God played a significant role in their success and completion. As a coping mechanism, the women believed that God had orchestrated their undertaking of a PhD and that God would see them through, and even when they encountered any difficulties, their belief in God was a source of strength not to give up but rather to keep going (Tsephe & Potgieter, 2022 ). Despite the strong association between the belief in God and the completion of a PhD, the available literature in this area is scarce. A qualitative exploration of this phenomenon will inform supervisors, stake holders, international collaborators, and government bodies of some specific aspects that contribute to success for African PhD candidates.

In two other studies, a strong sense of self-efficacy was used as a coping strategy that contributed to research productivity (Adekunle & Madukoma, 2022 ; Tsephe & Potgieter, 2022 ). The PhD candidates’ self-efficacy was demonstrated through their belief and confidence in their own abilities. Candidates who rated their research self-efficacy believed they could conceptualise research that was feasible, collect data, analyse data, and disseminate findings, with the individual capacity to adhere to behaviours that are important for them to succeed in their research undertaking. However, most of the issues surrounding research productivity were external factors and were out of their own control, for example, issues such as publications, grants, and funding for projects were not always supported by their home institution. Despite these issues, resilience has been demonstrated, and other ways to achieve success have been sought by individual candidates (Tsephe & Potgieter, 2022 ), for example, other coping mechanisms and survival strategies candidates used involved seeking international collaborations and networks that provide access to funding and resources (Stackhouse & Harle, 2014 ). Some African Universities have partnered with international collaborators to develop PhD programmes and research profiles (Jowi, 2021 ). Collaborations with international agencies and institutions can support partial or fully funded scholarships, access to equipment, subject expertise, and training to enhance the quality of PhD programmes (Alabi & Mohammed, 2018 ; British Council & DAAD, 2018 ; Dimé, 2018 ). Currently, there is a lack of evidence on the coping mechanisms and strategies of African PhD candidates. Further research examining the capabilities that enable research productivity may assist in informing the development of specific interventions for PhD candidates in Africa. A qualitative approach to exploring the coping strategies of African PhD candidates may inform the practice of higher institutions and supervisors of the support needed to ensure success.

Limitations

A limitation of the review lies in the overrepresentation of research articles from some African countries as opposed to others. The second limitation is the exclusion of articles that were not in English since the reviewers cannot use resources to interpret articles published in languages other than English. The review was limited to peer-reviewed literature, and gray literature was not included. The review acknowledges that Africa is vast in numerous sociocultural values and norms that impact people’s experiences, and this review does not attempt to minimise these experiences. Thus, this review should be interpreted in light of the fact that some of these distinctive values and norms from various African settings might not have been captured here.

The literature examining the experiences of pursuing a PhD in Africa reflects a combination of challenges and achievements that significantly influence the journey toward completion and the attainment of a doctoral degree. These factors encompass the sociodemographic characteristics of PhD candidates, financial obstacles, insufficient resources and training, supervisory encounters, and the coping strategies employed by those undertaking PhD programmes. The distinct sociodemographic, cultural, and institutional contexts present opportunities for comprehending the specific issues within the African higher education landscape. Resources and interventions are essential for African PhD candidates, particularly as many are older and must balance family and work commitments, necessitating further research into the specific reasons behind their delayed study to tailor interventions accordingly. While there has been notable progress in the number of women obtaining PhDs, environmental and cultural barriers that hinder women’s academics during their PhD journeys still exist. Systematic and institutional barriers need to be acknowledged and addressed to foster women’s contribution to knowledge-based economic growth. For supervisors and student relations, training with the necessary resources for fulfilling their roles is crucial. Subsequent research should delve into understanding some of the specific environmental and cultural barriers impacting potential candidates from diverse backgrounds, genders, and ethnicities. Addressing the identified needs of doctoral students, such as inadequate investment in research funding, substandard infrastructures, and systemic challenges, requires collaborative initiatives involving academic institutions, government bodies, and international partners to enhance the quality of PhD training in Africa. By doing so, a supportive system can be fostered that effectively caters to the diverse needs of doctoral students.

Authors with same initials and superscript numbering for differentiation:

OO 1 Oluwatomilayo Omoya

OO 2 Olumide Odeyemi

OO 3 Omowale Odeyemi

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All authors whose names appear on the submission made substantial contributions to the work; conceptualization: Oluwatomilayo Omoya and Olumide A. Odeyemi; literature search, data analysis, and interpretation of the data: Oluwatomilayo Omoya; Udeme Samuel Jacob, Olumide A. Odeyemi, and Omowale A. Odeyemi; writing—original draft preparation: Oluwatomilayo Omoya; writing—review and editing: Oluwatomilayo Omoya, Udeme Samuel Jacob, Olumide A. Odeyemi, and Omowale A. Odeyemi; writing—revision and editing: all authors; and supervision: Oluwatomilayo Omoya

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Omoya, O., Jacob, U.S., Odeyemi, O.A. et al. Exploring perspectives: a scoping review of the challenges facing doctoral training in Africa. High Educ (2024). https://doi.org/10.1007/s10734-024-01264-4

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