research methodology used in literature

Chapter Four: Theory, Methodologies, Methods, and Evidence

Research Methods

You are viewing the first edition of this textbook. a second edition is available – please visit the latest edition for updated information..

This page discusses the following topics:

Research Goals

Research method types.

Before discussing research   methods , we need to distinguish them from  methodologies  and  research skills . Methodologies, linked to literary theories, are tools and lines of investigation: sets of practices and propositions about texts and the world. Researchers using Marxist literary criticism will adopt methodologies that look to material forces like labor, ownership, and technology to understand literature and its relationship to the world. They will also seek to understand authors not as inspired geniuses but as people whose lives and work are shaped by social forces.

Example: Critical Race Theory Methodologies

Critical Race Theory may use a variety of methodologies, including

• Interest convergence: investigating whether marginalized groups only achieve progress when dominant groups benefit as well
• Intersectional theory: investigating how multiple factors of advantage and disadvantage around race, gender, ethnicity, religion, etc. operate together in complex ways
• Radical critique of the law: investigating how the law has historically been used to marginalize particular groups, such as black people, while recognizing that legal efforts are important to achieve emancipation and civil rights
• Social constructivism: investigating how race is socially constructed (rather than biologically grounded)
• Standpoint epistemology: investigating how knowledge relates to social position
• Structural determinism: investigating how structures of thought and of organizations determine social outcomes

To identify appropriate methodologies, you will need to research your chosen theory and gather what methodologies are associated with it. For the most part, we can’t assume that there are “one size fits all” methodologies.

Research skills are about how you handle materials such as library search engines, citation management programs, special collections materials, and so on.

Research methods  are about where and how you get answers to your research questions. Are you conducting interviews? Visiting archives? Doing close readings? Reviewing scholarship? You will need to choose which methods are most appropriate to use in your research and you need to gain some knowledge about how to use these methods. In other words, you need to do some research into research methods!

Your choice of research method depends on the kind of questions you are asking. For example, if you want to understand how an author progressed through several drafts to arrive at a final manuscript, you may need to do archival research. If you want to understand why a particular literary work became a bestseller, you may need to do audience research. If you want to know why a contemporary author wrote a particular work, you may need to do interviews. Usually literary research involves a combination of methods such as  archival research ,  discourse analysis , and  qualitative research  methods.

Literary research methods tend to differ from research methods in the hard sciences (such as physics and chemistry). Science research must present results that are reproducible, while literary research rarely does (though it must still present evidence for its claims). Literary research often deals with questions of meaning, social conventions, representations of lived experience, and aesthetic effects; these are questions that reward dialogue and different perspectives rather than one great experiment that settles the issue. In literary research, we might get many valuable answers even though they are quite different from one another. Also in literary research, we usually have some room to speculate about answers, but our claims have to be plausible (believable) and our argument comprehensive (meaning we don’t overlook evidence that would alter our argument significantly if it were known).

A literary researcher might select the following:

Theory: Critical Race Theory

Methodology: Social Constructivism

Method: Scholarly

Skills: Search engines, citation management

Wendy Belcher, in  Writing Your Journal Article in 12 Weeks , identifies two main approaches to understanding literary works: looking at a text by itself (associated with New Criticism ) and looking at texts as they connect to society (associated with Cultural Studies ). The goal of New Criticism is to bring the reader further into the text. The goal of Cultural Studies is to bring the reader into the network of discourses that surround and pass through the text. Other approaches, such as Ecocriticism, relate literary texts to the Sciences (as well as to the Humanities).

The New Critics, starting in the 1940s,  focused on meaning within the text itself, using a method they called “ close reading .” The text itself becomes e vidence for a particular reading. Using this approach, you should summarize the literary work briefly and q uote particularly meaningful passages, being sure to introduce quotes and then interpret them (never let them stand alone). Make connections within the work; a sk  “why” and “how” the various parts of the text relate to each other.

Cultural Studies critics see all texts  as connected to society; the critic  therefore has to connect a text to at least one political or social issue. How and why does  the text reproduce particular knowledge systems (known as discourses) and how do these knowledge systems relate to issues of power within the society? Who speaks and when? Answering these questions helps your reader understand the text in context. Cultural contexts can include the treatment of gender (Feminist, Queer), class (Marxist), nationality, race, religion, or any other area of human society.

Other approaches, such as psychoanalytic literary criticism , look at literary texts to better understand human psychology. A psychoanalytic reading can focus on a character, the author, the reader, or on society in general. Ecocriticism  look at human understandings of nature in literary texts.

We select our research methods based on the kinds of things we want to know. For example, we may be studying the relationship between literature and society, between author and text, or the status of a work in the literary canon. We may want to know about a work’s form, genre, or thematics. We may want to know about the audience’s reading and reception, or about methods for teaching literature in schools.

Below are a few research methods and their descriptions. You may need to consult with your instructor about which ones are most appropriate for your project. The first list covers methods most students use in their work. The second list covers methods more commonly used by advanced researchers. Even if you will not be using methods from this second list in your research project, you may read about these research methods in the scholarship you find.

Most commonly used undergraduate research methods:

• Scholarship Methods:  Studies the body of scholarship written about a particular author, literary work, historical period, literary movement, genre, theme, theory, or method.
• Textual Analysis Methods:  Used for close readings of literary texts, these methods also rely on literary theory and background information to support the reading.
• Biographical Methods:  Used to study the life of the author to better understand their work and times, these methods involve reading biographies and autobiographies about the author, and may also include research into private papers, correspondence, and interviews.
• Discourse Analysis Methods:  Studies language patterns to reveal ideology and social relations of power. This research involves the study of institutions, social groups, and social movements to understand how people in various settings use language to represent the world to themselves and others. Literary works may present complex mixtures of discourses which the characters (and readers) have to navigate.
• Creative Writing Methods:  A literary re-working of another literary text, creative writing research is used to better understand a literary work by investigating its language, formal structures, composition methods, themes, and so on. For instance, a creative research project may retell a story from a minor character’s perspective to reveal an alternative reading of events. To qualify as research, a creative research project is usually combined with a piece of theoretical writing that explains and justifies the work.

Methods used more often by advanced researchers:

• Archival Methods: Usually involves trips to special collections where original papers are kept. In these archives are many unpublished materials such as diaries, letters, photographs, ledgers, and so on. These materials can offer us invaluable insight into the life of an author, the development of a literary work, or the society in which the author lived. There are at least three major archives of James Baldwin’s papers: The Smithsonian , Yale , and The New York Public Library . Descriptions of such materials are often available online, but the materials themselves are typically stored in boxes at the archive.
• Computational Methods:  Used for statistical analysis of texts such as studies of the popularity and meaning of particular words in literature over time.
• Ethnographic Methods:  Studies groups of people and their interactions with literary works, for instance in educational institutions, in reading groups (such as book clubs), and in fan networks. This approach may involve interviews and visits to places (including online communities) where people interact with literary works. Note: before you begin such work, you must have  Institutional Review Board (IRB)  approval “to protect the rights and welfare of human participants involved in research.”
• Visual Methods:  Studies the visual qualities of literary works. Some literary works, such as illuminated manuscripts, children’s literature, and graphic novels, present a complex interplay of text and image. Even works without illustrations can be studied for their use of typography, layout, and other visual features.

Regardless of the method(s) you choose, you will need to learn how to apply them to your work and how to carry them out successfully. For example, you should know that many archives do not allow you to bring pens (you can use pencils) and you may not be allowed to bring bags into the archives. You will need to keep a record of which documents you consult and their location (box number, etc.) in the archives. If you are unsure how to use a particular method, please consult a book about it. [1] Also, ask for the advice of trained researchers such as your instructor or a research librarian.

• What research method(s) will you be using for your paper? Why did you make this method selection over other methods? If you haven’t made a selection yet, which methods are you considering?
• What specific methodological approaches are you most interested in exploring in relation to the chosen literary work?
• What is your plan for researching your method(s) and its major approaches?
• What was the most important lesson you learned from this page? What point was confusing or difficult to understand?

Write your answers in a webcourse discussion page.

• Introduction to Research Methods: A Practical Guide for Anyone Undertaking a Research Project  by Catherine, Dr. Dawson
• Practical Research Methods: A User-Friendly Guide to Mastering Research Techniques and Projects  by Catherine Dawson
• Qualitative Inquiry and Research Design: Choosing Among Five Approaches  by John W. Creswell  Cheryl N. Poth
• Qualitative Research Evaluation Methods: Integrating Theory and Practice  by Michael Quinn Patton
• Research Design: Qualitative, Quantitative, and Mixed Methods Approaches  by John W. Creswell  J. David Creswell
• Research Methodology: A Step-by-Step Guide for Beginners  by Ranjit Kumar
• Research Methodology: Methods and Techniques  by C.R. Kothari

Strategies for Conducting Literary Research Copyright © 2021 by Barry Mauer & John Venecek is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

Share This Book

Research Methods

• Getting Started
• Literature Review Research
• Research Design
• Research Design By Discipline
• SAGE Research Methods
• Teaching with SAGE Research Methods

Literature Review

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

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

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

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

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

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

A literature review is important because it:

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

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

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

Not an essay 

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

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

A literature review serves several purposes. For example, it

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

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

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

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

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

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

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

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

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

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

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

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

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

Systematic review or meta-analysis?

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

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

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

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

Not all systematic reviews contain meta-analysis. 

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

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

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

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

• << Previous: Getting Started
• Next: Research Design >>
• Last Updated: Jul 15, 2024 10:34 AM
• URL: https://guides.lib.udel.edu/researchmethods

• Methodology
• Open access
• Published: 11 October 2016

Reviewing the research methods literature: principles and strategies illustrated by a systematic overview of sampling in qualitative research

• Stephen J. Gentles 1 , 4 ,
• Cathy Charles 1 ,
• David B. Nicholas 2 ,
• Jenny Ploeg 3 &
• K. Ann McKibbon 1  

Systematic Reviews volume  5 , Article number:  172 ( 2016 ) Cite this article

55k Accesses

27 Citations

13 Altmetric

Metrics details

Overviews of methods are potentially useful means to increase clarity and enhance collective understanding of specific methods topics that may be characterized by ambiguity, inconsistency, or a lack of comprehensiveness. This type of review represents a distinct literature synthesis method, although to date, its methodology remains relatively undeveloped despite several aspects that demand unique review procedures. The purpose of this paper is to initiate discussion about what a rigorous systematic approach to reviews of methods, referred to here as systematic methods overviews , might look like by providing tentative suggestions for approaching specific challenges likely to be encountered. The guidance offered here was derived from experience conducting a systematic methods overview on the topic of sampling in qualitative research.

The guidance is organized into several principles that highlight specific objectives for this type of review given the common challenges that must be overcome to achieve them. Optional strategies for achieving each principle are also proposed, along with discussion of how they were successfully implemented in the overview on sampling. We describe seven paired principles and strategies that address the following aspects: delimiting the initial set of publications to consider, searching beyond standard bibliographic databases, searching without the availability of relevant metadata, selecting publications on purposeful conceptual grounds, defining concepts and other information to abstract iteratively, accounting for inconsistent terminology used to describe specific methods topics, and generating rigorous verifiable analytic interpretations. Since a broad aim in systematic methods overviews is to describe and interpret the relevant literature in qualitative terms, we suggest that iterative decision making at various stages of the review process, and a rigorous qualitative approach to analysis are necessary features of this review type.

Conclusions

We believe that the principles and strategies provided here will be useful to anyone choosing to undertake a systematic methods overview. This paper represents an initial effort to promote high quality critical evaluations of the literature regarding problematic methods topics, which have the potential to promote clearer, shared understandings, and accelerate advances in research methods. Further work is warranted to develop more definitive guidance.

Peer Review reports

While reviews of methods are not new, they represent a distinct review type whose methodology remains relatively under-addressed in the literature despite the clear implications for unique review procedures. One of few examples to describe it is a chapter containing reflections of two contributing authors in a book of 21 reviews on methodological topics compiled for the British National Health Service, Health Technology Assessment Program [ 1 ]. Notable is their observation of how the differences between the methods reviews and conventional quantitative systematic reviews, specifically attributable to their varying content and purpose, have implications for defining what qualifies as systematic. While the authors describe general aspects of “systematicity” (including rigorous application of a methodical search, abstraction, and analysis), they also describe a high degree of variation within the category of methods reviews itself and so offer little in the way of concrete guidance. In this paper, we present tentative concrete guidance, in the form of a preliminary set of proposed principles and optional strategies, for a rigorous systematic approach to reviewing and evaluating the literature on quantitative or qualitative methods topics. For purposes of this article, we have used the term systematic methods overview to emphasize the notion of a systematic approach to such reviews.

The conventional focus of rigorous literature reviews (i.e., review types for which systematic methods have been codified, including the various approaches to quantitative systematic reviews [ 2 – 4 ], and the numerous forms of qualitative and mixed methods literature synthesis [ 5 – 10 ]) is to synthesize empirical research findings from multiple studies. By contrast, the focus of overviews of methods, including the systematic approach we advocate, is to synthesize guidance on methods topics. The literature consulted for such reviews may include the methods literature, methods-relevant sections of empirical research reports, or both. Thus, this paper adds to previous work published in this journal—namely, recent preliminary guidance for conducting reviews of theory [ 11 ]—that has extended the application of systematic review methods to novel review types that are concerned with subject matter other than empirical research findings.

Published examples of methods overviews illustrate the varying objectives they can have. One objective is to establish methodological standards for appraisal purposes. For example, reviews of existing quality appraisal standards have been used to propose universal standards for appraising the quality of primary qualitative research [ 12 ] or evaluating qualitative research reports [ 13 ]. A second objective is to survey the methods-relevant sections of empirical research reports to establish current practices on methods use and reporting practices, which Moher and colleagues [ 14 ] recommend as a means for establishing the needs to be addressed in reporting guidelines (see, for example [ 15 , 16 ]). A third objective for a methods review is to offer clarity and enhance collective understanding regarding a specific methods topic that may be characterized by ambiguity, inconsistency, or a lack of comprehensiveness within the available methods literature. An example of this is a overview whose objective was to review the inconsistent definitions of intention-to-treat analysis (the methodologically preferred approach to analyze randomized controlled trial data) that have been offered in the methods literature and propose a solution for improving conceptual clarity [ 17 ]. Such reviews are warranted because students and researchers who must learn or apply research methods typically lack the time to systematically search, retrieve, review, and compare the available literature to develop a thorough and critical sense of the varied approaches regarding certain controversial or ambiguous methods topics.

While systematic methods overviews , as a review type, include both reviews of the methods literature and reviews of methods-relevant sections from empirical study reports, the guidance provided here is primarily applicable to reviews of the methods literature since it was derived from the experience of conducting such a review [ 18 ], described below. To our knowledge, there are no well-developed proposals on how to rigorously conduct such reviews. Such guidance would have the potential to improve the thoroughness and credibility of critical evaluations of the methods literature, which could increase their utility as a tool for generating understandings that advance research methods, both qualitative and quantitative. Our aim in this paper is thus to initiate discussion about what might constitute a rigorous approach to systematic methods overviews. While we hope to promote rigor in the conduct of systematic methods overviews wherever possible, we do not wish to suggest that all methods overviews need be conducted to the same standard. Rather, we believe that the level of rigor may need to be tailored pragmatically to the specific review objectives, which may not always justify the resource requirements of an intensive review process.

The example systematic methods overview on sampling in qualitative research

The principles and strategies we propose in this paper are derived from experience conducting a systematic methods overview on the topic of sampling in qualitative research [ 18 ]. The main objective of that methods overview was to bring clarity and deeper understanding of the prominent concepts related to sampling in qualitative research (purposeful sampling strategies, saturation, etc.). Specifically, we interpreted the available guidance, commenting on areas lacking clarity, consistency, or comprehensiveness (without proposing any recommendations on how to do sampling). This was achieved by a comparative and critical analysis of publications representing the most influential (i.e., highly cited) guidance across several methodological traditions in qualitative research.

The specific methods and procedures for the overview on sampling [ 18 ] from which our proposals are derived were developed both after soliciting initial input from local experts in qualitative research and an expert health librarian (KAM) and through ongoing careful deliberation throughout the review process. To summarize, in that review, we employed a transparent and rigorous approach to search the methods literature, selected publications for inclusion according to a purposeful and iterative process, abstracted textual data using structured abstraction forms, and analyzed (synthesized) the data using a systematic multi-step approach featuring abstraction of text, summary of information in matrices, and analytic comparisons.

For this article, we reflected on both the problems and challenges encountered at different stages of the review and our means for selecting justifiable procedures to deal with them. Several principles were then derived by considering the generic nature of these problems, while the generalizable aspects of the procedures used to address them formed the basis of optional strategies. Further details of the specific methods and procedures used in the overview on qualitative sampling are provided below to illustrate both the types of objectives and challenges that reviewers will likely need to consider and our approach to implementing each of the principles and strategies.

Organization of the guidance into principles and strategies

For the purposes of this article, principles are general statements outlining what we propose are important aims or considerations within a particular review process, given the unique objectives or challenges to be overcome with this type of review. These statements follow the general format, “considering the objective or challenge of X, we propose Y to be an important aim or consideration.” Strategies are optional and flexible approaches for implementing the previous principle outlined. Thus, generic challenges give rise to principles, which in turn give rise to strategies.

We organize the principles and strategies below into three sections corresponding to processes characteristic of most systematic literature synthesis approaches: literature identification and selection ; data abstraction from the publications selected for inclusion; and analysis , including critical appraisal and synthesis of the abstracted data. Within each section, we also describe the specific methodological decisions and procedures used in the overview on sampling in qualitative research [ 18 ] to illustrate how the principles and strategies for each review process were applied and implemented in a specific case. We expect this guidance and accompanying illustrations will be useful for anyone considering engaging in a methods overview, particularly those who may be familiar with conventional systematic review methods but may not yet appreciate some of the challenges specific to reviewing the methods literature.

Results and discussion

Literature identification and selection.

The identification and selection process includes search and retrieval of publications and the development and application of inclusion and exclusion criteria to select the publications that will be abstracted and analyzed in the final review. Literature identification and selection for overviews of the methods literature is challenging and potentially more resource-intensive than for most reviews of empirical research. This is true for several reasons that we describe below, alongside discussion of the potential solutions. Additionally, we suggest in this section how the selection procedures can be chosen to match the specific analytic approach used in methods overviews.

Delimiting a manageable set of publications

One aspect of methods overviews that can make identification and selection challenging is the fact that the universe of literature containing potentially relevant information regarding most methods-related topics is expansive and often unmanageably so. Reviewers are faced with two large categories of literature: the methods literature , where the possible publication types include journal articles, books, and book chapters; and the methods-relevant sections of empirical study reports , where the possible publication types include journal articles, monographs, books, theses, and conference proceedings. In our systematic overview of sampling in qualitative research, exhaustively searching (including retrieval and first-pass screening) all publication types across both categories of literature for information on a single methods-related topic was too burdensome to be feasible. The following proposed principle follows from the need to delimit a manageable set of literature for the review.

Principle #1:

Considering the broad universe of potentially relevant literature, we propose that an important objective early in the identification and selection stage is to delimit a manageable set of methods-relevant publications in accordance with the objectives of the methods overview.

Strategy #1:

To limit the set of methods-relevant publications that must be managed in the selection process, reviewers have the option to initially review only the methods literature, and exclude the methods-relevant sections of empirical study reports, provided this aligns with the review’s particular objectives.

We propose that reviewers are justified in choosing to select only the methods literature when the objective is to map out the range of recognized concepts relevant to a methods topic, to summarize the most authoritative or influential definitions or meanings for methods-related concepts, or to demonstrate a problematic lack of clarity regarding a widely established methods-related concept and potentially make recommendations for a preferred approach to the methods topic in question. For example, in the case of the methods overview on sampling [ 18 ], the primary aim was to define areas lacking in clarity for multiple widely established sampling-related topics. In the review on intention-to-treat in the context of missing outcome data [ 17 ], the authors identified a lack of clarity based on multiple inconsistent definitions in the literature and went on to recommend separating the issue of how to handle missing outcome data from the issue of whether an intention-to-treat analysis can be claimed.

In contrast to strategy #1, it may be appropriate to select the methods-relevant sections of empirical study reports when the objective is to illustrate how a methods concept is operationalized in research practice or reported by authors. For example, one could review all the publications in 2 years’ worth of issues of five high-impact field-related journals to answer questions about how researchers describe implementing a particular method or approach, or to quantify how consistently they define or report using it. Such reviews are often used to highlight gaps in the reporting practices regarding specific methods, which may be used to justify items to address in reporting guidelines (for example, [ 14 – 16 ]).

It is worth recognizing that other authors have advocated broader positions regarding the scope of literature to be considered in a review, expanding on our perspective. Suri [ 10 ] (who, like us, emphasizes how different sampling strategies are suitable for different literature synthesis objectives) has, for example, described a two-stage literature sampling procedure (pp. 96–97). First, reviewers use an initial approach to conduct a broad overview of the field—for reviews of methods topics, this would entail an initial review of the research methods literature. This is followed by a second more focused stage in which practical examples are purposefully selected—for methods reviews, this would involve sampling the empirical literature to illustrate key themes and variations. While this approach is seductive in its capacity to generate more in depth and interpretive analytic findings, some reviewers may consider it too resource-intensive to include the second step no matter how selective the purposeful sampling. In the overview on sampling where we stopped after the first stage [ 18 ], we discussed our selective focus on the methods literature as a limitation that left opportunities for further analysis of the literature. We explicitly recommended, for example, that theoretical sampling was a topic for which a future review of the methods sections of empirical reports was justified to answer specific questions identified in the primary review.

Ultimately, reviewers must make pragmatic decisions that balance resource considerations, combined with informed predictions about the depth and complexity of literature available on their topic, with the stated objectives of their review. The remaining principles and strategies apply primarily to overviews that include the methods literature, although some aspects may be relevant to reviews that include empirical study reports.

Searching beyond standard bibliographic databases

An important reality affecting identification and selection in overviews of the methods literature is the increased likelihood for relevant publications to be located in sources other than journal articles (which is usually not the case for overviews of empirical research, where journal articles generally represent the primary publication type). In the overview on sampling [ 18 ], out of 41 full-text publications retrieved and reviewed, only 4 were journal articles, while 37 were books or book chapters. Since many books and book chapters did not exist electronically, their full text had to be physically retrieved in hardcopy, while 11 publications were retrievable only through interlibrary loan or purchase request. The tasks associated with such retrieval are substantially more time-consuming than electronic retrieval. Since a substantial proportion of methods-related guidance may be located in publication types that are less comprehensively indexed in standard bibliographic databases, identification and retrieval thus become complicated processes.

Principle #2:

Considering that important sources of methods guidance can be located in non-journal publication types (e.g., books, book chapters) that tend to be poorly indexed in standard bibliographic databases, it is important to consider alternative search methods for identifying relevant publications to be further screened for inclusion.

Strategy #2:

To identify books, book chapters, and other non-journal publication types not thoroughly indexed in standard bibliographic databases, reviewers may choose to consult one or more of the following less standard sources: Google Scholar, publisher web sites, or expert opinion.

In the case of the overview on sampling in qualitative research [ 18 ], Google Scholar had two advantages over other standard bibliographic databases: it indexes and returns records of books and book chapters likely to contain guidance on qualitative research methods topics; and it has been validated as providing higher citation counts than ISI Web of Science (a producer of numerous bibliographic databases accessible through institutional subscription) for several non-biomedical disciplines including the social sciences where qualitative research methods are prominently used [ 19 – 21 ]. While we identified numerous useful publications by consulting experts, the author publication lists generated through Google Scholar searches were uniquely useful to identify more recent editions of methods books identified by experts.

Searching without relevant metadata

Determining what publications to select for inclusion in the overview on sampling [ 18 ] could only rarely be accomplished by reviewing the publication’s metadata. This was because for the many books and other non-journal type publications we identified as possibly relevant, the potential content of interest would be located in only a subsection of the publication. In this common scenario for reviews of the methods literature (as opposed to methods overviews that include empirical study reports), reviewers will often be unable to employ standard title, abstract, and keyword database searching or screening as a means for selecting publications.

Principle #3:

Considering that the presence of information about the topic of interest may not be indicated in the metadata for books and similar publication types, it is important to consider other means of identifying potentially useful publications for further screening.

Strategy #3:

One approach to identifying potentially useful books and similar publication types is to consider what classes of such publications (e.g., all methods manuals for a certain research approach) are likely to contain relevant content, then identify, retrieve, and review the full text of corresponding publications to determine whether they contain information on the topic of interest.

In the example of the overview on sampling in qualitative research [ 18 ], the topic of interest (sampling) was one of numerous topics covered in the general qualitative research methods manuals. Consequently, examples from this class of publications first had to be identified for retrieval according to non-keyword-dependent criteria. Thus, all methods manuals within the three research traditions reviewed (grounded theory, phenomenology, and case study) that might contain discussion of sampling were sought through Google Scholar and expert opinion, their full text obtained, and hand-searched for relevant content to determine eligibility. We used tables of contents and index sections of books to aid this hand searching.

Purposefully selecting literature on conceptual grounds

A final consideration in methods overviews relates to the type of analysis used to generate the review findings. Unlike quantitative systematic reviews where reviewers aim for accurate or unbiased quantitative estimates—something that requires identifying and selecting the literature exhaustively to obtain all relevant data available (i.e., a complete sample)—in methods overviews, reviewers must describe and interpret the relevant literature in qualitative terms to achieve review objectives. In other words, the aim in methods overviews is to seek coverage of the qualitative concepts relevant to the methods topic at hand. For example, in the overview of sampling in qualitative research [ 18 ], achieving review objectives entailed providing conceptual coverage of eight sampling-related topics that emerged as key domains. The following principle recognizes that literature sampling should therefore support generating qualitative conceptual data as the input to analysis.

Principle #4:

Since the analytic findings of a systematic methods overview are generated through qualitative description and interpretation of the literature on a specified topic, selection of the literature should be guided by a purposeful strategy designed to achieve adequate conceptual coverage (i.e., representing an appropriate degree of variation in relevant ideas) of the topic according to objectives of the review.

Strategy #4:

One strategy for choosing the purposeful approach to use in selecting the literature according to the review objectives is to consider whether those objectives imply exploring concepts either at a broad overview level, in which case combining maximum variation selection with a strategy that limits yield (e.g., critical case, politically important, or sampling for influence—described below) may be appropriate; or in depth, in which case purposeful approaches aimed at revealing innovative cases will likely be necessary.

In the methods overview on sampling, the implied scope was broad since we set out to review publications on sampling across three divergent qualitative research traditions—grounded theory, phenomenology, and case study—to facilitate making informative conceptual comparisons. Such an approach would be analogous to maximum variation sampling.

At the same time, the purpose of that review was to critically interrogate the clarity, consistency, and comprehensiveness of literature from these traditions that was “most likely to have widely influenced students’ and researchers’ ideas about sampling” (p. 1774) [ 18 ]. In other words, we explicitly set out to review and critique the most established and influential (and therefore dominant) literature, since this represents a common basis of knowledge among students and researchers seeking understanding or practical guidance on sampling in qualitative research. To achieve this objective, we purposefully sampled publications according to the criterion of influence , which we operationalized as how often an author or publication has been referenced in print or informal discourse. This second sampling approach also limited the literature we needed to consider within our broad scope review to a manageable amount.

To operationalize this strategy of sampling for influence , we sought to identify both the most influential authors within a qualitative research tradition (all of whose citations were subsequently screened) and the most influential publications on the topic of interest by non-influential authors. This involved a flexible approach that combined multiple indicators of influence to avoid the dilemma that any single indicator might provide inadequate coverage. These indicators included bibliometric data (h-index for author influence [ 22 ]; number of cites for publication influence), expert opinion, and cross-references in the literature (i.e., snowball sampling). As a final selection criterion, a publication was included only if it made an original contribution in terms of novel guidance regarding sampling or a related concept; thus, purely secondary sources were excluded. Publish or Perish software (Anne-Wil Harzing; available at http://www.harzing.com/resources/publish-or-perish ) was used to generate bibliometric data via the Google Scholar database. Figure  1 illustrates how identification and selection in the methods overview on sampling was a multi-faceted and iterative process. The authors selected as influential, and the publications selected for inclusion or exclusion are listed in Additional file 1 (Matrices 1, 2a, 2b).

Literature identification and selection process used in the methods overview on sampling [ 18 ]

In summary, the strategies of seeking maximum variation and sampling for influence were employed in the sampling overview to meet the specific review objectives described. Reviewers will need to consider the full range of purposeful literature sampling approaches at their disposal in deciding what best matches the specific aims of their own reviews. Suri [ 10 ] has recently retooled Patton’s well-known typology of purposeful sampling strategies (originally intended for primary research) for application to literature synthesis, providing a useful resource in this respect.

Data abstraction

The purpose of data abstraction in rigorous literature reviews is to locate and record all data relevant to the topic of interest from the full text of included publications, making them available for subsequent analysis. Conventionally, a data abstraction form—consisting of numerous distinct conceptually defined fields to which corresponding information from the source publication is recorded—is developed and employed. There are several challenges, however, to the processes of developing the abstraction form and abstracting the data itself when conducting methods overviews, which we address here. Some of these problems and their solutions may be familiar to those who have conducted qualitative literature syntheses, which are similarly conceptual.

Iteratively defining conceptual information to abstract

In the overview on sampling [ 18 ], while we surveyed multiple sources beforehand to develop a list of concepts relevant for abstraction (e.g., purposeful sampling strategies, saturation, sample size), there was no way for us to anticipate some concepts prior to encountering them in the review process. Indeed, in many cases, reviewers are unable to determine the complete set of methods-related concepts that will be the focus of the final review a priori without having systematically reviewed the publications to be included. Thus, defining what information to abstract beforehand may not be feasible.

Principle #5:

Considering the potential impracticality of defining a complete set of relevant methods-related concepts from a body of literature one has not yet systematically read, selecting and defining fields for data abstraction must often be undertaken iteratively. Thus, concepts to be abstracted can be expected to grow and change as data abstraction proceeds.

Strategy #5:

Reviewers can develop an initial form or set of concepts for abstraction purposes according to standard methods (e.g., incorporating expert feedback, pilot testing) and remain attentive to the need to iteratively revise it as concepts are added or modified during the review. Reviewers should document revisions and return to re-abstract data from previously abstracted publications as the new data requirements are determined.

In the sampling overview [ 18 ], we developed and maintained the abstraction form in Microsoft Word. We derived the initial set of abstraction fields from our own knowledge of relevant sampling-related concepts, consultation with local experts, and reviewing a pilot sample of publications. Since the publications in this review included a large proportion of books, the abstraction process often began by flagging the broad sections within a publication containing topic-relevant information for detailed review to identify text to abstract. When reviewing flagged text, the reviewer occasionally encountered an unanticipated concept significant enough to warrant being added as a new field to the abstraction form. For example, a field was added to capture how authors described the timing of sampling decisions, whether before (a priori) or after (ongoing) starting data collection, or whether this was unclear. In these cases, we systematically documented the modification to the form and returned to previously abstracted publications to abstract any information that might be relevant to the new field.

The logic of this strategy is analogous to the logic used in a form of research synthesis called best fit framework synthesis (BFFS) [ 23 – 25 ]. In that method, reviewers initially code evidence using an a priori framework they have selected. When evidence cannot be accommodated by the selected framework, reviewers then develop new themes or concepts from which they construct a new expanded framework. Both the strategy proposed and the BFFS approach to research synthesis are notable for their rigorous and transparent means to adapt a final set of concepts to the content under review.

Accounting for inconsistent terminology

An important complication affecting the abstraction process in methods overviews is that the language used by authors to describe methods-related concepts can easily vary across publications. For example, authors from different qualitative research traditions often use different terms for similar methods-related concepts. Furthermore, as we found in the sampling overview [ 18 ], there may be cases where no identifiable term, phrase, or label for a methods-related concept is used at all, and a description of it is given instead. This can make searching the text for relevant concepts based on keywords unreliable.

Principle #6:

Since accepted terms may not be used consistently to refer to methods concepts, it is necessary to rely on the definitions for concepts, rather than keywords, to identify relevant information in the publication to abstract.

Strategy #6:

An effective means to systematically identify relevant information is to develop and iteratively adjust written definitions for key concepts (corresponding to abstraction fields) that are consistent with and as inclusive of as much of the literature reviewed as possible. Reviewers then seek information that matches these definitions (rather than keywords) when scanning a publication for relevant data to abstract.

In the abstraction process for the sampling overview [ 18 ], we noted the several concepts of interest to the review for which abstraction by keyword was particularly problematic due to inconsistent terminology across publications: sampling , purposeful sampling , sampling strategy , and saturation (for examples, see Additional file 1 , Matrices 3a, 3b, 4). We iteratively developed definitions for these concepts by abstracting text from publications that either provided an explicit definition or from which an implicit definition could be derived, which was recorded in fields dedicated to the concept’s definition. Using a method of constant comparison, we used text from definition fields to inform and modify a centrally maintained definition of the corresponding concept to optimize its fit and inclusiveness with the literature reviewed. Table  1 shows, as an example, the final definition constructed in this way for one of the central concepts of the review, qualitative sampling .

We applied iteratively developed definitions when making decisions about what specific text to abstract for an existing field, which allowed us to abstract concept-relevant data even if no recognized keyword was used. For example, this was the case for the sampling-related concept, saturation , where the relevant text available for abstraction in one publication [ 26 ]—“to continue to collect data until nothing new was being observed or recorded, no matter how long that takes”—was not accompanied by any term or label whatsoever.

This comparative analytic strategy (and our approach to analysis more broadly as described in strategy #7, below) is analogous to the process of reciprocal translation —a technique first introduced for meta-ethnography by Noblit and Hare [ 27 ] that has since been recognized as a common element in a variety of qualitative metasynthesis approaches [ 28 ]. Reciprocal translation, taken broadly, involves making sense of a study’s findings in terms of the findings of the other studies included in the review. In practice, it has been operationalized in different ways. Melendez-Torres and colleagues developed a typology from their review of the metasynthesis literature, describing four overlapping categories of specific operations undertaken in reciprocal translation: visual representation, key paper integration, data reduction and thematic extraction, and line-by-line coding [ 28 ]. The approaches suggested in both strategies #6 and #7, with their emphasis on constant comparison, appear to fall within the line-by-line coding category.

Generating credible and verifiable analytic interpretations

The analysis in a systematic methods overview must support its more general objective, which we suggested above is often to offer clarity and enhance collective understanding regarding a chosen methods topic. In our experience, this involves describing and interpreting the relevant literature in qualitative terms. Furthermore, any interpretative analysis required may entail reaching different levels of abstraction, depending on the more specific objectives of the review. For example, in the overview on sampling [ 18 ], we aimed to produce a comparative analysis of how multiple sampling-related topics were treated differently within and among different qualitative research traditions. To promote credibility of the review, however, not only should one seek a qualitative analytic approach that facilitates reaching varying levels of abstraction but that approach must also ensure that abstract interpretations are supported and justified by the source data and not solely the product of the analyst’s speculative thinking.

Principle #7:

Considering the qualitative nature of the analysis required in systematic methods overviews, it is important to select an analytic method whose interpretations can be verified as being consistent with the literature selected, regardless of the level of abstraction reached.

Strategy #7:

We suggest employing the constant comparative method of analysis [ 29 ] because it supports developing and verifying analytic links to the source data throughout progressively interpretive or abstract levels. In applying this approach, we advise a rigorous approach, documenting how supportive quotes or references to the original texts are carried forward in the successive steps of analysis to allow for easy verification.

The analytic approach used in the methods overview on sampling [ 18 ] comprised four explicit steps, progressing in level of abstraction—data abstraction, matrices, narrative summaries, and final analytic conclusions (Fig.  2 ). While we have positioned data abstraction as the second stage of the generic review process (prior to Analysis), above, we also considered it as an initial step of analysis in the sampling overview for several reasons. First, it involved a process of constant comparisons and iterative decision-making about the fields to add or define during development and modification of the abstraction form, through which we established the range of concepts to be addressed in the review. At the same time, abstraction involved continuous analytic decisions about what textual quotes (ranging in size from short phrases to numerous paragraphs) to record in the fields thus created. This constant comparative process was analogous to open coding in which textual data from publications was compared to conceptual fields (equivalent to codes) or to other instances of data previously abstracted when constructing definitions to optimize their fit with the overall literature as described in strategy #6. Finally, in the data abstraction step, we also recorded our first interpretive thoughts in dedicated fields, providing initial material for the more abstract analytic steps.

Summary of progressive steps of analysis used in the methods overview on sampling [ 18 ]

In the second step of the analysis, we constructed topic-specific matrices , or tables, by copying relevant quotes from abstraction forms into the appropriate cells of matrices (for the complete set of analytic matrices developed in the sampling review, see Additional file 1 (matrices 3 to 10)). Each matrix ranged from one to five pages; row headings, nested three-deep, identified the methodological tradition, author, and publication, respectively; and column headings identified the concepts, which corresponded to abstraction fields. Matrices thus allowed us to make further comparisons across methodological traditions, and between authors within a tradition. In the third step of analysis, we recorded our comparative observations as narrative summaries , in which we used illustrative quotes more sparingly. In the final step, we developed analytic conclusions based on the narrative summaries about the sampling-related concepts within each methodological tradition for which clarity, consistency, or comprehensiveness of the available guidance appeared to be lacking. Higher levels of analysis thus built logically from the lower levels, enabling us to easily verify analytic conclusions by tracing the support for claims by comparing the original text of publications reviewed.

Integrative versus interpretive methods overviews

The analytic product of systematic methods overviews is comparable to qualitative evidence syntheses, since both involve describing and interpreting the relevant literature in qualitative terms. Most qualitative synthesis approaches strive to produce new conceptual understandings that vary in level of interpretation. Dixon-Woods and colleagues [ 30 ] elaborate on a useful distinction, originating from Noblit and Hare [ 27 ], between integrative and interpretive reviews. Integrative reviews focus on summarizing available primary data and involve using largely secure and well defined concepts to do so; definitions are used from an early stage to specify categories for abstraction (or coding) of data, which in turn supports their aggregation; they do not seek as their primary focus to develop or specify new concepts, although they may achieve some theoretical or interpretive functions. For interpretive reviews, meanwhile, the main focus is to develop new concepts and theories that integrate them, with the implication that the concepts developed become fully defined towards the end of the analysis. These two forms are not completely distinct, and “every integrative synthesis will include elements of interpretation, and every interpretive synthesis will include elements of aggregation of data” [ 30 ].

The example methods overview on sampling [ 18 ] could be classified as predominantly integrative because its primary goal was to aggregate influential authors’ ideas on sampling-related concepts; there were also, however, elements of interpretive synthesis since it aimed to develop new ideas about where clarity in guidance on certain sampling-related topics is lacking, and definitions for some concepts were flexible and not fixed until late in the review. We suggest that most systematic methods overviews will be classifiable as predominantly integrative (aggregative). Nevertheless, more highly interpretive methods overviews are also quite possible—for example, when the review objective is to provide a highly critical analysis for the purpose of generating new methodological guidance. In such cases, reviewers may need to sample more deeply (see strategy #4), specifically by selecting empirical research reports (i.e., to go beyond dominant or influential ideas in the methods literature) that are likely to feature innovations or instructive lessons in employing a given method.

In this paper, we have outlined tentative guidance in the form of seven principles and strategies on how to conduct systematic methods overviews, a review type in which methods-relevant literature is systematically analyzed with the aim of offering clarity and enhancing collective understanding regarding a specific methods topic. Our proposals include strategies for delimiting the set of publications to consider, searching beyond standard bibliographic databases, searching without the availability of relevant metadata, selecting publications on purposeful conceptual grounds, defining concepts and other information to abstract iteratively, accounting for inconsistent terminology, and generating credible and verifiable analytic interpretations. We hope the suggestions proposed will be useful to others undertaking reviews on methods topics in future.

As far as we are aware, this is the first published source of concrete guidance for conducting this type of review. It is important to note that our primary objective was to initiate methodological discussion by stimulating reflection on what rigorous methods for this type of review should look like, leaving the development of more complete guidance to future work. While derived from the experience of reviewing a single qualitative methods topic, we believe the principles and strategies provided are generalizable to overviews of both qualitative and quantitative methods topics alike. However, it is expected that additional challenges and insights for conducting such reviews have yet to be defined. Thus, we propose that next steps for developing more definitive guidance should involve an attempt to collect and integrate other reviewers’ perspectives and experiences in conducting systematic methods overviews on a broad range of qualitative and quantitative methods topics. Formalized guidance and standards would improve the quality of future methods overviews, something we believe has important implications for advancing qualitative and quantitative methodology. When undertaken to a high standard, rigorous critical evaluations of the available methods guidance have significant potential to make implicit controversies explicit, and improve the clarity and precision of our understandings of problematic qualitative or quantitative methods issues.

A review process central to most types of rigorous reviews of empirical studies, which we did not explicitly address in a separate review step above, is quality appraisal . The reason we have not treated this as a separate step stems from the different objectives of the primary publications included in overviews of the methods literature (i.e., providing methodological guidance) compared to the primary publications included in the other established review types (i.e., reporting findings from single empirical studies). This is not to say that appraising quality of the methods literature is not an important concern for systematic methods overviews. Rather, appraisal is much more integral to (and difficult to separate from) the analysis step, in which we advocate appraising clarity, consistency, and comprehensiveness—the quality appraisal criteria that we suggest are appropriate for the methods literature. As a second important difference regarding appraisal, we currently advocate appraising the aforementioned aspects at the level of the literature in aggregate rather than at the level of individual publications. One reason for this is that methods guidance from individual publications generally builds on previous literature, and thus we feel that ahistorical judgments about comprehensiveness of single publications lack relevance and utility. Additionally, while different methods authors may express themselves less clearly than others, their guidance can nonetheless be highly influential and useful, and should therefore not be downgraded or ignored based on considerations of clarity—which raises questions about the alternative uses that quality appraisals of individual publications might have. Finally, legitimate variability in the perspectives that methods authors wish to emphasize, and the levels of generality at which they write about methods, makes critiquing individual publications based on the criterion of clarity a complex and potentially problematic endeavor that is beyond the scope of this paper to address. By appraising the current state of the literature at a holistic level, reviewers stand to identify important gaps in understanding that represent valuable opportunities for further methodological development.

To summarize, the principles and strategies provided here may be useful to those seeking to undertake their own systematic methods overview. Additional work is needed, however, to establish guidance that is comprehensive by comparing the experiences from conducting a variety of methods overviews on a range of methods topics. Efforts that further advance standards for systematic methods overviews have the potential to promote high-quality critical evaluations that produce conceptually clear and unified understandings of problematic methods topics, thereby accelerating the advance of research methodology.

Hutton JL, Ashcroft R. What does “systematic” mean for reviews of methods? In: Black N, Brazier J, Fitzpatrick R, Reeves B, editors. Health services research methods: a guide to best practice. London: BMJ Publishing Group; 1998. p. 249–54.

Google Scholar  

Cochrane handbook for systematic reviews of interventions. In. Edited by Higgins JPT, Green S, Version 5.1.0 edn: The Cochrane Collaboration; 2011.

Centre for Reviews and Dissemination: Systematic reviews: CRD’s guidance for undertaking reviews in health care . York: Centre for Reviews and Dissemination; 2009.

Liberati A, Altman DG, Tetzlaff J, Mulrow C, Gotzsche PC, Ioannidis JPA, Clarke M, Devereaux PJ, Kleijnen J, Moher D. The PRISMA statement for reporting systematic reviews and meta-analyses of studies that evaluate healthcare interventions: explanation and elaboration. BMJ. 2009;339:b2700–0.

Barnett-Page E, Thomas J. Methods for the synthesis of qualitative research: a critical review. BMC Med Res Methodol. 2009;9(1):59.

Article   PubMed   PubMed Central   Google Scholar  

Kastner M, Tricco AC, Soobiah C, Lillie E, Perrier L, Horsley T, Welch V, Cogo E, Antony J, Straus SE. What is the most appropriate knowledge synthesis method to conduct a review? Protocol for a scoping review. BMC Med Res Methodol. 2012;12(1):1–1.

Article   Google Scholar  

Booth A, Noyes J, Flemming K, Gerhardus A. Guidance on choosing qualitative evidence synthesis methods for use in health technology assessments of complex interventions. In: Integrate-HTA. 2016.

Booth A, Sutton A, Papaioannou D. Systematic approaches to successful literature review. 2nd ed. London: Sage; 2016.

Hannes K, Lockwood C. Synthesizing qualitative research: choosing the right approach. Chichester: Wiley-Blackwell; 2012.

Suri H. Towards methodologically inclusive research syntheses: expanding possibilities. New York: Routledge; 2014.

Campbell M, Egan M, Lorenc T, Bond L, Popham F, Fenton C, Benzeval M. Considering methodological options for reviews of theory: illustrated by a review of theories linking income and health. Syst Rev. 2014;3(1):1–11.

Cohen DJ, Crabtree BF. Evaluative criteria for qualitative research in health care: controversies and recommendations. Ann Fam Med. 2008;6(4):331–9.

Tong A, Sainsbury P, Craig J. Consolidated criteria for reportingqualitative research (COREQ): a 32-item checklist for interviews and focus groups. Int J Qual Health Care. 2007;19(6):349–57.

Article   PubMed   Google Scholar  

Moher D, Schulz KF, Simera I, Altman DG. Guidance for developers of health research reporting guidelines. PLoS Med. 2010;7(2):e1000217.

Moher D, Tetzlaff J, Tricco AC, Sampson M, Altman DG. Epidemiology and reporting characteristics of systematic reviews. PLoS Med. 2007;4(3):e78.

Chan AW, Altman DG. Epidemiology and reporting of randomised trials published in PubMed journals. Lancet. 2005;365(9465):1159–62.

Alshurafa M, Briel M, Akl EA, Haines T, Moayyedi P, Gentles SJ, Rios L, Tran C, Bhatnagar N, Lamontagne F, et al. Inconsistent definitions for intention-to-treat in relation to missing outcome data: systematic review of the methods literature. PLoS One. 2012;7(11):e49163.

Article   CAS   PubMed   PubMed Central   Google Scholar  

Gentles SJ, Charles C, Ploeg J, McKibbon KA. Sampling in qualitative research: insights from an overview of the methods literature. Qual Rep. 2015;20(11):1772–89.

Harzing A-W, Alakangas S. Google Scholar, Scopus and the Web of Science: a longitudinal and cross-disciplinary comparison. Scientometrics. 2016;106(2):787–804.

Harzing A-WK, van der Wal R. Google Scholar as a new source for citation analysis. Ethics Sci Environ Polit. 2008;8(1):61–73.

Kousha K, Thelwall M. Google Scholar citations and Google Web/URL citations: a multi‐discipline exploratory analysis. J Assoc Inf Sci Technol. 2007;58(7):1055–65.

Hirsch JE. An index to quantify an individual’s scientific research output. Proc Natl Acad Sci U S A. 2005;102(46):16569–72.

Booth A, Carroll C. How to build up the actionable knowledge base: the role of ‘best fit’ framework synthesis for studies of improvement in healthcare. BMJ Quality Safety. 2015;24(11):700–8.

Carroll C, Booth A, Leaviss J, Rick J. “Best fit” framework synthesis: refining the method. BMC Med Res Methodol. 2013;13(1):37.

Carroll C, Booth A, Cooper K. A worked example of “best fit” framework synthesis: a systematic review of views concerning the taking of some potential chemopreventive agents. BMC Med Res Methodol. 2011;11(1):29.

Cohen MZ, Kahn DL, Steeves DL. Hermeneutic phenomenological research: a practical guide for nurse researchers. Thousand Oaks: Sage; 2000.

Noblit GW, Hare RD. Meta-ethnography: synthesizing qualitative studies. Newbury Park: Sage; 1988.

Book   Google Scholar  

Melendez-Torres GJ, Grant S, Bonell C. A systematic review and critical appraisal of qualitative metasynthetic practice in public health to develop a taxonomy of operations of reciprocal translation. Res Synthesis Methods. 2015;6(4):357–71.

Article   CAS   Google Scholar  

Glaser BG, Strauss A. The discovery of grounded theory. Chicago: Aldine; 1967.

Dixon-Woods M, Agarwal S, Young B, Jones D, Sutton A. Integrative approaches to qualitative and quantitative evidence. In: UK National Health Service. 2004. p. 1–44.

Download references

Acknowledgements

Not applicable.

There was no funding for this work.

Availability of data and materials

The systematic methods overview used as a worked example in this article (Gentles SJ, Charles C, Ploeg J, McKibbon KA: Sampling in qualitative research: insights from an overview of the methods literature. The Qual Rep 2015, 20(11):1772-1789) is available from http://nsuworks.nova.edu/tqr/vol20/iss11/5 .

Authors’ contributions

SJG wrote the first draft of this article, with CC contributing to drafting. All authors contributed to revising the manuscript. All authors except CC (deceased) approved the final draft. SJG, CC, KAB, and JP were involved in developing methods for the systematic methods overview on sampling.

Authors’ information

Competing interests.

The authors declare that they have no competing interests.

Consent for publication

Ethics approval and consent to participate, author information, authors and affiliations.

Department of Clinical Epidemiology and Biostatistics, McMaster University, Hamilton, Ontario, Canada

Stephen J. Gentles, Cathy Charles & K. Ann McKibbon

Faculty of Social Work, University of Calgary, Alberta, Canada

David B. Nicholas

School of Nursing, McMaster University, Hamilton, Ontario, Canada

Jenny Ploeg

CanChild Centre for Childhood Disability Research, McMaster University, 1400 Main Street West, IAHS 408, Hamilton, ON, L8S 1C7, Canada

Stephen J. Gentles

You can also search for this author in PubMed   Google Scholar

Corresponding author

Correspondence to Stephen J. Gentles .

Additional information

Cathy Charles is deceased

Additional file

Additional file 1:.

Submitted: Analysis_matrices. (DOC 330 kb)

Rights and permissions

Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License ( http://creativecommons.org/licenses/by/4.0/ ), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver ( http://creativecommons.org/publicdomain/zero/1.0/ ) applies to the data made available in this article, unless otherwise stated.

Reprints and permissions

About this article

Cite this article.

Gentles, S.J., Charles, C., Nicholas, D.B. et al. Reviewing the research methods literature: principles and strategies illustrated by a systematic overview of sampling in qualitative research. Syst Rev 5 , 172 (2016). https://doi.org/10.1186/s13643-016-0343-0

Download citation

Received : 06 June 2016

Accepted : 14 September 2016

Published : 11 October 2016

DOI : https://doi.org/10.1186/s13643-016-0343-0

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Systematic review
• Literature selection
• Research methods
• Research methodology
• Overview of methods
• Systematic methods overview
• Review methods

Systematic Reviews

ISSN: 2046-4053

• Submission enquiries: Access here and click Contact Us
• General enquiries: [email protected]

Have a language expert improve your writing

Run a free plagiarism check in 10 minutes, generate accurate citations for free.

• Knowledge Base

Methodology

• 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.

Instantly correct all language mistakes in your text

Upload your document to correct all your mistakes in minutes

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.

Receive feedback on language, structure, and formatting

Professional editors proofread and edit your paper by focusing on:

• Academic style
• Vague sentences
• Style consistency

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.

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 !

This article has been adapted into lecture slides that you can use to teach your students about writing a literature review.

Scribbr slides are free to use, customize, and distribute for educational purposes.

Open Google Slides Download PowerPoint

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
• Simple random sampling
• Stratified sampling
• Cluster sampling
• Likert scales
• Reproducibility

 Statistics

• Null hypothesis
• Statistical power
• Probability distribution
• Effect size
• Poisson distribution

Research bias

• Optimism bias
• Cognitive bias
• Implicit bias
• Hawthorne effect
• Anchoring bias
• Explicit bias

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 .  

Cite this Scribbr article

If you want to cite this source, you can copy and paste the citation or click the “Cite this Scribbr article” button to automatically add the citation to our free Citation Generator.

McCombes, S. (2023, September 11). How to Write a Literature Review | Guide, Examples, & Templates. Scribbr. Retrieved September 18, 2024, from https://www.scribbr.com/dissertation/literature-review/

Is this article helpful?

Shona McCombes

Other students also liked, what is a theoretical framework | guide to organizing, what is a research methodology | steps & tips, how to write a research proposal | examples & templates, what is your plagiarism score.

Harvey Cushing/John Hay Whitney Medical Library

• Collections
• Research Help

YSN Doctoral Programs: Steps in Conducting a Literature Review

• Biomedical Databases
• Global (Public Health) Databases
• Soc. Sci., History, and Law Databases
• Grey Literature
• Trials Registers
• Data and Statistics
• Public Policy
• Google Tips
• Recommended Books
• Steps in Conducting a Literature Review

What is a literature review?

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

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

Why is it important?

A literature review is important because it:

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

APA7 Style resources

APA Style Blog - for those harder to find answers

1. Choose a topic. Define your research question.

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

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

2. Decide on the scope of your review

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

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

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

Make a list of the databases you will search. 

Where to find databases:

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

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

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

Review the literature

Some questions to help you analyze the research:

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

Tips: 

• Review the abstracts carefully.  
• Keep careful notes so that you may track your thought processes during the research process.
• Create a matrix of the studies for easy analysis, and synthesis, across all of the studies.
• << Previous: Recommended Books
• Last Updated: Jun 20, 2024 9:08 AM
• URL: https://guides.library.yale.edu/YSNDoctoral

Research Methods and Design

• Action Research
• Case Study Design

Literature Review

• Quantitative Research Methods
• Qualitative Research Methods
• Mixed Methods Study
• Indigenous Research and Ethics This link opens in a new window
• Identifying Empirical Research Articles This link opens in a new window
• Research Ethics and Quality
• Data Literacy
• Get Help with Writing Assignments

A literature review is a discussion of the literature (aka. the "research" or "scholarship") surrounding a certain topic. A good literature review doesn't simply summarize the existing material, but provides thoughtful synthesis and analysis. The purpose of a literature review is to orient your own work within an existing body of knowledge. A literature review may be written as a standalone piece or be included in a larger body of work.

You can read more about literature reviews, what they entail, and how to write one, using the resources below. 

Am I the only one struggling to write a literature review?

Dr. Zina O'Leary explains the misconceptions and struggles students often have with writing a literature review. She also provides step-by-step guidance on writing a persuasive literature review.

An Introduction to Literature Reviews

Dr. Eric Jensen, Professor of Sociology at the University of Warwick, and Dr. Charles Laurie, Director of Research at Verisk Maplecroft, explain how to write a literature review, and why researchers need to do so. Literature reviews can be stand-alone research or part of a larger project. They communicate the state of academic knowledge on a given topic, specifically detailing what is still unknown.

This is the first video in a whole series about literature reviews. You can find the rest of the series in our SAGE database, Research Methods:

Videos covering research methods and statistics

Identify Themes and Gaps in Literature (with real examples) | Scribbr

Finding connections between sources is key to organizing the arguments and structure of a good literature review. In this video, you'll learn how to identify themes, debates, and gaps between sources, using examples from real papers.

4 Tips for Writing a Literature Review's Intro, Body, and Conclusion | Scribbr

While each review will be unique in its structure--based on both the existing body of both literature and the overall goals of your own paper, dissertation, or research--this video from Scribbr does a good job simplifying the goals of writing a literature review for those who are new to the process. In this video, you’ll learn what to include in each section, as well as 4 tips for the main body illustrated with an example.

• Literature Review This chapter in SAGE's Encyclopedia of Research Design describes the types of literature reviews and scientific standards for conducting literature reviews.
• UNC Writing Center: Literature Reviews This handout from the Writing Center at UNC will explain what literature reviews are and offer insights into the form and construction of literature reviews in the humanities, social sciences, and sciences.
• Purdue OWL: Writing a Literature Review The overview of literature reviews comes from Purdue's Online Writing Lab. It explains the basic why, what, and how of writing a literature review.

Organizational Tools for Literature Reviews

One of the most daunting aspects of writing a literature review is organizing your research. There are a variety of strategies that you can use to help you in this task. We've highlighted just a few ways writers keep track of all that information! You can use a combination of these tools or come up with your own organizational process. The key is choosing something that works with your own learning style.

Citation Managers

Citation managers are great tools, in general, for organizing research, but can be especially helpful when writing a literature review. You can keep all of your research in one place, take notes, and organize your materials into different folders or categories. Read more about citations managers here:

• Manage Citations & Sources

Concept Mapping

Some writers use concept mapping (sometimes called flow or bubble charts or "mind maps") to help them visualize the ways in which the research they found connects.

There is no right or wrong way to make a concept map. There are a variety of online tools that can help you create a concept map or you can simply put pen to paper. To read more about concept mapping, take a look at the following help guides:

• Using Concept Maps From Williams College's guide, Literature Review: A Self-guided Tutorial

Synthesis Matrix

A synthesis matrix is is a chart you can use to help you organize your research into thematic categories. By organizing your research into a matrix, like the examples below, can help you visualize the ways in which your sources connect. 

• Walden University Writing Center: Literature Review Matrix Find a variety of literature review matrix examples and templates from Walden University.
• Writing A Literature Review and Using a Synthesis Matrix An example synthesis matrix created by NC State University Writing and Speaking Tutorial Service Tutors. If you would like a copy of this synthesis matrix in a different format, like a Word document, please ask a librarian. CC-BY-SA 3.0
• << Previous: Case Study Design
• Next: Quantitative Research Methods >>
• Last Updated: May 7, 2024 9:51 AM

CityU Home - CityU Catalog

Research Methods: Literature Reviews

• Annotated Bibliographies
• Literature Reviews
• Scoping Reviews
• Systematic Reviews
• Scholarship of Teaching and Learning
• Persuasive Arguments
• Subject Specific Methodology

A literature review involves researching, reading, analyzing, evaluating, and summarizing scholarly literature (typically journals and articles) about a specific topic. The results of a literature review may be an entire report or article OR may be part of a article, thesis, dissertation, or grant proposal. A literature review helps the author learn about the history and nature of their topic, and identify research gaps and problems.

Steps & Elements

Problem formulation

• Determine your topic and its components by asking a question
• Research: locate literature related to your topic to identify the gap(s) that can be addressed
• Read: read the articles or other sources of information
• Analyze: assess the findings for relevancy
• Evaluating: determine how the article are relevant to your research and what are the key findings
• Synthesis: write about the key findings and how it is relevant to your research

Elements of a Literature Review

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

Writing a Literature Review Resources

• How to Write a Literature Review From the Wesleyan University Library
• Write a Literature Review From the University of California Santa Cruz Library. A Brief overview of a literature review, includes a list of stages for writing a lit review.
• Literature Reviews From the University of North Carolina Writing Center. Detailed information about writing a literature review.
• Undertaking a literature review: a step-by-step approach Cronin, P., Ryan, F., & Coughan, M. (2008). Undertaking a literature review: A step-by-step approach. British Journal of Nursing, 17(1), p.38-43

Literature Review Tutorial

• << Previous: Annotated Bibliographies
• Next: Scoping Reviews >>
• Last Updated: Jul 8, 2024 3:13 PM
• URL: https://guides.auraria.edu/researchmethods

1100 Lawrence Street Denver, CO 80204 303-315-7700 Ask Us Directions

Types of Literature Review

There are many types of literature review. The choice of a specific type depends on your research approach and design. The following types of literature review are the most popular in business studies:

Narrative literature review , also referred to as traditional literature review, critiques literature and summarizes the body of a literature. Narrative review also draws conclusions about the topic and identifies gaps or inconsistencies in a body of knowledge. You need to have a sufficiently focused research question to conduct a narrative literature review

Systematic literature review requires more rigorous and well-defined approach compared to most other types of literature review. Systematic literature review is comprehensive and details the timeframe within which the literature was selected. Systematic literature review can be divided into two categories: meta-analysis and meta-synthesis.

When you conduct meta-analysis you take findings from several studies on the same subject and analyze these using standardized statistical procedures. In meta-analysis patterns and relationships are detected and conclusions are drawn. Meta-analysis is associated with deductive research approach.

Meta-synthesis, on the other hand, is based on non-statistical techniques. This technique integrates, evaluates and interprets findings of multiple qualitative research studies. Meta-synthesis literature review is conducted usually when following inductive research approach.

Scoping literature review , as implied by its name is used to identify the scope or coverage of a body of literature on a given topic. It has been noted that “scoping reviews are useful for examining emerging evidence when it is still unclear what other, more specific questions can be posed and valuably addressed by a more precise systematic review.” [1] The main difference between systematic and scoping types of literature review is that, systematic literature review is conducted to find answer to more specific research questions, whereas scoping literature review is conducted to explore more general research question.

Argumentative literature review , as the name implies, examines literature selectively in order to support or refute an argument, deeply imbedded assumption, or philosophical problem already established in the literature. It should be noted that a potential for bias is a major shortcoming associated with argumentative literature review.

Integrative literature review reviews , critiques, and synthesizes secondary data about research topic in an integrated way such that new frameworks and perspectives on the topic are generated. If your research does not involve primary data collection and data analysis, then using integrative literature review will be your only option.

Theoretical literature review focuses on a pool of theory that has accumulated in regard to an issue, concept, theory, phenomena. Theoretical literature reviews play an instrumental role in establishing what theories already exist, the relationships between them, to what degree existing theories have been investigated, and to develop new hypotheses to be tested.

At the earlier parts of the literature review chapter, you need to specify the type of your literature review your chose and justify your choice. Your choice of a specific type of literature review should be based upon your research area, research problem and research methods.  Also, you can briefly discuss other most popular types of literature review mentioned above, to illustrate your awareness of them.

[1] Munn, A. et. al. (2018) “Systematic review or scoping review? Guidance for authors when choosing between a systematic or scoping review approach” BMC Medical Research Methodology

  John Dudovskiy

What is Research Methodology? Definition, Types, and Examples

Research methodology 1,2 is a structured and scientific approach used to collect, analyze, and interpret quantitative or qualitative data to answer research questions or test hypotheses. A research methodology is like a plan for carrying out research and helps keep researchers on track by limiting the scope of the research. Several aspects must be considered before selecting an appropriate research methodology, such as research limitations and ethical concerns that may affect your research.

The research methodology section in a scientific paper describes the different methodological choices made, such as the data collection and analysis methods, and why these choices were selected. The reasons should explain why the methods chosen are the most appropriate to answer the research question. A good research methodology also helps ensure the reliability and validity of the research findings. There are three types of research methodology—quantitative, qualitative, and mixed-method, which can be chosen based on the research objectives.

What is research methodology ?

A research methodology describes the techniques and procedures used to identify and analyze information regarding a specific research topic. It is a process by which researchers design their study so that they can achieve their objectives using the selected research instruments. It includes all the important aspects of research, including research design, data collection methods, data analysis methods, and the overall framework within which the research is conducted. While these points can help you understand what is research methodology, you also need to know why it is important to pick the right methodology.

Having a good research methodology in place has the following advantages: 3

• Helps other researchers who may want to replicate your research; the explanations will be of benefit to them.
• You can easily answer any questions about your research if they arise at a later stage.
• A research methodology provides a framework and guidelines for researchers to clearly define research questions, hypotheses, and objectives.
• It helps researchers identify the most appropriate research design, sampling technique, and data collection and analysis methods.
• A sound research methodology helps researchers ensure that their findings are valid and reliable and free from biases and errors.
• It also helps ensure that ethical guidelines are followed while conducting research.
• A good research methodology helps researchers in planning their research efficiently, by ensuring optimum usage of their time and resources.

Writing the methods section of a research paper? Let Paperpal help you achieve perfection  

Types of research methodology.

There are three types of research methodology based on the type of research and the data required. 1

• Quantitative research methodology focuses on measuring and testing numerical data. This approach is good for reaching a large number of people in a short amount of time. This type of research helps in testing the causal relationships between variables, making predictions, and generalizing results to wider populations.
• Qualitative research methodology examines the opinions, behaviors, and experiences of people. It collects and analyzes words and textual data. This research methodology requires fewer participants but is still more time consuming because the time spent per participant is quite large. This method is used in exploratory research where the research problem being investigated is not clearly defined.
• Mixed-method research methodology uses the characteristics of both quantitative and qualitative research methodologies in the same study. This method allows researchers to validate their findings, verify if the results observed using both methods are complementary, and explain any unexpected results obtained from one method by using the other method.

What are the types of sampling designs in research methodology?

Sampling 4 is an important part of a research methodology and involves selecting a representative sample of the population to conduct the study, making statistical inferences about them, and estimating the characteristics of the whole population based on these inferences. There are two types of sampling designs in research methodology—probability and nonprobability.

• Probability sampling

In this type of sampling design, a sample is chosen from a larger population using some form of random selection, that is, every member of the population has an equal chance of being selected. The different types of probability sampling are:

• Systematic —sample members are chosen at regular intervals. It requires selecting a starting point for the sample and sample size determination that can be repeated at regular intervals. This type of sampling method has a predefined range; hence, it is the least time consuming.
• Stratified —researchers divide the population into smaller groups that don’t overlap but represent the entire population. While sampling, these groups can be organized, and then a sample can be drawn from each group separately.
• Cluster —the population is divided into clusters based on demographic parameters like age, sex, location, etc.
• Convenience —selects participants who are most easily accessible to researchers due to geographical proximity, availability at a particular time, etc.
• Purposive —participants are selected at the researcher’s discretion. Researchers consider the purpose of the study and the understanding of the target audience.
• Snowball —already selected participants use their social networks to refer the researcher to other potential participants.
• Quota —while designing the study, the researchers decide how many people with which characteristics to include as participants. The characteristics help in choosing people most likely to provide insights into the subject.

What are data collection methods?

During research, data are collected using various methods depending on the research methodology being followed and the research methods being undertaken. Both qualitative and quantitative research have different data collection methods, as listed below.

Qualitative research 5

• One-on-one interviews: Helps the interviewers understand a respondent’s subjective opinion and experience pertaining to a specific topic or event
• Document study/literature review/record keeping: Researchers’ review of already existing written materials such as archives, annual reports, research articles, guidelines, policy documents, etc.
• Focus groups: Constructive discussions that usually include a small sample of about 6-10 people and a moderator, to understand the participants’ opinion on a given topic.
• Qualitative observation : Researchers collect data using their five senses (sight, smell, touch, taste, and hearing).

Quantitative research 6

• Sampling: The most common type is probability sampling.
• Interviews: Commonly telephonic or done in-person.
• Observations: Structured observations are most commonly used in quantitative research. In this method, researchers make observations about specific behaviors of individuals in a structured setting.
• Document review: Reviewing existing research or documents to collect evidence for supporting the research.
• Surveys and questionnaires. Surveys can be administered both online and offline depending on the requirement and sample size.

Let Paperpal help you write the perfect research methods section. Start now!

What are data analysis methods.

The data collected using the various methods for qualitative and quantitative research need to be analyzed to generate meaningful conclusions. These data analysis methods 7 also differ between quantitative and qualitative research.

Quantitative research involves a deductive method for data analysis where hypotheses are developed at the beginning of the research and precise measurement is required. The methods include statistical analysis applications to analyze numerical data and are grouped into two categories—descriptive and inferential.

Descriptive analysis is used to describe the basic features of different types of data to present it in a way that ensures the patterns become meaningful. The different types of descriptive analysis methods are:

• Measures of frequency (count, percent, frequency)
• Measures of central tendency (mean, median, mode)
• Measures of dispersion or variation (range, variance, standard deviation)
• Measure of position (percentile ranks, quartile ranks)

Inferential analysis is used to make predictions about a larger population based on the analysis of the data collected from a smaller population. This analysis is used to study the relationships between different variables. Some commonly used inferential data analysis methods are:

• Correlation: To understand the relationship between two or more variables.
• Cross-tabulation: Analyze the relationship between multiple variables.
• Regression analysis: Study the impact of independent variables on the dependent variable.
• Frequency tables: To understand the frequency of data.
• Analysis of variance: To test the degree to which two or more variables differ in an experiment.

Qualitative research involves an inductive method for data analysis where hypotheses are developed after data collection. The methods include:

• Content analysis: For analyzing documented information from text and images by determining the presence of certain words or concepts in texts.
• Narrative analysis: For analyzing content obtained from sources such as interviews, field observations, and surveys. The stories and opinions shared by people are used to answer research questions.
• Discourse analysis: For analyzing interactions with people considering the social context, that is, the lifestyle and environment, under which the interaction occurs.
• Grounded theory: Involves hypothesis creation by data collection and analysis to explain why a phenomenon occurred.
• Thematic analysis: To identify important themes or patterns in data and use these to address an issue.

How to choose a research methodology?

Here are some important factors to consider when choosing a research methodology: 8

• Research objectives, aims, and questions —these would help structure the research design.
• Review existing literature to identify any gaps in knowledge.
• Check the statistical requirements —if data-driven or statistical results are needed then quantitative research is the best. If the research questions can be answered based on people’s opinions and perceptions, then qualitative research is most suitable.
• Sample size —sample size can often determine the feasibility of a research methodology. For a large sample, less effort- and time-intensive methods are appropriate.
• Constraints —constraints of time, geography, and resources can help define the appropriate methodology.

Got writer’s block? Kickstart your research paper writing with Paperpal now!

How to write a research methodology .

A research methodology should include the following components: 3,9

• Research design —should be selected based on the research question and the data required. Common research designs include experimental, quasi-experimental, correlational, descriptive, and exploratory.
• Research method —this can be quantitative, qualitative, or mixed-method.
• Reason for selecting a specific methodology —explain why this methodology is the most suitable to answer your research problem.
• Research instruments —explain the research instruments you plan to use, mainly referring to the data collection methods such as interviews, surveys, etc. Here as well, a reason should be mentioned for selecting the particular instrument.
• Sampling —this involves selecting a representative subset of the population being studied.
• Data collection —involves gathering data using several data collection methods, such as surveys, interviews, etc.
• Data analysis —describe the data analysis methods you will use once you’ve collected the data.
• Research limitations —mention any limitations you foresee while conducting your research.
• Validity and reliability —validity helps identify the accuracy and truthfulness of the findings; reliability refers to the consistency and stability of the results over time and across different conditions.
• Ethical considerations —research should be conducted ethically. The considerations include obtaining consent from participants, maintaining confidentiality, and addressing conflicts of interest.

Streamline Your Research Paper Writing Process with Paperpal  

The methods section is a critical part of the research papers, allowing researchers to use this to understand your findings and replicate your work when pursuing their own research. However, it is usually also the most difficult section to write. This is where Paperpal can help you overcome the writer’s block and create the first draft in minutes with Paperpal Copilot, its secure generative AI feature suite.  

With Paperpal you can get research advice, write and refine your work, rephrase and verify the writing, and ensure submission readiness, all in one place. Here’s how you can use Paperpal to develop the first draft of your methods section.  

• Generate an outline: Input some details about your research to instantly generate an outline for your methods section 
• Develop the section: Use the outline and suggested sentence templates to expand your ideas and develop the first draft.  
• P araph ras e and trim : Get clear, concise academic text with paraphrasing that conveys your work effectively and word reduction to fix redundancies. 
• Choose the right words: Enhance text by choosing contextual synonyms based on how the words have been used in previously published work.  
• Check and verify text : Make sure the generated text showcases your methods correctly, has all the right citations, and is original and authentic. .   

You can repeat this process to develop each section of your research manuscript, including the title, abstract and keywords. Ready to write your research papers faster, better, and without the stress? Sign up for Paperpal and start writing today!

Frequently Asked Questions

Q1. What are the key components of research methodology?

A1. A good research methodology has the following key components:

• Research design
• Data collection procedures
• Data analysis methods
• Ethical considerations

Q2. Why is ethical consideration important in research methodology?

A2. Ethical consideration is important in research methodology to ensure the readers of the reliability and validity of the study. Researchers must clearly mention the ethical norms and standards followed during the conduct of the research and also mention if the research has been cleared by any institutional board. The following 10 points are the important principles related to ethical considerations: 10

• Participants should not be subjected to harm.
• Respect for the dignity of participants should be prioritized.
• Full consent should be obtained from participants before the study.
• Participants’ privacy should be ensured.
• Confidentiality of the research data should be ensured.
• Anonymity of individuals and organizations participating in the research should be maintained.
• The aims and objectives of the research should not be exaggerated.
• Affiliations, sources of funding, and any possible conflicts of interest should be declared.
• Communication in relation to the research should be honest and transparent.
• Misleading information and biased representation of primary data findings should be avoided.

Q3. What is the difference between methodology and method?

A3. Research methodology is different from a research method, although both terms are often confused. Research methods are the tools used to gather data, while the research methodology provides a framework for how research is planned, conducted, and analyzed. The latter guides researchers in making decisions about the most appropriate methods for their research. Research methods refer to the specific techniques, procedures, and tools used by researchers to collect, analyze, and interpret data, for instance surveys, questionnaires, interviews, etc.

Research methodology is, thus, an integral part of a research study. It helps ensure that you stay on track to meet your research objectives and answer your research questions using the most appropriate data collection and analysis tools based on your research design.

Accelerate your research paper writing with Paperpal. Try for free now!  

• Research methodologies. Pfeiffer Library website. Accessed August 15, 2023. https://library.tiffin.edu/researchmethodologies/whatareresearchmethodologies
• Types of research methodology. Eduvoice website. Accessed August 16, 2023. https://eduvoice.in/types-research-methodology/
• The basics of research methodology: A key to quality research. Voxco. Accessed August 16, 2023. https://www.voxco.com/blog/what-is-research-methodology/
• Sampling methods: Types with examples. QuestionPro website. Accessed August 16, 2023. https://www.questionpro.com/blog/types-of-sampling-for-social-research/
• What is qualitative research? Methods, types, approaches, examples. Researcher.Life blog. Accessed August 15, 2023. https://researcher.life/blog/article/what-is-qualitative-research-methods-types-examples/
• What is quantitative research? Definition, methods, types, and examples. Researcher.Life blog. Accessed August 15, 2023. https://researcher.life/blog/article/what-is-quantitative-research-types-and-examples/
• Data analysis in research: Types & methods. QuestionPro website. Accessed August 16, 2023. https://www.questionpro.com/blog/data-analysis-in-research/#Data_analysis_in_qualitative_research
• Factors to consider while choosing the right research methodology. PhD Monster website. Accessed August 17, 2023. https://www.phdmonster.com/factors-to-consider-while-choosing-the-right-research-methodology/
• What is research methodology? Research and writing guides. Accessed August 14, 2023. https://paperpile.com/g/what-is-research-methodology/
• Ethical considerations. Business research methodology website. Accessed August 17, 2023. https://research-methodology.net/research-methodology/ethical-considerations/

Paperpal is a comprehensive AI writing toolkit that helps students and researchers achieve 2x the writing in half the time. It leverages 21+ years of STM experience and insights from millions of research articles to provide in-depth academic writing, language editing, and submission readiness support to help you write better, faster.  

Get accurate academic translations, rewriting support, grammar checks, vocabulary suggestions, and generative AI assistance that delivers human precision at machine speed. Try for free or upgrade to Paperpal Prime starting at US$19 a month to access premium features, including consistency, plagiarism, and 30+ submission readiness checks to help you succeed.  

Experience the future of academic writing – Sign up to Paperpal and start writing for free!  

Related Reads:

• Dangling Modifiers and How to Avoid Them in Your Writing 
• Research Outlines: How to Write An Introduction Section in Minutes with Paperpal Copilot
• How to Paraphrase Research Papers Effectively
• What is a Literature Review? How to Write It (with Examples)

Language and Grammar Rules for Academic Writing

Climatic vs. climactic: difference and examples, you may also like, dissertation printing and binding | types & comparison , what is a dissertation preface definition and examples , how to write a research proposal: (with examples..., how to write your research paper in apa..., how to choose a dissertation topic, how to write a phd research proposal, how to write an academic paragraph (step-by-step guide), maintaining academic integrity with paperpal’s generative ai writing..., research funding basics: what should a grant proposal..., how to write an abstract in research papers....

Information

• Author Services

Initiatives

You are accessing a machine-readable page. In order to be human-readable, please install an RSS reader.

All articles published by MDPI are made immediately available worldwide under an open access license. No special permission is required to reuse all or part of the article published by MDPI, including figures and tables. For articles published under an open access Creative Common CC BY license, any part of the article may be reused without permission provided that the original article is clearly cited. For more information, please refer to https://www.mdpi.com/openaccess .

Feature papers represent the most advanced research with significant potential for high impact in the field. A Feature Paper should be a substantial original Article that involves several techniques or approaches, provides an outlook for future research directions and describes possible research applications.

Feature papers are submitted upon individual invitation or recommendation by the scientific editors and must receive positive feedback from the reviewers.

Editor’s Choice articles are based on recommendations by the scientific editors of MDPI journals from around the world. Editors select a small number of articles recently published in the journal that they believe will be particularly interesting to readers, or important in the respective research area. The aim is to provide a snapshot of some of the most exciting work published in the various research areas of the journal.

Original Submission Date Received: .

• Active Journals
• Find a Journal
• Journal Proposal
• Proceedings Series
• For Authors
• For Reviewers
• For Editors
• For Librarians
• For Publishers
• For Societies
• For Conference Organizers
• Open Access Policy
• Institutional Open Access Program
• Special Issues Guidelines
• Editorial Process
• Research and Publication Ethics
• Article Processing Charges
• Testimonials
• Preprints.org
• SciProfiles
• Encyclopedia

Article Menu

• Subscribe SciFeed
• Google Scholar
• on Google Scholar
• Table of Contents

Find support for a specific problem in the support section of our website.

Please let us know what you think of our products and services.

Visit our dedicated information section to learn more about MDPI.

JSmol Viewer

The use of energy simulations in residential design: a systematic literature review.

1. Introduction

• RQ: “What is the range of applications for energy simulations in residential design?”

2. Materials and Methods

• Studies conducted in the field of architectural design;
• Studies on residential buildings;
• Studies that used computer simulation in energy analysis;
• Studies published in the Web of Science database and written in English.

3. Findings

4. discussion, 4.1. cluster i, 4.2. cluster ii, 4.3. cluster iii, 4.4. cluster iv, 4.5. cluster v, 4.6. cluster vi, 4.7. theme 1 energy efficiency, 4.8. theme 2 architectural design strategies, 4.9. section summary, 5. conclusions, author contributions, institutional review board statement, informed consent statement, data availability statement, conflicts of interest.

• Zhang, M.; Liu, F.; Liu, Q.; Zhang, F.; Li, T. Climate Adaptation Analysis and Comfort Optimization Strategies for Traditional Residential Buildings in Hot-Summer, Cold-Winter Regions: A Case Study in Xuzhou, China. Sustainability 2024 , 16 , 3411. [ Google Scholar ] [ CrossRef ]
• Cangelli, E.; Conteduca, M.; Behnam Kia, E.; Zaiter, H.; Fonti, V. Public Housing Stock between Recovery and Sustainability: The Case of Tor Bella Monaca in Rome. Sustainability 2024 , 16 , 2510. [ Google Scholar ] [ CrossRef ]
• Maskuriy, R.; Selamat, A.; Ali, K.N.; Maresova, P.; Krejcar, O. Industry 4.0 for the Construction Industry—How Ready Is the Industry? Appl. Sci. 2019 , 9 , 2819. [ Google Scholar ] [ CrossRef ]
• Elnabawi, M.H.; Saber, E.; Bande, L. Passive Building Energy Saving: Building Envelope Retrofitting Measures to Reduce Cooling Requirements for a Residential Building in an Arid Climate. Sustainability 2024 , 16 , 626. [ Google Scholar ] [ CrossRef ]
• Zheng, Y.; Chen, T.; Cai, J.; Liu, S. Regional Concentration and Region-Based Urban Transition: China’s Mega-Urban Region Formation in the 1990S. Urban Geogr. 2009 , 30 , 312–333. [ Google Scholar ] [ CrossRef ]
• Nevens, F.; Frantzeskaki, N.; Gorissen, L.; Loorbach, D. Urban Transition Labs: Co-Creating Transformative Action for Sustainable Cities. J. Clean. Prod. 2013 , 50 , 111–122. [ Google Scholar ] [ CrossRef ]
• Anaç, M.; Gumusburun Ayalp, G.; Karabeyeser Bakan, M. A Roadmap for Reducing Construction Waste for Developing Countries. Sustainability 2024 , 16 , 5057. [ Google Scholar ] [ CrossRef ]
• Deng, W.; Cheshmehzangi, A. Eco-Development in China. In Palgrave Series in Asia and Pacific Studies , 1st ed.; Springer: London, UK, 2018; ISBN 978-981-10-8345-7. [ Google Scholar ]
• Zhao, P.; Zhang, M. The Impact of Urbanisation on Energy Consumption: A 30-Year Review in China. Urban Clim. 2018 , 24 , 940–953. [ Google Scholar ] [ CrossRef ]
• González-Torres, M.; Pérez-Lombard, L.; Coronel, J.F.; Maestre, I.R.; Yan, D. A Review on Buildings Energy Information: Trends, End-Uses, Fuels and Drivers. Energy Rep. 2022 , 8 , 626–637. [ Google Scholar ] [ CrossRef ]
• Heracleous, C.; Michael, A.; Savvides, A.; Hayles, C. A Methodology to Assess Energy-Demand Savings and Cost-Effectiveness of Adaptation Measures in Educational Buildings in the Warm Mediterranean Region. Energy Rep. 2022 , 8 , 5472–5486. [ Google Scholar ] [ CrossRef ]
• Climate Change 2014 Mitigation of Climate Change Working Group III Contribution to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change ; Cambridge University Press: Cambridge, UK, 2014.
• Shirinbakhsh, M.; Harvey, L.D.D. Net-Zero Energy Buildings: The Influence of Definition on Greenhouse Gas Emissions. Energy Build. 2021 , 247 , 111118. [ Google Scholar ] [ CrossRef ]
• Zou, Y.; Deng, Y.; Xia, D.; Lou, S.; Yang, X.; Huang, Y.; Guo, J.; Zhong, Z. Comprehensive Analysis on the Energy Resilience Performance of Urban Residential Sector in Hot-Humid Area of China under Climate Change. Sustain. Cities Soc. 2023 , 88 , 104233. [ Google Scholar ] [ CrossRef ]
• Peng, C. Calculation of a Building’s Life Cycle Carbon Emissions Based on Ecotect and Building Information Modeling. J. Clean. Prod. 2016 , 112 , 453–465. [ Google Scholar ] [ CrossRef ]
• Hou, C.; Hu, W.; Jiang, Y.; Gao, W. Optimization and Renovation Design of Indoor Thermal Environment in Traditional Houses in Northeast Sichuan (China)—A Case Study of a Three-Section Courtyard House. Sustainability 2024 , 16 , 2921. [ Google Scholar ] [ CrossRef ]
• Yu, F.-W.; Ho, W.-T. Time Series Forecast of Cooling Demand for Sustainable Chiller System in an Office Building in a Subtropical Climate. Sustainability 2023 , 15 , 6793. [ Google Scholar ] [ CrossRef ]
• Hu, J.; Lyu, C.; Hou, Y.; Zhu, N.; Liu, K. Research on Summer Indoor Air Conditioning Design Parameters in Haikou City: A Field Study of Indoor Thermal Perception and Comfort. Sustainability 2024 , 16 , 3864. [ Google Scholar ] [ CrossRef ]
• Dessein, J.; Battaglini, E.; Horlings, L. (Eds.) Cultural Sustainability and Regional Development: Theories and Practices of Territorialisation. In Routledge Studies in Culture and Sustainable Development , 1st ed.; Routledge: London, UK, 2016; ISBN 978-1-138-74353-3. [ Google Scholar ]
• Oteng, C.; Iledare, O.; Peprah, J.A.; Gamette, P. Towards Just Energy Transition: Renewable Energy Transition Dynamics and Sectorial Employment in Ghana. Sustainability 2024 , 16 , 3761. [ Google Scholar ] [ CrossRef ]
• Liang, L.; Bai, S.; Lin, K.; Kwok, C.T.; Chen, S.; Zhu, Y.; Tso, C.Y. Advancing Sustainable Development: Broad Applications of Passive Radiative Cooling. Sustainability 2024 , 16 , 2346. [ Google Scholar ] [ CrossRef ]
• Balocco, C.; Pierucci, G.; Piselli, C.; Poli, F.; De Lucia, M. A Dimensionless Study Describing Heat Exchange through a Building’s Opaque Envelope. Sustainability 2024 , 16 , 3558. [ Google Scholar ] [ CrossRef ]
• Official Journal of the European Union. Directive (EU) 2018/844 ; Official Journal of the European Union: Luxembourg, 2018. [ Google Scholar ]
• Zhang, Z.; Yao, J.; Zheng, R. Multi-Objective Optimization of Building Energy Saving Based on the Randomness of Energy-Related Occupant Behavior. Sustainability 2024 , 16 , 1935. [ Google Scholar ] [ CrossRef ]
• Mengist, W.; Soromessa, T.; Legese, G. Method for Conducting Systematic Literature Review and Meta-Analysis for Environmental Science Research. MethodsX 2020 , 7 , 100777. [ Google Scholar ] [ CrossRef ] [ PubMed ]
• Gumusburun Ayalp, G.; Anaç, M. A Comprehensive Analysis of the Barriers to Effective Construction and Demolition Waste Management: A Bibliometric Approach. Clean. Waste Syst. 2024 , 8 , 100141. [ Google Scholar ] [ CrossRef ]
• Tam, W.W.S.; Tang, A.; Woo, B.; Goh, S.Y.S. Perception of the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) Statement of Authors Publishing Reviews in Nursing Journals: A Cross-Sectional Online Survey. BMJ Open 2019 , 9 , e026271. [ Google Scholar ] [ CrossRef ] [ PubMed ]
• Aria, M.; Cuccurullo, C. Bibliometrix: An R-Tool for Comprehensive Science Mapping Analysis. J. Informetr. 2017 , 11 , 959–975. [ Google Scholar ] [ CrossRef ]
• van Eck, N.J.; Waltman, L. Visualizing Bibliometric Networks. In Measuring Scholarly Impact: Methods and Practice ; Ding, Y., Rousseau, R., Wolfram, D., Eds.; Springer International Publishing: Cham, Switzerland, 2014; pp. 285–320. ISBN 978-3-319-10376-1. [ Google Scholar ]
• Mengelkamp, E.; Notheisen, B.; Beer, C.; Dauer, D.; Weinhardt, C. A Blockchain-Based Smart Grid: Towards Sustainable Local Energy Markets. Comput. Sci.-Res. Dev. 2018 , 33 , 207–214. [ Google Scholar ] [ CrossRef ]
• Nguyen, A.-T.; Reiter, S.; Rigo, P. A Review on Simulation-Based Optimization Methods Applied to Building Performance Analysis. Appl. Energy 2014 , 113 , 1043–1058. [ Google Scholar ] [ CrossRef ]
• Crawley, D.B.; Hand, J.W.; Kummert, M.; Griffith, B.T. Contrasting the Capabilities of Building Energy Performance Simulation Programs. Build. Environ. 2008 , 43 , 661–673. [ Google Scholar ] [ CrossRef ]
• De Wilde, P. The Gap between Predicted and Measured Energy Performance of Buildings: A Framework for Investigation. Autom. Constr. 2014 , 41 , 40–49. [ Google Scholar ] [ CrossRef ]
• Pérez-Lombard, L.; Ortiz, J.; Pout, C. A Review on Buildings Energy Consumption Information. Energy Build. 2008 , 40 , 394–398. [ Google Scholar ] [ CrossRef ]
• Anna-Maria, V. Evaluation of a Sustainable Greek Vernacular Settlement and Its Landscape: Architectural Typology and Building Physics. Build. Environ. 2009 , 44 , 1095–1106. [ Google Scholar ] [ CrossRef ]
• Griego, D.; Krarti, M.; Hernández-Guerrero, A. Optimization of Energy Efficiency and Thermal Comfort Measures for Residential Buildings in Salamanca, Mexico. Energy Build. 2012 , 54 , 540–549. [ Google Scholar ] [ CrossRef ]
• Roudsari, M.; Pak, M. Ladybug: A Parametric Environmental Plugin for Grasshopper to Help Designers Create an Environmentally-Conscious Design. In Proceedings of the BS2013: 13th Conference of International Building Performance Simulation Association, Chambery, France, 26–28 August 2013; Wurtz, E., Ed.; pp. 3128–3135. [ Google Scholar ]
• Pérez-Bustamante, R.; Gómez-Esparza, C.D.; Estrada-Guel, I.; Miki-Yoshida, M.; Licea-Jiménez, L.; Pérez-García, S.A.; Martínez-Sánchez, R. Microstructural and Mechanical Characterization of Al–MWCNT Composites Produced by Mechanical Milling. Mater. Sci. Eng. A 2009 , 502 , 159–163. [ Google Scholar ] [ CrossRef ]
• Caetano, I.; Santos, L.; Leitão, A. Computational Design in Architecture: Defining Parametric, Generative, and Algorithmic Design. Front. Archit. Res. 2020 , 9 , 287–300. [ Google Scholar ] [ CrossRef ]
• Coakley, D.; Raftery, P.; Keane, M. A Review of Methods to Match Building Energy Simulation Models to Measured Data. Renew. Sustain. Energy Rev. 2014 , 37 , 123–141. [ Google Scholar ] [ CrossRef ]
• Ide, L.; Gutland, M.; Bucking, S.; Santana Quintero, M. Balancing Trade-Offs between Deep Energy Retrofits and Heritage Conservation: A Methodology and Case Study. Int. J. Archit. Herit. 2022 , 16 , 97–116. [ Google Scholar ] [ CrossRef ]
• Gercek, M.; Arsan, Z.D. Impact of Thermal Mass Oriented Measures over CO 2 Emissions of a Thermally Insulated Low-Rise Apartment Building in Izmir, Turkey. Iconarp Int. J. Archit. Plan. 2014 , 2 , 59–72. [ Google Scholar ]
• Bouguerra, E.H.; Hamid, A.; Retiel, N. Energy Conservation in Buildings with Phase Change Materials in Mediterranean’s Climates. In Sustainable Architecture and Urban Development (SAUD 2010) ; Lehmann, S., AlWaer, H., AlQawasmi, J., Eds.; Csaar Press-Center Study Architecture Arab Region: Amman, Jordan, 2010; Volume I, pp. 167–178. [ Google Scholar ]
• Burke, S.; Carling, P.; Davidsson, H.; Davidsson, K.; Ekstrom, T.; Harderup, L.-E.; Kronvall, J.; Sahlin, P.; Sundling, R.; Wiktorsson, M. Proposed Method for Probabilistic Energy Simulations for Multi-Family Dwellings. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Kurnitski, J., Kalamees, T., Eds.; EDP Sciences: Les Ulis, France, 2020; Volume 172. [ Google Scholar ]
• Keresticioglu, F.O.; Ozkan, D.B.T.; Hamamcioglu, C.; Yerliyurt, B.; Sakinc, E.; Hafizoglu, T. Reducing Cooling and Heating Loads in Existing Residential Buildings in the Context of Building Envelope: Beykoz-Kanlica. Megaron 2015 , 10 , 451–469. [ Google Scholar ] [ CrossRef ]
• Yang, Y.; Javanroodi, K.; Nik, V.M. Impact Assessment of Climate Change on the Energy Performance of the Building Stocks in Four European Cities. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Kurnitski, J., Kalamees, T., Eds.; EDP Sciences: Les Ulis, France, 2020; Volume 172. [ Google Scholar ]
• Shikder, S.; Mourshed, M.; Price, A. Summertime Impact of Climate Change on Multi-Occupancy British Dwellings. OPEN House Int. 2012 , 37 , 50–60. [ Google Scholar ] [ CrossRef ]
• Sunger, V.; Vaidya, P.; Dharini, S.K. Evaluation of Daylight Performance of the New Workshop Building at CEPT University, Ahmedabad. In Proceedings of the Building Simulation 2019: 16th Conference of IBPSA, Smart Healthy within Two-Degree Limit (Plea 2018). Rome, Italy, 2–4 September 2019; Volume 3, pp. 1062–1064. [ Google Scholar ]
• Gjerde, M. The Potential Benefits of Retrofitting Thermal Mass into New Zealand Houses. Archit. Sci. Rev. 2014 , 57 , 177–187. [ Google Scholar ] [ CrossRef ]
• Caldas, L.G.; Santos, L. Generation of Energy-Efficient Patio Houses with GENE_ARCH Combining an Evolutionary Generative Design System with a Shape Grammar. In Proceedings of the Ecaade-Education & Research Computer Aided Architectural Design Europe, Vol 1: Digital Physicality, Prague, Czech Republic, 12–14 September 2012; Achten, H., Pavlicek, J., Hulin, J., Matejovska, D., Eds.; pp. 459–470. [ Google Scholar ]
• Dub, A.; Yannas, S. Strategic Design for the Urban Block of Buenos Aires: A Study of the Current Building Regulations vs. the Actual Built form. In Proceedings of the 34th International Conference on Passive and Low Energy Architecture: Smart and Healthy within the Two-Degree Limit, (PLEA 2018), Hong Kong, China, 10–12 December 2018; Volume 2, pp. 568–573. [ Google Scholar ]
• Shi, F.; Wang, S.; Huang, J.; Hong, X. Design Strategies and Energy Performance of a Net-Zero Energy House Based on Natural Philosophy. J. Asian Archit. Build. Eng. 2020 , 19 , 1–15. [ Google Scholar ] [ CrossRef ]
• Bruneau, D.; Delucia, M.; Lagiere, P.; Pauly, M.; Brassier, P.; Mesureur, B. An Analysis of a Handful of Solar Decathlon Europe 2014 Prototypes: Thermal and Comfort Performances in Local Context. In Proceedings of the Smart and Healthy within the Two-Degree Limit (PLEA 2018), Hong Kong, China, 10–12 December 2018; Ng, E., Fong, S., Ren, C., Eds.; Chinese Univ Hong Kong, Sch Architecture: Shatin, Hong Kong, 2018; Volume 1, pp. 98–103. [ Google Scholar ]
• Thalfeldt, M.; Skare, A.; Georges, L.; Skreiberg, O. Parametric Energy Simulations of a Nordic Detached House Heated by a Wood Stove. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Volume 172. [ Google Scholar ]
• Maheswaran, U.; Zi, A.G. Daylighting and energy performance of post millenium condominiums in singapore. Archnet-Ijar Int. J. Archit. Res. 2007 , 1 , 26–35. [ Google Scholar ]
• Ganguly, T.; Hajdukiewicz, M.; Keane, M.; Goggins, J. Systematic Case Study on Energy Efficiency of Existing Irish Buildings Using BIM in Order to Achieve Nearly Zero Energy Standards. In Structures And Architecture: Beyond Their Limits ; CRC Press: Boca Raton, FL, USA, 2016; pp. 973–981. [ Google Scholar ]
• Verbruggen, S.; Hertoge, J.; Delghust, M.; Laverge, J.; Janssens, A. The Use of Solar Shading in a Nearly Zero-Energy Neighbourhood. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Kurnitski, J., Kalamees, T., Eds.; EDP Sciences: Les Ulis, France, 2020; Volume 172. [ Google Scholar ]
• Da Silva Junior, L.A.; Bustos Romero, M.A.; Neto, A.H. Designing “sustainable houses” before the establishment of this concept. In Proceedings of the Sustainable Building and Refurbishment for Next Generations, Prague, Czech Republic, 26–28 June 2013; pp. 527–530. [ Google Scholar ]
• Deus, F.; Machado, M. Decomposed Prism as a Bioclimatic Container That Appeals to an Infinite Interior. In Proceedings of the XXX IAHS World Congress on Housing, Housing Construction: An Interdisciplinary Task, VOLS 1-3, Coimbra, Portugal, 9–13 September 2002; pp. 2057–2064. [ Google Scholar ]
• Felius, L.C.; Hamdy, M.; Hrynyszyn, B.D.; Dessen, F. The Impact of Building Automation Control Systems as Retrofitting Measures on the Energy Efficiency of a Typical Norwegian Single-Family House. In Sustainability in the Built Environment for Climate Change Mitigation (SBE19) ; IOP Publishing: Bristol, UK, 2020; Volume 410. [ Google Scholar ]
• Shesho, I.K.; Tashevski, D.J.; Filkoski, R.V. Heat Transfer between Heated, Partially Heated and Non-Heated Residential Units in Buildings. In Sustainability in the Built Environment for Climate Change Mitigation (SBE19) ; IOP Publishing: Bristol, UK, 2020; Volume 410. [ Google Scholar ]
• Gunasagaran, S.; Saw, E.S.; Mari, T.; Srirangam, S.; Ng, V. Courtyard Configuration to Optimize Shading, Daylight and Ventilation in a Tropical Terrace House Using Simulation. Archnet-Ijar Int. J. Archit. Res. 2023 , 17 , 109–123. [ Google Scholar ] [ CrossRef ]
• Hachem-Vermette, C. Integrated design considerations for solar communities. J. Green Build. 2015 , 10 , 134–156. [ Google Scholar ] [ CrossRef ]
• Shao, T.; Zheng, W.; Li, X.; Yang, W.; Wang, R. Multi-Objective Optimization Design for Rural Houses in Western Zones of China. Archit. Sci. Rev. 2022 , 65 , 260–277. [ Google Scholar ] [ CrossRef ]
• Guasco, M.; Orlanno, M.; Piccardo, C.; Giachetta, A.; Dodoo, A. Design Optimization of a Building Attached Sunspace through Experimental Monitoring and Dynamic Modelling. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Volume 172. [ Google Scholar ]
• Azarbayjani, M.; Futrell, B.; Cecchi, V.; Gentry, T.; Ebong, A. The road map to the integrated design process of a net-zero energy solar house: A case study of a solar decathlon competition entry. J. Green Build. 2014 , 9 , 20–37. [ Google Scholar ] [ CrossRef ]
• Bektas, I.; Ozkose, A. Investigation of Housing Projects for Rural Areas in Terms of Sustainability Criteria with Revit-The Case of Kayseri. ICONARP Int. J. Archit. Plan. 2022 , 10 , 551–574. [ Google Scholar ] [ CrossRef ]
• Loche, I.; Correna Carlo, J. Analysis of the performance optimization process of housing units using honeybee. Arquitetura Rev. 2021 , 17 , 219–234. [ Google Scholar ]
• Besser, D.; Vogdt, F.U. First Steps towards Low Energy Buildings: How Far Are Chilean Dwellings from Nearly Zero-Energy Performances? In Proceedings of the 11th Nordic Symposium on Building Physics (NSB2017), Trondheim, Norway, 11–14 June 2017; Geving, S., Time, B., Eds.; Elsevier Science BV: Amsterdam, The Netherlands, 2017; Volume 132, pp. 81–86. [ Google Scholar ]
• Ekstrom, T.; Burke, S.; Harderup, L.-E.; Arfvidsson, J. Proposed Method for Probabilistic Risk Analysis Using Building Performance Simulations and Stochastic Parameters. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Volume 172. [ Google Scholar ]
• Simson, R.; Rebane, T.; Kiil, M.; Thalfeldt, M.; Kurnitski, J. The Impact of Infiltration on Heating Systems Dimensioning in Estonian Climate. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Volume 172. [ Google Scholar ]
• Alam, J.; Ham, J.J. Towards a bim-based energy rating system. In Proceedings of the 19th International Conference on Computer-Aided Architectural Design Research in Asia (CAADRIA 2014): Rethinking Comprehensive Design: Speculative Counterculture, Hong Kong, China, 14–16 May 2014; Gu, N., Watanabe, S., Erhan, H., Haeusler, M., Huang, W., Sosa, R., Eds.; pp. 285–294. [ Google Scholar ]
• Zygmunt, M.; Gawin, D. Potential of Renewable Energy Sources Usage in an Energy Demand of a Single-Family Houses Neighbourhood, Constituting an Energy Cluster—A Case Study. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Kurnitski, J., Kalamees, T., Eds.; EDP Sciences: Les Ulis, France, 2020; Volume 172. [ Google Scholar ]
• Fadejev, J.; Simson, R.; Kurnitski, J.; Bomberg, M. Thermal Mass and Energy Recovery Utilization for Peak Load Reduction. In Proceedings of the 11th Nordic Symposium on Building Physics (NSB 2017), Trondheim, Norway, 11–14 June 2017; Volume 132, pp. 39–44. [ Google Scholar ]
• Avci, A.B.; Beyhan, S.G. Investigation of Buildings in Alacati in Terms of Energy Efficiency in Architecture. ICONARP Int. J. Archit. Plan. 2020 , 8 , 606–629. [ Google Scholar ]
• He, W.; Wu, Z.; Jin, R.; Liu, J. Organization and Evolution of Climate Responsive Strategies, Used in Turpan Vernacular Buildings in Arid Region of China. Front. Archit. Res. 2023 , 12 , 556–574. [ Google Scholar ] [ CrossRef ]
• Trihamdani, A.R.; Sumida, K.; Kubota, T.; Lee, H.S.; Iizuka, S. Adaptation Measures of the Existing Residential Buildings in Hanoi to Counteract the Effects of Future Urban Warming. In Proceedings of the Smart and Healthy within the Two-Degree Limit (PLEA 2018), Hong Kong, China, 10–12 December 2018; Ng, E., Fong, S., Ren, C., Eds.; Chinese Univ, Sch Architecture: Shatin, Hong Kong, 2018; Volume 3, pp. 956–958. [ Google Scholar ]
• Kisnarini, R.; Krisdianto, J.; Indrawan, I.A. Contribution of balcony on thermal comfort: Rusunawa surabaya. Open House Int. 2018 , 43 , 14–21. [ Google Scholar ] [ CrossRef ]
• Ibiyeye, A.I.; Shari, Z.; Jaafar, M.F.Z. Evaluating natural ventilation provisions and occupants’ ventilation behavior in five terrace housing types in putrajaya, malaysia. Archnet-Ijar Int. J. Archit. Res. 2016 , 10 , 130–152. [ Google Scholar ]
• Hetherington, J.; Roetzel, A.; Fuller, R. The impact of occupant behaviour on residential greenhouse gas emissions reduction. J. Green Build. 2015 , 10 , 127–140. [ Google Scholar ] [ CrossRef ]
• Aksoy, E.; Demirci, O.S. Qualitative/Quantitative Comparison of Changes in Alanya Rural Architecture in Terms of CO 2 Emissions and Energy Conservation within the Scope of Sustainability. ICONARP Int. J. Archit. Plan. 2022 , 10 , 614–639. [ Google Scholar ] [ CrossRef ]
• Al-Ashwal, N.T.; Hassan, A.S.; Lim, Y.-W. Daylighting performance of high school learning environment in tropics. J. Green Build. 2023 , 18 , 191–206. [ Google Scholar ] [ CrossRef ]
• Ali, H.; Abed, A.; Rababah, A. The Impact of Building Regulations on Indoor Environmental Quality: The Case of Detached Houses in Jordan. Archnet-Ijar Int. J. Archit. Res. 2024 , 18 , 102–120. [ Google Scholar ] [ CrossRef ]
• Bagley, S.; Crawford, R.H. Using Life Cycle Assessment to Reduce the Energy Use and Global Warming Impacts of a Detached House in Melbourne, Australia. In Proceedings of the Living and Learning: Research for A Better Built Environment, Melbourne, Australia, 2–4 December 2015; Crawford, R., Stephan, A., Eds.; Univ Melbourne, Fac Architecture Bldg & Planning: Melbourne, Australia, 2015; pp. 620–630. [ Google Scholar ]
• Benchekroun, M.; Chergui, S.; Ruggiero, F.; Di Turi, S. Indoor Microclimate Conditions and the Impact of Transformations on Hygrothermal Comfort in the Old Ottoman Houses in Algiers. Int. J. Archit. Herit. 2020 , 14 , 1296–1319. [ Google Scholar ] [ CrossRef ]
• Bustamante, W.; Schmitt, C.; Bunster, V.; Martinez, P.; Chateau, F. Retrofitting Strategies for Social Housing Buildings in Different Climate Conditions. The CORVI 1010-1020 Block Type in Three Chilean Cities. In Proceedings of the Smart and Healthy within the Two-Degree Limit (PLEA 2018), Hong Kong, China, 10–12 December 2018; Ng, E., Fong, S., Ren, C., Eds.; Chinese Univ Hong Kong, Sch Architecture: Shatin, Hong Kong, 2018; Volume 1, pp. 318–323. [ Google Scholar ]
• Canadinc, S.T.; Wang, B.; Pi, Y.; Yan, W. Multi-User and Web-Based Parametric Modeling with Multiple Visual Programming Tools. In Proceedings of the ECAADE 2020: Anthropologic—Architecture and Fabrication in the Cognitive Age, Berlin, Germany, 16–17 September 2020; Werner, L., Koering, D., Eds.; Ecaade-Education & Research Computer Aided Architectural Design Europe: Brussels, Belgium, 2020; Volume 1, pp. 19–28. [ Google Scholar ]
• Ciampi, G.; Iuliano, G.; Rosato, A.; Scorpio, M.; Sibilio, S. Energy and Economic Performance of a Single-Family Wood-Frame House in Italy under Varying Climatic Conditions. In Proceedings of the World Heritage and Degradation: Smart Design, Planning and Technologies, Naples, Italy, 16–18 June 2016; Corniello, L., Ed.; Scuola Pitagora Editrice: Napoli, Italy, 2016; pp. 791–800. [ Google Scholar ]
• Dewsbury, M.; Chandler, T. Massive Timber as Effective Thermal Mass in Australian Contemporary Housing. In Proceedings of the Living and Learning: Research for a Better Built Environment: 49th International Conference of the Architectural Science Association, Melbourne, Australia, 2–4 December 2015; pp. 382–392. [ Google Scholar ]
• Eikemeier, S.; Wimmer, R.; Mahdavi, A. Life-Cycle Oriented Simulation-Supported Heating Demand Optimisation of Buildings: An Austrian Case Study. In Proceedings of the Sustainability in the Built Environment for Climate Change Mitigation (SBE19), Thessaloniki, Greece, 20–23 September 2019; Volume 410. [ Google Scholar ]
• Freney, M.; Soebarto, V.; Williamson, T. Earthship Monitoring and Thermal Simulation. Archit. Sci. Rev. 2013 , 56 , 208–219. [ Google Scholar ] [ CrossRef ]
• Gado, T.; Games, T.S. A Parametric Study to Optimize the Thermal Performance of Mongolian Self-Built Houses in Terms of Energy Efficiency: Towards a Cleaner Environment for Ulaanbaatar. In Proceedings of the Smart and Healthy within the Two-Degree Limit (PLEA 2018), Hong Kong, China, 10–12 December 2018; Volume 1, pp. 262–267. [ Google Scholar ]
• Georges, L.; Haheim, F.; Alonso, M.J. Simplified Space-Heating Distribution Using Radiators in Super-Insulated Terraced Houses. In Proceedings of the 11th Nordic Symposium on Building Physics (NSB2017), Trondheim, Norway, 11–14 June 2017; Volume 132, pp. 604–609. [ Google Scholar ]
• Gupta, V.; Upadhyay, K.; Elangovan, R.; Kumar, A. Effect of Intra-Climate Variation in Thermal Performance of Public Housing in a Composite Climate of India. In Proceedings of the Smart and Healthy within the Two-Degree Limit (PLEA 2018), Hong Kong, China, 10–12 December 2018; Volume 1, pp. 439–444. [ Google Scholar ]
• Hrynyszyn, B.D.; Tian, Z. Solutions for Retrofitting Existing, Wooden Houses in Cold Climates. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Volume 172. [ Google Scholar ]
• Jones, P.; Wang, Y.; Li, Q. Energy Efficiency Design of Buildings. In Proceedings of the 2006 Xi’an International Conference of Architecture and Technology, Proceedings: Architecture in Harmony, Beijing, China; 2006; pp. 649–656. [ Google Scholar ]
• Jradi, M.; Foldager, H.E.; Jeppesen, R.C. A Tool for Danish Buildings Energy Retrofit Design and Evaluation Using Dynamic Energy Simulations. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Volume 172. [ Google Scholar ]
• Kompatscher, K.; Seuren, S.; Kramer, R.; van Schijndel, J.; Schellen, H. Energy Efficient HVAC Control in Historical Buildings: A Case Study for the Amsterdam Museum. In Proceedings of the 11th Nordic Symposium on Building Physics (NSB 2017), Trondheim, Norway, 11–14 June 2017; Volume 132, pp. 891–896. [ Google Scholar ]
• Koranteng, C.; Nyame-Tawiah, D.; Gyimah, K.A.; Simons, B. An Explorative Study on the Potential of Green Roofs Providing Thermal Comfort Conditions for Indoor Spaces in Kumasi, Ghana. Open House Int. 2022 , 47 , 389–407. [ Google Scholar ] [ CrossRef ]
• Kroll, D.; Lovett, S.B.; Jimenez-Bescos, C.; Chisnall, P.; Aitchison, M. Passive House vs. Passive Design: Sociotechnical Issues in a Practice-Based Design Research Project for a Low-Energy House. Archit. Sci. Rev. 2020 , 63 , 361–371. [ Google Scholar ] [ CrossRef ]
• Kuma, Y.; Fukuda, H.; Ozaki, A. Performance Evaluation of Residences by Dynamic Simulation: Heat Load Based on Changing the Location, Plan and Specification of Residences. J. Asian Archit. Build. Eng. 2007 , 6 , 183–188. [ Google Scholar ] [ CrossRef ]
• Kumakura, E.; Miyakawa, Y.; Sunaga, N.; Onodera, H.; Fukasawa, T. Influence of Residents’ Behaviour on the Thermal Environment of a Common Garden Path for Detached Houses in Summer. Archit. Sci. Rev. 2019 , 62 , 47–57. [ Google Scholar ] [ CrossRef ]
• Lambie, E.; Senave, M.; Van de Vyver, I.; Saelens, D. Experimental Analysis of Indoor Temperature of Residential Buildings as an Input for Building Simulation Tools. In Proceedings of the 11th Nordic Symposium on Building Physics (NSB2017), Trondheim, Norway, 11–14 June 2017; Volume 132, pp. 123–128. [ Google Scholar ]
• Liapopoulou, E.; Theodosiou, T. Energy Performance Analysis and Low Carbon Retrofit Solutions for Residential Buildings. In Proceedings of the Sustainability in the Built Environment for Climate Change Mitigation (SBE19), Thessaloniki, Greece, 20–23 September 2019; Volume 410. [ Google Scholar ]
• Liu, S.; Kwok, Y.T.; Lau, K.K.-L.; Ng, E.Y.Y. The Impact of External Facade Shading on the Thermal Comfort of Public Rental Housing under Near-Extreme Weather Conditions in Hong Kong. In Proceedings of the Smart and Healthy within the Two-Degree Limit (PLEA 2018), Hong Kong, China, 10–12 December 2018; Volume 3, pp. 1027–1028. [ Google Scholar ]
• Manriquez, C.; Sills, P. Evaluation of the Energy Performance of Stilt Houses (Palafitos) of the Chiloe Island. The Role of Dynamic Thermal Simulation on Heritage Architecture. In Proceedings of the Ecaade Sigradi 2019: Architecture in the Age of the 4th Industrial Revolution, Porto, Portugal, 11–13 September 2019; Volume 3, pp. 159–168. [ Google Scholar ]
• Mohammadpourkarbasi, H.; Sharples, S. The performance of eco-refurbished housing under current and future uk climates. In Proceedings of the Central Europe towards Sustainable Building (CESB 2013): Sustainable Building and Refurbishment for Next Generations, Prague, Czech Republic, 26–28 June 2013; pp. 123–126. [ Google Scholar ]
• Morishita, N.; Ismail, S.H.; Cetin, R. Pre-Design of Transitional Rural Housing for Syria with Recycled Rubble from Destroyed Buildings. In World Multidisciplinary Civil Engineering-Architecture-Urban Planning Symposium-Wmcaus ; IOP Publishing: Bristol, UK, 2017; Volume 245. [ Google Scholar ]
• Mousa, W.A.Y.; Lang, W.; Auer, T. Assessment of the Impact of Window Screens on Indoor Thermal Comfort and Energy Efficiency in a Naturally Ventilated Courtyard House. Archit. Sci. Rev. 2017 , 60 , 382–394. [ Google Scholar ] [ CrossRef ]
• Mueller, A.; Woerner, P. Impact of Dynamic CO 2 Emission Factors for the Public Electricity Supply on the Life-Cycle Assessment of Energy Efficient Residential Buildings. In Proceedings of the Sustainable Built Environment D-A-Ch Conference 2019 (SBE19 GRAZ), Graz, Austria, 11–14 September 2019; Volume 323. [ Google Scholar ]
• Ng, K.L.R.; Liao, Z.; Gorgolewski, M.; Gurunlian, L. Design Of A Low-Energy Envelope System for an Apartment Building Through an Integrated Design Process: A Case Study. J. Green Build. 2011 , 6 , 106–132. [ Google Scholar ] [ CrossRef ]
• Nielsen, A.; Morelli, M. Measured Temperature and Moisture Conditions in the Roof Attic of a One-and-a-Half Story House. In Proceedings of the 11th Nordic Symposium On Building Physics (NSB 2017), Trondheim, Norway, 11–14 June 2017; Volume 132, pp. 789–794. [ Google Scholar ]
• Ojanen, T. Moisture Performance of Mineral Wool Insulation Products in Highly Insulated Structures. In Proceedings of the 11th Nordic Symposium on Building Physics (NSB 2017), Trondheim, Norway, 11–14 June 2017; Volume 132, pp. 795–800. [ Google Scholar ]
• Peng, C.; Huang, L.; Liu, J.; Huang, Y. Design and Practical Application of an Innovative Net-Zero Energy House with Integrated Photovoltaics: A Case Study from Solar Decathlon China 2013. Archit. Sci. Rev. 2015 , 58 , 144–161. [ Google Scholar ] [ CrossRef ]
• Pujadas-Gispert, E.; Korevaar, C.C.; Alsailani, M.; Moonen, S.P.G. Linking constructive and energy innovations for a net zero-energy building. J. Green Build. 2020 , 15 , 153–184. [ Google Scholar ] [ CrossRef ]
• Sarevet, H.; Fadejev, J.; Thalfeldt, M.; Kurnitski, J. Residential Buildings with Heat Pumps Peak Power Reduction with High Performance Insulation. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Volume 172. [ Google Scholar ]
• Sobhy, I.; Brakez, A.; Benhamou, B. Analysis for thermal behavior and energy savings of a semi-detached house with different insulation strategies in a hot semi-arid climate. J. Green Build. 2017 , 12 , 78–106. [ Google Scholar ] [ CrossRef ]
• Son, J.J.; Kim, S.-K.; Syal, M.G.M. Biomimicry in the Built Environment: Energy-Saving Assessment of a Novel Biomimetic Window System. Open House Int. 2023 , 48 , 141–162. [ Google Scholar ] [ CrossRef ]
• Sozen, I.; Koclar Oral, G. Evaluation of Parameters Affecting Energy Efficiency of Vernacular Mardin Houses: A Case Study. Megaron 2019 , 14 , 1–10. [ Google Scholar ] [ CrossRef ]
• Sozer, H.; Bekele, S. Evaluation of Innovative Sustainable Design Techniques from Traditional Architecture: A Case Study for the Cold Dry Climatic Region in Turkey. Archit. Sci. Rev. 2018 , 61 , 143–155. [ Google Scholar ] [ CrossRef ]
• Tabadkani, A.; Aghasizadeh, S.; Banihashemi, S.; Hajirasouli, A. Courtyard Design Impact on Indoor Thermal Comfort and Utility Costs for Residential Households: Comparative Analysis and Deep-Learning Predictive Model. Front. Archit. Res. 2022 , 11 , 963–980. [ Google Scholar ] [ CrossRef ]
• Taki, A.; Alabid, J. Learning from Bioclimatic Desert Architecture A Case Study of Ghadames, Libya. In Research Methodology in the Built Environment: A Selection of Case Studies ; Routledge: London, UK, 2016; pp. 169–185. [ Google Scholar ]
• Talebn, H.M. Using Passive Cooling Strategies to Improve Thermal Performance and Reduce Energy Consumption of Residential Buildings in U.A.E. Buildings. Front. Archit. Res. 2014 , 3 , 154–165. [ Google Scholar ] [ CrossRef ]
• Tettey, U.Y.A.; Dodoo, A.; Gustavsson, L. Impacts of Parameter Values Interactions on Simulated Energy Balance of Residential Buildings. In Proceedings of the 11th Nordic Symposium on Building Physics (NSB 2017), Trondheim, Norway, 11–14 June 2017; Volume 132, pp. 57–62. [ Google Scholar ]
• Thapa, S. Risk of Overheating in Low-Rise Naturally Ventilated Residential Buildings of Northeast India—An Effect of Climate Change. Archit. Sci. Rev. 2022 , 65 , 14–41. [ Google Scholar ] [ CrossRef ]
• Timur, B.A.; Basaran, T.; Ipekoglu, B. The effects of facade orientation to the energy use of historical houses: Houses with exterior hall (sofa) in Southwestern Anatolia. Megaron 2022 , 17 , 23–34. [ Google Scholar ]
• Udom, S.; Banihashemi, S.; Lemckert, C. Impact of Energy Conservation Measures in Residential Buildings in Very Remote Communities in Australia. Archit. Sci. Rev. 2023 , 66 , 330–354. [ Google Scholar ] [ CrossRef ]
• Vishnubhotla, L.V.; Shanmugam, S.; Tadepalli, S. Developing Climate-Responsive Passive Strategies for Residential Envelopes in the Warm Humid Climate of South India. Open House Int. 2022 , 47 , 428–450. [ Google Scholar ] [ CrossRef ]
• Wang, X.; Altan, H.; Kang, J. Parametric Study on the Performance of Green Residential Buildings in China. Front. Archit. Res. 2015 , 4 , 56–67. [ Google Scholar ] [ CrossRef ]
• Wang, Y.; Yoshino, Y.; Liu, J.; Yang, L. A Study on the Actual Conditions of Residential Environment and a Solar Energy Applied House in the Tibetan Plateau. J. Asian Archit. Build. Eng. 2017 , 16 , 403–408. [ Google Scholar ] [ CrossRef ]
• Winkler, M.; Pazold, M.; Zegowitz, A.; Giglmeier, S.; Antretter, F. Use of a Radiator for User-Centric Cooling—Measurement and Simulation. In Proceedings of the 12th Nordic Symposium on Building Physics (NSB 2020), Tallinn, Estonia, 6–9 September 2020; Kurnitski, J., Kalamees, T., Eds.; EDP Sciences: Les Ulis, France, 2020; Volume 172. [ Google Scholar ]
• Wu, J.; Dong, W.; Li, Y.; Fu, X. Ecological Renovation Process of Nanjing’s Housing Stock Built between 1840 and 1949, China. J. Asian Archit. Build. Eng. 2020 , 19 , 254–263. [ Google Scholar ] [ CrossRef ]
• Yao, J.; Zheng, R.-Y. Determining a practically optimal overhang depth for south-facing windows in hot summer and cold winter zone. Open House Int. 2017 , 42 , 89–95. [ Google Scholar ] [ CrossRef ]
• Yifeng, L.; Shanshan, S. Designing A Performance-Oriented House Envelope Based on A Parametric Aproach an Integrated Method. In Proceedings of the 17th International Conference on Computer-Aided Architectural Design Research in Asia (Caadria 2012): Beyond Codes And Pixels, Chennai, India, 25–28 April 2012; pp. 507–516. [ Google Scholar ]
• Zahiri, S.; Elsharkawy, H.; Shi, W. The Impact of Occupants’ Energy Use Behaviour on Building Performance: A Case Study of a Tower Block in London. In Proceedings of the Smart and Healthy within the Two-Degree Limit (PLEA 2018), Hong Kong, China, 10–12 December 2018; Ng, E., Fong, S., Ren, C., Eds.; Chinese Univ Hong Kong, Sch Architecture: Shatin, Hong Kong, 2018; Volume 3, pp. 1056–1058. [ Google Scholar ]
• Zheng, R.-Y.; Yao, J. The optimum energy saving measures for retrofitting residential buildings. Open House Int. 2016 , 41 , 88–92. [ Google Scholar ] [ CrossRef ]
• Zaki, W.R.M.; Nawawi, A.H.; Ahmad, S.S. Environmental Prospective of Passive Architecture Design Strategies in Terrace Houses. Procedia–Soc. Behav. Sci. 2012 , 42 , 300–310. [ Google Scholar ] [ CrossRef ]

Click here to enlarge figure

Share and Cite

Sağdıçoğlu, M.S.; Yenice, M.S.; Tel, M.Z. The Use of Energy Simulations in Residential Design: A Systematic Literature Review. Sustainability 2024 , 16 , 8138. https://doi.org/10.3390/su16188138

Sağdıçoğlu MS, Yenice MS, Tel MZ. The Use of Energy Simulations in Residential Design: A Systematic Literature Review. Sustainability . 2024; 16(18):8138. https://doi.org/10.3390/su16188138

Sağdıçoğlu, Mert Sercan, M. Serhat Yenice, and M. Zübeyr Tel. 2024. "The Use of Energy Simulations in Residential Design: A Systematic Literature Review" Sustainability 16, no. 18: 8138. https://doi.org/10.3390/su16188138

Article Metrics

Article access statistics, further information, mdpi initiatives, follow mdpi.

Subscribe to receive issue release notifications and newsletters from MDPI journals

• Open access
• Published: 14 September 2024

Mapping the extent of the literature and psychometric properties for the Physical Activity Scale for the Elderly (PASE) in community-dwelling older adults: a scoping review

• Cassandra D’Amore 1   na1 ,
• Lexie Lajambe 1   na1 ,
• Noah Bush 1 ,
• Sydney Hiltz 1 ,
• Justin Laforest 1 ,
• Isabella Viel 1 ,
• Qiukui Hao 1 &
• Marla Beauchamp 1  

BMC Geriatrics volume  24 , Article number:  761 ( 2024 ) Cite this article

Metrics details

Identifying valid and accessible tools for monitoring and improving physical activity levels is essential for promoting functional ability and healthy aging. The Physical Activity Scale for the Elderly (PASE) is a commonly used and recommended self-report measure of physical activity in older adults. The objective of this scoping review was to map the nature and extent to which the PASE has been used in the literature on community-dwelling older adults, including the evidence for its psychometric properties.

Seven electronic databases (MEDLINE (Ovid), Embase (Ovid), AMED (Ovid), Emcare (Ovid), CINAHL (EBSCO), Ageline (EBSCO)) were searched from inception to January 25, 2023. Studies were included if physical activity was part of the aim(s) and measured using the PASE, participants had a mean age of 60 years or older and lived in the community, and papers were peer-reviewed journal articles published in English. Pairs of independent reviewers screened abstracts, full-texts, and extracted data. Where possible, weighted mean PASE scores were calculated for different subgroups based on age, sex, and clinical population.

From 4,124 studies screened, 232 articles from 35 countries met the inclusion criteria. Most studies were cross-sectional (60.78%), completed in high-income countries (86.4%) and in North America (49.57%). A variety of clinical conditions were included ( n  = 21), with the most common populations being osteoarthritis ( n  = 13), Parkinson’s disease ( n  = 11), and cognitive impairment ( n  = 7). Psychometric properties of ten versions of the PASE were found. All versions demonstrated acceptable test-retest reliability. Evidence for construct validity showed moderate correlations with self-reported physical activity, fair to moderate with accelerometry derived activity and fair relationships with physical function and self-reported health. Pooled means were reported in graphs and forest plots for males, females, age groups, and several clinical populations.

The PASE was widely used in a variety of clinical populations and geographical locations. The PASE has been culturally adapted to several populations and evaluated for its reliability and convergent validity; however, further research is required to examine responsiveness and predictive validity. Researchers can use the weighted mean PASE scores presented in this study to help interpret PASE scores in similar populations.

OSF registration

osf.io/7bvhx

Peer Review reports

A pressing issue in the current healthcare system is the growing burden of chronic disease and multimorbidity associated with the world’s aging population [ 1 , 2 ]. There is an increasing number of older adults who require home care or housing options to support additional needs, including retirement homes, assisted living, or long-term care facilities [ 1 ]. Maintaining functional ability in later adulthood is a key public health priority and the promotion of physical activity (PA) is a central strategy for healthy aging initiatives [ 3 ]. Regular participation in PA has been shown to improve physical function, reduce impairments, promote independent living, and improve quality of life in older adults [ 4 ]. Physical activity can assist in maintaining cardiovascular, metabolic, and cognitive function; all of which reduce the risk of multimorbidity [ 5 , 6 , 7 ].

The World Health Organization (WHO) defines PA as “any bodily movement produced by skeletal muscles that requires energy expenditure” [ 8 ]. A growing body of evidence has demonstrated the importance of overall activity levels, including lighter intensity activities [ 9 ]. In addition to recommendations for moderate to vigorous activities, PA guidelines encourage changes in time allocation from sitting activities to light intensity activities, including standing [ 8 , 10 ]. Given the inclinations for lighter intensity activities in older ages (e.g., walking, gardening), clinicians and researchers must have tools to accurately assess and monitor the full spectrum of physical activities in this population.

Direct measures of PA (e.g., pedometers, accelerometers, and the gold standard of the doubly labelled water method) [ 11 ] can capture the full spectrum of activities. However, these measures can be more expensive, rely on equipment availability, and place a greater burden on participants [ 5 ]. Alternatively, self-report measures can be a low-cost, feasible tool for assessing and monitoring activity levels [ 12 ]. While not all questionnaires capture the same breadth of activities, the Physical Activity Scale for the Elderly (PASE) has been recommended for use in older adults for its inclusion of lighter intensity activities [ 5 ]. The PASE was designed to consider a greater number of activity domains more representative of the typical activities undertaken by older adults (e.g., gardening and household tasks) [ 13 ]. The questionnaire was developed for older adults (≥ 65), takes approximately 10 min to complete (10 questions), and asks participants to recall their activity over the last 7-days [ 13 , 14 ]. Activity types include sitting, walking, sport/recreation, exercise, occupational, and household [ 13 ]. A total score for PA can be calculated using these answers and the predetermined weights associated with each activity [ 13 ]. The PASE has been described as a suitable PA outcome measure for older adults who have multiple chronic conditions and is a recommended for measuring total PA in older adults based on evidence for its reliability and validity compared to other questionnaires [ 12 ].

To date, there has not been a comprehensive review of the populations and settings in which the PASE has been used. Rather, the literature on the PASE has focused on comparing the psychometric properties of multiple self-report measures of PA for specific populations. For example, Sattler et al. (2020) explored PA measures in healthy older adults and Garnett et al. (2019) in community-dwelling older adults with multiple chronic conditions. As part of their syntheses of all self-report PA measures both included a summary on the PASE, of ten and seven studies respectively [ 5 , 12 ]. As both these reviews recommend the use of the PASE, a more thorough exploration of the PASE with broader criteria is warranted. Further, the extent of the literature on its psychometric properties has not been thoroughly investigated. Therefore, the purpose of this scoping review was to map the nature and extent of the literature on the PASE in older populations (mean age 60) and to consolidate knowledge about the characteristics of studies using the PASE as an outcome measure, including available data on its psychometric properties. Our research questions were as follows:

To what extent has the PASE been used in older populations (e.g., number of studies, PASE administration, outcome operationalization from the PASE)?

What are the characteristics of studies that have used the PASE as an outcome measure (e.g., locations, sample characteristics, study designs)?

What is the nature and extent of the literature on the psychometric properties of the PASE in older populations (e.g., reliability, validity, cultural translation)?

The JBI guidelines for scoping reviews were followed in addition to the Preferred Reporting Items for Systematic Reviews and Meta-Analyses Extension for Scoping Reviews (PRISMA-ScR) guidelines (checklist available in Additional file 1 Table A1) [ 15 , 16 ]. This review protocol was registered with Open Science Framework ( https://doi.org/10.17605/OSF.IO/7BVHX ).

Search strategy

A broad search strategy was created with the assistance of a research librarian at the Health Sciences Library at McMaster University using the following key terms: “Physical Activity Scale for the Elderly”, “PASE”, “physical activity profile”, and “older”. Unique search strategies were developed for the following electronic databases: MEDLINE (Ovid), Embase (Ovid), Allied and Complementary Medicine Database (AMED; Ovid), Emcare (Ovid), CINAHL (EBSCO), Ageline (EBSCO). Databases were searched from inception to January 25 th , 2023. Backward citation searching was performed in Web of Science (Clarivate) for the original PASE article by Washburn and colleagues [ 13 ]. The complete search strategy for all databases is available in Additional file 1 Table A2. Reference lists of relevant systematic reviews, meta-analyses, and scoping reviews were screened and hand searched for additional articles.

Inclusion/exclusion criteria

To be included in this review studies must have populations consisting of older adults with a mean age greater than or equal to 60 years in line with the United Nations definition of older adults [ 17 ]. No restrictions were placed on sex, race or cultural background.

The overarching concept for this scoping review was the PASE; this included the original version and translated versions. Therefore, to be included studies must have incorporated PA in their aims and present results from the administration of the PASE. This criterion was further refined to specify that PASE must be included as a primary or secondary outcome (i.e., not just a covariate). The outcomes of interest to this review were the characteristics of the studies (e.g., cross-sectional vs prospective) and populations the PASE was used in (e.g., country, clinical populations, sex), mean total scores of the PASE, how the PASE was used (e.g., to look at relationships with PA, to determine intervention efficacy), as well as psychometric properties that have been evaluated.

Studies from any geographic location were included. After initial full-text screening the inclusion criteria was further refined to improve heterogeneity of included studies and ensure feasibility of the project due to the large number of results. The setting was restricted to designated community-dwelling populations which reflects the original context the PASE was designed in [ 13 ].

Studies were excluded if they were not written in English or if they were conference abstracts, presentations, systematic reviews, meta-analyses, scoping reviews, evidence maps, rapid reviews, literature reviews, narrative reviews, or critical reviews. Reviews were flagged and screened for additional citations.

Study selection

Results from the comprehensive literature search were organized in Endnote 20 (Clarivate, Philadelphia, USA) and uploaded to Covidence systematic review software (Veritas Health Innovation, Melbourne, Australia) for screening. Duplicated studies were removed using both programs prior to screening and any remaining were removed by hand. Prior to each phase of screening the reviewer team conducted pilot screening to improve agreement. For title and abstracts screening and full-text eligibility two independent reviewers (NB, LL, JL, IV, SH, and CD) confirmed the predetermined eligibility criteria. Due to the volume of full-text screening authors were not contacted for further details; where information for a given eligibility criteria was not reported or unclear the paper was excluded. Any disagreements during the abstract or the full-text review process were resolved by either consensus or arbitration by a third reviewer when necessary.

Data extraction and analysis

Data was extracted from the studies verbatim by two or more independent reviewers (NB, LL, JL, IV, SH, and CD). Modifications to the initial data extraction table made during the piloting process included the removal of details not necessary in a scoping review (e.g., funding sources, conflicts of interest) and the aims of this study (e.g., setting, recruitment methods). Additionally, separate columns were added to distinguish values calculated or extrapolated by reviewers versus authors (e.g., mean PASE scores, income classification). The following descriptive data was extracted: study details (geographical location, outcome measures, study design), population description (number of participants, mean age, sex, clinical population), PASE version and administration method, how the PASE was reported (e.g., mean vs categorical, subcategories vs full questionnaire), and psychometric properties reported.

Data was summarized in a descriptive manner through counts and percentages in tabular presentation. Weighted means and variances were calculated for total PASE scores across identified subgroups (sex, age, and clinical populations) where appropriate using the ‘metamean’ package in RStudio Team (R version 4.2.2, 2020, PBC, Boston, MA). In studies that reported only subgroup mean total PASE score or age, the authors combined the subgroup data using methods recommended in the Cochrane handbook [ 18 ]. Where possible, studies that provided median scores were converted to mean scores using the methodology developed by Wan et al. [ 19 ]. Studies that did not provide sufficient information for either transformation were omitted from some review syntheses. Studies were grouped by income based on the World Bank ratings from 2023 [ 20 ].

The database search produced 6,372 articles and hand searching citations produced another 24 articles for a total of 6,396. A total of 886 studies were assessed for full-text eligibility and 536 articles were found to use the PASE in older adults, 232 of which met all inclusion criteria (i.e., community-dwelling and the PASE was a primary/secondary outcome). An overview of the screening process can be found in PRISMA-ScR flow diagram (Fig.  1 ), and reasons for full-text study exclusions can be found in Additional file 2 Table A2.

Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) flow diagram. Searches run on January 25 th , 2023

Summary of PASE use

The PASE was used for a variety of reasons with the most common being to explore the effect of PA on a health outcome(s) (e.g., an association of PA type with all-cause mortality) [ 21 ], and the relationship of a determinant with PA (e.g., the association between walkability and walking time) [ 22 ]. Almost all the studies used the PASE in its entirety (96.55%). The studies that used partial aspects of PASE often focused on leisure time PA (e.g., walking, sport/recreation, and exercise) [ 23 , 24 , 25 ], and two studies focused on walking exclusively [ 26 , 27 ]. Most authors (93.97%) used total PASE scores (i.e., used provided activity weights). Nineteen studies (8.19%) included a measure other than central tendency for total PASE score (e.g., dichotomous, tertiles, quartiles, quintiles). Eleven studies did not use the PASE score but instead operationalized PA using different pieces of the PASE (e.g., frequency, time). Details on the use of PASE are summarized in Table  1 .

The PASE was primarily delivered in person (69.40%) followed by mail (11.21%); 45 studies were either unclear or did not report how the PASE was administered to participants. A total of 15 different versions or languages were reported; the most common version used was English (63.79%). Six studies did not report which version or language the PASE was delivered in. In many cases, only the seminal paper on the English version by Washburn et al. was cited, with no further clarification of the version or modifications made, including several papers from countries where the primary language is not English ( n  = 29).

Study characteristics

A summary of the study characteristics can be found in Table  2 . The PASE was used throughout the world; however, nearly half of the studies were completed in North America (49.57%). In total, studies from 35 different countries were included in this review; the most common countries outside of North America included China ( n  = 20), Australia ( n  = 19), and Japan ( n  = 10). Most studies were conducted in high-income countries (86.64%). The mean age for studies ranged from 60.00 [ 28 ] to 84.40 [ 29 ] with the majority (43.10%) falling between 70–74 years old. Most studies included mixed sex samples ( n  = 184), with only 17 looking at females and 22 at males. Fifty-three studies looked specifically at 21 clinical conditions (e.g., musculoskeletal, cognitive impairment, and cardiorespiratory). The 232 studies of community-dwelling older adults included 171,206 participants, with individual study samples ranging from 8 [ 30 ] to 14,881 [ 31 ]. Studies were published between 1993 [ 13 ] and 2023 [ 32 , 33 , 34 , 35 , 36 ]. The PASE was used in a variety of study designs, including cross-sectional studies (60.78%), prospective studies (25.43%), and experimental (12.07%).

Where possible, weighted means for different subgroups were summarised based on age, sex, and clinical population. Studies with a mean age between 60–64 years had the highest mean PASE scores (159.53 (95% CI 146.58, 172.49)) and studies with a mean age over 80 years old had the lowest mean PASE scores (67.17 (95% CI 51.95, 82.39)) (Fig.  2 , Forest plots available in Additional file 1 Figure B1-B5). Figure  3 presents forest plots for the combined total mean PASE score for female only studies ( n  = 13) 123.99 (95% CI 108.09, 139.88) [ 26 , 37 , 38 , 39 , 40 , 41 , 42 , 43 , 44 , 45 , 46 , 47 , 48 , 49 , 50 , 51 ] and male only studies ( n  = 14) 136.27 (95% CI 122.46, 150.09) [ 52 , 53 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 61 , 62 , 63 , 64 , 65 ]. Based on data availability, pooled means were created for the following clinical populations: cancer ( n  = 2) [ 28 , 66 ], Chronic Obstructive Pulmonary Disease (COPD) ( n  = 2) [ 67 , 68 ], cognitive impairment ( n  = 6) [ 33 , 69 , 70 , 71 , 72 , 73 ], Diabetes ( n  = 3) [ 74 , 75 , 76 ], Osteoarthritis ( n  = 12) [ 46 , 77 , 78 , 79 , 80 , 81 , 82 , 83 , 84 , 85 , 86 , 87 ], and Parkinson’s disease (PD) ( n  = 10) [ 88 , 89 , 90 , 91 , 92 , 93 , 94 , 95 , 96 , 97 ]. Forest plots for clinical populations are available in Additional file 1 Figure B6.

Pooled Mean PASE scores by age groups

Pooled Mean PASE score forest plots for females(1) and males(2)

Psychometric properties of the PASE

Several papers evaluated the psychometric properties of the original PASE ( n  = 5) along with a number of validation studies ( n  = 14) for different translations and clinical populations (acute coronary event [ 98 ], COPD [ 68 ], Cancer [ 28 , 66 ], and Parkinson’s disease [ 89 ]). In total, ten different versions of the PASE were assessed for reliability and/or validity in community-dwelling older adults, including: English ( n  = 5) [ 13 , 14 , 66 , 98 , 99 ], Malay ( n  = 2) [ 100 , 101 ], Arabic ( n  = 1) [ 102 ], Chinese ( n  = 2) [ 68 , 103 ], Italian ( n  = 1) [ 104 ], Norwegian ( n  = 1) [ 105 ], Persian ( n  = 1) [ 106 ], Polish ( n  = 1) [ 107 ], Taiwanese ( n  = 2) [ 28 , 108 ], Turkish ( n  = 1) [ 109 ], and two studies did not report the version [ 65 , 89 ].

Sixteen studies reported on the test-retest reliability of the PASE, time frames ranging from 3 days [ 99 , 105 ] to 3–7 weeks [ 13 ] and sample sizes ranging from 18 [ 98 ] to 349 [ 100 ] (details available in Table  3 ). Across all versions of the PASE 12 studies reporting ICCs for the total score, only two fell below acceptable limits proposed in the COSMIN guidelines [ 110 ] (Malay version 0.49 (95% CI 0.37, 0.59) [ 100 ] and version NR 0.66 (95% CI 0.46–0.71) [ 89 ]). However, the majority of values were 0.90 and above ( n  = 8). Internal consistency was examined in seven versions and all Cronbach alpha’s fell within an acceptable range (0.70 (Arabic and Persian subcategory lowest) to 0.82 (Italian total score)). Only four studies examined measurement error. Alqarni et al. reported the minimal detectable change (MDC95) for PASE subcategories (9.0–23.6) [ 102 ] of the Arabic version and MDC95 for total scores were provided for the Chinese version (19.21) [ 68 ] and the Polish version (38.39) [ 107 ]. Two studies also included standard errors of measurement for the PASE total score (Chinese version 6.93 [ 68 ] and NR version 30.00 [ 89 ]).

Four studies stated they were exploring criterion validity; however, each used a different measurement tool as their gold standard for PA: pedometer (walking steps and energy expenditure) [ 68 ], Actigraph (activity counts/minutes) [ 28 ], International Physical Activity Questionnaire (IPAQ) [ 109 ], doubly labeled water (total energy expenditure, energy expenditure/resting metabolic rate) and VO2max [ 65 ]. The PASE was significantly correlated to all but the doubly labelled water outcomes and VO2max [ 65 ]. During the development of the PASE Washburn et al. assessed the three aspects content validity by asking participants ( n  = 36) about the appropriateness of the items, the completeness (i.e., comprehensiveness), and the comprehensibility; results were used to inform the final version of the PASE [ 13 ]. Three additional studies assessed and reported acceptable content validity for the PASE across three different clinical groups: acute coronary events (English) [ 98 ], COPD (Chinese) [ 68 ], and cancer survivors (Taiwanese) [ 28 ]. Only the English version had responsiveness and minimal important difference (MID) reported and this was in a sample of individuals with lung cancer [ 66 ].

Construct validity was the most commonly assessed form of validity, predominantly exploring convergent validity (details available in Table  4 ). Physical function performance measures and self-report questionnaires were commonly cited, and relationships ranged from fair to moderate, including the Timed Up and Go ( r  = -0.45 to r  = -0.69) [ 102 , 106 , 107 ], Berg Balance ( r  = 0.20 to r  = 0.82) [ 14 , 104 , 107 ], and the physical function section of the Short Form-36 ( r  = 0.53 to r  = 0.58) [ 68 , 103 , 109 ]. Muscle strength was another common construct with poor to fair correlations; specifically, grip strength ( r  = 0.29 to r  = 0.43) [ 13 , 68 , 100 , 102 , 103 ], and lower limb strength ( r  = 0.18 to r  = 0.37) [ 13 , 66 , 103 ]. There were also several self-report measures examining general health ( r  = -0.12 to r  = 0.44) [ 13 , 68 , 98 , 100 , 103 ] and activities of daily living ( r  = 0.10 to r  = 0.78) [ 100 , 106 ]. The PASE demonstrated moderate correlations with the IPAQ ( r  = 0.65 to r  = 0.74) [ 68 , 107 , 109 ]. Five studies compared the PASE to a direct measure of PA (e.g., accelerometers and pedometers), including outcomes such as steps per day ( r  = 0.39 to r  = 0.61) [ 66 , 68 , 101 ] and activity counts ( r  = 0.43 to r  = 0.64) with fair to moderate correlations [ 28 , 99 , 101 ]. Only Bonnefoy et al. used the gold standard doubly labelled water, and they found no significant correlations [ 65 ].

To the authors’ knowledge, this is the first review to provide a comprehensive summary of the use of the PASE in community-dwelling older adults. The PASE has been used extensively to measure PA in older adults (536 primary papers before restricting to community-dwelling settings); however, it was mainly used in high-income countries with cross-sectional research designs. While strong evidence was summarized supporting test-retest reliability and construct validity, there was a paucity of evidence examining the PASE’s responsiveness, important change thresholds, and predictive validity. In addition, we have presented pooled means for different age groups and clinical populations to provide preliminary reference values to improve interpretations of total scores.

The PASE has been used extensively in community-dwelling older adults; 171,206 participants from 35 countries were included in this review. The PASE was developed in the United States, which is reflected in the greater uptake in North America and high-income countries [ 13 ]. However, the PASE has been used across five continents and in some middle-income countries ( n  = 8). Importantly, we have seen the validation of several translated versions including Arabic, Chinese, Malay, Persian, and Turkish. Furthermore, the application of the PASE to clinical and disease-specific populations has also occurred, and the high content validity in these populations is promising. The use of the PASE in persons with chronic conditions has been supported previously based on feasibility and psychometric properties [ 5 ]. While the literature summarized is extensive, more is available outside of community-dwelling populations not captured in this review, including further translations and validations (e.g., Nigerian translation) [ 111 ]. Our results show the PASE is a commonly used measure of worldwide but has been used sparingly in countries outside of North America and in lower-income countries. Decreasing the heterogeneity in how PA is measured is imperative for meaningful comparisons and data harmonization. Large numbers of self-report PA measures already exist, and previous work has recommended using these rather than creating more [ 12 , 112 ]. This review shows the large uptake of the PASE, presenting a suitable choice for research on older adults. However, it is important that psychometric measures are assessed for the population of interest.

Psychometric properties are essential for outcome measures to ensure their validity, reliability, and interpretability. Of the 232 studies included, 19 studies aimed to examine the psychometric properties of the PASE in community-dwelling older adults. According to COSMIN, most studies (12/15) found acceptable test-retest reliability for the PASE total score. However, there was variability between studies that was more pronounced between subcategories of activity types (e.g., ICC subcategory values 0.56–0.94 [ 99 ], 0.76–0.93 [ 106 ], 0.78–0.99 [ 107 ]), which may suggest more variation week to week in single activity types and less for overall activity. There was a paucity of evidence on measurement error, including MDC and standard error of measurement. Of the four studies reporting in this area, one only provided values for activity subcategories, not total score [ 102 ], and two were for clinical populations (COPD and Parkinson’s disease). The varying populations may explain the large difference in values (e.g., MDC95 = 38.4 (general) vs MDC95 = 19.2(COPD); and SEM = 30 (PD) vs SEM = 6.9 (COPD)). Establishing the minimal detectable change values is essential for ensuring differences are real and not from measurement error. In addition, none of the included studies reported minimal clinically important differences (MCID), another important parameter for interpreting change in score. This paucity of evidence must be addressed across versions in community-dwelling older adults to support further use and interpretability of the PASE.

The PASE was validated in community-dwelling older adults in ten different languages. Content validity is regarded as the most important psychometric measurement property [ 113 ]; however, other than the sentinel paper, only three included studies reported on the relevance, comprehensiveness, and comprehensibility [ 28 , 68 , 98 ]. As presented in these papers, PA appears to be influenced by cultural/societal norms, highlighting the importance and continued need to verify the content validity of PA questionnaires when validating in new populations [ 28 ]. Fair to moderate relationships between the PASE and performance-based measures of physical function and mobility, strength, and health outcomes were regularly reported for construct validity. Four studies stated they examined criterion validity, which compares the PASE score to the gold standard of the same construct. However, only one study used the commonly regarded gold standard of PA doubly labelled water and did not find a significant relationship [ 65 ]. The remaining three studies found moderate correlations (> 0.60) using more accessible measures of PA: a pedometer [ 68 ], accelerometer [ 28 ], and a questionnaire [ 109 ]. The PASE-Polish [ 107 ] demonstrated the highest correlation at 0.74 with the IPAQ, which has been validated in 12 different countries, including low-income countries and rural samples [ 114 ]. The IPAQ was the only PA questionnaire reported, and only two other studies compared direct measures of PA (i.e., accelerometers). The correlations with the IPAQ ranged from 0.65–0.74, whereas correlations with direct measures tended to be lower and more variable (e.g., activity counts 0.43–64, walking steps 0.39–0.61). Several PASE versions did not contain a measure of PA in their validity analysis ( n  = 3). Further studies investigating these metrics using a wider variety of measures of PA (e.g., different questionnaires and more direct measures) are needed to clarify these relationships.

No studies reported on longitudinal validity, demonstrating a great need for studies to evaluate the PASE’s predictive validity for important health outcomes in community-dwelling populations across the globe. Despite almost 20 studies using the PASE to measure change in PA, responsiveness, which is critical for ensuring the PASE can accurately reflect change over time, has not been reported in any of the included studies. Therefore, research is needed to explore the predictive validity and responsiveness of the PASE to inform whether the PASE can be used to predict important health outcomes (e.g., future falls, hospitalization) and change in PA (e.g., over time or through intervention) for community-dwelling older adults.

A noteworthy finding of this review was the reporting of pooled means by age, sex, and clinical population. Pooled PASE scores decreased with increasing age groups from < 65 (159.53 (95% CI 146.58, 172.49)) to the 80 years and older group (67.17 (95% CI 51.95, 82.39)). In general, this is consistent with the literature where levels of PA progressively decrease with age for both men and women [ 115 , 116 ]. Some clinical populations appeared to have greater decreases in PA than others (e.g., cognitive impairment 91.11 (95% CI 72.77, 109.40) vs osteoarthritis 129.53 (95% CI 110.40, 148.65)). Clinical groups also appear to be important in addition to age for PA level; for example, the studies in the cognitive impairment group were mostly younger age groups (5/6 less than 80 years old), but the mean PASE score was closer to the two oldest age groups. The provided reference data for age, sex, and clinical population can be used to improve the interpretability of PASE scores among similar populations of community-dwelling older adults. However, future research creating normative values for the PASE could further improve interpretability and uptake of this questionnaire.

There are several limitations of this scoping review that should be acknowledged. First, several eligibility criteria were placed on this review, resulting in papers related to the PASE being excluded. Specifically, studies were restricted to the English language, age of 60 years or older, and community-dwelling settings. These decisions were made for feasibility and to reflect the original PASE; however, they have limited our understanding of how far the PASE has been applied in different populations. With the robust search strategy reviewed by a health research librarian, we are confident that the summarized evidence accurately reflects the current literature for community-dwelling older adults. A second limitation is that only published studies were included, and grey literature was not considered, which opens the possibility that new and emerging research regarding the PASE was missed. Finally, several studies used data from the same databases/studies, resulting in the same or overlapping samples; we did not extract the information necessary to tease this apart. Therefore, pooled means will be biased toward samples included more than once. In addition, pooled mean PASE scores in clinical populations with only two studies should be interpreted cautiously due to limited sample sizes.

This review has identified areas for future consideration, including further expanding the validation of the PASE to middle- and low-income countries. A systematic review focused on the psychometric properties of the PASE with no setting restrictions may provide a valuable resource for researchers. Future investigations are needed on psychometric properties of the PASE, including thresholds of important change, responsiveness, and predictive validity for all versions of the PASE, as well as data on psychometric properties in specific clinical populations.

This review found that the PASE is a widely used PA measure among community-dwelling older adults, with evidence supporting its test-retest reliability and construct validity. The widespread use of a questionnaire increases the ability for data harmonization across studies and improves the ability to compare between studies. Further research is warranted to investigate the PASE’s ability to detect meaningful change (i.e., MDC, MCID) along with predictive validity and responsiveness. Pooled mean total PASE scores reported in this review can provide preliminary reference values for different age groups and clinical populations to help improve the interpretability of PASE scores until normative values are established.

Availability of data and materials

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

Abbreviations

Chronic Obstructive Pulmonary Disease

International Physical Activity Questionnaire - Short Form

• Physical activity

Physical Activity Scale for the Elderly

Parkinson’s Disease

Preferred Reporting Items for Systematic Reviews and Meta-Analyses Extension for Scoping Reviews

Minimal clinical important difference

Minimal detectable change

Intraclass correlation coefficient

Interquartile range

Standard deviation

Standard error of measurement

Timed Up and Go

World Health Organization

Not reported

Confidence Interval

Statistics Canada. Census in Brief: A portrait of Canada’s growing population aged 85 and older from the 2021 Census. Catalogue no. 98-200-X(2021004). 2022. Available from: https://www12.statcan.gc.ca/census-recensement/2021/as-sa/98-200-X/2021004/98-200-X2021004-eng.cfm#moreinfo .

Kirkland SA, Griffith LE, Menec V, Wister A, Payette H, Wolfson C, et al. Mining a unique Canadian resource: the Canadian longitudinal study on aging. Can J Aging. 2015;34(3):366–77.

Article   PubMed   Google Scholar  

Decade of healthy aging: baseline report. Geneva: World Health Organization; 2020. Licence: CC BY-NC-SA 3.0 IGO.

Cunningham C, O’Sullivan R. Why physical activity matters for older adults in a time of pandemic. Eur Rev Aging Phys Act. 2020;17(1):16.

Article   PubMed   PubMed Central   Google Scholar  

Garnett A, Ploeg J, Markle-Reid M, Strachan PH. Self-report tools for assessing physical activity in community-living older adults with multiple chronic conditions: a systematic review of psychometric properties and feasibility. Can J Aging. 2020;39(1):12–30.

Mcphee JS, French DP, Jackson D, Nazroo J, Pendleton N, Degens H. Physical activity in older age: perspectives for healthy ageing and frailty. Biogerontology. 2016;17(3):567–80.

Steeves JA, Shiroma EJ, Conger SA, Van Domelen D, Harris TB. Physical activity patterns and multimorbidity burden of older adults with different levels of functional status: NHANES 2003–2006. Disabil Health J. 2019;12(3):495–502.

WHO guidelines on physical activity and sedentary behaviour. Geneva: Worl Health Organization; 2020.

Mayo A, Sénéchal M, Boudreau J, Bélanger M, Bouchard DR. Potential functional benefits of a comprehensive evaluation of physical activity for aging adults: a CLSA cross-sectional analysis. Aging Clin Exp Res. 2021;33(2):285–9.

Ross R, Chaput JP, Giangregorio LM, Janssen I, Saunders TJ, Kho ME, et al. Canadian 24-hour movement guidelines for adults aged 18–64 years and adults aged 65 years or older: an integration of physical activity, sedentary behaviour, and sleep. Appl Physiol Nutr Metab. 2020;45(10 (Suppl. 2)):S57–102.

Rao AK. Wearable Sensor Technology to Measure Physical Activity (PA) in the Elderly. Current Geriatrics Reports. 2019;8(1):55–66.

Sattler MC, Jaunig J, Tosch C, Watson ED, Mokkink LB, Dietz P, et al. Current evidence of measurement properties of physical activity questionnaires for older adults: an updated systematic review. Sports Med (Auckland, NZ). 2020;50(7):1271–315.

Article   Google Scholar  

Washburn RA, Smith KW, Jette AM, Janney CA. The Physical Activity Scale for the Elderly (PASE): development and evaluation. J Clin Epidemiol. 1993;46(2):153–62.

Article   PubMed   CAS   Google Scholar  

Washburn RA, McAuley E, Katula J, Mihalko SL, Boileau RA. The physical activity scale for the elderly (PASE): evidence for validity. J Clin Epidemiol. 1999;52(7):643–51.

Aromataris E, Munn Z. JBI manual for evidence synthesis. 2020.

Google Scholar  

Tricco AC, Lillie E, Zarin W, O’Brien KK, Colquhoun H, Levac D, et al. PRISMA extension for scoping reviews (PRISMA-ScR): checklist and explanation. Ann Intern Med. 2018;169(7):467–73.

United Nations, Department of Economic and Social Affairs PD. World Population Ageing 2017. 2017;ST/ESA/SER.A/408. Available from: https://www.un.org/development/desa/pd/sites/www.un.org.development.desa.pd/files/files/documents/2020/May/un_2017_worldpopulationageing_report.pdf .

Higgins J, Li T, Deeks JE. Chapter 6: Choosing effect measures and computing estimates of effect. In: Higgins JPT, Thomas J, Chandler J, Cumpston M, Li T, Page MJ, Welch VA, editors. Cochrane handbook for systematic reviews of interventions version 62 (updated February 2021). Cochrane; 2021. Available from www.training.cochrane.org/handbook .

Wan X, Wang W, Liu J, Tong T. Estimating the sample mean and standard deviation from the sample size, median, range and/or interquartile range. BMC Med Res Methodol. 2014;14(1):135.

The World Bank. World Bank Country and Lending Groups - World Bank Data Help Desk. The World Bank Group. Available from: https://datahelpdesk.worldbank.org/knowledgebase/articles/906519-world-bank-country-and-lending-groups .Cited 2021 July.

Yu R, Leung J, Woo J. Housework reduces all-cause and cancer mortality in Chinese men. PLoS One. 2013;8(5):e61529.

Article   PubMed   PubMed Central   CAS   Google Scholar  

Yu R, Cheung O, Lau K, Woo J. Associations between perceived neighborhood walkability and walking time, wellbeing, and loneliness in community-dwelling older Chinese people in Hong Kong. Int J Environ Res Public Health. 2017;14(10):1199.

Liang Y, Lai FTT, Kwan JLY, Chan W, Yeoh E-K. Sport and recreational physical activities attenuate the predictive association of multimorbidity with increased geriatric depressive symptoms: a 14-year follow-up study of community-dwelling older adults. J Aging Phys Act. 2022;30(2):252–60.

Kitano N, Tsunoda K, Tsuji T, Osuka Y, Jindo T, Tanaka K, et al. Association between difficulty initiating sleep in older adults and the combination of leisure-time physical activity and consumption of milk and milk products: a cross-sectional study. BMC Geriatr. 2014;14:118.

Wang YF, Li NY, Zhu JJ, Deng Q, Hu JLL, Xu J, et al. Association between socio-ecological factors and leisure time physical activity (LTPA) among older adults in Sichuan, China: a structural equation modeling analysis. BMC Geriatr. 2022;22(1):60.

Kenny AM, Dawson L, Kleppinger A, Iannuzzi-Sucich M, Judge JO. Prevalence of sarcopenia and predictors of skeletal muscle mass in nonobese women who are long-term users of estrogen-replacement therapy. J Gerontol A Biol Sci Med Sci. 2003;58(5):M436–40.

Julien D, Gauvin L, Richard L, Kestens Y, Payette H. Longitudinal associations between walking frequency and depressive symptoms in older adults: results from the VoisiNuAge study. J Am Geriatr Soc. 2013;61(12):2072–8.

Su C-C, Lee K-D, Yeh C-H, Kao C-C, Lin C-C. Measurement of physical activity in cancer survivors: a validity study. J Cancer Surviv. 2014;8(2):205–12.

Moored KD, Qiao Y, Boudreau RM, Roe LS, Cawthon PM, Cauley JA, et al. Prospective associations between physical activity and perceived fatigability in older men: differences by activity type and baseline marital status. J Gerontol A Biol Sci Med Sci. 2022;77(12):2498–506.

Li JX, Hodgson N, Lyons MM, Chen KC, Yu F, Gooneratne NS. A personalized behavioral intervention implementing mHealth technologies for older adults: a pilot feasibility study. Geriatr Nurs. 2020;41(3):313–9.

Chang VC, Do MT. Risk factors for falls among seniors: implications of gender. Am J Epidemiol. 2015;181(7):521–31.

Bernstein JP, Noland MD, Dorociak KE, Leese MI, Lee SY, Hughes A. Executive functioning predicts discrepancies between objective and self-reported physical activity in older adults: a pilot study. Aging Neuropsychol Cogn. 2023;30(1):124–34.

Boa Sorte Silva NC, Dao E, Hsu CL, Tam RC, Lam K, Alkeridy W, et al. Myelin and Physical Activity in Older Adults with Cerebral Small Vessel Disease and Mild Cognitive Impairment. The journals of gerontology Series A, Biological sciences and medical sciences. 2022;78(3):545–3.

Escher C, Asken BM, VandeBunte A, Fonseca C, You M, Kramer JH, et al. Roles of physical activity and diet in cognitive aging: is more better? The Clinical neuropsychologist. 2022;37(2):1–18.

Haggard AV, Tennant JE, Shaikh FD, Hamel R, Kline PW, Zukowski LA. Including cognitive assessments with functional testing predicts capabilities relevant to everyday walking in older adults. Gait Posture. 2023;100:75–81.

Ibrahim AM, Singh DKA, Mat S, Mat Ludin AF, Shahar S. Incidence and Predictors of Physical Inactivity Among Malaysian Community-Dwelling Older Persons. Journal of aging and physical activity. 2022;31(1):105–6.

Gregorio L, Brindisi J, Kleppinger A, Sullivan R, Mangano KM, Bihuniak JD, et al. Adequate dietary protein is associated with better physical performance among post-menopausal women 60–90 years. J Nutr Health Aging. 2014;18(2):155–60.

Nemmers TM, Miller JW. Factors influencing balance in healthy community-dwelling women age 60 and older. J Geriatr Phys Ther (2001). 2008;31(3):93–100.

McAuley E, Hall KS, Motl RW, White SM, Wojcicki TR, Hu L, et al. Trajectory of declines in physical activity in community-dwelling older women: social cognitive influences. J Gerontol B Psychol Sci Soc Sci. 2009;64(5):543–50.

McAuley E, Morris KS, Doerksen SE, Motl RW, Hu L, White SM, et al. Effects of change in physical activity on physical function limitations in older women: mediating roles of physical function performance and self-efficacy. J Am Geriatr Soc. 2007;55(12):1967–73.

Martin FC, Hart D, Spector T, Doyle DV, Harari D. Fear of falling limiting activity in young-old women is associated with reduced functional mobility rather than psychological factors. Age Ageing. 2005;34(3):281–7.

Morris KS, McAuley E, Motl RW. Neighborhood satisfaction, functional limitations, and self-efficacy influences on physical activity in older women. Int J Behav Nutr Phys Act. 2008;5:13.

Legg HS, Arnold CM, Trask C, Lanovaz JL. Does functional performance and upper body strength predict upper extremity reaction and movement time in older women? Hum Mov Sci. 2021;77:102796.

Leis KS, Reeder BA, Chad KE, Spink KS, Fisher KL, Bruner BG. The relationship of chronic disease and demographic variables to physical activity in a sample of women aged 65 to 79 years. Women Health. 2010;50(5):459–74.

Liu-Ambrose T, Khan KM, Eng JJ, Lord SR, McKay HA. Balance confidence improves with resistance or agility training - Increase is not correlated with objective changes in fall risk and physical abilities. Gerontology. 2004;50(6):373–82.

Lange AK, Singh MAF, Smith RM, Foroughi N, Baker MK, Shnier R, et al. Degenerative meniscus tears and mobility impairment in women with knee osteoarthritis. Osteoarthritis Cartilage. 2007;15(6):701–8.

Greenspan SL, Resnick NM, Parker RA. The effect of hormone replacement on physical performance in community-dwelling elderly women. Am J Med. 2005;118(11):1232–9.

Newton RA, Cromwell RL, Rogers HL. The relationship between physical performance and obesity in elderly African-American women. Phys Occup Ther Geriatr. 2009;27(6):423–40.

Talley KMC, Wyman JF, Gross CR, Lindquist RA, Gaugler JE. Change in balance confidence and its associations with increasing disability in older community-dwelling women at risk for falling. J Aging Health. 2014;26(4):616–36.

Kenny AM, Kleppinger A, Wang Y, Prestwood KM. Effects of ultra-low-dose estrogen therapy on muscle and physical function in older women. J Am Geriatr Soc. 2005;53(11):1973–7.

Bellantonio S, Fortinsky R, Prestwood K. How well are community-living women treated for osteoporosis after hip fracture? J Am Geriatr Soc. 2001;49(9):1197–204.

Klima DW. Physical performance and balance confidence among community-dwelling older adult men. 2010. (Ph.D.). p. 159.

Eendebak RJAH, Ahern T, Swiecicka A, Pye SR, O’Neill TW, Bartfai G, et al. Elevated luteinizing hormone despite normal testosterone levels in older men-natural history, risk factors and clinical features. Clin Endocrinol. 2018;88(3):479–90.

Article   CAS   Google Scholar  

Laddu D, Parimi N, Cauley JA, Cawthon PM, Ensrud KE, Orwoll E, et al. The association between trajectories of physical activity and all-cause and cause-specific mortality. J Gerontol A Biol Sci Med Sci. 2018;73(12):1708–13.

Lange-Maia BS, Cauley JA, Newman AB, Boudreau RM, Jakicic JM, Glynn NW, et al. Sensorimotor peripheral nerve function and physical activity in older men. J Aging Phys Act. 2016;24(4):559–66.

Mackey DC, Hubbard AE, Cawthon PM, Cauley JA, Cummings SR, Tager IB. Usual physical activity and hip fracture in older men: an application of semiparametric methods to observational data. Am J Epidemiol. 2011;173(5):578–86.

Cousins JM, Petit MA, Paudel ML, Taylor BC, Hughes JM, Cauley JA, et al. Muscle power and physical activity are associated with bone strength in older men: the osteoporotic fractures in men study. Bone. 2010;47(2):205–11.

Mesinovic J, Scott D, Seibel MJ, Cumming RG, Naganathan V, Blyth FM, et al. Risk factors for incident falls and fractures in older men with and without type 2 diabetes mellitus: the Concord Health and Ageing in Men Project. J Gerontol A Biol Sci Med Sci. 2021;76(6):1090–100.

Hsu B, Merom D, Blyth FM, Naganathan V, Hirani V, Le Couteur DG, et al. Total physical activity, exercise intensity, and walking speed as predictors of all-cause and cause-specific mortality over 7 years in older men: the Concord Health and Aging in Men Project. J Am Med Dir Assoc. 2018;19(3):216–22.

Ng CA, Scott D, Seibel MJ, Cumming RG, Naganathan V, Blyth FM, et al. Higher Impact Physical Activity is Associated with Maintenance of Bone Mineral Density but Not Reduced Incident Falls or Fractures in Older Men: The Concord Health and Ageing in Men Project. Journal of bone and mineral research : the official journal of the American Society for Bone and Mineral Research. 2020;36(4):662–72.

Cronholm F, Rosengren BE, Nilsson J, Ohlsson C, Mellstrom D, Ribom E, et al. The fracture predictive ability of a musculoskeletal composite score in old men - data from the MrOs Sweden study. BMC Geriatr. 2019;19(1):90.

Kenny AM, Biskup B, Robbins B, Marcella G, Burleson JA. Effects of vitamin D supplementation on strength, physical function, and health perception in older, community-dwelling men. J Am Geriatr Soc. 2003;51(12):1762–7.

Kenny AM, Prestwood KM, Kenny AM, Prestwood KM, Marcello KM, Raisz LG. Determinants of bone density in healthy older men with low testosterone levels. J Gerontol A Biol Sci Med Sci. 2000;55(9):M492–7.

Liu PY, Wishart SM, Handelsman DJ. A double-blind, placebo-controlled, randomized clinical trial of recombinant human chorionic gonadotropin on muscle strength and physical function and activity in older men with partial age-related androgen deficiency. J Clin Endocrinol Metab. 2002;87(7):3125–35.

Bonnefoy M, Normand S, Pachiaudi C, Lacour JR, Laville M, Kostka T. Simultaneous validation of ten physical activity questionnaires in older men: a doubly labeled water study. J Am Geriatr Soc. 2001;49(1):28–35.

Granger C, Parry S, Denehy L, Granger CL, Parry SM. The self-reported Physical Activity Scale for the Elderly (PASE) is a valid and clinically applicable measure in lung cancer. Support Care Cancer. 2015;23(11):3211–8.

Oliveira CC, McGinley J, Lee AL, Irving LB, Denehy L. Fear of falling in people with chronic obstructive pulmonary disease. Respir Med. 2015;109(4):483–9.

Tao Y-X, Wang L, Dong X-Y, Zheng H, Zheng Y-S, Tang X-Y, et al. Psychometric properties of the Physical Activity Scale for the Elderly in Chinese patients with COPD. Int J Chron Obstruct Pulmon Dis. 2017;12:105–14.

Burns JM, Mayo MS, Anderson HS, Smith HJ, Donnelly JE. Cardiorespiratory fitness in early-stage Alzheimer disease. Alzheimer Dis Assoc Disord. 2008;22(1):39–46.

Farina N, Tabet N, Rusted J. Habitual physical activity (HPA) as a factor in sustained executive function in Alzheimer-type dementia: a cohort study. Arch Gerontol Geriatr. 2014;59(1):91–7.

Lin YP, Yang YH, Hsiao SF. Physical activity, muscle strength, and functional fitness: comparing older adults with and without Alzheimer dementia. Top Geriatr Rehabil. 2019;35(4):280–8.

Talamonti D, Gagnon C, Vincent T, Nigam A, Lesage F, Bherer L, et al. Exploring cognitive and brain oxygenation changes over a 1-year period in physically active individuals with mild cognitive impairment: a longitudinal fNIRS pilot study. BMC Geriatr. 2022;22(1):648.

van Santen J, Droes RM, Twisk JWR, Henkemans OAB, van Straten A, Meiland FJM. Effects of exergaming on cognitive and social functioning of people with dementia: a randomized controlled trial. J Am Med Dir Assoc. 2020;21(12):1958-#x0002B;

El Rahi B, Shatenstein B, Morais JA. The joint effects of diet quality and physical activity on functional decline among diabetic older adults from the NuAge cohort. J Am Geriatr Soc. 2013;61(SUPPL. 1):S209.

Rahi B, Morais JA, Gaudreau P, Payette H, Shatenstein B. Decline in functional capacity is unaffected by diet quality alone or in combination with physical activity among generally healthy older adults with T2D from the NuAge cohort. Diabetes Res Clin Pract. 2014;105(3):399–407.

Sazlina S-G, Browning CJ, Yasin S. Effectiveness of personalized feedback alone or combined with peer support to improve physical activity in sedentary older Malays with type 2 diabetes: a randomized controlled trial. Front Public Health. 2015;3:178.

Barker KL, Room J, Knight R, Dutton S, Toye F, Leal J, et al. Home-based rehabilitation programme compared with traditional physiotherapy for patients at risk of poor outcome after knee arthroplasty: the CORKA randomised controlled trial. BMJ Open. 2021;11(8):e052598.

Batsis JA, Zbehlik AJ, Barre LK, Bynum JPW, Pidgeon D, Bartels SJ. Impact of obesity on disability, function, and physical activity: data from the Osteoarthritis Initiative. Scand J Rheumatol. 2015;44(6):495–502.

Bennell KL, Ahamed Y, Jull G, Bryant C, Hunt MA, Forbes AB, et al. Physical therapist-delivered pain coping skills training and exercise for knee osteoarthritis: randomized controlled trial. Arthritis Care Res. 2016;68(5):590–602.

Bieler T, Anderson T, Beyer N, Rosthoj S. The impact of self-efficacy on activity limitations in patients with hip osteoarthritis: results from a cross-sectional study. ACR Open Rheumatol. 2020;2(12):741–9.

Chmelo E, Nicklas B, Davis C, Legault C, Miller GD, Messier S. Physical activity and physical function in older adults with knee osteoarthritis. J Phys Act Health. 2013;10(6):777–83.

Dunlop DD, Semanik P, Song J, Sharma L, Nevitt M, Jackson R, et al. Moving to maintain function in knee osteoarthritis: evidence from the Osteoarthritis Initiative. Arch Phys Med Rehabil. 2010;91(5):714–21.

Hinman RS, Wrigley TV, Metcalf BR, Campbell PK, Paterson KL, Hunter DJ, et al. Unloading shoes for self-management of knee osteoarthritis: a randomized trial. Ann Intern Med. 2016;165(6):381–9.

McDonald DD, Shellman JM, Graham L, Harrison L. The relationship between reminiscence functions, optimism, depressive symptoms, physical activity, and pain in older adults. Res Gerontol Nurs. 2016;9(5):223–31.

Sharma L, Cahue S, Song J, Hayes K, Pai Y, Dunlop D. Physical functioning over three years in knee osteoarthritis: role of psychosocial, local mechanical, and neuromuscular factors. Arthritis Rheum. 2003;48(12):3359–70.

Skou ST, Wise BL, Lewis CE, Felson D, Nevitt M, Segal NA. Muscle strength, physical performance and physical activity as predictors of future knee replacement: a prospective cohort study. Osteoarthritis Cartilage. 2016;24(8):1350–6.

Smith TO, Mansfield M, Dainty J, Hilton G, Mann CJV, Sackley CM. Does physical activity change following hip and knee replacement? Matched case-control study evaluating Physical Activity Scale for the Elderly data from the Osteoarthritis Initiative. Physiotherapy. 2018;104(1):80–90.

Amara AW, Chahine L, Seedorff N, Caspell-Garcia CJ, Coffey C, Simuni T, et al. Self-reported physical activity levels and clinical progression in early Parkinson’s disease. Parkinsonism Relat Disord. 2019;61:118–25.

Ånfors S, Kammerlind A-S, Nilsson MH. Test-retest reliability of physical activity questionnaires in Parkinson’s disease. BMC Neurol. 2021;21(1):1–13.

Ashburn A, Pickering R, McIntosh E, Hulbert S, Rochester L, Roberts HC, et al. Exercise- and strategy-based physiotherapy-delivered intervention for preventing repeat falls in people with Parkinson’s: the PDSAFE RCT. Health Technol Assess (Winchester, England). 2019;23(36):1–150.

Balci B, Aktar B, Buran S, Tas M, Colakoglu BD. Impact of the COVID-19 pandemic on physical activity, anxiety, and depression in patients with Parkinson’s disease. Int J Rehabil Res. 2021;44(2):173–6.

Bryant MS, Hou JG, Collins RL, Protas EJ. Contribution of axial motor impairment to physical inactivity in Parkinson disease. Am J Phys Med Rehabil. 2016;95(5):348–54.

Bryant MS, Kang GE, Protas EJ. Relation of chair rising ability to activities of daily living and physical activity in Parkinson’s disease. Arch Physiother. 2020;10(1):22.

Bryant MS, Rintala DH, Hou J-G, Protas EJ. Relationship of falls and fear of falling to activity limitations and physical inactivity in Parkinson’s disease. J Aging Phys Act. 2015;23(2):187–93.

Ellis T, Cavanaugh JT, Earhart GM, Ford MP, Foreman KB, Fredman L, et al. Factors associated with exercise behavior in people with Parkinson disease. Phys Ther. 2011;91(12):1838–48.

Mantri S, Wood S, Duda JE, Morley JF. Understanding physical activity in Veterans with Parkinson disease: a mixed-methods approach. Parkinsonism Relat Disord. 2019;61:156–60.

Mantri S, Wood S, Duda JE, Morley JF. Comparing self-reported and objective monitoring of physical activity in Parkinson disease. Parkinsonism Relat Disord. 2019;67:56–9.

Allison MJ, Keller C, Hutchinson PL. Selection of an instrument to measure the physical activity of elderly people in rural areas. Rehabil Nurs. 1998;23(6):309–14.

Dinger MK, Oman F, Taylor EL, Vesely SK, Able J. Stability and convergent validity of the Physical Activity Scale for the Elderly (PASE). J Sports Med Phys Fitness. 2004;44(2):186–92.

PubMed   CAS   Google Scholar  

Ismail N, Hairi F, Choo WY, Hairi NN, Peramalah D, Bulgiba A. The Physical Activity Scale for the Elderly (PASE): validity and reliability among community-dwelling older adults in Malaysia. Asia Pac J Public Health. 2015;27(8 Suppl):62S-72S.

Singh DKA, Rahman NNAA, Rajaratnam BS, Yi TC, Shahar S. Validity and reliability of physical activity scale for elderly in Malay language (PASE-M). Malays J Public Health Med. 2018;2018(Specialissue1):116–23.

Alqarni AM, Vennu V, Alshammari SA, Bindawas SM. Cross-cultural adaptation and validation of the Arabic version of the Physical Activity Scale for the Elderly among community-dwelling older adults in Saudi Arabia. Clin Interv Aging. 2018;13:419–27.

Ngai SP, Cheung RT, Lam PL, Chiu JK, Fung EY. Validation and reliability of the Physical Activity Scale for the Elderly in Chinese population. J Rehabil Med. 2012;44(5):462–5.

Covotta A, Gagliardi M, Berardi A, Maggi G, Pierelli F, Mollica R, et al. Physical Activity Scale for the Elderly: Translation, Cultural Adaptation, and Validation of the Italian Version. Current Gerontology & Geratrics Research. 2018;8294568:1–7.

Loland NW. Reliability of the physical activity scale for the elderly (PASE). Eur J Sport Sci. 2002;2(5):1–12.

Keikavoosi-Arani L, Salehi L. Cultural adaptation and psychometric adequacy of the Persian version of the physical activity scale for the elderly (P-PASE). BMC Res Notes. 2019;12(1):555.

Wisniowska-Szurlej A, Cwirlej-Sozanska A, Woloszyn N, Sozanski B, Wilmowska-Pietruszynska A, Washburn R. Cultural adaptation and validation of the Polish version of the physical activity scale for older people living in a community: a cross-sectional study. Eur Rev Aging Phys Act. 2020;17(1):19.

Wu C-Y, Su T-P, Fang C-L, Yeh CM. Sleep quality among community-dwelling elderly people and its demographic, mental, and physical correlates. J Chin Med Assoc. 2012;75(2):75–80.

Ayvat E, Kilinc M, Kirdi N. The Turkish version of the Physical Activity Scale for the Elderly (PASE): its cultural adaptation, validation, and reliability. Turk J Med Sci. 2017;47(3):908–15.

Prinsen CAC, Mokkink LB, Bouter LM, Alonso J, Patrick DL, de Vet HCW, et al. COSMIN guideline for systematic reviews of patient-reported outcome measures. Qual Life Res. 2018;27(5):1147–57.

Okoye EC, Akosile CO, Maruf FA, Onwuakagba IU, Chukwuma VC. Cross-cultural adaptation and validation of Nigerian (Igbo) version of the physical activity scale for the elderly. J Aging Phys Act. 2021;29(4):553–61.

D’Amore C, Saunders S, Bhatnagar N, Griffith LE, Richardson J, Beauchamp MK. Determinants of physical activity in community-dwelling older adults: an umbrella review. Int J Behav Nutr Phys Act. 2023;20(1):135.

Terwee CB, Prinsen CAC, Chiarotto A, Westerman MJ, Patrick DL, Alonso J, et al. COSMIN methodology for evaluating the content validity of patient-reported outcome measures: a Delphi study. Qual Life Res. 2018;27(5):1159–70.

Craig CL, Marshall AL, Sjöström M, Bauman AE, Booth ML, Ainsworth BE, et al. International physical activity questionnaire: 12-country reliability and validity. Med Sci Sports Exerc. 2003;35(8):1381–95.

Sun F, Norman IJ, While AE. Physical activity in older people: a systematic review. BMC Public Health. 2013;13(1):449.

Aleksovska K, Puggina A, Giraldi L, Buck C, Burns C, Cardon G, et al. Biological determinants of physical activity across the life course: a “Determinants of Diet and Physical Activity” (DEDIPAC) umbrella systematic literature review. Sports Med Open. 2019;5(1):2.

Download references

Acknowledgements

Ms. Neera Bhatnagar, a librarian at Health Sciences Library at McMaster University, for guiding the authors in the development of the search strategy.

Not applicable.

Author information

Cassandra D’Amore and Lexie Lajambe are co-first authors.

Authors and Affiliations

School of Rehabilitation Science, Faculty of Health Sciences, Institute of Applied Health Sciences, McMaster University, 1400 Main St. West Hamilton, Room 403, Hamilton, ON, L8S 1C7, Canada

Cassandra D’Amore, Lexie Lajambe, Noah Bush, Sydney Hiltz, Justin Laforest, Isabella Viel, Qiukui Hao & Marla Beauchamp

You can also search for this author in PubMed   Google Scholar

Contributions

MB and CD conceptualized the research question; LL, NB, SH, JL, IV in consultation with Ms Bhatnagar and CD, QH, and MB created protocol and search strategies. NB, LL, SH, JL, IV and CD carried out screening and extracting papers. JL, CD and QH carried out analyses and all authors contributed to the final manuscript.

Corresponding author

Correspondence to Marla Beauchamp .

Ethics declarations

Ethics approval and consent to participate, consent for publication, competing interests.

Author MB is supported by a Tier 2 Canada Research Chair in Mobility, Aging and Chronic Disease.

Additional information

Publisher’s note.

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Supplementary Information

Additional file 1. additional methods and results details., additional file 2. full list of included and excluded studies., additional file 3. data extraction sheet., rights and permissions.

Open Access This article is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License, which permits any non-commercial use, sharing, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if you modified the licensed material. You do not have permission under this licence to share adapted material derived from this article or parts of it. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by-nc-nd/4.0/ .

Reprints and permissions

About this article

Cite this article.

D’Amore, C., Lajambe, L., Bush, N. et al. Mapping the extent of the literature and psychometric properties for the Physical Activity Scale for the Elderly (PASE) in community-dwelling older adults: a scoping review. BMC Geriatr 24 , 761 (2024). https://doi.org/10.1186/s12877-024-05332-3

Download citation

Received : 11 April 2024

Accepted : 26 August 2024

Published : 14 September 2024

DOI : https://doi.org/10.1186/s12877-024-05332-3

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Psychometrics
• Questionnaire

BMC Geriatrics

ISSN: 1471-2318

• General enquiries: [email protected]

Designing resilient supply chain networks: a systematic literature review of mitigation strategies

• Original - Survey or Exposition
• Open access
• Published: 18 September 2024

Cite this article

You have full access to this open access article

• Abdolreza Roshani   ORCID: orcid.org/0000-0002-3067-0633 1 ,
• Philip Walker-Davies 3 &
• Glenn Parry   ORCID: orcid.org/0000-0002-6432-2055 2  

With increased globalisation supply chain (SC) disruption significantly affects people, organisations and society. Supply chain network design (SCND) reduces the effects of disruption, employing mitigation strategies such as extra capacity and flexibility to make SCs resilient. Currently, no systematic literature review classifies mitigation strategies for SCND. This paper systematically reviews the literature on SCND, analysing proposed mitigation strategies and the methods used for their integration into quantitative models. First to understand the key failure drivers SCND literature is categorised using geography, with local, regional or global disruptions linked to vulnerable sections of a SC. Second, the strategies used in mathematical models to increase SC resilience are categorized as proactive, reactive, or SC design quality capabilities. Third, the relative performance of mitigation strategies is analysed to provide a comparison, identifying the most effective strategies in given contexts. Forth, mathematical modelling techniques used in resilient SCND are reviewed, identifying how strategies are integrated into quantitative models. Finally, gaps in knowledge, key research questions and future directions for researchers are described.

Avoid common mistakes on your manuscript.

1 Introduction

The 9/11 terror attacks, the 2011 Japanese tsunami, and the 2020 COVID-19 pandemic are events that significantly impacted supply chains [SCs] (Aldrighetti et al., 2021 ; Snyder et al., 2016 ; Suryawanshi & Dutta, 2022 ). Although the risk likelihood of these events is low, they significantly impact SC performance (Tang, 2006 ) and encourage design of resilient SCs that can adjust to disruption (Wieland & Durach, 2021 ). Supply Chain Network Design [SCND] is of interest to academics and practitioners as it decreases (increases) the cost (profit) of SCs (Simchi-Levi & Kaminsky, 2004 ) and effects performance and resilience (Shen, 2007 ). Resilience can be achieved through creating redundancy (Sheffi, 2005 ), including holding safety/emergency stocks, having multiple suppliers and low capacity utilization rates to hedge against disruptions. In the literature, different redundancies are modelled to create mitigation strategies (Hosseini et al., 2019a , 2019b ), hedging against disruption risk (Ivanov et al., 2017 ). Mitigation strategies have two subcategories, proactive and reactive, depending if their applied pre- or post-disruption (Elluru et al., 2019 ).

Supply chain disruption and resilience have been analysed using both qualitative and quantitative models. Empirical and conceptual qualitative models are commonly used to identify, assess, and manage risks of disruption (Hervani et al., 2022 ; Hosseini et al., 2019a , 2019b ). Quantitative models are applied to assess the impacts of disruptions on supply chains and to evaluate relevant mitigation strategies (Azad & Hassini, 2019 ; Snyder et al., 2016 ; Taleizadeh et al., 2022 ). Quantitative work integrates mitigation strategies into mathematical models to design resilient SCs [RSCs] (Abbasian et al., 2023 ; Aldrighetti et al., 2021 ; Kabadurmus & Erdogan, 2020 ). However, before integration several critical challenges must be addressed. First disruptive events may affect different parts of SCs. Thus, the failure parameters in the models must be adjusted to show the actual condition of SCs’ vulnerability. Second, the efficiency of resilience strategies differs with context. When modelling resilient SCND [RSCND] problems, identifying an optimum strategy needs information of the relative performance of mitigation strategies in specific context. Third, RSC design requires that modelling approaches integrate the appropriate mitigation strategies and define their characteristics.

To address these challenges, a systematic literature review (SLR) of quantitative models of SCND was undertaken, focusing on mitigation strategies, their relative performance and their integration into mathematical models. The SLR is a well-established method used in analysing literature, including supply chain resilience (Aldrighetti et al., 2021 ; Maharjan & Kato, 2022 ; Naghshineh & Carvalho, 2022 ). However, few literature reviews examine quantitative models of RSC design that consider strategic facility location and supplier selection decisions. Table 1 details the content of extant literature reviews articles; √, o and x imply the area is covered, partially covered, and not covered respectively.

Whilst this review has some overlap with references from previous work (Table  1 ), significant differences exist. To our knowledge, no published review classified mitigation strategies applied in designing SCs based on vulnerabilities, none categorises them into proactive, reactive and SC design quality groups, none identify the relative performance of mitigation strategies that improve SC resilience, and none identify methods to integrate mitigation strategies into quantitative models. This paper aims to advance research in these areas by answering the following research questions:

RQ1: What is the classification of disruptions based on their geographic scope and the part of SCs they affect?

RQ2: Focussing on vulnerable SC sections, what strategies have been introduced to improve resilience?

RQ3: Drawing on performance criteria from literature, how have these strategies improved the resilience of supply chains?

RQ4: How are resilience strategies integrated into mathematical models?

The remainder of this paper is organized as follows: Sect.  2 presents the research method. Section  3 addresses RQ1, Sect.  4 addresses RQ2 & 3, whilst Sect.  5 addresses Q4. Concluding remarks, managerial insights, and future research directions will follow in Sects.  6 .

2 SLR methodology

The SLR was undertaken in three stages, Fig.  1 (Tranfield et al., 2003 ). Stage one is process planning, in stage two the review process is undertaken and in stage 3 findings from analysis of the literature are reported, and each are now detailed.

Literature review methodology. A flow diagram represents the process of searching selected keywords in Scopus and WoS databases, to find reference articles by excluding duplicates, reviews and irrelevant articles

2.1 Data source, inclusion, and exclusion criteria

Scopus and Web of Science (WoS) databases were selected as the most relevant sources, in accordance with previous reviews papers (Aldrighetti et al., 2021 ; Katsaliaki et al., 2021 ). The earliest articles on SC disruption and resilience were published the early 2000s, following the 9/11 Terrorist attacks (Katsaliaki et al., 2021 ), so the sample selection timeframe is restricted to 2001–2024. To ensure the inclusion of only top-tier research and industrial development, our analysis specifically targets articles published in prominent English-language journals. In this regard, we exclusively consider articles published in journals listed in the latest Chartered Association of Business Schools (CABS) 2021 ranking. This ranking incorporates multiple journal quality assessments, providing a reliable measure of research rigor and excellence. While journal rankings are inevitably subject to debate, the CABS ranking is widely recognized for its consistent and high standards of research quality (Kamal & Irani, 2014 ; Miemczyk & Johnsen, 2012 ; Rajagopal et al., 2017 ). Thus, in accordance with (Kamal & Irani, 2014 ; Rajagopal et al., 2017 ) only journals rated CABS 3, 4, and 4* are selected, and lower ranked and grey literature excluded (selected journals are listed in table i in supplementary materials).

Content criteria filters are employed in selecting articles to review. First, selected articles should be categorized as SC design problems. Second, only resilient decision-making [DM] problems with strategic and tactical time scales are considered. Third, papers must contain mathematical models, with binary variables used for selecting suppliers or opening facilities. Following Aldrighetti et al. ( 2021 ), we focus on SCND applied in industrial commercial sectors, excluding design of water, telecommunication and healthcare SCs. R-interdiction and fortification problems are also omitted since their goal is to select existing facilities to fortify, rather than relocating them (Liberatore et al., 2012 ; Starita & Paola Scaparra, 2021 ).

2.2 Retrieval strategy and review process

Following Saunders et al. ( 2009 ) the article retrieval strategy employed an iterative procedure of defining appropriate keywords, searching, analysing the literature and finalising results. Examination of research reviews on similar topics gave rise to two groups of keywords. The first relates to SCND and the second to resilience. The keyword combinations used to search given databases are provided in the supplementary material (table i).

The SLR starts (Fig.  1 ) with a keyword search on Scopus (3145 articles identified) and WoS (908 articles) databases, and was performed at the end of April 2024. Article titles were used to exclude duplicates. The abstract and main body of the paper were examined to exclude irrelevant papers and those not published in target journals, leaving 145 papers. Finally, the full-text was read and to avoid missing relevant papers, forward and backward snow balling methods performed. 103 articles were selected for final analysis (Supplementary Material Figure i shows number of articles published by year).

3 Definitions

To establish a clear and consistent understanding of terms related to supply chain disruption and resilience several researchers' definitions for these terms have been analysed. Through analysis and consideration of contexts of these definitions, we have sought to unify a comprehensive understanding. Five key terms were selected, which include "supply chain disruption," "supply chain resilience," "resilience or mitigation strategies," "proactive strategies," and "reactive or contingency strategies." The definitions and explanations of these terms have been thoroughly examined, and the resulting insights presented in Table  2 .

4 Finding from the content analysis

In this section we present the findings from the content analysis, which explore various aspects of supply chain disruptions and mitigation strategies. We investigate the types of disruptions and vulnerable sections in 4.1, followed by a detailed review of proposed mitigation strategies in designing supply chains in 4.2. Furthermore, we investigate the integration of resilience strategies into mathematical models in subSect.  4.3 , focusing on disruption-related parameters in 4.3.1 and the methodology for incorporating these strategies into the mathematical models in 4.3.2.

4.1 Type of disruption and supply chain vulnerable sections

To answer to RQ1, “what is the classification of disruptions based on their geographic scope and the part of SCs they affect?”, disruption events reported in the SCND literature were categorized based on their geographic affect: local, regional, or global (Sawik, 2013b , 2019 , 2014 ). Local disruptions are characterized by their confined impact, typically affecting specific facilities or locations within a supply chain. For instance, an illustrative example of a local disruption is the Philips microchip plant fire that occurred in New Mexico in 2000, which had repercussions limited to that particular facility. Researchers and scholars, such as (Norrman & Jansson, 2004 ), have explored and documented local disruptions extensively.

Moving beyond localized disruptions, regional disruptions encompass a broader scale, impacting multiple nodes and arcs within a particular geographic region. These disruptions can be caused by various events, including but not limited to regional labour strikes, logistical errors, and natural disasters like floods or earthquakes. The devastating Tohoku earthquake of 2011 (Park et al., 2013 ) and the unexpected 2018 UK KFC chicken shortage (Young & Bhattacharyya, 2020 ) are compelling instances of regional disruptions that affected different parts of the supply chain within their respective areas.

On a grander scale, global disruptions have the potential to disrupt entire supply chains, transcending regional and local boundaries. These disruptions are often caused by significant global events such as economic crises, labor strikes in the transportation sector, or catastrophic events like the Covid-19 pandemic in 2019 (Remko, 2020 ). The Covid-19 pandemic, in particular, had far-reaching consequences, profoundly impacting supply chains worldwide (Paul et al., 2021 ).

To organize the body of literature, Table  3 provides a comprehensive categorization based on the type of disruption and the corresponding decision-making (DM) problems studied. The DM problems are grouped into four main classes: resilient supplier selection (RSS), reliable facility location (RFL), resilient logistic network design (RLND), and integrated reliable facility location (IRFL). The table includes a summary column presenting the percentages of studies that address each DM problem based on the categories of disruptions, namely, global, regional, and local.

From the table, it becomes evident that the majority of the studies have focused on local disruptions, accounting for approximately 96.12% of the research. Regional disruptions constituted about 14.56% of the studies, while global disruptions represented 4.85% of the analysed articles (total exceeds 100% due to overlaps in the data). When dealing with global and regional disruptions, researchers have primarily concentrated on RSS and RLND, likely due to the broader and more severe impact these disruptions can have on the supply chain. In contrast, studies addressing local disruptions have often explored RLND and RFL, given the more contained scope of these disruptions.

Supply chain networks usually encompass multiple tiers, including suppliers, manufacturers (plants), distribution centres (warehouses or depots), retailers, and customers (demand zones). To represent this interconnected system, a general graph, G = (V, A), is employed, where V denotes the set of nodes representing the different facilities and customer zones dispersed across R disjoint geographic regions. The set of arcs, denoted by A, captures the various routes that connect these nodes, symbolizing the intricate flow of goods and information within the supply chain network. Table 3 summarizes the percentage of studies that have addressed specific vulnerable areas of the supply chain concerning the type of disruption. From the table, it is evident that researchers have primarily focused on studying the vulnerabilities of suppliers, which represents approximately 55.34% of the examined articles. Following closely, distribution centres have garnered significant attention, constituting 30.1% of the studies, while general facilities have been the subject of 29.13% of the analysed research.

4.2 Mitigation strategies

In this subsection, we provide a comprehensive exploration of different aspects related to the design and evaluation of supply chain mitigation strategies. Included is a thorough review of proposed mitigation strategies in designing supply chains (Sect.  4.2.1 ), an analysis of mitigation strategy combinations (Sect.  4.2.2 ), and an assessment of the relative performances of various mitigation strategies (Sect.  4.2.3 ).

4.2.1 Review of proposed mitigation strategies in designing supply chains

RQ2 asked “focussing on vulnerable SC sections, what strategies have been introduced to improve resilience?”. We identify SCs resilience strategies used for different vulnerable sections and examine their use in the design of SCs. Chowdhury and Quaddus ( 2017 ) define three groups of capabilities that determine the resilience of a SC against disruptions: (a) proactive capabilities, (b) reactive capabilities, and (c) SC design quality capabilities. Proactive capabilities, such as SC readiness and flexibility, help systems to recognise, anticipate and defend against the risk of disruption, reducing impact before it occurs. Reactive capabilities of SCs form from SC response and recovery. SC response is the capability of the system to mitigate the disruption in the shortest possible time and with smallest impact, while recovery capability is defined as the ability to rapidly return to a normal operational state (Pettit et al., 2013 ). SC design quality capability is determined by node density, complexity and critically (Chowdhury & Quaddus, 2017 ; Craighead et al., 2007a , 2007b ). The full list of 133 mitigation strategies from literature is in Table 8 , categorising resilient strategies based on specified vulnerable section i.e. suppliers, general facilities etc., and the three SC capabilities from Chowdhury and Quaddus ( 2017 ).

Proactive strategies are mainly applied to suppliers (PrasannaVenkatesan & Goh, 2016 ; Sawik, 2020 ), DCs (Gholami-Zanjani et al., 2021a ; Hasani & Khosrojerdi, 2016 ) and plant and manufacturers (Gholami-Zanjani et al., 2021b ; Hasani & Khosrojerdi, 2016 ). SC design quality strategies are used extensively for suppliers (Nooraie & Parast, 2016 ; Sawik, 2011 ), general facilities (Snyder & Daskin, 2005 ; Saha et al., 2023), DCs (Hasani & Khosrojerdi, 2016 ) and transportation (Ghavamifar et al., 2018 , Wang and Yao 2023). Reactive strategies are commonly applied to suppliers (Cheng et al., 2018 , Ghomi-Avili et al., 2021; Fattahi et al., 2020 ), DCs (Alikhani et al., 2021 ; Zhang et al., 2024 ), demand points (Hosseini et al., 2019a , 2019b ; Alikhani et al., 2023a , 2023b ), plant and manufacturers (Feng et al., 2023 ; Sabouhi et al., 2020 ) and general facilities (Egri et al., 2023 ; Xie et al., 2019 ).

Reviewing information summarised in Table 8 reveals a set of mitigation strategies commonly used to make SCs more robust and resilient. Table 4 lists those strategies applied to at least two different vulnerable sections of SCs. We have also assigned a code referring to each mitigation strategy in column one of Table  4 . The last column reports the percentage of reference articles that apply the respective strategy in their quantitative model. Table 4 contains eight proactive mitigation strategies (labelled P1–P8). P5 (11.65%), and P7 (9.71%) utilising reserve capacity , and P1 (11.65%) from SC readiness are the most commonly studied approaches in the sample. Though commonly used, these strategies may perform differently in different SCND contexts. For example, in designing a global supply chain (GSC) for an electro-medical device manufacturer, with the objective of maximising total net present value of the GSC after-tax profit, Hasani and Khosrojerdi ( 2016 ) applied P1 to protect suppliers, manufacturers, and warehouses against disruptions. They applied P7 in warehouses to deal with the finished product shortage resulting from capacity disruption of facilities in the upper tiers. They found that P1 significantly mitigated the risk of disruptions, while the efficiency of strategy P7 was not significant. In contrast, Rezapour et al. ( 2017 ) analysed the design of a resilient automotive parts manufacturer SC under competition to maximise total expected profit. They applied P5 to enable suppliers to increase their production capacities and P7 to allow retailers to hold emergency stock as a mitigation strategy. They showed that P7 is more efficient than P5 in both reducing profit variation and improving the SC worse case profit. Recently, Alikhani et al., ( 2023a , 2023b ) applied various combinations of mitigation strategies, including P1 and P7, to design resilient retail supply chains. They demonstrated that combining P1 with SD8 (see Table 8 ) yields superior results by generating synergistic effects among resilience strategies under budget limitations for supply chain resilience.

Table 4 lists nine reactive supply chain resilience strategies (R1 to R9) commonly used to hedge vulnerable sections of SCs against disruptions. The most frequently employed reactive strategies are R1 (28.15% of 103 reference articles), R2 (13.59% of 103 reference articles) and R3 (8.74% of 103 reference articles). The RSCND literature reveals that, similar to proactive strategies, the efficiency of this group of strategies is dependent on the nature of the SC. For example, Fattahi et al. ( 2017 ) addressed the design of a glass company SC for which the objective function is the minimisation of the total cost of SC network over a planning horizon. Based on several computational experiments, they concluded that R1 the most effective strategy in designing a resilient SC. In contrast Gholami-Zanjani et al. ( 2021a ) addressed a location-inventory problem in a food supply chain where the objective function is the expected total profit minus total strategic costs, andthey found R1 to be dominated by P1 and DR8 strategies.

Table 4 also contains seven mitigation strategies from the SC design quality category (D1 to D7). The most common SC design quality strategies in the academic papers are D2 (33%), D5 (19.42%), and D3 (16.50%) all from complexity group. A less complex SC has fewer nodes and/or fewer interconnections, so increased complexity is expected to create more vulnerabilities. However, additional nodes that create a buffer in the SC reduce vulnerability (Chowdhury & Quaddus, 2017 ). Adding additional nodes, D2 strategy, is found to be effective in comparison to a single sourcing strategy (Berger & Zeng, 2006 ). The efficiency of a D2 strategy has been compared to other mitigation strategies (see Hasani & Khosrojerdi, 2016 ; Sabouhi et al., 2020 ; Aldrighetti et al., 2023 ). The details of the performance comparison of this strategy is given in the next subsection. Strategy D5 is used to increase the reliability of the system in the event of a failure at a facility, and has mainly been applied in RFL models. Each customer is assigned to r closest facilities such that if their primary facility is disrupted their order is met by the next facility and so on. We found no evidence of any comparative performance analysis of D5 against other resilience strategies in the literature. Strategy D3 has been used in the design of many different RSCs (Jabbarzadeh et al., 2018 , Wang & Yao, 2023). Literature indicates that D3’s performance depends on SC context. For example, Sabouhi et al. ( 2020 ) applied several mitigation strategies including D3 to the design of an industrial paint manufacturer SC where suppliers, factories, DCs and routes are at risk of disruption. They found D3 was the most efficient mitigation strategy to minimise total cost.

4.2.2 Mitigation strategy combinations

In the previous subsection, to answer RQ2, the proposed mitigation strategies in the reference articles were categorized into three subcategories and the most common strategies were analysed. In this subsection, building upon the analysis already conducted, our objective is to specify the strategies introduced in each article and explain how they are combined in the proposed mathematical models in reference articles.

Table 9 lists the resilience strategies used in the mathematical models proposed in each reference article in designing RSCs. Reviewing the information summarized in Table 9 reveals that resilience strategies have been used both singularly and in combination to construct the proposed mathematical models. Table 5 displays the number of reference articles that have utilized a subset of strategies in each group in designing their mathematical models. The models have been categorized into two groups: those that applied single resilience strategies and those that combined resilience strategies.

In Table  5 , the models that have employed only one strategy are categorized into three groups based on the capabilities of the supply chain. However, none of these models presented the use of purely proactive strategies. Among the models discussed, eight utilized single reactive strategies, six of which applied FR1 (reassignment of customers to surviving facilities). The remaining models in this category employed one of FR2 (customers rerouting until receiving a service), or FR5 (reassignment of demand nodes to r closer facilities (level-r)) from reactive strategies. In addition, single strategies from SC design quality were employed in 21 articles. Specifically, FD1 (assignment of demand nodes to the closest facilities) was applied in 13 articles, while SD3, DD3, FD2, and RD3, and SD6 were applied in three, two, one, one, and one time respectively.

Table 5 lists possible combinations of different sets of resilience strategies and the number of reference articles that applied such combinations. Among these articles, some only combine strategies selected from the same category, with researchers predominantly focusing on combining more reactive strategies compared to other types.

Furthermore, several researchers have attempted to apply combined strategies selected from different categories. Among these studies, a larger number of authors applied (1) a combination of strategies selected from all categories, and (2) a combination of strategies selected from both reactive and SC design quality categories, with 23 articles referencing each approach.

Strategies such as SD3 (Using dual or multiple sourcing) and SD4 (contracting with (reliable or unreliable) recovery or backup suppliers) from the SC design quality category, as well as SR4 (customers’ demand reallocation or recalculation of purchase or shipment from primary or backup suppliers), and DR6 (recalculating inventory position), DR3 (recalculating the amount of products transferred from DCs) and MR1 (recalculating the amount of lost sales or unmet demand to apply penalties) from the reactive strategies category, were frequently combined in the design of RSCNs. Additionally, strategies such as SP1 and FP1 (protection or fortification), SP10 and DP7 (pre-positioned inventory & holding safety and emergency stocks), and SP8 and PP8 (additional extra production capacity) and DP6 (Adding extra inventory capacity) were among the strategies that were combined more often than others.

Researchers have explored the potential to enhance supply chain resilience by combining strategies and applying them simultaneously. For instance, Alikhani et al., ( 2023a , 2023b ) uses a multi-method approach that integrates analytical modeling and qualitative theory development to propose a framework for selecting the optimal set of resilience strategies for SCND problems. Their approach includes a two-stage stochastic programming model to design a resilient network for a three-echelon RSC comprising multiple suppliers, DCs, and retail stores. The model aims to select the best resilience strategies to maximize their synergistic effects while minimizing the fixed and operational costs of SCND. Considering different vulnerable sections within a supply chain is another reason for employing a combination of resilience strategies in its design. For example, in their study Jabbarzadeh et al. ( 2018 ), introduce a model to design a three echolnes RSC that accounts for random disruptions at both suppliers and factories by employing resilience strategies, such as 'contracting with backup suppliers and facilities,' 'multiple sourcing,' and 'adding extra supply/production capacities'. In another study, Sabouhi et al. ( 2020 ) addressed the problem of designing a four-echelon RSC (Resilient Supply Chain) in which suppliers, factories, DCs (Distribution Centers), and transportation routes were identified as vulnerable sections of the supply chain. In this study, the authors aimed to combine different resilience strategies to hedge the supply chain against disruptions. Some of the mitigation strategies are interrelated, and implementing one strategy from a particular group may necessitate the application of another strategy from a different group. For instance, SP10 and DP7 from the proactive strategies category, along with SR3 from the reactive strategies category can be synergistically applied together. Strategies like SD3 and SD4 have been integrated with various strategies from diverse groups (see Table 9 ). Various reference articles have examined the efficiency of several resilience strategies in enhancing the resilience of a supply chain (see Sect.  4.2.3 ) without providing justification for the combination of these strategies (see for example: Fattahi et al., 2017 ; Azad & Hassini, 2019 ).

4.2.3 Mitigation strategies relative performances

One of the challenges faced in SCND is deciding on the most effective mitigation strategy. RQ3 asks “how have these strategies improved the resilience of supply chains?”, and draws on relative performance of mitigation strategies literature. In the previous section, several mitigation strategies were identified place into three categories: proactive, reactive and SC design quality. However, few studies analyse and compare mitigation strategy application. In our literature review we identify 21 strategies where comparative analysis is reported.

The results in Table  6 show: (1) The most common strategies, D2 and P1, often out-perform other strategies regardless of industrial application (Fattahi et al. ( 2017 ) provide an exception). (2) The relative performance of mitigation strategies is related to the objective function (see D3, P3 in Kamalahmadi et al. ( 2022 ), D2 and single sourcing in Sawik ( 2013b )). (3) Combined strategies often outperform single applications (see D2, D3, P5, and D5 in Jabbarzadeh et al. ( 2018 ) and SD8, P1, SR10, P7 in Alikhani et al., ( 2023a , 2023b )). (4) The most commonly employed strategies, identified in Table  4 , do not necessarily provide the best performance in a given context (see SP9, SP10, D2, P5 in Yoon et al. ( 2018 ) and D2, D3, P1, and R9 in Aldrighetti et al. ( 2023 )).

4.3 Integration of resilience strategies into mathematical models

This section aims to show how resilience strategies are integrated into mathematical models by analysing: (1) decision making environments and proposed modelling approaches; and (2) the main characteristics of the mathematical models used for common strategies.

4.3.1 Disruption related parameters

In developing mathematical models for RSCND, decision making environment play an essential role, specifying how failure probabilities, and disruption scenarios are defined. In this article, decision making environments are categorised into three groups in accordance with Rosenhead et al. (1972): certainty, risk, and uncertainty situations (see table iv in the supplementary material). Certainty situation (DET) involves models in which all parameters are deterministic and known. DET models do not include any disruption related parameters and are used to investigate the impact of disruptions events on SCs for each pre-defined disruption scenario separately (Kungwalsong et al., 2022 ). Models designed for supply chains known to be at risk of disruption (RSK) containing parameters where exact risk values aren’t known, but have known probability distributions (Snyder et al., 2006 ). In this paper, we categorise RSK models into five sub categories (the first three categories are from Snyder et al. ( 2016 )): implicit functions (IF), reliable backup (RB), scenario-based (SB), stochastic programming (SP), and reliability and risk based (R&R) models. In IF modelling methods, three different categories of failure parameters are used. Facilities are often given identical local disruption probabilities to make modelling easier (Albareda-Sambola et al., 2017 ; Alcaraz et al., 2015 ; Snyder & Daskin, 2005 ; Yun et al., 2015 ; Zhang et al., 2016 ). However, this approach is not representative of practice (Aboolian et al., 2013 ; Cui et al., 2010 ). To better simulate reality, researchers define site- or facility-dependent failure probabilities for local independent failure modes (Albareda-Sambola et al., 2015 ; Berman et al., 2007 ; Yu & Zhang, 2018 ; Yun et al., 2020 ). Another approach is to remove the facility failure independence hypothesis and define failures as correlated disruption probabilities (Li et al., 2013a , 2013b , 2013c ; Xie et al., 2019 ). In RB models, as with some IF models, facility failure probability is considered as facility-dependent (Benyoucef et al., 2013 ; Lim et al., 2010 ). In IF and RB modelling facility failure probabilities are implicitly imposed and the decision process is not divided into pre- and post-disruption phases (Lu et al., 2015 ). For this reason, IF and RB have not been applied for modelling reactive strategies, however, used to apply several proactive and SC design quality strategies (Azad et al., 2019 ; Lim et al., 2010 ). SB models presented in reference articles fall into the class of two-stage programming models. In these models, the first-stage decisions are made prior to realizing any stochastic event (e.g. facilities disruptions) while the second-stage decisions are made after the uncertainty is revealed as a set of disruption scenarios. The probability for each scenario is calculated independently, taking into account the probability of facility disruption, which may be global, regional, or local (Sawik, 2011 , 2013a , 2017 ). SB aims to optimise the first-stage objective function and the expected value of the random second-stage objective across all possible disruption scenarios. SB is one of the most widely applied modelling approaches in designing RSCs (see Table iv in supplementary materials) and have been successfully applied to model proactive, reactive, and SC design quality strategies (Alikhani, Torabi, and Altay 2021). However, one of the main limitations of SB models is that when the number of scenarios increases, the problem size increases exponentially making solving the problem difficult and in some cases impossible (Sabouhi et al., 2020 ). In SP models, some model’s parameters (such as demand and lead-time) follow specified statistical distributions (Saputro et al., 2021 ). Facility failure parameters in SP models are defined as the disruption frequency rate and disruption downtime rate (Firouz et al., 2017 ). SC design quality such as multiple sourcing and inventory control (Yoon et al., 2018 ) and proactive strategies (Saputro et al., 2021 ) are among the mitigations strategies that have been integrated into SP models. R&R models are used to either minimise risk in the entire SC, or maximise reliability. In Ravindran et al. ( 2010 ), each facility is associated with two risk types; value-at-risk (VaR) and miss-the-target (MtT). The risk of selecting a supplier or opening a facility is defined as a value between 0 and 1 (Kaur and Prakash Singh 2021; Yoon et al., 2018 ). Some researchers (Yildiz et al., 2016 ) aim to maximise network reliability by assigning each node and arc a given reliability index. The SCND objective function is first to minimise the total cost and second to maximise total reliability.

In models defined under uncertainty situations (UCT), parameters are uncertain or vague and no information about the probabilities is known. In this paper, we categorise UCT models into two subcategories: robust (RO) and Fuzzy (FUZZ) models. In RO models, parameters are uncertain and no information about probabilities are known. Similar to SB methods, RO models have been successfully applied to model proactive, reactive, and SC design quality strategies (An et al., 2014 ; Cheng et al., 2021 ; Hernandez et al., 2014 ; Lu et al., 2015 ). The main advantage of RO models is that they do not rely on probability distributions or the generation of scenarios (Cheng et al., 2021 ). A solution to an RO model is defined either as solution robust or model robust. A solution robust remains ‘close’ to optimal for all scenarios of the input data, and a model robust solution remains ‘almost’ feasible for all data scenarios (Jabbarzadeh et al., 2014). The RO model aims to measure trade-offs between solution and model robustness (Lu & Cheng, 2021 ). FUZ models are used when some critical parameters (such as demand and capacity levels) are imprecise in nature due to incompleteness and/or unavailability of data (Torabi & Hassani, 2008). Torabi et al. ( 2015 ) proposed a fuzzy enhanced possibilistic programming approach to deal with epistemic uncertainty in input data such as costs, demands, and number of returned products. The scenario-based method including scenario dependent failure probabilities is applied to define the possible disruption of facilities. They integrated proactive, reactive and SC design quality strategies in their model.

4.3.2 Integrating resilience strategies into the mathematical models

In this subsection, we show how mitigation strategies have been integrated into the mathematical models by analysing the characteristics of the mathematical models employing most efficient and frequently applied strategies in the models in the references articles; these include P1 from proactive resilience strategies, R1 from reactive strategies and D2 and D5 from SC design complexity strategies. Tables 7 summarize the information related to proactive, reactive and SC design strategies, respectively. A review of the characteristic of the models listed in Table  7 shows that RB (Jabbarzadeh et al., 2016 ; Li et al., 2013a , 2013b , 2013c ), SB (Aldrighetti et al., 2023 ; Alikhani et al., 2021 ; Gholami-Zanjani, et al., 2021a ; Sawik, 2013a ; Torabi et al., 2015 ; Zhang et al., 2024 ) and RO (Aksen & Aras, 2012 ; Hasani & Khosrojerdi, 2016 ) models have been applied to model P1 strategy. For example, Aldrighetti et al. ( 2023 ) propose that facilities can be reinforced through investments in protection systems. This resilience investment is quantified as a percentage of the standard facility establishment costs and is categorized into various protection levels. Each level corresponds to a reduction in disruption magnitude. In these models, non-scenario dependent binary variables are used as the dominant variables in modelling. As an exception, Gholami-Zanjani et al. ( 2021a ) employ the fortification of facilities as a continuous function based on investment costs, which can be adjusted at any time period under each disruption scenario. The facilities which are protected in case of disruption either do not fail (Aksen & Aras, 2012 ; Li et al., 2013a , 2013b , 2013c ; Sawik, 2013a ), or lose capacity according to their fortification level or the amount of investment (Gholami-Zanjani, et al., 2021a ). In the implementation of this strategy, the protection cost is minimized as the objective function and the amount of investment may be limited to available budget (Hasani & Khosrojerdi, 2016 ; Jabbarzadeh et al., 2016 ; Zhang et al., 2024 ).

Table 7 also presents the main characteristics of the mathematical models that applied R1 strategy as a post disruption scenario. As reported in Table  7 , SB (e.g. Hosseini et al., 2019a , 2019b ; Fahimnia & Jabbarzadeh, 2016; Ghanei et al., 2023 ), RO (e.g. Alikhani et al., 2023a , 2023b ; Hasani & Khosrojerdi, 2016 ), DET (Maliki et al., 2022 ), and FUZ (Namdar et al., 2021 ) models have been applied to model R1. A review of the decision variables used in modelling R1 shows that they are defined as a scenario dependent integer or continuous variables that determine the number of products sent to customers or other facilities in any disruption scenario. Transportation costs, selling price, unit purchasing cost of materials, distance between facilities and customers, and expected defect rate of products supplied by each supplier are related parameters that makes it possible to optimise the integration of this strategy by taking into account the objective function (column 4, Table  7 ). Capacity at each facility is the most commonly applied constraint in models and scenario-based modelling is the dominant method in this strategy.

SC design quality strategies are used before disruptions, increasing resilience and robustness. To explore how such strategies are integrated into mathematical models focus was placed on the two strategies identified as most efficient in research articles, D2 and D5 (see Sect.  4.2 ). Table 7 shows the characteristics of the mathematical models applying these strategies. IF (Snyder & Daskin, 2005 ; Chen et al., 2011; PrasannaVenkatesan & Goh, 2016 , Enayati et al., 2024 ) and SB (Dupont et al., 2018 ; Feng et al., 2023 ; Sawik, 2020 ) are among the modelling approaches being applied to model D2, and D5. The goal of strategy D2 is to reduce the potential effects of disruptions on the SC by selecting the best combination of suppliers to allocated customer demand. To include this strategy in mathematical models, similar to proactive strategies, non-scenario dependent binary variables are used for supplier selection (column 2 of Table  7 ). Continuous variables, such as ‘Fraction of total demand assigned to each supplier’ determine demand attributed to suppliers (PrasannaVenkatesan & Goh, 2016 ; Sawik, 2014 , 2020 ). Supplier capacity and demand satisfaction constraints are key limitations frequently used to regulate this strategy. IF is the only modeling approach used for D5, defined by binary variables such as 'assigning customers to a facility at different levels,' or continuous variables like 'the probability that a facility is assigned a customer at different levels' (see column two of Table  7 for the full list of variables). The objective function defined for modelling this strategy mainly includes the minimisation of the expected transportation cost. In some of the presented models, assignment of customers to the facilities is limited by their capacity. The mathematical formulation for this strategy must include constraints such as 'each customer can only be assigned to one facility at each assignment level' and 'customers must be assigned to facilities that have been opened.' IF models are not applicable in modelling reactive strategies since they do not explicitly define failure scenarios. However, unlike SB models that can exponentially increase numbers of variables and constraints, IF models are more compact, polynomial in size, so produce solutions more quickly (Cui et al., 2010 ).

5 Future research directions

5.1 disruption types.

The Covid-19 pandemic demonstrated how global disruption can cause all sections of a SC to fail simultaneously. These types of disruptions in supply chain networks can be studied either separately or in an integrated manner. Scenario-based (SB) and robust optimization (RO) approaches have the potential to model these disruptions on a semi-global or global scale. However, only a few studies have investigated these scenarios, whether separately or in an integrated manner. Integrated global or semi-global disruption types, alongside regional ones, are often addressed in RSS problems; however, designing RLND networks demands even greater attention. Furthermore, studies focusing on RFL and IRFL problems that integrate such disruption events are also limited (Table  3 ) meaning further research in this area is required in future studies. In a multi-period stochastic setting, the accommodation of multiple disruptions occurring in succession during the recovery process in all decision-making problems addressed by SCND has not been studied. By incorporating this capability into the expanded framework, a deeper analysis of the sequential disruptions and their cumulative effects on the supply chain can be conducted (Azad & Hassini, 2019 ; Sawik, 2021 ). It is essential to recognize that different types of disruptions can have varying impacts on different regions. The effects of disruptions can be heterogeneous, with some regions experiencing more severe consequences than others, so insights into the relationship between supply chain resilience and robustness require exploration of such situations (Fahimnia et al., 2018 ).

5.2 Vulnerable sections

Our analysis revealed researchers focus on suppliers and plants as vulnerable sections of SCs. In retail SCs distributors and retailers are at risk of disruption, and this area warrants further attention. Moreover, in much of the analyzed research, it is assumed that customer demand remains independent of supply chain disruptions. However, during regional or global disruptions, simultaneous changes in customer demand are likely to occur, as evidenced by the increased demand for essentials like pasta and rice during the Covid-19 pandemic. This issue deserves particular attention in the context of RSS, IRFL, and RFL problems.

The possibility of local, regional or global disruptions occurring in the transportation routes or modes in RFL and RSS problems has not been considered until now and should be addressed in future research. Disruption in SC transportation sectors significantly impact on performance since meeting customer demand for physical products is only possible when this sector is operative. Future research should address disruption at transportation nodes and the implications of port congestion as a significant source of delays on supply chain performance (Namdar et al., 2021 ). This entails exploring mitigation strategies, operational adjustments, and decision-making frameworks to enhance resilience in the face of such disruptions. For instance, studying the coordination and synchronization of port operations, or optimizing resource allocation can help alleviate the negative impact of port congestion on supply chains.

Finally, the impact of facility disruptions on reachability and access distances presents an intriguing avenue for future research (Yan & Ji, 2020). Disruption, reachability and access distances opens opportunities to explore integrated RSCND problems, along with other optimization problems such as routing optimization under disruption scenarios. A comprehensive understanding of the performance of supply chain networks, requires consideration of the wider effects of disruptions, including the impact of disruptions on critical factors such as lead time or capacity of different sections of SCs (Hasani & Khosrojerdi, 2016 ).

5.3 Mitigation strategies

Suggestions for future research in this section are made by comparing the results obtained in this research and the aspects of the triple capabilities presented in Chowdhury and Quaddus (2017).

5.3.1 Proactive strategies

Proactive strategies related to disaster readiness capabilities of SCs including readiness resource, disruption detection, and security, is under researched. Specifically, when considering digital technologies now central to all supply chains in practice, greater focus needs to be placed upon cyber attacks and proactive cybersecurity strategies within the models. Our analysis in Table 8 reveals that only one study has proposed a cybersecurity strategy in modelling RLND problems. This strategy deserves greater attention, and incorporating this into future models across all types of resilient supply chain network design problems will advance understanding.

Few studies consider product substitution in RFL and assign flexibility indices to facilities in RLND problems. Exploring other types of flexibility strategies, such as time flexibility (the ability to adjust production lead times) and production volume flexibility, could open new avenues for future research. Flexibility in the workforce, products and production has not been considered too.

Efficiency gains from increased productivity and hardworking employees, and quality control are among the SC proactive capabilities that can be used as the basis of improving the resiliency of SCs by introducing suitable mitigation strategies. Another proactive strategy that requires more attention is the application of insurance as a mitigation strategy. Investigating the impact of insurance on supply chain resilience and developing insurance strategies could yield valuable insights.

A review of the mitigation strategies listed in the Table 8 shows that the application of proactive strategies for different vulnerable sections of SCs have not been equal. For suppliers, plants and manufacturers, and DCs, more than 10% of the reference articles applied proactive strategies, while for general facilities, retailers, and the transportation section, this number is reduced to below 5%. Proactive strategies have not been employed for geographically defined areas of customer demand. Future studies should investigate the effectiveness of proactive strategies for vulnerable SC sectors that have received little attention. In particular, future studies should explore approaches to enhance the robustness and resilience of arcs and transportation routes (Meng et al., 2021 ). This may involve evaluating alternative routes, and optimizing resource allocation for route protection, or implementing real-time monitoring systems to detect and respond to disruptions promptly. In addition, collaboration has been limited to suppliers, facilities, and DCs but it is increasingly recognized that the involvement and support of all supply chain partners are critical to the success of the proposed strategy. To address capability maintenance and control challenges, it is advisable to focus future efforts on the development of a comprehensive monitoring framework. This framework can leverage potential solutions from recent advancements in Internet-based technologies, including the Internet of Things (IoT), blockchain technology, artificial intelligence, and other related fields (Vishnu et al., 2021).

5.3.2 Reactive strategies

A number of reactive strategies have been proposed to increase the response capability of SCs (e.g., Alikhani et al., 2021 ; Sawik, 2013a , 2019 , 2021 ; Tucker et al., 2020 ). However, several research avenues remain in this area. First, by replenishing capacity through non-disrupted facilities and maintaining customer allocations, companies can effectively navigate challenges and maintain operational capabilities (Lu & Cheng, 2021 ). Secondly, in the event of disruptions, the availability of parts in the inventory for transhipment can be compromised (Sawik, 2019 ). To address these issues, analysis is required of contingency plans that can effectively deal with part non-availability for transhipment and constraints on the transhipment process. The analysis provided in Table 8 indicates that limited research has been conducted on applying reactive strategies to increase resilience in general facilities, retailers, transportation modes, routes, and customer zones within supply chains. More exploration is needed to understand how reactive strategies can be tailored and implemented at the facility level, within retail operations, for transportation modes and routes, and in customer zones. The concept of relocating DCs has recently been examined by Maliki et al. ( 2022 ) within the scope of dynamic RFL problems. Their sensitivity analysis revealed that utilizing mobile facilities can result in cost savings by eliminating the extra expenses of opening and closing facilities associated with dynamic relocations during each period of a finite planning horizon. Further exploration is necessary to determine if similar cost savings and operational efficiencies can be achieved within the context of other types of reverse supply chain network design (RSCND) problems, such as reverse logistics network design (RLND) and integrated reverse flow logistics (IRFL) problems.

Limited research has been done in the field of recovery related strategies. This group of strategies has only been applied where suppliers, manufacturers, DCs are the vulnerable sections of SC. Recovery strategies have not been examined in other sections defined as vulnerable and could be examined in future research.

5.3.3 SC design quality:

SC design quality related strategies are most often employed to improve the complexity related capabilities of SCs when suppliers, general facilities, plants, DCs and retailers are vulnerable to disruption. The greatest attention is given to strategies at transportation modes and routes, and customer demand disruptions. There is a knowledge gap related to capabilities that further improve resilience, such as SC node density, critically for suppliers, general facilities, plants, DCs and retailers, customer demand, and complexity for transportation modes and routes. Strategies can then be devised to enhance the robustness and redundancy of these critical nodes, ensuring uninterrupted flow of materials and minimizing disruptions. There is a notable lack of studies focusing on modeling facility segregation and dispersion strategies, despite their critical importance, particularly in addressing vulnerabilities among manufacturers, DCs, and retailers within supply chains (see Table 8 ). Currently, there is a lack of studies addressing mitigation strategies that prioritize the resilience of demand nodes. Future research could explore the advantages of having multiple buyers instead of relying heavily on a few large buyers. Another compelling area for further investigation is comparing strategies in concentrated markets versus diversified markets within different node density groups.

5.3.4 Mitigation strategy combinations

Several authors have attempted to integrate diverse mitigation strategies from various categories. However, it is evident that only one paper (Alikhani et al., 2023a , 2023b ) provides justifications for these integrations, specifically studying the synergistic effects of combining resilience strategies. A promising direction for future research entails conducting a qualitative study to delve into the underlying reasons behind these combinations, complemented by a quantitative analysis of their overall performance.

When combining resilience strategies, only a limited number of studies have explored the integration of supply chain design quality resilience strategies. Moreover, there is a scarcity of studies that combine proactive and reactive strategies. Therefore, in the future, authors can focus their efforts on proposing models that leverage the advantages of combining such strategies and investigate both their potential benefits and drawbacks. For example, among these strategies listed in Table 8 , facility collaboration (SP11, PP10, and DP9), cybersecurity (SP4, and DP3)—proactive approaches—and facility dispersion (SD2, PD1, and DD1)—a SC design quality approach—have shown promising results when integrated with other proactive or reactive strategies. Their integration can also be studied alongside approaches from supply chain design quality and reactive strategies to explore their effectiveness in enhancing supply chain resilience.

5.4 Mitigation strategies relative performance

The results of the analysis presented (Sect.  4.2 ) shows that in most research the effectiveness of strategies and their relative performance has not been investigated, or is only compared against a SC model not employing resilience strategies. Future research should focus on the relative effectiveness of different strategic options. The findings in Sect.  4.2 show that the performance of resilience strategies can depend on objective functions. The efficiency of strategies with both monetary and non-monetary objective functions such as visibility, responsiveness, social and environmental performance measures should be considered. Very little research exists where models are defined as multi-objective.

Exploration of the relative performance of mitigation strategies in different contexts, taking into account various objective functions, is required to develop knowledge in this area. Such studies will contribute to developing standardized approaches for selecting mitigation strategies tailored to specific types of supply chains.

5.5 Modelling

First, in multi-objective models presented using IF, RB, SSO, RO and SP, the objective functions are defined to minimise SC disruption costs, where usually the disruption cost is defined as the expected cost of transportation. Going forward researchers should consider non-monetary objective functions such as environmental related criteria and green transportation (Erdoĝan & Miller-Hooks, 2012 ) as well as social criteria such as fairness (Jiang & Zografos, 2021 ). Taking into account a longer time horizon, it is valuable to explore the enhancement of visibility, agility, external flexibility, and integral integration through the utilization of objective functions, such as maximizing visibility and internal integration (Nooraie et al., 2020). Exploring the trade-offs between sustainability and resilience can provide valuable insights for businesses in making tactical and operational decisions, such as determining sales prices, discounts, and customer service levels (Jabbarzadeh et al., 2018 ).

Secondly, the majority of models focus on designing resilient supply chains (RSCs) for a single product and within a single time period. However, there is a need for the development of resilience strategies and quantitative models that address multi-period and multi-product problems. Multi-period models serve as a basis for studying the ripple effects (Dolgui et al., 2018 ; Gholami-Zanjani, et al., 2021a ) and recovery options in supply chain design. Additionally, these models provide a foundation for analysing lead-time constraints, delays, and late orders in supply chain analysis (Kaur & Prakash Singh, 2021). To increase the realism and applicability of multi-period models across diverse industries, it is essential to incorporate seasonal products and consider factors such as inflation and the time value of money (Saha et al., 2020).

Third, few integrative models exist, and research could consider combining location problems with transportation planning, inventory management, and production scheduling. Integrating optimization problems across different planning horizons may prove an effective approach to system design.

Finally, the application of the developed model to real-life case studies within actual supply chains is crucial for advancing knowledge in the field. By conducting empirical studies in real-world contexts, researchers can refine the model, address practical considerations, and provide valuable guidance for industry practitioners seeking to apply the resilience strategies in their RSCND processes.

6 Conclusions, and managerial implications

6.1 summary and conclusions.

Events such as the Covid-19 pandemic highlighted the importance of resilience in SC design. Resilience strategies are key to protecting SC’s through planning for pre- or post-disruption activities. This novel investigation used a systematic literature review method to investigate the mitigation strategies used in mathematical models of RSCND problems and the methods of integrating them in the proposed models to address several challenges in developing quantitative models for designing RSCs.

To address RQ1, ‘What is the classification of disruptions according to the extent of their impact on vulnerable parts of SCs?’ we classified disruptions events based on their geographic scope and the part of SCs they affect, and show that in most articles local disruptions are introduced as the main cause of facility failures, with fewer articles considering regional and global disruptions respectively. When addressing local disruptions, researchers more often considered RLND and RFL problems than RSS and RFL problems. Analysis shows that in the literature, little attention has been paid to the modelling of RSCND problems in the case of national and regional disruption events.

RQ2 asked “focussing on vulnerable SC sections, what strategies have been introduced to improve resilience?” This analysis found that SC design complexity related strategies are most commonly used to address vulnerabilities at suppliers, with general facilities and transportation also often used respectively. Reactive strategies are dominant in the other SC sections, except for retailers where proactive strategies are prevalent. This analysis also examines the performance of mitigation strategies in different SCND contexts by reviewing the efficiency of the most commonly employed strategies selected from proactive, reactive and SC chain quality categories. The results of this analysis show that the effectiveness of mitigation strategies in reducing the effects of disruption depends on the context of SCs.

RQ3 ‘Drawing on performance criteria from literature, how have these strategies improved the resilience of supply chains?’, required analyses of the performance of applied mitigation strategies in improving the resilience of SCs. Strategies D2 and P1 performed well in comparison to other strategies, regardless of context of industrial application, though there were exceptions (see for example (Fattahi et al., 2017 ). We found the relative performance of mitigation strategies related to the objective function, and that combined strategies often outperform discrete applications.

Finally, RQ4 asked ‘How are resilience strategies integrated into mathematical models?’. To address RO4, the proposed mathematical models that addressed RSCND were classified based on their modelling approaches. Our findings indicated that SB and RO modelling approaches from the STH category were the only methods used to model a wide range of disruptive events and resilience strategies. Reactive strategies can only be integrated into mathematical models such as SB and RO, which divide the problem solving process into two stages, pre- and post-disruption. IF and RB modelling approaches were mainly used for proactive and SC design quality strategies. SP and FUZ models were used in modelling RSCND with parameters following specified statistical distributions and fuzzy numbers respectively, while R&R models were applied to risk minimisation and reliability maximization strategies.

The findings of this review provide a basis for both academics and practitioners to utilise and undertake further research into the methods of integration of resilience strategies into mathematical models proposed for different version of RSCND problems to make further effective contributions to the field.

6.2 Managerial implications

This review paper provides several implications for managers, particularly in the design of RSCs. The review guides managers in the design of mathematical models, and in choosing among mitigation strategies for SCs. For example, in a scenario a manager intends to invest in a food SC in Cornwall, a coastal areas in the UK that is exposed to natural disasters such as floods and storms. The manager's goal is to design a SC that includes suppliers, manufacturers, and distribution centres, with suppliers and manufacturers located in the Cornwall region and therefore vulnerable to disruption events. The analysis performed in Sect.  3 as a first step will assist the manager to address the appropriate optimization problem considering the identified vulnerable sectors of the SC. In addition, the analysis presented will help them to understand how to model the disruptions in terms of geographic scope. In this case, a RLND problem may be defined considering the possibilities of regional and local disruption affecting both suppliers and manufacturers. The second implication is that managers can identify resilient strategies to hedge SC’s against the possible disruptions. The analysis in Sect.  4.1 aids managers evaluation of resilience strategies proposed for given conditions they face. Further the analyses in both Sects.  4.1 and 4.2 can be used to compare the performance of mitigation strategies in a given context, supporting the choice of the most efficient strategy. Suppose P1 strategy is selected from the proactive category, which according to the analysis of Sect.  4.2 provides reasonable relative performance. The final implication is related to the design of a suitable mathematical model to solve this problem. The results of the investigations carried out in Sect.  5.1 then aid managers choice of modelling approach. Supplementing the choice of model, the main characterises of the model can be determined by referring to the analyses in Sect.  5.2 .

Data availability

Data supporting the findings of this study are available on a reasonable request from the authors.

Abbasian, M., Sazvar, Z., & Mohammadisiahroudi, M. (2023). A hybrid optimization method to design a sustainable resilient supply chain in a perishable food industry. Environmental Science and Pollution Research, 30 (3), 6080–6103. https://doi.org/10.1007/s11356-022-22115-8

Article   Google Scholar  

Aboolian, R., Cui, T., & Shen, Z. J. M. (2013). An efficient approach for solving reliable facility location models. INFORMS Journal on Computing, 25 (4), 720–729. https://doi.org/10.1287/ijoc.1120.0534

Aksen, D., & Aras, N. (2012). A bilevel fixed charge location model for facilities under imminent attack. Computers and Operations Research, 39 (7), 1364–1381. https://doi.org/10.1016/j.cor.2011.08.006

Albareda-Sambola, M., Hinojosa, Y., & Puerto, J. (2015). The reliable P-median problem with at-facility service. European Journal of Operational Research, 245 (3), 656–666. https://doi.org/10.1016/j.ejor.2015.03.049

Albareda-Sambola, M., Landete, M., Monge, J. F., & Sainz-Pardo, J. L. (2017). Introducing capacities in the location of unreliable facilities. European Journal of Operational Research, 259 (1), 175–188. https://doi.org/10.1016/j.ejor.2016.10.013

Alcaraz, J., Landete, M., & Monge, J. F. (2012). Design and analysis of hybrid metaheuristics for the reliability p-median problem. European Journal of Operational Research, 222 (1), 54–64. https://doi.org/10.1016/j.ejor.2012.04.016

Alcaraz, J., Landete, M., Monge, J. F., & Sainz-Pardo, J. L. (2015). Strengthening the reliability fixed-charge location model using clique constraints. Computers and Operations Research, 60 , 14–26. https://doi.org/10.1016/j.cor.2015.02.003

Aldrighetti, R., Battini, D., & Ivanov, D. (2023). Efficient resilience portfolio design in the supply chain with consideration of preparedness and recovery investments. Omega, 117 , 102841.

Aldrighetti, R., Battini, D., Ivanov, D., & Zennaro, I. (2021). Costs of resilience and disruptions in supply chain network design models: A review and future research directions. International Journal of Production Economics, 235 (5), 25. https://doi.org/10.1016/j.ijpe.2021.108103

Alikhani, R., Ali Torabi, S., & Altay, N. (2021). Retail supply chain network design with concurrent resilience capabilities. International Journal of Production Economics . https://doi.org/10.1016/j.ijpe.2021.108042

Alikhani, R., Eskandarpour, M., & Jahani, H. (2023a). Collaborative distribution network design with surging demand and facility disruptions. International Journal of Production Economics, 262 , 108912.

Alikhani, R., Ranjbar, A., Jamali, A., Torabi, S. A., & Zobel, C. W. (2023b). Towards increasing synergistic effects of resilience strategies in supply chain network design. Omega, 116 , 102819.

An, Y., Zeng, B., Zhang, Y., & Zhao, L. (2014). Reliable P-median facility location problem: Two-stage robust models and algorithms. Transportation Research Part b: Methodological, 64 , 54–72. https://doi.org/10.1016/j.trb.2014.02.005

Aydin, N., & Murat, A. (2013). A swarm intelligence based sample average approximation algorithm for the capacitated reliable facility location problem. In International Journal of Production Economics, 145 , 173–183. https://doi.org/10.1016/j.ijpe.2012.10.019

Azad, N., & Hassini, E. (2019). A benders decomposition method for designing reliable supply chain networks accounting for multimitigation strategies and demand losses. Transportation Science, 53 (5), 1287–1312. https://doi.org/10.1287/trsc.2018.0875

Benyoucef, L., Xie, X., & Tanonkou, G. A. (2013). Supply chain network design with unreliable suppliers: a lagrangian relaxation-based approach. International Journal of Production Research, 51 (21), 6435–6454. https://doi.org/10.1080/00207543.2013.824129

Berger, P. D., & Zeng, A. Z. (2006). Single versus multiple sourcing in the presence of risks. Journal of the Operational Research Society, 57 (3), 250–261. https://doi.org/10.1057/palgrave.jors.2601982

Berman, O., Krass, D., & Menezes, M. B. C. (2007). Facility reliability issues in network p-median problems: strategic centralization and co-location effects. Operations Research, 55 (2), 332–350. https://doi.org/10.1287/opre.1060.0348

Chapman, P., Christopher, M., Jüttner, U., Peck, H., & Wilding, R. (2002). Identifying and managing supply chain vulnerability. Logistics and Transport Focus, 4 (4), 256.

Google Scholar  

Cheng, C., Adulyasak, Y., & Rousseau, L. M. (2021). Robust facility location under demand uncertainty and facility disruptions. Omega (united Kingdom) . https://doi.org/10.1016/j.omega.2021.102429

Cheng, C., Qi, M., Zhang, Y., & Rousseau, L. M. (2018). A two-stage robust approach for the reliable logistics network design problem. Transportation Research Part b: Methodological, 111 (May), 185–202. https://doi.org/10.1016/j.trb.2018.03.015

Chopra, S. & Sodhi, M. S. (2004). Managing risk to avoid supply-chain breakdown. MIT Sloan Management Review .

Chowdhury, M. M. H., & Quaddus, M. (2017). Supply chain resilience: Conceptualization and scale development using dynamic capability theory. International Journal of Production Economics, 188 (June), 185–204. https://doi.org/10.1016/j.ijpe.2017.03.020

Christopher, M., & Peck, H. (2004). Building the resilient supply chain. The International Journal of Logistics Management, 15 (2), 1–14.

Craighead, C. W., Jennifer Blackhurst, M., Rungtusanatham, J., & Handfield, R. B. (2007a). The severity of supply chain disruptions: Design characteristics and mitigation capabilities. The Author Journal Compilation C, 38 , 25–28.

Craighead, C. W., Jennifer Blackhurst, M., Rungtusanatham, J., & Handfield, R. B. (2007b). The severity of supply chain disruptions: design characteristics and mitigation capabilities. Decision Sciences, 38 (1), 131–156. https://doi.org/10.1111/j.1540-5915.2007.00151.x

Cui, T., Ouyang, Y., & Shen, Z. J. M. (2010). Reliable facility location design under the risk of disruptions. Operations Research, 58 (4 PART 1), 998–1011. https://doi.org/10.1287/opre.1090.0801

Dolgui, A., Ivanov, D., & Sokolov, B. (2018). Ripple effect in the supply chain: An analysis and recent literature. International Journal of Production Research, 56 (1–2), 414–430. https://doi.org/10.1080/00207543.2017.1387680

Dupont, L., Bernard, C., Hamdi, F., & Masmoudi, F. (2018). Supplier selection under risk of delivery failure: A decision-support model considering managers’ risk sensitivity. International Journal of Production Research, 56 (3), 1054–1069. https://doi.org/10.1080/00207543.2017.1364442

Egri, P., Dávid, B., Kis, T., & Krész, M. (2023). Robust facility location in reverse logistics. Annals of Operations Research, 324 (1), 163–188.

Elluru, S., Gupta, H., Kaur, H., & Singh, S. P. (2019). Proactive and reactive models for disaster resilient supply chain. Annals of Operations Research, 283 (1–2), 199–224. https://doi.org/10.1007/s10479-017-2681-2

Enayati, S., & Özaltın, O. Y. (2024). Supplier selection under disruption risk with hybrid procurement. Computers and Operations Research, 45 , 106593.

Erdoĝan, S., & Miller-Hooks, E. (2012). A green vehicle routing problem. Transportation Research Part e: Logistics and Transportation Review, 48 (1), 100–114. https://doi.org/10.1016/j.tre.2011.08.001

Fahimnia, B., Jabbarzadeh, A., & Sarkis, J. (2018). Greening versus resilience: A supply chain design perspective. Transportation Research Part e: Logistics and Transportation Review, 119 (November), 129–148. https://doi.org/10.1016/j.tre.2018.09.005

Fattahi, M., Govindan, K., & Keyvanshokooh, E. (2017). Responsive and resilient supply chain network design under operational and disruption risks with delivery lead-time sensitive customers. Transportation Research Part e: Logistics and Transportation Review, 101 (May), 176–200. https://doi.org/10.1016/j.tre.2017.02.004

Fattahi, M., Govindan, K., & Maihami, R. (2020). Stochastic optimization of disruption-driven supply chain network design with a new resilience metric. International Journal of Production Economics . https://doi.org/10.1016/j.ijpe.2020.107755

Feng, Y., Chen, Y., & Liu, Y. (2023). Optimising two-stage robust supplier selection and order allocation problem under risk-averse criterion. International Journal of Production Research, 61 (19), 6356–6380.

Firouz, M., Keskin, B. B., & Melouk, S. H. (2017). An integrated supplier selection and inventory problem with multi-sourcing and lateral transshipments. Omega (united Kingdom), 70 (July), 77–93. https://doi.org/10.1016/j.omega.2016.09.003

Garvey, M. D., Carnovale, S., & Yeniyurt, S. (2015). An analytical framework for supply network risk propagation: A Bayesian network approach. European Journal of Operational Research, 243 (2), 618–627. https://doi.org/10.1016/j.ejor.2014.10.034

Ghanei, S., Contreras, I., & Cordeau, J. F. (2023). A two-stage stochastic collaborative intertwined supply network design problem under multiple disruptions. Transportation Research Part e: Logistics and Transportation Review, 170 , 102944.

Ghavamifar, A., Makui, A., & Taleizadeh, A. A. (2018). Designing a resilient competitive supply chain network under disruption risks: A real-world application. Transportation Research Part e: Logistics and Transportation Review, 115 (July), 87–109. https://doi.org/10.1016/j.tre.2018.04.014

Gholami-Zanjani, S. M., Jabalameli, M. S., Klibi, W., & Pishvaee, M. S. (2021a). A robust location-inventory model for food supply chains operating under disruptions with ripple effects. International Journal of Production Research, 59 (1), 301–324. https://doi.org/10.1080/00207543.2020.1834159

Gholami-Zanjani, S. M., Klibi, W., Jabalameli, M. S., & Pishvaee, M. S. (2021b). The design of resilient food supply chain networks prone to epidemic disruptions. International Journal of Production Economics . https://doi.org/10.1016/j.ijpe.2020.108001

Hasani, A., & Khosrojerdi, A. (2016). Robust global supply chain network design under disruption and uncertainty considering resilience strategies: A parallel memetic algorithm for a real-life case study. Transportation Research Part e: Logistics and Transportation Review, 87 (March), 20–52. https://doi.org/10.1016/j.tre.2015.12.009

Hernandez, I., Ramirez-Marquez, J. E., Rainwater, C., Pohl, E., & Medal, H. (2014). Robust facility location: Hedging against failures. Reliability Engineering and System Safety, 123 , 73–80. https://doi.org/10.1016/j.ress.2013.10.006

Hervani, A. A., Nandi, S., Helms, M. M., & Sarkis, J. (2022). A performance measurement framework for socially sustainable and resilient supply chains using environmental goods valuation methods. Sustainable Production and Consumption, 30 (March), 31–52. https://doi.org/10.1016/j.spc.2021.11.026

Hosseini, S., Ivanov, D., & Dolgui, A. (2019a). Review of quantitative methods for supply chain resilience analysis. Transportation Research Part e: Logistics and Transportation Review, 125 (May), 285–307. https://doi.org/10.1016/j.tre.2019.03.001

Hosseini, S., Morshedlou, N., Dmitry Ivanov, M. D., Sarder, K. B., & Khaled, A. A. (2019b). Resilient supplier selection and optimal order allocation under disruption risks. International Journal of Production Economics, 213 (July), 124–137. https://doi.org/10.1016/j.ijpe.2019.03.018

Ivanov, D., Dolgui, A., Sokolov, B., & Ivanova, M. (2017). Literature review on disruption recovery in the supply chain. International Journal of Production Research, 55 (20), 6158–6174. https://doi.org/10.1080/00207543.2017.1330572

Jabbarzadeh, A., Fahimnia, B., & Sabouhi, F. (2018). Resilient and sustainable supply chain design: sustainability analysis under disruption risks. International Journal of Production Research, 56 (17), 5945–5968. https://doi.org/10.1080/00207543.2018.1461950

Jabbarzadeh, A., Fahimnia, B., Sheu, J. B., & Moghadam, H. S. (2016). Designing a supply chain resilient to major disruptions and supply/demand interruptions. Transportation Research Part b: Methodological, 94 (December), 121–149. https://doi.org/10.1016/j.trb.2016.09.004

Jiang, Y., & Zografos, K. G. (2021). A decision making framework for incorporating fairness in allocating slots at capacity-constrained airports. Transportation Research Part c: Emerging Technologies . https://doi.org/10.1016/j.trc.2021.103039

Kabadurmus, O., & Erdogan, M. S. (2020). Sustainable, multimodal and reliable supply chain design. Annals of Operations Research, 292 (1), 47–70. https://doi.org/10.1007/s10479-020-03654-0

Kamal, M. M., & Irani, Z. (2014). Analysing supply chain integration through a systematic literature review: A normative perspective. Supply Chain Management, 19 (September), 523–557. https://doi.org/10.1108/SCM-12-2013-0491

Kamalahmadi, M., Shekarian, M., & Parast, M. M. (2022). The impact of flexibility and redundancy on improving supply chain resilience to disruptions. International Journal of Production Research, 60 (6), 1992–2020. https://doi.org/10.1080/00207543.2021.1883759

Katsaliaki, K., Galetsi, P., & Kumar, S. (2021). Supply chain disruptions and resilience: A major review and future research agenda. Annals of Operations Research . https://doi.org/10.1007/s10479-020-03912-1

Kaur, H., & Singh, S. P. (2021). Multi-stage hybrid model for supplier selection and order allocation considering disruption risks and disruptive technologies. International Journal of Production Economics . https://doi.org/10.1016/j.ijpe.2020.107830

Kinra, A., Ivanov, D., Das, A., & Dolgui, A. (2020). Ripple effect quantification by supplier risk exposure assessment. International Journal of Production Research, 58 (18), 5559–5578. https://doi.org/10.1080/00207543.2019.1675919

Kungwalsong, K., Mendoza, A., Kamath, V., Pazhani, S., & Marmolejo-Saucedo, J. A. (2022). An application of interactive fuzzy optimization model for redesigning supply chain for resilience. Annals of Operations Research . https://doi.org/10.1007/s10479-022-04542-5

Li, Q., Zeng, Bo., & Savachkin, A. (2013b). Reliable facility location design under disruptions. Computers and Operations Research, 40 (4), 901–909. https://doi.org/10.1016/j.cor.2012.11.012

Li, X., Ouyang, Y., & Peng, F. (2013a). A supporting station model for reliable infrastructure location design under interdependent disruptions. Transportation Research Part e: Logistics and Transportation Review, 60 , 80–93.

Li, X., Ouyang, Y., & Peng, F. (2013c). A supporting station model for reliable infrastructure location design under interdependent disruptions. Transportation Research Part e: Logistics and Transportation Review, 60 , 80–93. https://doi.org/10.1016/j.tre.2013.06.005

Liberatore, F., Scaparra, M. P., & Daskin, M. S. (2012). Hedging against disruptions with ripple effects in location analysis. Omega, 40 (1), 21–30. https://doi.org/10.1016/j.omega.2011.03.003

Lim, M., Daskin, M. S., Bassamboo, A., & Chopra, S. (2010). A facility reliability problem: formulation, properties, and algorithm. Naval Research Logistics, 57 (1), 58–70. https://doi.org/10.1002/nav.20385

Lu, M., Ran, L., & Shen, Z. J. M. (2015). Reliable facility location design under uncertain correlated disruptions. Manufacturing and Service Operations Management, 17 (4), 445–455. https://doi.org/10.1287/msom.2015.0541

Lu, X., & Cheng, C. (2021). Locating facilities with resiliency to capacity failures and correlated demand uncertainty. Transportation Research Part e: Logistics and Transportation Review . https://doi.org/10.1016/j.tre.2021.102444

Maharjan, R., & Kato, H. (2022). Resilient supply chain network design: a systematic literature review. Transport Reviews, 42 (6), 739–761. https://doi.org/10.1080/01441647.2022.2080773

Maliki, F., Souier, M., Dahane, M., & Ben Abdelaziz, F. (2022). A multi-objective optimization model for a multi-period mobile facility location problem with environmental and disruption considerations. Annals of Operations Research, 25 , 1–26.

Meng, L., He, J., Shaolong, Hu., & Han, C. (2021). Strategic reliable supply chain network design: determining tradeoffs between cost and risk. International Journal of Production Research . https://doi.org/10.1080/00207543.2021.1994163

Miemczyk, J., & Johnsen, T. E. (2012). Sustainable purchasing and supply management: A structured literature review of definitions and measures at the dyad, chain and network levels. Supply Chain Management: An International Journal, 17 (5), 478–496. https://doi.org/10.1108/13598541211258564

Naghshineh, B., & Carvalho, H. (2022). The implications of additive manufacturing technology adoption for supply chain resilience: A systematic search and review. International Journal of Production Economics, 2 , 2. https://doi.org/10.1016/j.ijpe.2021.108387

Namdar, J., Ali Torabi, S., Sahebjamnia, N., & Pradhan, N. N. (2021). Business continuity-inspired resilient supply chain network design. International Journal of Production Research, 59 (5), 1331–1367. https://doi.org/10.1080/00207543.2020.1798033

Nayeri, S., Tavakoli, M., Tanhaeean, M., & Jolai, F. (2022). A robust fuzzy stochastic model for the responsive-resilient inventory-location problem: comparison of metaheuristic algorithms. Annals of Operations Research, 25 , 1–41.

Nooraie, S. V., & Parast, M. M. (2016). Mitigating supply chain disruptions through the assessment of trade-offs among risks, costs and investments in capabilities. International Journal of Production Economics, 171 , 8–21.

Norrman, A., & Jansson, U. (2004). Ericsson’s proactive supply chain risk management approach after a serious sub-supplier accident. International Journal of Physical Distribution and Logistics Management, 34 (5), 434–456. https://doi.org/10.1108/09600030410545463

O’Hanley, J. R., Paola Scaparra, M., & García, S. (2013). Probability chains: A general linearization technique for modeling reliability in facility location and related problems. European Journal of Operational Research, 230 (1), 63–75. https://doi.org/10.1016/j.ejor.2013.03.021

Park, Y. W., Hong, P., & Roh, J. J. (2013). Supply chain lessons from the catastrophic natural disaster in Japan. Business Horizons, 56 (1), 75–85. https://doi.org/10.1016/j.bushor.2012.09.008

Paul, S. K., Priyabrata Chowdhury, Md., Moktadir, A., & Lau, K. H. (2021). Supply chain recovery challenges in the wake of COVID-19 pandemic. Journal of Business Research, 136 (November), 316–329. https://doi.org/10.1016/j.jbusres.2021.07.056

Pettit, T. J., Croxton, K. L. & Fiksel, J. (n.d.) Ensuring supply chain resilience: Development and implementation of an assessment tool.

Ponomarov, S. Y., & Holcomb, M. C. (2009). Understanding the concept of supply chain resilience. The International Journal of Logistics Management, 20 (1), 124–143. https://doi.org/10.1108/09574090910954873

PrasannaVenkatesan, S., & Goh, M. (2016). Multi-objective supplier selection and order allocation under disruption risk. Transportation Research Part e: Logistics and Transportation Review, 95 (November), 124–142. https://doi.org/10.1016/j.tre.2016.09.005

Rajabzadeh, H., & Babazadeh, R. (2022). A game-theoretic approach for power pricing in a resilient supply chain considering a dual channel biorefining structure and the hybrid power plant. Renewable Energy, 198 (October), 1082–1094. https://doi.org/10.1016/j.renene.2022.08.118

Rajagopal, V., Venkatesan, S. P., & Goh, M. (2017). Decision-making models for supply chain risk mitigation: A review. Computers and Industrial Engineering . https://doi.org/10.1016/j.cie.2017.09.043

Ravindran, A., Ravi, R. U., Bilsel, V. W., & Yang, T. (2010). Risk adjusted multicriteria supplier selection models with applications. International Journal of Production Research, 48 (2), 405–424. https://doi.org/10.1080/00207540903174940

Rezapour, S., Farahani, R. Z., & Pourakbar, M. (2017). Resilient supply chain network design under competition: a case study. European Journal of Operational Research, 259 (3), 1017–1035. https://doi.org/10.1016/j.ejor.2016.11.041

Sabouhi, F., Jabalameli, M. S., Jabbarzadeh, A., & Fahimnia, B. (2020). A multi-cut L-shaped method for resilient and responsive supply chain network design. International Journal of Production Research, 25 , 7353–7381. https://doi.org/10.1080/00207543.2020.1779369

Saputro, T. E., Figueira, G., & Almada-Lobo, B. (2021). Integrating supplier selection with inventory management under supply disruptions. International Journal of Production Research, 59 (11), 3304–3322. https://doi.org/10.1080/00207543.2020.1866223

Saunders, M., Lewis, P., & Thornhill, A. (2009). Research methods for business students (5th ed.). Pearson Education.

Sawik, T. (2011). Selection of supply portfolio under disruption risks. Omega, 39 (2), 194–208. https://doi.org/10.1016/j.omega.2010.06.007

Sawik, T. (2013a). Selection of resilient supply portfolio under disruption risks. Omega (united Kingdom), 41 (2), 259–269. https://doi.org/10.1016/j.omega.2012.05.003

Sawik, T. (2013b). Integrated selection of suppliers and scheduling of customer orders in the presence of supply chain disruption risks. International Journal of Production Research, 51 (23–24), 7006–7022. https://doi.org/10.1080/00207543.2013.852702

Sawik, T. (2014). Joint supplier selection and scheduling of customer orders under disruption risks: Single vs. dual sourcing. Omega (united Kingdom), 43 (March), 83–95. https://doi.org/10.1016/j.omega.2013.06.007

Sawik, T. (2017). A portfolio approach to supply chain disruption management. International Journal of Production Research, 55 (7), 1970–1991. https://doi.org/10.1080/00207543.2016.1249432

Sawik, T. (2019). Two-period vs. multi-period model for supply chain disruption management. International Journal of Production Research, 57 (14), 4502–4518. https://doi.org/10.1080/00207543.2018.1504246

Sawik, T. (2020). A two-period model for selection of resilient multi-tier supply portfolio. International Journal of Production Research, 58 (19), 6043–6060. https://doi.org/10.1080/00207543.2019.1665204

Sawik, T. (2021). On the risk-averse selection of resilient multi-tier supply portfolio. Omega (united Kingdom) . https://doi.org/10.1016/j.omega.2020.102267

Scaparra, M. P., & Church, R. L. (2008). An exact solution approach for the interdiction median problem with fortification. European Journal of Operational Research, 189 (1), 76–92. https://doi.org/10.1016/j.ejor.2007.05.027

Sepehri, A., Tirkolaee, E. B., Simic, V., & Ali, S. S. (2024). Designing a reliable-sustainable supply chain network: Adaptive m-objective ε-constraint method. Annals of Operations Research, 145 , 1–32.

Sheffi, Y., & Rice Jr., J. B. (2005). A supply chain view of the resilient enterprise. https://www.researchgate.net/publication/255599289

Shekarian, M., & Parast, M. M. (2021). An integrative approach to supply chain disruption risk and resilience management: A literature review. International Journal of Logistics Research and Applications, 24 (5), 427–455. https://doi.org/10.1080/13675567.2020.1763935

Shen, Z.-J. (2007). Integrated supply chain design models: a survey and future research directions. Journal of Industrial and Management Optimization, 3 (1), 25.

Shen, Z.-J.M. (2007). Integrated supply chain design models: a survey and future research directions. Journal of Industrial and Management Optimization, 3 (1), 1.

Shen, Z. J. M., Zhan, R. L., & Zhang, J. (2011). The reliable facility location problem: formulations, heuristics, and approximation algorithms. INFORMS Journal on Computing, 23 (3), 470–482. https://doi.org/10.1287/ijoc.1100.0414

Simchi-Levi, D., & Kaminsky, P. (2004). Managing the supply chain: Definitive guide . McGraw-Hill.

Snyder, L. V., Atan, Z., Peng, P., Rong, Y., Schmitt, A. J., & Sinsoysal, B. (2016). OR/MS models for supply chain disruptions: A review . Taylor and Francis Ltd. https://doi.org/10.1080/0740817X.2015.1067735

Book   Google Scholar  

Snyder, L. V., & Daskin, M. S. (2005). Reliability models for facility location: The expected failure cost case. Transportation Science, 39 (3), 400–416. https://doi.org/10.1287/trsc.1040.0107

Spiegler, V. L. M., Naim, M. M., & Wikner, J. (2012). A control engineering approach to the assessment of supply chain resilience. In International Journal of Production Research, 50 , 6162–6187. https://doi.org/10.1080/00207543.2012.710764

Starita, S., & Scaparra, M. P. (2021). Improving supply system reliability against random disruptions: strategic protection investment. Journal of the Operational Research Society . https://doi.org/10.1080/01605682.2021.1911605

Suryawanshi, P., & Dutta, P. (2022). Optimization models for supply chains under risk, uncertainty, and resilience: A state-of-the-art review and future research directions. Transportation Research Part e: Logistics and Transportation Review . https://doi.org/10.1016/j.tre.2021.102553

Taleizadeh, A. A., Ghavamifar, A., & Khosrojerdi, A. (2022). Resilient network design of two supply chains under price competition: Game theoretic and decomposition algorithm approach. Operational Research, 22 (1), 825–857. https://doi.org/10.1007/s12351-020-00565-7

Tang, C. S. (2006). Perspectives in supply chain risk management. International Journal of Production Economics . https://doi.org/10.1016/j.ijpe.2005.12.006

Tomlin, B. (2006). On the value of mitigation and contingency strategies for managing supply chain disruption risks. Source: Management Science, 52 , 639–657.

Torabi, S. A., Baghersad, M., & Mansouri, S. A. (2015). Resilient supplier selection and order allocation under operational and disruption risks. Transportation Research Part e: Logistics and Transportation Review, 79 (July), 22–48. https://doi.org/10.1016/j.tre.2015.03.005

Tranfield, D., Denyer, D., & Smart, P. (2003). Towards a methodology for developing evidence-informed management knowledge by means of systematic review. British Journal of Management, 14 (3), 207–222.

Tucker, E. L., Daskin, M. S., Sweet, B. V., & Hopp, W. J. (2020). Incentivizing resilient supply chain design to prevent drug shortages: policy analysis using two- and multi-stage stochastic programs. IISE Transactions, 52 (4), 394–412. https://doi.org/10.1080/24725854.2019.1646441

Tukamuhabwa, B. R., Stevenson, M., Busby, J., & Zorzini, M. (2015). Supply chain resilience: definition, review and theoretical foundations for further study. International Journal of Production Research . https://doi.org/10.1080/00207543.2015.1037934

Vahid Nooraie, S., & Parast, M. M. (2016). Mitigating supply chain disruptions through the assessment of trade-offs among risks, costs and investments in capabilities. International Journal of Production Economics, 171 (January), 8–21. https://doi.org/10.1016/j.ijpe.2015.10.018

van Remko, H. (2020). Research opportunities for a more resilient post-COVID-19 supply chain: Closing the gap between research findings and industry practice. International Journal of Operations and Production Management, 40 (4), 341–355. https://doi.org/10.1108/IJOPM-03-2020-0165

Wieland, A., & Durach, C. F. (2021). Two perspectives on supply chain resilience. Journal of Business Logistics, 42 (3), 315–322. https://doi.org/10.1111/jbl.12271

Xie, S., An, K., & Ouyang, Y. (2019). Planning facility location under generally correlated facility disruptions: Use of supporting stations and quasi-probabilities. Transportation Research Part b: Methodological, 122 (April), 115–139. https://doi.org/10.1016/j.trb.2019.02.001

Yildiz, H., Yoon, J., Talluri, S., & Ho, W. (2016). Reliable supply chain network design. Decision Sciences, 47 , 661–698.

Yoon, J., Talluri, S., Yildiz, H., & Ho, W. (2018). Models for supplier selection and risk mitigation: A holistic approach. International Journal of Production Research, 56 (10), 3636–3661. https://doi.org/10.1080/00207543.2017.1403056

Young, J. A., & Bhattacharyya, K. (2020). No chicken at KFC: A logistics debacle? Journal of Critical Incidents, 13 , 256.

Yu, G., Haskell, W. B., & Liu, Y. (2017). Resilient facility location against the risk of disruptions. Transportation Research Part b: Methodological, 104 (October), 82–105. https://doi.org/10.1016/j.trb.2017.06.014

Yu, G., & Zhang, J. (2018). Multi-dual decomposition solution for risk-averse facility location problem. Transportation Research Part e: Logistics and Transportation Review, 116 (August), 70–89. https://doi.org/10.1016/j.tre.2018.05.010

Yun, L., Qin, Y., Fan, H., Ji, C., Li, X., & Jia, L. (2015). A reliability model for facility location design under imperfect information. Transportation Research Part b: Methodological, 81 (November), 596–615. https://doi.org/10.1016/j.trb.2014.10.010

Yun, L., Wang, X., Fan, H., & Li, X. (2020). Reliable facility location design with round-trip transportation under imperfect information part I: A discrete model. Transportation Research Part e: Logistics and Transportation Review, 133 (January), 25. https://doi.org/10.1016/j.tre.2019.101825

Zhang, Y., Huang, M., Gao, Z., Jiang, S., Fang, S. C., & Wang, X. (2024). Multi-period fourth-party logistics network design from the viability perspective: A collaborative hyper-heuristic embedded with double-layer Q-learning algorithm. International Journal of Production Research . https://doi.org/10.1080/00207543.2024.2339530

Zhang, Y., Snyder, L. V., Ralphs, T. K., & Xue, Z. (2016). The competitive facility location problem under disruption risks. Transportation Research Part e: Logistics and Transportation Review, 93 (September), 453–473. https://doi.org/10.1016/j.tre.2016.07.002

Zhao, K., Zuo, Z., & Blackhurst, J. V. (2019). Modelling supply chain adaptation for disruptions: An empirically grounded complex adaptive systems approach. Journal of Operations Management, 65 (2), 190–212. https://doi.org/10.1002/joom.1009

Download references

Acknowledgements

This work was supported by the UK Engineering and Physical Sciences Research Council (EPSRC) as part of the Responsive Additive Manufacture to Overcome Natural and Attack-based disruption (RAMONA) project grant [EP/V051040/1].

Author information

Authors and affiliations.

Department of Business Analytics and Operations, Surrey Business School, University of Surrey, Guildford, UK

Abdolreza Roshani

Centre of Digital Economy, Surrey Business School, Guildford, UK

Glenn Parry

University of Bristol Business School, University of Bristol, Bristol, UK

Philip Walker-Davies

You can also search for this author in PubMed   Google Scholar

Corresponding author

Correspondence to Abdolreza Roshani .

Ethics declarations

Conflict of interest.

The authors declare that there is no conflict of interest regarding the publication of this paper.

Additional information

Publisher's note.

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Electronic supplementary material

Below is the link to the electronic supplementary material.

Supplementary file1 (DOCX 489 kb)

The list of articles are presented for each strategy based on the associated DM problem discussed in Sect. 2.3. The last column of the Table 8 represents how often each strategy is applied in models in the articles (as a percent of total). In order to refer to the strategies more easily, in Table 8 , we have also assigned a code to each mitigation strategy e.g. SP1 is suppliers protection or fortification strategy.

Rights and permissions

Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/ .

Reprints and permissions

About this article

Roshani, A., Walker-Davies, P. & Parry, G. Designing resilient supply chain networks: a systematic literature review of mitigation strategies. Ann Oper Res (2024). https://doi.org/10.1007/s10479-024-06228-6

Download citation

Received : 20 December 2022

Accepted : 15 August 2024

Published : 18 September 2024

DOI : https://doi.org/10.1007/s10479-024-06228-6

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Supply chain
• Network design
• Resilience strategies
• Mitigation Strategies
• Systematic literature review
• Find a journal
• Publish with us
• Track your research

• Open access
• Published: 17 September 2024

Training healthcare professionals in assessment of health needs in older adults living at home: a scoping review

• Bente Hamre Larsen 1 ,
• Dagrunn Nåden Dyrstad 2 ,
• Helle K. Falkenberg 3 , 4 ,
• Peter Dieckmann 2 , 5 , 6 &
• Marianne Storm 1 , 7 , 8  

BMC Medical Education volume  24 , Article number:  1019 ( 2024 ) Cite this article

Metrics details

Interprofessional assessment and management of health needs for older adults living at home can help prioritize community service resources and enhance health, yet there is a shortage of professionals with the necessary competencies. Therefore, support and training for healthcare professionals in community settings to assess older adults’ health with the aim of for health promotion are needed.

To identify and provide an overview of published papers describing approaches for training healthcare professionals in assessing physical, mental, and social health needs in older adults living at home.

A systematic literature search of the Cinahl, Medline, Academic Search Ultimate, Scopus, Embase, and British Nursing Index databases was performed. We considered studies focusing on the training of healthcare professionals in assessing a single or multiple health needs of older adults aged 65 and above living at home. We considered studies published between 1990 – and March 2024. The review evaluated qualitative, quantitative, and mixed methods studies published in English-language peer-reviewed academic journals. A quality appraisal was conducted via the Mixed Methods Appraisal Tool (MMAT).

Twenty-three studies focused on training healthcare professionals to assess health needs and plan care for older adults living at home were included. The majority of the included studies combined teacher-driven pedagogical approaches consisting of educational sessions, written materials or e-learning, and more participant-engaging pedagogical approaches such as knowledge exchange or various forms of interactive learning. Healthcare professionals were trained to detect and manage single and multiple health needs, and some studies additionally incorporated interprofessional collaboration. Healthcare professionals were satisfied with the training content and it increased their confidence and competencies in health needs assessment and care planning for older adults. Moreover, some studies have reported that training interventions foster the implementation of new and effective ways of working and lead to positive outcomes for older adults.

Healthcare professionals were satisfied with a combination of participant-engaging and teacher-driven pedagogical approaches used to train them in assessing health needs and planning care for older adults living at home. Such training can lead to enhanced assessment skills and facilitate improvements in practice and health promotion for older adults. Future research is recommended on interprofessional simulation training for conducting structured and comprehensive health needs assessments of older adults living at home, as well as on the implementation of such assessments and health-promoting interventions.

Peer Review reports

Introduction

The globally growing and diverse aging population will impact the sustainability of healthcare systems and the independent living of older adults. To support the health needs of older adults, the World Health Organization (WHO) underscores the necessity of effectively training the healthcare workforce [ 1 , 2 ]. However, the complexity of health needs in older adults, coupled with an increased risk of frailty and adverse health outcomes, challenges the provision of tailored care [ 3 ]. Healthcare professionals in homecare settings are well-positioned to assess the health needs of home-living older adults [ 4 , 5 ] and facilitate the interprofessional management of these needs within the community [ 5 ].

Health needs assessment should offer a comprehensive understanding of individuals’ physical, mental, and social health needs, and address the constantly changing needs with increasing age. The assessments aim to identify those who can benefit from healthcare services, such as health education, disease prevention, treatment, and rehabilitation [ 6 ]. The assessment can help set service priorities and allocate service resources effectively, guide clinical decision-making [ 7 ] and design targeted, health promoting interventions [ 4 , 7 , 8 , 9 ] to prevent or delay frailty [ 10 ], enhance overall outcomes for those with complex health needs [ 11 ] and enable them to remain at home for as long as possible [ 12 ]. Given its importance, the task of health needs assessment, is becoming increasingly crucial in homecare settings [ 13 ]. However, there is a scarcity of adequately trained professionals proficient in conducting interprofessional health needs assessments [ 4 , 5 , 9 , 14 , 15 ], including depression [ 16 ], cognitive function [ 17 ], social needs [ 18 ], sensory function (i.e. hearing and vision) [ 19 ], geriatric healthcare [ 20 , 21 ], and multidimensional frailty [ 22 , 23 ]. Frailty, as a dynamic state, affects an individual who experiences losses in one or more domains of human functioning (physical, mental, social) that are caused by the influence of a range of variables, and which increase the risk of adverse outcomes [ 24 ].

A comprehensive understanding of how to train healthcare professionals in health needs assessment of the physical, mental, and social health needs of older adults living at home is crucial. This review understands training as “planned and systematic activities designed to promote the acquisition of the knowledge, skills, and attitudes” [ 25 , p77]. Training can take place as “on-the-job training,” with practicing tasks with a mentor or receiving feedback, or through “off-the-job training,” in a classroom setting with lectures, discussions, and exercises [ 26 ]. It is essential to consistently update and expand knowledge and skills throughout healthcare professionals’ careers [ 27 ]. Mentorship and support are highly valued as pedagogical approaches [ 28 ]. Another approach is implementing interprofessional team-based training [ 29 ] focused on health needs assessment for older adults, which can be complemented by practical, supervised training with a mentor in real-world settings [ 9 ]. Interprofessional simulation training can support healthcare professionals developing communication and collaborative skills and improving patient outcomes [ 2 ]. Additionally, opportunities to share and exchange experiences and new learning with peers and seniors, along with tailored, role-focused teaching, are effective approaches training strategies in community healthcare [ 30 ]. Practical training through simulation, case studies, and role-playing influences skill development by creating experiences that promote individual understanding and learning [ 31 ] and it is based on Vygotsky’s sociocultural learning theory [ 32 ]. Tailored simulation training in use of systematic assessment tools enhanced nurses’ competencies to assess and treat complex symptoms among older adults in long-term care facilities [ 33 ].

Therefore, this scoping review aimed to identify and provide an overview of published papers describing approaches for training healthcare professionals in assessing physical, mental, and social health needs in older adults living at home. Three research questions guided the review: (1) what pedagogical approaches are used when training healthcare professionals to assess the health needs of older adults living at home, (2) what is the content and foci in the health needs assessment training provided in the studies, and (3) what are the outcomes of training reported by healthcare professionals and older adults living at home?

Scoping review design

This study followed the Joanna Briggs Institute (JBI) methodology [ 34 ] for conducting and reporting scoping reviews built on Arksey and O’Malley’s framework [ 35 ]: (1) Define and align the objectives (2) develop and align the inclusion criteria with the objectives (3) describe the planned approach to evidence searching, selection, data extraction, and presentation of the evidence (4) search for the evidence (5) select the evidence (6) extract the evidence (7) analyze the evidence (8) present the results (9) summarize the evidence in relation to the purpose of the review, draw conclusions and note the implications of the findings [ 36 ]. In addition, the PRISMA-ScR [ 37 ] was used as a checklist to report the scoping review data charting, data synthesis and presentation of the data (Additional file 1).

Selection of studies

To be eligible for inclusion in the review, the study had to focus on the training of healthcare professionals in assessing physical, mental and social health needs [ 24 ], specifically assessing frailty, physical function, depression, cognition, social health, and sensory function of older adults aged 65 and above living at home [ 38 ]. Healthcare professionals from diverse fields were included, whether engaging in one-to-one interactions where individual healthcare professionals work directly with patients or working collaboratively in interprofessional teams of members from different professional backgrounds [ 29 ]. The review included qualitative, quantitative, and mixed methods studies published in English-language peer-reviewed academic journals. The inclusion and exclusion criteria are specified in Table  1 below.

Search strategy

The authors and an experienced research librarian collaboratively developed the search strategy and search terms. The search strategy followed the recommendation of JBI [ 34 ]. In June 2022, a limited search of PubMed and CINAHL was conducted to identify relevant articles. To develop a more comprehensive search strategy, we subsequently analyzed the titles and abstracts of the retrieved papers, as well as the index terms used to describe the articles. A systematic literature search was performed on October 6, 2022, in the CINAHL (EBSCO), MEDLINE (EBSCO), Academic Search Ultimate (EBSCO), Scopus (Elsevier), Embase (OVID) and British Nursing Index (ProQuest) databases. The updated search was conducted on the 7th of March 2024. The search terms employed in the different databases to represent training healthcare professionals to assess health needs in older adults living at home are described in Table  2 . We considered studies published between 1990 – and March 2024. Ultimately, the reference lists of all included studies were reviewed to identify any additional studies aligned with the scoping review’s aim.

Identification and selection of studies

The search yielded a total of 2266 records. The study selection process is illustrated in Fig.  1 according to the PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) flow diagram [ 39 ]. The search results were uploaded into the citation management system EndNote, where duplicates were removed. A total of 1722 records remained for screening. We used the web application Rayyan [ 40 ] to screen studies for inclusion or exclusion. The screening involved all the authors working in pairs, independently assessing eligibility on the basis of the inclusion and exclusion criteria. Discrepancies were resolved through discussions until consensus by all authors in arranged meetings.

All the records were independently screened by the authors (BHL, DND, HKF, PD and MS), and 1452 records were excluded. Two hundred seventy abstracts were reviewed in blinded pairs, leading to the exclusion of 212 records. Next, the full texts of 58 studies were read. This process resulted in the exclusion of 38 studies whose reasons are provided in the flow chart. The remaining 20 studies were included in this review (Fig.  1 ).

The primary reason for exclusion was the lack of content related to training in health needs assessment  ( n  = 13) or incorrect populations ( n  = 12). Eight studies were excluded because they focused on training for medical or bachelor’s degree students. Additionally, four publications were not peer-reviewed studies ( n  = 4).

BHL and MS independently screened the reference lists from the 20 included studies to identify additional eligible studies. After all the blinded titles were read, 28 titles of records were identified for abstract review. Following this, 22 titles were excluded, leaving 6 abstracts included in the full-text examination. The full-text reading further excluded four studies because they did not focus on training in health needs assessment. Finally, two studies [ 41 , 42 ] were added to this scoping review, resulting in a total of 22 included studies.

An updated search was conducted on the 7th of March 2024, including publications from 2022 to 2024, following the procedure above. After removing duplicates, 173 titles and abstracts were screened for eligibility. The full texts of nine articles were read. Six studies were excluded because they did not include training for healthcare professionals. One had incorrect population, and the others were in a language other than English. This led to the inclusion of one new study [ 43 ], bringing the total number of included studies for the scoping review to 23.

Search results, study selection and inclusion process [ 39 ]

Extraction and analysis of the data

In line with the updated JBI methodological guidelines for scoping reviews [ 34 ], we extracted and coded descriptive details from the 23 included records. The extraction table covered the publication year, country of origin, study purpose, research design, study population, context/setting, training intervention content and assessment tools, pedagogical approaches and training duration, and outcomes for healthcare professionals and older adults. A test was conducted to ensure that the coauthors were aligned in their understanding of what type of data to extract for the table. Feedback from the test guided essential refinements to the extraction table before the authors collaborated to extract and organize pertinent information. We applied a basic thematic analysis to code the data and identify, analyze, and interpret patterns, ultimately deriving themes that addressed our research questions [ 44 , 45 ]. The analysis utilized NVivo 12 Pro software [ 46 ].

Quality appraisal

We performed a quality evaluation of the included studies via the Mixed Methods Appraisal Tool (MMAT) in blinded pairs. This tool is designed for a structured and standardized evaluation of methodological quality and risk of bias in systematic reviews that include qualitative, quantitative, and mixed methods studies [ 47 ]. Although quality evaluation is optional in a scoping review, it can provide valuable insights [ 48 ] and enhance the interpretability of the included studies [ 49 ].

All studies were evaluated according to five quality criteria specific to each research design (qualitative, quantitative descriptive, nonrandomized, randomized, and mixed methods studies). Each criterion received a response score of either “Yes,” indicating that the study met the quality criteria, or “No,” indicating that it did not meet the quality criteria or that it was unclear (see Table  4 ). It is discouraged to calculate an overall score. Any disagreements in scoring were resolved through discussion. The quality scores were not used to exclude articles from the review; instead, they were reported and discussed [ 49 ].

In accordance with the JBI scoping review guidance [ 44 ], the extracted data are presented in a table format (Tables  3 and 5 ) and a narrative summary is provided to respond to the three research questions. Table  3 provides a description of the study characteristics, while Table  5 outlines overarching categories along with relevant extracted information [ 44 ].

Characteristics of the included studies

Table  3 shows that the 23 studies were published between 1990- and 2023. Eight studies were conducted in the United States [ 16 , 42 , 43 , 50 , 51 , 52 , 53 , 54 ], three in Canada [ 55 , 56 , 57 ], three in Australia [ 58 , 59 , 60 ], three in the United Kingdom [ 41 , 61 , 62 ], and one each in Ireland [ 63 ], Italy [ 64 ], Brazil [ 65 ], France [ 66 ], Singapore [ 67 ], and Belgium [ 68 ].

Ten studies meticulously examined training interventions tailored for primary nurses [ 43 , 50 , 51 , 54 , 55 , 60 , 61 , 63 , 66 , 68 ], one study specifically targeted the training of community health workers [ 65 ] and another presented an educational session tailored for case managers and agency supervisors [ 42 ]. The remaining studies indicated that training was provided to interprofessional teams or various distinct professions, such as nurses, physical therapists, occupational therapists, general practitioners, social workers and psychologists [ 16 , 41 , 52 , 53 , 56 , 57 , 58 , 59 , 62 , 64 , 67 ]. The study participants were in home healthcare or primary/community care [ 16 , 41 , 43 , 50 , 51 , 52 , 53 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 61 , 62 , 63 , 64 , 65 , 66 , 68 ], community and social services [ 42 , 64 ], mental health care [ 61 ], eldercare centers/daycare [ 67 ], residential settings [ 58 , 59 , 64 ], hospitals [ 53 , 56 ], rehabilitation [ 56 ] and acute care [ 61 ].

Quality evaluation results

The quality appraisal procedure revealed variations in the quality of the 23 included studies. The detailed quality evaluation results for each study are presented in Table  4 , and an overview of the methodological quality criteria is presented in Additional file 3.

Each study was evaluated on five criteria appropriate to its study design category. Overall, only one study, which was a mixed methods study, met al.l five quality criteria in the MMAT [ 62 ]. Additionally, one mixed methods study met four criteria [ 61 ], and another met three criteria [ 65 ]. The most common criterion that mixed methods studies failed to meet was 5.2: whether the different components of the study were effectively integrated to answer the research question. Among the quantitative randomized studies, one study met four quality criteria [ 50 ], whereas the other was of low quality, meeting only one criterion [ 59 ]. None of these studies met the quality criterion for proper randomization. In the quantitative nonrandomized studies, six met four criteria [ 41 , 55 , 56 , 58 , 64 , 68 ], one met three [ 63 ], and one met only one criterion [ 16 ], indicating low quality. All studies met the criterion regarding whether the intervention was administered as intended. The most common criteria they failed to meet were 3.3: whether there were complete data and 3.4: whether confounders were accounted for in the study design and analysis. Among the descriptive studies, seven met four criteria [ 42 , 43 , 54 , 57 , 60 , 66 , 67 ], one met three criteria [ 53 ], and two met only one criterion [ 51 , 52 ], demonstrating low quality.

The majority of these studies met the criterion regarding whether the measurements were appropriate. However, the criterion most studies did not meet (only one out of ten) was whether the risk of nonresponse bias was low. Notably, no qualitative methods studies were included in our scoping review.

Training interventions in assessment of older adults living at home

The next section presents a narrative overview of three major themes related to the three research questions. The themes concerned the training provided for healthcare professionals in assessing the physical, mental, and social health needs of older adults living at home: pedagogical approaches, content and foci of health needs assessment training for healthcare professionals and outcomes and evaluation of health needs assessment training for healthcare professionals and older adults living at home. The findings are summarized in Table  5 [ 44 ].

Pedagogical approaches

The included studies employed diverse pedagogical approaches to train healthcare professionals in assessing the health needs of older adults living at home. The spectrum of pedagogical approaches observed in the studies was categorized into teacher-driven and participant-engaging pedagogical approaches. Twenty-one studies [ 16 , 42 , 43 , 50 , 51 , 52 , 53 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 61 , 62 , 63 , 64 , 65 , 67 , 68 ] combined teacher-driven and participant-engaging pedagogical approaches, reflecting a multifaceted training strategy. Mayall et al. [ 41 ] opted for a more singular pedagogical approach, exclusively relying on lecture-based education, whereas the training method used in the Piau et al. [ 66 ] study remained unspecified. The training interventions varied in duration, from one-hour sessions [ 68 ] to an ongoing training program spanning 21 months [ 57 ]. In two studies, the specific duration of the training interventions was not specified [ 53 , 57 ]. The most common duration for training was 4–8 h [ 16 , 43 , 50 , 52 , 54 , 56 , 58 , 59 , 62 , 67 ].

Teacher-driven pedagogical approaches

Almost all studies utilized teacher-driven pedagogical approaches, including educational sessions, written materials or e-learning [ 16 , 41 , 42 , 50 , 51 , 52 , 53 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 61 , 62 , 63 , 64 , 65 , 67 , 68 ]. Educational sessions were evident in 14 studies [ 16 , 41 , 42 , 50 , 51 , 52 , 53 , 56 , 57 , 58 , 59 , 62 , 64 , 65 ], providing healthcare professionals with information about relevant topics through lectures [ 16 , 41 , 42 , 51 , 62 , 64 , 65 ], slides [ 16 , 64 ] and instructions [ 50 , 52 , 53 ], as well as demonstrations of the use of assessment tools [ 41 , 42 , 51 , 56 , 58 , 59 ]. Additionally, Abbasi et al. [ 57 ] and Quijano et al. [ 42 ] offered ongoing sessions during the post training implementation period.

Written materials were provided to the participants in nine studies [ 16 , 42 , 50 , 52 , 54 , 58 , 59 , 63 , 64 ]. This included training manuals containing examples and case studies [ 58 , 59 ], written documents about the training pack and the assessment forms [ 63 ], course textbooks and instruction manuals [ 64 ], educational materials including the program manual and articles [ 42 ], a CD-ROM (a data-disc for computer) containing written educational material [ 52 ] and toolkits derived from the educational material [ 16 , 50 , 54 ]. Brown et al. [ 54 ] reported that toolkits included key intervention components for seamless application of learned concepts [ 54 ]. Furthermore, some described follow-up emails to provide participants with information post training [ 50 , 54 ].

E-learning as a preplaying online module or videoclip appeared in nine studies [ 16 , 42 , 43 , 50 , 53 , 54 , 61 , 64 , 68 ]. Naughton et al. [ 61 ] delivered prerecorded lectures [ 61 ], Landi et al. [ 64 ] used video recordings presenting real cases to test participants’ assessments- and decision-making skills, and Quinlan and Ryer [ 43 ] offered online modules on aging epidemiology, fall risk factors, and age-friendly health systems [ 43 ]. Participants watched video recordings portraying late-life depression [ 42 , 53 , 54 ], and patient interactions illustrating approaches to depression assessment [ 50 , 54 , 68 ] via standardized questions and follow-up questions [ 16 ]. Professional actors were used in three studies [ 16 , 53 , 68 ].

Participant-engaging pedagogical approaches

The majority of the included studies utilized participant-engaging pedagogical approaches involving knowledge exchange or various forms of interactive learning [ 16 , 42 , 43 , 50 , 51 , 52 , 53 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 61 , 62 , 63 , 64 , 65 , 67 , 68 ].

Sixteen studies employed various forms of knowledge exchange such as discussion, questioning and coaching, between training participants and teachers [ 43 , 51 , 52 , 53 , 54 , 55 , 56 , 58 , 59 , 60 , 61 , 63 , 64 , 65 , 67 , 68 ]. Peer-to-peer learning and dialog facilitated the exchange of knowledge and insights [ 65 ], which enriched the overall learning experience [ 61 ]. The participants were included in discussions following lectures [ 55 ], after watching scripted videos [ 53 ], and during patient case reviews [ 56 , 67 ]. Additionally, three studies included both discussions and allowed participants questions [ 52 , 54 , 68 ]. Discussions allowed participants to delve into case management techniques [ 51 ], explore experiences related to assessing the health of older adults [ 54 , 60 , 64 ] and solve problems and discuss alternative strategies regarding depression screening [ 54 ]. A few studies have provided ongoing coaching in the post training phase to support healthcare professionals in applying newly acquired skills [ 42 , 55 , 57 ]. This included three months of feedback and support [ 42 ], mentorship for skill integration [ 57 ], and a six-month collaborative approach between resource staff and case managers involving home visits and clinical consultations [ 55 ].

Interactive training was employed in fifteen studies through skills training, role-playing, simulations, and hands-on training in real-world settings [ 16 , 42 , 43 , 51 , 52 , 54 , 55 , 57 , 58 , 59 , 60 , 62 , 63 , 64 , 65 ]. Skill training allows nurses to practice patient interviews and assessments and receive instructor feedback [ 54 ]. The participants practiced by assessing their colleagues’ health and responding to assessment [ 16 , 51 ], with faculty staff offering assistance, encouragement, and feedback throughout [ 51 ]. Landi et al. [ 64 ] provided practice exercises followed by presentations, and Quinlan and Ryer [ 43 ] provided a virtual training session in motivational interviewing technique and assessment. Roleplay as a teaching strategy was used to address practical aspects of administering depression screening [ 50 , 52 , 60 ], and Butler and Quayle [ 63 ] incorporated case scenarios, roleplay, and practical skills training for assessing depression in older adults [ 63 ]. Simulation training was used to immerse participants in the experience of living with sight and hearing impairments performing everyday tasks such as filling out forms or managing medications using sight impairment spectacles. Training was followed by a debriefing session [ 62 ]. Hands-on training in the assessment of older adults’ health in real-world settings was conducted in ten studies [ 42 , 51 , 54 , 55 , 57 , 58 , 59 , 60 , 64 , 65 ]. Healthcare professionals gained clinical experience through assessments of home dwelling older adults [ 55 , 58 , 59 , 60 , 64 , 65 ] and through participation in a rotational preceptorship for community health nurses. This enabled them to practice newly acquired assessment skills and collaborate in a real-life setting [ 51 ]. Additionally, two other studies emphasized practical training in communication with other professionals in real-world settings [ 58 , 59 ], while Brown et al. [ 54 ] encouraged participants to practice assessments in a real-world setting between educational sessions.

Content and foci of health needs assessment training for health care professionals

All the included studies offered insights into the content and foci of health neesd assessment training interventions for healthcare professionals. The studies were divided into those aimed at training healthcare professionals to understand and assess either single or multiple physical, mental, and social health needs in older adults living at home. Additionally, some training sessions focused on interprofessional collaboration.

Single health need assessment training

The focus of twelve studies involved enhancing the skills of healthcare professionals in assessing, planning and conducting interventions for a specific, single health need in older adults, with each addressing either the assessment of mental or physical health [ 16 , 41 , 43 , 52 , 53 , 54 , 58 , 59 , 60 , 62 , 63 , 68 ]. Two of these studies [ 43 , 62 ] focused solely on physical health factor training. Smith et al. [ 62 ] emphasized training in assessing and detecting sight and hearing impairments without specifying whether any assessment tools were used [ 62 ]. Quinlan and Ryer [ 43 ] provided fall risk assessment training, which included the use of assessment tools to evaluate the physical function of older adults and to assess their home environments. The other ten studies [ 16 , 41 , 52 , 53 , 54 , 58 , 59 , 60 , 63 , 68 ] focused on training to assess depression in older adults living at home. The training encompassed understanding and detecting the condition, and all of them included the use of assessment tools. Van Daele et al. [ 68 ] included skills such as actively listening to patients and motivating them to seek expert assistance when needed. Delaney et al. [ 16 ] incorporated skills in asking follow-up questions, and Mellor et al. [ 59 ] offered training in appropriate communication with older adults to identify masked, early signs of depression.

Multiple health needs assessment training

Eleven studies [ 42 , 50 , 51 , 55 , 56 , 57 , 61 , 64 , 65 , 66 , 67 ] described training interventions for healthcare professionals aimed at assessing, planning, and conducting interventions for multiple health needs in older adults living at home. The training content ranged from learning to performing a holistic health assessment of older adults encompassing physical, mental, cognitive, and social factors [ 42 , 51 , 55 , 56 , 57 , 61 , 64 , 66 ] to a more nuanced assessment of two or three of these factors [ 50 , 65 , 67 ]. All studies described the use of assessment tools or checklists. A holistic assessment and understanding of older adults’ health context and needs enables interventions to be tailored to their health and care needs, priorities, and levels of frailty [ 57 ]. Within the realm of holistic assessment, only two of these studies addressed alcohol and medication usage [ 55 , 56 ], whereas two other studies focused on evaluating sensory status [ 57 , 66 ]. For studies with more nuanced assessment training, three studies [ 42 , 50 , 67 ] primarily tailored their training to focus on depression assessment and intervention in older adults, but Quijano et al. [ 42 ] also included training in assessing general physical health status, social function, and cognitive function. Sin et al. [ 67 ] included dementia assessment and Bruce et al. [ 50 ] addressed factors that commonly complicate depression in homecare patients, such as health conditions, disability in activities of daily living, and cognitive function. The training included how to ask follow-up questions and observe nonverbal language [ 50 ]. Neto et al. [ 65 ] provided training for healthcare professionals in rural areas to screen for geriatric risk factors such as caregiver overburden, general health, social health, risk of falling, or difficulties in activities of daily living.

Interprofessional collaboration and communication skills in health needs assessment training

Beyond the focus on training for assessing the health needs of older adults, sixteen studies [ 42 , 50 , 51 , 52 , 53 , 54 , 55 , 57 , 58 , 59 , 60 , 61 , 62 , 64 , 65 , 68 ] have incorporated training elements to increase interprofessional collaboration and communication skills among healthcare professionals. Health needs assessment training for interprofessional teams was evident in eight of the included studies [ 51 , 55 , 57 , 58 , 59 , 61 , 64 , 65 ]. Two studies [ 58 , 59 ] outlined an advanced session to teach skills for interacting with other healthcare providers, including general practitioners and mental health specialists, whereas Couser et al. [ 51 ] stressed the importance of effectively communicating the assessment results to physicians and other healthcare providers. Training in writing referrals was emphasized in ten studies [ 42 , 50 , 52 , 53 , 54 , 58 , 59 , 60 , 62 , 68 ]. In addition, Stolee et al. [ 55 ] trained healthcare professionals in writing reports and making recommendations to the referring case manager. Only two studies [ 61 , 65 ] included collaboration with family in their training programs. Naughton et al. [ 61 ] designed training programs to support healthcare professionals in navigating the complexities of collaboration with multidisciplinary teams, older adults, and their families. They also developed a network among nurses to facilitate the exchange of expertise, experience, and innovative ideas [ 61 ]. Neto et al. [ 65 ] aimed to increase the capacity of care workers to effectively collaborate with family caregivers and social services for dependent older adults in rural areas. Stolee et al. [ 55 ] provided training for case managers to extend this knowledge to their teams and strengthen connections with specialized geriatric services. Similarly, Abbasi et al. [ 57 ] emphasized team-based care delivery training, with active and holistic discussions among patients, caregivers, and interprofessional teams. Diverse skill sets within teams can effectively meet the holistic care needs of patients. In parallel, Piau et al. [ 66 ] focused on training nurses to collaborate with general practitioners to develop comprehensive care plans. Landi et al. [ 64 ] trained case managers who collaborated in supervised teams to assess older adults and present care plans. They watched videos of simulated team discussions to enhance their understanding of the assessment process and teamwork [ 64 ].

Evaluation and outcomes of health needs assessment training for healthcare professionals and older adults

All of the studies provided insight into the experiences or outcomes of healthcare professionals participating in the training interventions. This included their satisfaction and experiences with health needs assessment training, improved confidence and competencies in health assessment and care planning and shifts in work practices. Additionally, some studies have reported outcomes for older adults following health needs assessment training, such as appropriate referrals, tailored interventions, fall prevention, symptom reduction, and improved overall function. The evaluation of these outcomes relied to a small extent on models or frameworks, with only three studies incorporating them [ 43 , 61 , 62 ]. Smith et al. [ 62 ] utilized Kirkpatrick’s four-level training evaluation model to assess the relevance and impact of educational intervention. Naughton et al. [ 61 ] adopted Alvarez et al.’s (2004) framework of an integral model of training evaluation and effectiveness. Quinlan and Ryer [ 43 ] presented their findings following the Revised Standards for Quality Improvement Reporting Excellence (SQUIRE) framework.

Healthcare professionals’ satisfaction and experiences with assessment training

Ten studies provided insights into healthcare professionals’ experiences with participating in training interventions [ 16 , 41 , 43 , 54 , 55 , 56 , 60 , 61 , 62 , 65 ], where most of the participants expressed satisfaction with both the content and format of the courses. The participants in Brymer, Cormack and Spezowka [ 56 ] expressed a high level of satisfaction with the presenter’s content, pacing, and format, and in Mayall et al. [ 41 ], the training met the participants’ needs and expectations. The participants in Naughton et al. [ 61 ] particularly valued the peer-to-peer learning aspect, whereas Smith et al. [ 62 ] emphasized the effectiveness of simulations. Neto et al. [ 65 ] rated classroom sessions and supervised home visits very positively and found them useful. Furthermore, participants in four of the studies [ 16 , 60 , 61 , 65 ] offered suggestions to enhance the number of educational sessions. They suggested allocating more time for training [ 16 , 65 ], a greater focus on skills training [ 60 , 61 ], additional training in managing complex and technically challenging issues [ 65 ] and incorporating more time for case studies and discussions [ 16 ].

Improved confidence and competence in health assessment and care planning

Improvements in assessment competencies following training interventions among healthcare professionals were reported in nineteen studies [ 16 , 41 , 42 , 51 , 52 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 62 , 63 , 64 , 65 , 66 , 67 , 68 ]. Among these, nine studies explicitly reported increased confidence among healthcare professionals in assessing older adults’ health needs [ 16 , 41 , 54 , 55 , 58 , 59 , 63 , 67 , 68 ]. The health need sassessment and use of assessment tools or checklists led to the identification of health needs. Quinlan and Ryer [ 43 ] noted that without screening in a fall prevention program, the identification of fall risk among older adults would be missed. Piau et al. [ 66 ] noted that a high proportion of assessments effectively identified frailty and suggested interventions and referrals. One comment was that they “were previously skirting around the problem, now asked about mental health directly” [ 61 , p. 33]. Naughton et al. [ 61 ] reported that performing a comprehensive geriatric assessment helped when raising issues with general practitioners because they were talking about their language. Nunn, Annells and Sims [ 60 ] acknowledged the use of Geriatric Depression Screening (GDS) tool raised awareness of depression. A total of 62.5% felt that the GDS helped identify depression that might otherwise be overlooked, but some questioned its universal usefulness [ 60 ]. Abbasi et al. [ 57 ] reported that having an evaluation framework helped healthcare professionals guide meaningful measures [ 57 ]. Conversely, some participants also expressed that they relied more on observation than direct questions when assessing depression [ 54 ]. According to Landi et al. [ 64 ], careful assessments is deemed essential for effective care planning, and Stolee et al. [ 55 ] emphasize the critical role of assessment training in identifying health needs and equitably distributing community service resources. Two studies reported one year of retention of knowledge and skills without the inclusion of a refresher course [ 54 , 62 ].

Twenty studies documented a better understanding of appropriate interventions and referrals [ 16 , 41 , 42 , 50 , 51 , 52 , 53 , 55 , 57 , 58 , 59 , 60 , 61 , 62 , 63 , 64 , 65 , 66 , 67 , 68 ]. According to Delaney et al. [ 16 ], 50% of the participants noted that a key aspect they learned was understanding the significance of the assessment results and the corresponding interventions [ 16 ]. The participants in the study by Neto et al. [ 65 ] demonstrated significantly improved capacity in responding to the health and care needs of older adults. The participant reported increased confidence in making referrals and consulting resources [ 51 ], increased knowledge about managing depression, making referrals, and accessing available local services [ 41 ] and enhanced self-efficacy in providing care for older adults [ 16 , 58 ]. Nunn, Annells and Sims [ 60 ] reported that 50% of participants felt prepared to address older adults’ depression after training. Smith et al. [ 62 ] observed increased referral practices and improved ability to advise patients about sensory services, whereas Mellor et al. [ 59 ] noted a slight increase over time in specialist referrals, and senior staff reported increased confidence in interacting with health specialists.

Shift in healthcare professionals’ work practices after assessment training

The training intervention resulted in either a change or potential for change in work practices in ten studies [ 16 , 42 , 43 , 52 , 53 , 55 , 57 , 62 , 63 , 64 ]. Butler and Quayle [ 63 ] reported that prior to receiving training, nurses did not utilize any formal assessment measures to screen for depression in older adults. However, following training, some nurses continue to use screening measures for depression in their clinical practice [ 63 ]. Similarly, case managers in Stolee et al. [ 55 ] stated that the major change in their assessment practice was greater consistency in the use of assessment tools. Smith et al. [ 62 ] reported a shift in practice toward incorporating more detailed information about patients’ impairments and implementing supportive strategies, and in Marcus et al. [ 53 ], communication of depression screening results to patients, physicians, or mental health specialists became a standard protocol.

Landi et al. [ 64 ] reported that training was proven feasible and may be implemented on a broader scale, and Luptak et al. [ 52 ] outlined an implementation period of the ADAPT—Assuring Depression Assessment and Proactive Treatment protocol for depression care in rural healthcare—with the potential to achieve the outlined goals in various clinical settings [ 52 ]. Delaney et al. [ 16 ] reported that project participants were interested in implementing the program in their homecare setting and developed a train-the-trainer model. Abbasi et al. [ 57 ] provided results and experiences regarding the Seniors Community Hub (SCH) through the ADKAR (awareness, desire, knowledge, ability, reinforcement) evaluation framework to assist others interested in implementing a similar integrated care model [ 57 ]. Quinlan and Ryer [ 43 ] stated that fall assessment practices are currently implemented and continuous; similarly, Quijano et al. [ 42 ] reported that depression interventions continue to be offered by participating agency offices. On the other hand, Butler and Quayle [ 63 ] noted the challenge of implementing assessment tools due to competing demands such as holidays, working part-time or being too busy, and Sin et al. [ 67 ] outlined one participant with difficulties in applying new knowledge owing to manpower shortages and constraints in time and space.

Outcomes for older adults following the health needs assessment training

Seven studies [ 42 , 43 , 50 , 53 , 57 , 66 , 68 ] detailed outcomes for older adults following health needs assessment training for healthcare professionals. These outcomes included appropriate referrals, tailored interventions, fall prevention, symptom reduction, and improved overall function. Bruce et al. [ 50 ] highlighted that depressed older adults in the intervention group were more likely to receive appropriate referrals for mental health evaluation [ 50 ], aligning with findings where a minimal intervention significantly increased the detection of depression and further referrals to general practitioners [ 68 ]. The findings in two studies demonstrated that patients were referred to tailored resources designed to address their identified problems [ 53 , 57 ]. Furthermore, Quijano et al. [ 42 ] revealed that older adults’ awareness of seeking help and the significance of physical activity for maintaining health improved. Quinlan and Ryer [ 43 ] stated that after providing care plans to 83 older adults, most implemented fall prevention strategies during a two-week follow-up call with 29 older adults, with only one fall reported. Piau et al. [ 66 ] identified the main causes of frailty and reported effective intervention recommendations and referrals [ 66 ]. Most physicians in Stolee et al. [ 55 ] reported better general function for older adults due to comprehensive geriatric assessment. Findings in two studies [ 42 , 57 ] documented reductions in depression severity at the follow-up assessment due to appropriate referrals and interventions [ 42 , 57 ], and significantly more older adults felt better and experienced pain reduction, followed by increased activity [ 42 ]. Additionally, Abbasi et al. [ 57 ] reported a slight improvement in health-related quality of life, including mobility, usual activities, pain/discomfort, and anxiety and depression, suggesting enhanced function [ 57 ].

This scoping review provides insights into training interventions for healthcare professionals assessing the physical, mental, and social health needs of older adults living at home. The analysis of 23 studies revealed that nearly all training interventions used a multifaceted training strategy combining teacher-driven and participant-engaging pedagogical approaches to teach healthcare professionals theoretical and practical knowledge. Health needs assessment training focuses on the skills needed to conduct single or multiple health needs assessments in older adults. Interprofessional collaboration was an essential part of most training interventions. Multiple studies noted that participants were satisfied with the training content and had increased confidence and competencies in health needs assessment and care planning. Studies have also reported a shift in work practices for health care professionals and some included results have shown improved health outcomes for older adults.

Our study revealed that most of the included studies blended the use of teacher-driven and participant-engaging pedagogical approaches [ 16 , 42 , 43 , 50 , 51 , 52 , 53 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 61 , 62 , 63 , 64 , 65 , 67 , 68 ]. These approaches provide participants with confidence and competencies in health needs assessment [ 16 , 41 , 42 , 51 , 52 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 62 , 63 , 64 , 65 , 66 , 67 , 68 ]. Skilled healthcare professionals are crucial in facilitating the implementation of health assessments for older adults [ 69 ]. Lectures can be highly effective for learning, especially when they stimulate thinking and active engagement. Their effectiveness depends on the lecturer’s skill and can be improved by incorporating learner feedback, performance results, self-reflection, and peer feedback [ 70 ]. Another way to improve lecture quality is by including interactive elements such as practical skill training, following John Dewey’s “learning by doing” philosophy [ 32 ]. In our review, we identified fifteen studies that utilized participant-engaging approaches such as skills training, role-playing, simulations, hands-on training in real-world settings [ 16 , 42 , 43 , 51 , 52 , 54 , 55 , 57 , 58 , 59 , 60 , 62 , 63 , 64 , 65 ], and sixteen studies employed discussion, questioning and coaching [ 43 , 51 , 52 , 53 , 54 , 55 , 56 , 58 , 59 , 60 , 61 , 63 , 64 , 65 , 67 , 68 ]. The integration of teacher-driven sessions, interactive training, and knowledge exchange resembles simulation training, which typically includes briefing, simulation exercises, and debriefing phases. These phases allow participants to reflect, enhance their learning, and deepen their educational experience [ 71 ]. Debriefing is a valuable tool for reflecting on and discussing experiences in training and real-world settings. This helps individuals and teams identify strengths, areas for improvement, and lessons learned, thereby enhancing learning and future performance [ 72 ]. However, effective debriefing relies on facilitators with strong skills to maximize learning outcomes [ 73 ].

The WHO advocates interprofessional simulation training to enhance healthcare professionals’ competencies and improve patient outcomes [ 2 ]. Even if several studies combined teacher-driven approaches, interactive training and knowledge exchange, our review included only one study utilizing simulation training [ 62 ]. Health needs assessment training for interprofessional teams was evident in eight of the studies included in our review [ 51 , 55 , 57 , 58 , 59 , 61 , 64 , 65 ]. Such training has been proven to provide valuable insights into the health of older adults, leading to improved care delivery [ 74 , 75 ], improved patient outcomes [ 76 ] and reduced hospitalization [ 74 ]. It can improve conflict management skills and team functioning [ 76 ] and play a critical role in equitably distributing community service resources [ 55 ]. Interprofessional simulation training is an engaging method for training clinical skills, procedures, teamwork, and communication in a safe, realistic environment [ 77 ]. It promotes critical thinking, reflection [ 78 ], and effective learning [ 79 ] enhancing the application of knowledge in clinical practice [ 80 ]. The use of participant engaging pedagogical approaches aligns with the sociocultural view of training, which emphasizes active engagement and collaboration in the learning process. It enables knowledge exchange and reflection, and participants can integrate their experiences with new information, internalize it, and construct new knowledge [ 32 , 81 ]. Practical training such as simulations, can push participants out of their comfort zones, foster collaborative learning and enrich the educational experience [ 82 ]. However, to achieve optimal learning, it is crucial to balance skill development with an appropriate level of challenge as learners acquire new concepts. At the same time, temporary support from more experienced learners should be available. This balance is known as the zone of proximal development, which represents the space between a learner’s current skill level and their potential skill level with guidance. Tasks within this zone promote growth [ 83 ].

Our review reports a distinction in training content with a focus on assessing single versus multiple health needs in older adults. Ten studies [ 16 , 41 , 52 , 53 , 54 , 58 , 59 , 60 , 63 , 68 ] focused solely on assessing depression. There is a strong correlation between late-life depression and reduced quality of life, as well as comorbidities such as physical illness, disability [ 58 , 84 ] and physical frailty [ 85 , 86 ]. However, single health need assessment training may inadvertently lead to the overlooking of broader health needs among older adults. A multiple health assessment of older adults is recommended [ 7 ], as it can serve as the foundation for developing holistic interventions to enhance overall health [ 10 , 12 , 87 , 88 , 89 ], promote health [ 90 ], foster positive health behaviors [ 91 ], and reduce frailty [ 92 , 93 ]. Our review included eight studies [ 42 , 51 , 55 , 56 , 57 , 61 , 64 , 66 ] providing training in physical, cognitive, mental, and social health needs assessment, alongside care planning on the basis of these assessments. Research indicates that both healthcare professionals and frail older adults participating in an interdisciplinary care approach were satisfied with the improved structure of care and appreciated the emphasis on health promotion [ 94 ]. On the other hand, a comprehensive health needs assessment is a multifaceted and complex intervention, with uncertainties surrounding its effectiveness and underlying mechanisms [ 95 ]. Some research findings indicate that there is no conclusive evidence that it reduces disability, prevents functional decline [ 96 ], impacts mortality, or supports independent living in older adults [ 97 ]. These results underscore the complexity and challenges in conducting and implementing comprehensive health needs assessments and tailoring interventions to promote health in older adults.

Our review revealed that almost all [ 16 , 41 , 42 , 43 , 50 , 51 , 52 , 53 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 61 , 63 , 64 , 65 , 66 , 67 , 68 ] health needs assessment training programs included the use of assessment tools or checklists, leading to the identification of health needs. Only one of these studies reported that participants relied more on observation than on direct questioning when assessing depression [ 54 ]. Additionally, another study found that healthcare professionals using assessment tools felt that this approach led to asking overly personal and intrusive questions without first establishing trust or explaining the purpose of the assessment [ 98 ]. On the other hand, some older adults reported that using assessment tools made it difficult to discuss issues outside the predefined domains of the comprehensive health needs assessment [ 99 ]. Research indicates that current assessment practices heavily rely on professional judgment and intuition, and healthcare professionals in community settings often lack adequate knowledge and training regarding the health needs assessment of older adults [ 22 , 100 ]. This can be seen as problematic because these professionals are ideally positioned to assess older adults early in their health trajectories [ 105 ]. Proper assessment in these settings can facilitate the early recognition of functional decline [ 101 , 102 ] and vulnerability, enable timely intervention to mitigate frailty’s adverse effects [ 105 ], and support effective care planning [ 64 ]. Even if several healthcare professionals have endorsed the integration of frailty assessment tools into primary care [ 22 ], they need a simple, efficient assessment tool [ 105 ] that empowers them to identify older adults’ health needs [ 9 , 88 , 103 , 104 ]. This is particularly critical due to the essential role that assessments play in equitably distributing community service resources [ 105 ]. As such, this review underscores the importance of educating healthcare professionals in community care to effectively assess the physical, mental, and social health needs of older adults. Furthermore, understanding the learning process of healthcare professionals [ 78 ], evaluating the effects of training [ 106 ], and establishing evidence-based standards for skills training are crucial for high-quality teaching [ 107 ]. Additionally, further research is necessary to assess the feasibility, effectiveness, and acceptability of interprofessional interventions targeting multiple health needs aimed at health promotion [ 90 ] and experiences using comprehensive health assessment tools [ 108 ].

Methodological considerations

This review included studies employing various methods to obtain comprehensive insights into training healthcare professionals in assessing the health needs of older adults living at home [ 47 ]. We utilized a validated mixed-methods appraisal tool to assess the quality of the included studies [ 47 , 49 ]. We did not include reporting on screening questions regarding the clarity of the research question or whether the collected data addressed the research questions, as our review focused exclusively on empirical studies. Additionally, we chose not to calculate an overall score from the ratings of each criterion, as this practice is discouraged. We provide an overview of each study’s quality by presenting the ratings of each criterion [ 49 ]. Our findings revealed that only one study met all the quality criteria, fifteen studies met four criteria, three studies met three criteria, and four studies met only one criterion. High-quality studies employ rigorous and robust methods, leading to reliable and valid findings [ 109 ]. While most studies met 3–4 quality criteria, they provide a relatively strong evidence base and offer valuable insights, although some concerns remain. Several studies did not meet the quality criteria for nonresponse bias or complete outcome data. It is crucial to describe and evaluate a low response rate for its potential impact, as this can limit the generalizability of findings [ 110 ]. Many studies also failed to account for confounders in their design and analysis. Confounding factors may bias results by distorting the interpretation of findings [ 49 ], masking actual associations or creating false associations, potentially leading to incorrect conclusions [ 111 ]. The randomization of study subjects and rigorous statistical analyses can mitigate the impact of confounding variables [ 112 ]. Nonetheless, conducting a quality assessment increases awareness of these biases and limitations, thereby enhancing our confidence in the study findings.

Strengths and limitations

Our scoping review has several limitations. Initially, our search strategy involved the use of six databases and various relevant search terms related to training healthcare professionals in assessing the health needs of older adults. We excluded gray literature to focus on mapping existing published research and identifying any research gaps. The search was conducted by an experienced librarian. Despite our efforts to comprehensively map the research literature, we may have overlooked some studies. Second, our exclusion criteria, which encompassed, for example, general practitioners, students, and institutional settings, restricted the scope of the study. Additionally, we focused on health needs assessment, excluding studies that assessed the environment, an important factor in enabling older adults to stay at home as long as possible. However, based on the findings and limitations of the included studies, we believe our review provides valuable insights into the research context. These findings can inform future research, practice, policymaking, and the development of training programs for healthcare professionals in community settings to assess older adults’ health needs.

Healthcare professionals require training in assessing physical, mental, and social health needs in older adults living at home to ensure tailored interventions that enhance their health and independence. Our study revealed that healthcare professionals were satisfied with the combination of participant-engaging and teacher-driven pedagogical approaches when training in physical, mental, and social health needs assessment. Such training is beneficial and strengthens healthcare professionals’ confidence and competency in assessment and care planning for older adults living at home. Additionally, some studies reported that following health needs assessment training, there was a shift in work practices and improved health outcomes for older adults. We suggest that health needs assessment training programs are valuable for improving health and care for older adults living at home and contribute to increased sustainability in healthcare.

Furthermore, we propose additional research on interprofessional simulation training for the structured assessment of multiple health needs in older adults, ensuring comprehensive coverage of all significant health issues in these assessments. We also recommend research on the implementation of such assessments and health promoting interventions.

Data availability

No datasets were generated or analysed during the current study.

Avallone M, Perweiler E, Pacetti S. Using the 4Ms framework to teach geriatric competencies in a community clinical experience. Nurs Forum [Internet]. 2021; 56(1):[83 – 8 pp.]. https://doi.org/10.1111/nuf.12511

World Health Organization W. Transforming and scaling up health professionals’ education and training. World Health Organization guidelines 2013. Geneva: World Health Organization; 2013. p. 122.

Google Scholar  

World Health Organization W. Ageing and health Geneva: World Health Organization, WHO. 2022 [ https://www.who.int/news-room/fact-sheets/detail/ageing-and-health

Thiyagarajan JA, Araujo de Carvalho I, Peña-Rosas JP, Chadha S, Mariotti SP, Dua T et al. Redesigning care for older people to preserve physical and mental capacity: WHO guidelines on community-level interventions in integrated care. PLoS Med [Internet]. 2019; 16(10):[e1002948-e pp.]. https://doi.org/10.1371/journal.pmed.1002948

World Health Organization W. Integrated care for older people (ICOPE): Guidance for person-centred assessment and pathways in primary care Geneva. World Health Organization,;; 2019. (WHO/FWC/ALC/19.1).

Wright J, Williams R, Wilkinson JR. Development and importance of health needs assessment. Bmj [Internet]. 1998; 316(7140):[1310-3 pp.]. https://doi.org/10.1136/bmj.316.7140.1310

Ravaghi H, Guisset A-L, Elfeky S, Nasir N, Khani S, Ahmadnezhad E, Abdi Z. A scoping review of community health needs and assets assessment: concepts, rationale, tools and uses. BMC Health Services Research [Internet]. 2023; 23(1):[44 p.]. https://doi.org/10.1186/s12913-022-08983-3

Karlsson S, Ridbäck A, Brobeck E, Norell Pejner M. Health Promotion Practices in Nursing for Elderly Persons in Municipal Home Care: An Integrative Literature Review. Home Health Care Management & Practice [Internet]. 2020; 32(1):[53–61 pp.]. https://doi.org/10.1177/1084822319863308

Schain A, Rees C, Medina C, Eyler R, Glenney S, Rodko E et al. Reducing Risks for Older Adults With an Interprofessional Community-Academic Partnership: A Case Study. Home Healthc Now [Internet]. 2018; 36(6):[362-8 pp.]. https://doi.org/10.1097/nhh.0000000000000696

van Assen MALM, Helmink JHM, Gobbens RJJ. Associations between lifestyle factors and multidimensional frailty: a cross-sectional study among community-dwelling older people. BMC Geriatrics [Internet]. 2022; 22(1):[1–13 pp.]. https://doi.org/10.1186/s12877-021-02704-x

Kennedy MA, Hatchell KE, DiMilia PR, Kelly SM, Blunt HB, Bagley PJ et al. Community health worker interventions for older adults with complex health needs: A systematic review. Journal of the American Geriatrics Society [Internet]. 2021; 69(6):[1670-82 pp.]. https://doi.org/10.1111/jgs.17078

de Carvalho IA, Epping-Jordan J, Pot AM, Kelley E, Toro N, Thiyagarajan JA, Beard JR. Organizing integrated health-care services to meet older people’s needs. Bull World Health Organ [Internet]. 2017; 95(11):[756 – 63 pp.]. https://doi.org/10.2471/BLT.16.187617

Rusli KDB, Tan AJQ, Ong SF, Speed S, Lau Y, Liaw SY. Home-based nursing care competencies: A scoping review. Journal of Clinical Nursing [Internet]. 2023; 32(9–10):[1723-37 pp.]. https://doi.org/10.1111/jocn.16169

World Health Organization W. Integrated care for older people (ICOPE) Geneva: World Health Organization, WHO. 2024 [ https://www.who.int/teams/maternal-newborn-child-adolescent-health-and-ageing/ageing-and-health/integrated-care-for-older-people-icope

Adhikari P. Geriatric health care in India -Unmet needs and the way forward. Archives of Medicine and Health Sciences [Internet]. 2017; 5:[112 p.]. https://doi.org/10.4103/2321-4848.208215

Delaney C, Fortinsky RH, Doonan L, Grimes RLW, Terra-Lee P, Rosenberg S, Bruce ML. Depression Screening and Interventions for Older Home Health Care Patients: Program Design and Training Outcomes for a Train-the-Trainer Model. Home Health Care Management & Practice [Internet]. 2011 2011/12/01; 23(6):[435 – 45 pp.]. https://doi.org/10.1177/1084822311405459

Briskie Semeniuk P, Bier N, Couture M, Vachon B, Belchior P. Perceived knowledge needs of occupational therapists for evaluating seniors with cognitive impairments. Physical & Occupational Therapy in Geriatrics [Internet]. 2023; 41(4):[515 – 37 pp.]. https://doi.org/10.1080/02703181.2023.2180566

Galvez-Hernandez P, González-de Paz L, Muntaner C. Primary care-based interventions addressing social isolation and loneliness in older people: a scoping review. BMJ Open [Internet]. 2022; 12(2):[e057729-e pp.]. https://doi.org/10.1136/bmjopen-2021-057729

Mathisen TS, Eilertsen G, Ormstad H, Falkenberg HK. Barriers and facilitators to the implementation of a structured visual assessment after stroke in municipal health care services. BMC Health Services Research. 2021;21(1):497. https://doi.org/10.1186/s12913-021-06467-4

Li S, Zhang J, Liu Y, Wang A-P, Qiu G. Survey of the demand for care services for older people and the training needs of their care workers: a cross-sectional study in Northeast China. BMC Nurs [Internet]. 2022; 21(1):[25- pp.]. https://doi.org/10.1186/s12912-022-00809-1

Fulmer T, Reuben DB, Auerbach J, Fick DM, Galambos C, Johnson KS, Actualizing Better Health And Health Care For Older Adults. Health Affairs [Internet]. 2021; 40(2):[219 – 25 pp.]. https://doi.org/10.1377/hlthaff.2020.01470

Kennedy F, Galvin R, Horgan NF. Managing frailty in an Irish primary care setting: A qualitative study of perspectives of healthcare professionals and frail older patients. Journal of Frailty, Sarcopenia & Falls [Internet]. 2021; 6(1):[1–8 pp.]. https://doi.org/10.22540/JFSF-06-001

Frost R, Robinson K, Gordon AL, Caldeira de Melo R, Villas Boas PJF, Azevedo PS et al. Identifying and Managing Frailty: A Survey of UK Healthcare Professionals. Journal of Applied Gerontology [Internet]. 2023; 43(4):[402 – 12 pp.]. https://doi.org/10.1177/07334648231206321

Gobbens RJ, Luijkx KG, Wijnen-Sponselee MT, Schols JM. Toward a conceptual definition of frail community dwelling older people. Nursing Outlook [Internet]. 20102010/03/01/; 58(2):[76–86 pp.]. https://doi.org/10.1016/j.outlook.2009.09.005

Salas E, Tannenbaum SI, Kraiger K, Smith-Jentsch KA. The Science of Training and Development in Organizations:What Matters in Practice. Psychological Science in the Public Interest [Internet]. 2012; 13(2):[74–101 pp.]. https://doi.org/10.1177/1529100612436661

Armstrong M, Taylor S. Armstrong’s handbook of human resource management practice: A guide to the theory and practice of people management. Kogan Page; 2023.

World Health Organization W. Building a skilled health workforce World Health Organization, Europe: World Health Organization, WHO. 2024. https://www.who.int/europe/activities/building-a-skilled-health-workforce

Ganann R, Weeres A, Lam A, Chung H, Valaitis R. Optimization of home care nurses in Canada: A scoping review. Health & Social Care in the Community [Internet]. 2019; 27(5):[e604-e21 pp.]. https://doi.org/10.1111/hsc.12797

Reeves S, Lewin S, Espin S, Zwarenstein M. Interprofessional teamwork for health and social care. Wiley; 2011.

Cunningham N, Cowie J, Watchman K, Methven K. Understanding the training and education needs of homecare workers supporting people with dementia and cancer: A systematic review of reviews. Dementia (London) [Internet]. 2020; 19(8):[2780 – 803 pp.]. https://doi.org/10.1177/1471301219859781

Kolb DA. Experiential learning: Experience as the source of learning and development. Second edition ed. Upper Saddle River, New Jersey Pearson Education, Inc.; 2015.

Säljö R, Moen S. Læring og kulturelle redskaper: om læreprosesser og den kollektive hukommelsen. Oslo: Cappelen akademisk forl.; 2006.

Myrvang T, Rokstad AMM. Simulering og ferdighetstrening kombinert med bruk av systematiske verktøy i sykehjem – en kvalitativ studie av sykepleieres erfaringer. Nordisk sygeplejeforskning [Internet]. 2022; 12(2):[1–14 pp.]. https://doi.org/10.18261/nsf.12.2.1

Peters M, Godfrey C, McInerney P, Munn Z, Tricco A, Khalil H. In: E A, Munn Z, editors. Chapter 11: scoping reviews. JBI Manual for Evidence Synthesis: JBI; 2020.

Arksey H, O’Malley L. Scoping studies: towards a methodological framework. International journal of social research methodology [Internet]. 2005; 8(1):[19–32 pp.]. https://doi.org/10.1080/1364557032000119616

Peters MDJ, Marnie C, Tricco AC, Pollock D, Munn Z, Alexander L, et al. Updated methodological guidance for the conduct of scoping reviews. JBI Evid Synthesis [Internet]. 2020;18(10):2119. 26 pp.].

Article   Google Scholar  

Tricco AC, Lillie E, Zarin W, O’Brien KK, Colquhoun H, Levac D et al. PRISMA extension for scoping reviews (PRISMA-ScR): checklist and explanation. Annals of internal medicine [Internet]. 2018; 169(7):[467 – 73 pp.]. https://www.acpjournals.org/doi/full/ https://doi.org/10.7326/M18-0850

Singh S, Bajorek B. Defining ‘elderly’ in clinical practice guidelines for pharmacotherapy. Pharm Pract (Granada) [Internet]. 2014; 12(4):[489 p.]. https://doi.org/10.4321/s1886-36552014000400007

Moher D, Liberati A, Tetzlaff J, Altman DG. Preferred reporting items for systematic reviews and meta-analyses: the PRISMA statement. BMJ [Internet]. 2009; 339(7716):[332-6 pp.]. https://doi.org/10.1136/bmj.b2535

Ouzzani M, Hammady H, Fedorowicz Z, Elmagarmid A. Rayyan—a web and mobile app for systematic reviews. Systematic reviews [Internet]. 2016; 5(1):1–10 pp.]. https://link.springer.com/article/ https://doi.org/10.1186/s13643-016-0384-4

Mayall E, Oathamshaw S, Lovell K, Pusey H. Development and piloting of a multidisciplinary training course for detecting and managing depression in the older person. Journal of Psychiatric and Mental Health Nursing [Internet]. 2004; 11(2):[165 – 71 pp.]. https://doi.org/10.1111/j.1365-2850.2003.00702.x

Quijano LM, Stanley MA, Petersen NJ, Casado BL, Steinberg EH, Cully JA, Wilson NL. Healthy IDEAS:A Depression Intervention Delivered by Community-Based Case Managers Serving Older Adults. Journal of Applied Gerontology [Internet]. 2007; 26(2):[139 – 56 pp.]. https://doi.org/10.1177/0733464807299354

Quinlan S, Ryer S. Implementing a Fall Prevention Initiative in Nurse-Facilitated Annual Wellness Visits: A Quality Improvement Project. Journal of Nursing Care Quality [Internet]. 2023; 38(3):[243 – 50 pp.]. https://doi.org/10.1097/NCQ.0000000000000690

Pollock D, Peters MDJ, Khalil H, McInerney P, Alexander L, Tricco AC et al. Recommendations for the extraction, analysis, and presentation of results in scoping reviews. JBI Evidence Synthesis [Internet]. 2023; 21(3):[520 – 32 pp.]. https://doi.org/10.11124/jbies-22-00123

Braun V, Clarke V. Thematic analysis: a practical guide. Los Angeles, California: SAGE; 2022.

Book   Google Scholar  

Phillips M, Lu J. A quick look at NVivo. Journal of Electronic Resources Librarianship [Internet]. 2018 2018/04/03; 30(2):[104-6 pp.]. https://doi.org/10.1080/1941126X.2018.1465535

Pace R, Pluye P, Bartlett G, Macaulay AC, Salsberg J, Jagosh J, Seller R. Testing the reliability and efficiency of the pilot Mixed Methods Appraisal Tool (MMAT) for systematic mixed studies review. Int J Nurs Stud [Internet]. 2012; 49(1):[47–53 pp.]. https://doi.org/10.1016/j.ijnurstu.2011.07.002

Kazi MR, Chowdhury N, Chowdhury M, Turin TC. Conducting comprehensive scoping reviews to systematically capture the landscape of a subject matter. Population Medicine [Internet]. 2021; 3(December):[1–9 pp.]. https://doi.org/10.18332/popmed/143831

Hong QN, Pluye P, Fàbregues S, Bartlett G, Boardman F, Cargo M et al. Mixed methods appraisal tool (MMAT), version 2018. Registration of copyright [Internet]. 2018; 1148552(10).

Bruce ML, Brown EL, Raue PJ, Mlodzianowski AE, Meyers BS, Leon AC et al. A randomized trial of depression assessment intervention in home health care. J Am Geriatr Soc [Internet]. 2007; 55(11):[1793 – 800 pp.].

Couser S, Moehrlin BA, Deitrich C, Hess L. Expanding community health nursing roles to meet health-care needs of frail elderly. An adult learning model. J Community Health Nurs [Internet]. 1990;7(1):3–13. pp.].

Luptak M, Kaas MJ, Artz M, McCarthy T, Project ADAPT. A program to assess depression and provide proactive treatment in rural areas. Gerontologist [Internet]. 2008; 48(4):[542-8 pp.]. https://doi.org/10.1093/geront/48.4.542

Marcus P, Kennedy GJ, Wetherbee C, Korenblatt J, Dorta H, Lantz MS. Training professional home care staff to help reduce depression in elderly home care recipients. Clin Geriatr [Internet]. 2006; 14(7):[13 – 6 pp.].

Brown EL, Raue PJ, Roos BA, Sheeran T, Bruce ML. Training nursing staff to recognize depression in home healthcare. J Am Geriatr Soc [Internet]. 2010; 58(1):[122-8 pp.]. https://doi.org/10.1111/j.1532-5415.2009.02626.x

Stolee P, Patterson ML, Wiancko DC, Esbaugh J, Arcese ZA, Vinke AM et al. An enhanced role in comprehensive geriatric assessment for community-nurse case managers. Can J Aging [Internet]. 2003; 22(2):[177 – 84 pp.].

Brymer C, Cormack C, Spezowka K. Improving the care of the elderly in a rural county through education. Gerontology & Geriatrics Education [Internet]. 1998; 19(1):[55–64 pp.]. https://doi.org/10.1300/j021v19n01_05

Abbasi M, Khera S, Dabravolskaj J, Chevalier B, Parker K. The seniors’ community hub: An integrated model of care for the identification and management of frailty in primary care. Geriatrics (Switzerland) [Internet]. 2021; 6(1):[1–15 pp.]. https://doi.org/10.3390/geriatrics6010018

McCabe MP, Russo S, Mellor D, Davison TE, George K. Effectiveness of a training program for carers to recognize depression among older people. International Journal of Geriatric Psychiatry [Internet]. 2008; 23(12):[1290-6 pp.]. https://doi.org/10.1002/gps.2067

Mellor D, Kiehne M, McCabe MP, Davison TE, Karantzas G, George K. An evaluation of the beyondblue Depression Training Program for aged care workers. International Psychogeriatrics [Internet]. 2010; 22(6):[927 – 37 pp.]. https://doi.org/10.1017/S1041610210000153

Nunn R, Annells M, Sims J. Screening for depression in older district nursing clients: feasibility study. British Journal of Community Nursing [Internet]. 2007; 12(3):[108 – 14 pp.]. https://doi.org/10.12968/bjcn.2007.12.3.23037

Naughton C, Hayes N, Zahran Z, Norton C, Lee G, Fitzpatrick JM et al. The development of the Older Person’s Nurse Fellowship: Education concept to delivery. Nurse Education Today [Internet]. 2016; 44:[1–7 pp.]. https://doi.org/10.1016/j.nedt.2016.04.022

Smith A, Shepherd A, Macaden L, Macleod KL. Raising awareness of sensory impairment among community nurses: a brief intervention in a remote island setting. Rural & Remote Health [Internet]. 2018 08; 18(3):[4548 p.]. https://doi.org/10.22605/RRH4548

Butler M, Quayle E. Training primary care nurses in late-life depression: knowledge, attitude and practice changes. International Journal of Older People Nursing [Internet]. 2007 2023-10-26; 2(1):[25–35 pp.]. https://doi.org/10.1111/j.1748-3743.2007.00054.x

Landi F, Sgadari A, Cipriani L, Castellani M, Pahor M, Carbonin PU, Bernabei R. A simple program to train case managers in community elderly care. Aging Clinical and Experimental Research [Internet]. 1996; 8(3):[211-8 pp.]. https://doi.org/10.1007/bf03339679

Neto JBF, de Moraes GLA, de Souza Aredes J, Giacomin KC, de Melo LP, Sempe L, Lloyd-Sherlock P. Building the capacity of community health workers to support health and social care for dependent older people in Latin America: a pilot study in Fortaleza, Brazil. BMC Geriatrics [Internet]. 2021 10 02; 21(1):[526 p.]. https://doi.org/10.1186/s12877-021-02477-3

Piau A, Sourdet S, Toulza O, Bernon C, Tavassoli N, Nourhashemi F. Frailty Management in Community-Dwelling Older Adults: Initial Results of a Trained Nurses Program. Journal of the American Medical Directors Association [Internet]. 2019; 20(5):[642-3 pp.]. https://doi.org/10.1016/j.jamda.2018.11.011

Sin GL, Yeo D, Koh HJ, Lee J, Ng LL. Training eldercare workers in mental healthcare. Singapore Med J [Internet]. 2018 01; 59(1):[28–32 pp.]. https://doi.org/10.11622/smedj.2017052

Van Daele T, Vansteenwegen D, Hermans D, Van den Bergh O, Van Audenhove C. Home nurses and patient depression. Attitudes, competences and the effects of a minimal intervention. Journal of Advanced Nursing (John Wiley & Sons, Inc) [Internet]. 2015; 71(1):[126 – 35 pp.]. https://doi.org/10.1111/jan.12476

King AII, Boyd ML, Dagley L, Raphael DL. Implementation of a gerontology nurse specialist role in primary health care: Health professional and older adult perspectives. J Clin Nurs [Internet]. 2018; 27(3–4):[807 – 18 pp.]. https://doi.org/10.1111/jocn.14110

Di Leonardi BC. Tips for facilitating learning: the lecture deserves some respect. J Contin Educ Nurs [Internet]. 2007 Jul-Aug; 38(4):[154 – 61; quiz 62 – 3, 75 pp.]. https://doi.org/10.3928/00220124-20070701-09

Dieckmann P. Using Simulations for Education, Training and Research. Pabst Science; 2009.

Tannenbaum SI, Cerasoli CP. Do Team and Individual Debriefs Enhance Performance? A Meta-Analysis. Human Factors [Internet]. 2013; 55(1):[231 – 45 pp.]. https://doi.org/10.1177/0018720812448394

Tannenbaum SI, Greilich PE. The debrief imperative: building teaming competencies and team effectiveness. BMJ Quality & Safety [Internet]. 2023; 32(3):[125-8 pp.]. https://doi.org/10.1136/bmjqs-2022-015259

Montano AR, Shellman J, Malcolm M. Outcomes From an Interprofessional Geriatric Outreach and Training Program. Innov Aging [Internet]. 2022; 6(6):[igac044 p.]. https://doi.org/10.1093/geroni/igac044

Ostertag S, Bosic-Reiniger J, Migliaccio C, Zins R. Promoting Older Adult Health with Interprofessional Education through Community Based Health Screening. Int J Environ Res Public Health [Internet]. 2022; 19(11). https://doi.org/10.3390/ijerph19116513

Park MK, Taylor JA, Biernot J, Martin DJ, The Virtual Geriatric Assessment Interdisciplinary Team Project.: Interprofessional Geriatric Training Against the Backdrop of COVID-19. Journal of Applied Gerontology [Internet]. 2024; 0(0):[07334648241234496 p.]. https://doi.org/10.1177/07334648241234496

Decker S, Sportsman S, Puetz L, Billings L. The Evolution of Simulation and Its Contribution to Competency. The Journal of Continuing Education in Nursing [Internet]. 2008; 39(2):[74–80 pp.]. Available from: https://doi.org/10.3928/00220124-20080201-06

Rutherford-Hemming T. Simulation Methodology in Nursing Education and Adult Learning Theory. Adult Learning [Internet]. 2012; 23(3):[129 – 37 pp.]. https://doi.org/10.1177/1045159512452848

Husebø SE, O’Regan S, Nestel D. Reflective practice and its role in simulation. Clinical Simulation in Nursing [Internet]. 2015; 11(8):[368 – 75 pp.]. https://doi-org.ezproxy.uis.no/ https://doi.org/10.1016/j.ecns.2015.04.005

Acosta DJ, Rinfret A, Plant J, Hsu AT. Using Patient Simulation to Promote Best Practices in Fall Prevention and Postfall Assessment in Nursing Homes. Journal of Nursing Care Quality [Internet]. 2022; 37(2):[117 – 22 pp.]. https://doi.org/10.1097/NCQ.0000000000000599

Vygotskij LS, Roster MT, Bielenberg T-J, Skodvin A, Kozulin A. Tenkning og tale. Oslo: Gyldendal akademisk; 2001.

Owen L, Steel A, Goffe K, Pleming J, Sampson EL. A multidisciplinary simulation programme to improve advance care planning skills and engagement across primary and secondary care. Clinical Medicine. 2022; 22(1):[51 – 7 pp.]. https://doi.org/10.7861/clinmed.2021-0240

Vygotskij LS, Cole MG, John-Steiner V, Scribner S, Souberman E. Mind in society: the development of higher psychological processes. Cambridge, Mass: Harvard University Press; 1978.

Nelson JC, Clary CM, Leon AC, Schneider LS. Symptoms of Late-Life Depression: Frequency and Change During Treatment. The American Journal of Geriatric Psychiatry [Internet]. 2005 Jun 2005; 13(6):[520-6 pp.]. http://ezproxy.uis.no/login?url=https://www-proquest-com.ezproxy.uis.no/scholarly-journals/symptoms-late-life-depression-frequency-change/docview/195983951/se-2

Mulasso A, Roppolo M, Giannotta F, Rabaglietti E. Associations of frailty and psychosocial factors with autonomy in daily activities: a cross-sectional study in Italian community-dwelling older adults. Clinical Interventions in Aging [Internet]. 2016 2023-11-22; 11:[37–45 pp.]. https://doi.org/10.2147/CIA.S95162

Oyon J, Serra-Prat M, Ferrer M, Llinares A, Pastor N, Limón E et al. Psychosocial factors associated with frailty in the community-dwelling aged population with depression. A cross-sectional study. Atención Primaria [Internet]. 2021 2021/05/01/; 53(5):[102048 p.]. https://doi.org/10.1016/j.aprim.2021.102048

Agredano RS, Masclans JG, Guix-Comellas EM, Fraile VM, Sarria-Guerrero JA, Pola MS, Fabrellas N. Older Adults With Complex Chronic Conditions Who Receive Care at Home: The Importance of Primary Care Assessment. Journal of gerontological nursing [Internet]. 2021; 47(11):[31 – 8 pp.]. https://doi.org/10.3928/00989134-20211013-02

Seematter-Bagnoud L, Büla C. Brief assessments and screening for geriatric conditions in older primary care patients: a pragmatic approach. Public Health Rev [Internet]. 2018; 39:[8 p.]. https://doi.org/10.1186/s40985-018-0086-7

Piccoliori G, Gerolimon E, Abholz HH. Geriatric assessment in general practice using a screening instrument: is it worth the effort? Results of a South Tyrol Study. Age Ageing [Internet]. 2008; 37(6):[647 – 52 pp.]. https://doi.org/10.1093/ageing/afn161

Prince MJ, Acosta D, Guerra M, Huang Y, Jacob KS, Jimenez-Velazquez IZ et al. Intrinsic capacity and its associations with incident dependence and mortality in 10/66 Dementia Research Group studies in Latin America, India, and China: A population-based cohort study. PLoS Med [Internet]. 2021; 18(9):[e1003097-e pp.]. https://doi.org/10.1371/journal.pmed.1003097

Seah B, Kowitlawakul Y, Jiang Y, Ang E, Chokkanathan S, Wang W. A review on healthy ageing interventions addressing physical, mental and social health of independent community-dwelling older adults. Geriatric Nursing [Internet]. 2019; 40(1):[37–50 pp.]. https://doi.org/10.1016/j.gerinurse.2018.06.002

Macdonald SHF, Travers J, Éidín Ní S, Bailey J, Romero-Ortuno R, Keyes M et al. Primary care interventions to address physical frailty among community-dwelling adults aged 60 years or older: A meta-analysis. PLoS One [Internet]. 2020; 15(2). https://doi.org/10.1371/journal.pone.0228821

Li C-M, Chen C-Y, Li C-Y, Wang W-D, Wu S-C. The effectiveness of a comprehensive geriatric assessment intervention program for frailty in community-dwelling older people: a randomized, controlled trial. Archives of Gerontology and Geriatrics [Internet]. 2010; 50:[S39-S42 pp.]. https://doi.org/10.1016/S0167-4943(10)70011-X

Metzelthin SF, Daniëls R, van Rossum E, Cox K, Habets H, de Witte LP, Kempen GIJM. A nurse-led interdisciplinary primary care approach to prevent disability among community-dwelling frail older people: A large-scale process evaluation. Int J Nurs Stud [Internet]. 2013; 50(9):[1184-96 pp.]. https://doi.org/10.1016/j.ijnurstu.2012.12.016

Fox ST, Janda M, Hubbard R. Understanding how comprehensive geriatric assessment works: the importance of varied methodological approaches. Aging Clinical and Experimental Research [Internet]. 2023 2023/02/01; 35(2):[417 – 23 pp.]. https://doi.org/10.1007/s40520-022-02305-7

Metzelthin SF, van Rossum E, de Witte LP, Ambergen AW, Hobma SO, Sipers W, Kempen GIJM. Effectiveness of interdisciplinary primary care approach to reduce disability in community dwelling frail older people: cluster randomised controlled trial. BMJ [Internet]. 2013; 347(7926):[12- pp.]. https://doi.org/10.1136/bmj.f5264

Mayo-Wilson E, Grant S, Burton J, Parsons A, Underhill K, Montgomery P. Preventive home visits for mortality, morbidity, and institutionalization in older adults: a systematic review and meta-analysis. PLoS One [Internet]. 2014 PMC3951196]; 9(3):[e89257 p.]. https://doi.org/10.1371/journal.pone.0089257

Lagerin A. District nurses’ experiences of preventive home visits to 75-year-olds in Stockholm: a qualitative study. Primary Health Care Research & Development (Cambridge University Press / UK) [Internet]. 2016; 17(5):[464 – 78 pp.]. https://doi.org/10.1017/S1463423615000560

Rietkerk W, Smit MF, Wynia K, Slaets JPJ, Zuidema SU, Gerritsen DL. Explaining experiences of community-dwelling older adults with a pro-active comprehensive geriatric assessment program - a thorough evaluation by interviews. BMC Geriatr [Internet]. 2019; 19(1):[12 p.]. https://doi.org/10.1186/s12877-018-1025-7

Papadopoulou C, Barrie J, Andrew M, Martin JC, Birt A, Raymond Duffy FJ, Hendry A. Perceptions, practices and educational needs of community nurses to manage frailty. Br J Community Nurs [Internet]. 2021; 26(3):[136 – 42 pp.]. https://doi.org/10.12968/bjcn.2021.26.3.136

Lang D, Hoey C, O’Shea D, Whitty H. National Frailty Education Programme Report: the fundamentals of Frailty. Republic of Ireland: Health Service Executive; 2023.

Donoghue OA, O’Shea M, McGarrigle CA, Lang D, Hoey C, Whitty H et al. Translating frailty assessment methodologies and research-based evidence to clinical education and practice. Journal of Aging & Social Policy [Internet]. 2022; 34(4):[537 – 51 pp.]. https://doi-org.ezproxy.uis.no/10.1080/08959420.2020.1777825

Obbia P, Graham C, Duffy FJR, Gobbens RJJ. Preventing frailty in older people: An exploration of primary care professionals’ experiences. Int J Older People Nurs [Internet]. 2020; 15(2):[e12297 p.]. https://doi.org/10.1111/opn.12297

Hoogendijk EO, Afilalo J, Ensrud KE, Kowal P, Onder G, Fried LP. Frailty: implications for clinical practice and public health. Lancet [Internet]. 2019; 394(10206):[1365-75 pp.]. https://doi.org/10.1016/S0140-6736(19)31786-6

Carroll C, Sworn K, Booth A, Tsuchiya A, Maden M, Rosenberg M. Equity in healthcare access and service coverage for older people: a scoping review of the conceptual literature. Integr Healthc J [Internet]. 2022; 4(1):[e000092 p.]. https://doi.org/10.1136/ihj-2021-000092

Dieckmann P. The unexpected and the non-fitting - considering the edges of simulation as social practice. Adv Simul (Lond) [Internet]. 2020; 5(1):[2- pp.]. https://doi.org/10.1186/s41077-020-0120-y

Reierson IA, Ravik M, Blomberg K, Bjork IT, Boelenius K, Stenholt BV, Husebo SE. Comparing didactic approaches for practical skills learning in Scandinavian nursing simulation centres: A qualitative comparative study. J Adv Nurs [Internet]. 2024. https://doi.org/10.1111/jan.16150

Stoop A, Lette M, van Gils PF, Nijpels G, Baan CA, de Bruin SR. Comprehensive geriatric assessments in integrated care programs for older people living at home: A scoping review. Health Soc Care Community [Internet]. 2019; 27(5):[e549-e66 pp.]. https://doi.org/10.1111/hsc.12793

Ahmed I, Ishtiaq S. Reliability and validity: Importance in Medical Research. J Pak Med Assoc [Internet]. 2021; 71(10):[2401-6 pp.]. https://doi.org/10.47391/jpma.06-861

Mölenberg FJM, de Vries C, Burdorf A, van Lenthe FJ. A framework for exploring non-response patterns over time in health surveys. BMC Medical Research Methodology [Internet]. 2021 2021/02/18; 21(1):[37 p.]. https://doi.org/10.1186/s12874-021-01221-0

Skelly AC, Dettori JR, Brodt ED. Assessing bias: the importance of considering confounding. Evid Based Spine Care J [Internet]. 2012; 3(1):[9–12 pp.]. https://doi.org/10.1055/s-0031-1298595

Pourhoseingholi MA, Baghestani AR, Vahedi M. How to control confounding effects by statistical analysis. Gastroenterol Hepatol Bed Bench [Internet] 2012 Spring; 5(2):79–83 pp.].

Download references

Acknowledgements

The authors express gratitude to librarian Kari Hølland, Division of Research, Stavanger University Library for performing the systematic literature searches.

This article stems from the research project “More good days at home - Advancing health promoting practices in municipal healthcare services for older recipients of homecare” (HEIME), specifically related to Work Package 3, “Simulation and training for health needs assessment in home-living older adults”. HEIME is funded by the Research Council of Norway (grant 320622), University of Southeastern-Norway, University of Stavanger, Stavanger, Horten, Porsgrunn and Nome municipality (2021–2025). Dr. Grethe Eilertsen is the project director. Drs. Siri Tønnessen, Anette Hansen and Professor Marianne Storm are the principal researchers and work package leaders.

Open access funding provided by University of Stavanger & Stavanger University Hospital

Author information

Authors and affiliations.

Faculty of Health Sciences, Department of Public Health, University of Stavanger, Postbox 8600, Stavanger, 4036, Norway

Bente Hamre Larsen & Marianne Storm

Faculty of Health Sciences, Department of Quality and Health Technology, University of Stavanger, Stavanger, Norway

Dagrunn Nåden Dyrstad & Peter Dieckmann

National Centre for Optics, Vision and Eye Care, Faculty of Health and Social Sciences, University of South-Eastern Norway, Kongsberg, Norway

Helle K. Falkenberg

USN Research Group of Older Peoples’ Health, University of South-Eastern Norway, Drammen, Norway

Center for Human Resources and Education, Copenhagen Academy for Medical Education and Simulation (CAMES), Capital Region of Denmark, Copenhagen, Denmark

Peter Dieckmann

Department of Public Health, Copenhagen University, Copenhagen, Denmark

Faculty of Health Sciences and Social Care, Molde University College, Molde, Norway

Marianne Storm

Research Department, Research Group of Nursing and Health Sciences, Stavanger University Hospital, Stavanger, Norway

You can also search for this author in PubMed   Google Scholar

Contributions

All authors (BHL, DND, HKF, PD and MS) contributed to the design and development of the study, research questions, and literature search. BHL conducted the literature search in collaboration with MS and research librarian. All authors participated in the screening and quality assessment processes. Data analysis and manuscript writing and preparation was led by BHL in collaboration with MS. All authors were involved in reading, commenting and reviewing the text, and approving the final manuscript.

Corresponding author

Correspondence to Bente Hamre Larsen .

Ethics declarations

Ethics approval and consent to participate.

This scoping review article does not contain any studies with human participants performed by any of the authors.

Consent for publication

Not applicable.

Conflict of interest

None declared.

Competing interests

The authors declare that they have no competing interests.

Additional information

Publisher’s note.

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Electronic supplementary material

Below is the link to the electronic supplementary material.

Supplementary Material 1

Supplementary material 2, supplementary material 3, rights and permissions.

Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/ .

Reprints and permissions

About this article

Cite this article.

Larsen, B.H., Dyrstad, D.N., Falkenberg, H.K. et al. Training healthcare professionals in assessment of health needs in older adults living at home: a scoping review. BMC Med Educ 24 , 1019 (2024). https://doi.org/10.1186/s12909-024-06014-9

Download citation

Received : 28 June 2024

Accepted : 11 September 2024

Published : 17 September 2024

DOI : https://doi.org/10.1186/s12909-024-06014-9

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Healthcare professionals
• Health needs
• Home-living older adults
• Healthy aging
• Scoping review

BMC Medical Education

ISSN: 1472-6920

• General enquiries: [email protected]