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

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

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

There are five key steps to writing a literature review:

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

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

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Table of contents

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

  • Quick Run-through
  • Step 1 & 2

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

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

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

Literature review guide

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

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

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

Download Word doc Download Google doc

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

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

Make a list of keywords

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

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

Search for relevant sources

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

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

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

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

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

For each publication, ask yourself:

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

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

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

Take notes and cite your sources

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

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

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

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

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

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

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

Chronological

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

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

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

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

Methodological

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

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

Theoretical

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

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

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

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

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

As you write, you can follow these tips:

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

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

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

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.

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

  • Sampling methods
  • 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 .  

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How To Write A Research Summary

Deeptanshu D

It’s a common perception that writing a research summary is a quick and easy task. After all, how hard can jotting down 300 words be? But when you consider the weight those 300 words carry, writing a research summary as a part of your dissertation, essay or compelling draft for your paper instantly becomes daunting task.

A research summary requires you to synthesize a complex research paper into an informative, self-explanatory snapshot. It needs to portray what your article contains. Thus, writing it often comes at the end of the task list.

Regardless of when you’re planning to write, it is no less of a challenge, particularly if you’re doing it for the first time. This blog will take you through everything you need to know about research summary so that you have an easier time with it.

How to write a research summary

What is a Research Summary?

A research summary is the part of your research paper that describes its findings to the audience in a brief yet concise manner. A well-curated research summary represents you and your knowledge about the information written in the research paper.

While writing a quality research summary, you need to discover and identify the significant points in the research and condense it in a more straightforward form. A research summary is like a doorway that provides access to the structure of a research paper's sections.

Since the purpose of a summary is to give an overview of the topic, methodology, and conclusions employed in a paper, it requires an objective approach. No analysis or criticism.

Research summary or Abstract. What’s the Difference?

They’re both brief, concise, and give an overview of an aspect of the research paper. So, it’s easy to understand why many new researchers get the two confused. However, a research summary and abstract are two very different things with individual purpose. To start with, a research summary is written at the end while the abstract comes at the beginning of a research paper.

A research summary captures the essence of the paper at the end of your document. It focuses on your topic, methods, and findings. More like a TL;DR, if you will. An abstract, on the other hand, is a description of what your research paper is about. It tells your reader what your topic or hypothesis is, and sets a context around why you have embarked on your research.

Getting Started with a Research Summary

Before you start writing, you need to get insights into your research’s content, style, and organization. There are three fundamental areas of a research summary that you should focus on.

  • While deciding the contents of your research summary, you must include a section on its importance as a whole, the techniques, and the tools that were used to formulate the conclusion. Additionally, there needs to be a short but thorough explanation of how the findings of the research paper have a significance.
  • To keep the summary well-organized, try to cover the various sections of the research paper in separate paragraphs. Besides, how the idea of particular factual research came up first must be explained in a separate paragraph.
  • As a general practice worldwide, research summaries are restricted to 300-400 words. However, if you have chosen a lengthy research paper, try not to exceed the word limit of 10% of the entire research paper.

How to Structure Your Research Summary

The research summary is nothing but a concise form of the entire research paper. Therefore, the structure of a summary stays the same as the paper. So, include all the section titles and write a little about them. The structural elements that a research summary must consist of are:

It represents the topic of the research. Try to phrase it so that it includes the key findings or conclusion of the task.

The abstract gives a context of the research paper. Unlike the abstract at the beginning of a paper, the abstract here, should be very short since you’ll be working with a limited word count.

Introduction

This is the most crucial section of a research summary as it helps readers get familiarized with the topic. You should include the definition of your topic, the current state of the investigation, and practical relevance in this part. Additionally, you should present the problem statement, investigative measures, and any hypothesis in this section.

Methodology

This section provides details about the methodology and the methods adopted to conduct the study. You should write a brief description of the surveys, sampling, type of experiments, statistical analysis, and the rationality behind choosing those particular methods.

Create a list of evidence obtained from the various experiments with a primary analysis, conclusions, and interpretations made upon that. In the paper research paper, you will find the results section as the most detailed and lengthy part. Therefore, you must pick up the key elements and wisely decide which elements are worth including and which are worth skipping.

This is where you present the interpretation of results in the context of their application. Discussion usually covers results, inferences, and theoretical models explaining the obtained values, key strengths, and limitations. All of these are vital elements that you must include in the summary.

Most research papers merge conclusion with discussions. However, depending upon the instructions, you may have to prepare this as a separate section in your research summary. Usually, conclusion revisits the hypothesis and provides the details about the validation or denial about the arguments made in the research paper, based upon how convincing the results were obtained.

The structure of a research summary closely resembles the anatomy of a scholarly article . Additionally, you should keep your research and references limited to authentic and  scholarly sources only.

Tips for Writing a Research Summary

The core concept behind undertaking a research summary is to present a simple and clear understanding of your research paper to the reader. The biggest hurdle while doing that is the number of words you have at your disposal. So, follow the steps below to write a research summary that sticks.

1. Read the parent paper thoroughly

You should go through the research paper thoroughly multiple times to ensure that you have a complete understanding of its contents. A 3-stage reading process helps.

a. Scan: In the first read, go through it to get an understanding of its basic concept and methodologies.

b. Read: For the second step, read the article attentively by going through each section, highlighting the key elements, and subsequently listing the topics that you will include in your research summary.

c. Skim: Flip through the article a few more times to study the interpretation of various experimental results, statistical analysis, and application in different contexts.

Sincerely go through different headings and subheadings as it will allow you to understand the underlying concept of each section. You can try reading the introduction and conclusion simultaneously to understand the motive of the task and how obtained results stay fit to the expected outcome.

2. Identify the key elements in different sections

While exploring different sections of an article, you can try finding answers to simple what, why, and how. Below are a few pointers to give you an idea:

  • What is the research question and how is it addressed?
  • Is there a hypothesis in the introductory part?
  • What type of methods are being adopted?
  • What is the sample size for data collection and how is it being analyzed?
  • What are the most vital findings?
  • Do the results support the hypothesis?

Discussion/Conclusion

  • What is the final solution to the problem statement?
  • What is the explanation for the obtained results?
  • What is the drawn inference?
  • What are the various limitations of the study?

3. Prepare the first draft

Now that you’ve listed the key points that the paper tries to demonstrate, you can start writing the summary following the standard structure of a research summary. Just make sure you’re not writing statements from the parent research paper verbatim.

Instead, try writing down each section in your own words. This will not only help in avoiding plagiarism but will also show your complete understanding of the subject. Alternatively, you can use a summarizing tool (AI-based summary generators) to shorten the content or summarize the content without disrupting the actual meaning of the article.

SciSpace Copilot is one such helpful feature! You can easily upload your research paper and ask Copilot to summarize it. You will get an AI-generated, condensed research summary. SciSpace Copilot also enables you to highlight text, clip math and tables, and ask any question relevant to the research paper; it will give you instant answers with deeper context of the article..

4. Include visuals

One of the best ways to summarize and consolidate a research paper is to provide visuals like graphs, charts, pie diagrams, etc.. Visuals make getting across the facts, the past trends, and the probabilistic figures around a concept much more engaging.

5. Double check for plagiarism

It can be very tempting to copy-paste a few statements or the entire paragraphs depending upon the clarity of those sections. But it’s best to stay away from the practice. Even paraphrasing should be done with utmost care and attention.

Also: QuillBot vs SciSpace: Choose the best AI-paraphrasing tool

6. Religiously follow the word count limit

You need to have strict control while writing different sections of a research summary. In many cases, it has been observed that the research summary and the parent research paper become the same length. If that happens, it can lead to discrediting of your efforts and research summary itself. Whatever the standard word limit has been imposed, you must observe that carefully.

7. Proofread your research summary multiple times

The process of writing the research summary can be exhausting and tiring. However, you shouldn’t allow this to become a reason to skip checking your academic writing several times for mistakes like misspellings, grammar, wordiness, and formatting issues. Proofread and edit until you think your research summary can stand out from the others, provided it is drafted perfectly on both technicality and comprehension parameters. You can also seek assistance from editing and proofreading services , and other free tools that help you keep these annoying grammatical errors at bay.

8. Watch while you write

Keep a keen observation of your writing style. You should use the words very precisely, and in any situation, it should not represent your personal opinions on the topic. You should write the entire research summary in utmost impersonal, precise, factually correct, and evidence-based writing.

9. Ask a friend/colleague to help

Once you are done with the final copy of your research summary, you must ask a friend or colleague to read it. You must test whether your friend or colleague could grasp everything without referring to the parent paper. This will help you in ensuring the clarity of the article.

Once you become familiar with the research paper summary concept and understand how to apply the tips discussed above in your current task, summarizing a research summary won’t be that challenging. While traversing the different stages of your academic career, you will face different scenarios where you may have to create several research summaries.

In such cases, you just need to look for answers to simple questions like “Why this study is necessary,” “what were the methods,” “who were the participants,” “what conclusions were drawn from the research,” and “how it is relevant to the wider world.” Once you find out the answers to these questions, you can easily create a good research summary following the standard structure and a precise writing style.

what is a literature research summary

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Home » Research Summary – Structure, Examples and Writing Guide

Research Summary – Structure, Examples and Writing Guide

Table of Contents

Research Summary

Research Summary

Definition:

A research summary is a brief and concise overview of a research project or study that highlights its key findings, main points, and conclusions. It typically includes a description of the research problem, the research methods used, the results obtained, and the implications or significance of the findings. It is often used as a tool to quickly communicate the main findings of a study to other researchers, stakeholders, or decision-makers.

Structure of Research Summary

The Structure of a Research Summary typically include:

  • Introduction : This section provides a brief background of the research problem or question, explains the purpose of the study, and outlines the research objectives.
  • Methodology : This section explains the research design, methods, and procedures used to conduct the study. It describes the sample size, data collection methods, and data analysis techniques.
  • Results : This section presents the main findings of the study, including statistical analysis if applicable. It may include tables, charts, or graphs to visually represent the data.
  • Discussion : This section interprets the results and explains their implications. It discusses the significance of the findings, compares them to previous research, and identifies any limitations or future directions for research.
  • Conclusion : This section summarizes the main points of the research and provides a conclusion based on the findings. It may also suggest implications for future research or practical applications of the results.
  • References : This section lists the sources cited in the research summary, following the appropriate citation style.

How to Write Research Summary

Here are the steps you can follow to write a research summary:

  • Read the research article or study thoroughly: To write a summary, you must understand the research article or study you are summarizing. Therefore, read the article or study carefully to understand its purpose, research design, methodology, results, and conclusions.
  • Identify the main points : Once you have read the research article or study, identify the main points, key findings, and research question. You can highlight or take notes of the essential points and findings to use as a reference when writing your summary.
  • Write the introduction: Start your summary by introducing the research problem, research question, and purpose of the study. Briefly explain why the research is important and its significance.
  • Summarize the methodology : In this section, summarize the research design, methods, and procedures used to conduct the study. Explain the sample size, data collection methods, and data analysis techniques.
  • Present the results: Summarize the main findings of the study. Use tables, charts, or graphs to visually represent the data if necessary.
  • Interpret the results: In this section, interpret the results and explain their implications. Discuss the significance of the findings, compare them to previous research, and identify any limitations or future directions for research.
  • Conclude the summary : Summarize the main points of the research and provide a conclusion based on the findings. Suggest implications for future research or practical applications of the results.
  • Revise and edit : Once you have written the summary, revise and edit it to ensure that it is clear, concise, and free of errors. Make sure that your summary accurately represents the research article or study.
  • Add references: Include a list of references cited in the research summary, following the appropriate citation style.

Example of Research Summary

Here is an example of a research summary:

Title: The Effects of Yoga on Mental Health: A Meta-Analysis

Introduction: This meta-analysis examines the effects of yoga on mental health. The study aimed to investigate whether yoga practice can improve mental health outcomes such as anxiety, depression, stress, and quality of life.

Methodology : The study analyzed data from 14 randomized controlled trials that investigated the effects of yoga on mental health outcomes. The sample included a total of 862 participants. The yoga interventions varied in length and frequency, ranging from four to twelve weeks, with sessions lasting from 45 to 90 minutes.

Results : The meta-analysis found that yoga practice significantly improved mental health outcomes. Participants who practiced yoga showed a significant reduction in anxiety and depression symptoms, as well as stress levels. Quality of life also improved in those who practiced yoga.

Discussion : The findings of this study suggest that yoga can be an effective intervention for improving mental health outcomes. The study supports the growing body of evidence that suggests that yoga can have a positive impact on mental health. Limitations of the study include the variability of the yoga interventions, which may affect the generalizability of the findings.

Conclusion : Overall, the findings of this meta-analysis support the use of yoga as an effective intervention for improving mental health outcomes. Further research is needed to determine the optimal length and frequency of yoga interventions for different populations.

References :

  • Cramer, H., Lauche, R., Langhorst, J., Dobos, G., & Berger, B. (2013). Yoga for depression: a systematic review and meta-analysis. Depression and anxiety, 30(11), 1068-1083.
  • Khalsa, S. B. (2004). Yoga as a therapeutic intervention: a bibliometric analysis of published research studies. Indian journal of physiology and pharmacology, 48(3), 269-285.
  • Ross, A., & Thomas, S. (2010). The health benefits of yoga and exercise: a review of comparison studies. The Journal of Alternative and Complementary Medicine, 16(1), 3-12.

Purpose of Research Summary

The purpose of a research summary is to provide a brief overview of a research project or study, including its main points, findings, and conclusions. The summary allows readers to quickly understand the essential aspects of the research without having to read the entire article or study.

Research summaries serve several purposes, including:

  • Facilitating comprehension: A research summary allows readers to quickly understand the main points and findings of a research project or study without having to read the entire article or study. This makes it easier for readers to comprehend the research and its significance.
  • Communicating research findings: Research summaries are often used to communicate research findings to a wider audience, such as policymakers, practitioners, or the general public. The summary presents the essential aspects of the research in a clear and concise manner, making it easier for non-experts to understand.
  • Supporting decision-making: Research summaries can be used to support decision-making processes by providing a summary of the research evidence on a particular topic. This information can be used by policymakers or practitioners to make informed decisions about interventions, programs, or policies.
  • Saving time: Research summaries save time for researchers, practitioners, policymakers, and other stakeholders who need to review multiple research studies. Rather than having to read the entire article or study, they can quickly review the summary to determine whether the research is relevant to their needs.

Characteristics of Research Summary

The following are some of the key characteristics of a research summary:

  • Concise : A research summary should be brief and to the point, providing a clear and concise overview of the main points of the research.
  • Objective : A research summary should be written in an objective tone, presenting the research findings without bias or personal opinion.
  • Comprehensive : A research summary should cover all the essential aspects of the research, including the research question, methodology, results, and conclusions.
  • Accurate : A research summary should accurately reflect the key findings and conclusions of the research.
  • Clear and well-organized: A research summary should be easy to read and understand, with a clear structure and logical flow.
  • Relevant : A research summary should focus on the most important and relevant aspects of the research, highlighting the key findings and their implications.
  • Audience-specific: A research summary should be tailored to the intended audience, using language and terminology that is appropriate and accessible to the reader.
  • Citations : A research summary should include citations to the original research articles or studies, allowing readers to access the full text of the research if desired.

When to write Research Summary

Here are some situations when it may be appropriate to write a research summary:

  • Proposal stage: A research summary can be included in a research proposal to provide a brief overview of the research aims, objectives, methodology, and expected outcomes.
  • Conference presentation: A research summary can be prepared for a conference presentation to summarize the main findings of a study or research project.
  • Journal submission: Many academic journals require authors to submit a research summary along with their research article or study. The summary provides a brief overview of the study’s main points, findings, and conclusions and helps readers quickly understand the research.
  • Funding application: A research summary can be included in a funding application to provide a brief summary of the research aims, objectives, and expected outcomes.
  • Policy brief: A research summary can be prepared as a policy brief to communicate research findings to policymakers or stakeholders in a concise and accessible manner.

Advantages of Research Summary

Research summaries offer several advantages, including:

  • Time-saving: A research summary saves time for readers who need to understand the key findings and conclusions of a research project quickly. Rather than reading the entire research article or study, readers can quickly review the summary to determine whether the research is relevant to their needs.
  • Clarity and accessibility: A research summary provides a clear and accessible overview of the research project’s main points, making it easier for readers to understand the research without having to be experts in the field.
  • Improved comprehension: A research summary helps readers comprehend the research by providing a brief and focused overview of the key findings and conclusions, making it easier to understand the research and its significance.
  • Enhanced communication: Research summaries can be used to communicate research findings to a wider audience, such as policymakers, practitioners, or the general public, in a concise and accessible manner.
  • Facilitated decision-making: Research summaries can support decision-making processes by providing a summary of the research evidence on a particular topic. Policymakers or practitioners can use this information to make informed decisions about interventions, programs, or policies.
  • Increased dissemination: Research summaries can be easily shared and disseminated, allowing research findings to reach a wider audience.

Limitations of Research Summary

Limitations of the Research Summary are as follows:

  • Limited scope: Research summaries provide a brief overview of the research project’s main points, findings, and conclusions, which can be limiting. They may not include all the details, nuances, and complexities of the research that readers may need to fully understand the study’s implications.
  • Risk of oversimplification: Research summaries can be oversimplified, reducing the complexity of the research and potentially distorting the findings or conclusions.
  • Lack of context: Research summaries may not provide sufficient context to fully understand the research findings, such as the research background, methodology, or limitations. This may lead to misunderstandings or misinterpretations of the research.
  • Possible bias: Research summaries may be biased if they selectively emphasize certain findings or conclusions over others, potentially distorting the overall picture of the research.
  • Format limitations: Research summaries may be constrained by the format or length requirements, making it challenging to fully convey the research’s main points, findings, and conclusions.
  • Accessibility: Research summaries may not be accessible to all readers, particularly those with limited literacy skills, visual impairments, or language barriers.

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  • Research Summary: What Is It & How To Write One

Angela Kayode-Sanni

Introduction

A research summary is a requirement during academic research and sometimes you might need to prepare a research summary during a research project for an organization.

Most people find a research summary a daunting task as you are required to condense complex research material into an informative, easy-to-understand article most times with a minimum of 300-500 words.

In this post, we will guide you through all the steps required to make writing your research summary an easier task. 

What is a Research Summary?

A research summary is a piece of writing that summarizes the research of a specific topic into bite-size easy-to-read and comprehend articles. The primary goal is to give the reader a detailed outline of the key findings of a research.

It is an unavoidable requirement in colleges and universities. To write a good research summary, you must understand the goal of your research, as this would help make the process easier. 

A research summary preserves the structure and sections of the article it is derived from.

Research Summary or Abstract: What’s The Difference?

The Research Summary and Abstract are similar, especially as they are both brief, straight to the point, and provide an overview of the entire research paper. However, there are very clear differences.

To begin with, a Research summary is written at the end of a research activity, while the Abstract is written at the beginning of a research paper. 

A Research Summary captures the main points of a study, with an emphasis on the topic, method , and discoveries, an Abstract is a description of what your research paper would talk about and the reason for your research or the hypothesis you are trying to validate.

Let us take a deeper look at the difference between both terms.

What is an Abstract?

An abstract is a short version of a research paper. It is written to convey the findings of the research to the reader. It provides the reader with information that would help them understand the research, by giving them a clear idea about the subject matter of a research paper. It is usually submitted before the presentation of a research paper.

What is a Summary?

A summary is a short form of an essay, a research paper, or a chapter in a book. A research summary is a narration of a research study, condensing the focal points of research to a shorter form, usually aligned with the same structure of the research study, from which the summary is derived.

What Is The Difference Between an Abstract and a Summary?

An abstract communicates the main points of a research paper, it includes the questions, major findings, the importance of the findings, etc.

An abstract reflects the perceptions of the author about a topic, while a research summary reflects the ideology of the research study that is being summarized.

Getting Started with a Research Summary

Before commencing a research summary, there is a need to understand the style and organization of the content you plan to summarize. There are three fundamental areas of the research that should be the focal point:

  • When deciding on the content include a section that speaks to the importance of the research, and the techniques and tools used to arrive at your conclusion.
  • Keep the summary well organized, and use paragraphs to discuss the various sections of the research.
  • Restrict your research to 300-400 words which is the standard practice for research summaries globally. However, if the research paper you want to summarize is a lengthy one, do not exceed 10% of the entire research material.

Once you have satisfied the requirements of the fundamentals for starting your research summary, you can now begin to write using the following format:

  • Why was this research done?   – A clear description of the reason the research was embarked on and the hypothesis being tested.
  • Who was surveyed? – Your research study should have details of the source of your information. If it was via a survey, you should document who the participants of the survey were and the reason that they were selected.
  • What was the methodology? – Discuss the methodology, in terms of what kind of survey method did you adopt. Was it a face-to-face interview, a phone interview, or a focus group setting?
  • What were the key findings? – This is perhaps the most vital part of the process. What discoveries did you make after the testing? This part should be based on raw facts free from any personal bias.
  • Conclusion – What conclusions did you draw from the findings?
  • Takeaways and action points – This is where your views and perception can be reflected. Here, you can now share your recommendations or action points.
  • Identify the focal point of the article –  In other to get a grasp of the content covered in the research paper, you can skim the article first, in a bid to understand the most essential part of the research paper. 
  • Analyze and understand the topic and article – Writing a summary of a research paper involves being familiar with the topic –  the current state of knowledge, key definitions, concepts, and models. This is often gleaned while reading the literature review. Please note that only a deep understanding ensures efficient and accurate summarization of the content.
  • Make notes as you read – Highlight and summarize each paragraph as you read. Your notes are what you would further condense to create a draft that would form your research summary.

How to Structure Your Research Summary

  • Title – This highlights the area of analysis, and can be formulated to briefly highlight key findings.
  • Abstract – this is a very brief and comprehensive description of the study, required in every academic article, with a length of 100-500 words at most. 
  • Introduction – this is a vital part of any research summary, it provides the context and the literature review that gently introduces readers to the subject matter. The introduction usually covers definitions, questions, and hypotheses of the research study. 
  • Methodology –This section emphasizes the process and or data analysis methods used, in terms of experiments, surveys, sampling, or statistical analysis. 
  • Results section – this section lists in detail the results derived from the research with evidence obtained from all the experiments conducted.
  • Discussion – these parts discuss the results within the context of current knowledge among subject matter experts. Interpretation of results and theoretical models explaining the observed results, the strengths of the study, and the limitations experienced are going to be a part of the discussion. 
  • Conclusion – In a conclusion, hypotheses are discussed and revalidated or denied, based on how convincing the evidence is.
  • References – this section is for giving credit to those who work you studied to create your summary. You do this by providing appropriate citations as you write.

Research Summary Example 1

Below are some defining elements of a sample research summary.

Title – “The probability of an unexpected volcanic eruption in Greenwich”

Introduction – this section would list the catastrophic consequences that occurred in the country and the importance of analyzing this event. 

Hypothesis –  An eruption of the Greenwich supervolcano would be preceded by intense preliminary activity manifesting in advance, before the eruption.

Results – these could contain a report of statistical data from various volcanic eruptions happening globally while looking critically at the activity that occurred before these events. 

Discussion and conclusion – Given that Greenwich is now consistently monitored by scientists and that signs of an eruption are usually detected before the volcanic eruption, this confirms the hypothesis. Hence creating an emergency plan outlining other intervention measures and ultimately evacuation is essential. 

Research Summary Example 2

Below is another sample sketch.

Title – “The frequency of extreme weather events in the UK in 2000-2008 as compared to the ‘60s”

Introduction – Weather events bring intense material damage and cause pain to the victims affected.

Hypothesis – Extreme weather events are more frequent in recent times compared to the ‘50s

Results – The frequency of several categories of extreme events now and then are listed here, such as droughts, fires, massive rainfall/snowfalls, floods, hurricanes, tornadoes, etc.

Discussion and conclusion – Several types of extreme events have become more commonplace in recent times, confirming the hypothesis. This rise in extreme weather events can be traced to rising CO2 levels and increasing temperatures and global warming explain the rising frequency of these disasters. Addressing the rising CO2 levels and paying attention to climate change is the only to combat this phenomenon.

A research summary is the short form of a research paper, analyzing the important aspect of the study. Everyone who reads a research summary has a full grasp of the main idea being discussed in the original research paper. Conducting any research means you will write a summary, which is an important part of your project and would be the most read part of your project.

Having a guideline before you start helps, this would form your checklist which would guide your actions as you write your research summary. It is important to note that a Research Summary is different from an Abstract paper written at the beginning of a research paper, describing the idea behind a research paper.

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

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

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

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

There are five key steps to writing a literature review:

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

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

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Table of contents

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

  • Quick Run-through
  • Step 1 & 2

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

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

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

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

Literature review guide

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

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

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

Download Word doc Download Google doc

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

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

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

Make a list of keywords

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

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

Search for relevant sources

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

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

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

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

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

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

For each publication, ask yourself:

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

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

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

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

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

Take notes and cite your sources

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

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

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

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

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

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

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

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

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

Chronological

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

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

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

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

Methodological

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

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

Theoretical

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

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

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

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

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

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

As you write, make sure to follow these tips:

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

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

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

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

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

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

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

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

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

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 Reference Generator.

McCombes, S. (2022, June 07). What is a Literature Review? | Guide, Template, & Examples. Scribbr. Retrieved 9 April 2024, from https://www.scribbr.co.uk/thesis-dissertation/literature-review/

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Research Summary: What is it & how to write one

research summary

The Research Summary is used to report facts about a study clearly. You will almost certainly be required to prepare a research summary during your academic research or while on a research project for your organization.

If it is the first time you have to write one, the writing requirements may confuse you. The instructors generally assign someone to write a summary of the research work. Research summaries require the writer to have a thorough understanding of the issue.

This article will discuss the definition of a research summary and how to write one.

What is a research summary?

A research summary is a piece of writing that summarizes your research on a specific topic. Its primary goal is to offer the reader a detailed overview of the study with the key findings. A research summary generally contains the article’s structure in which it is written.

You must know the goal of your analysis before you launch a project. A research overview summarizes the detailed response and highlights particular issues raised in it. Writing it might be somewhat troublesome. To write a good overview, you want to start with a structure in mind. Read on for our guide.

Why is an analysis recap so important?

Your summary or analysis is going to tell readers everything about your research project. This is the critical piece that your stakeholders will read to identify your findings and valuable insights. Having a good and concise research summary that presents facts and comes with no research biases is the critical deliverable of any research project.

We’ve put together a cheat sheet to help you write a good research summary below.

Research Summary Guide

  • Why was this research done?  – You want to give a clear description of why this research study was done. What hypothesis was being tested?
  • Who was surveyed? – The what and why or your research decides who you’re going to interview/survey. Your research summary has a detailed note on who participated in the study and why they were selected. 
  • What was the methodology? – Talk about the methodology. Did you do face-to-face interviews? Was it a short or long survey or a focus group setting? Your research methodology is key to the results you’re going to get. 
  • What were the key findings? – This can be the most critical part of the process. What did we find out after testing the hypothesis? This section, like all others, should be just facts, facts facts. You’re not sharing how you feel about the findings. Keep it bias-free.
  • Conclusion – What are the conclusions that were drawn from the findings. A good example of a conclusion. Surprisingly, most people interviewed did not watch the lunar eclipse in 2022, which is unexpected given that 100% of those interviewed knew about it before it happened.
  • Takeaways and action points – This is where you bring in your suggestion. Given the data you now have from the research, what are the takeaways and action points? If you’re a researcher running this research project for your company, you’ll use this part to shed light on your recommended action plans for the business.

LEARN ABOUT:   Action Research

If you’re doing any research, you will write a summary, which will be the most viewed and more important part of the project. So keep a guideline in mind before you start. Focus on the content first and then worry about the length. Use the cheat sheet/checklist in this article to organize your summary, and that’s all you need to write a great research summary!

But once your summary is ready, where is it stored? Most teams have multiple documents in their google drives, and it’s a nightmare to find projects that were done in the past. Your research data should be democratized and easy to use.

We at QuestionPro launched a research repository for research teams, and our clients love it. All your data is in one place, and everything is searchable, including your research summaries! 

Authors: Prachi, Anas

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  • Write a Literature Review
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what is a literature research summary

Not every source you found should be included in your annotated bibliography or lit review. Only include the most relevant and most important sources.

Get Organized

  • Lit Review Prep Use this template to help you evaluate your sources, create article summaries for an annotated bibliography, and a synthesis matrix for your lit review outline.

Summarize your Sources

Summarize each source: Determine the most important and relevant information from each source, such as the findings, methodology, theories, etc.  Consider using an article summary, or study summary to help you organize and summarize your sources.

Paraphrasing

  • Use your own words, and do not copy and paste the abstract
  • The library's tutorials about plagiarism are excellent, and will help you with paraphasing correctly

Annotated Bibliographies

     Annotated bibliographies can help you clearly see and understand the research before diving into organizing and writing your literature review.        Although typically part of the "summarize" step of the literature review, annotations should not merely be summaries of each article - instead, they should be critical evaluations of the source, and help determine a source's usefulness for your lit review.  

Definition:

A list of citations on a particular topic followed by an evaluation of the source’s argument and other relevant material including its intended audience, sources of evidence, and methodology
  • Explore your topic.
  • Appraise issues or factors associated with your professional practice and research topic.
  • Help you get started with the literature review.
  • Think critically about your topic, and the literature.

Steps to Creating an Annotated Bibliography:

  • Find Your Sources
  • Read Your Sources
  • Identify the Most Relevant Sources
  • Cite your Sources
  • Write Annotations

Annotated Bibliography Resources

  • Purdue Owl Guide
  • Cornell Annotated Bibliography Guide
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Literature reviews, what is a literature review, learning more about how to do a literature review.

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  • Writing the Review

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

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

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What's a literature review.

  • Literature Reviews: A Recap
  • Reading Journal Articles
  • Does it Describe a Literature Review?
  • 1. Identify the Question
  • 2. Review Discipline Styles
  • Searching Article Databases
  • Finding Full-Text of an Article
  • Citation Chaining
  • When to Stop Searching
  • 4. Manage Your References
  • 5. Critically Analyze and Evaluate
  • 6. Synthesize
  • 7. Write a Literature Review

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What's a Literature Review? 

A literature review (or "lit review," for short) is an in-depth critical analysis of published scholarly research related to a specific topic. Published scholarly research (aka, "the literature") may include journal articles, books, book chapters, dissertations and thesis, or conference proceedings. 

A solid lit review must:

  • be organized around and related directly to the thesis or research question you're developing
  • synthesize results into a summary of what is and is not known
  • identify areas of controversy in the literature
  • formulate questions that need further research

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Conduct a literature review

What is a literature review.

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

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

How do I write a literature review?

Step 1: define your research scope.

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

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

Step 2: Identify the literature

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

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

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

Step 3: Critically analyze the literature

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

Step 4: Categorize your resources

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

  • methodology
  • theoretical/philosophical approach

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

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

Additional resources

Undergraduate student resources.

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

Graduate student and faculty resources

  • Information Research Strategies (University of Arizona)
  • Literature Reviews: An Overview for Graduate Students (NC State University)
  • Oliver, P. (2012). Succeeding with Your Literature Review: A Handbook for Students [ebook]
  • Machi, L. A. & McEvoy, B. T. (2016). The Literature Review: Six Steps to Success

Graustein, J. S. (2012). How to Write an Exceptional Thesis or Dissertation: A Step-by-Step Guide from Proposal to Successful Defense [ebook]

Thomas, R. M. & Brubaker, D. L. (2008). Theses and Dissertations: A Guide to Planning, Research, and Writing

Get science-backed answers as you write with Paperpal's Research feature

What is a Literature Review? How to Write It (with Examples)

literature review

A literature review is a critical analysis and synthesis of existing research on a particular topic. It provides an overview of the current state of knowledge, identifies gaps, and highlights key findings in the literature. 1 The purpose of a literature review is to situate your own research within the context of existing scholarship, demonstrating your understanding of the topic and showing how your work contributes to the ongoing conversation in the field. Learning how to write a literature review is a critical tool for successful research. Your ability to summarize and synthesize prior research pertaining to a certain topic demonstrates your grasp on the topic of study, and assists in the learning process. 

Table of Contents

  • What is the purpose of literature review? 
  • a. Habitat Loss and Species Extinction: 
  • b. Range Shifts and Phenological Changes: 
  • c. Ocean Acidification and Coral Reefs: 
  • d. Adaptive Strategies and Conservation Efforts: 
  • How to write a good literature review 
  • Choose a Topic and Define the Research Question: 
  • Decide on the Scope of Your Review: 
  • Select Databases for Searches: 
  • Conduct Searches and Keep Track: 
  • Review the Literature: 
  • Organize and Write Your Literature Review: 
  • Frequently asked questions 

What is a literature review?

A well-conducted literature review demonstrates the researcher’s familiarity with the existing literature, establishes the context for their own research, and contributes to scholarly conversations on the topic. One of the purposes of a literature review is also to help researchers avoid duplicating previous work and ensure that their research is informed by and builds upon the existing body of knowledge.

what is a literature research summary

What is the purpose of literature review?

A literature review serves several important purposes within academic and research contexts. Here are some key objectives and functions of a literature review: 2  

  • Contextualizing the Research Problem: The literature review provides a background and context for the research problem under investigation. It helps to situate the study within the existing body of knowledge. 
  • Identifying Gaps in Knowledge: By identifying gaps, contradictions, or areas requiring further research, the researcher can shape the research question and justify the significance of the study. This is crucial for ensuring that the new research contributes something novel to the field. 
  • Understanding Theoretical and Conceptual Frameworks: Literature reviews help researchers gain an understanding of the theoretical and conceptual frameworks used in previous studies. This aids in the development of a theoretical framework for the current research. 
  • Providing Methodological Insights: Another purpose of literature reviews is that it allows researchers to learn about the methodologies employed in previous studies. This can help in choosing appropriate research methods for the current study and avoiding pitfalls that others may have encountered. 
  • Establishing Credibility: A well-conducted literature review demonstrates the researcher’s familiarity with existing scholarship, establishing their credibility and expertise in the field. It also helps in building a solid foundation for the new research. 
  • Informing Hypotheses or Research Questions: The literature review guides the formulation of hypotheses or research questions by highlighting relevant findings and areas of uncertainty in existing literature. 

Literature review example

Let’s delve deeper with a literature review example: Let’s say your literature review is about the impact of climate change on biodiversity. You might format your literature review into sections such as the effects of climate change on habitat loss and species extinction, phenological changes, and marine biodiversity. Each section would then summarize and analyze relevant studies in those areas, highlighting key findings and identifying gaps in the research. The review would conclude by emphasizing the need for further research on specific aspects of the relationship between climate change and biodiversity. The following literature review template provides a glimpse into the recommended literature review structure and content, demonstrating how research findings are organized around specific themes within a broader topic. 

Literature Review on Climate Change Impacts on Biodiversity:

Climate change is a global phenomenon with far-reaching consequences, including significant impacts on biodiversity. This literature review synthesizes key findings from various studies: 

a. Habitat Loss and Species Extinction:

Climate change-induced alterations in temperature and precipitation patterns contribute to habitat loss, affecting numerous species (Thomas et al., 2004). The review discusses how these changes increase the risk of extinction, particularly for species with specific habitat requirements. 

b. Range Shifts and Phenological Changes:

Observations of range shifts and changes in the timing of biological events (phenology) are documented in response to changing climatic conditions (Parmesan & Yohe, 2003). These shifts affect ecosystems and may lead to mismatches between species and their resources. 

c. Ocean Acidification and Coral Reefs:

The review explores the impact of climate change on marine biodiversity, emphasizing ocean acidification’s threat to coral reefs (Hoegh-Guldberg et al., 2007). Changes in pH levels negatively affect coral calcification, disrupting the delicate balance of marine ecosystems. 

d. Adaptive Strategies and Conservation Efforts:

Recognizing the urgency of the situation, the literature review discusses various adaptive strategies adopted by species and conservation efforts aimed at mitigating the impacts of climate change on biodiversity (Hannah et al., 2007). It emphasizes the importance of interdisciplinary approaches for effective conservation planning. 

what is a literature research summary

How to write a good literature review

Writing a literature review involves summarizing and synthesizing existing research on a particular topic. A good literature review format should include the following elements. 

Introduction: The introduction sets the stage for your literature review, providing context and introducing the main focus of your review. 

  • Opening Statement: Begin with a general statement about the broader topic and its significance in the field. 
  • Scope and Purpose: Clearly define the scope of your literature review. Explain the specific research question or objective you aim to address. 
  • Organizational Framework: Briefly outline the structure of your literature review, indicating how you will categorize and discuss the existing research. 
  • Significance of the Study: Highlight why your literature review is important and how it contributes to the understanding of the chosen topic. 
  • Thesis Statement: Conclude the introduction with a concise thesis statement that outlines the main argument or perspective you will develop in the body of the literature review. 

Body: The body of the literature review is where you provide a comprehensive analysis of existing literature, grouping studies based on themes, methodologies, or other relevant criteria. 

  • Organize by Theme or Concept: Group studies that share common themes, concepts, or methodologies. Discuss each theme or concept in detail, summarizing key findings and identifying gaps or areas of disagreement. 
  • Critical Analysis: Evaluate the strengths and weaknesses of each study. Discuss the methodologies used, the quality of evidence, and the overall contribution of each work to the understanding of the topic. 
  • Synthesis of Findings: Synthesize the information from different studies to highlight trends, patterns, or areas of consensus in the literature. 
  • Identification of Gaps: Discuss any gaps or limitations in the existing research and explain how your review contributes to filling these gaps. 
  • Transition between Sections: Provide smooth transitions between different themes or concepts to maintain the flow of your literature review. 

Conclusion: The conclusion of your literature review should summarize the main findings, highlight the contributions of the review, and suggest avenues for future research. 

  • Summary of Key Findings: Recap the main findings from the literature and restate how they contribute to your research question or objective. 
  • Contributions to the Field: Discuss the overall contribution of your literature review to the existing knowledge in the field. 
  • Implications and Applications: Explore the practical implications of the findings and suggest how they might impact future research or practice. 
  • Recommendations for Future Research: Identify areas that require further investigation and propose potential directions for future research in the field. 
  • Final Thoughts: Conclude with a final reflection on the importance of your literature review and its relevance to the broader academic community. 

what is a literature review

Conducting a literature review

Conducting a literature review is an essential step in research that involves reviewing and analyzing existing literature on a specific topic. It’s important to know how to do a literature review effectively, so here are the steps to follow: 1  

Choose a Topic and Define the Research Question:

  • Select a topic that is relevant to your field of study. 
  • Clearly define your research question or objective. Determine what specific aspect of the topic do you want to explore? 

Decide on the Scope of Your Review:

  • Determine the timeframe for your literature review. Are you focusing on recent developments, or do you want a historical overview? 
  • Consider the geographical scope. Is your review global, or are you focusing on a specific region? 
  • Define the inclusion and exclusion criteria. What types of sources will you include? Are there specific types of studies or publications you will exclude? 

Select Databases for Searches:

  • Identify relevant databases for your field. Examples include PubMed, IEEE Xplore, Scopus, Web of Science, and Google Scholar. 
  • Consider searching in library catalogs, institutional repositories, and specialized databases related to your topic. 

Conduct Searches and Keep Track:

  • Develop a systematic search strategy using keywords, Boolean operators (AND, OR, NOT), and other search techniques. 
  • Record and document your search strategy for transparency and replicability. 
  • Keep track of the articles, including publication details, abstracts, and links. Use citation management tools like EndNote, Zotero, or Mendeley to organize your references. 

Review the Literature:

  • Evaluate the relevance and quality of each source. Consider the methodology, sample size, and results of studies. 
  • Organize the literature by themes or key concepts. Identify patterns, trends, and gaps in the existing research. 
  • Summarize key findings and arguments from each source. Compare and contrast different perspectives. 
  • Identify areas where there is a consensus in the literature and where there are conflicting opinions. 
  • Provide critical analysis and synthesis of the literature. What are the strengths and weaknesses of existing research? 

Organize and Write Your Literature Review:

  • Literature review outline should be based on themes, chronological order, or methodological approaches. 
  • Write a clear and coherent narrative that synthesizes the information gathered. 
  • Use proper citations for each source and ensure consistency in your citation style (APA, MLA, Chicago, etc.). 
  • Conclude your literature review by summarizing key findings, identifying gaps, and suggesting areas for future research. 

The literature review sample and detailed advice on writing and conducting a review will help you produce a well-structured report. But remember that a literature review is an ongoing process, and it may be necessary to revisit and update it as your research progresses. 

Frequently asked questions

A literature review is a critical and comprehensive analysis of existing literature (published and unpublished works) on a specific topic or research question and provides a synthesis of the current state of knowledge in a particular field. A well-conducted literature review is crucial for researchers to build upon existing knowledge, avoid duplication of efforts, and contribute to the advancement of their field. It also helps researchers situate their work within a broader context and facilitates the development of a sound theoretical and conceptual framework for their studies.

Literature review is a crucial component of research writing, providing a solid background for a research paper’s investigation. The aim is to keep professionals up to date by providing an understanding of ongoing developments within a specific field, including research methods, and experimental techniques used in that field, and present that knowledge in the form of a written report. Also, the depth and breadth of the literature review emphasizes the credibility of the scholar in his or her field.  

Before writing a literature review, it’s essential to undertake several preparatory steps to ensure that your review is well-researched, organized, and focused. This includes choosing a topic of general interest to you and doing exploratory research on that topic, writing an annotated bibliography, and noting major points, especially those that relate to the position you have taken on the topic. 

Literature reviews and academic research papers are essential components of scholarly work but serve different purposes within the academic realm. 3 A literature review aims to provide a foundation for understanding the current state of research on a particular topic, identify gaps or controversies, and lay the groundwork for future research. Therefore, it draws heavily from existing academic sources, including books, journal articles, and other scholarly publications. In contrast, an academic research paper aims to present new knowledge, contribute to the academic discourse, and advance the understanding of a specific research question. Therefore, it involves a mix of existing literature (in the introduction and literature review sections) and original data or findings obtained through research methods. 

Literature reviews are essential components of academic and research papers, and various strategies can be employed to conduct them effectively. If you want to know how to write a literature review for a research paper, here are four common approaches that are often used by researchers.  Chronological Review: This strategy involves organizing the literature based on the chronological order of publication. It helps to trace the development of a topic over time, showing how ideas, theories, and research have evolved.  Thematic Review: Thematic reviews focus on identifying and analyzing themes or topics that cut across different studies. Instead of organizing the literature chronologically, it is grouped by key themes or concepts, allowing for a comprehensive exploration of various aspects of the topic.  Methodological Review: This strategy involves organizing the literature based on the research methods employed in different studies. It helps to highlight the strengths and weaknesses of various methodologies and allows the reader to evaluate the reliability and validity of the research findings.  Theoretical Review: A theoretical review examines the literature based on the theoretical frameworks used in different studies. This approach helps to identify the key theories that have been applied to the topic and assess their contributions to the understanding of the subject.  It’s important to note that these strategies are not mutually exclusive, and a literature review may combine elements of more than one approach. The choice of strategy depends on the research question, the nature of the literature available, and the goals of the review. Additionally, other strategies, such as integrative reviews or systematic reviews, may be employed depending on the specific requirements of the research.

The literature review format can vary depending on the specific publication guidelines. However, there are some common elements and structures that are often followed. Here is a general guideline for the format of a literature review:  Introduction:   Provide an overview of the topic.  Define the scope and purpose of the literature review.  State the research question or objective.  Body:   Organize the literature by themes, concepts, or chronology.  Critically analyze and evaluate each source.  Discuss the strengths and weaknesses of the studies.  Highlight any methodological limitations or biases.  Identify patterns, connections, or contradictions in the existing research.  Conclusion:   Summarize the key points discussed in the literature review.  Highlight the research gap.  Address the research question or objective stated in the introduction.  Highlight the contributions of the review and suggest directions for future research.

Both annotated bibliographies and literature reviews involve the examination of scholarly sources. While annotated bibliographies focus on individual sources with brief annotations, literature reviews provide a more in-depth, integrated, and comprehensive analysis of existing literature on a specific topic. The key differences are as follows: 

References 

  • Denney, A. S., & Tewksbury, R. (2013). How to write a literature review.  Journal of criminal justice education ,  24 (2), 218-234. 
  • Pan, M. L. (2016).  Preparing literature reviews: Qualitative and quantitative approaches . Taylor & Francis. 
  • Cantero, C. (2019). How to write a literature review.  San José State University Writing Center . 

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Literature Review

What is a literature review.

  • Literature Reviews: An Overview
  • Literature Review Ebooks
  • Structure and Development
  • Mistakes to Avoid & Additional Help

A Literature Review is Not:

  • just a summary of sources
  • a grouping of broad, unrelated sources
  • a compilation of  everything  that has been written on a particular topic
  • literature criticism (think English) or a book review

So, what is it?

A literature review is an integrated analysis - not just a summary - of scholarly writings that are related directly to your research question. That is, it represents the literature that provides background information on your topic and shows a correspondence between those writings and your research question. In contrast to an academic research paper, t he focus of a literature review is to summarize and synthesize the arguments and ideas of others without adding new contributions.

According to the APA 7th Manual, literature review articles “provide narrative summaries and evaluations of the findings or theories within a literature base” and “capture trends in the literature” (2020, p. 8).

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, contradictions, inconsistencies, and points of disagreement
  • Points the way in fulfilling a need for additional research
  • Discusses further research questions that logically come out of the previous studies

The analytical features of a literature review might:

  • Give a new interpretation of old material or combine new with old interpretations
  • Trace the intellectual progression of the field, including major debates
  • Depending on the situation, evaluate the sources and advise the reader on the most pertinent or relevant
  • Identify where gaps exist in how a problem has been researched to date
  • Sample Literature Review (APA Format) This sample paper was provided by the APA Blog (https://apastyle.apa.org/) as an example student literature review. However, APA does not set formal requirements for the nature or contents of an APA Style student papers. Students should follow the guidelines and requirements of their instructor, when writing papers. For instance, an abstract and keywords are not required for APA Style student papers, although an instructor may request them in student papers that are longer or more complex. Talk to your instructor and view your assignment directions for more information

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Literature review.

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

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

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

 "In writing the literature review, the purpose is to convey to the reader what knowledge and ideas have been established on a topic, and what their strengths and weaknesses are. The literature review must be defined by a guiding concept (eg. your research objective, the problem or issue you are discussing, or your argumentative thesis). It is not just a descriptive list of the material available, or a set of summaries.( http://www.writing.utoronto.ca/advice/specific-types-of-writing/literature-review )

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Literature Review: A Definition

What is a literature review, then.

A literature review discusses and analyses published information in a particular subject area.   Sometimes the information covers a certain time period.

A literature review is more than a summary of the sources, it has an organizational pattern that combines both summary and synthesis. A summary is a recap of the important information of the source, but a synthesis is a re-organization, or a reshuffling, of that information. It might give a new interpretation of old material or combine new with old interpretations. Or it might trace the intellectual progression of the field, including major debates. And depending on the situation, the literature review may evaluate the sources and advise the reader on the most pertinent or relevant.

But how is a literature review different from an academic research paper?

While the main focus of an academic research paper is to support your own argument, the focus of a literature review is to summarize and synthesize the arguments and ideas of others. The academic research paper also covers a range of sources, but it is usually a select number of sources, because the emphasis is on the argument. Likewise, a literature review can also have an "argument," but it is not as important as covering a number of sources. In short, an academic research paper and a literature review contain some of the same elements. In fact, many academic research papers will contain a literature review section. What aspect of the study (either the argument or the sources) that is emphasized determines what type of document it is.

( "Literature Reviews" from The Writing Center, University of North Carolina at Chapel Hill )

Why do we write literature reviews?

Literature reviews provide you with a handy guide to a particular topic. If you have limited time to conduct research, literature reviews can give you an overview or act as a stepping stone.

For professionals, they are useful reports that keep them up to date with what is current in the field.

For scholars, the depth and breadth of the literature review emphasizes the credibility of the writer in his or her field. Literature reviews also provide a solid background for a research paper's investigation.

Comprehensive knowledge of the literature of the field is essential to most research papers.

Journal Articles on Writing Literature Reviews

  • Research Methods for Comprehensive Science Literature Reviews Author: Brown,Barry N. Journal: Issues in Science & Technology Librarianship Date: Spring2009 Issue: 57 Page: 1 more... less... Finding some information on most topics is easy. There are abundant sources of information readily available. However, completing a comprehensive literature review on a particular topic is often difficult, laborious, and time intensive; the project requires organization, persistence, and an understanding of the scholarly communication and publishing process. This paper briefly outlines methods of conducting a comprehensive literature review for science topics. [ABSTRACT FROM AUTHOR];
  • Research: Considerations in Writing a Literature Review Authors: Black,K. Journal: The New Social Worker Date: 01/01; 2007 Volume: 14 Issue: 2 Page: 12 more... less... Literature reviews are ubiquitous in academic journals, scholarly reports, and social work education. Conducting and writing a good literature review is both personally and professionally satisfying. (Journal abstract).
  • How to do (or not to do) A Critical Literature Review Authors: Jesson,Jill; Lacey,Fiona Journal: Pharmacy Education Pub Date: 2006 Volume: 6 Issue: 2 Pages:139 - 148 more... less... More and more students are required to perform a critical literature review as part of their undergraduate or postgraduate studies. Whilst most of the latest research methods textbooks advise how to do a literature search, very few cover the literature review. This paper covers two types of review: a critical literature review and a systematic review. [ABSTRACT FROM AUTHOR]
  • Conducting a Literature Review Authors: Rowley,Jennifer; Slack,Frances Journal: Management Research News Pub Date: 2004 Volume: 27 Issue: 6 Pages:31-39 more... less... Abstract: This article offers support and guidance for students undertaking a literature review as part of their dissertation during an undergraduate or Masters course. A literature review is a summary of a subject field that supports the identification of specific research questions. A literature review needs to draw on and evaluate a range of different types of sources including academic and professional journal articles, books, and web-based resources. The literature search helps in the identification and location of relevant documents and other sources. Search engines can be used to search web resources and bibliographic databases. Conceptual frameworks can be a useful tool in developing an understanding of a subject area. Creating the literature review involves the stages of: scanning, making notes, structuring the literature review, writing the literature review, and building a bibliography.

Some Books from the WU Catalog

what is a literature research summary

  • The SAGE handbook of visual research methods [electronic resource] by Edited by Luc Pauwels and Dawn Mannay. ISBN: 9781526417015 Publication Date: SAGE Publications, Inc., 2020.

Helpful Websites

  • "How to do a Literature Review" from Ferdinand D. Bluford Library
  • "The Literature Review: A Few Tips on Conducting It." from the University of Toronto
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A literature review surveys prior research published in books, scholarly articles, and any other sources relevant to a particular issue, area of research, or theory, and by so doing, provides a description, summary, and critical evaluation of these works in relation to the research problem being investigated. Literature reviews are designed to provide an overview of sources you have used in researching a particular topic and to demonstrate to your readers how your research fits within existing scholarship about the topic.

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

Importance of a Good Literature Review

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

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

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

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

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

Types of Literature Reviews

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

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

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

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

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

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

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

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

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

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

Structure and Writing Style

I.  Thinking About Your Literature Review

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

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

The critical evaluation of each work should consider :

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

II.  Development of the Literature Review

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

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

III.  Ways to Organize Your Literature Review

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

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

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

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

IV.  Writing Your Literature Review

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

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

V.  Common Mistakes to Avoid

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

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

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

Writing Tip

Break Out of Your Disciplinary Box!

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

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

Another Writing Tip

Don't Just Review for Content!

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

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

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

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

Yet Another Writing Tip

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

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

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

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

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Conducting a Literature Review

  • Start here- what is a literature review?
  • Steps 1 and 2- Topic and Argument
  • Step 3- Search the Literature
  • Step 4- Organize Your Review
  • Steps 5 and 6- Critique and Write
  • Books and Resources to Consult For More Information

A literature review is a survey of the scholarly literature published on a given issue, research topic, or theory, and provides a description, summary, and critical evaluation of each work. Rather than providing a new research insight, a literature review lays the groundwork for an in-depth research project analyzing previous research. 

Through a literature review, you are building a case to support your thesis.

A cycle of a literature review. Colored boxes form a clockwise circle. They are 1. Identify the question. 2. Review discipline styles. 3. search the literature. 4. manage your references. 5. critically analyze and evaluate. 6. synthesize 7. write literature review.

Graphic from The Literature Review by Machi and McEvoy- originally uploaded by IUPUI University Library .

Okay, but what is "literature"? Published scholarly research (the "literature") may include journal articles, books, dissertations and theses, or conference proceedings.

Break it into 6 steps

These six steps are from the book The Literature Review by Lawrence A. Machi and Brenda T. McEvoy . A literature review can be a daunting process. Use this structure to break it into more manageable chunks- follow the links below, or select the guide pages on the left.

Select a topic

Develop the tools of argumentation

Search the Literature

Survey the Literature (organize!)

Critique the Literature

Write the Review

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How to Write a Literature Review

  • What Is a Literature Review

What Is the Literature

  • Writing the Review

The "literature" that is reviewed is the collection of publications (academic journal articles, books, conference proceedings, association papers, dissertations, etc) written by scholars and researchers for scholars and researchers. The professional literature is one (very significant) source of information for researchers, typically referred to as the secondary literature, or secondary sources. To use it, it is useful to know how it is created and how to access it.

The "Information Cycle"

The diagram below is a brief general picture of how scholarly literature is produced and used. Research does not have a beginning or an end; researchers build on work that has already been done in order to add to it, thus providing more resources for other researchers to build on. They read the professional literature of their field to see what issues, questions, and problems are current, then formulate a plan to address one or a few of those issues. Then they make a more focused review of the literature, which they use to refine their research plan. After carrying out the research, they present their results (presentations at conferences, published articles, etc) to other scholars in the field, i.e. they add to the general subject reading ("the literature").

  Research may not have a beginning or an end, but researchers have to begin somewhere. As noted above, the professional literature is typically referred to as secondary sources. Primary and tertiary sources also play important roles in research. Note, though, that these labels are not rigid distinctions; the same resource can overlap categories.

  • Lab reports (yours or someone else's) - Records of the results of experiments.
  • Field notes, measurements, etc (yours or someone else's) - Records of observations of the natural world (electrons, elephants, earthquakes, etc).
  • Journal articles, conference proceedings , and similar publications reporting results of original research.
  • Historical documents - Official papers, maps, treaties, etc.
  • Government publications - Census statistics, economic data, court reports, etc.
  • Statistical data - Measurements (counts, surveys, etc.) compiled by researchers.
  • First-person accounts - Diaries, memoirs, letters, interviews, speeches
  • Newspapers - Some types of articles, e.g. stories on a breaking issue, or journalists reporting the results of their investigations.
  • Published writings - Novels, stories, poems, essays, philosophical treatises, etc
  • Works of art - Paintings, sculptures, etc.
  • Recordings - audio, video, photographic
  • Conference proceedings - Scholars and researchers getting together and presenting their latest ideas and findings
  • Internet - Web sites that publish the author's findings or research; e.g. your professor's home page listing research results. Note: use extreme caution when using the Internet as a primary source … remember, anyone with internet access can post whatever they want.
  • Archives - Records (minutes of meetings, purchase invoices, financial statements, etc.) of an organization (e.g. The Nature Conservancy), institution (e.g. Wesleyan University), business, or other group entity (even the Grateful Dead has an archivist on staff).
  • Artifacts - manufactured items such as clothing, furniture, tools, buildings
  • Manuscript collections - Collected writings, notes, letters, diaries, and other unpublished works.
  • Books or articles - Depending on the purpose and perspective of your project, works intended as secondary sources -- analyzing or critiquing primary sources -- can serve as primary sources for your research.
  • Secondary - Books, articles, and other writings by scholars and researchers reporting their analysis of their primary sources to others. They may be reporting the results of their own primary research or critiquing the work of others. As such, these sources are usually a major focus of a literature review: this is where you go to find out in detail what has been and is being done in a field, and thus to see how your work can contribute to the field.   
  • Summaries / Introductions - Encyclopedias, dictionaries, textbooks, yearbooks, and other sources which provide an introductory or summary state of the art of the research in the subject areas covered. They are an efficient means to quickly build a general framework for understanding a field.
  • Indexes to publications - Provide lists of primary and secondary sources of more extensive information. They are an efficient means of finding books, articles, conference proceedings, and other publications in which scholars report the results of their research.

Work backwards . Usually, your research should begin with tertiary sources:

  • Tertiary - Start by finding background information on your topic by consulting reference sources for introductions and summaries, and to find bibliographies or citations of secondary and primary sources.
  • Secondary - Find books, articles, and other sources providing more extensive and thorough analyses of a topic. Check to see what other scholars have to say about your topic, find out what has been done and where there is a need for further research, and discover appropriate methodologies for carrying out that research. 
  • Primary - Now that you have a solid background knowledge of your topic and a plan for your own research, you are better able to understand, interpret, and analyze the primary source information. See if you can find primary source evidence to support or refute what other scholars have said about your topic, or posit an interpretation of your own and look for more primary sources or create more original data to confirm or refute your thesis. When you present your conclusions, you will have produced another secondary source to aid others in their research.

Publishing the Literature

There are a variety of avenues for scholars to report the results of their research, and each has a role to play in scholarly communication. Not all of these avenues result in official or easily findable publications, or even any publication at all. The categories of scholarly communication listed here are a general outline; keep in mind that they can vary in type and importance between disciplines.

Peer Review - An important part of academic publishing is the peer review, or refereeing,  process. When a scholar submits an article to an academic journal or a book manuscript to a university publisher, the editors or publishers will send copies to other scholars and experts in that field who will review it. The reviewers will check to make sure the author has used methodologies appropriate to the topic, used those methodologies properly, taken other relevant work into account, and adequately supported the conclusions, as well as consider the relevance and importance to the field. A submission may be rejected, or sent back for revisions before being accepted for publication.

Peer review does not guarantee that an article or book is 100% correct. Rather, it provides a "stamp of approval" saying that experts in the field have judged this to be a worthy contribution to the professional discussion of an academic field.

Peer reviewed journals typically note that they are peer reviewed, usually somewhere in the first few pages of each issue. Books published by university presses typically go through a similar review process. Other book publishers may also have a peer review process. But the quality of the reviewing can vary among different book or journal publishers. Use academic book reviews or check how often and in what sources articles in a journal are cited, or ask a professor or two in the field, to get an idea of the reliability and importance of different authors, journals, and publishers.

Informal Sharing - In person or online, researchers discuss their ongoing projects to let others know what they are up to or to give or receive assistance in their work. Conferences, listservs, and online discussion boards are common avenues for these discussions. Increasingly, scholars are using personal web sites to present their work.

Conference Presentations - Many academic organizations sponsor conferences at which scholars read papers, display at poster sessions, or otherwise present the results of their work. To give a presentation, scholars must submit a proposal which is reviewed by those sponsoring the conference. Unless a presentation is published in another venue, it will likely be difficult to find a copy, or even to know what was presented. Some subject specific indexes and other sources list conference proceedings along with the author and contact information.

Conference Papers / Association Papers / Working Papers - Papers presented at a conference, submitted but not yet accepted for publication, works in progress, or not otherwise published are sometimes made available by academic associations. These are often not easy to find, but many are indexed in subject specific indexes or available in subject databases. Sometimes a collection of papers presented at a conference will be published in a book.

Journals - Articles in journals contain specific analyses of particular aspects of a topic. Journal articles can be written and published more quickly than books, academic libraries subscribe to many journals, and the contents of these journals are indexed in a variety of sources so others can easily find them. So, researchers commonly use articles to report their findings to a wide audience, and journals are a good readily available source for anyone researching current information on a topic.

  • Research journals - Articles reporting in detail the results of research.
  • Review journals - Articles reviewing the literature and work done on particular topics.
  • News/Letters journals - News reports, brief research reports, short discussions of current issues.
  • Proceedings/Transactions journals - A common venue for publishing conference papers or other proceedings of academic conferences.
  • General interest magazines - News and other magazines that report scholarly findings for a general, nonacademic audience. These are usually written by journalists (who are usually not academically trained in the field), but sometimes are written by researchers (or at least by journalists with training in the field). Magazines are not peer reviewed, and are usually not academically useful sources of information for research purposes, but they can alert you to work being done in your field and give you a quick summary.
  • Trade journals and magazines - These are written for people working in a particular industry or profession, such as advertising, banking, construction, dentistry, education. Articles are generally written by and for people working in that trade, and focus on current topics and developments in the trade. They do not present academic analyses of their topics, but they can provide useful background or context for academic work if the articles are relevant to your research.

Books - Books take a longer time than articles or conference presentations to get from research to publication, but they can cover a broader range of topics, or cover a topic much more thoroughly. University press books typically go through some sort of a peer review process. There is a wide range of review processes (from rigorous to none at all) among other book publishers.

Dissertations/Theses - Graduate students working on advanced degrees typically must perform a substantial piece of original work, and then present the results in the form of a thesis or dissertation. A master's thesis is typically somewhere between an article and a book in length, and a doctoral dissertation is typically about the length of a book. Both should include extensive bibliographies of their topics. 

Web sites - In addition to researchers informally presenting and discussing their work on personal web pages, there are an increasing number of peer reviewed web sites publishing academic work. The rigor, and even existence, of peer reviewing can vary widely on the web, and it can be difficult to determine the reliability of information presented on the web, so always be careful in relying on a web-based information source. Do your own checking and reviewing to make sure the web site and the information it presents are reliable.

Reference Sources - Subject encyclopedias, dictionaries, and other reference sources present brief introductions to or summaries of the current work in a field or on a topic. These are typically produced by a scholar and/or publisher serving as an editor who invites submissions for articles from experts on the topics covered.

How to Find the Literature

Just as there are many avenues for the literature to be published and disseminated, there are many avenues for searching for and finding the literature. There are, for example, a variety of general and subject specific indexes which list citations to publications (books, articles, conference proceedings, dissertations, etc). The Wesleyan Library web site has links to the library catalog and many indexes and databases in which to search for resources, along with subject guides to list resources appropriate for specific academic disciplines. When you find some appropriate books, articles, etc, look in their bibliographies for other publications and also for other authors writing about the same topics. For research assistance tailored to your topic, you can sign up for a Personal Research Session with a librarian.

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Summarize or Analyze an Article

Perhaps your instructor has given you an article, or you have found one on your own. The assignment is to summarize or analyze the article. Summarizing and analyzing are not the same activity. Below are outlined the steps to take in fulfilling each type of assignment.

 Summarize an Article

A summary is a report of author’s viewpoint. A summary is rewriting what you have read in your own words. One can think of the summary as the short version of the original writing. You should tell the reader what were the main and important points of the writing. Your summary should include the thesis or the main argument of the paper. In the summary, you should not include your opinion or what you think the author is trying to imply by writing it. It should only focus on what the author has written. Summary should also not include any kind of evaluation by the reader. You should not write what you think are the author’s strong or weak arguments.

One of the other important information the summary should include is the name of the book or article, the author’s name and the publication information. The publication information is when that piece of writing was first published (Date or year) and where was it published? This information usually goes in the introductory paragraph which is also going to include the thesis statement of the writing you have read.

The summary should also be formal. You should not address the author by their first name; use only their last name of the author. It is typed and usually only one paragraph depending on what you are writing about. I have only listed some of the most common factors that need to be included in the summary. Your instructor could give you a different structure they want you to follow and other guidelines.

What Your Summary Should Address

A brief paragraph describing and informing the reader on three or more of the following elements:

  • Who: those involved
  • What: the event or topic being covered
  • When: time, period, era, night or day
  • Where: the location, distance, place
  • Why: the cause or causes
  • How: the process(es)

 Analyze an Article

An analysis is breaking a large topic into smaller pieces to better understand the subject. In an analysis you are not telling the reader about the main viewpoints of the author or what the writing is about, it is examining the structure and the details of the writing. You break the story into smaller parts to understand it better. Many instructors do not want you to express your opinion about the subject discussed in the paper. You can only give your opinion on how well the author did to convince the reader.

The first paragraph should be the introductory paragraph and it should include the title, author’s name, and publication details. You can also give the reader some background information on the subject being discussed in the writing and then give the thesis statement of the paper. First paragraph can also have a short summary about the paper.

In your analysis paper, you should address what is the main argument that the author is making and how well do they support the argument. The other factor to address is how reliable are the sources, and the authority that the author cites to make their argument strong. An analysis paper can also include the strengths and weaknesses of the paper and how they affect the argument being made by the author. You should also examine the tools like statistics, examples or citing of an authority to analyze the author’s reasoning for writing the paper. The other points one could address in their analysis paper are does the author address the opposition’s view point and does he/she attempts to refute it. Many instructors do not want you to express your opinion about the subject discussed in the paper. You can only give your opinion on how well the author did to convince the reader.  However, depending on your class level and your instructor it might be different and you might be allowed to express your opinion on the subject matter and tell whether you agree or disagree with the author.

What Your Analysis Should Address

Examine the summary elements described above in order to look for their meaning in the following contexts:

  • Relationships, trends, patterns
  • Roles of people, places, objects, situations
  • Consequences or results of events, decisions and processes
  • Causes and their effects
  • Advantages and disadvantages/ gains and losses
  • Strengths and weaknesses

Adapted from: The Writing Center . College of the Sequoias

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  • Published: 10 April 2024

The impact of environmental regulation on green investment efficiency of thermal power enterprises in China-based on a three-stage exogenous variable model

  • Fang-rong Ren 1 ,
  • Tao-feng Wu 1 ,
  • Yang-jun Ren 2 ,
  • Xiao-yan Liu 1 &
  • Xiaomei Yuan 3  

Scientific Reports volume  14 , Article number:  8400 ( 2024 ) Cite this article

51 Accesses

Metrics details

  • Energy and society
  • Environmental economics
  • Sustainability

Due to the increased frequency of extreme weather events and the implementation of the China’s dual-carbon target, thermal power companies have been under pressure to construct green infrastructure and to actively pursue low-carbon transformation in response to stricter environmental regulations. This research thus selects 30 listed thermal power enterprises in China as study objects and assesses their green investment efficiency in the low-carbon transition process using three-stage DEA evaluation model with environmental regulation as an exogenous variable. Based on this, a benchmark regression model is used to corroborate the relationship between environmental regulation and green investment. Simultaneously, we carry out analysis to compare the correlation between thermal power firms’ green investment efficiency and their focus on green investments. The results show in terms of total efficiency that environmental regulation significantly improves the total efficiency of 80% of thermal power enterprises compared to the absence of this exogenous variable. With the addition of environmental regulation, firms’ total efficiency declines gradually in general from 2018 to 2022, with the mean value of efficiency falling by 0.068. In terms of stage-specific efficiency, the efficiency of the green investment stage of the majority of firms is between 0.3 and 0.6, which is much lower than that of the operational stage and the market performance stage. In terms of sub-indicator efficiency, both green investment efficiency and social donation efficiency among thermal power enterprises show obvious polarization, with 30% of them having an efficiency of 1 and 30% less than 0.1. In terms of green investment focus, thermal power unit renovation has a more obvious role in boosting the green investment efficiency of thermal power enterprises than do wind power and photovoltaic projects. Therefore, both governmental departments and thermal power enterprises need to take active measures in order to achieve green transformation from the perspective of green investment efficiency. Through the segmentation of important projects of green investment, this paper provides a reasonable investment direction reference for the sustainable transformation of China’s thermal power industry. It also provides a rich and novel theoretical basis for the Chinese government to further improve the relevant environmental protection laws and regulations of thermal power industry.

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Introduction

With environmental degradation and resource depletion becoming key impediments to global economic development, the green transformation of energy firms is on the horizon. According to the Energy Institute of the United Kingdom’s 2023 Statistical Yearbook of World Energy, worldwide energy demand increased by 1% in 2022. The historic increase of renewable energy has not altered the dominance of fossil fuels, which continue to supply 82% of global energy. Governments and other international organizations, such as the World Health Organization and the United Nations Environment Programme, have been actively encouraging research into environmental pollution and its effects on development in this respect. With coordinated efforts, the share of renewable energy in the world’s energy consumption from 2021 to 2022 would be 7.5%, or up around 1% from the year before. Indeed, 84% of the increase in net electricity consumption is met by a record 12% rise in wind and solar power generation.

Thermal power generation in China has accounted for 66.6% of total power generation in 2022, or growing 1.4% year on year. As a key energy supplier, thermal power firms must undergo green transformation in order to achieve sustainable development, and achieving this goal necessitates significant green investments. Global green investment increased from US$7 billion in 2000 to US$154 billion in 2010 1 , with the majority of that growth occurring in China. According to the United Nations Framework Convention on Climate Change (UNFCC), by 2050, $125 trillion in green investments will be needed to achieve carbon neutrality. According to the United Nations climate change annual report 2021, China is the largest contributor to green investment, particularly in the energy sector, valued at $266 billion. Among them, China's thermal power industry has also made large breakthroughs in the field of green investment. For example, according to the latest analysis of the China Electricity Council, the installed non-fossil energy generation capacity of the thermal power industry exceeded the size of the installed thermal power capacity for the first time in 2023, accounting for the first time for the proportion of the total installed capacity to exceed 50%.

To promote green investment, the China government has also continued to improve the environmental regulatory system by levying environmental protection taxes and opening up the carbon emissions trading market and green subsidy system. China is gradually forming a comprehensive environmental regulatory system combining command and control, market-led, and public participation 2 , 3 . According to the China Electricity Council, between 2016 and 2021 the power industry has already reduced carbon dioxide emissions by approximately 21.51 billion tons through non-fossil energy sources, reduced coal usage in power supply, and lower line-loss rate. China has now constructed the world’s largest ultra-low emission thermal power plant cluster.

As thermal power firms are critical to energy savings and emission reduction, green investment can help drive their sustainable development and also meet market and government requirements by enhancing energy cleanliness and low carbon. Thermal power companies typically boost their green investments in the early stages of tighter environmental rules in order to enhance their brand value and company image. However, because pollution control costs are rising and profit margins are narrowing due to stricter environmental restrictions, green investments have decreased rather than increased (Fig.  1 ). Therefore, it is necessary for this study to dig deeper into the reasons behind the phenomenon—that is, the trade-off between costs and benefits of green investment in thermal power enterprises as well as the relationship between enterprise green investment efficiency and the choice of green investment focus.

figure 1

China’s thermal power industry annual green investment.

Summarizing the research conducted by scholars at home and abroad in this field, there are three main limitations. First, the analysis of existing research in this field mainly focuses on developed regions or areas, and lacks research on developing countries 1 , 4 . However, the impact of environmental regulation on green investment has a strong geographical nature, and the differences in policies across countries can lead to different implementation strengths of environmental regulation by local governments. Second, due to the difficulty of obtaining data on corporate green investment, scholars' studies on green investment have mainly focused on the national or city cluster level, and lacked analysis on the corporate level 5 , 6 . Even the studies on corporate green investment are too broad in terms of industries, ignoring the fact that the impact of environmental regulations on green investment is limited by industry attributes 3 , 7 . Third, most of the existing literature uses the amount of green investments made by firms or cities, which is rather one-sided 8 , 9 , 10 , 11 . The input–output indicator system constructed with multiple variables is more comprehensive to measure the efficiency of green investment.

Therefore, this study overcomes the above shortcomings with the following three main contributions. First, it considers that changes in both the ESG index and media attention affect the financial support received by enterprises, which in turn influences the size of the funds used by enterprises for green investment projects. Therefore, this study incorporates the enterprise ESG index and media attention into the index system for assessing the green investment efficiency of thermal power enterprises.

Second, there are fewer studies on the green investment efficiency of energy enterprises in developing countries, especially Chinese thermal power enterprises. This study analyzes the impact of environmental regulations on the green investment efficiency of Chinese thermal power enterprises in the context of the country’s social system, taking into account the reality of its economic development.

Third, other studies have analyzed the efficiency of green investment using mainly econometric models, which can only deal with a single efficiency assessment. This study adopts the DEA model, which is not only able to deal with multiple inputs and multiple outputs, but also avoids subjectivity due to the assignment of weights.

Literature review

Impact of green investment.

The literature on the impact of green investment of thermal power companies on their market value is divided into two main views: the promotion theory and the inhibition theory. Green investment is a form of resource allocation in thermal power companies, which can improve their environmental quality and corporate reputation by reducing the necessary investment in generating pollutants in their operations 1 . Taking listed energy companies in China as an example, some scholars have found that green investment improves their environmental performance through the reduction of environmental violations. This enhances the impact of green investment on the long-term market value of energy companies 12 . In addition, incorporating green investments into energy business strategy formulation helps reduce corporate environmental risks and prompts companies to create value in terms of social sustainability, ultimately leading to an increase in their market value 7 , 13 , 14 .

Some scholars have put forward opposite views on the impact of green investment on firm value, arguing that green investment has a negative or zero impact on firm performance. This is because green investment is relatively costly, takes away resources that companies use for normal production and operations, and usually requires a long payback period. Therefore, when enterprises conduct green investment operations, they incur a certain negative impact on cash flow and financial performance 15 . In short, green investment may have a certain inhibitory effect on the financial performance of enterprises. However, in the long term, green investments can help improve the environmental performance of energy companies, which in turn contributes to financial performance. Therefore, energy companies need to weigh inputs and outputs when making green investments as part of a long-term development strategy to achieve sustainable development.

Factors affecting green investment

The literature on green investment has a variety of research angles. Some scholars have studied the influencing factors and development trends of green investment in the energy industry in developed countries by using econometric models from the perspective of macroeconomics 5 , 9 . The results show that green investment is influenced by economic growth, interest rates, and fuel prices 1 . At the same time, policy intervention of the national government, such as an environmental tax burden, also has a positive impact on green investment 10 , 11 . In view of the impact of an environmental tax burden, some scholars have used a variety of advanced panel data methods to conduct more detailed research. The results show although taxes have a weak catalytic effect compared to other factors that well-structured environmental regulation can still significantly promote green investment by firms 6 . Therefore, governments can provide tax incentives for companies to undergo green innovation, so that companies can get help with innovative projects.

Some scholars have studied the relationship between corporate ESG ratings and green investment using linear mixed models. The results show that there is a positive correlation between green investment and corporate ESG ratings, which has a significant impact on corporate sustainable operations 8 . In addition, some studies start from the perspective of public attention. Through the use of panel data and econometric models, research has found that strict environmental regulations prompt enterprises to increase green investment 5 . Given the high energy intensity of countries in the Asia–Pacific region, some economists have examined the relationship between green investment and renewable energy deployment from a renewable energy perspective. Using Panel Pooled Mean Group (PMG) technique, the study found that green investment potential positively affects renewable energy deployment 16 . Finally, from the perspective of R&D and innovation, some scholars use multiple regression models to conduct empirical analyses, and the results show that environmental regulation, by increasing green investment, not only benefits green innovation in the region, but also contributes to the neighboring region's 17 .

No matter from which viewpoint, scholars’ analysis of green investment mainly focuses on the motivation, and the conclusions are controversial. Therefore, the reasons for the dispute need to be further analyzed. Moreover, research has mainly focused on the green investment of enterprises, lacking any analysis and evaluation on green investment efficiency.

Influence of environmental regulation on green investments

As an important means to coordinate social development and environmental protection, environmental regulation has played an important role in environmental governance in recent years by effectively guiding the environmental behavior of enterprises and individuals. Studies mainly measure environmental regulation by the cost of pollution control, capital expenditure on pollution reduction 18 , pollutant discharge 19 , environmental tax burden 6 , 20 , 21 , and so on. Based on the differences in the above measurement standards, the impact of environmental regulations on green investment can be divided into three perspectives.

Traditional economists have argued that environmental regulations inhibit firms' green investments. They believe that environmental regulation inhibits firms' green investment. This group of scholars argues that environmental regulation can inhibit green investment by imposing unnecessary costs on firms and having a crowding-out effect on investment in innovation, which reduces the productivity of firms 22 , 23 , 24 . However, some scholars, led by Porter, have challenged that view. Porter believes that environmental regulation can bring “innovation compensation effect”, which is conducive to the realization of the enterprise's environmental performance and economic performance of the joint improvement 25 . Therefore, this group of economists point out that environmental regulation will stimulate enterprises to break the inherent business model and product structure, and put pressure on enterprises to consider environmental issues, so as to realize energy saving and emission reduction 26 , 27 . In addition, a small number of scholars, based on the “factor endowment hypothesis”, believes in a non-linear relationship between environmental regulation and corporate green investment.

No matter using regression analysis or the SBM-DDF model, studies have shown an inverted U-type non-linear relationship between environmental regulation and corporate green investment 3 , 28 . In the early stage of strengthening environmental regulations, enterprises increase green investment and change production methods due to legal requirements. However, with increasing environmental regulation, there will be an inflection point in the factor endowment advantage, when the costs of green investment outweigh the benefits of complying with environmental regulations. This is also contrary to the Poter hypothesis, where high pollution control costs lead to "crowding out" of R&D investment 29 , and firms prefer to accept penalties for non-compliance rather than make more green investments.

Most of the literature acknowledges the significant impact of environmental regulation on enterprises’ green investment, but due to differences in indicators and methods adopted by each research institute, the conclusions are inconsistent. A higher level of environmental tax burden closely relates to strict environmental regulations 30 . As an economic means, an environmental tax burden can regulate the environmental behavior of thermal power enterprises by directly affecting their production and operation. Therefore, this study uses environmental tax burden to measure environmental regulation and studies its impact on the green investment efficiency of China’s thermal power enterprises. Doing so provides a theoretical basis for the government to formulate relevant policies for the sustainable development of thermal power enterprises.

  • Green investment efficiency

As green investment efficiency has gradually become a crucial factor affecting the sustainable development of energy enterprises, empirical research based on DEA theory has also been widely used by scholars. Some scholars have analyzed the relationship between enterprise green investment and performance by the DEA method and panel vector autoregression method (VAR). Findings show that enterprises’ green investment inhibits productivity improvement 31 . From the perspective of environmental regulation, some scholars have introduced the learning curve theory into the traditional DEA model to describe the dynamic changes of power enterprises under different policy scenarios. The results show an interactive relationship between environmental regulation, environmental protection investment, and the sustainable development of power enterprises 32 . Environmental regulation motivates enterprises to pay attention to environmental performance, thus improving the efficiency of their green investment 33 .

Some scholars hold a different view, with some quantifying the green investment efficiency of heavy polluting enterprises through the SBM-DEA model. The results show an inverted U-shape non-linear relationship between environmental regulation and green investment efficiency of Chinese polluting enterprises 34 . Some scholars have also utilized the Tobit model and found a double effect of environmental regulation on the green efficiency of thermal power enterprises. It is specifically manifested as a U-shape non-linear relationship of first inhibition and then promotion 35 . Therefore, local governments must pay attention to the differentiation of environmental regulations in order to encourage energy enterprises to improve green investment efficiency.

From the perspective of digital empowerment, some scholars have used the SBM-DEA method to conduct quantitative analysis of the green investment efficiency of heavy polluting enterprises. Research has found that digital empowerment promotes green efficiency through increased analyst attention and greater R&D investment 36 .

In short, the green investment efficiency evaluation method based on DEA has wide application prospects in the current global low-carbon environmental protection era. These theories also provide a theoretical basis for government departments to guide the environmental management of energy enterprises.

Although there is a growing body of literature on the relationship between environmental regulation, green investment efficiency, and firm performance, there are still some limitations in this research field. In fact, most studies admit under strict environmental regulations that green investment of enterprises positively impacts their performance. However, the existing studies on the relationship between green investment and environmental regulation are relatively broad, mostly focusing on city clusters or all enterprises, and rarely focusing on a particular industry, especially the thermal power industry. As a result, the conclusions and policy recommendations are not fully applicable to all industries, and it is difficult for the government to improve environmental policies accordingly. In addition, the existing literature on green investment at the enterprise level is mainly limited to econometric methods, and there is less literature on the use of DEA models to study the efficiency of green investment in energy enterprises.

Research method

Based on the fact that the evaluation performance of the DDF non-ray distance function is better and provides more accurate estimation results, this study amends the traditional DDF model, combines the dynamic DEA model of Tone and Tsutsui 37 , and considers the exogenous problem, so as to solve the deficiencies of one-, two-, and three-stage Dynamic DDF under an exogenous DEA model. The formula runs as follows.

Assume that a decision-making unit ( \({DMU}_{j},j=1,\dots ,J\) ) has \(t (t=1,\dots ,T)\) time periods. Within each time period there are three stages: Stage 1, Stage 2, and Stage 3.

In the first stage, there are D inputs \({x}_{ij}^{t}\left(i=1,\dots ,m\right)\) that produce P intermediate products \({z}_{Pj}^{t}\left(p=1,\dots ,P\right)\) and Q desired outputs \({o}_{qj}^{t}\left(q=1,\dots ,Q\right)\) .

The second stage uses P intermediate products \({z}_{Pj}^{t}\left(p=1,\dots ,P\right)\) and F inputs \({a}_{fj}^{t}\left(f=1,\dots ,F\right)\) to create R desired outputs \({y}_{rj}^{t}\left(r=1,\dots ,R\right)\) and S intermediate products \({u}_{sj}^{t}\left(s=1,\dots ,S\right)\) .

The third stage uses S intermediate products \({u}_{sj}^{t}\left(s=1,\dots ,S\right)\) and G inputs \({f}_{gj}^{t}\left(g=1,\dots ,G\right)\) to create L desired outputs \({n}_{lj}^{t}\left(l=1,\dots ,L\right)\) .

Stage 1 (operation stage) inputs are number of employees and thermal power installed capacity. Output is operating revenue. Stage 1 links to Stage 2 via R&D expenses.

Stage 2 (green investment stage) inputs are green investment, proportion of installed renewable energy capacity, and social donation. Output is the ESG index. Stage 2 links to stage 3 via media attention.

Stage 3 (market performance stage) input is operating costs. Outputs are enterprise market value and market share. Exogenous variable \(={A}_{vj}\left(v=1\dots V\right)\) is environmental regulation, and carry-over \({= c}_{hj}^{t}\left(h=1,\dots ,H\right)\) is fixed assets.

Here, \(j\) represents the number of each DMU, i.e., the 30 thermal power enterprises in this paper, \(t\) represents the stage, and \(i,p,q,f,r,s,g,v,h,l\) represent the order of each variable. For example, \({x}_{ij}^{t}\) stands for the i ’th input of enterprise \(j\) in stage \(t\) .

Objective function

If there is an n dimension \(DMU\) set denoted as j , where \({DMU}_{o}\) represents the \(DMU\) under evaluation and \({DMU}_{o}\in j,\) then the mathematical model is formulated as follows.

Formula ( 1 ) calculates the efficiency of \({DMU}_{o}\) . Of these, formula ( 1 ) is primarily referenced to Chiu et al 38 .

If there is an n dimension \(DMU\) set denoted as \(j\) , where \({DMU}_{o}\) represents the \(DMU\) under evaluation and \({DMU}_{o}\in j.\)

Here, GFE represents Global-Factor Efficiency. \({\gamma }_{t}\) is the weight assigned to period t, and \({w}_{1}^{t}\) , \({w}_{2}^{t}\) , and \({w}_{3}^{t}\) are the weights assigned to Stage 1 efficiency, Stage 2 efficiency, and Stage 3 efficiency, respectively. Therefore, \({w}_{1}^{t}\) , \({w}_{2}^{t}\) , and \({w}_{3}^{t}\) and \(\sum_{t=1}^{T}{\gamma }_{t}=1\) .

Exogenous variable and links of stages

The exogenous variable is formula ( 2 ). Of these, formula ( 2 ) is primarily referenced to Li et al 39 .

Here, \( \lambda_{j}^{t} ,\;\mu_{j}^{t} ,\;\rho_{j}^{t}\) denote the weights of the benchmarking for \({DMU}_{o}\) in the first, second and three stages, respectively.

Stage 1 and Stage 2 links are formula ( 3 ). Stage 2 and Stage 3 links are formula ( 4 ). The two periods of links are formula ( 5 ). Of these, formula ( 3 ), (4), (5) is primarily referenced to Lu et al 40 .

Overall efficiency, period efficiency, stage efficiency, and period stage efficiency can be obtained from the above results.

Sub-efficiency values

The sub-efficiency values of the variables in this study are calculated in accordance with the Total-Factor Efficiency (TFE) indicator published by Hu and Wang 41 via the following equation.

Input variables and good output variables are formulae (6) and (7), respectively.

If the value of total factor efficiency is 1, then the efficiency target has been achieved; conversely, it means that there is an excess of inputs or a shortage of outputs, indicating that there is room for improvement.

Empirical analysis

Data description.

This paper selects data from 30 listed thermal power companies in China from 2018 to 2022. The selection is based on thermal power listed companies that are ranked among the top 30 in market capitalization on the Flush Financial Data Platform as of the end of 2022 and have been listed for more than five years. The abbreviations of the sample companies are in “ Appendix A ”. Since the green investment path of listed thermal power companies is not unique, different companies illustrate differentiated transformation by combining their own advantages.

Studies vary in their division of green investments. According to the green financial products invested, they can be divided into green credit, green securities, and green insurance 42 . According to the use of green investment project funds, they can be divided into expenditures for environmental pollution control and expenditures for environmental infrastructure construction 43 . As the research object of this paper is thermal power listed enterprises, power generation projects are the key aspects of their main business and green investments. Therefore, this paper classifies the green investments of enterprises into three types according to the energy type of the project by analyzing the important ongoing projects of thermal power enterprises: the transformation of thermal power units, photovoltaic projects and wind power projects (Table 1 ).

A new energy project is a national key support project that can effectively reduce the carbon emissions of enterprises. From the viewpoint of power generation cost, the cost of photovoltaic power generation has been reduced to parity and even lower than the cost of thermal power. From the viewpoint of geographical adaptability, wind power projects can be built in cities, suburbs, villages, and coastal areas with strong geographical adaptability. However, the instability of a wind project determines that thermal power units need to be used as a peaking power source to ensure stable operation of the grid. A new energy project construction cycle is longer, and it is difficult to achieve results in the short term. Therefore, thermal power companies still carry out thermal power unit renovation to maintain their stable operation.

Among the enterprises in the sample of this study, there are 25, 18, and 11 carrying out thermal power unit renovation, Photovoltaic projects, and wind power projects, respectively. There are 5 enterprises carrying out all three types of projects at the same time. Finally, 13 enterprises carry out both types of projects at the same time.

This study evaluates the number of employees, installed thermal power capacity, operating revenue, R&D expenses, green investment, proportion of installed renewable energy capacity, social donations, ESG index, media attention, operating costs, enterprise market value, market share, fixed assets, and environmental regulation of the sample companies from 2018 to 2022. Among them, Min–Max normalization is performed on the raw data of the proportion of installed renewable energy capacity and market share. The research framework based on the three-stage parallel DEA model with relevant indicators is given in Fig.  2 .

figure 2

Research framework based on three-stage parallel DEA modeling.

The main design ideas of the three-stage DEA model in this paper are as follows. First, the process of assessing the green investment efficiency of thermal power enterprises is divided into operation stage (Stage 1), green investment stage (Stage 2), and market performance stage (Stage 3). The first stage is operation. Thermal power enterprises through the normal operation and profitability in this stage lay a good foundation for subsequent green investment. Thermal power installed capacity and the number of employees is mainly selected as inputs, and operating revenue and R&D expenses are outputs. The R&D expenses are continuously invested into the second stage as supportive funds for green investment.

Second, the second stage is green investment. Green investment, the proportion of installed renewable energy capacity, and social donations are taken as inputs. The ESG index and media attention are taken as outputs.

Finally, the third stage is market performance. Media attention is used as an input in the third stage to characterize its important role in a firm’s market performance. Operating costs are an input. Market value and market share are outputs. The T and T + 1 stages are connected through the carry-over variable of fixed assets. Table 2 below specifically explains each indicator.

Descriptive statistics

Due to space limitation, only major variables are selected for statistical description in this paper. Green investment stage is a key turning point for thermal power enterprises to achieve sustainable development and plays an important role in the steady operation of enterprises. Therefore, the selected indicators are categorized into two types for statistical description herein: operation and market indicators and sustainability indicators. Their mean, maximum, and standard deviation are calculated respectively, and the results are rounded to two decimal places. Figures  3 and 4 show the statistical description of the two categories of variables by year.

figure 3

( a – d ) Descriptive statistics of operating and marketability variables.

figure 4

( a – d ) Descriptive statistics of sustainability variables.

In terms of the operation and market performance of thermal power enterprises, their installed capacity (Fig.  3 a) has been relatively stable in recent years. R&D expenses (Fig.  3 b) have increased year by year, and the growth rate is also increasing year by year. By raising R&D expenses, thermal power enterprises can carry out technological innovation to develop new products or new energy technologies, thus improving their production and operational efficiency. In addition, although the market value of enterprises (Fig.  3 c) has obvious fluctuations, the market share (Fig.  3 d) is generally stable and does not show large changes.

Looking at the sustainability of thermal power firms, first, social donation (Fig.  4 a) is far more volatile than the other variables, with 2019 leading the five-year period in terms of this factor. Second, green investment (Fig.  4 b), which had been trending upward in the previous four years, suddenly declined in 2022, possibly due to increased environmental regulations. Finally, the steady growth trend in the proportion of installed renewable energy capacity (Fig.  4 c) and the high level of the ESG index (Fig.  4 d) reflect that companies are actively pursuing a green and low-carbon transition.

Empirical result analysis

Total efficiency analysis.

This study considers the inclusion of exogenous variables and the absence of exogenous variables separately when assessing each DMU. According to the empirical results of this paper, after adding exogenous variables, the green investment efficiencies of 24 out of 30 firms significantly improve. Without considering exogenous factors, the average value of the overall efficiency of enterprises is 0.553, and 10 enterprises have total efficiency greater than 0.6. After considering exogenous factors, the mean value of overall efficiency is 0.591, and 13 thermal power enterprises have total efficiency greater than 0.6. Obviously, environmental regulation as an exogenous variable in the model significantly improves the underestimation of enterprises’ green investment efficiency.

As can be seen from Fig.  5 , the green investment efficiency of thermal power enterprises was at its lowest in 2019 at 0.501 and hit its peak in 2021 at 0.590. The overall trend is that it first declines, then improves, and finally declines again. In 2018–2019, at the beginning of the strengthening of environmental regulations, the increased cost of thermal power enterprises for pollution control had a crowding out effect on innovation investment. This also led to a decline in the green investment efficiency of thermal power enterprises, from 0.553 to 0.501. With the implementation of environmental policies, enterprises are forced to develop cleaner and more environmentally friendly production methods due to pressure from the environmental tax burden. For example, the renovation of thermal power units and the development of new energy projects spurred the green investment efficiency of enterprises to increase by 8.9% in two years. However, as the proportion of new energy connected to the grid increases, the power system is not flexible enough, and the problem of consumption gradually emerges. The green investment efficiency of enterprises thus exhibits a significant decrease.

figure 5

Average green investment efficiency (2018–2022).

Of the 24 thermal power companies that have improved after adhering to the environmental regulation, 18 companies are carrying out retrofitting of thermal power units and 15 are carrying out photovoltaic projects. Relatively fewer firms, less than half, are targeting the construction of wind power projects. Among the top 10 enterprises with the strongest improvement effect, 80% of them have carried out thermal power unit renovation. Obviously, enterprises prefer to realize the improvement of their green investment efficiency by retrofitting thermal power units. On the one hand, retrofitting thermal power units is flexible and has a low cost compared to new energy construction. Thermal power units can operate stably for a long period of time and adjust their output according to power demand. On the other hand, photovoltaic projects and wind power projects have strong volatility, homogeneity and require flexible resource packages to solve the consumption problem. In the case of a significant increase in electricity load, wind and solar clean resources are difficult to provide enough controllable power.

In China there are still provinces with a significant problem of abandoned wind or abandoned light. They include Inner Mongolia, Qinghai, Gansu, and other wind power provinces. Some areas of wind power or photovoltaic power only have a utilization rate of 90%. Therefore, compared with Photovoltaic projects and wind power projects, companies can more feasibly improve their total efficiency through the renovation of thermal power units.

By comparing the green investment efficiency of the top 5 and bottom 5 thermal power enterprises, this paper finds that efficiency significantly improves after considering exogenous variables. As seen from Fig.  6 , the green investment efficiency value of each thermal power enterprise varies greatly. Among them, DHEP has the lowest green investment efficiency value of 0.341, which is only 1% higher than the case without considering environmental regulation. DLPC has the highest efficiency value of 0.960, which is an increase of nearly 10% over the case without taking into account exogenous factors. The improvement is significant. Therefore, the impact of environmental regulations on DLPC is much greater than that on DHEP. This may be due to the fact that DHEP is higher than DLPC in terms of enterprise size, capital cost, and technical feasibility. Its investment in green innovation has already reached a high level, and so the improvement rate is not as high as DLPC. In addition, DHEP’s fuel costs increased by U$$2.953 billion year-over-year in 2021 due to the increase in the unit price of standard coal used for power generation. The significant increase in operating costs leads to a company’s lower gross margin and continued losses. In turn, the focus on green investments continues to diminish, and the efficiency of green investments is bound to decrease.

figure 6

Total efficiency values of thermal power enterprises (top and bottom 5). Notes : The ranking is based on the efficiency value after adding exogenous variables. S means considering exogenous variables. S* means not considering exogenous variables.

In terms of the magnitude of improvement, the impact of environmental regulation on GDGI ranks first among the sample firms, with a 20.8% improvement in green investment efficiency. On the one hand, GDGI's earnings continue to be high, and there is enough capital to build on green investments. On the other hand, environmental regulations have been strengthened, and significant results have been achieved in green investments. Therefore, a company can decide to continue to invest in green investments in the future and continue to invest in research and development. From thermal power generation to multiple energy sources, GDGI has always adhered to the direction of clean energy development. The improvement of its green investment efficiency is also an inevitable trend.

In conclusion, environmental regulations have a more significant impact on the green investment efficiency of Chinese thermal power companies. During the period from 2018 to 2022, the average value of the environmental tax burden paid by enterprises is generally increasing. Environmental regulations force thermal power enterprises to improve their production and operation methods by increasing their environmental management costs. Moreover, thermal power enterprises combine their own advantages to carry out green transformation of industrial structure. While realizing green and high-quality development, they also promote the improvement of green investment efficiency.

Stage efficiency analysis

Efficiency analysis of operation stage (stage 1).

In the operation stage, this study includes the number of employees, installed thermal power capacity, and operating revenue in the input–output index system of this stage. According to the empirical results of this paper, during the period from 2018 to 2022 the efficiency of thermal power enterprises in the operation stage performs well with an overall mean value of 0.613. However, there are still some enterprises with low efficiency in this stage, such as DTPC, whose efficiency value fluctuates around 0.2 or less than one-third of the average value.

As seen from Fig.  7 , the inclusion of environmental regulation can significantly increase the efficiency of thermal power enterprises in the operation stage. The collection of environmental taxes raises the production costs of highly polluting enterprises, thus promoting the optimal allocation of resources and industrial restructuring. For thermal power enterprises, the collection of environmental taxes pushes them to pay more attention to the development of clean energy and to increase investment in renewable energy. By optimizing the industrial structure, the energy efficiency of thermal power enterprises will improve. In response to the role of exogenous variables in this stage, BNEC is most strongly affected, mainly because BNEC is driven by environmental regulations and focuses on the level of cost optimization and energy savings. It is a commitment to operational efficiency improvement whose improvement effect is as high as 0.462 in 2019.

figure 7

Average value of efficiency in operation stage (2018–2022). Notes : Stage1 means considering exogenous variables. Stage1* means not considering exogenous variables.

After 2020 in the late period of strengthening environmental regulations, the operational efficiency of thermal power enterprises has significantly weakened. The average efficiency fell by 14.5% in two years, perhaps due to the need for thermal power companies to invest more resources and funds in technology upgrades in order to meet more stringent environmental requirements. Therefore, for improving energy efficiency and reducing pollutant emissions, there will be some technical or economic restrictions that result in the decline of efficiency at this stage. In summary, environmental regulations can, to some extent, lead to higher efficiency values by inducing improvements in energy use efficiency and reductions in pollutant emissions during the operational stage of an enterprise. However, with increased pressure on profitability, thermal power companies may encounter some constraints in this regard, leading to a slowdown or decline in the rate of improvement of efficiency values.

Efficiency analysis of green investment stage (Stage 2)

The green investment stage is an indispensable part of thermal power enterprises to realize sustainable development. This study includes green investment, the proportion of installed renewable energy capacity, social donations, and the ESG index into the input–output index system of this stage. Table 3 shows the efficiency value of green investment stage of thermal power enterprises selected by this paper with more typical performance in this stage.

The inclusion of environmental regulations has somewhat increased the efficiency value of the green investment stage of thermal power companies during the period from 2018 to 2022. This may be due to the fact that environmental regulation incentivizes firms to approach the green investment business in a more prudent and proactive manner, which in turn promotes green investment efficiency. However, nearly one-third of the thermal power firms, such as HDEC and TFEC (Table 3 ), have reached the optimal efficiency value before the addition of the exogenous variables, and thus there is no significant improvement.

With the increase of environmental regulation pressure, the efficiency value of thermal power companies in the green investment stage shows a large decline. It falls from 0.566 in 2018 to 0.307 in 2022 or a drop of 25.9% (Fig.  8 ). Even though there is a slight rebound during the period, it again shows a more substantial fall in the following year. This is mainly due to the thermal power enterprises in the process of accelerating the development and utilization of clean energy illustrating that new energy generation will have difficulties in sending out and consuming. The wind turbines and photovoltaic equipment in many areas have been left idle for a long time.

figure 8

Average efficiency of green investment stage (2018–2022). Notes : Stage2 means considering exogenous variables. Stage2* means not considering exogenous variables.

The phenomenon of abandoning light and wind is serious. Moreover, supply chain issues and downward economic pressure due to COVID-19 could have also hindered green investments by thermal power companies between 2021 and 2022. However, some companies have bucked the trend. For example, GEPC’s green investment stage efficiency grew from 0.047 to 0.112, or an improvement of nearly three times.

Compared with the other two stages, the green investment stage has the lowest average efficiency value, between 0.3 and 0.6, and the largest difference in efficiency between enterprises. This is reflected in the serious bifurcation of the efficiency values of the sample enterprises in this stage. The difference between high-efficiency and low-efficiency enterprises is even close to 100%, which is also directly linked to the green investment focus of thermal power companies. Retrofitting thermal power units not only has greater potential and lower investment costs, but also smoothes out the impact of new energy power on the grid.

Thermal power units have a stronger role in improving the efficiency of the green investment stage. For example, JGCL’s green investment projects during this five-year period were dominated by the renovation of thermal power units and supplemented by the construction of new energy projects (Table 3 ). Thus, JGCL has always maintained a high level of efficiency in the green investment stage. By contrast, HDPC focuses on the construction of new energy projects, such as photovoltaic projects and wind power projects. Therefore, its efficiency in this stage is lower (Table 3 ).

Efficiency analysis of market performance stage (Stage 3)

Thermal power firms have the highest efficiency values in the market performance stage compared to the efficiency values in the other two stages. There is also not much difference in the efficiency values among the firms. Except for a few firms such as JNPC, NMHD, and SNPC, most of the other firms have efficiency values fluctuating around 0.7 in this stage. At this stage, the inclusion of environmental regulations had a relatively small effect on improving efficiency, with most firms improving by less than 5%. Overall, the market performance stage efficiency increased year-on-year with the strengthening of environmental regulations and rose much higher than the operational stage (Fig.  9 ). The unusual performance in 2018 was due to the multiple adjustments in the domestic refined petroleum product market along with the increase in coal prices during the year. They had a dampening effect on the efficiency of most thermal power companies, especially JGCL, in the market performance stage.

figure 9

Average efficiency of market performance stage (2018–2022). Notes : Stage3 means considering exogenous variables. Stage3* means not considering exogenous variables.

The collection of environmental taxes will prompt thermal power enterprises to increase their investment in and development of clean energy. Thus, it will guide enterprises toward restructuring, transformation, and upgrading. For example, GDGI has not only raised its R&D investment year by year, but also continued to increase mergers and acquisitions of high-quality assets and clean energy to optimize its industrial layout.

There are some firms that are not sensitive to environmental regulation. For example, DTPC and HNPC, whose efficiency values in the market performance stage did not improve more significantly from the environmental tax burden (Table 4 ). The pressure of environmental regulations burden increases the cost of highly polluting and inefficient thermal power firms. For firms adopting clean energy and high efficiency technologies, their costs will be relatively lower. This leads to the exit of inefficient thermal power firms from the market. In turn, high-efficiency firms have the opportunity to expand their market share and increase their efficiency value in the market performance stage.

Sub-index efficiency analysis

Due to space limitations, only the main indicators are selected for sub-indicator efficiency analysis in this paper. Table 5 reflects the average values of the efficiency of the main indicators of Chinese thermal power enterprises from 2018 to 2022 with and without considering exogenous variables.

First, the efficiency of installed thermal power capacity directly affects the power generation capacity and capacity level of the enterprise. Hence, it is an important factor for thermal power enterprises to maintain normal business management. After considering the exogenous variable of environmental regulation, the average value of thermal power firms’ installed capacity efficiency increases in most years and peaks at 0.730 in 2020 (Table 5 ). A few firms are insensitive to the role of environmental regulation, such as JKPC and JNPC. Most companies show a very clustered thermal power installed capacity efficiency of 0.5 or more from 2018 to 2022. For highly polluting and inefficient thermal power units, environmental regulation will increase the operating costs of thermal power enterprises. Therefore, companies will actively adopt energy saving and emission reduction measures and emphasize technological innovation, such as vigorously renovating thermal power units and developing clean energy projects. For example, SNCL has invested in a number of hydrogen energy projects, driven by environmental regulation.

Second, enterprises’ market value efficiency stays at a high level from 2018 to 2021, yet declines substantially in 2022, as in the case of AHWC and GEPC. The inclusion of environmental regulations improves the average market value efficiency of thermal power firms in all years except 2022. In particular, in 2018 the average market value efficiency improves by as much as 15.9%. Environmental regulations can incentivize firms to adopt more environmental protection measures to reduce pollutant emissions, such as ultra-low emissions and desulfurization and denitrification technologies. However, in the late stage of environmental regulation strengthening, the obstruction of new energy construction and excessive cost burden can inhibit the market value efficiency of enterprises. Their average value of efficiency decreases by two-thirds from 0.931 in 2018 to 0.619 in 2022 (Table 5 ). For example, in 2018 to 2021, DTPC and DLPC have reached the optimal point of their enterprises’ market value indicator efficiency in yearly increments under the pressure of the environmental regulation. In 2022, however, excessive cost burdens led to a significant decline in firm market efficiency, or far less than half of what it was in 2021.

Third, with the strengthening of environmental regulations, the average green investment efficiency value of thermal power enterprises has been declining in fluctuation over the five-year period. The average green investment efficiency value is the highest in 2018 at 0.595, while 2022 has the lowest efficiency at 0.274 or less than half of that in 2018 (Table 5 ). Green investment efficiency rebounds considerably in 2021, but then deteriorates sharply in the following year, going from 54.2 to 27.4%. SEPC and GDGI have seen a typical plunge in the efficiency of their green investments, with a decline of almost 100%. This is mainly due to the fact that companies pay more attention to compliance in order to avoid being fined or facing other legal risks. This ultimately results in companies not being able to fully utilize the benefits of green investment.

After adding exogenous variables, the average green investment efficiency of the 30 thermal power companies has improved in the previous four years. Especially for BNEC, the addition of environmental regulation directly doubles its efficiency value several times to reach optimal efficiency. During this period, the average social donation efficiency value has fluctuated slightly, but overall, it is still slowly decreasing. The average social donation efficiency value in 2018 ranked first among the five years at 0.520 (Table 5 ). It is worth noting that both green investment efficiency and social donation efficiency of thermal power enterprises are bifurcated. High-efficiency enterprises, such as DLPC and HDEC, achieve an optimal efficiency of 1 for both green investment efficiency and social donation efficiency. However, more than half of the enterprises have both efficiencies of almost 0. This phenomenon may relate more to the enterprises’ view of social responsibility and their own operation situation.

Finally, the ESG index efficiency of most thermal power companies is decreasing year by year, from 0.907 to 0.486. This is mainly due to the fact that companies will reduce the financial pressure from an environmental tax burden by lowering environmental protection investment, which leads to the inability to fully utilize the benefits of ESG index efficiency. In the first two years, the inclusion of exogenous variables can improve the average ESG index efficiency of thermal power enterprises. However, in the latter three years, environmental regulation shows an inhibitory effect on it, and the inhibitory impact increases year by year. In 2022 the inhibitory effect of environmental regulations on the ESG index efficiency of thermal power companies hit 22.8%. This causes the average ESG index efficiency of firms to fall from 0.714 to 0.486 (Table 5 ). However, there are also firms that show an abnormal rise. For example, CEPC’s ESG index efficiency has been positively affected by environmental regulation with a small increase in efficiency values.

Regression analysis

where i denotes the individual company, t denotes the year, \({Green investment}_{it}\) denotes the amount of green investment of the thermal power enterprise, \({Environmental\; regulation}_{it}\) denotes the environmental tax burden paid by the thermal power enterprise, \({\gamma }_{t}\) denotes the time fixed effect, and \({\varepsilon }_{it}\) is the random perturbation term.

In order to further verify the impact of environmental regulation on green investment, this paper carries out a benchmark regression for formula ( 8 ). The regression results show that environmental regulation is significantly positive at the 1% level, indicating that environmental regulation can promote the green investment of thermal power enterprises. On the one hand, under the pressure of environmental regulation, thermal power enterprises will actively make green investment for tax incentives. On the other hand, environmental regulation will increase the cost pressure on thermal power enterprises, which will encourage them to make green investment to reduce their pollutant emissions. This result further confirms the accuracy of the above DEA model evaluation (Table 6 ).

Conclusions and suggestions

The above analysis shows that environmental regulation improves the green investment efficiency of thermal power enterprises. This is similar to the view of some scholars 26 , 27 , 33 , 44 . Environmental regulation improves the green investment efficiency of enterprises by encouraging them to use low-carbon technologies, which have a positive effect in promoting the sustainable development of enterprises. Some studies have also suggested that the relationship between environmental regulation and green investment is nonlinear 45 , 46 , 47 , mainly because the relationship is affected by industry and regional differences. Most thermal power enterprises are polluting enterprises, which are more sensitive to the role of environmental regulation and also bear a higher degree of pressure to spend on environmental protection compared to their own environmental pollution.

With the continuous strengthening of environmental regulation, the green investment efficiency of thermal power enterprises will gradually decrease. This is slightly different from some of the scholars’ research on heavily polluting enterprises 4 , 34 , 48 . It may be due to the fact that our study just selects the relevant data of thermal power enterprises within 5 years. Only some of the old power plants in thermal power enterprises are heavy polluters, and so there is some difference for the future trend of green investment efficiency.

Although the results of this study show a correlation between the green investment focus of thermal power enterprises and their green investment efficiency, there may still be some errors. Future research should explore the specific reasons for the changes in green investment efficiency in depth, taking into account the geographical location of thermal power enterprises and the impact of the policy environment. This will provide a more comprehensive analysis for the literature on green investment efficiency.

Conclusions

This paper draws the following conclusions by evaluating the operational, green investment and market performance efficiencies of 30 listed thermal power companies from 2018 to 2022, and regressing environmental regulation on green investment.

In terms of total efficiency, 80% of the sample firms show a significant improvement in total efficiency with the addition of environmental regulations compared to without exogenous variables. Among them, the improvement of GDGI is the most prominent. The addition of environmental regulations can force high-polluting enterprises to emphasize green innovation through the R&D mechanism, which turn plays a positive role in promoting the total efficiency of thermal power enterprises. However, with the addition of environmental regulations, the total efficiency of thermal power firms exhibits a slight decreasing trend between 2018 and 2022. This is associated with cost pressures on firms and the long-term nature of the reduction in green investments.

In terms of stage-specific efficiency, more than 60% of thermal power firms’ green investment stages are less efficient as a result of stronger environmental regulations. Compared with the operation and market performance stages, the green investment stage has the lowest efficiency at an overall average value between 0.3 and 0.6. This suggests that the green investment stage is a more difficult stage in the development process of thermal power enterprises and needs to be emphasized by enterprises.

In terms of indicative efficiency, there is a serious bifurcation in the green investment efficiency and social donation efficiency of thermal power enterprises. The difference between high-efficiency enterprises and low-efficiency enterprises even reaches 100%. This is strongly linked to the low-carbon transition strategy and operational financial status among thermal power enterprises.

In the benchmark regression analysis, environmental regulation is significantly positive at the 1% level, indicating that environmental regulation promotes green investment in electric utilities. This further confirms the accuracy of the DEA assessment.

In terms of the green investment focus of thermal power companies, compared to new energy construction, such as photovoltaic and wind power projects, thermal power unit retrofits are more effective in improving green investments in terms of economics and dexterity. Among the top 10 thermal power companies with the strongest improvement effect, eight of them have undertaken thermal power unit retrofits. Thermal unit retrofits are not only cheaper, but can also promote coal power and renewable energy interconnections. Therefore, their effect on energy utilization efficiency and green investment efficiency is more obvious.

Suggestions

Suggestions for thermal power enterprises.

First, thermal power enterprises should pay particular attention to green investment in the process of low-carbon transformation. Enterprises should not only target the expansion and upgrading of thermal power units, but also promote mature energy and low-carbon technologies.

Second, thermal power enterprises should achieve differentiated transformation according to their own situation. Due to wind power, photovoltaic and other new energy generation efficiencies are not high, and in the short term they cannot provide reliable power support. Thus, coal power installed capacity also needs to maintain reasonable growth.

Finally, thermal power companies should strengthen information disclosure. Through open and transparent information, investors can understand the enterprise’s green investment situation and the progress of low-carbon transformation as well as enhance investor confidence. In addition, through information disclosure, thermal power enterprises can also learn from the successful experience and lessons of other enterprises in order to improve their own green investment efficiency.

Suggestions for government departments

First, government departments should formulate medium- and long-term plans for the transformation of the thermal power industry as early as possible. The formulation of environmental regulations should be coordinated with market operation mechanisms. They can guide thermal power enterprises to form a market competition pattern for green investment. Governments can also provide policy preferences to enterprises that meet environmental protection standards and formulate and implement further incentive policies.

Second, in view of the phenomenon of increasing wind and solar curtailment in some local areas, government departments should coordinate solutions to the large-scale development and high-level consumption of new energy. When implementing unified dispatch across the entire grid, the State Grid Corporation should break through inter-provincial barriers, accelerate the construction of a new power system, and minimize the start-up period of thermal power as much as possible. At the same time, it can implement mandatory consumption of new energy across the entire grid. When wind and solar energy are curtailed, it can obligatorily reduce the output of matched thermal power and prioritize the transmission of new energy.

Data availability

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

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This study was supported by Jiangsu Province Social Science Foundation Project (22GLD019), Major Project of Philosophy and Social Science Research in Universities of Jiangsu Province (2022SJZD053).

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College of Economics and Management, Nanjing Forestry University, Nanjing, 210037, People’s Republic of China

Fang-rong Ren, Tao-feng Wu & Xiao-yan Liu

Changzhou Vocational Institute of Textile and Garment, Changzhou, 213164, People’s Republic of China

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F.-rR.: conceptualization, methodology and software resources. T.-fW.: formal analysis, writing—original draft preparation. Y.-jR.: visualization and investigation. X.-yL.: data curation, writing—review and editing. X.-mY.: project administration. All authors read and contributed to the manuscript. All authors have read and agreed to the published version of the manuscript.

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Ren, Fr., Wu, Tf., Ren, Yj. et al. The impact of environmental regulation on green investment efficiency of thermal power enterprises in China-based on a three-stage exogenous variable model. Sci Rep 14 , 8400 (2024). https://doi.org/10.1038/s41598-024-58396-x

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DOI : https://doi.org/10.1038/s41598-024-58396-x

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COMMENTS

  1. How to Write a Literature Review

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  6. What is a Literature Review?

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    A literature review is a critical analysis and synthesis of existing research on a particular topic. It provides an overview of the current state of knowledge, identifies gaps, and highlights key findings in the literature. 1 The purpose of a literature review is to situate your own research within the context of existing scholarship ...

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  24. The impact of environmental regulation on green investment ...

    Most of the literature acknowledges the significant impact of environmental regulation on enterprises' green investment, but due to differences in indicators and methods adopted by each research ...

  25. Research Specialist

    Job Summary: The person hired for this position will serve as project manager and will organize the day-to-day operations of the project under the supervision of the Principal Investigator (PI). This includes recruiting participants, scheduling and participating in data collection, helping to design data collection scripts and coding manuals, overseeing the work of undergraduate research ...