So… You Want to Produce a Systematic Literature Review? Daniel Amyot [email protected] January 2017 Bits of Wisdom • If I have seen a little farther than others, it is because I have stood on the shoulders of giants. Sir Isaac Newton • Science is supposed to be cumulative, not almost endless duplication of the same kind of things. Richard Hamming, 1968 Turing Award So… You Want to Produce a Literature Review p.2 Why Do a Literature Review? • Mandatory part of the program… • My supervisor wants me to… • Part of the thesis template I got… • I want to graduate!!! The literature So… You Want to Produce a Literature Review p.3 Are There Better Reasons? http://www.phdcomics.com/comics/archive.php?comicid=789 So… You Want to Produce a Literature Review p.4 Why Do This Systematically? Better Reasons… • Understand the domain and the state of the art • Use a recognized methodology (not ad hoc) • Avoid missing important (or sometimes better) related work • Be evidence-based and avoid bias • Synthesis of work and relationships • Find gaps/trends/agreements/disagreements in existing work, or realize there are no gaps! • Framework to compare/position your own work • Support repeatability (rigor) and evolution So… You Want to Produce a Literature Review p.5 Another (More Selfish) Good Reason • Get a publication! – Reviews are usually well cited. Make yours serious enough to be published. – There are just too many papers being published… Help people save time with a good review, with useful insights. So… You Want to Produce a Literature Review p.6 Why Systematic? Evidence-Based! • Evidence-based medicine has changed research practices (Cochrane 1972) • Failure to organise existing medical research cost lives • Clinical judgement of experts worse than systematic reviews • Evidence-based paradigm adopted by other disciplines providing service to public – Social policy, Education, Psychiatry… • Sloooowwwlllly getting there in Management, IS, CS, and Software Engineering! – Work of Kitchenham and others So… You Want to Produce a Literature Review p.7 Systematic Reviews 1/2 [Kitchenham] • A systematic literature review (SLR) is – An overview of research studies that uses explicit and reproducible methods • Systematic reviews aim to synthesise existing research – Fairly (without bias) – Rigorously (according to a defined procedure or protocol) – Openly (ensuring that the review procedure is visible to and auditable by other researchers) So… You Want to Produce a Literature Review p.8 Systematic Reviews 2/2 [Kitchenham] • Support the evidence-based paradigm 1. Start from a well-defined question 2. Define a repeatable strategy for searching the literature 3. Critically assess relevant literature 4. Synthesize literature • With thanks to Cochrane, since 1972 http://en.wikipedia.org/wiki/Archie_Cochrane So… You Want to Produce a Literature Review p.9 What is So Systematic about This? http://dilbert.com/ So… You Want to Produce a Literature Review p.10 What is So Systematic about This? • • • • • Key search words and queries Searching method and databases Criteria for including/excluding references Clear structure in appraising the evidence Explicit discussion of limitations (threats to validity) • Many guidelines, but there is still room for adaptation to your context and domain So… You Want to Produce a Literature Review p.11 SLR PROCESS AND PROTOCOL So… You Want to Produce a Literature Review p.12 A Systematic Review Process Develop Review Protocol Plan Review Validate Review Protocol Identify Relevant Research Select Primary Studies Conduct Review Assess Study Quality Extract Required Data Synthesise Data Write Review Report Document Review Validate Report [Kitchenham, 2007] So… You Want to Produce a Literature Review p.13 Research Questions… • Assessing the effect of a technology (causality?) • Assessing the frequency or rate of a project development factor – E.g. Rate of project failures • Identifying cost and risk factors • Identifying the impact of technology on reliability, performance, cost… • Pragmatic, well-focused questions • More general questions for other purposes – Review of research in domain X? So… You Want to Produce a Literature Review p.14 SLR Protocol • Methods to be used for a systematic review • Predefined protocol – Avoid bias… Too easy and tempting to change the research questions to fit search results! – In practice however, for a first review, chances are you will be cheating… Iterative approach! So… You Want to Produce a Literature Review p.15 SLR Protocol Content • Content – – – – – – – – – Background Research question(s) Search strategy Selection (inclusion/exclusion) Quality assessment criteria Data extraction Synthesis Threats/limitations Reporting Schedule/plan • Sample SLR protocol template • Sample protocol So… You Want to Produce a Literature Review p.16 Executing the Review Protocol… So… You Want to Produce a Literature Review p.17 IDENTIFICATION OF RELEVANT RESEARCH So… You Want to Produce a Literature Review p.18 Pearl Growing • Using 4-5 key paper(s) to find more – Make use of paper’s subject headings (and other index details) in key databases – Also make use of its terminology (for your search strings), the databases in which it is indexed (for your databases), the journal it comes from (for browsing), and so on • Make sure the initial 4-5 papers are covered! Some Potential Search Databases • • • • • • • • • • • Scopus (http://www.scopus.com/) Web of Science (https://webofknowledge.com/) PubMed (http://www.ncbi.nlm.nih.gov/pubmed/) Medline (Ovid) (http://www.ovid.com/site/catalog/databases/901.jsp ) IEEE Xplore (http://ieeexplore.ieee.org/) ACM Digital Library (http://dl.acm.org/) SpringerLink (http://www.springerlink.com/) Google Scholar (http://scholar.google.ca/) Even plain Google/Bing, sometimes (especially for commercial products) Many more on Wikipedia and at the uOttawa library In your protocol, choose those that make sense in your context. So… You Want to Produce a Literature Review p.20 Non-Academic Databases • Canadian Periodical Index Quarterly (CPIQ) • National Bureau of Economic Research (NBER) • Organisation for Economic Co-operation and Development (OECD) • … • But in practice: – Make sure selected academic and non-academic are reliable and have sufficient search options to handle the complexity of your queries – Past issues with Factiva, Ebrary, Social Science Research Network … So… You Want to Produce a Literature Review p.21 Some Important Advice • Be ready to use the Advanced Search options, always • If you are an employee, get your VPN access if you want to work from home • For technologies, do not underestimate patents (Google Scholar) • Your university librarian can help! – http://biblio.uottawa.ca/en/research-help/researchguides-and-librarians – See also research guides and relevant databases at the same URL. So… You Want to Produce a Literature Review p.22 Keywords and Queries • Quickly test your queries, especially for scope – Not too broad (scope creep, unfeasible) – Not too narrow (empty net, nothing to learn) • Think of all possible synonyms for a same concept – “literature review” vs “literature survey” • Think of possible spellings – modelling/modeling, behaviour/behavior • Check already retrieved papers for possible keywords and their combinations • Make sure to follow the search engines rules. All engines have different limitations… So… You Want to Produce a Literature Review p.23 Search Operators • • • • • Boolean operators: AND, OR, NOT… Grouping: () Exact phrase: " " Truncation: * Proximity operators: NEAR, FAR, FOLLOWED BY, WITHIN… • Search fields: title, subject, abstract, keywords, full-text • Limiters: date range, publication type, language, peerreviewed, study design… So… You Want to Produce a Literature Review p.24 Play a Little, for Scoping and for Understanding Engine Limitations • • • • • Interested in a review of "Computer Security"? – Google Scholar returns 360,000 results! (Jan. 2017) – When do you want to finish your thesis? "Computer Security" AND Cloud? – 25,800 results "Computer Security" AND Cloud AND Amazon (since 2016) – 902 results "Computer Security" AND Cloud AND Amazon AND Prolog (since 2014) – 12 results… and many irrelevant. Too restrictive? "Computer Security" AND Cloud AND Amazon AND (Prolog OR ".NET") (since 2016) – 435 results… but much garbage (net instead of .NET)… – … So… You Want to Produce a Literature Review p.25 Even Advanced Queries Have Limitations (Google Scholar) So… You Want to Produce a Literature Review p.26 Exercise on Google Scholar • How would you search this abstract query? (UCM OR "Use Case Map") AND (IP OR "Internet Protocol") • Need to split it into multiple queries, and merge results! UCM AND (IP OR "Internet Protocol") "Use Case Map" AND (IP OR "Internet Protocol") So… You Want to Produce a Literature Review p.27 More Specialized, But Still Limited (SpringerLink) So… You Want to Produce a Literature Review p.28 Getting There (PubMed) So… You Want to Produce a Literature Review p.29 Just How Complex Can Queries Get? 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. Consent/ or "consent (research)"/ "confidentiality (research)"/ or "Privacy and Confidentiality"/ HIPAA.mp. "Health Insurance Portability and Accountability Act"/ (Opt-in or opt in or opt-out or opt out or non-consent or no consent or full consent or explicit consent).tw. (waive$ adj3 consent).tw. (waiver or consent status).tw. (consent adj3 model$).tw. (identifiable adj3 (data or information)).tw. Data Protection Act.tw. (Health and Social Care Act).tw. Human Rights Act.tw. (Caldicott or PIPEDA or Personal Data Protection Directive).tw. (privacy adj3 act$).tw. De-identif$.tw. (Personal information protection and electronic documents act).tw. (double-cod$ or double cod$ or single-cod$ or single cod$ or Re-identif$ or reidentif$ or deidentif$ or anonymiz$ or anonymis$ or pseudonymiz$ or pseudonymis$ or reconsent$ or anonymity or identifiability).tw. ((express$ or knowledgeable) adj3 consent).tw. (data adj3 unlink$).tw. ((strip$ or remov$ or delet$) adj3 identifier$).tw. ((linked or linkable or coded) adj3 (information or data)).tw. ((unidentif$ or non-identif$ or nonidentif$) adj3 (data or information)).tw. or/1-22 "bias (research)"/ or nonresponse bias/ or sampling bias/ or selection bias/ or research subject recruitment/ patient selection/ sample size/ "costs and cost analysis"/ or cost-benefit analysis/ Time Factors/ ((consent or response or recruitment or participation or refusal$) adj3 rate$).tw. (bias or biases).mp. (survey$ adj3 (response$ or participation)).tw. (Predictor$ adj3 consent).tw. accrual.tw. or/24-33 (audit$ or registr$ or observational or epidemiolog$).tw. ((health service$ or medical record$) adj3 (research or study or studies)).tw. research ethics/ or research methodology/ or data collection/ or data collection methods/ or data collection, computer assisted/ or data mining/ or exp observational methods/ or "record review"/ "quality of health care"/ or "outcomes (health care)"/ or outcome assessment/ or quality assessment/ or nursing audit/ or "process assessment (health care)"/ or program evaluation/ nutrition assessment/ or exp Medical Records/ or sampling methods/ CROSS SECTIONAL STUDIES/ or PROSPECTIVE STUDIES/ epidemiological research/ or exp health services research/ registries, disease/ or registries, implant/ or registries, organ/ or registries, trauma/ or surveys/ or exp vital statistics/ "QUALITY OF CARE RESEARCH"/ or Quality Assurance/ or Audit/ or databases/ or/35-43 and/23,34,44 limit 45 to english limit 46 to yr="1990 - 2007" So… You Want to Produce a Literature Review p.30 On Getting (Only/All) Relevant Items • Precision: how many retrieved items are relevant? • Recall: how many relevant items were retrieved? • See: https://en.wikipedia.org/wiki/Precision_and_recall#Defi nition_.28classification_context.29 So… You Want to Produce a Literature Review p.31 How to Handle Complex Queries? • Queries might have to be split into multiple sub-queries, and results (list of papers) merged manually • Lists from multiple engines require merging too – This is where a citation manager can help • Downloading the papers themselves is also painful…! So… You Want to Produce a Literature Review p.32 Document your Queries • List your exact queries in your thesis! – Allows repeatability by others – Allows YOU to repeat the queries before submitting your thesis… – As your thesis work spans many years, it is good to refresh your review before submission, just in case! • Different engines have different syntaxes and limitations – Document your abstract queries in your thesis, as if you were not limited by the intricacies of the concrete search engines – You might want to keep concrete queries for yourself, to run them again later So… You Want to Produce a Literature Review p.33 Beware of Common Mistakes "Business Process" OR "Business Process Management" Business Process Business Process Management So… You Want to Produce a Literature Review p.34 Is This Query Uselessly Complex? ("Business process compliance" OR "Business Process Compliance Management" OR "Regulatory Compliance" OR "Regulatory Compliance Management" OR "Legal Compliance") AND ("Systematic review" OR "Systematic Survey" OR "Literature Review" OR "Literature survey" OR "State-of-the-art") AND ("Assess*" OR "Measure*" OR "Monitor*") So… You Want to Produce a Literature Review p.35 Is This Query Uselessly Complex? ("Business process compliance" OR "Business Process Compliance Management" OR "Regulatory Compliance" OR "Regulatory Compliance Management" OR "Legal Compliance") AND ("Systematic review" OR "Systematic Survey" OR "Literature Review" OR "Literature survey" OR "State-of-the-art") AND ("Assess*" OR "Measure*" OR "Monitor*") So… You Want to Produce a Literature Review p.36 Simpler and Better Query ("Business process compliance" OR "Regulatory compliance" OR "Legal compliance") AND ("Systematic review" OR "Systematic survey" OR "Literature review" OR "Literature survey" OR "State-of-the-art") AND ("Assess*" OR "Measur*" OR "Monitor*") How many concrete Google Scholar queries do we need to run here? So… You Want to Produce a Literature Review p.37 What Years Should Be Covered? • This depends on the novelty of the subject • One option is to start with the year not included in the last literature review of the field [Antonova] – I personally do not like that option… • If no previous reviews, go by when the first relevant study was published • If overlapping, but not identical topic of review, ok to use the same studies • Can also be systematic for a recent period, and ad hoc before (to include seminal papers) So… You Want to Produce a Literature Review p.38 Keep a Table of Returned Papers • This is your raw data! • You may take note of different characteristics (columns) – source engine(s), year published, type (conference/journal/thesis/patent), country, query that returned it, number of Google Scholar references… • Can be used for statistics and trends • Can form an (online) Appendix in your thesis or paper So… You Want to Produce a Literature Review p.39 What To Do Once You Have 300 Papers to Read? (1/2) • Use specific and explicit inclusion/exclusion criteria • Might want to focus on the abstract and perhaps on the introduction/conclusion sections first (filtering) • A paper is of low quality or irrelevant or in a language you don’t understand? Exclude! • A paper cites another interesting paper not returned by your initial queries? Include! So… You Want to Produce a Literature Review p.40 What To Do Once You Have 300 Papers to Read? (2/2) • Reduce to a manageable number of papers – <40 for a systematized review, but can be a lot more for a systematic map • Document how many (and which) papers got filtered out (or added) at each step • Involve a second person to do the same exercise in parallel and compare (hard and costly!), or minimally to review your decisions (cheaper), in order to avoid bias So… You Want to Produce a Literature Review p.41 Citation Chaining • Backwards chaining: reference list checking • Forward chaining: citation checking – Web of Science – Scopus – Google Scholar When to Stop? • How much time have we got left? • Saturation! • Discussion on literature searching (example): – Conventional subject search (30 of 41) – Citation searching (3 + 2 serendipitous) – Reference list checking (4) – Contact with experts (2) – Pearl growing (abandoned) Summary of Selection Results PRISMA 2009, Flow Diagram (Word version) So… You Want to Produce a Literature Review p.44 ASSESSMENT AND REPORTING So… You Want to Produce a Literature Review p.45 Time to Assess the Papers • Define criteria for their categorization and evaluation • Read and evaluate the papers! • Do not simply report on Author W did X and author Y did Z… • Look for commonalities/differences, trends, and cross-cutting observations. Critical analysis! • Include a tabular summary of your evaluation – This will allow you to add one row at the end of your thesis, with your own work! – Do not make your evaluation scale too simplistic (yes/no); include ranges or partial satisfaction levels So… You Want to Produce a Literature Review p.46 Organization (Potential Orders) • Topical – by main topics or issues • Chronological – by the dates the research was published • Problem-Cause-Solution – moves from the problem to the solution • General-to-Specific – examine broad-based research first and then focus on specific studies that relate to the topic • Specific-to-General – discuss specific research studies so conclusions can be drawn • Others… So… You Want to Produce a Literature Review p.47 Write About… • Significance of what exists • Gaps or areas of disagreement that beg for more research – From you if thesis, for others if papers! • The 3-4 approaches closest to what you have in mind for your research (your competition) • Conclusions So… You Want to Produce a Literature Review p.48 Do Not Underestimate… • Limitations of your own review – Perry D.E., Porter A.A. and Votta L.G.: Empirical studies of software engineering: a roadmap. Conf. on the Future of Software Engineering, ICSE’2000, ACM, 2000, 345–355. – Brewer, M.: Research Design and Issues of Validity. In Reis, H. and Judd, C. (eds.) Handbook of Research Methods in Social and Personality Psychology. Cambridge University Press, 2002 • In essence, show your maturity by stating explicitly how to attack the quality of your review! So… You Want to Produce a Literature Review p.49 Limitations = Threats to Validity • Construct validity: Specifies how well the methodology and protocol helped answered the research questions • Internal validity: Examines any bias and confounding factors • External validity: Specifies how much of the results can be generalized • Many other types… – http://en.wikipedia.org/wiki/Validity_%28statistics%29 – https://en.wikipedia.org/wiki/Internal_validity • Consider them (with mitigations) in advance – Could influence your literature review protocol • Report on threats mitigated and on the remaining ones So… You Want to Produce a Literature Review p.50 Typical Threats for Literature Reviews (1/2) • Publication bias – Negative findings may not get published – Positive findings may get published more than once • Selection bias – Inclusion and exclusion criteria can create bias – Tempting to use only criteria where we know our own approach will score well and show uniqueness! • Language bias (i.e. English Language) – One language only… Enough? – Authors might be more likely to report positive findings in an international English language journal and negative findings in a local journal So… You Want to Produce a Literature Review p.51 Typical Threats for Literature Reviews (2/2) • Protocol – Inconsistent use of terms by the community – Bias introduced by having only 1-2 person(s) involved in the review for data collection, data filtering, data analysis and data reporting • But we can’t expect more in a thesis lit review! – Time limits! You cannot spend 5 years doing a review • Still, you may want to budget several months to do this well • … and more! So… You Want to Produce a Literature Review p.52 In the Conclusions • Make sure you state something new that was not obvious prior to the review! • Answer your research questions • Indicate concretely (i.e., operationalize) how your results can impact and be used by: – Researchers – Practitioners So… You Want to Produce a Literature Review p.53 REVIEW TYPES So… You Want to Produce a Literature Review p.54 Review Types, Systematic or Not • There are many, many types of reviews. – Grant, M.J., Booth, A.: A typology of reviews: an analysis of 14 review types and associated methodologies. Health Info Libr J. 2009 Jun;26(2):91-108. – http://guides.mclibrary.duke.edu/c.php?g=158155& p=1035849 • Typical ones for this course: – Systematized Review – Systematic Map – Meta-analysis So… You Want to Produce a Literature Review p.55 Typical Systematized Review • Almost an SLR! Usually narrative with tables • Examples from previous years – Almoaber, B., Amyot, D. (2017) Barriers to Successful Health Information Exchange Systems in Canada and the USA - A Systematic Review. Int. J. of Healthcare Information Systems and Informatics, 12(1), 44-63 – Lessard, L., Okakwu, C.P. (2016) Enablers and Mechanisms of Value Cocreation in KnowledgeIntensive Business Service Engagements: A Research Synthesis. 49th Hawaii International Conference on System Sciences (HICSS), IEEE CS, 16241633 So… You Want to Produce a Literature Review p.56 Typical Systematic Map • Goes wide, but with less depth. More about a general overview and trends • Example: – Horkoff, J., et al. (2016) Goal-Oriented Requirements Engineering: A Systematic Literature Map. Requirements Engineering Conference (RE), 2016 IEEE 24th International, IEEE CS, 106-115 So… You Want to Produce a Literature Review p.57 Reviews Can Go Meta! • Primary study – Paper on phenomenon of interest, raw material – May involve interviews, questionnaires, observations… – Not much interpretation, limited scope • Secondary study – Publication with interpretation (journal, thesis, review) – Meta-analysis use data from primary studies • Tertiary study? – Literature reviews as input! • Meta-analysis and tertiary studies often look for quantitative results (e.g., aggregation of statistical results) So… You Want to Produce a Literature Review p.58 Good Example of Meta Analysis • Nery, P.B., Belliveau, D., Nair, G.M., Bernick, J, Redpath, C.J., Szczotka, A., Sadek, M.M., Green, M.S., Wells, G., Birnie, D.H. (2016) Relationship Between Pulmonary Vein Reconnection and Atrial Fibrillation Recurrence. JACC: Clinical Electrophysiology, 2(4), 474-483 • Aggregates data from primary studies and get more global (statistical) insight • Very complete, and yet concise and to the point. So… You Want to Produce a Literature Review p.59 GETTING HELP! So… You Want to Produce a Literature Review p.60 At the uOttawa Library • http://biblio.uottawa.ca/en/health-scienceslibrary/health-sciences-library-workshops – BiblioClinic Series – Planning for your Systematic or Scoping Review – Citation Manager BiblioClinic • Next Week! So… You Want to Produce a Literature Review p.61 [ http://www.prisma-statement.org/ ] Beware of Common Pitfalls • Do not focus on getting rid of the review; target the Truth! • Do not be superficial – Say something about the papers and their contributions – Do not include just counts per year – Show something that was not obvious before • Do not use quantitative statistics if you do not use a substantial number of papers – Consider descriptive statistics instead, if useful So… You Want to Produce a Literature Review p.63 Be Careful with References • In your bibliography or list of references, be attentive to detail… • Completeness of information for each item – Authors, title, journal (with editors, volume and issue number) or conference (maybe with series and number), publisher, pages, year, maybe the DOI • Stick to consistent conventions – Order, style (e.g., italic), periods/colons/quotes, author first full name or first letter, “and”, “In:”, … • Cite properly in the text! So… You Want to Produce a Literature Review p.64 Be Careful with Plagiarism/Fraud • Real problem, more general than for just literature reviews • Reference words, data, ideas properly • Plagiarism and fraud hurt everybody's reputation! • MUST READ – “Beware of plagiarism” document – Academic integrity at uOttawa and at Carleton – Consequences at uOttawa – Academic fraud and student guide So… You Want to Produce a Literature Review p.65 CONCLUSIONS So… You Want to Produce a Literature Review p.66 Is This Systematic Stuff Easy? • No! Requires more effort than informal reviews • Difficult for lone researchers – Standards require two researchers, to minimize individual bias – Involve your supervisor! • Often incompatible with requirements for short papers – But pretty good for journals and theses! So… You Want to Produce a Literature Review p.67 Take My Advice Seriously! So… You Want to Produce a Literature Review p.68 From My Own Experience • Not perfect (still learning!) • All of my Ph.D. students who did a systematic literature review had it published! • All of my Ph.D. students who did a more ad hoc or narrative literature review did not get it published! • One of my best cited paper is a literature review So… You Want to Produce a Literature Review p.69 References and Further Reading • Guidelines for performing Systematic Literature Reviews in Software Engineering, Version 2.3 (2007) • Systematic literature reviews in software engineering – A systematic literature review (2009) • A Guide to Conducting a Systematic Literature Review of Information Systems Research (2010) • A typology of reviews: an analysis of 14 review types and associated methodologies (2009) So… You Want to Produce a Literature Review p.70 References (Online Presentations) • B. Kitchenham: Evidence-Based Software Engineering and Systematic Reviews (2005) • E. Antonova: Systematic Literature Review • L. Ann: Literature Review (2009) So… You Want to Produce a Literature Review p.71
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