synthesis and relevance of the reviewed literature and studies

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Synthesis Visualization

Synthesis matrix example.

• 7. Write a Literature Review

• Synthesis Worksheet

About Synthesis

Approaches to Synthesis

You can sort the literature in various ways, for example:

How to Begin?

Read your sources carefully and find the main idea(s) of each source

Look for similarities in your sources – which sources are talking about the same main ideas? (for example, sources that discuss the historical background on your topic)

Use the worksheet (above) or synthesis matrix (below) to get organized

This work can be messy. Don't worry if you have to go through a few iterations of the worksheet or matrix as you work on your lit review!

Four Examples of Student Writing

In the four examples below, only ONE shows a good example of synthesis: the fourth column, or  Student D . For a web accessible version, click the link below the image.

Long description of "Four Examples of Student Writing" for web accessibility

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Click on the example to view the pdf.

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Literature Syntheis 101

How To Synthesise The Existing Research (With Examples)

By: Derek Jansen (MBA) | Expert Reviewer: Eunice Rautenbach (DTech) | August 2023

One of the most common mistakes that students make when writing a literature review is that they err on the side of describing the existing literature rather than providing a critical synthesis of it. In this post, we’ll unpack what exactly synthesis means and show you how to craft a strong literature synthesis using practical examples.

This post is based on our popular online course, Literature Review Bootcamp . In the course, we walk you through the full process of developing a literature review, step by step. If it’s your first time writing a literature review, you definitely want to use this link to get 50% off the course (limited-time offer).

Overview: Literature Synthesis

• What exactly does “synthesis” mean?
• Aspect 1: Agreement
• Aspect 2: Disagreement
• Aspect 3: Key theories
• Aspect 4: Contexts
• Aspect 5: Methodologies
• Bringing it all together

What does “synthesis” actually mean?

As a starting point, let’s quickly define what exactly we mean when we use the term “synthesis” within the context of a literature review.

Simply put, literature synthesis means going beyond just describing what everyone has said and found. Instead, synthesis is about bringing together all the information from various sources to present a cohesive assessment of the current state of knowledge in relation to your study’s research aims and questions .

Put another way, a good synthesis tells the reader exactly where the current research is “at” in terms of the topic you’re interested in – specifically, what’s known , what’s not , and where there’s a need for more research .

So, how do you go about doing this?

Well, there’s no “one right way” when it comes to literature synthesis, but we’ve found that it’s particularly useful to ask yourself five key questions when you’re working on your literature review. Having done so,  you can then address them more articulately within your actual write up. So, let’s take a look at each of these questions.

1. Points Of Agreement

The first question that you need to ask yourself is: “Overall, what things seem to be agreed upon by the vast majority of the literature?”

For example, if your research aim is to identify which factors contribute toward job satisfaction, you’ll need to identify which factors are broadly agreed upon and “settled” within the literature. Naturally, there may at times be some lone contrarian that has a radical viewpoint , but, provided that the vast majority of researchers are in agreement, you can put these random outliers to the side. That is, of course, unless your research aims to explore a contrarian viewpoint and there’s a clear justification for doing so. 

Identifying what’s broadly agreed upon is an essential starting point for synthesising the literature, because you generally don’t want (or need) to reinvent the wheel or run down a road investigating something that is already well established . So, addressing this question first lays a foundation of “settled” knowledge.

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2. Points Of Disagreement

Related to the previous point, but on the other end of the spectrum, is the equally important question: “Where do the disagreements lie?” .

In other words, which things are not well agreed upon by current researchers? It’s important to clarify here that by disagreement, we don’t mean that researchers are (necessarily) fighting over it – just that there are relatively mixed findings within the empirical research , with no firm consensus amongst researchers.

This is a really important question to address as these “disagreements” will often set the stage for the research gap(s). In other words, they provide clues regarding potential opportunities for further research, which your study can then (hopefully) contribute toward filling. If you’re not familiar with the concept of a research gap, be sure to check out our explainer video covering exactly that .

3. Key Theories

The next question you need to ask yourself is: “Which key theories seem to be coming up repeatedly?” .

Within most research spaces, you’ll find that you keep running into a handful of key theories that are referred to over and over again. Apart from identifying these theories, you’ll also need to think about how they’re connected to each other. Specifically, you need to ask yourself:

• Are they all covering the same ground or do they have different focal points  or underlying assumptions ?
• Do some of them feed into each other and if so, is there an opportunity to integrate them into a more cohesive theory?
• Do some of them pull in different directions ? If so, why might this be?
• Do all of the theories define the key concepts and variables in the same way, or is there some disconnect? If so, what’s the impact of this ?

Simply put, you’ll need to pay careful attention to the key theories in your research area, as they will need to feature within your theoretical framework , which will form a critical component within your final literature review. This will set the foundation for your entire study, so it’s essential that you be critical in this area of your literature synthesis.

If this sounds a bit fluffy, don’t worry. We deep dive into the theoretical framework (as well as the conceptual framework) and look at practical examples in Literature Review Bootcamp . If you’d like to learn more, take advantage of our limited-time offer to get 60% off the standard price.

4. Contexts

The next question that you need to address in your literature synthesis is an important one, and that is: “Which contexts have (and have not) been covered by the existing research?” .

For example, sticking with our earlier hypothetical topic (factors that impact job satisfaction), you may find that most of the research has focused on white-collar , management-level staff within a primarily Western context, but little has been done on blue-collar workers in an Eastern context. Given the significant socio-cultural differences between these two groups, this is an important observation, as it could present a contextual research gap .

In practical terms, this means that you’ll need to carefully assess the context of each piece of literature that you’re engaging with, especially the empirical research (i.e., studies that have collected and analysed real-world data). Ideally, you should keep notes regarding the context of each study in some sort of catalogue or sheet, so that you can easily make sense of this before you start the writing phase. If you’d like, our free literature catalogue worksheet is a great tool for this task.

5. Methodological Approaches

Last but certainly not least, you need to ask yourself the question: “What types of research methodologies have (and haven’t) been used?”

For example, you might find that most studies have approached the topic using qualitative methods such as interviews and thematic analysis. Alternatively, you might find that most studies have used quantitative methods such as online surveys and statistical analysis.

But why does this matter?

Well, it can run in one of two potential directions . If you find that the vast majority of studies use a specific methodological approach, this could provide you with a firm foundation on which to base your own study’s methodology . In other words, you can use the methodologies of similar studies to inform (and justify) your own study’s research design .

On the other hand, you might argue that the lack of diverse methodological approaches presents a research gap , and therefore your study could contribute toward filling that gap by taking a different approach. For example, taking a qualitative approach to a research area that is typically approached quantitatively. Of course, if you’re going to go against the methodological grain, you’ll need to provide a strong justification for why your proposed approach makes sense. Nevertheless, it is something worth at least considering.

Regardless of which route you opt for, you need to pay careful attention to the methodologies used in the relevant studies and provide at least some discussion about this in your write-up. Again, it’s useful to keep track of this on some sort of spreadsheet or catalogue as you digest each article, so consider grabbing a copy of our free literature catalogue if you don’t have anything in place.

Bringing It All Together

Alright, so we’ve looked at five important questions that you need to ask (and answer) to help you develop a strong synthesis within your literature review.  To recap, these are:

• Which things are broadly agreed upon within the current research?
• Which things are the subject of disagreement (or at least, present mixed findings)?
• Which theories seem to be central to your research topic and how do they relate or compare to each other?
• Which contexts have (and haven’t) been covered?
• Which methodological approaches are most common?

Importantly, you’re not just asking yourself these questions for the sake of asking them – they’re not just a reflection exercise. You need to weave your answers to them into your actual literature review when you write it up. How exactly you do this will vary from project to project depending on the structure you opt for, but you’ll still need to address them within your literature review, whichever route you go.

The best approach is to spend some time actually writing out your answers to these questions, as opposed to just thinking about them in your head. Putting your thoughts onto paper really helps you flesh out your thinking . As you do this, don’t just write down the answers – instead, think about what they mean in terms of the research gap you’ll present , as well as the methodological approach you’ll take . Your literature synthesis needs to lay the groundwork for these two things, so it’s essential that you link all of it together in your mind, and of course, on paper.

Psst… there’s more!

This post is an extract from our bestselling short course, Literature Review Bootcamp . If you want to work smart, you don't want to miss this .

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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.

Synthesize your Information

Synthesize: combine separate elements to form a whole.

Synthesis Matrix

A synthesis matrix helps you record the main points of each source and document how sources relate to each other.

After summarizing and evaluating your sources, arrange them in a matrix or use a citation manager to help you see how they relate to each other and apply to each of your themes or variables.  

By arranging your sources by theme or variable, you can see how your sources relate to each other, and can start thinking about how you weave them together to create a narrative.

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Synthesising the literature as part of a literature review

Affiliation.

• 1 University of Manchester, England.
• PMID: 25783281
• DOI: 10.7748/ns.29.29.44.e8957

This article examines how to synthesise and critique research literature. To place the process of synthesising the research literature into context, the article explores the critiquing process by breaking it down into seven sequential steps. The article explains how and why these steps need to be kept in mind if a robust comprehensive literature search and analysis are to be achieved. The article outlines how to engage in the critiquing process and explains how the literature review needs to be assembled to generate a logical and reasoned debate to examine a topic of interest or research in more detail.

Keywords: Critical analysis; critique; evaluation; integrative review; literature review; literature search; research; research question; search strategy; synthesis.

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• Searching and critiquing the research literature. Wakefield A. Wakefield A. Nurs Stand. 2014 Jun 3;28(39):49-57. doi: 10.7748/ns.28.39.49.e8867. Nurs Stand. 2014. PMID: 24866671 Review.
• How to perform a critically appraised topic: part 1, ask, search, and apply. Kelly AM, Cronin P. Kelly AM, et al. AJR Am J Roentgenol. 2011 Nov;197(5):1039-47. doi: 10.2214/AJR.09.7205. AJR Am J Roentgenol. 2011. PMID: 22021494
• Making sense of research: A guide for critiquing a paper. Stockhausen L, Conrick M. Stockhausen L, et al. Contemp Nurse. 2002 Dec;14(1):38-48. doi: 10.5172/conu.14.1.38. Contemp Nurse. 2002. PMID: 16114192 Review.
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Literature reviews: synthesis.

• Criticality

Synthesise Information

So, how can you create paragraphs within your literature review that demonstrates your knowledge of the scholarship that has been done in your field of study?  

You will need to present a synthesis of the texts you read.  

Doug Specht, Senior Lecturer at the Westminster School of Media and Communication, explains synthesis for us in the following video:  

Synthesising Texts  

What is synthesis? 

Synthesis is an important element of academic writing, demonstrating comprehension, analysis, evaluation and original creation.  

With synthesis you extract content from different sources to create an original text. While paraphrase and summary maintain the structure of the given source(s), with synthesis you create a new structure.  

The sources will provide different perspectives and evidence on a topic. They will be put together when agreeing, contrasted when disagreeing. The sources must be referenced.  

Perfect your synthesis by showing the flow of your reasoning, expressing critical evaluation of the sources and drawing conclusions.  

When you synthesise think of "using strategic thinking to resolve a problem requiring the integration of diverse pieces of information around a structuring theme" (Mateos and Sole 2009, p448). 

Synthesis is a complex activity, which requires a high degree of comprehension and active engagement with the subject. As you progress in higher education, so increase the expectations on your abilities to synthesise. 

How to synthesise in a literature review: 

Identify themes/issues you'd like to discuss in the literature review. Think of an outline.  

Read the literature and identify these themes/issues.  

Critically analyse the texts asking: how does the text I'm reading relate to the other texts I've read on the same topic? Is it in agreement? Does it differ in its perspective? Is it stronger or weaker? How does it differ (could be scope, methods, year of publication etc.). Draw your conclusions on the state of the literature on the topic.  

Start writing your literature review, structuring it according to the outline you planned.  

Put together sources stating the same point; contrast sources presenting counter-arguments or different points.  

Present your critical analysis.  

Always provide the references. 

The best synthesis requires a "recursive process" whereby you read the source texts, identify relevant parts, take notes, produce drafts, re-read the source texts, revise your text, re-write... (Mateos and Sole, 2009). 

What is good synthesis?  

The quality of your synthesis can be assessed considering the following (Mateos and Sole, 2009, p439):  

Integration and connection of the information from the source texts around a structuring theme. 

Selection of ideas necessary for producing the synthesis. 

Appropriateness of the interpretation.  

Elaboration of the content.  

Example of Synthesis

Original texts (fictitious): 

Synthesis: 

Animal experimentation is a subject of heated debate. Some argue that painful experiments should be banned. Indeed it has been demonstrated that such experiments make animals suffer physically and psychologically (Chowdhury 2012; Panatta and Hudson 2016). On the other hand, it has been argued that animal experimentation can save human lives and reduce harm on humans (Smith 2008). This argument is only valid for toxicological testing, not for tests that, for example, merely improve the efficacy of a cosmetic (Turner 2015). It can be suggested that animal experimentation should be regulated to only allow toxicological risk assessment, and the suffering to the animals should be minimised.   

Bibliography

Mateos, M. and Sole, I. (2009). Synthesising Information from various texts: A Study of Procedures and Products at Different Educational Levels. European Journal of Psychology of Education,  24 (4), 435-451. Available from https://doi.org/10.1007/BF03178760 [Accessed 29 June 2021].

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• Synthesizing Sources | Examples & Synthesis Matrix

Synthesizing Sources | Examples & Synthesis Matrix

Published on July 4, 2022 by Eoghan Ryan . Revised on May 31, 2023.

Synthesizing sources involves combining the work of other scholars to provide new insights. It’s a way of integrating sources that helps situate your work in relation to existing research.

Synthesizing sources involves more than just summarizing . You must emphasize how each source contributes to current debates, highlighting points of (dis)agreement and putting the sources in conversation with each other.

You might synthesize sources in your literature review to give an overview of the field or throughout your research paper when you want to position your work in relation to existing research.

Table of contents

Example of synthesizing sources, how to synthesize sources, synthesis matrix, other interesting articles, frequently asked questions about synthesizing sources.

Let’s take a look at an example where sources are not properly synthesized, and then see what can be done to improve it.

This paragraph provides no context for the information and does not explain the relationships between the sources described. It also doesn’t analyze the sources or consider gaps in existing research.

Research on the barriers to second language acquisition has primarily focused on age-related difficulties. Building on Lenneberg’s (1967) theory of a critical period of language acquisition, Johnson and Newport (1988) tested Lenneberg’s idea in the context of second language acquisition. Their research seemed to confirm that young learners acquire a second language more easily than older learners. Recent research has considered other potential barriers to language acquisition. Schepens, van Hout, and van der Slik (2022) have revealed that the difficulties of learning a second language at an older age are compounded by dissimilarity between a learner’s first language and the language they aim to acquire. Further research needs to be carried out to determine whether the difficulty faced by adult monoglot speakers is also faced by adults who acquired a second language during the “critical period.”

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To synthesize sources, group them around a specific theme or point of contention.

As you read sources, ask:

• What questions or ideas recur? Do the sources focus on the same points, or do they look at the issue from different angles?
• How does each source relate to others? Does it confirm or challenge the findings of past research?
• Where do the sources agree or disagree?

Once you have a clear idea of how each source positions itself, put them in conversation with each other. Analyze and interpret their points of agreement and disagreement. This displays the relationships among sources and creates a sense of coherence.

Consider both implicit and explicit (dis)agreements. Whether one source specifically refutes another or just happens to come to different conclusions without specifically engaging with it, you can mention it in your synthesis either way.

Synthesize your sources using:

• Topic sentences to introduce the relationship between the sources
• Signal phrases to attribute ideas to their authors
• Transition words and phrases to link together different ideas

To more easily determine the similarities and dissimilarities among your sources, you can create a visual representation of their main ideas with a synthesis matrix . This is a tool that you can use when researching and writing your paper, not a part of the final text.

In a synthesis matrix, each column represents one source, and each row represents a common theme or idea among the sources. In the relevant rows, fill in a short summary of how the source treats each theme or topic.

This helps you to clearly see the commonalities or points of divergence among your sources. You can then synthesize these sources in your work by explaining their relationship.

If you want to know more about ChatGPT, AI tools , citation , and plagiarism , make sure to check out some of our other articles with explanations and examples.

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Synthesizing sources means comparing and contrasting the work of other scholars to provide new insights.

It involves analyzing and interpreting the points of agreement and disagreement among sources.

You might synthesize sources in your literature review to give an overview of the field of research or throughout your paper when you want to contribute something new to existing research.

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.

Topic sentences help keep your writing focused and guide the reader through your argument.

In an essay or paper , each paragraph should focus on a single idea. By stating the main idea in the topic sentence, you clarify what the paragraph is about for both yourself and your reader.

At college level, you must properly cite your sources in all essays , research papers , and other academic texts (except exams and in-class exercises).

Add a citation whenever you quote , paraphrase , or summarize information or ideas from a source. You should also give full source details in a bibliography or reference list at the end of your text.

The exact format of your citations depends on which citation style you are instructed to use. The most common styles are APA , MLA , and Chicago .

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Chapter 7: Synthesizing Sources

Learning objectives.

At the conclusion of this chapter, you will be able to:

• synthesize key sources connecting them with the research question and topic area.

7.1 Overview of synthesizing

7.1.1 putting the pieces together.

Combining separate elements into a whole is the dictionary definition of synthesis.  It is a way to make connections among and between numerous and varied source materials.  A literature review is not an annotated bibliography, organized by title, author, or date of publication.  Rather, it is grouped by topic to create a whole view of the literature relevant to your research question.

Your synthesis must demonstrate a critical analysis of the papers you collected as well as your ability to integrate the results of your analysis into your own literature review.  Each paper collected should be critically evaluated and weighed for “adequacy, appropriateness, and thoroughness” ( Garrard, 2017 ) before inclusion in your own review.  Papers that do not meet this criteria likely should not be included in your literature review.

Begin the synthesis process by creating a grid, table, or an outline where you will summarize, using common themes you have identified and the sources you have found. The summary grid or outline will help you compare and contrast the themes so you can see the relationships among them as well as areas where you may need to do more searching. Whichever method you choose, this type of organization will help you to both understand the information you find and structure the writing of your review.  Remember, although “the means of summarizing can vary, the key at this point is to make sure you understand what you’ve found and how it relates to your topic and research question” ( Bennard et al., 2014 ).

As you read through the material you gather, look for common themes as they may provide the structure for your literature review.  And, remember, research is an iterative process: it is not unusual to go back and search information sources for more material.

At one extreme, if you are claiming, ‘There are no prior publications on this topic,’ it is more likely that you have not found them yet and may need to broaden your search.  At another extreme, writing a complete literature review can be difficult with a well-trod topic.  Do not cite it all; instead cite what is most relevant.  If that still leaves too much to include, be sure to reference influential sources…as well as high-quality work that clearly connects to the points you make. ( Klingner, Scanlon, & Pressley, 2005 ).

7.2 Creating a summary table

Literature reviews can be organized sequentially or by topic, theme, method, results, theory, or argument.  It’s important to develop categories that are meaningful and relevant to your research question.  Take detailed notes on each article and use a consistent format for capturing all the information each article provides.  These notes and the summary table can be done manually, using note cards.  However, given the amount of information you will be recording, an electronic file created in a word processing or spreadsheet is more manageable. Examples of fields you may want to capture in your notes include:

• Authors’ names
• Article title
• Publication year
• Main purpose of the article
• Methodology or research design
• Participants
• Measurement
• Conclusions

  Other fields that will be useful when you begin to synthesize the sum total of your research:

• Specific details of the article or research that are especially relevant to your study
• Key terms and definitions
• Strengths or weaknesses in research design
• Relationships to other studies
• Possible gaps in the research or literature (for example, many research articles conclude with the statement “more research is needed in this area”)
• Finally, note how closely each article relates to your topic.  You may want to rank these as high, medium, or low relevance.  For papers that you decide not to include, you may want to note your reasoning for exclusion, such as ‘small sample size’, ‘local case study,’ or ‘lacks evidence to support assertion.’

This short video demonstrates how a nursing researcher might create a summary table.

7.2.1 Creating a Summary Table

  Summary tables can be organized by author or by theme, for example:

For a summary table template, see http://blogs.monm.edu/writingatmc/files/2013/04/Synthesis-Matrix-Template.pdf

7.3 Creating a summary outline

An alternate way to organize your articles for synthesis it to create an outline. After you have collected the articles you intend to use (and have put aside the ones you won’t be using), it’s time to identify the conclusions that can be drawn from the articles as a group.

  Based on your review of the collected articles, group them by categories.  You may wish to further organize them by topic and then chronologically or alphabetically by author.  For each topic or subtopic you identified during your critical analysis of the paper, determine what those papers have in common.  Likewise, determine which ones in the group differ.  If there are contradictory findings, you may be able to identify methodological or theoretical differences that could account for the contradiction (for example, differences in population demographics).  Determine what general conclusions you can report about the topic or subtopic as the entire group of studies relate to it.  For example, you may have several studies that agree on outcome, such as ‘hands on learning is best for science in elementary school’ or that ‘continuing education is the best method for updating nursing certification.’ In that case, you may want to organize by methodology used in the studies rather than by outcome.

Organize your outline in a logical order and prepare to write the first draft of your literature review.  That order might be from broad to more specific, or it may be sequential or chronological, going from foundational literature to more current.  Remember, “an effective literature review need not denote the entire historical record, but rather establish the raison d’etre for the current study and in doing so cite that literature distinctly pertinent for theoretical, methodological, or empirical reasons.” ( Milardo, 2015, p. 22 ).

As you organize the summarized documents into a logical structure, you are also appraising and synthesizing complex information from multiple sources.  Your literature review is the result of your research that synthesizes new and old information and creates new knowledge.

7.4 Additional resources:

Literature Reviews: Using a Matrix to Organize Research / Saint Mary’s University of Minnesota

Literature Review: Synthesizing Multiple Sources / Indiana University

Writing a Literature Review and Using a Synthesis Matrix / Florida International University

 Sample Literature Reviews Grid / Complied by Lindsay Roberts

Select three or four articles on a single topic of interest to you. Then enter them into an outline or table in the categories you feel are important to a research question. Try both the grid and the outline if you can to see which suits you better. The attached grid contains the fields suggested in the video .

Literature Review Table  

Test Yourself

• Select two articles from your own summary table or outline and write a paragraph explaining how and why the sources relate to each other and your review of the literature.
• In your literature review, under what topic or subtopic will you place the paragraph you just wrote?

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How to Synthesize Written Information from Multiple Sources

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When you write a literature review or essay, you have to go beyond just summarizing the articles you’ve read – you need to synthesize the literature to show how it all fits together (and how your own research fits in).

Synthesizing simply means combining. Instead of summarizing the main points of each source in turn, you put together the ideas and findings of multiple sources in order to make an overall point.

At the most basic level, this involves looking for similarities and differences between your sources. Your synthesis should show the reader where the sources overlap and where they diverge.

Unsynthesized Example

Franz (2008) studied undergraduate online students. He looked at 17 females and 18 males and found that none of them liked APA. According to Franz, the evidence suggested that all students are reluctant to learn citations style. Perez (2010) also studies undergraduate students. She looked at 42 females and 50 males and found that males were significantly more inclined to use citation software ( p < .05). Findings suggest that females might graduate sooner. Goldstein (2012) looked at British undergraduates. Among a sample of 50, all females, all confident in their abilities to cite and were eager to write their dissertations.

Synthesized Example

Studies of undergraduate students reveal conflicting conclusions regarding relationships between advanced scholarly study and citation efficacy. Although Franz (2008) found that no participants enjoyed learning citation style, Goldstein (2012) determined in a larger study that all participants watched felt comfortable citing sources, suggesting that variables among participant and control group populations must be examined more closely. Although Perez (2010) expanded on Franz’s original study with a larger, more diverse sample…

Step 1: Organize your sources

After collecting the relevant literature, you’ve got a lot of information to work through, and no clear idea of how it all fits together.

Before you can start writing, you need to organize your notes in a way that allows you to see the relationships between sources.

One way to begin synthesizing the literature is to put your notes into a table. Depending on your topic and the type of literature you’re dealing with, there are a couple of different ways you can organize this.

Summary table

A summary table collates the key points of each source under consistent headings. This is a good approach if your sources tend to have a similar structure – for instance, if they’re all empirical papers.

Each row in the table lists one source, and each column identifies a specific part of the source. You can decide which headings to include based on what’s most relevant to the literature you’re dealing with.

For example, you might include columns for things like aims, methods, variables, population, sample size, and conclusion.

For each study, you briefly summarize each of these aspects. You can also include columns for your own evaluation and analysis.

The summary table gives you a quick overview of the key points of each source. This allows you to group sources by relevant similarities, as well as noticing important differences or contradictions in their findings.

Synthesis matrix

A synthesis matrix is useful when your sources are more varied in their purpose and structure – for example, when you’re dealing with books and essays making various different arguments about a topic.

Each column in the table lists one source. Each row is labeled with a specific concept, topic or theme that recurs across all or most of the sources.

Then, for each source, you summarize the main points or arguments related to the theme.

The purposes of the table is to identify the common points that connect the sources, as well as identifying points where they diverge or disagree.

Step 2: Outline your structure

Now you should have a clear overview of the main connections and differences between the sources you’ve read. Next, you need to decide how you’ll group them together and the order in which you’ll discuss them.

For shorter papers, your outline can just identify the focus of each paragraph; for longer papers, you might want to divide it into sections with headings.

There are a few different approaches you can take to help you structure your synthesis.

If your sources cover a broad time period, and you found patterns in how researchers approached the topic over time, you can organize your discussion chronologically .

That doesn’t mean you just summarize each paper in chronological order; instead, you should group articles into time periods and identify what they have in common, as well as signalling important turning points or developments in the literature.

If the literature covers various different topics, you can organize it thematically .

That means that each paragraph or section focuses on a specific theme and explains how that theme is approached in the literature.

Source Used with Permission: The Chicago School

If you’re drawing on literature from various different fields or they use a wide variety of research methods, you can organize your sources methodologically .

That means grouping together studies based on the type of research they did and discussing the findings that emerged from each method.

If your topic involves a debate between different schools of thought, you can organize it theoretically .

That means comparing the different theories that have been developed and grouping together papers based on the position or perspective they take on the topic, as well as evaluating which arguments are most convincing.

Step 3: Write paragraphs with topic sentences

What sets a synthesis apart from a summary is that it combines various sources. The easiest way to think about this is that each paragraph should discuss a few different sources, and you should be able to condense the overall point of the paragraph into one sentence.

This is called a topic sentence , and it usually appears at the start of the paragraph. The topic sentence signals what the whole paragraph is about; every sentence in the paragraph should be clearly related to it.

A topic sentence can be a simple summary of the paragraph’s content:

“Early research on [x] focused heavily on [y].”

For an effective synthesis, you can use topic sentences to link back to the previous paragraph, highlighting a point of debate or critique:

“Several scholars have pointed out the flaws in this approach.” “While recent research has attempted to address the problem, many of these studies have methodological flaws that limit their validity.”

By using topic sentences, you can ensure that your paragraphs are coherent and clearly show the connections between the articles you are discussing.

As you write your paragraphs, avoid quoting directly from sources: use your own words to explain the commonalities and differences that you found in the literature.

Don’t try to cover every single point from every single source – the key to synthesizing is to extract the most important and relevant information and combine it to give your reader an overall picture of the state of knowledge on your topic.

Step 4: Revise, edit and proofread

Like any other piece of academic writing, synthesizing literature doesn’t happen all in one go – it involves redrafting, revising, editing and proofreading your work.

Checklist for Synthesis

•   Do I introduce the paragraph with a clear, focused topic sentence?
•   Do I discuss more than one source in the paragraph?
•   Do I mention only the most relevant findings, rather than describing every part of the studies?
•   Do I discuss the similarities or differences between the sources, rather than summarizing each source in turn?
•   Do I put the findings or arguments of the sources in my own words?
•   Is the paragraph organized around a single idea?
•   Is the paragraph directly relevant to my research question or topic?
•   Is there a logical transition from this paragraph to the next one?

Further Information

How to Synthesise: a Step-by-Step Approach

Help…I”ve Been Asked to Synthesize!

Learn how to Synthesise (combine information from sources)

How to write a Psychology Essay

Related Articles

Student Resources

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How to Write a Psychology Essay

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The Literature Review: A Foundation for High-Quality Medical Education Research

a  These are subscription resources. Researchers should check with their librarian to determine their access rights.

Despite a surge in published scholarship in medical education 1 and rapid growth in journals that publish educational research, manuscript acceptance rates continue to fall. 2 Failure to conduct a thorough, accurate, and up-to-date literature review identifying an important problem and placing the study in context is consistently identified as one of the top reasons for rejection. 3 , 4 The purpose of this editorial is to provide a road map and practical recommendations for planning a literature review. By understanding the goals of a literature review and following a few basic processes, authors can enhance both the quality of their educational research and the likelihood of publication in the Journal of Graduate Medical Education ( JGME ) and in other journals.

The Literature Review Defined

In medical education, no organization has articulated a formal definition of a literature review for a research paper; thus, a literature review can take a number of forms. Depending on the type of article, target journal, and specific topic, these forms will vary in methodology, rigor, and depth. Several organizations have published guidelines for conducting an intensive literature search intended for formal systematic reviews, both broadly (eg, PRISMA) 5 and within medical education, 6 and there are excellent commentaries to guide authors of systematic reviews. 7 , 8

• A literature review forms the basis for high-quality medical education research and helps maximize relevance, originality, generalizability, and impact.
• A literature review provides context, informs methodology, maximizes innovation, avoids duplicative research, and ensures that professional standards are met.
• Literature reviews take time, are iterative, and should continue throughout the research process.
• Researchers should maximize the use of human resources (librarians, colleagues), search tools (databases/search engines), and existing literature (related articles).
• Keeping organized is critical.

Such work is outside the scope of this article, which focuses on literature reviews to inform reports of original medical education research. We define such a literature review as a synthetic review and summary of what is known and unknown regarding the topic of a scholarly body of work, including the current work's place within the existing knowledge . While this type of literature review may not require the intensive search processes mandated by systematic reviews, it merits a thoughtful and rigorous approach.

Purpose and Importance of the Literature Review

An understanding of the current literature is critical for all phases of a research study. Lingard 9 recently invoked the “journal-as-conversation” metaphor as a way of understanding how one's research fits into the larger medical education conversation. As she described it: “Imagine yourself joining a conversation at a social event. After you hang about eavesdropping to get the drift of what's being said (the conversational equivalent of the literature review), you join the conversation with a contribution that signals your shared interest in the topic, your knowledge of what's already been said, and your intention.” 9

The literature review helps any researcher “join the conversation” by providing context, informing methodology, identifying innovation, minimizing duplicative research, and ensuring that professional standards are met. Understanding the current literature also promotes scholarship, as proposed by Boyer, 10 by contributing to 5 of the 6 standards by which scholarly work should be evaluated. 11 Specifically, the review helps the researcher (1) articulate clear goals, (2) show evidence of adequate preparation, (3) select appropriate methods, (4) communicate relevant results, and (5) engage in reflective critique.

Failure to conduct a high-quality literature review is associated with several problems identified in the medical education literature, including studies that are repetitive, not grounded in theory, methodologically weak, and fail to expand knowledge beyond a single setting. 12 Indeed, medical education scholars complain that many studies repeat work already published and contribute little new knowledge—a likely cause of which is failure to conduct a proper literature review. 3 , 4

Likewise, studies that lack theoretical grounding or a conceptual framework make study design and interpretation difficult. 13 When theory is used in medical education studies, it is often invoked at a superficial level. As Norman 14 noted, when theory is used appropriately, it helps articulate variables that might be linked together and why, and it allows the researcher to make hypotheses and define a study's context and scope. Ultimately, a proper literature review is a first critical step toward identifying relevant conceptual frameworks.

Another problem is that many medical education studies are methodologically weak. 12 Good research requires trained investigators who can articulate relevant research questions, operationally define variables of interest, and choose the best method for specific research questions. Conducting a proper literature review helps both novice and experienced researchers select rigorous research methodologies.

Finally, many studies in medical education are “one-offs,” that is, single studies undertaken because the opportunity presented itself locally. Such studies frequently are not oriented toward progressive knowledge building and generalization to other settings. A firm grasp of the literature can encourage a programmatic approach to research.

Approaching the Literature Review

Considering these issues, journals have a responsibility to demand from authors a thoughtful synthesis of their study's position within the field, and it is the authors' responsibility to provide such a synthesis, based on a literature review. The aforementioned purposes of the literature review mandate that the review occurs throughout all phases of a study, from conception and design, to implementation and analysis, to manuscript preparation and submission.

Planning the literature review requires understanding of journal requirements, which vary greatly by journal ( table 1 ). Authors are advised to take note of common problems with reporting results of the literature review. Table 2 lists the most common problems that we have encountered as authors, reviewers, and editors.

Sample of Journals' Author Instructions for Literature Reviews Conducted as Part of Original Research Article a

Common Problem Areas for Reporting Literature Reviews in the Context of Scholarly Articles

Locating and Organizing the Literature

Three resources may facilitate identifying relevant literature: human resources, search tools, and related literature. As the process requires time, it is important to begin searching for literature early in the process (ie, the study design phase). Identifying and understanding relevant studies will increase the likelihood of designing a relevant, adaptable, generalizable, and novel study that is based on educational or learning theory and can maximize impact.

Human Resources

A medical librarian can help translate research interests into an effective search strategy, familiarize researchers with available information resources, provide information on organizing information, and introduce strategies for keeping current with emerging research. Often, librarians are also aware of research across their institutions and may be able to connect researchers with similar interests. Reaching out to colleagues for suggestions may help researchers quickly locate resources that would not otherwise be on their radar.

During this process, researchers will likely identify other researchers writing on aspects of their topic. Researchers should consider searching for the publications of these relevant researchers (see table 3 for search strategies). Additionally, institutional websites may include curriculum vitae of such relevant faculty with access to their entire publication record, including difficult to locate publications, such as book chapters, dissertations, and technical reports.

Strategies for Finding Related Researcher Publications in Databases and Search Engines

Search Tools and Related Literature

Researchers will locate the majority of needed information using databases and search engines. Excellent resources are available to guide researchers in the mechanics of literature searches. 15 , 16

Because medical education research draws on a variety of disciplines, researchers should include search tools with coverage beyond medicine (eg, psychology, nursing, education, and anthropology) and that cover several publication types, such as reports, standards, conference abstracts, and book chapters (see the box for several information resources). Many search tools include options for viewing citations of selected articles. Examining cited references provides additional articles for review and a sense of the influence of the selected article on its field.

Box Information Resources

• Web of Science a
• Education Resource Information Center (ERIC)
• Cumulative Index of Nursing & Allied Health (CINAHL) a
• Google Scholar

Once relevant articles are located, it is useful to mine those articles for additional citations. One strategy is to examine references of key articles, especially review articles, for relevant citations.

Getting Organized

As the aforementioned resources will likely provide a tremendous amount of information, organization is crucial. Researchers should determine which details are most important to their study (eg, participants, setting, methods, and outcomes) and generate a strategy for keeping those details organized and accessible. Increasingly, researchers utilize digital tools, such as Evernote, to capture such information, which enables accessibility across digital workspaces and search capabilities. Use of citation managers can also be helpful as they store citations and, in some cases, can generate bibliographies ( table 4 ).

Citation Managers

Knowing When to Say When

Researchers often ask how to know when they have located enough citations. Unfortunately, there is no magic or ideal number of citations to collect. One strategy for checking coverage of the literature is to inspect references of relevant articles. As researchers review references they will start noticing a repetition of the same articles with few new articles appearing. This can indicate that the researcher has covered the literature base on a particular topic.

Putting It All Together

In preparing to write a research paper, it is important to consider which citations to include and how they will inform the introduction and discussion sections. The “Instructions to Authors” for the targeted journal will often provide guidance on structuring the literature review (or introduction) and the number of total citations permitted for each article category. Reviewing articles of similar type published in the targeted journal can also provide guidance regarding structure and average lengths of the introduction and discussion sections.

When selecting references for the introduction consider those that illustrate core background theoretical and methodological concepts, as well as recent relevant studies. The introduction should be brief and present references not as a laundry list or narrative of available literature, but rather as a synthesized summary to provide context for the current study and to identify the gap in the literature that the study intends to fill. For the discussion, citations should be thoughtfully selected to compare and contrast the present study's findings with the current literature and to indicate how the present study moves the field forward.

To facilitate writing a literature review, journals are increasingly providing helpful features to guide authors. For example, the resources available through JGME include several articles on writing. 17 The journal Perspectives on Medical Education recently launched “The Writer's Craft,” which is intended to help medical educators improve their writing. Additionally, many institutions have writing centers that provide web-based materials on writing a literature review, and some even have writing coaches.

The literature review is a vital part of medical education research and should occur throughout the research process to help researchers design a strong study and effectively communicate study results and importance. To achieve these goals, researchers are advised to plan and execute the literature review carefully. The guidance in this editorial provides considerations and recommendations that may improve the quality of literature reviews.

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Systematic reviews & evidence synthesis methods.

• Schedule a Consultation / Meet our Team
• What is Evidence Synthesis?
• Types of Evidence Synthesis
• Evidence Synthesis Across Disciplines
• Finding and Appraising Existing Systematic Reviews
• 0. Preliminary Searching
• 1. Develop a Protocol
• 2. Draft your Research Question
• 3. Select Databases
• 4. Select Grey Literature Sources
• 5. Write a Search Strategy
• 6. Register a Protocol
• 7. Translate Search Strategies
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• 10. Risk of Bias Assessment
• 11. Data Extraction
• 12. Synthesize, Map, or Describe the Results
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What are Evidence Syntheses?

According to the Royal Society, 'evidence synthesis' refers to the process of bringing together information from a range of sources and disciplines to inform debates and decisions on specific issues. They generally include a methodical and comprehensive literature synthesis focused on a well-formulated research question. Their aim is to identify and synthesize all of the scholarly research on a particular topic, including both published and unpublished studies. Evidence syntheses are conducted in an unbiased, reproducible way to provide evidence for practice and policy-making, as well as to identify gaps in the research. Evidence syntheses may also include a meta-analysis, a more quantitative process of synthesizing and visualizing data retrieved from various studies.

Evidence syntheses are much more time-intensive than traditional literature reviews and require a multi-person research team. See this PredicTER tool to get a sense of a systematic review timeline (one type of evidence synthesis). Before embarking on an evidence synthesis, it's important to clearly identify your reasons for conducting one. For a list of types of evidence synthesis projects, see the Types of Evidence Synthesis tab.

How Does a Traditional Literature Review Differ From an Evidence Synthesis?

One commonly used form of evidence synthesis is a systematic review. This table compares a traditional literature review with a systematic review.

Video: Reproducibility and transparent methods (Video 3:25)

Reporting Standards

There are some reporting standards for evidence syntheses. These can serve as guidelines for protocol and manuscript preparation and journals may require that these standards are followed for the review type that is being employed (e.g. systematic review, scoping review, etc).​

• PRISMA checklist Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) is an evidence-based minimum set of items for reporting in systematic reviews and meta-analyses.
• PRISMA-P Standards An updated version of the original PRISMA standards for protocol development.
• PRISMA - ScR Reporting guidelines for scoping reviews and evidence maps
• PRISMA-IPD Standards Extension of the original PRISMA standards for systematic reviews and meta-analyses of individual participant data.
• EQUATOR Network The EQUATOR (Enhancing the QUAlity and Transparency Of health Research) Network is an international initiative that seeks to improve the reliability and value of published health research literature by promoting transparent and accurate reporting and wider use of robust reporting guidelines. They provide a list of various standards for reporting in systematic reviews.

Video: Guidelines and reporting standards

PRISMA Flow Diagram

The PRISMA flow diagram depicts the flow of information through the different phases of an evidence synthesis. It maps the search (number of records identified), screening (number of records included and excluded), and selection (reasons for exclusion). Many evidence syntheses include a PRISMA flow diagram in the published manuscript.

See below for resources to help you generate your own PRISMA flow diagram.

• PRISMA Flow Diagram Tool
• PRISMA Flow Diagram Word Template
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Literature Reviews

• Introduction: What, Who & Why
• Define a topic
• Identify keywords
• More search tips
• Understand & Analyse

How to synthesise

Synthesis, a written example, synthesising tools.

• More resources
• Accessing help
• Systematic Style Reviews Guide

Synthesis & theme

Synthesising the content of your analysis means you need to explain and provide an original interpretation of what you've read by highlighting relationships (or lack thereof), between your sources.

Organise and categorise your content into themes or patterns. Examples of themes include:

• Chronological
• Geographical
• Theory, issue or question
• Importance (most to least); or
• Topical (general to specific).
• Synthesis Matrix
• 5 ways to tame the literature dragon
• Using a matrix to organise your notes

How not to write.

Smith (1970) reported that bilbies come out at night and eat chocolates. Jones (1972) described the variety of beetles eaten by bilbies on their daytime trips. Wheeler (1974) reported that bilbies eat only apples.

How to write.

The elusive bilby has provoked considerable disagreement over such essential facts as whether it is diurnal or nocturnal, and what constitutes its staple diet. Smith (1970) considered them to be nocturnal whereas Jones (1972) reported that they are daytime foragers. A similar disagreement about food preference can be observed in Smith (1970) who  reported bilbies had a fondness for chocolate, and in Jones (1974) who believed bilbies eat beetles and Wheeler (1974) who maintained that apples were the staple food. However, neither chocolate nor apples are indigenous to the bilby habitat, and it seems improbable that they are the main foodstuffs for bilbies.

Grouping papers by theme

Use this matrix to group papers according to themes you have identified in your topic.

• Literature review matrix by theme

Answering a specific question

Use this matrix to group papers according to the questions you asked when analysing your sources.

• Literature review matrix by question

 Remember, it is common to use more than one method to record your notes.

Evaluating or scoring resources as you go can be helpful, you may like to add a column to your matrix for recording some type of coding system such as a + or -  or numerical value.

Spreadsheets: Creating Matrixes using spreadsheets can be useful if you have a lot of resources and you need to sort the information you have collected.

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Summarizing and synthesizing

Part 3: Chapter 10

Questions to consider

A. What distinguishes a synthesis from a summary?

B. How much “author voice” is present relative to source material?

C. What is the nature of the material contributed to a synthesis by the author?

The purpose of synthesizing

Combining separate elements into a whole is the basic dictionary definition of synthesis. It is a way to make connections between numerous and varied source materials. A literature review presents a synthesis of material, grouped by topic, to create a broad and comprehensive view of the literature relevant to a research question. Here, the research questions are often modified to the realities of the information, or information may be selected or rejected based on relevance. This organizational approach helps in understanding the information and structuring the review.

Because research is an iterative process, it is not unusual to go back and search information sources for more material while remaining within the parameters of the topic and research questions. It can be difficult to cope with “everything” on a topic; the need to carefully select based on relevancy is ongoing.

The synthesis must demonstrate a critical analysis of the papers assembled as well as an integration of the analytical results. All included sources must be directly relevant and the synthesis writer should make a significant contribution. As part of an introduction or literature review, the syntheses not only illustrate the evolution of research on an issue, but the writer’s own commentary on what this information means .

Many writers begin the synthesis process by creating a grid, table, or an outline organizing summaries of the source material to discover or extend common themes with the collection. The summary grid or outline provides a researcher an overview to compare, contrast and otherwise investigate the relationships and potential deficiencies. [1]

Language in Action

• How many different sources are used in the synthesis (excerpted from “Does international work experience pay off? The relationship between international work experience, employability and career success: A 30-country, multi-industry study” ) that follows? (IWE: international work experience)
• How do the sources contribute to the message of the paragraph?
• What are the elements of a strong synthesis?
• What information is contributed by the authors themselves?

1 Taking stock of the literature, several characteristics stand out that limit our understanding of the IWE−career success relationship. 2 First, many studies focus on individuals soon after their return from an IWE or while they are still expatriates (Kraimer et al., 2016). 3 These findings may therefore report results pertaining to a short-lived career phase. 4 Given that careers develop over time, and success, especially in the form of promotions and salary increases, may take some time to materialise, it is perhaps not surprising that findings have been mixed. 5 Some authors note that there are short-term, career-related costs of IWE and the career ‘payoff’ occurs after a time lag for which cross-sectional studies may not account (Benson & Pattie, 2008; Biemann & Braakmann, 2013). 6 Second, the majority of studies use samples consisting only of individuals with IWE (Jokinen et al., 2008; Stahl et al., 2009; Suutari et al., 2018). 7 Large samples that include both individuals with and without IWE are needed to provide the variance needed to identify the influence of IWE on career success (e.g., Andresen & Biemann, 2013). 8 Third, studies tend to focus on the baseline question of whether IWE or IWE-specific characteristics (e.g., host country, developmental nature of assignment) are related to a particular career success variable (e.g., Bücker et al., 2016; Jokinen et al., 2008; Stahl et al., 2009). 9 Yet there may be an indirect relationship between IWE and career success (Zhu et al., 2016). 10 More complex models that examine the possible impact of mediating variables are thus needed (Mayrhofer et al., 2012). 11 Lastly, while studies acknowledge that findings from specific countries/nationalities, industries, organisations or occupational roles may not be transferable to all individuals with IWE (Biemann & Braakmann, 2013; Schmid & Wurster, 2017; Suutari et al., 2018), the specific role of national context is rarely considered. 12 However, careers do not develop in a vacuum. 13 Contextual factors play an important role in moderating the career impact of various career experiences such as IWE (Shen et al., 2015). [2]

Organizing the material

Beginning the synthesis process by creating a grid, table, or an outline for summaries of sources offers an overview of the material along with findings and common themes. The summary, grid, or outline will allow quick comparison of the material and reveal gaps in information. [3]

The process of building a “library” from which to draw information is critical in developing the defense, argument or justification of a research study. While field and laboratory research is often engaging and interesting, understanding the backstory and presenting it as an explanation of a proposed method or approach is essential in obtaining funding and/or the necessary committee approval.

Returning to the foundational skill of producing a summary , and combining that with the maintenance of a system to manage source material and details, an annotated bibliography can be both an intellectual structure that reveals connections among sources and a means to initiating – on a manageable level – the arduous writing.

Example – Two entries from an annotated bibliography

Nafisi, A. (2003). Reading Lolita in Tehran: A Memoir in Books. New York: Random House.

A brave teacher in Iran met with seven of her most committed female students to discuss forbidden Western classics over the course of a couple of years, while Islamic morality squads staged raids, universities fell under the control of fundamentalists, and artistic expression was suppressed. This powerful memoir weaves the stories of these women with those of the characters of Jane Austen, F. Scott Fitzgerald, Henry James, and Vladimir Nabokov and extols the liberating power of literature.

Obama, B. (2007). Dreams from My Father. New York: Random House.

This autobiography extends from a childhood in numerous locations with a variety of caregivers (a single parent, grandparents, boarding school) to an exploration of individual heritage and family in Africa, revealing a broken/blended family, abandonment and reconnection, and unresolved endings. Obama describes his existence on the margins of society, the racial tension within his biracial family, and his own identity conflict and turmoil.

Using a chart or grid

Below is a model of a basic table for organizing source material.

Exercise #1

• Read the excerpts from three sources below. Determine the common topic and themes.
• Complete a table like the one above using information from these three sources.

1 Completion of a dissertation is an intense activity. 2 For both groups [completers and non-], the advisor and the student’s family and spouse served as the major source of emotional support and are most heavily invested in the dissertation. 3 Other students and the balance of the dissertation committee were rated as providing little support. 4 Since work on the dissertation is highly individual and there are no College organized groups of students working on the dissertation that meet regularly, the process can be a lonely one. 5 Great independence and a strong sense of direction is required. 6 Although many students rated themselves as having little experience with research, students are dependent on their own resources and on those closest to them. 7 It was noted that graduates rated emotional support from all sources more highly than students rated it. 8 This may be a significant factor associated with dissertation completion.

9 The scales and checklists suggest that there are identifiable differences between the two groups. 10 Since the differences are not great, the implications are that with some modification of procedures, a greater proportion of students can become graduates. 11 Emotional support, financial support, experience with research, familiarity with university and college dissertation requirements, and ready access to university resources and advisors may be factors to build into a modified system to achieve a greater proportion of graduates.

Kluever, R., Green, K. E., Lenz, K., Miller, M. M., & Katz, E. (1995). Graduates and ABDs in colleges of education: Characteristics and implications for the structure of doctoral programs. In  Annual Meeting of the American Educational Research Association. San Francisco, CA. Retrieved from the ERIC database .

1 In this writing group, students evaluated their goal achievement, reflected on the obstacles before them, and set new targets. 2 This process encouraged them to achieve their goals, and they could modify or start a new target instead of giving up. 3 The students also received positive feedback and support from other members of the group. 4 This positive environment helped the students view failure as part of the nature of writing a thesis.

5 On the other hand, daily monitoring encouraged the students to focus more on the process and less on the outcome; therefore, they experienced daily success instead of feeling a failure when the goals were not achievable.

Patria, B., & Laili, L. (2021). Writing group program reduces academic procrastination: a quasi-experimental study.  BMC Psychology ,  9 (1), 1–157. https://doi.org/10.1186/s40359-021-00665-9

1 The promotion of awareness of the tension between core qualities and ideals, and inner obstacles, in particular limiting thoughts, in combination with guidelines for overcoming the tension by being aware of one’s ideals and character strengths is characteristic of the core reflection approach and appears to have a strong potential for diminishing academic procrastination behavior. 2 These results make clear that a positive psychological approach focusing on strengths can be beneficial for diminishing students’ academic procrastination. 3 In particular, supporting and regenerating character strengths can be an effective approach for overcoming academic procrastination.

Visser, L., Schoonenboom, J., & Korthagen, F. A. J. (2017). A Field Experimental Design of a Strengths-Based Training to Overcome Academic Procrastination: Short- and Long-Term Effect. Frontiers in Psychology , 8, 1949–1949. https://doi.org/10.3389/fpsyg.2017.01949

A topical outline is another tool writers may use to organize their material. It begins as a simple list of facts gleaned from various sources and arranged by category. [4]

A topical outline might look like this:

a. fact #1/source #1

b. fact #2/source #1

a. fact #3/source #1

b. fact #4/source #2

Exercise #2

Identify relevant facts presented by the three sources in Exercise #1. Determine the relationships between them. Consider how to categorize and arrange them in order to support or extend a related concept.

Exercise #3

A word about primary sources

Primary source material is information conveyed by the author(s) of the publication. The information they use to support or extend their ideas – their source material – is secondary source material for their readers. Anything considered for inclusion in research writing should be derived from primary sources. When writers find very valuable material cited, they retrieve the original work rather than paraphrase what has already been paraphrased.

Example – Synthesis

The excerpted synthesis below is the work of Joellen E. Coryell, Maria Cinque, Monica Fedeli, Angelina Lapina Salazar, and Concetta Tino. The two primary sources they use in the paragraph were authored by Niehaus and Williams (2016), and Urban, Navarro, and Borron (2017). Because research writers are urged to only use primary sources, further investigation into the paper of Niehaus and Williams would be required in order to use their work as a source. As discussed in Identifying and deploying source material , an effective strategy in finding useful sources is to explore the references of particularly valuable articles or papers.

University Teaching in Global Times: Perspectives of Italian University Faculty on Teaching International Graduate Students

1 Other researchers (Niehaus & Williams, 2016; Urban et al., 2017) offered analyses of faculty’s experiences participating in various training programs for internationalization of their courses.  2 Niehaus and Williams (2016) studied a 4-year global faculty development program aimed at transforming faculty perspectives and internationalizing the curriculum.  3 Findings indicated that participants integrated international and comparative topics to support their learners’ development of global perspectives.  4 They worked to integrate international students’ viewpoints on research, and participants reported professional and personal gains defined by expanded professional networks of faculty members and higher standing that comes with teaching international students.  5 Similarly, Urban et al. (2017) reported findings from a training program that assisted teaching staff to internationalize their courses.  6 The program included a 12-day field trip to a different country.  7 Semi-structured interviews with faculty members, 6 years after participating in the program, affirmed updated course content, new and broader perspectives, and a supportive environment for implementing the internationalized courses and teaching activities.

Primary source:

Coryell, J. E., Cinque, M., Fedeli, M., Lapina Salazar, A., & Tino, C. (2022). University Teaching in Global Times: Perspectives of Italian University Faculty on Teaching International Graduate Students. Journal of Studies in International Education , 26(3), 369–389. https://doi.org/10.1177/1028315321990749

Secondary sources:

Niehaus, E., & Williams, L. (2016). Faculty Transformation in Curriculum Transformation: The Role of Faculty Development in Campus Internationalization. Innovative Higher Education, 41(1), 59–74. https://doi.org/10.1007/s10755-015-9334-7

Urban, E., Navarro, M., & Borron, A. (2017). Long-term Impacts of a Faculty Development Program for the Internationalization of Curriculum in Higher Education. Journal of Agricultural Education, 58(3), 219–238. https://doi.org/10.5032/jae.2017.03219

Experienced researchers often have a strong hypothesis and search for evidence that supports or extends this. However, students often learn about their topic during the research process and formulate a hypothesis as they learn what is established in the field on their topic. Both approaches are acceptable, as is a hybrid.

Discovery phase

Researchers typically begin by paraphrasing any important facts or arguments, tracking their discoveries in a table, outline or spreadsheet. Some good examples include definitions of concepts, statistics regarding relevance, and empirical evidence about the key variables in the research question. The original source information (citations in the appropriate style and format) is as important as the content under consideration.  As shown in the model syntheses here, multiple sources often support a common finding.

Evaluation and analysis phase

A strong synthesis must demonstrate a critical analysis of the papers as well as an integration of analytical results; this is the voice of the synthesis writer, interpreting the relationships of the cited works as they are assembled. Each paper under consideration should be critically evaluated according to its relevancy to the topic and the quality of its content.

Writers first establish relationships between cited concepts and facts by continuously considering these questions:

A. Where are the similarities within each topic or subtopic?

B. Where are the differences?

C. Are the differences methodological or theoretical in nature?

The answers will produce general conclusions for each topic or subtopic as the entire group of studies relate to it.

As the material is organized logically using a grid, table or outline, the most logical order must be determined. That order might be from general to specific, sequential or chronological, or from cause to result. [5]

Review and Reinforce

Summarizing and synthesizing are key building blocks in research writing. Read with an awareness of

A. what information has been added for support;

B. what the source of that information is; and

C. how the information was incorporated (quotations or summaries) and documented (integral or parenthetical citations) into the material.

Research writing is a process itself that synthesizes new information, stylistic tendencies, and established conventions with the background knowledge of the researcher.

Media Attributions

• chameleon © Frontierofficial is licensed under a CC BY (Attribution) license
• 5182866555_18ae623262_c © rarebeasts is licensed under a CC BY (Attribution) license
• Adapted from Frederiksen, L., & Phelps, S. F. (2017). Literature Reviews for Education and Nursing Graduate Students . Open Textbook Library. ↵
• Andresen, M., Lazarova, M., Apospori, E., Cotton, R., Bosak, J., Dickmann, M., Kaše, R., & Smale, A. (2022). Does international work experience pay off? The relationship between international work experience, employability and career success: A 30-country, multi-industry study. Human Resource Management Journal , 32(3), 698–721. https://doi.org/10.1111/1748-8583.12423 ↵
• Adapted from DeCarlo, M. (2018). Scientific Inquiry in Social Work . Open Textbook Library. ↵
• Adapted from DeCarlo, M. (2018). Scientific Inquiry in Social Work. Open Textbook Library. ↵
• Adapted from Frederiksen, L., & Phelps, S. F. (2017). Literature Reviews for Education and Nursing Graduate Students . Open Textbook Library.   ↵

combining separate elements into a whole, generally new, result

a condensed version of a longer text

a list of sources on a particular topic, formatted in the field specific format, which includes a brief summary of each reference

a reference presenting their own data and information

reference material used and cited by a primary source

Sourcing, summarizing, and synthesizing:  Skills for effective research writing  Copyright © 2023 by Wendy L. McBride is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design (2020)

Chapter: chapter 2 - literature review and synthesis.

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4 Literature Review and Synthesis Literature Review Purpose of Literature Review Performance-based seismic design (PBSD) for infrastructure in the United States is a developing field, with new research, design, and repair technologies; definitions; and method- ologies being advanced every year. A synthesis report, NCHRP Synthesis 440: Performance- Based Seismic Bridge Design (Marsh and Stringer 2013), was created to capture PBSD understanding up to that point. This synthesis report described the background, objec- tives, and research up until 2011 to 2012 and synthesized the information, including areas where knowledge gaps existed. The literature review in this research report focuses on new infor mation developed after the efforts of NCHRP Synthesis 440. The intention is that this research report will fuel the next challenge: developing a methodology to implement PBSD for bridge design. Literature Review Process Marsh and Stringer (2013) performed an in-depth bridge practice review by sending a questionnaire to all 50 states, with particular attention to regions with higher seismic hazards. The survey received responses from a majority of those agencies. This process was continued in the current project with a request for new information or research that the state depart- ment of transportation (DOT) offices have participated in or are aware of through other organizations. The research team reached out to the list of states and researchers in Table 1. An X within a box is placed in front of their names if they responded. The team also examined the websites of the state DOTs that participated to investigate whether something was studied locally, especially work being developed in California. The research team made an additional effort to perform a practice review of bridge designs, research, and other design industries, specifically in the building industry. The building industry has been developing PBSD for more than 20 years, and some of their developments are appli- cable to bridge design. These combined efforts have allowed the research team to assemble an overview of the state of PBSD engineering details and deployment since Marsh and Stringer’s (2013) report was published. NCHRP Synthesis 440 primarily dealt with the effects of strong ground motion shaking. Secondary effects such as tsunami/seiche, ground failure (surface rupture, liquefaction, or slope failure), fire, and flood were outside the scope of this study. Regardless, their impact on bridges may be substantial, and investigation into their effects is undoubtedly important. C H A P T E R 2

Literature Review and Synthesis 5 The following e-mail was sent to the owners and researchers. Dear (individual): We are assisting Modjeski & Masters with the development of proposed guidelines for Performance- Based Seismic Bridge Design, as part of NCHRP [Project] 12-106. Lee Marsh and our Team at BergerABAM are continuing our efforts from NCHRP Synthesis 440, which included a literature review up to December of 2011. From this timeframe forward, we are looking for published research, contractual language, or owner documents that deal with the following categories: 1. Seismic Hazards (seismic hazard levels, hazard curves, return periods, geo-mean vs. maximum direc- tion, probabilistic vs. deterministic ground motions, conditional mean spectrum, etc.) 2. Structure Response (engineering design parameters, materials and novel columns, isolation bearings, modeling techniques, etc.) 3. Damage Limit States (performance descriptions, displacement ductility, drift ratios, strain limits, rotation curvature, etc.) 4. Potential for Loss (damage descriptions, repairs, risk of collapse, economical loss, serviceability loss, etc.) 5. Performance Design Techniques (relating hazard to design to performance to risk, and how to assess [these] levels together) If you are aware of this type of resource, please provide a contact that we can work with to get this information or provide a published reference we can gather. Your assistance is appreciated. We want to minimize your time, and ask that you respond by Wednesday, 8 February 2017. Thank you again, Research Team Synthesis of PBSD (2012–2016) Objectives of NCHRP Synthesis 440 The synthesis gathered data from a number of different but related areas. Marsh and Stringer (2013), herein referred to as NCHRP Synthesis 440, set the basis for this effort. The research report outline follows what has been added to the NCHRP Synthesis 440 effort since 2012. The information gathered that supplements NCHRP Synthesis 440 includes, but is not limited to, the following topics. • Public and engineering expectations of seismic design and the associated regulatory framework Participation State Alaska DOT Arkansas DOT California DOT (Caltrans) Illinois DOT Indiana DOT Missouri DOT Montana DOT Nevada DOT Oregon DOT South Carolina DOT Utah DOT Washington State DOT Table 1. List of state DOT offices and their participation.

6 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design • Seismic hazard analysis • Structural analysis and design • Damage analysis • Loss analysis • Organization-specific criteria for bridges • Project-specific criteria Where new or updated information is available for these areas, a summary is included. Marsh and Stringer (2013) also identified gaps in the knowledge base of PBSD, current as of 2012, that need to be closed. Knowledge gaps certainly exist in all facets of PBSD; however, key knowledge gaps that should be closed in order to implement PBSD are covered. • Gaps related to seismic hazard prediction • Gaps related to structural analysis • Gaps related to damage prediction • Gaps related to performance • Gaps related to loss prediction • Gaps related to regulatory oversight and training • Gaps related to decision making These knowledge gaps have been filled in somewhat in this research report but, for the most part, these areas are still the key concepts that require additional development to further the development of a PBSD guide specification. Public and Engineering Expectations of Seismic Design and the Associated Regulatory Framework The public expectation of a structure, including a bridge, is that it will withstand an earthquake, but there is a limited understanding of what that actually means. Decision makers struggle to understand how a bridge meeting the current requirements of the AASHTO Guide Specifications for LRFD Seismic Bridge Design (2011), herein referred to as AASHTO guide specifications, will perform after either the expected (design) or a higher level earthquake. Decision makers understand the basis of life safety, wherein the expectation is that no one will perish from a structure collapsing, but often mistakenly believe that the structure will also be usable after the event. In higher level earthquakes, even in some lower level events, this is not true without repair, retrofit, or replacement. In the past decade, there has been an increased awareness by owners and decision makers as to the basis of seismic design. As a result, a need has developed for performance criteria so that economic and social impacts can be interwoven with seismic design into the decision processes (see Figure 1). Several states, including California, Oregon, and the State of Washington, are working toward resiliency plans, although these are developed under different titles or programs within the states. Resiliency has been defined in several ways: (1) amount of damage from an event measured in fatalities, structural replacement cost, and recovery time and (2) the time to resto- ration of lifelines, reoccupation of homes and structures, and, in the short term, resumption of normal living routines. The California DOT Caltrans has generated risk models and is in the process of developing a new seismic design specification to address PBSD in bridge design. The risk models and specifications are not published yet, but the use in PBSD is discussed in greater detail later in this chapter.

Literature Review and Synthesis 7 The State of Washington The State of Washington’s resiliency plan, outlined in Washington State Emergency Management Council–Seismic Safety Committee (2012), works to identify actions and policies before, during, and after an earthquake event that can leverage existing policies, plans, and initiatives to realize disaster resilience within a 50-year life cycle. The hazard level used for trans- portation planning is the 1000 year event. The goals for transportation systems vary depending on the type of service a route provides, as shown in following components of the plan. For major corridors such as Interstates 5, 90, and 405 and floating bridges SR 520, I-90, and Hood Canal, the target timeframe for response and recovery is between 1 to 3 days and 1 to 3 months, depending on location. The current anticipated timeframe based on current capacity and without modifications is between 3 months to 1 year and 1 to 3 years, depending on location. The actual response and recovery time will depend on a number of factors. For example: 1. The number of Washington State DOT personnel who are able to report to work may be limited by a variety of circumstances, including where personnel were at the time of the earthquake and whether they sustained injuries. 2. Bridges and roadways in earthquake-affected areas must be inspected. How long this takes will depend on the number and accessibility of the structures and the availability of qualified inspectors. 3. Some bridges and segments of road may be rendered unusable or only partially usable as a result of the earthquake or secondary effects. The response and recovery timeframe will depend on the number, the location, and the extent of the damage. 4. Certain earthquake scenarios could result in damage to the Ballard Locks and cause the water level in Lake Washington to drop below the level required to operate the floating bridges. 5. Depending on the scenario and local conditions, liquefaction and slope failure could damage both interstates and planned detours. During the first 3 days after the event, the Washington State Department of Transportation (Washington State DOT) will inspect bridges and begin repairs as needed. Washington State DOT’s first priority will be to open key routes for emergency response vehicles. Subsequent phases of recovery will include setting up detours where necessary and regulating the type and Figure 1. PBSD decision-making process (Guidelines Figure 2.0-1). References to guidelines figures and tables within parentheses indicate the proposed AASHTO guidelines.

8 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design volume of traffic, to give the public as much access as possible while damaged roads and bridges are repaired. For major and minor arterials, which encompass arterial roadways (including bridges) other than the interstates (so therefore includes state highways and many city and county roads), the target timeframe for response and recovery is between 0 to 24 hours and 3 months to 1 year, depending on location; the percentage of roadways that are open for use will increase over this period. Anticipated timeframe based on current capacity is between 1 week to 1 month and 1 to 3 years, depending on location; the percentage of roadways that are open for use will increase over this period. The goal of Washington State Emergency Management Council’s resiliency plan is to establish a means to coordinate agencies, public–private partnerships, and standards toward these resiliency goals. The plan outlines goals for recovery times for transportation systems in terms of hours, days, weeks, months, and years, with targets to achieve different levels of recovery (see Table 2) as follows. Similar recovery timeframe processes were established for service sectors (e.g., hospitals, law enforcement, and education); utilities; ferries, airports, ports, and navigable waterways; mass transit; and housing. The overall resiliency plan also discusses the degree to which the recovery of one component or sector would depend on the restoration of another. The key interdependencies that the participants identified include information and communication technologies, transportation, electricity, fuel, domestic water supplies, wastewater systems, finance and banking, and planning and community development. It appears that the implementation of the Washington State Emergency Management Council’s initiative, originally assumed to take 2.5 to 3 years in 2012, has not seen significant development since then. However, the State’s initiative to develop a more resilient community has been extended down to the county level, with King County’s efforts referenced in Rahman et al. (2014) and, at the city level, with the City of Seattle referenced in CEMP (2015). This reflects the commitment needed not only by the legislature and the state departments but also by other agencies (e.g., county, city, or utilities) and the public to take an interest in, and provide funding for, the development of a resiliency plan. The recovery continuum is presented graphically in Figure 2. Developing this relationship with other agency plans is an iterative process that will take time, as shown in Figure 3. Identifying the critical sectors of the agency is necessary to develop a resiliency model and determine how to approach a disaster recovery framework. King County worked from Washington State’s initiative to develop Figure 4. The Oregon DOT Oregon DOT has developed a variation of the approach identified by the State of Wash- ington; further discussion is found later in this chapter. Other Resilience Documents The building industry has recently seen the development of two additional documents that address PBSD in terms of expectations and process. The REDi Rating System from REDi (2013) sets an example for incorporating resilience- based design into the PBSD process. This document outlines structural resilience objectives for organizational resilience, building resilience, loss assessment, and ambient resilience to evaluate and rate the decision making and design methodology using PBSD for a specific project.

Literature Review and Synthesis 9 The document is one of the only references that addresses a system to develop probabilistic methods to estimate downtime. The overall intent is to provide a roadmap to resilience. This roadmap is intended to allow owners to resume business operation and to provide livable conditions quickly after an earthquake. The Los Angeles Tall Buildings Structural Design Council (LATBSDC 2014) created an alter- native procedure specific to their location. Design specification criteria are identified and modi- fications are described as appropriate for the PBSD approach to tall buildings in this localized Minimal (A minimum level of service is restored, primarily for the use of emergency responders, repair crews, and vehicles transporting food and other critical supplies.) Functional (Although service is not yet restored to full capacity, it is sufficient to get the economy moving again—for example, some truck/freight traffic can be accommodated. There may be fewer lanes in use, some weight restrictions, and lower speed limits.) Operational (Restoration is up to 80 to 90 percent of capacity: A full level of service has been restored and is sufficient to allow people to commute to school and to work.) Time needed for recovery to 80 to 90 percent operational given current conditions. Source: Washington State Emergency Management Council–Seismic Safety Committee (2012). Table 2. Washington State’s targets of recovery.

10 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design Source: Adapted from FHWA by CEMP (2015). Figure 2. Recovery continuum process. Source: CEMP (2015). Figure 3. Relationship of disaster recovery framework to other city plans. region. This procedure is a good example of how PBSD criteria and methodology need to be established locally, with a knowledge of risk, resources, and performance needs in order to set the criteria for true PBSD. Seismic Hazard Prediction As outlined in NCHRP Synthesis 440, the seismic hazard includes the regional tectonics and the local site characteristics from either a deterministic or probabilistic viewpoint. The deterministic form allows the assessment of shaking at a site as a function of the controlling earthquake that can occur on all the identified faults or sources. The probabilistic approach

Literature Review and Synthesis 11 defines an acceleration used in design that would be exceeded during a given window of time (e.g., a 7% chance of exceedance in 75 years). The following subsections provide a summary of procedures currently used within AASHTO, as well as new issues that should be eventually addressed in light of approaches used by the building industry. AASHTO Probabilistic Approach As summarized in the AASHTO guide specifications, the current approach used by AASHTO involves the use of a probabilistic hazard model with a nominal return period of 1000 years. Baker (2013) noted that the probabilistic seismic hazard analysis involves the following five steps: 1. Identify all earthquake sources capable of producing damaging ground motions. 2. Characterize the distribution of earthquake magnitudes (the rates at which earthquakes of various magnitudes are expected to occur). 3. Characterize the distribution of source-to-site distances associated with potential earthquakes. 4. Predict the resulting distribution of ground motion intensity as a function of earthquake magnitude, distance, and so forth. 5. Combine uncertainties in earthquake size, location, and ground motion intensity, using a calculation known as the total probability theorem. While implementation of the five steps in the probabilistic approach is beyond what most practicing bridge engineers can easily perform, AASHTO, working through the U.S. Geological Survey, developed a website hazard tool that allows implementation of the probabilistic proce- dure based on the latitude and longitude of a bridge site. The product of the website includes peak ground acceleration (PGA), spectral acceleration at 0.2 s (Ss), and spectral acceleration at 1 s (S1). These values are for a reference-site condition comprising soft rock/stiff soil, having a time-averaged shear wave velocity (Vs) over the upper 100 feet of soil profile equal to 2500 feet per second (fps). The Geological Survey website can also correct for local site conditions following procedures in the AASHTO Guide Specifications for LRFD Seismic Bridge Design. One of the limitations of the current U.S. Geological Survey hazard website is that it is based on a seismic hazard model developed in 2002. The Geological Survey updated its seismic model in 2008 and then in 2014; however, these updates are currently not implemented within the AASHTO hazard model on the Geological Survey’s website. Oregon and the State of Washington have updated the seismic hazard map used by the Oregon DOT and the Washington State Source: Rahman et al. (2014). Figure 4. Resilient King County critical sectors and corresponding subsectors.

12 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design DOT to include the 2014 U.S. Geological Survey hazard model; however, most state DOTs are still using the out-of-date hazard model. Use of the outdated hazard model introduces some inconsistencies in ground motion prediction, relative to the current Geological Survey hazard website tool at some locations. Discussions are ongoing between NCHRP and the U.S. Geological Survey to update the 2002 website tool. Another issue associated with the current AASHTO probabilistic method is that it is based on the geomean of the ground motion. In other words, the ground motion prediction equations in the hazard model are based on the geomean of recorded earthquake motions. These motions are not necessarily the largest motion. The building industry recognized that the maximum direction could result in larger ground motions and introduced maximum direction corrections. These corrections increase spectral acceleration by a factor of 1.1 and S1 by a factor of 1.3. The relevance of this correction to bridges is discussed in the next subsection of this review. The building industry also introduced a risk-of-collapse correction to the hazard model results. This correction is made to Ss and S1. The size of the correction varies from approximately 0.8 to 1.2 within the continental United States. It theoretically adjusts the hazard curves to provide a 1% risk of collapse in 50 years. The risk-of-collapse corrections were developed by the U.S. Geological Survey for a range of building structures located throughout the United States. Although no similar corrections have been developed for bridges, the rationale for the adjust- ment needs to be further evaluated to determine if the rationale should be applied to bridge structures. As a final point within this discussion of probabilistic methods within the AASHTO guide specifications, there are several other areas of seismic response that need to be considered. These include near-fault and basin effects on ground motions, as well as a long-period transition factor. The near-fault and basin adjustments correct the Ss and S1 spectral accelerations for locations near active faults and at the edge of basins, respectively. These adjustments typically increase spectral accelerations at longer periods (> 1 s) by 10% to 20%, depending on specifics of the site. The long-period transition identifies the point at which response spectral ordinates are no longer proportional to the 1/T decay with increasing period. These near-fault, basin, and long-period adjustments have been quantified within the building industry guidance documents but remain, for the most part, undefined within the AASHTO guide specifications. As bridge discussions and research move closer to true probabilistic format for PBSD, these issues need to be addressed as part of a future implementation process. Correction for Maximum Direction of Motion Over the last decade, a debate has been under way within the building industry regarding the appropriate definition of design response spectra (Stewart et al. 2011). The essence of the argument relates to the representation of bidirectional motion via response spectra. In both the AASHTO LRFD Bridge Design Specifications (2014), as well as the AASHTO Guide Specifications for LRFD Seismic Bridge Design (SGS), response spectra are established by defining spectral ordinates at two or three different periods from design maps developed by the U.S. Geological Survey for a return period of 1000 years. The resulting spectra are then adjusted for local site conditions, resulting in the final design spectra. In establishing the design maps for parameters such as Ss and S1, the U.S. Geological Survey has traditionally relied upon probabilistic seismic hazard analysis, which utilizes ground motion prediction equations (GMPEs) defined by the geometric mean of the two principal directions of recorded motion. In 2006, Boore introduced a new rotation independent geometric mean definition termed GMRotI50 (Boore et al. 2006). Then, in 2010, Boore developed a new defini- tion that does not rely upon the geometric mean termed RotD50 spectra, which can be generi- cally expressed as RotDNN spectra, where NN represents the percentile of response (i.e., 50 is

Literature Review and Synthesis 13 consistent with the median, 0 is the minimum, and 100 is the maximum). The NGA–West2 project GMPEs utilized RotD50 spectra for the ground motion models; however, the 2009 National Earthquake Hazards Reduction Program (NEHRP) provisions adopted a factor to modify the median response, RotD50, to the maximum possible response, RotD100 as the spectra for the design maps (Stewart et al. 2011). Introducing RotD100 resulted in a 10% to 30% increase in spectral ordinates results relative to the geometric mean, which has traditionally been used as a basis of seismic design. In order to appreciate the impact of these choices, a brief discussion of RotDNN spectra is warranted. As described in Boore (2010), for a given recording station, the two orthogonal- component time series are combined into a single time series corresponding to different rotation angles, as shown in Equation 1: aROT(t ; θ) = a1(t)cos(θ) + a2(t)sin(θ) (1) where a1(t ) and a2(t ) are the orthogonal horizontal component acceleration time series and θ is the rotation angle. For example, consider the two orthogonal horizontal component time series, H1 and H2, shown in Figure 5. The single time series corresponding to the rotation angle θ is created by combining the Direction 1 and Direction 2 time series. Then, the response spectrum for that single time series can be obtained, as shown in the figure. The process is repeated for a range of azimuths from 0° to one rotation-angle increment less than 180°. If the rotation-angle increment is θ, then there will be 180/θ single time series, as well as 180/θ corresponding response spectra. For example, if θ = 30°, then there will be six single time series (the original two, as well as four generated time series), as well as six response spectra, as shown in Figure 6. Once the response spectra for all rotation angles are obtained, then the nth percentile of the spectral amplitude over all rotation angles for each period is computed (e.g., RotD50 is the median value and RotD100 is the largest value for all rotation angles). For example, at a given period of 1 s, the response spectra values for all rotation angles are sorted, and the RotD100 value would be the largest value from all rotation angles while RotD50 would be the median. This is repeated for all periods, with potentially different rotation angles, producing the largest Source: Palma (2019). Figure 5. Combination of time series to generate rotation dependent spectra.

14 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design response at any given period (period-dependent rotation angle.) Figure 7 shows an example of the two orthogonal horizontal components, as well as the RotD50 and RotD100 spectra for the as-recorded ground motion from the 2011 Christchurch, New Zealand, earthquake at Kaiapoi North School station. As can be seen in the sample spectra (see Figure 7), the RotD100 spectrum represents a sub- stantial increase in demand when compared with the RotD50 spectrum. The main question facing the bridge community from this point onward is the appropriate selection of response spectra definition. This question can only be answered by developing sample designs to both the RotD50 and RotD100 spectra, which would then be evaluated via no-linear time history analysis. Such a study will require multiple bridge configurations and multiple ground motions. As an example of the potential impact, Figure 8 shows the results of a single-degree-of- freedom bridge column designed according to both RotD50 and RotD100 spectra, along with the resulting nonlinear time history analysis. The column was designed using direct displacement- based design to achieve a target displacement of 45 cm. It is clear from the results in Figure 8d that the nonlinear response of the column designed to the RotD100 spectrum matches the target Source: Palma (2019). Figure 6. Example of time series rotations with an angle increment (p) of 30ç. Source: Palma (2019). Figure 7. Sample spectra for a recorded ground motion pair.

Literature Review and Synthesis 15 reasonably well, while designing to the RotD50 spectrum results in displacements that are much greater than expected. This is, of course, only one result of an axisymmetric system. In the future (and outside the scope of this project), a systematic study could be conducted for both single degree of freedom and multiple degrees of freedom systems. The literature on this topic can be divided into two categories: (1) response spectra definitions and (2) impact on seismic response. The majority of the literature addresses the former. For example, Boore et al. (2006) and Boore (2010) introduced orientation-independent measures of seismic intensity from two horizontal ground motions. Boore et al. (2006) proposed two measures of the geometric mean of the seismic intensity, which are independent of the in-situ orientations of the sensors. One measure uses period-dependent rotation angles to quantify the spectral intensity, denoted GMRotDnn. The other measure is the GMRotInn, where I stands for period-independent. The ground motion prediction equations of Abrahamson and Silva (1997), Figure 8. Single bridge column designed according to both RotD50 and RotD100 spectra (Tabas EQ = Tabas earthquake and displ. = displacement).

16 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design Boore et al. (1997), Campbell and Bozorgnia (2003), and Sadigh et al. (1997) have been updated using GMRotI50 as the dependent variable. Since more users within the building industry expressed the desire to use the maximum spec- tral response over all the rotation angles without geometric means, Boore (2010) introduced the measures of ground-shaking intensity irrespective of the sensor orientation. The measures are RotDnn and RotInn, whose computation is similar to GMRotDnn and GMRotInn without computing the geometric means. With regard to impact on seismic response, the opinion paper by Stewart et al. (2011) and the work by Mackie et al. (2011) on the impact of incidence angle on bridge response are relevant. Specifically, Stewart et al. (2011) noted the importance of computational analysis of structures (which had not been done as of 2011) in proposing appropriate spectra definitions. Other Methodologies for Addressing Seismic Ground Motion Hazards There are several other reports that address the question of the methodology that may be utilized in developing the seismic hazard. These recent studies endeavored to create a method- ology that is easier for engineers, as users, to understand how to tie the seismic hazard to the performance expectation. The variability of these approaches also demonstrates the broad range of options and therefore a limited understanding by practitioners in the bridge design industry. Following are some examples that apply to PBSD. Wang et al. (2016) performed a probabilistic seismic risk analysis (SRA) based on a single ground motion parameter (GMP). For structures whose responses can be better predicted using multiple GMPs, a vector-valued SRA (VSRA) gives accurate estimates of risk. A simplified approach to VSRA, which can substantially improve computational efficiency without losing accuracy, and a new seismic hazard de-aggregation procedure are proposed. This approach and the new seismic hazard de-aggregation procedure would allow an engineer to determine a set of controlling earthquakes in terms of magnitude, source–site distance, and occurrence rate for the site of interest. Wang et al. presented two numerical examples to validate the effectiveness and accuracy of the simplified approach. Factors affecting the approximations in the simplified approach were discussed. Kwong and Chopra (2015) investigated the issue of selecting and scaling ground motions as input excitations for response history analyses of buildings in performance-based earthquake engineering. Many ground motion selection and modification procedures have been developed to select ground motions for a variety of objectives. This report focuses on the selection and scaling of single, horizontal components of ground motion for estimating seismic demand hazard curves of multistory frames at a given site. Worden et al. (2012) used a database of approximately 200,000 modified Mercalli intensity (MMI) observations of California earthquakes collected from U.S. Geological Survey reports, along with a comparable number of peak ground motion amplitudes from California seismic networks, to develop probabilistic relationships between MMI and peak ground velocity (PGV), PGA, and 0.3-s, 1-s, and 3-s 5% damped pseudo-spectral acceleration. After associating each ground motion observation with an MMI computed from all the seismic responses within 2 kilometers of the observation, a joint probability distribution between MMI and ground motion was derived. A reversible relationship was then derived between MMI and each ground motion parameter by using a total least squares regression to fit a bilinear function to the median of the stacked probability distributions. Among the relationships, the fit-to-peak ground velocity has the smallest errors, although linear combinations of PGA and PGV give nominally better results. The magnitude and distance terms also reduce the overall residuals and are justifiable on an information theoretical basis.

Literature Review and Synthesis 17 Another approach to developing the appropriate seismic hazard comes out of Europe. Delavaud et al. (2012) presented a strategy to build a logic tree for ground motion prediction in European countries. Ground motion prediction equations and weights have been determined so that the logic tree captures epistemic uncertainty in ground motion prediction for six different tectonic regions in Europe. This includes selecting candidate GMPEs and simultaneously running them through a panel of six experts to generate independent logic trees and rank the GMPEs on available test data. The collaboration of this information is used to set a weight to the GMPEs and create a consensus logic tree. This output then is run through a sensitivity analysis of the proposed weights on the seismic hazard before setting a final logic tree for the GMPEs. Tehrani and Mitchell (2014) used updated seismic hazard maps for Montreal, Canada to develop a uniform hazard spectra for Site Class C and a seismic hazard curve to analyze bridges in the localized area. Kramer and Greenfield (2016) evaluated three case studies following the 2011 Tohoku earthquake to better understand and design for liquefaction. Existing case history databases are incomplete with respect to many conditions for which geotechnical engineers are often required to evaluate liquefaction potential. These include liquefaction at depth, liquefaction of relatively dense soils, and liquefaction of gravelly soils. Kramer and Greenfield’s investigation of the three case histories will add to the sparse existing data for those conditions, and their interpretations will aid in the validation and development of predictive procedures for liquefaction potential evaluation. Structural Analysis and Design Predicting the structural response to the earthquake ground motions is critical for the PBSD process. NCHRP Synthesis 440 outlined several analysis methods that can be used to accomplish this task. The multimodal linear dynamic procedures are outlined in AASHTO LRFD Bridge Design Specifications (AASHTO 2014) and AASHTO Guide Specifications for LRFD Seismic Bridge Design (AASHTO 2011), although the Guide Specifications also include the parameters for performing a model pushover analysis in addition to prescriptive detail practices to ensure energy-dissipating systems behave as intended and other elements are capacity-protected. Other methods of analysis may be better suited for PBSD, but the initial PBSD approach will likely follow the procedures of the AASHTO guide specifications, with multi-level hazards and performance expectations. Limited research and code development have been accomplished since NCHRP Synthesis 440, but one new analysis method, outlined in Babazadeh et al. (2015), includes a three-dimensional finite element model simulation that is used to efficiently predict intermediate damage limit states in a consistent manner, with the experimental observations extracted from the actual tested columns. Other recent articles of structural analysis identified areas of improvement in the current design methodology that may be beneficial to PBSD. Huff and Pezeshk (2016) compared the substitute structure method methodology for isolated bearings with the displacement-based design methodology for ordinary bridges and showed that these two methodologies vary in estimating inelastic displacements. Huff (2016a) identified issues that are generally simplified or ignored in current practice of predicting inelastic behavior of bridges during earthquakes, both on the capacity (in the section of the element type and geometric nonlinearities) and demand (issues related to viscous dampening levels) sides of the process. The current SGS methodology for nonlinear static procedures were compared in Hajihashemi et al. (2017) with recent methodologies for multimodal pushover procedures that take into account all significant modes of the structure and with modified equivalent linearization procedures developed for

18 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design FEMA-440 (FEMA 2005). All of these analysis articles identify areas of current discussion on how to improve the analytical procedures proposed in the SGS. NCHRP Synthesis 440 focused primarily on new analysis methods, but a recent increased focus, in both academia and industry, has to do with new materials and systems and their impacts on PBSD. The evolution of enhanced seismic performance has been wrapped into several research topics, such as accelerated bridge construction (ABC), novel columns, and PBSD. The following are several aspects, though not all-encompassing, which have been improved upon in the last 6 years or so. Improving Structural Analysis Through Better Material Data The analysis and performance of a bridge are controlled with material property parameters incorporated into the seismic analysis models, specifically for the push-over analysis method. AASHTO Guide Specifications for LRFD Seismic Bridge Design (AASHTO 2011) specifies the strain limits to use for ASTM A706 (Grade 60) and ASTM A615 Grade 60 reinforcement. These strain limits come from Caltrans study of 1,100 mill certificates for ASTM A706 Grade 60 in the mid-1990s for projects in Caltrans bridge construction. The results were reported as elongation—not strain—at peak stress, so select bar pull tests were performed to correlate elongation to strain at peak stress. This was assumed to be a conservative approach, though it has recently been validated with a new ASTM A706 Grade 80 study at North Carolina State University by Overby et al. (2015a), which showed Caltrans numbers, by comparison, for Grade 60 are reasonable and conservative. Overby et al. (2015b) developed stress strain parameters for ASTM A706 Grade 80 reinforcing steel. Approximately 800 tests were conducted on bars ranging from #4 to #18 from multiple heats from three producing mills. Statistical results were presented for elastic modulus, yield strain and stress, strain-hardening strain, strain at maximum stress, and ultimate stress. Research is currently under way at North Carolina State University that aims to identify strain limit states, plastic hinge lengths, and equivalent viscous damping models for bridge columns constructed from A706 Grade 80 reinforcing steel. Work is also under way at the University of California, San Diego, on applications of Grade 80 rebar for capacity-protected members such as bridge cap beams. Design Using New Materials and Systems Structural analysis and design are fundamentally about structural response to the earthquake ground motion and the analysis methods used to develop this relationship. The complexity of the analysis depends on the geometry of the structure and elements and the extent of inelastic behavior. This is coupled with the damage, or performance criteria but has been broken out for the purposes of this report and NCHRP Synthesis 440. Next generation bridge columns, often referred to as novel columns, are improving as a tool for engineers to control both the structural analysis, as the make-up of the material changes the inelastic behavior, and the element performance of bridges in higher seismic hazards. The energy-dissipating benefits of low damage materials—such as ultrahigh-performance concrete (UHPC), engineered cementi- tious composites (ECC), and shape memory alloy, fiber-reinforced polymer (FRP) wraps and tubes, elastomeric bearings, and post-tensioned strands or bars—can be utilized by engineers to improve seismic performance and life-cycle costs after a significant seismic event. Recent (Saiidi et al. 2017) studies tested various combinations of these materials to determine if there are columns that can be built with these materials that are equivalent to, or better than, conventional reinforced concrete columns (in terms of cost, complexity, and construction duration) but that improve seismic performance, provide greater ductility, reduce damage, and accommodate a quicker recovery time and reduce loss in both the bridge and the economic environment.

Literature Review and Synthesis 19 Accelerated bridge construction is also a fast-developing field in bridge engineering, with draft guide specifications for design and construction currently being developed for adop- tion by AASHTO for AASHTO LRFD Bridge Design Specifications (AASHTO 2014). ABC has economic impacts that go beyond seismic engineering, but research is focusing on details and connections for accelerated construction in higher seismic regions, moving two research paths forward at the same time. Tazarv and Saiidi (2014) incorporated ABC research with novel column research to evaluate combined novel column materials that can be constructed quickly. The research focused on the performance of materials and how to incorporate them into practice. Key mechanical properties of reinforcing SMA were defined as follows: • Observed yield strength (fyo) is the stress at the initiation of nonlinearity on the first cycle of loading to the upper plateau. • Austenite modulus (k1) is the average slope between 15% to 70% of fyo. • Post yield stiffness (k2) is the average slope of curve between 2.5% and 3.5% of strain on the upper plateau of the first cycle of loading to 6% strain. • Austenite yield strength (fy) is the stress at the intersection of line passing through origin with slope of k1 and line passing through stress at 3% strain with slope of k2. • Lower plateau inflection strength (fi) is the stress at the inflection point of lower plateau during unloading from the first cycle to 6% strain. • Lower plateau stress factor, β = 1 – (fi/fy). • Residual strain (eres) is the tensile strain after one cycle to 6% and unloading to 1 ksi (7 MPa). • Recoverable super-elastic strain (er) is maximum strain with at least 90% strain recovery capacity. Using the ASTM standard for tensile testing, er ≤ 6%. • Martensite modulus (k3) is the slope of the curve between 8% to 9% strain, subsequent to one cycle of loading to 6% strain, unloading to 1 ksi (7 MPa) and reloading to the ultimate stress. • Secondary post-yield stiffness ratio, α = k3/k1. • Ultimate strain (eu) is strain at failure. A graphical representation is shown in Figure 9, and minimum and expected mechanical properties are listed in Table 3. Other researchers, such as at the University of Washington, are currently testing grouted bars using conventional grouts and finding that these development lengths can be reduced greatly. However, it is the force transfer of the grouted duct to the reinforcing outside the duct that may Figure 9. NiTi SE SMA nonlinear model.

20 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design require additional length to adequately develop the energy-dissipating or capacity-protecting system that was intended by the designer for performance of the bridge in a high seismic event. Tazarv and Saiidi (2014) identified other material properties such as UHPC and ECC, shown in Tables 4 and 5, respectively. Tazarv and Saiidi (2014) also addressed grouted splice sleeve couplers, self-consolidating concrete (SCC), and other connection types that could be used in ABC and novel column configurations, testing these materials in the laboratory to see if various combinations produced a logical system to be carried forward in research, design, and implementation. Trono et al. (2015) studied a rocking post-tensioned hybrid fiber-reinforced concrete (HyFRC) bridge column that was designed to limit damage and residual drifts and that was tested dynamically under earthquake excitation. The column utilized post-tensioned strands, HyFRC, and a combination of unbonded and headed longitudinal reinforcement. There have been two projects related to the field of novel columns and ABC through the National Cooperative Highway Research Program. One project was NCHRP Project 12-101, which resulted in NCHRP Report 864, 2 volumes (Saiidi et al. 2017), and the other project was NCHRP Project 12-105, which resulted in NCHRP Research Report 935 (Saiidi et al. 2020). NCHRP Project 12-101 identified three novel column systems—specifically, SMA and ECC, ECC and FRP, and hybrid rocking column using post-tensioned strands and fiber-reinforced Parameter Tensile Compressive,ExpectedbExpectedbMinimuma Table 3. Minimum expected reinforcing NiTi SE SMA mechanical properties. Properties Range Poisson’s Ratio 0.2 Creep Coefficient* 0.2 to 0.8 Total Shrinkage** *Depends on curing conditions and age of loading. up to 900x10-6 Equation Compressive Strength (f'UHPC) f'UHPC 20 to 30 ksi, (140 to 200 MPa) Coefficient of Thermal Expansion (5.5 to 8.5)x10 -6/°F, (10 to 15)x10-6/°C Specific Creep* (0.04 to 0.3)x10 -6/psi, (6 to 45)x10-6/MPa A time-dependent equation for UHPC strength is available. Tensile Cracking Strength (ft,UHPC) ft,UHPC = 6.7 (psi) f'UHPCEUHPC = 49000 (psi) 0.9 to 1.5 ksi, (6 to 10 MPa) Modulus of Elasticity (EUHPC) 6000 to 10000 ksi, (40 to 70 GPa) **Combination of drying shrinkage and autogenous shrinkage and depends on curing method. Table 4. UHPC mechanical properties.

Literature Review and Synthesis 21 polymer confinement—and compared them to a conventional reinforced column. The research and properties of the material are provided; incorporating laboratory tests and calibration, design examples are created to help engineers understand how to use these advanced materials in a linear elastic seismic demand model and to determine performance using a pushover analysis. It is worth noting that ductility requirements do not accurately capture the perfor- mance capabilities of these novel columns, and drift ratio limits are being used instead, similar to the building industry. NCHRP Project 12-101 also provided evaluation criteria that can be evaluated and incorporated by AASHTO into a guide specification or into AASHTO Guide Specifications for LRFD Seismic Bridge Design (AASHTO 2011) directly. NCHRP Project 12-105 synthesized research, design codes, specifications, and contract language throughout all 50 states and combined the knowledge base and lessons learned for ABC into proposed guide specifications for both design and construction. This work focused on connections, and most of that information is related to seismic performance of ABC elements and systems. Earthquake resisting elements (ERE) and earthquake resisting systems (ERS) are specifically identified, defined, and prescribed for performance in AASHTO guide specifica- tions (AASHTO 2011) but only implicitly applied in AASHTO LRFD Bridge Design Specifications (AASHTO 2014). Since NCHRP Project 12-105 is applicable to both of these design resources, ERE and ERS are discussed in terms of how to apply performance to the force-based seismic design practice of AASHTO LRFD Bridge Design Specifications (AASHTO 2014). The proposed guide specification language also identifies when performance of materials have to be incor- porated into the design, say in higher seismic hazards, and when it is acceptable to apply ABC connections and detailing practices with prescriptive design methodologies. As the industry’s understanding of performance increases, the engineering industry is accepting the benefits that come from a more user-defined engineering practice that is implemented by identifying material properties; evaluating hazards and soil and structural responses; and verifying performance through strain limits, damage limits states, moment curvature, displacements, and ductility. These tools and advancements in ABC and novel column designs, including other material property performance and analytical methodologies, are allowing PBSD to advance in other areas, such as hazard prediction, loss prediction, and the owner decision-making process. Feng et al. (2014a) studied the application of fiber-based analysis to predict the nonlinear response of reinforced concrete bridge columns. Specifically considered were predictions of overall force-deformation hysteretic response and strain gradients in plastic hinge regions. The authors also discussed the relative merits of force-based and displacement-based fiber elements and proposed a technique for prediction of nonlinear strain distribution based on the modified compression field theory. Fulmer et al. (2013) developed a new steel bridge system that is based upon ABC techniques that employ an external socket to connect a circular steel pier to a cap beam through the use of grout and shear studs. The resulting system develops a plastic hinge in the pipe away from the column-to-cap interface. An advantage of the design is ease of construction, as no field welding Properties Range Flexural Strength 1.5 to 4.5 ksi (10 to 30 MPa) Modulus of Elasticity 2600 to 5000 ksi (18 to 34 GPa) Ultimate Tensile Strain 1 to 8% Ultimate Tensile Strength 0.6 to 1.7 ksi (4 to 12 MPa) First Crack Strength 0.4 to 1.0 ksi (3 to 7 MPa) Compressive Strength 3 to 14 ksi (20 to 95 MPa) Table 5. ECC mechanical properties.

22 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design is required: the two assemblies are placed together and the annular space between the column and cap filled with grout. Figure 10 shows the details of this connection, and Figure 11 shows a test of the system. Another system being investigated is isolation bearings or dampening devices. Xie and Zhiang (2016) investigated the effectiveness and optimal design of protective devices for the seismic protection of highway bridges. Fragility functions are first derived by probabilistic seismic demand analysis, repair cost ratios are then derived using a performance-based methodol- ogy, and the associated component failure probability. Subsequently, the researchers tried to identify the optimal design parameters of protective devices for six design cases with various combinations of isolation bearings and fluid dampers and discussed the outcomes. Damage mitigation through isolation and energy dissipation devices is continually improving based on research, development, and implementation in the field. Recent events within the State of Washington, Alaska, and other state agencies have shown that the benefits of these tools can be compromised if the intended performance cannot be sustained for the 75-year design life of the structure. Mackie and Stojadinovic (2015) outlined performance criteria for fabrica- tion and construction that need to be administered properly, and engineers should consider the effects of moisture, salts, or other corrosive environmental conditions that can affect the performance of the isolation or energy-dissipating system. Another constraint with these systems can be the proprietary nature that occurs as a specific isolation or energy-dissipating system is utilized to develop a specific performance expectation that can only be accomplished with the prescribed system. This proprietary nature of these systems can create issues for certain funding sources that require equal bidding opportunities and the project expense that can accompany a proprietary system. To address this type of design constraint, Illinois DOT has been developing an earthquake-resisting system (ERS) to leverage the displacement capacity available at typical bearings in order to provide seismic protection to substructures of typical bridges. LaFave et al. (2013a) identified the effects and design parameters, Source: Fulmer et al. (2013). 5" 4 at 5" O.C. A A A-A Connection Details 45° UT 100% 3 8" 12 Studs Spaced Around Cross Section 30°Typ. 15° Offset Studs Inside Pipe from Cap Beam CL HSS16x0.500 Pipe 24x0.500 2'-0"2 14 " 4 at 5" O.C. 212"-34 "Ø Shear Studs 1'-11" Pipe Stud Detail Grout Provided By and Placed by NCSU Figure 10. Grouted shear stud bridge system.

Literature Review and Synthesis 23 such as fuse capacity, shear response, and sliding response, which can be used to account for more standard bearing configurations in seismic analysis, especially lower seismic hazard regions. A variation on the use of bearings in order to improve seismic performance of a pier wall configuration was outlined in Bignell et al. (2006). Historically, pinned, rocking, and sliding bearings have been used with interior pier walls and steel girder superstructures. These bearing configurations were compared with replacement elastomeric bearing configurations and details for structural analysis techniques, damage limit states, and structural fragility, and performance through probability distributions were utilized as a PBSD process for determining solutions to seismic isolation and enhanced seismic performance. The foundation conditions, pier wall effects, bearing type, and even embankment effects to structural performance were included in this evaluation. Another approach to enhanced performance is modifications to foundation elements or increased understanding and modeling of soil–structure interaction, specifically where lateral spread or liquefaction design conditions make conventional bridge design and elements imprac- tical. One example of this is the seismic design and performance of bridges constructed with rocking foundations, as evaluated in Antonellis and Panagiotou (2013). This type of rocking goes beyond the loss of contact area currently allowed in the guide specifications. The applica- tion of columns supported on rocking foundations accommodates large deformations, while there is far less damage, and can re-center after large earthquakes. Another approach is to tie a tolerable displacement of an individual deep foundation element to a movement that would cause adverse performance, excessive maintenance issues, or functionality problems with the bridge structure. Roberts et al. (2011) established a performance-based soil–structure–interaction design approach for drilled shafts. Chiou and Tsai (2014) evaluated displacement ductility of an in-ground hinging of a fixed head pile. Assessment formulas were developed for the displacement ductility capacity of a fixed-head pile in cohesion-less soils. The parameters in the formulas included the sectional over-strength ratio and curvature ductility capacity, as well as a modification factor for consider- ing soil nonlinearity. The modification factor is a function of the displacement ratio of the pile’s ultimate displacement to the effective soil yield displacement, which is constructed through a number of numerical pushover analyses. Source: Fulmer et al. (2013). Figure 11. Photograph of completed system before seismic testing showing hinge locations.

24 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design Damage Analysis As stated in NCHRP Synthesis 440, it is a fundamental need for the PBSD methodology to determine the type of damage and the likelihood that such damage will occur in the particular components of the structural system. This determination is of vital importance, as the damage sustained by a structure (and its nonstructural components) is directly relatable to the use or loss of a system after an earthquake. Therefore, there is a need to be able to reliably link structural and nonstructural response (internal forces, deformations, accelerations, and displacements) to damage. This is the realm of damage analyses, where damage is defined as discrete observable damage states (e.g., yield, spalling, longitudinal bar buckling, and bar fracture). Although the primary focus of the discussions is on structural components, similar considerations must be made for nonstructural components as well. NCHRP Synthesis 440 outlined an initial discussion on types of structural damage observed during historic earthquakes and laboratory experiments, prefaced the methods that have been developed to predict damage, identified structural details and concepts that could be used to reduce damage even in strong ground shaking, and reviewed post-event inspection tools. The new materials discussed in previous sections also apply to this discussion but are not repeated herein. Accurate damage prediction relies upon accurate definitions of performance limit states at the material level (i.e., strain limits) and the corresponding relationship between strain and displacement. Examples of recent research follow. Research by Feng et al. (2014b, 2014c) used finite element analysis validated by experimental test results to develop a model for predicting the tension strain corresponding to bar buckling. The model considers the impact of loading history on the boundary conditions of longitudinal bar restraint provided by the transverse steel. Goodnight et al. (2016a) identified strain limits to initiate bar buckling based on experimental results from 30 column tests (Equation 2). Following additional bidirectional tests on 12 columns, Equation 2 was revised to Equation 3. In addition, strain limit state equations were proposed for the compression strain in concrete to cause spiral yielding (Goodnight et al. 2017a). Goodnight et al. (2016b) also developed a new plastic hinge length model based on the data collected during those tests, which accounts for the actual curvature distribution in RC bridge columns. The revised model separates the strain penetration component from the flexural component while also recognizing that the hinge length for compression is smaller than that for tension. Brown et al. (2015) developed strain limit state (Equation 4) (tube wall local buckling) and equivalent viscous damping equations for reinforced concrete filled steel tubes (RCFSTs). The recommendations of the authors were based upon reversed cyclic tests of 12 RCFSTs of variable D/t (diameter to thickness) ratios. 0.03 700 0.1 (2)bucklingbar f E P f A s s yhe s ce g ε = + ρ − ′ 0.032 790 0.14 (3)bucklingbar f E P f A s s yhe s ce g ε = + ρ − ′ 0.021 9100 (4)tension buckling D t yε = − ≥ ε

Literature Review and Synthesis 25 where rs = reinforcement ratio, fyhe = expected yield strength of the steel tube (ksi), Es = elastic modulus of steel (ksi), P = axial load (kip), f ′ce = expected concrete strength (ksi), Ag = gross area of concrete (in.2), D = diameter of tube (in.), t = thickness of tube (in.), and ey = yield strain for steel (in./in.). Loss Analysis The PBSD combines the seismic hazard, structural, and damage analysis into a performance matrix that can be estimated into a loss metric. There are many loss metrics that can be used by, and that are important to, stakeholders and decision makers (discussed in detail in NCHRP Synthesis 440), but all these metrics can be boiled down to three main categories: deaths, dollars, and downtime. Bertero (2014) discussed earthquake lessons, in terms of loss, to be considered in both design and construction of buildings. At the beginning of 2010, two large earthquakes struck the Americas. The January 12, 2010, Haiti earthquake with a magnitude 7.0 produced about 300,000 deaths (second by the number of fatalities in world history after the 1556 Shaanxi, China earthquake). A month later, the February 27, 2010, Maule Chilean earthquake with a magnitude 8.8 (an energy release 500 times bigger than that from the Haiti earthquake) produced 500 deaths, most due to the resulting tsunami. However, the Chilean earthquake caused more than $30 billion of direct damage, left dozens of hospitals and thousands of schools nonoperational, and caused a general blackout for several hours, as well as the loss of service of essential communications facilities, crucial to take control of the chaotic after-earthquake situ- ation. Bertero (2014) compared the severity of both earthquakes and comments on their effects to life and the economy of the affected countries, as well as the features of the seismic codes or the absence of codes. An example of risk analysis with PBSD is utilized in Bensi et al. (2011), with the development of a Bayesian network (BN) methodology for performing infrastructure seismic risk assessment and providing decision support with an emphasis on immediate post-earthquake applications. A BN is a probabilistic graphical model that represents a set of random variables and their probabilistic dependencies. The proposed methodology consists of four major components: (1) a seismic demand model of ground motion intensity as a spatially distributed random field, accounting for multiple sources and including finite fault rupture and directivity effects; (2) a model for seismic performance of point-site and distributed components; (3) models of system performance as a function of component states; and (4) models of post-earthquake decision making for inspection and operation or shutdown of components. The use of the term Bayesian to describe this approach comes from the well-known Bayes rule, attributed to the 18th-century mathematician and philosopher Thomas Bayes: A B AB B B A B A( ) ( )( ) ( ) ( ) ( )= =Pr Pr Pr Pr Pr Pr (5) Pr(AB) is the probability of joint occurrence of Events A and B; Pr(A) is the marginal probability of Event A; Pr(A|B) is the conditional probability of Event A, given that Event B

26 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design has occurred; and Pr(B) is the marginal probability of Event B. The quantity Pr(B | A) is known as the likelihood of the observed Event B. Note that the probability of Event A appears on both sides of Equation 5. The Bayes rule describes how the probability of Event A changes given information gained about the occurrence of Event B. For discrete nodes, a conditional probability table is attached to each node that provides the conditional probability mass function (PMF) of the random variable represented by the node, given each of the mutually exclusive combinations of the states of its parents. For nodes without parents (e.g., X1 and X2 in Figure 12), known as root nodes, a marginal probability table is assigned. The joint PMF of all random variables X in the BN is constructed as the product of the conditional PMFs: (6) 1 p x p x Pa xi ii n∏( ) ( )( )= = Bensi et al. (2011) goes on to introduce BN models further and discusses how to incorporate BN-based seismic demand models into bridge design. The BN methodology is applied to modeling of random fields, construction of an approximate transformation matrix, and numer- ical investigation of approximation methods, including a discussion on the effect of correlation approximations on system reliability. Modeling component performance with BNs to capture seismic fragility of point-site components and distributed components, as well as modeling system performance of BNs with both qualitative and conventional methods, is explained. This reference goes on to identify efficient minimal link set (MLS), minimal cut set (MCS) formulations, optimal ordering of efficient MLS and MCS formulations, and heuristic augmen- tation that can be utilized with the BN methodology. Bensi et al. (2011) continues the PBSD process by addressing the owner decision-making process (see more discussion later in the report) and how to incorporate this model into that process. Two example problems are provided utilizing this methodology, including a California high-speed rail system that incorporates the bridge modeling into the example. Similarly, in Tehrani and Mitchell (2014), the seismic performance of 15 continuous four- span bridges with different arrangements of column heights and diameters was studied using incremental dynamic analysis (IDA). These bridges were designed using the Canadian Highway Bridge Design Code provisions (CSA 2006). The IDA procedure has been adopted by some guidelines to determine the seismic performance, collapse capacity, and fragility of buildings. Similar concepts can be used for the seismic assessment of bridges. Fragility curves can be devel- oped using the IDA results to predict the conditional probability that a certain damage state is exceeded at a given intensity measure value. Assuming that the IDA data are lognormally distributed, it is possible to develop the fragility curves at collapse (or any other damage state) by computing only the median collapse capacity and the logarithmic standard deviation of the IDA results for any given damage state. The fragility curves can then be analytically computed using Equation 7 as follows: ln ln (7)50% TOT P failure S x x S a a C( )( ) ( )= = Φ − β     where function F = cumulative normal distribution function, SCa 50% = median capacity determined from the IDA, and βTOT = total uncertainty caused by record-to-record variability, design requirements, test data, and structural modeling. Figure 12. A simple BN.

Literature Review and Synthesis 27 The seismic risk associated with exceeding different damage states in the columns, includ- ing yielding, cover spalling, bar buckling, and structural collapse (i.e., dynamic instability) was predicted. Some simplified equations were derived for Montreal, Quebec, Canada, to estimate the mean annual probability of exceeding different damage states in the columns using the IDA results. Repair and retrofit procedures are linked to loss predictions, as outlined in the FHWA’s retro- fitting manual (Buckle et al. 2006). Several chapters/articles address analysis, methodologies, effects, analytical tools, and costs for retrofit and repairs to mitigate damage or return a structure to a serviceable condition. Zimmerman et al. (2013) is one example, in which numerical techniques and seismic retrofit solutions for shear-critical reinforced concrete columns was investigated, utilizing test data of a reinforced concrete column with widely spaced transverse reinforcement. The study focused on the analysis method of nonlinear trusses and the retrofit option known as supplemental gravity columns, which is an example of how loss prediction and the analysis process are linked and should be iterated through PBSD. Organization-Specific Criteria for Bridges and Project-Specific Criteria NCHRP Synthesis 440 has two sections of criteria: organization-specific criteria for bridges and project-specific criteria. New information for both of these sections since NCHRP Synthesis 440 published is combined. The California DOT (Caltrans) Caltrans is currently updating their Seismic Design Criteria (SDC) to specify requirements to meet the performance goals for newly designed Ordinary Standard and Recovery Standard con- crete bridges. Nonstandard bridges require Project-Specific Seismic Design Criteria, in addition to the SDC, to address their nonstandard features. For both standard and nonstandard bridges, Caltrans is also categorizing their inventory in terms of Ordinary Bridges, Recovery Bridges, and Important Bridges. Some states have had issues with terms like Important or Essential, as a bridge is considered important to those that utilize each bridge. Caltrans is using these terms to correlate with loss analysis of an owner’s infrastructure and the time to reopen the bridge to support lifeline and recovery corridors. The bridge performance is also evaluated using a dual-seismic hazard; for Caltrans SDC they are listed as a Safety Evaluation Earthquake (SEE) for Ordinary Bridges. Both SEE and Functional Evaluation Earthquake (FEE) for Recovery Bridges are summarized in Table 6. Caltrans SDC revisions will also provide updates to the design parameters in Chapter 3 of the SDC and updates to both the analysis methods and displacement ductility demand values in Chapter 4 of the SDC. The adjustments to the displacement ductility demand values are revised to limit the bridge displacements beyond the initial yielding point of the ERE, specifically if a recovery standard bridge is being designed. The revisions to their SDC is an example of how PBSD is being gradually introduced as a better method of dealing with the hazards, soil–structure interaction, analysis tools, methodologies, material properties, damage states, performance, and loss. Similar revisions are being made to Seismic Design Specifications of Highway Bridges, as detailed in Japan Road Association (JRA) revisions in 2012. A synopsis of the revisions is provided in Kuwabara et al. (2013). The JRA specifications apply to Japanese road bridges and consist of five parts: Part I, Common; Part II, Steel Bridges; Part III, Concrete Bridges; Part IV, Substruc- tures; and Part V, Seismic Design. The revisions are based on improvements in terms of safety,

28 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design serviceability, and durability of bridges. Based on those lessons, design earthquake ground motions corresponding to the subduction-type earthquake were revised, and the requirements for easy and secure maintenance (inspection and repair works) for the bridges were clearly specified. JRA has clarified their performance of ERE conventionally reinforced columns for a dual-level (SPL 2 and SPL 3) seismic performance evaluation, as summarized in Table 7. The JRA 2012 revisions also address connection failures between reinforced concrete steel piles and the pile-supported spread footing to improve structural detailing and performance at the head of the piles. This is similar to research performed by the University of Washington, see Stephens et al. (2015) and Stephens et al. (2016) for both Caltrans and Washington State DOT, respectively, to evaluate capacity protecting this region and even considering the development of plastic hinges at these locations for combined hazard events or large lateral spreading and liquefaction occurrences. Caltrans also funded a study by Saini and Saiidi (2014) to address probabilistic seismic design of bridge columns using a probabilistic damage control approach and reliability analysis. Source: Caltrans. BRIDGE CATEGORY SEISMIC HAZARD EVALUATION LEVEL POST EARTHQUAKE DAMAGE STATE EXPECTED POST EARTHQUAKE SERVICE LEVEL Table 6. Caltrans draft proposed seismic design bridge performance criteria. SPL2 SPL3 Note: SPL1: Fully operational is required. Limit state of bridge is serviceability limit state. Negligible structural damage and nonstructural damage are allowed. Table 7. Seismic performance of bridge and limit states of conventionally reinforced concrete bridge column.

Literature Review and Synthesis 29 The probabilistic damage control approach uses the extent of lateral displacement nonlinearity defined by Damage Index (DI) to measure the performance of bridge columns. DI is a measure of damage from the lower measure of zero damage to the ultimate measure of a collapse mecha- nism for an element that has been subjected to base excitations. The performance objective was defined based on predefined apparent Damage States (DS), and the DS were correlated to DIs based on a previous study at the University of Nevada, Reno (Figure 13) (Vosooghi and Saiidi 2010). A statistical analysis of the demand damage index (DIL) was performed to develop fragility curves (load model) and to determine the reliability index for each DS. The results of the reliability analyses were analyzed, and a direct probabilistic damage control approach was developed to calibrate design DI to obtain a desired reliability index against failure. The calculated reliability indices and fragility curves showed that the proposed method could be effectively used in seismic design of new bridges, as well as in seismic assessment of existing bridges. The DS and DI are summarized with performance levels defined by Caltrans in Table 8, which shows the correlation between DS and DI. Figure 14 shows a fragility curve using lognormal distribution. Figure 15 shows both the fragility curves (upper two graphs) and reliability indices (lower two graphs) for four column bents (FCBs), with 4-foot diameter columns that are 30 feet in length in Site D for both the 1000 year and 2500 year seismic events. Note: O-ST = ordinary standard bridge, O-NST = ordinary nonstandard bridge, Rec. = recovery bridge, Imp. = important bridge, and NA = not applicable. Damage State (DS) Service to Public Service to Emergency Emergency Repair Design Damage Index (DI) Earthquake Levels (Years) Table 8. Design performance levels. DI P (D I { D S) Figure 13. Correlation between DS and DI.

30 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design Figure 14. Fragility curve. 100% 80% 60% 40% 20% 0% 0.00 0.20 0.40 0.60 0.80 1.00 P (D I L ) DIL 4.0 3.0 2.0 1.0 0.0 R el ia bi lit y In de x | D S DS3 DS4 DS5 DS6 Damage State (DS) 6.0 5.0 4.0 3.0 2.0 1.0 0.0 R el ia bi lit y In de x | D S DS3 DS4 DS5 DS6 Damage State (DS) (a) (b) (d)(c) 0.00 0.20 0.40 0.60 0.80 1.00 DIL 100% 80% 60% 40% 20% 0% P (D I L ) Figure 15. Fragility curves and reliability indices for FCBs with 4-foot columns in Site D. The Oregon DOT The Oregon DOT is developing a global plan for addressing resiliency in order to improve recovery for the next Cascadia Earthquake and Tsunami, using PBSD in terms of applying applicable hazards, identifying critical services, developing a comprehensive assessment of structures and systems, and updating public policies. The resilience goals are similar to those discussed at the beginning of this chapter, with the following statement: Oregon citizens will not only be protected from life-threatening physical harm, but because of risk reduction measures and pre-disaster planning, communities will recover more quickly and with less continuing vulnerability following a Cascadia subduction zone earthquake and tsunami.

Literature Review and Synthesis 31 Research has shown that the next great (magnitude 9.0) Cascadia subduction zone earth- quake is pending, as shown in Figure 16. This comparison of historical subduction zone earthquakes in northern California, Oregon, and Washington covers 10000 years of seismic history. The evidence of a pending event has made decision makers and the public take notice and put forth resources to develop strategies revolving around PBSD. Oregon’s performance-based features are modified from NCHRP Synthesis 440 to account for a third hazard condition: Cascadia Subduction Zone Earthquake (CSZE) in Oregon DOT’s Bridge Design and Drafting Manual—Section 1, Design (Oregon DOT 2016a; see also Oregon DOT 2016b). Design of new bridges on and west of US 97 references two levels of perfor- mance criteria: life safety and operational. Design of new bridges east of US 97 requires life safety criteria only. Seismic design criteria for life safety and operational criteria are described as follows. • “Life Safety” Criteria: Design all bridges for a 1,000-year return period earthquake (7 percent prob- ability of exceedance in 75 years) to meet the “Life Safety” criteria using the 2014 USGS Hazard Maps. The probabilistic hazard maps for an average return period of 1,000 years and 500 years are available at ODOT Bridge Section website, but not available on USGS website. To satisfy the “Life Safety” criteria, use Response Modification Factors from LRFD Table 3.10.7.1-1 using an importance category of “other.” • “Operational” Criteria: Design all bridges on and west of US 97 to remain “Operational” after a full rupture of Cascadia Subduction Zone Earthquake (CSZE). The full-rupture CSZE hazard maps are available at the ODOT Bridge Section website. To satisfy the “Operational” criteria, use Response Modification Factors from LRFD Table 3.10.7.1-1 using an importance category of “essential.” When requested in writing by a local agency, the “Operational” criteria for local bridges may be waived. The CSZE is a deterministic event, and a deterministic design response spectrum must be generated. To allow for consistency and efficiency in design for the CSZE, an application for generating the design response spectra has been developed by Portland State University (Nako et al. 2009). AASHTO guide specifications values for Table 3.4.2.3-1 are modified into two tables for (1) values of Site Factor, Fpga, at zero-period on the acceleration spectrum and (2) values of Site Factor, Fa, for short-period range of acceleration spectrum. Table 3.4.2.3-2 is replaced with values of Site Factor, Fv, for long-period range of acceleration spectrum. For seismic retrofit projects, the lower level ground motion is modified to be the CSZE with full rupture, as seen in Table 9. Performance levels, including performance level zero (PL0), are specified based on bridge importance and the anticipated service life (ASL) category required. Source: OSSPAC (2013). Figure 16. Cascadia earthquake timeline.

32 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design The South Carolina DOT South Carolina Department of Transportation (South Carolina DOT) has updated its geo- technical design manual (South Carolina DOT 2019). Chapters 12, 13, and 14 for geo technical seismic analysis, hazard, and design, respectively, have been updated to current practices and research, including incorporation of PBSD hazard prediction. South Carolina DOT is also updating their site coefficients to be more appropriate for South Carolina’s geologic and seismic conditions; see Andrus et al. (2014). Note that with the revisions, South Carolina DOT issued a design memorandum in November 2015 that revised the substructure unit quantitative damage criteria (maximum ductility demand) table (Table 7.1 of the SCDOT Seismic Design Specifications for Highway Bridges). See Table 10. The Utah DOT The Utah DOT and Brigham Young University (see Franke et al. 2014a, 2014b, 2015a, 2015b, 2015c, 2016) are researching the ability for engineers to apply the benefits of the full performance- based probabilistic earthquake analysis without requiring specialized software, training, or education. There is an emphasis on differences between deterministic and performance-based procedures for assessing liquefaction hazards and how the output can vary significantly with these two methodologies, especially in areas of low seismicity. Guidance is provided regarding when to use each of the two methodologies and how to bind the analysis effort. Additionally, a simplified performance-based procedure for assessment of liquefaction triggering using liquefaction loading maps was developed with this research. The components of this tool, as well as step-by-step procedures for the liquefaction initiation and lateral spread displacement models, are provided. The tool incorporates the simplified performance-based procedures determined with this research. National Highway Institute Marsh et al. (2014) referenced a manual for the National Highway Institute’s training course for engineers to understand displacement-based LRFD seismic analysis and design of bridges, which is offered through state agencies and open to industry engineers and geotechnical engi- neers. This course helps designers understand the principles behind both force-based AASHTO (AASHTO 2014) and displacement-based AASHTO (AASHTO 2011) methodologies, including a deeper understanding of what performance means in a seismic event. Other similar courses are also being offered to industry and are improving the understanding of practicing engineers. Federal Emergency Management Agency The Federal Emergency Management Agency (FEMA) has developed a series of design guidelines for seismic performance assessment of buildings and three of the five documents EARTHQUAKE GROUND MOTION BRIDGE IMPORTANCE and SERVICE LIFE CATEGORY Table 9. Modifications to minimum performance levels for retrofitted bridges.

Literature Review and Synthesis 33 are referenced in FEMA (2012a, 2012b, 2012c). A step-by-step methodology and explanation of implementation are provided for an intensity-based assessment and for a time-based assess- ment. The process of identifying and developing appropriate fragility curves is demonstrated. A software program called Performance Assessment Calculation Tool has also been developed with a user manual that is included in the FEMA documents to help engineers apply PBSD to the building industry. Japan Road Association The Japan Road Association (JRA) Design Specifications have been revised based on the performance-based design code concept in response to the international harmonization of design codes and the flexible employment of new structures and new construction methods. Figure 17 shows the code structure for seismic design using the JRA Design Specifications. The performance matrix is based on a two-level ground motion (Earthquakes 1 and 2), with the first one based on an interpolate-type earthquake and magnitude of around 8, and the second one with a magnitude of around 7 with a short distance to the structure. Kuwabara et al. (2013) outlined the incremental revisions from the JRA Design Specif i- cations between 2002 and 2012. These revisions include, but are not limited to, the ductility design method of reinforced concrete bridges, plastic hinge length equation, evaluation of hollow columns, and the introduction of high-strength steel reinforcement. Following the 2016 earthquake in Kumamoto, Japan, a new version of the JRA Design Specifications is in the works. Note: Analysis for FEE is not required for OC III bridges. Source: South Carolina DOT (2015). Design Earthquake Operational Classification (OC)Bridge Systems Table 10. South Carolina DOT substructure unit quantitative damage criteria (maximum ductility demand ld).

34 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design Identification of Knowledge Gaps The resources to develop guide specifications for PBSD are improving with examples such as the upcoming Seismic Design Criteria, Version 2 from Caltrans, which will address aspects of PBSD and the building industry’s efforts to develop practices in PBSD and tools for engineers and owners to collaborate on solutions based on performance criteria and expectations. There is still a perception that the bridge industry could better predict likely performance in large, damaging earthquakes than is being done at the present, and there are still gaps in that knowledge base that need to be closed. Most of the knowledge gaps listed in Marsh and Stringer (2013) are still applicable today; see Table 11. The technology readiness levels represent what has been developed and used; what research is done, ongoing, and being discussed; and what only exists in concept. Knowledge gaps certainly exist in all facets of PBSD; however, other key knowledge gaps beyond those listed in NCHRP Synthesis 440 (Marsh and Stringer 2013) that should be closed in order to improve the implementation of PBSD are covered. Objectives of Codes Mandated Specifications Overall Goals Functional Requirements (Basic Requirements) Performance Requirement Level Verification Methods and Acceptable Solutions Can be Modified or May be Selected with Necessary Verifications Importance, Loads, Design Ground Motion, Limit States Principles of Performance Verification Verifications of Seismic Performances (Static and Dynamic Verifications) Evaluation of Limit States of Members (RC and Steel Columns, Bearings, Foundations and Superstructure) Unseating Prevention Systems Principles of Seismic Design Figure 17. Code structure for seismic design using JRA design specifications. TRL Description 0-25 25-50 50-75 75-100 1 PBSD concept exists 2 Seismic hazard deployable 3 Structural analysis deployable 4 Damage analysis deployable 5 Loss analysis deployable 6 Owners willing and skilled in PBSD 7 Design guidelines 8 Demonstration projects 9 Proven effectiveness in earthquake Technology Readiness Level (TRL) % of Development Complete Table 11. Technology readiness levels for PBSD.

Literature Review and Synthesis 35 Gaps related to structural analysis can include minimum and expected properties for reinforcing greater than Grade 80, stainless steel, and other materials that can improve serviceability and in some conditions performance. Oregon DOT has been using stainless steel in their bridges located along the coastline and other highly corrosive environments to extend the service life of the bridge; however, many of these locations are also prone to large CSZE and the use of these materials in earthquake resisting elements is still being developed. In the State of Washington’s resiliency plan, outlined in Washington State Emergency Management Council–Seismic Safety Committee (2012), what is missing is a link between damage levels and return to service. This is a knowledge gap given what we know structurally and what this report is suggesting as a desired goal for post-earthquake recovery. Gaps related to decision makers can include bridge collapse. It is not intended that the PBSD guide specifications will address tsunami events, but the JRA specifications do address tsunami as well as landslide effects. Figures 18 and 19 are examples of these other types of failure systems and show the collapse of bridges caused by effects other than ground motion (Kuwabara et al. 2013). The decision to combine these types of effects with a seismic hazard, even combining liquefaction, down drag, and lateral spreading effects, needs additional clarification and is currently left up to the owner to assess implications of probability, safety, and cost ramifications. Liang and Lee (2013) summarized that in order to update the extreme event design limit states in the AASHTO 2014, combinations of all nonextreme and extreme loads need to be formulated on the same probability-based platform. Accounting for more than one-time variable load creates a complex situation, in which all of the possible load combinations, even many that are not needed for the purpose of bridge design, have to be determined. A formulation of a criterion to determine if a specific term is necessary to be included or rejected is described, and a comparison of the value of a given failure probability to the total pre-set permissible design failure probability can be chosen as this criterion. Figure 18. Collapse of bridge due to landslide. (Note: Reprinted courtesy of the National Institute of Standards and Technology, U.S. Department of Commerce. Not copyrightable in the United States). Source: Kuwabara et al. (2013).

36 Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design While the seismic hazard definition was once thought to be relatively well understood, there is a growing knowledge gap related to the effect of rotation angle on intensity of ground motions and how the use of a geometric mean of the motions, or other methods of including the effect of rotation angle (RotDxx), should be incorporated into seismic design. This issue is not specific to PBSD; like all seismic design methods, PBSD is reliant on a full understanding of the hazard definition for proper implementation. The knowledge gaps identified in NCHRP Synthesis 440 are still applicable. Many of these knowledge gaps will become evident to both engineers and decision makers as the PBSD guidelines are developed. Overall, the baseline information to develop PBSD guide specifica- tions are in place. Industry’s end goal of understanding the relationship between risk-based decision making and design decisions and methodologies to meet performance goals is going to be an iterative process. Figure 19. Collapse of bridge due to tsunami. (Note: Reprinted courtesy of the National Institute of Standards and Technology, U.S. Department of Commerce. Not copyrightable in the United States). Source: Kuwabara et al. (2013).

Performance-based seismic design (PBSD) for infrastructure in the United States is a developing field, with new research, design, and repair technologies; definitions; and methodologies being advanced every year.

The TRB National Cooperative Highway Research Program's NCHRP Research Report 949: Proposed AASHTO Guidelines for Performance-Based Seismic Bridge Design presents a methodology to analyze and determine the seismic capacity requirements of bridge elements expressed in terms of service and damage levels of bridges under a seismic hazard. The methodology is presented as proposed AASHTO guidelines for performance-based seismic bridge design with ground motion maps and detailed design examples illustrating the application of the proposed guidelines and maps.

Supplemental materials to the report include an Appendix A - SDOF Column Investigation Sample Calculations and Results and Appendix B - Hazard Comparison.

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CHAPTER 2 REVIEW OF RELATED LITERATURE AND STUDIES

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A Systematic Review of Personal Information Sharing in Smart Cities: Risks, Impacts, and Controls

• Open access
• Published: 24 June 2024

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• Maha Ibrahim Alabsi   ORCID: orcid.org/0000-0003-1791-6907 1 , 2 &
• Asif Qumar Gill   ORCID: orcid.org/0000-0001-6239-6280 1  

Smart cities aim to deliver smart services that rely on emerging technologies to their users. In order for users to get the provided services, they need to share their personal information with different parties. However, sharing personal information in smart cities may impact the privacy of that information. Thus, there is a need to address privacy risks relevant to sharing personal information in smart cities. This study aims to address this issue by conducting a systematic literature review (SLR) to identify and extract privacy risks, impacts, and existing controls associated with sharing personal information, considering elements involved and interacting during the sharing activity in smart cities. A set of 83 selected studies in both academic and industry fields were reviewed, and the results were categorised into three main groups: privacy risks, impacts, and controls. Moreover, the implications and future research directions were also reported. The proposed privacy risk taxonomy will provide a much-needed foundation for the industry and research community, intending to research and evaluate privacy risk frameworks and design solutions for sharing personal information in smart cities.

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Introduction

More recently, the concept of smart cities has been getting significant attention from research and practice perspectives (Ahmad Mohamad et al., 2019 ). Several countries across the globe (e.g. Asia, Africa, America, and Europe) aim to consider their cities “smart” by developing and delivering smart services to their citizens and residents by using emerging ICT (information and communication technologies) (Ahmad Mohamad et al., 2019 ; Albino et al., 2015 ; Hsiao et al., 2021 ). The definitions of smart cities focus on the quality of citizens’ performance and activities, along with enhancing economic competitiveness by managing city resources and improving information and communications technology (ICT) infrastructure (Giffinger et al., 2007 , Caragliu et al. 2009 , Vu & Hartley, 2018 ). Also, smart city is defined as a 4th industrial model where emerging technologies, such as the Internet of Things, cloud computing, and big data, are used to optimise the cities (Safiullin et al., 2019 ). Accordingly, smart cities are proposed in particular areas or sectors such as governments, health, energy, buildings, airports, and businesses/organisations (Khatoun & Zeadally, 2017 ).

Due to the strong relationship between ICT and smart services within the overarching concept of smart cities, a vast amount of personal information is collected from users, devices, and applications (Martinez-Balleste et al., 2013 ). Furthermore, sharing and exchanging information among parties, including individuals and organisations, is possible using different sharing platforms that play a vital role in smart cities (Kong et al., 2018 , Kusumastuti et al., 2022 ). Internet of Things (IoT), Cloud, fog computing, and blockchain technology are examples of such platforms (Qian et al., 2018 , Imine et al., 2020 ; Gill, 2021 ). However, the flow of personal information in smart cities may result in individuals suffering from serious privacy risks that may impact their information (Martinez-Balleste et al., 2013 , Sharma et al., 2020 ).

According to NIST (Stoneburner et al., 2002 ), the risk is the possibility of a threat source exploiting a specific information system vulnerability and the resultant consequence. Assessing information privacy risks in smart cities is challenging due to information complexity and uncertain impact levels (Bogoda et al., 2019 ). In addition, privacy risks need to be assessed to minimise the risk impact by using appropriate controls (Hong et al., 2004 ). Thus, there is a need to assess privacy risks when sharing personal information in smart cities. This includes identifying and addressing privacy threats and vulnerabilities, their impacts, and appropriate privacy risk mitigation controls.

To the best of our knowledge, there is a lack of consolidated literature on this important topic of privacy assessments that cover privacy risks, impacts, and current controls for sharing personal information, considering the interaction among elements involved in sharing activity in smart cities. A consolidated view of the current work is needed to provide a foundation for further development in this important area of research.

Thus, this paper addresses this need by conducting a SLR and synthesising published research with a view to identify and extract privacy risks, impacts, existing controls, and elements involved and interacting to share personal information in smart cities, along with relevant regulation, to influence this activity. Thus, this paper focuses on the following key research questions:

RQ1: What are the privacy risks associated with sharing personal information in the context of smart cities considering the elements involved and interacting while sharing personal information?

RQ2: What are the impacts of those personal information privacy risks?

RQ3: What current privacy controls are in place to mitigate the identified risks?

This work builds on the earlier research on identifying privacy risks in smart airports (Alabsi & Gill, 2021 ). This paper extended this work to provide broader coverage of smart cities. This will help extract and define more comprehensive views of privacy risks, which will be used to design a holistic solution for assessing the privacy risks that may impact passengers’ personal information in their interaction journey in smart airports within the border context of smart cities. This will ensure that important privacy concerns are not overlooked when dealing with information privacy in smart airports. The main motivation behind this paper is the future development of the privacy framework in a smart airport context. The development of the proposed framework is beyond this paper’s scope and is subject to further research.

Contribution

The key contributions of this research are outlined below:

This paper provides an updated knowledge base covering various articles published in academic and industrial databases between 2017 and 2021, including smart cities, sharing information, privacy risk, impact, and existing control.

This paper provides both a theoretical and practical view of the review results by using the Adaptive EA and Concerns for Information Privacy framework (CFIP) as a theoretical lens and the NIST 800–30 framework as a practical lens. These lenses help identify the risk assessment components: privacy risk, the resulting impact, and current privacy control.

This paper contributes to enhancing the understanding of the review results by proposing a privacy risk taxonomy using the Concerns for Information Privacy framework (CFIP) as a theoretical lens. Based on CFIP, the proposed taxonomy categorises threats and vulnerabilities into the following: collection, error, unauthorised use, and improper access types.

This paper provides novel knowledge by mapping the privacy risks associated with sharing personal information with elements involved and interacting during the sharing activity by adopting the Adaptive EA framework as a theoretical lens. The mapping links the privacy risks dimensions under CFIP with the layers of Adaptive EA, including human, technology, facility, and environmental.

This paper provides a set of actionable knowledge by providing a clear understanding and mapping of the identified privacy threats to the requirements and available existing controls.

This paper provides future research directions regarding the privacy risks of sharing personal information in smart cities.

In a nutshell, this research provides a knowledge foundation, which can be casted into developing theoretical and practical frameworks and solutions for studying and enhancing personal information privacy in the contemporary context of smart cities.

This paper is organised as follows: the “Background and Related Work” section provides the research background and related works. The “Research Method” section explains the research method. Then, data extraction and synthesis are discussed in the “Data Extraction and Synthesis” section, followed by the SLR results in the “ Results ” section. The discussion of implications, study validity and limitations, and work directions is elaborated in the "Discussion" section. The last section encompasses the conclusion.

Background and Related Work

The meaning of privacy varies from one researcher to another. However, core components are common to most definitions of privacy. The most historical definition of privacy was “the right to be let alone” (Warren & Brandeis, 1890 ). Information privacy is defined as the relationship between an individual’s right to privacy and the ability to access and control the information held by organisations (Cranor, 2012 ; Hoffman, 1977 ; Hough, 2009 ; Martinez-Balleste et al., 2013 ). At present, many definitions of privacy have been proposed, and through the years, these definitions have evolved based on societal changes and technological development (Hiller & Russell, 2017 ; Li & Palanisamy, 2018 ; Peppet, 2014 ).

The smart city context has recently risen, and technology has gradually developed. A smart city is identified as an urban area that uses information and communication technology (ICT) to improve its services and enhance its residents’ quality of life (Giffinger et al., 2007 ; Kusumastuti et al., 2022 ). As a result, the individual shares their personal information with service providers, who share it with other organisations either explicitly—implying that the user is involved—or implicitly without the user’s knowledge (Spiekermann & Cranor, 2008 ). Personal information can be used to identify an individual, either directly or indirectly, such as name, email, or biometric information email (Wolford, 2020 ).

Accordingly, information privacy and security concerns have been significantly increased because cities are digitally connected, and individuals’ personal information has become more accessible and available (Hiller & Russell, 2017 ; Solove, 2011 ). This sometimes obstructs society’s adoption of smart cities (Pal et al., 2021 ). For that, personal information privacy risks that arise when sharing personal information in smart cities should be considered carefully to seize new threats and find reasonable solutions. This section briefs privacy risks, regulations, and privacy-enhancing technologies.

Privacy Risks

Privacy risk is defined as the expected losses related to personal information disclosure (Xu et al., 2011 ). Pervasive literature attempts to identify the privacy risks of personal information. For example, Nissenbaum ( 2004 ) proposed a privacy taxonomy based on the contextual integrity (CI) theory, which considers human factors, including their norms and attitudes, as part of privacy risk arising in public surveillance. Henriksen-Bulmer et al. ( 2019 )proposed a taxonomy using the same theoretical lens, IC, to address privacy risks in open data publishing. The privacy taxonomy developed by Solove ( 2006 ) aimed to improve the understanding of information privacy in the legal system. This taxonomy classified privacy risk into four elements: collection, processing, dissemination, and invasion (Solove, 2006 ). Avancha et al. ( 2012 ) developed a privacy taxonomy that classified privacy threats into identity threats, access threats, and disclosure threats in the health system. The framework designed by Deng et al. ( 2011 ) provides a comprehensive analysis of privacy threats to help analysts cover key issues in designing software. In the smart airport, unauthorised access, information leakage, and second use were discussed as privacy threats that affect passenger information (Choudhury & Rabbani, 2019 ; Khi, 2020 ; Tedeschi & Sciancalepore, 2019 ; Zhang, 2019 ). The review conducted by Ismagilova et al. ( 2020 ) focused on security, privacy, and risk in smart cities and how they impact the operational process of smart cities. In addition, a systematic literature review is conducted to identify privacy risks and current solutions relevant to passengers’ information (Alabsi & Gill, 2021 ). In this work, the privacy risks were classified based on the CFIP theory into four types: collection, error, unauthorised use, and improper access.

This review of the literature shows that despite attempts to analyse privacy risks, they only focused on addressing threats without considering vulnerabilities as an essential factor in privacy risk analysis. Furthermore, there is a lack of addressing privacy risks relevant to personal information in other smart city themes, such as smart airport.

Privacy Regulations

The General Data Protection Regulation (GDPR) is a significant regulation that regulates information privacy. The EU adopted the GDPR in 2018 and incorporated principles for personal information processing (Wolford, 2020 ). The GDPR explains principles that help in protecting individual privacy (EUGDPR, 2018 ). Consent, breach announcement, and privacy by design are examples of GDPR principles (EUGDPR, 2018 ).

In the USA, the Fair Information Practices (FIPs) regulation was developed in 1973 to discuss the importance of protecting individual privacy, and it was adopted by the U.S. Privacy Act (Gellman, 2017 ; Li & Palanisamy, 2018 ). Following that time, different sectors in the USA, such as the health and business sectors, developed their privacy regulations called the Health Insurance Portability and Accountability Act (HIPAA) (Silva et al., 2021 ).

In Australia, the Privacy Act 1988 (Act) developed the Australian Privacy Principles (APPs) to protect and guide the use of personal information (Office of the Australian Information Commissioner n.d. ). The APPs consist of principles governing the collection, handling, accessing of personal information, and ensuring the accuracy and integrity of personal information (Office of the Australian Information Commissioner n.d. ).

Based on the above review, it is clear that countries share a common objective in protecting the privacy of personal information and governing how to use it despite their differing regulations.

Privacy-Enhancing Technologies

The interest in privacy protection has been increasing since the 1990s. Thus, there has been a continuous flux of efforts to develop and use Privacy-Enhancing Technologies (PETs) (Hiller & Blanke, 2016 ). PETs are well-designed (ICT) systems for securing and protecting the privacy of information through the reduction, deletion, or avoidance of improper and unnecessary processing of personal data without decreasing the value of the individual information (Chun, 2015 ). The goal of using PET in smart cities is to enable the personal and sensitive information embedded in the collected data to be hidden and not be discovered by any third party or service provider (Curzon et al., 2019 ). Recently, many PETs have been proposed to protect the privacy of information. For example, Van Blarkom et al. ( 2003 ) described PETs techniques such as encryption, anonymisation, pseud-identity, biometric, identification, authorisation, and authentication. Heurix et al. ( 2015 ) provided PETs taxonomy that covered privacy aspects such as user privacy and data privacy across domains not covered in security classifications. Curzon et al. ( 2019 ) provided a detailed review of privacy-enhancing technologies, commonly classified as anonymisation (such as masking and disruption of sensitive data) and security techniques (such as hashing and cryptographic techniques), as the broad types of techniques used mostly for personal information privacy protection. The PETs classification proposed by Kang et al. ( 2007 ) includes three types based on the privacy information life-cycle, including operation technology, common-based technology, and administrative technologies.

It is clear from previous and related research that the study of privacy-enhancing technology has been actively addressed, reflecting its importance in protecting the privacy of personal information.

In summary, protecting the privacy of personal information in smart cities is critical for its effective adoption by citizens or users. Studies have attempted to cover this topic by investigating many solutions and approaches. However, lack of systematic reviews effectively address and assess privacy risks, including threats, vulnerabilities, impacts, and exciting controls relevant to sharing personal information in smart cities, considering who and what is involved and interacted during the sharing activity. This study aims to address this critical need by employing the well-known SLR approach detailed in the following section.

Research Method

This section presents the SLR method applied to conduct this systematic literature review (Kitchenham & Charters, 2007 ). This section includes the following SLR stages: (A) study inclusion and exclusion criteria, (B) data sources and search strategies, (C) study selection process, and (D) quality assessment.

Study Inclusion and Exclusion Criteria

In this study, a set of inclusion and exclusion criteria based on the research questions was used to select the relevant studies from well-known academic and industrial sources. It is important to note here that industry sources have been used to complement the academic sources. Academic studies must be peer-reviewed, including journal articles, conference papers, and book chapters. The studies must satisfy the following criteria: written in the English language, published between 2017 and 2021, include the specified search terms (see Table  1 ), and provide information to address the research questions listed in “ Introduction ” section. Studies that did not meet the inclusion criteria were excluded. This ensures that recent literature relevant to the scope of this study has been adequately covered.

Data Source and Search Strategy

The following well-known electronic databases were used to answer the identified research questions: IEEE Xplore ( www.ieexplore.ieee.org/Xplore/ ), ScienceDirect ( www.sciencedirect.com ), ProQuest( www.proquest.com ), Willy (onlinelibrary.wiley.com/), Gartner ( www.gartner.com/ ).

The selected databases collectively cover a wide range of disciplines relevant to the topic at hand. Furthermore, this SLR includes academic and industrial studies, which distinguishes it from traditional SLR. However, the industrial sources were analysed separately to avoid mixing the non-peer-reviewed studies with academic sources. In the initial research stage, we used the selected search categories and terms presented in Table  1 to find the relevant studies that address the identified research questions. Each search term in the “privacy-preserving” category was combined with each term under the “information sharing” and “smart cities” categories with the operator “AND”. Furthermore, the operator “OR” is used to combine similar terms in each category to ensure maximum coverage.

Study Selection Process

The study selection process assesses the inclusion and exclusion criteria through the following stages. In stage 1, all identified search terms and keywords (see Table  1 ) were searched in the selected databases (as explained earlier), and studies not relevant to inclusion and exclusion criteria were excluded. This stage resulted in 1089 industrial and academic studies. In stage 2, a set of 372 industrial and academic studies were selected after the titles and keywords assessment. In stage 3, further assessments were conducted for the abstract and conclusion, and 127 from both academic and industrial sources were included. A full-text assessment was applied in the final stage to obtain the final set of 83 studies. Further, the quality assessment has been performed on the final selected studies based on pre-identified assessment criteria (Table 3 ) (Kitchenham & Charters, 2007 ). The relevant studies from each stage were stored and managed using EndNote and then exported to Excel sheets to recode inclusion/exclusion decisions. A flowchart of the study selection process, including stages and the number of included studies in each stage, is shown in Fig.  1 . Table 2 also presents the number of selected studies from each selected database in each stage.

Selection process stages and number of included studies

Quality Assessment

The quality assessment was performed based on the checklist made by Kitchenham and Charters ( 2007 ) to ensure the quality of this SLR. The quality assessment criteria items are presented in Table  3 .

The questions of quality criteria were applied to identify the study’s context, aim, and credibility. The selected studies were scored between 1 and 5 based on criteria items. The total score of the study reflects its quality. Each criterion got a score of “1” or “0”. The selected studies from academic sources scored 1 in the research column. Four selected studies scored “0” in the aim column due to a lack of clarity about the study’s aim, while a set of 3 selected studies scored “0” in the column of context because they did not include clear research context details. The majority of studies scored “1” in the finding column. A set of 12 selected studies scored “0” in the future column because of the lack of clarity about the future research directions. To sum up, as indicated in the last column of Table  4 , the quality of selected studies is considered acceptable if the score is 3 or more out of 5 (60% or above).

Data Extraction and Synthesis

We systematically analysed and synthesised the selected studies using the Adaptive Enterprise Architecture (AEA) and Concerns for Information Privacy framework (CFIP) as a theoretical lens, besides the NIST 800–30 framework as a practical lens. We used the CFIP because it helps extract the privacy risk elements (threats and vulnerability) of sharing personal information, which was configured into a proposed privacy risk taxonomy (Fig.  2 ). Our proposed taxonomy consists of four categories based on CFIP: collection, error, unauthorised use, and improper access. CFIP seems to be an appropriate lens (Smith et al., 1996 ) to assess and analyse individual concerns regarding the privacy of organisational information practices. It is a multidimensional framework used as one of the most reliable tools for addressing individual information privacy concerns in many areas, such as e-commerce (Van Slyke et al., 2006 ). The extracted privacy risks under CFIP dimensions are mapped with the AEA framework’s human, technology, facility, and environmental layers (Fig.  3 ). We also used Adaptive EA because it provides systematic layers to extract and map elements involved and interact while sharing personal information, besides relevant regulation as a governmental element that influences this activity. It is important to note here that sharing activity is considered the main element under the interaction layer. Adaptive EA (Gill, 2015 ) is a framework that guides the interaction in the digital ecosystems among five main layers: human, technology, facility, environment, and security. Further, we used NIST SP 800–30, the well-known standard, as a practical lens to identify and extract essential elements to assess privacy risks (Stoneburner et al. 2002 ). NIST was used to complement the theoretical lenses used in this study.

Proposed privacy risk taxonomy based on CFIP framework

Mapping CFIP with Adaptive EA

This was done to ensure that important points from practice were not overlooked. Thus, this study provides rich information incorporating both theoretical and practical perspectives. These elements include privacy threats, vulnerabilities, requirements, and privacy controls (see Fig. 4 ). The identified privacy controls include technical and non-technical controls (Fig. 4 ). The NIST 800–30 is used to carry out risk assessments according to the NIST guidelines (Peacock, 2021 ). The dimensions of CIFP cover different types of privacy risk components (threats and vulnerabilities) related to sharing personal information. Further, NIST 800–30 also offers a structured process that is used to assess privacy risks. Thus, we use CFIP and NIST 800–30 to report the results of this study, which are presented in the following section.

Assessing information privacy risk based on NIST 800–30

To answer the indicated research questions, we analysed the final selected papers in Table 14 in the Appendix. We reviewed and analysed the selected studies using CFIP and NIST 800–30 frameworks to address the research questions to identify privacy risks (privacy threats, vulnerability), privacy risk impacts, and existing privacy controls. It is worth mentioning that the majority of the papers (86%) were taken from academic sources, whereas only 14% of selected studies were found relevant from the well-known industry Gartner data.

It is widely accepted that information risk is composed of threats and relevant vulnerabilities that may impact information assets (Norta et al., 2019 ). In this context, privacy controls are placed to mitigate the risk.

To answer RQ1, we use the CFIP and Adaptive EA as theoretical lenses. Firstly, we identify and categorise the privacy risk components, including privacy threats and vulnerabilities, related to the privacy risk of sharing personal information in smart cities by adopting the CFIP framework dimensions: collection, error, unauthorised use, and improper access (Smith et al., 1996 ). Then, we mapped the identified risks with the layers of Adaptive EA to present the elements involved and interacted in sharing personal information associated with the identified risks and relevant regulation as a governmental element that influences this sharing activity. Adaptive EA consists of the following layers: human, technology, facility, and environmental (Gill, 2015 ).

Privacy Threats

NIST defines threats as undesired and potential harm to the organisational assets such as information, operation and service, or individuals (National Institute of Standards and Technology 2013 ). We reviewed the selected studies to identify privacy threats that affect the sharing of personal information in smart cities in general and several smart city sectors such as smart healthcare, smart grid, smart governments, smart business/organisation, and smart transportation. Based on the CFIP framework, we identified seven types of privacy threats: collection, unauthorised use, improper access, and error from 41% of selected studies. Table 5 presents the identified threats, categories, and selected studies.

As shown in Table  5 , the majority of selected studies (31%) discussed privacy threats under the unauthorised use category. This category includes the following threats: secondary use (T2), information modification (T3), information leakage (T4), and identity theft (T5). Seventeen percent of the reviewed studies highlighted unauthorised access (T1) as a privacy threat under the improper access category. The remaining studies discussed policy and regulation non-compliance privacy threat (T7) under the collection category (6%), with a few studies (2%) focused on information misuse (T6) privacy threats under the error category (3).

As shown in Table  5 , the privacy threats related to patient information sharing in smart health have been widely discussed in the reviewed studies (N3, S4, S5, S6, S7, S8, S12, S17, S3, S27). For example, unauthorised access (T1), information misuse (T6), and modification (T3) threats have been identified as the most common threats that affect the privacy of patient information (Iwaya et al., 2019 ). Patient biometric data are collected and shared with many parties in the smart health sector, which leads to secondary use (T2) and ID theft (T5) threats (Romanou, 2018 ). Regulators and ethics committees are relevant to the health sector classified information leakage (T4) as a privacy threat that affects the collection, use, and sharing of personal information in smart health (Thapa & Camtepe, 2020 ).

As for smart grid, reviewed studies (S9, S16, S18, S19) highlighted that threats included information modification (T3), information leaking (T4), and unauthorised access (T1) are the most common threats that impact consumers’ privacy information shared with different parties. On the other hand, unauthorised access (T1), secondary use (T2), and information leakage (T4) are discussed in the reviewed studies (S11, S20, S21, S13, S10, S22, N2, N5) as privacy threats that affect personal information sharing in smart cities.

As shown in Table  5 , 6 % of reviewed studies identified non-compliance with privacy policies and regulations (T7) as a privacy threat. Several countries and organisations have taken considerable steps toward data privacy policies and regulations in order to protect personal information. According to Wall et al. ( 2015 ), privacy compliance refers to an organisation’s adherence to regulatory privacy requirements to protect personal information. Studies have discussed the increasing information privacy issues in organisations due to non-compliance with privacy policies and regulations in different sectors, including smart cities. For example, healthcare industries handle patients’ information in the USA without explicit patient consent, which is at odds with granular consent under the Health Insurance Portability and Accountability Act (HIPAA) (Runyon, 2020 ).

Vulnerability

According to NIST (National Institute of Standards and Technology 2013 ), vulnerability is the weakness of an asset (e.g. information and system) plausibly exploited by threats. This section reviewed the selected studies based on this definition to extract the perceived vulnerabilities that identified threats might exploit.

As shown in Table  6 , we identified three types of vulnerabilities relevant to the identified threats. Based on our review, 5% of selected studies mentioned that lack and un-transparent policies lead to several privacy threats (Chua et al., 2017 ; Hou et al., 2018 ; Taplin, 2021 ). Examples of these policies include consent, ethics, and privacy policies. Furthermore, the lack of privacy regulation related to handling and sharing personal information, including biometric data, could make this information vulnerable to several privacy threats (S30) (Khi, 2020 ). Insecure/unprotected storage systems and insecure/unprotected sharing mechanisms were identified as vulnerabilities in 3% of selected studies. Insecure storage refers to storing sensitive data without appropriately controlling access. Sharing information in unsecured or unprotected environments leads to privacy risks in smart cities (Agrawal et al., 2021 ; Romanou, 2018 ).

Mapping CFIP Dimensions with Adaptive EA Layers

Our review focused on the threats that affect personal information shared in smart cities in general and different smart city sectors such as smart health, smart grid, smart government, and smart business/organisation. Furthermore, we considered who and what are involved and interacted in the sharing activity, besides relevant regulation as a governmental element that influences this activity (based on Adaptive EA). Tables 7 , 8 , 9 , 10 , and 11 present the elements relevant to Adaptive EA layers: human, technology, facility, and environment, in smart cities. Figures  5 , 6 , 7 , and 8 represent the map of CFIP dimensions with Adaptive EA layers.

As illustrated in Fig.  5 , in the smart health context, elements under human layers are identified from 11% of selected studies that discussed the unauthorised use privacy risk associated with sharing patients’ information in smart health. In contrast, with improper access and error risks, the studies’ percentages dropped to 7% and 1%. On the other hand, elements under technology layers are discussed in 6% of selected studies that investigated improper access and unauthorised use privacy risks, with 0% of studies in error and collection risks. However, the environmental layer is considered in selected studies (4%) when addressing privacy risks categorised under unauthorised use more than in improper access (1%) and collection dimensions (2%). We identified patients, service providers, and doctors as the main actors under human layers from 13% of selected studies. At the same time, infrastructure such as IoT and data storage, such as centralised databases, are identified under technology layers in 11% of selected studies. Facility layers are discussed in 6% of selected studies. The facility layer presents different smart health buildings, such as hospitals, medical centres, laboratories, and clinics. Privacy regulations are mainly discussed under the environmental layer in 6% of selected studies, which can be used to define or inform a separate layer of privacy. This seems to suggest the extension of the Adaptive EA framework through the introduction of the privacy layer. Table 7 presents elements under each layer of Adaptive AE in smart health context.

Mapping CFIP dimensions with AEA layers in smart health

In the smart grid, Fig.  6 shows that more selected studies mentioned human, technology, and facility layers when addressing improper access and unauthorised use privacy risks associated with sharing users’ information, while no studies discussed theses layers with error and collection privacy risks.

Mapping CFIP dimensions with AEA layers in the smart grid

In Table 8 , 4% of selected studies identified different actors under the human layer in the smart grid context, including users and customer service providers. Based on our review, 6% of selected studies discuss the usage of the cloud as the main data storage in the smart grid, while IoT applications and smart metres are the main infrastructures discussed in the smart grid system. Elements under facilities layers are found in 6% of selected studies that discuss privacy risks associated with sharing personal information in the smart grid. Examples of facility layer elements are control centres, power sources, and home gateways.

As presented in Fig.  7 , almost a few percent of studies only mentioned human and technology layers with improper access risk compared with studies that addressed unauthorised use privacy risks associated with sharing users’ information in the smart city context.

Mapping CFIP dimensions with AEA layers in smart city

Based on Table  9 , from 5% of selected studies, we identified two main actors under human layers who are involved in sharing personal information in smart cities. The main actors include individuals, such as citizens and users, and organisations, including service providers and data holders. Moreover, IoT devices, Cloud systems, and smart city applications are identified in 6% of selected studies as elements under technology layers used in sharing personal information in smart cities.

As illustrated in Fig.  8 , most selected studies in the smart business/organisation context explain elements in human, technology, and facilities layers when addressing unauthorised privacy risks associated with sharing personal information, whereas this percentage decreased with improper access privacy risk. On the other hand, the environmental layer is mentioned in 2% of studies that addressed privacy risks under improper access and unauthorised risks, with 1% with collection privacy risks.

Mapping CFIP dimensions with AEA layers in smart business/organisation

Based on Table  10 , we identified several actors, such as employees, customers, and experts, under the human layer from 4% of selected studies. The facility layer includes buildings, such as organisations, public workplaces, and industry, discussed in 7%. On the other hand, technical layer elements, such as infrastructure and data storage, and environmental elements, such as privacy regulation, are discussed in 5% of selected studies.

As shown in Table  11 , human, technology, and facility layers have been mentioned in 2% of selected studies that discussed improper access and unauthorised use privacy risks in smart government, with 1% of studies addressing unauthorised use in the smart transportation context.

Privacy Risks Impacts

To answer RQ2, we reviewed the selected studies to identify and extract privacy requirements impacted by the identified privacy risks. The proper privacy requirements should be considered when personal information is shared in smart cities. Thus, we reviewed the selected studies to extract the privacy requirements that the identified threats might impact (Table  12 maps the requirements with relevant threats). As shown in Table  12 , we identified eight classified requirements. The classifications include the CIA triad (confidentiality, integrity, availability) and IAAA (identification, authentication, authorization, accounting). In addition, we extracted the privacy requirements based on the classification proposed by Pfitzmann and Hansen ( 2010 ), which is very common in the privacy domain. The classification consists of anonymity and pseudonymity, unlinkability, undetectability, and unobservability. Table 12 includes a list of privacy requirements that need to be satisfied when sharing personal information in smart cities.

Concerning the CIA classification, 20% of selected studies discussed confidentiality and integrity as essential requirements to achieve privacy (Table  12 ). In contrast, availability is discussed in 10% of selected studies to achieve security besides privacy. In smart health, Health Information Exchange (HIE) has been adopted to enable the electronic sharing of patient information between several parties (Mutanu et al., 2022 ). Thus, confidentiality, integrity, and availability are essential to preserve patient information privacy and security (Yi et al., 2013 ). In addition, the CIA triad should be satisfied with a smart grid and smart transportation to protect privacy as the information is shared between relevant parties to provide various services to the users (Yang et al. 2014 ).

As for the IAAA classification, 13% of selected studies discussed authentication as a requirement for privacy (Table  12 ). However, authorization was discussed in 5% of selected studies, whereas identification was discussed in 2% of selected studies. In the smart grid, identification and authentication requirements need to be satisfied to secure access to the information or system component (Ferrag et al., 2018 ; Sadhukhan et al., 2021 ). In smart health, authentication, authorization, and identification requirements should be satisfied when sharing patient information to ensure that privacy is not compromised (Shamshad et al., 2020 ; Wang et al., 2019 ).

We reviewed the selected studies to extract the requirements classified based on the terminology proposed by Pfitzmann and Hansen ( 2010 ). As shown in Table 12 , 12% of selected studies discussed anonymity as an essential requirement to ensure the privacy of information, whereas only 1% mentioned unlinkability requirements. These requirements are addressed in both smart health and smart transportation to achieve the privacy of personal information (Yang et al., 2018 , Chenthara et al., 2019 ).

Existing Privacy Control

To answer the RQ3, we reviewed the privacy-preserving schemes for sharing personal information in smart cities. We also extracted the existing privacy controls proposed to mitigate the identified risks from the selected studies (Table  13 maps the privacy controls with identified threats). Further, we classified the identified control under technical and non-technical, as shown in Table  13 . Figure  9 represents the percentage of the identified privacy controls from the selected studies. Technical control methods include security-based solutions, such as encryption, access control, etc., whereas non-technical methods refer to policies, procedures and standards (National Institute of Standards and Technology, 2013 ).

Existing privacy control

Considering the technical solution, we identified ten technical controls categorised into four groups: anonymisation, cryptographic techniques, access control techniques, blockchain, and machine learning (Table  13 ). In this study, the classification of technical solutions is based on the classification of PETs proposed by Van Blarkom et al. ( 2003 ) and Curzon et al. ( 2019 ). In addition, we reviewed technical controls developed on blockchain and machine learning.

Data Anonymization

As sown in Table  13 , 7% of reviewed studies discussed anonymization techniques as technical privacy controls. This includes K-anonymity, differential privacy, and pseudonym. Data anonymization is the method used to protect personal information by preventing linking their identities (Curzon et al., 2019 ; Iyengar, 2002 ; Silva et al., 2021 ). K-anonymity and differential privacy are the most common methods of anonymization technique (Iyengar, 2002 ). As for smart health, the reviewed study (S12) discussed the popularity of using anonymity to preserve the privacy of transmitted personal information between parties. On the other hand, the pseudonym is discussed in (S49) as an anonymous technique that is proposed to preserve the privacy of sharing information in smart transportation.

Cryptographic Technique

Table 13 includes cryptographic techniques used in privacy-preserving schemes for sharing personal information in smart cities. The techniques were extracted from 8% of selected studies. Cryptographic technology entails ways of totally hiding data equivalent to the intensity of the cryptographic key and algorithm employed. Encrypting transmitted or stored personal information in smart cities is a broadly used technology that protects from leakage and achieves privacy requirements (Curzon et al., 2019 ; Gaire et al., 2019 ). For example, attribute-based encryption (ABE) is proposed to preserve patient information sharing in smart health (S7, S57). Cryptographic technique for processing biometric data is presented in (S12); in this method, the digital key is securely linked by a biometric sample that is used to encrypt and decrypt the key. Elliptic curve cryptography to secure and authenticate the communication between the consumer and the service provider in the smart grid is discussed in (S36, S28).

Access Control Mechanism

Access control is defined as security methods to control the access and use of information by applying access policies (Sandhu & Samarati, 1994 ). In Table  13 , 6% of reviewed studies discussed privacy-preserving schemes developed based on the access control mechanism. For example, schemes presented in selected studies proposed several access control mechanisms, such as fine-grained access control and multi-layer access control (MLAC), to preserve the privacy of patient information shared between different parties in a cloud-based environment.

Machine Learning

Table 13 shows that privacy-preserving schemes for sharing information in smart cities using machine learning techniques are discussed in 2% of selected studies. A self-organising map (SOM) is a machine learning technique used to share information about electricity usage between parties in the smart grid (S65). The machine learning technique, federated learning, is used to share and analyse medical cases in smart health without compromising patient privacy (S58).

As shown in Table  13 , 42% of selected studies proposed privacy-preserving schemes for sharing information using Blockchain technology. Blockchain is a decentralized cryptographic scheme employed to privatise and safeguard transactions in the confines of a network (Curzon et al., 2019 ). It has been noticed that the privacy-preserving schemes in selected studies integrated blockchain with other PETs to share personal information without compromising their privacy. For example, access control mechanisms and blockchain are proposed in studies (S4, S6, S20, S41, S48, S50, S6, S8, S26, S27, S33, S34) mainly for two purposes. The first one is to allow individuals to monitor and regulate their information sharing between parties in smart cities. The second purpose is to authenticate the identity while sharing and accessing the information in smart cities. The selected studies (S9, S39, S14, S63, S21, S45, S31) proposed privacy-preserving schemes that use several cryptographic techniques, including signature, identity-based proxy, proxy re-encryption, zero-knowledge, and attribute-based encryption, with blockchain to protect the privacy of individual information in smart grid and smart health.

Non-technical Control

Among the selected studies, a total of 35% discussed non-technical privacy control to mitigate the identified threats (Table  13 ). For example, the importance of privacy by design (PbD) as a principle of GDPR is discussed in an attempt to protect the privacy of personal information in smart health and biometric applications (S12). Several policy-based schemes are discussed to capture the imposed requirements and restrictions that enhance the privacy of shared information in smart cities (S5, S66). On the other hand, privacy management is discussed in the selected studies as a type of non-technical privacy controls (S42, S13, S68, S67). As shown in Table  13 , the non-technical privacy controls are discussed widely in the industrial reports (N1, N6, N7, N8, N9, N10, N11, N12, N4). Organisations need to reduce information disclosure as it leads to privacy and financial risks (Brian Lowans & Meunier, 2019 ). Effective privacy management programs should address privacy risk prevention and incorporate privacy-by-design principles into all business activities (Bart Willemsen, 2017 ). In this context, many risk management approaches, such as integrated risk management (IRM), data security governance (DSG) framework, privacy impact assessment(PIA), and continuous adaptive risk and trust assessment (CARTA), are discussed to help businesses dealing with risks and their consequences and also to ensure the sustainability of the protection of any project (N6, N7, N1, N11). Furthermore, the importance of designing a privacy-aware risk programme to define and assess the risk of using blockchain technology for sharing personal information is discussed in industry publications (N8, N9).

This research provided a consolidated view of the selected studies from academic and industrial sources and reported on the privacy risks, impacts, and controls related to personal information sharing in smart cities. This was done to thoroughly identify the privacy risks that affect the sharing of personal information in smart cities. Since sharing personal information in smart cities results from the interaction among different elements, this study also aims to identify these elements, including actors, technologies, facilities, and privacy laws, that are involved in sharing activity. Identifying privacy risks, including threats and vulnerabilities, the risk impacts, and existing controls, taking into account the elements involved in sharing activity, will assist organisations in determining the appropriate controls to mitigate the risks when sharing personal information in smart cities. This section describes the implications based on our review and analysis of selected studies. It also includes the limitations of this work.

Implications

Privacy risk.

Many studies have proposed threat taxonomies that organise threats into different categories (Deng et al., 2011 ; Xiong & Lagerström, 2019 ). However, to the best of our knowledge, there is a lack of systematic and theoretical understanding, which is filled by this study using the CFIP as a theoretical lens. This study proposed a taxonomy of privacy risks of sharing personal information in smart cities, including threats and vulnerabilities, based on the CFIP theoretical lens. Based on Table  5 , our findings show that the selected studies do not properly investigate policies and consent non-compliance, misuse, and ID theft as serious threats that widely affect the privacy of sharing personal information in smart cities. Furthermore, we found that selected studies did not clearly distinguish between threats’ events and their sources, making it hard to identify the relevant privacy threats to the scope of this study. Thus, there is still a great deal of work to be done in this area in both academic and industrial research.

On the other hand, based on Table  5 , we found that most selected studies discussed privacy threats associated with sharing personal information in smart cities in general and in the smart health system. In contrast, studies that discussed the same topic under the smart grid, smart government, smart business, and smart transportation systems were limited. One immediate impact of this finding on the digital economy is the reinforcement of the importance of investing in robust technological solutions and infrastructures, as well as developing risk management frameworks to mitigate the privacy and security risks associated with personal information in smart cities (Ahmed, 2021 , Jnr et al., 2023 , Jin, 2024 ).

The digital economy is the deep integration of digital technology and production factors in smart cities to manage the transformation cost, improve cities’ capabilities and implement innovative solutions (Sotirelis et al., 2022 ; Vinod Kumar & Dahiya, 2017 ; Wang et al., 2021 ; Zhiyong et al., 2024 ).

The emphasis on privacy risks of sharing personal information in smart cities highlights the need for innovative solutions that simultaneously advance their capabilities while rigorously safeguarding individual privacy. This could increase investment in implementing privacy controls to protect individual information handled within smart city sectors (Jin, 2024 ).

As smart city sectors heavily rely on sharing individual information by integrating smart technologies, there is a pressing need to address privacy risks associated with personnel. This could spur investment in privacy-enhancing technologies, regulatory frameworks, and public awareness campaigns tailored to these specific domains. This draws our attention to the need for more studies in order to cover this gap.

On the other hand, selected studies from industry sources discussed the identified privacy threats relevant to personal information without mentioning their relationship with smart cities or any other smart system.

On the other hand, it is well-accepted that any risk analysis should be done based on identified threats and relevant vulnerabilities (Stoneburner et al. 2002 , Norta et al., 2019 ). The identification of vulnerabilities is an essential factor that plays a role in identifying privacy risks. Based on Table  6 , we found that selected studies do not investigate vulnerabilities as a significant factor in addressing privacy risks relevant to sharing personal information in smart cities. As a result, the knowledge about the identified privacy risks was limited. Thus, there is a need to understand the threats and vulnerabilities to identify and mitigate privacy risks.

Based on our review, very limited studies currently explain who and what elements are involved when addressing privacy risks associated with sharing personal information in smart cities. Furthermore, to the best of our knowledge, no previous studies have demonstrated the interaction among the elements involved when addressing the topic mentioned above. To overcome the shortcomings of previous studies outlined above, we adopted Adaptive EA as a theoretical lens to map the identified privacy risks relevant to sharing personal information in smart cities, with elements involved and interacting in sharing activity. This study mapped the identified privacy risks based on CFIP dimensions, including improper access, unauthorised use, error, and collection, with Adaptive EA layers that include human, technology, facility, and environmental. Based on Figs.  5 , 6 , 7 , and 8 , we found that out of all the studies that addressed privacy risks associated with sharing personal information, most studies discussed human and technical layers, followed by the facility layer in all smart city sectors. However, few studies discussed the environmental layer, including privacy regulation and policies, only when addressing improper access and unauthorised use of privacy risks relevant to sharing personal information in smart health and smart business/organisation contexts.

Furthermore, according to Tables 7 , 8 , 9 , 10 , and 11 , we found that most studies that defined elements under human and technology layers are relevant to smart health, with few studies in other smart city sectors. Additionally, although applying policies and regulations is vital to mitigate privacy risks associated with personal information in any smart city, we noticed that these elements, mainly categorised under the environmental layer, have not been investigated enough in the selected studies. Based on the above, there is a need to cover these gaps in future work.

Undoubtedly, defining privacy requirements helps to study the consequences of privacy risks relevant to personal information. Moreover, it helps to choose the proper treatment for the identified risks. In this regard, we reviewed the selected studies to identify the privacy requirements based on well-known classifications such as CIA, IAAA, and the privacy requirement terminology (Pfitzmann & Hansen, 2010 ). Based on Table  12 , our findings reveal that current studies investigate CIA triad and identification, authorization, authentication, and anonymity requirements for privacy risk in smart cities. However, addressing the impact of privacy risk on accounting, undetectability, unobservability, and pseudonymity is still largely unclear. This draws our attention to the need for more studies defining those requirements when discussing the privacy risks of sharing personal information in smart cities. Another finding shows that most selected studies link the requirements with the proposed technical controls. They test proposed solutions against those requirements to explain how they should satisfy them. However, there is a lack of studies that discuss the link between these requirements and privacy risks. For example, to the best of our knowledge, secondary use, ID theft, and policy and consent non-compliance threats are not linked with any one of the identified requirements; thus, more studies need to cover this gap to address the consequences and impacts of these risks.

Existing Control

We reviewed the selected studies to extract the existing privacy controls to preserve the privacy of sharing personal information in smart cities. We categorised privacy controls based on the well-known practical framework NIST 800–30 into technical and non-technical controls. Based on Table  13 , our findings show that technical privacy controls, such as cryptography, anonymity, access control, blockchain, and machine learning, are frequently discussed in the selected studies. However, those controls are insufficient to preserve personal information privacy in smart cities because they are poorly developed due to technical and cost restrictions. Another finding shows that a set of 23 selected studies proposed technical solutions without implicitly explaining what kind of privacy threats could be mitigated by the proposed solution. This means they proposed the solution to preserve privacy issues in smart cities. Thus, linking the technical solution with specific privacy threats needs more investigation in the literature. Table 13 also finds that blockchain is widely used in privacy-preserving schemes proposed in academic literature. This indicates the importance and effectiveness of using it to share personal information in smart cities without compromising privacy when integrating it with different PETs. On the other hand, our findings show that risk management has fewer research activities in academic fields; thus, this area requires further investigation.

Finally, the current research investigates risks, impact, and existing controls in different areas of focus (e.g. information security/privacy), and  across various domains (e.g. smart health, smart grid, smart airport, and smart organisations). However, based on the analysis results, these studies seem to lack a systematic and common understanding of information privacy risks in smart cities. To address this challenge, there is a need to develop an ontology-based privacy risk assessment framework for a systematic and common understanding of privacy risks associated with sharing personal information in smart cities. Thus, this study is the first step to systematically synthesis and conceptualise the knowledge dispersed across different papers. It will provide a knowledge base and foundation for developing the personal information privacy risk ontology. The ontology will help enhance understanding the complex concepts and their relationships. Furthermore, it will help establish a common understanding for assessing and mitigating privacy risks in an informed manner. The development and evaluation of such ontology are beyond this paper’s scope and subject to further research. However, this paper provided a strong foundation for this much-needed ontology work.

Validity and Limitations

This work has some limitations like any other SLR. Given this study’s scope, we used well-known academic and industry databases to ensure sufficient coverage of the research topic. This provided a combination of academic and industrial studies explicitly emphasised in the analysis.

Given our emphasis on rigorously identifying and selecting relevant publications through systematic search strategies, the research methodology used in this study was suitable because it provided a multistage process. The process includes applying predefined inclusion and exclusion criteria and synthesising findings to derive meaningful insights to ensure that the process is unbiased.

One potential methodological limitation of the employed methodology in this study is the reliance on predefined databases, which may limit the comprehensiveness of the literature search. However, the identified databases encompass academic and industry sources, totalling six. This ensures that the selected databases cover a wide range of studies relevant to the topic at hand.

To ensure the validity and rigour of the adopted research methodology, we tested the search terms and keywords based on the identified research questions across the pre-selected databases. Furthermore, the process was reviewed to confirm the research’s quality and coverage prior to the documentation stage. In addition, the quality assessment criteria were used to avoid researcher bias and ensure the selected studies’ relevance and quality. Human error might lead to inconsistencies when conducting such research. Thus, regular meetings between the senior researcher and this study’s author were held to minimise the possibility of human error and ensure the quality of the research process and results. This also includes reviewing and learning from the SLRs published in different domains in quality academic outlets. Integrating the employed approach with an additional one to enhance the rigour and comprehensiveness of reviews is suggested as a future research direction.

The term “smart city” has become the focus of several countries striving to improve their population quality, enhance their economies, and ensure sustainability. To achieve their objectives, cities have adopted innovative technologies and applications and developed their ICT infrastructure to support smart city initiatives in many sectors. These sectors include health, government, transportation, business, and organisation. However, due to the strong relationship between ICT and smart cities, personal information is easily shared among relevant parties, leading to serious privacy risks that may affect individuals and organisations. These risks need to be addressed, as highlighted in this SLR. This study analysed and synthesised published research to identify and extract privacy risks, impacts, and existing controls related to sharing personal information in different sectors in smart cities. It also considers elements involved and interacting in the sharing activity based on the well-known CFIP framework and Adaptive EA as theoretical lenses and NIST 800–30 as a practical lens. Based on NIST 800–30, we identified seven privacy threats, three vulnerabilities, and eight requirements that might be impacted by the identified threats, along with seven privacy controls classified into technical and non-technical types. Furthermore, we used CFIP as a theoretical lens to identify and categorise privacy threats and vulnerabilities relevant to the scope of this study. Based on CFIP, we categorised the identified privacy risks (threats and vulnerabilities) into four main groups: collection, unauthorised access, improper use, and errors.

Furthermore, we mapped the identified risks to identified requirements and current controls. The Adaptive EA is used to map the identified risks under CFIP dimensions with layers that interact while sharing personal information in smart cities. Our findings show the need for contemporary solutions to improve the privacy level of sharing personal information in smart cities. Furthermore, there is a need to represent privacy risk assessment components and their relationship and the relation among elements involved in sharing personal information using ontology to facilitate common understanding and sharing of the relevant concepts between different parties involved in connected smart cities. This SLR can benefit both academia and industry by helping them better understand the privacy of sharing personal information in smart cities and providing a synthesised foundation for further work in this important area of research.

Data Availability

Not applicable.

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Alabsi, M.I., Gill, A.Q. A Systematic Review of Personal Information Sharing in Smart Cities: Risks, Impacts, and Controls. J Knowl Econ (2024). https://doi.org/10.1007/s13132-024-02126-1

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Business resilience for small and medium enterprises and startups by digital transformation and the role of marketing capabilities—a systematic review.

1. Introduction

• Identify and synthesize the key research trends and themes in the existing literature, highlighting the multifaceted impact of digital transformation on business operations, strategy, and performance.
• Identify the key research gaps and future directions in the literature, providing insights that can inform both academic research and practical solutions for small businesses and startups in the digital transformation era.
• Explore the critical role of organizational capabilities, such as ambidexterity, resilience, and agility, in enabling small businesses and startups to navigate the challenges and leverage the opportunities presented by digital transformation.
• Examine the strategic deployment of digital technologies, including digital marketing, e-commerce, and emerging technologies, as enablers of enhanced business resilience for small businesses and startups.
• Extract a roadmap of digitalization of SMEs and startups for being more resilient

2.1. Search Strategy and Inclusion/Exclusion Criteria

• Published in peer-reviewed journals, conference proceedings, or book chapters to ensure the quality and credibility of the included research.
• Focused on the topics of digital transformation, business resilience, and/or digital marketing in the context of small businesses and startups. This criterion ensured the relevance of the studies to the review’s objectives.
• Published in the English language to facilitate the review and synthesis process.
• Available in full-text format to enable a comprehensive analysis of the study content.
• The exclusion criteria were as follows:
• Studies from subject areas not directly relevant to the scope of the review, such as energy, environmental sciences, medicine, and arts. This step helped to maintain the focus on the core research domains.
• Studies that did not provide empirical findings or in-depth discussions on the research topic, as they would not contribute significantly to the review’s objectives.
• Duplicate or redundant publications to avoid biasing the synthesis of the literature.

2.2. Data Extraction and Synthesis

• Bibliographic details (author, year of publication, journal/conference, etc.) to contextualize the research.
• Research objectives and methodologies employed to understand the study design and approach.
• Key findings and insights related to digital transformation, business resilience, and digital marketing to identify the core themes and trends.
• Limitations and future research directions to inform the research gaps and potential avenues for further investigation.

3. Results of Bibliometric Analysis

4. academic research on digital transformation and business resilience, 4.1. research trends, 4.1.1. digital transformation and its impact on business operations, resilience, and performance, 4.1.2. leveraging digital technologies for supply chain management and circular economy, 4.1.3. adoption and implications of digital marketing and e-commerce for smes, 4.1.4. role of organizational capabilities (e.g., ambidexterity, resilience) in navigating disruptions, 4.1.5. digitalization and its influence on employee attitudes, psychology, and job-related factors, 4.1.6. importance of digital skills and knowledge management in supporting business operations, 4.1.7. emergence of new business models and revenue streams driven by digital transformation, 4.1.8. cyber risk management and the development of the cyber insurance market, 4.1.9. agility and adaptability as key strategic responses to market uncertainties, 4.1.10. interplay between digital technologies, innovation, and sustainability in business practices, 4.2. research gaps, 4.2.1. long-term implications of digital transformation on organizational structures and business models, 4.2.2. dynamic interactions between digital capabilities, organizational resilience, and financial performance, 4.2.3. role of digital leadership in driving successful digital transformation, 4.2.4. societal and environmental impact of digital technologies, 4.2.5. linkages between digital maturity, knowledge management, and innovation in smes, 4.2.6. comparative studies analyzing digital transformation experiences across industries and geographical contexts, 4.2.7. challenges and barriers in adopting emerging digital technologies, 4.2.8. role of digital ecosystems and stakeholder collaboration in enhancing supply chain resilience, 5. standards and regulations, 5.1. overview of digital transformation standards and guidelines.

• ISO 9001:2015—Quality Management System: This standard specifies the requirements for a quality management system, helping SMEs to consistently provide products and services that meet customer and regulatory requirements [ 87 , 88 , 89 ].
• ISO 50001—Energy Management: This standard provides a framework for SMEs to establish energy management systems, improve energy efficiency, and reduce energy-related costs [ 90 ].
• ISO 14046—Water Footprint: This standard specifies the principles, requirements, and guidelines for quantifying the water footprint of products, processes, and organizations, supporting sustainability efforts [ 91 ].
• ISO 20121—Event Sustainability Management: This standard offers guidance on implementing sustainable practices in event management, which can be applied by SMEs for various events and activities [ 92 ].

5.2. ISO 55000 Series and SME Digitalization for Building Resilience

5.3. maturity levels for sme digitalization and resilience.

• Reactive Maturity (Firefighter Approach):

5.4. Regulatory Frameworks Governing Digital Technologies and Cybersecurity

• Data Protection and Privacy Regulations: a. The General Data Protection Regulation (GDPR) in the European Union establishes a comprehensive framework for the protection of personal data and the rights of individuals [ 98 ]. b. Similar data protection regulations, such as the California Consumer Privacy Act (CCPA) in the United States, have also been implemented to ensure the privacy and security of consumer data [ 99 ].
• Cybersecurity Regulations: a. The EU Directive on Security of Network and Information Systems (NIS Directive) requires Member States to establish national cybersecurity strategies and designate operators of essential services to implement appropriate security measures [ 100 ]. b. The Network and Information Security (NIS) Regulations in the UK, based on the NIS Directive, mandate the implementation of cybersecurity measures for operators of essential services and digital service providers [ 101 ].
• Emerging Regulations for Specific Technologies: a. The EU’s proposed Artificial Intelligence Act aims to establish a comprehensive regulatory framework for the development, deployment, and use of AI systems, including requirements for risk assessment and human oversight [ 102 ]. b. The EU’s Digital Services Act and Digital Markets Act seek to address the challenges posed by large digital platforms, such as content moderation, transparency, and fair competition [ 103 ]. c. These regulatory frameworks have significant implications for small businesses and startups as they undergo digital transformation. Compliance with these regulations can help organizations mitigate cybersecurity risks, protect customer data, and build trust with stakeholders.

5.5. Compliance Requirements for Small Businesses and Startups

• Data Protection and Privacy: a. Ensuring compliance with data protection regulations, such as GDPR or CCPA, by implementing appropriate data management practices, securing customer data, and obtaining necessary consent. b. Developing and implementing data protection policies and procedures, as well as designating a data protection officer or responsible individual.
• Cybersecurity Measures: a. Implementing robust cybersecurity controls, such as access controls, encryption, and incident response plans, to protect against cyber threats. b. Complying with sector-specific cybersecurity regulations, such as the NIS Directive or NIS Regulations, if the business is deemed an operator of essential services or a digital service provider.
• Emerging Technology Regulations: a. Adhering to regulations governing the development and use of emerging technologies, such as the proposed EU AI Act, which may require risk assessments, human oversight, and transparency measures. b. Staying informed about the evolving regulatory landscape and adapting business practices accordingly.
• Conformity with Standards and Certifications: a. Aligning business operations with relevant international standards, such as ISO 9001, ISO 50001, or ISO 20121, to demonstrate compliance and gain market access [ 87 , 90 , 92 ]. b. Obtaining industry-specific certifications or seals of approval to build trust and credibility with customers and partners.
• Providing guidance, training, and resources on regulatory compliance and standards adoption.
• Facilitating access to affordable compliance solutions and cybersecurity services.
• Establishing regulatory sandboxes or testing environments to help small businesses experiment with new technologies while ensuring compliance.
• Advocating for regulatory frameworks that are proportionate and tailored to the needs of small businesses and startups.

5.6. EU Digitalization and Standards

• Focusing standardization efforts on priority digital technology areas such as 5G communications, cloud computing, IoT, big data, and cybersecurity. This is intended to align standards development with the EU’s strategic interests in realizing the digital single market and accelerating progress in key digitalization domains.
• Enhancing the efficiency and responsiveness of the EU standardization system itself. This involves better planning of standards, improved collaboration between standards bodies in Europe and internationally, and stronger linkages between research and standards development [ 93 ].

6. Practical Solutions for Business Resilience in the Digital Transformation Era

6.1. enhancing business resilience through marketing capabilities, 6.2. leveraging digital transformation for small businesses and startups, 6.3. strategies for developing organizational capabilities and dynamic skills, 6.4. collaborative approaches and digital ecosystems.

• Access to complementary capabilities and resources: by collaborating with larger organizations, technology providers, research institutions, and other ecosystem partners, small businesses and startups can gain access to specialized expertise, infrastructure, and resources that can help them accelerate their digital transformation efforts.
• Shared risk and reward: digital ecosystems often facilitate the co-creation and sharing of innovative solutions, allowing small businesses and startups to distribute the risks and investments associated with digital initiatives across multiple stakeholders.
• Enhanced resilience and adaptability: the collaborative and interconnected nature of digital ecosystems can enhance the overall resilience of the network, as members can leverage each other’s strengths and work together to address disruptions or market changes.
• Improved access to markets and customers: participation in digital ecosystems can provide small businesses and startups with increased visibility, credibility, and access to new customer segments, both domestically and globally.

6.5. Evaluating In-House Digitalization versus Outsourcing

7. roadmap for digitalization of smes and startups, 7.1. phase 1: assess and strategize, 7.2. phase 2: prioritize and pilot, 7.3. phase 3: build digital capabilities, 7.4. phase 4: implement and optimize, 7.5. phase 5: collaborate and ecosystems, 7.6. final thoughts, 8. research proposal initiative, 9. conclusions, 9.1. summary of key research trends and gaps.

• The critical role of digital transformation in enhancing business operations, resilience, and overall performance.
• The leveraging of emerging digital technologies, such as blockchain, IoT, and AI, to improve supply chain management and enable circular economy practices.
• The significant potential of digital marketing and e-commerce strategies for SMEs to overcome traditional constraints and compete more effectively in the digital marketplace.
• The importance of organizational capabilities, such as ambidexterity and resilience, in navigating disruptions and maintaining competitiveness.
• The influence of digitalization on employee attitudes, skills, and job-related factors, underscoring the need for effective change management and talent development.
• The strategic importance of digital skills and knowledge management in supporting business operations and enhancing organizational resilience.
• The emergence of new business models and revenue streams driven by digital transformation.
• The growing focus on cyber risk management and the development of the cyber insurance market.
• The recognition of agility and adaptability as key strategic responses to market uncertainties.
• The interplay between digital technologies, innovation, and sustainability in driving business resilience and long-term success.
• Lack of understanding of the long-term implications of digital transformation on organizational structures and business models.
• Limited research on the dynamic interactions between digital capabilities, organizational resilience, and financial performance.
• Scarcity of studies exploring the role of digital leadership in driving successful digital transformation.
• Insufficient research on the societal and environmental impact of digital technologies.
• Underexplored linkages between digital maturity, knowledge management, and innovation in SMEs.
• Dearth of comparative studies analyzing digital transformation experiences across different industries and geographical contexts.
• Limited insights into the challenges and barriers faced by firms in adopting emerging digital technologies.
• Lack of research on the role of digital ecosystems and stakeholder collaboration in enhancing supply chain resilience.

9.2. Contributions of the Literature Review

9.3. limitations and future research directions, 9.4. final remarks on the importance of enhancing business resilience in the digital age, author contributions, acknowledgments, conflicts of interest.

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Hokmabadi, H.; Rezvani, S.M.H.S.; de Matos, C.A. Business Resilience for Small and Medium Enterprises and Startups by Digital Transformation and the Role of Marketing Capabilities—A Systematic Review. Systems 2024 , 12 , 220. https://doi.org/10.3390/systems12060220

Hokmabadi H, Rezvani SMHS, de Matos CA. Business Resilience for Small and Medium Enterprises and Startups by Digital Transformation and the Role of Marketing Capabilities—A Systematic Review. Systems . 2024; 12(6):220. https://doi.org/10.3390/systems12060220

Hokmabadi, Hamed, Seyed M. H. S. Rezvani, and Celso Augusto de Matos. 2024. "Business Resilience for Small and Medium Enterprises and Startups by Digital Transformation and the Role of Marketing Capabilities—A Systematic Review" Systems 12, no. 6: 220. https://doi.org/10.3390/systems12060220

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