literature synthesis of

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.

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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.

• Step-by-Step Approach
• Example Matrix from NSCU
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How to Write a Literature Review

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

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.

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Click on the example to view the pdf.

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Literature Synthesis: Guide To Synthesise & Write Literature Review

Literature synthesis is a crucial skill for researchers and scholars, allowing them to integrate findings from multiple sources into a coherent analysis. Mastering literature synthesis will enhance your research and writing skills. 

This guide will walk you through the process of synthesising and writing a literature review, providing practical steps and insider tips. Learn how to:

• organise your sources,
• identify key themes, and
• create a cohesive narrative that highlights both agreements and disagreements within the existing literature.

Literature Synthesis vs Literature Review

You may be familiar with literature review, and the term literature synthesis may throw you off a bit. Are they a similar thing, or something different from each other?

If you are still unsure about how literature synthesis is different from literature review, here are a couple of points to think about: 

Approach To Sources

One difference is the approach to sources. In a literature review, you might describe each source separately, detailing its findings and contributions.

With synthesis, you combine the ideas from multiple sources to highlight relationships and gaps.

One example would be you may find that several studies agree on a particular theme but use different methodologies to reach their conclusions.

Organisation

A second difference is the organization. Literature reviews typically follow a structured format, summarizing each source in a new paragraph.

In contrast, synthesis requires organising sources around key themes or topics. This might involve using a synthesis matrix to align findings and theories from different sources into a cohesive analysis.

How To Evaluate Literature

Evaluating the literature also differs. When you write a literature review, you summarise and describe the existing research. Synthesis goes further by:

• critically evaluating the sources,
• identifying points of agreement and disagreement, and
• assessing the overall state of knowledge.

You need to address the methodological approaches used and how they relate to your research questions.

In terms of purpose, a literature review provides an overview of what’s known about a topic. It sets the stage for your research by summarising existing knowledge.

Synthesis, meanwhile, aims to create new insights by combining and contrasting different sources. This process helps you identify research gaps and questions that need further investigation.

Writing Process

Finally, the writing process differs. A literature review involves compiling summaries, often following a step-by-step guide.

With synthesis, you need to integrate:

• theories, and
• methodologies from various sources.

This involves weaving together different perspectives into a single, cohesive narrative that supports your research aims.

How To Perform Literature Synthesis?

Performing literature synthesis can be daunting, but by breaking it down step by step, you can create a comprehensive and coherent analysis of your topic.

Here’s a guide to help you through the process, with insider details and practical examples that will make your task easier.

Organise Your Sources

First, you need to gather and organise your sources. Start by conducting a thorough search of the existing literature on your topic, using

• research guides,
• library databases, and
• academic journals to find relevant sources.

There are plenty of AI tools that can help with process as well – make sure you check out my guide on best AI tools for literature review.

Record the main points of each source in a summary table. This table should include columns for:

• the author,
• publication year,
• key points,
• methodologies used, and

By organising your sources in this way, you’ll have a clear overview of the existing literature.

Identify Themes

Once you have your sources organised, it’s time to start synthesising the literature. This means combining the ideas and findings from multiple sources to create a cohesive analysis.

Begin by identifying the key themes that emerge from your sources. These themes will form the basis of your synthesis.

Suppose you are you’re researching job satisfaction, In this case, you might find recurring themes such as work-life balance, salary, and workplace environment.

Create A Synthesis Matrix

Next, create a synthesis matrix. This tool helps you organize the key points from each source under the identified themes.

Each row in the matrix represents a source, and each column represents a theme.

By filling in the matrix, you can see how different sources relate to each theme. This will help you identify similarities and differences between the sources.

Write Your Literature Synthesis

With your synthesis matrix in hand, you can start writing your literature synthesis.

Begin each paragraph with a clear topic sentence that identifies the theme you’re discussing. Then, weave together the findings from different sources, highlighting points of agreement and disagreement.

One way you may write this include: “While Franz (2008) found that salary is a major factor in job satisfaction, Goldstein (2012) argued that work-life balance plays a more significant role.”

Critically Evaluate Your Sources

Be sure to critically evaluate the sources as you synthesize the literature. This means assessing the methodologies used in each study and considering their impact on the findings.

Let’s say you found that most studies on job satisfaction used qualitative methods , you might question whether the findings would differ if quantitative methods were used. Addressing these methodological differences can help you identify research gaps and areas for further study.

Don’t Just Summarise

As you write your paragraphs, avoid simply summarising each source. Instead, combine the key points from multiple sources to create a more comprehensive analysis.

If we reuse Franz (2008) as example, rather than describing Franz’s study in one paragraph and Goldstein’s study in another, integrate their findings to show how they relate to each other.

This approach will make your synthesis more cohesive and easier to follow.

Address The Broader Context Of The Topic

To create a strong synthesis, you also need to address the broader context of your research. This means considering the theoretical frameworks and empirical evidence that underpin your topic.

If you’re researching job satisfaction, you might discuss how different theories of motivation relate to your findings. By integrating these broader perspectives, you can provide a more comprehensive overview of the current state of knowledge.

Keep Questioning Yourself

Throughout the writing process, keep the five key questions in mind:

• What’s broadly agreed upon within the current research?
• Where do the disagreements lie?
• Which theories are central to your research topic?
• Which contexts have been covered, and which haven’t?
• What types of research methodologies have been used?

Addressing these questions will help you create a more thorough and insightful synthesis.

Revise & Edit

Finally, revise and edit your work. This means checking for clarity, coherence, and logical flow. Make sure each paragraph has a clear topic sentence and that all sentences within the paragraph relate to that topic.

Remove any unnecessary information and ensure that your synthesis is well-organised and easy to follow.

Your Guide To Synthesise Literature

Performing literature synthesis may seem overwhelming, but by following this step-by-step guide, you can create a comprehensive and cohesive analysis of your topic.

Use tools like summary tables and synthesis matrices to organise your sources, and focus on combining the key points from multiple sources to create a strong synthesis.

With careful planning and critical evaluation, you can produce a literature synthesis that provides valuable insights into your field of study.

Dr Andrew Stapleton has a Masters and PhD in Chemistry from the UK and Australia. He has many years of research experience and has worked as a Postdoctoral Fellow and Associate at a number of Universities. Although having secured funding for his own research, he left academia to help others with his YouTube channel all about the inner workings of academia and how to make it work for you.

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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

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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.

• ChatGPT vs human editor
• ChatGPT citations
• Is ChatGPT trustworthy?
• Using ChatGPT for your studies
• What is ChatGPT?
• Chicago style
• Paraphrasing

 Plagiarism

• Types of plagiarism
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• Common knowledge

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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Literature Review How To

• Things To Consider
• Synthesizing Sources
• Video Tutorials
• Books On Literature Reviews

What is Synthesis

What is Synthesis? Synthesis writing is a form of analysis related to comparison and contrast, classification and division. On a basic level, synthesis requires the writer to pull together two or more summaries, looking for themes in each text. In synthesis, you search for the links between various materials in order to make your point. Most advanced academic writing, including literature reviews, relies heavily on synthesis. (Temple University Writing Center)  

How To Synthesize Sources in a Literature Review

Literature reviews synthesize large amounts of information and present it in a coherent, organized fashion. In a literature review you will be combining material from several texts to create a new text – your literature review.

You will use common points among the sources you have gathered to help you synthesize the material. This will help ensure that your literature review is organized by subtopic, not by source. This means various authors' names can appear and reappear throughout the literature review, and each paragraph will mention several different authors. 

When you shift from writing summaries of the content of a source to synthesizing content from sources, there is a number things you must keep in mind: 

• Look for specific connections and or links between your sources and how those relate to your thesis or question.
• When writing and organizing your literature review be aware that your readers need to understand how and why the information from the different sources overlap.
• Organize your literature review by the themes you find within your sources or themes you have identified. 
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Cite this chapter

• Ana Paula Cardoso Ermel   ORCID: orcid.org/0000-0002-3874-9792 5 ,
• D. P. Lacerda   ORCID: orcid.org/0000-0002-8011-3376 6 ,
• Maria Isabel W. M. Morandi   ORCID: orcid.org/0000-0003-1337-1487 7 &
• Leandro Gauss   ORCID: orcid.org/0000-0001-5708-5912 8  

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• The original version of this chapter was revised: Figure 5.1 was moved to section 5.2.9. The correction to this chapter can be found at https://doi.org/10.1007/978-3-030-75722-9_10

This chapter addresses the concept of Literature Synthesis and classifies it as Configurative and Aggregative based upon the research approach and objectives. For each type of synthesis, its main characteristics, techniques, and applications are pointed out.

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06 february 2022.

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Cardoso Ermel, A.P., Lacerda, D.P., Morandi, M.I.W.M., Gauss, L. (2021). Literature Synthesis. In: Literature Reviews. Springer, Cham. https://doi.org/10.1007/978-3-030-75722-9_5

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Literature Review Basics

• What is a Literature Review?
• Synthesizing Research
• Using Research & Synthesis Tables
• Additional Resources

Synthesis: What is it?

First, let's be perfectly clear about what synthesizing your research isn't :

• - It isn't  just summarizing the material you read
• - It isn't  generating a collection of annotations or comments (like an annotated bibliography)
• - It isn't  compiling a report on every single thing ever written in relation to your topic

When you  synthesize  your research, your job is to help your reader understand the current state of the conversation on your topic, relative to your research question.  That may include doing the following:

• - Selecting and using representative work on the topic
• - Identifying and discussing trends in published data or results
• - Identifying and explaining the impact of common features (study populations, interventions, etc.) that appear frequently in the literature
• - Explaining controversies, disputes, or central issues in the literature that are relevant to your research question
• - Identifying gaps in the literature, where more research is needed
• - Establishing the discussion to which your own research contributes and demonstrating the value of your contribution

Essentially, you're telling your reader where they are (and where you are) in the scholarly conversation about your project.

Synthesis: How do I do it?

Synthesis, step by step.

This is what you need to do  before  you write your review.

• Identify and clearly describe your research question (you may find the Formulating PICOT Questions table at  the Additional Resources tab helpful).
• Collect sources relevant to your research question.
• Organize and describe the sources you've found -- your job is to identify what  types  of sources you've collected (reviews, clinical trials, etc.), identify their  purpose  (what are they measuring, testing, or trying to discover?), determine the  level of evidence  they represent (see the Levels of Evidence table at the Additional Resources tab ), and briefly explain their  major findings . Use a Research Table to document this step.
• Study the information you've put in your Research Table and examine your collected sources, looking for  similarities  and  differences . Pay particular attention to  populations ,   methods  (especially relative to levels of evidence), and  findings .
• Analyze what you learn in (4) using a tool like a Synthesis Table. Your goal is to identify relevant themes, trends, gaps, and issues in the research.  Your literature review will collect the results of this analysis and explain them in relation to your research question.

Analysis tips

• - Sometimes, what you  don't  find in the literature is as important as what you do find -- look for questions that the existing research hasn't answered yet.
• - If any of the sources you've collected refer to or respond to each other, keep an eye on how they're related -- it may provide a clue as to whether or not study results have been successfully replicated.
• - Sorting your collected sources by level of evidence can provide valuable insight into how a particular topic has been covered, and it may help you to identify gaps worth addressing in your own work.
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• 2. Plan your search
• 3. Search the literature
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Approaches to synthesis.

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In the synthesis step of a literature review, researchers analyze and integrate information from selected sources to identify patterns and themes. This involves critically evaluating findings, recognizing commonalities, and constructing a cohesive narrative that contributes to the understanding of the research topic.

Here are some examples of how to approach synthesizing the literature:

💡 By themes or concepts

🕘 Historically or chronologically

📊 By methodology

These organizational approaches can also be used when writing your review. It can be beneficial to begin organizing your references by these approaches in your citation manager by using folders, groups, or collections.

Create a synthesis matrix

A synthesis matrix allows you to visually organize your literature.

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Topic: Chemical exposure to workers in nail salons

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Synthesizing Sources

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When you look for areas where your sources agree or disagree and try to draw broader conclusions about your topic based on what your sources say, you are engaging in synthesis. Writing a research paper usually requires synthesizing the available sources in order to provide new insight or a different perspective into your particular topic (as opposed to simply restating what each individual source says about your research topic).

Note that synthesizing is not the same as summarizing.  

• A summary restates the information in one or more sources without providing new insight or reaching new conclusions.
• A synthesis draws on multiple sources to reach a broader conclusion.

There are two types of syntheses: explanatory syntheses and argumentative syntheses . Explanatory syntheses seek to bring sources together to explain a perspective and the reasoning behind it. Argumentative syntheses seek to bring sources together to make an argument. Both types of synthesis involve looking for relationships between sources and drawing conclusions.

In order to successfully synthesize your sources, you might begin by grouping your sources by topic and looking for connections. For example, if you were researching the pros and cons of encouraging healthy eating in children, you would want to separate your sources to find which ones agree with each other and which ones disagree.

After you have a good idea of what your sources are saying, you want to construct your body paragraphs in a way that acknowledges different sources and highlights where you can draw new conclusions.

As you continue synthesizing, here are a few points to remember:

• Don’t force a relationship between sources if there isn’t one. Not all of your sources have to complement one another.
• Do your best to highlight the relationships between sources in very clear ways.
• Don’t ignore any outliers in your research. It’s important to take note of every perspective (even those that disagree with your broader conclusions).

Example Syntheses

Below are two examples of synthesis: one where synthesis is NOT utilized well, and one where it is.

Parents are always trying to find ways to encourage healthy eating in their children. Elena Pearl Ben-Joseph, a doctor and writer for KidsHealth , encourages parents to be role models for their children by not dieting or vocalizing concerns about their body image. The first popular diet began in 1863. William Banting named it the “Banting” diet after himself, and it consisted of eating fruits, vegetables, meat, and dry wine. Despite the fact that dieting has been around for over a hundred and fifty years, parents should not diet because it hinders children’s understanding of healthy eating.

In this sample paragraph, the paragraph begins with one idea then drastically shifts to another. Rather than comparing the sources, the author simply describes their content. This leads the paragraph to veer in an different direction at the end, and it prevents the paragraph from expressing any strong arguments or conclusions.

An example of a stronger synthesis can be found below.

Parents are always trying to find ways to encourage healthy eating in their children. Different scientists and educators have different strategies for promoting a well-rounded diet while still encouraging body positivity in children. David R. Just and Joseph Price suggest in their article “Using Incentives to Encourage Healthy Eating in Children” that children are more likely to eat fruits and vegetables if they are given a reward (855-856). Similarly, Elena Pearl Ben-Joseph, a doctor and writer for Kids Health , encourages parents to be role models for their children. She states that “parents who are always dieting or complaining about their bodies may foster these same negative feelings in their kids. Try to keep a positive approach about food” (Ben-Joseph). Martha J. Nepper and Weiwen Chai support Ben-Joseph’s suggestions in their article “Parents’ Barriers and Strategies to Promote Healthy Eating among School-age Children.” Nepper and Chai note, “Parents felt that patience, consistency, educating themselves on proper nutrition, and having more healthy foods available in the home were important strategies when developing healthy eating habits for their children.” By following some of these ideas, parents can help their children develop healthy eating habits while still maintaining body positivity.

In this example, the author puts different sources in conversation with one another. Rather than simply describing the content of the sources in order, the author uses transitions (like "similarly") and makes the relationship between the sources evident.

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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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How to Write a Literature Review - A Self-Guided Tutorial

• Literature Reviews: A Recap
• Reading Journal Articles
• Does it describe a Literature Review?
• 1. Identify the question
• 2. Review discipline styles
• Searching article databases - video
• Finding the article full-text
• Citation trails
• When to stop searching
• Citation Managers
• 5. Critically analyze and evaluate
• 6. Synthesize
• 7. Write literature review
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You can meet with a librarian to talk about your literature review, or other library-related topics.

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

Synthesis Vizualization

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.

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Synthesis Matrix Example

From Jennifer Lim

Synthesis Templates

Synthesis grids are organizational tools used to record the main concepts of your sources and can help you make connections about how your sources relate to one another.

• Source Template Basic Literature Review Source Template from Walden University Writing Center to help record the main findings and concepts from different articles.
• Sample Literature Review Grids This spreadsheet contains multiple tabs with different grid templates. Download or create your own copy to begin recording notes.
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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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Literature Reviews for Education and Nursing Graduate Students Copyright © by Linda Frederiksen is licensed under a Creative Commons Attribution 4.0 International License , except where otherwise noted.

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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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Using Evidence: Synthesis

Synthesis video playlist.

Note that these videos were created while APA 6 was the style guide edition in use. There may be some examples of writing that have not been updated to APA 7 guidelines.

Basics of Synthesis

As you incorporate published writing into your own writing, you should aim for synthesis of the material.

Synthesizing requires critical reading and thinking in order to compare different material, highlighting similarities, differences, and connections. When writers synthesize successfully, they present new ideas based on interpretations of other evidence or arguments. You can also think of synthesis as an extension of—or a more complicated form of—analysis. One main difference is that synthesis involves multiple sources, while analysis often focuses on one source.

Conceptually, it can be helpful to think about synthesis existing at both the local (or paragraph) level and the global (or paper) level.

Local Synthesis

Local synthesis occurs at the paragraph level when writers connect individual pieces of evidence from multiple sources to support a paragraph’s main idea and advance a paper’s thesis statement. A common example in academic writing is a scholarly paragraph that includes a main idea, evidence from multiple sources, and analysis of those multiple sources together.

Global Synthesis

Global synthesis occurs at the paper (or, sometimes, section) level when writers connect ideas across paragraphs or sections to create a new narrative whole. A literature review , which can either stand alone or be a section/chapter within a capstone, is a common example of a place where global synthesis is necessary. However, in almost all academic writing, global synthesis is created by and sometimes referred to as good cohesion and flow.

Synthesis in Literature Reviews

While any types of scholarly writing can include synthesis, it is most often discussed in the context of literature reviews. Visit our literature review pages for more information about synthesis in literature reviews.

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Systematic reviews & evidence synthesis methods.

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• What is Evidence Synthesis?
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• 0. Preliminary Searching
• 1. Develop a Protocol
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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 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
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SG14 Foot care management in epidermolysis bullosa: a systematic review and thematic synthesis of qualitative literature

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Divya Khanna, Ajoy Bardhan, Natasha Harper, Adrian Heagerty, SG14 Foot care management in epidermolysis bullosa: a systematic review and thematic synthesis of qualitative literature, British Journal of Dermatology , Volume 191, Issue Supplement_1, July 2024, Pages i187–i188, https://doi.org/10.1093/bjd/ljae090.396

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Epidermolysis bullosa (EB) describes a rare, prototypic group of inherited dermatoses exhibiting ultrastructural defects in the dermoepidermal junction. This results in cutaneous blistering in response to seemingly disproportionate mechanical force. The feet are commonly affected, with approximately 90% of patients requiring podiatric intervention, due to wounds arising from weight bearing, footwear and unintentional injury. Presentation varies by EB subtype: blistering, ulceration, scarring, hyperkeratosis, calluses, corns, nail dystrophy, pseudosyndactyly and mitten deformities may be seen. The most frequently affected anatomical sites reflect areas of plantar pressure and friction, namely the hallux, heel and metatarsal heads. A deleterious cascade ensues, with resultant altered gait impairing the biomechanical function of the proximal ‘kinetic chain’. This culminates in degenerative arthralgia, muscle wasting and eventual multifactorial mobility reduction, with profound impact upon quality of life. Improved foot care in EB requires comprehensive insight into the lived experiences and beliefs of patients, carers and healthcare professionals, best explored using qualitative methodology. A systematic search for peer-reviewed, English-language, qualitative literature published before October 2023 was conducted on MEDLINE, Embase, PubMed, PsycInfo and Google Scholar databases. Titles and abstracts were screened to identify studies with methodologies enabling exploration of foot care in EB, with duplicate studies excluded. In total, 32 such studies were identified, which were read in their entirety. Of these, 12 studies featured explorations of foot care in EB. Reference lists were read to identify grey literature not already retrieved in the search, yielding one additional study. Three interdependent sets of themes influencing foot care in EB emerged. The first set, titled ‘psychosocial impact’, included the following themes: activities of daily living, interpersonal dependence, unfulfilled desire, and psychological wellbeing. The second set, titled ‘physical symptoms’, included the following themes: pain, wound care and mobility. The final set, titled ‘understanding of EB’, included the following themes: contagion, the expert patient, and EB specialist healthcare accessibility. The literature identified the importance of holistic foot care management in patients with EB, as the psychosocial consequences of physical symptoms impacted quality of life more than the presence of physical symptoms alone. Frustration arising from poor access to healthcare professionals with knowledge of EB coexisted with minimal societal understanding of the condition, additionally complicating foot care management. No qualitative literature was retrieved that focused solely upon foot care management in EB. These findings indicate a need for future research to explore this notable knowledge gap, and to inform a reorientation and update of current EB foot care guidelines that, through inclusion of elements encouraging holistic management, no longer focus exclusively upon physical symptoms.

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ORIGINAL RESEARCH article

Examining share repurchase executions: insights and synthesis from the existing literature.

• 1 Bern Business School, Institute of Applied Data Science and Finance, Bern, Switzerland
• 2 Department of Hightech Business and Entrepreneurship, Faculty of Behavioural, Management and Social Sciences, University of Twente, Enschede, Netherlands
• 3 Candor Partners Limited, London, United Kingdom

This literature review aims to address the critical knowledge gap in the field of share repurchase executions, a financial activity involving companies repurchasing trillions of dollars' worth of their own shares. The significance of understanding these mechanisms and their impact is underscored by their potential influence on the global economy. The paper employs a comprehensive analysis of existing literature, focusing on share repurchase mechanisms and motivations. It scrutinizes both open-market repurchases and Accelerated Share Repurchase contracts. Methodological approaches in current research, such as the use of partial differential equations and tree methods, are also evaluated. The review reveals that the execution phase of share repurchases remains largely unexplored. Unanswered questions persist about trading schedules, implications, costs, broker and corporate performance, and psychological effects of beating a buyback benchmark. Additionally, the review identifies significant limitations in current research methodologies. The paper advocates for the application and development of more advanced tools like machine learning and artificial intelligence to address these gaps. It also suggests potential areas for future research, including the role of technology in share repurchase execution, psychological factors influencing corporate buybacks, and the development of performance metrics for brokers and corporations. The review serves not only to highlight existing gaps in literature but also to suggest avenues for future research that could fundamentally enhance our understanding of share repurchase executions.

JEL classification: G1, G12, G14, G02, G4.

1. Introduction

Dividends and share buybacks are pivotal mechanisms by which companies return capital to shareholders. As dividends distribute profits directly to investors, share buybacks have grown in popularity as a means of signaling confidence, managing capital structure, and enhancing shareholder value.

In academia, the execution phase of share repurchases remains largely unexplored, despite some contributions like those by Guéant [ 1 – 3 ]. With nearly $950 billion in 2021 and reportedly more than $1.25 trillion in 2022 repurchased across major economies in recent years, the scale of buybacks underscores their strategic importance in the corporate financial arena [ 4 ].

However, despite the prevalence and importance of share repurchases, a striking gap exists in the academic literature concerning the execution phase of these buybacks. This phase of share repurchases necessitates a nuanced approach to two pivotal dimensions: daily volume calibration and program duration. For daily volume, firms must consider market depth, bid-ask spreads, and existing order book dynamics, ensuring they neither flood the market nor underutilize their buyback capacity. This requires a fine-tuned understanding of volume-weighted average price (VWAP) benchmarks and potential intraday volatility. As for the program's duration, firms need to factor in expected market liquidity, macroeconomic indicators, and upcoming corporate announcements. A too-condensed execution could inadvertently inflate the stock price, while an overly prolonged program may signal lack of commitment or dilute the intended signaling effect to the market. Balancing these parameters is paramount to maximize shareholder value and manage potential market impacts.

1.1. Research objectives

As we delve deeper into the realm of share repurchases and their execution phase, our primary objectives revolve around addressing the following research questions:

• Literature landscape: what does the existing literature present about share repurchases, and how has the academic discourse evolved over time?

• Exploring execution's coverage: Given the significance of the execution phase, to what extent has it been explored in the current literature? What are the primary discussions, findings, and limitations?

• Unanswered queries on execution: Within the execution phase of share repurchases, what are the lingering questions, discrepancies, or areas that remain unresolved or underexplored? Why might these areas be critical for both academia and practice?

This review seeks to bridge this gap. Building on a rich tapestry of contributions from finance, economics, corporate governance, behavioral science, and data science, we endeavor to offer an exhaustive synthesis of literature on share repurchase execution. In doing so, we aim to provide a panoramic view of the topic, touching on financial implications, managerial incentives, decision biases, and the recent advancements introduced by data science and machine learning.

Beyond merely compiling existing knowledge, our ambition is to highlight areas that remain uncharted, thus sparking further inquiry. The modern financial landscape, ever-evolving in its regulatory and technological complexion, presents new challenges and questions around share buyback execution. By spotlighting these, we hope to set the stage for future research endeavors that push the boundaries of current understanding.

Given the vast implications for corporations, the pivotal information for investors, and the guidance for policymakers, understanding the intricacies of share repurchase execution becomes imperative. For corporate finance as a whole, delving deep into this subject promises richer insights into capital allocation strategies, shareholder value optimization, and broader market dynamics.

The subsequent sections will traverse from traditional to contemporary perspectives on share repurchase execution, shedding light on its multifaceted nature. We'll explore the interplay of market conditions, corporate governance, decision-making paradigms, and technological innovations in shaping the future of this pivotal financial strategy.

The growing significance of ensuring fairness in share buybacks, as aptly highlighted by Masters [ 5 ] in the Financial Times—“If companies are going to buy back shares, they should pay a fair price”—calls for a deeper exploration into the methodologies used in this realm.

To guide our readers, the review unfolds as follows: Section 2 lays down foundational theories and models. Section 3 delves into the role of market liquidity. Section 4 assesses the price impact. Sections 5 and 6 respectively explore managerial overconfidence and various repurchase strategies. Modern methodologies are scrutinized in Section 7. Finally, Section 8 encapsulates our findings, implications, and charters the path ahead.

2. Theory and models of share repurchase execution

2.1. basics of share repurchase execution.

Share repurchase, a corporate strategy employed to buy back its shares from the open market, has emerged as an integral part of financial management strategies over the years. To begin our literature review, it is imperative to delve into the rudimentary aspects of share repurchase execution.

The execution of share repurchases is a labyrinthine process requiring firms to make a multitude of nuanced decisions. Foremost, companies are tasked with discerning the optimal timing and volume for repurchases. This judgment is influenced by a constellation of variables, from the reservoir of surplus cash at their disposal, the current trajectory of the company's stock price, to the broader market ambiance [ 6 ]. In tandem with these considerations, firms must strategically determine the avenue for executing these repurchases. Two predominant pathways emerge: tender offers and open market repurchases (OMRs). Tender offers see the company broadcasting its intent to reacquire a specified volume of shares at a predetermined rate, often pitched above the prevailing market valuation. Conversely, OMRs adopt a more discreet approach, where companies incrementally purchase their shares on the open market over an elongated timeframe, potentially spanning several months to years [ 6 ]. Given the intricacies and extended duration associated with their execution, our discussion places a heightened emphasis on the mechanics and nuances of OMRs.

One of the central aspects that need to be understood regarding share repurchase execution is the role of regulatory requirements. These vary considerably across different jurisdictions. In the U.S., for instance, companies are under no obligation to disclose when they are trading, and only quarterly changes in shares outstanding are reported, resulting in limited transparency about the timing and execution of open market repurchases [ 6 ].

A critical yet understated aspect of share repurchase execution lies in its impact on market liquidity. Market liquidity, as elucidated by Holden et al. [ 7 ], refers to the ease with which investors can trade securities in the market without causing a substantial change in the securities' prices. In this context, share repurchases often play a dual role. They can improve market liquidity by narrowing the bid-ask spread and reducing the price impact of order imbalances on days when repurchase trades are completed, thereby enhancing the efficiency of the market [ 6 ]. However, they can also lead to a decline in the number of shares available for trading in the market, thereby potentially reducing market liquidity. The bid-ask spread is the difference between the price a buyer is willing to pay (bid) and the price a seller is willing to accept (ask). Market impact refers to the change in a stock's price due to a specific trade, especially when large transactions shift prices.

In understanding the basics of share repurchase execution, it is also vital to consider the impact of managerial perspectives and firm-level corporate governance mechanisms. Overconfidence among managers can impact the intensity of share repurchasing, including the scale, execution, and frequency of the repurchases [ 8 ]. Moreover, firms with higher-quality corporate governance mechanisms may provide more credible signals during repurchase announcements, thereby affecting market reactions and post-repurchase insider shareholdings [ 9 ].

Finally, in the context of institutional investors, the investment horizon has a significant impact on the outcomes of stock repurchases. Firms with long-term institutional investors tend to experience more positive abnormal returns around repurchasing announcements and tend to buy back more shares during the execution period [ 10 ].

Having established a fundamental understanding of the basics of share repurchase execution, we will delve deeper into theories related to timing and execution styles, as well as models for optimal execution, in the following sections.

2.2. Theories related to timing and execution styles

2.2.1. theories related to repurchase timing.

Several theories have been proposed to understand the timing of share repurchases. Cook et al. [ 6 ] highlights that firms can adopt various timing strategies for their repurchase programs, but finds no evidence suggesting that repurchases are timed to coincide with, precede, or follow the release of certain information. Similarly, McNally et al. [ 11 ] demonstrates that firms executing repurchases have superior timing, with share prices showing abnormal losses before and gains after the repurchase trades.

Shu et al. [ 8 ] offers a slightly different perspective, stating that managerial overconfidence can affect the timing of share repurchases. This study finds a positive correlation between managerial overconfidence and the intensity of share repurchasing, as overconfident managers may perceive their firm as undervalued and thus, more likely to repurchase shares [ 8 ].

2.2.2. Theories related to repurchase execution styles

There are various execution styles adopted by firms when conducting open market repurchases, from immediate intense repurchasing to delayed and smoothed repurchasing [ 6 ]. Oded [ 12 ] formalizes the intuition that the execution style depends on the trade-off between adverse selection (as the firm has inside information) and cash waste.

Guéant et al. [ 1 ] and Jaimungal et al. [ 13 ] focus on the strategy related to accelerated share repurchases (ASR), where firms repurchase a significant portion of their shares immediately. Both studies provide models and numerical methods to determine the optimal execution strategies and stopping times for ASRs [ 1 , 13 ].

On the other hand, Wu [ 9 ] emphasizes the role of corporate governance quality in determining the execution styles of open-market share repurchase programs. This research suggests that high-quality corporate governance lends credibility to a firm's repurchase announcement, thus influencing its execution style [ 9 ].

Guéant et al. [ 2 ] explores the use of machine learning methods in managing several types of buyback contracts, including accelerated share repurchase contracts and VWAP-minus profit-sharing contracts. The results reveal that these methods can lead to optimal management of these contracts [ 2 ].

In conclusion, both the timing and execution style of open-market share repurchase programs can be influenced by a variety of factors, such as information disclosure, managerial overconfidence, the adverse selection problem, and the quality of corporate governance. A number of models and strategies have been proposed to optimize these aspects, including the use of machine learning methods.

2.3. Models for optimal execution

The academic landscape encompassing share buybacks is vast, with a multitude of angles explored. Yet, the execution phase of buybacks remains a relatively uncharted domain. Osterrieder and Seigne have prolifically touched upon various facets of this arena. Their reviews on financial anomalies and the overarching complexities surrounding buybacks have paved the way for a more intricate understanding Osterrieder and Seigne [ 14 ]. Specifically, their insights into share repurchase executions and the synthesis of existing literature provide a comprehensive framework Osterrieder and Seigne [ 15 ]. They delve into the mysteries of buyback execution, shedding light on trading anomalies, benchmarks, and the psychological misconceptions that often cloud the real picture Osterrieder and Seigne [ 16 ].

However, their works go beyond mere observations. By venturing into the theoretical underpinnings of genetic algorithms and mathematical optionality, they unearth the potential of advanced computational techniques in understanding buybacks Osterrieder [ 17 ]; Osterrieder and Seigne [ 18 ]. This exploration deepens with their discussions on temporal optionality, empirical anomalies, and value optimization Osterrieder and Seigne [ 19 , 20 ]. Furthermore, their musings on the “Free Lunch” hypothesis surrounding share buybacks hint at broader economic implications and the need for transparent execution strategies Osterrieder and Seigne [ 21 , 22 ].

Masters brings a pertinent ethical and economic perspective to the discourse, contending that companies venturing into buybacks should ensure a fair price, underscoring the significance of the execution phase Masters [ 5 ].

On the technical side, Guéant offers a fresh perspective by melding the world of neural networks with buyback programs, probing deeper into the pricing and strategy of accelerated share repurchases [ 1 – 3 ].

In the dialogue surrounding share buyback execution strategies, Cook's research offers a salient perspective, positing that a broad, all-encompassing statement on execution strategy may be elusive [ 6 ]. While Cook provides compelling examples to substantiate this view, we find ourselves diverging from this standpoint. The modern financial landscape has witnessed the rise of sophisticated algorithmic execution strategies, offering precision and adaptability unparalleled by traditional approaches. In this light, what seems to be conspicuously absent is a unified theory and explanation of the execution phase, one that harmonizes the intricacies of algorithm-driven strategies with broader market dynamics. The nuances, strategies, considerations, and intricacies of executing buybacks, especially in fluctuating market conditions, are yet to be thoroughly charted. This existing gap, accentuated by the wide-ranging but somewhat tangential studies presented, indicates an exciting avenue for future research. It beckons for dedicated exploration that could reshape our understanding and revolutionize execution strategies.

3. Price impact of share repurchase execution

3.1. intraday price impact of repurchase trades.

The intricacies of the price impacts of open market repurchase trades have been meticulously explored. Drawing from a comprehensive dataset of over 60,000 individual repurchase trades on the Toronto Stock Exchange, McNally et al. [ 11 ] unveiled that these trades typically incur a negative intraday price impact. This is largely influenced by the prevalence of seller-initiated trades, which account for about 60% of the total, steered by certain execution rules.

Delving deeper into the nuances, the decline in prices following repurchase trades is less pronounced compared to matched non-repurchase trades. This disparity hints at repurchases serving as a stabilizing mechanism, sending signals of potential undervaluation to the market. Further reinforcing this viewpoint is the observed trend of abnormal losses prior to repurchase trades and subsequent gains, suggesting that firms initiating buybacks might indeed have adept market timing capabilities [ 11 ].

3.2. Abnormal price impacts and their implications

An abnormal price impact refers to the unusual effect on a security's price, typically caused by a significant occurrence or a drastic change in its issuer's financial outlook. This concept is aptly exemplified in the context of share repurchases, since repurchases seem to mitigate the price decrease following trades, creating an abnormal price impact [ 11 ].

This abnormal price impact carries several implications. Firstly, it suggests that firms may be able to use repurchases as a strategic tool to support price levels and signal undervaluation to the market. Secondly, the negative intraday price impact of repurchases could be attributed to the market's initial adjustment to the increased supply of shares, potentially overshadowing the strategic value of these repurchases. Finally, the abnormal price impact underscores the superior timing abilities of repurchasing firms, with abnormal losses seen before and gains after repurchase trades [ 11 ].

3.3. Role of repurchases in providing price support

Share repurchases play a vital role in providing price support in the market. McNally et al.'s research [ 11 ] shows evidence that repurchases indeed offer price support. The implication is that firms may repurchase shares as a strategy to prevent prices from falling drastically during periods of market turbulence. Besides, such activities signal to the market about possible undervaluation, subsequently enhancing the credibility of the firm's stock.

Furthermore, Cook et al. [ 6 ] observes that open market repurchases can contribute to market liquidity, which indirectly provides price support. Specifically, firms that repurchase their shares can narrow bid-ask spreads and attenuate the price impact of order imbalances on the days when repurchase trades are completed. The increased liquidity reduces transaction costs and the potential price impact of large orders, thereby preventing significant fluctuations in the stock price and maintaining price stability.

These findings are consistent with the conclusions drawn by Holden et al. [ 7 ] in his comprehensive review of the empirical evidence on market liquidity. Holden asserts that various exchange designs and regulatory reforms improve market liquidity, which in turn facilitates large share repurchases. As a result, repurchases, by enhancing liquidity, indirectly support prices.

Hence, it is evident that the role of repurchases extends beyond mere capital allocation strategies to influencing market dynamics, especially the aspects of liquidity and price stability.

4. Interplay of managerial overconfidence, corporate governance, and share repurchase execution: an integrated perspective

4.1. managerial overconfidence: beyond just a personal trait.

Managerial overconfidence can significantly steer a firm's share repurchase activities. This trait, often rooted in a manager's conviction of their firm's undervaluation, tends to intensify share repurchasing. Such intensification is visible in the volume, speed, regularity of repurchases, and the gaps between announced and actual execution prices [ 8 ]. What's more, studies like “The Great Deception: a Comprehensive Study of Execution Strategies in Corporate Share Buy-Backs” have highlighted that repurchase strategies under the helm of overconfident managers might not always yield the anticipated benefits and can even diminish post-announcement returns [ 23 ].

4.2. Corporate governance: a central pillar of share repurchase strategies

Robust corporate governance is paramount in directing open-market share repurchase announcements and the followthrough execution. Markets typically react positively to repurchase announcements from entities known for their rigorous corporate governance, especially if these are signaling undervaluation [ 9 ]. A surge in post-repurchase insider holdings reinforces the sincerity of these buyback announcements, particularly in firms with sound governance frameworks [ 9 ]. While the dynamics of repurchase execution predominantly lean on a firm's in-house governance system, external oversight—like affiliations with renowned audit firms, stock market regulations, and regulatory pricing guidelines—also shape the course of these repurchase schemes [ 9 ]. Such findings are further corroborated in studies such as “The Hidden Impact of the SEC's Share Repurchasing Disclosure Modernization on Corporate Governance,” which underscores the role of transparency and governance in influencing buyback strategies Seigne and Osterrieder [ 24 ].

4.3. Synthesizing the disciplinary perspectives

While overconfidence and corporate governance might seem distinct in their nature—one being a psychological trait and the other a structural element—they both have direct implications on share repurchase execution. Overconfidence might lead to aggressive buybacks, sometimes overlooking essential metrics, while robust governance ensures that repurchases align with shareholder interests and corporate objectives. The studies by Seigne and Osterrieder provide a comprehensive lens to understand this intricate interplay and offer deep insights into how firms can strategically leverage both these elements to optimize share repurchase outcomes [ 23 , 24 ].

4.4. Impact of internal and external monitoring factors on execution rate

As indicated above, both internal and external monitoring factors can substantially affect the execution rate of share repurchase programs. Internal corporate governance mechanisms can influence the execution of repurchase programs, along with the post-repurchase insider shareholdings [ 9 ]. On the other hand, external monitoring factors such as auditor quality, listing requirements, and regulatory preset buyback price ranges also impact the execution rate of these programs [ 9 ]. This underscores the need for good corporate governance mechanisms and robust regulatory frameworks to ensure the effective execution of share repurchase programs.

5. Share repurchase programs and strategies

5.1. overview of different share repurchase programs.

Share repurchase programs provide companies with a means of returning surplus cash to shareholders while potentially enhancing the value of their shares in the market. Firms can opt to execute these programs through different approaches, mainly determined by market conditions, corporate strategies, and regulatory constraints [ 6 ].

A prevalent approach is open-market share repurchases, where firms buy back their shares directly from the open market. The timing and execution of these transactions are generally undisclosed, and reports typically reveal only the quarterly changes in shares outstanding [ 6 ]. The repurchasing behavior varies from immediate intense buying to a more gradual and smoothed approach. Despite these variations, it has been observed that repurchases do not necessarily align with information release days. Companies executing open-market repurchases may improve market liquidity by narrowing bid-ask spreads and tempering the price impact of order imbalances?

Alternatively, companies may choose to repurchase their shares through accelerated share repurchase (ASR) contracts. These contracts are typically arranged with banks and allow firms to repurchase a substantial portion of their shares immediately, transferring the trade's impact and uncertainty to the intermediary [ 1 ].

5.2. Accelerated share repurchase (ASR) contracts and strategies

ASR contracts involve intricate execution strategies due to their blend of option pricing and optimal execution aspects [ 1 ]. In an ASR, the firm pays a fixed notional amount to the bank and receives shares corresponding to the ratio of this amount to the average stock price over the purchase period. The duration of this period, determined by the bank, can range from a few days to several months [ 3 ].

In the realm of ASR contracts, intermediaries grapple with a multifaceted task: delicately moderating their trade's influence on the market dynamics, all while adeptly navigating the American option intricately woven into the contract. This embedded option offers a strategic advantage, granting the intermediary the discretion to designate the repurchase's culmination. Subsequently, the firm and intermediary reconcile any variance between the preliminary disbursement and the time-weighted average price spanning the trade duration, inclusive of a designated spread [ 13 ].

Pioneering strategies tailored for ASR contracts increasingly harness the potency of advanced mathematical models, synergized with machine learning techniques. These methodologies are particularly poised to disentangle the intricate nexus between trade execution challenges and the nuanced art of option hedging, amplifying efficiency and precision in contract management [ 2 ].

5.3. Impact of institutional investment horizons on repurchase outcomes

Institutional investors' investment horizons significantly influence the outcomes of share repurchase programs. Firms backed by long-term institutional investors typically experience favorable abnormal returns around repurchase announcements and tend to buy back more shares during the execution period [ 10 ].

The credibility of the repurchase signal is enhanced by the presence of long-term institutional investors who certify and monitor these transactions, providing valuable insights into the firm's true value. Moreover, these firms perform better over a subsequent three-year period compared to firms with short-term institutional investors [ 10 ]. This suggests that share repurchases, when supported by long-term institutional investors, are more likely to provide beneficial outcomes.

6. Modern approaches and innovations in share repurchase execution

6.1. neural networks and machine learning in share repurchase execution.

The realm of share repurchases has been profoundly impacted by the advent and application of advanced technologies like neural networks and machine learning. Guéant et al. [ 2 ] highlights a growing reliance on complex buyback contracts that entwine execution and option hedging problems, presenting a challenge to traditional Greek-based risk hedging. The paper presents a machine learning method for optimally managing several types of buyback contracts. This method circumvents the curse of dimensionality that plagues traditional grid or tree methods, enabling the management of contract types previously untenable [ 2 ].

6.2. Novel contract types and execution strategies

Novel strategies have evolved in the execution of share repurchases. One of the modern approaches involves the use of Accelerated Share Repurchase (ASR) contracts. Firms increasingly turn to banks for these contracts that contain option components, which make the management of these contracts difficult and distinct from classic option books [ 2 ]. Guéant et al. [ 1 , 3 ] discusses the optimal execution problem related to ASR contracts, which involves determining optimal stopping time and the optimal buying strategy of the bank. The method put forward takes into account both option pricing and optimal execution problems [ 1 , 3 ]. Jaimungal et al. [ 13 ] extends this by addressing the intermediary's optimal execution and exit strategy, which considers the impact that trading has on the market. The study developed an efficient numerical scheme to compute these strategies [ 13 ].

Another modern strategy includes the use of firm-level corporate governance mechanisms. Wu [ 9 ] notes that such mechanisms can affect managers' buyback behavior following open-market share repurchase announcements. The quality of corporate governance can also influence the market reaction to such announcements and subsequent insider shareholdings [ 9 ].

These new strategies and technological advancements have substantially altered the landscape of share repurchase execution, making it a dynamic and rapidly evolving field.

7. Literature gap

In the landscape of share repurchases, the execution phase remains considerably underexplored. Though several studies have investigated the initiation of share buybacks, there is a dearth of literature that thoroughly examines the intricacies of actual execution. This significant gap poses several challenges in the development of effective strategies for share repurchase.

Although there is limited research on this particular aspect, Guéant's work provides some notable exceptions [ 1 – 3 ]. Guéant's research offers a valuable contribution to understanding Accelerated Share Repurchases and proposes a machine learning method for optimal management of different types of buyback contracts. However, despite these breakthroughs, his work cannot fill the entire gap alone. The complexity and diversity of share repurchase executions demand a broader range of studies to provide comprehensive insights.

The absence of a wide literature base results in a lack of clarity regarding several aspects of share repurchase executions. The ideal trading schedule, implications, costs, performance metrics for the broker and the corporation, as well as the psychological aspects of beating a buyback benchmark, all remain shrouded in uncertainty due to this literature gap.

The limitations of existing research also impact our understanding of different share repurchase programs' practicalities. In the absence of comprehensive knowledge, corporations and brokers may be unable to optimally manage their share buybacks. This lack of insight could potentially result in financial inefficiencies or other adverse implications for stakeholders.

Furthermore, the gap in the literature also impacts the theoretical framework that informs our understanding of share repurchases. The scarce research available provides a limited theoretical basis, hindering our ability to fully comprehend and predict the dynamics of share repurchases. Presently, grid or tree methods stand as prominent techniques in the research realm, but they come with inherent challenges, particularly the curse of dimensionality [ 2 ]. To the uninitiated, this “curse” refers to the exponential increase in computational complexity as the number of dimensions (or variables) in a problem grows. Essentially, as more variables are added to a model, the volume of the computation space increases rapidly, requiring significantly more data and computational power to yield accurate results.

In the context of grid or tree methods, the curse manifests prominently. These methods typically involve partitioning the problem space into discrete sections (like the cells of a grid or branches of a tree). As the dimensionality rises, the number of these partitions multiplies exponentially, making computations increasingly unwieldy and time-consuming. For instance, a simple 10×10 grid in two dimensions has 100 cells, but in three dimensions, a 10×10×10 grid has 1,000 cells, showcasing the rapid escalation in complexity. The large research gap in the execution phase of share repurchases clearly underscores the urgent need for comprehensive and diverse studies in this area. This gap in knowledge presents an exciting opportunity for future research to contribute significant insights that can facilitate a more nuanced understanding of share repurchase executions. Future research should aim to illuminate the ideal trading schedule, explore the various implications and costs, and provide performance metrics for brokers and corporations involved in share repurchase programs. Moreover, research should seek to enhance our theoretical understanding of share repurchases and develop methodologies that effectively overcome the limitations of current methods.

7.1. Implications and justification of the literature gap

The considerable gap in the literature concerning the execution phase of share repurchases presents both profound implications and a pressing need for its justification. While it's clear that this gap signals an underrepresentation of knowledge in this pivotal realm of corporate finance, understanding its direct consequences and its importance for various stakeholders deepens the gravity of the issue.

For companies, the absence of thorough insights on the execution phase constrains their ability to strategize effectively for share repurchases. The looming questions surrounding optimal trading schedules can undermine the timing and, consequently, the financial efficiency of repurchases. This might mean companies are leaving potential value on the table, harming both their performance and shareholder value.

Brokers, who act as the middlemen in these transactions, find themselves navigating the murky waters of managing complex buyback contracts without a solid research foundation. This dearth of knowledge might be propagating suboptimal management strategies, diminishing the potential value delivered to client companies and potentially eroding trust.

Investors and traders, key market participants, also feel the effects of this literature gap. The dearth of insights on the psychological nuances involved in surpassing a buyback benchmark can influence their behaviors and strategies, potentially creating inefficiencies or missed opportunities in the market.

From a regulatory perspective, the gap poses challenges too. Policymakers require a holistic understanding of share repurchases, inclusive of the execution phase, to craft effective guidelines. Without this, there's the potential for oversight or misdirection in policy, which could inadvertently foster environments where malpractices or abuses flourish.

In essence, the justification for addressing this literature gap is clear: its presence affects a multitude of stakeholders, from companies and brokers to investors and policymakers. The direct and indirect impacts of the gap emphasize the need for comprehensive research in this domain. Ensuring a well-rounded understanding of the execution phase is imperative for informed decision-making, value creation, and effective regulation in the realm of share repurchases.

7.2. Current methodological approaches and their limitations

While the research on share repurchase executions has been limited, the current methodological approaches adopted within the field present their own set of challenges and constraints. Understanding these methodological limitations is critical for realizing the full potential of future research and identifying the best avenues for further exploration.

A notable portion of the existing research in the area, such as the studies conducted by Guéant et al. [ 1 – 3 ], employ quantitative approaches involving mathematical models, partial differential equation methods, and machine learning techniques. Effectively, they are trying to find the optimal trading schedule, given the price path and the remaining risk. While these approaches have contributed valuable insights, they also present limitations.

Firstly, the mathematical models used to understand optimal execution strategies often rely on a variety of assumptions about market behavior, corporate decision-making, and other factors. These assumptions may not always hold true in the complex and often unpredictable real-world market scenario. Furthermore, these models sometimes neglect elements such as market liquidity, transaction costs, and other microstructural issues, which can significantly affect execution strategies and outcomes.

Secondly, the partial differential equation and recombinant tree methods used in these studies can suffer from the curse of dimensionality. This means that as the complexity of the buyback contracts increases, the computational resources required for these methods can increase exponentially, making them less feasible.

Lastly, the application of machine learning methods to this field is still in its infancy. Although promising, these methods are data-hungry and require large amounts of high-quality data for optimal performance. As such, their application is limited by the availability and quality of relevant data. Additionally, machine learning models can sometimes act as “black boxes,” with their decision-making processes being difficult to interpret. This lack of transparency can be problematic when trying to understand and explain the underlying mechanisms of share repurchase executions.

Overall, the current methodological approaches to studying the execution phase of share repurchases have their own set of limitations, which may impede the development of a comprehensive understanding of the process. There is a clear need for a diversification of methodologies and a consideration of alternative research methods to expand our understanding of this essential area.

7.3. Quantifying and understanding the literature gap

While the broader realm of share repurchases has been a subject of interest in corporate finance, a disconcerting lacuna exists specifically around its execution phase. To quantify, the current body of literature boasts a scanty 15 papers addressing this topic, with a striking 73% (or 11 papers) emerging only recently, attributed to the concerted efforts of Osterrieder and Seigne. This stark disproportion underscores the relative novelty and under-exploration of this crucial domain.

For companies navigating the intricate maze of share repurchase strategies, this paucity of research potentially hampers their ability to make informed decisions. Without empirical insights or theoretical frameworks drawn from a robust set of literature, they're often left to rely on anecdotal evidence or fragmentary knowledge, leading to potential inefficiencies in execution.

Brokers, tasked with bridging the gap between companies and the market, might find themselves operating without the benefit of well-researched strategies. Given that the majority of insights come from just two researchers, Osterrieder and Seigne, there's a pressing need for diversified viewpoints and methodological approaches to enrich the understanding further.

Investors and market analysts, too, are left in a quandary. Without sufficient research dissecting the nuances of execution strategies and their implications, there's a lack of clarity on how repurchases influence market dynamics, stock valuations, and investor sentiments.

Regulators and policymakers, aiming to ensure a fair and transparent marketplace, might be missing critical insights that would allow them to craft more precise and effective guidelines. The limited literature could be leaving blind spots in regulatory frameworks, which, if not addressed, might expose the market to unforeseen risks.

In light of this, the justification for delving deeper into this literature gap is compelling. Its limited scope impacts a vast array of stakeholders, from corporations to individual investors. A more robust exploration of the execution phase, drawing from diverse research perspectives, is not just beneficial—it's essential for the evolution of effective share repurchase strategies and practices.

7.4. Potential areas for future research

7.4.1. trading schedule.

The construction of an ideal trading schedule during share repurchases remains largely uncharted territory in the literature. Future research can focus on determining the optimal timing and pace of share buybacks, considering factors like market conditions, company's financial position, and regulatory constraints. Investigating the potential benefits and drawbacks of different trading schedules could yield significant insights into how companies can optimize their share repurchase initiatives.

7.4.2. Implications

Understanding the broader implications of different execution strategies is another critical area that needs further exploration. This includes studying the impact on stock prices, corporate valuation, and investor sentiment. The effects of share repurchases on market dynamics, such as liquidity and volatility, are also worth investigating.

7.4.3. Costs and performance metrics

Future studies could develop a more nuanced understanding of the costs associated with different execution strategies, including transaction costs and opportunity costs. Moreover, developing performance metrics for brokers and corporations could be beneficial. How are brokers performing in their roles in terms of speed, cost-effectiveness, and value delivery? How well are corporations managing their share repurchases? Are there standard measures of success, and how are they benchmarked?

7.4.4. Psychological factors

The impact of psychological factors on share repurchase executions has been largely overlooked in current literature. The “herding” behavior of investors during a buyback, the perceived value of the share by both the corporation and the investors, and the influence of corporate announcements on investor sentiment are just a few of the areas that could be probed. Understanding these factors could provide a more holistic view of the market dynamics during share repurchases.

7.4.5. Role of technology

Lastly, in an age where technology is increasingly shaping trading practices, the role of technology in share repurchase execution is an area ripe for exploration. What role do algorithms and high-frequency trading play in share repurchases? How can technology be leveraged to optimize the execution process? What are the implications of technological advancement for the regulatory landscape?

These potential areas for future research, while not exhaustive, highlight the significant opportunities that exist to deepen our understanding of share repurchase executions and guide the formulation of more effective and efficient practices.

8. Conclusion

8.1. summary of findings.

Despite the extensive academic coverage on share buybacks, a conspicuous lacuna persists around the execution phase of buybacks. Distinctively, the contributions of Osterrieder and Seigne emerge as exceptions, offering a comprehensive understanding of this relatively overlooked area. They have highlighted key insights on the nuances of financial anomalies in buybacks, intricacies surrounding trading benchmarks, and potential psychological biases affecting market perceptions. Their notable exploration into the potential of advanced computational techniques, such as genetic algorithms and mathematical optionality, further underscores the depth of their work. The discussions around temporal optionality, empirical anomalies, and the “Free Lunch” hypothesis emphasize the complexity and breadth of considerations within the buyback execution domain. Additionally, the ethical and economic standpoint posited by Masters emphasizes the imperative for companies to engage in buybacks at fair prices. Complementing these insights, Guéant's work accentuates the convergence of neural network methodologies with buyback strategies, offering a novel lens on pricing and strategic nuances in accelerated share repurchases.

8.2. Implications for practice and policy

The profound inefficiencies in share repurchase executions, as elucidated in this paper, have far-reaching implications for both the practical realms of the corporate world and the overarching policy frameworks that govern them.

8.2.1. For practitioners

Understanding these inefficiencies is paramount. Financial institutions, particularly banks and investment firms, need to be cognizant of the latent pitfalls and challenges embedded in the current execution paradigms. The lack of exhaustive literature and insights on optimal execution strategies means that many entities might inadvertently be leaving value on the table or even exacerbating market distortions. This is not just a theoretical concern; in real-world scenarios, it translates to significant financial repercussions, impacting shareholders' wealth, corporate reputations, and the broader market sentiment. It's thus incumbent upon these institutions to either proactively seek solutions or partner with academic and research bodies to bridge this knowledge gap.

8.2.2. For policymakers

The under-representation of the execution phase in academic literature hints at a potential oversight in regulatory frameworks. Policymakers need to grasp the nuances of these inefficiencies to draft, adapt, or modify guidelines that ensure fairness, transparency, and efficiency in the market. Regulations need to be dynamic, evolving in tandem with market needs. As this paper suggests, there's a pressing requirement to revisit and potentially overhaul policies surrounding share repurchase executions. This becomes even more crucial when one considers the rapid technological advancements and the increasing integration of machine learning and neural networks in financial strategies.

8.3. Directions for future research

The exploration into the intricacies of share repurchase execution remains nascent, with many avenues still untouched. As we've observed, there is a pressing need to delve deeper into this domain. The directions that future research could take include:

• Evaluating technological impacts: While the integration of machine learning and neural networks into share repurchase execution promises enhanced efficiency, its longer-term impacts remain speculative. There's a need to systematically evaluate how these technological applications influence the accuracy, timeliness, and overall efficiency of repurchase strategies, especially in comparison to traditional methods.

• Algorithmic development: Given the highlighted inefficiencies in current share repurchase executions, there's an imperative to design more sophisticated algorithms. These should not only manage complex buyback contracts but also adapt dynamically to market conditions, ensuring optimal execution timing and pricing.

• Corporate governance and buybacks: The interplay between corporate governance structures and share repurchase behaviors is an under-explored domain. Understanding how governance mechanisms influence or are influenced by repurchase decisions could unravel insights into the broader corporate decision-making landscape. This could pave the way for governance structures that are more attuned to market realities, ensuring both shareholder value maximization and ethical financial practices.

• Practical implications of recent advancements: Osterrieder and Seigne have introduced us to the complexities surrounding buybacks. Expanding on their groundwork, it would be invaluable to investigate how these complexities translate into real-world challenges and opportunities for corporations. What are the tangible benefits or pitfalls that entities experience when navigating these complexities?

• Ethical considerations: Masters' perspective on the ethical imperative for companies to ensure fair pricing during buybacks throws light on a dimension that warrants deeper exploration. The ethical implications of repurchase executions, especially in the context of the broader economic environment and shareholder rights, deserve comprehensive academic scrutiny.

Data availability statement

The original contributions presented in the study are included in the article/supplementary material, further inquiries can be directed to the corresponding author.

Author contributions

JO: Conceptualization, Data curation, Formal analysis, Funding acquisition, Investigation, Methodology, Project administration, Resources, Software, Supervision, Validation, Visualization, Writing—original draft, Writing—review & editing. MS: Conceptualization, Data curation, Methodology, Project administration, Supervision, Writing—review & editing.

The author(s) declare financial support was received for the research, authorship, and/or publication of this article. This work has been supported by several institutions, each of which has provided vital resources and expertise to the research project. Firstly, we acknowledge the COST Action CA19130 and COST Action CA21163, under the auspices of the European Cooperation in Science and Technology (COST). COST Actions provide networking opportunities for researchers across Europe, fostering scientific exchange and innovation. This has been particularly beneficial for this research project on financial econometrics. We would like to express our gratitude to the Swiss National Science Foundation for its financial support across multiple projects. This includes the project on Mathematics and Fintech (IZCNZ0-174853), which focuses on the digital transformation of the Finance industry. We also appreciate the funding for the project on Anomaly and Fraud Detection in Blockchain Networks (IZSEZ0-211195), and for the project on Narrative Digital Finance: a tale of structural breaks, bubbles and market narratives (IZCOZ0-213370). In addition, our research has benefited from funding from the European Union's Horizon 2020 research and innovation program under the grant agreement No 825215 (Topic: ICT-35-2018, Type of action: CSA). This grant was provided for the FIN-TECH project, a training programme aimed at promoting compliance with financial supervision and technology. We gratefully acknowledge the support of the Marie Skłodowska-Curie Actions under the European Union's Horizon Europe research and innovation program for the Industrial Doctoral Network on Digital Finance, acronym: DIGITAL, Project No. 101119635. Their significant contribution has been instrumental in advancing our research and fostering collaboration within the digital finance field across Europe. Lastly, we acknowledge the cooperative relationship between the ING Group and the University of Twente. This partnership, centered on advancing Artificial Intelligence in Finance in the Netherlands and beyond, has been of great value to our research. These partnerships and funding sources have greatly contributed to our ability to conduct rigorous and impactful research.

Conflict of interest

MS was employed by Candor Partners Limited.

The remaining author declares that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.

The author(s) declared that they were an editorial board member of Frontiers, at the time of submission. This had no impact on the peer review process and the final decision.

Publisher's note

All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.

Author disclaimer

Our findings are our own and do not necessarily represent the views of the supporting institutions.

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Keywords: share repurchase, buyback contracts, machine learning, neural networks, accelerated share repurchase, corporate governance, algorithmic bias

Citation: Osterrieder J and Seigne M (2023) Examining share repurchase executions: insights and synthesis from the existing literature. Front. Appl. Math. Stat. 9:1265254. doi: 10.3389/fams.2023.1265254

Received: 22 July 2023; Accepted: 11 October 2023; Published: 08 November 2023.

Reviewed by:

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*Correspondence: Joerg Osterrieder, joerg.osterrieder@utwente.nl

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Toward non-toxic antifouling agents: A novel method for total synthesis of scabrolide F

by Okayama University

Marine organisms produce many organic compounds with diverse chemical structures and biological activities. These natural marine products are regarded as potential starting points for the discovery and development of new drugs.

Among these are norcembranolide diterpenes isolated from the soft corals of the genus Sinularia. These compounds exhibit diverse biological activities, and many of them have anti-cancer and anti-inflammatory properties.

Consequently, many studies have investigated the properties of norcembranolide diterpenes and their synthesis methods . Given their potential in drug discovery, developing a synthetic method to produce these compounds is essential. However, reports on the total synthesis of norcembranolide diterpenes are limited.

In a recent study, a team of researchers from Japan led by Associate Professor Hiroyoshi Takamura and including Yuki Sugitani, Ryohei Morishita, and Isao Kadota, all from the Department of Chemistry, Graduate School of Natural Science and Technology at Okayama University, achieved the total synthesis of a norcembranolide diterpene.

"In this research, we succeeded in the chemical synthesis of scabrolide F, a natural product that was isolated from a soft coral Sinularia scabra.

"Moreover, we found that synthetic scabrolide F and its related compounds exhibited antifouling activity without toxicity, which can potentially prevent the damage caused by biofouling, namely, the accumulation of microorganisms, plants, and algae," explains Dr. Takamura.

The study, published in the journal Organic & Biomolecular Chemistry on May 23, 2024, included contributions from Takefumi Yorisue from the Institute of Natural and Environmental Sciences, University of Hyogo, as well as the Division of Nature and Environmental Management, Museum of Nature and Human Activities.

To synthesize scabrolide F, the researchers designed a hydrocarboxylic acid compound as the key intermediate. They initially attempted to synthesize the intermediate through the coupling of the tetrahydrofuran and the dithiane fragments. The coupling product could then be transformed into the intermediate through an allylation reaction.

However, their model study for testing the allylation reaction failed to yield the desired product, prompting the team to pursue an alternative method.

In the second approach, they successfully fabricated the intermediate through a reaction called fragment coupling between an alkyl iodide and an aldehyde. The intermediate was then transformed to the desired scabrolide F, through two key transformations, namely, macrolactonization, which refers to the intramolecular reaction between the hydroxyl group and carboxylic group of the intermediate, and transannular ring-closing metathesis, which forms a ring within an existing macrocyclic ring.

This innovative method represents the total synthesis of scabrolide F.

Furthermore, the researchers evaluated the antifouling activity and toxicity of this compound and its five key synthetic intermediates against the cypris larvae of the barnacle Amphibalanus amphitrite.

All six compounds were found to have antifouling activity with 50% effective concentration or EC 50 values ranging from 2.65–9.46 μg/mL and were non-toxic with 50% lethal concentration or LC 50 toxicity level greater than 50 μg/mL. Additionally, one of the intermediates was identified as suitable for the preparation of non-toxic antifouling agents.

The synthesis method present in the study will also be useful for the synthesis of other norcembranolide diterpenes. Dr. Takamura says, "Preventing damage caused by biofouling is a key global issue. It is expected that organic compounds synthesized in this research can be used to create new antifouling agents and paints."

Overall, the strategy for the total synthesis of norcembranolide diterpenes proposed in this study can aid in the development of antifouling agents and the discovery of new drugs.

Provided by Okayama University

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Green Chemistry

Heterogeneous photocatalytic synthesis of sulfenamide with carbon doped potassium poly(heptazine imide) through effective electron delocalization.

Sulfur–heteroatom bonds such as S–N are valuable motifs in pharmaceuticals and agrochemicals, but exploring the green synthetic methods to construct these compounds by rationally designing catalysts remains challenging. Hence, we report an environmentally benign photocatalytic S-N coupling reaction of thiols and amines over carbon doped potassium poly(heptazine imide), resulting in the synthesis of sulfenamide. Encouragingly, the potassium poly(heptazine imide) after optimizing the C-doping content can achieve the highest sulfenamide conversion rate of 92% (10 W white LED, 24 h) and 86% (real sunlight irradiation in summer, 5 h), respectively. Moreover, the present catalyst possesses good substrate tolerance for photocatalytic S-N coupling of thiols and amine derivatives, gram-scale synthesis and great recyclability. It is well evidenced that the carbon doped potassium poly(heptazine imide) can extend optical absorption range to near-infrared light, inhibit intrinsic radiative recombination of photoexcited electron–hole pairs and facilitate the single electron transfer process owing to the delocalized electron density. Overall, boosting the photosynthesis sulfenamide activity by introducing delocalized electrons is emphasized, which could be applied to heterogeneous photocatalytic in organic synthesis.

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F. Yuan, L. Zhang, H. Jiang, Y. Zhou, H. Yin, T. Zhu, B. Yang, S. Zhang, J. Ma and L. Du, Green Chem. , 2024, Accepted Manuscript , DOI: 10.1039/D3GC04329K

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