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Theoretical Framework Example for a Thesis or Dissertation

Published on October 14, 2015 by Sarah Vinz . Revised on July 18, 2023 by Tegan George.

Your theoretical framework defines the key concepts in your research, suggests relationships between them, and discusses relevant theories based on your literature review .

A strong theoretical framework gives your research direction. It allows you to convincingly interpret, explain, and generalize from your findings and show the relevance of your thesis or dissertation topic in your field.

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Table of contents

Sample problem statement and research questions, sample theoretical framework, your theoretical framework, other interesting articles.

Your theoretical framework is based on:

• Your problem statement
• Your research questions
• Your literature review

A new boutique downtown is struggling with the fact that many of their online customers do not return to make subsequent purchases. This is a big issue for the otherwise fast-growing store.Management wants to increase customer loyalty. They believe that improved customer satisfaction will play a major role in achieving their goal of increased return customers.

To investigate this problem, you have zeroed in on the following problem statement, objective, and research questions:

• Problem : Many online customers do not return to make subsequent purchases.
• Objective : To increase the quantity of return customers.
• Research question : How can the satisfaction of the boutique’s online customers be improved in order to increase the quantity of return customers?

The concepts of “customer loyalty” and “customer satisfaction” are clearly central to this study, along with their relationship to the likelihood that a customer will return. Your theoretical framework should define these concepts and discuss theories about the relationship between these variables.

Some sub-questions could include:

• What is the relationship between customer loyalty and customer satisfaction?
• How satisfied and loyal are the boutique’s online customers currently?
• What factors affect the satisfaction and loyalty of the boutique’s online customers?

As the concepts of “loyalty” and “customer satisfaction” play a major role in the investigation and will later be measured, they are essential concepts to define within your theoretical framework .

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Below is a simplified example showing how you can describe and compare theories in your thesis or dissertation . In this example, we focus on the concept of customer satisfaction introduced above.

Customer satisfaction

Thomassen (2003, p. 69) defines customer satisfaction as “the perception of the customer as a result of consciously or unconsciously comparing their experiences with their expectations.” Kotler & Keller (2008, p. 80) build on this definition, stating that customer satisfaction is determined by “the degree to which someone is happy or disappointed with the observed performance of a product in relation to his or her expectations.”

Performance that is below expectations leads to a dissatisfied customer, while performance that satisfies expectations produces satisfied customers (Kotler & Keller, 2003, p. 80).

The definition of Zeithaml and Bitner (2003, p. 86) is slightly different from that of Thomassen. They posit that “satisfaction is the consumer fulfillment response. It is a judgement that a product or service feature, or the product of service itself, provides a pleasurable level of consumption-related fulfillment.” Zeithaml and Bitner’s emphasis is thus on obtaining a certain satisfaction in relation to purchasing.

Thomassen’s definition is the most relevant to the aims of this study, given the emphasis it places on unconscious perception. Although Zeithaml and Bitner, like Thomassen, say that customer satisfaction is a reaction to the experience gained, there is no distinction between conscious and unconscious comparisons in their definition.

The boutique claims in its mission statement that it wants to sell not only a product, but also a feeling. As a result, unconscious comparison will play an important role in the satisfaction of its customers. Thomassen’s definition is therefore more relevant.

Thomassen’s Customer Satisfaction Model

According to Thomassen, both the so-called “value proposition” and other influences have an impact on final customer satisfaction. In his satisfaction model (Fig. 1), Thomassen shows that word-of-mouth, personal needs, past experiences, and marketing and public relations determine customers’ needs and expectations.

These factors are compared to their experiences, with the interplay between expectations and experiences determining a customer’s satisfaction level. Thomassen’s model is important for this study as it allows us to determine both the extent to which the boutique’s customers are satisfied, as well as where improvements can be made.

Figure 1 Customer satisfaction creation 

Of course, you could analyze the concepts more thoroughly and compare additional definitions to each other. You could also discuss the theories and ideas of key authors in greater detail and provide several models to illustrate different concepts.

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Theories are formulated to explain, predict, and understand phenomena and, in many cases, to challenge and extend existing knowledge within the limits of critical bounded assumptions or predictions of behavior. The theoretical framework is the structure that can hold or support a theory of a research study. The theoretical framework encompasses not just the theory, but the narrative explanation about how the researcher engages in using the theory and its underlying assumptions to investigate the research problem. It is the structure of your paper that summarizes concepts, ideas, and theories derived from prior research studies and which was synthesized in order to form a conceptual basis for your analysis and interpretation of meaning found within your research.

Abend, Gabriel. "The Meaning of Theory." Sociological Theory 26 (June 2008): 173–199; Kivunja, Charles. "Distinguishing between Theory, Theoretical Framework, and Conceptual Framework: A Systematic Review of Lessons from the Field." International Journal of Higher Education 7 (December 2018): 44-53; Swanson, Richard A. Theory Building in Applied Disciplines . San Francisco, CA: Berrett-Koehler Publishers 2013; Varpio, Lara, Elise Paradis, Sebastian Uijtdehaage, and Meredith Young. "The Distinctions between Theory, Theoretical Framework, and Conceptual Framework." Academic Medicine 95 (July 2020): 989-994.

Importance of Theory and a Theoretical Framework

Theories can be unfamiliar to the beginning researcher because they are rarely applied in high school social studies curriculum and, as a result, can come across as unfamiliar and imprecise when first introduced as part of a writing assignment. However, in their most simplified form, a theory is simply a set of assumptions or predictions about something you think will happen based on existing evidence and that can be tested to see if those outcomes turn out to be true. Of course, it is slightly more deliberate than that, therefore, summarized from Kivunja (2018, p. 46), here are the essential characteristics of a theory.

• It is logical and coherent
• It has clear definitions of terms or variables, and has boundary conditions [i.e., it is not an open-ended statement]
• It has a domain where it applies
• It has clearly described relationships among variables
• It describes, explains, and makes specific predictions
• It comprises of concepts, themes, principles, and constructs
• It must have been based on empirical data [i.e., it is not a guess]
• It must have made claims that are subject to testing, been tested and verified
• It must be clear and concise
• Its assertions or predictions must be different and better than those in existing theories
• Its predictions must be general enough to be applicable to and understood within multiple contexts
• Its assertions or predictions are relevant, and if applied as predicted, will result in the predicted outcome
• The assertions and predictions are not immutable, but subject to revision and improvement as researchers use the theory to make sense of phenomena
• Its concepts and principles explain what is going on and why
• Its concepts and principles are substantive enough to enable us to predict a future

Given these characteristics, a theory can best be understood as the foundation from which you investigate assumptions or predictions derived from previous studies about the research problem, but in a way that leads to new knowledge and understanding as well as, in some cases, discovering how to improve the relevance of the theory itself or to argue that the theory is outdated and a new theory needs to be formulated based on new evidence.

A theoretical framework consists of concepts and, together with their definitions and reference to relevant scholarly literature, existing theory that is used for your particular study. The theoretical framework must demonstrate an understanding of theories and concepts that are relevant to the topic of your research paper and that relate to the broader areas of knowledge being considered.

The theoretical framework is most often not something readily found within the literature . You must review course readings and pertinent research studies for theories and analytic models that are relevant to the research problem you are investigating. The selection of a theory should depend on its appropriateness, ease of application, and explanatory power.

The theoretical framework strengthens the study in the following ways :

• An explicit statement of  theoretical assumptions permits the reader to evaluate them critically.
• The theoretical framework connects the researcher to existing knowledge. Guided by a relevant theory, you are given a basis for your hypotheses and choice of research methods.
• Articulating the theoretical assumptions of a research study forces you to address questions of why and how. It permits you to intellectually transition from simply describing a phenomenon you have observed to generalizing about various aspects of that phenomenon.
• Having a theory helps you identify the limits to those generalizations. A theoretical framework specifies which key variables influence a phenomenon of interest and highlights the need to examine how those key variables might differ and under what circumstances.
• The theoretical framework adds context around the theory itself based on how scholars had previously tested the theory in relation their overall research design [i.e., purpose of the study, methods of collecting data or information, methods of analysis, the time frame in which information is collected, study setting, and the methodological strategy used to conduct the research].

By virtue of its applicative nature, good theory in the social sciences is of value precisely because it fulfills one primary purpose: to explain the meaning, nature, and challenges associated with a phenomenon, often experienced but unexplained in the world in which we live, so that we may use that knowledge and understanding to act in more informed and effective ways.

The Conceptual Framework. College of Education. Alabama State University; Corvellec, Hervé, ed. What is Theory?: Answers from the Social and Cultural Sciences . Stockholm: Copenhagen Business School Press, 2013; Asher, Herbert B. Theory-Building and Data Analysis in the Social Sciences . Knoxville, TN: University of Tennessee Press, 1984; Drafting an Argument. Writing@CSU. Colorado State University; Kivunja, Charles. "Distinguishing between Theory, Theoretical Framework, and Conceptual Framework: A Systematic Review of Lessons from the Field." International Journal of Higher Education 7 (2018): 44-53; Omodan, Bunmi Isaiah. "A Model for Selecting Theoretical Framework through Epistemology of Research Paradigms." African Journal of Inter/Multidisciplinary Studies 4 (2022): 275-285; Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006; Jarvis, Peter. The Practitioner-Researcher. Developing Theory from Practice . San Francisco, CA: Jossey-Bass, 1999.

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

Here are some strategies to develop of an effective theoretical framework:

• Examine your thesis title and research problem . The research problem anchors your entire study and forms the basis from which you construct your theoretical framework.
• Brainstorm about what you consider to be the key variables in your research . Answer the question, "What factors contribute to the presumed effect?"
• Review related literature to find how scholars have addressed your research problem. Identify the assumptions from which the author(s) addressed the problem.
• List  the constructs and variables that might be relevant to your study. Group these variables into independent and dependent categories.
• Review key social science theories that are introduced to you in your course readings and choose the theory that can best explain the relationships between the key variables in your study [note the Writing Tip on this page].
• Discuss the assumptions or propositions of this theory and point out their relevance to your research.

A theoretical framework is used to limit the scope of the relevant data by focusing on specific variables and defining the specific viewpoint [framework] that the researcher will take in analyzing and interpreting the data to be gathered. It also facilitates the understanding of concepts and variables according to given definitions and builds new knowledge by validating or challenging theoretical assumptions.

II.  Purpose

Think of theories as the conceptual basis for understanding, analyzing, and designing ways to investigate relationships within social systems. To that end, the following roles served by a theory can help guide the development of your framework.

• Means by which new research data can be interpreted and coded for future use,
• Response to new problems that have no previously identified solutions strategy,
• Means for identifying and defining research problems,
• Means for prescribing or evaluating solutions to research problems,
• Ways of discerning certain facts among the accumulated knowledge that are important and which facts are not,
• Means of giving old data new interpretations and new meaning,
• Means by which to identify important new issues and prescribe the most critical research questions that need to be answered to maximize understanding of the issue,
• Means of providing members of a professional discipline with a common language and a frame of reference for defining the boundaries of their profession, and
• Means to guide and inform research so that it can, in turn, guide research efforts and improve professional practice.

Adapted from: Torraco, R. J. “Theory-Building Research Methods.” In Swanson R. A. and E. F. Holton III , editors. Human Resource Development Handbook: Linking Research and Practice . (San Francisco, CA: Berrett-Koehler, 1997): pp. 114-137; Jacard, James and Jacob Jacoby. Theory Construction and Model-Building Skills: A Practical Guide for Social Scientists . New York: Guilford, 2010; Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Sutton, Robert I. and Barry M. Staw. “What Theory is Not.” Administrative Science Quarterly 40 (September 1995): 371-384.

Structure and Writing Style

The theoretical framework may be rooted in a specific theory , in which case, your work is expected to test the validity of that existing theory in relation to specific events, issues, or phenomena. Many social science research papers fit into this rubric. For example, Peripheral Realism Theory, which categorizes perceived differences among nation-states as those that give orders, those that obey, and those that rebel, could be used as a means for understanding conflicted relationships among countries in Africa. A test of this theory could be the following: Does Peripheral Realism Theory help explain intra-state actions, such as, the disputed split between southern and northern Sudan that led to the creation of two nations?

However, you may not always be asked by your professor to test a specific theory in your paper, but to develop your own framework from which your analysis of the research problem is derived . Based upon the above example, it is perhaps easiest to understand the nature and function of a theoretical framework if it is viewed as an answer to two basic questions:

• What is the research problem/question? [e.g., "How should the individual and the state relate during periods of conflict?"]
• Why is your approach a feasible solution? [i.e., justify the application of your choice of a particular theory and explain why alternative constructs were rejected. I could choose instead to test Instrumentalist or Circumstantialists models developed among ethnic conflict theorists that rely upon socio-economic-political factors to explain individual-state relations and to apply this theoretical model to periods of war between nations].

The answers to these questions come from a thorough review of the literature and your course readings [summarized and analyzed in the next section of your paper] and the gaps in the research that emerge from the review process. With this in mind, a complete theoretical framework will likely not emerge until after you have completed a thorough review of the literature .

Just as a research problem in your paper requires contextualization and background information, a theory requires a framework for understanding its application to the topic being investigated. When writing and revising this part of your research paper, keep in mind the following:

• Clearly describe the framework, concepts, models, or specific theories that underpin your study . This includes noting who the key theorists are in the field who have conducted research on the problem you are investigating and, when necessary, the historical context that supports the formulation of that theory. This latter element is particularly important if the theory is relatively unknown or it is borrowed from another discipline.
• Position your theoretical framework within a broader context of related frameworks, concepts, models, or theories . As noted in the example above, there will likely be several concepts, theories, or models that can be used to help develop a framework for understanding the research problem. Therefore, note why the theory you've chosen is the appropriate one.
• The present tense is used when writing about theory. Although the past tense can be used to describe the history of a theory or the role of key theorists, the construction of your theoretical framework is happening now.
• You should make your theoretical assumptions as explicit as possible . Later, your discussion of methodology should be linked back to this theoretical framework.
• Don’t just take what the theory says as a given! Reality is never accurately represented in such a simplistic way; if you imply that it can be, you fundamentally distort a reader's ability to understand the findings that emerge. Given this, always note the limitations of the theoretical framework you've chosen [i.e., what parts of the research problem require further investigation because the theory inadequately explains a certain phenomena].

The Conceptual Framework. College of Education. Alabama State University; Conceptual Framework: What Do You Think is Going On? College of Engineering. University of Michigan; Drafting an Argument. Writing@CSU. Colorado State University; Lynham, Susan A. “The General Method of Theory-Building Research in Applied Disciplines.” Advances in Developing Human Resources 4 (August 2002): 221-241; Tavallaei, Mehdi and Mansor Abu Talib. "A General Perspective on the Role of Theory in Qualitative Research." Journal of International Social Research 3 (Spring 2010); Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Reyes, Victoria. Demystifying the Journal Article. Inside Higher Education; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006; Weick, Karl E. “The Work of Theorizing.” In Theorizing in Social Science: The Context of Discovery . Richard Swedberg, editor. (Stanford, CA: Stanford University Press, 2014), pp. 177-194.

Writing Tip

Borrowing Theoretical Constructs from Other Disciplines

An increasingly important trend in the social and behavioral sciences is to think about and attempt to understand research problems from an interdisciplinary perspective. One way to do this is to not rely exclusively on the theories developed within your particular discipline, but to think about how an issue might be informed by theories developed in other disciplines. For example, if you are a political science student studying the rhetorical strategies used by female incumbents in state legislature campaigns, theories about the use of language could be derived, not only from political science, but linguistics, communication studies, philosophy, psychology, and, in this particular case, feminist studies. Building theoretical frameworks based on the postulates and hypotheses developed in other disciplinary contexts can be both enlightening and an effective way to be more engaged in the research topic.

CohenMiller, A. S. and P. Elizabeth Pate. "A Model for Developing Interdisciplinary Research Theoretical Frameworks." The Qualitative Researcher 24 (2019): 1211-1226; Frodeman, Robert. The Oxford Handbook of Interdisciplinarity . New York: Oxford University Press, 2010.

Another Writing Tip

Don't Undertheorize!

Do not leave the theory hanging out there in the introduction never to be mentioned again. Undertheorizing weakens your paper. The theoretical framework you describe should guide your study throughout the paper. Be sure to always connect theory to the review of pertinent literature and to explain in the discussion part of your paper how the theoretical framework you chose supports analysis of the research problem or, if appropriate, how the theoretical framework was found to be inadequate in explaining the phenomenon you were investigating. In that case, don't be afraid to propose your own theory based on your findings.

Yet Another Writing Tip

What's a Theory? What's a Hypothesis?

The terms theory and hypothesis are often used interchangeably in newspapers and popular magazines and in non-academic settings. However, the difference between theory and hypothesis in scholarly research is important, particularly when using an experimental design. A theory is a well-established principle that has been developed to explain some aspect of the natural world. Theories arise from repeated observation and testing and incorporates facts, laws, predictions, and tested assumptions that are widely accepted [e.g., rational choice theory; grounded theory; critical race theory].

A hypothesis is a specific, testable prediction about what you expect to happen in your study. For example, an experiment designed to look at the relationship between study habits and test anxiety might have a hypothesis that states, "We predict that students with better study habits will suffer less test anxiety." Unless your study is exploratory in nature, your hypothesis should always explain what you expect to happen during the course of your research.

The key distinctions are:

• A theory predicts events in a broad, general context;  a hypothesis makes a specific prediction about a specified set of circumstances.
• A theory has been extensively tested and is generally accepted among a set of scholars; a hypothesis is a speculative guess that has yet to be tested.

Cherry, Kendra. Introduction to Research Methods: Theory and Hypothesis. About.com Psychology; Gezae, Michael et al. Welcome Presentation on Hypothesis. Slideshare presentation.

Still Yet Another Writing Tip

Be Prepared to Challenge the Validity of an Existing Theory

Theories are meant to be tested and their underlying assumptions challenged; they are not rigid or intransigent, but are meant to set forth general principles for explaining phenomena or predicting outcomes. Given this, testing theoretical assumptions is an important way that knowledge in any discipline develops and grows. If you're asked to apply an existing theory to a research problem, the analysis will likely include the expectation by your professor that you should offer modifications to the theory based on your research findings.

Indications that theoretical assumptions may need to be modified can include the following:

• Your findings suggest that the theory does not explain or account for current conditions or circumstances or the passage of time,
• The study reveals a finding that is incompatible with what the theory attempts to explain or predict, or
• Your analysis reveals that the theory overly generalizes behaviors or actions without taking into consideration specific factors revealed from your analysis [e.g., factors related to culture, nationality, history, gender, ethnicity, age, geographic location, legal norms or customs , religion, social class, socioeconomic status, etc.].

Philipsen, Kristian. "Theory Building: Using Abductive Search Strategies." In Collaborative Research Design: Working with Business for Meaningful Findings . Per Vagn Freytag and Louise Young, editors. (Singapore: Springer Nature, 2018), pp. 45-71; Shepherd, Dean A. and Roy Suddaby. "Theory Building: A Review and Integration." Journal of Management 43 (2017): 59-86.

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Literature Reviews, Theoretical Frameworks, and Conceptual Frameworks: An Introduction for New Biology Education Researchers

Julie a. luft.

† Department of Mathematics, Social Studies, and Science Education, Mary Frances Early College of Education, University of Georgia, Athens, GA 30602-7124

Sophia Jeong

‡ Department of Teaching & Learning, College of Education & Human Ecology, Ohio State University, Columbus, OH 43210

Robert Idsardi

§ Department of Biology, Eastern Washington University, Cheney, WA 99004

Grant Gardner

∥ Department of Biology, Middle Tennessee State University, Murfreesboro, TN 37132

Associated Data

To frame their work, biology education researchers need to consider the role of literature reviews, theoretical frameworks, and conceptual frameworks as critical elements of the research and writing process. However, these elements can be confusing for scholars new to education research. This Research Methods article is designed to provide an overview of each of these elements and delineate the purpose of each in the educational research process. We describe what biology education researchers should consider as they conduct literature reviews, identify theoretical frameworks, and construct conceptual frameworks. Clarifying these different components of educational research studies can be helpful to new biology education researchers and the biology education research community at large in situating their work in the broader scholarly literature.

INTRODUCTION

Discipline-based education research (DBER) involves the purposeful and situated study of teaching and learning in specific disciplinary areas ( Singer et al. , 2012 ). Studies in DBER are guided by research questions that reflect disciplines’ priorities and worldviews. Researchers can use quantitative data, qualitative data, or both to answer these research questions through a variety of methodological traditions. Across all methodologies, there are different methods associated with planning and conducting educational research studies that include the use of surveys, interviews, observations, artifacts, or instruments. Ensuring the coherence of these elements to the discipline’s perspective also involves situating the work in the broader scholarly literature. The tools for doing this include literature reviews, theoretical frameworks, and conceptual frameworks. However, the purpose and function of each of these elements is often confusing to new education researchers. The goal of this article is to introduce new biology education researchers to these three important elements important in DBER scholarship and the broader educational literature.

The first element we discuss is a review of research (literature reviews), which highlights the need for a specific research question, study problem, or topic of investigation. Literature reviews situate the relevance of the study within a topic and a field. The process may seem familiar to science researchers entering DBER fields, but new researchers may still struggle in conducting the review. Booth et al. (2016b) highlight some of the challenges novice education researchers face when conducting a review of literature. They point out that novice researchers struggle in deciding how to focus the review, determining the scope of articles needed in the review, and knowing how to be critical of the articles in the review. Overcoming these challenges (and others) can help novice researchers construct a sound literature review that can inform the design of the study and help ensure the work makes a contribution to the field.

The second and third highlighted elements are theoretical and conceptual frameworks. These guide biology education research (BER) studies, and may be less familiar to science researchers. These elements are important in shaping the construction of new knowledge. Theoretical frameworks offer a way to explain and interpret the studied phenomenon, while conceptual frameworks clarify assumptions about the studied phenomenon. Despite the importance of these constructs in educational research, biology educational researchers have noted the limited use of theoretical or conceptual frameworks in published work ( DeHaan, 2011 ; Dirks, 2011 ; Lo et al. , 2019 ). In reviewing articles published in CBE—Life Sciences Education ( LSE ) between 2015 and 2019, we found that fewer than 25% of the research articles had a theoretical or conceptual framework (see the Supplemental Information), and at times there was an inconsistent use of theoretical and conceptual frameworks. Clearly, these frameworks are challenging for published biology education researchers, which suggests the importance of providing some initial guidance to new biology education researchers.

Fortunately, educational researchers have increased their explicit use of these frameworks over time, and this is influencing educational research in science, technology, engineering, and mathematics (STEM) fields. For instance, a quick search for theoretical or conceptual frameworks in the abstracts of articles in Educational Research Complete (a common database for educational research) in STEM fields demonstrates a dramatic change over the last 20 years: from only 778 articles published between 2000 and 2010 to 5703 articles published between 2010 and 2020, a more than sevenfold increase. Greater recognition of the importance of these frameworks is contributing to DBER authors being more explicit about such frameworks in their studies.

Collectively, literature reviews, theoretical frameworks, and conceptual frameworks work to guide methodological decisions and the elucidation of important findings. Each offers a different perspective on the problem of study and is an essential element in all forms of educational research. As new researchers seek to learn about these elements, they will find different resources, a variety of perspectives, and many suggestions about the construction and use of these elements. The wide range of available information can overwhelm the new researcher who just wants to learn the distinction between these elements or how to craft them adequately.

Our goal in writing this paper is not to offer specific advice about how to write these sections in scholarly work. Instead, we wanted to introduce these elements to those who are new to BER and who are interested in better distinguishing one from the other. In this paper, we share the purpose of each element in BER scholarship, along with important points on its construction. We also provide references for additional resources that may be beneficial to better understanding each element. Table 1 summarizes the key distinctions among these elements.

Comparison of literature reviews, theoretical frameworks, and conceptual reviews

This article is written for the new biology education researcher who is just learning about these different elements or for scientists looking to become more involved in BER. It is a result of our own work as science education and biology education researchers, whether as graduate students and postdoctoral scholars or newly hired and established faculty members. This is the article we wish had been available as we started to learn about these elements or discussed them with new educational researchers in biology.

LITERATURE REVIEWS

Purpose of a literature review.

A literature review is foundational to any research study in education or science. In education, a well-conceptualized and well-executed review provides a summary of the research that has already been done on a specific topic and identifies questions that remain to be answered, thus illustrating the current research project’s potential contribution to the field and the reasoning behind the methodological approach selected for the study ( Maxwell, 2012 ). BER is an evolving disciplinary area that is redefining areas of conceptual emphasis as well as orientations toward teaching and learning (e.g., Labov et al. , 2010 ; American Association for the Advancement of Science, 2011 ; Nehm, 2019 ). As a result, building comprehensive, critical, purposeful, and concise literature reviews can be a challenge for new biology education researchers.

Building Literature Reviews

There are different ways to approach and construct a literature review. Booth et al. (2016a) provide an overview that includes, for example, scoping reviews, which are focused only on notable studies and use a basic method of analysis, and integrative reviews, which are the result of exhaustive literature searches across different genres. Underlying each of these different review processes are attention to the s earch process, a ppraisa l of articles, s ynthesis of the literature, and a nalysis: SALSA ( Booth et al. , 2016a ). This useful acronym can help the researcher focus on the process while building a specific type of review.

However, new educational researchers often have questions about literature reviews that are foundational to SALSA or other approaches. Common questions concern determining which literature pertains to the topic of study or the role of the literature review in the design of the study. This section addresses such questions broadly while providing general guidance for writing a narrative literature review that evaluates the most pertinent studies.

The literature review process should begin before the research is conducted. As Boote and Beile (2005 , p. 3) suggested, researchers should be “scholars before researchers.” They point out that having a good working knowledge of the proposed topic helps illuminate avenues of study. Some subject areas have a deep body of work to read and reflect upon, providing a strong foundation for developing the research question(s). For instance, the teaching and learning of evolution is an area of long-standing interest in the BER community, generating many studies (e.g., Perry et al. , 2008 ; Barnes and Brownell, 2016 ) and reviews of research (e.g., Sickel and Friedrichsen, 2013 ; Ziadie and Andrews, 2018 ). Emerging areas of BER include the affective domain, issues of transfer, and metacognition ( Singer et al. , 2012 ). Many studies in these areas are transdisciplinary and not always specific to biology education (e.g., Rodrigo-Peiris et al. , 2018 ; Kolpikova et al. , 2019 ). These newer areas may require reading outside BER; fortunately, summaries of some of these topics can be found in the Current Insights section of the LSE website.

In focusing on a specific problem within a broader research strand, a new researcher will likely need to examine research outside BER. Depending upon the area of study, the expanded reading list might involve a mix of BER, DBER, and educational research studies. Determining the scope of the reading is not always straightforward. A simple way to focus one’s reading is to create a “summary phrase” or “research nugget,” which is a very brief descriptive statement about the study. It should focus on the essence of the study, for example, “first-year nonmajor students’ understanding of evolution,” “metacognitive prompts to enhance learning during biochemistry,” or “instructors’ inquiry-based instructional practices after professional development programming.” This type of phrase should help a new researcher identify two or more areas to review that pertain to the study. Focusing on recent research in the last 5 years is a good first step. Additional studies can be identified by reading relevant works referenced in those articles. It is also important to read seminal studies that are more than 5 years old. Reading a range of studies should give the researcher the necessary command of the subject in order to suggest a research question.

Given that the research question(s) arise from the literature review, the review should also substantiate the selected methodological approach. The review and research question(s) guide the researcher in determining how to collect and analyze data. Often the methodological approach used in a study is selected to contribute knowledge that expands upon what has been published previously about the topic (see Institute of Education Sciences and National Science Foundation, 2013 ). An emerging topic of study may need an exploratory approach that allows for a description of the phenomenon and development of a potential theory. This could, but not necessarily, require a methodological approach that uses interviews, observations, surveys, or other instruments. An extensively studied topic may call for the additional understanding of specific factors or variables; this type of study would be well suited to a verification or a causal research design. These could entail a methodological approach that uses valid and reliable instruments, observations, or interviews to determine an effect in the studied event. In either of these examples, the researcher(s) may use a qualitative, quantitative, or mixed methods methodological approach.

Even with a good research question, there is still more reading to be done. The complexity and focus of the research question dictates the depth and breadth of the literature to be examined. Questions that connect multiple topics can require broad literature reviews. For instance, a study that explores the impact of a biology faculty learning community on the inquiry instruction of faculty could have the following review areas: learning communities among biology faculty, inquiry instruction among biology faculty, and inquiry instruction among biology faculty as a result of professional learning. Biology education researchers need to consider whether their literature review requires studies from different disciplines within or outside DBER. For the example given, it would be fruitful to look at research focused on learning communities with faculty in STEM fields or in general education fields that result in instructional change. It is important not to be too narrow or too broad when reading. When the conclusions of articles start to sound similar or no new insights are gained, the researcher likely has a good foundation for a literature review. This level of reading should allow the researcher to demonstrate a mastery in understanding the researched topic, explain the suitability of the proposed research approach, and point to the need for the refined research question(s).

The literature review should include the researcher’s evaluation and critique of the selected studies. A researcher may have a large collection of studies, but not all of the studies will follow standards important in the reporting of empirical work in the social sciences. The American Educational Research Association ( Duran et al. , 2006 ), for example, offers a general discussion about standards for such work: an adequate review of research informing the study, the existence of sound and appropriate data collection and analysis methods, and appropriate conclusions that do not overstep or underexplore the analyzed data. The Institute of Education Sciences and National Science Foundation (2013) also offer Common Guidelines for Education Research and Development that can be used to evaluate collected studies.

Because not all journals adhere to such standards, it is important that a researcher review each study to determine the quality of published research, per the guidelines suggested earlier. In some instances, the research may be fatally flawed. Examples of such flaws include data that do not pertain to the question, a lack of discussion about the data collection, poorly constructed instruments, or an inadequate analysis. These types of errors result in studies that are incomplete, error-laden, or inaccurate and should be excluded from the review. Most studies have limitations, and the author(s) often make them explicit. For instance, there may be an instructor effect, recognized bias in the analysis, or issues with the sample population. Limitations are usually addressed by the research team in some way to ensure a sound and acceptable research process. Occasionally, the limitations associated with the study can be significant and not addressed adequately, which leaves a consequential decision in the hands of the researcher. Providing critiques of studies in the literature review process gives the reader confidence that the researcher has carefully examined relevant work in preparation for the study and, ultimately, the manuscript.

A solid literature review clearly anchors the proposed study in the field and connects the research question(s), the methodological approach, and the discussion. Reviewing extant research leads to research questions that will contribute to what is known in the field. By summarizing what is known, the literature review points to what needs to be known, which in turn guides decisions about methodology. Finally, notable findings of the new study are discussed in reference to those described in the literature review.

Within published BER studies, literature reviews can be placed in different locations in an article. When included in the introductory section of the study, the first few paragraphs of the manuscript set the stage, with the literature review following the opening paragraphs. Cooper et al. (2019) illustrate this approach in their study of course-based undergraduate research experiences (CUREs). An introduction discussing the potential of CURES is followed by an analysis of the existing literature relevant to the design of CUREs that allows for novel student discoveries. Within this review, the authors point out contradictory findings among research on novel student discoveries. This clarifies the need for their study, which is described and highlighted through specific research aims.

A literature reviews can also make up a separate section in a paper. For example, the introduction to Todd et al. (2019) illustrates the need for their research topic by highlighting the potential of learning progressions (LPs) and suggesting that LPs may help mitigate learning loss in genetics. At the end of the introduction, the authors state their specific research questions. The review of literature following this opening section comprises two subsections. One focuses on learning loss in general and examines a variety of studies and meta-analyses from the disciplines of medical education, mathematics, and reading. The second section focuses specifically on LPs in genetics and highlights student learning in the midst of LPs. These separate reviews provide insights into the stated research question.

Suggestions and Advice

A well-conceptualized, comprehensive, and critical literature review reveals the understanding of the topic that the researcher brings to the study. Literature reviews should not be so big that there is no clear area of focus; nor should they be so narrow that no real research question arises. The task for a researcher is to craft an efficient literature review that offers a critical analysis of published work, articulates the need for the study, guides the methodological approach to the topic of study, and provides an adequate foundation for the discussion of the findings.

In our own writing of literature reviews, there are often many drafts. An early draft may seem well suited to the study because the need for and approach to the study are well described. However, as the results of the study are analyzed and findings begin to emerge, the existing literature review may be inadequate and need revision. The need for an expanded discussion about the research area can result in the inclusion of new studies that support the explanation of a potential finding. The literature review may also prove to be too broad. Refocusing on a specific area allows for more contemplation of a finding.

It should be noted that there are different types of literature reviews, and many books and articles have been written about the different ways to embark on these types of reviews. Among these different resources, the following may be helpful in considering how to refine the review process for scholarly journals:

• Booth, A., Sutton, A., & Papaioannou, D. (2016a). Systemic approaches to a successful literature review (2nd ed.). Los Angeles, CA: Sage. This book addresses different types of literature reviews and offers important suggestions pertaining to defining the scope of the literature review and assessing extant studies.
• Booth, W. C., Colomb, G. G., Williams, J. M., Bizup, J., & Fitzgerald, W. T. (2016b). The craft of research (4th ed.). Chicago: University of Chicago Press. This book can help the novice consider how to make the case for an area of study. While this book is not specifically about literature reviews, it offers suggestions about making the case for your study.
• Galvan, J. L., & Galvan, M. C. (2017). Writing literature reviews: A guide for students of the social and behavioral sciences (7th ed.). Routledge. This book offers guidance on writing different types of literature reviews. For the novice researcher, there are useful suggestions for creating coherent literature reviews.

THEORETICAL FRAMEWORKS

Purpose of theoretical frameworks.

As new education researchers may be less familiar with theoretical frameworks than with literature reviews, this discussion begins with an analogy. Envision a biologist, chemist, and physicist examining together the dramatic effect of a fog tsunami over the ocean. A biologist gazing at this phenomenon may be concerned with the effect of fog on various species. A chemist may be interested in the chemical composition of the fog as water vapor condenses around bits of salt. A physicist may be focused on the refraction of light to make fog appear to be “sitting” above the ocean. While observing the same “objective event,” the scientists are operating under different theoretical frameworks that provide a particular perspective or “lens” for the interpretation of the phenomenon. Each of these scientists brings specialized knowledge, experiences, and values to this phenomenon, and these influence the interpretation of the phenomenon. The scientists’ theoretical frameworks influence how they design and carry out their studies and interpret their data.

Within an educational study, a theoretical framework helps to explain a phenomenon through a particular lens and challenges and extends existing knowledge within the limitations of that lens. Theoretical frameworks are explicitly stated by an educational researcher in the paper’s framework, theory, or relevant literature section. The framework shapes the types of questions asked, guides the method by which data are collected and analyzed, and informs the discussion of the results of the study. It also reveals the researcher’s subjectivities, for example, values, social experience, and viewpoint ( Allen, 2017 ). It is essential that a novice researcher learn to explicitly state a theoretical framework, because all research questions are being asked from the researcher’s implicit or explicit assumptions of a phenomenon of interest ( Schwandt, 2000 ).

Selecting Theoretical Frameworks

Theoretical frameworks are one of the most contemplated elements in our work in educational research. In this section, we share three important considerations for new scholars selecting a theoretical framework.

The first step in identifying a theoretical framework involves reflecting on the phenomenon within the study and the assumptions aligned with the phenomenon. The phenomenon involves the studied event. There are many possibilities, for example, student learning, instructional approach, or group organization. A researcher holds assumptions about how the phenomenon will be effected, influenced, changed, or portrayed. It is ultimately the researcher’s assumption(s) about the phenomenon that aligns with a theoretical framework. An example can help illustrate how a researcher’s reflection on the phenomenon and acknowledgment of assumptions can result in the identification of a theoretical framework.

In our example, a biology education researcher may be interested in exploring how students’ learning of difficult biological concepts can be supported by the interactions of group members. The phenomenon of interest is the interactions among the peers, and the researcher assumes that more knowledgeable students are important in supporting the learning of the group. As a result, the researcher may draw on Vygotsky’s (1978) sociocultural theory of learning and development that is focused on the phenomenon of student learning in a social setting. This theory posits the critical nature of interactions among students and between students and teachers in the process of building knowledge. A researcher drawing upon this framework holds the assumption that learning is a dynamic social process involving questions and explanations among students in the classroom and that more knowledgeable peers play an important part in the process of building conceptual knowledge.

It is important to state at this point that there are many different theoretical frameworks. Some frameworks focus on learning and knowing, while other theoretical frameworks focus on equity, empowerment, or discourse. Some frameworks are well articulated, and others are still being refined. For a new researcher, it can be challenging to find a theoretical framework. Two of the best ways to look for theoretical frameworks is through published works that highlight different frameworks.

When a theoretical framework is selected, it should clearly connect to all parts of the study. The framework should augment the study by adding a perspective that provides greater insights into the phenomenon. It should clearly align with the studies described in the literature review. For instance, a framework focused on learning would correspond to research that reported different learning outcomes for similar studies. The methods for data collection and analysis should also correspond to the framework. For instance, a study about instructional interventions could use a theoretical framework concerned with learning and could collect data about the effect of the intervention on what is learned. When the data are analyzed, the theoretical framework should provide added meaning to the findings, and the findings should align with the theoretical framework.

A study by Jensen and Lawson (2011) provides an example of how a theoretical framework connects different parts of the study. They compared undergraduate biology students in heterogeneous and homogeneous groups over the course of a semester. Jensen and Lawson (2011) assumed that learning involved collaboration and more knowledgeable peers, which made Vygotsky’s (1978) theory a good fit for their study. They predicted that students in heterogeneous groups would experience greater improvement in their reasoning abilities and science achievements with much of the learning guided by the more knowledgeable peers.

In the enactment of the study, they collected data about the instruction in traditional and inquiry-oriented classes, while the students worked in homogeneous or heterogeneous groups. To determine the effect of working in groups, the authors also measured students’ reasoning abilities and achievement. Each data-collection and analysis decision connected to understanding the influence of collaborative work.

Their findings highlighted aspects of Vygotsky’s (1978) theory of learning. One finding, for instance, posited that inquiry instruction, as a whole, resulted in reasoning and achievement gains. This links to Vygotsky (1978) , because inquiry instruction involves interactions among group members. A more nuanced finding was that group composition had a conditional effect. Heterogeneous groups performed better with more traditional and didactic instruction, regardless of the reasoning ability of the group members. Homogeneous groups worked better during interaction-rich activities for students with low reasoning ability. The authors attributed the variation to the different types of helping behaviors of students. High-performing students provided the answers, while students with low reasoning ability had to work collectively through the material. In terms of Vygotsky (1978) , this finding provided new insights into the learning context in which productive interactions can occur for students.

Another consideration in the selection and use of a theoretical framework pertains to its orientation to the study. This can result in the theoretical framework prioritizing individuals, institutions, and/or policies ( Anfara and Mertz, 2014 ). Frameworks that connect to individuals, for instance, could contribute to understanding their actions, learning, or knowledge. Institutional frameworks, on the other hand, offer insights into how institutions, organizations, or groups can influence individuals or materials. Policy theories provide ways to understand how national or local policies can dictate an emphasis on outcomes or instructional design. These different types of frameworks highlight different aspects in an educational setting, which influences the design of the study and the collection of data. In addition, these different frameworks offer a way to make sense of the data. Aligning the data collection and analysis with the framework ensures that a study is coherent and can contribute to the field.

New understandings emerge when different theoretical frameworks are used. For instance, Ebert-May et al. (2015) prioritized the individual level within conceptual change theory (see Posner et al. , 1982 ). In this theory, an individual’s knowledge changes when it no longer fits the phenomenon. Ebert-May et al. (2015) designed a professional development program challenging biology postdoctoral scholars’ existing conceptions of teaching. The authors reported that the biology postdoctoral scholars’ teaching practices became more student-centered as they were challenged to explain their instructional decision making. According to the theory, the biology postdoctoral scholars’ dissatisfaction in their descriptions of teaching and learning initiated change in their knowledge and instruction. These results reveal how conceptual change theory can explain the learning of participants and guide the design of professional development programming.

The communities of practice (CoP) theoretical framework ( Lave, 1988 ; Wenger, 1998 ) prioritizes the institutional level , suggesting that learning occurs when individuals learn from and contribute to the communities in which they reside. Grounded in the assumption of community learning, the literature on CoP suggests that, as individuals interact regularly with the other members of their group, they learn about the rules, roles, and goals of the community ( Allee, 2000 ). A study conducted by Gehrke and Kezar (2017) used the CoP framework to understand organizational change by examining the involvement of individual faculty engaged in a cross-institutional CoP focused on changing the instructional practice of faculty at each institution. In the CoP, faculty members were involved in enhancing instructional materials within their department, which aligned with an overarching goal of instituting instruction that embraced active learning. Not surprisingly, Gehrke and Kezar (2017) revealed that faculty who perceived the community culture as important in their work cultivated institutional change. Furthermore, they found that institutional change was sustained when key leaders served as mentors and provided support for faculty, and as faculty themselves developed into leaders. This study reveals the complexity of individual roles in a COP in order to support institutional instructional change.

It is important to explicitly state the theoretical framework used in a study, but elucidating a theoretical framework can be challenging for a new educational researcher. The literature review can help to identify an applicable theoretical framework. Focal areas of the review or central terms often connect to assumptions and assertions associated with the framework that pertain to the phenomenon of interest. Another way to identify a theoretical framework is self-reflection by the researcher on personal beliefs and understandings about the nature of knowledge the researcher brings to the study ( Lysaght, 2011 ). In stating one’s beliefs and understandings related to the study (e.g., students construct their knowledge, instructional materials support learning), an orientation becomes evident that will suggest a particular theoretical framework. Theoretical frameworks are not arbitrary , but purposefully selected.

With experience, a researcher may find expanded roles for theoretical frameworks. Researchers may revise an existing framework that has limited explanatory power, or they may decide there is a need to develop a new theoretical framework. These frameworks can emerge from a current study or the need to explain a phenomenon in a new way. Researchers may also find that multiple theoretical frameworks are necessary to frame and explore a problem, as different frameworks can provide different insights into a problem.

Finally, it is important to recognize that choosing “x” theoretical framework does not necessarily mean a researcher chooses “y” methodology and so on, nor is there a clear-cut, linear process in selecting a theoretical framework for one’s study. In part, the nonlinear process of identifying a theoretical framework is what makes understanding and using theoretical frameworks challenging. For the novice scholar, contemplating and understanding theoretical frameworks is essential. Fortunately, there are articles and books that can help:

• Creswell, J. W. (2018). Research design: Qualitative, quantitative, and mixed methods approaches (5th ed.). Los Angeles, CA: Sage. This book provides an overview of theoretical frameworks in general educational research.
• Ding, L. (2019). Theoretical perspectives of quantitative physics education research. Physical Review Physics Education Research , 15 (2), 020101-1–020101-13. This paper illustrates how a DBER field can use theoretical frameworks.
• Nehm, R. (2019). Biology education research: Building integrative frameworks for teaching and learning about living systems. Disciplinary and Interdisciplinary Science Education Research , 1 , ar15. https://doi.org/10.1186/s43031-019-0017-6 . This paper articulates the need for studies in BER to explicitly state theoretical frameworks and provides examples of potential studies.
• Patton, M. Q. (2015). Qualitative research & evaluation methods: Integrating theory and practice . Sage. This book also provides an overview of theoretical frameworks, but for both research and evaluation.

CONCEPTUAL FRAMEWORKS

Purpose of a conceptual framework.

A conceptual framework is a description of the way a researcher understands the factors and/or variables that are involved in the study and their relationships to one another. The purpose of a conceptual framework is to articulate the concepts under study using relevant literature ( Rocco and Plakhotnik, 2009 ) and to clarify the presumed relationships among those concepts ( Rocco and Plakhotnik, 2009 ; Anfara and Mertz, 2014 ). Conceptual frameworks are different from theoretical frameworks in both their breadth and grounding in established findings. Whereas a theoretical framework articulates the lens through which a researcher views the work, the conceptual framework is often more mechanistic and malleable.

Conceptual frameworks are broader, encompassing both established theories (i.e., theoretical frameworks) and the researchers’ own emergent ideas. Emergent ideas, for example, may be rooted in informal and/or unpublished observations from experience. These emergent ideas would not be considered a “theory” if they are not yet tested, supported by systematically collected evidence, and peer reviewed. However, they do still play an important role in the way researchers approach their studies. The conceptual framework allows authors to clearly describe their emergent ideas so that connections among ideas in the study and the significance of the study are apparent to readers.

Constructing Conceptual Frameworks

Including a conceptual framework in a research study is important, but researchers often opt to include either a conceptual or a theoretical framework. Either may be adequate, but both provide greater insight into the research approach. For instance, a research team plans to test a novel component of an existing theory. In their study, they describe the existing theoretical framework that informs their work and then present their own conceptual framework. Within this conceptual framework, specific topics portray emergent ideas that are related to the theory. Describing both frameworks allows readers to better understand the researchers’ assumptions, orientations, and understanding of concepts being investigated. For example, Connolly et al. (2018) included a conceptual framework that described how they applied a theoretical framework of social cognitive career theory (SCCT) to their study on teaching programs for doctoral students. In their conceptual framework, the authors described SCCT, explained how it applied to the investigation, and drew upon results from previous studies to justify the proposed connections between the theory and their emergent ideas.

In some cases, authors may be able to sufficiently describe their conceptualization of the phenomenon under study in an introduction alone, without a separate conceptual framework section. However, incomplete descriptions of how the researchers conceptualize the components of the study may limit the significance of the study by making the research less intelligible to readers. This is especially problematic when studying topics in which researchers use the same terms for different constructs or different terms for similar and overlapping constructs (e.g., inquiry, teacher beliefs, pedagogical content knowledge, or active learning). Authors must describe their conceptualization of a construct if the research is to be understandable and useful.

There are some key areas to consider regarding the inclusion of a conceptual framework in a study. To begin with, it is important to recognize that conceptual frameworks are constructed by the researchers conducting the study ( Rocco and Plakhotnik, 2009 ; Maxwell, 2012 ). This is different from theoretical frameworks that are often taken from established literature. Researchers should bring together ideas from the literature, but they may be influenced by their own experiences as a student and/or instructor, the shared experiences of others, or thought experiments as they construct a description, model, or representation of their understanding of the phenomenon under study. This is an exercise in intellectual organization and clarity that often considers what is learned, known, and experienced. The conceptual framework makes these constructs explicitly visible to readers, who may have different understandings of the phenomenon based on their prior knowledge and experience. There is no single method to go about this intellectual work.

Reeves et al. (2016) is an example of an article that proposed a conceptual framework about graduate teaching assistant professional development evaluation and research. The authors used existing literature to create a novel framework that filled a gap in current research and practice related to the training of graduate teaching assistants. This conceptual framework can guide the systematic collection of data by other researchers because the framework describes the relationships among various factors that influence teaching and learning. The Reeves et al. (2016) conceptual framework may be modified as additional data are collected and analyzed by other researchers. This is not uncommon, as conceptual frameworks can serve as catalysts for concerted research efforts that systematically explore a phenomenon (e.g., Reynolds et al. , 2012 ; Brownell and Kloser, 2015 ).

Sabel et al. (2017) used a conceptual framework in their exploration of how scaffolds, an external factor, interact with internal factors to support student learning. Their conceptual framework integrated principles from two theoretical frameworks, self-regulated learning and metacognition, to illustrate how the research team conceptualized students’ use of scaffolds in their learning ( Figure 1 ). Sabel et al. (2017) created this model using their interpretations of these two frameworks in the context of their teaching.

Conceptual framework from Sabel et al. (2017) .

A conceptual framework should describe the relationship among components of the investigation ( Anfara and Mertz, 2014 ). These relationships should guide the researcher’s methods of approaching the study ( Miles et al. , 2014 ) and inform both the data to be collected and how those data should be analyzed. Explicitly describing the connections among the ideas allows the researcher to justify the importance of the study and the rigor of the research design. Just as importantly, these frameworks help readers understand why certain components of a system were not explored in the study. This is a challenge in education research, which is rooted in complex environments with many variables that are difficult to control.

For example, Sabel et al. (2017) stated: “Scaffolds, such as enhanced answer keys and reflection questions, can help students and instructors bridge the external and internal factors and support learning” (p. 3). They connected the scaffolds in the study to the three dimensions of metacognition and the eventual transformation of existing ideas into new or revised ideas. Their framework provides a rationale for focusing on how students use two different scaffolds, and not on other factors that may influence a student’s success (self-efficacy, use of active learning, exam format, etc.).

In constructing conceptual frameworks, researchers should address needed areas of study and/or contradictions discovered in literature reviews. By attending to these areas, researchers can strengthen their arguments for the importance of a study. For instance, conceptual frameworks can address how the current study will fill gaps in the research, resolve contradictions in existing literature, or suggest a new area of study. While a literature review describes what is known and not known about the phenomenon, the conceptual framework leverages these gaps in describing the current study ( Maxwell, 2012 ). In the example of Sabel et al. (2017) , the authors indicated there was a gap in the literature regarding how scaffolds engage students in metacognition to promote learning in large classes. Their study helps fill that gap by describing how scaffolds can support students in the three dimensions of metacognition: intelligibility, plausibility, and wide applicability. In another example, Lane (2016) integrated research from science identity, the ethic of care, the sense of belonging, and an expertise model of student success to form a conceptual framework that addressed the critiques of other frameworks. In a more recent example, Sbeglia et al. (2021) illustrated how a conceptual framework influences the methodological choices and inferences in studies by educational researchers.

Sometimes researchers draw upon the conceptual frameworks of other researchers. When a researcher’s conceptual framework closely aligns with an existing framework, the discussion may be brief. For example, Ghee et al. (2016) referred to portions of SCCT as their conceptual framework to explain the significance of their work on students’ self-efficacy and career interests. Because the authors’ conceptualization of this phenomenon aligned with a previously described framework, they briefly mentioned the conceptual framework and provided additional citations that provided more detail for the readers.

Within both the BER and the broader DBER communities, conceptual frameworks have been used to describe different constructs. For example, some researchers have used the term “conceptual framework” to describe students’ conceptual understandings of a biological phenomenon. This is distinct from a researcher’s conceptual framework of the educational phenomenon under investigation, which may also need to be explicitly described in the article. Other studies have presented a research logic model or flowchart of the research design as a conceptual framework. These constructions can be quite valuable in helping readers understand the data-collection and analysis process. However, a model depicting the study design does not serve the same role as a conceptual framework. Researchers need to avoid conflating these constructs by differentiating the researchers’ conceptual framework that guides the study from the research design, when applicable.

Explicitly describing conceptual frameworks is essential in depicting the focus of the study. We have found that being explicit in a conceptual framework means using accepted terminology, referencing prior work, and clearly noting connections between terms. This description can also highlight gaps in the literature or suggest potential contributions to the field of study. A well-elucidated conceptual framework can suggest additional studies that may be warranted. This can also spur other researchers to consider how they would approach the examination of a phenomenon and could result in a revised conceptual framework.

It can be challenging to create conceptual frameworks, but they are important. Below are two resources that could be helpful in constructing and presenting conceptual frameworks in educational research:

• Maxwell, J. A. (2012). Qualitative research design: An interactive approach (3rd ed.). Los Angeles, CA: Sage. Chapter 3 in this book describes how to construct conceptual frameworks.
• Ravitch, S. M., & Riggan, M. (2016). Reason & rigor: How conceptual frameworks guide research . Los Angeles, CA: Sage. This book explains how conceptual frameworks guide the research questions, data collection, data analyses, and interpretation of results.

CONCLUDING THOUGHTS

Literature reviews, theoretical frameworks, and conceptual frameworks are all important in DBER and BER. Robust literature reviews reinforce the importance of a study. Theoretical frameworks connect the study to the base of knowledge in educational theory and specify the researcher’s assumptions. Conceptual frameworks allow researchers to explicitly describe their conceptualization of the relationships among the components of the phenomenon under study. Table 1 provides a general overview of these components in order to assist biology education researchers in thinking about these elements.

It is important to emphasize that these different elements are intertwined. When these elements are aligned and complement one another, the study is coherent, and the study findings contribute to knowledge in the field. When literature reviews, theoretical frameworks, and conceptual frameworks are disconnected from one another, the study suffers. The point of the study is lost, suggested findings are unsupported, or important conclusions are invisible to the researcher. In addition, this misalignment may be costly in terms of time and money.

Conducting a literature review, selecting a theoretical framework, and building a conceptual framework are some of the most difficult elements of a research study. It takes time to understand the relevant research, identify a theoretical framework that provides important insights into the study, and formulate a conceptual framework that organizes the finding. In the research process, there is often a constant back and forth among these elements as the study evolves. With an ongoing refinement of the review of literature, clarification of the theoretical framework, and articulation of a conceptual framework, a sound study can emerge that makes a contribution to the field. This is the goal of BER and education research.

Supplementary Material

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Example Theoretical Framework of a Dissertation or Thesis

Published on 8 July 2022 by Sarah Vinz . Revised on 10 October 2022.

Your theoretical framework defines the key concepts in your research, suggests relationships between them, and discusses relevant theories based on your literature review .

A strong theoretical framework gives your research direction, allowing you to convincingly interpret, explain, and generalise from your findings.

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Table of contents

Sample problem statement and research questions, sample theoretical framework, your theoretical framework, frequently asked questions about sample theoretical frameworks.

Your theoretical framework is based on:

• Your problem statement
• Your research questions
• Your literature review

To investigate this problem, you have zeroed in on the following problem statement, objective, and research questions:

• Problem : Many online customers do not return to make subsequent purchases.
• Objective : To increase the quantity of return customers.
• Research question : How can the satisfaction of the boutique’s online customers be improved in order to increase the quantity of return customers?

The concepts of ‘customer loyalty’ and ‘customer satisfaction’ are clearly central to this study, along with their relationship to the likelihood that a customer will return. Your theoretical framework should define these concepts and discuss theories about the relationship between these variables.

Some sub-questions could include:

• What is the relationship between customer loyalty and customer satisfaction?
• How satisfied and loyal are the boutique’s online customers currently?
• What factors affect the satisfaction and loyalty of the boutique’s online customers?

As the concepts of ‘loyalty’ and ‘customer satisfaction’ play a major role in the investigation and will later be measured, they are essential concepts to define within your theoretical framework .

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Below is a simplified example showing how you can describe and compare theories. In this example, we focus on the concept of customer satisfaction introduced above.

Customer satisfaction

Thomassen (2003, p. 69) defines customer satisfaction as ‘the perception of the customer as a result of consciously or unconsciously comparing their experiences with their expectations’. Kotler and Keller (2008, p. 80) build on this definition, stating that customer satisfaction is determined by ‘the degree to which someone is happy or disappointed with the observed performance of a product in relation to his or her expectations’.

Performance that is below expectations leads to a dissatisfied customer, while performance that satisfies expectations produces satisfied customers (Kotler & Keller, 2003, p. 80).

The definition of Zeithaml and Bitner (2003, p. 86) is slightly different from that of Thomassen. They posit that ‘satisfaction is the consumer fulfillment response. It is a judgement that a product or service feature, or the product of service itself, provides a pleasurable level of consumption-related fulfillment.’ Zeithaml and Bitner’s emphasis is thus on obtaining a certain satisfaction in relation to purchasing.

Thomassen’s definition is the most relevant to the aims of this study, given the emphasis it places on unconscious perception. Although Zeithaml and Bitner, like Thomassen, say that customer satisfaction is a reaction to the experience gained, there is no distinction between conscious and unconscious comparisons in their definition.

The boutique claims in its mission statement that it wants to sell not only a product, but also a feeling. As a result, unconscious comparison will play an important role in the satisfaction of its customers. Thomassen’s definition is therefore more relevant.

Thomassen’s Customer Satisfaction Model

According to Thomassen, both the so-called ‘value proposition’ and other influences have an impact on final customer satisfaction. In his satisfaction model (Fig. 1), Thomassen shows that word-of-mouth, personal needs, past experiences, and marketing and public relations determine customers’ needs and expectations.

These factors are compared to their experiences, with the interplay between expectations and experiences determining a customer’s satisfaction level. Thomassen’s model is important for this study as it allows us to determine both the extent to which the boutique’s customers are satisfied, as well as where improvements can be made.

Figure 1 Customer satisfaction creation 

Of course, you could analyse the concepts more thoroughly and compare additional definitions to each other. You could also discuss the theories and ideas of key authors in greater detail and provide several models to illustrate different concepts.

A theoretical framework can sometimes be integrated into a  literature review chapter , but it can also be included as its own chapter or section in your dissertation . As a rule of thumb, if your research involves dealing with a lot of complex theories, it’s a good idea to include a separate theoretical framework chapter.

While a theoretical framework describes the theoretical underpinnings of your work based on existing research, a conceptual framework allows you to draw your own conclusions, mapping out the variables you may use in your study and the interplay between them.

A literature review and a theoretical framework are not the same thing and cannot be used interchangeably. While a theoretical framework describes the theoretical underpinnings of your work, a literature review critically evaluates existing research relating to your topic. You’ll likely need both in your dissertation .

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How to Write a Successful Research Grant Application pp 137–145 Cite as

Developing a Theoretical Framework and Rationale for a Research Proposal

• Gregory M. Herek 4  
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It is useful to recall that our work as scientists will be at its best when it simultaneously tackles real-world problems and enriches our understanding of basic biological, psychological, or social processes. A good theory can help us do both. All empirical research is based on assumptions. Even purely “descriptive” or “exploratory” studies necessarily involve choices about the phenomena and variables to observe and the level of detail at which to observe them. Researchers planning an empirical study confront the challenges of making these assumptions explicit, examining them critically, and designing the investigation to yield data that permit those assumptions to be evaluated and modified appropriately. This is the process of theory construction. Unfortunately, although all research is based on theory, many grant proposals lack a well-developed theoretical rationale. The theoretical framework often remains implicit in the proposal without being formally articulated. Consequently, even though the application may be based on a good idea, it is conceptually weak and receives a poor priority/impact score. This chapter will give you a useful strategy for developing a clearly articulated theoretical framework for your research project and using it to write your entire research plan.

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Acknowledgements

Preparation of this chapter was originally supported in part by a grant to the first author from the National Institute of Mental Health (K02 MH01455). The author gratefully acknowledges the assistance of Dr. William Woods, who gave insightful comments on an earlier draft.

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Herek, G.M. (2010). Developing a Theoretical Framework and Rationale for a Research Proposal. In: Pequegnat, W., Stover, E., Boyce, C. (eds) How to Write a Successful Research Grant Application. Springer, Boston, MA. https://doi.org/10.1007/978-1-4419-1454-5_12

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Eureka! When I learnt how to write a theoretical framework

Feb 6, 2019

Have you checked out  the rest of  The PhD Knowledge Base ? It’s home to hundreds more free resources and guides, written especially for PhD students.  

Have you ever had a eureka moment? A moment where something that you’ve misunderstood for ages becomes crystal clear?

I did, about half way through my PhD.

Did I come up with a ground breaking discovery that would revolutionise my field? Did I develop a new theory that would change the way we think about the world?

I finally understood how to write a theoretical framework.

Sound silly? It isn’t. 

During the one-on-one PhD coaching sessions I run, the issue of how to write a theory framework comes up more frequently than any other. The theoretical framework is important, but many people find it difficult. I know I struggled with it. 

Then someone explained the theory framework to me in such a simple way. Here’s the eureka moment: The theoretical framework is like a toolbox.

Simple, right?

Let me explain. In the literature review you highlighted the problem that needs ‘fixing’. The theoretical framework – the ’toolbox’ – details the theories, propositions, hypotheses (if you’re using them) and concepts – the ’tools’ – that you will use to address or make sense of this problem.

So, your job in a theoretical framework chapter is to discuss in detail what the tools look like, how they behave, how they have been used before, how they relate to one another, how they are relevant to your aims and objectives and what the drawbacks are from using them. The methods chapter then discusses how you will use (operationalise) those tools.

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Sounds good, doesn’t it?  Be able to call yourself Doctor sooner with our five-star rated How to Write A PhD email-course. Learn everything your supervisor should have taught you about planning and completing a PhD.

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What is a theoretical framework?

In the literature review you highlighted the problem that needs ‘fixing’. The theoretical framework – the ’toolbox’ – details the theories, propositions, hypotheses (if you’re using them) and concepts – the ’tools’ – that you will use to address or make sense of this problem.

The list of potential explanations for why responses differ is enormous.

You could approach this question with a focus on, say, psychology, power, gender, economics, and so on. The best we can typically hope for – and this is particularly true in much of the social sciences – is an interpretation of the truth.

So – and this is important – we use theory to focus our attention on a small sub-set of all potential explanations, on one particular viewpoint.

Now I know I’m getting into messy epistemological and ontological waters here. I am an interpretivist, so I see theory as a ‘lens’ that you apply to make sense of the world. That’s the shape of my toolbox.

But, even if you’re a positivist you still pick and choose theoretical concepts and hypotheses from a range of available options; you just use them in a different way (rather than a lens, they become testable propositions, or measurement tools).

Without a theoretical framework we are left with a potentially endless choice of potential viewpoints, which would make our data collection and analysis and our discussion hugely chaotic.

Master your lit review & theory framework.

Learn what goes where (and why), and how it all fit together with this free, interactive guide to the PhD literature review and theory framework.

In other words, if we don’t know how to focus our attention, how we can present a coherent explanation? 

The theoretical framework is a natural extension of the literature review. The purpose of the literature review, amongst other things, is to highlight gaps and shortcomings with the existing work in your field.

The theoretical framework details   the perspective you will take   to address that gap and shortcoming.

For example, in   my doctoral research,   my literature review focused on government responses to climate change and pointed out that there hadn’t been much discussion on local government.

The theoretical framework then made an informed decision to come at it from a particular theoretical perspective (institutional theory, if you’re interested) and then discussed what that theory looks like, highlighting the key concepts and ideas. 

In your own research you will also need to make an informed decision about the particular theory you will employ to guide you through the rest of the research.

The theoretical framework is a natural extension of the literature review. The purpose of the literature review, amongst other things, is to highlight gaps and shortcomings with the existing work in your field. The theoretical framework details the perspective you will take to address that gap and shortcoming.

So, the   job of the theoretical framework isn’t to repeat the literature review . Instead, think of it as a   separate, mini literature review , this time focusing on the theory you will employ. You don’t have to discuss every particular use and discussion of the theoretical position you employ. If you did, you’d quickly run out of space and time.

Remember, your examiners are likely to already be familiar with the theory, meaning that rather than discuss every possible thing that there is to discuss about it, you instead need to discuss how and why the theory has been adapted and adopted to the context of your research.

How to structure a theoretical framework

• You need to have a solid grasp of your aims and objectives. These define the space in which your research will sit and your goals when conducting it. You will need to briefly recap these when you start writing your theoretical framework, both to remind the reader and so that you can relate your theory to these overarching aims.
• What theory/theories are you using? Here you need to define and explain each theory you draw upon and, in doing so, discuss the leading proponents and applications. This shows that you understand the theory you are going to adopt.
• You then need to spend time critically arguing why you are adopting this particular theory. There are a lot of potential theories you could use. Why this one? Importantly, you should relate your choice to the discussions in the literature review and your aims and objectives.
• Can the theory/theories be broken down into different schools? Which one are you siding with and why?
• A theory contains a number of concepts. Which will you be drawing upon? Why these ones? Have you defined them properly? The way you approach this section will be influenced by your epistemological and ontological perspective and, thus, whether you use hypotheses or not. If you are using hypotheses, you need to state them as such.
• How do the concepts relate to your aims and objectives?
• Have you clearly stated your ontological and epistemological perspective?
• Are you the first to use this particular theory in this particular way? What benefits or drawbacks does that bring?
• Can you spot any drawbacks with applying this theory? Does it fail to account for a particular dimension of a phenomenon? Is it difficult to operationalize?
• How are your concepts related? Are you using them as hypotheses? Or as a model to make sense of the data? Somewhere in between? Be explicit about how they are all related and what you plan on doing with them.

The goal of writing up a theoretical framework is to tell the reader why you have chosen particular theories, how they relate to the gap in the literature, and how they relate to your aims and objectives.

A short (but necessary) note on ontology and epistemology 

How do i choose theories and create my framework.

Unless you are using an inductive methodological approach (where you generate theory from the data), you will likely approach your fieldwork with a theoretical framework in mind. Which theory or theories you choose is, in part, down to your aims and objectives and whether there is a relevant theory available ‘off-the-shelf’ that is appropriate for your needs.

There are generally three strategies that researchers use to develop their theoretical frameworks: 

• There may be theories in your field that have arisen on the basis of repeated observation and testing and which are widely accepted.
• Or, you might find that you need to select concepts from multiple theories and create a novel framework that is unique to your particular context.
• A growing and important trend in social research is to adopt an interdisciplinary perspective when trying to understand the social world. This can be achieved by looking beyond the dominant, well-established theories and thinking about how other theories, particularly those from other disciplines or sub-disciplines, can be used.

In any case, you must consider the following when selecting a theory:  

• Identify your ontological and epistemological beliefs.
• List several theories that align with your epistemological position and which can aid your understanding of the phenomenon under investigation.
• Engage in literature review around those theories, both to familiarise yourself with them but also to understand their relevance to your study.
• Ask yourself how each theory connects to your problem, aims & objectives.
• Select the theory or theories that provide more relevant tools for your thesis. 

I have more than one theory. What do I do?

  Often, you need to combine concepts, hypotheses or ideas from more than one theoretical school. Employing   more than one theory is entirely legitimate.   I did so in my PhD. 

  However, you need to  consider a few key questions : 

Are the theories you are bringing together epistemologically compatible? 

Have you discussed each theory in the same level of detail to adequately explain the theory, your justification for its inclusion, its relation to the literature and its potential drawbacks? 

What benefits does focusing on more than one theory bring? Perhaps one theory has shortcomings that the other addresses? 

What downsides are there to employing more than one theory? 

Has anyone else used this combination of theories before you? 

The theoretical framework is a tricky section to write, largely because the choice available to you is huge.

But   keep that toolbox metaphor in mind. 

  Each theory contains a number of tools. Your job in the theory framework is to take the tools you need for your project from the most relevant theory/theories and package them up into your own toolbox.

When you’re done, you should see that the theory framework offers:

• Structure, by detailing the key concepts, tools and, where relevant, hypotheses
• A way to connect to other research
• A coherent, joined up set of ideas that structure the writing and help to create an argumentative streak that can run throughout your thesis
• An approach that can be reused in additional contexts once you’re done

Along the way, you need to convince the reader that you’ve picked and applied the most appropriate tools possible, given your aims and objectives.

The theoretical framework frames the research. If you build that frame right, your research will shine. If you don’t then you’ll struggle.

If you need expert guidance to structure, plan or write your theory framework you can get in touch for a one-on-one coaching session . It’s like having a personal trainer, but for your PhD. 

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65 comments.

A great read. Quite some insight into my Phd journey. The conceptual framework?

Glad you found it useful. You having trouble with your conceptual framework?

This is enlightening. I was struggling with my Theoretical framework. I will apply the guidelines here and await feedback from my supervisor. Thanks

I’m glad you found the post useful. Thanks for your kind words.

I came across your posts while helping my wife with her work (I finished my PhD two years ago), and I keep thinking…hmmm the pain I went through to learn this… thank you for making it so easy for others…

Thanks for the kind words. I remember how difficult I found my own PhD, so my motivation is to make life easier for as many other PhD students as possible.

i need some more clear version to develop a theoretical framework. kindly contact me through email. thank you

Great insights. I have read through your thesis. You did a lot of quality work. I see the EM, Environmental Policy Capacity and the institutions theory all discussed. Really detailed and linked. Let me see how mine goes

I’ve sent you an email. I’d be glad to help.

This is very helpful because am really struggling to write my theoretical section. I have a question, I selected a framework but realised it has shortcomings, so I decided to include a model, but also I have another theory. All the three are confusing me how to structure them please I need your help. Thanks

Hi Carolyne,

Thanks for your email. Do you want to have a one-on-one coaching session with me? We’ll be able to get to the bottom of your confusion and clear up your theory problems once and for all. Click here for more details and to book yourself in.

Do you have a structured outline, similar to the overall diss outline, for the theoretical framework?

I sure do. You can find it here: https://www.thephdproofreaders.com/wp-content/uploads/2019/02/Theoretical-Framework-Template_AW_20190208.pdf

What are the advantages of having a chapter on theoretical framework independent of the Literature Review chapter. Please assist.

Thanks for your comment. Whether or not you need a separate literature review and theory framework chapter depends on how distinct they are from one another and on how complex each chapter is. It may be the case that you need two chapters because to discuss both in one would make the chapter very large, complex and hard to follow. Also, it is often the case that the theory framework builds on and addresses gaps you’ve highlighted in your literature review, so for that reason it makes sense to keep them as two separate chapters.

But which one comes first? I thought theoretical framework comes earlier than literature review or is it in a proposal where it is structured that way?

Typically the lit review comes first, then the theory. The lit review makes the case for the research and the theory framework shows the approach you will take to conduct the research.

Thanks for the kind words 🙂

Dear Max, I am using multiple related concepts to frame my research. I am confused whether to dedicate a complete chapter to explain only these five concepts, or just operationalise them in one of the chapters. Again, is introducing these concepts early in my introductory chapter a good idea as it forms one of my research questions. This means I have answered the question in the introductory chapter

Thanks for your comment. Whether or not such concepts end up in your introduction/context discussion will depend in part on whether they are framing your research (as in, providing the background or context) or whether you’re using them to answer your research questions (in which case they’ll form part of your theory framework and will therefore come at a later stage).

Dear Max, I was searching how to structure Theoretical framework and came across your writing. Thank you for this, it is really helpful. I’m one of those phd students who struggles with Theoretical framework :/ I would appreciate your help if possible. Could you please outline, how can I reach you?

Thanks for your kind words. I’m glad you’re finding the phD Knowledge Base useful. You can reach me at max[at]thephdproofreaders.com

Speaks soon!

I’m so confused about my theoretical framework. Could you possibly help please?

Sure. Have you checked out the one-on-one PhD coaching service we offer? It sounds just that’s just what you need.

I couldn’t express how grateful I am. MAY YOU BE SHOWERED WITH BLESSINGS

Thanks! I’m glad you found the advice useful.

wow!!! thank you very much , I have been struggling to write my theoretical framework . thank you.

You’re welcome!

Dr. Max I am expecting to learn more on how to pick the right literatures, related to my theme. all of them seem very nice and informative. I am having hard time to select them. and also I have difficulties in starting the sentence of my Introduction. I am researching on “the impact of Prosperity gospel in Tanzanian mainline churches”. my topic is very popular and many has been said … I feel like I am saying what has been said .

Thanks for your comment. I wish you the best of luck.

Hi Max, Great read. Doing my MA Thesis after years away from academia has been a challenge to say the least. Your article provided clarity that I have been asking for/seeking elsewhere (supervision/consultant) for months. Wish I had of found it earlier but glad I came across it.

Thank you and all the best in these uncertain times.

Great! Glad you’re finding the resources useful. Good luck with the rest of the thesis.

Dear Max, thank you very much, many things got clear after reading this. I have a question, I am using political capability approach as my theoretical foundation which is part of RBW theory. So technically it is not a theory but just an approach, so does this indirectly mean that I am USING RBW Theory? Many Thanks

Hi – glad you found it useful. Without knowing more about your project I’m afraid I can’t advise about your choice of theory framework. Have you approached your supervisor with this question?

This is a very helpful article.

Glad you enjoyed it!

This has been one of the best articles that has clearly outlined the Theoretical framework. Kindly do a Youtibe video for auditory learners with real examples. It will greatly assist me especiall. I am glad I found this article.

Thanks for the kind words and for your feedback. I’ll take it on board for future guides.

Thanks so much for this which has helped me with a sticky bit as I move forward to discover new theoretical concepts from slightly outside my field that fit better than those I started out with. A part-time PhD has such a long life that it leaves too much room for changes and adaptations! A big thank you to Rebecca Baker on a Shut Up and Write Session who referred me to this!

I’m glad you found the guide useful. Thanks to you and to Rebecca Baker!

I found this post very helpful, thanks for sharing

Thanks for reading!

Thank you for this crisp advice on Theoretical framework. personally i have been experiencing difficulties selecting appropriate theory related to the study. However your advice was really beneficial. God bless you for your kindness towards us researchers.

Thanks for the kind words Roshni.

Thank you so much for sharing this information regarding the theoretical framework. I revisited my chapter and strengthened it based on the pointers you outlined here. This is a must read before drafting the chapter. Very helpful ?

Thanks for the kind words. I’m glad you found it useful.

This came just in time! I’m taking a research philosophy course and this week’s discussion is “Theory and Theoretical Frameworks”. I found this very helpful.

Great. I hope it helped deepen your understanding.

Thank you Dr Lempriere for this insightful article. I have just started my PhD journey and I found this article to be very useful and eye-opening.

Interesting and excellent read.

Thank you so very much for sharing your intellectual insights on this.

Hi this is really useful thank you. I have a question regarding one of my tools. I realise (quite late) that I am using one tool in a *generalised* way. I could put this another way – the context in which I found this tool constituted a more particular use of this more general tool, and I am seeking to retrieve it for a more general use. This opens the question – on what grounds am I employing a generalised form of this tool? What constraints govern this process of generalisation? Etc. I wish I’d dealt with this earlier… Do you have any thoughts on how I navigate this?

Hi – I’d love to give you advice, but without knowing more about your research and thesis any advice I would give wouldn’t be qualified. Sorry I can’t be of more help.

I loved your explanation, but what if you ARE doing an inductive project?

I found your article very useful, thank you! I am currently building a Foucauldian theoretical framework through which to discuss a phenomena (“Karens”).

Do you any academic articles which I can use to justify using the interpretavist approach (using theory as a lens)? I cant find anything through my searches.

Hi – sorry, we don’t I’m afraid.

Surely, this is a great lesson offered. How I pray I had your email, I would love to learn more from you. Thank you

Been struggling with my Phd and literature review . This has been very helpful. Is it possible for you to share your email so i can engage more with you and get some insights and help

Really really helpful guide, I am so grateful to you for providing this! It is helping me immensely in developing my own framework, a task which previously seemed scary, confusing and impossible!

Thanks for this. It is very useful. So should I first write my Lit review and then only the theoretical framework? TIA

Thanks! It’s hard to say without knowing more about your project, I’m afraid!

Thank you for the wonderful work. I want to know if theoretical frame work can presented in a diagram form

You’re welcome! Yes, your theory framework can be presented visually. It’s a great way of showing the framework in a clean, simplified way. It also serves as a useful reference guide for people to easily refer back to if they want to remind themselves of what your theory framework looks like.

I found your article highly informative. I recently enrolled for my PhD and my supervisor asked me to submit my Research outline. Does the outline have to have that detailed Theoretical framework. Again how best can I choose the theoretical framework suitable for my topic. If I may have a list of Theoretical frameworks I will be happy. I will also be grateful to have a direct contact with you.

A great insight into how to write a theoretical framework, simple and jargon free, the article makes the purpose and the method of writing the chapter explicit. Thank you.

That’s so kind of you Sethu. I’m glad you found it useful.

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Theoretical Framework: Research Writing Guide

In a thesis or dissertation, a theoretical framework is a section where the writer evaluates or discusses the most relevant theories to their study.

The purpose of this section is to: 

• Define the key concepts
• Combine and evaluate relevant models and theories
• Explain expectations and assumptions that guide the project

The proper presentation of this information frames the research while justifying the approach taken by the writer. This section does this by showing the established ideas on which you ground your work.

Essentially, this section of a dissertation a foundation that supports the analysis that follows. It also allows the author to convincingly interpret their results and state or explain their relevance in a larger context.

When properly written, this section works like the software or buildings that provide critical support to the other aspects of the study. Writing a strong framework with a strong theoretical basis enhances investigations that lead to the achievement of specific study goals.

A well-written framework reduces a dreadful research topic into two basic concepts. These are:

• The study problem
• The rationale behind its investigation

When writing the framework section, focus on creating a piece that connects you with the existing knowledge via the guidance of relevant theories. Also, provide the basis of your hypothesis and your chosen research methods. A professional dissertation writer will help, if you’re in trouble.

What Is a Theoretical Framework?

• The Length of a Theoretical Framework

Theoretical or Conceptual Framework?

Types of theoretical framework, how to write a theoretical framework.

• Summary of a Theoretical Framework Sample

Just like the name suggests, this part of a dissertation or thesis is about theories. Researchers develop theories to draw connections, explain phenomena, and make predictions.

The simplest theoretical framework definition describes it as a collection of theories or interrelated concepts. It comprises concepts and their definitions, as well as, a reference to existing theory and scholarly literature that will be used in a particular study. Your content in this section of a thesis or dissertation must show your understanding of concepts and theories relevant to your research topic. It must also relate them to the considered broader field of knowledge.

• Some students confuse conceptual vs. theoretical framework. In some cases, learners use these terms interchangeably. But though these terms help readers understand the research problem while guiding the collection, as well as, analysis of information, they are different.
• According to the above definition of theoretical framework, it comprises concepts or theories relevant to a study. It highlights how the author will understand and investigate the research problem.
• On the other hand, a conceptual framework can include several formal theories partly or entirely, and other empirical findings and concepts from the field’s literature. The main difference between theoretical and conceptual framework is that the latter demonstrates the relationships among ideas and their relationship with the study.
• A conceptual framework is commonly used in qualitative research. Although some researchers use a theoretical framework in qualitative research, it is common in quantitative research. A conceptual framework is commonly used in qualitative research, especially in behavioral and social science studies.

The Length of a Theoretical Framework

The complexity and length of this section depend on the topic and study field. Some fields and topics have an obvious and well-established theoretical basis. Others need a more detailed justification and explanation.

Maybe you already know that you will apply a specific theory or several theories to your specific context. For instance, you may intend to use the social impact theory when conducting your market research. In that case, the main task is to discuss the main aspects of this theory and then convince the readers that it offers a solid basis that will enable you to answer the research question. It’s also crucial that you evaluate more theories, as long as, they are relevant to your study. Also, tell your readers why you’ve chosen that specific approach.

In some cases, authors draw on different theories and then combine ideas. This approach can lead to strong research. However, it may require more work because you have to implement the theories in your work.

Most theoretical framework examples range between three and five pages. However, no rules govern the length of this section of a dissertation. Nevertheless, try to keep yours within the range of 3-5 pages. This length is adequate for providing all the relevant information your reader wants to know about your chosen theories and assumptions.

Perhaps, you are torn between a theoretical and conceptual framework. Well, the best approach for deciding what to use in your paper is determining the kind of study you want to conduct. If you must use a theoretical framework in qualitative research, determine the theories you intend to use.

That’s because most types of theoretical framework in qualitative research are found in studies based on existing theories. For instance, you can use this framework when your study is based on motivation theory.

On the other hand, a conceptual framework is ideal for something you will develop based on a theory. Thus, you can use some or all concepts of this theory. Thus, you develop a conceptual framework to solve a problem for which you’re doing the study to find a solution.

At this point, you’re no longer asking, ‘what is theoretical framework?’ But, you most likely want to know the types of frameworks that you can consider for your research. Well, this framework provides a lens or a perspective via which you will examine your topic. And this perspective can be from any study field depending on your academic paper.

For instance, a nursing student can use a theoretical framework in nursing research as long as it defines the concepts while explaining the phenomena in question. However, learners can consider other categories and types of theoretical framework in research.

They include: 

• Dynamic and sustainability framework
• Implementation results framework
• Theoretical domains validation framework
• Consolidated implementation research and theoretical domains framework
• Active research implementation framework
• Evaluation framework

The internet has many resources with examples of theoretical framework in qualitative research and quantitative research. Check them out before you use any framework in your research to know what it entails.

This article has already answered the question, ‘what is theoretical framework in research?’ It has also highlighted the types of this framework. But, how do you complete your theoretical framework research work?

Here is a guide for creating this framework for your research: 

• Identify the main concepts : Start by picking the main terms of your research problem or research questions. Some concepts can have several definitions. Your framework should define what each concept means clearly. For instance, if concepts like “customer satisfaction” and “customer loyalty” are central to your study, define them and discuss theories that explain their relationship.
• Explain and evaluate relevant theories : Engage in an extensive literature review to find out the definition of the connections between theories and concepts by other researchers. As you compose your framework, focus on critically evaluating different approaches and comparing them. Establish the most appropriate definitions for your research after discussing different theories and models. Mention all important concepts that are connected to the theories that you discuss in your framework. Explain why you choose a well-established theory for your study and what makes it the most suitable for that purpose. If unsure about the best way to do this, check a theoretical framework example online first.
• Demonstrate how your study fits in : In addition to discussing theories by other people, your framework should demonstrate how your project will implement these ideas. That means you have to test whether your chosen theory holds in your specific context. Also, use this theory to interpret the findings of your study. It’s also crucial to challenge or critique the theory. What’s more, combine various theories in a unique or new way. If possible and relevant, use your framework to come up with your research hypothesis.
• Structure your framework : When writing a dissertation or a thesis paper, you can integrate your framework in the literature review chapter. However, you can have it as a separate section or chapter of your paper. If you will be dealing with several complex theories in your paper, have a separate chapter or section for the framework. Nevertheless, you don’t have to follow specific, fixed rules when it comes to structuring the research theoretical framework section. But, your framework should have a logical, clear structure. For instance, you can draw on your study problems or questions and then structure every section around a major concept or question.

These tips should guide you in writing a framework with the theories or concepts you intend to use in your thesis or dissertation. However, you can apply them differently depending on the nature of your study. For instance, a business paper framework may not be the same as a nursing theoretical framework because these are different study fields. However, the concept of creating this framework is the same.

Summary of a Theoretical Framework Sample

For some researchers, an ideal approach is to define theoretical framework. However, some researchers assume the reader already knows what this framework is all about. As such, they go straight to the details. Below is a summary of a theoretical framework in research example.

Company Y wants to resolve the problem of having many customers buy its products online without returning for subsequent purchases. As such, the company management is looking for ways to enhance customer loyalty, hoping that better customer satisfaction will lead to the achievement of this goal.

In your research, you have developed a problem statement, research question, and research question as follows: 

• Research problem : Most online buyers do not come back for subsequent purchases.
• Objective : To boost customer loyalty hoping to increase revenue through online sales
• Research questions : How can company Y improve the satisfaction of online customers to enhance customer loyalty?

Your framework should focus on answering these questions: 

• Is there a relationship between customer satisfaction and customer loyalty?
• How loyal and satisfied are the online customers of company Y currently?
• What are some of the factors affecting the loyalty and satisfaction of the online customers of company Y?

Customer satisfaction and customer loyalty are major concepts that play a role in such a research paper. Therefore, they should be investigated and measured using theories or concepts that should be featured in the framework.

The information contained in this framework could be different from that of a theoretical framework nursing educators expect. That’s because this framework is meant for a business-oriented research paper. Nevertheless, the approach for writing both frameworks is the same.

The framework section of a thesis or dissertation paper clarifies implicit theories or concepts in a clearly defined manner. It also shows how they connect to the current research and why they are suitable for it. Your academic supervisor will most likely check this section first. Therefore, understanding its purpose and how to write it properly is very important.

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Organizing Academic Research Papers: Theoretical Framework

• Purpose of Guide
• Design Flaws to Avoid
• Glossary of Research Terms
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• Executive Summary
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tertiary Sources
• What Is Scholarly vs. Popular?
• Qualitative Methods
• Quantitative Methods
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Annotated Bibliography
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• How to Manage Group Projects
• Multiple Book Review Essay
• Reviewing Collected Essays
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Research Proposal
• Acknowledgements

Theories are formulated to explain, predict, and understand phenomena and, in many cases, to challenge and extend existing knowledge, within the limits of the critical bounding assumptions. The theoretical framework is the structure that can hold or support a theory of a research study. The theoretical framework introduces and describes the theory which explains why the research problem under study exists.

Importance of Theory

A theoretical framework consists of concepts, together with their definitions, and existing theory/theories that are used for your particular study. The theoretical framework must demonstrate an understanding of theories and concepts that are relevant to the topic of your  research paper and that will relate it to the broader fields of knowledge in the class you are taking.

The theoretical framework is not something that is found readily available in the literature . You must review course readings and pertinent research literature for theories and analytic models that are relevant to the research problem you are investigating. The selection of a theory should depend on its appropriateness, ease of application, and explanatory power.

The theoretical framework strengthens the study in the following ways .

• An explicit statement of  theoretical assumptions permits the reader to evaluate them critically.
• The theoretical framework connects the researcher to existing knowledge. Guided by a relevant theory, you are given a basis for your hypotheses and choice of research methods.
• Articulating the theoretical assumptions of a research study forces you to address questions of why and how. It permits you to move from simply describing a phenomenon observed to generalizing about various aspects of that phenomenon.
• Having a theory helps you to identify the limits to those generalizations. A theoretical framework specifies which key variables influence a phenomenon of interest. It alerts you to examine how those key variables might differ and under what circumstances.

By virtue of its application nature, good theory in the social sciences is of value precisely because it fulfills one primary purpose: to explain the meaning, nature, and challenges of a phenomenon, often experienced but unexplained in the world in which we live, so that we may use that knowledge and understanding to act in more informed and effective ways.

The Conceptual Framework. College of Education. Alabama State University; Drafting an Argument . Writing@CSU. Colorado State University; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006.

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

Here are some strategies to develop of an effective theoretical framework:

• Examine your thesis title and research problem . The research problem anchors your entire study and forms the basis from which you construct your theoretical framework.
• Brainstorm on what you consider to be the key variables in your research . Answer the question, what factors contribute to the presumed effect?
• Review related literature to find answers to your research question.
• List  the constructs and variables that might be relevant to your study. Group these variables into independent and dependent categories.
• Review the key social science theories that are introduced to you in your course readings and choose the theory or theories that can best explain the relationships between the key variables in your study [note the Writing Tip on this page].
• Discuss the assumptions or propositions of this theory and point out their relevance to your research.

A theoretical framework is used to limit the scope of the relevant data by focusing on specific variables and defining the specific viewpoint (framework) that the researcher will take in analyzing and interpreting the data to be gathered, understanding concepts and variables according to the given definitions, and building knowledge by validating or challenging theoretical assumptions.

II.  Purpose

Think of theories as the conceptual basis for understanding, analyzing, and designing ways to investigate relationships within social systems. To the end, the following roles served by a theory can help guide the development of your framework.*

• Means by which new research data can be interpreted and coded for future use,
• Response to new problems that have no previously identified solutions strategy,
• Means for identifying and defining research problems,
• Means for prescribing or evaluating solutions to research problems,
• Way of telling us that certain facts among the accumulated knowledge are important and which facts are not,
• Means of giving old data new interpretations and new meaning,
• Means by which to identify important new issues and prescribe the most critical research questions that need to be answered to maximize understanding of the issue,
• Means of providing members of a professional discipline with a common language and a frame of reference for defining boundaries of their profession, and
• Means to guide and inform research so that it can, in turn, guide research efforts and improve professional practice.

*Adapted from: Torraco, R. J. “Theory-Building Research Methods.” In Swanson R. A. and E. F. Holton III , editors. Human Resource Development Handbook: Linking Research and Practice . (San Francisco, CA: Berrett-Koehler, 1997): pp. 114-137; Sutton, Robert I. and Barry M. Staw. “What Theory is Not.” Administrative Science Quarterly 40 (September 1995): 371-384.

Structure and Writing Style

The theoretical framework may be rooted in a specific theory , in which case, you are expected to test the validity of an existing theory in relation to specific events, issues, or phenomena. Many social science research papers fit into this rubric. For example, Peripheral Realism theory, which categorizes perceived differences between nation-states as those that give orders, those that obey, and those that rebel, could be used as a means for understanding conflicted relationships among countries in Africa. A test of this theory could be the following: Does Peripheral Realism theory help explain intra-state actions, such as, the growing split between southern and northern Sudan that may likely lead to the creation of two nations?

However, you may not always be asked by your professor to test a specific theory in your paper, but to develop your own framework from which your analysis of the research problem is derived . Given this, it is perhaps easiest to understand the nature and function of a theoretical framework if it is viewed as the answer to two basic questions:

• What is the research problem/question? [e.g., "How should the individual and the state relate during periods of conflict?"]
• Why is your approach a feasible solution? [I could choose to test Instrumentalist or Circumstantialists models developed among Ethnic Conflict Theorists that rely upon socio-economic-political factors to explain individual-state relations and to apply this theoretical model to periods of war between nations].

The answers to these questions come from a thorough review of the literature and your course readings [summarized and analyzed in the next section of your paper] and the gaps in the research that emerge from the review process. With this in mind, a complete theoretical framework will likely not emerge until after you have completed a thorough review of the literature .

In writing this part of your research paper, keep in mind the following:

• Clearly describe the framework, concepts, models, or specific theories that underpin your study . This includes noting who the key theorists are in the field who have conducted research on the problem you are investigating and, when necessary, the historical context that supports the formulation of that theory. This latter element is particularly important if the theory is relatively unknown or it is borrowed from another discipline.
• Position your theoretical framework within a broader context of related frameworks , concepts, models, or theories . There will likely be several concepts, theories, or models that can be used to help develop a framework for understanding the research problem. Therefore, note why the framework you've chosen is the appropriate one.
• The present tense is used when writing about theory.
• You should make your theoretical assumptions as explicit as possible . Later, your discussion of methodology should be linked back to this theoretical framework.
• Don’t just take what the theory says as a given! Reality is never accurately represented in such a simplistic way; if you imply that it can be, you fundamentally distort a reader's ability to understand the findings that emerge. Given this, always note the limitiations of the theoretical framework you've chosen [i.e., what parts of the research problem require further investigation because the theory does not explain a certain phenomena].

The Conceptual Framework. College of Education. Alabama State University; Conceptual Framework: What Do You Think is Going On? College of Engineering. University of Michigan; Drafting an Argument . Writing@CSU. Colorado State University; Lynham, Susan A. “The General Method of Theory-Building Research in Applied Disciplines.” Advances in Developing Human Resources 4 (August 2002): 221-241; Tavallaei, Mehdi and Mansor Abu Talib. A General Perspective on the Role of Theory in Qualitative Research. Journal of International Social Research 3 (Spring 2010); Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006.

Writing Tip

Borrowing Theoretical Constructs from Elsewhere

A growing and increasingly important trend in the social sciences is to think about and attempt to understand specific research problems from an interdisciplinary perspective. One way to do this is to not rely exclusively on the theories you've read about in a particular class, but to think about how an issue might be informed by theories developed in other disciplines. For example, if you are a political science student studying the rhetorical strategies used by female incumbants in state legislature campaigns, theories about the use of language could be derived, not only from political science, but linguistics, communication studies, philosophy, psychology, and, in this particular case, feminist studies. Building theoretical frameworks based on the postulates and hypotheses developed in other disciplinary contexts can be both enlightening and an effective way to be fully engaged in the research topic.

Another Writing Tip

Don't Undertheorize!

Never leave the theory hanging out there in the Introduction never to be mentioned again. Undertheorizing weakens your paper. The theoretical framework you introduce should guide your study throughout the paper. Be sure to always connect theory to the analysis and to explain in the discussion part of your paper how the theoretical framework you chose fit the research problem, or if appropriate, was inadequate in explaining the phenomenon you were investigating. In that case, don't be afraid to propose your own theory based on your findings.

Still Another Writing Tip

What's a Theory? What's a Hypothesis?

The terms theory and hypothesis are often used interchangeably in everyday use. However, the difference between them in scholarly research is important, particularly when using an experimental design. A theory is a well-established principle that has been developed to explain some aspect of the natural world. Theories arise from repeated observation and testing and incorporates facts, laws, predictions, and tested hypotheses that are widely accepted [e.g., rational choice theory; grounded theory].

A hypothesis is a specific, testable prediction about what you expect to happen in your study. For example, an experiment designed to look at the relationship between study habits and test anxiety might have a hypothesis that states, "We predict that students with better study habits will suffer less test anxiety." Unless your study is exploratory in nature, your hypothesis should always explain what you expect to happen during the course of your research.

The key distinctions are:

• A theory predicts events in a broad, general context;  a hypothesis makes a specific prediction about a specified set of circumstances.
• A theory has been extensively tested and is generally accepted among scholars; a hypothesis is a speculative guess that has yet to be tested.

Cherry, Kendra. Introduction to Research Methods: Theory and Hypothesis . About.com Psychology; Gezae, Michael et al. Welcome Presentation on Hypothesis . Slideshare presentation.

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Writing theoretical frameworks, analytical frameworks and conceptual frameworks

Three of the most challenging concepts for me to explain are the interrelated ideas of a theoretical framework, a conceptual framework, and an analytical framework. All three of these tend to be used interchangeably. While I find these concepts somewhat fuzzy and I struggle sometimes to explain the differences between them and clarify their usage for my students (and clearly I am not alone in this challenge), this blog post is an attempt to help discern these analytical categories more clearly.

A lot of people (my own students included) have asked me if the theoretical framework is their literature review. That’s actually not the case. A theoretical framework , the way I define it, is comprised of the different theories and theoretical constructs that help explain a phenomenon. A theoretical framework sets out the various expectations that a theory posits and how they would apply to a specific case under analysis, and how one would use theory to explain a particular phenomenon. I like how theoretical frameworks are defined in this blog post . Dr. Cyrus Samii offers an explanation of what a good theoretical framework does for students .

For example, you can use framing theory to help you explain how different actors perceive the world. Your theoretical framework may be based on theories of framing, but it can also include others. For example, in this paper, Zeitoun and Allan explain their theoretical framework, aptly named hydro-hegemony . In doing so, Zeitoun and Allan explain the role of each theoretical construct (Power, Hydro-Hegemony, Political Economy) and how they apply to transboundary water conflict. Another good example of a theoretical framework is that posited by Dr. Michael J. Bloomfield in his book Dirty Gold, as I mention in this tweet:

In Chapter 2, @mj_bloomfield nicely sets his theoretical framework borrowing from sociology, IR, and business-strategy scholarship pic.twitter.com/jTGF4PPymn — Dr Raul Pacheco-Vega (@raulpacheco) December 24, 2017

An analytical framework is, the way I see it, a model that helps explain how a certain type of analysis will be conducted. For example, in this paper, Franks and Cleaver develop an analytical framework that includes scholarship on poverty measurement to help us understand how water governance and poverty are interrelated . Other authors describe an analytical framework as a “conceptual framework that helps analyse particular phenomena”, as posited here , ungated version can be read here .

I think it’s easy to conflate analytical frameworks with theoretical and conceptual ones because of the way in which concepts, theories and ideas are harnessed to explain a phenomenon. But I believe the most important element of an analytical framework is instrumental : their purpose is to help undertake analyses. You use elements of an analytical framework to deconstruct a specific concept/set of concepts/phenomenon. For example, in this paper , Bodde et al develop an analytical framework to characterise sources of uncertainties in strategic environmental assessments.

A robust conceptual framework describes the different concepts one would need to know to understand a particular phenomenon, without pretending to create causal links across variables and outcomes. In my view, theoretical frameworks set expectations, because theories are constructs that help explain relationships between variables and specific outcomes and responses. Conceptual frameworks, the way I see them, are like lenses through which you can see a particular phenomenon.

A conceptual framework should serve to help illuminate and clarify fuzzy ideas, and fill lacunae. Viewed this way, a conceptual framework offers insight that would not be otherwise be gained without a more profound understanding of the concepts explained in the framework. For example, in this article, Beck offers social movement theory as a conceptual framework that can help understand terrorism . As I explained in my metaphor above, social movement theory is the lens through which you see terrorism, and you get a clearer understanding of how it operates precisely because you used this particular theory.

Dan Kaminsky offered a really interesting explanation connecting these topics to time, read his tweet below.

I think this maps to time. Theoretical frameworks talk about how we got here. Conceptual frameworks discuss what we have. Analytical frameworks discuss where we can go with this. See also legislative/executive/judicial. — Dan Kaminsky (@dakami) September 28, 2018

One of my CIDE students, Andres Ruiz, reminded me of this article on conceptual frameworks in the International Journal of Qualitative Methods. I’ll also be adding resources as I get them via Twitter or email. Hopefully this blog post will help clarify this idea!

You can share this blog post on the following social networks by clicking on their icon.

Posted in academia .

Tagged with analytical framework , conceptual framework , theoretical framework .

By Raul Pacheco-Vega – September 28, 2018

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Thanks, this had some useful clarifications for me!

I GOT CONFUSED AGAIN!

No need to be confused!

Thanks for the Clarification, Dr Raul. My cluttered mind is largely cleared, now.

Thanks,very helpful

I too was/am confused but this helps 🙂

Thank you very much, Dr.

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• Volume 22, Issue 2
• Integration of a theoretical framework into your research study
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• Roberta Heale 1 ,
• Helen Noble 2
• 1 Laurentian University , School of Nursing , Sudbury , Ontario , Canada
• 2 Queens University Belfast , School of Nursing and Midwifery , Belfast , UK
• Correspondence to Dr Roberta Heale, School of Nursing, Laurentian University, Ramsey Lake Road, Sudbury, P3E2C6, Canada; rheale{at}laurentian.ca

https://doi.org/10.1136/ebnurs-2019-103077

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Often the most difficult part of a research study is preparing the proposal based around a theoretical or philosophical framework. Graduate students ‘…express confusion, a lack of knowledge, and frustration with the challenge of choosing a theoretical framework and understanding how to apply it’. 1 However, the importance in understanding and applying a theoretical framework in research cannot be overestimated.

The choice of a theoretical framework for a research study is often a reflection of the researcher’s ontological (nature of being) and epistemological (theory of knowledge) perspective. We will not delve into these concepts, or personal philosophy in this article. Rather we will focus on how a theoretical framework can be integrated into research.

The theoretical framework is a blueprint for your research project 1 and serves several purposes. It informs the problem you have identified, the purpose and significance of your research demonstrating how your research fits with what is already known (relationship to existing theory and research). This provides a basis for your research questions, the literature review and the methodology and analysis that you choose. 1 Evidence of your chosen theoretical framework should be visible in every aspect of your research and should demonstrate the contribution of this research to knowledge. 2

What is a theory?

A theory is an explanation of a concept or an abstract idea of a phenomenon. An example of a theory is Bandura’s middle range theory of self-efficacy, 3 or the level of confidence one has in achieving a goal. Self-efficacy determines the coping behaviours that a person will exhibit when facing obstacles. Those who have high self-efficacy are likely to apply adequate effort leading to successful outcomes, while those with low self-efficacy are more likely to give up earlier and ultimately fail. Any research that is exploring concepts related to self-efficacy or the ability to manage difficult life situations might apply Bandura’s theoretical framework to their study.

Using a theoretical framework in a research study

Example 1: the big five theoretical framework.

The first example includes research which integrates the ‘Big Five’, a theoretical framework that includes concepts related to teamwork. These include team leadership, mutual performance monitoring, backup behaviour, adaptability and team orientation. 4 In order to conduct research incorporating a theoretical framework, the concepts need to be defined according to a frame of reference. This provides a means to understand the theoretical framework as it relates to a specific context and provides a mechanism for measurement of the concepts.

In this example, the concepts of the Big Five were given a conceptual definition, that provided a broad meaning and then an operational definition, which was more concrete. 4 From here, a survey was developed that reflected the operational definitions related to teamwork in nursing: the Nursing Teamwork Survey (NTS). 5 In this case, the concepts used in the theoretical framework, the Big Five, were the used to develop a survey specific to teamwork in nursing.

The NTS was used in research of nurses at one hospital in northeastern Ontario. Survey questions were grouped into subscales for analysis, that reflected the concepts of the Big Five. 6 For example, one finding of this study was that the nurses from the surgical unit rated the items in the subscale of ’team leadership' (one of the concepts in the Big Five) significantly lower than in the other units. The researchers looked back to the definition of this concept in the Big Five in their interpretation of the findings. Since the definition included a person(s) who has the leadership skills to facilitate teamwork among the nurses on the unit, the conclusion in this study was that the surgical unit lacked a mentor, or facilitator for teamwork. In this way, the theory of teamwork was presented through a set of concepts in a theoretical framework. The Theoretical Framework (TF)was the foundation for development of a survey related to a specific context, used to measure each of the concepts within the TF. Then, the analysis and results circled back to the concepts within the TF and provided a guide for the discussion and conclusions arising from the research.

Example 2: the Health Decisions Model

In another study which explored adherence to intravenous chemotherapy in African-American and Caucasian Women with early stage breast cancer, an adapted version of the Health Decisions Model (HDM) was used as the theoretical basis for the study. 7 The HDM, a revised version of the Health Belief Model, incorporates some aspects of the Health Belief Model and factors relating to patient preferences. 8 The HDM consists of six interrelated constituents that might predict how well a person adheres to a health decision. These include sociodemographic, social interaction, experience, knowledge, general and specific health beliefs and patient preferences, and are clearly defined. The HDM model was used to explore factors which might influence adherence to chemotherapy in women with breast cancer. Sociodemographic, social interaction, knowledge, personal experience and specific health beliefs were used as predictors of adherence to chemotherapy.

The findings were reported using the theoretical framework to discuss results. The study found that delay to treatment, health insurance, depression and symptom severity were predictors to starting chemotherapy which could potentially be adapted with clinical interventions. The findings from the study contribute to the existing body of literature related to cancer nursing.

Example 3: the nursing role effectiveness model

In this final example, research was conducted to determine the nursing processes that were associated with unexpected intensive care unit admissions. 9 The framework was the Nursing Role Effectiveness Model. In this theoretical framework, the concepts within Donabedian’s Quality Framework of Structure, Process and Outcome were each defined according to nursing practice. 10 11  Processes defined in the Nursing Role Effectiveness Model were used to identify the nursing process variables that were measured in the study.

A theoretical framework should be logically presented and represent the concepts, variables and relationships related to your research study, in order to clearly identify what will be examined, described or measured. It involves reading the literature and identifying a research question(s) while clearly defining and identifying the existing relationship between concepts and theories (related to your research questions[s] in the literature). You must then identify what you will examine or explore in relation to the concepts of the theoretical framework. Once you present your findings using the theoretical framework you will be able to articulate how your study relates to and may potentially advance your chosen theory and add to knowledge.

• Kalisch BJ ,
• Parent M , et al
• Strickland OL ,
• Dalton JA , et al
• Eraker SA ,
• Kirscht JP ,
• Lightfoot N , et al
• Harrison MB ,
• Laschinger H , et al

Funding The authors have not declared a specific grant for this research from any funding agency in the public, commercial or not-for-profit sectors.

Competing interests None declared.

Provenance and peer review Not commissioned; internally peer reviewed.

Patient and public involvement Not required.

Read the full text or download the PDF:

• Chapter 1: Home
• Narrowing Your Topic
• Problem Statement
• Purpose Statement
• Conceptual Framework

Designing the Theoretical Framework

Theoretical framework guide, making a theoretical framework, example framework, additional framework resources.

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What is it?

• A foundational review of existing theories. 
• Serves as a roadmap or blueprint for developing arguments and supporting research.
• Overview of the theory that the research is based on.
• Can be made up of theories, principles, and concepts.

What does it do?

• Explains the why and how of a particular phenomenon within a particular body of literature.
• Connects the research subject with the theory.
• Specifies the study’s scope; makes it more valuable and generalizable.
• Guides further actions like framing the research questions, developing the literature review, and data collection and analyses.

What should be in it?

• Theory or theories that the researcher considers relevant for their research, principles, and concepts.
• Theoretical Framework Guide Use this guide to determine the guiding framework for your theoretical dissertation research.

How to make a theoretical framework

• Specify research objectives.
• Note the prominent variables under the study.
• Explore and review the literature through keywords identified as prominent variables.
• Note the theories that contain these variables or the keywords.
• Review all selected theories again in the light of the study’s objectives, and the key variables identified.
• Search for alternative theoretical propositions in the literature that may challenge the ones already selected.
• Ensure that the framework aligns with the study’s objectives, problem statement, the main research question, methodology, data analysis, and the expected conclusion.
• Decide on the final framework and begin developing.
• Theoretical Framework Example for a Thesis or Dissertation This link offers an example theoretical framework.

Some additional helpful resources in constructing a theoretical framework for study:

• https://www.scribbr.com/dissertation/theoretical-framework/
• https://www.scribbr.com/dissertation/theoretical-framework-example/
• https://www.projectguru.in/how-to-write-the-theoretical-framework-of-research/

Theoretical Framework Research

The term conceptual framework and theoretical framework are often and erroneously used interchangeably (Grant & Osanloo, 2014). A theoretical framework provides the theoretical assumptions for the larger context of a study, and is the foundation or ‘lens’ by which a study is developed. This framework helps to ground the research focus understudy within theoretical underpinnings and to frame the inquiry for data analysis and interpretation.  The application of theory in traditional theoretical research is to understand, explain, and predict phenomena (Swanson, 2013).

Casanave, C.P.,& Li,Y.(2015). Novices’ struggles with conceptual and theoretical framing in writing  dissertations and papers for publication. Publications,3 (2),104-119.doi:10.3390/publications3020104

Grant, C., & Osanloo, A. (2014). Understanding, Selecting, and Integrating a Theoretical Framework in Dissertation Research: Creating the Blueprint for Your “House. ” Administrative Issues Journal: Connecting Education, Practice, and Research, 4(2), 12–26

Swanson, R. (2013). Theory building in applied disciplines . San Francisco: Berrett-Koehler Publishers.

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Theoretical Framework in Research: Definition & How to Write It

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One of the most challenging phases in research is creating a theoretical framework. Failure to include this part may result in your work being rejected by publishers or professors. It is a crucial part of dissertation writing because it offers a theoretical context that enables readers to assess your work. Specifically, it helps in establishing a foundation upon which all sections of a study are developed.  But can you tell what is theoretical framework in research? Students, in general, find it very difficult to even define, choose, and formulate an appropriate background that can inform their research. If you are one of them, then this piece is specifically created to address your needs. The article describes ideas about how to write a theoretical framework. Additionally, you will gain insights into the types of theory in research so that you can create a solid blueprint for an inquiry.  Contact our Ph.D. academic writers if you need help with dissertation . We're open to helping you anytime.

What Is a Theoretical Framework: Definition

So, what is a theoretical foundation? A theoretical framework is a summary of all theories that outline and clarify the boundaries of what you are investigating. It is impossible to explore all things associated with your topic. Rather, you usually present assumptions regarding how various ideas are related and explain a particular issue using a theoretical framework. These are the key variables, constructs, or factors of your dissertation that illuminate exactly the scope of analysis.  Theoretical frameworks are critically important both for quantitative and qualitative studies . As the basis of a thesis or dissertation, they are built on existing and relevant research theories and must comply with your objectives. Theories intend to support and structure the rationale, problem, purpose, questions, and meaning of your research paper. Remember that as the investigation progresses and data is collected, the core assumptions you identified might also change. Thus, you can refine the context of your study along the way.

Why Are Theoretical Frameworks Important?

Your work will be of no use if you cannot describe its theoretical foundation. Here is how the theoretical framework benefits your study. It:

• Guides all aspects of an inquiry from thesis declaration to the conclusion. It helps you in exploring diverse theories, which enriches your investigation’s strengths.
• Offers a structure demonstrating how your report is expressed. In particular, a theoretical framework in research can be stated analytically, epistemologically, or philosophically.
• Helps you avoid simple descriptions of an issue by examining different factors surrounding it. Thus, ensure to affirm your theoretical statements.
• Allows readers to evaluate your manuscript from varying angles.
• Enables you to predict your research problem, including any limits of your focus area. Its importance is in specifying which main variables affect your dissertation topic and explaining how they vary based on what conditions.
• Acts as a tool for filtering relevant questions and guiding data collection.

Types of Research Theories

There is a close connection between an investigation and what model is used, as stated previously, about how important it is to establish a theoretical basis. This association can be characterized as a transaction in which theoretical models determine the kind of data that can be collected and how a study should be organized. Therefore, it is essential to know the three types of theory in research:

• Descriptive This is what an exploratory researcher uses in classifying a particular feature or element of an event, situation, group, or individual by identifying commonalities. Usually, this is done after observing them discreetly. It is a simple type of theory in research, and is needed when you do not understand a phenomenon entirely.
• Relational These research theories are used by mostly correlational researchers in specifying how various characteristics of a phenomenon of interest are related. Researchers use them to explain the relationship between different parts of an issue. Their development requires one to know the essential aspects of a problem or first develop and validate a descriptive model.
• Explanatory Explanatory theories in research go further than relational accounts by precisely predicting the causative association between dimensions of a topic or how groups differ. Experimental investigators develop these models after formulating relational ones and use them to address cause and effect type of questions.

Theoretical Framework in Research

At this point, you already know what a theoretical framework is. However, you may not understand the types of theories in research that you can consider for an inquiry. Well, a model offers a perspective through which you will explore a study problem. But, this view can be from any theoretical approach depending on the nature of your manuscript.  Specifically, different categories of frameworks can be selected. Examples include grounded , critical, leadership, driving force, phenomenological , transcendental, and feminist theories. Others are functional, postmodernism, Marxist, constructionist, critical race, and game approach. As highlighted earlier, your field of study and discipline influence which theoretical model you will use. Even within a specific discipline, your pick affects how the analysis will be conducted because a single topic can be interpreted by different philosophies.  Consider domestic violence as an example. Conflict theory will look into differences in resource possession as the cause, while the functional system will focus on gender role differences. Thus, the best way to find applicable concepts for your paper involves immersing yourself in the existing literature about a phenomenon. While you may find a specific principle, the theoretical review will reveal one or different interrelated core ideas from which to frame an investigation. Whatever choice you have, make sure to explain it in your work. Buy dissertations at StudyCrumb in case you have limited time and can’t prepare your theoretical framework.

Theoretical Framework Structure

The theoretical framework is an illustrative view of the link you anticipate seeing between variables of interest. These concepts are generated after reviewing relevant studies. Therefore, place this section just after a literature review segment to guide your methodology part. Learn how to write your theoretical framework by following this layout. Structure it by:

• Setting your objectives and aims first. This helps you relate a model to the main goals.
• Defining and explaining a theory. Clarify which approach you are focusing on, its major supporters, and its applications.
• Developing a strong argument. Evaluate your selection critically over other potential models.
• Choosing and describing your thoughts. Identify which side you are on and why.
• Ascertaining the ideas. Organize a theoretical framework by elaborating on which concepts you will use and why. Also, elucidate how these notions are associated with each other and the aims of your approach and how you will achieve the objectives.
• Stating your view. What is your epistemological and ontological standpoint?
• Recognizing any limitations of your framework. Expound why it cannot account for a specific feature of your work and solution.

How to Write a Theoretical Framework

To create a theoretical framework , you must first identify a study problem and understand why your approach offers a practicable solution. You do this after reviewing relevant course texts in your dissertation. If you can provide an answer to the aforementioned issues, you have the foundations for composing your thesis or dissertation. The following steps demonstrate how to develop a theoretical framework based on the design mentioned previously. You can apply them in qualitative, quantitative, and mixed methods studies.

1. Inspect Your Research Problem

Consider your research problem or the subject of your work very closely because it acts as a theoretical base. You will build an appropriate model using it. Describe any gaps in understanding that drove your project and offer a summary of different ways others have tackled the issue. This provides a specific setting for your theoretical framework by showing how you are examining instances of broader phenomena. It also helps in linking your manuscript to the wider theoretical constructs, contested views, or existing gaps in your field. In turn, this enables you to demonstrate that the thesis aims to illuminate vital themes and is, therefore, crucial for your subject area.

2. Determine the Key Variables

Next, list all variables you think are key in your theoretical framework. These can be: 

• Independent and dependent variables
• Confounding variables
• Extraneous variables .

In other words you should identify what factors contribute to the estimated outcome. This helps you locate, define, and break down the central terms related to your research question or problem statement . It is important because some of them can mean several things based on context. Thus, your theoretical work must clarify what each one denotes. You use this information in your future discussion about theories linking the identified concepts. 

For example, a business is unable to reach young customers under 25 years old . It operates a chain of cafes across the city. Although it has a new website and dishes for this group, there are no orders. The key leadership thinks adding online payment techniques will appeal to young clients and enhance user satisfaction . It is anticipated that this will simplify the buying process, attract more people, and grow the user base.

Here, the core elements of a theoretical background are determined by:

• Identifying an issue, which is the lack of orders from young customers.
• Explaining the objective, i.e., examining if online payment techniques increase user satisfaction.
• Formulating a research question stated below.

Does implementing online payments enhance user satisfaction among young online customers aged under 25 years old ?

The main components are: 

• “ user satisfaction ”
• “ clients aged under 25 years old ”
• “ online payments .”

Your model must define and discuss these ideas.

3. Conduct a Literature Review

The third step in developing a theoretical framework is conducting a literature review associated with your topic. The intention is to ascertain how others have discussed an issue, identify which tools and assumptions they applied and made respectively, and discover how they specified and built connections of key concepts. Remember to use credible and peer-reviewed works only as you research the theoretical framework. Your focus here is on contrasting and assessing the approaches of various scholars critically while writing a theoretical framework of a study. Specifically, check how they defined important ideas, their justifications, and what theories they used. This helps you in building your project and establishing vital and fitting definitions. You may need a sample literature review outline , we have a special blog to help you with this step.

4. Discuss Relevant Theories

You also need to analyze relevant theories when writing a theoretical framework. Remember that while some of them are popular, no right or perfect system for your research paper exists. Therefore, you must state which approaches you encountered in your review of current studies, discuss what they propose or assume, and elaborate on how these suggestions relate to your study. Clarify how your selected model will assist in answering your research question and conducting an investigation. In other words, how can it serve as a reference for your project? This offers useful knowledge that helps in building a theoretical framework in research. You should also assess the relative value of each principle for your subject area to have a sense of which ones are commonly applied in examining your research problem.  Additionally, identify how your work will implement those ideas by scrutinizing whether specific perspectives hold in the context of your inquiry. You will gain useful insights to help in selecting the best theories in research. What is more, in the framework a theory must relate to your most important propositions. Make sure this is the case. For example, if you found a certain belief unfit, explain why.

5. Go Beyond the Existing Theories

In addition to evaluating and exemplifying extant viewpoints as you write a theoretical framework, you should demonstrate how your work refutes or supports actual theories. Specifically, position your research in a wider context or with varying models. This enables you to build a theoretical framework that offers genuine insights into your problem. It also helps you in examining if an existing view can be used to interpret your findings, deliberating on or challenging notions critically, and combining different philosophies in a new or unique way to form a distinct philosophy.  Finish your theoretical writing by providing your audience with an explanation about how your project is useful or solves an issue feasibly in the field. You can then continue with other sections of your work such as research methodology , discussion section , or results section . 

Theoretical Framework Writing Tips

Here are additional tips for writing a theoretical framework. When composing this section, ensure to:

• Use the present tense during discussions about your work.
• Describe your model, concepts, and specific theoretical framework models you will use explicitly.
• Explain any assumptions of your selected framework clearly.
• Identify the strengths and drawbacks of your approach, particularly those elements of your research problem requiring further investigation due to inadequate descriptions by the theory.
• Develop a theoretical framework diagram. This is like a conceptual map that helps in identifying key ideas, philosophies, and the relationship between them.
• Conduct an interdisciplinary review by examining constructs outside of your field.
• Use your identified approach throughout the study.
• Be ready to challenge the validity of any model you encounter.

Theoretical Framework Checklist

Consider the following checklist as you complete your theoretical framework:

Bottom Line on Theoretical Framework

This article provided a thorough explanation of what is a theoretical model. Therefore, you should be able to define a theoretical framework without any difficulties after reading all the sections. It is a crucial part of your research paper that cannot be ignored because it determines how you develop, collect data, and explain the findings of your work. The blog also described the process of how to make a theoretical framework. Use these details to create appropriate models for your project. Once you do that, you might also need to develop a conceptual framework .

In case you still experience any difficulties with your research, delegating your task to a professional writing service will be a smart solution. Buy thesis or dissertation at our platform and we will find the most qualified expert to work on your research.

FAQ About Theoretical Frameworks

1. what is the purpose of a theoretical framework.

The purpose of a theoretical framework is to capture any lessons and concepts from current theories and propose how a new research problem can be answered. Since you will find multiple models that can offer theoretical support to your paper, a framework provides guidance that helps in comparing and selecting the best options.

2. How long should a theoretical framework be?

Even though there are no rules regarding the length of a theoretical framework, this section should be 3-5 pages long. You must provide enough relevant details to your audience within this space. However, if you go past this span and find yourself needing to add more information, a possible reason is that you did not explain yourself succinctly.

3. What is the difference between a theoretical framework and a literature review?

The two are not the same thing. A literature review is where you make a case for your work by examining existing studies and identifying gaps in knowledge. This is what your project will focus on filling based on your research aims, objectives, and hypotheses . In contrast, with a theoretical framework, you demonstrate how to address an issue or which perspective you will use to collect and understand data.

5. What tense should I use when writing a theoretical framework?

While writing your theoretical framework, ensure to use the present tense. This is important because it is what you are currently doing. Apply this to all things related to your project.

4. What should I include in a theoretical framework?

In developing your theoretical framework, make sure to include a definition of theories or ideas you are basing your work on, a statement of which context these concepts have been examined previously, key studies about your selected models and propositions, and your plan for exploring them. Additionally, identify any gaps you intend to fill and limitations encountered by you and others.

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• checkbox I presented and explained the main models and theories related to my work. Alternatively, my assumptions are stated explicitly to enable readers to evaluate them critically.
• checkbox I can describe what theoretical frameworks are.
• checkbox I used peer-reviewed sources and cited them correctly.
• checkbox I have discussed and assessed existing literature about approaches or ideas and identified gaps.
• checkbox I provided information regarding how key concepts are related.
• checkbox I have identified relevant models informing my research.
• checkbox My framework explains why my work is important and valid.
• checkbox I stated and included relevant assumptions and their guiding theories.
• checkbox My model acts as the basis for my entire manuscript and gives direction in answering my research question.

Theoretical vs Conceptual Framework

What they are & how they’re different (with examples)

By: Derek Jansen (MBA) | Reviewed By: Eunice Rautenbach (DTech) | March 2023

If you’re new to academic research, sooner or later you’re bound to run into the terms theoretical framework and conceptual framework . These are closely related but distinctly different things (despite some people using them interchangeably) and it’s important to understand what each means. In this post, we’ll unpack both theoretical and conceptual frameworks in plain language along with practical examples , so that you can approach your research with confidence.

Overview: Theoretical vs Conceptual

What is a theoretical framework, example of a theoretical framework, what is a conceptual framework, example of a conceptual framework.

• Theoretical vs conceptual: which one should I use?

A theoretical framework (also sometimes referred to as a foundation of theory) is essentially a set of concepts, definitions, and propositions that together form a structured, comprehensive view of a specific phenomenon.

In other words, a theoretical framework is a collection of existing theories, models and frameworks that provides a foundation of core knowledge – a “lay of the land”, so to speak, from which you can build a research study. For this reason, it’s usually presented fairly early within the literature review section of a dissertation, thesis or research paper .

Let’s look at an example to make the theoretical framework a little more tangible.

If your research aims involve understanding what factors contributed toward people trusting investment brokers, you’d need to first lay down some theory so that it’s crystal clear what exactly you mean by this. For example, you would need to define what you mean by “trust”, as there are many potential definitions of this concept. The same would be true for any other constructs or variables of interest.

You’d also need to identify what existing theories have to say in relation to your research aim. In this case, you could discuss some of the key literature in relation to organisational trust. A quick search on Google Scholar using some well-considered keywords generally provides a good starting point.

Typically, you’ll present your theoretical framework in written form , although sometimes it will make sense to utilise some visuals to show how different theories relate to each other. Your theoretical framework may revolve around just one major theory , or it could comprise a collection of different interrelated theories and models. In some cases, there will be a lot to cover and in some cases, not. Regardless of size, the theoretical framework is a critical ingredient in any study.

Simply put, the theoretical framework is the core foundation of theory that you’ll build your research upon. As we’ve mentioned many times on the blog, good research is developed by standing on the shoulders of giants . It’s extremely unlikely that your research topic will be completely novel and that there’ll be absolutely no existing theory that relates to it. If that’s the case, the most likely explanation is that you just haven’t reviewed enough literature yet! So, make sure that you take the time to review and digest the seminal sources.

Need a helping hand?

A conceptual framework is typically a visual representation (although it can also be written out) of the expected relationships and connections between various concepts, constructs or variables. In other words, a conceptual framework visualises how the researcher views and organises the various concepts and variables within their study. This is typically based on aspects drawn from the theoretical framework, so there is a relationship between the two.

Quite commonly, conceptual frameworks are used to visualise the potential causal relationships and pathways that the researcher expects to find, based on their understanding of both the theoretical literature and the existing empirical research . Therefore, the conceptual framework is often used to develop research questions and hypotheses .

Let’s look at an example of a conceptual framework to make it a little more tangible. You’ll notice that in this specific conceptual framework, the hypotheses are integrated into the visual, helping to connect the rest of the document to the framework.

As you can see, conceptual frameworks often make use of different shapes , lines and arrows to visualise the connections and relationships between different components and/or variables. Ultimately, the conceptual framework provides an opportunity for you to make explicit your understanding of how everything is connected . So, be sure to make use of all the visual aids you can – clean design, well-considered colours and concise text are your friends.

Theoretical framework vs conceptual framework

As you can see, the theoretical framework and the conceptual framework are closely related concepts, but they differ in terms of focus and purpose. The theoretical framework is used to lay down a foundation of theory on which your study will be built, whereas the conceptual framework visualises what you anticipate the relationships between concepts, constructs and variables may be, based on your understanding of the existing literature and the specific context and focus of your research. In other words, they’re different tools for different jobs , but they’re neighbours in the toolbox.

Naturally, the theoretical framework and the conceptual framework are not mutually exclusive . In fact, it’s quite likely that you’ll include both in your dissertation or thesis, especially if your research aims involve investigating relationships between variables. Of course, every research project is different and universities differ in terms of their expectations for dissertations and theses, so it’s always a good idea to have a look at past projects to get a feel for what the norms and expectations are at your specific institution.

Want to learn more about research terminology, methods and techniques? Be sure to check out the rest of the Grad Coach blog . Alternatively, if you’re looking for hands-on help, have a look at our private coaching service , where we hold your hand through the research process, step by step.

Psst… there’s more (for free)

This post is part of our dissertation mini-course, which covers everything you need to get started with your dissertation, thesis or research project. 

16 Comments

Thank you for giving a valuable lesson

good thanks!

VERY INSIGHTFUL

thanks for given very interested understand about both theoritical and conceptual framework

I am researching teacher beliefs about inclusive education but not using a theoretical framework just conceptual frame using teacher beliefs, inclusive education and inclusive practices as my concepts

good, fantastic

great! thanks for the clarification. I am planning to use both for my implementation evaluation of EmONC service at primary health care facility level. its theoretical foundation rooted from the principles of implementation science.

This is a good one…now have a better understanding of Theoretical and Conceptual frameworks. Highly grateful

Very educating and fantastic,good to be part of you guys,I appreciate your enlightened concern.

Thanks for shedding light on these two t opics. Much clearer in my head now.

Simple and clear!

The differences between the two topics was well explained, thank you very much!

Thank you great insight

Superb. Thank you so much.

Hello Gradcoach! I’m excited with your fantastic educational videos which mainly focused on all over research process. I’m a student, I kindly ask and need your support. So, if it’s possible please send me the PDF format of all topic provided here, I put my email below, thank you!

I am really grateful I found this website. This is very helpful for an MPA student like myself.

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Theoretical Framework Examples for Research Studies

Table of Contents

When you are involved in a research study, you must be aware of the various types of theoretical frameworks. In case, you don’t know what a theoretical framework means, continue reading this blog. Here, we have shared a brief overview of the theoretical framework and its types. Also, for your understanding, we have presented theoretical framework examples for a thesis or a dissertation.

What is a Theoretical Framework?

A framework that supports a research study’s theory is called the theoretical framework. The theoretical framework includes not only the theory but also a narrative explanation of how the researcher applies the theory and its underlying assumptions to study the research question.

In research studies, a theoretical framework refers to the collection of concepts, theories, ideas, and assumptions that help in understanding a particular event or situation. It may also be treated as a blueprint from which scholars might create their research questions.

Typically, in research, a theoretical framework aids in the planning, execution, analysis, and interpretation of the findings. Furthermore, it describes how variables relate to one another, points out knowledge gaps, and directs the formulation of research questions, hypotheses, and methodology to fill those gaps.

Types of Theoretical Frameworks

The following are the different types of theoretical frameworks for a research study.

• Conceptual: Determines key concepts and relationships.
• Inductive: Begins with facts and then creates a hypothesis; utilized in qualitative research.
• Deductive: In quantitative research, a general hypothesis is developed and then tested using data.
• Empirical: Focuses on the acquisition and analysis of empirical data for scientific study.
• Explanatory: Explains the causes of specific behaviors; applied in psychology and social sciences.
• Normative: Defines a collection of behavioral rules; applied in ethics and social sciences.

Also Read: 195 Informative Social Studies Topics for Academic Writing

Significance of a Theoretical Framework

The goal of theoretical frameworks is to help researchers in the following ways at the time of the research process.

• Provide a structured framework for the entire research process.
• Help researchers incorporate formal theories into their studies as a guide.
• Give a general guideline for maintaining the research focus.
• Direct the choice of research techniques, data gathering, and data analysis.
• Help establish hypotheses and research questions by understanding the links between various concepts.
• Fill in the gaps in the existing literature.
• Examine the data collected and derive relevant conclusions. Also, to make generalized findings.

Know How to Prepare a Theoretical Framework

If you have no idea how to make a theoretical framework, follow these steps.

• Identify the research objectives.
• Take note of the study’s most prominent variables.
• Investigate and evaluate the literature using keywords selected as prominent variables.
• Note the theories that use these variables or keywords.
• Review each of the chosen theories once again in the context of the goals of the research and the identified critical variables.
• Look through the literature for counterarguments to the theories that have already been chosen.
• Ensure that the framework is consistent with the study’s objectives, problem statement, primary research question, methodology, data analysis, and expected result.
• Select the final framework and start working on it.

Understand Theoretical Framework with Illustrations

A theory that can be used to explain and comprehend the facts in your research study is known as a theoretical framework. There are numerous ideas, and they all have unique perspectives on the world. Each will influence the way we view and comprehend our facts.

Have a look at these theoretical framework examples,

• Feminists see the world from the aspect of women’s oppression and power.
• According to functionalists, social order is upheld by the concepts and ideas that exist in our communities.
• Behaviorists study how incentives, or rewards and penalties, influence people’s actions in the real world.
• Postmodernists view how discourse and language affect belief systems in the real world.

Usually, when we choose a theoretical framework, we make an intentional decision regarding our approach and focus. For example, feminist and critical theories are theoretical frameworks that will investigate how power operates in society. In a sociological or cultural studies analysis, this could be useful. However, they will be less helpful in a study of classroom learning, which may benefit from using ‘behaviorism’ or ‘constructivism’ as theoretical frameworks.

The following are some theoretical framework examples for a dissertation or a thesis.

Constructivism

In educational psychology, constructivism is a hypothesis about how individuals think and learn. It says that people build their knowledge and understanding of the world by experiencing things and thinking back on them.

Cognitive dissonance arises when new information contradicts preexisting ideas. This dissonance is resolved through assimilation and accommodation processes, which lead to the development of a new understanding of what we perceive that is ideally a closer approximation of the truth.

It opposes the previously dominant notion in psychology, behaviorism, which holds that we learn best through rewards, punishments, and relationships between concepts.

Behaviorism

In behavioral psychology, behaviorism is a learning theory that asserts that behaviors are acquired through association, try, and error.

This theory takes the philosophical position that learning must be measured. It ignores inner cognitive states because according to behaviorists, thoughts cannot be assessed. As a result, this theory proposes that behavior should be researched in a scientific and observable manner, with no regard for underlying psychological processes.

Psychoanalytic Theory

According to psychoanalytic and psychodynamic theories, which were first put out by Sigmund Freud, human behavior is the outcome of interactions between the id, ego, and superego, the three mental components.

Psychology students may apply this theory to their research project in which they observe the behaviors of patients and compare them to the theories of Freud regarding developmental stages, the relationship between the id, ego, and superego, or the influence of the subconscious on cognition and behavior.

This theoretical framework is rarely applied today, although it serves as a basis for more highly esteemed theories like psychosocial theory.

Psychosocial Theory

Psychoanalytic theory by Freud is an expansion of psychosocial theory. This theory emphasizes how early social interactions impact results later in life while maintaining that subconscious ideas influence conduct.

Erik Erikson, a pivotal contributor to the development of psychosocial theory postulated that people have approximately defined life stages, each requiring us to overcome obstacles such as an inferiority complex against industry.

Psychosocial theory plays a key role in investigating the genesis of psychological complexes that individuals encounter in their lives and assists them in overcoming them.

Feminist Theory

A social and political framework known as feminism examines how men and women are viewed in society to promote the rights and interests of women.

Generally, a researcher using a feminist framework would be primarily interested in how women are positioned with males in society and how a constructed gender hierarchy shapes and structures their lives and personal autonomy.

Conflict Theory

Conflict theory is a framework based on Marxist ideas about how power operates in society through economic and cultural apparatuses. It often emphasizes the role of coercion and power, particularly with social class and economic capital.

This method usually entails analyzing how a capitalist setting distributes power through the economy, policy documents, media, and other channels. Some conflict theorists might investigate prospects for cultural and economic existence in a post-capitalist world by looking at non-capitalist contexts like workers’ cooperatives.

Also Read: Know How to Write Effective Psychology Assignment

A Few More Theoretical Frameworks

The following are some additional theoretical frameworks in communication studies, sociology, psychology, and economics.

• Agenda-Setting Theory
• Cultivation Theory
• Postmodernism
• Labeling Theory
• Postcolonialism
• Strain Theory
• Poststructuralism
• Functionalism
• Symbolic Interactionism
• Marxist Economics
• Behavioral Economics and more

Wrapping Up

Choosing a theoretical framework is the first step in your research study. Once chosen, it will serve as the foundation for your research methodology and data gathering and analysis techniques. Furthermore, in the analysis chapters of your dissertation, you can frequently refer to ideas and concepts within your selected theoretical framework to shed light on your observations.

In case, you are unsure how to prepare a theoretical framework, call us immediately. At greatassignmenthelp.com, we have several talented thesis writers and dissertation helpers . As per your needs, they will assist you in making a well-structured theoretical framework before the deadline. Furthermore, by getting assignment help from our scholarly writers you can also widen your knowledge of theoretical frameworks.

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How to write the theoretical framework of the research?

Many would not know that the lack of a well-defined theoretical framework can be an important reason for the failure of research. A research study aims to explore the unexplored or under-explored aspects of a subject. This assesses the researcher’s understanding and application of the different theoretical concepts. A generic layout or structure is followed by the researchers which guide them in the accomplishment of the research objectives. While some elements of the layout are common and appear in every research, there are others often missed out by the researchers.

Yet another common misconception is that the theoretical framework is same as the conceptual framework. This article provides an insight into many such notions about theoretical framework and explains:

• What a theoretical framework is?
• How it should be developed?
• Why it is important to include in a research paper.?

What is a theoretical framework?

It is the ‘blueprint’ of the research. It conveys the vision of the study as has been envisaged by the researcher. A simplistic explanation of the theoretical framework can be that it consists of the:

• principles,
• concepts and,
• constructs of a theory or theories that the researcher considers to be relevant for the research (Adom, Agyem Joe and Hussein, 2018).

It can be said that the framework and literature review are inter-related. While the review of literature on the subject aids in developing the framework, it is also vice-versa. This provides a clear structure to the study.

Why it is important to include a framework in a study?

The framework is an integral part of research because it provides the theoretical construct to the research. It is based upon existing theories in the literature but developed by the researcher relying on the judgment. The purpose of the theoretical framework is to specify the theory that the research would be based on, among the several types of research on the same subject. If the framework is not properly defined, the confusion will remain throughout the research regarding why not the researcher has opted for any other theory.

An example of the framework

If research on cross-cultural consumers’ attitudes has to be conducted, one has a wide range of theoretical options to choose from like:

• Hofstede’s Cultural Dimensions Theory,
• Cross-cultural Adaptation Theory,
• Spitzberg’s Model of Intercultural Communication Competence and,
• Trompenaars Cultural Dimensions Theory.

Review the research objectives along with the available theories. Then decide which theory should be employed in the research and can offer a valid justification.

This will determine the theoretical framework of the research. This expresses the researcher’s perspective on the research subject. The framework connects the research subject with the theory hence specifies the study’s scope and makes it more valuable and generalizable. Additionally, it also guides the further course of action like:

• framing the research questions,
• developing the literature review,
• data collection and analyses.

In the absence of a theoretical framework, the research becomes vague (Lederman and Lederman, 2015).

Is theoretical and conceptual framework the same?

One of the significant barriers in the way of developing a good framework is the misconception that the theoretical framework and conceptual frameworks are the same; they actually are not. Many times researchers get confused and even attribute each of these concepts to the nature of the study under consideration, i.e., qualitative or quantitative.

However, both can be used together in either form of research. While the theoretical framework is based on the existing theories of the concepts related to the study at hand, the conceptual framework gives liberty to make alterations to the theoretical framework. The researcher may use only a few variables of the propounded theory or model that are relevant for the study.

An example to show the difference between theoretical and conceptual framework

A scholar working on PESTLE analysis may prefer to drop “Legal” or “Environment” elements while researching upon consumer behaviour or may not necessarily consider all six dimensions of the Hofstede Model. Contrariwise, new constructs or variable which the scholar feels are relevant can be added as well.

Thus, the conceptual framework is an attempt to narrow down the theoretical framework to make it suitable for the research. Simplistically, the theoretical framework determines the direction and conceptual framework chalks out the path that the researcher needs to take up to accomplish the goals. The conceptual framework helps in developing the hypotheses for the study based on the foundation of the theoretical framework.

Moreover, the conceptual framework helps to develop operational definitions of the variables considered for the study. These variables definitely emerge from the theoretical framework that prescribes the charter of the theories (Adom, Agyem Joe and Hussein, 2018).

How to write the theoretical framework?

Although there is no set pattern for developing a framework, one can follow the below process to develop the same:

• Specify the research objectives.
• List down the prominent variables under the study.
• Explore the literature through keywords identified as main variables.
• Note down the theories that contain these variables or the keywords.
• Review all the selected theories once again in the light of the study’s objectives, and the key variables identified.
• Search for alternative theoretical propositions in the literature that can probably challenge the ones already selected.
• Make the final decision and develop the framework.

The next important question can be regarding the placement of the framework in a study. A theoretical framework is usually provided in the initial sections, preferably in the first chapter ‘Introduction.’ This would assist the readers to understand from the beginning the underlying theoretical constructs which have been the basis of researcher’s hypotheses. The conceptual framework, on the other hand, usually forms part of the Literature Review.

To ensure that an appropriate framework has been developed, review the framework to ascertain whether it is in alignment with the study:

• objectives,
• problem statement,
• the main research question,
• methodology, data analysis, and the expected conclusion.

A trick here can be ensuring that the chosen theories are well developed and have several constructs that are widely available. This would simplify the entire task and save time.

• Adom, D., Agyem Joe, A. and Hussein, E. (2018) ‘THEORETICAL AND CONCEPTUAL FRAMEWORK: MANDATORY INGREDIENTS OF A QUALITY RESEARCH’, International Journal of Scientific Research , 7(1), pp. 438–441.
• Lederman, N. G. and Lederman, J. S. (2015) ‘What Is A Theoretical Framework? A Practical Answer’, Journal of Science Teacher Education , 1 November, pp. 593–597. doi: 10.1007/s10972-015-9443-2.
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3 thoughts on “How to write the theoretical framework of the research?”

Research paper, proofreading.