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Conceptual Framework – Types, Methodology and Examples

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A conceptual framework is a structured representation of the variables, relationships, and theories underlying a research study. It provides a visual or written guide to help researchers define the scope of their work, clarify research objectives, and connect findings to broader theoretical foundations. A well-crafted conceptual framework ensures that research is coherent, organized, and grounded in established knowledge.

This article explores the types of conceptual frameworks, the methodology for developing them, and practical examples to illustrate their application.

Conceptual Framework

A conceptual framework outlines the key concepts, variables, and their interconnections in a study. It is often depicted through diagrams or models that represent the theoretical structure of the research. The framework serves as a foundation, linking theoretical knowledge to research questions and methodologies.

Key Features:

• Defines Variables: Identifies the independent, dependent, and mediating variables in the study.
• Establishes Relationships: Shows how variables interact or influence each other.
• Guides Research: Helps researchers design studies, collect data, and interpret results systematically.

Example: In a study examining the impact of social media usage on academic performance, the conceptual framework might include variables like “time spent on social media,” “type of content accessed,” and “study habits.”

Importance of a Conceptual Framework

• Clarity and Focus: Provides a clear understanding of the research topic and its boundaries.
• Connection to Theory: Links the research to established theories and models.
• Guides Methodology: Influences the choice of research methods and data collection techniques.
• Interprets Results: Offers a lens through which to analyze and understand findings.
• Enhances Credibility: Demonstrates the academic rigor and depth of the study.

Types of Conceptual Frameworks

1. descriptive conceptual framework.

• Focus: Describes the key concepts and their relationships without predicting outcomes.
• Use Case: Ideal for exploratory studies aiming to understand phenomena.
• Example: A framework illustrating the factors influencing consumer preferences, such as price, quality, and branding.

2. Explanatory Conceptual Framework

• Focus: Explains causal or correlational relationships between variables.
• Use Case: Suitable for studies aiming to test hypotheses or causal links.
• Example: A framework showing how work environment affects employee productivity through motivation.

3. Predictive Conceptual Framework

• Focus: Forecasts outcomes based on relationships among variables.
• Use Case: Common in studies seeking to predict trends or behaviors.
• Example: A model predicting customer satisfaction based on service quality and response time.

4. Analytical Conceptual Framework

• Focus: Breaks down complex systems into smaller, manageable components.
• Use Case: Used in studies analyzing multifaceted systems or problems.
• Example: Analyzing the impact of government policies on economic growth, breaking it into policy type, sectoral impact, and GDP changes.

5. Integrative Conceptual Framework

• Focus: Combines multiple theories or models to address a research question.
• Use Case: Ideal for interdisciplinary studies requiring insights from various fields.
• Example: Merging psychological and sociological theories to study social media’s influence on mental health.

Methodology for Developing a Conceptual Framework

1. identify the research problem.

Clearly define the issue or question the research aims to address.

• Example: “What is the impact of leadership style on employee satisfaction?”

2. Review Existing Literature

Examine relevant theories, models, and studies to identify key concepts and variables.

• Example: Herzberg’s Two-Factor Theory might inform a study on workplace motivation.

3. Define Key Variables

Identify the independent (cause), dependent (effect), and mediating/moderating variables in the study.

• Independent Variable: Leadership Style.
• Dependent Variable: Employee Satisfaction.
• Mediating Variable: Communication Quality.

4. Establish Relationships

Determine how the variables interact or influence each other.

• Example: Leadership style influences employee satisfaction directly and indirectly through communication quality.

5. Design the Framework

Create a visual representation (diagram or flowchart) to illustrate the relationships. Include arrows or lines to indicate causal links or correlations.

6. Refine and Align

Ensure the framework aligns with research objectives and methods. Review it with advisors or peers for clarity and coherence.

Examples of Conceptual Frameworks

Example 1: educational research.

Research Question: How does parental involvement affect students’ academic performance? Conceptual Framework:

• Independent Variable: Parental Involvement (e.g., time spent helping with homework).
• Dependent Variable: Academic Performance (e.g., grades or test scores).
• Mediating Variable: Student Motivation.
• Arrows from “Parental Involvement” to “Student Motivation” and “Academic Performance.”
• An arrow from “Student Motivation” to “Academic Performance.”

Example 2: Business Research

Research Question: What factors influence customer loyalty in online shopping? Conceptual Framework:

• Independent Variables: Website Usability, Product Quality, Customer Support.
• Dependent Variable: Customer Loyalty.
• Moderating Variable: Customer Satisfaction.
• Arrows from each independent variable to “Customer Loyalty,” with “Customer Satisfaction” as a moderator.

Example 3: Healthcare Research

Research Question: How do lifestyle factors impact cardiovascular health? Conceptual Framework:

• Independent Variables: Diet, Exercise, Stress Levels.
• Dependent Variable: Cardiovascular Health.
• Mediating Variable: Body Mass Index (BMI).
• Arrows from “Diet,” “Exercise,” and “Stress Levels” to “BMI” and “Cardiovascular Health.”
• An arrow from “BMI” to “Cardiovascular Health.”

Advantages of a Conceptual Framework

• Organized Approach: Structures the research process and keeps it focused.
• Enhanced Clarity: Clarifies the relationships among variables for both researchers and readers.
• Theory Integration: Bridges theoretical knowledge with empirical research.
• Improved Communication: Visual representations make complex relationships easier to understand.
• Guides Analysis: Provides a reference point for interpreting data and findings.

Limitations of Conceptual Frameworks

• Over-Simplification: May oversimplify complex phenomena by focusing only on selected variables.
• Bias Risk: Frameworks can reflect the researcher’s subjective perspective, leading to biased interpretations.
• Rigidity: Pre-defined structures may limit the exploration of unexpected findings.
• Dependency on Literature: Relies heavily on the availability and quality of existing research.

Tips for Crafting a Strong Conceptual Framework

• Be Specific: Clearly define variables and their roles in the study.
• Use Visuals: Incorporate diagrams to enhance understanding and presentation.
• Align with Objectives: Ensure the framework directly addresses the research goals.
• Incorporate Feedback: Review the framework with mentors or colleagues to refine it.
• Keep it Flexible: Allow room for adjustments based on new insights or findings.

A conceptual framework is a vital component of research that organizes ideas, links theories to research objectives, and visually represents the relationships among variables. By understanding its types, employing a systematic methodology, and using practical examples, researchers can craft frameworks that enhance clarity, coherence, and the overall quality of their work. Whether used in social sciences, business, or healthcare, a well-developed conceptual framework serves as the backbone of meaningful research.

• Creswell, J. W. (2018). Research Design: Qualitative, Quantitative, and Mixed Methods Approaches . Sage Publications.
• Maxwell, J. A. (2013). Qualitative Research Design: An Interactive Approach . Sage Publications.
• Miles, M. B., Huberman, A. M., & Saldaña, J. (2014). Qualitative Data Analysis: A Methods Sourcebook . Sage Publications.
• Yin, R. K. (2017). Case Study Research and Applications: Design and Methods . Sage Publications.
• Strauss, A., & Corbin, J. (2015). Basics of Qualitative Research: Techniques and Procedures for Developing Grounded Theory . Sage Publications.

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Understanding Conceptual and Theoretical Frameworks in Research

By Karen Johnson, Ed.D.

Introduction

Planning a research study or writing a proposal for your dissertation?  Where should you begin?

An early foundational step is determining a clear and concise framework to guide the study. Conceptual and theoretical frameworks come into play here. They provide structure and ensure that your research is grounded in established knowledge. Let’s look at what these frameworks are, their importance, and how to use them effectively.

What Are Conceptual and Theoretical Frameworks?

A conceptual framework.

Is essentially a system of concepts, assumptions, expectations, beliefs, and theories that supports and informs your research. 

A conceptual framework is essentially a system of concepts, assumptions, expectations, beliefs, and theories that supports and informs your research. Think of it as a map that helps you navigate your study, outlining the key constructs and their relationships. It helps you understand what you are investigating and why. Conceptual frameworks are typically found in qualitative research.

A theoretical framework

Is a structure that can hold or support a theory of a research study.

A theoretical framework is a structure that can hold or support a theory of a research study. It introduces and describes the theory that explains why the research problem under study exists. While a conceptual framework is broader and can include multiple theories and concepts, a theoretical framework is usually focused on a specific theory. Theoretical frameworks are typically found in quantitative research.

The Importance of Frameworks in Research

Using conceptual and theoretical frameworks offers several benefits. Initially, they help clarify your research questions and hypotheses. By having a clear framework, you can better define what you are looking to explore and predict potential outcomes.

Secondly, frameworks provide a context for interpreting results. They ensure that your analysis and findings are grounded in established knowledge, making your research more credible and reliable.

Lastly, frameworks ensure consistency in the research process. They guide data collection and analysis, helping you stay focused and organized. Moreover, they help communicate your findings in a structured way, making it easier for others to understand and build upon your work.

Examples of Concepts and Theories

To understand these frameworks better, let’s look at some examples.

Concepts are abstract ideas or general notions. Examples include motivation, intelligence, stress, and resilience. These are the building blocks of theories and are crucial in forming a conceptual framework.

Theories, on the other hand, are systematic explanations of underlying phenomena or behavior. Maslow's Hierarchy of Needs is a theory that describes how human needs are prioritized, starting from basic physiological needs to self-actualization. Another example is Bandura's Social Learning Theory, which explains how people learn from observing others. Find theories that relate to your topic by searching for theories related to the keywords in your research questions.

How to Use Frameworks in Your Research

Here are some steps to effectively use these frameworks in your research:

1.     Identify Your Key Concepts : Start by identifying the main concepts related to your research question. For example, if you're studying employee motivation, key concepts might include job satisfaction, work environment, and reward systems.

2.     Choose a Relevant Theory : Select a theory that aligns with your research. This helps formulate hypotheses and guides data collection and analysis. For instance, in studying organizational behavior, Herzberg's Two-Factor Theory could be relevant.

3.     Develop Your Framework : Outline how your concepts interrelate. Create a visual representation, like a diagram, to map out these relationships. This helps in understanding the direction and scope of your study. Using a visual representation can also show where the concepts overlap to further provide rigor in the study.

4.     Apply and Refine : Use your framework to guide your research process. Be prepared to refine it as you gather data and gain insights. It's a dynamic tool may evolve with your study.

In summary, conceptual and theoretical frameworks are essential tools in research. They provide structure, guide your study, and help you make sense of your findings. By understanding and utilizing these frameworks, you’ll be well-equipped to conduct thorough and impactful research. Whether you’re a novice researcher or an experienced academic, these frameworks are invaluable in ensuring the success and credibility of your study.

Note: This blog is based in part on the webinar Clear Windows or Clouded Lenses? Viewing Data Through Ethical Frames/Conceptual and Theoretical Frameworks, offered by the CEITR center on  May 14, 2024.

Additional Resources

Access the conceptual and Theoretical framework resources including the video the recorded Webinars by joining the  Research Methodology Group (RMG) at Teams .

Karen Johnson, Ed.D.

ABOUT THE AUTHOR

Karen Johnson, Ed.D., is a research methodology group leader in the University’s Center for Educational and Instructional Technology Research (CEITR). A faculty member at the University of Phoenix since 2005, she currently serves as a University Research Methodologist for CDS. She is also a reviewer for CEITR’s dissertation to publication workshop and a second-tier reviewer for the international journal,  The Qualitative Report . Johnson earned a doctorate in Higher Education from Texas Tech University and completed her Master of Arts and bachelor’s degrees from the University of Texas. 

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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. As such, the theoretical framework encompasses not only a theory, but the narrative explanation about how the researcher engages in using the theory and its underlying assumptions to investigate the research problem. The framework 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 are rarely applied to writing papers in high school and, as a result, can come across as unfamiliar and ambiguous when first introduced to a college 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 * , 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.

* 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): 46.

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; 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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Theoretical Framework in Research: Definition, Types & Examples

• October 12, 2024

Dr. Marvin L. Smith

A theoretical framework (TF) is a conceptual model that outlines the relationships between variables, assumptions, and theories that guide your research . It provides a clear direction, ensures consistency, and helps you make informed decisions throughout your study. 

A well-developed theoretical framework is essential for creating a solid research design, choosing the right research methodology , and producing reliable and valid results. 

In this article, we’ll explore what theoretical frameworks are, why they’re important, and how to create one for your research.

Table of Contents

What is a Theoretical Framework?

A theoretical framework is a conceptual structure that outlines the underlying principles , concepts , and theories that guide a research study . 

It is a blueprint that explains how variables relate to each other, the assumptions that underlie these relationships, and the theoretical perspectives that inform the research. 

In essence, a theoretical framework is the intellectual foundation of a research study, providing a clear direction and guiding the development of the research design, methodology, and analysis.

Components of a Theoretical Framework

A theoretical framework typically consists of three main components:

• Variables : These are the key concepts or factors that are being studied. Variables can be independent (the cause), dependent (the effect), or moderating (influencing the relationship between the independent and dependent variables).
• Relationships : This refers to the way in which the variables interact with each other. Relationships can be causal (cause-and-effect), correlational (associated with each other), or reciprocal (influencing each other).
• Assumptions : These are the underlying beliefs or suppositions that inform the theoretical framework. Assumptions can be explicit (clearly stated) or implicit (implied), and they often reflect the researcher’s perspective or worldview.

Types of Theoretical Frameworks

Theoretical frameworks can be categorized into several types, each with its own distinct purpose and characteristics. Understanding the different types of theoretical frameworks can help researchers choose the most suitable approach for their study.

1. Descriptive Theoretical Frameworks

Descriptive theoretical frameworks aim to describe a phenomenon or a concept in detail. They provide a snapshot of the current state of knowledge and help to identify patterns, trends, and relationships.

• Example: A study that uses a descriptive theoretical framework to examine the characteristics of a specific population, such as the demographics of a city or the features of a new disease.

2. Explanatory Theoretical Frameworks

Explanatory theoretical frameworks seek to explain why a phenomenon occurs or how it works. They provide insights into the underlying mechanisms and processes that shape the phenomenon.

• Example: A study that uses an explanatory theoretical framework to investigate the causes of a social issue, such as poverty or crime.

3. Predictive Theoretical Frameworks

Predictive theoretical frameworks aim to forecast future events or outcomes. They use statistical models and data analysis to identify patterns and trends that can be used to make predictions.

• Example: A study that uses a predictive theoretical framework to forecast the impact of climate change on a specific region or industry.

4. Prescriptive Theoretical Frameworks

Prescriptive theoretical frameworks provide guidance on how to solve a problem or address a specific issue. They offer recommendations and strategies for action.

• Example: A study that uses a prescriptive theoretical framework to develop a new policy or intervention to address a social issue, such as education or healthcare.

5. Conceptual Theoretical Frameworks

Conceptual theoretical frameworks focus on developing new concepts, theories, or models. They provide a foundation for further research and help to advance knowledge in a particular field.

• Example: A study that uses a conceptual theoretical framework to develop a new theory of learning or a new model of organizational behavior.

How to Develop a Theoretical Framework

Here are the steps to create a theoretical framework:

Step 1: Conduct a Literature Review

A literature review is a comprehensive analysis of existing research on the topic . 

It helps to:

• Identify key concepts, theories, and models related to the research topic
• Understand the current state of knowledge in the field
• Identify gaps in existing research
• Develop a clear research question or hypothesis

A thorough literature review provides a solid foundation for developing a theoretical framework.

Step 2: Conceptualize the Theoretical Framework

Conceptualization involves defining the key concepts, variables, and relationships that will be studied. 

It involves:

• Identifying the key variables and their relationships
• Defining the theoretical perspectives and assumptions that underlie the framework
• Developing a clear and concise conceptual model

A well-conceptualized theoretical framework provides a clear direction for the research and ensures that the study is focused and relevant.

Step 3: Operationalize the Theoretical Framework

Operationalization involves defining how the variables and relationships will be measured and observed. 

• Developing a clear and concise operational definition of each variable
• Identifying the data sources and methods that will be used to collect data
• Developing a plan for data analysis and interpretation

A well-operationalized theoretical framework ensures that the research is feasible, reliable, and valid.

Step 4: Refine and Finalize the Theoretical Framework

Refining and finalizing the theoretical framework involves:

• Reviewing and revising the framework based on feedback from peers and experts
• Ensuring that the framework is consistent with the research question and objectives
• Finalizing the framework and preparing it for implementation

A well-developed theoretical framework provides a clear direction for the research, ensures that the study is well-designed and well-executed, and helps to advance knowledge in the field.

Theoretical Framework vs. Conceptual Framework

The terms “theoretical framework” and “conceptual framework” are often used interchangeably, but they have distinct meanings. While both frameworks provide a structure for understanding and organizing knowledge, they differ in their scope, purpose, and level of abstraction.

Theoretical Framework

A theoretical framework is a broad, overarching structure that outlines the underlying principles, concepts, and theories that guide a research study. It provides a comprehensive and systematic approach to understanding a phenomenon or a concept, and is often used to explain, predict, or control a particular outcome.

Conceptual Framework

A conceptual framework , on the other hand, is a more specific and detailed structure that outlines the key concepts, variables, and relationships that are relevant to a particular research study. It provides a clear and concise model of the research topic, and is often used to guide the development of research questions, hypotheses, and methods.

Key Differences

The key differences between a theoretical framework and a conceptual framework are:

• Scope : A theoretical framework is broader in scope, while a conceptual framework is more specific and detailed.
• Purpose : A theoretical framework is used to provide a comprehensive understanding of a phenomenon or concept, while a conceptual framework is used to guide the development of research questions, hypotheses, and methods.
• Level of Abstraction : A theoretical framework is more abstract, while a conceptual framework is more concrete and specific.

In summary, while both theoretical and conceptual frameworks are essential components of research, they serve different purposes and have distinct characteristics. A theoretical framework provides a broad, overarching structure for understanding a phenomenon or concept, while a conceptual framework provides a more specific and detailed model of the research topic. We will explore these differences in more depth in a future article.

Example of a Theoretical Framework

To illustrate the concept of a theoretical framework, let’s consider an example from the field of education.

Theoretical Framework: Social Cognitive Theory

Suppose we want to study the factors that influence students’ motivation to learn. We could use the Social Cognitive Theory (SCT) as our theoretical framework. SCT posits that human behavior is the result of the interaction between personal factors, environmental factors, and behavior.

Key Components of the Theoretical Framework

The key components of the SCT theoretical framework are:

• Personal Factors : cognitive, affective, and biological factors that influence behavior
• Environmental Factors : social, cultural, and physical factors that influence behavior
• Behavior : the actions and reactions of individuals
• Reciprocal Determinism : the interaction between personal factors, environmental factors, and behavior

How the Theoretical Framework Guides Research

Using the SCT theoretical framework, we could develop research questions and hypotheses that explore the relationships between personal factors, environmental factors, and behavior. For example:

• How do students’ self-efficacy beliefs (personal factor) influence their motivation to learn (behavior)?
• How does the classroom environment (environmental factor) influence students’ motivation to learn (behavior)?
• How do students’ motivation to learn (behavior) influence their academic achievement (outcome)?

Benefits of Using a Theoretical Framework

Using a theoretical framework like SCT provides several benefits, including:

• Clear direction : the theoretical framework provides a clear direction for the research, ensuring that the study is focused and relevant
• Consistency : the theoretical framework ensures that the research is consistent with the underlying theory and concepts
• Generalizability : the theoretical framework enables the findings to be generalized to other contexts and populations

By using a theoretical framework like SCT, researchers can develop a comprehensive understanding of the factors that influence students’ motivation to learn, and identify strategies to promote motivation and academic achievement.

A theoretical framework provides direction, consistency, and generalizability to research studies. It facilitates the development of research questions, hypotheses, and methods, ensuring a focused and rigorous study. By using a theoretical framework, researchers can make meaningful contributions to existing knowledge and advance our understanding of the world.

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• 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.

• Quantitative Research Questions This link opens in a new window
• Qualitative Research Questions This link opens in a new window
• Qualitative & Quantitative Research Support with the ASC This link opens in a new window
• Library Research Consultations This link opens in a new window

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: Definition, Function, Development

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by  Antony W

June 26, 2024

This is the complete guide on the theoretical framework in research. Here you’ll learn what a theoretical framework is, how to structure it, and how to create one.

Researchers formulate theories to explain, understand, and predict phenomena with the intention to challenge and expand on the existing knowledge within the boundaries of their assumptions. By using a theoretical framework, researchers can easily introduce and explicitly explain why the research problem under investigation exists in the first place.

To be clear, a theoretical framework isn’t just a list of concepts, definitions, and existing theories. It must provide a clear demonstration that shows you understand the concepts and theories in relation to the field of study that you’re currently investigating.

What is a Theoretical Framework?

A theoretical framework is a compilation of all research findings used to explain the connected concepts developed from one or more theories. Ideally, the theoretical framework enables you to not only explain your theories but also present your research in a relevant academic debate.

The framework includes:

• Definition of terms: Definition of terms in the theoretical framework provides a point of reference for the reader, as it explains the meaning of common terms, words, or phrases used in your scientific document.
• Logical connections: Connects terms, theories, and ideas in a logical order so that a reader finds them easy to read and understand. A strong logical connection can go a long way to support the theories you make in the process of scientific questioning and testing.
• Explanation of theories: A theoretical framework can have one or more theories. You should provide a clear explanation for each and make sure your description shows how each of your theories relate to your research.

In thesis and dissertation writing , the framework can be part of the review of the existing literature or have its own chapter in the assignment. Having a separate section is particularly useful in the case where the research involves dealing with a number of complex theories.

Learning institutions don’t have fixed rules for creating a theoretical framework. All that matters is that you create a clear, logical structure that you can use for authentic and comprehensive research.

What Role Does Theoretical Framework Play in Research?

The primary goal of developing a theoretical framework is to have a structure that you can use to support your research and theories. It allows you to not only define terms and phrase but also to logically connect the ideas you already have.

The theoretical framework strengthens your research study in at least six significant ways.

• In addition to outlining significant variables that influence a phenomenon of interest, a theoretical framework make it easy to examine the variables under different circumstances in which they might differ.
• Having a theoretical framework gives you the opportunity to evaluate your assumptions critically.
• You can use a theoretical framework to organize complex documents into formats that are easy to read. Doing so makes it easy for you to coordinate the ideas that you have with supporting research.
• Since a theoretical framework includes a relevant theory, you can easily connect to the already existing knowledge and have a solid basis for your hypothesis as well as research methods you choose to use.
• A theoretical framework puts in a position where you have to address the questions of why and how. You not only describe a situation but also give the various aspect of that particular phenomenon.
• The framework makes it easy for you to explain how your theories align with existing studies as well as your own. With this structure, you have a foundation you can use to expand your research ideas, test additional theories, and disapprove or support hypothesis. 

In general, a theoretical framework is significant in research because it’s a useful mean, which you can identify and explain the meaning, nature, value, and challenges of experienced yet unexplained situation in the world in which you live. The knowledge you gain with the help of a theoretical framework is incredibly useful as it helps you to act in a more informed way.

How to Develop a Theoretical Framework

Developing a theoretical framework isn’t difficult, especially since there are no fixed rules to follow. You can do this by:

1. Defining Your Objective

Examining your thesis title and research problem, which anchors the study and forms the foundation necessary for developing the framework.

This is where you define the objective of your research and where you consider what you intend to achieve with your research. Your objective should be clear and concise, written in a way that readers can easily understand.

Follow this with a clear problem statement, which is the definition of the study and the problem you wish to address. The statement doesn’t have to be in-depth. Use simple words, sentences, and phrases to ex plain the purpose of the study.

Once you identify the research problem, construct a research question, which will be the basis of your theories or hypothesis. A research problem is important because it helps your readers to understand the information you seek and the purpose of your study.

2. Identify the Dependent and Independent Variables

Identify and brainstorm the most significant variables and determine the factors that are the likely contributors of the presumed effect.

3. Examine the Existing Literature

Look at the already existing literature. This will help you find sufficient answers to your research question. By looking at existing literature, it should become clear how other researchers defined and drew their connections of key concepts, and this is quite useful in the development of your framework.

Next, identify the constructs and variables relevant to your study, making sure you group them accordingly into dependent and independent variables.

Look at the primary theories taught in your course and choose the ones that can best explain the link between the dependent and independent variables in your study. Finalize by discussing the proposition of the theory, making sure you explain how relevant the theory is to your current research.

About the author 

Antony W is a professional writer and coach at Help for Assessment. He spends countless hours every day researching and writing great content filled with expert advice on how to write engaging essays, research papers, and assignments.