conceptual framework engineering thesis

Conceptual and Theoretical Frameworks for Thesis Studies: What you must know

A theoretical framework is a conceptual model that provides a systematic and structured way of thinking about a research problem or question. It helps to identify key variables and the relationships between them and to guide the selection and interpretation of data. Theoretical frameworks draw on existing theories and research and can be used to develop new hypotheses or test existing ones. They provide a foundation for research design, data collection, and analysis and can help to ensure that research is relevant, rigorous, and coherent. Theoretical frameworks are common in many disciplines, including social sciences, natural sciences, and humanities, and are essential for building knowledge and advancing understanding in a field.

This article explains the importance of frameworks in a thesis study and the differences between conceptual frameworks and theoretical frameworks. It provides guidelines on how to write a thesis framework, definitions of variable types, and examples of framework types.

What is a research framework and why do I need one?

When planning your thesis study, you need to justify your research and explain its design to your readers. This is called the research framework.

When planning your thesis study, you need to justify your research and explain its design to your readers. This is called the research framework. Think of it as the foundation of a building. A good building needs a strong foundation. Similarly, your research needs to be supported by reviewing and explaining the existing knowledge in the field, describing how your research study will fit within or contribute to the existing literature (e.g., it could challenge or test an existing theory or address a knowledge gap), and informing the reader how your study design aligns with your thesis question or hypothesis.

Important components of the framework are a literature review of recent studies associated with your thesis topic as well as theories/models used in your field of research. The literature review acts as a filtering tool to select appropriate thesis questions and guide data collection, analysis, and interpretation of your findings. Think broadly! Apart from reviewing relevant published papers in your field of research, also explore theories that you have come across in your undergraduate courses, other published thesis studies, encyclopedias, and handbooks.

There are two types of research frameworks: theoretical and conceptual .

What is a conceptual framework?

A conceptual framework is a written or visual representation that explains the study variables and their relationships with each other. The starting point is a literature review of existing studies and theories about your topic.

Steps to develop a conceptual framework

• Clarify your study topic by identifying and defining key concepts in your thesis problem statement and thesis question. Essentially, your thesis should address a knowledge gap.
• Perform a literature review to provide a background to interpret and explain the study findings. Also, draw on empirical knowledge that you have gained from personal experience.
• Identify crucial variables from the literature review and your empirical knowledge, classify them as dependent or independent variables, and define them.
• Brainstorm all the possible factors that could affect each dependent variable.
• Propose relationships among the variables and determine any associations that exist between all variables.
• Use a flowchart or tree diagram to present your conceptual framework.

Types of variables

When developing a conceptual framework, you will need to identify the following:

• Independent variables
• Dependent variables
• Moderating variables
• Mediating variables
• Control variables

First, identify the independent (cause) and dependent (effect) variables in your study. Then, identify variables that influence this relationship, such as moderating variables, mediating variables, and control variables. A moderating variable changes the relationship between independent and dependent variables when its value increases or decreases. A mediating variable links independent and dependent variables to better explain the relationship between them. A control variable could potentially impact the cause-and-effect relationship but is kept constant throughout the study so that its effects on the findings/outcomes can be ruled out.

Example of a conceptual framework

You want to investigate the hours spent exercising (cause) on childhood obesity (effect).

Now, you need to consider moderating variables that affect the cause-and-effect relationship. In our example, the amount of junk food eaten would affect the level of obesity.

Next, you need to consider mediating variables. In our example, the maximum heart rate during exercise would affect the child’s weight.

Finally, you need to consider control variables. In this example, because we do not want to investigate the role of age in obesity, we can use this as a control variable. Thus, the study subjects would be children of a specific age (e.g., aged 6–10 years).

What is a theoretical framework?

A theoretical framework provides a general framework for data analysis. It defines the concepts used and explains existing theories and models in your field of research.

A theoretical framework provides a general framework for data analysis. It defines the concepts used and explains existing theories and models in your field of research. It also explains any assumptions that were used to inform your approach and your choice of specific rationales. Theoretical frameworks are often used in the fields of social sciences.

Purpose of a theoretical framework

• Test and challenge existing theories
• Establish orderly connections between observations and facts
• Predict and control situations
• Develop hypotheses

Steps to develop a theoretical framework

• Identify and define key concepts in your thesis problem statement and thesis question.
• Explain and evaluate existing theories by writing a literature review that describes the concepts, models, and theories that support your study.
• Choose the theory that best explains the relationships between the key variables in your study.
• Explain how your research study fills a knowledge gap or fits into existing studies (e.g., testing if an established theory applies to your thesis context).
• Discuss the relevance of any theoretical assumptions and limitations.

A thesis topic can be approached from a variety of angles, depending on the theories used.

• In psychology, a behavioral approach would use different methods and assumptions compared with a cognitive approach when treating anxiety.
• In literature, a book could be analyzed using different literary theories, such as Marxism or poststructuralism.

Structuring a theoretical framework

The structure of a theoretical framework is fluid, and there are no specific rules that need to be followed, as long as it is clearly and logically presented.

The theoretical framework is a natural extension of your literature review. The literature review should identify gaps in the field of your research, and reviewing existing theories will help to determine how these can be addressed. The structure of a theoretical framework is fluid, and there are no specific rules that need to be followed, as long as it is clearly and logically presented. The theoretical framework is sometimes integrated into the literature review chapter of a thesis, but it can also be included as a separate chapter, depending on the complexity of the theories.

Example of a theoretical framework

The sales staff at Company X are unmotivated and struggling to meet their monthly targets. Some members of the management team believe that this could be achieved by implementing a comprehensive product-training program, but others believe that introducing a sales commission structure will help.

Company X is not achieving their monthly sales targets

To increase monthly sales.

Research question:

How can Company X motivate their sales team to achieve its monthly sales targets?

Sub-questions:

• Why do the sales staff feel unmotivated?
• What is the relationship between motivation and monetary rewards?
• Do the sales staff feel that they have sufficient product knowledge?

Theoretical framework:

A literature search will need to be performed to understand the background of the many different theories of motivation in psychology. For example, Maslow’s Hierarchy of Needs (basic human needs—physiological, safety, love/belonging, esteem, and self-actualization—have to be fulfilled before one can live up to their true potential), Vroom’s Theory of Expectancy (people decide upon their actions based on the outcomes they expect), and Locke’s Goal-Setting Theory (goals are a key driver of one’s behavior). These theories would need to be investigated to determine which would be the best approach to increase the motivation of the sales staff in Company X so that the monthly sales targets are met.

A robust conceptual or theoretical framework is crucial when writing a thesis/dissertation. It defines your research gap, identifies your approach, and guides the interpretation of your results.

A thesis is the most important document you will write during your academic studies. For professional thesis editing and thesis proofreading services, check out Enago's Thesis Editing service s for more information.

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What type of framework is used in the Humanities and Social Sciences (HSS) domain? +

Theoretical frameworks are typically used in the HSS domain, while conceptual frameworks are used in the Sciences domain.

What is the difference between mediating versus moderating variables? +

The difference between mediators and moderators can be confusing. A moderating variable is unaffected by the independent variable and can increase or decrease the strength of the relationship between the independent and dependent variables. A mediating variable is affected by the independent variable and can explain the relationship between the independent and dependent variables. T he statistical correlation between the independent and dependent variables is higher when the mediating variable is excluded.

What software should I use to present my conceptual framework? +

The software program Creately provides some useful templates that can help you get started. Other recommended programs are SmartDraw , Inkscape , and diagrams.net .

Theories, theoretical and conceptual frameworks, models and constructs: Limiting research outcomes through misconceptions and misunderstandings

Contributing to knowledge or theory is generally a standard requirement for research and doctoral studies. Whether that contribution should be from a research, policy or practice perspective is often not specifically stated as a requirement, yet one or all are certainly possible. A doctoral study (or indeed any research study) is usually quite firmly cast or framed within a form of theoretical or conceptual framework. Yet, even the definition, selection and formulation of a framework that is appropriate and that can inform a study throughout its various phases and stages is sometimes considered a ‘doctoral or research challenge’ in itself. This paper will argue that the way models, frameworks or theories - all of which in this current paper are collectively termed underpinnings - are conceived and used could well determine whether, how and to what extent a thesis or research study might contribute to a wider knowledge base. The paper offers a theoretical strategic analysis of the issue. It will explore what a conceptual or theoretical framework for a doctoral or wider research study is, what role or roles it can take, and whether, how and to what extent a study might contribute to knowledge or theory. The paper will conclude with ways to question approaches to roles of conceptual or theoretical underpinnings that do not limit the potential of a thesis or study to contribute to theory. Keywords: theories; theoretical frameworks; conceptual frameworks; models; research studies; underpinning constructs Part of the Special Issue Debating the status of ‘theory’ in technology enhanced learning research

1. Introduction

This initial section asks what a conceptual or theoretical framework for a research study might be. The ways that universities define a doctoral study’s contribution to knowledge or theory can vary quite widely. The United Kingdom (UK) Quality Assurance Agency (2014, p.30) states that a student for a doctoral degree should demonstrate “the creation and interpretation of new knowledge, through original research or other advanced scholarship… at the forefront of an academic discipline or area of professional practice”. This statement clearly supports new knowledge contribution that could be in professional or policy fields as well as in the research field. It is not surprising then, perhaps, that different universities might state different requirements in this respect. For example, in the UK, Lancaster University’s regulations for a doctoral thesis state that, “A successful candidate for the degree of PhD shall show convincing evidence of the capacity to pursue scholarly research or scholarship in his or her field of study... The results of this research shall then be embodied in a thesis which makes an original contribution to knowledge” (Lancaster University, 2018, p.3). However, a much more detailed description is given by Manchester Metropolitan University, UK, stating that, “Doctorates are awarded for creating, interpreting and communicating knowledge that extends the forefront of a discipline or of professional practice, through original research and critical thinking” (Manchester Metropolitan University, 2019, n.p.). It is clear from these different statements that the latter institution is clearly supporting a focus of developing knowledge that can be research, policy or practice focused. From a theoretical or conceptual perspective, this means that the underpinning in the latter case might be founded on a conception, framework or model that could be policy or practice based, rather than it necessarily being research based.

Underpinnings (a term used throughout this paper to collectively include models, frameworks and theories) for research can take a number of different forms. Indeed, distinctions between different forms of underpinnings might provide a quite different conceptual or theoretical basis for a study – if differences between models, conceptual frameworks, theoretical frameworks or theories are considered (Grant & Osanloo, 2014). These different forms of underpinnings can all arise from previous published research, but they can arise from and have quite different contextual bases. In general, the contexts of the four different forms arising from previous studies that are described in the research literature can be outlined (Passey, 2019), and will be defined in the remainder of this paper, as:

a model holds for a given case or stated population, arising from context-specific research, often indicating main features of influence or contribution;

a conceptual framework tends to be more flexible and descriptive, as it usually identifies factors or criteria that have influence on a particular field within the more major features, which might be, for example, social learning, discovery learning, or experiential learning;

a theoretical framework arises from outcomes beyond a single study, based on one or more theories, which might be, for example, social constructivism, constructionism, or behaviourism; while

a theory considers a broader and deeper concern or context, suggesting the detail of what might be more general, beyond one or a number of contexts.

This distinction between different forms of underpinnings is fundamentally important, as it can determine the applicability of any choice of underpinning to a specific study. For example, if a model has been developed from research in one context, then whether it could be applied in another different context is in itself a significant question. Additionally, if a model is gained from a limited context and range of participants, whether using such a model as it stands would then limit the findings of another piece of research just to the major features of influence that have been identified is another notable question. These concerns form some of the basis of the debate that has arisen when thinking about approaches that might be taken with case study research, where the focus is on a real-life context, where the “case will be complex and bounded… with the analysis undertaken seeking to be holistic” (Tight, 2017, p.17). Considering whether outcomes from those cases have potential or wider applicability, and how any wider generalisation might be viewed and gained, can be a key question. Indeed, in the context where a model from a single case is used, where only major features of influence are identified, there is the question of whether taking an alternative grounded theory approach, defined as “a general abstract theory of a process, action or interaction grounded in the views of the participants in a study” (Creswell, 2009, p.243), might not release opportunity that would not be offered when using an existing model. Indeed, this concern might also similarly apply if major features of influence are only used even when a framework or conception is adopted as an underpinning for a research study.

In the context of technology enhanced learning, it is perhaps pertinent to think about distinctions of different forms of underpinning constructs (a term used in this paper to indicate how ideas can be formulated through conceptions that may be subjective or believed or even imaged or imaginary) through a number of examples (shown in Table 1). These examples will be illustrated and discussed subsequently, in terms of their context, scope and potential interpretation.

Table 1: Examples of forms of underpinning constructs

In terms of models, three are offered as examples in Table 1. The origin of these models is quite different, but they all relate to the field of technologies (in the widest sense). The first of these, the Technology Acceptance Model (TAM) of Davis (1989) is a very well-known model, yet it is often incorrectly cited as being a theory. The original TAM was indeed a model, and Davis stated this quite clearly in the title he gave to it. As a model, it provides a structure and a set of features; in this form, using this as an underpinning for a research study is clearly attractive, as it provides clear hooks for both developing research questions and for analysing research evidence. However, it should certainly be recognised that it has limitations if and when it is to be considered for use as a fundamental or strong underpinning to a study, as it has no theoretical credibility as it stands. Diffusion of Innovation (Rogers, 2003) is also often incorrectly cited as a theory – yet Rogers was clear in his original description in calling it a model (or process). It is often used in its model form as a research instrument for conceptualising or analysing stages of diffusion or implementation, without referring to the important text that contextualises and surrounds more descriptive factors that detail the model further. The third model, Pathways to Implementing Change (Corbett & Rossman, 1989) was also described as a model by the authors. But, as in the two preceding examples, the surrounding text that the authors provide offers crucially important factors that offer additional details within its major features. These factors enable this model to be more adequately considered for the purposes of underpinning a study (or elements of it). In all of these three cases, while these models might provide for a complete underpinning to a study, studies that have used these models have tended to apply them to elements of studies, concerned often with the elements of data collection and data analysis.

In terms of conceptual frameworks, three examples are shown in Table 1. The Technological, Pedagogical and Content Knowledge framework (Mishra & Koehler, 2006) is a well-known and well-used framework in technology enhanced learning research. Despite its widespread use, and the fact that the framework is supported by descriptions of the elements of that framework, some researchers have noted that the descriptions are what they describe as being somewhat vague, not allowing easy analysis of their outcome data. As such, it is found that this framework provides a conceptual base, and it is in this form that researchers have tended to use this for their own studies. The second example, Discovery Learning, described by Bruner (1961) for example, has not been classed as a theory, or as a model. Rather, it is presented as a concept, or a practice that is based upon certain principles. As such, and using those principles, it is possible to use this as a framework, but it is not constituted as a theory. The third example, Experiential Learning, in a paper by Kolb (1984) is described as a model that is then elaborated and proposed as a theory. Certainly, given the level of elaboration, experiential learning is undoubtedly provided as a framework, and is in itself underpinned by a concept of learning. Whilst it could be used as theory, therefore, it is certainly possible to use it as a conceptual framework.

In terms of theoretical frameworks, two examples are offered. The first, Social Creative Constructionism (Passey et al., 2019), is a theoretical framework developed from an analysis of a number of existing theories and frameworks, including Social Constructivism (Vygotsky, 1978) and Constructionism (Papert, 1986). As these two existing theories and frameworks do not accommodate and provide for a contemporary perspective on the development of young people with creative uses of digital technologies, the creation of an integrated theoretical framework through analysis of earlier and more contemporary theories and frameworks sought to address this gap. This example illustrates that underpinnings do not need to be ‘taken off the shelf’, and indeed that underpinnings need to be questioned in terms of their applicability. Rather, underpinnings should be selected carefully or even developed to relate to contexts and circumstances. The second example, Human Motivation, was a theoretical framework that was developed by Maslow (1943), based upon a number of existing theories. This framework is perhaps best recognised through what has been called Maslow’s model of a hierarchy of needs, and this is often the form in which the theoretical framework is used in research studies. The creation and use of this model for underpinning research has been strongly questioned (Bridgman, Cummings, & Ballard, 2019); again, the background theories that led to this framework contextualise it in important ways.

For theories, four examples are listed. The Unified Theory of Acceptance and Use of Technology (UTAUT) (Venkatesh et al., 2003) was developed through a series of models arising initially from TAM. Following reviews of research using TAM and using subsequent models that were developed, not only did the major features of TAM become expanded, but additional factors and influences were identified and integrated. With wider application in a range of contexts, this level of applicability was considered strong enough to posit the framework as a theory. TAM started out with a much more focused view from the individual user’s perspective, while UTAUT viewed acceptance and use from a wider range of social and societal influences on the individual. UTAUT, therefore, can provide a wider and more detailed contextual view if used as an underpinning for a research study. The same holds true for the second example, the theory of Social Constructivism (Vygotsky, 1978), in that it was posited on the basis of a wide range of perspectives that had been tested in different contexts over time. This theory considers the role of social influences on learning, as well as the earlier cognitive influences that had been identified, so considers external dimensions on learning in addition to the internal dimensions; as a consequence, the theory is not limited to internal cognitive features alone. Piaget’s (1952) theory of cognitive constructivism, based on a more focused exploration of cognitive features, and taking a more developmental approach to learning, is more limited in terms of its accommodation of social influences (especially when the very limited range of originating participants that led to the findings of the research are considered – in this case, Piaget’s three children and children of some of his colleagues). The third example, the theory of Constructionism (Papert, 1986), was based on Piaget’s theory, but took into account influences of the handling and creating of artefacts by learners. Within a context of digital technologies, this theory, therefore, tends to relate strongly to learning contexts where artefacts are involved, as is the case within contemporary situations of digital technology use. However, as discussed earlier, the forms of digital technology that were used at the time of Papert’s development of the theory were not developed to the same extent in terms of communication uses, or how programming could be used to create the current width of technological outputs by the user. Taking another earlier theory, the fourth example, the theory of Behaviourism (Skinner, 1953), is often now not taken as a serious contender for theoretical underpinning of research studies. Yet, a focal feature of that theory, operant conditioning, undoubtedly arises in contemporary situations – such as the response to stimuli by social media users from received emails or WhatsApp messages, for example.

From the discussion of the different forms of underpinning presented above, one point that emerges is a shift in the parts of the research process that might be supported by models to those that might be supported by theories. Across the four forms of underpinnings, there tends to be an identifiable shift in focus towards elements of the entire research approach and design. This movement concerns the ways that the different forms might be applied to elements of a research study - from ways that models might support the underpinning of elements such as data collection and analysis, to the ways that theories might support the overall underpinning of approaches and research position or stance taken.

2. Role or roles of underpinning theories or conceptions

The ways that models, frameworks or theories might support a research study (as discussed above), relate to conclusions and discussions that have been drawn from other research literature. For example, Oliver (2002) identified different ways that theories (rather than all conceptual or theoretical underpinnings) can be conceived, and how they might be used in research. When each of these different ways is considered from a critical perspective, they give rise to different questions about implications arising. As an example, for a theory, some implications and questions arising are outlined in Table 2 (using Oliver’s four ways to use theory – as a tool, as a principle, for building, and for using – shown in the left-hand column).

Table 2: Role or roles a theory can take, and implications arising

Linked to these implications and questions arising, some common myths also need to be considered when choosing and using an underpinning (going beyond considering only a theory) in a study:

A model, conceptual or theoretical framework or theory is independent of its originating context. Well, this is not true, of course – but if an underpinning is dependent on an originating context, then what are the implications for a study that is being undertaken within another context? To what extent can that underpinning be of value or appropriate or relevant in that new context? For example, Piaget’s theory of cognitive constructivism (1952) was based on observation of his children and those of some of his colleagues. Clearly, the theory relates, therefore, to a specific cultural group in a specific temporal, social and societal setting. The application of this theory to other quite different contexts clearly needs to be questioned, rather than unquestionably accepted.

A theory should not be questioned. Of course, this is certainly not true – and if a theory is to be questioned, then what are the implications for how a study is to be set up? In essence, if to contribute to theory is an outcome of a study, as is often stated for doctoral studies, for example, then how can the theory that underpins the study be framed in such a way as to enable ‘new’ theory to arise? If the theory that is used only takes those features and factors that are already identified by an existing literature into account, and this drives the data collection and analysis, then to what extent is it enabling only the same theory to be re-identified, (albeit perhaps in a different context), rather than questioning or adding to it?

Taking further forward the idea of implications arising from the roles that underpinning theory might take, it is possible to consider what the form of contribution of a research study might be in each case. Table 3 begins to explore how role and contribution might be viewed in terms of linkage or relationship.

Table 3: Roles of underpinning theory and relationship to contribution to knowledge

The questions raised in Table 3 are certainly not meant to be exhaustive. Rather, they should be taken as examples of the forms of questions that can be asked if there are implications that are identified when using a theory in specific contexts or ways. How these questions relate to other forms of underpinnings also need to be considered carefully in any specific research context.

3. Choosing one or more underpinnings for a study

It is perfectly feasible, of course, to select more than one model, framework, concept or theory to underpin a research study. In the context of marketing strategy, Varadarajan (2019) considers reasons and identifies trends in adopting single or multiple–theory approaches in this research field over time, as well as discussing outcomes and implications arising from taking specific approaches. It is certainly possible to take a multi-theory approach even if a study does not seek to develop a new model, framework, concept or theory from a number that exist already. Whilst some researchers come with fairly well-developed ideas of models, frameworks, concepts or theories that align with their own concerns, approaches and position as a researcher, other researchers do not start with this stance, but recognise the possibility and values that different models, frameworks, concepts and theories might bring to their research endeavour. In this latter case, it is more likely that a researcher is concerned with thinking through the study to be undertaken, and identifying methodological stance and approach, and how this might benefit from the use of one or more models, frameworks, concepts and theories. Some researchers might argue that a combination can be conflicting, or would argue for adoption of a single underpinning framework that conceptualises the basis of the study (for example, Passey, 2010) or for a single theory building approach to support wider generalisability (for example, Eisenhardt, 1989). On the other hand, others would argue a different case, that multi-theory approaches provide for a better sense of situational contexts (for example, Berman, 2013), and establish how more than one form of underpinning would be associated, related and of value. In research, strength of argument often determines possibility in these respects.

For example, can it be argued that both behaviourism and social constructivism could be used as forms of underpinning in a single study? It might at first appear that these two theories are incompatible – that behaviourism is concerned with responses arising from stimuli through operant conditioning, while social constructivism is concerned with the way the learner engages with the external environment, learning through social interaction. It might be inferred, therefore, that behaviourism is defined as learning that is driven through conditioned response - what has become associated in certain ways with passive learning, or ‘drill and practice’ approaches. For social constructivism, this might be defined in terms of the learner exercising control over learning through engagement and interaction with the environment (what has become associated in other ways with active learning approaches). Ertmer and Newby (1993) provide a useful discussion about the relationship and differences between behaviourism, cognitivism and constructivism. They state that “we have consciously chosen not to advocate one theory over the others, but to stress instead the usefulness of being well versed in each. This is not to suggest that one should work without a theory” (p.62). From a learner’s perspective, they also quote Drucker’s statement (cited in Snelbecker, 1983, p.203): “These old controversies have been phonies all along. We need the behaviorist’s triad of practice/reinforcement/feedback to enlarge learning and memory. We need purpose, decision, values, understanding—the cognitive categories—lest learning be mere behavioral activities rather than action” (p. 203).

The question that we are left with, then, is perhaps more concerned with why and how we would want to include and integrate more than one form of underpinning. In the case above, social constructivism can be argued as a contextual approach to learning, whilst behaviourism can be argued as a (short- or long-term) response to learning. A note of caution here is to say that considering single or multi-theory approaches should not be confused with taking multi- or mixed-methods approaches. Multi- or mixed-methods approaches are concerned with the gathering and forms of data, and with how questions about reliability and generalisability - or credibility - might be addressed. Multi- or mixed-methods provide evidence to inform research questions, whereas single or multi-theory approaches provide the underpinning and conceptual basis of the study or key elements of it.

4. Overall research design and approach, and relationship of underpinnings

One way to consider the reasons why theoretical or conceptual underpinnings might be used, and the practice of how, is to explore different elements of a study, and how they are related. For this purpose, five elements will be considered: ontological and epistemological position, methodological approach, methodological design, data collection methods, and data analysis methods.

Taking each one of these in turn, initially, ontological and epistemological position are concerned with the stance of the researcher. Ontology has been described as “the study of being” (Crotty, 1998, p.10). This clearly “raises basic questions about the nature of reality and the nature of the human being in the world” (Denzin & Lincoln, 2005, p.183). Ontological position, therefore, can take a view that reality exists independently outside consciousness, or that reality exists only in the interpretation that individual consciousness brings to it. These different positions then tend to lean towards a view of reality that is either objective (a world that can be positively identified) or subjective (a world that is perceived as being different by different individuals). From a research perspective, it is then a question of how evidence can be gathered to support either one of these positions. Epistemology has, in that context, been described as “a way of understanding and explaining how I know what I know” (Crotty, 1998, p.3). Denzin and Lincoln (2005) explore this further, considering associations between the knower and the knowledge, and they ask a crucial question: “how do I know the world?” (p.183). Epistemology in a research context is concerned with making sense of our world through a methodological approach, where the researcher is aware of their ontological and epistemological position, or they are aware of the possibility to associate with one position or another, according to the nature of the study being undertaken. For any research study, underpinnings clearly need to accommodate the position or stance taken with regard to ontology and epistemology.

Methodological approaches should then be related to ontological and epistemological position. There are different ways in which methodological approaches and philosophical paradigms can be defined and categorised. For example, Kivunja and Kuyini (2017) explore four categories – positivist, interpretivist/constructivist, critical/transformative, and pragmatic. In this paper, three methodological approaches will be explored in the context of relationship to underpinnings, but it should be noted that these are selected as examples, and do not represent the entirety of possibilities within the field. The first of these approaches is post-positivism. Although this paradigm (approach) is often related to an objectivist position, it usually takes a more critical realist perspective, in that identifying an absolute truth is not possible (Letourneau & Allen, 2006). Rather than taking a position that objectivism can lead to truth, post-positivism is concerned with how to research in order to move closer to truth. There is also a recognition here that knowledge can be questioned, and that such critical realist perspectives through objective study can enable a movement towards truth. The second paradigm (approach) considered here is interpretivism. Often related to a more subjectivist position, it is usually recognised that knowledge is highly contextual, in terms of relationship through participants (either individual or groups) to, for example, time, place, culture and external or internal factors. Hence, interpretivism considers the importance of multiple meanings. The meanings of human experiences are a focal concern for researchers taking this approach (Fossey, Harvey, McDermott & Davidson, 2002). The third paradigm (approach) considered here is constructionism. This approach is concerned with the relationship of the interpreter with what is being interpreted (Crotty, 1998). The interpreter, rather than taking an unconnected view, considers the context strongly, in terms of external and internal influences (Charmaz, 2006). The influence of the context is taken into consideration in this approach, and it is recognised that this can affect interpretation. In this way, knowledge is considered to be a construct rather than providing a truth; knowledge through interpretation is itself a construct rather than something to be identified. The recognition or choice of even these three different paradigms (approaches) can clearly influence the appropriateness of any underpinning conceptual or theoretical framework that might be chosen.

Methodological design is concerned with the structural and overarching scope and practices of a research study. It is not possible in this paper to discuss all methodological designs – that is covered far more effectively in texts dedicated to that arena (for example, Cohen, Manion, & Morrison, 2007; Creswell, 2014). For the purposes of this paper, three examples will be highlighted – case study, phenomenography, and design-based research. In terms of a case study design, as Harrison, Birks, Franklin and Mills (2017) state, case study “has a practical versatility in its agnostic approach… case study research can be orientated from a realist or positivist perspective where the researcher holds the view that there is one single reality, which is independent of the individual and can be apprehended, studied and measured, through to a relativist or interpretivist perspective” (n.p.). Alignment with an epistemological and ontological position or stance, therefore, is more concerned with the strength of argument made to demonstrate that alignment, rather than alignment arising from a simple choice of known appropriateness. Taking a phenomenographic design, the alignment that is possible here is more distinctive. Richardson (1999) posits that phenomenography aligns with “realist” interpretation. Indeed, Marton, a key leader in developing this form of methodological design, stated that the aim of this design is to identify different conceptions of reality (Marton, 1986). If these conceptions are constructed by those using or associated with a phenomenon, then this focus aligns with “constructionism”. By comparison, with a design-based methodological design, the alignment is again not necessarily distinctive. Cross (1999) discussed three concerns with design-based research – design epistemology, design praxeology, and design phenomenology. In terms of design epistemology, Cross referred to “designerly ways of knowing”, which was defined as the ways that designers think about design (Cross, 1999; Cross, 2007). He referred to design praxiology as practices and processes in creating outcomes, while for design phenomenology this was concerned with the connection of a phenomenon created with the users. Whilst it could be possible to argue alignment with a post-positivistic approach, it could also be argued that a constructionist approach could be taken. Here again, the alignment is concerned with form and strength of argument and discussion, rather than it being determined by a distinct alignment of the methodological design itself.

So far, concerns about choice and application of forms of underpinning that are related to the discussions above tend to focus on theoretical or conceptual underpinnings, through theories or frameworks. However, when data collection methods are considered, whilst underpinnings need to associate with those same background philosophies, there is some scope to look to how other forms of underpinnings might work in addition to those already considered and selected. Taking a case study design as an example, forms of data collection that are suggested by key researchers in this field, such as Yin (2003), Stake (1995) or Merriam (1998), cover multiple forms. These might include interviews, observations, questionnaires, artefacts and relevant background documents. However, interview questions, observation details to be identified, questions in a questionnaire, artefacts to be collected and specific background documents that might be relevant, can be informed by an appropriate underpinning model, framework or conception that aligns with the wider theoretical and philosophical stance of the study. In the case of a study looking at implementation of a digital technology, for example, TAM (Davis, 1989) or UTAUT (Venkatesh et al., 2003) might well provide a model or framework for this purpose.

An underpinning construct used to support or inform data collection might also apply to data analysis methods. Taking the example of a case study informed by the UTAUT framework (Venkatesh et al., 2003), it would be just as appropriate to use this framework for data analysis. Indeed, researchers have used such frameworks to undertake both qualitative analyses and quantitative analyses. For example, Abualbasal, Abu-Shanab and Al-Quraan (2016) undertook a quantitative analysis using the UTAUT framework within a case study of use of Microsoft Project by students, while Biljon and Renaud (2008) undertook a qualitative study using the UTAUT framework with a case study exploring applicability to senior mobile telephone users. So, although the same framework was used, it was clear that it was used in a quite different way in each of these studies; the role of the framework was quite different (see Table 3), and this means that the ontological and epistemological position, methodological approach and deign could also be quite different.

In a single study, if different models, frameworks or theories are chosen, then they must, of course, align, so that their relationship is understood, and so that they align paradigmatically. An example to illustrate this is shown in Table 4.

Table 4: An example of multiple forms of underpinning constructs for a study

The example shown in Table 4 is, on the one hand, complex in terms of the number of underpinning conceptions and theories that are involved, but on the other hand, it indicates the degree of concern that is needed when developing a proposal for a research study that is based through a particular and identified epistemological and ontological position. Alignment of theoretical and conceptual underpinning is important, how it is argued is important, the way it might then contribute to the literature and future research is to some extent determined, but none of this invalidates the possibility of questioning elements of underpinnings that are involved. During and at the end of a study, it is still possible to ask questions about the efficacy of underpinning theories and conceptions, and their relationship to findings at a methodological level.

Table 5 offers some further examples of how studies that have been undertaken over the past few years in the field of technology enhanced learning (TEL) have been underpinned by models, frameworks or theories.

Table 5: Examples of studies in TEL that have used a range of underpinning constructs

As can be seen from Table 5, using models, frameworks or theories to underpin research studies neither involves a singular approach, nor is it necessarily a simple choice. In all these cases, the use of models, frameworks and theories has been argued by the authors, and relates to their specific studies and the needs of that research. In the case of Almpanis (2015), for example, it was the argument for epistemological and ontological position that formulated the argument for subsequent uses of underpinning models and frameworks to support the research methods of data collection and analysis. In the case of Topol (2016), it was the argument arising from a concern for understanding the philosophical underpinning that led to subsequent uses of models and frameworks for the research design. By contrast, Essam (2019) and Kotsovoulou (2020) focused the majority of their argument on the underpinnings of their research design and methods.

Reading the range of research studies that are listed in Table 5, it is clear that at doctoral level, and for theses, a great deal of detail and associated word count is devoted to the description and argument associated with enabling the reader to understand their choices and uses of model, framework, conceptual or theoretical underpinnings. Journal articles, whilst commonly considered to be a main source of research background, do not usually provide for this same level of detail and allow for a word count that can be devoted to this element or level of description. It could be argued that this might be a reason why so many journal articles do not give so much attention to the detailed discussion and description of this element, and, consequently, appear to be devoid of conceptual or theoretical underpinnings. Some journals do specifically aim their paper selection and focus on conceptual and theory development, and on theoretical concerns, such as Theory and Research in Education (Sage Journals, n.d.), or Educational Theory (Wiley, 2020). In the field of technology enhanced learning, there are authors who focus strongly on theoretical concerns, and draw attention to the importance of developing scholarship more fundamentally in this direction (for example, Oliver, 2002; Bennett & Oliver, 2011).

5. How a study might contribute to knowledge or theory

Going back to the original discussion about contributions to research, policy and practice, the question remains as to what contribution a study can make when it is based on theoretical and conceptual underpinnings. A part of this contribution must, of course, come from addressing a gap in the literature – but to what extent that gap is related to or reliant on theoretical or conceptual underpinnings is an important question to ask. Certainly, Bennett and Oliver (2011) argue that contribution can come from more focused studies that explore the very nature of underpinning theoretical conceptions of technology enhanced learning. Whilst it is possible to see how contributions could arise, it is also important to consider how the use of underpinnings might lead to limitations. Passey (2019), for example, argues that the concept of technology enhanced learning itself has not been developed in contemporary contexts and that this in itself is a potential limitation to understanding how underpinnings can be appropriately considered and selected. One way to consider these concerns (although it should be recognised that this is not the only way that this could be done), is as follows.

For a model, contributions to research knowledge might be either understanding how the model might apply to other contexts (as in Tam, 2014, for example), or understanding whether the elements in the model apply, the extent to which they apply, or whether some should be added or amended. Contributions to policy or practice knowledge might be understanding how the model applies to a specific policy or practice area not previously researched, or understanding how the model supports specific actors involved in policy or practitioner actions and decisions. In some circumstances, a model might not be found to be highly applicable, and whilst this can in itself be a contribution rather than a limitation, a study might provide evidence that the model is more contextual than had been initially considered. Alternatively, in some cases, the model might limit the factors that are considered, so that others that are pertinent are not recognised – so, data collection and analysis methods need to accommodate for the possibility of drawing out additional factors that go beyond those in the initial model or framework. In the field of research in technology enhanced learning, contributions that can arise from and limitations that apply to the use of underpinning models is of particular importance. As technologies continue to be developed, their functionality shifts over time, their uses shift over time, and the ways they are integrated into social practices shift over time. This means that models arising from research in one technological and temporal context need to be regularly checked for applicability to other contexts. The way in which the TAM (Davis, 1989) was checked and developed into the UTAUT (Venkatesh et al., 2003) shows how an initial concern with identifying user acceptance (of temporal importance in the 1980s) was shifted to a later concern on identifying use within social practices (of greater concern in the 2000s). In this regard, if research studies that are undertaken continue to focus on challenges that are linked to temporality and focus on matters of technological development and their outcomes rather than on longer-term patterns of development that apply to social and societal concerns, then applicability is likely to be focused much more on a ‘new’ technology than it would be on the movement to a contemporary social practice.

For a conceptual framework, the same contributions as those in the point above could apply. For contributions to policy or practice knowledge, giving recommendations to those in policy or practice, based on the findings of the research using the conceptual framework might also apply (as was the case in McDowell, 2018, for example). Not in this case, but it is always worth noting that a chosen framework might similarly limit the factors that are considered, so that others that are pertinent are not recognised. Again, data collection and analysis methods need to accommodate for the possibility of drawing out additional factors that go beyond those in the initial framework (as in Alenezi, 2014, for example). In the field of research in technology enhanced learning, contributions that can arise from the use of underpinning conceptual frameworks may address some of the limitations of using models for underpinning purposes. A conceptual framework can be used in a time-bounded way, but it can be used in ways that also consider shifts and developments over time. It might be argued that understanding a shift over time might offer a more predictive possibility in terms of outcomes. For technology enhanced learning, therefore, this could mean that whilst a model might offer ideas for implementation into practice over a short time period (if it is contextually bounded), a conceptual framework might offer a wider policy and practice perspective that would enable predictions applying to implementation and uses over longer projected periods of time. An example of this form of predictive potential would be the case of networked learning. Findley (1988) developed initial concepts of Collaborative Networked Learning in a seminal research project. The term and concept have endured, nevertheless, over time and context. Nearly 20 years later, Goodyear, Banks, Hodgson and McConnell (2004) clarified and defined the concept in terms of educational practices. Nearly 20 years after that, the concept is still pertinent, and applicability in contemporary contexts is regularly researched, revisited and applied - for example, in the practices used to support doctoral student engagement on programmes at Lancaster University in the Department of Educational Research (2020).

For a theoretical framework, the same contributions as those in the point above could apply. For contributions to research knowledge, understanding how the different theories that provide the basis for the theoretical framework work together, or offering a potentially different methodological approach that uses the theoretical framework, might also apply (as in Topol, 2016, for example). The framework might again limit the factors that are considered, so that others that are pertinent are not recognised, implying that data collection and analysis methods should accommodate for the possibility of drawing out additional factors that go beyond those in the initial framework. The ways that the different theoretical elements relate should undoubtedly be questioned as a part of the study, and one way to address this would be through the research questions, which might include one that explores the relationship of the different theoretical elements within the study approach taken. In the field of research in technology enhanced learning, contributions that can arise from the use of underpinning theoretical frameworks may similarly potentially address some of the limitations of using conceptual frameworks for underpinning purposes. While conceptual frameworks offer longer-term perspectives compared to models, they can also be limited in terms of wider social context. Networked learning, for example, is aligned to the context of learning and education. A theoretical framework can go beyond a single context, and cover wider social practices. Ngai, Tao and Moon (2015), for example, explored how previous research into social media and its applications had been underpinned by theory. Contextually, their review and findings went beyond a single subject context, but their conclusions nevertheless highlighted important areas for further research. The authors stated that “important areas, such as organization orientation, social power, cultural differences, and impacts of social media, have not received sufficient research attention” (p.42). In terms of the focus of their contribution, this was clearly focused as a research contribution. If they had been seeking a practice or policy contribution, their research questions, selection of literature, and specificity of context would have been quite different, and this might well have led them to take a focus underpinned more at a model or conceptual level (see Kotsovoulou, 2020, for example).

For a theory, the same contributions as those in the point above that relate to a conceptual framework could similarly apply. Additionally, for contributions to research knowledge, understanding whether the features in the theory apply, or whether some features should be added or amended could also apply. If the theory is not questioned as a part of the study, its applicability to that context will not be questioned. To address this limitation, research questions should include one that explores the validity of the theory within the study context. In the field of research in technology enhanced learning, contributions that can arise from the use of theories may similarly address some of the limitations of using theoretical frameworks for underpinning purposes. Bower (2019), for example, develops and argues the case for adopting technology-mediated learning theory, basing this contemporary theory on a wide variety of background frameworks and prior theories. Theories of this form provide the widest forms of contextual underpinnings, but at the same time, those theories can still be based on limited geographic and cultural contexts (see Lee, 2018, for example).

Forms of contribution from research clearly relate to the ways that models, frameworks or theories are applied within the overall research study and design. In the example in Table 4, social constructivism as an ontological and epistemological position might be considered at the end of the study in terms of how far or at what levels it is matched or applied, whereas contextual constructivism could perhaps be more questioned as to its validity within the study, and whether there were strengths or weaknesses related to its use. In the same example, regarding the use of self-determination theory and self-theories of motivation, the ways that these are linked, the appropriateness of their use, and whether any features or factors emerged that would be particularly highlighted, added or redundant, could certainly add to a theoretical contribution, related to the context of the study.

When considering contribution, limitations should be considered in terms of the ways that theory and other underpinnings are used. Going back to the categorisation of uses of theory by Oliver (2012), limitations vary according to intended use, whether it is intended that theory be used as a tool, a principle, whether it is intended for theory building, or for theory using. From this categorisation, using theory for theory building is clearly the most likely to avoid limitations of theoretical contribution (see Bower, 2019, for example).

6. Conclusions

The key conclusion that arises from the discussion and argument presented in this paper is that choice of underpinning and choice of role that models, frameworks or theories play can both provide for and potentially limit the opportunity for a study to question and, therefore, to develop theory as a contribution arising from that study. The role of questioning and argument (criticality) is paramount in addressing these concerns.

When considering using models, conceptual and theoretical frameworks, and theories to underpin a research study, to avoid limitations when considering appropriate underpinnings, the analysis from this paper highlights and recommends:

For any underpinning considered, its status from the originating research should be identified and recognised. From this understanding, an appropriate focus through research questions, design and methods can draw out particular areas of contribution, which can be different in each of the cases for a model, framework or theory. This is particularly important for research in technology enhanced learning as the field is relatively new, so many models, frameworks or theories are often taken from different contexts. For example, Kim and Hannafin (2011) explored the appropriateness of the basis of constructs of problem-solving and scaffolding (both developed outside the technology enhanced learning field) when they studied the scaffolding of problem-solving in technology enhanced learning environments.

Similarly, the context from which any underpinning is generated should be identified and recognised. Questions about applicability within other contexts, and in the context of a specific study, should be raised. For example, Lytras, Sarirete and Damiani (2020) explored technology-enhanced learning from a transformative perspective, but as this was in the context of higher education, how far their model would apply to training, compulsory or vocational education sectors is not clear.

Criticality is a key concept that should be applied as much to models, frameworks and theories as it is to the focal concern or the problem of the study to be investigated itself. This criticality should apply through a study’s research questions and methods as much as through any review of literature or previous research. For example, how far does Laurillard’s conversational framework (2002) enable the practice of teacher professional development in creating e-books for reluctant readers to be assessed as effective by an observer?

Epistemological and ontological stance within a study may shape the choice and role(s) of models, frameworks and theories. This does not eliminate a concern to question how those with other epistemological and ontological stances might still gain in terms of contribution arising from a study that is based on a specific stance and appropriate underpinnings. For example, how far do the findings of a study about uses of social media to support peer learning through an interpretivist approach enable recommendations to be viewed as feasible by policy makers with positivist stances?

Methodological design that is underpinned by appropriate models, frameworks or theories does not mean that the design itself cannot be questioned. Critical questioning of methodological design (underpinned by appropriate models, frameworks or theories) can lead to developments that contribute to research in major ways. For example, Collins, Joseph and Bielaczyc (2004) questioned whether a methodological approach using design research, underpinned by pragmatism, was appropriate and could be developed for analysing evaluative needs to support developments such as communities of learners. Similarly, Wang and Collins (2005) questioned appropriateness and future challenges in using a design-based research approach in developing technology-enhanced learning environments.

Research questions should be framed in ways that allow alternative ways to view factors and features relating to underpinning models, frameworks or theories. Finding contextual matches, shifts, amendments or additions can all offer important contributions to the field. For example, Varga-Atkins (2019) used research questions that allowed her study to identify an additional element to Shulman’s underpinning concept of signature pedagogies (2005a), in the form of signature assessments.

Contributions to policy and practice should be considered in the context of underpinning models, frameworks or theories. The generation of recommendations to policy and practice can be important contributions in themselves, which can evolve from research findings that have been underpinned by previous policy or practice. For example, Alenezi (2013), by reviewing underpinning concepts in a Saudi context, was able to offer recommendations for policy that aligned specifically with that context.

Concerns for underpinning of our studies through an appropriate conceptual and theoretical base can present a challenge for us as researchers. It is clear that our research knowledge in the areas of epistemological and ontological positions, methodological approaches and design, research data collection and analysis methods, have all relied upon critical perspectives by previous researchers through their published works. Taking models, frameworks and theories for granted will only limit our ultimate knowledge; we must be prepared to question these from the inside (when and during use) as well as from the outside (before we use them).

Acknowledgements

I would like to thank the PhD students I have supervised over the years, who have all, in their own ways, thoughtfully considered, selected and used models, frameworks, and theories to underpin their studies. Through their concerns and initiatives, I have gained insight into this area. Doctoral studies should always offer contribution to knowledge, and the students I have supervised have never failed to provide that for me. I am delighted to have had chance to acknowledge their work in this paper. My thanks also to the reviewers of this paper; their insights and careful reading have undoubtedly added to the finished product.

About the author

Don Passey , Centre for Technology Enhanced Learning, Department of Educational Research, Lancaster University, United Kingdom.

Don is Professor of Technology Enhanced Learning in the Department of Educational Research at Lancaster University, UK, and an Honorary Professor of the Institutes of Education and of Information Technology at Amity University, Uttar Pradesh, India. He is a current staff member of the Centre for Technology Enhanced Learning in the Department of Educational Research, and was a previous director and co-director of the Centre. He is currently the Director of Studies for the Doctoral Programme in e-Research and Technology Enhanced Learning. His research investigates how digital technologies support learning and teaching. Recent studies have explored innovative and inclusive practices, in and outside educational institutions and classrooms, in off-site, home and community settings. His findings have informed policy and practice, for international institutions and groups, government departments and agencies, regional and local authorities, companies and corporations. His publications span theoretical as well as empirical studies, and the methodological approaches he adopts widely range across bespoke mixed methods. He is currently chair of the International Federation for Information Processing (IFIP) Technical Committee on Education, has chaired a number of international conferences in his academic field, and is the recipient of Outstanding Service and Silver Core Awards from IFIP for his international contributions to his field in education.

Email : [email protected]

ORCID : 0000-0002-9205-502X

Article information

Article type: Full paper, double-blind peer review.

Publication history: Received: 01 June 2020. Revised: 22 June 2020. Accepted: 22 June 2020. Published: 24 June 2020.

Cover image: LTDatEDU via Pixabay.

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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!

This post was based on one of our popular Research Bootcamps . If you're working on a research project, you'll definitely want to check this out ...

23 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!

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I’m clear with these two terminologies now. Useful information. I appreciate it. Thank you

I’m well inform about these two concepts in research. Thanks

I found this really helpful. It is well explained. Thank you.

very clear and useful. information important at start of research!!

Wow, great information, clear and concise review of the differences between theoretical and conceptual frameworks. Thank you! keep up the good work.

thank you so much. Educative and realistic.

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• Dissertation

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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How to Make a Conceptual Framework

6-minute read

• 2nd January 2022

What is a conceptual framework? And why is it important?

A conceptual framework illustrates the relationship between the variables of a research question. It’s an outline of what you’d expect to find in a research project.

Conceptual frameworks should be constructed before data collection and are vital because they map out the actions needed in the study. This should be the first step of an undergraduate or graduate research project.

What Is In a Conceptual Framework?

In a conceptual framework, you’ll find a visual representation of the key concepts and relationships that are central to a research study or project . This can be in form of a diagram, flow chart, or any other visual representation. Overall, a conceptual framework serves as a guide for understanding the problem being studied and the methods being used to investigate it.

Steps to Developing the Perfect Conceptual Framework

• Pick a question
• Conduct a literature review
• Identify your variables
• Create your conceptual framework

1. Pick a Question

You should already have some idea of the broad area of your research project. Try to narrow down your research field to a manageable topic in terms of time and resources. From there, you need to formulate your research question. A research question answers the researcher’s query: “What do I want to know about my topic?” Research questions should be focused, concise, arguable and, ideally, should address a topic of importance within your field of research.

An example of a simple research question is: “What is the relationship between sunny days and ice cream sales?”

2. Conduct a Literature Review

A literature review is an analysis of the scholarly publications on a chosen topic. To undertake a literature review, search for articles with the same theme as your research question. Choose updated and relevant articles to analyze and use peer-reviewed and well-respected journals whenever possible.

For the above example, the literature review would investigate publications that discuss how ice cream sales are affected by the weather. The literature review should reveal the variables involved and any current hypotheses about this relationship.

3. Identify Your Variables

There are two key variables in every experiment: independent and dependent variables.

Independent Variables

The independent variable (otherwise known as the predictor or explanatory variable) is the expected cause of the experiment: what the scientist changes or changes on its own. In our example, the independent variable would be “the number of sunny days.”

Dependent Variables

The dependent variable (otherwise known as the response or outcome variable) is the expected effect of the experiment: what is being studied or measured. In our example, the dependent variable would be “the quantity of ice cream sold.”

Next, there are control variables.

Control Variables

A control variable is a variable that may impact the dependent variable but whose effects are not going to be measured in the research project. In our example, a control variable could be “the socioeconomic status of participants.” Control variables should be kept constant to isolate the effects of the other variables in the experiment.

Finally, there are intervening and extraneous variables.

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Intervening Variables

Intervening variables link the independent and dependent variables and clarify their connection. In our example, an intervening variable could be “temperature.”

Extraneous Variables

Extraneous variables are any variables that are not being investigated but could impact the outcomes of the study. Some instances of extraneous variables for our example would be “the average price of ice cream” or “the number of varieties of ice cream available.” If you control an extraneous variable, it becomes a control variable.

4. Create Your Conceptual Framework

Having picked your research question, undertaken a literature review, and identified the relevant variables, it’s now time to construct your conceptual framework. Conceptual frameworks are clear and often visual representations of the relationships between variables.

We’ll start with the basics: the independent and dependent variables.

Our hypothesis is that the quantity of ice cream sold directly depends on the number of sunny days; hence, there is a cause-and-effect relationship between the independent variable (the number of sunny days) and the dependent and independent variable (the quantity of ice cream sold).

Next, introduce a control variable. Remember, this is anything that might directly affect the dependent variable but is not being measured in the experiment:

Finally, introduce the intervening and extraneous variables. 

The intervening variable (temperature) clarifies the relationship between the independent variable (the number of sunny days) and the dependent variable (the quantity of ice cream sold). Extraneous variables, such as the average price of ice cream, are variables that are not controlled and can potentially impact the dependent variable.

Are Conceptual Frameworks and Research Paradigms the Same?

In simple terms, the research paradigm is what informs your conceptual framework. In defining our research paradigm we ask the big questions—Is there an objective truth and how can we understand it? If we decide the answer is yes, we may be working with a positivist research paradigm and will choose to build a conceptual framework that displays the relationship between fixed variables. If not, we may be working with a constructivist research paradigm, and thus our conceptual framework will be more of a loose amalgamation of ideas, theories, and themes (a qualitative study). If this is confusing–don’t worry! We have an excellent blog post explaining research paradigms in more detail.

Where is the Conceptual Framework Located in a Thesis?

This will depend on your discipline, research type, and school’s guidelines, but most papers will include a section presenting the conceptual framework in the introduction, literature review, or opening chapter. It’s best to present your conceptual framework after presenting your research question, but before outlining your methodology.

Can a Conceptual Framework be Used in a Qualitative Study?

Yes. Despite being less clear-cut than a quantitative study, all studies should present some form of a conceptual framework. Let’s say you were doing a study on care home practices and happiness, and you came across a “happiness model” constructed by a relevant theorist in your literature review. Your conceptual framework could be an outline or a visual depiction of how you will use this model to collect and interpret qualitative data for your own study (such as interview responses). Check out this useful resource showing other examples of conceptual frameworks for qualitative studies .

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Home » Conceptual Framework – Types, Methodology and Examples

Conceptual Framework – Types, Methodology and Examples

Table of Contents

Conceptual Framework

Definition:

A conceptual framework is a structured approach to organizing and understanding complex ideas, theories, or concepts. It provides a systematic and coherent way of thinking about a problem or topic, and helps to guide research or analysis in a particular field.

A conceptual framework typically includes a set of assumptions, concepts, and propositions that form a theoretical framework for understanding a particular phenomenon. It can be used to develop hypotheses, guide empirical research, or provide a framework for evaluating and interpreting data.

Conceptual Framework in Research

In research, a conceptual framework is a theoretical structure that provides a framework for understanding a particular phenomenon or problem. It is a key component of any research project and helps to guide the research process from start to finish.

A conceptual framework provides a clear understanding of the variables, relationships, and assumptions that underpin a research study. It outlines the key concepts that the study is investigating and how they are related to each other. It also defines the scope of the study and sets out the research questions or hypotheses.

Types of Conceptual Framework

Types of Conceptual Framework are as follows:

Theoretical Framework

A theoretical framework is an overarching set of concepts, ideas, and assumptions that help to explain and interpret a phenomenon. It provides a theoretical perspective on the phenomenon being studied and helps researchers to identify the relationships between different concepts. For example, a theoretical framework for a study on the impact of social media on mental health might draw on theories of communication, social influence, and psychological well-being.

Conceptual Model

A conceptual model is a visual or written representation of a complex system or phenomenon. It helps to identify the main components of the system and the relationships between them. For example, a conceptual model for a study on the factors that influence employee turnover might include factors such as job satisfaction, salary, work-life balance, and job security, and the relationships between them.

Empirical Framework

An empirical framework is based on empirical data and helps to explain a particular phenomenon. It involves collecting data, analyzing it, and developing a framework to explain the results. For example, an empirical framework for a study on the impact of a new health intervention might involve collecting data on the intervention’s effectiveness, cost, and acceptability to patients.

Descriptive Framework

A descriptive framework is used to describe a particular phenomenon. It helps to identify the main characteristics of the phenomenon and to develop a vocabulary to describe it. For example, a descriptive framework for a study on different types of musical genres might include descriptions of the instruments used, the rhythms and beats, the vocal styles, and the cultural contexts of each genre.

Analytical Framework

An analytical framework is used to analyze a particular phenomenon. It involves breaking down the phenomenon into its constituent parts and analyzing them separately. This type of framework is often used in social science research. For example, an analytical framework for a study on the impact of race on police brutality might involve analyzing the historical and cultural factors that contribute to racial bias, the organizational factors that influence police behavior, and the psychological factors that influence individual officers’ behavior.

Conceptual Framework for Policy Analysis

A conceptual framework for policy analysis is used to guide the development of policies or programs. It helps policymakers to identify the key issues and to develop strategies to address them. For example, a conceptual framework for a policy analysis on climate change might involve identifying the key stakeholders, assessing their interests and concerns, and developing policy options to mitigate the impacts of climate change.

Logical Frameworks

Logical frameworks are used to plan and evaluate projects and programs. They provide a structured approach to identifying project goals, objectives, and outcomes, and help to ensure that all stakeholders are aligned and working towards the same objectives.

Conceptual Frameworks for Program Evaluation

These frameworks are used to evaluate the effectiveness of programs or interventions. They provide a structure for identifying program goals, objectives, and outcomes, and help to measure the impact of the program on its intended beneficiaries.

Conceptual Frameworks for Organizational Analysis

These frameworks are used to analyze and evaluate organizational structures, processes, and performance. They provide a structured approach to understanding the relationships between different departments, functions, and stakeholders within an organization.

Conceptual Frameworks for Strategic Planning

These frameworks are used to develop and implement strategic plans for organizations or businesses. They help to identify the key factors and stakeholders that will impact the success of the plan, and provide a structure for setting goals, developing strategies, and monitoring progress.

Components of Conceptual Framework

The components of a conceptual framework typically include:

• Research question or problem statement : This component defines the problem or question that the conceptual framework seeks to address. It sets the stage for the development of the framework and guides the selection of the relevant concepts and constructs.
• Concepts : These are the general ideas, principles, or categories that are used to describe and explain the phenomenon or problem under investigation. Concepts provide the building blocks of the framework and help to establish a common language for discussing the issue.
• Constructs : Constructs are the specific variables or concepts that are used to operationalize the general concepts. They are measurable or observable and serve as indicators of the underlying concept.
• Propositions or hypotheses : These are statements that describe the relationships between the concepts or constructs in the framework. They provide a basis for testing the validity of the framework and for generating new insights or theories.
• Assumptions : These are the underlying beliefs or values that shape the framework. They may be explicit or implicit and may influence the selection and interpretation of the concepts and constructs.
• Boundaries : These are the limits or scope of the framework. They define the focus of the investigation and help to clarify what is included and excluded from the analysis.
• Context : This component refers to the broader social, cultural, and historical factors that shape the phenomenon or problem under investigation. It helps to situate the framework within a larger theoretical or empirical context and to identify the relevant variables and factors that may affect the phenomenon.
• Relationships and connections: These are the connections and interrelationships between the different components of the conceptual framework. They describe how the concepts and constructs are linked and how they contribute to the overall understanding of the phenomenon or problem.
• Variables : These are the factors that are being measured or observed in the study. They are often operationalized as constructs and are used to test the propositions or hypotheses.
• Methodology : This component describes the research methods and techniques that will be used to collect and analyze data. It includes the sampling strategy, data collection methods, data analysis techniques, and ethical considerations.
• Literature review : This component provides an overview of the existing research and theories related to the phenomenon or problem under investigation. It helps to identify the gaps in the literature and to situate the framework within the broader theoretical and empirical context.
• Outcomes and implications: These are the expected outcomes or implications of the study. They describe the potential contributions of the study to the theoretical and empirical knowledge in the field and the practical implications for policy and practice.

Conceptual Framework Methodology

Conceptual Framework Methodology is a research method that is commonly used in academic and scientific research to develop a theoretical framework for a study. It is a systematic approach that helps researchers to organize their thoughts and ideas, identify the variables that are relevant to their study, and establish the relationships between these variables.

Here are the steps involved in the conceptual framework methodology:

Identify the Research Problem

The first step is to identify the research problem or question that the study aims to answer. This involves identifying the gaps in the existing literature and determining what specific issue the study aims to address.

Conduct a Literature Review

The second step involves conducting a thorough literature review to identify the existing theories, models, and frameworks that are relevant to the research question. This will help the researcher to identify the key concepts and variables that need to be considered in the study.

Define key Concepts and Variables

The next step is to define the key concepts and variables that are relevant to the study. This involves clearly defining the terms used in the study, and identifying the factors that will be measured or observed in the study.

Develop a Theoretical Framework

Once the key concepts and variables have been identified, the researcher can develop a theoretical framework. This involves establishing the relationships between the key concepts and variables, and creating a visual representation of these relationships.

Test the Framework

The final step is to test the theoretical framework using empirical data. This involves collecting and analyzing data to determine whether the relationships between the key concepts and variables that were identified in the framework are accurate and valid.

Examples of Conceptual Framework

Some realtime Examples of Conceptual Framework are as follows:

• In economics , the concept of supply and demand is a well-known conceptual framework. It provides a structure for understanding how prices are set in a market, based on the interplay of the quantity of goods supplied by producers and the quantity of goods demanded by consumers.
• In psychology , the cognitive-behavioral framework is a widely used conceptual framework for understanding mental health and illness. It emphasizes the role of thoughts and behaviors in shaping emotions and the importance of cognitive restructuring and behavior change in treatment.
• In sociology , the social determinants of health framework provides a way of understanding how social and economic factors such as income, education, and race influence health outcomes. This framework is widely used in public health research and policy.
• In environmental science , the ecosystem services framework is a way of understanding the benefits that humans derive from natural ecosystems, such as clean air and water, pollination, and carbon storage. This framework is used to guide conservation and land-use decisions.
• In education, the constructivist framework is a way of understanding how learners construct knowledge through active engagement with their environment. This framework is used to guide instructional design and teaching strategies.

Applications of Conceptual Framework

Some of the applications of Conceptual Frameworks are as follows:

• Research : Conceptual frameworks are used in research to guide the design, implementation, and interpretation of studies. Researchers use conceptual frameworks to develop hypotheses, identify research questions, and select appropriate methods for collecting and analyzing data.
• Policy: Conceptual frameworks are used in policy-making to guide the development of policies and programs. Policymakers use conceptual frameworks to identify key factors that influence a particular problem or issue, and to develop strategies for addressing them.
• Education : Conceptual frameworks are used in education to guide the design and implementation of instructional strategies and curriculum. Educators use conceptual frameworks to identify learning objectives, select appropriate teaching methods, and assess student learning.
• Management : Conceptual frameworks are used in management to guide decision-making and strategy development. Managers use conceptual frameworks to understand the internal and external factors that influence their organizations, and to develop strategies for achieving their goals.
• Evaluation : Conceptual frameworks are used in evaluation to guide the development of evaluation plans and to interpret evaluation results. Evaluators use conceptual frameworks to identify key outcomes, indicators, and measures, and to develop a logic model for their evaluation.

Purpose of Conceptual Framework

The purpose of a conceptual framework is to provide a theoretical foundation for understanding and analyzing complex phenomena. Conceptual frameworks help to:

• Guide research : Conceptual frameworks provide a framework for researchers to develop hypotheses, identify research questions, and select appropriate methods for collecting and analyzing data. By providing a theoretical foundation for research, conceptual frameworks help to ensure that research is rigorous, systematic, and valid.
• Provide clarity: Conceptual frameworks help to provide clarity and structure to complex phenomena by identifying key concepts, relationships, and processes. By providing a clear and systematic understanding of a phenomenon, conceptual frameworks help to ensure that researchers, policymakers, and practitioners are all on the same page when it comes to understanding the issue at hand.
• Inform decision-making : Conceptual frameworks can be used to inform decision-making and strategy development by identifying key factors that influence a particular problem or issue. By understanding the complex interplay of factors that contribute to a particular issue, decision-makers can develop more effective strategies for addressing the problem.
• Facilitate communication : Conceptual frameworks provide a common language and conceptual framework for researchers, policymakers, and practitioners to communicate and collaborate on complex issues. By providing a shared understanding of a phenomenon, conceptual frameworks help to ensure that everyone is working towards the same goal.

When to use Conceptual Framework

There are several situations when it is appropriate to use a conceptual framework:

• To guide the research : A conceptual framework can be used to guide the research process by providing a clear roadmap for the research project. It can help researchers identify key variables and relationships, and develop hypotheses or research questions.
• To clarify concepts : A conceptual framework can be used to clarify and define key concepts and terms used in a research project. It can help ensure that all researchers are using the same language and have a shared understanding of the concepts being studied.
• To provide a theoretical basis: A conceptual framework can provide a theoretical basis for a research project by linking it to existing theories or conceptual models. This can help researchers build on previous research and contribute to the development of a field.
• To identify gaps in knowledge : A conceptual framework can help identify gaps in existing knowledge by highlighting areas that require further research or investigation.
• To communicate findings : A conceptual framework can be used to communicate research findings by providing a clear and concise summary of the key variables, relationships, and assumptions that underpin the research project.

Characteristics of Conceptual Framework

key characteristics of a conceptual framework are:

• Clear definition of key concepts : A conceptual framework should clearly define the key concepts and terms being used in a research project. This ensures that all researchers have a shared understanding of the concepts being studied.
• Identification of key variables: A conceptual framework should identify the key variables that are being studied and how they are related to each other. This helps to organize the research project and provides a clear focus for the study.
• Logical structure: A conceptual framework should have a logical structure that connects the key concepts and variables being studied. This helps to ensure that the research project is coherent and consistent.
• Based on existing theory : A conceptual framework should be based on existing theory or conceptual models. This helps to ensure that the research project is grounded in existing knowledge and builds on previous research.
• Testable hypotheses or research questions: A conceptual framework should include testable hypotheses or research questions that can be answered through empirical research. This helps to ensure that the research project is rigorous and scientifically valid.
• Flexibility : A conceptual framework should be flexible enough to allow for modifications as new information is gathered during the research process. This helps to ensure that the research project is responsive to new findings and is able to adapt to changing circumstances.

Advantages of Conceptual Framework

Advantages of the Conceptual Framework are as follows:

• Clarity : A conceptual framework provides clarity to researchers by outlining the key concepts and variables that are relevant to the research project. This clarity helps researchers to focus on the most important aspects of the research problem and develop a clear plan for investigating it.
• Direction : A conceptual framework provides direction to researchers by helping them to develop hypotheses or research questions that are grounded in existing theory or conceptual models. This direction ensures that the research project is relevant and contributes to the development of the field.
• Efficiency : A conceptual framework can increase efficiency in the research process by providing a structure for organizing ideas and data. This structure can help researchers to avoid redundancies and inconsistencies in their work, saving time and effort.
• Rigor : A conceptual framework can help to ensure the rigor of a research project by providing a theoretical basis for the investigation. This rigor is essential for ensuring that the research project is scientifically valid and produces meaningful results.
• Communication : A conceptual framework can facilitate communication between researchers by providing a shared language and understanding of the key concepts and variables being studied. This communication is essential for collaboration and the advancement of knowledge in the field.
• Generalization : A conceptual framework can help to generalize research findings beyond the specific study by providing a theoretical basis for the investigation. This generalization is essential for the development of knowledge in the field and for informing future research.

Limitations of Conceptual Framework

Limitations of Conceptual Framework are as follows:

• Limited applicability: Conceptual frameworks are often based on existing theory or conceptual models, which may not be applicable to all research problems or contexts. This can limit the usefulness of a conceptual framework in certain situations.
• Lack of empirical support : While a conceptual framework can provide a theoretical basis for a research project, it may not be supported by empirical evidence. This can limit the usefulness of a conceptual framework in guiding empirical research.
• Narrow focus: A conceptual framework can provide a clear focus for a research project, but it may also limit the scope of the investigation. This can make it difficult to address broader research questions or to consider alternative perspectives.
• Over-simplification: A conceptual framework can help to organize and structure research ideas, but it may also over-simplify complex phenomena. This can limit the depth of the investigation and the richness of the data collected.
• Inflexibility : A conceptual framework can provide a structure for organizing research ideas, but it may also be inflexible in the face of new data or unexpected findings. This can limit the ability of researchers to adapt their research project to new information or changing circumstances.
• Difficulty in development : Developing a conceptual framework can be a challenging and time-consuming process. It requires a thorough understanding of existing theory or conceptual models, and may require collaboration with other researchers.

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Conceptual Framework: A Step-by-Step Guide on How to Make One

What is a conceptual framework? How do you prepare one? This article defines the conceptual framework and lists the steps on how to prepare it. A simplified example is added to strengthen the reader’s understanding.

In preparing your research paper as one requirement for your course as an undergraduate or graduate student, you will need to write the conceptual framework of your study. The conceptual framework steers the whole research activity. The conceptual framework serves as a “map” or “rudder” that will guide you towards realizing your study’s objectives or intent.

What, then, is a conceptual framework in empirical research? The next section defines and explains the term.

Table of Contents

Definition of conceptual framework.

The conceptual framework is the researcher’s understanding of how the particular  variables  in the study connect. Thus, it identifies the variables required in the research investigation. It is the researcher’s “map” in pursuing the investigation.

The conceptual framework lies within a much broader framework called a theoretical framework . The latter draws support from time-tested theories that embody many researchers’ findings on why and how a particular phenomenon occurs.

4 Steps on How to Make the Conceptual Framework

Choose your topic.

Decide on what will be your research topic. The topic should be within your field of specialization. (Generate your research topic using brainstorming tips ).

Do a literature review

Isolate the important variables.

If the variables are not explicit in summary, get back to the methodology or the results and discussion section and quickly identify the study variables and the significant findings. Read  the TSPU Technique  to skim articles efficiently and get to the essential points with little fuss.

Generate the conceptual framework

Example of a conceptual framework, research topic.

The youth, particularly students who need to devote a lot of time using their mobile phones to access their course modules, laptops, or desktops, are most affected. Also, they spend time interacting with their mobile phones as they communicate with their friends on social media channels like Facebook, Messenger, and the like.

Thesis Statement

Thesis statement : Chronic exposure to blue light from LED screens (of computer monitors ,  mobile phones, tablets, and television) deplete melatonin levels, thus reducing the number of sleeping hours among the youth, particularly students who need to work on their academic requirements.

Review of Literature

Thus, looking directly at your laptop, mobile phone, or television at night not only can severely damage your eyes but also prevent the achievement of sound sleeping patterns. As a countermeasure, sleep experts recommend limiting the use of digital devices until 8 o’clock in the evening.

Variables Isolated from the Literature

Figure 1 presents a visual representation, the paradigm, of what we want to correlate in this study. It shows measurable variables that can produce data we can analyze using a statistical test such as either the parametric test Pearson’s Product-Moment Correlation or the nonparametric test Spearman Rho (please refresh if you cannot see the figure).

The former is the independent variable, while the latter is the dependent variable. Both variables are easy to measure. It is just counting the number of hours spent in front of the computer and the number of hours slept through the night in the study subjects.

Evolution of a Social Theory as Basis of Conceptual Framework Development

Specifically, this article focuses on the COVID-19 vaccine, how it develops and gets integrated into the complex fabric of human society. It shows how the development of the vaccine is only part of the story. A major consideration in its development resides in the supporters of the vaccine’s development, the government, and the recipients’ trust, thus the final acceptance of the vaccine.

Haim, A., & Zubidat, A. E. (2015). LED light between Nobel Prize and cancer risk factor. Chronobiology International , 32 (5), 725-727.

Cite as: Regoniel, P. A. (2015, January 5). Conceptual framework: a step-by-step guide on how to make one. Research-based Articles. https://simplyeducate.me/wordpress_Y/2015/01/05/conceptual-framework-guide/

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Three tips on how to write a thesis statement, data analysis: five essential steps to ensure data integrity, accuracy, and reliability, discourse analysis of 20 newspaper advertisements, about the author, patrick regoniel, 104 comments.

Hello Jesse, there are many free alternatives online if you are diligent enough in finding them. The reason I wrote this article is that in 2015, when I originally wrote it, I could not find an easy-to-understand explanation of the conceptual framework which will help my students. I also have a vague knowledge of the concept at that time, even with the available literature. Hence, I painstakingly gathered all materials I could from online and offline literature, synthesized them, and wrote about the concept in the simplest way I could without losing the essence. Now, I have seen many articles and even videos using the ideas I have rigorously prepared. If you find the tedious work I did irrelevant, then perhaps the ebook is expensive notwithstanding the many expenses on hosting, domain name, time and effort in maintaining the site that I incur in keeping this website online and make this ebook available to everyone.

My name is Jobson, my research topic is: The scope of Ugandan nurses and midwives in using the nursing process in the care of patients

Good day Jomar, I am not so clear about what you want to do. Can you write the objectives of your study? You can read about framing the research objectives here: https://simplyeducate.me/wordpress_Y/2020/03/15/research-objective/

Hello Phathi, Apparently, you are trying to relate parenting and child behavior?

Dear Mbuso, Why will you assess the GIS use in estate management? What is it for?

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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.

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