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Theoretical Framework – Types, Examples and Writing Guide

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Theoretical Framework

Definition:

Theoretical framework refers to a set of concepts, theories, ideas , and assumptions that serve as a foundation for understanding a particular phenomenon or problem. It provides a conceptual framework that helps researchers to design and conduct their research, as well as to analyze and interpret their findings.

In research, a theoretical framework explains the relationship between various variables, identifies gaps in existing knowledge, and guides the development of research questions, hypotheses, and methodologies. It also helps to contextualize the research within a broader theoretical perspective, and can be used to guide the interpretation of results and the formulation of recommendations.

Types of Theoretical Framework

Types of Types of Theoretical Framework are as follows:

Conceptual Framework

This type of framework defines the key concepts and relationships between them. It helps to provide a theoretical foundation for a study or research project .

Deductive Framework

This type of framework starts with a general theory or hypothesis and then uses data to test and refine it. It is often used in quantitative research .

Inductive Framework

This type of framework starts with data and then develops a theory or hypothesis based on the patterns and themes that emerge from the data. It is often used in qualitative research .

Empirical Framework

This type of framework focuses on the collection and analysis of empirical data, such as surveys or experiments. It is often used in scientific research .

Normative Framework

This type of framework defines a set of norms or values that guide behavior or decision-making. It is often used in ethics and social sciences.

Explanatory Framework

This type of framework seeks to explain the underlying mechanisms or causes of a particular phenomenon or behavior. It is often used in psychology and social sciences.

Components of Theoretical Framework

The components of a theoretical framework include:

• Concepts : The basic building blocks of a theoretical framework. Concepts are abstract ideas or generalizations that represent objects, events, or phenomena.
• Variables : These are measurable and observable aspects of a concept. In a research context, variables can be manipulated or measured to test hypotheses.
• Assumptions : These are beliefs or statements that are taken for granted and are not tested in a study. They provide a starting point for developing hypotheses.
• Propositions : These are statements that explain the relationships between concepts and variables in a theoretical framework.
• Hypotheses : These are testable predictions that are derived from the theoretical framework. Hypotheses are used to guide data collection and analysis.
• Constructs : These are abstract concepts that cannot be directly measured but are inferred from observable variables. Constructs provide a way to understand complex phenomena.
• Models : These are simplified representations of reality that are used to explain, predict, or control a phenomenon.

How to Write Theoretical Framework

A theoretical framework is an essential part of any research study or paper, as it helps to provide a theoretical basis for the research and guide the analysis and interpretation of the data. Here are some steps to help you write a theoretical framework:

• Identify the key concepts and variables : Start by identifying the main concepts and variables that your research is exploring. These could include things like motivation, behavior, attitudes, or any other relevant concepts.
• Review relevant literature: Conduct a thorough review of the existing literature in your field to identify key theories and ideas that relate to your research. This will help you to understand the existing knowledge and theories that are relevant to your research and provide a basis for your theoretical framework.
• Develop a conceptual framework : Based on your literature review, develop a conceptual framework that outlines the key concepts and their relationships. This framework should provide a clear and concise overview of the theoretical perspective that underpins your research.
• Identify hypotheses and research questions: Based on your conceptual framework, identify the hypotheses and research questions that you want to test or explore in your research.
• Test your theoretical framework: Once you have developed your theoretical framework, test it by applying it to your research data. This will help you to identify any gaps or weaknesses in your framework and refine it as necessary.
• Write up your theoretical framework: Finally, write up your theoretical framework in a clear and concise manner, using appropriate terminology and referencing the relevant literature to support your arguments.

Theoretical Framework Examples

Here are some examples of theoretical frameworks:

• Social Learning Theory : This framework, developed by Albert Bandura, suggests that people learn from their environment, including the behaviors of others, and that behavior is influenced by both external and internal factors.
• Maslow’s Hierarchy of Needs : Abraham Maslow proposed that human needs are arranged in a hierarchy, with basic physiological needs at the bottom, followed by safety, love and belonging, esteem, and self-actualization at the top. This framework has been used in various fields, including psychology and education.
• Ecological Systems Theory : This framework, developed by Urie Bronfenbrenner, suggests that a person’s development is influenced by the interaction between the individual and the various environments in which they live, such as family, school, and community.
• Feminist Theory: This framework examines how gender and power intersect to influence social, cultural, and political issues. It emphasizes the importance of understanding and challenging systems of oppression.
• Cognitive Behavioral Theory: This framework suggests that our thoughts, beliefs, and attitudes influence our behavior, and that changing our thought patterns can lead to changes in behavior and emotional responses.
• Attachment Theory: This framework examines the ways in which early relationships with caregivers shape our later relationships and attachment styles.
• Critical Race Theory : This framework examines how race intersects with other forms of social stratification and oppression to perpetuate inequality and discrimination.

When to Have A Theoretical Framework

Following are some situations When to Have A Theoretical Framework:

• A theoretical framework should be developed when conducting research in any discipline, as it provides a foundation for understanding the research problem and guiding the research process.
• A theoretical framework is essential when conducting research on complex phenomena, as it helps to organize and structure the research questions, hypotheses, and findings.
• A theoretical framework should be developed when the research problem requires a deeper understanding of the underlying concepts and principles that govern the phenomenon being studied.
• A theoretical framework is particularly important when conducting research in social sciences, as it helps to explain the relationships between variables and provides a framework for testing hypotheses.
• A theoretical framework should be developed when conducting research in applied fields, such as engineering or medicine, as it helps to provide a theoretical basis for the development of new technologies or treatments.
• A theoretical framework should be developed when conducting research that seeks to address a specific gap in knowledge, as it helps to define the problem and identify potential solutions.
• A theoretical framework is also important when conducting research that involves the analysis of existing theories or concepts, as it helps to provide a framework for comparing and contrasting different theories and concepts.
• A theoretical framework should be developed when conducting research that seeks to make predictions or develop generalizations about a particular phenomenon, as it helps to provide a basis for evaluating the accuracy of these predictions or generalizations.
• Finally, a theoretical framework should be developed when conducting research that seeks to make a contribution to the field, as it helps to situate the research within the broader context of the discipline and identify its significance.

Purpose of Theoretical Framework

The purposes of a theoretical framework include:

• Providing a conceptual framework for the study: A theoretical framework helps researchers to define and clarify the concepts and variables of interest in their research. It enables researchers to develop a clear and concise definition of the problem, which in turn helps to guide the research process.
• Guiding the research design: A theoretical framework can guide the selection of research methods, data collection techniques, and data analysis procedures. By outlining the key concepts and assumptions underlying the research questions, the theoretical framework can help researchers to identify the most appropriate research design for their study.
• Supporting the interpretation of research findings: A theoretical framework provides a framework for interpreting the research findings by helping researchers to make connections between their findings and existing theory. It enables researchers to identify the implications of their findings for theory development and to assess the generalizability of their findings.
• Enhancing the credibility of the research: A well-developed theoretical framework can enhance the credibility of the research by providing a strong theoretical foundation for the study. It demonstrates that the research is based on a solid understanding of the relevant theory and that the research questions are grounded in a clear conceptual framework.
• Facilitating communication and collaboration: A theoretical framework provides a common language and conceptual framework for researchers, enabling them to communicate and collaborate more effectively. It helps to ensure that everyone involved in the research is working towards the same goals and is using the same concepts and definitions.

Characteristics of Theoretical Framework

Some of the characteristics of a theoretical framework include:

• Conceptual clarity: The concepts used in the theoretical framework should be clearly defined and understood by all stakeholders.
• Logical coherence : The framework should be internally consistent, with each concept and assumption logically connected to the others.
• Empirical relevance: The framework should be based on empirical evidence and research findings.
• Parsimony : The framework should be as simple as possible, without sacrificing its ability to explain the phenomenon in question.
• Flexibility : The framework should be adaptable to new findings and insights.
• Testability : The framework should be testable through research, with clear hypotheses that can be falsified or supported by data.
• Applicability : The framework should be useful for practical applications, such as designing interventions or policies.

Advantages of Theoretical Framework

Here are some of the advantages of having a theoretical framework:

• Provides a clear direction : A theoretical framework helps researchers to identify the key concepts and variables they need to study and the relationships between them. This provides a clear direction for the research and helps researchers to focus their efforts and resources.
• Increases the validity of the research: A theoretical framework helps to ensure that the research is based on sound theoretical principles and concepts. This increases the validity of the research by ensuring that it is grounded in established knowledge and is not based on arbitrary assumptions.
• Enables comparisons between studies : A theoretical framework provides a common language and set of concepts that researchers can use to compare and contrast their findings. This helps to build a cumulative body of knowledge and allows researchers to identify patterns and trends across different studies.
• Helps to generate hypotheses: A theoretical framework provides a basis for generating hypotheses about the relationships between different concepts and variables. This can help to guide the research process and identify areas that require further investigation.
• Facilitates communication: A theoretical framework provides a common language and set of concepts that researchers can use to communicate their findings to other researchers and to the wider community. This makes it easier for others to understand the research and its implications.

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Muhammad Hassan

Researcher, Academic Writer, Web developer

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• USC Libraries
• Research Guides

Organizing Your Social Sciences Research Paper

• Theoretical Framework
• Purpose of Guide
• Design Flaws to Avoid
• Independent and Dependent Variables
• Glossary of Research Terms
• Reading Research Effectively
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Applying Critical Thinking
• Choosing a Title
• Making an Outline
• Paragraph Development
• Research Process Video Series
• Executive Summary
• The C.A.R.S. Model
• Background Information
• The Research Problem/Question
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tiertiary Sources
• Scholarly vs. Popular Publications
• Qualitative Methods
• Quantitative Methods
• Insiderness
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Generative AI and Writing
• USC Libraries Tutorials and Other Guides
• Bibliography

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

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

Importance of Theory and a Theoretical Framework

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

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

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

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

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

The theoretical framework strengthens the study in the following ways :

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

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

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

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

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

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

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

II.  Purpose

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

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

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

Structure and Writing Style

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

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

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

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

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

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

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

Writing Tip

Borrowing Theoretical Constructs from Other Disciplines

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

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

Another Writing Tip

Don't Undertheorize!

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

Yet Another Writing Tip

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

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

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

The key distinctions are:

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

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

Still Yet Another Writing Tip

Be Prepared to Challenge the Validity of an Existing Theory

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

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

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

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

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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 ...

19 Comments

Thank you for giving a valuable lesson

good thanks!

VERY INSIGHTFUL

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

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

good, fantastic

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

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

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

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

Simple and clear!

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

Thank you great insight

Superb. Thank you so much.

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

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

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.

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What Is A Theoretical Framework? A Practical Answer

• Published: 30 November 2015
• Volume 26 , pages 593–597, ( 2015 )

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• Norman G. Lederman 1 &
• Judith S. Lederman 1  

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Avoid common mistakes on your manuscript.

Other than the poor or non-existent validity and/or reliability of data collection measures, the lack of a theoretical framework is the most frequently cited reason for our editorial decision not to publish a manuscript in the Journal of Science Teacher Education . A poor or missing theoretical framework is similarly a critical problem for manuscripts submitted to other journals for which Norman or Judith have either served as Editor or been on the Editorial Board. Often the problem is that an author fails to justify his/her research effort with a theoretical framework. However, there is another level to the problem. Many individuals have a rather narrow conception of what constitutes a theoretical framework or that it is somehow distinct from a conceptual framework. The distinction on lack thereof is a story for another day. The following story may remind you of an experience you or one of your classmates have had.

Doctoral students live in fear of hearing these now famous words from their thesis advisor: “This sounds like a promising study, but what is your theoretical framework?” These words instantly send the harried doctoral student to the library (giving away our ages) in search of a theory to support the proposed research and to satisfy his/her advisor. The search is often unsuccessful because of the student’s misconception of what constitutes a “theoretical framework.” The framework may actually be a theory, but not necessarily. This is especially true for theory driven research (typically quantitative) that is attempting to test the validity of existing theory. However, this narrow definition of a theoretical framework is commonly not aligned with qualitative research paradigms that are attempting to develop theory, for example, grounded theory, or research falling into the categories of description and interpretation research (Peshkin, 1993 ). Additionally, a large proportion of doctoral theses do not fit the narrow definition described. The argument here is not that various research paradigms have no overarching philosophies or theories about knowing. Clearly quantitative research paradigms are couched in a realist perspective and qualitative research paradigms are couched in an idealist perspective (Bogdan & Biklen, 1982 ). The discussion here is focused on theoretical frameworks at a much more specific and localized perspective with respect to the justification and conceptualization of a single research investigation. So, what is a theoretical framework?

It is, perhaps, easier to understand the nature and function of a theoretical framework if it is viewed as the answer to two basic questions:

What is the problem or question?

Why is your approach to solving the problem or answering the question feasible?

Indeed, the answers to these questions are the substance and culmination of Chapters I and II of the proposal and completed dissertation, or the initial sections preceding the Methods section of a research article. The answers to these questions can come from only one source, a thorough review of the literature (i.e., a review that includes both the theoretical and empirical literature as well as apparent gaps in the literature). Perhaps, a hypothetical situation can best illustrate the development and role of the theoretical framework in the formalization of a dissertation topic or research investigation. Let us continue with the doctoral student example, keeping in mind that a parallel situation also presents itself to any researcher planning research that he/she intends to publish.

As an interested reader of educational literature, a doctoral student becomes intrigued by the importance of questioning in the secondary classroom. The student immediately begins a manual and computer search of the literature on questioning in the classroom. The student notices that the research findings on the effectiveness of questioning strategies are rather equivocal. In particular, much of the research focuses on the cognitive levels of the questions asked by the teacher and how these questions influence student achievement. It appears that the research findings exhibit no clear pattern. That is, in some studies, frequent questioning at higher cognitive levels has led to more achievement than frequent questioning at the lower cognitive levels. However, an equal number of investigations have shown no differences between the achievement of students who are exposed to questions at distinctly different cognitive levels, but rather the simple frequency of questions.

The doctoral student becomes intrigued by these equivocal findings and begins to speculate about some possible explanations. In a blinding flash of insight, the student remembers hearing somewhere that an eccentric Frenchman named Piaget said something about students being categorized into levels of cognitive development. Could it be that a student’s cognitive level has something to do with how much and what he/she learns? The student heads back to the library and methodically searches through the literature on cognitive development and its relationship to achievement.

At this point, the doctoral student has become quite familiar with two distinct lines of educational research. The research on the effectiveness of questioning has established that there is a problem. That is, does the cognitive level of questioning have any effect on student achievement? In effect, this answers the first question identified previously with respect to identification of a theoretical framework. The research on the cognitive development of students has provided an intriguing perspective. That is, could it be possible that students of different cognitive levels are affected differently by questions at different cognitive levels? If so, an answer to the problem concerning the effectiveness questioning may be at hand. This latter question, in effect, has addressed the second question previously posed about the identification of a theoretical framework. At this point, the student has narrowed his/her interests as a result of reviewing the literature. Note that the doctoral student is now ready to write down a specific research question and that this is only possible after having conducted a thorough review of the literature.

The student writes down the following research hypotheses:

Both high and low cognitive level pupils will benefit from both high and low cognitive levels of questions as opposed to no questions at all.

Pupils categorized at high cognitive levels will benefit more from high cognitive level questions than from low level questions.

Pupils categorized at lower cognitive levels will benefit more from low cognitive level questions than from high level questions.

These research questions still need to be transformed into testable statistical hypotheses, but they are ready to be presented to the dissertation advisor. The advisor looks at the questions and says: “This looks like a promising study, but what is your theoretical framework?” There is no need, however for a sprint to the library. The doctoral student has a theoretical framework. The literature on questioning has established that there is a problem and the literature on cognitive development has provided the rationale for performing the specific investigation that is being proposed. ALL IS WELL!

If some of the initial research completed by Norman concerning what classroom variables contributed to students’ understandings of nature of science (Lederman, 1986a , 1986b ; Lederman & Druger, 1985 ) had to align with the overly restricted definition of a theoretical framework, which necessitates the presence of theory, it never would have been published. In these initial studies, various classroom variables were identified that were related to students’ improved understandings of nature of science. The studies were descriptive and correlational and were not driven by any theory about how students learn nature of science. Indeed, the design of the studies was derived from the fact that there were no existing theories, general or specific, to explain how students might learn nature of science more effectively. Similarly, the seminal study of effective teaching, the Beginning Teacher Evaluation Study (Tikunoff, Berliner, & Rist, 1975 ), was an ethnographic study that was not guided by the findings of previous research on effective teaching. Rather, their inductive study simply compared 40 teachers “known” to be effective and ineffective of mathematics and reading to derive differences in classroom practice. Their study had no theoretical framework if one were to use the restrictive conception that a theory needed to provide a guiding framework for the investigation. There are plenty of other examples that have guided lines of research that could be provided, but there is no need to beat a dead horse by detailing more examples. The simple, but important, point is that research following qualitative research paradigms or traditions (Jacob, 1987 ; Smith, 1987 ) are particularly vulnerable to how ‘theoretical framework’ is defined. Indeed, it could be argued that the necessity of a theory is a remnant from the times in which qualitative research was not as well accepted as it is today. In general, any research design that is inductive in nature and attempts to develop theory would be at a loss. We certainly would not want to eliminate multiple traditions of research from the Journal of Science Teacher Education .

Harry Wolcott’s discussion about validity in qualitative research (Wolcott, 1990 ) is quite explicit about the lack of theory or necessity of theory in driving qualitative ethnography. Interestingly, he even rejects the idea of validity as being a necessary criterion in qualitative research. Additionally, Bogdan and Biklen ( 1982 ) emphasize the importance of qualitative researchers “bracketing” (i.e., masking or trying to forget) their a priori theories so that it does not influence the collection of data or any meanings assigned to data during an investigation. Similar discussions about how qualitative research differs from quantitative research with respect to the necessity of theory guiding the research have been advanced by many others (e.g., Becker, 1970 ; Bogdan & Biklen, 1982 ; Erickson, 1986 ; Krathwohl, 2009 ; Rist, 1977 ; among others). Perhaps, Peshkin ( 1993 , p. 23) put it best when he expressed his concern that “Research that is not theory driven, hypothesis testing, or generalization producing may be dismissed as deficient or worse.” Again, the key point is that qualitative research is as valuable and can contribute as much to our knowledge of teaching and learning as quantitative research.

There is little doubt that qualitative researchers often invoke theory when analyzing the data they have collected or try to place their findings within the context of the existing literature. And, as stated at the beginning of this editorial, different research paradigms have large overarching theories about how one comes to know about the world. However, this is not the same thing has using a theory as a framework for the design of an investigation from the stating of research questions to developing a design to answer the research questions.

It is quite possible that you may be thinking that this editorial about the meaning of a theoretical framework is too theoretical. Trust us in believing that there is a very practical reason for us addressing this issue. At the beginning of the editorial we talked about the lack of a theoretical framework being the second most common reason for manuscripts being rejected for publication in the Journal of Science Teacher Education . Additionally, we mentioned that this is a common reason for manuscripts being rejected by other prominent journals in science education, and education in general. Consequently, it is of critical importance that we, as a community, are clear about the meaning of a theoretical framework and its use. It is especially important that our authors, reviewers, associate editors, and we as Editors of the journal are clear on this matter. Let us not fail to mention that most of us are advising Ph.D. students in the conceptualization of their dissertations. This issue is not new. In 1992, the editorial board of the Journal of Research in Science Teaching was considering the claim, by some, that qualitative research was not being evaluated fairly for publication relative to quantitative research. In their analysis of the relative success of publication for quantitative and qualitative research, Wandersee and Demastes ( 1992 , p. 1005) noted that reviewers often noted, “The manuscript had a weak theoretical basis” when reviewing qualitative research.

Theoretical frameworks are critically important to all of our work, quantitative, qualitative, or mixed methods. All research articles should have a valid theoretical framework to justify the importance and significance of the work. However, we should not live in fear, as the doctoral student, of not having a theoretical framework, when we actually have such, because an Editor, reviewer, or Major Professor is using any unduly restrictive and outdated meaning for what constitutes a theoretical framework.

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Lederman, N. G. (1986b). Students’ and teachers’ understanding of the nature of science: A reassessment. School Science and Mathematics, 86 , 91–99.

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Tikunoff, W. J., Berliner, D. C., & Rist, R. C. (1975). Special study A: An enthnographic study of forty classrooms of the beginning teacher evaluation study known sample . Sacramento, CA: California Commission for Teacher Preparation and Licensing.

Wandersee, J. H., & Demastes, S. (1992). An analysis of the relative success of qualitative and quantitative manuscripts submitted to the Journal of Research in Science Teaching . Journal of Research in Science Teaching, 29 , 1005–1010.

Wolcott, H. F. (1990). On seeking, and rejecting, validity in qualitative research. In E. W. Eisner & A. Peshkin (Eds.), Qualitative inquiry in education (pp. 121–152). New York: Teachers College Press.

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Lederman, N.G., Lederman, J.S. What Is A Theoretical Framework? A Practical Answer. J Sci Teacher Educ 26 , 593–597 (2015). https://doi.org/10.1007/s10972-015-9443-2

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Organizing Your Social Sciences Research Paper: Theoretical Framework

• Purpose of Guide
• Writing a Research Proposal
• Design Flaws to Avoid
• Independent and Dependent Variables
• Narrowing a Topic Idea
• Broadening a Topic Idea
• The Research Problem/Question
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• The C.A.R.S. Model
• Background Information
• Theoretical Framework
• Citation Tracking
• Evaluating Sources
• Reading Research Effectively
• Primary Sources
• Secondary Sources
• What Is Scholarly vs. Popular?
• Is it Peer-Reviewed?
• Qualitative Methods
• Quantitative Methods
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism [linked guide]
• Annotated Bibliography
• Grading Someone Else's Paper

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

Abend, Gabriel. "The Meaning of Theory." Sociological Theory 26 (June 2008): 173–199; Swanson, Richard A. Theory Building in Applied Disciplines . San Francisco, CA: Berrett-Koehler Publishers 2013.

Importance of Theory

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

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

The theoretical framework strengthens the study in the following ways :

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

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

The Conceptual Framework . College of Education. Alabama State University; Corvellec, Hervé, ed. What is Theory?: Answers from the Social and Cultural Sciences . Stockholm: Copenhagen Business School Press, 2013; Asher, Herbert B. Theory-Building and Data Analysis in the Social Sciences . Knoxville, TN: University of Tennessee Press, 1984; Drafting an Argument . Writing@CSU. Colorado State University; Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Trochim, William M.K. Philosophy of Research . Research Methods Knowledge Base. 2006; Jarvis, Peter. The Practitioner-Researcher. Developing Theory from Practice . San Francisco, CA: Jossey-Bass, 1999.

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

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

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

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

II.  Purpose

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

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

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

Structure and Writing Style

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

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

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

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

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

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

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

Writing Tip

Borrowing Theoretical Constructs from Elsewhere

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

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

Another Writing Tip

Don't Undertheorize!

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

Yet Another Writing Tip

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

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

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

The key distinctions are:

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

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

Still Another Writing Tip

Be Prepared to Challenge the Validity of an Existing Theory

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

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

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

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Organizing Academic Research Papers: Theoretical Framework

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

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

Importance of Theory

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

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

The theoretical framework strengthens the study in the following ways .

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

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

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

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

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

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

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

II.  Purpose

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

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

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

Structure and Writing Style

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

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

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

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

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

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

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

Writing Tip

Borrowing Theoretical Constructs from Elsewhere

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

Another Writing Tip

Don't Undertheorize!

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

Still Another Writing Tip

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

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

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

The key distinctions are:

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

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

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Example Theoretical Framework of a Dissertation or Thesis

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

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

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

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Table of contents

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

Your theoretical framework is based on:

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

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

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

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

Some sub-questions could include:

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

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

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

Customer satisfaction

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

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

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

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

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

Thomassen’s Customer Satisfaction Model

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

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

Figure 1 Customer satisfaction creation 

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

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

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

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

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Example Of A Theoretical Framework In A Dissertation

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An example of a theoretical framework anchors a research paper to a specific theory. Researchers use theoretical frameworks in various fields to provide a premise for the ideas proposed in a research publication. It typically entails the key concepts, theories, and ideas that shape the methodology and research question.   This article delves into an example of a theoretical framework, exploring how it functions as an integral component of research design, leading to the conclusion.

Inhaltsverzeichnis

• 1 Example of a Theoretical Framework – In a Nutshell
• 2 Definition: Example of a theoretical framework
• 3 Example of a theoretical framework – Problem statement & research questions

Example of a Theoretical Framework – In a Nutshell

• An example of a theoretical framework outlines the theory-based approach taken when conducting research.
• The example of a theoretical framework comprises the problem statement , research question, and relevant literature review .
• A well formulated example of a theoretical framework is essential to guide your research and methodology to explain and summarize your findings convincingly.

Definition: Example of a theoretical framework

An example of a theoretical framework is a structure that defines the main ideas in a thesis or dissertation . It limits the breadth of the study by narrowing the focus to key variables and their relationship. Theoretical frameworks also give a researcher the specific structure that guides the collection and interpretation of the relevant data in a research proposal .

Example of a theoretical framework – Problem statement & research questions

The example of a theoretical framework is based on:

• The problem statement – involves contextualizing the research problem . The researcher describes the specific issue that the study seeks to address and justifies the study’s relevance and primary objectives.
• The research questions – are focused on a specific issue, and they should be feasible and researchable using various credible sources.
• The literature review – is an overview of published works about a certain topic, and it outlines what is currently known versus the existing gaps.

Examples of a problem statement and research questions

Find an example of a research question and problem statement below:

An insurance company is having a hard time cross-selling its products. The sales department has realized that most of the customers hold just one policy, although the company offers over ten unique policies. The company would like to have its customers purchase more than one policy since it is clear most customers are purchasing other policies from other companies.

The sales and marketing department wants to increase product awareness. They have concluded that more product awareness will improve the uptake of other products by the existing customers.

To analyze this problem, you have formulated a problem statement, objective, and a research question as follows:

• Problem: Many customers are purchasing additional policies from other companies.
• Objective: Selling more products to existing customers.
• Research question: How can customer product awareness be improved to increase cross-selling of insurance products?

In this study, the concept of “product awareness” is the main focus, alongside the chances that it will improve sales across other products. The example of a theoretical framework should analyze this concept and propose theories that discuss the relationship between the two variables.

• What is the relationship between product awareness and sales ?
• How informed are the existing customers about the company’s products?
• Which factors determine product awareness?

Example of a theoretical framework

In the following example, we define the concept of product awareness mentioned above.

Spacey’s description is more compatible with the study as it highlights the importance of conscious marketing strategies to improve product awareness. Although Kopp and Marrs clearly define product awareness, they don’t propose an actionable step in analyzing product awareness.

The insurance company wants to maximize product awareness as part of its long-term strategy. As a result, targeted marketing will ensure the products are divided and advertised to the most potential buyers.

Spacey’s Product Awareness Work Plan

According to Spacey, the more aware your target customer base is of your range of products, the easier it is to sell more products to an individual customer. Spacey explains that product awareness simplifies promoting your products through different mediums, introducing new products, building a strong reputation, and retaining customers.

What is an example of a theoretical framework based on?

An example of a theoretical framework is based on the problem statemen t, research questions , and review of literature sources . These essential elements guide data collection , analysis, and generalization of the findings.

What is a research question?

A research question is a component of an example of a theoretical framework in research. It is the specific question that forms the basis of the solution proposed by a researcher at the end of a study.

When do you need an example of a theoretical framework?

You need an example of a theoretical framework when undertaking a study with several existing theories. The theoretical framework assists you in reviewing your sources and creating the most relevant research questions.

How do you create an example of a theoretical framework?

Begin by identifying your main concepts and variables. Evaluate and summarize probable theories and show how your findings correspond to the identified theories.

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Designing the Theoretical Framework

What is it.

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

What does it do?

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

What should be in it?

• Theory or theories that the researcher considers relevant for their research, principles, and concepts.

Theoretical Framework Guide

• Theoretical Framework Guide Use this guide to determine the guiding framework for your theoretical dissertation research.

Making a Theoretical Framework

How to make a theoretical framework.

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

Example Framework

• Theoretical Framework Example for a Thesis or Dissertation This link offers an example theoretical framework.

Additional Framework Resources

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

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

Theoretical Framework Research

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

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

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

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

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Selecting a theoretical framework to guide research on the COVID-19 pandemic impacts on nursing care delivery and the critical care work system (using Reed's Intermodern approach to theory critique)

Understanding the impact of COVID-19 on nursing care delivery in critical care work systems is urgently needed. Theoretical frameworks guide understanding of phenomena in research. In this paper, we critique four theoretical frameworks (Donabedian's Quality Model, the Quality Health Outcomes Model, the Systems Research Organizing Model, and the Systems Engineering (SEIPS) 2.0 Model) using Reed's (2018) Intermodern philosophical perspective of nursing science. Reed's (2018) Intermodern approach to theory critique was selected for its pragmatic perspective and focus on personal and professional health and wellbeing. The SEIPS 2.0 Model was ultimately selected to guide the study of the impact of the COVID-19 Pandemic on nursing care delivery in the critical care work systems.

Nursing care delivery impacts both patient and nurse outcomes ( Cheung et al., 2008 ). Some researchers have explored the early impact of the COVID-19 Pandemic on nursing care delivery broadly in acute care settings ( Schroeder et al., 2020 ), yet few have concentrated on critical care settings (ICUs). ICUs are work systems designed to provide care to critically ill patients ( Marshall et al., 2017 ). COVID-19 illness has caused unparalleled patient admissions to ICUs ( Huang et al., 2020 ).

Theoretical frameworks are essential to understand phenomena of interest in healthcare systems (Brewer et al., 2008). Theory-based research into systems shifts attention from a superficial focus on problem-elimination and outcomes to a broader and deeper analysis of structures and processes that affect delivery of care ( Verran, 1997 ). This paper presents the process of analyzing and evaluating four theoretical framework for selection to study the impact of the COVID-19 Pandemic on nursing care delivery in the critical care work system. The four frameworks evaluated are Donabedian's (1988) Quality Model, Mitchell et al.' (1998) Quality Health Outcomes Model, Brewer and colleagues' (2008) Systems Research Organizing Model, and Holden et al.’ (2013) Systems Engineering Initiative for Patient Safety 2.0 Model. The critique was completed using Reed's (2018) Intermodern perspective of nursing science and theory development.

1. Frameworks and models for understanding work systems

The four theoretical frameworks, also called models, were selected for their potential to describe systems, processes, and outcomes in healthcare. Each model was analyzed and evaluated for relevance to describe the critical care work system, processes of nursing care delivery, and subsequent outcomes. Other important concepts included in the analysis/evaluation were patients' family members, healthcare professionals' well-being, and the explicit inclusion of the external environment. These concepts were added because patients' family members play a crucial role in the social support of patients, healthcare professionals' well-being has the potential to impact patient outcomes ( Cheung et al., 2008 ), and because of the nature of how drastically the COVID-19 Pandemic altered care delivery ( Schroeder et al., 2020 ), respectively. Reed's (2019) Intermodern perspective of nursing science was used to critique and select a theoretical framework to describe the impact of COVID-19 on nursing care delivery in critical care work systems for the following reasons: its congruence with the nursing metaparadigm, situation and broad use in a human factors/systems research, consideration of the external environment, and explicit inclusion of the professionals' health and wellness as an outcome.

2. Reed's Intermodern approach to theory critique

The Intermodern ( Reed, 2018 ) approach to theory critique was selected for its emphasis on the role of practice in knowledge development, and its useful perspective for theory critique among researchers who consider themselves pragmatists who value scientific theories for their success in practical application. The Intermodern approach focuses on professional well-being, which is an important issue of concern during the COVID-19 Pandemic for its potential to impact patient outcomes ( National Academy of Medicine, n.d. ).

Like other theory critique approaches, an Intermodern approach includes analysis and evaluation. Analysis includes a look at the 1) theory components, 2) underlying assumptions, and 3) relationships among concepts. Evaluation includes assessment of multiple components of the theory for a specific research or theory purpose. These components include the following: 1) meaning and significance for ethical and effective practice, 2) underlying worldview as congruent with nursing practice needs, 3) contribution to practice knowledge that stimulates new ideas or challenges the status quo, and 4) applications in supporting professional and personal practices that promote health and well-being ( Reed, 2018 ).

3. Theoretical frameworks

The theoretical frameworks described below were selected for their potential to describe the critical care work system, processes of nursing care delivery, and subsequent outcomes. The first model described in this paper is Donabedian's (1988) Quality Model, which is broadly considered the first model describing the healthcare system structures, processes, and patient outcomes. The subsequent models are predicated on the structures, processes, and outcomes as described in Donabedian's (1988) Quality Model. Mitchell et al. (1998) Quality Health Outcomes Model, Brewer and colleagues' (2008) Systems Research Organizing Model, and Holden et al. (2013) Systems Engineering Initiative for Patient Safety 2.0 Model are critiqued below using Reed's (2018) Intermodern approach in order of chronology.

3.1. Donabedian's quality model

Donabedian's Quality Model (1988) is a theoretical framework for evaluating the quality of healthcare. The model depicts the relationship between the structures and processes that contribute to the outcomes of care. The structures construct in the model represents the attributes of the setting where care occurs; for example, organizational structures refer to settings such as teaching, urban, or rural hospitals and the processes of each involved in giving and receiving care. These settings in turn impact the processes that occur in giving and receiving care. The outcomes construct denotes the impact of care processes on the health status of patients ( Donabedian, 1988 ). The Quality Model has mechanistic philosophic roots as evidenced by the simple, unidirectional, and linear relationships ( Pepper, 1942 ) proposed among the structures, processes, and outcomes.

The constructs within the model are sufficiently broad, allowing for consistency with the metaparadigm of nursing, and inclusion of the patient's family/caregivers, the environment beyond where care occurs, and the impact on clinicians. However, the model lacks an explicit focus on professional practices that promote health and well-being for professionals.

Donabedian's Quality Model (1988) has been used in many research studies and supported by many research studies in healthcare research ( Berwick & Fox, 2016 ), particularly in reference to promoting understanding phenomena in healthcare research of quality patient outcomes ( Ayanian & Markel, 2016 ). The Quality Model has stimulated new thinking and generated development of models based loosely on this model.

3.2. Quality health outcomes model

The Quality Health Outcomes Model (QHOM) (1998) is a theoretical framework of the relationships between multiple factors that affect care quality. Proposed in 1998, the QHOM was built on Donabedian's Quality Model (1988) by the American Academy of Nursing Expert panel on Quality to guide quality of care evaluation and research ( Mitchell et al., 1998 ). When the QHOM was first published, it challenged the status quo through its consideration of the reciprocal relationships between system and client characteristics to produce outcomes, and its inclusion of policy implications ( Mitchell et al., 1998 ). The QHOM has been used widely in nursing quality research and improvement efforts ( Aiken et al., 2018 ), although the model is nearly a quarter century old.

The model is comprised of four main concepts including: system characteristics (structure and process elements), interventions (clinical processes), client characteristics (to whom interventions are directed), and outcomes (impact of clinical processes on patients) ( Mitchell et al., 1998 ). The QHOM reflects an organismic philosophical view ( Pepper, 1942 ) in that health outcomes are depicted within an organization of dynamic, interrelated factors, and the whole system is not necessarily predictable by the sum of its parts.

The model has several weaknesses. The interventions construct is not directly related to outcomes, but rather indirectly related through system and client characteristics ( Pepper, 1942 ). The constructs of the QHOM are quite broad for applications in databases used for quality improvement and intervention research ( Mitchell et al., 1998 ). While the theoretical ideas are consistent with the metaparadigm of nursing, there is an internal inconsistency in the model's theoretical separation of the system characteristics processes from clinical intervention processes; in reality, the system has considerable influence over clinical processes. Further, similar to the Quality Model (1988), the QHOM lacks consideration of environment beyond the immediate context of care. The model does not address professional practices in promoting health and wellbeing, however it has been cited over 500 times.

3.3. Systems research organizing model

The Systems Research Organizing Model (SROM) is a theoretical framework that explains the relationships among variables of interest in healthcare (e.g. person, environment, healthcare professionals, and health) (Brewer et al., 2008). The model contains four main constructs including the client that drives the model, the environment which is not the focus of change but can influence other constructs, an action focus which is the process measures, and the outcomes or performance measures. All of the constructs are interrelated and comprise the system as a whole (Brewer et al., 2008). The SROM has contextualistic philosophic roots as evidenced by the client depicted as interconnected with their environment and inseparable from the system ( Pepper, 1942 ). Brewer along with faculty and doctoral students at The University of Arizona developed the SROM to evaluate nursing systems research by examining the systems' influences on outcomes of care and healthcare design (Brewer et al., 2008).

The SROM constructs are clear and broad yet sufficiently diverse. The theoretical ideas are consistent with the metaparadigm of nursing and with a systems-focus as evidenced by depiction of the constructs comprising the whole system ( Von Bertalanffy, 1969 ). The SROM has been used to explain and predict patient mental health outcomes ( Saewert, 2003 ) and healthcare facilities design (Brewer et al., 2008). Though it has not been used in research in the last ten years, knowledge from the SROM contributed to a systems view in nursing research by which individuals are inseparable from their environment (Brewer et al., 2008). Unlike Donabedian's (1988) Quality Model and Mitchell et al. (1998) QHOM, the SROM challenged the status quo in its flexibility and its view of interaction among all model constructs. This enables a focus on professional practices that promote health and wellbeing.

3.4. Systems engineering initiative for patient safety 2.0 model

The Systems Engineering Initiative for Patient Safety (SEIPS) 2.0 Model is a theoretical framework for studying and improving health and healthcare ( Holden et al., 2013 ). The model is comprised of three main constructs including work systems, processes, and outcomes . The work system is further delineated into person(s) including the healthcare professionals and patients/their families, hospital organization, tasks, internal environment (e.g. sounds, temperature) and external environment (e.g. state policy, economics).

Processes are delineated into professional work, collaborative professional-patient work, and patient work. Outcomes are delineated into patient, professional, and organizational outcomes ( Holden et al., 2013 ). The SEIPS 2.0 Model has contextualistic philosophic roots ( Pepper, 1942 ) as evidenced by the patient depicted as inseparable from the internal environment of care and impacted by the external environment ( Holden et al., 2013 ). The original SEIPS model was developed by Carayon et al. (2006) and was based on Donabedian's Quality Model (1988) and Balance Theory, which emphasizes the relationships between the components of the system and importance of considering the entire system as other system elements may act as barriers or facilitators. While a SEIPS 3.0 Model does exist, its focus is on patient safety during the transition out of the acute care setting; and therefore, was not included in this theory critique ( Carayon et al., 2020 ).

The SEIPS 2.0 Model (2013) is comprised of three main constructs with sub-concepts that further define how the constructs are sufficiently broad yet diverse. There is ample contemporary research evidence supporting the use of the SEIPS 2.0 Model in practice ( Center for Quality and Productivity Improvement, n.d. ). The SEIPS 2.0 Model was recently used by Lumley et al. (2020) to conceptualize what nursing care delivery may look like in critical care settings during the COVID-19 Pandemic. The model has applications for evidence-based practice, quality evaluation, testing interventions, and supporting professional and personal practices promoting personal and professional health and wellbeing as evidenced by inclusion of professional outcomes in the model ( Holden et al., 2013 ). Finally, the SEIPS 2.0 Model challenged the status quo by proposing that negative elements or barriers to work processes can be overcome by focusing on the positive elements of the system ( Carayon, 2009 ).

3.5. Summary of a comparison of theoretical frameworks

The four theoretical frameworks presented above were compared overall for selecting the one most appropriate for the research on the impact of the COVID-19 Pandemic on the critical care work system from a nursing perspective. First, while Donabedian's (1988) Quality Model has been widely used in healthcare systems research to understand quality outcomes, several key details including the patients' family members, the external environment, and the consideration of the healthcare professional were not explicitly included in the model. Second, Mitchell and colleagues' (1998) QHOM also does not include consideration of the external environment. Neither model explicitly addresses promotion of professionals' health and wellness. Third, while the SROM is nested in the nursing metaparadigm, is consistent with a systems view (Brewer et al., 2008), and includes consideration of the external environment and promotion of professionals' health and wellness; however, it has not been recently used in research. Fourth, the SEIPS 2.0 Model ( Holden et al., 2013 ) is consistent with the nursing metaparadigm, is situated in a human factors/systems view, includes consideration of the external environment, explicitly includes the professional health and wellness as an outcome, and has been used widely in recent nursing research and implemented in critical care work systems ( Center for Quality and Productivity Improvement, n.d. ). Therefore, the SEIPS 2.0 Model was selected to guide a research study describing the impact of the COVID-19 Pandemic on the critical care work system from a nursing perspective.

3.6. The SEIPS 2.0 model and the impact of COVID-19 on the critical care work system

Because the SEIPS 2.0 Model can be used to describe work systems design with a focus on patient safety ( Holden et al., 2013 ), it is ideal for comprehensively describing nursing care delivery which aims to deliver safe nursing care to patients. More specifically, the SEIPS 2.0 Model will be used as a framework to guide development of semi-structured interviews with critical care nurse participants to elicit their descriptions of describing the impact of the COVID-19 Pandemic on nursing care delivery in the critical care work system.

The SEIPS model in Fig. 1 depicts the components of the critical care work system during COVID-19 and the process of nursing care delivery. The model's major components of the work system, work process, and outcomes outline the major interview areas designed for data collection in the research as described briefly below.

SEIPS 2.0 model as adapted for this study.

3.6.1. Work system

3.6.1.1. person(s).

Consistent with SEIPS 2.0 ( Holden et al., 2013 ), both the nurse and patient (and their family) will be simultaneously represented at the center of the model. Nurses will be asked to describe characteristics of their patients including their needs, preferences and goals ( Holden et al., 2013 ). The nurses will be described through demographic characteristics including age, gender, highest level of nursing education, and years of experience.

3.6.1.2. Nursing tasks

The focus of the nursing tasks will be those completed by the nurse for the patient. These tasks vary in difficulty, complexity, and ambiguity as described by Holden et al. (2013) . Nurses will be asked about the tasks completed for critically ill patients in the critical care work system. Other factors, such as who was responsible for completing the task and who was responsible for delegation of tasks, will be used to provide a comprehensive description of nursing care delivery models.

3.6.1.3. Tools & technology

Tools and technologies include information technologies, devices, and resources used to facilitate patient care ( Holden et al., 2013 ). Nurses will be asked about the tools and technology used in caring for patients in the ICU during COVID-19. As Holden et al. (2013) describe, tools and technology factors in the SEIPS 2.0 Model include usability, accessibility, familiarity, portability, and functionality.

3.6.1.4. Organization

According to Holden et al. (2013) , organizations are structures that organize time, space, resources, and activities that may be put in place by people but are external to people. Nurses will be asked about factors related to organizations. Organizational factors include work assignments, such as number of patients and complexity and how work was assigned to be completed for the patient, work schedules, availability of resources such as personal protective equipment and ventilators, and management and incentive systems, and training and policies and procedures specific to caring patients in the ICU during the COVID-19 Pandemic ( Holden et al., 2013 ).

3.6.1.5. Internal environment

Internal environments include layout, noise, temperature, and lighting in the work setting ( Holden et al., 2013 ). Nurse participants will be asked about what the internal environment of an ICU looked, sounded, and physically felt like during the COVID-19 Pandemic.

3.6.1.6. External environment

Because COVID-19 is ravaging our nation and globe, it will be important to include a macroergonomic (work system design) approach. External factors which may impact the work system include societal, economic, and policy factors ( Holden et al., 2013 ). Nurse participants will be asked about how greater society, economics, and policy impacted their ICU and their experiences with care delivery.

3.6.2. Nursing care delivery as a process

Nursing care delivery is an example of professional work process completed by a nurse ( Holden et al., 2013 ). The different components of the critical care work system will be explored for how each impacted nursing care delivery including physical, cognitive, and social/behavioral work processes. Physical work processes describe the actual process of delivering nursing care to the patient, while cognitive work processes describe the critical thinking processes and the social/behavioral work processes describe the interaction between the patient/family member and the professional and the team member interaction ( Holden et al., 2013 ).

3.6.3. Outcomes

Outcomes in the SEIPS 2.0 Model include patient, professional, and organizational outcomes ( Holden et al., 2013 ). Patient outcomes include satisfaction and quality of care, while professional outcomes include the health versus illness, job satisfaction, and burnout of the healthcare team members, and organizational outcomes include staffing difficulties, financial performance, and cultural changes ( Holden et al., 2013 ). Nurses will be asked about nurse outcomes relating to care delivery during the COVID-19 Pandemic.

4. Conclusion

Theory critique including in-depth analysis and evaluation is time-consuming, yet critically important. There must be a match between the purpose of the research, the researcher's views, and the theoretical framework. One must not only consider the theories to critique, but also the approach to theory critique. Reed's (2018) Intermodern approach to critique was used for its pragmatic perspective of theory critique, which includes evaluation of a theory in terms of its practice implications and its emphasis on personal and professional health and well-being. Use of Reed's (2018) Intermodern approach facilitated selection of the SEIPS 2.0 Model was selected in part because it will provide a comprehensive framework for describing the critical care work system, processes of nursing care delivery, and subsequent outcomes with an emphasizes on professional wellbeing ( Carayon et al., 2006 ). This model offers a systems perspective to guide research on describing impact of the COVID-19 Pandemic on the critical care work systems, processes, and outcomes while emphasizing professional well-being.

This work was supported by the Sigma Beta Mu Dissertation Grant.

CRediT authorship contribution statement

Claire Bethel: Conceptualization, Writing – Original Draft, Funding Acquisition, Investigation/Analysis, Project Administration, Supervision.

Pamela Reed: Methodology, Writing – Original Draft, Writing – Review & Editing, Investigation/Analysis.

Barbara Brewer: Writing – Original Draft, Writing – Review & Editing.

Jessica Rainbow: Writing – Review & Editing.

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