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What is a framework? Understanding their purpose, value, development and use

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Many frameworks exist across the sciences and science-policy interface, but it is not always clear how they are developed or can be applied. It is also often vague how new or existing frameworks are positioned in a theory of science to advance a specific theory or paradigm. This article examines these questions and positions the role of frameworks as integral but often vague scientific tools, highlighting benefits and critiques. While frameworks can be useful for synthesizing and communicating core concepts in a field, they often lack transparency in how they were developed and how they can be applied. Positioning frameworks within a theory of science can aid in knowing the purpose and value of framework use. This article provides a meta-framework for visualizing and engaging the four mediating processes for framework development and application: (1) empirical generalization, (2) theoretical fitting, (3) application, and (4) hypothesizing. Guiding points for scholars and policymakers using or developing frameworks in their research are provided in closing.

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The development of ‘frameworks’ is at present probably the most common strategy in the field of natural resources management to achieve integration and interdisciplinarity. Mollinga , 2008

…it is not clear what the role of a scientific framework should be, and relatedly, what makes for a successful scientific framework. Ban and Cox, 2017

Frameworks are important research tools across nearly all fields of science. They are critically important for structuring empirical inquiry and theoretical development in the environmental social sciences, governance research and practice, the sustainability sciences and fields of social-ecological systems research in tangent with the associated disciplines of those fields (Binder et al. 2013 ; Pulver et al. 2018 ; Colding and Barthel 2019 ). Many well-established frameworks are regularly applied to collect new data or to structure entire research programs such as the Ecosystem Services (ES) framework (Potschin-Young et al. 2018 ), the Social-Ecological Systems Framework (SESF) (McGinnis and Ostrom 2014a ), Earth Systems Governance (ESG) (Biermann et al. 2010 ), the Driver-Impact-Pressure-State-Response (DIPSR) framework, and the Life Cycle Assessment (LCA) framework. Frameworks are also put forth by major scientific organizing bodies to steer scientific and policy agendas at regional and global levels such as the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES) (Díaz et al. 2015 ) and the Global Sustainable Development Report’s transformational levers and fields (UN 2019 ).

Despite the countless frameworks, it is not always clear how a framework can be developed or applied (Ban and Cox 2017 ; Partelow 2018 ; Nagel and Partelow 2022 ). Development may occur through empirically backed synthesis or by scholars based on their own knowledge, values, or interests. These diverse development pathways do, however, result in common trends. The structure of most frameworks is the identification of a set of concepts and their general relationships — often in the form box-and-arrow diagrams — that are loosely defined or unspecified. This hallmark has both benefits and challenges. On one hand, this is arguably the purpose of frameworks, to structure the basic ideas of theory or conceptual thinking, and if they were more detailed they would be models. On the other hand, there is often a “black box” nature to frameworks. It is often unclear why some sets of concepts and relationships are chosen for integration into frameworks, and others not. As argued below, these choices are often the result of the positionality of the framework’s creators. Publications of frameworks, furthermore, often lack descriptions of their value and potential uses compared to other frameworks or analytical tools that exist in the field.

Now shifting focus to how frameworks are applied. Some frameworks provide measureable indicators as the key variables in the framework, but many only suggest general concepts. This creates the need to link concepts and their relationships to data through other more tangible indicators. Methods to measure such indicators will also be needed in new empirical studies. These methodological and study design steps necessary to associate data to framework concepts is often referred to as “operationalizing” a framework. However, without guidance on how to do this, scholars are often left with developing their own strategies, which can lead to heterogeneous and idiosyncratic methods and data. These challenges can be referred to as methodological gaps (Partelow 2018 ), where the details of how to move from concept to indicator to measurement to data transformation, are not always detailed in a way that welcomes replicability or learning. This is not necessarily a problem if the purpose of a framework is to only guide the analysis of individual cases or synthesis activities in isolation, for example to inform local management, but it hinders meta-analyses, cross-case learning and data interpretability for others.

In this article, a brief overview of framework definitions and current synthesis literature are reviewed in the “ What is a framework? ” section. This is coupled with the argument that frameworks often lack clarity in their development and application because their positioning within a theory of science is unclear. In the “ Mechanisms of framework development and use: a meta-framework ” section, a meta-framework is proposed to assist in clarifying the four major levers with which frameworks are developed and applied: (1) empirical generalization, (2) theoretical fitting, (3) hypothesizing, and (4) application. The meta-framework aims to position individual frameworks into a theory of science, which can enable scholars to take a conceptual “step back” in order to view how their engagement with a framework contributes to their broader scientific goal and field. Two case studies of different frameworks are provided to explore how the meta-framework can aid in comparing them. This is followed by a discussion of what makes a good framework, along with explicit guiding points for the use of frameworks in research and policy practice.

What is a framework?

The definition and purpose of a framework is likely to vary across disciplines and thematic fields (Cox et al. 2016 ). There is no universal definition of a framework, but it is useful to provide a brief overview of different definitions for orientation. The Cambridge Dictionary states that frameworks are “a supporting structure around which something can be built; a system of rules, ideas, or beliefs that is used to plan or decide something.” Schlager ( 2007 , 293) states that “frameworks provide a foundation for inquiry,” and Cumming ( 2014 , 5) adds that this “does not necessarily depend on deductive logic to connect different ideas.” Importantly, Binder et al., ( 2013 , 2) note that “a framework provides a set of assumptions, concepts, values and practices,” emphasizing the normative or inherently subjective logic to framework development. A core theme being plurality and connectivity. Similarly, McGinnis and Ostrom ( 2014a , 1) define frameworks as “the basic vocabulary of concepts and terms that may be used to construct the kinds of causal explanations expected of a theory. Frameworks organize diagnostic, descriptive, and prescriptive inquiry.” In a review comparing ten commonly used frameworks in social-ecological systems (SES) research, Binder et al., ( 2013 , 1) state that frameworks are useful for developing “a common language, to structure research on SES, and to provide guidance toward a more sustainable development of SES.” In a similar review, Pulver et al., ( 2018 , 1) suggest that frameworks “assist scholars and practitioners to analyze the complex, nonlinear interdependencies that characterize interactions between biophysical and social arenas and to navigate the new epistemological, ontological, analytical, and practical horizons of integrating knowledge for sustainability solutions.” It is important to recognize that the above claims often suggest the dualistic or bridging positions held by frameworks, in both theory building and for guiding empirical observations. However, there is relatively little discussion in the above literature on how frameworks act as bridging tools within a theory of science or how frameworks add value as positioning tools in a field.

Every framework has a position, meaning it is located within a specific context of a scientific field. As positioning tools, frameworks seem to “populate the scientist’s world with a set of conceptual objects and (non-causal) relationships among them,” shaping (and sometimes limiting) the way we think about problems and potential solutions (Cox et al. 2016 , 47). Thus, using a specific framework helps in part to position the work of a researcher in a field and its related concepts, theories and paradigms.

Four factors can be considered to evaluate the positioning of a framework: (a) who developed it, (b) the values being put forth by those researchers, (c) the research questions engaged with, and (d) the field in which it is embedded. For example, the Social-Ecological Systems Framework (SESF) (Ostrom 2009 ) was developed by (a) Elinor Ostrom who developed the framework studying common-pool resource and public goods governance from the 1960s until the 2000s. Ostrom’s overall goal was (b) to examine the hindering and enabling conditions for governance to guide the use and provision common goods towards sustainability outcomes. Her primary research questions (c) related to collective action theory, unpacking how and why people cooperate with each other or not. The field her work is embedded in (d) is an interdisciplinary mix between public policy, behavioral and institutional economics. Scholars who use Ostrom’s SESF today, carry this history with them and therefore position themselves, whether implicitly or explicitly, as part of this research landscape as systems thinkers and interdisciplinarians, even if they have other scholarly positions.

Frameworks are positioned within a theory of science. Understanding this positioning can guide scholars in comprehending how their engagement with frameworks contributes to the overall advancement of their field. To do this, taking a conceptual “step back” is necessary, to distinguish between different levels of theory in science. From the conceptually broadest to the most empirically specific, we can identify the following levels of theory: paradigms, frameworks, specific theories, models/archetypes and cases (Table 1 ). Knowledge production processes flow up and down these levels of theory. For example, as argued by Kuhn ( 1962 ), the purpose of a scientific field is to advance its paradigm. Thus, the study of empirical observations (e.g., case studies) — and the development of models or theories resulting from those data — are aimed at advancing the overarching paradigm. Such paradigms could be conservation, democracy, sustainable development or social-ecological systems.

There is a need to connect cases, models and specific theory up to the overall paradigms of a field to make aggregate knowledge gains. Here, the role of frameworks becomes more clear, as bridging tools that enable connections between levels of knowledge. From the top down, frameworks can specify paradigms with more tangible conceptual features and relationships, which can then guide empirical inquiry. For example, the Driver-Pressure-State-Impact-Response (DPSIR) framework (Smeets and Weterings 1999 ; Ness, Anderberg, and Olsson 2010 ) specifies how to evaluate policy options and their effects by focusing on the five embedded concepts in a relational order. Scholars can then generate more specific indicators and methods to measure the five specified features of the framework, and their relationships, to generate empirical insights that now have a direct link to the paradigm of sustainable policy development via the framework.

Furthermore, frameworks can also emerge from the bottom up, by distilling empirical data across cases and thus creating a knowledge bridge of more specified conceptual features and relationships that connect to a paradigm. In both top-down and bottom-up mechanism, frameworks can play a vital role in synthesizing and communicating ideas among scholars in a field — from empirical data to a paradigm. A challenge may be, however, that multiple frameworks have emerged attempting to specify the core conceptual features and relationships in a paradigm. A mature scientific field is likely to have many frameworks to guide research and debate. There is, however, a lack of research and tools available to compare frameworks and their added value.

Beyond their use as positioning tools, frameworks make day-to-day science easier. They can guide researchers in designing new empirical research by indicating which core concepts and relationships are of interest to be measured and compared. Scientific fields also need common fires to huddle around, meaning that we need reference points to initiate scholarly debates, coordinate disparate empirical efforts and to communicate findings and novel advancements through a common language (McGinnis and Ostrom 2014a ; Ban and Cox 2017 ). As such, frameworks are useful for synthesis research, focusing the attention of reviews and meta-analyses around core sets of concepts and relationships.

There is, however, a tension between frameworks that aim to capture complexity and those that aim to simplify core principles. Complexity oriented frameworks often advance systems thinking at the risk of including too many variables. They often have long lists of variables which makes empirical orientation and synthesis difficult. On the other hand, simplification frameworks face the challenge of leaving important things out, with the benefit of clarifying what may be important and giving clear direction.

From a more critical perspective, the “criteria for comparing frameworks are not well developed,” (Schlager, 2007 , 312), and the positionality of frameworks has not been rigorously explored outside of smaller studies. Nonetheless, numerous classifications or typologies of frameworks within specific fields have been suggested (Table 2 ), although not with reference to positionality (Spangenberg 2011 ; Binder et al. 2013 ; Cumming 2014 ; Schlager 2007 ; Ness et al. 2007 ; Potschin-Young et al. 2018 ; Cox et al. 2021 ; Louder et al. 2021 ; Chofreh and Goni 2017 ; Alaoui et al. 2022 ; Tapio and Willamo 2008 ). These studies point to the question of: what makes a good framework? Are there certain quality criteria that make some frameworks more useful than others? There has undoubtedly been a rise in the number of frameworks, but as expressed by Ban and Cox ( 2017 , 2), “it is not clear what the role of a scientific framework should be, and relatedly, what makes for a successful scientific framework. Although there are many frameworks […] there is little discussion on what their scientific role ought to be, other than providing a common scientific language.” The meta-framework presented below serves as a tool for answering these questions and provides guidance for developing and implementing frameworks in a range of settings.

Mechanisms of framework development and use: a meta-framework

This section presents a meta-framework detailing the mechanisms of framework development and use (Fig. 1 ). The meta-framework illustrates the role of frameworks as bridging tools for knowledge synthesis and communication. Therefore, the purpose of the meta-framework is to demonstrate how the mechanisms of framework development and use act as levers of knowledge flow across levels within a theory of science, doing so by enabling the communication and synthesis of knowledge. Introducing the meta-framework has two parts, outlined below.

A meta-framework outlining the central role frameworks play in scientific advancement through their development and use. In the center, frameworks provide two core bridging values: knowledge synthesis and knowledge communication. Three modes of logical reasoning contribute to framework development: induction, deduction and abduction. Frameworks are used and developed through four mediating processes: (1) empirical generalization, (2) theoretical fitting, (3) application, and (4) hypothesizing

First, the meta-framework visualizes the levels along the scale of scientific theory including paradigms, frameworks, specific theory and empirical observations, introduced above. Along this scale, three mechanisms of logical reasoning are typical: induction, deduction, and abduction. Induction is a mode of logical reasoning based on sets of empirical observations, which, when patterns within those observations emerge, can inform more generalized theory formation. Induction, in its pure form, is reasoning without prior assumptions about what we think is happening. In contrast, deduction is a mode of logical reasoning based on testing a claim or hypothesis, often based on a body of theory, against an observation to infer whether or not a claim is true. In contrast to induction, which always leads to probable or fuzzy conclusions, deductive logic provides true or false conclusions. A third mode of logical reasoning is abduction. Abduction starts with a single or limited set of observations, and assumes the most likely cause as a conclusion. Abduction can only provide probable conclusions. Knowledge claims from all three modes of logical reasoning are part of the nexus of potential framework creation or modification.

Second, the meta-framework has four iterative mediating processes that directly enable the development and/or application of frameworks (Fig. 1 ). Two of the four mediating processes relate to framework development: (1) empirical generalization and (2) theoretical fitting. The other two relate to framework application: (3) hypothesizing, and (4) application (Fig. 1 , Table 3 ). The details of the specific mediating pathways are outlined in Table 3 , including the processes involved in each. There are numerous potential benefits and challenges associated with each (Table 3 ).

The value of a meta-framework

The presented meta-framework (Fig. 1 ) allows us to assess the values different frameworks can provide. If a framework provides a novel synthesis of key ideas or new developments in a field, and communicates those insights well in its composition, it likely adds notable value. If a framework coordinates scientific inquiry across the 1 or more of the four mediating processes, it likely acts as an important gatekeeper and boundary object for what may otherwise be disparate or tangential research. If it contributes substantial advances in 3 or 4 of the mediating processes, the value of the framework is likely higher.

The meta-framework can further help identify the positioning of framework such as the type of logical reasoning processes used to create it, as well as help clarify the role of a framework along the scale of knowledge production (i.e., from data to paradigm). It might be clear, for example, what paradigm or specific theory a framework contributes to. The meta-framework can add value by guiding the assessment of how frameworks fit into the bigger picture of knowledge contribution in their field. Furthermore, many scholars and practitioners are interested in developing new frameworks. The meta-framework outlines the mechanisms that can be considered in creating the framework as well as help developers of new frameworks communicate how their frameworks add value. For example, to link empirical data collection to theoretical work in their field.

The meta-framework can help compare frameworks, to assess strengths and weaknesses in terms of their positioning and knowledge production mechanisms. It can also help elucidate the need for, or value of, new frameworks. This challenge is noted by Cumming ( 2014 , 18) in the field of social-ecological systems, reflecting that “the tendency of researchers to develop “new” frameworks without fully explaining how they relate to other existing frameworks and what new elements they bring to the problem is another obvious reason for the lack of a single dominant, unifying framework.” To showcase such as comparison, two brief examples are provided. The first example features the Driver-Pressure-State-Impact-Response (DPSIR) framework developed by the European Environmental Agency (EEA) (Box 1 ) (Smeets and Weterings 1999 ; Ness, Anderberg, and Olsson 2010 ). The DPSIR framework exemplifies a framework developed from the top-down (theoretical fitting) approach, to better organize the policy goal and paradigm of environmental sustainability to the indicators collected by EU member states. The second example highlights the Social-Ecological Systems Framework (SESF) developed by Elinor Ostrom (Box 2 ) (Ostrom 2009 ; McGinnis and Ostrom 2014a ). The SESF exemplifies a framework developed from the bottom up (empirical generalization) to aggregate data into common variables to enable data standardization and comparison towards theory building to improve environmental governance. In the case examples (Box 1 ; Box 2 ), we can see the value of both frameworks from different perspectives. The examples briefly illustrate how the positionality of each framework dictates how others use them to produce knowledge towards a paradigm. In the case of the DPSIR framework, from the top-down towards a policy goal, and with the SESF, from the bottom-up towards a theoretical goal.

Drivers – Pressures – State – Impact - Response (DPSIR) framework

Social-Ecological Systems Framework (SESF)

Discussion and directions forward

Frameworks are commons objects to huddle around in academic and practitioner communities, providing identity and guiding our effort. They focus scholarly attention on important issues, stimulate cognitive energy and provide fodder for discussion. However, reflection on the role and purpose of the frameworks we use needs to be a more common practice in science. The proposed meta-framework aims to showcase the role of frameworks as boundary objects that connect ideas and concepts to data in constructive and actionable ways, enabling knowledge to be built up and aggregated within scientific fields through using common languages and concepts (Mollinga 2008 ; Klein 1996 ).

Boundary objects such as frameworks can be especially important for inter- and transdisciplinary collaboration, where there may be few prior shared points of conceptual understanding or terminology beyond a problem context. Mollinga ( 2008 , 33) reflects that “frameworks are typical examples of boundary objects, building connections between the worlds of science and that of policy, and between different knowledge domains,” and that “the development of frameworks is at present probably the most common strategy in the field of natural resources management to achieve integration and interdisciplinarity,” (Mollinga, 2008 , 31). They are, however, critically important for both disciplinary specific fundamental research, as well as for bridging science-society gaps through translating often esoteric academic concepts and findings into digestible and often visual objects. For example, the DPSIR framework (Box 1 ) attempts to better organize the analysis of environmental indicators for policy evaluation processes in the EU. Furthermore, Partelow et al., ( 2019 ) and Gurney et al., ( 2019 ) both use Ostrom’s SESF (Box 2 ) as a boundary object at the science-society interface to visually communicate systems thinking and social-ecological interactions to fishers and coastal stakeholders involved in local management decision-making.

An important feature of frameworks is that the very contestation over their nature is perhaps their main value. A framework can only be an effective boundary object if it catalyzes deliberation and scholarly debate — thus contestation over what it is and its value is seeded into the toolbox and identity of a scholarly field. Although most frameworks are likely to have shortcomings, flaws or controversial features, the fact that they motivate engagement around common problems and stimulate scholarly engagement is a value of its own. In doing so, frameworks often become symbols of individual and community identity in contested spaces. This is evidenced in how frameworks are often used to stamp our research as valid, relevant and important to the field, even if done passively. Citing a framework both communicates the general purpose of what a scholar is attempting to achieve to others, and orients science towards a common synthetic object for future knowledge synthesis and debate. These positioning actions are essential for science and practitioner communities to understand a research or policy project, its aims and assumptions. Historically, disciplines have provided this value – signaling the problems, methods and theories one is likely to engage with. Frameworks can act as tools for bridging disciplines, helping to catalyze interdisciplinary engagement (Mollinga 2008 ; Klein 1996 ). As many scientific communities shift focus towards solving real-world problems (e.g., climate change, gender equality), tools that can help scientists’ cooperate and communicate, such as a framework, will continue to play a vital role in achieving knowledge co-production goals.

Guiding points for framework engagement

An aim of this article is not only to reflect on the purpose, value and positioning of frameworks, but to provide some take-away advice for engaging with frameworks in current or future work. Over the course of this article, the question of “What makes a good framework?” has been explored. The meta-framework outlines mechanisms of useful frameworks and can help understand the positioning of frameworks. Nonetheless, more detailed guiding points can be specified for both the use and development of frameworks going forward. A series of guiding points are outlined in Table 4 , generated from the literature cited throughout this article, feedback from colleagues and personal experiences applying and developing numerous frameworks. The guiding points focus on the two types of mediating processes, framework development and use (Table 4 ).

In conclusion, we need to know our academic tools in order make the best use of them in our own research, practice and knowledge communities. Frameworks have gained substantial popularity for the communication and synthesis of academic ideas, and as tools we all have the ability to create and perhaps the responsibility to steward. However, frameworks have struggled to find roots in a theory of science which grounds their contributions in relation to other scientific tools such as models, specific theories and empirical data. There is also a lack of discussion about what makes a good framework and how to apply frameworks in a way to makes those applications of integrative value to an overall community of scholars positioned around it. The meta-framework provided in this article offers insights into how to understand the purpose and positionality of frameworks, as well as the mechanisms for understanding the creation and application of frameworks. The meta-framework further allows for the comparison of frameworks to assess their value.

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Acknowledgements

I would like to thank Michael Cox and Achim Schlüter for their helpful feedback on previous versions of the manuscript and the ideas within it. I am grateful to the Leibniz Centre for Tropical Marine Research (ZMT) in Bremen, and the Center for Life Ethics at the University of Bonn for support.

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Partelow, S. What is a framework? Understanding their purpose, value, development and use. J Environ Stud Sci 13 , 510–519 (2023). https://doi.org/10.1007/s13412-023-00833-w

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What is a Conceptual Framework and How to Make It (with Examples)

A strong conceptual framework underpins good research. A conceptual framework in research is used to understand a research problem and guide the development and analysis of the research. It serves as a roadmap to conceptualize and structure the work by providing an outline that connects different ideas, concepts, and theories within the field of study. A conceptual framework pictorially or verbally depicts presumed relationships among the study variables.

The purpose of a conceptual framework is to serve as a scheme for organizing and categorizing knowledge and thereby help researchers in developing theories and hypotheses and conducting empirical studies.

In this post, we explain what is a conceptual framework, and provide expert advice on how to make a conceptual framework, along with conceptual framework examples.

Table of Contents

What is a Conceptual Framework in Research

Definition of a conceptual framework.

A conceptual framework includes key concepts, variables, relationships, and assumptions that guide the academic inquiry. It establishes the theoretical underpinnings and provides a lens through which researchers can analyze and interpret data. A conceptual framework draws upon existing theories, models, or established bodies of knowledge to provide a structure for understanding the research problem. It defines the scope of research, identifying relevant variables, establishing research questions, and guiding the selection of appropriate methodologies and data analysis techniques.

Conceptual frameworks can be written or visual. Other types of conceptual framework representations might be taxonomic (verbal description categorizing phenomena into classes without showing relationships between classes) or mathematical descriptions (expression of phenomena in the form of mathematical equations).

Figure 1: Definition of a conceptual framework explained diagrammatically

Conceptual Framework Origin

The term conceptual framework appears to have originated in philosophy and systems theory, being used for the first time in the 1930s by the philosopher Alfred North Whitehead. He bridged the theological, social, and physical sciences by providing a common conceptual framework. The use of the conceptual framework began early in accountancy and can be traced back to publications by William A. Paton and John B. Canning in the first quarter of the 20 th century. Thus, in the original framework, financial issues were addressed, such as useful features, basic elements, and variables needed to prepare financial statements. Nevertheless, a conceptual framework approach should be considered when starting your research journey in any field, from finance to social sciences to applied sciences.

Purpose and Importance of a Conceptual Framework in Research

The importance of a conceptual framework in research cannot be understated, irrespective of the field of study. It is important for the following reasons:

• It clarifies the context of the study.
• It justifies the study to the reader.
• It helps you check your own understanding of the problem and the need for the study.
• It illustrates the expected relationship between the variables and defines the objectives for the research.
• It helps further refine the study objectives and choose the methods appropriate to meet them.

What to Include in a Conceptual Framework

Essential elements that a conceptual framework should include are as follows:

• Overarching research question(s)
• Study parameters
• Study variables
• Potential relationships between those variables.

The sources for these elements of a conceptual framework are literature, theory, and experience or prior knowledge.

How to Make a Conceptual Framework

Now that you know the essential elements, your next question will be how to make a conceptual framework.

For this, start by identifying the most suitable set of questions that your research aims to answer. Next, categorize the various variables. Finally, perform a rigorous analysis of the collected data and compile the final results to establish connections between the variables.

In short, the steps are as follows:

• Choose appropriate research questions.
• Define the different types of variables involved.
• Determine the cause-and-effect relationships.

Be sure to make use of arrows and lines to depict the presence or absence of correlational linkages among the variables.

Developing a Conceptual Framework

Researchers should be adept at developing a conceptual framework. Here are the steps for developing a conceptual framework:

1. Identify a research question

Your research question guides your entire study, making it imperative to invest time and effort in formulating a question that aligns with your research goals and contributes to the existing body of knowledge. This step involves the following:

• Choose a broad topic of interest
• Conduct background research
• Narrow down the focus
• Define your goals
• Make it specific and answerable
• Consider significance and novelty
• Seek feedback.

 2. Choose independent and dependent variables

The dependent variable is the main outcome you want to measure, explain, or predict in your study. It should be a variable that can be observed, measured, or assessed quantitatively or qualitatively. Independent variables are the factors or variables that may influence, explain, or predict changes in the dependent variable.

Choose independent and dependent variables for your study according to the research objectives, the nature of the phenomenon being studied, and the specific research design. The identification of variables is rooted in existing literature, theories, or your own observations.

3. Consider cause-and-effect relationships

To better understand and communicate the relationships between variables in your study, cause-and-effect relationships need to be visualized. This can be done by using path diagrams, cause-and-effect matrices, time series plots, scatter plots, bar charts, or heatmaps.

4. Identify other influencing variables

Besides the independent and dependent variables, researchers must understand and consider the following types of variables:

• Moderating variable: A variable that influences the strength or direction of the relationship between an independent variable and a dependent variable.
• Mediating variable: A variable that explains the relationship between an independent variable and a dependent variable and clarifies how the independent variable affects the dependent variable.
• Control variable: A variable that is kept constant or controlled to avoid the influence of other factors that may affect the relationship between the independent and dependent variables.
• Confounding variable: A type of unmeasured variable that is related to both the independent and dependent variables.

Example of a Conceptual Framework

Let us examine the following conceptual framework example. Let’s say your research topic is “ The Impact of Social Media Usage on Academic Performance among College Students .” Here, you want to investigate how social media usage affects academic performance in college students. Social media usage (encompassing frequency of social media use, time spent on social media platforms, and types of social media platforms used) is the independent variable, and academic performance (covering grades, exam scores, and class attendance) is the dependent variable.

This conceptual framework example also includes a mediating variable, study habits, which may explain how social media usage affects academic performance. Study habits (time spent studying, study environment, and use of study aids or resources) can act as a mechanism through which social media usage influences academic outcomes. Additionally, a moderating variable, self-discipline (level of self-control and self-regulation, ability to manage distractions, and prioritization skills), is included to examine how individual differences in self-control and discipline may influence the relationship between social media usage and academic performance.

Confounding variables are also identified (socioeconomic status, prior academic achievement), which are potential factors that may influence both social media usage and academic performance. These variables need to be considered and controlled in the study to ensure that any observed effects are specifically attributed to social media usage. A visual representation of this conceptual framework example is seen in Figure 2.

Figure 2: Visual representation of a conceptual framework for the topic “The Impact of Social Media Usage on Academic Performance among College Students”

Key Takeaways

Here is a snapshot of the basics of a conceptual framework in research:

• A conceptual framework is an idea or model representing the subject or phenomena you intend to study.
• It is primarily a researcher’s perception of the research problem. It can be used to develop hypotheses or testable research questions.
• It provides a preliminary understanding of the factors at play, their interrelationships, and the underlying reasons.
• It guides your research by aiding in the formulation of meaningful research questions, selection of appropriate methods, and identification of potential challenges to the validity of your findings.
• It provides a structure for organizing and understanding data.
• It allows you to chalk out the relationships between concepts and variables to understand them.
• Variables besides dependent and independent variables (moderating, mediating, control, and confounding variables) must be considered when developing a conceptual framework.

Frequently Asked Questions

What is the difference between a moderating variable and a mediating variable.

Moderating and mediating variables are easily confused. A moderating variable affects the direction and strength of this relationship, whereas a mediating explains how two variables relate.

What is the difference between independent variables, dependent variables, and confounding variables?

Independent variables are the variables manipulated to affect the outcome of an experiment (e.g., the dose of a fat-loss drug administered to rats). Dependent variables are variables being measured or observed in an experiment (e.g., changes in rat body weight as a result of the drug). A confounding variable distorts or masks the effects of the variables being studied because it is associated both with dependent variable and with the independent variable. For instance, in this example, pre-existing metabolic dysfunction in some rats could interact differently with the drug being studied and also affect rat body weight.

Should I have more than one dependent or independent variable in a study?

The need for more than one dependent or independent variable in a study depends on the research question, study design, and relationships being investigated. Note the following when making this decision for your research:

• If your research question involves exploring the relationships between multiple variables or factors, it may be appropriate to have more than one dependent or independent variable.
• If you have specific hypotheses about the relationships between several variables, it may be necessary to include multiple dependent or independent variables.
• Adequate resources, sample size, and data collection methods should be considered when determining the number of dependent and independent variables to include.

What is a confounding variable?

A confounding variable is not the main focus of the study but can unintentionally influence the relationship between the independent and dependent variables. Confounding variables can introduce bias and give rise to misleading conclusions. These variables must be controlled to ensure that any observed relationship is genuinely due to the independent variable.

What is a control variable?

A control variable is something not of interest to the study’s objectives but is kept constant because it could influence the outcomes. Control variables can help prevent research biases and allow for a more accurate assessment of the relationship between the independent and dependent variables. Examples are (i) testing all participants at the same time (e.g., in the morning) to minimize the potential effects of circadian rhythms, (ii) ensuring that instruments are calibrated consistently before each measurement to minimize the influence of measurement errors, and (iii) randomization of participants across study groups.

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• What Is a Conceptual Framework? | Tips & Examples

What Is a Conceptual Framework? | Tips & Examples

Published on 4 May 2022 by Bas Swaen and Tegan George. Revised on 18 March 2024.

A conceptual framework illustrates the expected relationship between your variables. It defines the relevant objectives for your research process and maps out how they come together to draw coherent conclusions.

Keep reading for a step-by-step guide to help you construct your own conceptual framework.

Table of contents

Developing a conceptual framework in research, step 1: choose your research question, step 2: select your independent and dependent variables, step 3: visualise your cause-and-effect relationship, step 4: identify other influencing variables, frequently asked questions about conceptual models.

A conceptual framework is a representation of the relationship you expect to see between your variables, or the characteristics or properties that you want to study.

Conceptual frameworks can be written or visual and are generally developed based on a literature review of existing studies about your topic.

Your research question guides your work by determining exactly what you want to find out, giving your research process a clear focus.

However, before you start collecting your data, consider constructing a conceptual framework. This will help you map out which variables you will measure and how you expect them to relate to one another.

In order to move forward with your research question and test a cause-and-effect relationship, you must first identify at least two key variables: your independent and dependent variables .

• The expected cause, ‘hours of study’, is the independent variable (the predictor, or explanatory variable)
• The expected effect, ‘exam score’, is the dependent variable (the response, or outcome variable).

Note that causal relationships often involve several independent variables that affect the dependent variable. For the purpose of this example, we’ll work with just one independent variable (‘hours of study’).

Now that you’ve figured out your research question and variables, the first step in designing your conceptual framework is visualising your expected cause-and-effect relationship.

It’s crucial to identify other variables that can influence the relationship between your independent and dependent variables early in your research process.

Some common variables to include are moderating, mediating, and control variables.

Moderating variables

Moderating variable (or moderators) alter the effect that an independent variable has on a dependent variable. In other words, moderators change the ‘effect’ component of the cause-and-effect relationship.

Let’s add the moderator ‘IQ’. Here, a student’s IQ level can change the effect that the variable ‘hours of study’ has on the exam score. The higher the IQ, the fewer hours of study are needed to do well on the exam.

Let’s take a look at how this might work. The graph below shows how the number of hours spent studying affects exam score. As expected, the more hours you study, the better your results. Here, a student who studies for 20 hours will get a perfect score.

But the graph looks different when we add our ‘IQ’ moderator of 120. A student with this IQ will achieve a perfect score after just 15 hours of study.

Below, the value of the ‘IQ’ moderator has been increased to 150. A student with this IQ will only need to invest five hours of study in order to get a perfect score.

Here, we see that a moderating variable does indeed change the cause-and-effect relationship between two variables.

Mediating variables

Now we’ll expand the framework by adding a mediating variable . Mediating variables link the independent and dependent variables, allowing the relationship between them to be better explained.

Here’s how the conceptual framework might look if a mediator variable were involved:

In this case, the mediator helps explain why studying more hours leads to a higher exam score. The more hours a student studies, the more practice problems they will complete; the more practice problems completed, the higher the student’s exam score will be.

Moderator vs mediator

It’s important not to confuse moderating and mediating variables. To remember the difference, you can think of them in relation to the independent variable:

• A moderating variable is not affected by the independent variable, even though it affects the dependent variable. For example, no matter how many hours you study (the independent variable), your IQ will not get higher.
• A mediating variable is affected by the independent variable. In turn, it also affects the dependent variable. Therefore, it links the two variables and helps explain the relationship between them.

Control variables

Lastly,  control variables must also be taken into account. These are variables that are held constant so that they don’t interfere with the results. Even though you aren’t interested in measuring them for your study, it’s crucial to be aware of as many of them as you can be.

A mediator variable explains the process through which two variables are related, while a moderator variable affects the strength and direction of that relationship.

No. The value of a dependent variable depends on an independent variable, so a variable cannot be both independent and dependent at the same time. It must be either the cause or the effect, not both.

Yes, but including more than one of either type requires multiple research questions .

For example, if you are interested in the effect of a diet on health, you can use multiple measures of health: blood sugar, blood pressure, weight, pulse, and many more. Each of these is its own dependent variable with its own research question.

You could also choose to look at the effect of exercise levels as well as diet, or even the additional effect of the two combined. Each of these is a separate independent variable .

To ensure the internal validity of an experiment , you should only change one independent variable at a time.

A control variable is any variable that’s held constant in a research study. It’s not a variable of interest in the study, but it’s controlled because it could influence the outcomes.

A confounding variable , also called a confounder or confounding factor, is a third variable in a study examining a potential cause-and-effect relationship.

A confounding variable is related to both the supposed cause and the supposed effect of the study. It can be difficult to separate the true effect of the independent variable from the effect of the confounding variable.

In your research design , it’s important to identify potential confounding variables and plan how you will reduce their impact.

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

Julie a. luft.

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

Sophia Jeong

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

Robert Idsardi

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

Grant Gardner

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

Associated Data

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

INTRODUCTION

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

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

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

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

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

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

Comparison of literature reviews, theoretical frameworks, and conceptual reviews

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

LITERATURE REVIEWS

Purpose of a literature review.

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

Building Literature Reviews

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

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

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

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

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

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

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

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

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

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

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

Suggestions and Advice

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

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

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

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

THEORETICAL FRAMEWORKS

Purpose of theoretical frameworks.

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

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

Selecting Theoretical Frameworks

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

CONCEPTUAL FRAMEWORKS

Purpose of a conceptual framework.

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

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

Constructing Conceptual Frameworks

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

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

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

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

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

Conceptual framework from Sabel et al. (2017) .

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

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

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

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

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

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

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

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

CONCLUDING THOUGHTS

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

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

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

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What Is a Theoretical Framework? | Guide to Organizing

Published on October 14, 2022 by Sarah Vinz . Revised on November 20, 2023 by Tegan George.

A theoretical framework is a foundational review of existing theories that serves as a roadmap for developing the arguments you will use in your own work.

Theories are developed by researchers to explain phenomena, draw connections, and make predictions. In a theoretical framework, you explain the existing theories that support your research, showing that your paper or dissertation topic is relevant and grounded in established ideas.

In other words, your theoretical framework justifies and contextualizes your later research, and it’s a crucial first step for your research paper , thesis , or dissertation . A well-rounded theoretical framework sets you up for success later on in your research and writing process.

Table of contents

Why do you need a theoretical framework, how to write a theoretical framework, structuring your theoretical framework, example of a theoretical framework, other interesting articles, frequently asked questions about theoretical frameworks.

Before you start your own research, it’s crucial to familiarize yourself with the theories and models that other researchers have already developed. Your theoretical framework is your opportunity to present and explain what you’ve learned, situated within your future research topic.

There’s a good chance that many different theories about your topic already exist, especially if the topic is broad. In your theoretical framework, you will evaluate, compare, and select the most relevant ones.

By “framing” your research within a clearly defined field, you make the reader aware of the assumptions that inform your approach, showing the rationale behind your choices for later sections, like methodology and discussion . This part of your dissertation lays the foundations that will support your analysis, helping you interpret your results and make broader generalizations .

• In literature , a scholar using postmodernist literary theory would analyze The Great Gatsby differently than a scholar using Marxist literary theory.
• In psychology , a behaviorist approach to depression would involve different research methods and assumptions than a psychoanalytic approach.
• In economics , wealth inequality would be explained and interpreted differently based on a classical economics approach than based on a Keynesian economics one.

To create your own theoretical framework, you can follow these three steps:

• Identifying your key concepts
• Evaluating and explaining relevant theories
• Showing how your research fits into existing research

1. Identify your key concepts

The first step is to pick out the key terms from your problem statement and research questions . Concepts often have multiple definitions, so your theoretical framework should also clearly define what you mean by each term.

To investigate this problem, you have identified and plan to focus 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 company X’s online customers be improved in order to increase the quantity of return customers?

2. Evaluate and explain relevant theories

By conducting a thorough literature review , you can determine how other researchers have defined these key concepts and drawn connections between them. As you write your theoretical framework, your aim is to compare and critically evaluate the approaches that different authors have taken.

After discussing different models and theories, you can establish the definitions that best fit your research and justify why. You can even combine theories from different fields to build your own unique framework if this better suits your topic.

Make sure to at least briefly mention each of the most important theories related to your key concepts. If there is a well-established theory that you don’t want to apply to your own research, explain why it isn’t suitable for your purposes.

3. Show how your research fits into existing research

Apart from summarizing and discussing existing theories, your theoretical framework should show how your project will make use of these ideas and take them a step further.

You might aim to do one or more of the following:

• Test whether a theory holds in a specific, previously unexamined context
• Use an existing theory as a basis for interpreting your results
• Critique or challenge a theory
• Combine different theories in a new or unique way

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.

There are no fixed rules for structuring your theoretical framework, but it’s best to double-check with your department or institution to make sure they don’t have any formatting guidelines. The most important thing is to create a clear, logical structure. There are a few ways to do this:

• Draw on your research questions, structuring each section around a question or key concept
• Organize by theory cluster
• Organize by date

It’s important that the information in your theoretical framework is clear for your reader. Make sure to ask a friend to read this section for you, or use a professional proofreading service .

As in all other parts of your research paper , thesis , or dissertation , make sure to properly cite your sources to avoid plagiarism .

To get a sense of what this part of your thesis or dissertation might look like, take a look at our full example .

If you want to know more about AI for academic writing, AI tools, or research bias, make sure to check out some of our other articles with explanations and examples or go directly to our tools!

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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 .

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.

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• The importance of a conceptual framework

The main purpose of a conceptual framework is to improve the quality of a research study. A conceptual framework achieves this by identifying important information about the topic and providing a clear roadmap for researchers to study it.

Through the process of developing this information, researchers will be able to improve the quality of their studies in a few key ways.

Clarify research goals and objectives

A conceptual framework helps researchers create a clear research goal. Research projects often become vague and lose their focus, which makes them less useful. However, a well-designed conceptual framework helps researchers maintain focus. It reinforces the project’s scope, ensuring it stays on track and produces meaningful results.

Provide a theoretical basis for the study

Forming a hypothesis requires knowledge of the key variables and their relationship to each other. Researchers need to identify these variables early on to create a conceptual framework. This ensures researchers have developed a strong understanding of the topic before finalizing the study design. It also helps them select the most appropriate research and analysis methods.

Guide the research design

As they develop their conceptual framework, researchers often uncover information that can help them further refine their work.

Here are some examples:

Confounding variables they hadn’t previously considered

Sources of bias they will have to take into account when designing the project

Whether or not the information they were going to study has already been covered—this allows them to pivot to a more meaningful goal that brings new and relevant information to their field

• Steps to develop a conceptual framework

There are four major steps researchers will follow to develop a conceptual framework. Each step will be described in detail in the sections that follow. You’ll also find examples of how each might be applied in a range of fields.

Step 1: Choose the research question

The first step in creating a conceptual framework is choosing a research question . The goal of this step is to create a question that’s specific and focused.

By developing a clear question, researchers can more easily identify the variables they will need to account for and keep their research focused. Without it, the next steps will be more difficult and less effective.

Here are some examples of good research questions in a few common fields:

Natural sciences: How does exposure to ultraviolet radiation affect the growth rate of a particular type of algae?

Health sciences: What is the effectiveness of cognitive-behavioral therapy for treating depression in adolescents?

Business: What factors contribute to the success of small businesses in a particular industry?

Education: How does implementing technology in the classroom impact student learning outcomes?

Step 2: Select the independent and dependent variables

Once the research question has been chosen, it’s time to identify the dependent and independent variables .

The independent variable is the variable researchers think will affect the dependent variable . Without this information, researchers cannot develop a meaningful hypothesis or design a way to test it.

The dependent and independent variables for our example questions above are:

Natural sciences

Independent variable: exposure to ultraviolet radiation

Dependent variable: the growth rate of a particular type of algae

Health sciences

Independent variable: cognitive-behavioral therapy

Dependent variable: depression in adolescents

Independent variables: factors contributing to the business’s success

Dependent variable: sales, return on investment (ROI), or another concrete metric

Independent variable: implementation of technology in the classroom

Dependent variable: student learning outcomes, such as test scores, GPAs, or exam results

Step 3: Visualize the cause-and-effect relationship

This step is where researchers actually develop their hypothesis. They will predict how the independent variable will impact the dependent variable based on their knowledge of the field and their intuition.

With a hypothesis formed, researchers can more accurately determine what data to collect and how to analyze it. They will then visualize their hypothesis by creating a diagram. This visualization will serve as a framework to help guide their research.

The diagrams for our examples might be used as follows:

Natural sciences : how exposure to radiation affects the biological processes in the algae that contribute to its growth rate

Health sciences : how different aspects of cognitive behavioral therapy can affect how patients experience symptoms of depression

Business : how factors such as market demand, managerial expertise, and financial resources influence a business’s success

Education : how different types of technology interact with different aspects of the learning process and alter student learning outcomes

Step 4: Identify other influencing variables

The independent and dependent variables are only part of the equation. Moderating, mediating, and control variables are also important parts of a well-designed study. These variables can impact the relationship between the two main variables and must be accounted for.

A moderating variable is one that can change how the independent variable affects the dependent variable. A mediating variable explains the relationship between the two. Control variables are kept the same to eliminate their impact on the results. Examples of each are given below:

Moderating variable: water temperature (might impact how algae respond to radiation exposure)

Mediating variable: chlorophyll production (might explain how radiation exposure affects algae growth rate)

Control variable: nutrient levels in the water

Moderating variable: the severity of depression symptoms at baseline might impact how effective the therapy is for different adolescents

Mediating variable: social support might explain how cognitive-behavioral therapy leads to improvements in depression

Control variable: other forms of treatment received before or during the study

Moderating variable: the size of the business (might impact how different factors contribute to market share, sales, ROI, and other key success metrics)

Mediating variable: customer satisfaction (might explain how different factors impact business success)

Control variable: industry competition

Moderating variable: student age (might impact how effective technology is for different students)

Mediating variable: teacher training (might explain how technology leads to improvements in learning outcomes)

Control variable: student learning style

• Conceptual versus theoretical frameworks

Although they sound similar, conceptual and theoretical frameworks have different goals and are used in different contexts. Understanding which to use will help researchers craft better studies.

Conceptual frameworks describe a broad overview of the subject and outline key concepts, variables, and the relationships between them. They provide structure to studies that are more exploratory in nature, where the relationships between the variables are still being established. They are particularly helpful in studies that are complex or interdisciplinary because they help researchers better organize the factors involved in the study.

Theoretical frameworks, on the other hand, are used when the research question is more clearly defined and there’s an existing body of work to draw upon. They define the relationships between the variables and help researchers predict outcomes. They are particularly helpful when researchers want to refine the existing body of knowledge rather than establish it.

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Home » Methodological Framework – Types, Examples and Guide

Methodological Framework – Types, Examples and Guide

Table of Contents

Methodological Framework

Definition:

Methodological framework is a set of procedures, methods, and tools that guide the research process in a systematic and structured manner. It provides a structure for conducting research, collecting and analyzing data, and drawing conclusions. The framework outlines the steps to be taken in a research project, including the research question, hypothesis, data collection methods, data analysis techniques, and the interpretation of the results.

Types of Methodological Framework

There are different types of methodological frameworks that researchers can use depending on the nature of their research question, the type of data they want to collect, and the research methodology they want to employ. Some common types of methodological frameworks include:

Quantitative Research Framework

This type of framework uses numerical data and statistical analysis to test hypotheses and draw conclusions. It involves the collection of structured data through surveys, experiments, or other quantitative methods.

Qualitative Research Framework

This framework is used to explore complex social phenomena and involves the collection of non-numerical data through methods such as interviews, observation, and document analysis. Qualitative research typically involves the use of open-ended questions and in-depth analysis of data.

Mixed Methods Research Framework

This framework combines quantitative and qualitative research methods to address research questions from multiple angles. It involves collecting both numerical and non-numerical data and using both statistical analysis and interpretive techniques to analyze the data.

Action Research Framework

This framework involves the collaboration between researchers and participants to identify and address practical problems in real-world settings. It involves a cyclical process of planning, action, reflection, and evaluation to improve a specific situation or practice.

Case Study Research Framework

This framework involves the in-depth investigation of a specific case or phenomenon, often using qualitative methods. It aims to understand the complexity of the case and draw generalizations from the findings.

How to Develop a Methodological Framework

Developing a methodological framework involves a series of steps that help to guide the research process in a systematic and structured manner. Here are the general steps involved in developing a methodological framework:

• Define the research problem: The first step is to clearly define the research problem or question. This involves identifying the purpose of the research, the research objectives, and the scope of the study.
• Select an appropriate research methodology: The research methodology selected should align with the research problem and research question. Common research methodologies include quantitative, qualitative, mixed-methods, case study, or action research.
• Develop the research design: Once the research methodology is selected, the research design should be developed. This involves identifying the data collection methods, sampling strategy, and data analysis techniques.
• Identify and justify the data collection methods: The data collection methods should be chosen based on the research methodology and research design. For example, if the research methodology is qualitative, data collection methods such as interviews, observation, or document analysis may be used.
• Identify and justify the data analysis techniques: The data analysis techniques should also be chosen based on the research methodology and research design. For quantitative research, this may include statistical analysis techniques, while for qualitative research, this may include interpretive techniques such as thematic analysis.
• Consider ethical considerations: Ethical considerations should be taken into account throughout the research process. This includes obtaining informed consent, ensuring confidentiality and privacy, and protecting the rights of participants.
• Identify potential limitations: It is important to identify potential limitations or biases that may affect the research findings. This includes discussing potential sources of error or bias in the research design, data collection methods, or data analysis techniques.
• Consider the significance and implications of the research: The significance and implications of the research findings should be considered, including their potential contributions to theory, practice, or policy.
• Refine the framework: The methodological framework should be refined based on feedback from peers, experts, or other stakeholders. This involves identifying any areas for improvement in the research design, data collection methods, or data analysis techniques.

Applications of Methodological Framework

Here are some examples of how a methodological framework can be applied in various fields:

• Social sciences: In social sciences, a methodological framework can be used to conduct research on various topics, such as psychology, sociology, and anthropology. For example, a researcher may use a qualitative research methodology to investigate the experiences and perceptions of individuals living in poverty.
• Natural sciences: In natural sciences, a methodological framework can be used to conduct research on various topics, such as biology, chemistry, and physics. For example, a researcher may use a quantitative research methodology to investigate the effects of different fertilizers on crop yield.
• Engineering : In engineering, a methodological framework can be used to design and test new technologies or systems. For example, a researcher may use a mixed-methods research methodology to investigate the usability and effectiveness of a new software application.
• Business : In business, a methodological framework can be used to conduct research on various topics, such as marketing, management, and finance. For example, a researcher may use a quantitative research methodology to investigate the relationship between customer satisfaction and customer loyalty.

When to use Methodological Framework

Here are some specific situations when a methodological framework can be particularly useful:

• When conducting original research: If you are conducting original research, a methodological framework can help ensure that your study is designed in a structured and systematic manner, which increases the reliability and validity of the findings.
• When conducting a literature review: A methodological framework can be used when conducting a literature review to ensure that the review is conducted in a structured and systematic manner. This helps to identify relevant studies and synthesize the findings from multiple studies.
• When replicating previous research: If you are replicating previous research, a methodological framework can help ensure that the replication is conducted in a rigorous and systematic manner. This helps to ensure that the findings are consistent with the original study.
• When developing a research proposal : A methodological framework can be used when developing a research proposal to ensure that the proposal is designed in a structured and systematic manner. This helps to convince reviewers that the study is well-designed and likely to produce valid and reliable findings.
• When teaching research methods: A methodological framework can be used when teaching research methods to provide students with a structured approach to designing and conducting research. This helps to ensure that students understand the research process and are able to conduct research in a rigorous and systematic manner.

Examples of Methodological Framework

Here are some real-time examples of how methodological frameworks are used in various fields:

• In healthcare research, a mixed-methods research framework can be used to evaluate the effectiveness of a new treatment approach. The quantitative component may involve measuring the changes in patient outcomes, while the qualitative component may involve interviewing patients and healthcare providers to understand their perspectives on the treatment.
• In engineering, a design science research framework can be used to develop and test a new software application. The researchers may identify a problem with existing software, develop a new solution, and test it in a real-world setting.
• In business, a case study research framework can be used to understand the impact of a new marketing strategy on a particular company. The researcher may analyze data from the company’s financial statements, conduct interviews with key stakeholders, and observe the implementation of the strategy in order to understand its effectiveness.
• In education, an action research framework can be used to improve teaching practices. A teacher may identify a problem in their classroom, develop a plan to address the problem, implement the plan, and reflect on the results in order to improve their teaching practices.
• In social science research, a grounded theory framework can be used to develop a theory from qualitative data. A researcher may collect data from interviews or observations and use that data to develop a theory about a particular phenomenon.

Purpose of Methodological Framework

The purpose of a methodological framework is to provide a structured and systematic approach to designing, conducting, and analyzing research. The framework serves as a guide for researchers to follow, ensuring that the research is conducted in a rigorous and transparent manner, and that the results are reliable, valid, and generalizable. Some key purposes of a methodological framework are:

• To provide a clear and concise description of the research process: The framework outlines the steps involved in conducting the research, including the research question, data collection methods, data analysis, and interpretation of results.
• To ensure that the research is conducted in a systematic and rigorous manner : The framework provides a structured approach to the research, helping to ensure that the research is conducted in a way that minimizes bias and maximizes the accuracy and reliability of the results.
• To improve the quality of the research: The framework helps to ensure that the research is of high quality and meets the standards of the field. This can help to increase the impact and relevance of the research.
• To increase transparency and replicability: The framework provides a clear and transparent description of the research process, making it easier for others to understand and replicate the research.
• To facilitate communication and collaboration: The framework provides a common language and structure for researchers to communicate their research findings and collaborate with others in the field.

Characteristics of Methodological Framework

Here are some common characteristics of a methodological framework:

• Systematic : A methodological framework is a systematic approach to research that provides a clear and structured guide for researchers to follow. It outlines the steps involved in conducting research, from developing a research question to analyzing and interpreting data.
• Transparent : A methodological framework promotes transparency in research by providing a clear and concise description of the research process. This helps to ensure that others can understand and replicate the research.
• Flexible : A methodological framework should be flexible enough to accommodate different research designs and methodologies. It should allow for modifications based on the specific research question, data collection methods, and analysis techniques.
• Contextual : A methodological framework should take into account the contextual factors that may impact the research. This includes the cultural, social, and historical context of the research, as well as the research setting and the characteristics of the participants.
• Rigorous : A methodological framework promotes rigor in research by ensuring that the research is conducted in a systematic and unbiased manner. It includes strategies for minimizing bias and ensuring the validity and reliability of the findings.
• Theory-driven: A methodological framework should be grounded in theoretical concepts and principles that guide the research. This helps to ensure that the research is relevant and meaningful, and that the findings can be applied to broader theoretical frameworks.

Advantages of Methodological Framework

There are several advantages to using a methodological framework in research:

• Structured approach: A methodological framework provides a clear and structured approach to conducting research, which helps to ensure that the research is conducted in a systematic and rigorous manner.
• Increased efficiency: A methodological framework can increase the efficiency of the research process by providing a clear roadmap for researchers to follow, reducing the time and resources required to conduct the research.
• Reproducibility: A methodological framework promotes reproducibility by providing a clear and transparent description of the research process, making it easier for others to replicate the research.
• Improved quality : A methodological framework can improve the quality of research by ensuring that the research is conducted in a rigorous and transparent manner, and that the results are reliable and valid.
• Standardization : A methodological framework promotes standardization in research, helping to ensure that the research meets the standards of the field and is comparable to other research studies.
• Better communication : A methodological framework provides a common language and structure for researchers to communicate their research findings, facilitating communication and collaboration among researchers.
• Theory development: A methodological framework can contribute to the development of theory by providing a structured approach to data collection and analysis that is grounded in theoretical concepts and principles.

Limitations of Methodological Framework

While there are many advantages to using a methodological framework in research, there are also some limitations to be aware of:

• Flexibility : While a methodological framework can provide a structured approach to research, it may also limit flexibility in the research process. Researchers may feel constrained by the framework and unable to deviate from the prescribed steps, which may limit their ability to adapt to unexpected findings or changes in the research context.
• Applicability : Methodological frameworks may not be equally applicable to all research questions and contexts. Some frameworks may be more suitable for certain types of research than others, and researchers may need to modify or adapt the framework to fit their specific research question and context.
• Complexity : Some methodological frameworks can be complex and difficult to understand, particularly for novice researchers. This may limit their usefulness in certain contexts or for certain types of research.
• Time and resource constraints : Using a methodological framework may require additional time and resources to fully implement, which may not be feasible for all researchers or research projects.
• Overemphasis on methodology: While a methodological framework can provide a structured approach to research methodology, it may overemphasize the importance of methodology over other aspects of research, such as theoretical frameworks or ethical considerations.

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

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

Importance of Theory and a Theoretical Framework

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

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

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

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

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

The theoretical framework strengthens the study in the following ways :

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

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

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

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

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

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

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

II.  Purpose

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

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

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

Structure and Writing Style

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

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

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

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

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

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

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

Writing Tip

Borrowing Theoretical Constructs from Other Disciplines

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

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

Another Writing Tip

Don't Undertheorize!

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

Yet Another Writing Tip

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

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

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

The key distinctions are:

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

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

Still Yet Another Writing Tip

Be Prepared to Challenge the Validity of an Existing Theory

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

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

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

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

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What is a Conceptual Framework?

A conceptual framework sets forth the standards to define a research question and find appropriate, meaningful answers for the same. It connects the theories, assumptions, beliefs, and concepts behind your research and presents them in a pictorial, graphical, or narrative format.

Updated on August 28, 2023

What are frameworks in research?

Both theoretical and conceptual frameworks have a significant role in research.  Frameworks are essential to bridge the gaps in research. They aid in clearly setting the goals, priorities, relationship between variables. Frameworks in research particularly help in chalking clear process details.

Theoretical frameworks largely work at the time when a theoretical roadmap has been laid about a certain topic and the research being undertaken by the researcher, carefully analyzes it, and works on similar lines to attain successful results. 

It varies from a conceptual framework in terms of the preliminary work required to construct it. Though a conceptual framework is part of the theoretical framework in a larger sense, yet there are variations between them.

The following sections delve deeper into the characteristics of conceptual frameworks. This article will provide insight into constructing a concise, complete, and research-friendly conceptual framework for your project.

Definition of a conceptual framework

True research begins with setting empirical goals. Goals aid in presenting successful answers to the research questions at hand. It delineates a process wherein different aspects of the research are reflected upon, and coherence is established among them. 

A conceptual framework is an underrated methodological approach that should be paid attention to before embarking on a research journey in any field, be it science, finance, history, psychology, etc. 

A conceptual framework sets forth the standards to define a research question and find appropriate, meaningful answers for the same. It connects the theories, assumptions, beliefs, and concepts behind your research and presents them in a pictorial, graphical, or narrative format. Your conceptual framework establishes a link between the dependent and independent variables, factors, and other ideologies affecting the structure of your research.

A critical facet a conceptual framework unveils is the relationship the researchers have with their research. It closely highlights the factors that play an instrumental role in decision-making, variable selection, data collection, assessment of results, and formulation of new theories.

Consequently, if you, the researcher, are at the forefront of your research battlefield, your conceptual framework is the most powerful arsenal in your pocket.

What should be included in a conceptual framework?

A conceptual framework includes the key process parameters, defining variables, and cause-and-effect relationships. To add to this, the primary focus while developing a conceptual framework should remain on the quality of questions being raised and addressed through the framework. This will not only ease the process of initiation, but also enable you to draw meaningful conclusions from the same. 

A practical and advantageous approach involves selecting models and analyzing literature that is unconventional and not directly related to the topic. This helps the researcher design an illustrative framework that is multidisciplinary and simultaneously looks at a diverse range of phenomena. It also emboldens the roots of exploratory research. 

Fig. 1: Components of a conceptual framework

How to make a conceptual framework

The successful design of a conceptual framework includes:

• Selecting the appropriate research questions
• Defining the process variables (dependent, independent, and others)
• Determining the cause-and-effect relationships

This analytical tool begins with defining the most suitable set of questions that the research wishes to answer upon its conclusion. Following this, the different variety of variables is categorized. Lastly, the collected data is subjected to rigorous data analysis. Final results are compiled to establish links between the variables. 

The variables drawn inside frames impact the overall quality of the research. If the framework involves arrows, it suggests correlational linkages among the variables. Lines, on the other hand, suggest that no significant correlation exists among them. Henceforth, the utilization of lines and arrows should be done taking into cognizance the meaning they both imply.

Example of a conceptual framework

To provide an idea about a conceptual framework, let’s examine the example of drug development research. 

Say a new drug moiety A has to be launched in the market. For that, the baseline research begins with selecting the appropriate drug molecule. This is important because it:

• Provides the data for molecular docking studies to identify suitable target proteins
• Performs in vitro (a process taking place outside a living organism) and in vivo (a process taking place inside a living organism) analyzes

This assists in the screening of the molecules and a final selection leading to the most suitable target molecule. In this case, the choice of the drug molecule is an independent variable whereas, all the others, targets from molecular docking studies, and results from in vitro and in vivo analyses are dependent variables.

The outcomes revealed by the studies might be coherent or incoherent with the literature. In any case, an accurately designed conceptual framework will efficiently establish the cause-and-effect relationship and explain both perspectives satisfactorily.

If A has been chosen to be launched in the market, the conceptual framework will point towards the factors that have led to its selection. If A does not make it to the market, the key elements which did not work in its favor can be pinpointed by an accurate analysis of the conceptual framework.

Fig. 2: Concise example of a conceptual framework

Important takeaways

While conceptual frameworks are a great way of designing the research protocol, they might consist of some unforeseen loopholes. A review of the literature can sometimes provide a false impression of the collection of work done worldwide while in actuality, there might be research that is being undertaken on the same topic but is still under publication or review. Strong conceptual frameworks, therefore, are designed when all these aspects are taken into consideration and the researchers indulge in discussions with others working on similar grounds of research.

Conceptual frameworks may also sometimes lead to collecting and reviewing data that is not so relevant to the current research topic. The researchers must always be on the lookout for studies that are highly relevant to their topic of work and will be of impact if taken into consideration. 

Another common practice associated with conceptual frameworks is their classification as merely descriptive qualitative tools and not actually a concrete build-up of ideas and critically analyzed literature and data which it is, in reality. Ideal conceptual frameworks always bring out their own set of new ideas after analysis of literature rather than simply depending on facts being already reported by other research groups.

So, the next time you set out to construct your conceptual framework or improvise on your previous one, be wary that concepts for your research are ideas that need to be worked upon. They are not simply a collection of literature from the previous research.

Final thoughts

Research is witnessing a boom in the methodical approaches being applied to it nowadays. In contrast to conventional research, researchers today are always looking for better techniques and methods to improve the quality of their research. 

We strongly believe in the ideals of research that are not merely academic, but all-inclusive. We strongly encourage all our readers and researchers to do work that impacts society. Designing strong conceptual frameworks is an integral part of the process. It gives headway for systematic, empirical, and fruitful research.

Vridhi Sachdeva, MPharm

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

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

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

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

Table of Contents

Definition of conceptual framework.

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

As McGaghie  et al . (2001) put it: The conceptual framework “sets the stage” to present the particular research question that drives the investigation being reported based on the problem statement. The problem statement of a thesis gives the context and the issues that caused the researcher to conduct the study.

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

4 Steps on How to Make the Conceptual Framework

Before you prepare your conceptual framework, you need to do the following things:

Choose your topic

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

Do a literature review

Isolate the important variables.

Identify the specific variables described in the literature and figure out how these are related. Some research abstracts contain the variables, and the salient findings thus may serve the purpose. If these are not available, find the research paper’s summary.

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

Generate the conceptual framework

Build your conceptual framework using your mix of the variables from the scientific articles you have read. Your problem statement or research objective serves as a reference for constructing it. In effect, your study will attempt to answer the question that other researchers have not explained yet. Your research should address a knowledge gap .

Example of a Conceptual Framework

Research topic.

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

When free from schoolwork, many students spend their time viewing films on Netflix, YouTube, or similar sites. These activities can affect their sleeping patterns and cause health problems in the long run because light-emitting diode (LED) exposure reduces the number of hours spent sleeping.

Thesis Statement

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

Review of Literature

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

Variables Isolated from the Literature

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

Notice that the variables of the study are explicit in the paradigm presented in Figure 1. In the illustration, the two variables are:

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

Related Reading :

Evolution of a Social Theory as Basis of Conceptual Framework Development

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

Check out the article titled “ Pfizer COVID-19 Vaccine: More Than 90% Effective Against the Coronavirus .” This article shall enrich your knowledge of how an abstract concept narrows down into blocks of researchable topics.

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

©2015 January 5 P. A. Regoniel

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

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Theory testing and extension or development: the two outcome oriented research approaches, exploring phenomena: a brief guide to conducting descriptive qualitative research, how to write the results and discussion: 9 tips, about the author, patrick regoniel, 104 comments.

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

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

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

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

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

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Defining The Conceptual Framework

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What is it?

• The researcher’s understanding/hypothesis/exploration of either an existing framework/model or how existing concepts come together to inform a particular problem. Shows the reader how different elements come together to facilitate research and a clear understanding of results.
• Informs the research questions/methodology (problem statement drives framework drives RQs drives methodology)
• A tool (linked concepts) to help facilitate the understanding of the relationship among concepts or variables in relation to the real-world. Each concept is linked to frame the project in question.
• Falls inside of a larger theoretical framework (theoretical framework = explains the why and how of a particular phenomenon within a particular body of literature).
• Can be a graphic or a narrative – but should always be explained and cited
• Can be made up of theories and concepts

What does it do?

• Explains or predicts the way key concepts/variables will come together to inform the problem/phenomenon
• Gives the study direction/parameters
• Helps the researcher organize ideas and clarify concepts
• Introduces your research and how it will advance your field of practice. A conceptual framework should include concepts applicable to the field of study. These can be in the field or neighboring fields – as long as important details are captured and the framework is relevant to the problem. (alignment)

What should be in it?

• Variables, concepts, theories, and/or parts of other existing frameworks

How to make a conceptual framework

• With a topic in mind, go to the body of literature and start identifying the key concepts used by other studies. Figure out what’s been done by other researchers, and what needs to be done (either find a specific call to action outlined in the literature or make sure your proposed problem has yet to be studied in your specific setting). Use what you find needs to be done to either support a pre-identified problem or craft a general problem for study. Only rely on scholarly sources for this part of your research.
• Begin to pull out variables, concepts, theories, and existing frameworks explained in the relevant literature.
• If you’re building a framework, start thinking about how some of those variables, concepts, theories, and facets of existing frameworks come together to shape your problem. The problem could be a situational condition that requires a scholar-practitioner approach, the result of a practical need, or an opportunity to further an applicational study, project, or research. Remember, if the answer to your specific problem exists, you don’t need to conduct the study.
• The actionable research you’d like to conduct will help shape what you include in your framework. Sketch the flow of your Applied Doctoral Project from start to finish and decide which variables are truly the best fit for your research.
• Create a graphic representation of your framework (this part is optional, but often helps readers understand the flow of your research) Even if you do a graphic, first write out how the variables could influence your Applied Doctoral Project and introduce your methodology. Remember to use APA formatting in separating the sections of your framework to create a clear understanding of the framework for your reader.
• As you move through your study, you may need to revise your framework.
• Note for qualitative/quantitative research: If doing qualitative, make sure your framework doesn’t include arrow lines, which could imply causal or correlational linkages.
• Conceptural and Theoretical Framework for DMFT Students This document is specific to DMFT students working on a conceptual or theoretical framework for their applied project.
• Conceptual Framework Guide Use this guide to determine the guiding framework for your applied dissertation research.

Let’s say I’ve just taken a job as manager of a failing restaurant. Throughout the first week, I notice the few customers they have are leaving unsatisfied. I need to figure out why and turn the establishment into a thriving restaurant. I get permission from the owner to do a study to figure out exactly what we need to do to raise levels of customer satisfaction. Since I have a specific problem and want to make sure my research produces valid results, I go to the literature to find out what others are finding about customer satisfaction in the food service industry. This particular restaurant is vegan focused – and my search of the literature doesn’t say anything specific about how to increase customer service in a vegan atmosphere, so I know this research needs to be done.

I find out there are different types of satisfaction across other genres of the food service industry, and the one I’m interested in is cumulative customer satisfaction. I then decide based on what I’m seeing in the literature that my definition of customer satisfaction is the way perception, evaluation, and psychological reaction to perception and evaluation of both tangible and intangible elements of the dining experience come together to inform customer expectations. Essentially, customer expectations inform customer satisfaction.

I then find across the literature many variables could be significant in determining customer satisfaction. Because the following keep appearing, they are the ones I choose to include in my framework: price, service, branding (branched out to include physical environment and promotion), and taste. I also learn by reading the literature, satisfaction can vary between genders – so I want to make sure to also collect demographic information in my survey. Gender, age, profession, and number of children are a few demographic variables I understand would be helpful to include based on my extensive literature review.

Note: this is a quantitative study. I’m including all variables in this study, and the variables I am testing are my independent variables. Here I’m working to see how each of the independent variables influences (or not) my dependent variable, customer satisfaction. If you are interested in qualitative study, read on for an example of how to make the same framework qualitative in nature.

Also note: when you create your framework, you’ll need to cite each facet of your framework. Tell the reader where you got everything you’re including. Not only is it in compliance with APA formatting, but also it raises your credibility as a researcher. Once you’ve built the narrative around your framework, you may also want to create a visual for your reader.

See below for one example of how to illustrate your framework:

If you’re interested in a qualitative study, be sure to omit arrows and other notations inferring statistical analysis. The only time it would be inappropriate to include a framework in qualitative study is in a grounded theory study, which is not something you’ll do in an applied doctoral study.

A visual example of a qualitative framework is below:

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

• Problem Statement, Conceptual Framework, and Research Question. McGaghie, W. C.; Bordage, G.; and J. A. Shea (2001). Problem Statement, Conceptual Framework, and Research Question. Retrieved on January 5, 2015 from http://goo.gl/qLIUFg
• Building a Conceptual Framework: Philosophy, Definitions, and Procedure
• https://www.scribbr.com/dissertation/conceptual-framework/
• https://www.projectguru.in/developing-conceptual-framework-in-a-research-paper/

Conceptual Framework Research

A conceptual framework is a synthetization of interrelated components and variables which help in solving a real-world problem. It is the final lens used for viewing the deductive resolution of an identified issue (Imenda, 2014). The development of a conceptual framework begins with a deductive assumption that a problem exists, and the application of processes, procedures, functional approach, models, or theory may be used for problem resolution (Zackoff et al., 2019). The application of theory in traditional theoretical research is to understand, explain, and predict phenomena (Swanson, 2013). In applied research the application of theory in problem solving focuses on how theory in conjunction with practice (applied action) and procedures (functional approach) frames vision, thinking, and action towards problem resolution. The inclusion of theory in a conceptual framework is not focused on validation or devaluation of applied theories. A concise way of viewing the conceptual framework is a list of understood fact-based conditions that presents the researcher’s prescribed thinking for solving the identified problem. These conditions provide a methodological rationale of interrelated ideas and approaches for beginning, executing, and defining the outcome of problem resolution efforts (Leshem & Trafford, 2007).

The term conceptual framework and theoretical framework are often and erroneously used interchangeably (Grant & Osanloo, 2014). Just as with traditional research, a theory does not or cannot be expected to explain all phenomenal conditions, a conceptual framework is not a random identification of disparate ideas meant to incase a problem. Instead it is a means of identifying and constructing for the researcher and reader alike an epistemological mindset and a functional worldview approach to the identified problem.

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

Imenda, S. (2014). Is There a Conceptual Difference between Theoretical and Conceptual Frameworks? Sosyal Bilimler Dergisi/Journal of Social Sciences, 38(2), 185.

Leshem, S., & Trafford, V. (2007). Overlooking the conceptual framework. Innovations in Education & Teaching International, 44(1), 93–105. https://doi-org.proxy1.ncu.edu/10.1080/14703290601081407

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

Zackoff, M. W., Real, F. J., Klein, M. D., Abramson, E. L., Li, S.-T. T., & Gusic, M. E. (2019). Enhancing Educational Scholarship Through Conceptual Frameworks: A Challenge and Roadmap for Medical Educators . Academic Pediatrics, 19(2), 135–141. https://doi-org.proxy1.ncu.edu/10.1016/j.acap.2018.08.003

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Conceptual Framework - Meaning, Importance and How to Write it

Ideally a concept is an abstract idea which forms a basis for learning or argument. In this article, it is a part of the research process where ideas on the subject topic are studied. It is also an analytical tool used for comprehensive understanding of the subject topic for the readers of a research work.

Why do we use conceptual frameworks in research papers?

A conceptual framework is used in a research paper to explain the key concepts or variables and the relationships between them that need to be studied. Simply put, conceptual framework is the way ideas are organised to achieve a research project's purpose and explanation is the most common method employed.

While a conceptual framework means a researcher's perception about the research problem, it is still an arranged and self-explanatory method drafted for the readers.

In this article, we will examine:

• the process of conceptual framework
• the types of conceptual framework
• the components of a good conceptual framework
• the guidelines to writing a good conceptual framework

Process of Creating a Conceptual Framework.

Firstly, it is worthy to note that a conceptual framework is a structure. The researcher uses that structure to best explain the natural progression of the phenomenon to be studied ( Camp, 2001 ). It is linked with the concepts, empirical research and important theories used in promoting and systemising the knowledge gathered by the researcher in the course of the study. The process of conceptual framework includes;

• Choose your topic: You have to decide on what will be your research topic. This should be based on your interest and available resources.
• Do a literature review: Visit relevant and updated researches on similar  topics to learn past used conceptual frameworks.
• Earmark the important variables (dependent and independent variables) in your study then use it to generate your conceptual framework.
• Expand your conceptual framework by identifying other variables (mediator, moderator, control variables) that might influence the relationship between your independent and dependent variables.

NB: Conceptual framework includes one or more formal theories (in part or whole) as well as other concepts and empirical findings from the literature. It is used to show relationships among these ideas and how they relate to the research study.

Having gone through the  process of writing a conceptual framework, the types may interest you. There are various types of conceptual framework employed by researchers depending on their choice and the design of study. They are listed below.

The Types of Conceptual Frameworks are:

• Visual representation
• Mathematical description

Taxonomy :  This is a verbal description which categorises phenomena into classes. Relationships are evident inasmuch as those items within a class are alike; but the relationships among the classes are either weak or nonexistent. This type of conceptual framework doesn’t show relationships between classes.

The scope of the phenomena described may be narrow, but it is often broad. Evidence for the phenomena may be a result of direct experience, or developed from, logical reasoning, or developed empirically. Thus the source may be described as lacking rigor from a scientific viewpoint. Examples of taxonomies would include Barrett's (1968) Taxonomy of Comprehension, the descriptions of the reading process of. Fries (1962) or Lefevre (1964), and the lists of reading objectives often found in curriculum guides and basal reader guidebooks.

Visual Representation : This type of conceptual framework provides a picture of the phenomena, it shows that relationships between classes exist without showing the extent of the relationship. Relationships are shown between classes, whereas in the taxonomy no such relationships are usually  made. The phenomena presented may be as broad as the total reading situation or as narrow as a single grapheme-phoneme correspondence (GPC). The evidence must be at least logical and may have empirical support. It may come from authority opinion or research. From a scientific viewpoint evidence may or may not be rigorous. Examples of visual representations include the work of Gray (1960) and Robinson (1966) illustrating the major aspects of reading; the Goodman (1970) diagram of the reading process; and the work of Smith and Carrigan (1959).

Mathematical Description : This is a type of conceptual framework in which the phenomena can be expressed in some type of mathematical equation, although verbal description and pictorial representation are also possible. The relationships between phenomena are quantified with specific weights given to each; which clearly differentiates this type of conceptual framework from the visual representation which only shows that a relationship exists, but not the degree; and the taxonomy which may not show any relationship between the classes presented. The phenomena represented can probably be described as narrow in respect to reading; but this may change.

In this type, empirical evidence from research is required; but logical explanation may not be required since such frameworks may only represent what is, rather than why. Mathematical descriptions tend to be narrow in scope because only evidence that can be empirically gathered is included. An example of this type of conceptual framework is the work of Holmes (1960, 1965) and Singer (1965).

Note: There is no specific demarcation among the three types of conceptual frameworks. A mathematical description may be visually represented or verbally described. Likewise, a visual representation may be described verbally; and a picture of a taxonomy may be drawn although the relationship among the various classes would not be clearly evident. A taxonomy or visual representation could eventually become a mathematical description if the appropriate empirical evidence was gathered and analysed. It should not be assumed that one type of conceptual framework is inherently superior to another.

More Advanced Types of Conceptual Framework includes:

• Working hypothesis – exploration or exploratory research.
• Pillar questions – exploration or exploratory research.
• Descriptive categories – description or descriptive research.
• Practical ideal type – analysis.
• Models of operations research – decision making.
• Formal hypothesis – explanation and prediction.

However, in qualitative research, conceptual framework can be developed based on the research problem, objective and questions. The main goal of the conceptual framework is to illustrate your research approach in some pictorial or text form to ease reader's understanding. Generally, the type employed is usually picked in resonance with the research topic itself, a conceptual framework should be constructed before collecting data and this is done in chapter two.

Components of a Conceptual Framework.

• Definition of the topic.
• Qualitative characteristics and useful information on the topic.
• The elements of the topic
• Components of the topic.
• Presentation and closure.

Guidelines to Writing a Good Conceptual Framework.

• Select a topic for your research and carry out a literature review.
• Understand what research has already been carried out on the subject matter.
• Look for the specific variables explained in the literature and examine the relationship between them.
• Fill in the gap in knowledge.
• Create your conceptual framework; it can be in the form of a flowchart, mind map or concept map and explain thereafter.

[1] Camp, W. G. (2001). Formulating and Evaluating Theoretical Frameworks for Career and Technical Education Research. Journal of Vocational Educational Research, 26 (1), 27-39.

[2] Robert E (1970) A Schema for the Classification of Conceptual Frameworks Involving Reading . Journal of Reading Behavior, Vol. 3, No. 2, Spring, 16-18

What’s on the EU research and innovation policy agenda for autumn 2024?

As EU policymakers return from the summer break, we look at key decisions that will affect the R&I community in the months ahead

European Commission, Berlaymont building, Brussels, Belgium. Photo credits: Fred Romero / Flickr

After several crisis-filled years characterised by wars, pandemic and economic challenges, the recent European elections and subsequent summer break offer an opportunity to pause and take stock.

Now, as Europeans filter back to their desks, it’s a good time to look at what the research and innovation community can expect this autumn. The current geopolitical environment has placed R&I topics firmly in the mainstream debate, and that is not likely to change any time soon. Here are some of the stories we expect to be covering in the months ahead.

New commissioner

The first question is, Who will be the next commissioner for Innovation, Research, Culture, Education and Youth? Bulgaria’s Iliana Ivanova has held the post since 2023 after compatriot Mariya Gabriel left to return to national politics , but the country has yet to put forward a commissioner candidate for the upcoming mandate.

Commission President Ursula von der Leyen has given member states until 30 August to nominate candidates for the College of Commissioners, after which she will assign portfolios. Bulgaria is one of several countries currently dragging its feet.

Whoever is nominated as the new research commissioner will then be quizzed by MEPs in the Parliament committee for industry, research and energy ITRE, and culture and education committee, with hearings expected to take place in September or October.

Defence funding

For the first time, von der Leyen’s team will include a Commissioner for Defence . During her bid for re-election, she pledged to build a “veritable defence union”, and to present a white paper on the future of European defence.

The white paper, which should be published in the first 100 days of her new mandate, will identify investment needs. Research and innovation may not be at the top of the list, considering the urgent need to provide Ukraine with ammunition, but von der Leyen has promised to reinforce the European Defence Fund which supports R&D projects.

Competitiveness agenda

Speaking to MEPs ahead of her re-election vote, von der Leyen said prosperity and competitiveness would be her top priority. But perhaps the flagship policy of this new strategy, to propose a European competitiveness fund, will have to wait until the EU’s next long-term budget for 2028-2034. The Commission should publish its proposal for this budget by mid-2025.

However, there are several proposals in von der Leyen’s political guidelines that may be put forward before the end of the year and could have an R&D component. For example, she plans to propose a Clean Industrial Deal in her first 100 days to “help create lead markets in everything from clean steel to clean tech” and “speed up planning, tendering, and permitting”.

Further proposals are likely to be influenced by former Italian prime minister Mario Draghi’s highly-anticipated report on EU competitiveness. He was expected to submit his findings to the Commission over the summer, but publication was delayed and should now happen some time this autumn.

FP10 expert group

All eyes will be on the independent group set up to advise the Commission on the interim evaluation of Horizon Europe and its successor, Framework Programme 10. The group’s feedback should be influential in shaping the next framework programme.

The group of 15 experts , led by former Portuguese research minister Manuel Heitor, is meeting monthly between January and October 2024, and is due to deliver its report to the Commission on 16 October.

After taking the advice on board, the Commission should publish its interim evaluation of Horizon Europe early next year, and then present its proposal for FP10 mid-way through 2025.

2025 work programmes

The post-election transition will mean delays to the publication of the Horizon Europe work programmes for 2025 . These are set to be adopted in March or April 2025. We already have some idea of what will feature because the Commission has published its strategic plan for the final years of Horizon Europe, including nine proposed new public-private partnerships.

We are waiting on the work programmes under Pillar II for large collaborative research projects, research infrastructures and the Widening programme for cohesion in research. For other parts of Horizon Europe, such as the European Research Council and the Marie Skłodowska-Curie Actions, the Commission has extended the current work programmes to cover 2025.

Research lobbies

As well as awaiting the conclusions of the Draghi report, the R&I community will be expecting progress towards implementing Enrico Letta’s recommendations to create a ‘fifth freedom’ of a single market dedicated to the free movement of research, innovation, knowledge and education.

Research lobbies expect the composition of the new Commission to set the tone.

“R&I has never been so central in the political guidelines of the Commission president before the start of a new European Commission,” said Kurt Deketelaere, secretary general of the League of European Research Universities. “Hopefully this will be reflected in the R&I portfolio and its holder.”

Deketelaere is hoping research, innovation and education will remain a standalone portfolio, rather than being integrated into a larger competitiveness, internal market or economy portfolio. That is the case in “a number of member states”, he noted, saying much will depend on who is picked for the role. “Let's hope we get someone with experience and expertise on or in Europe, research, innovation and education.”

Deketelaere also wants to see member states step up. “They can start with stopping the annual circus of opposing the annual Horizon Europe budget as proposed by the European Commission and supported by the European Parliament,” he said. The Council has proposed cutting €400 million from the Horizon budget for 2025.

Muriel Attané, secretary general of the European Association of Research and Technology Organisations, said she is looking forward to working with the new research commissioner in the coming months, including on preparations for FP10 and the next long-term budget, with competitiveness set to have a central role in the discussions.

“Luckily, about 70% of the current FP Horizon Europe budget thanks to its Pillar II is geared towards pan-EU collaborative R&D&I with key industrial partnerships,” she told Science|Business.

“We believe this will be the main asset the new commissioner will have in their pocket, to actually ensure a strong FP10 as well as avoid the FP budget being cannibalised by the announced new competitiveness fund and to avoid that we would be exchanging R&D&I grants for loans.

“We do not need a new Juncker Plan, which did not foster R&D&I,” she added, referencing the 2015 programme that used loan guarantees to secure financing for infrastructure and other projects that were otherwise too risky to invest in. There have been calls to replicate that plan to decarbonise Europe’s industry.

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