types of theories in research paper

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Theories and Frameworks: Introduction

Theoretical & conceptual frameworks.

The terms theoretical framework and conceptual framework are often used interchangeably to mean the same thing. Although they are both used to understand a research problem and guide the development, collection, and analysis of research, it's important to understand the difference between the two. When working on coursework or dissertation research, make sure to clarify what is being asked and any specific course or program requirements.

Theoretical framework

A theoretical framework is a single formal theory. When a study is designed around a theoretical framework, the theory is the primary means in which the research problem is understood and investigated. Although theoretical frameworks tend to be used in quantitative studies, you will also see this approach in qualitative research.

Conceptual framework

A 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. Conceptual frameworks are commonly seen in qualitative research in the social and behavioral sciences, for example, because often one theory cannot fully address the phenomena being studied.

Investigate theory

Identifying and learning about theories requires a different search strategy than other types of research. Even though the steps are different, you will still use many of the same skills and tools you’ve used for other library research.

psychology: human development, cognition, personality, motivation
sociology: social change, race, class, gender
business: leadership, management
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course textbooks
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credible websites

Theory in doctoral research

Identifying a theory that aligns with your dissertation or doctoral study takes time. It’s never too early to start exploratory research. The process of identifying an appropriate theory can seem daunting, so try breaking down the process into smaller steps.

your theory courses
completed dissertations and doctoral studies
the scholarly literature on your topic
Keep a list of theories and take notes on how and why they were used.
Identify and learn more about relevant theories.
Locate influential and seminal works related to those theories.
Next Page: Discover Theories
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4 Theories in scientific research

As we know from previous chapters, science is knowledge represented as a collection of ‘theories’ derived using the scientific method. In this chapter, we will examine what a theory is, why we need theories in research, the building blocks of a theory, how to evaluate theories, how can we apply theories in research, and also present illustrative examples of five theories frequently used in social science research.

Theories are explanations of a natural or social behaviour, event, or phenomenon. More formally, a scientific theory is a system of constructs (concepts) and propositions (relationships between those constructs) that collectively presents a logical, systematic, and coherent explanation of a phenomenon of interest within some assumptions and boundary conditions (Bacharach 1989). [1]

Theories should explain why things happen, rather than just describe or predict. Note that it is possible to predict events or behaviours using a set of predictors, without necessarily explaining why such events are taking place. For instance, market analysts predict fluctuations in the stock market based on market announcements, earnings reports of major companies, and new data from the Federal Reserve and other agencies, based on previously observed correlations . Prediction requires only correlations. In contrast, explanations require causations , or understanding of cause-effect relationships. Establishing causation requires three conditions: one, correlations between two constructs, two, temporal precedence (the cause must precede the effect in time), and three, rejection of alternative hypotheses (through testing). Scientific theories are different from theological, philosophical, or other explanations in that scientific theories can be empirically tested using scientific methods.

Explanations can be idiographic or nomothetic. Idiographic explanations are those that explain a single situation or event in idiosyncratic detail. For example, you did poorly on an exam because: you forgot that you had an exam on that day, you arrived late to the exam due to a traffic jam, you panicked midway through the exam, you had to work late the previous evening and could not study for the exam, or even your dog ate your textbook. The explanations may be detailed, accurate, and valid, but they may not apply to other similar situations, even involving the same person, and are hence not generalisable. In contrast, nomothetic explanations seek to explain a class of situations or events rather than a specific situation or event. For example, students who do poorly in exams do so because they did not spend adequate time preparing for exams or because they suffer from nervousness, attention-deficit, or some other medical disorder. Because nomothetic explanations are designed to be generalisable across situations, events, or people, they tend to be less precise, less complete, and less detailed. However, they explain economically, using only a few explanatory variables. Because theories are also intended to serve as generalised explanations for patterns of events, behaviours, or phenomena, theoretical explanations are generally nomothetic in nature.

While understanding theories, it is also important to understand what theories are not. A theory is not data, facts, typologies, taxonomies, or empirical findings. A collection of facts is not a theory, just as a pile of stones is not a house. Likewise, a collection of constructs (e.g., a typology of constructs) is not a theory, because theories must go well beyond constructs to include propositions, explanations, and boundary conditions. Data, facts, and findings operate at the empirical or observational level, while theories operate at a conceptual level and are based on logic rather than observations.

There are many benefits to using theories in research. First, theories provide the underlying logic for the occurrence of natural or social phenomena by explaining the key drivers and outcomes of the target phenomenon, and the underlying processes responsible for driving that phenomenon. Second, they aid in sense-making by helping us synthesise prior empirical findings within a theoretical framework and reconcile contradictory findings by discovering contingent factors influencing the relationship between two constructs in different studies. Third, theories provide guidance for future research by helping identify constructs and relationships that are worthy of further research. Fourth, theories can contribute to cumulative knowledge building by bridging gaps between other theories and by causing existing theories to be re-evaluated in a new light.

However, theories can also have their own share of limitations. As simplified explanations of reality, theories may not always provide adequate explanations of the phenomenon of interest based on a limited set of constructs and relationships. Theories are designed to be simple and parsimonious explanations, while reality may be significantly more complex. Furthermore, theories may impose blinders or limit researchers’ ‘range of vision’, causing them to miss out on important concepts that are not defined by the theory.

Building blocks of a theory

David Whetten (1989) [2] suggests that there are four building blocks of a theory: constructs, propositions, logic, and boundary conditions/assumptions. Constructs capture the ‘what’ of theories (i.e., what concepts are important for explaining a phenomenon?), propositions capture the ‘how’ (i.e., how are these concepts related to each other?), logic represents the ‘why’ (i.e., why are these concepts related?), and boundary conditions/assumptions examines the ‘who, when, and where’ (i.e., under what circumstances will these concepts and relationships work?). Though constructs and propositions were previously discussed in Chapter 2, we describe them again here for the sake of completeness.

Constructs are abstract concepts specified at a high level of abstraction that are chosen specifically to explain the phenomenon of interest. Recall from Chapter 2 that constructs may be unidimensional (i.e., embody a single concept), such as weight or age, or multi-dimensional (i.e., embody multiple underlying concepts), such as personality or culture. While some constructs, such as age, education, and firm size, are easy to understand, others, such as creativity, prejudice, and organisational agility, may be more complex and abstruse, and still others such as trust, attitude, and learning may represent temporal tendencies rather than steady states. Nevertheless, all constructs must have clear and unambiguous operational definitions that should specify exactly how the construct will be measured and at what level of analysis (individual, group, organisational, etc.). Measurable representations of abstract constructs are called variables . For instance, IQ score is a variable that is purported to measure an abstract construct called ‘intelligence’. As noted earlier, scientific research proceeds along two planes: a theoretical plane and an empirical plane. Constructs are conceptualised at the theoretical plane, while variables are operationalised and measured at the empirical (observational) plane. Furthermore, variables may be independent, dependent, mediating, or moderating, as discussed in Chapter 2. The distinction between constructs (conceptualised at the theoretical level) and variables (measured at the empirical level) is shown in Figure 4.1.

Distinction between theoretical and empirical concepts

Propositions are associations postulated between constructs based on deductive logic. Propositions are stated in declarative form and should ideally indicate a cause-effect relationship (e.g., if X occurs, then Y will follow). Note that propositions may be conjectural but must be testable, and should be rejected if they are not supported by empirical observations. However, like constructs, propositions are stated at the theoretical level, and they can only be tested by examining the corresponding relationship between measurable variables of those constructs. The empirical formulation of propositions, stated as relationships between variables, are called hypotheses . The distinction between propositions (formulated at the theoretical level) and hypotheses (tested at the empirical level) is depicted in Figure 4.1.

The third building block of a theory is the logic that provides the basis for justifying the propositions as postulated. Logic acts like a ‘glue’ that connects the theoretical constructs and provides meaning and relevance to the relationships between these constructs. Logic also represents the ‘explanation’ that lies at the core of a theory. Without logic, propositions will be ad hoc, arbitrary, and meaningless, and cannot be tied into the cohesive ‘system of propositions’ that is the heart of any theory.

Finally, all theories are constrained by assumptions about values, time, and space, and boundary conditions that govern where the theory can be applied and where it cannot be applied. For example, many economic theories assume that human beings are rational (or boundedly rational) and employ utility maximisation based on cost and benefit expectations as a way of understand human behaviour. In contrast, political science theories assume that people are more political than rational, and try to position themselves in their professional or personal environment in a way that maximises their power and control over others. Given the nature of their underlying assumptions, economic and political theories are not directly comparable, and researchers should not use economic theories if their objective is to understand the power structure or its evolution in an organisation. Likewise, theories may have implicit cultural assumptions (e.g., whether they apply to individualistic or collective cultures), temporal assumptions (e.g., whether they apply to early stages or later stages of human behaviour), and spatial assumptions (e.g., whether they apply to certain localities but not to others). If a theory is to be properly used or tested, all of the implicit assumptions that form the boundaries of that theory must be properly understood. Unfortunately, theorists rarely state their implicit assumptions clearly, which leads to frequent misapplications of theories to problem situations in research.

Attributes of a good theory

Theories are simplified and often partial explanations of complex social reality. As such, there can be good explanations or poor explanations, and consequently, there can be good theories or poor theories. How can we evaluate the ‘goodness’ of a given theory? Different criteria have been proposed by different researchers, the more important of which are listed below:

Logical consistency: Are the theoretical constructs, propositions, boundary conditions, and assumptions logically consistent with each other? If some of these ‘building blocks’ of a theory are inconsistent with each other (e.g., a theory assumes rationality, but some constructs represent non-rational concepts), then the theory is a poor theory.

Explanatory power: How much does a given theory explain (or predict) reality? Good theories obviously explain the target phenomenon better than rival theories, as often measured by variance explained (R-squared) value in regression equations.

Falsifiability: British philosopher Karl Popper stated in the 1940s that for theories to be valid, they must be falsifiable. Falsifiability ensures that the theory is potentially disprovable, if empirical data does not match with theoretical propositions, which allows for their empirical testing by researchers. In other words, theories cannot be theories unless they can be empirically testable. Tautological statements, such as ‘a day with high temperatures is a hot day’ are not empirically testable because a hot day is defined (and measured) as a day with high temperatures, and hence, such statements cannot be viewed as a theoretical proposition. Falsifiability requires the presence of rival explanations, it ensures that the constructs are adequately measurable, and so forth. However, note that saying that a theory is falsifiable is not the same as saying that a theory should be falsified. If a theory is indeed falsified based on empirical evidence, then it was probably a poor theory to begin with.

Parsimony: Parsimony examines how much of a phenomenon is explained with how few variables. The concept is attributed to fourteenth century English logician Father William of Ockham (and hence called ‘Ockham’s razor’ or ‘Occam’s razor’), which states that among competing explanations that sufficiently explain the observed evidence, the simplest theory (i.e., one that uses the smallest number of variables or makes the fewest assumptions) is the best. Explanation of a complex social phenomenon can always be increased by adding more and more constructs. However, such an approach defeats the purpose of having a theory, which is intended to be a ‘simplified’ and generalisable explanation of reality. Parsimony relates to the degrees of freedom in a given theory. Parsimonious theories have higher degrees of freedom, which allow them to be more easily generalised to other contexts, settings, and populations.

Approaches to theorising

How do researchers build theories? Steinfeld and Fulk (1990) [3] recommend four such approaches. The first approach is to build theories inductively based on observed patterns of events or behaviours. Such an approach is often called ‘grounded theory building’, because the theory is grounded in empirical observations. This technique is heavily dependent on the observational and interpretive abilities of the researcher, and the resulting theory may be subjective and non-confirmable. Furthermore, observing certain patterns of events will not necessarily make a theory, unless the researcher is able to provide consistent explanations for the observed patterns. We will discuss the grounded theory approach in a later chapter on qualitative research.

The second approach to theory building is to conduct a bottom-up conceptual analysis to identify different sets of predictors relevant to the phenomenon of interest using a predefined framework. One such framework may be a simple input-process-output framework, where the researcher may look for different categories of inputs, such as individual, organisational, and/or technological factors potentially related to the phenomenon of interest (the output), and describe the underlying processes that link these factors to the target phenomenon. This is also an inductive approach that relies heavily on the inductive abilities of the researcher, and interpretation may be biased by researcher’s prior knowledge of the phenomenon being studied.

The third approach to theorising is to extend or modify existing theories to explain a new context, such as by extending theories of individual learning to explain organisational learning. While making such an extension, certain concepts, propositions, and/or boundary conditions of the old theory may be retained and others modified to fit the new context. This deductive approach leverages the rich inventory of social science theories developed by prior theoreticians, and is an efficient way of building new theories by expanding on existing ones.

The fourth approach is to apply existing theories in entirely new contexts by drawing upon the structural similarities between the two contexts. This approach relies on reasoning by analogy, and is probably the most creative way of theorising using a deductive approach. For instance, Markus (1987) [4] used analogic similarities between a nuclear explosion and uncontrolled growth of networks or network-based businesses to propose a critical mass theory of network growth. Just as a nuclear explosion requires a critical mass of radioactive material to sustain a nuclear explosion, Markus suggested that a network requires a critical mass of users to sustain its growth, and without such critical mass, users may leave the network, causing an eventual demise of the network.

Examples of social science theories

In this section, we present brief overviews of a few illustrative theories from different social science disciplines. These theories explain different types of social behaviors, using a set of constructs, propositions, boundary conditions, assumptions, and underlying logic. Note that the following represents just a simplistic introduction to these theories. Readers are advised to consult the original sources of these theories for more details and insights on each theory.

Agency theory. Agency theory (also called principal-agent theory), a classic theory in the organisational economics literature, was originally proposed by Ross (1973) [5] to explain two-party relationships—such as those between an employer and its employees, between organisational executives and shareholders, and between buyers and sellers—whose goals are not congruent with each other. The goal of agency theory is to specify optimal contracts and the conditions under which such contracts may help minimise the effect of goal incongruence. The core assumptions of this theory are that human beings are self-interested individuals, boundedly rational, and risk-averse, and the theory can be applied at the individual or organisational level.

The two parties in this theory are the principal and the agent—the principal employs the agent to perform certain tasks on its behalf. While the principal’s goal is quick and effective completion of the assigned task, the agent’s goal may be working at its own pace, avoiding risks, and seeking self-interest—such as personal pay—over corporate interests, hence, the goal incongruence. Compounding the nature of the problem may be information asymmetry problems caused by the principal’s inability to adequately observe the agent’s behaviour or accurately evaluate the agent’s skill sets. Such asymmetry may lead to agency problems where the agent may not put forth the effort needed to get the task done (the moral hazard problem) or may misrepresent its expertise or skills to get the job but not perform as expected (the adverse selection problem). Typical contracts that are behaviour-based, such as a monthly salary, cannot overcome these problems. Hence, agency theory recommends using outcome-based contracts, such as commissions or a fee payable upon task completion, or mixed contracts that combine behaviour-based and outcome-based incentives. An employee stock option plan is an example of an outcome-based contract, while employee pay is a behaviour-based contract. Agency theory also recommends tools that principals may employ to improve the efficacy of behaviour-based contracts, such as investing in monitoring mechanisms—e.g. hiring supervisors—to counter the information asymmetry caused by moral hazard, designing renewable contracts contingent on the agent’s performance (performance assessment makes the contract partially outcome-based), or by improving the structure of the assigned task to make it more programmable and therefore more observable.

Theory of planned behaviour. Postulated by Azjen (1991), [6] the theory of planned behaviour (TPB) is a generalised theory of human behaviour in social psychology literature that can be used to study a wide range of individual behaviours. It presumes that individual behaviour represents conscious reasoned choice, and is shaped by cognitive thinking and social pressures. The theory postulates that behaviours are based on one’s intention regarding that behaviour, which in turn is a function of the person’s attitude toward the behaviour, subjective norm regarding that behaviour, and perception of control over that behaviour (see Figure 4.2). Attitude is defined as the individual’s overall positive or negative feelings about performing the behaviour in question, which may be assessed as a summation of one’s beliefs regarding the different consequences of that behaviour, weighted by the desirability of those consequences. Subjective norm refers to one’s perception of whether people important to that person expect the person to perform the intended behaviour, and is represented as a weighted combination of the expected norms of different referent groups such as friends, colleagues, or supervisors at work. Behavioural control is one’s perception of internal or external controls constraining the behaviour in question. Internal controls may include the person’s ability to perform the intended behaviour (self-efficacy), while external control refers to the availability of external resources needed to perform that behaviour (facilitating conditions). TPB also suggests that sometimes people may intend to perform a given behaviour but lack the resources needed to do so, and therefore posits that behavioural control can have a direct effect on behaviour, in addition to the indirect effect mediated by intention.

TPB is an extension of an earlier theory called the theory of reasoned action, which included attitude and subjective norm as key drivers of intention, but not behavioural control. The latter construct was added by Ajzen in TPB to account for circumstances when people may have incomplete control over their own behaviours (such as not having high-speed Internet access for web surfing).

Innovation diffusion theory. Innovation diffusion theory (IDT) is a seminal theory in the communications literature that explains how innovations are adopted within a population of potential adopters. The concept was first studied by French sociologist Gabriel Tarde, but the theory was developed by Everett Rogers in 1962 based on observations of 508 diffusion studies. The four key elements in this theory are: innovation, communication channels, time, and social system. Innovations may include new technologies, new practices, or new ideas, and adopters may be individuals or organisations. At the macro (population) level, IDT views innovation diffusion as a process of communication where people in a social system learn about a new innovation and its potential benefits through communication channels—such as mass media or prior adopters— and are persuaded to adopt it. Diffusion is a temporal process—the diffusion process starts off slow among a few early adopters, then picks up speed as the innovation is adopted by the mainstream population, and finally slows down as the adopter population reaches saturation. The cumulative adoption pattern is therefore an s-shaped curve, as shown in Figure 4.3, and the adopter distribution represents a normal distribution. All adopters are not identical, and adopters can be classified into innovators, early adopters, early majority, late majority, and laggards based on the time of their adoption. The rate of diffusion also depends on characteristics of the social system such as the presence of opinion leaders (experts whose opinions are valued by others) and change agents (people who influence others’ behaviours).

At the micro (adopter) level, Rogers (1995) [7] suggests that innovation adoption is a process consisting of five stages: one, knowledge : when adopters first learn about an innovation from mass-media or interpersonal channels, two, persuasion : when they are persuaded by prior adopters to try the innovation, three, decision : their decision to accept or reject the innovation, four,: their initial utilisation of the innovation, and five, confirmation : their decision to continue using it to its fullest potential (see Figure 4.4). Five innovation characteristics are presumed to shape adopters’ innovation adoption decisions: one, relative advantage : the expected benefits of an innovation relative to prior innovations, two, compatibility : the extent to which the innovation fits with the adopter’s work habits, beliefs, and values, three, complexity : the extent to which the innovation is difficult to learn and use, four, trialability : the extent to which the innovation can be tested on a trial basis, and five, observability : the extent to which the results of using the innovation can be clearly observed. The last two characteristics have since been dropped from many innovation studies. Complexity is negatively correlated to innovation adoption, while the other four factors are positively correlated. Innovation adoption also depends on personal factors such as the adopter’s risk-taking propensity, education level, cosmopolitanism, and communication influence. Early adopters are venturesome, well educated, and rely more on mass media for information about the innovation, while later adopters rely more on interpersonal sources—such as friends and family—as their primary source of information. IDT has been criticised for having a ‘pro-innovation bias’—that is for presuming that all innovations are beneficial and will be eventually diffused across the entire population, and because it does not allow for inefficient innovations such as fads or fashions to die off quickly without being adopted by the entire population or being replaced by better innovations.

Elaboration likelihood model . Developed by Petty and Cacioppo (1986), [8] the elaboration likelihood model (ELM) is a dual-process theory of attitude formation or change in psychology literature. It explains how individuals can be influenced to change their attitude toward a certain object, event, or behaviour and the relative efficacy of such change strategies. The ELM posits that one’s attitude may be shaped by two ‘routes’ of influence: the central route and the peripheral route, which differ in the amount of thoughtful information processing or ‘elaboration required of people (see Figure 4.5). The central route requires a person to think about issue-related arguments in an informational message and carefully scrutinise the merits and relevance of those arguments, before forming an informed judgment about the target object. In the peripheral route, subjects rely on external ‘cues’ such as number of prior users, endorsements from experts, or likeability of the endorser, rather than on the quality of arguments, in framing their attitude towards the target object. The latter route is less cognitively demanding, and the routes of attitude change are typically operationalised in the ELM using the argument quality and peripheral cues constructs respectively.

Whether people will be influenced by the central or peripheral routes depends upon their ability and motivation to elaborate the central merits of an argument. This ability and motivation to elaborate is called elaboration likelihood . People in a state of high elaboration likelihood (high ability and high motivation) are more likely to thoughtfully process the information presented and are therefore more influenced by argument quality, while those in the low elaboration likelihood state are more motivated by peripheral cues. Elaboration likelihood is a situational characteristic and not a personal trait. For instance, a doctor may employ the central route for diagnosing and treating a medical ailment (by virtue of his or her expertise of the subject), but may rely on peripheral cues from auto mechanics to understand the problems with his car. As such, the theory has widespread implications about how to enact attitude change toward new products or ideas and even social change.

General deterrence theory. Two utilitarian philosophers of the eighteenth century, Cesare Beccaria and Jeremy Bentham, formulated general deterrence theory (GDT) as both an explanation of crime and a method for reducing it. GDT examines why certain individuals engage in deviant, anti-social, or criminal behaviours. This theory holds that people are fundamentally rational (for both conforming and deviant behaviours), and that they freely choose deviant behaviours based on a rational cost-benefit calculation. Because people naturally choose utility-maximising behaviours, deviant choices that engender personal gain or pleasure can be controlled by increasing the costs of such behaviours in the form of punishments (countermeasures) as well as increasing the probability of apprehension. Swiftness, severity, and certainty of punishments are the key constructs in GDT.

While classical positivist research in criminology seeks generalised causes of criminal behaviours, such as poverty, lack of education, psychological conditions, and recommends strategies to rehabilitate criminals, such as by providing them job training and medical treatment, GDT focuses on the criminal decision-making process and situational factors that influence that process. Hence, a criminal’s personal situation—such as his personal values, his affluence, and his need for money—and the environmental context—such as how protected the target is, how efficient the local police are, how likely criminals are to be apprehended—play key roles in this decision-making process. The focus of GDT is not how to rehabilitate criminals and avert future criminal behaviours, but how to make criminal activities less attractive and therefore prevent crimes. To that end, ‘target hardening’ such as installing deadbolts and building self-defence skills, legal deterrents such as eliminating parole for certain crimes, ‘three strikes law’ (mandatory incarceration for three offences, even if the offences are minor and not worth imprisonment), and the death penalty, increasing the chances of apprehension using means such as neighbourhood watch programs, special task forces on drugs or gang-related crimes, and increased police patrols, and educational programs such as highly visible notices such as ‘Trespassers will be prosecuted’ are effective in preventing crimes. This theory has interesting implications not only for traditional crimes, but also for contemporary white-collar crimes such as insider trading, software piracy, and illegal sharing of music.

Bacharach, S.B. (1989). Organizational theories: some criteria for evaluation. Academy of Management Review , 14(4), 496-515. ↵
Whetten, D. (1989). What constitutes a theoretical contribution? Academy of Management Review , 14(4), 490-495. ↵
Steinfield, C.W. and Fulk, J. (1990). The theory imperative. In J. Fulk & C.W. (Eds.), Organizations and communications technology (pp. 13–26). Newsburt Park, CA: Sage Publications. ↵
Markus, M.L. (1987). Toward a ‘critical mass’ theory of interactive media: universal access, interdependence and diffusion. Communication Research , 14(5), 491-511. ↵
Ross, S.A. (1973). The economic theory of agency: The principal’s problem. American Economic , 63(2), 134-139 ↵
Ajzen, I. (1991). The theory of planned behavior. Organizational Behavior and Human Decision Processes , (50), 179–211. ↵
Rogers, E. (1995). Diffusion of innovations (4th ed.). New York: Free Press. ↵
Petty, R.E. and Cacioppo, J.T. (1986). C ommunication and persuasion: Central and peripheral routes to attitude change . New York: Springer-Verlag. ↵

Social Science Research: Principles, Methods and Practices (Revised edition) Copyright © 2019 by Anol Bhattacherjee is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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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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Next: 5. The Literature Review >>
Last Updated: May 2, 2024 4:39 PM
URL: https://libguides.usc.edu/writingguide

Organizing Academic Research Papers: Theoretical Framework

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

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

Importance of Theory

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

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

The theoretical framework strengthens the study in the following ways .

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

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

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

Strategies for Developing the Theoretical Framework

I. Developing the Framework

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

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

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

II. Purpose

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

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

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

Structure and Writing Style

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

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

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

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

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

Writing Tip

Borrowing Theoretical Constructs from Elsewhere

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

Another Writing Tip

Don't Undertheorize!

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

Still Another Writing Tip

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

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

The key distinctions are:

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

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

<< Previous: The Research Problem/Question
Next: 5. The Literature Review >>
Last Updated: Jul 18, 2023 11:58 AM
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Learn Frameworks via Email

Over the course of 7 days, you will receive bite-sized lessons in your email about researching theoretical and conceptual frameworks.

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Theoretical & Conceptual Frameworks - email series

Additional Guidance

Organizing Your Social Sciences Research Paper: Theoretical Framework University of Southern California
The Research Planning Process: Theoretical Framework (video)
Theoretical Framework (video)
Understanding, selecting, and integrating a Theoretical framework in dissertation research: Creating the blueprint for your “house” 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.
What is a Theoretical Framework? Merriam, S. B., & Tisdell, E. J. (2015). Qualitative research: A guide to design and implementation. John Wiley & Sons.

NU Dissertation Center

If you are looking for a document in the Dissertation Center or Applied Doctoral Center and can't find it please contact your Chair or The Center for Teaching and Learning at [email protected]

NCU Dissertation Center Find valuable resources and support materials to help you through your doctoral journey.
Applied Doctoral Center Collection of resources to support students in completing their project/dissertation-in-practice as part of the Applied Doctoral Experience (ADE).

Theoretical Frameworks

Theoretical frameworks provide a particular perspective, or lens, through which to examine a topic. There are many different lenses, such as psychological theories, social theories, organizational theories and economic theories, which may be used to define concepts and explain phenomena. Sometimes these frameworks may come from an area outside of your immediate academic discipline. Using a theoretical framework for your dissertation can help you to better analyze past events by providing a particular set of questions to ask, and a particular perspective to use when examining your topic.

Traditionally, Ph.D. and Applied Degree research must include relevant theoretical framework(s) to frame, or inform, every aspect of the dissertation. Further, Ph.D. dissertations should make an original contribution to the field by adding support for the theory, or, conversely, demonstrating ways in which the theory may not be as explanatory as originally thought. You can learn more about the theoretical framework requirements in the NU Dissertation Center .

It can be difficult to find scholarly work that takes a particular theoretical approach because articles, books, and book chapters are typically described according to the topics they tackle rather than the methods they use to tackle them. Further, there is no single database or search technique for locating theoretical information. However, the suggestions below provide techniques for locating possible theoretical frameworks and theorists in the Library databases. In addition to your Library research, you should discuss possible theories your Dissertation Chair to ensure they align with your study. Also, keep in mind that you will probably find and discard several potential theoretical frameworks before one is finally chosen.

The Theoretical Framework Guide from the NU Center for Teaching and Learning
Theoretical Frameworks Entry from the The SAGE Encyclopedia of Qualitative Research Methods
Theoretical Frameworks in Qualitative Research Book effectively explains, through discussion and example, what a theoretical framework is, how it is used in qualitative research, and the effects it has on the research process.

Conceptual Frameworks

A conceptual framework provides the concept or set of related concepts supporting the basis or foundation of a study. It creates a conceptual model for possible strategies or courses of action identified as important for researching a particular problem or issue. While a conceptual framework is often referred to interchangeably with a theoretical framework, it maintains a distinct purpose. A conceptual framework is used to clarify concepts, organize ideas, and identify relationships with which to frame a study. Concepts are logically developed and organized to support an overall framework and often exhibited graphically within dissertation research. Note that a dissertation may include both a theoretical framework and a conceptual framework.

The suggestions below provide techniques for locating possible conceptual frameworks in the Library databases. Note when examples may use the term "theoretical framework," you may change your search terms to "conceptual framework." In addition to your Library research, you should discuss possible frameworks your Dissertation Chair to ensure they align with your study. Also, keep in mind that you will probably find and discard several potential conceptual frameworks before one is finally chosen.

The Conceptual Framework Guide from the NU Center for Teaching and Learning
Conceptual Framework Entry from the SAGE Encyclopedia of Educational Research, Measurement, and Evaluation

Researching Theoretical & Conceptual Frameworks Workshop

This workshop presents search techniques for researching theoretical and conceptual frameworks both online and in the NU Library.

E-Book Databases
ProQuest Dissertations & Theses
NavigatorSearch
SAGE Research Methods
Web of Science

Content: A reference database useful for accessing scholarly definitions, background and contextual information. Subjects covered include art, biography, business, economics, education, history, literature, music, psychology, religion, and science and technology.

Purpose: An excellent starting point for brainstorming a research topic and building out your initial search terms list.

Special Features: Mindmap; related articles; image search

Content: Ebooks with coverage across all academic disciplines. The collection offers a critical mass of more than 150,000 foundational scholarly ebooks with balanced quantity and quality to improve teaching, learning and research workflow and outcomes.

Purpose: Provides access to multidisciplinary ebooks for download or to be read online.

Special Features: Browse by subject option; highlight and take notes in text.

Help using this database.

Content : Books, chapters, and peer-reviewed content about a diverse range of topics.

Purpose: Users may access full text, and authoritative information about many topics.

Special Features: Users may explore topics and subjects.

Use the Library’s e-book databases to gather background information on a particular theory or theorist. Since the e-book databases will contain fewer resources than a database containing thousands of scholarly journal articles, it is best to keep your search terms a little more broad.

For example, a search for education theory in the Ebook Central database results in many relevant e-books, as shown below. Expanding the Table of Contents will provide additional details about the e-book.

Ebook Central search results screen showing books related to education theories.

Encyclopedias and handbooks will also provide reliable background information on particular theories. For example, a search for cognitive developmental theory in the Credo Reference database results in a number of reference entries which discuss the history of the theory, identify relevant theorists, and cite seminal research studies.

Credo Reference search results screen for cognitive developmental theory.

You may search for theorists and theoretical information using Google and Google Scholar , as well. However, please keep in mind that you will need to be more discriminating when it comes to using material found on open access websites. We recommend reviewing the Website Evaluation guidelines when considering online sources.

One method that may be used in Google is limiting your search by a particular domain name. If a website ends in .org, .gov, or .edu, it is more likely to be a scholarly source. If it ends in .com or .net it is less likely to be a scholarly source. In the search below, for example, we have limited our search for "leadership theories" to just those websites ending with .edu. You may also find this domain limiter under Tools>Advanced Search.

Note: Limiting to a particular domain is not necessary in Google Scholar, as all results in Google Scholar may be considered scholarly. This may include articles, theses, books, abstracts and court opinions, material from academic publishers, professional societies, online repositories, universities and other web sites.

Google search box with example search terms "leadership theories" site:.edu

For additional information, see the following:

Google for School LibGuide
Google Scholar Quick Tutorial Video A short video demonstration of using Google Scholar for academic research.
Limit By Domain FAQ

Content: National University & NCU student dissertations and literature reviews.

Purpose: Use for foundational research, to locate test instruments and data, and more.

Special Features: Search by advisor (chair), degree, degree level, or department. Includes a read-aloud feature.

Content: Global student dissertations and literature reviews.

Special Features: Search by advisor (chair), degree, degree level, or department. Includes a read-aloud feature

The ProQuest Dissertations & Theses database (PQDT) is the world's most comprehensive collection of dissertations and theses. It is the database of record for graduate research, with over 2.3 million dissertations and theses included from around the world.

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Designing conceptual articles: four approaches

Theory/Conceptual
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Published: 09 March 2020
Volume 10 , pages 18–26, ( 2020 )

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Elina Jaakkola ORCID: orcid.org/0000-0003-4654-7573 1

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As a powerful means of theory building, conceptual articles are increasingly called for in marketing academia. However, researchers struggle to design and write non-empirical articles because of the lack of commonly accepted templates to guide their development. The aim of this paper is to highlight methodological considerations for conceptual papers: it is argued that such papers must be grounded in a clear research design, and that the choice of theories and their role in the analysis must be explicated and justified. The paper discusses four potential templates for conceptual papers – Theory Synthesis, Theory Adaptation, Typology, and Model – and their respective aims, approach for using theories, and contribution potential. Supported by illustrative examples, these templates codify some of the tacit knowledge that underpins the design of non-empirical papers and will be of use to anyone undertaking, supervising, or reviewing conceptual research.

A worked example of Braun and Clarke’s approach to reflexive thematic analysis

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Introduction

The major academic journals in the field of marketing acknowledge the need for good conceptual papers that can “bridge existing theories in interesting ways, link work across disciplines, provide multi-level insights, and broaden the scope of our thinking” (Gilson and Goldberg 2015 , p. 128). Indeed, many of the most impactful marketing papers of recent decades are conceptual as this type of research enables theory building unrestricted by the demands of empirical generalization (e.g., Vargo and Lusch 2004 ). Authors crafting conceptual papers can find valuable advice on problematizing (Alvesson and Sandberg 2011 ), theorizing and theory building (Corley and Gioia 2011 ; Cornelissen 2017 ; Shepherd and Suddaby 2017 ), and the types of conceptual contribution that warrant publication (Corley and Gioia 2011 ; MacInnis 2011 ). However, a lack of commonly accepted templates or “recipes” for building the paper means that writing a conceptual piece can be a struggle (Cornelissen 2017 ). As a result, reviewers often face conceptual papers that offer little more than a descriptive literature review or interesting but disjointed ideas.

In empirical papers, the recipe typically is the research design that provides the paper structure and logic, guiding the process of developing new knowledge and offering conventions for reporting the key elements of the research (Flick 2018 , p. 102). The research design explains how the ingredients of the study were selected, acquired, and analyzed to effectively address the research problem, and reviewers can evaluate the robustness of this process by reference to established conventions in the existing literature. As conceptual papers generally do not fit the mold of empirical research, authors and reviewers lack any such recipe book, making the critical issue of analytical rigor more challenging.

This paper addresses issues of methodology and research design for conceptual papers. The discussion is built on previous “how to” guides to conceptual research, and on examples from high quality journals to identify and illustrate different options for conceptual research design. This paper discusses four templates—Theory Synthesis, Theory Adaptation, Typology, and Model—and explicates their aims, their approach to theory use, and their contribution potential. The paper does not focus on theory building itself but supports it, as analytical rigor is a prerequisite for high quality theorizing. Nor is the focus on literature reviews or meta-analyses; while these are important non-empirical forms of research, there are well articulated existing guidelines for such articles (see for example Webster and Watson 2002 ; Palmatier et al. 2018 ).

The ultimate goal of this paper is to direct scholarly attention to the importance of a systematic approach to developing a conceptual paper. Experienced editors and reviewers have noted that researchers sometimes underestimate how difficult it is to write a rigorous conceptual paper and consider this an easy route to publishing—an essay devoid of deeper scholarship (Hirschheim 2008 ). In reality, developing a cogent argument and building a supporting theoretical explanation requires tacit knowledge and skills that doctoral programs seldom teach (Yadav 2010 ; King and Lepak 2011 ). As Fulmer puts it, “in a theoretical paper the author is faced with a mixed blessing: greater freedom and page length within which to develop theory but also more editorial rope with which to hang him/herself” ( 2012 , p. 330).

The paper is organized as follows. The next section outlines key methodological requirements for conceptual studies. Four common types of research design are then identified and discussed with supporting examples. The article ends with conclusions and recommendations for marketing scholars undertaking, supervising, or reviewing conceptual research.

Conceptual papers: some methodological requirements

The term “research design” refers to decisions about how to achieve research goals, linking theories, questions, and goals to appropriate resources and methods (Flick 2018 , p. 102). In short, the research design is a plan for collecting and analyzing evidence that helps to answer the question posed (Ragin 1994 , p. 191). Like any design, the research design should improve usability ; a good research design is the optimal tool for addressing the research problem, and it communicates the logic of the study in a transparent way. In principle, any piece of research should be designed to deliver trustworthy answers to the question posed in a credible and justified manner.

An empirical research design typically involves decisions about the underlying theoretical framing of the study as well as issues of data collection and analysis (e.g. Miller and Salkind 2002 ). Imagine, for example, an empirical paper where the authors did not argue for their sampling criteria or choice of informants, or failed to define the measures used or to show how the results were derived from the data. It can be argued that conceptual papers entail similar considerations (Table 1 ), as the omission of equivalent elements would create similar confusion. In other words, a well-designed conceptual paper must explicitly justify and explicate decisions about key elements of the study. The following sections elaborate more specifically on designing and communicating these “methodological” aspects of conceptual papers.

Explicating and justifying the choice of theories and concepts

Empirical and conceptual papers ultimately share a common goal: to create new knowledge by building on carefully selected sources of information combined according to a set of norms. In the case of conceptual papers, arguments are not derived from data in the traditional sense but involve the assimilation and combination of evidence in the form of previously developed concepts and theories (Hirschheim 2008 ). In that sense, conceptual papers are not without empirical insights but rather build on theories and concepts that are developed and tested through empirical research.

In an empirical study, the researcher determines what data are needed to address the research questions and specifies sampling criteria and research instruments accordingly. In similar fashion, a conceptual paper should explain how and why the theories and concepts on which it is grounded were selected. In simple terms, there are two possible points of departure. The first option is to start from a focal phenomenon that is observable but not adequately addressed in the existing research. The authors may inductively identify differing conceptualizations of that phenomenon, and then argue that the aspect of interest is best addressed in terms of particular concepts or theories. That is, the choice of concepts is based on their fit to the focal phenomenon and their complementary value in conceptualizing it. One key issue here is how the researcher conceptualizes the empirical phenomenon; in selecting particular concepts and theories, the researcher is de facto making an argument about the conceptual ingredients of the empirical phenomenon in question.

A second and perhaps more common approach is to start from a focal theory by arguing that a particular concept, theory, or research domain is internally incoherent or incomplete in some important respect and then introducing other theories to bridge the observed gaps. In this case, the choice of theories or concepts is based on their ability to address the observed shortcoming in the existing literature, i.e. their supplementary value. This simplified account raises a critical underlying question: what is the value that each selected concept, literature stream, or theory brings to the study, and why are they selected in preference to something else?

Explicating the role of different theories and concepts in the analysis

Conceptual papers typically draw on multiple concepts, literature streams, and theories that play differing roles. It is difficult to imagine a (published) empirical paper where the reader could not distinguish empirical data from the literature review. In a conceptual paper, however, it is sometimes difficult to tell which theories provide the “data” and which are framing the analysis. In this regard, Lukka and Vinnari ( 2014 ) drew a useful distinction between domain theory and method theory. A domain theory is “a particular set of knowledge on a substantive topic area situated in a field or domain” (ibid, p. 1309)—that is, an area of study characterized by a particular set of constructs, theories, and assumptions (MacInnis 2011 ). A method theory, on the other hand, is “a meta-level conceptual system for studying the substantive issue(s) of the domain theory at hand” (Lukka and Vinnari 2014 , p. 1309). For example, Brodie et al. ( 2019 ) sought to advance engagement research (domain theory) by drawing new perspectives from service-dominant logic (method theory). The distinction is relative rather than absolute; whether a particular theory is domain or method theory depends on its role in the study in question (Lukka and Vinnari 2014 ). Indeed, a single study can accommodate multiple domain and method theories.

In a conceptual paper, one crucial function of the research design is to explicate the role of each element in the paper; failure to explain this is likely to render the logic of “generating findings” practically invisible to the reader. Defining the roles of different theories also helps to indicate the paper’s positioning, and how its contribution should be evaluated. Typically, the role of the method theory is to provide some new insight into the domain theory—for example, to expand, organize, or offer a new or alternative explanation of concepts and relationships. This means that contribution usually centers on the domain theory, not the method theory (Lukka and Vinnari 2014 ). For example, marketing scholars often use established theories such as resource-based theory, institutional theory, or practice theory as method theories, but any suitable framework (even from other disciplines) can play this role. Footnote 1

Making the chain of evidence visible and easy to grasp

Conceptual papers typically focus on proposing new relationships among constructs; the purpose is thus to develop logical and complete arguments about these associations rather than testing them empirically (Gilson and Goldberg 2015 ). The issue of how to develop logical arguments is hence pivotal. As well as arguing that concepts are linked, authors must provide a theoretical explanation for that link. As that explanation demonstrates the logic of connections between concepts, it is critical for theory building (King and Lepak 2011 ).

In attempting to analyze what constitutes a good argument, Hirschheim ( 2008 ) adopted a framework first advanced by the British philosopher Toulmin ( 1958 ), according to which an argument has three necessary components: claims, grounds, and warrants. Claims refer to the explicit statement or thesis that the reader is being asked to accept as true—the outcome of the research. Grounds are the evidence and reasoning used to support the claim and to persuade the reader. In a conceptual paper, this evidence is drawn from previous studies rather than from primary data. Finally, warrants are the underlying assumptions or presuppositions that link grounds to claims. Warrants are often beliefs implicitly accepted within the given research domain—for example the assumption that organizations strive to satisfy their customers. In a robust piece of research, claims should be substantiated by sufficient grounds, and should be of sufficient significance to make a worthwhile contribution to knowledge (Hirschheim 2008 ).

In practice, the chain of evidence in a conceptual paper is made visible to the reader by explicating the key steps in the argument. How is the studied phenomenon conceptualized? What are the study’s implicit assumptions, stemming from its theoretical underpinnings? Are the premises and axioms used to ground the arguments sufficiently explicit to enable another researcher to arrive at similar analytical conclusions? Conceptual clarity, parsimony, simplicity, and logical coherence are important qualities of any academic study but are arguably all the more critical when developing arguments without empirical data.

A paper’s structure is a strong determinant of how easy it is to follow the chain of argumentation. While there is no single best way to structure a conceptual paper, what successful papers have in common is a careful matching of form and structure to theoretical purpose of the paper (Fulmer 2012 ). The structure should therefore reflect both the aims of the research and the role of the various lenses deployed to achieve those aims—in other words, the structure highlights what the authors seek to explain. A clear structure also contributes to conceptual clarity by making the hierarchy of concepts and their elements intuitively available to the reader, eliminating any noise that might distort the underlying message. As Hirschheim ( 2008 ) noted, a clear structure ensures a place for everything—omitting nothing of importance—and puts everything in its place, avoiding redundancies.

Common types of research design in conceptual papers

In marked contrast to empirical research, there is no widely shared understanding of basic types of research design in respect to conceptual papers, with the exception of literature reviews and meta-analyses. To address this issue, the present study considers four such types: Theory Synthesis, Theory Adaptation, Typology , and Model (see Table 2 ). These types serve to clarify differences of methodological approach—that is, how the argument is structured and developed—rather than the types of conceptual contributions that are the main consideration of MacInnis ( 2011 ). The four types discussed here derive from an analysis of goal setting, structuring, and logic of argumentation in multiple articles published in high quality journals. It should be said that the list is not exhaustive, and other researchers would no doubt have formulated differing perspectives. Nevertheless, the presented scheme can inspire researchers to explore and explicate one’s approach to conceptual research, and perhaps to formulate an alternative approach. It should also be noted that the goals of a conceptual article can be as varied as in any other form of academic research. Table 2 identifies some possible or likely goals for each suggested type; these are not mutually exclusive and are often combined.

Theory synthesis

A theory synthesis paper seeks to achieve conceptual integration across multiple theories or literature streams. Such papers offer a new or enhanced view of a concept or phenomenon by linking previously unconnected or incompatible pieces in a novel way. Papers of this type contribute by summarizing and integrating extant knowledge of a concept or phenomenon. According to MacInnis ( 2011 ), summarizing helps researchers see the forest for the trees by encapsulating, digesting, and reducing what is known to a manageable whole. Integration enables researchers to see a concept or phenomenon in a new way by transforming previous findings and theory into a novel higher-order perspective that links phenomena previously considered distinct (MacInnis 2011 ). For example, a synthesis paper might chart a new or unstructured phenomenon that has previously been addressed in piecemeal fashion across diverse domains or disciplines. Such papers may also explore the conceptual underpinnings of an emerging theory or explain conflicting research findings by providing a more parsimonious explanation that pulls disparate elements into a more coherent whole.

This kind of systematization is especially helpful when research on a given topic is fragmented across different literatures, helping to identify and underscore commonalities that build coherence (Cropanzano 2009 ). For example, in their review of conceptualizations of customer experience across multiple literature fields, Becker and Jaakkola’s ( 2020 ) analysis of the compatibility of various elements and assumptions provided a new integrative view that could be generalized across settings and contexts. In more mature fields, synthesis can help to identify gaps in the extant research, which is often the goal of systematic literature reviews. However, gap spotting is seldom a sufficient source of contribution as the main aim of a conceptual paper should be to enhance existing theoretical understanding on the studied phenomenon or concept. The synthesis paper represents a form of theorizing that emphasizes narrative reasoning that seeks to unveil “big picture” patterns and connections rather than specific causal mechanisms (Delbridge and Fiss 2013 ).

Although there is sometimes a fine line between theory synthesis and literature review, there remains a clear distinction between the two. While a well-crafted literature review takes stock of the field and can provide valuable insights into its development, scope, or future prospects, it remains within the existing conceptual or theoretical boundaries, describing extant knowledge rather than looking beyond it. In the case of a conceptual paper, the literature review is a necessary tool but not the ultimate objective. Moreover, in a theory synthesis paper, the role of the literature review is to unravel the components of a concept or phenomenon and it must sometimes reduce or exclude incommensurable elements. A lack of elegance occurs when authors attempt to hammer together separate research ideas in a series of “minireviews” instead of attending to a single conceptual theme (Cropanzano 2009 ). For example, a literature review that seeks to integrate multiple research perspectives may instead merely summarize in separate chapters what each has to say about the concept. Typically, different research perspectives employ differing terms and structure, or categorize conceptual elements in distinct ways. Integration and synthesis requires that the researcher explicates and unravels the conceptual underpinnings and building blocks that different perspectives use to conceptualize a phenomenon, and the looks for common ground on which to build a new and enhanced conceptualization.

A theory synthesis paper may seek to increase understanding of a relatively narrow concept or empirical phenomenon. For example, Lemon and Verhoef ( 2016 ) summarized the conceptual background and extant conceptualizations of customer journeys to produce a new integrative view. They framed the journey phenomenon in terms of the consumer purchasing process and organized the extant research within this big picture. Similarly, arguing that the knowledge base of relationship marketing and business networks perspectives was unduly fragmented, Möller ( 2013 ) deployed a metatheoretical lens to construct an articulated theory map that accommodated various domain theories, leading to the development of two novel middle-range theories.

Ultimately, a theory synthesis paper can integrate an extensive set of theories and phenomena under a novel theoretical umbrella. One good example is Vargo and Lusch’s ( 2004 ) seminal article, which pulled together key ingredients from diverse fields such as market orientation, relationship marketing, network management, and value management into a novel integrative narrative to formulate the more parsimonious framework of service-dominant logic. In so doing, they drew on resource based theory, structuration theory, and institutional theory as method theories to organize and synthesize concepts and themes from middle-range literature fields (e.g., Vargo and Lusch 2004 , 2016 ). While extant research provided the basis for a novel framework, existing concepts were decomposed into such fine-grained ingredients that the resulting integration was a new theoretical view in its own right rather than a summary of existing concepts.

Theory adaptation

Papers that focus on theory adaptation seek to amend an existing theory by using other theories. While empirical research may gradually extend some element of theory within a given context, theory-based adaptation attempts a more immediate shift of perspective. Theory adaptation papers develop contribution by revising extant knowledge—that is, by introducing alternative frames of reference to propose a novel perspective on an extant conceptualization (MacInnis 2011 ). The point of departure for such papers, then, is the problematization of a particular theory or concept. For example, the authors might argue that certain empirical developments or insights from other streams of literature render an existing conceptualization insufficient or conflicted, and that some reconfiguration or shift of perspective or scope is needed to better align the concept or theory to its purpose or to reconcile certain inconsistencies. Typically, the researcher draws from another theory that is equipped to guide this shift. The contribution of this type of a paper is often positioned to the domain where the focal concept is situated.

The starting point for the theory adaptation paper is the theory or concept of interest (domain theory). Other theories are used as tools, or method theories (Lukka and Vinnari 2014 ) to provide an alternative frame of reference to adjust or expand its conceptual scope. One “method” of adaptation is to switch the level of analysis; for example, Alexander et al. ( 2018 ) provided new insights into the influence of institutions on customer engagement by shifting from a micro level analysis of customer relationships—the prevailing view in the field—to meso and macro level views, adapting Chandler and Vargo’s ( 2011 ) process of oscillating foci. Another option is to use an established theory to explore new aspects of the domain theory (Yadav 2010 ). As one example of this type of design, Brodie et al. ( 2019 ) argued for the practical and theoretical importance of expanding the scope of engagement research in two ways: from a focus on consumers to a broad range of actors, and from dyadic firm-customer relationships to networks. As well as justifying why a particular extension or change of focus is needed, a theory adaptation paper must also show that the selected method theory is the best available option. For example, Brodie et al. ( 2019 ) explained that they employed service-dominant logic to broaden the conceptual scope of engagement research because it offered a lens for understanding actor-to-actor interactions in networks. Similarly, Hillebrand et al. ( 2015 ) used multiplicity theory to revise existing perspectives on stakeholder marketing by viewing stakeholder networks as continuous rather than discrete. They argued that this provides a more accurate understanding of markets characterized by complex value exchange and dispersed control.

A typology paper classifies conceptual variants as distinct types. The aim is to develop a categorization that “explains the fuzzy nature of many subjects by logically and causally combining different constructs into a coherent and explanatory set of types” (Cornelissen 2017 ). A typology paper provides a more precise and nuanced understanding of a phenomenon or concept, pinpointing and justifying key dimensions that distinguish the variants.

Typology papers contribute through differentiation— distinguishing, dimensionalizing, or categorizing extant knowledge of the phenomenon, construct, or theory in question (MacInnis 2011 ). Typologies reduce complexity (Fiss 2011 ). They demonstrate how variants of an entity differ, and hence organize complex networks of concepts and relationships, and may help by recognizing their differing antecedents, manifestations, or effects (MacInnis 2011 ). Typologies also offer a multidimensional view of the target phenomenon by categorizing theoretical features or dimensions as distinct profiles that offer coordinates for empirical research (Cornelissen 2017 ). For example, the classic typologies elaborated by Mills and Margulies ( 1980 ) and Lovelock ( 1983 ) assigned services to categories reflecting different aspects of the relationship between customers and the service organization, facilitating prediction of organizational behavior and marketing action. These theory-based typologies have informed numerous empirical applications.

The starting point for a typology paper is typically recognition of an important but fragmented research domain characterized by differing manifestations of a concept or inconsistent findings regarding drivers or outcomes. The researcher accumulates knowledge of the focal topic and then organizes it to capture the variability of particular characteristics of the concept or phenomenon. For example, after exploring different approaches to service innovation, Helkkula et al. ( 2018 ) proposed a typology of four archetypes. They suggested that variance within the extant research could be explained by differences of theoretical perspective and argued that each type had distinct implications for value creation.

The dimensions of a typology can also be differentiated by applying another theory (i.e. methods theory) that provides a logical explanation of why differences exist and why they are relevant. For example, to examine the boundaries of resource integration, Dong and Sivakumar ( 2017 ) developed a typology of customer participation, using dimensions drawn from resource-based theory, to address the fundamental resource deployment questions of whether there is a choice in terms of who performs a task and what task is performed (Kozlenkova et al. 2014 ).

Snow and Ketchen Jr. ( 2014 ) argued that well-developed typologies are more than just classification systems; rather, a typology articulates relationships among constructs and facilitates testable predictions (cf. Doty and Glick 1994 ). In this way, a typology can propose multiple causal relationships in a given setting (Fiss 2011 ). While a typology paper enhances understanding of a phenomenon by delineating its key variants, it can be seen to differ from a synthesis or adaptation paper by virtue of its explanatory character. This is the typology’s raison d’etre; types always explain something, and the dimensions that distinguish types account for the different drivers, outcomes, or contingencies of particular variants of the phenomenon. By accommodating asymmetric causal relations, typologies facilitate the development of configurational arguments beyond simple correlations (Fiss 2011 ).

The model paper seeks to build a theoretical framework that predicts relationships between concepts. A conceptual model describes an entity and identifies issues that should be considered in its study: it can describe an event, an object, or a process, and explain how it works by disclosing antecedents, outcomes, and contingencies related to the focal construct (Meredith 1993 ; MacInnis 2011 ). This typically involves a form of theorizing that seeks to create a nomological network around the focal concept, employing a formal analytical approach to examine and detail the causal linkages and mechanisms at play (Delbridge and Fiss 2013 ). A model paper identifies previously unexplored connections between constructs, introduces new constructs, or explains why elements of a process lead to a particular outcome (Cornelissen 2017 ; Fulmer 2012 ).

The model paper contributes to extant knowledge by delineating an entity: its goal is “to detail, chart, describe, or depict an entity and its relationship to other entities” (MacInnis 2011 ). In a conceptual article, creative scope is unfettered by data-related limitations, allowing the researcher to explore and model emerging phenomena where few empirical data are available (Yadav 2010 ). The model paper typically contributes by providing a roadmap for understanding the entity in question by delineating the focal concept, how it changes, the processes by which it operates, or the moderating conditions that may affect it (MacInnis 2011 ).

A model paper typically begins from a focal phenomenon or construct that warrants further explanation. For example, Huang and Rust ( 2018 ) sought to explain the process and mechanism by which artificial intelligence (AI) will replace humans in service jobs. They employed literature that tackles key variables associated with the target phenomenon: service research illuminates the focal phenomenon, technology-enabled services, and research across multiple disciplines discusses the likely impact of AI on human labor. By synthesizing this literature pool, they identified four types of intelligence and then built a theory that could predict the impact of AI on human service labor. This involved a particular kind of formal reasoning, supported by research from multiple disciplines and real-world applications (Huang and Rust 2018 ). In other words, the authors use method theories and deductive reasoning to explain relationships between key variables, facilitated by theories in use (MacInnis 2011 ).

Model papers typically summarize arguments in the form of a figure that depicts the salient constructs and their relationships, or as a set of formal propositions that are logical statements derived from the conceptual framework (Meredith 1993 ). For example, Payne et al. ( 2017 ) used resource-based theory to develop a conceptual model of the antecedents and outcomes of customer value propositions. While figures and propositions of this kind help the reader by condensing the paper’s main message, Delbridge and Fiss ( 2013 ) noted that they are also a double-edged sword. At their best, propositions distill the essence of an argument into a parsimonious and precise form, but by virtue of this very ability, they also put a spotlight on the weaknesses in the argument chain. According to Cornelissen ( 2017 ), the researcher should therefore be clear about the “causal agent” in any proposed relationship between constructs when developing propositions—in other words, the trigger or force that drives a particular outcome or effect. Careful consideration and justification of the choice of theories and the manner in which they are integrated to produce the arguments is hence pivotal in sharpening and clarifying the argumentation to convince reviewers and readers.

Conclusions

This paper highlights the role of methodological considerations in conceptual papers by discussing alternative types of research design, in the hope of encouraging researchers to critically assess and develop conceptual papers accordingly. Authors of conceptual papers should readily answer the following questions: What is the logic of creating new knowledge? Why are particular information sources selected, and how are they analyzed? What role does each theory play? For reviewers, assessing conceptual papers can be difficult not least because the generally accepted and readily available guidelines for evaluating empirical research seldom apply directly to non-empirical work. By asking these questions, reviewers and supervisors can evaluate whether the research design of a paper or thesis is carefully crafted and clearly communicated to the reader.

The paper identifies four types of conceptual papers—Theory Synthesis, Theory Adaptation, Typology, and Model—and discusses their aims, methods of theory use, and potential contributions. Although this list is not exhaustive, these types offer basic templates for designing conceptual research and determining its intended contribution (cf. MacInnis 2011 ). Careful consideration of these alternative types can facilitate more conscious selection of approach and structure for a conceptual paper. Researchers can also consider opportunities for combining types. In many cases, mixing two types can be an attractive option. For example, after distinguishing types of service innovation in terms of their conceptual underpinnings, Helkkula et al. ( 2018 ) synthesized a novel conceptualization of service innovation that exploited the strengths of each type and mitigated their limitations. Typologies can also provide the basis for models, and synthesis can lead to theory adaptation.

This paper highlights the many alternative routes along which conceptual papers can advance extant knowledge. We should consider conceptual papers not just as a means to take stock, but to break new ground. Empirical research takes time to accumulate, and the scope for generalization is relatively narrow. In contrast, conceptual papers can strive to advance understanding of a concept or phenomenon in big leaps rather than incremental steps. To be taken seriously, any such leap must be grounded in thorough consideration and justification of an appropriate research design.

A discussion of how different theoretical lenses can be integrated is beyond the scope of this paper, but see for example Okhuysen and Bonardi ( 2011 ) and Gioia and Pitre ( 1990 ).

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Theoretical Research: Definition, Methods + Examples

Theoretical research allows to explore and analyze a research topic by employing abstract theoretical structures and philosophical concepts.

Research is the careful study of a particular research problem or concern using the scientific method. A theory is essential for any research project because it gives it direction and helps prove or disprove something. Theoretical basis helps us figure out how things work and why we do certain things.

Theoretical research lets you examine and discuss a research object using philosophical ideas and abstract theoretical structures.

In theoretical research, you can’t look at the research object directly. With the help of research literature, your research aims to define and sketch out the chosen topic’s conceptual models, explanations, and structures.

LEARN ABOUT: Research Process Steps

This blog will cover theoretical research and why it is essential. In addition to that, we are going to go over some examples.

What is the theoretical research?

Theoretical research is the systematic examination of a set of beliefs and assumptions.

It aims to learn more about a subject and help us understand it better. The information gathered in this way is not used for anything in particular because this kind of research aims to learn more.

All professionals, like biologists, chemists, engineers, architects, philosophers, writers, sociologists, historians, etc., can do theoretical research. No matter what field you work in, theoretical research is the foundation for new ideas.

It tries to answer basic questions about people, which is why this kind of research is used in every field of knowledge.

For example , a researcher starts with the idea that we need to understand the world around us. To do this, he begins with a hypothesis and tests it through experiments that will help him develop new ideas.

What is the theoretical framework?

A theoretical framework is a critical component in research that provides a structured foundation for investigating a specific topic or problem. It encompasses a set of interconnected theories, existing theories, and concepts that guide the entire research process.

The theoretical framework introduces a comprehensive understanding of the subject matter. Also, the theoretical framework strengthens the research’s validity and specifies the key elements that will be explored. Furthermore, it connects different ideas and theories, forming a cohesive structure that underpins the research endeavor.

A complete theoretical framework consists of a network of theories, existing theories, and concepts that collectively shape the direction of a research study.

The theoretical framework is the fundamental principle that will be explored, strengthens the research’s credibility by aligning it with established knowledge, specifies the variables under investigation, and connects different aspects of the research to create a unified approach.

Theoretical frameworks are the intellectual scaffolding upon which the research is constructed. It is the lens through which researchers view their subject, guiding their choice of methodologies, data collection, analysis, and interpretation. By incorporating existing theory, and established concepts, a theoretical framework not only grounds the research but also provides a coherent roadmap for exploring the intricacies of the chosen topic.

Benefits of theoretical research

Theoretical research yields a wealth of benefits across various fields, from social sciences to human resource development and political science. Here’s a breakdown of these benefits while incorporating the requested topics:

Predictive power

Theoretical models are the cornerstone of theoretical research. They grant us predictive power, enabling us to forecast intricate behaviors within complex systems, like societal interactions. In political science, for instance, a theoretical model helps anticipate potential outcomes of policy changes.

Understanding human behavior

Drawing from key social science theories, it assists us in deciphering human behavior and societal dynamics. For instance, in the context of human resource development, theories related to motivation and psychology provide insights into how to effectively manage a diverse workforce.

Optimizing workforce

In the realm of human resource development, insights gleaned from theoretical research, along with the research methods knowledge base, help create targeted training programs. By understanding various learning methodologies and psychological factors, organizations can optimize workforce training for better results.

Building on foundations

It doesn’t exist in isolation; it builds upon existing theories. For instance, within the human resource development handbook, theoretical research expands established concepts, refining their applicability to contemporary organizational challenges.

Ethical policy formulation

Within political science, theoretical research isn’t confined to governance structures. It extends to ethical considerations, aiding policymakers in creating policies that balance the collective good with individual rights, ensuring just and fair governance.

Rigorous investigations

Theoretical research underscores the importance of research methods knowledge base. This knowledge equips researchers in theory-building research methods and other fields to design robust research methodologies, yielding accurate data and credible insights.

Long-term impact

Theoretical research leaves a lasting impact. The theoretical models and insights from key social science theories provide enduring frameworks for subsequent research, contributing to the cumulative growth of knowledge in these fields.

Innovation and practical applications

It doesn’t merely remain theoretical. It inspires innovation and practical applications. By merging insights from diverse theories and fields, practitioners in human resource development devise innovative strategies to foster employee growth and well-being.

Theoretical research method

Researchers follow so many methods when doing research. There are two types of theoretical research methods.

Scientific methods
Social science method

Let’s explore them below:

Scientific method

Scientific methods have some important points that you should know. Let’s figure them out below:

Observation: Any part you want to explain can be found through observation. It helps define the area of research.
Hypothesis: The hypothesis is the idea put into words, which helps us figure out what we see.
Experimentation: Hypotheses are tested through experiments to see if they are true. These experiments are different for each research.
Theory: When we create a theory, we do it because we believe it will explain hypotheses of higher probability.
Conclusions: Conclusions are the learnings we derive from our investigation.

Social science methods

There are different methods for social science theoretical research. It consists of polls, documentation, and statistical analysis.

Polls: It is a process whereby the researcher uses a topic-specific questionnaire to gather data. No changes are made to the environment or the phenomenon where the polls are conducted to get the most accurate results. QuestionPro live polls are a great way to get live audiences involved and engaged.
Documentation: Documentation is a helpful and valuable technique that helps the researcher learn more about the subject. It means visiting libraries or other specialized places, like documentation centers, to look at the existing bibliography. With the documentation, you can find out what came before the investigated topic and what other investigations have found. This step is important because it shows whether or not similar investigations have been done before and what the results were.
Statistic analysis : Statistics is a branch of math that looks at random events and differences. It follows the rules that are established by probability. It’s used a lot in sociology and language research.

Examples of theoretical research

We talked about theoretical study methods in the previous part. We’ll give you some examples to help you understand it better.

Example 1: Theoretical research into the health benefits of hemp

The plant’s active principles are extracted and evaluated, and by studying their components, it is possible to determine what they contain and whether they can potentially serve as a medication.

Example 2: Linguistics research

Investigate to determine how many people in the Basque Country speak Basque. Surveys can be used to determine the number of native Basque speakers and those who speak Basque as a second language.

Example 3: Philosophical research

Research politics and ethics as they are presented in the writings of Hanna Arendt from a theoretical perspective.

LEARN ABOUT: 12 Best Tools for Researchers

From our above discussion, we learned about theoretical research and its methods and gave some examples. It explains things and leads to more knowledge for the sake of knowledge. This kind of research tries to find out more about a thing or an idea, but the results may take time to be helpful in the real world.

This research is sometimes called basic research. Theoretical research is an important process that gives researchers valuable data with insight.

QuestionPro is a strong platform for managing your data. You can conduct simple surveys to more complex research using QuestionPro survey software.

At QuestionPro, we give researchers tools for collecting data, such as our survey software and a library of insights for any long-term study. Contact our expert team to find out more about it.

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Research Foundation

THE TYPES OF THEORIES IN RESEARCH

by Dr J.D Ngo Ndjama
November 15, 2021 January 25, 2022

While many approaches to societal research regard theories as add-ons extra, or purely optional choices (Layder, 2018), theories in research help researchers understand why people behave the way they do; they provide insight into how things happened or how things are the way they are. Layder (2018) stresses that without theories, the aspirations of empirical research and its potential explanatory yield are limited. According to McGregor (2018), three types of theories exist in research and they are related to the four reasons of enquiries namely exploratory research, descriptive research, relational research and explanatory research. The author clarifies that these three types are descriptive theory, which uses exploratory and descriptive research, relational theory that uses correlational research, and explanatory theory, which uses experimental, predictive and qualitative causal research. Their use depends on the research question.

Descriptive theory

Before explaining descriptive theories, I would like to remind you quickly about what descriptive research is. Descriptive research answers the question: “what?” and include methods such as case studies, surveys, grounded theory, ethnographies and phenomenological studies. These methods are used to generate and test descriptive theories (Ngulube, 2018). Descriptive theories attempt to explain an object or a phenomenon by describing its conditions of appearance (of existence or change) and its dimensions (the elements that constitute it), and by identifying the laws, principles, dominant structures that allow researchers to understand its functioning, its evolution and its interaction with the environment. The purpose of descriptive theories is factor searching as they answer the question: What is this? (Ngulube, 2018).

Example: contingency theory, Descriptive decision theory

Relational theory

Relational theories explain relationships between events, situations, individuals and groups. They assess the extent to which relationships between variables are supported by empirical evidence or data through the application of quantitative methods (surveys) and statistical analyses. Relational theories are developed after descriptive theories have been validated and they answer the question: what is happening here? (Ngulube, 2018)

Example: the glass ceiling theory

Explanatory theory

The primary objectives of all rational inquiries and particularly scientific research is not only to provide a detailed explanation of a phenomenon, event, natural or social behaviour under investigation but also by answering the question “why”. The question “why” refers to the purpose of the inquiry; that is the reason why something exists or is done. Questioning why something happened or a change occurred or why things are done in a certain way eradicates any confusion which can be originated by a lack of knowledge or a vague idea we have about a topic. It can be that we are uncertain about something. Explanatory theories are generated and tested by experimental research (Ngulube, 2018). They test the cause and effect relationships of a phenomenon and answer the question what will happen if…? Davidof (2019) is of the view that explanatory theories serve as sources of testable causal theories of events and situations that help understand complex, confusing events and situations. This theory is about identifying the reason why something happened or what/who is responsible for a change. Mayes (2011) posits that to explain an event or phenomenon is to identify its cause.

Examples of explanatory theories: the theory of evolution, the FITT framework (Fit between Individuals, Task, and Technology), static theories…..

Davidof, F. (2019). Understanding contexts: how explanatory theories can help. Implementation Scien ce, 14(23): 1-9.

McGregor, S.L.T. (2018). Understanding and evaluating research: a critical guide . Singapore: Sage Publications, Inc.

Mayes, G.R. (2011). Beware the convincing explanation. Think , 10 (28):17-26.

Layder, D. 2018. Investigative research: theory and practice. London: Sage Publications, Ltd.

Ngulube, P. 2018. Handbook of research on heritage management and Preservation. Pennsylvania: IGI Global

Chapter 4 Theories in Scientific Research

As we know from previous chapters, science is knowledge represented as a collection of “theories” derived using the scientific method. In this chapter, we will examine what is a theory, why do we need theories in research, what are the building blocks of a theory, how to evaluate theories, how can we apply theories in research, and also presents illustrative examples of five theories frequently used in social science research.

Theories are explanations of a natural or social behavior, event, or phenomenon. More formally, a scientific theory is a system of constructs (concepts) and propositions (relationships between those constructs) that collectively presents a logical, systematic, and coherent explanation of a phenomenon of interest within some assumptions and boundary conditions (Bacharach 1989). [1]

Theories should explain why things happen, rather than just describe or predict. Note that it is possible to predict events or behaviors using a set of predictors, without necessarily explaining why such events are taking place. For instance, market analysts predict fluctuations in the stock market based on market announcements, earnings reports of major companies, and new data from the Federal Reserve and other agencies, based on previously observed correlations . Prediction requires only correlations. In contrast, explanations require causations , or understanding of cause-effect relationships. Establishing causation requires three conditions: (1) correlations between two constructs, (2) temporal precedence (the cause must precede the effect in time), and (3) rejection of alternative hypotheses (through testing). Scientific theories are different from theological, philosophical, or other explanations in that scientific theories can be empirically tested using scientific methods.

Explanations can be idiographic or nomothetic. Idiographic explanations are those that explain a single situation or event in idiosyncratic detail. For example, you did poorly on an exam because: (1) you forgot that you had an exam on that day, (2) you arrived late to the exam due to a traffic jam, (3) you panicked midway through the exam, (4) you had to work late the previous evening and could not study for the exam, or even (5) your dog ate your text book. The explanations may be detailed, accurate, and valid, but they may not apply to other similar situations, even involving the same person, and are hence not generalizable. In contrast, nomothetic explanations seek to explain a class of situations or events rather than a specific situation or event. For example, students who do poorly in exams do so because they did not spend adequate time preparing for exams or that they suffer from nervousness, attention-deficit, or some other medical disorder. Because nomothetic explanations are designed to be generalizable across situations, events, or people, they tend to be less precise, less complete, and less detailed. However, they explain economically, using only a few explanatory variables. Because theories are also intended to serve as generalized explanations for patterns of events, behaviors, or phenomena, theoretical explanations are generally nomothetic in nature.

While understanding theories, it is also important to understand what theory is not. Theory is not data, facts, typologies, taxonomies, or empirical findings. A collection of facts is not a theory, just as a pile of stones is not a house. Likewise, a collection of constructs (e.g., a typology of constructs) is not a theory, because theories must go well beyond constructs to include propositions, explanations, and boundary conditions. Data, facts, and findings operate at the empirical or observational level, while theories operate at a conceptual level and are based on logic rather than observations.

There are many benefits to using theories in research. First, theories provide the underlying logic of the occurrence of natural or social phenomenon by explaining what are the key drivers and key outcomes of the target phenomenon and why, and what underlying processes are responsible driving that phenomenon. Second, they aid in sense-making by helping us synthesize prior empirical findings within a theoretical framework and reconcile contradictory findings by discovering contingent factors influencing the relationship between two constructs in different studies. Third, theories provide guidance for future research by helping identify constructs and relationships that are worthy of further research. Fourth, theories can contribute to cumulative knowledge building by bridging gaps between other theories and by causing existing theories to be reevaluated in a new light.

However, theories can also have their own share of limitations. As simplified explanations of reality, theories may not always provide adequate explanations of the phenomenon of interest based on a limited set of constructs and relationships. Theories are designed to be simple and parsimonious explanations, while reality may be significantly more complex. Furthermore, theories may impose blinders or limit researchers’ “range of vision,” causing them to miss out on important concepts that are not defined by the theory.

Building Blocks of a Theory

David Whetten (1989) suggests that there are four building blocks of a theory: constructs, propositions, logic, and boundary conditions/assumptions. Constructs capture the “what” of theories (i.e., what concepts are important for explaining a phenomenon), propositions capture the “how” (i.e., how are these concepts related to each other), logic represents the “why” (i.e., why are these concepts related), and boundary conditions/assumptions examines the “who, when, and where” (i.e., under what circumstances will these concepts and relationships work). Though constructs and propositions were previously discussed in Chapter 2, we describe them again here for the sake of completeness.

Constructs are abstract concepts specified at a high level of abstraction that are chosen specifically to explain the phenomenon of interest. Recall from Chapter 2 that constructs may be unidimensional (i.e., embody a single concept), such as weight or age, or multi-dimensional (i.e., embody multiple underlying concepts), such as personality or culture. While some constructs, such as age, education, and firm size, are easy to understand, others, such as creativity, prejudice, and organizational agility, may be more complex and abstruse, and still others such as trust, attitude, and learning, may represent temporal tendencies rather than steady states. Nevertheless, all constructs must have clear and unambiguous operational definition that should specify exactly how the construct will be measured and at what level of analysis (individual, group, organizational, etc.). Measurable representations of abstract constructs are called variables . For instance, intelligence quotient (IQ score) is a variable that is purported to measure an abstract construct called intelligence. As noted earlier, scientific research proceeds along two planes: a theoretical plane and an empirical plane. Constructs are conceptualized at the theoretical plane, while variables are operationalized and measured at the empirical (observational) plane. Furthermore, variables may be independent, dependent, mediating, or moderating, as discussed in Chapter 2. The distinction between constructs (conceptualized at the theoretical level) and variables (measured at the empirical level) is shown in Figure 4.1.

Flowchart showing the theoretical plane with construct A leading to a proposition of construct B, then the emprical plane below with the independent variable leading to a hypothesis about the dependent variable.

Figure 4.1. Distinction between theoretical and empirical concepts

Propositions are associations postulated between constructs based on deductive logic. Propositions are stated in declarative form and should ideally indicate a cause-effect relationship (e.g., if X occurs, then Y will follow). Note that propositions may be conjectural but MUST be testable, and should be rejected if they are not supported by empirical observations. However, like constructs, propositions are stated at the theoretical level, and they can only be tested by examining the corresponding relationship between measurable variables of those constructs. The empirical formulation of propositions, stated as relationships between variables, is called hypotheses . The distinction between propositions (formulated at the theoretical level) and hypotheses (tested at the empirical level) is depicted in Figure 4.1.

The third building block of a theory is the logic that provides the basis for justifying the propositions as postulated. Logic acts like a “glue” that connects the theoretical constructs and provides meaning and relevance to the relationships between these constructs. Logic also represents the “explanation” that lies at the core of a theory. Without logic, propositions will be ad hoc, arbitrary, and meaningless, and cannot be tied into a cohesive “system of propositions” that is the heart of any theory.

Finally, all theories are constrained by assumptions about values, time, and space, and boundary conditions that govern where the theory can be applied and where it cannot be applied. For example, many economic theories assume that human beings are rational (or boundedly rational) and employ utility maximization based on cost and benefit expectations as a way of understand human behavior. In contrast, political science theories assume that people are more political than rational, and try to position themselves in their professional or personal environment in a way that maximizes their power and control over others. Given the nature of their underlying assumptions, economic and political theories are not directly comparable, and researchers should not use economic theories if their objective is to understand the power structure or its evolution in a organization. Likewise, theories may have implicit cultural assumptions (e.g., whether they apply to individualistic or collective cultures), temporal assumptions (e.g., whether they apply to early stages or later stages of human behavior), and spatial assumptions (e.g., whether they apply to certain localities but not to others). If a theory is to be properly used or tested, all of its implicit assumptions that form the boundaries of that theory must be properly understood. Unfortunately, theorists rarely state their implicit assumptions clearly, which leads to frequent misapplications of theories to problem situations in research.

Attributes of a Good Theory

Theories are simplified and often partial explanations of complex social reality. As such, there can be good explanations or poor explanations, and consequently, there can be good theories or poor theories. How can we evaluate the “goodness” of a given theory? Different criteria have been proposed by different researchers, the more important of which are listed below:

Logical consistency : Are the theoretical constructs, propositions, boundary conditions, and assumptions logically consistent with each other? If some of these “building blocks” of a theory are inconsistent with each other (e.g., a theory assumes rationality, but some constructs represent non-rational concepts), then the theory is a poor theory.
Explanatory power : How much does a given theory explain (or predict) reality? Good theories obviously explain the target phenomenon better than rival theories, as often measured by variance explained (R-square) value in regression equations.
Falsifiability : British philosopher Karl Popper stated in the 1940’s that for theories to be valid, they must be falsifiable. Falsifiability ensures that the theory is potentially disprovable, if empirical data does not match with theoretical propositions, which allows for their empirical testing by researchers. In other words, theories cannot be theories unless they can be empirically testable. Tautological statements, such as “a day with high temperatures is a hot day” are not empirically testable because a hot day is defined (and measured) as a day with high temperatures, and hence, such statements cannot be viewed as a theoretical proposition. Falsifiability requires presence of rival explanations it ensures that the constructs are adequately measurable, and so forth. However, note that saying that a theory is falsifiable is not the same as saying that a theory should be falsified. If a theory is indeed falsified based on empirical evidence, then it was probably a poor theory to begin with!
Parsimony : Parsimony examines how much of a phenomenon is explained with how few variables. The concept is attributed to 14 th century English logician Father William of Ockham (and hence called “Ockham’s razor” or “Occam’s razor), which states that among competing explanations that sufficiently explain the observed evidence, the simplest theory (i.e., one that uses the smallest number of variables or makes the fewest assumptions) is the best. Explanation of a complex social phenomenon can always be increased by adding more and more constructs. However, such approach defeats the purpose of having a theory, which are intended to be “simplified” and generalizable explanations of reality. Parsimony relates to the degrees of freedom in a given theory. Parsimonious theories have higher degrees of freedom, which allow them to be more easily generalized to other contexts, settings, and populations.

Approaches to Theorizing

How do researchers build theories? Steinfeld and Fulk (1990) [2] recommend four such approaches. The first approach is to build theories inductively based on observed patterns of events or behaviors. Such approach is often called “grounded theory building”, because the theory is grounded in empirical observations. This technique is heavily dependent on the observational and interpretive abilities of the researcher, and the resulting theory may be subjective and non -confirmable. Furthermore, observing certain patterns of events will not necessarily make a theory, unless the researcher is able to provide consistent explanations for the observed patterns. We will discuss the grounded theory approach in a later chapter on qualitative research.

The second approach to theory building is to conduct a bottom-up conceptual analysis to identify different sets of predictors relevant to the phenomenon of interest using a predefined framework. One such framework may be a simple input-process-output framework, where the researcher may look for different categories of inputs, such as individual, organizational, and/or technological factors potentially related to the phenomenon of interest (the output), and describe the underlying processes that link these factors to the target phenomenon. This is also an inductive approach that relies heavily on the inductive abilities of the researcher, and interpretation may be biased by researcher’s prior knowledge of the phenomenon being studied.

The third approach to theorizing is to extend or modify existing theories to explain a new context, such as by extending theories of individual learning to explain organizational learning. While making such an extension, certain concepts, propositions, and/or boundary conditions of the old theory may be retained and others modified to fit the new context. This deductive approach leverages the rich inventory of social science theories developed by prior theoreticians, and is an efficient way of building new theories by building on existing ones.

The fourth approach is to apply existing theories in entirely new contexts by drawing upon the structural similarities between the two contexts. This approach relies on reasoning by analogy, and is probably the most creative way of theorizing using a deductive approach. For instance, Markus (1987) [3] used analogic similarities between a nuclear explosion and uncontrolled growth of networks or network-based businesses to propose a critical mass theory of network growth. Just as a nuclear explosion requires a critical mass of radioactive material to sustain a nuclear explosion, Markus suggested that a network requires a critical mass of users to sustain its growth, and without such critical mass, users may leave the network, causing an eventual demise of the network.

Examples of Social Science Theories

In this section, we present brief overviews of a few illustrative theories from different social science disciplines. These theories explain different types of social behaviors, using a set of constructs, propositions, boundary conditions, assumptions, and underlying logic. Note that the following represents just a simplistic introduction to these theories; readers are advised to consult the original sources of these theories for more details and insights on each theory.

Agency Theory. Agency theory (also called principal-agent theory), a classic theory in the organizational economics literature, was originally proposed by Ross (1973) [4] to explain two-party relationships (such as those between an employer and its employees, between organizational executives and shareholders, and between buyers and sellers) whose goals are not congruent with each other. The goal of agency theory is to specify optimal contracts and the conditions under which such contracts may help minimize the effect of goal incongruence. The core assumptions of this theory are that human beings are self-interested individuals, boundedly rational, and risk-averse, and the theory can be applied at the individual or organizational level.

The two parties in this theory are the principal and the agent; the principal employs the agent to perform certain tasks on its behalf. While the principal’s goal is quick and effective completion of the assigned task, the agent’s goal may be working at its own pace, avoiding risks, and seeking self-interest (such as personal pay) over corporate interests. Hence, the goal incongruence. Compounding the nature of the problem may be information asymmetry problems caused by the principal’s inability to adequately observe the agent’s behavior or accurately evaluate the agent’s skill sets. Such asymmetry may lead to agency problems where the agent may not put forth the effort needed to get the task done (the moral hazard problem) or may misrepresent its expertise or skills to get the job but not perform as expected (the adverse selection problem). Typical contracts that are behavior-based, such as a monthly salary, cannot overcome these problems. Hence, agency theory recommends using outcome-based contracts, such as a commissions or a fee payable upon task completion, or mixed contracts that combine behavior-based and outcome-based incentives. An employee stock option plans are is an example of an outcome-based contract while employee pay is a behavior-based contract. Agency theory also recommends tools that principals may employ to improve the efficacy of behavior-based contracts, such as investing in monitoring mechanisms (such as hiring supervisors) to counter the information asymmetry caused by moral hazard, designing renewable contracts contingent on agent’s performance (performance assessment makes the contract partially outcome-based), or by improving the structure of the assigned task to make it more programmable and therefore more observable.

Theory of Planned Behavior. Postulated by Azjen (1991) [5] , the theory of planned behavior (TPB) is a generalized theory of human behavior in the social psychology literature that can be used to study a wide range of individual behaviors. It presumes that individual behavior represents conscious reasoned choice, and is shaped by cognitive thinking and social pressures. The theory postulates that behaviors are based on one’s intention regarding that behavior, which in turn is a function of the person’s attitude toward the behavior, subjective norm regarding that behavior, and perception of control over that behavior (see Figure 4.2). Attitude is defined as the individual’s overall positive or negative feelings about performing the behavior in question, which may be assessed as a summation of one’s beliefs regarding the different consequences of that behavior, weighted by the desirability of those consequences.

Subjective norm refers to one’s perception of whether people important to that person expect the person to perform the intended behavior, and represented as a weighted combination of the expected norms of different referent groups such as friends, colleagues, or supervisors at work. Behavioral control is one’s perception of internal or external controls constraining the behavior in question. Internal controls may include the person’s ability to perform the intended behavior (self-efficacy), while external control refers to the availability of external resources needed to perform that behavior (facilitating conditions). TPB also suggests that sometimes people may intend to perform a given behavior but lack the resources needed to do so, and therefore suggests that posits that behavioral control can have a direct effect on behavior, in addition to the indirect effect mediated by intention.

TPB is an extension of an earlier theory called the theory of reasoned action, which included attitude and subjective norm as key drivers of intention, but not behavioral control. The latter construct was added by Ajzen in TPB to account for circumstances when people may have incomplete control over their own behaviors (such as not having high-speed Internet access for web surfing).

Flowchart theory of planned behavior showing a consequence leading to attitude, a norm leading to subjective norms, control leading to behavioral control, and all of these things leading to the intention and then the behavior.

Figure 4.2. Theory of planned behavior

Innovation diffusion theory. Innovation diffusion theory (IDT) is a seminal theory in the communications literature that explains how innovations are adopted within a population of potential adopters. The concept was first studied by French sociologist Gabriel Tarde, but the theory was developed by Everett Rogers in 1962 based on observations of 508 diffusion studies. The four key elements in this theory are: innovation, communication channels, time, and social system. Innovations may include new technologies, new practices, or new ideas, and adopters may be individuals or organizations. At the macro (population) level, IDT views innovation diffusion as a process of communication where people in a social system learn about a new innovation and its potential benefits through communication channels (such as mass media or prior adopters) and are persuaded to adopt it. Diffusion is a temporal process; the diffusion process starts off slow among a few early adopters, then picks up speed as the innovation is adopted by the mainstream population, and finally slows down as the adopter population reaches saturation. The cumulative adoption pattern therefore an S-shaped curve, as shown in Figure 4.3, and the adopter distribution represents a normal distribution. All adopters are not identical, and adopters can be classified into innovators, early adopters, early majority, late majority, and laggards based on their time of their adoption. The rate of diffusion a lso depends on characteristics of the social system such as the presence of opinion leaders (experts whose opinions are valued by others) and change agents (people who influence others’ behaviors).

At the micro (adopter) level, Rogers (1995) [6] suggests that innovation adoption is a process consisting of five stages: (1) knowledge: when adopters first learn about an innovation from mass-media or interpersonal channels, (2) persuasion: when they are persuaded by prior adopters to try the innovation, (3) decision: their decision to accept or reject the innovation, (4) implementation: their initial utilization of the innovation, and (5) confirmation: their decision to continue using it to its fullest potential (see Figure 4.4). Five innovation characteristics are presumed to shape adopters’ innovation adoption decisions: (1) relative advantage: the expected benefits of an innovation relative to prior innovations, (2) compatibility: the extent to which the innovation fits with the adopter’s work habits, beliefs, and values, (3) complexity: the extent to which the innovation is difficult to learn and use, (4) trialability: the extent to which the innovation can be tested on a trial basis, and (5) observability: the extent to which the results of using the innovation can be clearly observed. The last two characteristics have since been dropped from many innovation studies. Complexity is negatively correlated to innovation adoption, while the other four factors are positively correlated. Innovation adoption also depends on personal factors such as the adopter’s risk- taking propensity, education level, cosmopolitanism, and communication influence. Early adopters are venturesome, well educated, and rely more on mass media for information about the innovation, while later adopters rely more on interpersonal sources (such as friends and family) as their primary source of information. IDT has been criticized for having a “pro-innovation bias,” that is for presuming that all innovations are beneficial and will be eventually diffused across the entire population, and because it does not allow for inefficient innovations such as fads or fashions to die off quickly without being adopted by the entire population or being replaced by better innovations.

S-shaped diffusion curve showing the comparison with the traditional bell-shaped curve with 2.5% as innovators, 13.5% as early adopters, 34% as early majority, 34% as the late majority, and 16% as laggards.

Figure 4.3. S-shaped diffusion curve

Innovation adoption process showing knowledge then persuasion then decision then implementation and then confirmation.

Figure 4.4. Innovation adoption process.

Elaboration Likelihood Model . Developed by Petty and Cacioppo (1986) [7] , the elaboration likelihood model (ELM) is a dual-process theory of attitude formation or change in the psychology literature. It explains how individuals can be influenced to change their attitude toward a certain object, events, or behavior and the relative efficacy of such change strategies. The ELM posits that one’s attitude may be shaped by two “routes” of influence, the central route and the peripheral route, which differ in the amount of thoughtful information processing or “elaboration” required of people (see Figure 4.5). The central route requires a person to think about issue-related arguments in an informational message and carefully scrutinize the merits and relevance of those arguments, before forming an informed judgment about the target object. In the peripheral route, subjects rely on external “cues” such as number of prior users, endorsements from experts, or likeability of the endorser, rather than on the quality of arguments, in framing their attitude towards the target object. The latter route is less cognitively demanding, and the routes of attitude change are typically operationalized in the ELM using the argument quality and peripheral cues constructs respectively.

Argument quality (central route), motivation and ability (elaboration likelihood) and source credibility (peripheral route) all lead to attitude change

Figure 4.5. Elaboration likelihood model

General Deterrence Theory. Two utilitarian philosophers of the eighteenth century, Cesare Beccaria and Jeremy Bentham, formulated General Deterrence Theory (GDT) as both an explanation of crime and a method for reducing it. GDT examines why certain individuals engage in deviant, anti-social, or criminal behaviors. This theory holds that people are fundamentally rational (for both conforming and deviant behaviors), and that they freely choose deviant behaviors based on a rational cost-benefit calculation. Because people naturally choose utility-maximizing behaviors, deviant choices that engender personal gain or pleasure can be controlled by increasing the costs of such behaviors in the form of punishments (countermeasures) as well as increasing the probability of apprehension. Swiftness, severity, and certainty of punishments are the key constructs in GDT.

While classical positivist research in criminology seeks generalized causes of criminal behaviors, such as poverty, lack of education, psychological conditions, and recommends strategies to rehabilitate criminals, such as by providing them job training and medical treatment, GDT focuses on the criminal decision making process and situational factors that influence that process. Hence, a criminal’s personal situation (such as his personal values, his affluence, and his need for money) and the environmental context (such as how protected is the target, how efficient is the local police, how likely are criminals to be apprehended) play key roles in this decision making process. The focus of GDT is not how to rehabilitate criminals and avert future criminal behaviors, but how to make criminal activities less attractive and therefore prevent crimes. To that end, “target hardening” such as installing deadbolts and building self-defense skills, legal deterrents such as eliminating parole for certain crimes, “three strikes law” (mandatory incarceration for three offenses, even if the offenses are minor and not worth imprisonment), and the death penalty, increasing the chances of apprehension using means such as neighborhood watch programs, special task forces on drugs or gang -related crimes, and increased police patrols, and educational programs such as highly visible notices such as “Trespassers will be prosecuted” are effective in preventing crimes. This theory has interesting implications not only for traditional crimes, but also for contemporary white-collar crimes such as insider trading, software piracy, and illegal sharing of music.

[1] Bacharach, S. B. (1989). “Organizational Theories: Some Criteria for Evaluation,” Academy of Management Review (14:4), 496-515.

[2] Steinfield, C.W. and Fulk, J. (1990). “The Theory Imperative,” in Organizations and Communications Technology , J. Fulk and C. W. Steinfield (eds.), Newbury Park, CA: Sage Publications.

[3] Markus, M. L. (1987). “Toward a ‘Critical Mass’ Theory of Interactive Media: Universal Access, Interdependence, and Diffusion,” Communication Research (14:5), 491-511.

[4] Ross, S. A. (1973). “The Economic Theory of Agency: The Principal’s Problem,” American Economic Review (63:2), 134-139.

[5] Ajzen, I. (1991). “The Theory of Planned Behavior,” Organizational Behavior and Human Decision Processes (50), 179-211.

[6] Rogers, E. (1962). Diffusion of Innovations . New York: The Free Press. Other editions 1983, 1996, 2005.

[7] Petty, R. E., and Cacioppo, J. T. (1986). Communication and Persuasion: Central and Peripheral Routes to Attitude Change . New York: Springer-Verlag.

Social Science Research: Principles, Methods, and Practices. Authored by : Anol Bhattacherjee. Provided by : University of South Florida. Located at : http://scholarcommons.usf.edu/oa_textbooks/3/ . License : CC BY-NC-SA: Attribution-NonCommercial-ShareAlike

Home » Conceptual Framework – Types, Methodology and Examples

Conceptual Framework – Types, Methodology and Examples

Table of Contents

Conceptual Framework

Definition:

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

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

Conceptual Framework in Research

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

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

Types of Conceptual Framework

Types of Conceptual Framework are as follows:

Theoretical Framework

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

Conceptual Model

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

Empirical Framework

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

Descriptive Framework

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

Analytical Framework

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

Conceptual Framework for Policy Analysis

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

Logical Frameworks

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

Conceptual Frameworks for Program Evaluation

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

Conceptual Frameworks for Organizational Analysis

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

Conceptual Frameworks for Strategic Planning

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

Components of Conceptual Framework

The components of a conceptual framework typically include:

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

Conceptual Framework Methodology

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

Here are the steps involved in the conceptual framework methodology:

Identify the Research Problem

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

Conduct a Literature Review

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

Define key Concepts and Variables

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

Develop a Theoretical Framework

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

Test the Framework

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

Examples of Conceptual Framework

Some realtime Examples of Conceptual Framework are as follows:

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

Applications of Conceptual Framework

Some of the applications of Conceptual Frameworks are as follows:

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

Purpose of Conceptual Framework

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

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

When to use Conceptual Framework

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

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

Characteristics of Conceptual Framework

key characteristics of a conceptual framework are:

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

Advantages of Conceptual Framework

Advantages of the Conceptual Framework are as follows:

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

Limitations of Conceptual Framework

Limitations of Conceptual Framework are as follows:

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

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Types of Research – Explained with Examples

By DiscoverPhDs
October 2, 2020

Types of Research

Research is about using established methods to investigate a problem or question in detail with the aim of generating new knowledge about it.

It is a vital tool for scientific advancement because it allows researchers to prove or refute hypotheses based on clearly defined parameters, environments and assumptions. Due to this, it enables us to confidently contribute to knowledge as it allows research to be verified and replicated.

Knowing the types of research and what each of them focuses on will allow you to better plan your project, utilises the most appropriate methodologies and techniques and better communicate your findings to other researchers and supervisors.

Classification of Types of Research

There are various types of research that are classified according to their objective, depth of study, analysed data, time required to study the phenomenon and other factors. It’s important to note that a research project will not be limited to one type of research, but will likely use several.

According to its Purpose

Theoretical research.

Theoretical research, also referred to as pure or basic research, focuses on generating knowledge , regardless of its practical application. Here, data collection is used to generate new general concepts for a better understanding of a particular field or to answer a theoretical research question.

Results of this kind are usually oriented towards the formulation of theories and are usually based on documentary analysis, the development of mathematical formulas and the reflection of high-level researchers.

Applied Research

Here, the goal is to find strategies that can be used to address a specific research problem. Applied research draws on theory to generate practical scientific knowledge, and its use is very common in STEM fields such as engineering, computer science and medicine.

This type of research is subdivided into two types:

Technological applied research : looks towards improving efficiency in a particular productive sector through the improvement of processes or machinery related to said productive processes.
Scientific applied research : has predictive purposes. Through this type of research design, we can measure certain variables to predict behaviours useful to the goods and services sector, such as consumption patterns and viability of commercial projects.

According to your Depth of Scope

Exploratory research.

Exploratory research is used for the preliminary investigation of a subject that is not yet well understood or sufficiently researched. It serves to establish a frame of reference and a hypothesis from which an in-depth study can be developed that will enable conclusive results to be generated.

Because exploratory research is based on the study of little-studied phenomena, it relies less on theory and more on the collection of data to identify patterns that explain these phenomena.

Descriptive Research

The primary objective of descriptive research is to define the characteristics of a particular phenomenon without necessarily investigating the causes that produce it.

In this type of research, the researcher must take particular care not to intervene in the observed object or phenomenon, as its behaviour may change if an external factor is involved.

Explanatory Research

Explanatory research is the most common type of research method and is responsible for establishing cause-and-effect relationships that allow generalisations to be extended to similar realities. It is closely related to descriptive research, although it provides additional information about the observed object and its interactions with the environment.

Correlational Research

The purpose of this type of scientific research is to identify the relationship between two or more variables. A correlational study aims to determine whether a variable changes, how much the other elements of the observed system change.

According to the Type of Data Used

Qualitative research.

Qualitative methods are often used in the social sciences to collect, compare and interpret information, has a linguistic-semiotic basis and is used in techniques such as discourse analysis, interviews, surveys, records and participant observations.

In order to use statistical methods to validate their results, the observations collected must be evaluated numerically. Qualitative research, however, tends to be subjective, since not all data can be fully controlled. Therefore, this type of research design is better suited to extracting meaning from an event or phenomenon (the ‘why’) than its cause (the ‘how’).

Quantitative Research

Quantitative research study delves into a phenomena through quantitative data collection and using mathematical, statistical and computer-aided tools to measure them . This allows generalised conclusions to be projected over time.

According to the Degree of Manipulation of Variables

Experimental research.

It is about designing or replicating a phenomenon whose variables are manipulated under strictly controlled conditions in order to identify or discover its effect on another independent variable or object. The phenomenon to be studied is measured through study and control groups, and according to the guidelines of the scientific method.

Non-Experimental Research

Also known as an observational study, it focuses on the analysis of a phenomenon in its natural context. As such, the researcher does not intervene directly, but limits their involvement to measuring the variables required for the study. Due to its observational nature, it is often used in descriptive research.

Quasi-Experimental Research

It controls only some variables of the phenomenon under investigation and is therefore not entirely experimental. In this case, the study and the focus group cannot be randomly selected, but are chosen from existing groups or populations . This is to ensure the collected data is relevant and that the knowledge, perspectives and opinions of the population can be incorporated into the study.

According to the Type of Inference

Deductive investigation.

In this type of research, reality is explained by general laws that point to certain conclusions; conclusions are expected to be part of the premise of the research problem and considered correct if the premise is valid and the inductive method is applied correctly.

Inductive Research

In this type of research, knowledge is generated from an observation to achieve a generalisation. It is based on the collection of specific data to develop new theories.

Hypothetical-Deductive Investigation

It is based on observing reality to make a hypothesis, then use deduction to obtain a conclusion and finally verify or reject it through experience.

According to the Time in Which it is Carried Out

Longitudinal study (also referred to as diachronic research).

It is the monitoring of the same event, individual or group over a defined period of time. It aims to track changes in a number of variables and see how they evolve over time. It is often used in medical, psychological and social areas .

Cross-Sectional Study (also referred to as Synchronous Research)

Cross-sectional research design is used to observe phenomena, an individual or a group of research subjects at a given time.

According to The Sources of Information

Primary research.

This fundamental research type is defined by the fact that the data is collected directly from the source, that is, it consists of primary, first-hand information.

Secondary research

Unlike primary research, secondary research is developed with information from secondary sources, which are generally based on scientific literature and other documents compiled by another researcher.

According to How the Data is Obtained

Documentary (cabinet).

Documentary research, or secondary sources, is based on a systematic review of existing sources of information on a particular subject. This type of scientific research is commonly used when undertaking literature reviews or producing a case study.

Field research study involves the direct collection of information at the location where the observed phenomenon occurs.

From Laboratory

Laboratory research is carried out in a controlled environment in order to isolate a dependent variable and establish its relationship with other variables through scientific methods.

Mixed-Method: Documentary, Field and/or Laboratory

Mixed research methodologies combine results from both secondary (documentary) sources and primary sources through field or laboratory research.

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Theory
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Theories and Frameworks: Introduction

Theoretical framework

Conceptual framework

Investigate theory

Theory in doctoral research

Walden Resources

Centers and Offices

Student Resources

4 Theories in scientific research

Building blocks of a theory

Attributes of a good theory

Approaches to theorising

Examples of social science theories

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Organizing Your Social Sciences Research Paper

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Organizing Academic Research Papers: Theoretical Framework

Importance of Theory

Strategies for Developing the Theoretical Framework

Structure and Writing Style

Writing Tip

Another Writing Tip

Still Another Writing Tip

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Designing conceptual articles: four approaches

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Introduction

Conceptual papers: some methodological requirements

Explicating and justifying the choice of theories and concepts

Explicating the role of different theories and concepts in the analysis

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Common types of research design in conceptual papers

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Theoretical Research: Definition, Methods + Examples

What is the theoretical research?

What is the theoretical framework?

Benefits of theoretical research

Predictive power

Understanding human behavior

Optimizing workforce

Building on foundations

Ethical policy formulation

Rigorous investigations

Long-term impact

Innovation and practical applications

Theoretical research method

Scientific method

Social science methods

Examples of theoretical research

Example 1: Theoretical research into the health benefits of hemp

Example 2: Linguistics research