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6 Steps to Mastering the Theoretical Framework of a Dissertation

As the pivotal section of your dissertation, the theoretical framework will be the lens through which your readers should evaluate your research. It's also a necessary part of your writing and research processes from which every written section will be built.

In their journal article titled Understanding, selecting, and integrating a theoretical framework in dissertation research: Creating the blueprint for your "house" , authors Cynthia Grant and Azadeh Osanloo write:

The theoretical framework is one of the most important aspects in the research process, yet is often misunderstood by doctoral candidates as they prepare their dissertation research study. The importance of theory-driven thinking and acting is emphasized in relation to the selection of a topic, the development of research questions, the conceptualization of the literature review, the design approach, and the analysis plan for the dissertation study. Using a metaphor of the "blueprint" of a house, this article explains the application of a theoretical framework in a dissertation. Administrative Issues Journal

They continue in their paper to discuss how architects and contractors understand that prior to building a house, there must be a blueprint created. This blueprint will then serve as a guide for everyone involved in the construction of the home, including those building the foundation, installing the plumbing and electrical systems, etc. They then state, We believe the blueprint is an appropriate analogy of the theoretical framework of the dissertation.

As with drawing and creating any blueprint, it is often the most difficult part of the building process. Many potential conflicts must be considered and mitigated, and much thought must be put into how the foundation will support the rest of the home. Without proper consideration on the front end, the entire structure could be at risk.

With this in mind, I'm going to discuss six steps to mastering the theoretical framework section—the "blueprint" for your dissertation. If you follow these steps and complete the checklist included, your blueprint is guaranteed to be a solid one.

Complete your review of literature first

In order to identify the scope of your theoretical framework, you'll need to address research that has already been completed by others, as well as gaps in the research. Understanding this, it's clear why you'll need to complete your review of literature before you can adequately write a theoretical framework for your dissertation or thesis.

Simply put, before conducting any extensive research on a topic or hypothesis, you need to understand where the gaps are and how they can be filled. As will be mentioned in a later step, it's important to note within your theoretical framework if you have closed any gaps in the literature through your research. It's also important to know the research that has laid a foundation for the current knowledge, including any theories, assumptions, or studies that have been done that you can draw on for your own. Without performing this necessary step, you're likely to produce research that is redundant, and therefore not likely to be published.

Understand the purpose of a theoretical framework

When you present a research problem, an important step in doing so is to provide context and background to that specific problem. This allows your reader to understand both the scope and the purpose of your research, while giving you a direction in your writing. Just as a blueprint for a home needs to provide needed context to all of the builders and professionals involved in the building process, so does the theoretical framework of your dissertation.

So, in building your theoretical framework, there are several details that need to be considered and explained, including:

• The definition of any concepts or theories you're building on or exploring (this is especially important if it is a theory that is taken from another discipline or is relatively new).
• The context in which this concept has been explored in the past.
• The important literature that has already been published on the concept or theory, including citations.
• The context in which you plan to explore the concept or theory. You can briefly mention your intended methods used, along with methods that have been used in the past—but keep in mind that there will be a separate section of your dissertation to present these in detail.
• Any gaps that you hope to fill in the research
• Any limitations encountered by past researchers and any that you encountered in your own exploration of the topic.
• Basically, your theoretical framework helps to give your reader a general understanding of the research problem, how it has already been explored, and where your research falls in the scope of it. In such, be sure to keep it written in present tense, since it is research that is presently being done. When you refer to past research by others, you can do so in past tense, but anything related to your own research should be written in the present.

Use your theoretical framework to justify your research

In your literature review, you'll focus on finding research that has been conducted that is pertinent to your own study. This could be literature that establishes theories connected with your research, or provides pertinent analytic models. You will then mention these theories or models in your own theoretical framework and justify why they are the basis of—or relevant to—your research.

Basically, think of your theoretical framework as a quick, powerful way to justify to your reader why this research is important. If you are expanding upon past research by other scholars, your theoretical framework should mention the foundation they've laid and why it is important to build on that, or how it needs to be applied to a more modern concept. If there are gaps in the research on certain topics or theories, and your research fills these gaps, mention that in your theoretical framework, as well. It is your opportunity to justify the work you've done in a scientific context—both to your dissertation committee and to any publications interested in publishing your work.

Keep it within three to five pages

While there are usually no hard and fast rules related to the length of your theoretical framework, it is most common to keep it within three to five pages. This length should be enough to provide all of the relevant information to your reader without going into depth about the theories or assumptions mentioned. If you find yourself needing many more pages to write your theoretical framework, it is likely that you've failed to provide a succinct explanation for a theory, concept, or past study. Remember—you'll have ample opportunity throughout the course of writing your dissertation to expand and expound on these concepts, past studies, methods, and hypotheses. Your theoretical framework is not the place for these details.

If you've written an abstract, consider your theoretical framework to be somewhat of an extended abstract. It should offer a glimpse of the entirety of your research without going into a detailed explanation of the methods or background of it. In many cases, chiseling the theoretical framework down to the three to five-page length is a process of determining whether detail is needed in establishing understanding for your reader.

Use models and other graphics

Since your theoretical framework should clarify complicated theories or assumptions related to your research, it's often a good idea to include models and other helpful graphics to achieve this aim. If space is an issue, most formats allow you to include these illustrations or models in the appendix of your paper and refer to them within the main text.

Use a checklist after completing your first draft

You should consider the following questions as you draft your theoretical framework and check them off as a checklist after completing your first draft:

• Have the main theories and models related to your research been presented and briefly explained? In other words, does it offer an explicit statement of assumptions and/or theories that allows the reader to make a critical evaluation of them?
• Have you correctly cited the main scientific articles on the subject?
• Does it tell the reader about current knowledge related to the assumptions/theories and any gaps in that knowledge?
• Does it offer information related to notable connections between concepts?
• Does it include a relevant theory that forms the basis of your hypotheses and methods?
• Does it answer the question of "why" your research is valid and important? In other words, does it provide scientific justification for your research?
• If your research fills a gap in the literature, does your theoretical framework state this explicitly?
• Does it include the constructs and variables (both independent and dependent) that are relevant to your study?
• Does it state assumptions and propositions that are relevant to your research (along with the guiding theories related to these)?
• Does it "frame" your entire research, giving it direction and a backbone to support your hypotheses?
• Are your research questions answered?
• Is it logical?
• Is it free of grammar, punctuation, spelling, and syntax errors?

A final note

In conclusion, I would like to leave you with a quote from Grant and Osanloo:

The importance of utilizing a theoretical framework in a dissertation study cannot be stressed enough. The theoretical framework is the foundation from which all knowledge is constructed (metaphorically and literally) for a research study. It serves as the structure and support for the rationale for the study, the problem statement, the purpose, the significance, and the research questions. The theoretical framework provides a grounding base, or an anchor, for the literature review, and most importantly, the methods and analysis. Administrative Issues Journal

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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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• 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.

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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.

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.

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.

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.

Since most doctoral research requires a theoretical framework, looking at completed dissertations related to your topic is an effective way to identify relevant theories and theorists. ProQuest Dissertations & Theses Global provides access to over 3 million full text doctoral dissertations and graduate theses. You may limit your search to only doctoral dissertations by using the Advanced Search screen. Look at the table of contents or abstract for reference to theoretical framework, as shown below. The dissertation’s references/bibliography will have a full citation to the original theorist’s research.

Content: Scholarly journals, e-books, videos and more. 

Purpose: A key multidisciplinary database for most topics. It is one of the library’s main search engines and the most comprehensive single search. 

Note: Certain library databases and publisher content are not searchable in NavigatorSearch, and individual databases may need to be searched to retrieve information due to unique content. NavigatorSearch can be found at https://resources.nu.edu .

On the NavigatorSearchscreen, include theor* as one your search terms, as shown below. It will retrieve results that include one of the following keywords: theory, theories, theoretical, theorist, or theorists . It is important to keep in mind, however, that this is not a foolproof method for locating theoretical frameworks. Scholars will often cite theory or theorists in order to refute them, or because they are saying something that's tangentially related, or they may even just refer to theory briefly in passing. In our example, we have selected the field for AB Abstract because if theory is mentioned within the abstract, the study is more likely to take a theoretical approach.  

As shown below, results from our example search clearly include articles which apply theory to the topic of curriculum design.  

Remember to look past the article title. Theoretical information may be mentioned in a subheading, or referred to elsewhere in the document. Use the FIND feature in your PDF viewer or internet browser to scan the document for terms such as theor*  (to pull up theory, theorist, theoretical), framework, conceptual, perspective , etc., as shown below.

Content: Books, reference works, journal articles, and instructional videos on research methods and design. 

Purpose: Use to learn more about qualitative, quantitative, and mixed methods research. 

Special Features: Includes a methods map, project planner, and "which stats" test

SAGE Research Methods  is a multimedia database containing more than 1,000 books, reference works, journal articles, and instructional videos covering every step of the research process. It includes e-books and e-book chapters which may help you better understand the theoretical framework aspect of your research study. A selection of resources is included below:

Searching in SAGE Research Methods

Use the main search bar to locate information about theoretical frameworks. Search the general phrase "theoretical frameworks," or the name of a specific theoretical framework like "social cognitive theory," in quotation marks to yield results with that specific phrase. See the example below.

You may also browse content in this database by Discipline . Select  Browse  on the top navigation to view a list of key topics.

• Anfara, V. (2008). Theoretical frameworks. In L. M. Given (Ed.), The SAGE Encyclopedia of Qualitative Research Methods. (pp. 870-874). Thousand Oaks, CA: SAGE Publications, Inc.
• Anfara, V. A., & Mertz, N. T. (Eds.). (2006). Theoretical frameworks in qualitative research. Thousand Oaks, CA: SAGE Publications, Inc.
• Theoretical framework. (2014). In Walker, R., & Solvason, C. Success with your early years research project (pp. 21-32). London: SAGE Publications Ltd.

Content: Citations and articles in multi-disciplines not found through a NavigatorSearch.

Purpose: Used to conduct topic searches as well as find additional resources that have cited a specific resource (citation network).

You may conduct a Cited Reference Search in Web of Science to find articles that cite a primary theorist in your area. These articles are likely to tackle your topic through your theoretical lens, or will point you toward another article that does. To access Web of Knowledge, go to A-Z Databases from the Library’s home page.

On the Web of Science home page, click on Cited Reference Search  to search for articles that cite a person's work. 

Enter the name of a key theorist in your area (in our example, John Dewey) in the format they specify (in this case Dewey J*), as shown below, and press "Search."

On the results screen, select the appropriate Web of Science category under Refine Results. For example, we could select “Education Educational Research” and then click “Refine.” You may wish to further refine by Document Type, Research Area, Author, etc. (also located on the left hand menu). Sorting your results by “Times Cited - Oldest to Newest"  is an effective way to discover the most frequently cited works. 

• 12Manage Global knowledge platform on management and business administration, including descriptions of frameworks. Requires free email sign up.
• Academic Theories Includes alphabetical listing of theories, as well as grouping by type.
• Communication Theories Provides list of communication theories grouped according to topic.
• Psychological Theories Browse alphabetically or use the clusters feature to view theories grouped by similar topics or approaches.
• Theories Used in Information Systems (IS) Research Click on a linked theory name to find details about the theory, some examples of IS papers using the theory, and links to related sites.

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Research Methods

• Getting Started
• What is Research Design?
• Research Approach
• Research Methodology
• Data Collection
• Data Analysis & Interpretation
• Population & Sampling
• Theories, Theoretical Perspective & Theoretical Framework
• Useful Resources

Further Resources

What to know more about how philosophy and research fit together?  Watch this short video for a brief explanation.

Most books that look at research design will cover philosophy but if you would like more information on this topic look at Michael Crotty's book

Theories, Theoretical Perspective & Theoretical Framework

Theories help us to understand the world by describing, explaining or predicting  how or why a phenomena occurs. Theories can have different levels of scope.  For example, macro level theories look at large global issues, while meso and micro level theories deal with context based or individual issues, respectively ( Salmons , 2019). 

Theoretical Perspective

Your theoretical perspective is the lens with which you view the world.  Theoretical perspective are based on different paradigms.  The research paradigm consists of Ontology (what is reality?); epistemology (how can I know reality?); theoretical perspective (which approach do I use to know something?); Methodology (how do I go about finding out?); Method (what techniques do you use to find out?) ( Patel , 2015)

This  chart may help you to articulate your own theoretical perspective

Theoretical Framework

Your theoretical framework won’t be defined in the literature, it has a specific purpose that is unique to your research project, which you develop based on its suitability to your research.  You will need to review key theories, and evidence from researchers in your area, around this subject in order to present and justify your own choice of theoretical framework. Your theoretical framework should;

• Identify and justify your theoretical perspective or approach to research.
• Illustrate your understanding of how theory, methodology and methods are connected.
• Justify your choice of methodology and methods.
• Inform readers and future researchers about your choice of research question and the type of results that can be expected from your research.
• Identify the limitations of your research.
• Illustrate how your research is connected to other research that shares your approaches
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• Last Updated: Sep 7, 2023 3:09 PM
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• How it works

Theoretical Framework for Dissertation – What and How

Published by Anastasia Lois at August 13th, 2021 , Revised On August 22, 2023

The theoretical framework is one of the most infamous aspects of a  dissertation , but it provides a strong scientific research base. You are likely to produce a first-class dissertation if the theoretical framework is appropriate and well-thought-out.

But what is a theoretical framework? And how do you develop a theoretical framework for your dissertation?

Content for Theoretical Framework

Your theoretical framework of a dissertation should incorporate existing theories that are relevant to your study. It will also include defining the terms mentioned in the hypothesis ,  research questions , and problem statement . All these concepts should be clearly identified as the first step.

Theoretical Framework Goals

• You will need to identify the ideas and theories used for your chosen subject topic once you have determined the  problem statement and research questions .
• You can frame your study by presenting the theoretical framework, reflecting that you have enough knowledge about your topic, relevant models, and theories.
• The theories you choose to investigate will provide direction to your research, and you can continue to make informed choices at  different stages of the dissertation writing process .
• The theoretical framework bases are the scientific theories that justify your research; therefore, you must use them appropriately for referencing your investigation.

1. Select Key Concepts Sample problem statement and research questions: According to the company X report, many customers do not return after an online purchase. The company director wants to improve customer satisfaction and loyalty to achieve the long-term goal of the company. To investigate this issue, the researcher can base their research around the following problem statement, objective, and research questions: Problem: Many customers do not return after an online purchase. Objective: To improve customer satisfaction and thereby achieve long-term goals. Research question: How can online customers’ loyalty increase by increasing customer satisfaction? Sub-Questions: 1. How can you relate customer satisfaction with customer loyalty? 2. How are the online customers of company X loyal and satisfied at present? 3. What are the factors affecting online customers’ loyalty and satisfaction? The satisfaction and loyalty concepts are critical to this research; therefore, will be determined as part of this study. These are the key terms that will have to be defined in the theoretical framework for the dissertation.

2. Define and Evaluate Relevant Concepts, Theories, and Models

You will be required to review existing relevant literature to determine how other researchers have defined the key terms in the past. The definitions proposed by different scholars can then be compared critically and analytically. The last step is to choose the best concepts and their definitions matching your case.

It is also necessary to identify the relationships between the terms. Whether you are applying or not applying the existing concepts and models in your study, you will need to present your arguments and justify your choices.

3. Adding Value to the Existing Knowledge

In addition to analyzing concepts and theories proposed by other theorists, you might also want to demonstrate how your own research will contribute to the existing knowledge. Here are some questions for you to consider in this regard;

• Are you going to contribute new evidence through  primary research or testing an existing theory?
• Will you understand and interpret data with the help of a theory?
• Do you wish to challenge, critique, or evaluate an existing theory?
• Is there a new exclusive method through which you will combine different theories proposed by other scholars?

Types of Research Questions you can Answer

The descriptive research questions only use the theoretical framework because their answer requires literature research. For instance, ‘how can you relate customer satisfaction with customer loyalty?’ A single theory can answer this question sufficiently.

The sub-question, ‘How the online customers of company X are loyal and satisfied at present?’ cannot be answered theoretically because it requires qualitative and quantitative research data.

Theoretical Framework Structure

There is no fixed pattern to structure the  theoretical framework for the dissertation . However, you can create a logical structure by drawing on your hypothesis/research question and defining important terms.

For instance, write a paragraph containing key terms, hypotheses, or research questions and explain the relevant models and theories.

Also See:  Organizing Academic Research Papers: Theoretical Framework

Length of Theoretical Framework of Dissertation

The length of the theoretical framework is usually three to five pages. You can also include the graphical framework to give your readers a clear insight into your theoretical framework. For instance, below is the graphical figure of an example theoretical framework for classroom management.

Sample Theoretical Framework of a Dissertation

Here is a  theoretical framework example to provide you with a sense of the essential parts of the dissertation.

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Frequently Asked Questions

How do i choose a theoretical framework for my dissertation.

To choose a theoretical framework for your dissertation:

• Define research objectives.
• Identify relevant disciplines.
• Review existing theories.
• Select one aligning with your topic.
• Consider its applicability.
• Justify your choice based on relevance and depth.

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• How It Works

Eureka! When I learnt how to write a theoretical framework

Feb 6, 2019

Have you checked out  the rest of  The PhD Knowledge Base ? It’s home to hundreds more free resources and guides, written especially for PhD students.  

Have you ever had a eureka moment? A moment where something that you’ve misunderstood for ages becomes crystal clear?

I did, about half way through my PhD.

Did I come up with a ground breaking discovery that would revolutionise my field? Did I develop a new theory that would change the way we think about the world?

I finally understood how to write a theoretical framework.

Sound silly? It isn’t. 

During the one-on-one PhD coaching sessions I run, the issue of how to write a theory framework comes up more frequently than any other. The theoretical framework is important, but many people find it difficult. I know I struggled with it. 

Then someone explained the theory framework to me in such a simple way. Here’s the eureka moment: The theoretical framework is like a toolbox.

Simple, right?

Let me explain. In the literature review you highlighted the problem that needs ‘fixing’. The theoretical framework – the ’toolbox’ – details the theories, propositions, hypotheses (if you’re using them) and concepts – the ’tools’ – that you will use to address or make sense of this problem.

So, your job in a theoretical framework chapter is to discuss in detail what the tools look like, how they behave, how they have been used before, how they relate to one another, how they are relevant to your aims and objectives and what the drawbacks are from using them. The methods chapter then discusses how you will use (operationalise) those tools.

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What is a theoretical framework?

In the literature review you highlighted the problem that needs ‘fixing’. The theoretical framework – the ’toolbox’ – details the theories, propositions, hypotheses (if you’re using them) and concepts – the ’tools’ – that you will use to address or make sense of this problem.

The list of potential explanations for why responses differ is enormous.

You could approach this question with a focus on, say, psychology, power, gender, economics, and so on. The best we can typically hope for – and this is particularly true in much of the social sciences – is an interpretation of the truth.

So – and this is important – we use theory to focus our attention on a small sub-set of all potential explanations, on one particular viewpoint.

Now I know I’m getting into messy epistemological and ontological waters here. I am an interpretivist, so I see theory as a ‘lens’ that you apply to make sense of the world. That’s the shape of my toolbox.

But, even if you’re a positivist you still pick and choose theoretical concepts and hypotheses from a range of available options; you just use them in a different way (rather than a lens, they become testable propositions, or measurement tools).

Without a theoretical framework we are left with a potentially endless choice of potential viewpoints, which would make our data collection and analysis and our discussion hugely chaotic.

Master your lit review & theory framework.

Learn what goes where (and why), and how it all fit together with this free, interactive guide to the PhD literature review and theory framework.

In other words, if we don’t know how to focus our attention, how we can present a coherent explanation? 

The theoretical framework is a natural extension of the literature review. The purpose of the literature review, amongst other things, is to highlight gaps and shortcomings with the existing work in your field.

The theoretical framework details   the perspective you will take   to address that gap and shortcoming.

For example, in   my doctoral research,   my literature review focused on government responses to climate change and pointed out that there hadn’t been much discussion on local government.

The theoretical framework then made an informed decision to come at it from a particular theoretical perspective (institutional theory, if you’re interested) and then discussed what that theory looks like, highlighting the key concepts and ideas. 

In your own research you will also need to make an informed decision about the particular theory you will employ to guide you through the rest of the research.

The theoretical framework is a natural extension of the literature review. The purpose of the literature review, amongst other things, is to highlight gaps and shortcomings with the existing work in your field. The theoretical framework details the perspective you will take to address that gap and shortcoming.

So, the   job of the theoretical framework isn’t to repeat the literature review . Instead, think of it as a   separate, mini literature review , this time focusing on the theory you will employ. You don’t have to discuss every particular use and discussion of the theoretical position you employ. If you did, you’d quickly run out of space and time.

Remember, your examiners are likely to already be familiar with the theory, meaning that rather than discuss every possible thing that there is to discuss about it, you instead need to discuss how and why the theory has been adapted and adopted to the context of your research.

How to structure a theoretical framework

• You need to have a solid grasp of your aims and objectives. These define the space in which your research will sit and your goals when conducting it. You will need to briefly recap these when you start writing your theoretical framework, both to remind the reader and so that you can relate your theory to these overarching aims.
• What theory/theories are you using? Here you need to define and explain each theory you draw upon and, in doing so, discuss the leading proponents and applications. This shows that you understand the theory you are going to adopt.
• You then need to spend time critically arguing why you are adopting this particular theory. There are a lot of potential theories you could use. Why this one? Importantly, you should relate your choice to the discussions in the literature review and your aims and objectives.
• Can the theory/theories be broken down into different schools? Which one are you siding with and why?
• A theory contains a number of concepts. Which will you be drawing upon? Why these ones? Have you defined them properly? The way you approach this section will be influenced by your epistemological and ontological perspective and, thus, whether you use hypotheses or not. If you are using hypotheses, you need to state them as such.
• How do the concepts relate to your aims and objectives?
• Have you clearly stated your ontological and epistemological perspective?
• Are you the first to use this particular theory in this particular way? What benefits or drawbacks does that bring?
• Can you spot any drawbacks with applying this theory? Does it fail to account for a particular dimension of a phenomenon? Is it difficult to operationalize?
• How are your concepts related? Are you using them as hypotheses? Or as a model to make sense of the data? Somewhere in between? Be explicit about how they are all related and what you plan on doing with them.

The goal of writing up a theoretical framework is to tell the reader why you have chosen particular theories, how they relate to the gap in the literature, and how they relate to your aims and objectives.

A short (but necessary) note on ontology and epistemology 

How do i choose theories and create my framework.

Unless you are using an inductive methodological approach (where you generate theory from the data), you will likely approach your fieldwork with a theoretical framework in mind. Which theory or theories you choose is, in part, down to your aims and objectives and whether there is a relevant theory available ‘off-the-shelf’ that is appropriate for your needs.

There are generally three strategies that researchers use to develop their theoretical frameworks: 

• There may be theories in your field that have arisen on the basis of repeated observation and testing and which are widely accepted.
• Or, you might find that you need to select concepts from multiple theories and create a novel framework that is unique to your particular context.
• A growing and important trend in social research is to adopt an interdisciplinary perspective when trying to understand the social world. This can be achieved by looking beyond the dominant, well-established theories and thinking about how other theories, particularly those from other disciplines or sub-disciplines, can be used.

In any case, you must consider the following when selecting a theory:  

• Identify your ontological and epistemological beliefs.
• List several theories that align with your epistemological position and which can aid your understanding of the phenomenon under investigation.
• Engage in literature review around those theories, both to familiarise yourself with them but also to understand their relevance to your study.
• Ask yourself how each theory connects to your problem, aims & objectives.
• Select the theory or theories that provide more relevant tools for your thesis. 

I have more than one theory. What do I do?

  Often, you need to combine concepts, hypotheses or ideas from more than one theoretical school. Employing   more than one theory is entirely legitimate.   I did so in my PhD. 

  However, you need to  consider a few key questions : 

Are the theories you are bringing together epistemologically compatible? 

Have you discussed each theory in the same level of detail to adequately explain the theory, your justification for its inclusion, its relation to the literature and its potential drawbacks? 

What benefits does focusing on more than one theory bring? Perhaps one theory has shortcomings that the other addresses? 

What downsides are there to employing more than one theory? 

Has anyone else used this combination of theories before you? 

The theoretical framework is a tricky section to write, largely because the choice available to you is huge.

But   keep that toolbox metaphor in mind. 

  Each theory contains a number of tools. Your job in the theory framework is to take the tools you need for your project from the most relevant theory/theories and package them up into your own toolbox.

When you’re done, you should see that the theory framework offers:

• Structure, by detailing the key concepts, tools and, where relevant, hypotheses
• A way to connect to other research
• A coherent, joined up set of ideas that structure the writing and help to create an argumentative streak that can run throughout your thesis
• An approach that can be reused in additional contexts once you’re done

Along the way, you need to convince the reader that you’ve picked and applied the most appropriate tools possible, given your aims and objectives.

The theoretical framework frames the research. If you build that frame right, your research will shine. If you don’t then you’ll struggle.

If you need expert guidance to structure, plan or write your theory framework you can get in touch for a one-on-one coaching session . It’s like having a personal trainer, but for your PhD. 

Share this:

67 comments.

A great read. Quite some insight into my Phd journey. The conceptual framework?

Glad you found it useful. You having trouble with your conceptual framework?

This is enlightening. I was struggling with my Theoretical framework. I will apply the guidelines here and await feedback from my supervisor. Thanks

I’m glad you found the post useful. Thanks for your kind words.

I came across your posts while helping my wife with her work (I finished my PhD two years ago), and I keep thinking…hmmm the pain I went through to learn this… thank you for making it so easy for others…

Thanks for the kind words. I remember how difficult I found my own PhD, so my motivation is to make life easier for as many other PhD students as possible.

i need some more clear version to develop a theoretical framework. kindly contact me through email. thank you

Great insights. I have read through your thesis. You did a lot of quality work. I see the EM, Environmental Policy Capacity and the institutions theory all discussed. Really detailed and linked. Let me see how mine goes

I’ve sent you an email. I’d be glad to help.

This is very helpful because am really struggling to write my theoretical section. I have a question, I selected a framework but realised it has shortcomings, so I decided to include a model, but also I have another theory. All the three are confusing me how to structure them please I need your help. Thanks

Hi Carolyne,

Thanks for your email. Do you want to have a one-on-one coaching session with me? We’ll be able to get to the bottom of your confusion and clear up your theory problems once and for all. Click here for more details and to book yourself in.

Do you have a structured outline, similar to the overall diss outline, for the theoretical framework?

I sure do. You can find it here: https://www.thephdproofreaders.com/wp-content/uploads/2019/02/Theoretical-Framework-Template_AW_20190208.pdf

What are the advantages of having a chapter on theoretical framework independent of the Literature Review chapter. Please assist.

Thanks for your comment. Whether or not you need a separate literature review and theory framework chapter depends on how distinct they are from one another and on how complex each chapter is. It may be the case that you need two chapters because to discuss both in one would make the chapter very large, complex and hard to follow. Also, it is often the case that the theory framework builds on and addresses gaps you’ve highlighted in your literature review, so for that reason it makes sense to keep them as two separate chapters.

But which one comes first? I thought theoretical framework comes earlier than literature review or is it in a proposal where it is structured that way?

Typically the lit review comes first, then the theory. The lit review makes the case for the research and the theory framework shows the approach you will take to conduct the research.

Thanks for the kind words 🙂

Dear Max, I am using multiple related concepts to frame my research. I am confused whether to dedicate a complete chapter to explain only these five concepts, or just operationalise them in one of the chapters. Again, is introducing these concepts early in my introductory chapter a good idea as it forms one of my research questions. This means I have answered the question in the introductory chapter

Thanks for your comment. Whether or not such concepts end up in your introduction/context discussion will depend in part on whether they are framing your research (as in, providing the background or context) or whether you’re using them to answer your research questions (in which case they’ll form part of your theory framework and will therefore come at a later stage).

Dear Max, I was searching how to structure Theoretical framework and came across your writing. Thank you for this, it is really helpful. I’m one of those phd students who struggles with Theoretical framework :/ I would appreciate your help if possible. Could you please outline, how can I reach you?

Thanks for your kind words. I’m glad you’re finding the phD Knowledge Base useful. You can reach me at max[at]thephdproofreaders.com

Speaks soon!

I’m so confused about my theoretical framework. Could you possibly help please?

Sure. Have you checked out the one-on-one PhD coaching service we offer? It sounds just that’s just what you need.

I couldn’t express how grateful I am. MAY YOU BE SHOWERED WITH BLESSINGS

Thanks! I’m glad you found the advice useful.

wow!!! thank you very much , I have been struggling to write my theoretical framework . thank you.

You’re welcome!

Dr. Max I am expecting to learn more on how to pick the right literatures, related to my theme. all of them seem very nice and informative. I am having hard time to select them. and also I have difficulties in starting the sentence of my Introduction. I am researching on “the impact of Prosperity gospel in Tanzanian mainline churches”. my topic is very popular and many has been said … I feel like I am saying what has been said .

Thanks for your comment. I wish you the best of luck.

Hi Max, Great read. Doing my MA Thesis after years away from academia has been a challenge to say the least. Your article provided clarity that I have been asking for/seeking elsewhere (supervision/consultant) for months. Wish I had of found it earlier but glad I came across it.

Thank you and all the best in these uncertain times.

Great! Glad you’re finding the resources useful. Good luck with the rest of the thesis.

Dear Max, thank you very much, many things got clear after reading this. I have a question, I am using political capability approach as my theoretical foundation which is part of RBW theory. So technically it is not a theory but just an approach, so does this indirectly mean that I am USING RBW Theory? Many Thanks

Hi – glad you found it useful. Without knowing more about your project I’m afraid I can’t advise about your choice of theory framework. Have you approached your supervisor with this question?

This is a very helpful article.

Glad you enjoyed it!

This has been one of the best articles that has clearly outlined the Theoretical framework. Kindly do a Youtibe video for auditory learners with real examples. It will greatly assist me especiall. I am glad I found this article.

Thanks for the kind words and for your feedback. I’ll take it on board for future guides.

Thanks so much for this which has helped me with a sticky bit as I move forward to discover new theoretical concepts from slightly outside my field that fit better than those I started out with. A part-time PhD has such a long life that it leaves too much room for changes and adaptations! A big thank you to Rebecca Baker on a Shut Up and Write Session who referred me to this!

I’m glad you found the guide useful. Thanks to you and to Rebecca Baker!

I found this post very helpful, thanks for sharing

Thanks for reading!

Thank you for this crisp advice on Theoretical framework. personally i have been experiencing difficulties selecting appropriate theory related to the study. However your advice was really beneficial. God bless you for your kindness towards us researchers.

Thanks for the kind words Roshni.

Thank you so much for sharing this information regarding the theoretical framework. I revisited my chapter and strengthened it based on the pointers you outlined here. This is a must read before drafting the chapter. Very helpful ?

Thanks for the kind words. I’m glad you found it useful.

This came just in time! I’m taking a research philosophy course and this week’s discussion is “Theory and Theoretical Frameworks”. I found this very helpful.

Great. I hope it helped deepen your understanding.

Thank you Dr Lempriere for this insightful article. I have just started my PhD journey and I found this article to be very useful and eye-opening.

Interesting and excellent read.

Thank you so very much for sharing your intellectual insights on this.

Hi this is really useful thank you. I have a question regarding one of my tools. I realise (quite late) that I am using one tool in a *generalised* way. I could put this another way – the context in which I found this tool constituted a more particular use of this more general tool, and I am seeking to retrieve it for a more general use. This opens the question – on what grounds am I employing a generalised form of this tool? What constraints govern this process of generalisation? Etc. I wish I’d dealt with this earlier… Do you have any thoughts on how I navigate this?

Hi – I’d love to give you advice, but without knowing more about your research and thesis any advice I would give wouldn’t be qualified. Sorry I can’t be of more help.

I loved your explanation, but what if you ARE doing an inductive project?

I found your article very useful, thank you! I am currently building a Foucauldian theoretical framework through which to discuss a phenomena (“Karens”).

Do you any academic articles which I can use to justify using the interpretavist approach (using theory as a lens)? I cant find anything through my searches.

Hi – sorry, we don’t I’m afraid.

Surely, this is a great lesson offered. How I pray I had your email, I would love to learn more from you. Thank you

Been struggling with my Phd and literature review . This has been very helpful. Is it possible for you to share your email so i can engage more with you and get some insights and help

Really really helpful guide, I am so grateful to you for providing this! It is helping me immensely in developing my own framework, a task which previously seemed scary, confusing and impossible!

Thanks for this. It is very useful. So should I first write my Lit review and then only the theoretical framework? TIA

Thanks! It’s hard to say without knowing more about your project, I’m afraid!

Thank you for the wonderful work. I want to know if theoretical frame work can presented in a diagram form

You’re welcome! Yes, your theory framework can be presented visually. It’s a great way of showing the framework in a clean, simplified way. It also serves as a useful reference guide for people to easily refer back to if they want to remind themselves of what your theory framework looks like.

I found your article highly informative. I recently enrolled for my PhD and my supervisor asked me to submit my Research outline. Does the outline have to have that detailed Theoretical framework. Again how best can I choose the theoretical framework suitable for my topic. If I may have a list of Theoretical frameworks I will be happy. I will also be grateful to have a direct contact with you.

A great insight into how to write a theoretical framework, simple and jargon free, the article makes the purpose and the method of writing the chapter explicit. Thank you.

That’s so kind of you Sethu. I’m glad you found it useful.

i WOULD LIKE TO KNOW WHAT IS THE IDEAL PLACE TO SITUATE THE THEORETICAL FRAMEWORK AND CONCEPTUAL FRAMEWORK WITHIN THE LITERATURE REVIEW? Peter Nemaenzhe

The theory/conceptual framework is often its own chapter between the lit review and methods. Sometimes though you can include it in the literature review, but I would suggest including it towards the end. I.e. do the lit review first, then introduce the theory framework.

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Home » Theoretical Framework – Types, Examples and Writing Guide

Theoretical Framework – Types, Examples and Writing Guide

Table of Contents

Theoretical Framework

Definition:

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

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

Types of Theoretical Framework

Types of Types of Theoretical Framework are as follows:

Conceptual Framework

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

Deductive Framework

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

Inductive Framework

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

Empirical Framework

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

Normative Framework

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

Explanatory Framework

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

Components of Theoretical Framework

The components of a theoretical framework include:

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

How to Write Theoretical Framework

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

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

Theoretical Framework Examples

Here are some examples of theoretical frameworks:

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

When to Have A Theoretical Framework

Following are some situations When to Have A Theoretical Framework:

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

Purpose of Theoretical Framework

The purposes of a theoretical framework include:

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

Characteristics of Theoretical Framework

Some of the characteristics of a theoretical framework include:

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

Advantages of Theoretical Framework

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

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

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Theoretical vs Conceptual Framework

What they are & how they’re different (with examples)

By: Derek Jansen (MBA) | Reviewed By: Eunice Rautenbach (DTech) | March 2023

If you’re new to academic research, sooner or later you’re bound to run into the terms theoretical framework and conceptual framework . These are closely related but distinctly different things (despite some people using them interchangeably) and it’s important to understand what each means. In this post, we’ll unpack both theoretical and conceptual frameworks in plain language along with practical examples , so that you can approach your research with confidence.

Overview: Theoretical vs Conceptual

What is a theoretical framework, example of a theoretical framework, what is a conceptual framework, example of a conceptual framework.

• Theoretical vs conceptual: which one should I use?

A theoretical framework (also sometimes referred to as a foundation of theory) is essentially a set of concepts, definitions, and propositions that together form a structured, comprehensive view of a specific phenomenon.

In other words, a theoretical framework is a collection of existing theories, models and frameworks that provides a foundation of core knowledge – a “lay of the land”, so to speak, from which you can build a research study. For this reason, it’s usually presented fairly early within the literature review section of a dissertation, thesis or research paper .

Let’s look at an example to make the theoretical framework a little more tangible.

If your research aims involve understanding what factors contributed toward people trusting investment brokers, you’d need to first lay down some theory so that it’s crystal clear what exactly you mean by this. For example, you would need to define what you mean by “trust”, as there are many potential definitions of this concept. The same would be true for any other constructs or variables of interest.

You’d also need to identify what existing theories have to say in relation to your research aim. In this case, you could discuss some of the key literature in relation to organisational trust. A quick search on Google Scholar using some well-considered keywords generally provides a good starting point.

Typically, you’ll present your theoretical framework in written form , although sometimes it will make sense to utilise some visuals to show how different theories relate to each other. Your theoretical framework may revolve around just one major theory , or it could comprise a collection of different interrelated theories and models. In some cases, there will be a lot to cover and in some cases, not. Regardless of size, the theoretical framework is a critical ingredient in any study.

Simply put, the theoretical framework is the core foundation of theory that you’ll build your research upon. As we’ve mentioned many times on the blog, good research is developed by standing on the shoulders of giants . It’s extremely unlikely that your research topic will be completely novel and that there’ll be absolutely no existing theory that relates to it. If that’s the case, the most likely explanation is that you just haven’t reviewed enough literature yet! So, make sure that you take the time to review and digest the seminal sources.

Need a helping hand?

A conceptual framework is typically a visual representation (although it can also be written out) of the expected relationships and connections between various concepts, constructs or variables. In other words, a conceptual framework visualises how the researcher views and organises the various concepts and variables within their study. This is typically based on aspects drawn from the theoretical framework, so there is a relationship between the two.

Quite commonly, conceptual frameworks are used to visualise the potential causal relationships and pathways that the researcher expects to find, based on their understanding of both the theoretical literature and the existing empirical research . Therefore, the conceptual framework is often used to develop research questions and hypotheses .

Let’s look at an example of a conceptual framework to make it a little more tangible. You’ll notice that in this specific conceptual framework, the hypotheses are integrated into the visual, helping to connect the rest of the document to the framework.

As you can see, conceptual frameworks often make use of different shapes , lines and arrows to visualise the connections and relationships between different components and/or variables. Ultimately, the conceptual framework provides an opportunity for you to make explicit your understanding of how everything is connected . So, be sure to make use of all the visual aids you can – clean design, well-considered colours and concise text are your friends.

Theoretical framework vs conceptual framework

As you can see, the theoretical framework and the conceptual framework are closely related concepts, but they differ in terms of focus and purpose. The theoretical framework is used to lay down a foundation of theory on which your study will be built, whereas the conceptual framework visualises what you anticipate the relationships between concepts, constructs and variables may be, based on your understanding of the existing literature and the specific context and focus of your research. In other words, they’re different tools for different jobs , but they’re neighbours in the toolbox.

Naturally, the theoretical framework and the conceptual framework are not mutually exclusive . In fact, it’s quite likely that you’ll include both in your dissertation or thesis, especially if your research aims involve investigating relationships between variables. Of course, every research project is different and universities differ in terms of their expectations for dissertations and theses, so it’s always a good idea to have a look at past projects to get a feel for what the norms and expectations are at your specific institution.

Want to learn more about research terminology, methods and techniques? Be sure to check out the rest of the Grad Coach blog . Alternatively, if you’re looking for hands-on help, have a look at our private coaching service , where we hold your hand through the research process, step by step.

Psst... there’s more!

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

19 Comments

Thank you for giving a valuable lesson

good thanks!

VERY INSIGHTFUL

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

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

good, fantastic

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

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

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

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

Simple and clear!

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

Thank you great insight

Superb. Thank you so much.

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

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

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

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

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

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The Ultimate Guide to Qualitative Research - Part 1: The Basics

• Introduction and overview
• What is qualitative research?
• What is qualitative data?
• Examples of qualitative data
• Qualitative vs. quantitative research
• Mixed methods
• Qualitative research preparation
• Introduction
• How do you prepare for qualitative research?

Common theoretical perspectives

Choosing the right perspective, methodological implications, future directions.

• Theoretical framework
• Literature reviews
• Research question
• Conceptual framework
• Conceptual vs. theoretical framework
• Data collection
• Qualitative research methods
• Focus groups
• Observational research
• Case studies
• Ethnographical research
• Ethical considerations
• Confidentiality and privacy
• Power dynamics
• Reflexivity

Theoretical perspective

Prior to any qualitative research design, qualitative researchers can choose a theoretical perspective to apply to their study. Qualitative research needs grounding in a specific epistemology to answer research questions and generate the appropriate research findings. The theoretical perspective guides the creation of theoretical frameworks through which to view the research question, and it can inform the methodology , data collection , analysis , and interpretation of the findings.

Rationale for a theoretical perspective

Let's explore a few reasons why choosing a theoretical perspective is important.

Provides a framework for understanding the phenomenon

A theoretical perspective helps to provide a framework for understanding the phenomenon under investigation. It can help the researcher to identify relevant concepts and variables and to understand how they might be related to each other.

Choosing a theoretical perspective can be vital for psychological qualitative research, for example, as it shapes the way a researcher approaches and comprehends various mental processes and human behaviors under study. A well-chosen theoretical perspective lays the foundation for the research, informing the selection of research questions , methodology , data collection , and data analysis techniques. Furthermore, it situates the study within the larger context of psychological theories and understanding, ensuring that the research contributes meaningfully to the existing body of knowledge. By adopting an appropriate theoretical perspective, such as cognitive, behavioral, or psychodynamic, the researcher can address potential biases and assumptions, thereby enhancing the credibility, validity, and reliability of the findings in the field of psychology.

Shapes research questions

A theoretical perspective can help to shape the research questions , hypotheses , and objectives that the researcher wants to investigate. The questions that are asked will depend on the theoretical perspective and assumptions being made about the phenomenon.

Guides data collection and data analysis

The theoretical perspective can guide the collection and analysis of data by informing the qualitative methods used to collect data, such as interviews , focus groups , or observations . It can also inform the types of data that are collected and the way in which the data are analyzed.

Increases the credibility of the research

Choosing a theoretical perspective can help to increase the credibility of the research by demonstrating that the researcher has thought carefully about the phenomenon being studied and has situated the study within a relevant theoretical framework. This can increase the rigor of the research and make it more likely to be accepted and understood by the academic community.

Overall, choosing a theoretical perspective is important because it helps the researcher to situate the study within a broader context and provides a framework for understanding the phenomenon under investigation.

In qualitative research, theoretical perspectives play a crucial role in guiding the research process and interpreting the findings. This section will provide a brief overview of the major theoretical perspectives in qualitative research, which can be helpful for emerging researchers.

Constructivism

Constructivism is a philosophical and methodological approach that emphasizes the central role of human cognition in constructing knowledge and understanding the world. In qualitative research, constructivism provides a framework for exploring how individuals construct meaning from their experiences, interactions, and the social context in which they live. Constructivism can help researchers adapt to the dynamic nature of human experience and meaning-making.

Interpretivism

Interpretivism is a philosophical and methodological approach that emphasizes the importance of understanding the social world through the subjective experiences and interpretations of individuals. In qualitative research , interpretivism provides a framework for exploring the meanings, beliefs, and values that guide people's actions and decision-making in various social contexts.

Symbolic interactionism

A symbolic interactionist perspective seeks to explain social phenomena and human behavior through the effects that social interaction has on our way of thinking and how we understand the world around us. In this sense, lived experience and subjective perception are key to understanding knowledge and have profound influences on the social structure of groups and cultures.

Critical theory

Critical theory seeks to understand and challenge power structures and social inequalities with the goal of promoting social change. Researchers adopting this perspective aim to expose the underlying causes of social problems and empower marginalized groups. They often focus on issues related to race, gender, class, and other forms of social and economic inequality. Conflict perspective, symbolic violence, and hermeneutical injustice are all central to critical theory as they focus on power inequities and their root causes.

Conflict theory

Conflict theory is a perspective rooted in sociological theory that examines society through the lens of power, inequality, and social conflict. It posits that society is characterized by ongoing struggles for resources and control among different groups. Originating from Karl Marx's work, conflict theory emphasizes the social and economic disparities that lead to tensions and conflicts. In qualitative research, conflict theory provides a framework to understand power dynamics, oppression, and social inequality. It prompts researchers to investigate how conflicts shape social interactions, institutions, and norms. Adopting a conflict theory perspective allows qualitative researchers to illuminate power struggles and social injustices, contributing to efforts for social change.

Critical race theory

While scholars like Foucault developed critical theory to understand and explain social institutions and power in a general sense, critical race theory looks at power inequities primarily within the context of race. Critical race theorists seek to expose and challenge the ways in which racism operates in society and to promote racial justice and equality. Critical race theory has been used to analyze a range of different areas, including education, criminal justice, and housing.

Feminist theory

Feminist theory aims to understand and challenge gender-based power inequalities and promote the social, political, and economic equality of all genders. This perspective emphasizes the need to understand the experiences of women and other marginalized genders, as well as the ways in which gender intersects with other social categories like race and class.

Postmodernism

Postmodernism questions the existence of objective truths and universal narratives, arguing that knowledge is always contextual and contingent. Researchers adopting a postmodern perspective often emphasize the plurality of perspectives, the fragmentation of identities, and the instability of meaning. This approach encourages researchers to critically examine their own assumptions and the power dynamics that influence the research process.

Post-structuralism

Post-structuralism critiques the idea that there are fixed, stable structures that determine meaning and reality. Instead, this perspective emphasizes the complexity, fluidity, and multiple interpretations of social phenomena by challenging theoretical assumptions about the world around us. Researchers adopting a post-structuralist approach often focus on the role of language, discourse, and power in shaping our understanding of the world.

Grounded theory

Grounded theory is an inductive research approach that aims to generate theories grounded in empirical data. Researchers using this perspective collect and analyze data concurrently, allowing the emerging theory to guide the research process. This approach emphasizes the development of conceptual categories and the relationships between them rather than focusing on the testing of pre-existing theories.

These theoretical perspectives are not mutually exclusive and can be combined or adapted to suit the specific research context and goals. By understanding and choosing an appropriate theoretical perspective, researchers can ensure a more coherent and rigorous research process, as well as more meaningful and valid interpretations of their data .

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Selecting an appropriate theoretical perspective is a crucial step in conducting qualitative research, as it shapes the researcher's approach to data collection , analysis , and interpretation . The choice of a theoretical perspective should be informed by the research question , the study's goals, and the researcher's epistemological and ontological assumptions. Here are some key factors to consider when choosing a theoretical perspective for qualitative research:

- Research question and objectives: The research question and objectives should guide the choice of a theoretical perspective. Consider which perspective best aligns with the goals of the study and is most likely to help you address the research question effectively. For example, if your study aims to explore power dynamics and social inequalities, a critical theory or feminist theory perspective may be appropriate.

- Epistemological and ontological assumptions: Your epistemological (how we know what we know) and ontological (the nature of reality) assumptions influence your choice of a theoretical perspective. Reflect on your beliefs about the nature of knowledge and reality, and consider which perspective aligns with these assumptions and the goals of your study. For instance, if you approach knowledge as something that is subjective and contingent, you may lean towards a constructivist, interpretivist, or postmodernist perspective.

- Theoretical and personal interests: Your own theoretical interests and personal experiences may also influence your choice of a theoretical perspective. Consider your background, academic discipline, and areas of expertise, as well as your personal values, experiences, and interests. Choosing a perspective that resonates with your own interests and experiences can help ensure a more engaged and passionate research process.

- Study population and context: The study population and context should also be taken into account when selecting a theoretical perspective. Consider the characteristics of your participants, the setting of the study, and the broader social, cultural, and historical context in which the research takes place. Some perspectives may be more appropriate for specific populations, settings, or contexts, while others may be more applicable across a range of situations.

- Methodological implications: The choice of a theoretical perspective has implications for the research methods and techniques you will employ. Consider which perspective best aligns with the methodological approach you plan to use and is likely to yield the most valuable insights. For example, if you plan to use narrative inquiry or discourse analysis , a postmodernist or post-structuralist perspective may be suitable.

- Flexibility and openness: While it is essential to choose a theoretical perspective that aligns with your research question, goals, and assumptions, it is also important to remain flexible and open to new insights and perspectives that may emerge during the research process. Be prepared to revisit and refine your theoretical perspective as you collect and analyze data , incorporating new ideas and perspectives as appropriate.

By carefully considering all these factors, researchers can select a perspective that will guide and enrich their research process and findings. To understand how these different aspects can be aligned, it is also helpful to pay attention to these when reading other studies published in your area.

As mentioned previously, choosing from the various theoretical perspectives can guide your research inquiry and study design. Let's look more closely at the influences that the right perspective can have on your research methodology.

Theoretical perspectives hold various implications for sampling strategies. Each prioritizes different considerations when selecting participants or cases for study. Researchers should align their sampling strategy with the chosen theoretical perspective to ensure that the selected participants or cases are relevant to the research focus and theoretical framework . For instance, a critical theory perspective may prioritize purposeful sampling to include marginalized or underrepresented voices, while a phenomenological perspective may prioritize maximum variation sampling to capture diverse experiences.

Data collection methods

The theoretical perspective adopted influences the selection of data collection methods in qualitative research. Different perspectives emphasize different types of data and data collection techniques. Researchers need to consider how their chosen theoretical perspective guides the selection and application of appropriate data collection methods to effectively address their research questions . For example, an ethnographic perspective may prioritize participant observation , interviews , and field notes to capture rich contextual data, while a feminist perspective may emphasize the use of narratives and life histories to explore power dynamics .

Data analysis techniques

Data analysis is also impacted by the chosen theoretical perspective. For example, theoretical perspectives inform the selection of analytical frameworks, coding schemes , and interpretation strategies. Researchers should align their data analysis techniques with the theoretical perspective to ensure that the analysis captures the nuances and insights relevant to the research questions. For instance, a poststructuralist perspective may employ discourse analysis to deconstruct power relations and discursive formations, while a grounded theory perspective may employ constant comparative analysis to develop theoretical categories.

Interpretation and findings

Theoretical perspectives shape the interpretation of findings and the construction of knowledge in qualitative research. Researchers must consider how their chosen theoretical perspective guides the interpretation of findings and contributes to the generation of meaningful and contextually situated knowledge. Each perspective offers different lenses through which researchers interpret their data and generate insights. For example, a postcolonial perspective may draw attention to the colonial legacies and power imbalances embedded in the research findings. In contrast, a phenomenological perspective may focus on the lived experiences and subjective meanings.

It is crucial for researchers to recognize that methodological implications are not rigid prescriptions but flexible guidelines. Researchers should adapt and refine their methodological choices based on the specific research context, research questions, and theoretical perspective, considering the strengths and limitations of each approach.

Emerging trends and advancements in theoretical perspectives offer exciting opportunities for researchers to innovate and expand the boundaries of qualitative research . These future directions push the boundaries of traditional theoretical perspectives, exploring new avenues of inquiry and addressing contemporary challenges. This section presents ideas for potential innovations in theoretical perspectives, highlighting areas where qualitative researchers can make significant contributions.

Intersectionality and complex systems thinking

Incorporating intersectionality and complex systems thinking into theoretical perspectives can enhance the understanding of multifaceted social phenomena. Intersectionality recognizes the interconnections between various social categories such as race, gender, class, and sexuality, acknowledging the unique experiences and oppressions that result from their overlapping effects. Complex systems thinking explores the dynamic relationships and feedback loops that shape social systems. By integrating these perspectives, researchers can develop a more nuanced understanding of the complexities and interdependencies within social phenomena.

Global and transnational perspectives

With increasing globalization, researchers can explore theoretical perspectives that transcend national boundaries. Global and transnational perspectives emphasize the interconnectedness of societies, cultures, and institutions across the globe. These perspectives can shed light on global social issues, transnational identities, and the effects of global processes on local contexts. Researchers can adopt theoretical lenses that capture the complexities of global interdependencies, migration, diaspora, and cross-cultural encounters, facilitating a more comprehensive understanding of contemporary social dynamics.

Digital and technological transformations

Advancements in digital technologies have transformed social interactions, communication, and access to information. Researchers can explore theoretical perspectives that incorporate digital and technological dimensions. This includes studying the impact of digital platforms, social media , virtual communities, and artificial intelligence on social structures, power dynamics, identity formation, and social movements. By integrating digital and technological aspects into theoretical frameworks, researchers can better understand the evolving nature of social life in the digital age.

Environmental and ecological perspectives

Given the pressing environmental challenges, researchers can adopt theoretical perspectives that place emphasis on the environment and ecological systems. Environmental and ecological perspectives consider the intricate relationships between humans, their environments, and the natural world. By integrating these perspectives, researchers can explore the sociocultural dimensions of environmental issues, climate change, sustainability, and the interactions between human societies and the natural environment. These perspectives encourage a holistic understanding of social and ecological systems, paving the way for innovative research that addresses urgent environmental concerns.

Critical data studies and ethical implications

As data collection and analysis become increasingly prevalent in society, researchers can engage with critical data studies to examine the societal and ethical implications of data practices. Critical data studies explore issues such as data surveillance, privacy , algorithmic bias, and the power dynamics embedded in data-driven decision-making. By integrating critical perspectives into theoretical frameworks, researchers can investigate how data practices shape social structures, inequalities, and the lived experiences of individuals and communities. This approach encourages reflexivity and ethical considerations in the collection, analysis, and dissemination of data.

Participatory and community-based approaches

To foster more inclusive and empowering research processes, researchers can embrace participatory and community-based approaches within theoretical perspectives. These approaches involve engaging participants and communities as active collaborators, valuing their lived experiences and knowledge. By integrating participatory and community-based practices, researchers can address power imbalances, amplify marginalized voices, and co-create knowledge that is meaningful and relevant to the communities under study. This empowers participants as agents of change and ensures research findings contribute to tangible positive outcomes.

While this discussion may seem to go far afield, embracing future directions in theoretical perspectives offers opportunities for qualitative researchers to innovate and contribute to advancing the field. By incorporating approaches such as intersectionality, complex systems thinking, global perspectives, digital transformations, environmental considerations, critical data studies, or participatory research, researchers can explore new dimensions of social phenomena, address contemporary challenges, and engage in socially relevant research.

These innovations allow for a more comprehensive understanding of complex social dynamics, foster ethical and inclusive research practices, and generate knowledge that can contribute to positive societal change. As the research landscape continues to evolve, qualitative researchers can seize these future directions to push the boundaries of theoretical perspectives, deepen our understanding of the social world, and ultimately make meaningful contributions to academic scholarship and societal well-being.

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Example Theoretical Framework of a Dissertation or Thesis

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

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

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

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Table of contents

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

Your theoretical framework is based on:

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

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

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

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

Some sub-questions could include:

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

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

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

Customer satisfaction

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

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

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

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

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

Thomassen’s Customer Satisfaction Model

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

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

Figure 1 Customer satisfaction creation 

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

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

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

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

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What is a theoretical framework | a step-by-step guide, dissertation & thesis outline | example & free templates, what is a research methodology | steps & tips.

Organizing Academic Research Papers: Theoretical Framework

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

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

Importance of Theory

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

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

The theoretical framework strengthens the study in the following ways .

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

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

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

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

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

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

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

II.  Purpose

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

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

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

Structure and Writing Style

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

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

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

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

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

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

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

Writing Tip

Borrowing Theoretical Constructs from Elsewhere

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

Another Writing Tip

Don't Undertheorize!

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

Still Another Writing Tip

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

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

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

The key distinctions are:

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

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

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Choosing a theoretical framework: popular theories for dissertation research.

One of the most important steps in topic development  for your dissertation is picking out a theory or theories that will help to create the theoretical framework for your study. Because this is such a crucial and yet tricky task, our quantitative and qualitative research methods experts often help with this step when collaborating with our dissertation consulting clients on developing their research topics. Maybe you’re reading this and thinking, “What exactly IS a theoretical framework, anyway?” If so, you might check out this previous blog post on this topic, as it addresses this foundational question in more depth.

Whether you are using your framework to develop a qualitative research interview protocol  or to frame a study using statistical analysis of pertinent variables, the theoretical lens for your dissertation needs to be chosen carefully. This is because it has to provide a suitable explanatory structure, connecting the problem , purpose, research questions, and data collection instruments. Making a poor choice of theory for this purpose can result in having to do major rewrites to your proposal down the road (shudder!), so it’s best to choose mindfully. Keep in mind that we can definitely help with this crucial early decision in your dissertation or thesis writing process.

To help you start thinking over this decision for your dissertation, this article will provide a handful of possibilities for your theoretical framework. We compiled this list of popular theories based on our dissertation assistance clients’ choices, although this is by no means an exhaustive list. But, this should at least get you started thinking about some possibilities.

Self-Determination Theory

Deci and Ryan’s (2000) self-determination theory is a very common choice for the theoretical framework among our dissertation assistance  clients. Central to self-determination theory is the proposition that our motivation stems from satisfaction of three basic psychological needs: competence, autonomy, and relatedness (Deci & Ryan, 2008). Competence refers to our sense that we are capable of accomplishing specific tasks, and autonomy is the feeling that we have control and choice. Our sense of relatedness refers to the perception that we have meaningful social relationships.

Many of our dissertation consulting clients are interested in examining intrinsic versus extrinsic motivation, which develop in relation to different experiences of need satisfaction. When we feel intrinsic motivation, we have a sense of pleasure, interest in, and enjoyment of the activity. The experience of greater needs satisfaction related to certain environments or activities helps to develop intrinsic motivation (Deci & Ryan, 2000, 2008). On the other hand, extrinsic motivation comes about when we receive outside incentives to engage in certain actions.

Because self-determination theory deals with basic psychological needs, we find when working with our dissertation consulting clients that it is widely applicable across many different topics in the social sciences. Self-determination theory can help to explain different forms of motivation, which makes it useful in dissertations that focus centrally on how motivation is shaped in arenas such as school or the workplace. Furthermore, the experience of self-determination has been associated with a variety of physical and psychological health outcomes, which makes it a great choice for examinations of conditions that influence health. Our dissertation assistance clients have used self-determination theory to frame studies on diverse topics ranging from a statistical analysis  of predictors of motivation among call center workers to a qualitative research exploration of conditions perceived to influence psychological well being in congregate care facilities.

Social Cognitive Theory

Another very popular theory among our dissertation assistance clients is Bandura’s (1977) social cognitive theory. The theory can help with explaining how behaviors develop, and one of the key tenets of social cognitive theory is that we learn behaviors through our observations of other people. This is not to say that we imitate every single behavior we observe indiscriminately, though. We are more or less likely to replicate behavior we observe based on whom we see doing it—or in other words, who the “model” is. 

Our dissertation consulting clients who are interested in how powerful people exert influence often love this theory, as Bandura (1977) posited that we are much more likely to imitate behavior when we observe others who are perceived as having elevated power or status modeling the behavior. This is especially so in the case of vicarious reinforcement, which is when the model is rewarded in some way for the behavior. If we see that certain behaviors elicit negative outcomes, however, we might avoid those behaviors due to the expectation that we would also be penalized for them. Our observations of others’ experiences, along with the results of our own behavior, also influence self-efficacy, which is a person’s sense of capability to handle challenges effectively.

Social cognitive theory is a really useful framework when you’re interested in examining how people develop behavioral patterns or ways of thinking about their own competence. Our dissertation consulting clients have used social cognitive theory to frame qualitative analysis  of influences on aggressive behavior in youths, statistical analysis of the predictors of self-efficacy in novice teachers, and qualitative research exploring the influence of social relationships on health behaviors.

Ecological Systems Theory

Bronfenbrenner’s (1977) ecological systems theory is another very popular theory among our dissertation consulting clients. According to the theory, a variety of influences help to shape children’s growth and development over time. As children interact with their environments, they are exposed to a variety of influences that Bronfenbrenner conceptualized as nested spheres that radiate outward from proximal to distal. For example, the most immediate and influential social circle (i.e., family) is referred to as the microsystem. The mesosystem is a bit more removed from the child’s immediate network and may include influences such as friends and teachers. Beyond the mesosystem is the exosystem, which includes influences such as the media, government systems, and extended family. The macrosystem is even more distal and includes influences such as cultural narratives and societal ideals. 

Ecological systems theory is a favorite among our dissertation assistance clients who are studying education or human development, as it applies to so many important aspects of growth and development for children and youths. It lends itself well to qualitative research explorations of student, parent, or educator perceptions on child development as well as to statistical analysis  of the impact of variables (e.g., parent involvement, teacher efficacy) that can be located in one or another of the levels of influence in Bronfenbrenner’s model.

Tinto’s Theory of Student Persistence

Tinto’s theory of student persistence and retention is very much appreciated by our dissertation consulting clients studying higher education. In this theory, Tinto (1993) proposed that students have a collection of personal characteristics that exert influence over their commitment to their higher education institutions. Some of these factors reside at the individual level, such as gender, race, and age. Background factors like socioeconomic level and previous achievement in academics can also come into play. 

Beyond these factors, Tinto (1993) posited that the degree to which the student feels a sense of social and academic integration can affect their sense of commitment to the college or university. This means that feeling a greater sense of social and academic integration can help to support academic persistence, thus resulting in higher retention rates (Tinto, 1993). Among our dissertation assistance clients conducting research in higher education leadership, Tinto’s theory is a top choice. Validated survey instruments derived from this theory make it a useful choice for quantitative studies involving statistical analysis of factors related to persistence and retention. And, it makes a great lens through which to explore student perspectives on their experiences of integration and persistence using a qualitative research and analysis  approach.

Adult Learning Theory

Another favorite of our dissertation assistance clients in higher education is adult learning theory. In his theory, Knowles (1973) proposed that adults learn differently from children, which means that educators can help to enhance adults’ learning if they take their specific needs into account. There are six key dimensions to adult learning (Knowles, 1973): 

• Self-concept: Adults are self-directed and independent, and so they will learn best when learning conditions allow them autonomy.
• Experience: Adults have plenty of life experience, and tying new concepts or facts in with their own experiences enhances their learning.
• Readiness to learn: Adults experience a greater readiness or motivation to learn new information when they see a true need for learning the information.
• Orientation to learning: Using a task- or problem-focused approach optimizes learning of new information by adults.
• Internal motivation: Adults are driven by intrinsic rather than extrinsic motivators when learning new information.
• Need to know: It helps adults to learn when new information is clearly relevant to or applicable in their lives.

One of the great things about this theory is its broad application—it applies to adult learning across many contexts. This makes it a popular theory among our dissertation consulting clients conducting research in a variety of fields. For example, the theory might frame a qualitative research  exploration of adult learning in traditional university settings while also serving quite well as the guiding framework in a statistical analysis of factors associated with learning a new enterprise resource planning system in the workplace.

Transformative Learning Theory

Another theory of adult learning is Mezirow’s (2009) transformative learning theory. This theory is popular among our dissertation assistance clients who are examining processes of learning that significantly change an adult’s foundational beliefs and assumptions. Mezirow (2009) posited that certain types of learning experiences help induce important shifts to an adult’s basic beliefs systems. Transformative learning, then, describes the processes that change the ways that an adult thinks about and interacts with the world around them. Specifically, discussion with others and self-reflection are key processes that can transform an adult’s values, beliefs, and behavior in significant ways. 

Transformative learning may happen spontaneously or as the result of formal education or training (Taylor, 2007). This makes the theory applicable when investigating such learning as the result of classroom or workplace instruction, but it also can help to frame inquiry into transformation as the result of personal experiences or everyday events. For example, our dissertation assistance clients have used the theory as lens for qualitative analysis of trauma as transformative of individuals’ spiritual beliefs, and they have also used it to frame statistical analysis  in quasi-experimental investigations of educational interventions aimed at developing cultural sensitivity in adult learners.

Transformational Leadership Theory

Among our dissertation consulting clients who wish to take a statistical analysis approach to the study of leadership, one of the most widely used leadership theories for frameworks is transformational leadership theory. The roots of this theory lie in the work of Burns (1978), who conceptualized transforming leadership as an approach that inspired employee performance through appeals to their values and morality. Bass (1985) elaborated upon Burns’ theory through development of dimensions that reflect underlying psychological processes at work within the relationships between transformational leaders and employees. These four dimensions of transformational leadership are (a) intellectual stimulation, (b) charisma or idealized influence, (c) inspirational motivation, and (d) individualized consideration (Avolio et al., 1999; Bass, 1991). 

The associated Multifactor Leadership Questionnaire (MLQ) is a frequently used tool in the statistical analysis of workplace predictors or outcomes that are associated with transformational leadership. The MLQ is definitely a favorite among our dissertation assistance clients studying in fields such as business management and industrial/organizational psychology. However, the dimensions of transformational leadership often create intriguing lenses through which to explore workplace phenomena through a qualitative research perspective. An example is a qualitative analysis of employees’ perspectives on individualized consideration and its influence on their experiences of stress and coping on the job.

Job Demands-Resources Model

The job demands-resources model (JD-R) is a popular choice of framework for our dissertation assistance clients who are conducting quantitative or qualitative research  on the workplace. According to this model, the overall balance between job demands and job resources has an effect on employees’ stress levels (Bakker & Demerouti, 2007). Job demands can be psychological or physical aspects of jobs that elevate a worker’s stress. These might include such factors as physical demands, emotional demands, work pressure, workload, role conflict, and role ambiguity.

On the other hand, job resources can function to relieve or lessen stress for workers. These resources can be physical, social, or organizational dimensions of a job that help to ease stress deriving from job demands (Bakker & Demerouti, 2007). Job resources can take many forms, such as workplace practices that support employees to perform their job tasks effectively, supportive relationships in the workplace, conditions that increase an employee’s sense of autonomy, and a strong organizational climate.

The availability of validated survey instruments for the JD-R model make it a great choice to frame statistical analysis of variables that are related to job demands and resources. For example, job demands and resources may derive from organizational features such as justice or culture, or they may be predictive of outcomes such as employee performance and well being. Exploring perceptions related to demands and resources on the job via qualitative research methods can also reveal important insights, and our dissertation consulting clients in fields like industrial/organizational psychology have used this model to frame such inquiry.

Diffusion of Innovations Theory 

Diffusion of innovations is a theory that was developed by Rogers (2003), and it continues to occupy a very useful role as a theoretical framework for our dissertation consulting clients in fields from information technology to business management and leadership. This theory can help to frame studies that focus on how different types of innovations are embraced. A core underlying assumption of the theory is that information related to new innovations diffuses throughout communication channels in a social system over the course of time. Although we often think of technologies when we think of innovations, an innovation can really be any practice or idea that is viewed as novel or new by people and that induces a sense of uncertainty. This might include technologies, but it might also include things like new practices or policies within formal or informal organizations. 

According to Rogers (2003), there are five factors that influence the rate of adoption of a new innovation: relative advantage, compatibility, complexity, trialability, and observability. According to the theory, these five factors generally influence how quickly a new innovation is accepted and adopted. Additionally, though, different people tend to respond to innovations with varying degrees of acceptance, and their communication amongst one another may also influence how quickly any given group adopts a new innovation. 

Rogers (2003) proposed distinct categories related to openness to innovations. Innovators are the most willing to adopt new innovations, followed by early adopters and then early majority. Those who are more reluctant generally to accept new innovations fall into the late majority and laggard categories. These are people who need a lot of help to accept new innovations, and they tend to do so only after the people surrounding them have successfully adopted the innovation.

Our dissertation assistance clients from a range of fields have applied this theory as their framework, as the nature of “innovation” is quite broad. For example, this theory made a great framework for a qualitative analysis of teachers’ perceptions of and reactions to the introduction of a new data-based decision making process. It applied equally well in a quantitative study that used statistical analysis to determine the factors that most strongly impacted customers’ behavioral reactions to online versus in-person car sales.

Finally, a big favorite among our dissertation assistance clients who are conducting research on technology adoption is the unified theory of acceptance and use of technology (UTAUT). It was formulated by Venkatesh et al. (2003) using eight different models that addressed technology acceptance and adoption in different ways. The updated version of the theory, UTAUT2, still includes the dimensions from the first version of the theory (i.e., performance expectancy, effort expectancy, social influence, and facilitating conditions), which are proposed as predictors of an individual’s behavioral intention and actual use of technology. To tailor UTAUT2 to the consumer population, the authors added dimensions of price value, hedonic motivation, and experience or habit (Venkatesh et al., 2012). 

There are seven dimensions of UTAUT2 that correspond with expectations and perceptions related to the use of a specific technology (Venkatesh et al., 2012). These are:

• performance expectancy, which refers to perceived benefits of technology use;
• effort expectancy, which refers to expected ease or difficulty of technology use; 
• social influence, which refers to a person’s sense of how other people feel about their use of technology, especially valued others like friends or family; 
• facilitating conditions, which are resources a person views as available to support them in their use of the technology; 
• hedonic motivation, which refers to the sense of joy or pleasure a person derives from using technology;
• experience/habit, which refers to the degree to which a person has already used technology; and
• price value, which refers to the value a person expects to derive from use of the technology. 

According to the UTAUT2 model, each of these dimensions exerts influence on a person’s behavioral intentions to use technology, which then influences the person’s actual use of the technology (Venkatesh et al., 2012). 

Our dissertation consulting clients have made great use of the UTAUT2 survey to guide statistical analysis of technology acceptance and use variables across technologies that range from learning management systems to smart devices. Shaping qualitative research data collection  around the various dimensions of UTAUT2 can also yield rich insights into the thinking and reasoning behind technology resistance or acceptance. A great example of this is a qualitative analysis that explored perceptions of social influence with regard to ride sharing services.

Because your guiding theory ties your whole study together within an explanatory framework, it is important to choose wisely as you develop this vital piece of your research topic. If you are choosing a quantitative method for your dissertation, many theories have associated survey instruments that can help to ensure that your data collection and statistical analysis align well with your framework. For qualitative research , it is important to develop data collection instruments (e.g., interview protocols) that align with key dimensions of the theoretical framework. If you would like help with these essential steps for creating alignment, our dissertation coaches  are happy to provide guidance during your topic development process. There are so many theories to choose from—this article provided just a glimpse of your possibilities—and we’re here to help if you need us!

Avolio, B. J., Bass, B. M., & Jung, D. I. (1999). Re-examining the components of transformational and transactional leadership using the Multifactor Leadership. Journal of Occupational and Organizational Psychology , 72 (4), 441-462. https://doi.org/10/1348/096317999166789

Bakker, A., & Demerouti, E. (2007). The job demands-resources model: State of the art. Journal of Managerial Psychology, 22 (3), 309-328. https://doi.org/10.1108/02683940710733115

Bandura, A. (1977). Social learning theory . Prentice Hall.

Bass, B. M. (1985). Leadership and performance beyond expectations . Free Press.

Bass, B. M. (1991). From transactional to transformational leadership: Learning to share the vision. Organizational Dynamics , 18 (3), 19-31. https://doi.org/10.1016/0090-2616(90)90061-S

Bronfenbrenner, U. (1977). Toward an experimental ecology of human development. American Psychologist, 32 (7), 513-531. https://doi.org/10.1037/0003-066X.32.7.513

Burns, J. M. (1978). Leadership . Harper and Row.

Deci, E. L., & Ryan, R. M. (2000). The “what” and “why” of goal pursuits: Human needs and the self-determination of behavior. Psychological Inquiry , 11 (4), 227-268. https://doi.org/10.1207/S15327965PLI1104_01

Deci, E. L., & Ryan, R. M. (2008). Self-determination theory: A macrotheory of human motivation, development, and health. Canadian Psychology , 49 (3), 182-185. https://doi.org/10.1037/a0012801

Knowles, M. (1973). The adult learner: A neglected species . Gulf Publishing Company. 

Mezirow, J. (2009). An overview of transformative learning. In K. Illeris (Ed.), Contemporary theories of learning: Learning theorists…in their own words (pp. 90-105). Routledge.

Rogers, E. M. (2003). Diffusion of innovations (5 th ed.). Free Press.

Taylor, E. W. (2007). An update of transformative learning theory: A critical review of the empirical research (1999–2005). International Journal of Lifelong Education , 26 (2), 173-191. https://doi.org/10.1080/02601370701219475

Tinto, V. (1993). Leaving college: Rethinking the causes and cures of student attrition (2 nd ed.). University of Chicago Press.

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Venkatesh, V., Thong, J. Y., & Xu, X. (2012). Consumer acceptance and use of information technology: Extending the unified theory of acceptance and use of technology. MIS Quarterly , 36 (1), 157-178. https://doi.org/10.2307/41410412

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• Library website

Theories and Frameworks: Discover Theories

Where to start.

There are many ways to find theories that are relevant to your coursework and research.

To look for a theory for a discussion post or assignment, these strategies are a good place to start.

• Try searching encyclopedias and books for the concept or subject area you're interested .  Review the entries and look for a section on theories.
• Another strategy is to search scholarly articles on your topic to see what theories are being used in the literature.

Dissertation and Doctoral Studies

Finding a theory for a capstone is a more involved process because the theory must align with your specific research problem. You may find it necessary to use most or all of the search strategies and tools in this guide. 

• A good place to start is by searching your topic in completed dissertations since theory and its alignment with the research problem is often discussed in more depth than in a published research article.
• Encyclopedias, books, and scholarly articles are also useful sources.

Encyclopedias & books

Encyclopedias and handbooks.

Scholarly encyclopedias and handbooks are great places to find information on theories. The Library has two encyclopedia databases: Sage Knowledge and Gale eBooks. 

Try the following search strategies when searching encyclopedias and handbooks. Review the book's table of contents or index for sections on theory.

• Search for the subject area you're interested in such as  education
• Search for the specific concept you're interested in such as  mentoring
• Experiment with different search terms such as  mentoring  or  employee mentoring  or  mentoring theory

The Library also has scholarly books that are available in full text and are another great resource. Search your topic as you would for scholarly articles (one idea/concept per search box). Use the "Advanced search" link and enter your topic in the first search box; in the second search box, experiment with adding  theory OR theories.  

• SAGE Knowledge This database contains encyclopedias and handbooks in over 20 different subject areas.
• Gale eBooks The collection has encyclopedias and specialized reference resources.
• Walden Library Books Find books available in the Walden Library.

Scholarly articles

Searching your topic in the scholarly literature will give you an idea of what theories have been used in the research related to your topic. Take notes on the theories being used so you can investigate them later in more depth. 

Use the Library databases to research theories related to your topic. EXAMPLE: Search articles on mentoring new teachers.  

• Use the drop-down menu to choose the subject related to your topic. EXAMPLE: Education  
• Click on the databases drop-down menu to choose a database related to your search. EXAMPLE: in the Education Databases drop-down menu, choose  Education Source . You may need to log in with your Walden email and password.

• Review the results and browse the subject terms under each article in the results list as well as the article's abstract to identify articles of interest. Browse those articles for potential theories by scanning the introduction, literature review, and sections titled theoretical or conceptual framework.

Dissertations

Similar to searching scholarly articles, searching completed dissertations and doctoral studies related to your topic can help you locate theories that may align with your own research. You can also review their references to see what theories are being used in those articles. Search your topic as you would for scholarly articles (one idea/concept per search box).

• Dissertations & Theses @ Walden University The database contains full text of dissertations and theses written by Walden students.
• ProQuest Dissertations & Theses Global The Dissertations and Theses database gives you full text access to over 3 million dissertations and theses from schools and universities around the world, including Walden dissertations. You can choose to search either all the dissertations and theses, or just those created at Walden.

Search dissertations or doctoral studies by degree:

• Quick Answer: How do I find Walden Ph.D. dissertations?
• Quick Answer: What degree codes are used to find completed Walden capstones or dissertations?

Google Scholar

Google Scholar is another option for exploring theories since it searches broadly across publisher's websites, repositories, and other libraries. Remember, you cannot limit to peer review or full text. By using the Walden Library's pre-configured Google Scholar search, you can quickly see which articles are available in the Walden Library.

For example, a theory search in Google Scholar for mentoring first year teachers might look like this: 

• Click  the  Search  button.
• Review the results list for relevant articles. Search terms will be bolded. Articles available online or in the Walden Library will have a link next to the article. Learn about accessing full text articles through the Find @ Walden button.

Learn more about searching Google Scholar

• Google Scholar Library Guide
• Previous Page: Introduction
• Next Page: Learn About a Theory
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Examining Lowenfeld's Theories and His Contributions to the Field of Art Therapy

Embargo lift date, committee chair, committee members, degree year, journal title, journal issn, volume title.

Viktor Lowenfeld developed six distinct stages of development in his book Creative and Mental Growth. Currently there is limited information on the formation of these stages and the connection to their use in art therapy. The intent of this thesis was to synthesize information on the formation and methodology of Lowenfeld’s developmental artistic stages in order to understand Lowenfeld’s contributions to the field of art therapy. A systematic literature review was conducted to gather current and archival resources related to Viktor Lowenfeld, his methods of research, his theory on artistic development, and his relevance to the field of art therapy. Research was collected from Indiana University Purdue University library resources and Pennsylvania State University Archives. Findings showed that Lowenfeld developed his theory based on other theorists of his era. Each theorist contributed to either his stage theory design or general concepts of certain stages. According to record, Lowenfeld developed his theories in the 1940’s, and these were based off his work with children in Austria and the United States. There is no available information on the demographics or the method Lowenfeld used to collect information about the children he worked with. There have been augmentations since Lowenfeld’s death in an attempt to keep information in later editions relevant. Lowenfeld’s work has been historically called upon in the profession of art therapy. As the field of art therapy continues to evolve, there is a need for evidence based theories to substantiate what has been relied upon in the past. Levick’s stages of artistic development are evidence based however more information needs to be gathered. Future recommendations are for art therapists to conduct systematic research on children’s artwork and create a normative base of children’s artwork based on current demographics and societal changes.

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Alternative Title

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Matroid Theory and A Proof of Mason’s Ultra-Log-Concavity Conjecture Using Combinatorial Atlas

This paper focuses on matroids, structures that generalize the idea and properties of vec- tor independence to different types of sets. It begins with a comprehensive introduction to matroids, providing various definitions of matroids and explaining their interrelation- ships.

The main theorem addressed in this paper is Mason’s strongest conjecture, also known as the Ultra-log Concavity property, which pertains to the number of independent sets of a particular size for a given matroid. This property was originally proved by Adiprasito, Huh, and Katz in using sophisticated Hodge theoretic techniques from algebraic geometry. Here we present a recent simpler and purely combinatorial argument of Chan and Pak. The arguments in their paper are quite general, more than what is strictly needed for applications to matroids, so we have attempted streamline it here for the sake of clarity.

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