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• What Is a Conceptual Framework? | Tips & Examples

What Is a Conceptual Framework? | Tips & Examples

Published on August 2, 2022 by Bas Swaen and Tegan George. Revised on September 5, 2024.

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

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

Table of contents

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

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

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

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

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

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

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

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

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

We demonstrate this using basic design components of boxes and arrows. Here, each variable appears in a box. To indicate a causal relationship, each arrow should start from the independent variable (the cause) and point to the dependent variable (the effect).

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

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

Moderating variables

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

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

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

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

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

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

Mediating variables

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

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

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

Moderator vs. mediator

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

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

Control variables

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

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

A confounding variable is closely related to both the independent and dependent variables in a study. An independent variable represents the supposed cause , while the dependent variable is the supposed effect . A confounding variable is a third variable that influences both the independent and dependent variables.

Failing to account for confounding variables can cause you to wrongly estimate the relationship between your independent and dependent variables.

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

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

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

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

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

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

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

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

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Home » Conceptual Framework – Types, Methodology and Examples

Conceptual Framework – Types, Methodology and Examples

Table of Contents

Conceptual Framework

Definition:

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

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

Conceptual Framework in Research

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

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

Types of Conceptual Framework

Types of Conceptual Framework are as follows:

Theoretical Framework

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

Conceptual Model

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

Empirical Framework

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

Descriptive Framework

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

Analytical Framework

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

Conceptual Framework for Policy Analysis

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

Logical Frameworks

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

Conceptual Frameworks for Program Evaluation

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

Conceptual Frameworks for Organizational Analysis

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

Conceptual Frameworks for Strategic Planning

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

Components of Conceptual Framework

The components of a conceptual framework typically include:

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

Conceptual Framework Methodology

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

Here are the steps involved in the conceptual framework methodology:

Identify the Research Problem

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

Conduct a Literature Review

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

Define key Concepts and Variables

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

Develop a Theoretical Framework

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

Test the Framework

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

Examples of Conceptual Framework

Some realtime Examples of Conceptual Framework are as follows:

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

Applications of Conceptual Framework

Some of the applications of Conceptual Frameworks are as follows:

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

Purpose of Conceptual Framework

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

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

When to use Conceptual Framework

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

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

Characteristics of Conceptual Framework

key characteristics of a conceptual framework are:

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

Advantages of Conceptual Framework

Advantages of the Conceptual Framework are as follows:

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

Limitations of Conceptual Framework

Limitations of Conceptual Framework are as follows:

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

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• The importance of a conceptual framework

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

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

Clarify research goals and objectives

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

Provide a theoretical basis for the study

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

Guide the research design

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

Here are some examples:

Confounding variables they hadn’t previously considered

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

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

• Steps to develop a conceptual framework

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

Step 1: Choose the research question

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

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

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

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

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

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

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

Step 2: Select the independent and dependent variables

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

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

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

Natural sciences

Independent variable: exposure to ultraviolet radiation

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

Health sciences

Independent variable: cognitive-behavioral therapy

Dependent variable: depression in adolescents

Independent variables: factors contributing to the business’s success

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

Independent variable: implementation of technology in the classroom

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

Step 3: Visualize the cause-and-effect relationship

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

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

The diagrams for our examples might be used as follows:

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

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

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

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

Step 4: Identify other influencing variables

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

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

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

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

Control variable: nutrient levels in the water

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

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

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

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

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

Control variable: industry competition

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

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

Control variable: student learning style

• Conceptual versus theoretical frameworks

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

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

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

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What is a Conceptual Framework?

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

Updated on August 28, 2023

What are frameworks in research?

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

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

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

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

Definition of a conceptual framework

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

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

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

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

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

What should be included in a conceptual framework?

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

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

Fig. 1: Components of a conceptual framework

How to make a conceptual framework

The successful design of a conceptual framework includes:

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

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

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

Example of a conceptual framework

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

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

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

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

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

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

Fig. 2: Concise example of a conceptual framework

Important takeaways

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

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

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

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

Final thoughts

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

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

Vridhi Sachdeva, MPharm

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How to Use a Conceptual Framework for Better Research

A conceptual framework in research is not just a tool but a vital roadmap that guides the entire research process. It integrates various theories, assumptions, and beliefs to provide a structured approach to research. By defining a conceptual framework, researchers can focus their inquiries and clarify their hypotheses, leading to more effective and meaningful research outcomes.

What is a Conceptual Framework?

A conceptual framework is essentially an analytical tool that combines concepts and sets them within an appropriate theoretical structure. It serves as a lens through which researchers view the complexities of the real world. The importance of a conceptual framework lies in its ability to serve as a guide, helping researchers to not only visualize but also systematically approach their study.

Key Components and to be Analyzed During Research

• Theories: These are the underlying principles that guide the hypotheses and assumptions of the research.
• Assumptions: These are the accepted truths that are not tested within the scope of the research but are essential for framing the study.
• Beliefs: These often reflect the subjective viewpoints that may influence the interpretation of data.
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Together, these components help to define the conceptual framework that directs the research towards its ultimate goal. This structured approach not only improves clarity but also enhances the validity and reliability of the research outcomes. By using a conceptual framework, researchers can avoid common pitfalls and focus on essential variables and relationships.

For practical examples and to see how different frameworks can be applied in various research scenarios, you can Explore Conceptual Framework Examples .

Different Types of Conceptual Frameworks Used in Research

Understanding the various types of conceptual frameworks is crucial for researchers aiming to align their studies with the most effective structure. Conceptual frameworks in research vary primarily between theoretical and operational frameworks, each serving distinct purposes and suiting different research methodologies.

Theoretical vs Operational Frameworks

Theoretical frameworks are built upon existing theories and literature, providing a broad and abstract understanding of the research topic. They help in forming the basis of the study by linking the research to already established scholarly works. On the other hand, operational frameworks are more practical, focusing on how the study’s theories will be tested through specific procedures and variables.

• Theoretical frameworks are ideal for exploratory studies and can help in understanding complex phenomena.
• Operational frameworks suit studies requiring precise measurement and data analysis.

Choosing the Right Framework

Selecting the appropriate conceptual framework is pivotal for the success of a research project. It involves matching the research questions with the framework that best addresses the methodological needs of the study. For instance, a theoretical framework might be chosen for studies that aim to generate new theories, while an operational framework would be better suited for testing specific hypotheses.

Benefits of choosing the right framework include enhanced clarity, better alignment with research goals, and improved validity of research outcomes. Tools like Table Chart Maker can be instrumental in visually comparing the strengths and weaknesses of different frameworks, aiding in this crucial decision-making process.

Real-World Examples of Conceptual Frameworks in Research

Understanding the practical application of conceptual frameworks in research can significantly enhance the clarity and effectiveness of your studies. Here, we explore several real-world case studies that demonstrate the pivotal role of conceptual frameworks in achieving robust research conclusions.

• Healthcare Research: In a study examining the impact of lifestyle choices on chronic diseases, researchers used a conceptual framework to link dietary habits, exercise, and genetic predispositions. This framework helped in identifying key variables and their interrelations, leading to more targeted interventions.
• Educational Development: Educational theorists often employ conceptual frameworks to explore the dynamics between teaching methods and student learning outcomes. One notable study mapped out the influences of digital tools on learning engagement, providing insights that shaped educational policies.
• Environmental Policy: Conceptual frameworks have been crucial in environmental research, particularly in studies on climate change adaptation. By framing the relationships between human activity, ecological changes, and policy responses, researchers have been able to propose more effective sustainability strategies.

Adapting conceptual frameworks based on evolving research data is also critical. As new information becomes available, it’s essential to revisit and adjust the framework to maintain its relevance and accuracy, ensuring that the research remains aligned with real-world conditions.

For those looking to visualize and better comprehend their research frameworks, Graphic Organizers for Conceptual Frameworks can be an invaluable tool. These organizers help in structuring and presenting research findings clearly, enhancing both the process and the presentation of your research.

Step-by-Step Guide to Creating Your Own Conceptual Framework

Creating a conceptual framework is a critical step in structuring your research to ensure clarity and focus. This guide will walk you through the process of building a robust framework, from identifying key concepts to refining your approach as your research evolves.

Building Blocks of a Conceptual Framework

• Identify and Define Main Concepts and Variables: Start by clearly identifying the main concepts, variables, and their relationships that will form the basis of your research. This could include defining key terms and establishing the scope of your study.
• Develop a Hypothesis or Primary Research Question: Formulate a central hypothesis or question that guides the direction of your research. This will serve as the foundation upon which your conceptual framework is built.
• Link Theories and Concepts Logically: Connect your identified concepts and variables with existing theories to create a coherent structure. This logical linking helps in forming a strong theoretical base for your research.

Visualizing and Refining Your Framework

Using visual tools can significantly enhance the clarity and effectiveness of your conceptual framework. Decision Tree Templates for Conceptual Frameworks can be particularly useful in mapping out the relationships between variables and hypotheses.

Map Your Framework: Utilize tools like Creately’s visual canvas to diagram your framework. This visual representation helps in identifying gaps or overlaps in your framework and provides a clear overview of your research structure.

Analyze and Refine: As your research progresses, continuously evaluate and refine your framework. Adjustments may be necessary as new data comes to light or as initial assumptions are challenged.

By following these steps, you can ensure that your conceptual framework is not only well-defined but also adaptable to the changing dynamics of your research.

Practical Tips for Utilizing Conceptual Frameworks in Research

Effectively utilizing a conceptual framework in research not only streamlines the process but also enhances the clarity and coherence of your findings. Here are some practical tips to maximize the use of conceptual frameworks in your research endeavors.

• Setting Clear Research Goals: Begin by defining precise objectives that are aligned with your research questions. This clarity will guide your entire research process, ensuring that every step you take is purposeful and directly contributes to your overall study aims. \
• Maintaining Focus and Coherence: Throughout the research, consistently refer back to your conceptual framework to maintain focus. This will help in keeping your research aligned with the initial goals and prevent deviations that could dilute the effectiveness of your findings.
• Data Analysis and Interpretation: Use your conceptual framework as a lens through which to view and interpret data. This approach ensures that the data analysis is not only systematic but also meaningful in the context of your research objectives. For more insights, explore Research Data Analysis Methods .
• Presenting Research Findings: When it comes time to present your findings, structure your presentation around the conceptual framework . This will help your audience understand the logical flow of your research and how each part contributes to the whole.
• Avoiding Common Pitfalls: Be vigilant about common errors such as overcomplicating the framework or misaligning the research methods with the framework’s structure. Keeping it simple and aligned ensures that the framework effectively supports your research.

By adhering to these tips and utilizing tools like 7 Essential Visual Tools for Social Work Assessment , researchers can ensure that their conceptual frameworks are not only robust but also practically applicable in their studies.

How Creately Enhances the Creation and Use of Conceptual Frameworks

Creating a robust conceptual framework is pivotal for effective research, and Creately’s suite of visual tools offers unparalleled support in this endeavor. By leveraging Creately’s features, researchers can visualize, organize, and analyze their research frameworks more efficiently.

• Visual Mapping of Research Plans: Creately’s infinite visual canvas allows researchers to map out their entire research plan visually. This helps in understanding the complex relationships between different research variables and theories, enhancing the clarity and effectiveness of the research process.
• Brainstorming with Mind Maps: Using Mind Mapping Software , researchers can generate and organize ideas dynamically. Creately’s intelligent formatting helps in brainstorming sessions, making it easier to explore multiple topics or delve deeply into specific concepts.
• Centralized Data Management: Creately enables the importation of data from multiple sources, which can be integrated into the visual research framework. This centralization aids in maintaining a cohesive and comprehensive overview of all research elements, ensuring that no critical information is overlooked.
• Communication and Collaboration: The platform supports real-time collaboration, allowing teams to work together seamlessly, regardless of their physical location. This feature is crucial for research teams spread across different geographies, facilitating effective communication and iterative feedback throughout the research process.

Moreover, the ability t Explore Conceptual Framework Examples directly within Creately inspires researchers by providing practical templates and examples that can be customized to suit specific research needs. This not only saves time but also enhances the quality of the conceptual framework developed.

In conclusion, Creately’s tools for creating and managing conceptual frameworks are indispensable for researchers aiming to achieve clear, structured, and impactful research outcomes.

Join over thousands of organizations that use Creately to brainstorm, plan, analyze, and execute their projects successfully.

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Chiraag George is a communication specialist here at Creately. He is a marketing junkie that is fascinated by how brands occupy consumer mind space. A lover of all things tech, he writes a lot about the intersection of technology, branding and culture at large.

The Significance of Conceptual Framework in Research

Craft a strong conceptual framework in research with our comprehensive guide. Learn the essential steps to create an effective framework!

Research is a systematic process of inquiry that involves gathering and analyzing information to answer questions and solve problems. Conducting research is an essential activity in various fields, including business, education, healthcare, and social sciences. In research, a conceptual framework is a critical element that guides the study and helps to organize and interpret the collected data. In this article, we will discuss the definition of a conceptual framework, its purpose and importance in research, and the steps involved in developing a conceptual framework.

What is Conceptual Framework

A conceptual framework is a structure that provides a theoretical or conceptual foundation for research, allowing researchers to examine and analyze complex phenomena. It is a tool that researchers use to guide the research process by defining the key concepts, ideas, and theories that underpin their study. The conceptual framework can help to identify the research questions, the variables that will be studied, and the relationships between them. It can also provide a way to visualize the research problem, clarify the research methodology, and explain the research findings.

Purpose and Importance of a Conceptual Framework in Research

The purpose of a conceptual framework in research.

The purpose of a conceptual framework in research is to provide a clear and concise understanding of the key concepts, variables, relationships, and assumptions that underlie a research study. Specifically, a conceptual framework serves several purposes:

Helps to clarify research questions: A well-developed conceptual framework helps to define the research problem and the specific research questions that the study seeks to answer.

Provides a theoretical basis for the study: The conceptual framework provides a theoretical foundation for the study, drawing on existing theories and concepts to guide the research process.

Guides data collection and analysis: The conceptual framework helps to identify the relevant variables and relationships that need to be studied, and guides the collection and analysis of data.

Ensures research validity and reliability: The conceptual framework helps to ensure that the study is focused, relevant, and valid, and that the data collected is reliable.

Helps to make conclusions and recommendations: The conceptual framework provides a basis for making conclusions and recommendations based on the collected data, contributing to the existing body of knowledge in the field.

The Importance of a Conceptual Framework in Research

Provide a basis for research design: The conceptual framework provides a blueprint for the research study, outlining the key concepts, variables, and relationships between them. This helps researchers to design a study that is logical, structured, and focused.

Guide data collection and analysis: The conceptual framework helps to identify the variables and relationships that will be examined in the study. This helps researchers to collect and analyze data that is relevant to the research question and hypothesis.

Ensure validity and reliability: A well-developed conceptual framework helps to ensure that the research is valid and reliable. It ensures that the research is measuring what it intends to measure and that the results are consistent over time.

Facilitate communication: The conceptual framework provides a common language and understanding for researchers, facilitating communication and collaboration among team members.

Identify gaps in existing knowledge: The conceptual framework helps to identify gaps in existing knowledge and to develop new insights and theories.

A well-developed conceptual framework is crucial to the success of a research study. It provides a clear and logical structure for the study, helps to ensure validity and reliability, and facilitates communication and collaboration among researchers.

Steps to Developing a Conceptual Framework

Developing a conceptual framework involves several steps. These steps are outlined below:

1. Choose a research question

The first step in developing a conceptual framework is to identify the research question. This question should be clear, specific, and relevant to the study. It should be formulated based on a review of the existing literature and the identification of gaps in knowledge or areas where further research is needed. Read our Research Question article to learn more about it. 

2. Identify the main variables

The next step is to identify the main variables that will be studied. These variables should be measurable, observable, and relevant to the research question. The independent variable is the variable that is manipulated or controlled in the study, while the dependent variable is the variable that is measured or observed. The independent variable is usually the cause, while the dependent variable is the effect. Read our Research Variables content to understand it better.

3. Visualize the cause-and-effect relationship

The next step is to visualize the cause-and-effect relationship between the independent and dependent variables. This can be done by creating a diagram or a flowchart that illustrates the relationship between the variables. The diagram or flowchart should clearly show the direction of the relationship, whether it is positive or negative, and the strength of the relationship.

4. Identify other influencing variables

The researcher should also identify other variables that may influence the relationship between the main variables. These variables can be included in the conceptual framework, they are known as confounding variables and should be identified and controlled in the study.

5. Include moderating and mediating variables

Moderating and mediating variables should be included in the conceptual framework if they are relevant to the study. Moderating variables affect the strength or direction of the relationship between the main variables while mediating variables explain the relationship between the main variables.

6. Consider control variables

Control variables are variables that are held constant in the study to ensure that the results are valid and reliable. These variables should be included in the conceptual framework to ensure that the study is well-controlled.

7. Revise and refine the conceptual framework

Once the conceptual framework has been developed, the researcher should revise and refine it to ensure that it is clear, concise, and comprehensive. The conceptual framework should be reviewed to ensure that it accurately represents the research question and the variables involved in the study.

Moderating Variables

Moderating variables are variables that can modify or change the strength or direction of the relationship between the independent and dependent variables. These variables can be included in the conceptual framework to help explain the results of the study. For example, in a study on the effects of exercise on weight loss, age, and gender may be moderating variables that can affect the strength of the relationship between exercise and weight loss.

Mediating Variables

Mediating variables are variables that help to explain the relationship between the independent and dependent variables. These variables may be included in the conceptual framework to help identify the mechanisms through which the independent variable affects the dependent variable. For example, in a study on the effects of exercise on weight loss, metabolism, and calorie intake may be mediating variables that help to explain how exercise affects weight loss.

Moderator vs Mediator

It is essential to understand the difference between a moderator and a mediator in research. Here is a table that highlights the differences between moderators and mediators in a theoretical framework:

Control Variables

Control variables are factors that are held constant or unchanged in a study or experiment. In a conceptual framework, control variables refer to the variables that are kept constant or held fixed during the study to ensure that the effect of other independent variables on the dependent variable is not confounded or influenced by any other factor.  For example, in a study on the effects of exercise on weight loss, the type of exercise, duration of exercise, and frequency of exercise may be control variables that are held constant to ensure that the results are not affected by these factors.

The Final Analysis

A conceptual framework is a critical element in research that provides a theoretical basis for the study and guides the research process. Developing a conceptual framework involves several steps, including choosing a research question, selecting independent and dependent variables, visualizing cause-and-effect relationships, identifying other influencing variables, including moderating and mediating variables, and controlling variables. It also provides a basis for making conclusions and recommendations based on the collected data. Researchers should pay close attention to developing a robust conceptual framework to ensure that their research is of high quality and contributes to existing knowledge.

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Theoretical vs Conceptual Framework

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

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

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

Overview: Theoretical vs Conceptual

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

• Theoretical vs conceptual: which one should I use?

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

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

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

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

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

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

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

Need a helping hand?

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

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

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

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

Theoretical framework vs conceptual framework

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

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

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

Psst... there’s more!

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

23 Comments

Thank you for giving a valuable lesson

good thanks!

VERY INSIGHTFUL

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

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

good, fantastic

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

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

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

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

Simple and clear!

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

Thank you great insight

Superb. Thank you so much.

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

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.

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

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

thank you so much. Educative and realistic.

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

Julie a. luft.

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

Sophia Jeong

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

Robert Idsardi

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

Grant Gardner

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

Associated Data

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

INTRODUCTION

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

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

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

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

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

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

Comparison of literature reviews, theoretical frameworks, and conceptual reviews

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

LITERATURE REVIEWS

Purpose of a literature review.

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

Building Literature Reviews

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

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

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

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

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

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

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

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

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

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

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

Suggestions and Advice

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

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

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

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

THEORETICAL FRAMEWORKS

Purpose of theoretical frameworks.

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

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

Selecting Theoretical Frameworks

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

CONCEPTUAL FRAMEWORKS

Purpose of a conceptual framework.

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

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

Constructing Conceptual Frameworks

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

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

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

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

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

Conceptual framework from Sabel et al. (2017) .

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

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

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

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

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

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

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

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

CONCLUDING THOUGHTS

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

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

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

Supplementary Material

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Conceptual Research: Definition, Framework, Example and Advantages

Conceptual Research: Definition

Conceptual research is defined as a methodology wherein research is conducted by observing and analyzing already present information on a given topic. Conceptual research doesn’t involve conducting any practical experiments. It is related to abstract concepts or ideas. Philosophers have long used conceptual research to develop new theories or interpret existing theories in a different light.

For example, Copernicus used conceptual research to come up with the concepts of stellar constellations based on his observations of the universe. Down the line, Galileo simplified Copernicus’s research by making his own conceptual observations which gave rise to more experimental research and confirmed the predictions made at that time.

The most famous example of conceptual research is Sir Issac Newton. He observed his surroundings to conceptualize and develop theories about gravitation and motion.

Einstein is widely known and appreciated for his work on conceptual research. Although his theories were based on conceptual observations, Einstein also proposed experiments to come up with theories to test the conceptual research.

Nowadays, conceptual research is used to answer business questions and solve real-world problems. Researchers use analytical research tools called conceptual frameworks to make conceptual distinctions and organize ideas required for research purposes.

Conceptual Research Framework

Conceptual research framework constitutes of a researcher’s combination of previous research and associated work and explains the occurring phenomenon. It systematically explains the actions needed in the course of the research study based on the knowledge obtained from other ongoing research and other researchers’ points of view on the subject matter.

Here is a stepwise guide on how to create the conceptual research framework:

01. Choose the topic for research

Before you start working on collecting any research material, you should have decided on your topic for research. It is important that the topic is selected beforehand and should be within your field of specialization.

02. Collect relevant literature

Once you have narrowed down a topic, it is time to collect relevant information about it. This is an important step, and much of your research is dependent on this particular step, as conceptual research is mostly based on information obtained from previous research. Here collecting relevant literature and information is the key to successfully completing research.

The material that you should preferably use is scientific journals , research papers published by well-known scientists , and similar material. There is a lot of information available on the internet and in public libraries as well. All the information that you find on the internet may not be relevant or true. So before you use the information, make sure you verify it.  

03. Identify specific variables

Identify the specific variables that are related to the research study you want to conduct. These variables can give your research a new scope and can also help you identify how these can be related to your research design . For example, consider hypothetically you want to conduct research about the occurrence of cancer in married women. Here the two variables that you will be concentrating on are married women and cancer.

While collecting relevant literature, you understand that the spread of cancer is more aggressive in married women who are beyond 40 years of age. Here there is a third variable which is age, and this is a relevant variable that can affect the end result of your research.  

04. Generate the framework

In this step, you start building the required framework using the mix of variables from the scientific articles and other relevant materials. The research problem statement in your research becomes the research framework. Your attempt to start answering the question becomes the basis of your research study. The study is carried out to reduce the knowledge gap and make available more relevant and correct information.

Example of Conceptual Research Framework

Thesis statement/ Purpose of research: Chronic exposure to sunlight can lead to precancerous (actinic keratosis), cancerous (basal cell carcinoma, squamous cell carcinoma, and melanoma), and even skin lesions (caused by loss of skin’s immune function) in women over 40 years of age.

The study claims that constant exposure to sunlight can cause the precancerous condition and can eventually lead to cancer and other skin abnormalities. Those affected by these experience symptoms like fatigue, fine or coarse wrinkles, discoloration of the skin, freckles, and a burning sensation in the more exposed areas.

Note that in this study, there are two variables associated- cancer and women over 40 years in the African subcontinent. But one is a dependent variable (women over 40 years, in the African subcontinent), and the other is an independent variable (cancer). Cumulative exposure to the sun till the age of 18 years can lead to symptoms similar to skin cancer. If this is not taken care of, there are chances that cancer can spread entirely.

Assuming that the other factors are constant during the research period, it will be possible to correlate the two variables and thus confirm that, indeed, chronic exposure to sunlight causes cancer in women over the age of 40 in the African subcontinent. Further, correlational research can verify this association further.

Advantages of Conceptual Research

1. Conceptual research mainly focuses on the concept of the research or the theory that explains a phenomenon. What causes the phenomenon, what are its building blocks, and so on? It’s research based on pen and paper.

2. This type of research heavily relies on previously conducted studies; no form of experiment is conducted, which saves time, effort, and resources. More relevant information can be generated by conducting conceptual research.

3. Conceptual research is considered the most convenient form of research. In this type of research, if the conceptual framework is ready, only relevant information and literature need to be sorted.

QuestionPro for Conceptual Research

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We also help you decide which conceptual framework might be best suited for your specific situation.

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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
• Theoretical perspective
• Theoretical framework
• Literature reviews
• Research question
• Conceptual framework
• Introduction

Revisiting theoretical frameworks

Revisiting conceptual frameworks, differences between conceptual and theoretical frameworks, examples of theoretical and conceptual frameworks, developing frameworks for your study.

• Data collection
• Qualitative research methods
• Focus groups
• Observational research
• Case studies
• Ethnographical research
• Ethical considerations
• Confidentiality and privacy
• Power dynamics
• Reflexivity

Conceptual vs. theoretical framework

Theoretical and conceptual frameworks are both essential components of research, guiding and structuring the research. Although they are closely related, the conceptual and theoretical framework in any research project serve distinct purposes and have different characteristics. In this section, we provide an overview of the key differences between theoretical and conceptual frameworks.

Theoretical and conceptual frameworks are foundational components of any research study. They each play a crucial role in guiding and structuring the research, from the formation of research questions to the interpretation of results .

While both the theoretical and conceptual framework provides a structure for a study, they serve different functions and can impact the research in distinct ways depending on how they are combined. These differences might seem subtle, but they can significantly impact your research design and outcomes, which is why it is important to think through each one of them.

The theoretical framework describes the broader lens through which the researcher views the topic and guides their overall understanding and approach. It connects the theoretical perspective to the data collection and data analysis strategy and offers a structure for organizing and interpreting the collected data.

On the other hand, the conceptual framework describes in detail and connects specific concepts and variables to illustrate potential relationships between them. It serves as a guide for assessing which aspects of the data are relevant and specifying how the research question is being answered. While the theoretical framework outlines how more abstract-level theories shape the study, the conceptual framework operationalizes the empirical observations that can be connected to theory and broader understanding.

Understanding these differences is crucial when designing and conducting your research study. In this chapter, we will look deeper at the distinctions between these types of frameworks, and how they interplay in qualitative research . We aim to provide you with a solid understanding of both, allowing you to effectively utilize them in your own research.

Theoretical frameworks play a central role in research, serving as the bedrock of any investigation. This section offers a refresher on the essential elements and functions of theoretical frameworks in research.

A theoretical framework refers to existing theory, concepts, and definitions that you use to collect relevant data and offer meaningful empirical findings. Providing an overall orientation or lens, it guides your understanding of the research problem and directs your approach to data collection and analysis .

Your chosen theoretical framework directly influences your research questions and methodological choices . It contains specific theories or sets of assumptions drawn from relevant disciplines—such as sociology, psychology, or economics—that you apply to understand your research topic. These existing models and concepts are tools to help you organize and make sense of your data.

The theoretical framework also plays a key role in crafting your research questions and objectives. By determining the theories that are relevant to your research, the theoretical framework shapes the nature and direction of your study. It's essential to note, however, that the theoretical framework's role in qualitative research is not to predict outcomes. Instead, it offers a broader structure to understand and interpret your data, enabling you to situate your findings within the broader academic discourse in a way that makes your research findings meaningful to you and your research audience.

Conceptual frameworks , though related to theoretical frameworks , serve distinct functions within research. This section reexamines the characteristics and functions of conceptual frameworks to provide a better understanding of their roles in qualitative research .

A conceptual framework, in essence, is a system of concepts, assumptions, and beliefs that supports and informs your research. It outlines the specific variables or concepts you'll examine in your study and proposes relationships between them. It's more detailed and specific than a theoretical framework, acting as a contextualized guide for the collection and interpretation of empirical data.

The main role of a conceptual framework is to illustrate the presumed relationships between the variables or concepts you're investigating. These variables or concepts, which you derive from your theoretical framework, are integral to your research questions , objectives, and hypotheses . The conceptual framework shows how you theorize these concepts are related, providing a visual or narrative model of your research.

A study's own conceptual framework plays a vital role in guiding the data collection process and the subsequent analysis . The conceptual framework specifies which data you need to collect and provides a structure for interpreting and making sense of the collected data. For instance, if your conceptual framework identifies a particular variable as impacting another, your data collection and analysis will be geared towards investigating this relationship.

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Though interconnected, theoretical and conceptual frameworks have distinct roles in research and contribute differently to the research. This section will contrast the two in terms of scope, purpose, their role in the research process, and their relationship to the data analysis strategy and research question .

Scope and purpose of theoretical and conceptual frameworks

Theoretical and conceptual frameworks differ fundamentally in their scope. Theoretical frameworks provide a broad and general view of the research problem, rooted in established theories. They explain phenomena by applying a particular theoretical lens. Conceptual frameworks, on the other hand, offer a more focused view of the specific research problem. They explicitly outline the concrete concepts and variables involved in the study and the relationships between them.

While both frameworks guide the research process, they do so in different ways. Theoretical frameworks guide the overall approach to understanding the research problem by indicating the broader conversation the researcher is contributing to and shaping the research questions.

Conceptual frameworks provide a map for the study, guiding the data collection and interpretation process, including what variables or concepts to explore and how to analyze them.

Study design and data analysis

The two types of frameworks relate differently to the research question and design. The theoretical framework often inspires the research question based on previous theories' predictions or understanding about the phenomena under investigation. A conceptual framework then emerges from the research question, providing a contextualized structure for what exactly the research will explore.

Theoretical and conceptual frameworks also play distinct roles in data analysis. Theoretical frameworks provide the lens for interpreting the data, informing what kinds of themes and patterns might be relevant. Conceptual frameworks, however, present the variables concepts and variables and the relationships among them that will be analyzed. Conceptual frameworks may illustrate concepts and relationships based on previous theory, but they can also include novel concepts or relationships that stem from the particular context being studied.

Finally, the two types of frameworks relate differently to the research question and design. The theoretical framework basically differs from the conceptual framework in that it often inspires the research question based on the theories' predictions about the phenomena under investigation. A conceptual framework, on the other hand, emerges from the research question, providing a structure for investigating it.

Using case studies , we can effectively demonstrate the differences between theoretical and conceptual frameworks. Let’s take a look at some real-world examples that highlight the unique role and function of each framework within a research context.

Consider a study exploring the impact of classroom environments on student learning outcomes. The theoretical framework might be grounded in Piaget's theory of cognitive development, which offers a broad lens for understanding how students learn and process information.

Within this theoretical framework, the researcher formulates the conceptual framework. The conceptual framework identifies specific variables to study such as classroom layout, teacher-student ratio, availability of learning materials, and student performance as the dependent variable. It then outlines the expected relationships between these variables, such as proposing that a lower teacher-student ratio and well-equipped classrooms positively impact student performance.

Another study might aim to understand the factors influencing the job satisfaction of employees in a corporate setting. The theoretical framework could be based on Maslow's hierarchy of needs, interpreting job satisfaction in terms of fulfilling employees' physiological, safety, social, esteem, and self-actualization needs.

From this theoretical perspective, the researcher constructs the conceptual framework, identifying specific variables such as salary (physiological needs), job security (safety needs), teamwork (social needs), recognition (esteem needs), and career development opportunities (self-actualization needs). The conceptual framework proposes relationships among these variables and job satisfaction, such as higher salaries and more recognition being related to higher job satisfaction.

After understanding the unique roles and functions of these types of frameworks, you might ask: How do I develop them for my study? It's essential to remember that it's not a question of choosing one over the other, as both frameworks can and often do coexist within the same research project.

The choice of a theoretical and a conceptual framework often depends on the nature of your research question . If your research question is more exploratory and requires a broad understanding of the problem, a theoretical framework can provide a useful lens for interpretation. However, your conceptual framework may end up looking rather different to previous theory as you collect data and discover new concepts or relationships.

Consider the nature of your research problem as well. If you are studying a well-researched problem and there are established theories about it, using a theoretical framework to interpret your findings in light of these theories might be beneficial. But if your study explores a novel problem or aims to understand specific processes or relationships, developing a conceptual framework that maps these specific elements could prove more effective.

Your research methodology could also inform your choice. If your study is more interpretive and aims to understand people's experiences and perceptions, a theoretical framework can outline broader concepts that are relevant to approaching your study. Your conceptual framework can then shed light on the specific concepts that emerged in your data. By carefully thinking through your theoretical and conceptual frameworks, you can effectively utilize both types of frameworks in your research, ensuring a solid foundation for your study.

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• What Is a Conceptual Framework? | Tips & Examples

What Is a Conceptual Framework? | Tips & Examples

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

Moderating variables

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

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

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

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

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

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

Mediating variables

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

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

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

Moderator vs mediator

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

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

Control variables

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

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

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

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

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

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

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

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

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

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

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

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• Section 1: Home
• Narrowing Your Topic
• Problem Statement
• Purpose Statement

Defining The Conceptual Framework

Making a conceptual framework, conceptual framework for dmft students, conceptual framework guide, example frameworks, additional framework resources.

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What is it?

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

What does it do?

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

What should be in it?

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

How to make a conceptual framework

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

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

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

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

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

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

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

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

A visual example of a qualitative framework is below:

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

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

Conceptual Framework Research

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

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

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

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

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

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

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

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

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

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

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

Table of Contents

Definition of conceptual framework.

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

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

4 Steps on How to Make the Conceptual Framework

Choose your topic.

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

Do a literature review

Isolate the important variables.

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

Generate the conceptual framework

Example of a conceptual framework, research topic.

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

Thesis Statement

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

Review of Literature

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

Variables Isolated from the Literature

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

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

Evolution of a Social Theory as Basis of Conceptual Framework Development

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

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

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

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How to write a thesis statement, why publish research findings, how technology has shaped collaboration, about the author, patrick regoniel, 104 comments.

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

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

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

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

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

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Research Process Guide

• Step 1 - Identifying and Developing a Topic
• Step 2 - Narrowing Your Topic
• Step 3 - Developing Research Questions
• Step 4 - Conducting a Literature Review
• Step 5 - Choosing a Conceptual or Theoretical Framework
• Step 6 - Determining Research Methodology
• Step 6a - Determining Research Methodology - Quantitative Research Methods
• Step 6b - Determining Research Methodology - Qualitative Design
• Step 7 - Considering Ethical Issues in Research with Human Subjects - Institutional Review Board (IRB)
• Step 8 - Collecting Data
• Step 9 - Analyzing Data
• Step 10 - Interpreting Results
• Step 11 - Writing Up Results

Step 5: Choosing a Conceptual or Theoretical Framework

For all empirical research, you must choose a conceptual or theoretical framework to “frame” or “ground” your study. Theoretical and/or conceptual frameworks are often difficult to understand and challenging to choose which is the right one (s) for your research objective (Hatch, 2002). Truthfully, it is difficult to get a real understanding of what these frameworks are and how you are supposed to find what works for your study. The discussion of your framework is addressed in your Chapter 1, the introduction and then is further explored through in-depth discussion in your Chapter 2 literature review.

“Theory is supposed to help researchers of any persuasion clarify what they are up to and to help them to explain to others what they are up to” (Walcott, 1995, p. 189, as cited in Fallon, 2016). It is important to discuss in the beginning to help researchers “clarify what they are up to” and important at the writing stage to “help explain to others what they are up to” (Fallon, 2016).  

What is the difference between the conceptual and the theoretical framework?

Often, the terms theoretical framework and conceptual framework are used interchangeably, which, in this author’s opinion, makes an already difficult to understand idea even more confusing. According to Imenda (2014) and Mensah et al. (2020), there is a very distinct difference between conceptual and theoretical frameworks, not only how they are defined but also, how and when they are used in empirical research.

Imenda (2014) contends that the framework “is the soul of every research project” (p.185). Essentially, it determines how the researcher formulates the research problem, goes about investigating the problem, and what meaning or significance the research lends to the data collected and analyzed investigating the problem.  

Very generally, you would use a theoretical framework if you were conducting deductive research as you test a theory or theories. “A theoretical framework comprises the theories expressed by experts in the field into which you plan to research, which you draw upon to provide a theoretical coat hanger for your data analysis and interpretation of results” (Kivunja, 2018, p.45 ).  Often this framework is based on established theories like, the Set Theory, evolution, the theory of matter or similar pre-existing generalizations like Newton’s law of motion (Imenda, 2014). A good theoretical framework should be linked to, and possibly emerge from your literature review.

Using a theoretical framework allows you to (Kivunja, 2018):

• Increase the credibility and validity of your research
• Interpret meaning found in data collection
• Evaluate solutions for solving your research problem

According to Mensah et al.(2020) the theoretical framework for your research is not a summary of your own thoughts about your research. Rather, it is a compilation of the thoughts of giants in your field, as they relate to your proposed research, as you understand those theories, and how you will use those theories to understand the data collected.

Additionally, Jabareen (2009) defines a conceptual framework as interlinked concepts that together provide a comprehensive  understanding of a phenomenon. “A conceptual framework is the total, logical orientation and associations of anything and everything that forms the underlying thinking, structures, plans and practices and implementation of your entire research project” (Kivunja, 2018, p. 45). You would largely use a conceptual framework when conducting inductive research, as it helps the researcher answer questions that are core to qualitative research, such as the nature of reality, the way things are and how things really work in a real world (Guba & Lincoln, 1994).

Some consideration of the following questions can help define your conceptual framework (Kinvunja, 2018):

• What do you want to do in your research? And why do you want to do it?
• How do you plan to do it?
• What meaning will you make of the data?
• Which worldview will you situate your study in? (i.e. Positivist? Interpretist? Constructivist?)

Examples of conceptual frameworks include the definitions a sociologist uses to describe a culture and the types of data an economist considers when evaluating a country’s industry. The conceptual framework consists of the ideas that are used to define research and evaluate data. Conceptual frameworks are often laid out at the beginning of a paper or an experiment description for a reader to understand the methods used (Mensah et al., 2020).

Writing it up

After choosing your framework is to articulate the theory or concept that grounds your study by defining it and demonstrating the rationale for this particular set of theories or concepts guiding your inquiry.  Write up your theoretical perspective sections for your research plan following your choice of worldview/ research paradigm. For a quantitative study you are particularly interested in theory using the procedures for a causal analysis. For qualitative research, you should locate qualitative journal articles that use a priori theory (knowledge that is acquired not through experience) that is modified during the process of research (Creswell & Creswell, 2018). Also, you should generate or develop a theory at the end of your study. For a mixed methods study which uses a transformative (critical theoretical lens) identify how the lens specifically shapes the research process.                                   

Creswell, J. W., & Creswell, J. D. (2 018). Research design: Qualitative, quantitative, and mixed methods approaches. Sage.

Fallon, M. (2016). Writing up quantitative research in the social and behavioral sciences. Sense. https://kean.idm.oclc.org/login?url=https://search.ebscohost.com/login.aspx?direct=true&AuthType=cookie,ip,url,cpid&custid=keaninf&db=nlebk&AN=1288374&site=ehost-live&scope=site&ebv=EB&ppid=pp_C1

Guba, E. G., & Lincoln, Y. S. (1994). Competing paradigms in qualitative research. Handbook of Qualitative Research, 2 (163-194), 105.

Hatch, J. A. ( 2002). Doing qualitative research in education settings. SUNY Press.

Imenda, S. (2014). Is there a conceptual difference between theoretical and conceptual frameworks?  Journal of Social Sciences, 38 (2), 185-195.

Jabareen, Y. (2009). Building a conceptual framework: Philosophy, definitions, and procedure. International Journal of Qualitative Methods, 8 (4), 49-62.

Kivunja, C. ( 2018, December 3). Distinguishing between theory, theoretical framework, and conceptual framework. The International Journal of Higher Education, 7 (6), 44-53. https://files.eric.ed.gov/fulltext/EJ1198682.pdf  

Mensah, R. O., Agyemang, F., Acquah, A., Babah, P. A., & Dontoh, J. (2020). Discourses on conceptual and theoretical frameworks in research: Meaning and implications for researchers. Journal of African Interdisciplinary Studies, 4 (5), 53-64.

• Last Updated: Jun 29, 2023 1:35 PM
• URL: https://libguides.kean.edu/ResearchProcessGuide

Educational resources and simple solutions for your research journey

What is a Theoretical Framework? How to Write It (with Examples) 

Theoretical framework 1,2 is the structure that supports and describes a theory. A theory is a set of interrelated concepts and definitions that present a systematic view of phenomena by describing the relationship among the variables for explaining these phenomena. A theory is developed after a long research process and explains the existence of a research problem in a study. A theoretical framework guides the research process like a roadmap for the research study and helps researchers clearly interpret their findings by providing a structure for organizing data and developing conclusions.   

A theoretical framework in research is an important part of a manuscript and should be presented in the first section. It shows an understanding of the theories and concepts relevant to the research and helps limit the scope of the research.  

Table of Contents

What is a theoretical framework ?  

A theoretical framework in research can be defined as a set of concepts, theories, ideas, and assumptions that help you understand a specific phenomenon or problem. It can be considered a blueprint that is borrowed by researchers to develop their own research inquiry. A theoretical framework in research helps researchers design and conduct their research and analyze and interpret their findings. It explains the relationship between variables, identifies gaps in existing knowledge, and guides the development of research questions, hypotheses, and methodologies to address that gap.  

Now that you know the answer to ‘ What is a theoretical framework? ’, check the following table that lists the different types of theoretical frameworks in research: 3

Developing a theoretical framework in research can help in the following situations: 4

• When conducting research on complex phenomena because a theoretical framework helps organize the research questions, hypotheses, and findings  
• When the research problem requires a deeper understanding of the underlying concepts  
• When conducting research that seeks to address a specific gap in knowledge  
• When conducting research that involves the analysis of existing theories  

Summarizing existing literature for theoretical frameworks is easy. Get our Research Ideation pack  

Importance of a theoretical framework  

The purpose of theoretical framework s is to support you in the following ways during the research process: 2  

• Provide a structure for the complete research process  
• Assist researchers in incorporating formal theories into their study as a guide  
• Provide a broad guideline to maintain the research focus  
• Guide the selection of research methods, data collection, and data analysis  
• Help understand the relationships between different concepts and develop hypotheses and research questions  
• Address gaps in existing literature  
• Analyze the data collected and draw meaningful conclusions and make the findings more generalizable  

Theoretical vs. Conceptual framework  

While a theoretical framework covers the theoretical aspect of your study, that is, the various theories that can guide your research, a conceptual framework defines the variables for your study and presents how they relate to each other. The conceptual framework is developed before collecting the data. However, both frameworks help in understanding the research problem and guide the development, collection, and analysis of the research.  

The following table lists some differences between conceptual and theoretical frameworks . 5

How to write a theoretical framework  

The following general steps can help those wondering how to write a theoretical framework: 2

• Identify and define the key concepts clearly and organize them into a suitable structure.  
• Use appropriate terminology and define all key terms to ensure consistency.  
• Identify the relationships between concepts and provide a logical and coherent structure.  
• Develop hypotheses that can be tested through data collection and analysis.  
• Keep it concise and focused with clear and specific aims.  

Write a theoretical framework 2x faster. Get our Manuscript Writing pack  

Examples of a theoretical framework  

Here are two examples of a theoretical framework. 6,7

Example 1 .   

An insurance company is facing a challenge cross-selling its products. The sales department indicates that most customers have just one policy, although the company offers over 10 unique policies. The company would want its customers to purchase more than one policy since most customers are purchasing policies from other companies.  

Objective : To sell more insurance products to existing customers.  

Problem : Many customers are purchasing additional policies from other companies.  

Research question : How can customer product awareness be improved to increase cross-selling of insurance products?  

Sub-questions: What is the relationship between product awareness and sales? Which factors determine product awareness?  

Since “product awareness” is the main focus in this study, the theoretical framework should analyze this concept and study previous literature on this subject and propose theories that discuss the relationship between product awareness and its improvement in sales of other products.  

Example 2 .

A company is facing a continued decline in its sales and profitability. The main reason for the decline in the profitability is poor services, which have resulted in a high level of dissatisfaction among customers and consequently a decline in customer loyalty. The management is planning to concentrate on clients’ satisfaction and customer loyalty.  

Objective: To provide better service to customers and increase customer loyalty and satisfaction.  

Problem: Continued decrease in sales and profitability.  

Research question: How can customer satisfaction help in increasing sales and profitability?  

Sub-questions: What is the relationship between customer loyalty and sales? Which factors influence the level of satisfaction gained by customers?  

Since customer satisfaction, loyalty, profitability, and sales are the important topics in this example, the theoretical framework should focus on these concepts.  

Benefits of a theoretical framework  

There are several benefits of a theoretical framework in research: 2  

• Provides a structured approach allowing researchers to organize their thoughts in a coherent way.  
• Helps to identify gaps in knowledge highlighting areas where further research is needed.  
• Increases research efficiency by providing a clear direction for research and focusing efforts on relevant data.  
• Improves the quality of research by providing a rigorous and systematic approach to research, which can increase the likelihood of producing valid and reliable results.  
• Provides a basis for comparison by providing a common language and conceptual framework for researchers to compare their findings with other research in the field, facilitating the exchange of ideas and the development of new knowledge.  

Frequently Asked Questions 

Q1. How do I develop a theoretical framework ? 7

A1. The following steps can be used for developing a theoretical framework :  

• Identify the research problem and research questions by clearly defining the problem that the research aims to address and identifying the specific questions that the research aims to answer.
• Review the existing literature to identify the key concepts that have been studied previously. These concepts should be clearly defined and organized into a structure.
• Develop propositions that describe the relationships between the concepts. These propositions should be based on the existing literature and should be testable.
• Develop hypotheses that can be tested through data collection and analysis.
• Test the theoretical framework through data collection and analysis to determine whether the framework is valid and reliable.

Q2. How do I know if I have developed a good theoretical framework or not? 8

A2. The following checklist could help you answer this question:  

• Is my theoretical framework clearly seen as emerging from my literature review?  
• Is it the result of my analysis of the main theories previously studied in my same research field?  
• Does it represent or is it relevant to the most current state of theoretical knowledge on my topic?  
• Does the theoretical framework in research present a logical, coherent, and analytical structure that will support my data analysis?  
• Do the different parts of the theory help analyze the relationships among the variables in my research?  
• Does the theoretical framework target how I will answer my research questions or test the hypotheses?  
• Have I documented every source I have used in developing this theoretical framework ?  
• Is my theoretical framework a model, a table, a figure, or a description?  
• Have I explained why this is the appropriate theoretical framework for my data analysis?  

Q3. Can I use multiple theoretical frameworks in a single study?  

A3. Using multiple theoretical frameworks in a single study is acceptable as long as each theory is clearly defined and related to the study. Each theory should also be discussed individually. This approach may, however, be tedious and effort intensive. Therefore, multiple theoretical frameworks should be used only if absolutely necessary for the study.  

Q4. Is it necessary to include a theoretical framework in every research study?  

A4. The theoretical framework connects researchers to existing knowledge. So, including a theoretical framework would help researchers get a clear idea about the research process and help structure their study effectively by clearly defining an objective, a research problem, and a research question.  

Q5. Can a theoretical framework be developed for qualitative research?  

A5. Yes, a theoretical framework can be developed for qualitative research. However, qualitative research methods may or may not involve a theory developed beforehand. In these studies, a theoretical framework can guide the study and help develop a theory during the data analysis phase. This resulting framework uses inductive reasoning. The outcome of this inductive approach can be referred to as an emergent theoretical framework . This method helps researchers develop a theory inductively, which explains a phenomenon without a guiding framework at the outset.  

Q6. What is the main difference between a literature review and a theoretical framework ?  

A6. A literature review explores already existing studies about a specific topic in order to highlight a gap, which becomes the focus of the current research study. A theoretical framework can be considered the next step in the process, in which the researcher plans a specific conceptual and analytical approach to address the identified gap in the research.  

Theoretical frameworks are thus important components of the research process and researchers should therefore devote ample amount of time to develop a solid theoretical framework so that it can effectively guide their research in a suitable direction. We hope this article has provided a good insight into the concept of theoretical frameworks in research and their benefits.  

References  

• Organizing academic research papers: Theoretical framework. Sacred Heart University library. Accessed August 4, 2023. https://library.sacredheart.edu/c.php?g=29803&p=185919#:~:text=The%20theoretical%20framework%20is%20the,research%20problem%20under%20study%20exists .  
• Salomao A. Understanding what is theoretical framework. Mind the Graph website. Accessed August 5, 2023. https://mindthegraph.com/blog/what-is-theoretical-framework/  
• Theoretical framework—Types, examples, and writing guide. Research Method website. Accessed August 6, 2023. https://researchmethod.net/theoretical-framework/  
• Grant C., Osanloo A. 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. 2014. Accessed August 7, 2023. https://files.eric.ed.gov/fulltext/EJ1058505.pdf  
• Difference between conceptual framework and theoretical framework. MIM Learnovate website. Accessed August 7, 2023. https://mimlearnovate.com/difference-between-conceptual-framework-and-theoretical-framework/  
• Example of a theoretical framework—Thesis & dissertation. BacherlorPrint website. Accessed August 6, 2023. https://www.bachelorprint.com/dissertation/example-of-a-theoretical-framework/  
• Sample theoretical framework in dissertation and thesis—Overview and example. Students assignment help website. Accessed August 6, 2023. https://www.studentsassignmenthelp.co.uk/blogs/sample-dissertation-theoretical-framework/#Example_of_the_theoretical_framework  
• Kivunja C. Distinguishing between theory, theoretical framework, and conceptual framework: A systematic review of lessons from the field. Accessed August 8, 2023. https://files.eric.ed.gov/fulltext/EJ1198682.pdf  

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Theories and Frameworks: Theories and Frameworks

Theoretical & conceptual frameworks.

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

Theoretical framework 

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

Conceptual framework

A conceptual framework includes one or more formal theories (in part or whole) as well as other concepts and empirical findings from the literature. It is used to show relationships among these ideas and how they relate to the research study. Conceptual frameworks are commonly seen in qualitative research in the social and behavioral sciences, for example, because often one theory cannot fully address the phenomena being studied.

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Investigate theory

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

• psychology:  human development, cognition, personality, motivation
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Theory in doctoral research

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

• your theory courses
• completed dissertations and doctoral studies
• the scholarly literature on your topic
• Keep a list of theories and take notes on how and why they were used.
• Identify and learn more about relevant theories.
• Locate influential and seminal works  related to those theories.
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A patient-centered conceptual model of aya cancer survivorship care informed by a qualitative interview study.

Simple Summary

1. introduction, 2.1. recruitment, 2.2. interview approach, 2.3. analysis, 3.1. overall themes, 3.2. care coordination and healthcare system navigation support.

“So there really wasn’t much time. Or was there? I didn’t know to ask that question. Okay, I know this is growing—is there enough time for me to get a consultation? I don’t know if maybe I could have waited a few days. I just don’t know, because I didn’t know that question to ask... But I just went ahead and signed away because I felt like I was—I hate to say the word bullied, but I felt like I was in a corner. I was like oh my god—this cancer’s bigger than me, just get it out, kill it! Do what you need to do.”— Participant 1, female, breast cancer, 30–39 years old at diagnosis .

“I, I mostly blamed myself for my inexperience in hospitals, I guess. But yeah, I felt like people weren’t necessarily completely clear, well, telling me exactly what I had to do. What I should do. Like when I should ask for help or when I didn’t need to, that sort of thing.”— Participant 2, female, renal cell carcinoma, 30–39 years old at diagnosis .

“I felt like I had to be the care coordinator. I had to make sure everybody knew what the other was doing. Proactively ask for appointments—like okay, I’m going to have to get radiation next. And they’re like oh, you can wait for that until the week before, and I was like, but what if I don’t like [the provider]? You’re going to put me in a box. So I had to just be proactive to get the kind of care that I wanted to get. And I felt like my care coordinator, which is exhausting.”— Participant 4, female, breast cancer, 30–39 years old at diagnosis .

“I was first getting treatment somewhere and I didn’t feel completely taken care of there. As a nurse practitioner, I felt like I was asking—I was supposed to be a patient then, I wasn’t supposed to be a health care provider. So I felt like I was directing my care and I was reminding them of things. It didn’t feel like the right fit for me with my oncologist and the care team, so I ended up after getting a second opinion switching to another hospital.”— Participant 3, female, Hodgkin’s lymphoma, 20–29 years old at diagnosis .

“Gosh, that’s really why I became an advocate—I just couldn’t believe the lack of treating me as a holistic person. I understand that I guess to be an oncologist you’re going to meet patients who ultimately die from it, and I get that they’re trying to make sure that you don’t die, and that is of course great, you kind of need that. But what about a nurse navigator or even like the nurse? There was no follow up... there needs to be a middle person. Whether it be that nurse or that social worker, and it should be mandatory that every AYA... have an initial conversation [with them] and then determine if you want to work with them...The follow ups just go through the cracks.”— Participant 1, female, breast cancer, 30–39 years old at diagnosis .

“I felt like my oncologist was very good at giving me medications to deal with nausea and other side effects when I needed them...But I had to research online what are things that I could use and then go and ask for it, as opposed to someone presenting me with “these are all the resources” or “these are things you should consider, let us know what you need”. I felt like the latter would have been much more helpful. I went to [other specialty cancer centers, and] both of those hospitals did provide that. Like “here’s your coordinator, here’s a whole pamphlet, here’s all the resources we have. Here’s how you use each one”. So I thought that was really cool.”— Participant 4, female, breast cancer, 30–39 years old at diagnosis .

3.3. Mental Health Support

“Definitely anxiety, depression for sure. I think those would be the biggest two that I’ve had to deal with. It’s an everyday struggle … Anxious about my cancer getting worse or also having cancer in my family or friends, since I already know what it feels like, having cancer. I wouldn’t want any of my loved ones to go through the same thing.”— Participant 6, female, breast cancer, 30–39 years old at diagnosis .

“Cancer is trauma, and even though a lot may not equate it with that term, because they just don’t know, a lot of us have PTSD. And that’s not talked about enough… every experience in the AYA community matters. So that might be why someone would not [talk to a researcher about their cancer experience], because they might feel like you could talk to someone better. It’s really about insecurity, but also too how they’ve been treated throughout their treatment. It can be hard to discuss and be traumatic. I can now verbally talk about it without bursting into tears, but not everyone can.”— Participant 1, female, breast cancer, 30–39 years old at diagnosis .

“Obviously having cancer kind of like fucks you up mentally. But I’ve been going to therapy, I actually take an antianxiety med now.”— Participant 8, female, Hodgkin’s lymphoma, 15–19 years old at diagnosis .

“Like I thought, I thought I was alone for like five years … Post treatment I actually had a really bad depressive episode, because I was just in such despair because I thought I was alone and no one else was like me. And I did hours of searching and finally found a couple of organizations that led me to other things. But I would have liked to have those resources [earlier], I wouldn’t have felt so alone.”— Participant 8, female, Hodgkin’s lymphoma, 15–19 years old at diagnosis .

“I actually learned about the support groups from Instagram … just as a young Black woman, [it was important] to see other women of color that were young and that looked like me, because I was not seeing that at my cancer center. So that was a huge support for me. Also, just by sharing my story, it allowed me to pay it forward to other young adults and also inspired me to get involved in advocacy work.”— Participant 9, female, breast cancer, 30–39 years old at diagnosis .

3.4. Peer Support and Making “Cancer Friends”

“It’s bad enough I’m an AYA, it’s bad enough I’m Black, it’s bad enough I’m a woman, it’s bad enough that I am an only child. I feel like all of these things were hitting me—and I have cancer, and now I literally have no one? It’s been hard.”— Participant 1, female, breast cancer, 30–39 years old at diagnosis .

“So, I think at the time the quintessential experience of being the youngest person at the cancer center in the waiting room, you know, not seeing anybody else my age unless they were in a caregiver capacity... And just feeling like I was the only person my age that had cancer and was getting treatment. And so the experience was very different when you are under 40. I didn’t know other people that had gone through that at the time.”— Participant 10, male, testicular cancer, 30–39 years old at diagnosis .

“As I was nearing the end of chemotherapy, I was feeling like I couldn’t really talk to my friends the same, and I didn’t really have people to relate to, and I felt like an astronaut. My brain was foggy, I really wanted to talk to someone about [my side effects and stuff] without worrying people. I remember Stupid Cancer was the big [AYA organization] at the time, and I saw that they had in-person Meetups. I decided to go … and then I instantly was like oh, maybe this [is] a window into a community I didn’t even know existed. I didn’t picture people in their 20s and 30s with cancer hanging out before this. That was the beginning of making cancer friends, [we have fun but] also if someone does need to vent about their situation, treatment, insurance, or relationships going away because of cancer, you’re the perfect [person] to talk to about it.”— Participant 11, male, testicular cancer, 30–39 years old at diagnosis .

“I went through a lot of side effects. I literally had the motherlode of side effects and what was very hurtful was when my oncologist would be like yeah, you know, a lot of patients get that. Well, it’s my first time seeing my tongue turn black, so you might want to have some sort of—I don’t know, like compassion for how freaked out I would be. Even my throat would swell and I had difficulty swallowing. ‘Oh, I’ve seen it before, I’ve seen worse.’ Well, I’ve never seen worse.”— Participant 1, female, breast cancer, 30–39 years old at diagnosis .

“I wish that that there was an AYA program at the hospital to tell me about these resources. To tell me like, hey, there’s a Gilda’s Club, it’s 10 to 15 min from here. There’s a meeting once a month. You can go and meet people your own age. It’s safe. People are really cool. Check it out. And now you can join these virtually. Just having somebody to say to me that is totally normal to feel that way. There are other people your age that get treatment here and you can meet them. That would have been really awesome.”— Participant 10, male, testicular cancer, 30–39 years old at diagnosis .

“I think just introducing for patients, that adolescent young adult oncology exists, and there is support out there for AYA’s. I didn’t really dive into the AYA support community until after treatment and got connected to a lot of resources and a lot of friends that way. But I think if I had known that resources like that existed while I was going through treatment, it would have been helpful just to know that I wasn’t alone and all these amazing organizations exist.”— Participant 12, female, osteosarcoma, 15–19 years old at diagnosis .

3.5. Empathic Communication about Fertility Preservation

“When I got diagnosed in the hospital … they had brought in a blood specialist and he described leukemia to me … After he left one of the interns immediately asked me, like so do you have any kids? And I was like no. And he was like, have you thought about freezing your eggs? And I’m like, dude, this dude just told me about cancer, like I haven’t, I can’t talk about kids right now like. You know?”— Participant 13, female, leukemia, 20–29 years old at diagnosis .

“The timing was rushed because it was overwhelming. I feel like if you sit down with anybody, man, woman, whatever, and tell them you might not be able to have kids, that’s pretty heavy and something you want to sit with. And … it’s not like it was free to go get the sperm banking done and have it stored. But I was like well, if I don’t do this, that might be it, I might never have kids. Even if I don’t want them at the moment, taking the option off just seemed scary. So yeah, I would have liked to have had more time.”— Participant 11, male, testicular cancer, 30–39 years old at diagnosis .

“Everything for me happened within like three days, so there was no, no ability to like, I don’t even know what it’s called. But to … freeze my eggs, I didn’t have that option because of the type of cancer I had everything had to be done so quickly. The only thing I was told in regards to fertility is you may not be able to have kids. There’s a high likelihood with the chemotherapy you are receiving that you may not be able to have children after this. There was no offering of like any type of resources. I only found that out afterwards, [about] all like the different type of programs for patients.”— Participant 15, female, leukemia, 20–29 years old at diagnosis .

“We talked about [fertility preservation] in [my support] group before and I guess, well, I mean for guys it’s easy, so they’re super on top of it as far as when we spoke about it. But a lot of [women] who were in similar positions to me where it was all just really sad. From my experience [the doctors] were like, okay, you’re here now, here’s your doctor, here’s your treatment. Oh, by the way there’s this [fertility preservation option], we kind of want to get started right now, so could you just not [have kids] … It wasn’t a huge deal, but I was a little sad.”— Participant 14, female, leukemia, 20–29 years old at diagnosis .

“There should have been a follow up call [after my diagnosis]. Because that was a really intense moment. My first time as the patient … Why wasn’t there a follow up? Like hey, I know you just heard a lot of information, let’s talk about this. I feel like I should have at least been required to get a consultation with an infertility specialist, even though it wouldn’t have been covered under my insurance. I feel that conversation should at least have been had so they could make sure I was really making the best decision for myself at that time. Sorry, I get really passionate and very angered about it.”— Participant 1, female, breast cancer, 30–39 years old at diagnosis .

“I lost my fertility. No one prepared me for that. I didn’t receive initial counseling going into that surgery or coming out of it. I didn’t expect to experience that kind of grief, because I was single all this time, and childless, and now I am chronically single and barren forever. None of my doctors cared to see how that would affect me.”— Participant 1, female, breast cancer, 30–39 years old at diagnosis .

“I don’t really have trouble communicating with [doctors]. I’m a lawyer and I did a lot of research, so I generally got the comments that ‘oh, you’re so knowledgeable, you’re an easy patient.’ [But] I don’t think they necessarily answered all my questions, or gave me all the resources that were available, or were upfront about side effects, which I found frustrating…[the doctors failed] to mention fertility resources [so] I found my own stuff … I certainly wouldn’t say I got most of my information from my oncologist, but I found it in other places.”— Participant 4, female, breast cancer, 30–39 years old at diagnosis .

“My oncologist is very respectful of my wishes in terms of wanting to have another baby … but then [she] also wasn’t afraid to tell me, you know, we can only do one round of harvesting your eggs, because it’s not safe to do more. She did a really good job acknowledging my dream and weighing that accordingly, [so] I’m not risking life … but I’m still able to try to, you know, preserve my fertility before having this definitive surgery.”— Participant 5, female, ovarian cancer, 30–39 years old at diagnosis .

“Before I started chemo, my social worker came to talk to me in the hospital room and she just wanted me to know like hey, your doctors want you to do chemo, but you don’t have to do it right now, you can work on the fertility thing, if it’s important to you. So she made me feel comfortable that it was okay to delay the treatment.”— Participant 7, female, leukemia, 20–29 years old at diagnosis .

3.6. Financial Burden and Need for Support

“We needed help, we had help from family and friends, but again, the financial burden … is just a nightmare. You got the financial burden, you got the paperwork. You’re supposed to be focusing on your health.”— Participant 5, female, ovarian cancer, 30–39 years old at diagnosis .

“I worked in fine dining and didn’t have any insurance … And then the diagnosis alone racked up I think tens of thousands of [dollars in] debt and I was just through biopsies and scans and you know. I was going to, which is laughable, but it was called free clinic. It took a long time before I was diagnosed; go get bloodwork, come back in two weeks, schedule another appointment for two weeks later. And debt was mounting.”— Participant 16, male, Hodgkin’s lymphoma, 20–29 years old at diagnosis .

“I probably know more about the American health services than I ever wanted to know … it’s just not the way I would have liked to have learned it.”— Participant 8, female, Hodgkin’s lymphoma, 15–19 years old at diagnosis .

“With my age I am able to be on my dad’s insurance and it is a really good insurance plan. So it hasn’t been like insanely expensive or anything … But as I approach my 26th birthday, the cutoff [of staying on my parents’ insurance], I have lots of concerns with finding good health care on my own.”— Participant 14, female, leukemia, 20–29 years old at diagnosis .

3.7. Quality of Life

“When I was first diagnosed I was studying for a board license for civil engineering. I was still thinking I’m going to be in chemo for eight hours, I’ll have a lot of time to study at the hospital. It wasn’t like that at all. That’s when I was in denial, and I think after that, that’s when depression hit me. I was like you know what? It’s over, I’m just going to keep my job now. There’s no way I can study for the exam … Sometimes in my back of my mind I’m still thinking I want to be a licensed engineer and all I have to do is pass that exam. I start dreaming that when I pass the exam, I’m going to get my promotion and travel more, which I used to do before diagnosis … I guess career-wise I still think about getting my license, even if I don’t keep working in the engineering field, I want to feel accomplished. I want to be able to say even through or despite cancer, I was still able to accomplish that.”— Participant 6, female, breast cancer, 30–39 years old at diagnosis .

“So because I got sick, at least with my internship hours, I could have been done last December. But I was going through treatment. And my friend and I were collecting hours and going to school at the same time. She already finished herself, got certified, she’s my boss right now. She’s my supervisor. We were like at the same level, she’s already above me. So and she doesn’t treat me any lower, but I’m still a little upset sometimes because I could have been there by now if I hadn’t gotten sick.”— Participant 13, female, leukemia, 20–29 years old at diagnosis .

“I’ve been a dog groomer on and off for about 10 years. And I when I was finally able to get back into work [right after my surgery], I felt like they didn’t understand what I was going through. Like I was very anxious, and there’s a lot of sounds in a grooming salon. And it was really putting me on edge. And I started to wear earplugs to deal with that. And then I started getting like looks from my coworkers and like I just started to feel less and less welcome there. And I just gave up on it and I ended up quitting that job. I just didn’t feel very good there anymore.”— Participant 2, female, renal cell carcinoma, 30–39 years old at diagnosis .

“I did officially go back up to my regular hours, but there are some days that I take time off for appointments. I try to schedule for example my scans in one day, for example, so I only have to take one day off whenever I can…It’s not just cancer that we deal with, we still have to deal with what other people go through as well, for example taking time out for dental and eye doctor appointments. I still have to take time off for that.”— Participant 6, female, breast cancer, 30–39 years old at diagnosis .

“I had never been to the hospital before. And so I had to go through getting my diagnosis. Going through all these different procedures. And every one alone. They transferred me because they didn’t have the resources where I live to treat me. They transferred me to Houston, so my life got uprooted. My job put on hold. I had to move about five hours away so I could get treatment.”— Participant 13, female, leukemia, 20–29 years old at diagnosis .

3.8. Information about and Support Mitigating Side Effects and Late Effects

“The important elements for young adult cancer care compared to the typical cancer patient that you think of, like 50, 60, 70, they’re worried more about the here and now, and they don’t necessarily have to worry about side effects 20, 30 years down the road, because life expectancy, they won’t be there. I was diagnosed at 25. God willing, I’ll be alive for 50 more years beyond that. I don’t want to be dealing with side effects for years on end, so if there’s an option that’s a little bit more conservative treatment, which will possibly result in less side effects but maybe instead of saying it’s 100% certain, it’s 80% certain. That’s a 20% difference, so I think addressing that in terms that are easily understood by young adults, and also not in a talk down to manner, is super important.”— Participant 17, male, testicular cancer, 20–29 years old at diagnosis .

“Oh, and then the thing I always forget are the other secondary effects of treatment. I had to have both shoulders and both hips replaced, and I had no idea that was going to be in my future whatsoever, at the time of treatment.”— Participant 18, female, leukemia, 20–29 years old at diagnosis .

“I have osteoporosis and I’m not even 25 yet, so that’s kind of concerning for the future.”— Participant 14, female, leukemia, 20–29 years old at diagnosis .

“The one thing I do deal with is, because of all the surgery I’ve had, I have chronic nerve pain, nerve damage, so that’s not fun to deal with. I wish I would have known that it was a possibility, because I was not told that it was a possibility that this could happen.”— Participant 19, female, sarcoma, 15–19 years old at diagnosis .

“I’ve got major issues with the majority of my organs. I have liver damage. I have heart failure. I was in a wheelchair for a while. I was on bedrest for a very long time right after everything. I am disabled. I am on disability. And I do not have the energy I once did. Napping and every couple days just being totally exhausted is kind of part of my life.”— Participant 20, female, leukemia, 30–39 years old at diagnosis .

“I have permanent damage—I don’t feel my feet, my toes from the upper balls to my toes. Sometimes the numbness goes up my legs… and I’ve fallen, actually almost fractured my ankle in January because I didn’t feel my foot. It was so sudden and severe, and … no one seemed to take it as seriously as I did, which is frustrating.”— Participant 1, female, breast cancer, 30–39 years old at diagnosis .

3.9. Attention to the Unique Needs of Young Adults

“[My center had] an AYA program. Granted, they have so much volume because they have a special unit, so I think volume begets resources. But they have providers who are knowledgeable and not just oncologists, but lots of different providers who are knowledgeable about issues that AYA’s face, especially fertility. Sometimes we respond differently to drugs. If every center could have somebody who has a special research focus, to keep up to date on AYA’s. Or a pamphlet, a website, that even would have been helpful. I feel like there’s many ways to skin the cat, but it’s just providing age-appropriate information.”— Participant 4, female, breast cancer, 30–39 years old at diagnosis .

“But I definitely wanted more [young adult] support specifically. And not just in general cancer support, I went through this huge ordeal; it’s completely life changing. And I just, to me the more support I’m getting I feel more in control and I have more power.”— Participant 5, female, ovarian cancer, 30–39 years old at diagnosis .

4. Discussion

4.1. care coordination and healthcare system navigation, 4.2. mental health support, 4.3. aya peer support, 4.4. empathic communication about fertility preservation, 4.5. financial burden, 4.6. quality of life, 4.7. education and support regarding side effects and late effects, 4.8. attention to the unique needs of young adults, 4.9. limitations, 4.10. implications for cancer survivors, 5. conclusions, supplementary materials, author contributions, institutional review board statement, informed consent statement, data availability statement, acknowledgments, conflicts of interest.

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Figueroa Gray, M.S.; Shapiro, L.; Dorsey, C.N.; Randall, S.; Casperson, M.; Chawla, N.; Zebrack, B.; Fujii, M.M.; Hahn, E.E.; Keegan, T.H.M.; et al. A Patient-Centered Conceptual Model of AYA Cancer Survivorship Care Informed by a Qualitative Interview Study. Cancers 2024 , 16 , 3073. https://doi.org/10.3390/cancers16173073

Figueroa Gray MS, Shapiro L, Dorsey CN, Randall S, Casperson M, Chawla N, Zebrack B, Fujii MM, Hahn EE, Keegan THM, et al. A Patient-Centered Conceptual Model of AYA Cancer Survivorship Care Informed by a Qualitative Interview Study. Cancers . 2024; 16(17):3073. https://doi.org/10.3390/cancers16173073

Figueroa Gray, Marlaine S., Lily Shapiro, Caitlin N. Dorsey, Sarah Randall, Mallory Casperson, Neetu Chawla, Brad Zebrack, Monica M. Fujii, Erin E. Hahn, Theresa H. M. Keegan, and et al. 2024. "A Patient-Centered Conceptual Model of AYA Cancer Survivorship Care Informed by a Qualitative Interview Study" Cancers 16, no. 17: 3073. https://doi.org/10.3390/cancers16173073

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The state of decentralization of the healthcare system and nutrition programs in the Lao People’s Democratic Republic: an organizational study

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BMC Health Services Research volume  24 , Article number:  1037 ( 2024 ) Cite this article

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The Lao People’s Democratic Republic (Lao PDR), a lower-middle income country, has a higher malnutrition rate than other Southeast Asian countries. The decentralization of healthcare is a determinant of the effectiveness of programs to reduce malnutrition, but no study has focused on this factor in this country. This organizational study explores the state of decentralization of the healthcare system in Lao PDR that underlies the nutrition programs in the country.

A qualitative study, which is based on a neo-institutional theory conceptual framework, explored factors related to dominant structure (laws, regulations, resources) and interpretative schemes (dominant ideas and beliefs) that characterize the nutrition services provided in the Lao healthcare system. Twenty-four semistructured interviews were performed with representatives of healthcare institutions involved in nutrition programs at different government levels, external donors and civil society organizations. The interviews were completed with relevant documents. The analysis focused on the convergence of interpretative schemes of the organizations concerned and the coherence between the structure underpinning the nutrition programs and the interpretative schemes.

Services deployed to reduce malnutrition in the Lao PDR remain largely centralized, despite factors specific to the country that led it to promote decentralization of its services. The convergence of interpretive schemes and the coherence between the observed structure and the interpretative schemes of actors at all governance levels ensure the stability of this state of decentralization, which has persisted for almost 50 years.

Nutrition programs in the Laos PDR are largely under the responsibility of the central government. The transformations in the healthcare system, notably with the use of new information technologies and the fact that the provinces are populated by a growing number of professionals trained in nutrition in addition to factors that push the system to be decentralized, such as ethnic diversity, the increasing availability of human resources in provinces, and the use of communication technologies, are not strong enough to change the balance of power between governance levels. The deconcentration that characterizes decentralization is therefore likely to continue for the foreseeable future.

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The World Health Organization (WHO) defines malnutrition as deficiencies, excesses, or imbalances in a person’s intake of energy and/or nutrients, encompassing three broad groups of conditions: undernutrition (including wasting, stunting, and underweight); micronutrient-related malnutrition (including deficiencies or excesses of essential vitamins and minerals); and overweight, obesity, and diet-related noncommunicable diseases [ 1 ]. Undernutrition and micronutrient-related malnutrition are the main issues generally addressed by nutrition interventions aimed at five-year-old children in developing countries [ 2 , 3 ]. Children under 5 in lower-middle-income countries are particularly vulnerable to undernutrition and its lifelong effects [ 4 , 5 ], which manifest as wasting (acute undernutrition or severe weight loss due to insufficient food intake and/or infectious disease), stunting (chronic undernutrition leading to low height-for-age and irreversible long-term physical and cognitive damage), and underweight (low weight-for-age, potentially indicating stunting, wasting, or both) [ 5 ]. The WHO highlights that nearly half of deaths among children under 5 years of age are linked to undernutrition. These deaths predominantly occur in low-and middle-income countries [ 1 ].

Undernutrition among children under five years of age is a public health priority in the Lao PDR [ 6 ]. The prevalence of stunting, an indicator often used to estimate the prevalence of chronic malnutrition, is among the highest in East Asia [ 7 ], with a national rate estimated at 31.5% in 2022 [ 8 ]. This rate surpasses those in neighboring lower-middle-income countries, such as Vietnam (20%), Cambodia (22%), and Myanmar (27%) [ 9 ]. According to the WHO standards, stunting is considered critical if it exceeds the threshold of 30% [ 5 ]. Acute malnutrition, estimated by the prevalence of wasting, is still a public health problem among children under five years of age in Lao PDR. The prevalence of wasting is 10%, which is the same as that in Cambodia but higher than that in Myanmar (7%) and Vietnam (5%) [ 9 ]. Furthermore, the problem of malnutrition is unevenly distributed across the territory of Lao PDR. Rural and ethnic minority children are at greater risk of stunting than are urban and majority ethnic groups [ 10 ]. There was a 15% lower risk of stunting for urban children than for their rural counterparts (24% vs. 39%). In Phongsaly Province, the stunting prevalence is as high as 54%, in contrast to the 14% reported in the Vientiane Capital. Additionally, the prevalence of wasting was the lowest in the province of Luangnamtha (3%) and highest in the province of Xayabury (19%) [ 11 ].

The state of healthcare system decentralization has been shown to be a determinant of nutritional status in developing countries [ 12 , 13 ]. Decentralization involves transferring power and responsibility from the central government to lower levels of governance, impacting healthcare service accessibility, quality, and equity [ 14 , 15 , 16 , 17 ]. Decentralization is commonly categorized into three major forms: 1) Deconcentration involves the central government handing over some authority to local administrative offices within the health ministry, allowing local management to handle health-related activities with some discretion; 2) Delegation entails the central government transferring defined managerial and administrative functions to institutions outside the central government's hierarchical structure, which are indirectly controlled by the health ministry; and 3) Devolution refers to the central government legally transferring power to locally elected political organs that operate independently of the central government in specific functions [ 15 ].

Lao PDR has a deconcentration form of decentralization [ 18 , 19 ]. While local levels can provide input for program adaptation to local needs, ultimate control remains with the central government, which can veto decisions made by regional or local health offices [ 20 , 21 ]. In Lao PDR, the dynamics and forces influencing the current state of decentralization are shaped by the country's unique historical-political context and distinctive population characteristics. These factors contribute to the complex nature of power sharing across different government levels. The first factor is related to the historical concept of Lao PDR, which is rooted in the notion of " meuang "[ 22 ]. A meuang is a walled city led by a local ruler overseeing surrounding settlements and villages [ 22 , 23 ]. Each meuang maintained its governance, with oversight and protection from the kingdom but without interference in internal affairs. While the nineteenth century shift toward a centralized state model introduced Western administrative practices, the meuang concept remains deeply ingrained in Lao society, lending historical legitimacy to decentralization forces [ 22 , 24 ]. The second factor is the country's ethnic diversity. The country has 49 official minority groups constituting nearly half the population. Minorities often reside in remote areas [ 25 ]. Decentralizing power and assigning responsibilities to local levels is expected to empower authorities to more effectively customize health programs to meet the diverse needs of the population.

These decentralizing forces are counterbalanced by centralizing forces due in great part to the sociocultural context influenced by Confucianist ideology, which emphasizes social harmony and respect for authority and promotes political centralization in East Asia, including Lao PDR [ 26 , 27 , 28 ]. Moreover, the limited human and financial resources of the central government, which still rely heavily on donor funding, push toward the centralization of the healthcare system and program functioning [ 29 , 30 , 31 ]. From an organizational perspective, these factors create a complex balance between decentralization and centralization in the Lao healthcare system.

Little work has been done in Lao PDR on how the state of decentralization affects the functioning of public health programs, despite being an organizational determinant of health. This organizational study examines the status of decentralization of the healthcare system in Lao PDR and its influence on the National Nutrition Policy.

Conceptual framework

The conceptual framework used in this study was based on neo-institutional theory (NIT) [ 32 , 33 ]. NITs view organizations as social structures that must conform to the expectations and pressures of their institutional environment, which includes normative and regulatory forces [ 34 , 35 ]. This approach was considered relevant for this study because decentralization is an institutionalized concept. The form of decentralization that underlies the nutrition policy in the country arises from sociohistorical and legal factors that institutionalize the distribution of powers that govern the functioning of the policy.

Different NIT conceptual frameworks have been proposed. The one used in this study is the one that was proposed by Hinings and Greenwood in 1988 [ 36 ]. It considers the dialectic between the structure, i.e., the laws, rules, and resources that constrain the work performed in an organization, and the interpretive schemes and their meaning-making processes that shape individual and collective behavior that are dominant in a society, i.e., the dominant ideas and beliefs [ 36 , 37 ]. This dialectic approach has been widely used in studies on public policies concerning the nature of institutional structures [ 38 , 39 , 40 , 41 , 42 ]. From these two dimensions, the structural dimension emphasizes the importance of formalizing corporate values and standards in the organization’s standardized policies and procedures, formalizing decision-making processes, and creating hierarchical structures to ensure compliance with institutionalized environmental factors. On the other hand, the interpretive schemes dimension focuses on the importance of shared meanings and beliefs in shaping organizational behaviors [ 32 , 43 ]. This dimension emphasizes that organizations are influenced by both individual and shared beliefs, values, and norms within their institutional environment. These elements shape the organizational actors' understanding and interpretation of what constitutes legitimate and appropriate behaviors [ 35 , 44 , 45 ]. By doing so, organizations can gain legitimacy and ensure their survival in complex and dynamic institutional environments [ 34 , 35 , 45 , 46 ].

Study design

A case study based on an ethnographic design was conducted to examine patterns of social organization and ideational systems that underlie formal/informal structures, as well as the dominant values, behaviors and beliefs of the groups involved in nutrition interventions in Lao PDR [ 47 , 48 , 49 ]. The data were collected from documents and semistructured interviews with representatives of governmental organizations, nongovernmental organizations (NGOs), and civil society organizations (CSOs) involved in nutrition programs in four provinces of Lao PDR. The nutrition programs in this study are those that align with the Lao National Nutrition Plans and Strategies; they encompass interventions and programs from the health and other sectors that are expected to positively influence nutritional indicators. The data were collected between January and June 2022.

Data collection

Interview Guide

An interview guide (see Fig.  1 ) was developed for this study based on the dimensions of the conceptual framework. This interview guide included a pretest with three members of the Lao Tropical and Public Health Institute (Lao TPHI), who has experience in nutrition research in Lao PDR. These individuals were not part of the study's participants. The participants were asked about their current state of malnutrition in Lao PDR and changes over time, as well as insights into power sharing among government levels and external actors. The questions also covered the organization’s experiences and responsibilities in the field of nutrition. Discussions have further explored perspectives on structural elements (policies, regulations, rules) and common beliefs affecting the healthcare system's ability to address nutrition issues.

Study sites

To capture the diversity of the country, the latest available national-level data on nutritional status were presented for three provinces with contrasting nutrition situations: Luangnamtha, Xayabury, and Saravan (Table  1 ). Vientiane capital was chosen because of its status as the location of the Ministry of Health (MoH) and national child nutrition-focused institutions (Maternal and Child Health Center and Nutrition Center), as well as the headquarters of development donors and civil society organizations. Luangnamtha, a northern province and one of the most economically developed in the country, has seen remarkable improvements in nutrition indicators. Xayabury, which is also in the north and adjacent to the capital, has experienced little improvement in terms of stunting and underweight rates, with an increase in wasting in recent years. Saravan, in the southern region and one of the poorest provinces of the country, has among the highest prevalence rates of all types of malnutrition, with no significant changes in recent years [ 50 , 51 ].

Source of information

Two sources of information were used for the analysis in this study: interviews with representatives of key institutions and relevant documents [ 52 ].

Representatives of key institutions

The following criteria were used to recruit participants for individual interviews. The participants had to 1) occupy a formal position in relation to nutrition within their organization; 2) be in their current position for at least one year; 3) be authorized to speak on behalf of their organization regarding projects related to nutrition in children under five years of age; and 4) be able to speak one of the languages spoken by the interviewer: Lao (official language), English, or French.

A purposeful sampling approach was used to constitute the sample [ 53 , 54 ]. A preliminary list of participants was created by one of the researchers (SK). At the end of each interview, the participants were asked to suggest additional organizations or individuals who could offer different perspectives. This snowball sampling method aimed to diversify opinions until data saturation was achieved [ 47 , 55 ].

Following administrative protocols, a project summary and discussion topics were initially sent to organization directors for approval. The latter identified individuals within their organization who might have participated in the study. These persons were contacted and asked for their permission to receive project details via fax, WhatsApp, or email. Any queries were addressed through phone calls. If the solicited person agreed, they signed a consent form. The interviews were subsequently scheduled at a mutually convenient time. The participants could choose between face-to-face or online videoconference interviews (Zoom or Google Meet). The interviews, which lasted 45 to 90 min, were audio-recorded with consent, and handwritten notes were taken for documentation and impressions.

To supplement the information provided during the interviews, all documents written in English, Lao, or French on nutrition policies and power sharing between different government levels in Lao PDR were also analyzed. These documents included published academic papers, documents provided by individuals who were interviewed, and documents found on the website of their organization.

Data analysis

All interviews conducted in Lao or French were translated into English by the interviewer and sent to the coauthor who has the least mastery of the Lao language. The realism of the translation was verified by sending a first version of the analyses to three people interviewed, who had to confirm that they found their opinions there. The interviews and document content were analyzed using NVivo 11 software. The interviews and document contents were subsequently analyzed through four main steps: 1) data coding (where data were segmented into meaningful units such as phrases, sentences, or paragraphs); 2) categorization (coded data were then grouped into themes or concepts); 3) coding of themes in connection with the conceptual framework; and 4) comparison of emerging information with published studies on the topic [ 56 ].

The analysis was performed using an inductive-deductive approach [ 57 , 58 ]. The validity of the results was ensured by four elements: 1) credibility based on the triangulation of information provided by multiple sources; 2) transferability through a detailed description of the participants, research process and study context to help the reader judge the relevance of the results for another context [ 59 , 60 ]; 3) reliability based on analyses performed independently by the researcher and one of her supervisors and the search for a consensus between them in case of discrepancy; and 4) confirmability through a detailed and transparent record of the research process, including the data collection, analysis, interpretation and discussion notes from the meetings with coresearchers [ 61 ].

Twenty-four semistructured interviews were conducted with representatives of key organizations: government institutions, United Nations (UN) agencies, international nongovernmental organizations (NGOs), and civil society organizations (CSOs). The participants were primarily women (16 out of 24). The average age was 47 years, with a range from 32 to 61 years. Three participants worked in the healthcare system at the central level, five at the provincial level, five at the district level, and three in health centers (formally known as small hospitals). Three participants worked for UN agencies, and two worked for NGOs. One was a consultant, and two were active members of civil society associations. Twenty-two interviews were conducted in the Lao language (Table  2 ).

Eleven documents were analyzed: 1) Fiscal Decentralization in the People’s Democratic Republic of Lao; 2) Decentralization in Lao PDR: A case study of the Effectiveness of Three Build Directive Policy on Local Authority; 3) the role of Marxism in the Lao political system in the contemporary era; 4) the health system review of Lao PDR in 2014; 5) the Prime Minister’s Decree No. 570 on the organizations and operations of the Ministry of Health in 2021; 6) the National Plan of Action on Nutrition (NPAN) 2021–2025; 7) the National Immunization Programme. Updated Comprehensive Multi-Year Plan Lao PDR 2019–2023; 8) Government spending on health in Lao PDR in 2012; 9) National Nutrition Policy in 2008; 10) National Nutrition strategies to 2025 and Plan of Action 2016–2020; and 11) Operational guideline for the implementation of the National Plan of Action on Nutrition (NPAN) 2021 to 2025 [ 6 , 18 , 19 , 62 , 63 , 64 , 65 , 66 , 67 , 68 , 69 ].

State of decentralization of the Lao healthcare system

Formally, the decentralization of the Lao health system is of the deconcentration type (Fig.  2 ). The Ministry of Health (MoH) oversees the entire healthcare system, which operates across three levels of governance: central, provincial, and district. Provincial and district health authorities’ main responsibility is to ensure that health facilities comply with centrally defined rules [ 6 , 65 ]. Private providers must adhere to centrally defined regulations [ 6 ].

Government-level power sharing in Lao PDR. Sources: Health System Review in Lao 2014; National Plan of Action on Nutrition (NPAN) 2021–2025; National Immunization Programme: Updated Comprehensive Multi-Year Plan Lao PDR 2019–2023; and the Prime Minister’s Decree No. 570 on the organizations and operations of the Ministry of Health in 2021 [ 6 , 63 , 64 , 68 ]

All decisions concerning human and financial resources in the health care sector must be routed through the central level, represented by the MoH and other ministries, notably the Ministry of Finance (MoF), which is responsible for overall fiscal policy and sectoral allocations of the annual recurrent budget. Other ministries are also involved. The Ministry of Planning and Investment (MPI) oversees capital budget allocation, whereas the Ministry of Home Affairs (MHA) manages the total number of civil servants and sectoral allocations of human resource quotas, including the annual recruitment of health personnel at all administrative levels [ 6 , 65 ].

Most respondents (19/24) highlighted the fact that in practice, the power dynamics between levels of governance are complex because constitutional power-sharing arrangements are also under political influence. Official documents support this assertion when they emphasize that in the Lao PDR, the Lao People's Revolutionary Party (LPRP) is the body that has the constitutional mandate to exercise leadership across all levels of government [ 18 , 62 ].

Power sharing between government levels and nutrition programs in Lao PDR

The Lao MoH has the ultimate responsibility for uni- and multisectoral nutrition programs. While the Provincial Health Department (PHD) and District Health Office (DHO) are responsible for implementing and ensuring the functionality of services, the central government retains control over which interventions to offer and over the allocation of human, financial, and material resources [ 66 , 69 ] (Table  3 ).

At the central level, operational leadership in the field of nutrition is formally led by the Multisectoral National Nutrition Committee (MSNNC), which comprises the Ministry of Health, Ministry of Planning and Investment, Ministry of Agriculture and Forestry, Ministry of Education and Sports, and other ministries and mass organizations. The MSNNC defines priorities, assesses local needs, and oversees the implementation of centrally sanctioned interventions at local levels (Table  3 ). Although the responsibility for the MSNNC falls under the MoH, the MSNNC is chaired by the Deputy Prime Minister and deputy chaired by the Deputy Minister of Health. Its members consist of deputy ministers of eight ministries and the vice-director or the secretary of the LPRP’s mass organizations. The MSNNC serves as the central committee overseeing the hierarchical structure of other nutrition committees at the provincial, district, and village levels. The MSNNC structure has been conceived with the idea of having leadership able to promote intersectionality of nutrition interventions [ 6 , 63 , 64 , 66 ].

Yet, under the authority of the Politburo of the LPRP, the Lao national government holds supreme authority, whereas provincial governments possess financial responsibilities and managerial duties. Provincial administration is directly supervised by the central government under the principle of democratic centralism [ 18 , 19 ].

Structure and interpretive schemes underlying the decentralization state of nutrition programs in the Lao PDR

Seven factors related to the structure and interpretative schemes that influence the effectiveness of nutrition programs emerged from the analysis of interviews and documents (Fig.  3 ).

Factors associated with the decentralization type of nutrition programs in Lao PDR

Structural factors

Five main structural factors emerge from the data underlying the decentralization state of nutrition programs in Lao PDR: 1) the existence of a public policy; 2) the availability of human resources; 3) the source of funding; 4) the key role of mass organizations; and 5) communication tools.

A national nutrition public policy

Interventions on malnutrition in Lao PDR are primarily based on a public policy, the National Nutrition Policy (NNP), which was enacted in 2008. This policy provides the legal framework for mobilizing and coordinating actors that can contribute to improving nutrition indicators, regardless of their sector. The policy is operationalized through formal strategic plans developed by the MoH. These official documents define the responsibilities of agencies addressing malnutrition among the different levels of government in the country [ 63 , 66 , 69 ]. All participants agreed that a public policy on nutrition is essential for ensuring intersectoral collaboration at various levels of governance. The policy is seen as a structural foundation that, while centralizing, guarantees the ability of the concerned players to act.

Human resources

The second structuring element that emerges from the data is the fact emphasized by almost all respondents (21/24) and all documents dealing with nutrition [ 6 , 63 , 66 ] that the shortage of expertise outside the capital limits local governments from taking charge of nutrition programs more independently. The respondents also highlighted the fact that a shortage of human resources is compounded by a high turnover rate at all local levels. Turnover weakens the capacity to coordinate the numerous actors involved. Moreover, it drains a considerable part of the local budget, as it leads to continual staff training for nutrition interventions. In brief, all the participants recognized that the state of human resources made it difficult to imagine a program to combat malnutrition run by local authorities.

The health system, from the central to the village levels, is funded from three main sources: a budget allocated by the Ministry of Finance, direct payments at health facilities from users of health services, and funding from external donors, such as NGOs. Funds allocated by the central government are sent to provincial authorities, who then allocate these funds to districts according to planned budgets. These funds are designed for civil servants’ salaries as defined by the central government, as well as for the equipment needs of health establishments. Most of the money paid by service users can be kept by the hospital and used for recurrent costs, including staff wages, allowances, maintenance, utilities, and supplies. The rest (approximately 20%) should be handed over to the provincial or district finance department. Money provided by external donors for projects deployed in provinces and districts must be approved at the central level. One consequence of having multiple sources of financing nutrition activities is the variability in available funds for health services among districts and provinces [ 6 , 18 , 65 ].

The annual budget planning for nutrition interventions involves consultations and reports sent from the district to the provincial levels. The MoH then finalizes and submits it for approval by the National Assembly. In other words, nutrition programs are mainly under central government management. The majority of local-level participants (9/13) feel that this system is not optimal, the main reason being the uncertainty regarding the availability of financial resources over time. These respondents also deplore frequent delays in budget transfers, particularly transfers to remote areas. Above all, nearly all participants at the district and health center levels (6/8) mentioned that nutrition-targeted budgets are often merged with funds intended for non-nutrition public health interventions, as indicated in the following quotation.

“ There’s no other source of money. For the education or agriculture sector, the money would go to each sector separately. For these sectors, they have their own money for nutrition, but we don’t have. So, we need to depend on the integrated work. … Mainly, when we request to the central level, they said they don’t have money for our province anymore; there is only our provincial health office and their help that includes the budget, like they would include the nutrition on the integrated work, and then they manage the staff for it. The structure that divides clearly, it’s not always suitable in real situations ” said by the participant from the provincial level (P11)

The irregular flow of funds is partially offset by the availability of external funding, such as from NGOs [ 63 , 66 ]. However, activities funded by external entities require preapproval from the central government.

The fact that no respondent was able to propose solutions to the problem of funding uncertainty suggests that current funding mechanisms contribute significantly to the solidity of the structure underpinning the decentralization of nutrition programs and hence to the stability of the decentralization type that underlies nutrition programs.

LPRP’s mass organizations

In Lao PDR, the LPRP’s mass organizations, particularly Lao Women’s Union (LWU), are unavoidable collaborators in nearly all programs implemented at the population and community levels that aim to reduce the prevalence of malnutrition. Even if these organizations do not necessarily have expertise in health education which is one of their main contributions, there is a consensus among participants that they have proven to be a valuable substitute for the shortage of professionals in the field. This is expressed in the following quotation:

“…there are the LPRP grassroot members in the meeting (nutrition committee meeting at the district level), who we invited to join us, as well as the standing and district LPRP committee who divides the responsibility for guiding each population group, whoever is responsible for our target group, we would take them to the field, as well as the mass organization, especially the Lao Front for National Development as a main actor to discuss this, second is the Women Union that we can’t forget them, we would take them going to the field with us.” said by the participant from the district level (P17)

This general feeling is also recorded in several official documents [ 6 , 62 , 66 ].

In short, the constant presence of mass organizations whose primary function, in addition to contributing to health education programs, is to increase LPRP values in the population reinforces the power of the central level in nutrition programs deployed in communities.

Communication tools

All the participants underscore the pivotal role of social networks, such as Facebook and WhatsApp, in expediting decision-making processes that previously relied on formal communication channels and informal social gatherings. According to the participants, social media has increased the capacity of nutrition programs to reach their objectives by enabling professionals involved in nutrition programs everywhere to be easily reached and to ask questions without navigating through time consuming and poorly effective bureaucratic procedures. The participants also highlighted that these new technologies inject a sense of dynamism through the competition they foster among teams. This sentiment is captured in the following quotation:

“In the groups, there are staff (DHO staff) and department level (PHD staff) together... If the department (PHD staff) is not in the group, they will send the responsible staff to join the group. So, we always exchange (information) with each other. Whenever the central level (staff) sends messages in the group, everyone always responds. They couldn’t act like they haven’t seen it (messages) because we have the responsibilities for our work, and they also have their responsibilities. If they don’t answer, it means that they haven’t followed up (on the work)” said by the participant from the central level (P01)

There is a consensus that new communication tools have reshaped the power dynamics between central and local levels of governance in Lao PDR. They allow overpassing the traditional hierarchical structure of the healthcare system that is supported by communication channels such as those based on the exchange of information by paper (including faxes). This trend empowers lower levels to directly engage with higher-level actors at the central level, fostering a possible emerging capacity for a more decentralized dynamic inside the field of nutrition programs.

Interpretive schemes

Two main interpretive factors emerged from the data underlying the decentralization state of nutrition programs in Lao PDR: 1) the understanding of the causes and consequences of malnutrition; and 2) the perception of the roles of different levels of government in implementing malnutrition interventions.

Understanding the causes and consequences of malnutrition

The participants across different levels of governance in Lao PDR share a common understanding of the causes and challenges of malnutrition. All the participants recognized that malnutrition is a multifaceted issue requiring attention on both the demand and supply sides. They emphasized the fact that in a resource-limited country such as Lao PDR, factors such as a lack of human and financial resources, combined with contextual challenges in vulnerable communities such as poverty, cultural barriers, and food insecurity must all be considered. Additionally, there is a consensus among participants that addressing malnutrition necessitates multisectoral programs, as programs limited to calories and micronutrients may have a limited impact on improving the condition of malnourished children. Numerous other issues, such as water, sanitation, and hygiene (WASH), gender, and the educational levels of parents, have been found to be key determinants of nutrition. They require significant collaboration from different sectors and stakeholders. In short, there is a broad consensus among stakeholders on interpretive schemes.

Perception of the capacity of the different levels of governance to assume nutrition responsibilities

The majority of participants across various levels of government (10/16) spontaneously declared that interventions to address malnutrition should be led by the central government, citing the fact that the government has expertise and control over the human, financial and material resources necessary for the programs. It is also recognized that district-level health workers, particularly in remote regions, may lack sufficient training and resources. The remaining six participants did not express an opinion on this matter. Although half of the participants at the local level mentioned that regions are increasingly populated by well-trained healthcare professionals, they believe that this trend cannot have a significant impact on the power sharing arrangements for nutrition programs due to the shortage of human resources, especially in remote regions and because local health volunteers and mass organizations largely compensate for human resource needs.

Therefore, there is no question among participants regarding the state of decentralization of services that underpin nutrition programs in the country.

Dialectic between structure and interpretive schemes

In brief, there is coherence between the structure and interpretive schemes that underlie the sharing of responsibilities across governance levels in nutrition programs and interventions in Lao PDR. This coherence is reinforced by the respondents' belief that the desired effects of socioeconomic changes, such as an increase in the number of well-trained nutrition professionals and the use of communication tools empowering regional health workers, cannot sufficiently alleviate human resource needs in the provinces. The system of division of responsibilities between governance levels that has lasted for approximately fifty years is therefore likely to be stable. It is likely to remain so for the foreseeable future.

In Lao PDR, powerful forces are pushing the Lao healthcare system toward more centralization than decentralization, despite factors that support greater autonomy for local authorities.

Every organization concerned with nutrition programs seems to be satisfied with this situation and perceives it as a determinant of the effectiveness of nutrition programs. None of the respondents suggested an alternative approach, despite acknowledging that socioeconomic changes are endowing regions with the capacity to manage public health programs that were previously unimaginable. Therefore, there is convergence of interpretive schemes among concerned actors, as well as coherence between structure and interpretive schemes. This convergence signifies a shared vision of nutrition challenges in the country and the capacity to address them, regardless of organizational concerns or hierarchical levels of governance. The coherence between structure and interpretive schemes reveals a general feeling that the current distribution power among governance levels is the most appropriate way to meet the nutritional needs of the population.

From an organizational perspective seen through a neoinstitutional lens [ 70 ], the main consequence is that the distribution of responsibilities in nutrition services among different government levels has remained stable since the event of the Lao PDR in 1975.

The findings of this study highlight how a country's sociopolitical context influences the state of decentralization and the functioning of its public health programs. In the case of immunization programs in Lao PDR, three notable factors impact their implementation: the Lao sociopolitical background, the availability of resources, and the use of new technologies such as WhatsApp by health professionals. These elements have reshaped the dynamics of the deconcentrated healthcare system and its program operation [ 31 ].

Theoretically, a centralized healthcare system should lead to more standardized public health programs and health services across the country if it ensures consistent application, quality of care, and equitable distribution of resources [ 71 , 72 , 73 ]. However, given the diverse contexts among provinces, a one-size-fits-all approach may not be optimal, especially for complex and multisectoral interventions like nutrition programs. These programs often require adaptation to the specific needs and capacities of local contexts and populations in different communities to be truly effective [ 74 , 75 ].

In a diverse country like Lao PDR, public health interventions require adaptation and more flexible interventions and activities to meet the varied needs of different communities. Empowering local authorities, who are more familiar with local contexts and issues, could improve the management of activities and resources, leading to better interventions that address the specific needs of their populations. In other single-party countries, decentralization has been shown to effectively strengthen public health programs and enhance their effectiveness [ 76 , 77 ].

The documents and interview findings from this study indicate that the formal structure of the healthcare system in Lao PDR is well defined. The organizational structures of the NNP identify the roles and responsibilities of stakeholders from the central level of the MoH to the implementation level of the village. However, in practice, the implemented programs aimed at reducing the prevalence of malnutrition in children under age 5 in the country are far more challenging than the formal structure suggests [ 78 ]. Addressing nutrition outcomes requires a long-term and multifaceted approach, particularly when contributions among actors and power-sharing roles involve local governments working with multiple stakeholders at all levels.

Indeed, Lao PDR faces challenges in reversing the conditions that would allow local governments to put more of their own initiatives into nutrition programs. Unlike in neighboring countries like Vietnam or Thailand, in Lao PDR, the only training on nutrition is a course integrated into a public health master’s program. Additionally, Lao PDR, a country as large as the United Kingdom with a population of 7.7 million inhabitants, is a sparsely populated country. Fifteen of its eighteen provinces have fewer than 500,000 inhabitants. Only one has more than a million [ 79 ]. A small population reduces the likelihood of building a critical mass of people from a given province with expertise in nutrition. Although constraints on qualified human resources are common in many low-resource countries [ 80 , 81 ], these constraints, coupled with the population context in Lao PDR, obviously significantly contribute to the centralization of the Lao healthcare system. In fact, this need for expertise is not limited to nutrition. Optimizing interventions to reduce the prevalence of malnutrition in children under 5 years of age requires tailored approaches that consider the diverse cultural and regional contexts of the population and address multisectoral programs and interventions including food security, water, sanitation, hygiene, maternal education, and social protection. The complexity of these interventions requires multidisciplinary teams [ 63 , 67 , 82 ]. Poorly populated provinces might not be able to gather all this desired expertise. Finally, Lao PDR receives funding for its nutrition program from several external donors and NGOs. This necessitates central-level coordination that might be even more crucial once the country has left, supposedly in 2026, the group of the least developed countries [ 83 ]. Leaving this group will have consequences for the support provided by external actors. Expectations are that the central government will assume more responsibilities for its nutrition programs in the near future.

Finally, advancements in communication technologies and the arrival of better-trained human resources offer hope for addressing the shortage of quality human resources that hinder local authorities' leadership in nutrition programs. An increasing number of graduated individuals living in the provinces are proficient in the use of new technologies [ 84 ]. This increased utilization of technology is anticipated to further transform traditional barriers that govern interactions among stakeholders. Additionally, interpretive patterns are likely to evolve as professionals in provinces become better informed and more willing to customize nutrition programs to meet the specific needs of local populations. However, owing resource shortages and uneven population distribution in Lao PDR, there are unequal opportunities for local levels to assume more responsibility for nutrition interventions, with little to no chance for decision-making at the local level. This is expected to limit the capacity of sub-national levels from contributing more substantially to nutrition programs than they currently do.

None of the respondents evoked a future where nutrition programs would be more decentralized. Nevertheless, they acknowledged that the current state of decentralization is suboptimal. They recognized that one of the undesirable effects of centralization is the difficulty in adapting services to the specific needs of diverse populations.

Limitations

This study has several limitations. First, respondents were selected by their organization directors following administrative procedures mandated by research projects in Lao PDR. While this method has likely allowed to capture a diverse range of perspectives on malnutrition, it may have excluded individuals who disagreed with the official discourse. Although the two coders felt that additional interviews would not yield new information, it is possible that additional insights might have been generated by more interviews if soliciting directly potential participants directly could have been done.

Second, as is common in qualitative studies, unconscious subjectivity and bias among researchers may have influenced some interpretations. However, the risk is mitigated by ensuring the validity of four elements of the results, particularly through the triangulation of information from interviews and document reviews, as well as through independent analyses conducted by two researchers.

Finally, the generalizability of the results may be limited. The Lao context is unique, and nutrition programs have specificities that may differ from those of other national health programs functioning in the country. Consequently, the findings of this study may not be directly applicable to other programs or countries, including those with single-party governance structures.

Decentralization of the Lao healthcare system is of the deconcentrated type, i.e. a system largely under the responsibility of the central government. The transformations taking place in the healthcare system, notably with the use of new information technologies, are changing relationships between individuals across different levels of government and the fact that the provinces are populated by a growing number of professionals trained in nutrition. These factors could lead people to believe that the system would give more responsibility to provincial governments to improve their malnutrition status at local levels. However, the data show that these changes are probably not yet strong enough to change a structure that has endured for approximately fifty years. The deconcentration that characterizes decentralization is therefore likely to continue for the foreseeable future.

Availability of data and materials

The datasets during and/or analyzed during the current study are available from the corresponding author upon reasonable request.

Abbreviations

Civil society organizations

District health offices

Lao People’s Democratic Republic

Lao People's Revolutionary Party

Lao Women's Union

Ministry of Home Affairs

Multi-sectorial National Nutrition Committee

Ministry of finance

Ministry of health

Ministry of planning and investment

Nongovernmental organizations

National Nutrition Policy

National Nutrition Strategy and Plan of Action

National Plan of Action on Nutrition

• Neo-institutional Theory

Provincial health departments

United Nations

Village health volunteers

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Acknowledgements

We would like to express our sincere thanks to all the participants who generously shared their valuable experiences with us. We would also like to express our thanks to the organizations that assisted us in participant recruitment. The first author P.V. extends her special thanks to the Canadian Francophonie Scholarship Program (CFSP) for their support during her doctoral studies.

This research was supported by the Canadian Francophonie Scholarship Program, under the Canadian Bureau for International Education, Government of Canada.

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PV: conceptualization and design; acquisition of data; analysis and interpretation of data; writing original draft; and writing review and editing of the manuscript. SK: recruitment of participants; writing review and editing the manuscript; and supervision. DR: conceptualization and design; analysis and interpretation of data; writing review and editing of the manuscript and supervision. All authors have read and approved the final manuscript.

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Viphonephom, P., Kounnavong, S. & Reinharz, D. The state of decentralization of the healthcare system and nutrition programs in the Lao People’s Democratic Republic: an organizational study. BMC Health Serv Res 24 , 1037 (2024). https://doi.org/10.1186/s12913-024-11513-y

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