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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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How To Make Conceptual Framework (With Examples and Templates)

We all know that a research paper has plenty of concepts involved. However, a great deal of concepts makes your study confusing.

A conceptual framework ensures that the concepts of your study are organized and presented comprehensively. Let this article guide you on how to make the conceptual framework of your study.

Related: How to Write a Concept Paper for Academic Research

Table of Contents

At a glance: free conceptual framework templates.

Too busy to create a conceptual framework from scratch? No problem. We’ve created templates for each conceptual framework so you can start on the right foot. All you need to do is enter the details of the variables. Feel free to modify the design according to your needs. Please read the main article below to learn more about the conceptual framework.

Conceptual Framework Template #1: Independent-Dependent Variable Model

Conceptual framework template #2: input-process-output (ipo) model, conceptual framework template #3: concept map, what is a conceptual framework.

A conceptual framework shows the relationship between the variables of your study.  It includes a visual diagram or a model that summarizes the concepts of your study and a narrative explanation of the model presented.

Why Should Research Be Given a Conceptual Framework?

Imagine your study as a long journey with the research result as the destination. You don’t want to get lost in your journey because of the complicated concepts. This is why you need to have a guide. The conceptual framework keeps you on track by presenting and simplifying the relationship between the variables. This is usually done through the use of illustrations that are supported by a written interpretation.

Also, people who will read your research must have a clear guide to the variables in your study and where the research is heading. By looking at the conceptual framework, the readers can get the gist of the research concepts without reading the entire study. 

Related: How to Write Significance of the Study (with Examples)

What Is the Difference Between Conceptual Framework and Theoretical Framework?

Both of them show concepts and ideas of your study. The theoretical framework presents the theories, rules, and principles that serve as the basis of the research. Thus, the theoretical framework presents broad concepts related to your study. On the other hand, the conceptual framework shows a specific approach derived from the theoretical framework. It provides particular variables and shows how these variables are related.

Let’s say your research is about the Effects of Social Media on the Political Literacy of College Students. You may include some theories related to political literacy, such as this paper, in your theoretical framework. Based on this paper, political participation and awareness determine political literacy.

For the conceptual framework, you may state that the specific form of political participation and awareness you will use for the study is the engagement of college students on political issues on social media. Then, through a diagram and narrative explanation, you can show that using social media affects the political literacy of college students.

What Are the Different Types of Conceptual Frameworks?

The conceptual framework has different types based on how the research concepts are organized 1 .

1. Taxonomy

In this type of conceptual framework, the phenomena of your study are grouped into categories without presenting the relationship among them. The point of this conceptual framework is to distinguish the categories from one another.

2. Visual Presentation

In this conceptual framework, the relationship between the phenomena and variables of your study is presented. Using this conceptual framework implies that your research provides empirical evidence to prove the relationship between variables. This is the type of conceptual framework that is usually used in research studies.

3. Mathematical Description

In this conceptual framework, the relationship between phenomena and variables of your study is described using mathematical formulas. Also, the extent of the relationship between these variables is presented with specific quantities.

How To Make Conceptual Framework: 4 Steps

1. identify the important variables of your study.

There are two essential variables that you must identify in your study: the independent and the dependent variables.

An independent variable is a variable that you can manipulate. It can affect the dependent variable. Meanwhile, the dependent variable is the resulting variable that you are measuring.

You may refer to your research question to determine your research’s independent and dependent variables.

Suppose your research question is: “Is There a Significant Relationship Between the Quantity of Organic Fertilizer Used and the Plant’s Growth Rate?” The independent variable of this study is the quantity of organic fertilizer used, while the dependent variable is the plant’s growth rate.

2. Think About How the Variables Are Related

Usually, the variables of a study have a direct relationship. If a change in one of your variables leads to a corresponding change in another, they might have this kind of relationship.

However, note that having a direct relationship between variables does not mean they already have a cause-and-effect relationship 2 . It takes statistical analysis to prove causation between variables.

Using our example earlier, the quantity of organic fertilizer may directly relate to the plant’s growth rate. However, we are not sure that the quantity of organic fertilizer is the sole reason for the plant’s growth rate changes.

3. Analyze and Determine Other Influencing Variables

Consider analyzing if other variables can affect the relationship between your independent and dependent variables 3 .

4. Create a Visual Diagram or a Model

Now that you’ve identified the variables and their relationship, you may create a visual diagram summarizing them.

Usually, shapes such as rectangles, circles, and arrows are used for the model. You may create a visual diagram or model for your conceptual framework in different ways. The three most common models are the independent-dependent variable model, the input-process-output (IPO) model, and concept maps.

a. Using the Independent-Dependent Variable Model

You may create this model by writing the independent and dependent variables inside rectangles. Then, insert a line segment between them, connecting the rectangles. This line segment indicates the direct relationship between these variables. 

Below is a visual diagram based on our example about the relationship between organic fertilizer and a plant’s growth rate. 

b. Using the Input-Process-Output (IPO) Model

If you want to emphasize your research process, the input-process-output model is the appropriate visual diagram for your conceptual framework.

To create your visual diagram using the IPO model, follow these steps:

• Determine the inputs of your study . Inputs are the variables you will use to arrive at your research result. Usually, your independent variables are also the inputs of your research. Let’s say your research is about the Level of Satisfaction of College Students Using Google Classroom as an Online Learning Platform. You may include in your inputs the profile of your respondents and the curriculum used in the online learning platform.
• Outline your research process. Using our example above, the research process should be like this: Data collection of student profiles → Administering questionnaires → Tabulation of students’ responses → Statistical data analysis.
• State the research output . Indicate what you are expecting after you conduct the research. In our example above, the research output is the assessed level of satisfaction of college students with the use of Google Classroom as an online learning platform.
• Create the model using the research’s determined input, process, and output.

Presented below is the IPO model for our example above.

c. Using Concept Maps

If you think the two models presented previously are insufficient to summarize your study’s concepts, you may use a concept map for your visual diagram.

A concept map is a helpful visual diagram if multiple variables affect one another. Let’s say your research is about Coping with the Remote Learning System: Anxiety Levels of College Students. Presented below is the concept map for the research’s conceptual framework:

5. Explain Your Conceptual Framework in Narrative Form

Provide a brief explanation of your conceptual framework. State the essential variables, their relationship, and the research outcome.

Using the same example about the relationship between organic fertilizer and the growth rate of the plant, we can come up with the following explanation to accompany the conceptual framework:

Figure 1 shows the Conceptual Framework of the study. The quantity of the organic fertilizer used is the independent variable, while the plant’s growth is the research’s dependent variable. These two variables are directly related based on the research’s empirical evidence.

Conceptual Framework in Quantitative Research

You can create your conceptual framework by following the steps discussed in the previous section. Note, however, that quantitative research has statistical analysis. Thus, you may use arrows to indicate a cause-and-effect relationship in your model. An arrow implies that your independent variable caused the changes in your dependent variable.

Usually, for quantitative research, the Input-Process-Output model is used as a visual diagram. Here is an example of a conceptual framework in quantitative research:

Research Topic : Level of Effectiveness of Corn (Zea mays) Silk Ethanol Extract as an Antioxidant

Conceptual Framework in Qualitative Research

Again, you can follow the same step-by-step guide discussed previously to create a conceptual framework for qualitative research. However, note that you should avoid using one-way arrows as they may indicate causation . Qualitative research cannot prove causation since it uses only descriptive and narrative analysis to relate variables.

Here is an example of a conceptual framework in qualitative research:

Research Topic : Lived Experiences of Medical Health Workers During Community Quarantine

Conceptual Framework Examples

Presented below are some examples of conceptual frameworks.

Research Topic : Hypoglycemic Ability of Gabi (Colocasia esculenta) Leaf Extract in the Blood Glucose Level of Swiss Mice (Mus musculus)

Figure 1 presents the Conceptual Framework of the study. The quantity of gabi leaf extract is the independent variable, while the Swiss mice’s blood glucose level is the study’s dependent variable. This study establishes a direct relationship between these variables through empirical evidence and statistical analysis . 

Research Topic : Level of Effectiveness of Using Social Media in the Political Literacy of College Students

Figure 1 shows the Conceptual Framework of the study. The input is the profile of the college students according to sex, year level, and the social media platform being used. The research process includes administering the questionnaires, tabulating students’ responses, and statistical data analysis and interpretation. The output is the effectiveness of using social media in the political literacy of college students.

Research Topic: Factors Affecting the Satisfaction Level of Community Inhabitants

Figure 1 presents a visual illustration of the factors that affect the satisfaction level of community inhabitants. As presented, environmental, societal, and economic factors influence the satisfaction level of community inhabitants. Each factor has its indicators which are considered in this study.

Tips and Warnings

• Please keep it simple. Avoid using fancy illustrations or designs when creating your conceptual framework. 
• Allot a lot of space for feedback. This is to show that your research variables or methodology might be revised based on the input from the research panel. Below is an example of a conceptual framework with a spot allotted for feedback.

Frequently Asked Questions

1. how can i create a conceptual framework in microsoft word.

First, click the Insert tab and select Shapes . You’ll see a wide range of shapes to choose from. Usually, rectangles, circles, and arrows are the shapes used for the conceptual framework. 

Next, draw your selected shape in the document.

Insert the name of the variable inside the shape. You can do this by pointing your cursor to the shape, right-clicking your mouse, selecting Add Text , and typing in the text.

Repeat the same process for the remaining variables of your study. If you need arrows to connect the different variables, you can insert one by going to the Insert tab, then Shape, and finally, Lines or Block Arrows, depending on your preferred arrow style.

2. How to explain my conceptual framework in defense?

If you have used the Independent-Dependent Variable Model in creating your conceptual framework, start by telling your research’s variables. Afterward, explain the relationship between these variables. Example: “Using statistical/descriptive analysis of the data we have collected, we are going to show how the <state your independent variable> exhibits a significant relationship to <state your dependent variable>.”

On the other hand, if you have used an Input-Process-Output Model, start by explaining the inputs of your research. Then, tell them about your research process. You may refer to the Research Methodology in Chapter 3 to accurately present your research process. Lastly, explain what your research outcome is.

Meanwhile, if you have used a concept map, ensure you understand the idea behind the illustration. Discuss how the concepts are related and highlight the research outcome.

3. In what stage of research is the conceptual framework written?

The research study’s conceptual framework is in Chapter 2, following the Review of Related Literature.

4. What is the difference between a Conceptual Framework and Literature Review?

The Conceptual Framework is a summary of the concepts of your study where the relationship of the variables is presented. On the other hand, Literature Review is a collection of published studies and literature related to your study. 

Suppose your research concerns the Hypoglycemic Ability of Gabi (Colocasia esculenta) Leaf Extract on Swiss Mice (Mus musculus). In your conceptual framework, you will create a visual diagram and a narrative explanation presenting the quantity of gabi leaf extract and the mice’s blood glucose level as your research variables. On the other hand, for the literature review, you may include this study and explain how this is related to your research topic.

5. When do I use a two-way arrow for my conceptual framework?

You will use a two-way arrow in your conceptual framework if the variables of your study are interdependent. If variable A affects variable B and variable B also affects variable A, you may use a two-way arrow to show that A and B affect each other.

Suppose your research concerns the Relationship Between Students’ Satisfaction Levels and Online Learning Platforms. Since students’ satisfaction level determines the online learning platform the school uses and vice versa, these variables have a direct relationship. Thus, you may use two-way arrows to indicate that the variables directly affect each other.

• Conceptual Framework – Meaning, Importance and How to Write it. (2020). Retrieved 27 April 2021, from https://afribary.com/knowledge/conceptual-framework/
• Correlation vs Causation. Retrieved 27 April 2021, from https://www.jmp.com/en_ph/statistics-knowledge-portal/what-is-correlation/correlation-vs-causation.html
• Swaen, B., & George, T. (2022, August 22). What is a conceptual framework? Tips & Examples. Retrieved December 5, 2022, from https://www.scribbr.com/methodology/conceptual-framework/

Written by Jewel Kyle Fabula

in Career and Education , Juander How

Jewel Kyle Fabula

Jewel Kyle Fabula is a Bachelor of Science in Economics student at the University of the Philippines Diliman. His passion for learning mathematics developed as he competed in some mathematics competitions during his Junior High School years. He loves cats, playing video games, and listening to music.

Browse all articles written by Jewel Kyle Fabula

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Theoretical vs Conceptual Framework

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

I 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.

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.

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.

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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

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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!

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

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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.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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6. Supporting Your Study with Theoretical Constructs

Learning Objectives

By the end of this chapter, you will be able to:

• Describe the purpose of theoretical frameworks in capstone projects.
• Explain the purpose of conceptual frameworks in capstone projects.
• Explain the purpose of planning models in capstone projects.
• Compare and contrast theoretical frameworks, conceptual frameworks, and planning models.
• Describe at least two ways that a theoretical framework can strengthen a capstone project.
• Utilize strategies to select an appropriate framework or model for your capstone project.

This chapter addresses the relevance of selecting a theoretical framework, conceptual framework, or planning model to guide and support your capstone project.   Theoretical and conceptual frameworks are compared and contrasted.  Planning models are reviewed in the context of community program development.  The connection between frameworks and/or planning models with literature reviews is explained.  This chapter ends with a list of strategies that you can use to select an appropriate framework or model for your capstone project.  It is important that you meet with your mentor, and capstone instructors to ensure your choice of framework or planning model is appropriate.

Introduction

The theoretical framework is a very important aspect of the capstone process.  The importance of theory-driven thinking and acting is emphasized in relation to the selection of a topic, the development of the PIO/PICO question, the conceptualization of the literature review, the design approach, and the outcome/analysis plan of your capstone project.  Consequently, the theoretical framework provides your capstone project with a grounding base, or an anchor, for the literature review, the methods, and the analysis for your capstone project.  Your choice of a theory will provide structure to your entire capstone project.  It provides a common worldview or lens from which to support your thinking on the problem and analysis of data (Grant & Osanloo, 2016).  It is important to discuss this important aspect of your capstone project with your capstone instructors and mentor to ensure it is suitable for your particular capstone project.

What is a Theoretical Framework?

The theoretical framework is the “blueprint” for the entire capstone project.  It serves as the guide on which to build and support your project.  While theories are formulated to explain, predict, and understand phenomena, frameworks provide critical support for developing aspects of the capstone project over time.   In many cases, theoretical frameworks are created to challenge and extend existing knowledge.  The theory you select for your capstone project offers a conceptual basis for understanding, analyzing, and designing ways to investigate a problem.  Therefore, the theoretical framework of a capstone project consists of the selected theory (or theories) that upholds your thinking with regards to how you understand and plan to investigate and review your topic, as well as the concepts and definitions from that theory that are pertinent to your topic (Grant & Osanloo, 2016).

The Importance of Theoretical Frameworks in Research

A theory is crucial for any capstone project to provide direction and to validate or disapprove a phenomenon. The role of the theoretical framework is to reduce your topic into two factors to simplify the concept:

• The identified need or problem
• The rationale for investigating the issue

A theoretical framework consists of concepts, together with their definitions, and existing theory/theories that are used for your capstone project.  The theoretical framework is vital to all capstone projects in order to clarify an implicit theory in a manner that is more clearly defined (Refer to Table 6.1:  How Theoretical Frameworks Strengthen a Study).

Table 6.1:  How Theoretical Frameworks Strengthen a Capstone Project

Sources: DeIuliis, E. D., Bednarski, J. A., Bell, A., & DeAngelis, T. (2020). 3. In The entry level Occupational Therapy Doctorate Capstone: A Framework for the experience and project (pp. 41–55). Essay, SLACK Incorporated; Organizing academic research papers: Theoretical framework. (n.d.). Retrieved September 1, 2022, from https://library.sacredheart.edu/c.php?g=29803&p=185919%3A

Strategies for Selecting an Appropriate Theoretical Framework

Selecting an appropriate theoretical framework for your capstone project is an important process.  The selection of a theoretical framework requires a deep and meticulous understanding of your problem, purpose, significance, and PIO/PICO question(s).  It is important that all four constructs: the problem, purpose, significance, and research questions are tightly aligned and interwoven so that your theoretical framework can serve as the foundation for your work and guide your choice of capstone project design and data analysis.  Our beliefs are influenced by assumptions, values, and ethics, which are all personal postulates; therefore, your fundamental beliefs will influence how you will examine and explore available information and research.  For this reason, it is important to reflect on your own worldview and way of conceptualizing problems.  It is important to remember that there is no one theory that fits best with any inquiry; therefore, it is important to select and provide a clear rationale for your theory choice to ensure that it aligns and supports the structure of your capstone project’s purpose, PIO/PICO question(s), significance, and design (Grant & Osanloo, 2016). (Refer to Table 6.2:  General Guidelines for Selecting a Theoretical Framework).

Table 6.2: General Guidelines for Selecting a Theoretical Framework

Sources: Osanloo, A., & Grant, C. (2016). 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), 7; Organizing academic research papers: Theoretical framework. (n.d.). Retrieved September 1, 2022, from https://library.sacredheart.edu/c.php?g=29803&p=185919%3A

What is a Conceptual Framework?

A conceptual framework is a structure that the investigator believes can best explain the natural phenomenon being studied.  Conceptual frameworks are linked with the concepts, empirical research, and important theories used in promoting or systemizing the knowledge promoted by the investigator.  Simply, conceptual frameworks present an integrated way of looking at a problem under exploration (Adom, Hussein & Adu-Agye, 2018).

The Importance of Conceptual Frameworks in Research

Conceptual frameworks assist the investigator in identifying and constructing their global perspective on the occurrence to be explored.  Conceptual frameworks are often used by investigators when existing theories are not applicable or sufficient in creating a firm structure for a project (Adom, Jussein & Adu-Agye, 2018).   (Refer to Table 6.3:  How Conceptual Framework Strengthen a Study).

Table 6.3:  How Conceptual Frameworks Strengthen a Study

Sources:  Adom, Dickson & Hussein, Emad & Adu-Agyem, Joe. (2018). Theoretical and conceptual framework:  Mandatory ingredients of a quality research . International Journal of Scientific Research. 7. 438-441; Afribary. (2020, December 3). Theoretical framework vs conceptual framework (differences and similarities) . Afribary. Retrieved September 3, 2022, from https://afribary.com/knowledge/theoretical-framework-vs-conceptual-framework/

Strategies for Selecting or Creating a Conceptual Framework

A conceptual framework illustrates the expected relationship of your research-based capstone variables.  It defines the relevant objectives for your capstone process and maps out how they come together to draw a clear, and comprehensive conclusion.  It should also be noted that conceptual frameworks should be identified or developed prior to data collection (Refer to Table 6.4:  General  Guidelines for Selecting or Creating a Conceptual Framework).

Table 6.4:  General Guidelines for Selecting or Creating a Conceptual Framework

Theoretical versus Conceptual Frameworks

Many students, researchers, and investigators ask whether theoretical frameworks are the same as conceptual frameworks. Theoretical and conceptual frameworks are neither interchangeable nor synonymous.  A theoretical framework is derived from an existing theory (or theories) in the literature that has already been tested and validated by others.  A theoretical framework is considered a generally accepted theory in scholarly literature.  Theoretical frameworks are usually developed from theoretical deduction rather than from observation or experience; however, a theoretical framework may also involve a theory that is developed during the capstone experience (Grant & Osanloo, 2016).

Conceptual frameworks are used to support the understanding of how a problem or issue will best be explored, the specific direction the project will have to take, and the relationship between different variables in a capstone project.  Conceptual frameworks lay out the key factors and variables and presumed relationships among them.  A conceptual framework offers a logical structure of connected concepts that help provide a picture or visual display of how ideas in a project relate to one another within the theoretical framework (Grant & Osanloo, 2016).  It should be noted that there are instances where researchers develop their conceptual frameworks from the theories that underpin their capstone project (Adom et al., 2018).

Theoretical and conceptual frameworks have some commonalities:

• They both point to the reliability of a study from previous research finding and theories
• Both explain the future course of the research study, rationalizing the reliability of the study
• Both are used to understand a research problem and to guide the development, collection, and analysis of a research study
• They both show the relationship between ideas and theories and how they relate to the study
• They both heighten the quality of a research study

Although theoretical and conceptual frameworks have some commonalities, they also have characteristics that make them different (Afribary, 2020).   (Refer to Table 6.4:  Differences Between Theoretical and Conceptual Frameworks),

Table 6.4:  Differences Between Theoretical and Conceptual Frameworks

What is a Planning Model

Planning models serve as an organizing framework for an entire health promotion effort, such as program development.  For this reason, planning models are considered much broader than theories.  Specifically, planning models are inclusive of theories and serve as a blueprint for building and improving health promotion programs.  It should be noted that a planning model does not specify the exact theory that should be used in program development; rather, it specifies basic procedures that can be used to guide the decision-making and program planning process.  While planning models provide very useful step by step guides for constructing and evaluating a program’s  effectiveness, it does not specify the theory that should be used.  Rather, a planning model does specify basic guidelines that will guide you through the process of making key decisions, including choosing an appropriate framework for your capstone project (Crosby & Noar, 2011; Pashmdarfard, Arabshahi, Shafaroodi, Mnehrabe, Parvizi & Haracz, 2020). The PRECEDE-PROCEED Model for community-program development will be detailed in Chapter 8 (Refer to Table 6.5:  Examples of Theoretical and Conceptual Frameworks and Planning Models)

Table 6.5:  Examples of Theoretical and Conceptual Frameworks and Planning Models

  Conclusion

This chapter discussed the important role of theoretical and conceptual frameworks in capstone projects.  A theoretical framework is the structure that can hold or support a theory of a capstone project.  Conceptual frameworks provides an integrated way of examining a problem or issue being explored.  Planning models are typically used in program development focusing on health promotion initiatives and will help guide you through the process of choosing an appropriate framework for your capstone project.

It is important to discuss this important component with your mentor and capstone instructors to ensure the framework chosen supports your study.

Case Study:  Selecting a Theoretical Framework

Glynn has continued to meet with their mentor, capstone instructor(s) the institution’s statistician, and librarians.  The following was solidified:

Title of Capstone Project :  A Health Literacy Workshop for Occupational Therapists Incorporating Elements of the Universal Precautions Toolkit:  A Research-Based Capstone Project in Occupational Therapy

PIO:   Does a health literacy workshop for occupational therapists that incorporates elements of the Health Literacy Universal Precautions Toolkit improve their working knowledge about health literacy, and increase their self-perceived ability to identify, assess, and implement client-centered interventions that optimize outcomes for low-health literate patients?

Type of Study:  Mixed Methods:  Quantitative Outcome Measures (Pre-Post Workshop Survey, Pre-Post Health Literacy Quiz) and Qualitative Outcome Measures: (Answer to open-ended questions included on Pre-Post Workshop Survey).

Independent Variable:  A Health Literacy Universal Precautions Workshop

  Dependent Variable(s):  -Knowledge of health literacy

• Self-perceived ability to identify low health  literate patients
• Self-perceived ability to assess low-health literate patients
• Self-perceived ability to implement client-centered interventions that optimize outcomes for low-health literate patients

Conceptual framework guiding the Capstone Project:  Diffusion of Innovations

Glynn will perform a literature review on her chosen theory to substantiate its relevance to their capstone project. Glynn will then work on their conceptual framework as it relates to the health literacy program they will be implementing. Glynn will then begin to work on the activities that will be included in their health literacy workshop (program implementation), participant recruitment (based on Inclusion and Exclusion criteria).  Glynn will complete an IRB application.  Once Glynn receives IRB approval, they will begin participant recruitment and program implementation:  A health literacy workshop for occupational therapy professionals in a skilled nursing facility, 1 time per week, one hour per session, for 6 weeks.

Optimizing Your Capstone Experience: A Guidebook for Allied Health Professionals Copyright © 2023 by Virginia E. Koenig is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

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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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• Writing Tips

How to Make a Conceptual Framework

6-minute read

• 2nd January 2022

What is a conceptual framework? And why is it important?

A conceptual framework illustrates the relationship between the variables of a research question. It’s an outline of what you’d expect to find in a research project.

Conceptual frameworks should be constructed before data collection and are vital because they map out the actions needed in the study. This should be the first step of an undergraduate or graduate research project.

What Is In a Conceptual Framework?

In a conceptual framework, you’ll find a visual representation of the key concepts and relationships that are central to a research study or project . This can be in form of a diagram, flow chart, or any other visual representation. Overall, a conceptual framework serves as a guide for understanding the problem being studied and the methods being used to investigate it.

Steps to Developing the Perfect Conceptual Framework

• Pick a question
• Conduct a literature review
• Identify your variables
• Create your conceptual framework

1. Pick a Question

You should already have some idea of the broad area of your research project. Try to narrow down your research field to a manageable topic in terms of time and resources. From there, you need to formulate your research question. A research question answers the researcher’s query: “What do I want to know about my topic?” Research questions should be focused, concise, arguable and, ideally, should address a topic of importance within your field of research.

An example of a simple research question is: “What is the relationship between sunny days and ice cream sales?”

2. Conduct a Literature Review

A literature review is an analysis of the scholarly publications on a chosen topic. To undertake a literature review, search for articles with the same theme as your research question. Choose updated and relevant articles to analyze and use peer-reviewed and well-respected journals whenever possible.

For the above example, the literature review would investigate publications that discuss how ice cream sales are affected by the weather. The literature review should reveal the variables involved and any current hypotheses about this relationship.

3. Identify Your Variables

There are two key variables in every experiment: independent and dependent variables.

Independent Variables

The independent variable (otherwise known as the predictor or explanatory variable) is the expected cause of the experiment: what the scientist changes or changes on its own. In our example, the independent variable would be “the number of sunny days.”

Dependent Variables

The dependent variable (otherwise known as the response or outcome variable) is the expected effect of the experiment: what is being studied or measured. In our example, the dependent variable would be “the quantity of ice cream sold.”

Next, there are control variables.

Control Variables

A control variable is a variable that may impact the dependent variable but whose effects are not going to be measured in the research project. In our example, a control variable could be “the socioeconomic status of participants.” Control variables should be kept constant to isolate the effects of the other variables in the experiment.

Finally, there are intervening and extraneous variables.

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Intervening Variables

Intervening variables link the independent and dependent variables and clarify their connection. In our example, an intervening variable could be “temperature.”

Extraneous Variables

Extraneous variables are any variables that are not being investigated but could impact the outcomes of the study. Some instances of extraneous variables for our example would be “the average price of ice cream” or “the number of varieties of ice cream available.” If you control an extraneous variable, it becomes a control variable.

4. Create Your Conceptual Framework

Having picked your research question, undertaken a literature review, and identified the relevant variables, it’s now time to construct your conceptual framework. Conceptual frameworks are clear and often visual representations of the relationships between variables.

We’ll start with the basics: the independent and dependent variables.

Our hypothesis is that the quantity of ice cream sold directly depends on the number of sunny days; hence, there is a cause-and-effect relationship between the independent variable (the number of sunny days) and the dependent and independent variable (the quantity of ice cream sold).

Next, introduce a control variable. Remember, this is anything that might directly affect the dependent variable but is not being measured in the experiment:

Finally, introduce the intervening and extraneous variables. 

The intervening variable (temperature) clarifies the relationship between the independent variable (the number of sunny days) and the dependent variable (the quantity of ice cream sold). Extraneous variables, such as the average price of ice cream, are variables that are not controlled and can potentially impact the dependent variable.

Are Conceptual Frameworks and Research Paradigms the Same?

In simple terms, the research paradigm is what informs your conceptual framework. In defining our research paradigm we ask the big questions—Is there an objective truth and how can we understand it? If we decide the answer is yes, we may be working with a positivist research paradigm and will choose to build a conceptual framework that displays the relationship between fixed variables. If not, we may be working with a constructivist research paradigm, and thus our conceptual framework will be more of a loose amalgamation of ideas, theories, and themes (a qualitative study). If this is confusing–don’t worry! We have an excellent blog post explaining research paradigms in more detail.

Where is the Conceptual Framework Located in a Thesis?

This will depend on your discipline, research type, and school’s guidelines, but most papers will include a section presenting the conceptual framework in the introduction, literature review, or opening chapter. It’s best to present your conceptual framework after presenting your research question, but before outlining your methodology.

Can a Conceptual Framework be Used in a Qualitative Study?

Yes. Despite being less clear-cut than a quantitative study, all studies should present some form of a conceptual framework. Let’s say you were doing a study on care home practices and happiness, and you came across a “happiness model” constructed by a relevant theorist in your literature review. Your conceptual framework could be an outline or a visual depiction of how you will use this model to collect and interpret qualitative data for your own study (such as interview responses). Check out this useful resource showing other examples of conceptual frameworks for qualitative studies .

Expert Proofreading for Researchers

Whether you’re a seasoned academic or not, you will want your research paper to be error-free and fluently written. That’s where proofreading comes in. Our editors are on hand 24 hours a day to ensure your writing is concise, clear, and precise. Submit a free sample of your writing today to try our services.

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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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