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What are Implications in Research?

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Manuscripts that do not mention the implications of the study are often desk-rejected by journals. What constitutes the ‘implications’ of research, and why is it important to include research implications in your manuscript?

Research implications: An overview

Once you have laid out the key findings in your paper, you have to discuss how they will likely impact the world. What is the significance of your study to policymakers, the lay person, or other researchers? This speculation, made in good faith, constitutes your study’ implications.

A research paper that does not explain the study’s importance in light of its findings exists in a vacuum. The paper may be relevant to you, the author, and some of your co-workers. But it is unclear how others will benefit from reading it.

How can the findings of your study help create a better world? What can we infer from your conclusion about the current state of research in your field or the quality of methods you employed? These are all important implications of your study.

You cannot predict how your study will influence the world or research in the future. You can only make reasonable speculations. In order to ensure that the implications are reasonable, you have to be mindful of the limitations of your study.

In the research context, only speculations supported by data count as valid implications. If the implications you draw do not logically follow the key findings of your study, they may sound overblown or outright preposterous.

Suppose your study evaluated the effects of a new drug in the adult population. In that case, you could not honestly speculate on how the drug will impact paediatric care. Thus, the implications you draw from your study cannot exceed its scope.

Practical implications

Imagine that your study found a popular type of cognitive therapy to be ineffective in treating insomnia. Your findings imply that psychologists using this type of therapy were not seeing actual results but an expectancy effect. Studies that can potentially impact real-world problems by prompting policy change or change in treatments have practical implications.

It can be helpful to understand the difference between an implication of your study and a recommendation. Suppose your study compares two or more types of therapy, ranks them in the order of effectiveness, and explicitly asks clinicians to follow the most effective type. The suggestion made in the end constitutes a ‘recommendation’ and not an ‘implication’.

Theoretical implications

Are your findings in line with previous research? Did your results validate the methods used in previous research or invalidate them? Has your study discovered a new and helpful way to do experiments? Speculations on how your findings can potentially impact research in your field of study are theoretical implications.

The main difference between practical and theoretical implications is that theoretical implications may not be readily helpful to policymakers or the public.

How to Write Implications in Research

Implications usually form an essential part of the conclusion section of a research paper. As we have mentioned in a previous article, this section starts by summarising your work, but this time emphasises your work’s significance .

While writing the implications, it is helpful to ask, “who will benefit the most from reading my paper?”—policymakers, physicians, the public, or other researchers. Once you know your target population, explain how your findings can help them.

Think about how the findings in your study are similar or dissimilar to the findings of previous studies. Your study may reaffirm or disprove the results of other studies. This is an important implication.

Suggest future directions for research in the subject area in light of your findings or further research to confirm your findings. These are also crucial implications.

Do not try to exaggerate your results, and make sure your tone reflects the strength of your findings. If the implications mentioned in your paper are convincing, it can improve visibility for your work and spur similar studies in your field.

For more information on the importance of implications in research, and guidance on how to include them in your manuscript, visit Elsevier Author Services now!

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How to Write an “Implications of Research” Section

4-minute read

• 24th October 2022

When writing research papers , theses, journal articles, or dissertations, one cannot ignore the importance of research. You’re not only the writer of your paper but also the researcher ! Moreover, it’s not just about researching your topic, filling your paper with abundant citations, and topping it off with a reference list. You need to dig deep into your research and provide related literature on your topic. You must also discuss the implications of your research.

Interested in learning more about implications of research? Read on! This post will define these implications, why they’re essential, and most importantly, how to write them. If you’re a visual learner, you might enjoy this video .

What Are Implications of Research?

Implications are potential questions from your research that justify further exploration. They state how your research findings could affect policies, theories, and/or practices.

Implications can either be practical or theoretical. The former is the direct impact of your findings on related practices, whereas the latter is the impact on the theories you have chosen in your study.

Example of a practical implication: If you’re researching a teaching method, the implication would be how teachers can use that method based on your findings.

Example of a theoretical implication: You added a new variable to Theory A so that it could cover a broader perspective.

Finally, implications aren’t the same as recommendations, and it’s important to know the difference between them .

Questions you should consider when developing the implications section:

●  What is the significance of your findings?

●  How do the findings of your study fit with or contradict existing research on this topic?

●  Do your results support or challenge existing theories? If they support them, what new information do they contribute? If they challenge them, why do you think that is?

Why Are Implications Important?

You need implications for the following reasons:

● To reflect on what you set out to accomplish in the first place

● To see if there’s a change to the initial perspective, now that you’ve collected the data

● To inform your audience, who might be curious about the impact of your research

How to Write an Implications Section

Usually, you write your research implications in the discussion section of your paper. This is the section before the conclusion when you discuss all the hard work you did. Additionally, you’ll write the implications section before making recommendations for future research.

Implications should begin with what you discovered in your study, which differs from what previous studies found, and then you can discuss the implications of your findings.

Your implications need to be specific, meaning you should show the exact contributions of your research and why they’re essential. They should also begin with a specific sentence structure.

Examples of starting implication sentences:

●  These results build on existing evidence of…

●  These findings suggest that…

●  These results should be considered when…

●  While previous research has focused on x , these results show that y …

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You should write your implications after you’ve stated the results of your research. In other words, summarize your findings and put them into context.

The result : One study found that young learners enjoy short activities when learning a foreign language.

The implications : This result suggests that foreign language teachers use short activities when teaching young learners, as they positively affect learning.

 Example 2

The result : One study found that people who listen to calming music just before going to bed sleep better than those who watch TV.

The implications : These findings suggest that listening to calming music aids sleep quality, whereas watching TV does not.

To summarize, remember these key pointers:

●  Implications are the impact of your findings on the field of study.

●  They serve as a reflection of the research you’ve conducted.              

●  They show the specific contributions of your findings and why the audience should care.

●  They can be practical or theoretical.

●  They aren’t the same as recommendations.

●  You write them in the discussion section of the paper.

●  State the results first, and then state their implications.

Are you currently working on a thesis or dissertation? Once you’ve finished your paper (implications included), our proofreading team can help ensure that your spelling, punctuation, and grammar are perfect. Consider submitting a 500-word document for free.

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Research Implications & Recommendations

A Plain-Language Explainer With Examples + FREE Template

By: Derek Jansen (MBA) | Reviewers: Dr Eunice Rautenbach | May 2024

The research implications and recommendations are closely related but distinctly different concepts that often trip students up. Here, we’ll unpack them using plain language and loads of examples , so that you can approach your project with confidence.

Overview: Implications & Recommendations

• What are research implications ?
• What are research recommendations ?
• Examples of implications and recommendations
• The “ Big 3 ” categories
• How to write the implications and recommendations
• Template sentences for both sections
• Key takeaways

Implications & Recommendations 101

Let’s start with the basics and define our terms.

At the simplest level, research implications refer to the possible effects or outcomes of a study’s findings. More specifically, they answer the question, “ What do these findings mean?” . In other words, the implications section is where you discuss the broader impact of your study’s findings on theory, practice and future research.

This discussion leads us to the recommendations section , which is where you’ll propose specific actions based on your study’s findings and answer the question, “ What should be done next?” . In other words, the recommendations are practical steps that stakeholders can take to address the key issues identified by your study.

In a nutshell, then, the research implications discuss the broader impact and significance of a study’s findings, while recommendations provide specific actions to take, based on those findings. So, while both of these components are deeply rooted in the findings of the study, they serve different functions within the write up.

Need a helping hand?

Examples: Implications & Recommendations

The distinction between research implications and research recommendations might still feel a bit conceptual, so let’s look at one or two practical examples:

Let’s assume that your study finds that interactive learning methods significantly improve student engagement compared to traditional lectures. In this case, one of your recommendations could be that schools incorporate more interactive learning techniques into their curriculums to enhance student engagement.

Let’s imagine that your study finds that patients who receive personalised care plans have better health outcomes than those with standard care plans. One of your recommendations might be that healthcare providers develop and implement personalised care plans for their patients.

Now, these are admittedly quite simplistic examples, but they demonstrate the difference (and connection ) between the research implications and the recommendations. Simply put, the implications are about the impact of the findings, while the recommendations are about proposed actions, based on the findings.

The “Big 3” Categories

Now that we’ve defined our terms, let’s dig a little deeper into the implications – specifically, the different types or categories of research implications that exist.

Broadly speaking, implications can be divided into three categories – theoretical implications, practical implications and implications for future research .

Theoretical implications relate to how your study’s findings contribute to or challenge existing theories. For example, if a study on social behaviour uncovers new patterns, it might suggest that modifications to current psychological theories are necessary.

Practical implications , on the other hand, focus on how your study’s findings can be applied in real-world settings. For example, if your study demonstrated the effectiveness of a new teaching method, this would imply that educators should consider adopting this method to improve learning outcomes.

Practical implications can also involve policy reconsiderations . For example, if a study reveals significant health benefits from a particular diet, an implication might be that public health guidelines be re-evaluated.

Last but not least, there are the implications for future research . As the name suggests, this category of implications highlights the research gaps or new questions raised by your study. For example, if your study finds mixed results regarding a relationship between two variables, it might imply the need for further investigation to clarify these findings.

To recap then, the three types of implications are the theoretical, the practical and the implications on future research. Regardless of the category, these implications feed into and shape the recommendations , laying the foundation for the actions you’ll propose.

How To Write The  Sections

Now that we’ve laid the foundations, it’s time to explore how to write up the implications and recommendations sections respectively.

Let’s start with the “ where ” before digging into the “ how ”. Typically, the implications will feature in the discussion section of your document, while the recommendations will be located in the conclusion . That said, layouts can vary between disciplines and institutions, so be sure to check with your university what their preferences are.

For the implications section, a common approach is to structure the write-up based on the three categories we looked at earlier – theoretical, practical and future research implications. In practical terms, this discussion will usually follow a fairly formulaic sentence structure – for example:

This research provides new insights into [theoretical aspect], indicating that…

The study’s outcomes highlight the potential benefits of adopting [specific practice] in..

This study raises several questions that warrant further investigation, such as…

Moving onto the recommendations section, you could again structure your recommendations using the three categories. Alternatively, you could structure the discussion per stakeholder group – for example, policymakers, organisations, researchers, etc.

Again, you’ll likely use a fairly formulaic sentence structure for this section. Here are some examples for your inspiration: 

Based on the findings, [specific group] should consider adopting [new method] to improve…

To address the issues identified, it is recommended that legislation should be introduced to…

Researchers should consider examining [specific variable] to build on the current study’s findings.

Remember, you can grab a copy of our tried and tested templates for both the discussion and conclusion sections over on the Grad Coach blog. You can find the links to those, as well as loads of other free resources, in the description 🙂

FAQs: Implications & Recommendations

How do i determine the implications of my study.

To do this, you’ll need to consider how your findings address gaps in the existing literature, how they could influence theory, practice, or policy, and the potential societal or economic impacts.

When thinking about your findings, it’s also a good idea to revisit your introduction chapter, where you would have discussed the potential significance of your study more broadly. This section can help spark some additional ideas about what your findings mean in relation to your original research aims. 

Should I discuss both positive and negative implications?

Absolutely. You’ll need to discuss both the positive and negative implications to provide a balanced view of how your findings affect the field and any limitations or potential downsides.

Can my research implications be speculative?

Yes and no. While implications are somewhat more speculative than recommendations and can suggest potential future outcomes, they should be grounded in your data and analysis. So, be careful to avoid overly speculative claims.

How do I formulate recommendations?

Ideally, you should base your recommendations on the limitations and implications of your study’s findings. So, consider what further research is needed, how policies could be adapted, or how practices could be improved – and make proposals in this respect.

How specific should my recommendations be?

Your recommendations should be as specific as possible, providing clear guidance on what actions or research should be taken next. As mentioned earlier, the implications can be relatively broad, but the recommendations should be very specific and actionable. Ideally, you should apply the SMART framework to your recommendations.

Can I recommend future research in my recommendations?

Absolutely. Highlighting areas where further research is needed is a key aspect of the recommendations section. Naturally, these recommendations should link to the respective section of your implications (i.e., implications for future research).

Wrapping Up: Key Takeaways

We’ve covered quite a bit of ground here, so let’s quickly recap.

• Research implications refer to the possible effects or outcomes of a study’s findings.
• The recommendations section, on the other hand, is where you’ll propose specific actions based on those findings.
• You can structure your implications section based on the three overarching categories – theoretical, practical and future research implications.
• You can carry this structure through to the recommendations as well, or you can group your recommendations by stakeholder.

Remember to grab a copy of our tried and tested free dissertation template, which covers both the implications and recommendations sections. If you’d like 1:1 help with your research project, be sure to check out our private coaching service, where we hold your hand throughout the research journey, step by step.

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Implications in research: A quick guide

Last updated

11 January 2024

Reviewed by

Implications are a bridge between data and action, giving insight into the effects of the research and what it means. It's a chance for researchers to explain the  why  behind the research. 

When writing a research paper , reviewers will want to see you clearly state the implications of your research. If it's missing, they’ll likely reject your article. 

Let's explore what research implications are, why they matter, and how to include them in your next article or research paper. 

• What are implications in research?

Research implications are the consequences of research findings. They go beyond results and explore your research’s ramifications. 

Researchers can connect their research to the real-world impact by identifying the implications. These can inform further research, shape policy, or spark new solutions to old problems. 

Always clearly state your implications so they’re obvious to the reader. Never leave the reader to guess why your research matters. While it might seem obvious to you, it may not be evident to someone who isn't a subject matter expert. 

For example, you may do important sociological research with political implications. If a policymaker can't understand or connect those implications logically with your research, it reduces your impact.

• What are the key features of implications?

When writing your implications, ensure they have these key features: 

Implications should be clear, concise, and easily understood by a broad audience. You'll want to avoid overly technical language or jargon. Clearly stating your implications increases their impact and accessibility. 

Implications should link to specific results within your research to ensure they’re grounded in reality. You want them to demonstrate an impact on a particular field or research topic . 

Evidence-based

Give your implications a solid foundation of evidence. They need to be rational and based on data from your research, not conjecture. An evidence-based approach to implications will lend credibility and validity to your work.

Implications should take a balanced approach, considering the research's potential positive and negative consequences. A balanced perspective acknowledges the challenges and limitations of research and their impact on stakeholders. 

Future-oriented

Don't confine your implications to their immediate outcomes. You can explore the long-term effects of the research, including the impact on future research, policy decisions, and societal changes. Looking beyond the immediate adds more relevance to your research. 

When your implications capture these key characteristics, your research becomes more meaningful, impactful, and engaging. 

• Types of implications in research

The implications of your research will largely depend on what you are researching. 

However, we can broadly categorize the implications of research into two types: 

Practical: These implications focus on real-world applications and could improve policies and practices.

Theoretical: These implications are broader and might suggest changes to existing theories of models of the world. 

You'll first consider your research's implications in these two broad categories. Will your key findings have a real-world impact? Or are they challenging existing theories? 

Once you've established whether the implications are theoretical or practical, you can break your implication into more specific types. This might include: 

Political implications: How findings influence governance, policies, or political decisions

Social implications: Effects on societal norms, behaviors, or cultural practices

Technological implications: Impact on technological advancements or innovation

Clinical implications: Effects on healthcare, treatments, or medical practices

Commercial or business-relevant implications: Possible strategic paths or actions

Implications for future research: Guidance for future research, such as new avenues of study or refining the study methods

When thinking about the implications of your research, keep them clear and relevant. Consider the limitations and context of your research. 

For example, if your study focuses on a specific population in South America, you may not be able to claim the research has the same impact on the global population. The implication may be that we need further research on other population groups. 

• Understanding recommendations vs. implications

While "recommendations" and "implications" may be interchangeable, they have distinct roles within research.

Recommendations suggest action. They are specific, actionable suggestions you could take based on the research. Recommendations may be a part of the larger implication. 

Implications explain consequences. They are broader statements about how the research impacts specific fields, industries, institutions, or societies. 

Within a paper, you should always identify your implications before making recommendations. 

While every good research paper will include implications of research, it's not always necessary to include recommendations. Some research could have an extraordinary impact without real-world recommendations. 

• How to write implications in research

Including implications of research in your article or journal submission is essential. You need to clearly state your implications to tell the reviewer or reader why your research matters. 

Because implications are so important, writing them can feel overwhelming.

Here’s our step-by-step guide to make the process more manageable:

1. Summarize your key findings

Start by summarizing your research and highlighting the key discoveries or emerging patterns. This summary will become the foundation of your implications. 

2. Identify the implications

Think critically about the potential impact of your key findings. Consider how your research could influence practices, policies, theories, or societal norms. 

Address the positive and negative implications, and acknowledge the limitations and challenges of your research. 

If you still need to figure out the implications of your research, reread your introduction. Your introduction should include why you’re researching the subject and who might be interested in the results. This can help you consider the implications of your final research. 

3. Consider the larger impact

Go beyond the immediate impact and explore the implications on stakeholders outside your research group. You might include policymakers, practitioners, or other researchers.

4. Support with evidence

Cite specific findings from your research that support the implications. Connect them to your original thesis statement. 

You may have included why this research matters in your introduction, but now you'll want to support that implication with evidence from your research. 

Your evidence may result in implications that differ from the expected impact you cited in the introduction of your paper or your thesis statement. 

5. Review for clarity

Review your implications to ensure they are clear, concise, and jargon-free. Double-check that your implications link directly to your research findings and original thesis statement. 

Following these steps communicates your research implications effectively, boosting its long-term impact. 

Where do implications go in your research paper?

Implications often appear in the discussion section of a research paper between the presentation of findings and the conclusion. 

Putting them here allows you to naturally transition from the key findings to why the research matters. You'll be able to convey the larger impact of your research and transition to a conclusion.

• Examples of research implications

Thinking about and writing research implications can be tricky. 

To spark your critical thinking skills and articulate implications for your research, here are a few hypothetical examples of research implications: 

Teaching strategies

A study investigating the effectiveness of a new teaching method might have practical implications for educators. 

The research might suggest modifying current teaching strategies or changing the curriculum’s design. 

There may be an implication for further research into effective teaching methods and their impact on student testing scores. 

Social media impact

A research paper examines the impact of social media on teen mental health. 

Researchers find that spending over an hour on social media daily has significantly worse mental health effects than 15 minutes. 

There could be theoretical implications around the relationship between technology and human behavior. There could also be practical implications in writing responsible social media usage guidelines. 

Disease prevalence

A study analyzes the prevalence of a particular disease in a specific population. 

The researchers find this disease occurs in higher numbers in mountain communities. This could have practical implications on policy for healthcare allocation and resource distribution. 

There may be an implication for further research into why the disease appears in higher numbers at higher altitudes.

These examples demonstrate the considerable range of implications that research can generate.

Clearly articulating the implications of research allows you to enhance the impact and visibility of your work as a researcher. It also enables you to contribute to societal advancements by sharing your knowledge.

The implications of your work could make positive changes in the world around us.

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What Are Implications in Research? | Examples & Tips

As a researcher, you know you need to provide a background for your study and a clear rationale and to formulate the statement of the problem in a way that leaves no doubt that your work is relevant and important. You also need to guide the reader carefully through your story from beginning to end without leaving any methodological questions unanswered. 

But many authors, when arriving at the end of their paper, run out of steam or lose the thread a bit and struggle with finding an ending for their work. Something can then appear missing, even if the discussion section summarizes the findings clearly, relates them back to the questions raised in the introduction section , and discusses them in the context of earlier works. A tired author who just made it to the end can often not see these missing elements and may finish off their paper with a conclusion section that is more or less a repetition of what has already been stated. After all, what more is there to be said? 

But as sure as the sun will rise again the day after you finally submitted, you will get your paper back from your supervisor or the reviewers with a comment that says, “implications are missing.” For a reader who is not as invested in every little detail of your design and analyses, the main questions that a paper has to answer are “why was this study necessary?” and “why are the findings of this study significant, and for whom, and what are we supposed to do with them now?” The latter are the implications of your work. 

Didn’t I explain the implications in my introduction section?

You will hopefully have already explained why and for whom your study is important. But you now also need to clearly state how you think your actual findings (which might differ from what you expected to find at the beginning) may be relevant and/or can be used in practical or theoretical ways, for future research, or by policymakers. These implications need to be based on your study’s parameters and results, and potential limitations of your methodology or sample should be taken into account to avoid overgeneralization. 

If you make the reader guess what the significance of your work might be or let them assume you don’t think that your work will be important for anyone except yourself and your colleagues who share your enthusiasm because they are working on the same topic, then an editor or reviewer might easily see that as a reason for a desk-reject. To avoid this, in the following, we will give you an overview of the different types of implications that research findings can have, provide some examples for your inspiration, and clarify where your implications should go in your paper. 

Table of Contents:

• Types of Implications in Research

Recommendations Versus Implications 

• Research Implications Examples 
• Where Do the Implications Go in Your paper?

Types of Implications in Research 

Depending on the type of research you are doing (clinical, philosophical, political…) the implications of your findings can likewise be clinical, philosophical, political, social, ethical—you name it. The most important distinction, however, is the one between practical implications and theoretical implications, and what many reviewers immediately notice and flag as an issue is when there is no mention of any kind of practical contribution of the work described in a paper. 

Of course, if you study a mathematical theory, then your findings might simply lead to the debunking of another theory as false, and you might need to do some mental gymnastics if you really wanted to apply that to a real-world problem. But chances are, in that case, your reviewers and readers won’t ask for a real-world implication. In most other cases, however, if you really want to convince your audience that your work deserves attention, publication, prizes, and whatnot, then you need to link whatever you did in the lab or found in the library to real life and highlight how your findings might have a lasting effect on your field (for example, methodologically), common practices (e.g., patient treatment or teaching standards), society at large (maybe the way we communicate), or ethical standards (e.g., in animal research). 

The question is not whether your findings will change the world, but whether they could if they were publicized and implemented—according to the Merriam-Webster online dictionary , the essential meaning of implication is a “possible future effect or result”. This possible result is what you have to identify and describe. And while being creative is certainly allowed, make sure your assumptions stay within realistic expectations, and don’t forget to take the limitations of your methodology or your sample into account. 

If you studied the genetic basis of a disease in some animal model, then make sure you have good reason to draw conclusions about the treatment of the same disease in humans if you don’t want to put off the editor who decides whether to even send your manuscript out for review. Likewise, if you explored the effects of the Covid-19 pandemic on higher education institutions in your country, then make sure the conclusions you draw hold in the context of other countries’ pandemic situations and restrictions and differences across education systems before you claim that they are relevant in a global context. 

Implications, as we already explored, state the importance of your study and how your findings may be relevant for the fine-tuning of certain practices, theoretical models, policymaking, or future research studies. As stated earlier, that does not necessarily mean that you believe your findings will change the world tomorrow, but that you have reason to believe they could have an impact in a specific way. Recommendations, on the other hand, are specific suggestions regarding the best course of action in a certain situation based on your findings. If, for example, you used three different established methods in your field to tackle the same problem, compared the outcomes, and concluded that one of these methods is, in fact, insufficient and should not be used anymore, then that is a recommendation for future research. 

Or if you analyzed how a monetary “Corona support program” in your country affected the local economy and found that most of the money the government provided went to Amazon and not to local businesses, then you can recommend that your government come up with a better plan next time. Such specific recommendations should usually follow the implications, not the other way around, because you always need to identify the implications of your work, but not every study allows the author to make practical suggestions or real-world recommendations.

Research Implications Examples

Clinical implications  .

Let’s say you discovered a new antibiotic that could eliminate a specific pathogen effectively without generating resistance (the main problem with antibiotics). The clinical implications of your findings would then be that infections with this pathogen could be more rapidly treated than before (without you predicting or suggesting any specific action to happen as a result of your findings). A recommendation would be that doctors should start using this new antibiotic, that it should be included in the official treatment guidelines, that it should be covered by the national health insurance of your country, etc.—but depending on how conclusive your findings are or how much more research or development might be needed to get from your findings to the actual medication, such recommendations might be a big stretch. The implications, however, since they state the potential of your findings, are valid in any case and should not be missing from your discussion section, even if your findings are just one small step along the way.

Social implications 

The social implications of the study are defined as the ability or potential of research to impact society in visible ways. One of the obvious fields of research that strives for a social impact through the implementation of evidence that increases the overall quality of people’s lives is psychology. Whether your research explores the new work-life-balance movement and its effect on mental well-being, psychological interventions at schools to compensate for the stress many children are experiencing since the beginning of the Covid-19 pandemic, or how work from home is changing family dynamics, you can most likely draw conclusions that go beyond just your study sample and describe potential (theoretical or practical) effects of your findings in the real world. Be careful, however, that you don’t overgeneralize from your sample or your data to the general population without having solid reasons to do so (and explain those reasons).

Implications for future research

Even if your findings are not going to lead to societal changes, new educational policies, or an overhaul of the national pension system, they might have important implications for future research studies. Maybe you used a new technique that is more precise or more efficient or way cheaper than existing methods and this could enable more labs around the world to study a specific problem. Or maybe you found that a gene that is known to be involved in one disease might also be involved in another disease, which opens up new avenues for research and treatment options. As stated earlier, make sure you don’t confuse recommendations (which you might not be able to make, based on your findings, and don’t necessarily have to) with implications, which are the potential effect that your findings could have—independently of whether you have any influence on that. 

Where Do the Implications Go in Your Paper? 

The implications are part of your discussion section, where you summarize your findings and then put them into context—this context being earlier research but also the potential effect your findings could have in the real world, in whatever scenario you think might be relevant. There is no “implication section” and no rule as to where in the discussion section you need to include these details because the order of information depends on how you structured your methods and your results section and how your findings turned out to prove or disprove your hypotheses. You simply need to work the potential effects of your findings into your discussion section in a logical way.

But the order of information is relevant when it comes to your conclusion at the very end of your discussion section: Here, you start with a very short summary of your study and results, then provide the (theoretical, practical, ethical, social, technological…) implications of your work, and end with a specific recommendation if (and only if) your findings call for that. If you have not paid attention to the importance of your implications while writing your discussion section, then this is your chance to fix that before you finalize and submit your paper and let an editor and reviewers judge the relevance of your work. 

Make sure you do not suddenly come up with practical ideas that look like they were plucked out of the air because someone reminded you to “add some implications” at the last minute. If you don’t know where to start, then go back to your introduction section, look at your rationale and research questions, look at how your findings answered those questions, and ask yourself who else could benefit from knowing what you know now.

Consider Using English Editing Services 

And before you submit your manuscript to your target journal’s editor, be sure to get professional English editing services from Wordvice, including academic editing and manuscript editing , which are tailored to the needs of your paper’s subject area. If you need instant proofreading while drafting your work, check out our online AI text editor , Wordvice AI, which is trained on millions of words of academic writing data and tailored for research writers.

For more advice on how to write all the different parts of your research paper , on how to make a research paper outline if you are struggling with putting everything you did together, or on how to write the best cover letter that will convince an editor to send your manuscript out for review, head over to the Wordvice academic resources pages, where we have dozens of helpful articles and videos on research writing and publications.

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How to Write Implications in Research

• Implications definition
• Recommendations vs implications
• Types of implications in research
• Step-by-step implications writing guide

Research implications examples

What the implications of the research definition?

• Theoretical implications stand for all the new additions to theories that have already been presented in the past. At the same time, one can use a totally new theory that provides a background and a framework for a study.
• Practical implications are about potential consequences that show the practical side of things.

Recommendations VS Implications

• Implied content versus proposed writing. It means that an implication should provide an outcome from your study. The recommendation is always based on the outcome, along with your words as a personal opinion.
• Potential impact a study may have versus a specific act. When you are composing your research paper, your implications have the purpose of discussing how the findings of the study matter. They should tell how your research has an impact on the subject that you address. Now, unlike the implications section of the research paper, recommendations refer to peculiar actions or steps you must take. They should be based on your opinion precisely and talk about what must be done since your research findings confirm that.

What are the types of implications in research?

• Political implications. These are mostly common for Law and Political Sciences students basing implications on a certain study, a speech, or legislative standards. It is a case when implications and recommendations can also be used to achieve an efficient result.
• Technological implications. When dealing with a technological implication, it serves as special implications for future research manuals where you discuss the study with several examples. Do not use a methodology in this section, as it can only be mentioned briefly.
• Findings related to policies. When you have implemented a special policy or you are dealing with a medical or legal finding, you should add it to your policy. Adding an implications section is necessary when it must be highlighted in your research.
• Topical (subject) implications. These are based on your subject and serve as a way to clarify things or as a method to narrow things down by supporting the finding before it is linked to a thesis statement or your main scientific argument.

Step-by-step implications in research writing guide

Step 1: talk about what has been discovered in your research., step 2: name the differences compared to what previous studies have found., step 3: discuss the implications of your findings., step 4: add specific information to showcase your contributions., step 5: match it with your discussion and thesis statement..

Green energy can benefit from the use of vertical turbines versus horizontal turbines due to construction methods and saving costs. 

The use of AI-based apps that contain repetition and grammar-checking will help ESL students and learners with special needs. 

Most studies provide more research on the social emphasis that influences the problem of bullying in the village area. It points out that most people have different cultural behavior where the problem of bullying is approached differently.

If you encounter challenges in terms of precise replication, you can use a CR genetic code to follow the policies used in 1994. Considering the theoretical limitations, it is necessary to provide exact theories and practical steps. It will help to resolve the challenge and compare what has been available back then. It will help to trace the temporal backline. 

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Implications or Recommendations in Research: What's the Difference?

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High-quality research articles that get many citations contain both implications and recommendations. Implications are the impact your research makes, whereas recommendations are specific actions that can then be taken based on your findings, such as for more research or for policymaking.

Updated on August 23, 2022

That seems clear enough, but the two are commonly confused.

This confusion is especially true if you come from a so-called high-context culture in which information is often implied based on the situation, as in many Asian cultures. High-context cultures are different from low-context cultures where information is more direct and explicit (as in North America and many European cultures).

Let's set these two straight in a low-context way; i.e., we'll be specific and direct! This is the best way to be in English academic writing because you're writing for the world.

Implications and recommendations in a research article

The standard format of STEM research articles is what's called IMRaD:

• Introduction
• Discussion/conclusions

Some journals call for a separate conclusions section, while others have the conclusions as the last part of the discussion. You'll write these four (or five) sections in the same sequence, though, no matter the journal.

The discussion section is typically where you restate your results and how well they confirmed your hypotheses. Give readers the answer to the questions for which they're looking to you for an answer.

At this point, many researchers assume their paper is finished. After all, aren't the results the most important part? As you might have guessed, no, you're not quite done yet.

The discussion/conclusions section is where to say what happened and what should now happen

The discussion/conclusions section of every good scientific article should contain the implications and recommendations.

The implications, first of all, are the impact your results have on your specific field. A high-impact, highly cited article will also broaden the scope here and provide implications to other fields. This is what makes research cross-disciplinary.

Recommendations, however, are suggestions to improve your field based on your results.

These two aspects help the reader understand your broader content: How and why your work is important to the world. They also tell the reader what can be changed in the future based on your results.

These aspects are what editors are looking for when selecting papers for peer review.

Implications and recommendations are, thus, written at the end of the discussion section, and before the concluding paragraph. They help to “wrap up” your paper. Once your reader understands what you found, the next logical step is what those results mean and what should come next.

Then they can take the baton, in the form of your work, and run with it. That gets you cited and extends your impact!

The order of implications and recommendations also matters. Both are written after you've summarized your main findings in the discussion section. Then, those results are interpreted based on ongoing work in the field. After this, the implications are stated, followed by the recommendations.

Writing an academic research paper is a bit like running a race. Finish strong, with your most important conclusion (recommendation) at the end. Leave readers with an understanding of your work's importance. Avoid generic, obvious phrases like "more research is needed to fully address this issue." Be specific.

The main differences between implications and recommendations (table)

Now let's dig a bit deeper into actually how to write these parts.

What are implications?

Research implications tell us how and why your results are important for the field at large. They help answer the question of “what does it mean?” Implications tell us how your work contributes to your field and what it adds to it. They're used when you want to tell your peers why your research is important for ongoing theory, practice, policymaking, and for future research.

Crucially, your implications must be evidence-based. This means they must be derived from the results in the paper.

Implications are written after you've summarized your main findings in the discussion section. They come before the recommendations and before the concluding paragraph. There is no specific section dedicated to implications. They must be integrated into your discussion so that the reader understands why the results are meaningful and what they add to the field.

A good strategy is to separate your implications into types. Implications can be social, political, technological, related to policies, or others, depending on your topic. The most frequently used types are theoretical and practical. Theoretical implications relate to how your findings connect to other theories or ideas in your field, while practical implications are related to what we can do with the results.

Key features of implications

• State the impact your research makes
• Helps us understand why your results are important
• Must be evidence-based
• Written in the discussion, before recommendations
• Can be theoretical, practical, or other (social, political, etc.)

Examples of implications

Let's take a look at some examples of research results below with their implications.

The result : one study found that learning items over time improves memory more than cramming material in a bunch of information at once .

The implications : This result suggests memory is better when studying is spread out over time, which could be due to memory consolidation processes.

The result : an intervention study found that mindfulness helps improve mental health if you have anxiety.

The implications : This result has implications for the role of executive functions on anxiety.

The result : a study found that musical learning helps language learning in children .

The implications : these findings suggest that language and music may work together to aid development.

What are recommendations?

As noted above, explaining how your results contribute to the real world is an important part of a successful article.

Likewise, stating how your findings can be used to improve something in future research is equally important. This brings us to the recommendations.

Research recommendations are suggestions and solutions you give for certain situations based on your results. Once the reader understands what your results mean with the implications, the next question they need to know is "what's next?"

Recommendations are calls to action on ways certain things in the field can be improved in the future based on your results. Recommendations are used when you want to convey that something different should be done based on what your analyses revealed.

Similar to implications, recommendations are also evidence-based. This means that your recommendations to the field must be drawn directly from your results.

The goal of the recommendations is to make clear, specific, and realistic suggestions to future researchers before they conduct a similar experiment. No matter what area your research is in, there will always be further research to do. Try to think about what would be helpful for other researchers to know before starting their work.

Recommendations are also written in the discussion section. They come after the implications and before the concluding paragraphs. Similar to the implications, there is usually no specific section dedicated to the recommendations. However, depending on how many solutions you want to suggest to the field, they may be written as a subsection.

Key features of recommendations

• Statements about what can be done differently in the field based on your findings
• Must be realistic and specific
• Written in the discussion, after implications and before conclusions
• Related to both your field and, preferably, a wider context to the research

Examples of recommendations

Here are some research results and their recommendations.

A meta-analysis found that actively recalling material from your memory is better than simply re-reading it .

• The recommendation: Based on these findings, teachers and other educators should encourage students to practice active recall strategies.

A medical intervention found that daily exercise helps prevent cardiovascular disease .

• The recommendation: Based on these results, physicians are recommended to encourage patients to exercise and walk regularly. Also recommended is to encourage more walking through public health offices in communities.

A study found that many research articles do not contain the sample sizes needed to statistically confirm their findings .

The recommendation: To improve the current state of the field, researchers should consider doing power analysis based on their experiment's design.

What else is important about implications and recommendations?

When writing recommendations and implications, be careful not to overstate the impact of your results. It can be tempting for researchers to inflate the importance of their findings and make grandiose statements about what their work means.

Remember that implications and recommendations must be coming directly from your results. Therefore, they must be straightforward, realistic, and plausible.

Another good thing to remember is to make sure the implications and recommendations are stated clearly and separately. Do not attach them to the endings of other paragraphs just to add them in. Use similar example phrases as those listed in the table when starting your sentences to clearly indicate when it's an implication and when it's a recommendation.

When your peers, or brand-new readers, read your paper, they shouldn't have to hunt through your discussion to find the implications and recommendations. They should be clear, visible, and understandable on their own.

That'll get you cited more, and you'll make a greater contribution to your area of science while extending the life and impact of your work.

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Understanding the Theoretical and Practical Implications of a Research Paper

February 19 2018, By Anuoluwapo Dorcas Oni

A research implication is the logical connection between a condition and its outcome. Before you write an implication on a research paper, take your time to go back and read the significance of the study. What potential did you think the data may provide when you were proposing your study? Now that you have your data, has your perspective changed? You should consider these themes on your implication section. Step back and remember the problems you aligned to the purpose, which led to your research questions then, methodology.

Practical Implication Moreover, try as much as possible to be realistic in your description of what the results of your study might imply. You don’t want to overstate it. Also be sure that you don’t keep recommendations for future research out of the implication body.

Literarily, the word practical means the actual results. Practical implication is the reality that would occur if certain conditions are fulfilled. An instance is, when analysts conduct behavioral experiments, the reliability of the data they collect would have practical implications on how clinicians accurately determine the effectiveness of specific behavioral remedies. Determining the practical implications of a range of options can help decide which ones produce the desired results, For instance, studying the implications of sport-to-health activities reveals that these are more effective in the spreading of HIV/AID awareness than teaching the same in the classroom.

Theoretical Implication

Theoretical implication on the other hand, is a newly found addition(s) to existing theories or building materials for new theories. In a research perspective, the job of theory is to provide interesting and perhaps promising areas to work on.              

Drawing out you implication As part of reflecting on what your findings mean, you need to draw out the implications of your findings for the field itself and/ or societies. In longer theses, it is usual to situate findings in the contexts of past and future research. Contextualizing your findings within previous research helps readers to grasp the significance of your research - how your research builds on, and contributes to knowledge. It is also common to see somewhere in PhD Conclusions 'Recommendations for future research' whereby the study's limitations are acknowledged and are presented in a more positive light: what you have found out can pave the way for future research. Ask yourself these questions. 

• To what extent does my findings align with those of other scholars, in what precise ways, and if not why not?
• If certain findings suggest a need for further research, what might this consist of and how might such research extend or improve the current state of knowledge in my field?
• Are there any practical implications (e.g. policy implications) that I need to specifically address?

The implications of your research project may be complex and variable, leading you into the realm of speculation. Some findings, for example, might appear to have application beyond the parameters of your research, and they may do so.  But judicious judgment is called for. Ensure that such speculations are contained within the boundaries of the arguments and discussions developed in the body of your thesis.

To emphasize the level of speculation and uncertainty, you can take advantage of more tentative language (e.g. it seems, perhaps, maybe or it could be, possibly / possible, it is likely / unlikely, etc.). In sum, keep your speculations grounded; do not let them float free from these boundaries so that they appear wildly improbable or even questionable. 

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

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

Importance of Theory and a Theoretical Framework

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

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

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

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

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

The theoretical framework strengthens the study in the following ways :

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

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

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

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

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

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

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

II.  Purpose

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

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

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

Structure and Writing Style

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

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

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

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

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

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

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

Writing Tip

Borrowing Theoretical Constructs from Other Disciplines

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

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

Another Writing Tip

Don't Undertheorize!

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

Yet Another Writing Tip

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

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

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

The key distinctions are:

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

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

Still Yet Another Writing Tip

Be Prepared to Challenge the Validity of an Existing Theory

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

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

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

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

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• v.21(3); Fall 2022

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

Julie a. luft.

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

Sophia Jeong

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

Robert Idsardi

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

Grant Gardner

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

Associated Data

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

INTRODUCTION

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

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

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

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

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

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

Comparison of literature reviews, theoretical frameworks, and conceptual reviews

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

LITERATURE REVIEWS

Purpose of a literature review.

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

Building Literature Reviews

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

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

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

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

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

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

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

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

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

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

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

Suggestions and Advice

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

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

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

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

THEORETICAL FRAMEWORKS

Purpose of theoretical frameworks.

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

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

Selecting Theoretical Frameworks

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

CONCEPTUAL FRAMEWORKS

Purpose of a conceptual framework.

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

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

Constructing Conceptual Frameworks

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

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

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

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

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

Conceptual framework from Sabel et al. (2017) .

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

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

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

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

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

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

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

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

CONCLUDING THOUGHTS

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

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

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

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Theoretical and practical implications

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Based on the empirical results of the foregoing chapter as well as on the theoretical argument of the first part of the thesis, this chapter will highlight implications for theory as well as for practice. First, implications with regard to transaction cost theory will be elaborated and a new service typology will be developed that invokes script-related dimensions and transaction cost theory at its core. Then, the chapter will expand upon the consequences for various theoretical subjects such as service engineering and service innovation as well as service export. New research paths that have been elicited through the discussion will be proposed. Thereafter, the chapter will focus on propositions for the company that has been hosting the research study.

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