what is theoretical framework in a research paper

USC Libraries
Research Guides

Organizing Your Social Sciences Research Paper

Theoretical Framework
Purpose of Guide
Design Flaws to Avoid
Independent and Dependent Variables
Glossary of Research Terms
Reading Research Effectively
Narrowing a Topic Idea
Broadening a Topic Idea
Extending the Timeliness of a Topic Idea
Academic Writing Style
Applying Critical Thinking
Choosing a Title
Making an Outline
Paragraph Development
Research Process Video Series
Executive Summary
The C.A.R.S. Model
Background Information
The Research Problem/Question
Citation Tracking
Content Alert Services
Evaluating Sources
Primary Sources
Secondary Sources
Tiertiary Sources
Scholarly vs. Popular Resources
Qualitative Methods
Quantitative Methods
Insiderness
Using Non-Textual Elements
Limitations of the Study
Common Grammar Mistakes
Writing Concisely
Avoiding Plagiarism
Footnotes or Endnotes?
Further Readings
Generative AI and Writing
USC Libraries Tutorials and Other Guides
Bibliography

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. As such, the theoretical framework encompasses not only a theory, but the narrative explanation about how the researcher engages in using the theory and its underlying assumptions to investigate the research problem. The framework 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 are rarely applied to writing papers in high school and, as a result, can come across as unfamiliar and ambiguous when first introduced to a college 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 * , 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.

* 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): 46.

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; 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.

<< Previous: The Research Problem/Question
Next: 5. The Literature Review >>
Last Updated: Nov 21, 2024 12:23 PM
URL: https://libguides.usc.edu/writingguide

Theoretical Framework in Research: Definition, Types & Examples

October 12, 2024

Dr. Marvin L. Smith

A theoretical framework (TF) is a conceptual model that outlines the relationships between variables, assumptions, and theories that guide your research . It provides a clear direction, ensures consistency, and helps you make informed decisions throughout your study.

A well-developed theoretical framework is essential for creating a solid research design, choosing the right research methodology , and producing reliable and valid results.

In this article, we’ll explore what theoretical frameworks are, why they’re important, and how to create one for your research.

Table of Contents

What is a Theoretical Framework?

A theoretical framework is a conceptual structure that outlines the underlying principles , concepts , and theories that guide a research study .

It is a blueprint that explains how variables relate to each other, the assumptions that underlie these relationships, and the theoretical perspectives that inform the research.

In essence, a theoretical framework is the intellectual foundation of a research study, providing a clear direction and guiding the development of the research design, methodology, and analysis.

Components of a Theoretical Framework

A theoretical framework typically consists of three main components:

Variables : These are the key concepts or factors that are being studied. Variables can be independent (the cause), dependent (the effect), or moderating (influencing the relationship between the independent and dependent variables).
Relationships : This refers to the way in which the variables interact with each other. Relationships can be causal (cause-and-effect), correlational (associated with each other), or reciprocal (influencing each other).
Assumptions : These are the underlying beliefs or suppositions that inform the theoretical framework. Assumptions can be explicit (clearly stated) or implicit (implied), and they often reflect the researcher’s perspective or worldview.

Types of Theoretical Frameworks

Theoretical frameworks can be categorized into several types, each with its own distinct purpose and characteristics. Understanding the different types of theoretical frameworks can help researchers choose the most suitable approach for their study.

1. Descriptive Theoretical Frameworks

Descriptive theoretical frameworks aim to describe a phenomenon or a concept in detail. They provide a snapshot of the current state of knowledge and help to identify patterns, trends, and relationships.

Example: A study that uses a descriptive theoretical framework to examine the characteristics of a specific population, such as the demographics of a city or the features of a new disease.

2. Explanatory Theoretical Frameworks

Explanatory theoretical frameworks seek to explain why a phenomenon occurs or how it works. They provide insights into the underlying mechanisms and processes that shape the phenomenon.

Example: A study that uses an explanatory theoretical framework to investigate the causes of a social issue, such as poverty or crime.

3. Predictive Theoretical Frameworks

Predictive theoretical frameworks aim to forecast future events or outcomes. They use statistical models and data analysis to identify patterns and trends that can be used to make predictions.

Example: A study that uses a predictive theoretical framework to forecast the impact of climate change on a specific region or industry.

4. Prescriptive Theoretical Frameworks

Prescriptive theoretical frameworks provide guidance on how to solve a problem or address a specific issue. They offer recommendations and strategies for action.

Example: A study that uses a prescriptive theoretical framework to develop a new policy or intervention to address a social issue, such as education or healthcare.

5. Conceptual Theoretical Frameworks

Conceptual theoretical frameworks focus on developing new concepts, theories, or models. They provide a foundation for further research and help to advance knowledge in a particular field.

Example: A study that uses a conceptual theoretical framework to develop a new theory of learning or a new model of organizational behavior.

How to Develop a Theoretical Framework

Here are the steps to create a theoretical framework:

Step 1: Conduct a Literature Review

A literature review is a comprehensive analysis of existing research on the topic .

It helps to:

Identify key concepts, theories, and models related to the research topic
Understand the current state of knowledge in the field
Identify gaps in existing research
Develop a clear research question or hypothesis

A thorough literature review provides a solid foundation for developing a theoretical framework.

Step 2: Conceptualize the Theoretical Framework

Conceptualization involves defining the key concepts, variables, and relationships that will be studied.

It involves:

Identifying the key variables and their relationships
Defining the theoretical perspectives and assumptions that underlie the framework
Developing a clear and concise conceptual model

A well-conceptualized theoretical framework provides a clear direction for the research and ensures that the study is focused and relevant.

Step 3: Operationalize the Theoretical Framework

Operationalization involves defining how the variables and relationships will be measured and observed.

Developing a clear and concise operational definition of each variable
Identifying the data sources and methods that will be used to collect data
Developing a plan for data analysis and interpretation

A well-operationalized theoretical framework ensures that the research is feasible, reliable, and valid.

Step 4: Refine and Finalize the Theoretical Framework

Refining and finalizing the theoretical framework involves:

Reviewing and revising the framework based on feedback from peers and experts
Ensuring that the framework is consistent with the research question and objectives
Finalizing the framework and preparing it for implementation

A well-developed theoretical framework provides a clear direction for the research, ensures that the study is well-designed and well-executed, and helps to advance knowledge in the field.

Theoretical Framework vs. Conceptual Framework

The terms “theoretical framework” and “conceptual framework” are often used interchangeably, but they have distinct meanings. While both frameworks provide a structure for understanding and organizing knowledge, they differ in their scope, purpose, and level of abstraction.

Theoretical Framework

A theoretical framework is a broad, overarching structure that outlines the underlying principles, concepts, and theories that guide a research study. It provides a comprehensive and systematic approach to understanding a phenomenon or a concept, and is often used to explain, predict, or control a particular outcome.

Conceptual Framework

A conceptual framework , on the other hand, is a more specific and detailed structure that outlines the key concepts, variables, and relationships that are relevant to a particular research study. It provides a clear and concise model of the research topic, and is often used to guide the development of research questions, hypotheses, and methods.

Key Differences

The key differences between a theoretical framework and a conceptual framework are:

Scope : A theoretical framework is broader in scope, while a conceptual framework is more specific and detailed.
Purpose : A theoretical framework is used to provide a comprehensive understanding of a phenomenon or concept, while a conceptual framework is used to guide the development of research questions, hypotheses, and methods.
Level of Abstraction : A theoretical framework is more abstract, while a conceptual framework is more concrete and specific.

In summary, while both theoretical and conceptual frameworks are essential components of research, they serve different purposes and have distinct characteristics. A theoretical framework provides a broad, overarching structure for understanding a phenomenon or concept, while a conceptual framework provides a more specific and detailed model of the research topic. We will explore these differences in more depth in a future article.

Example of a Theoretical Framework

To illustrate the concept of a theoretical framework, let’s consider an example from the field of education.

Theoretical Framework: Social Cognitive Theory

Suppose we want to study the factors that influence students’ motivation to learn. We could use the Social Cognitive Theory (SCT) as our theoretical framework. SCT posits that human behavior is the result of the interaction between personal factors, environmental factors, and behavior.

Key Components of the Theoretical Framework

The key components of the SCT theoretical framework are:

Personal Factors : cognitive, affective, and biological factors that influence behavior
Environmental Factors : social, cultural, and physical factors that influence behavior
Behavior : the actions and reactions of individuals
Reciprocal Determinism : the interaction between personal factors, environmental factors, and behavior

How the Theoretical Framework Guides Research

Using the SCT theoretical framework, we could develop research questions and hypotheses that explore the relationships between personal factors, environmental factors, and behavior. For example:

How do students’ self-efficacy beliefs (personal factor) influence their motivation to learn (behavior)?
How does the classroom environment (environmental factor) influence students’ motivation to learn (behavior)?
How do students’ motivation to learn (behavior) influence their academic achievement (outcome)?

Benefits of Using a Theoretical Framework

Using a theoretical framework like SCT provides several benefits, including:

Clear direction : the theoretical framework provides a clear direction for the research, ensuring that the study is focused and relevant
Consistency : the theoretical framework ensures that the research is consistent with the underlying theory and concepts
Generalizability : the theoretical framework enables the findings to be generalized to other contexts and populations

By using a theoretical framework like SCT, researchers can develop a comprehensive understanding of the factors that influence students’ motivation to learn, and identify strategies to promote motivation and academic achievement.

A theoretical framework provides direction, consistency, and generalizability to research studies. It facilitates the development of research questions, hypotheses, and methods, ensuring a focused and rigorous study. By using a theoretical framework, researchers can make meaningful contributions to existing knowledge and advance our understanding of the world.