THEORETICAL

AND
CONCEPTUAL
FRAMEWORK

Dr. Guido Benny

Universiti Kebangsaan Malaysia

guidobenny@ukm.edu.my
 Research that is not theoretically
informed, not grounded in the existing
body of knowledge, or of the ‘shotgun’
variety that fails to raise and investigate
conceptually grounded questions, is
likely to generate findings of a narrow
and ungeneralisable value.
(Yiannakis 1992, p.8)

Dr. Guido Benny Theoretical and Conceptual 2

Framework
Theory

 Theories are constructed in order to explain,

predict and master phenomena (e.g.
relationships, events, or the behavior). In many
instances we are constructing models of reality.
 A theory makes generalizations about
observations and consists of an interrelated,
coherent set of ideas and models.

Dr. Guido Benny Theoretical and Conceptual 3

Framework
Theoretical Framework

 The theoretical framework is a structure that can

hold or support a theory of a research work. It
presents the theory which explains why the
problem under study exists.
 Thus, the theoretical framework is but a theory
that serves as a basis for conducting research.
 In Theoretical framework, the researcher should
present the general assumptions of the theory for
the issues under study, why the theory is
selected, and how it will shape the whole study.
Dr. Guido Benny Theoretical and Conceptual 4
Framework
CONSIDERING YOUR THEORY

Think about:

1 – your discipline
2 – the field
3 – the theory, e.g.

Discipline Field Theory

Security Human Security UNDP’s 1994
Model of
Human Security

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Framework
 Application of Theories

Think about how theories may be applied:

Discipline Field Theory Application

Security Human UNDP’s 1994 Human Security
Security Model of Policy in the
Human Security Southeast Asia

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Framework
 Example 1:
Theories in Economics

 MICROECONOMIC:  MACROECONOMICS
 Market structure  Growth economics
theory  Business cycle
 Production theory  Unemployment
 Specialisation theory  Inflation and
 Supply and demand monetary policy
theory  Fiscal policy
 Theory of firm  And so on
 Uncertainty and game
theory
 And so on
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Framework
 Example 2:
Theories of Development
 Modernisation theory: Sociological and
anthropological modernisation theory; Linear
stages of growth model
 Structuralism
 Dependency theory
 Basic needs theory
 Neo-liberalist theory
 Postdevelopment theory
 Sustainable development theory
 Human development theory
 And so on
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Framework
 Example 3: Theories in
International Relations

 Normative  Constructivism: Modern

C., Postmodern C.,
 Realism: Neoclassical R.,
Feminist C.
structural R., classical R.,
offensive R., defensive R.,  Marxism: Neo-
liberal R., relative gains, Gramscianism, Critical
absolute gains, strategic R. security studies, critical
theory
 Liberalism: Idealism,
Democratic Peace Theory,  Other: Anarchy,
Republican L., International political
Institutionalism, economy, Feminism,
Neoliberalism, Green theory, Hegemonic
Interdependence L., stabilty, World-systems,
Sociological L., Institution structuralism, post-
Liberalism. structuralism, English
School, etc.
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Framework
 Example 4: Theories in
Security Studies

 Realism  Peace studies

 Neorealism  Human security
 Liberalism  Environment security
 Neoliberalism  Energy security
 Radicalism  Economic security
 Idealism  Community security
 Critical theory  Health security
 Copenhagen school  Feminism
 Constructivism  Etc.

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Framework
 Example 5: Theories in
Psychology
 Abnormal psychology  Cognitive psychology
 Activity theory  Community psychology
 Analytical psychology  Comparative psychology
 Anomalistic psychology  Clinical behaviour
 Applied behaviour analysis
analysis  Clinical psychology
 Applied psychology  Consumer psychology
 Asian psychology  Counseling psychology
 Behaviourism  Criminal psychology
 Biological psychology  Cross-cultural psychology
 Biopsychology  And so on…
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Framework
Concepts

 What is a concept?
 “A mental construct that represents
phenomena in the real world”. (Pollock 2005:7)

 The challenge is to transform concepts into

concrete terms (preferable that can be
measured).

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Framework
Conceptual Framework
 The conceptual framework describes and
explains the concepts to be used in the study,
their relationships with each other, and how they
are to be measured.

 A written or visual presentation that:

– “explains either graphically, or in narrative
form, the main things to be studied – the key
factors, concepts or variables -
– and the presumed relationship among them”.
(Miles and Huberman, 1994, P18)

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Framework
 Where does the conceptual
framework fit in - quantitative?
 Research problem: The issue of theoretical or practical interest.
 Paradigm: The philosophical assumptions about the
nature of the world and how we understand
it - positivism.
 Aims and objectives: What we want to know and how the answer
may be built up.
 Literature review: A critical and evaluative review of the
thoughts and experiences of others.
 Conceptual framework: Provides the structure/content for the whole
study based on literature and personal
experience
 Research questions: Specific questions that require answers.
 Data collection and analysis:Methodology, methods and analysis.
 Interpretation of the results: Making sense of the results.
 Evaluation of the research: Revisit conceptual framework.
 Where does the conceptual
framework fit in - qualitative?
 Research problem: The issue of theoretical or practical interest.

 Paradigm: The philosophical assumptions about the

nature of the world and how we understand
it – e.g. interpretivism.
 Aims and objectives: What we want to know and how the answer
may be built up.
 Literature review: A critical and evaluative review of the
thoughts and experiences of others.
 Research questions: Specific questions that require answers.
 Data collection and analysis: Methodology, methods and analysis.
 Interpretation of the results: Conceptual framework develops as
participants’ views and issues are gathered
and analysed.
 Evaluation of the research: Revisit conceptual framework.
15
 Qualitative research - the position
of the conceptual framework
 Normally qualitative work is described as starting from an inductive
position, seeking to build up theory, with the conceptual framework
being ‘emergent’, because existing literature/theories might mislead.

 However, Miles and Huberman (1994) note that:

– Researchers generally have some idea of what will feature in the

study, a tentative rudimentary conceptual framework, and it is
better to have some idea of what you are looking for/at even if
that idea changes over time. This is particularly true for
inexperienced and/or time constrained researchers.

– Qualitative research can also be confirmatory. Yin (1994), for

example, identified pattern matching and explanation building.
Pattern matching starts with existing theory and tests its
adequacy in terms of explaining the findings. Explanation building
starts with theory and then builds an explanation while collecting
and analysing data. 16
 Developing Your Conceptual
Framework
Developing your conceptual Pollock’s model
framework requires five main steps: CONCEPT
1. Identifying the relevant concepts.
2. Defining those concepts. CONCEPTUAL
DEFINITION
3. Operationalising the concepts.
4. Identifying any moderating or OPERATIONAL
intervening variables. DEFINITION

5. Identifying the relationship VARIABLE

between variables. (A STATE THAT TAKES
DIFFERENT ATTRIBUTES
O VALUES)

Dr. Guido Benny Theoretical and Conceptual 17

Framework
Variables and Attributes

VARIABLE DEVELOPMENT

ATTRIBUTE ATTRIBUTE DEVELOPED DEVELOPING

Dr. Guido Benny Theoretical and Conceptual 18

Framework
How do we construct variables?

 In order to “operationalize” our

variables we must first define them
and then select a means to construct
them. We do this by connecting
concepts to observations.

 This requires choosing a level of

measurement.

Dr. Guido Benny Theoretical and Conceptual 19

Framework
The Levels of Measurement
RATIO STRONGEST

INTERVAL

ORDINAL

NOMINAL
WEAKEST

20
 Nominal Measurement
 Nominal: These variables consist of
categories that are non-ordered.
 Examples: gender, race, religion, food
group, or place of residence.
 A simple categorical variable is binary or
dichotomous (1/0 or yes/no). For
example, did a councilwomen vote for the
ordinance change or not?

Dr. Guido Benny Theoretical and Conceptual 21

Framework
 Ordinal Measurement

 Ordinal scales have a rank order, but do not indicate the

difference between scores.

 Think, for example, of placement on a squash ladder. The

person on top has performed better than the person
second, and so on.

 Thus data is ordered, but there is no indication of how

much difference there is between players. The player
assigned a score of ‘1’ is not necessarily twice as good as
the player assigned ‘2’.

Dr. Guido Benny Theoretical and Conceptual 22

Framework
 Interval Measurement
 Interval scales have equal intervals of
measurement, for example a gymnastics
scoring scale.

 There are equal intervals between each score,

i.e. there is the same difference between an
8.00 am and a 9.00 am as there is between a
9.00 am and a 10.00.

 It is not the case, necessarily, however, that a

10.00 am is worth twice as much as a 5.00 am.

Dr. Guido Benny Theoretical and Conceptual 23

Framework
 Ratio Measurement

 Ratio: Similar to interval level

variables in that it can measure the
distance between two points, but
can do so in absolute terms.
 Ratio measures have a true zero,
unlike interval measures.
 For example, one can say that
someone is twice as rich as someone
else based on the value of their
assets since to have no money is
based on a starting point of zero.

Dr. Guido Benny Theoretical and Conceptual 24

Framework
 Ratio Measurement

 Ratio: Similar to interval level

variables in that it can measure the
distance between two points, but
can do so in absolute terms.
 Ratio measures have a true zero,
unlike interval measures.
 For example, one can say that
someone is twice as rich as someone
else based on the value of their
assets since to have no money is
based on a starting point of zero.

Dr. Guido Benny Theoretical and Conceptual 25

Framework
Variables

 Measuring a construct turns it into a variable.

 Variable − any construct that can take on
different values.
 An INDEPENDENT variable influences a
DEPENDENT variable.
(INDEPENDENT VAR)  (DEPENDENT VAR)
Social class affects attitudes.

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Framework
Variables

 May also be a MODERATING variable:

 Social class affects attitudes

past experience
(MODERATING VAR)

Dr. Guido Benny Theoretical and Conceptual 27

Framework
Variables

 May also be a INTERVENING (=MEDIATING)

variable:

Social class  education  attitudes

(IND VAR) (INT VAR) (DEP VAR)

NO link between social class and attitudes

Dr. Guido Benny Theoretical and Conceptual 28

Framework
Examples of Conceptual
Framework
PRIOR CONDITIONS A ‘flow chart’ of innovation decision making
1. Previous practice
2. Felt needs/problems
3. Innovativeness
4. Norms of the social COMMUNICATION
system
CHANNELS

1. 2. 3. 4. 5. CONFIRMATION
KNOWLEDGE PERSUASION DECISION IMPLEMENTATION

Observations of the Perceived characteristics

decision making unit of innovation
1. Adoption Confirmed
1. Socio-economic 1. Relative advantage Adoption
characteristics
2. Compatibility Later Adoption
2. Personality
3. Complexity 2. Rejection Discontinuance
variables
4. Trialability Continued
3. Dr. Guido Benny
Communication Theoretical and Conceptual Rejection
behaviour 5. Observability Framework
Rogers 2003
Examples of Conceptual
Framework
A ‘tree chart’ of changing consumer behaviour
Customers

Changing Product
customers expectations

Experience Values Lifestyles Demographics Price Purchasing Information

Quality

Range Knowledge Priorities Health Access

Physical Service

Currency

Value Image
Loss of
Individuality Expectations Variety
loyalty

Age
composition
Ease Flexibility Security
Examples of Conceptual
Framework

A ‘triangle’ of needs

Self
actualisation

Esteem

Affiliation

Security

Physiological Maslow 1954

Examples of Conceptual
Framework
A mind map of Travel

cruise travel Why not

mass tourism

and impacts SOCIAL CONTINGENCY

THEORY
Who ge ts to go?
He ge mony class Adv antage s Disadv antage s
Type s of Indiv idual not part of mass
tourists/
trav e lle rs

POST STRUCTURALISM
Type s of Foucault - fre e dom and control Cruise r impacts
tourism Knowle dge - powe rs

POST M ODERNISM
Baudsilard - Hype s re ality

Culture/
places
Goffman - frontstage /

Environment
Backstage authe nticity

People
Are cruise rs
tourists or not?

Jennings 2001 What type of impact

and
what type of tourist?
Examples of Conceptual
Framework
Soft systems framework of tourism
business activity
2 3
1 Process Institutional Business
Environment Environment
Content
4 5
6 Output Behaviour Motivation
7 Outcome
Conclusion: The overall contribution
of the conceptual framework
 The conceptual framework encapsulates the research as it:
– Sets out the focus and content.
– Acts as the link between the literature, the methodology
and the results (regardless of when in the PhD process it
is produced).

 Thus it can be/will be the focus/starting point of the

evaluation of originality in terms of the criteria outlined by
Hart (1998). For example:
– Is what has been focussed on entirely new?
– Is the way the subject been investigated different to the
‘normal’ approaches?
– Has new light been shed on previously explored issues?