Theoretical and Conceptual Framework:

An Overview
Compiled by:
Prof. Dr. Khondoker Mokaddem Hossain
Pro Vice Chancellor
Bangladesh Open University
and Founder Director
Institute of Disaster Management and Vulnerability Studies
University of Dhaka
Email: mokaddemdu@yahoo.com
Cell No. 01711383926
• Theories are formulated to explain, predict, and understand
phenomena and, in many cases, to challenge and extend
existing knowledge, within the limits of the critical
bounding assumptions.
• A theoretical framework consists of concepts, together
with their definitions, and existing theory/theories that are
used for any particular study.
• The theoretical framework is not something that is found
readily available in the literature.
• You must review your study related materials and
pertinent research literature 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.
Kinds of Theories
• Pictorial: An image that stands for reality
• Descriptive: a set of dimensions that distinguish
various elements or phenomena
• Associational: a set of statements that tell what
phenomena appear or go together.
• Causal: a set of statements that highlights some
phenomena cause other phenomena.
• Implicational: a set of statements that indicate that
some phenomena imply other phenomena.
• Operational: a set of conditions that make things
happen or cause parts of reality to reappear.
• It provides a context for examining a problem, i.e.,
theoretical rationale for:
• Developing hypotheses
• A Frame of reference/base for:
• A. Observation
• B. Definitions of Concepts
• C. Research designs
• D. Interpretations
• E. Generalizations
• Also serve as guideline to systematically identify
logical and precisely defined relationships among
variables.
 Importance of Theoretical Framework
• It provides the structure to define how a researcher
defines his/her study philosophically,
epistemologically, methodologically and analytically
(Grant and Osanioo, 2014).
• In general, it serves as the focus for the research study
and it is linked to the research problem under study.
• In other words, the theoretical framework is the
structure that can hold or support a theory of a
research study.
• The theoretical framework introduces and describes
the theory that explains why the research problem
under study exists.
• The concept of theoretical framework is something
that is based on an assumption or opinion. An
example of theoretical framework is lower interest
rates will boost the housing market.
• By virtue of its application nature, good theory in the
research is of value precisely because it fulfills one
primary purpose:
• to explain the meaning, nature, and challenges of 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.
 Developing the Theoretical 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 on 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 answers to your
research question.
• List  the constructs and variables that might be
relevant to your study. Group these variables into
independent/dependent /intervening categories.
• Review the key theories that are introduced to you in
your study and choose the theory or theories that can
best explain the relationships among the key variables
in your study.
• 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,
• understanding concepts and variables according to
the given definitions, and building knowledge by
validating or challenging theoretical assumptions.
 Purpose of Theoretical Framework
• Think of theories as the conceptual basis for
understanding, analyzing, and designing ways to
investigate relationships within social systems. To the
end, the following roles served by a theory can help
guide the development of your framework:
• TF means by which new research data can be interpreted
and coded for future use,
• TF response to new problems that have no previously
identified solutions strategy,
• TF means for identifying and defining research problems,
• TF means for prescribing or evaluating solutions to
research problems,
• TF is the way of telling us that certain facts among the
accumulated knowledge are important and which facts
are not,
• TF means of giving old data new interpretations and new
meaning,
• TF 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,
• TF means of providing members of a professional
discipline with a common language and a frame of
reference for defining boundaries of their profession, and
• TF means to guide and inform research so that it can, in
turn, guide research efforts and improve professional
practice.
• The theoretical framework may be rooted in a
specific theory, in which case, you are expected to
test the validity of an existing theory in relation to
specific events, issues, or phenomena.
• Many research studies fit into this rubric. For
example, Peripheral Realism theory, which
categorizes perceived differences between 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 growing split between southern and northern
Sudan that may likely lead 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.
• Given this, it is perhaps easiest to understand the
nature and function of a theoretical framework if it
is viewed as the 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 could choose 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.
• In writing this part of your PhD dissertation, 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.
• 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 framework you've chosen is
the appropriate one.
• You should make your theoretical assumptions as
explicit* as possible.
• *[Explicit data is data that is provided intentionally and taken at face
value rather than analyzed or interpreted for further meaning. Examples
of explicit data include information provided in surveys.
• Explicit is directly stated and spelled out whereas implicit is indirectly
stated or implied.
• Implicit research techniques seek to measure underlying responses that we
are often not fully conscious of].
• 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 limitiations of the theoretical
framework you've chosen [i.e., what parts of the research
problem require further investigation because the theory does
not explain a certain phenomena].
• (Reference: Organizing Academic Research Papers:
Theoretical Framework
- 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); Trochim, William M.K. Philosophy of Research.
Research Methods Knowledge Base, 2006).
 There are three different levels of theory:
• Grand, middle-range and substantive, and the
differences between them depend on a theory’s
capacity to change the way we think about the
world, and its general applicability (Saunders et al.,
2012).
• A grand theory, such as Darwin’s theory of evolution
through natural selection or Einstein’s theory of
relativity, as well as being universally applicable,
changes the way we
think about the world.
• Middle-range theories, such as Taylor’s (1911)
scientific management, Maslow’s (1943) hierarchy of
needs or Herzberg et al.’s (1959) two-factor theory of
motivation, are
more restricted in their application and unlikely to
change fundamentally the way we think about the
world.
• Substantive theories are restricted to providing
insights for a particular time, research setting and
problem (Saunders et al., 2012) – and so are less likely
than middle-range theories to have general
applicability.
• This is not to say that substantive theories are of
limited value. Substantive theories enhance our
understanding of particular problems and offer
guidance for actions that need to be undertaken in
field settings.
• They may also, in combination with other substantive
theories that present similar propositions, lead to the
development or refinement of middle-range theories.
• Sutton and Staw (1995) also emphasise that theory is
not just data. While data derived from research can
be used to describe what has been observed,
highlighting patterns and providing support,
• theory explains through reasoning why what has
been observed, or is expected to be observed,
happens. Consequently, reasoning and explanation
are crucial to a theory.
• Therefore, the use of a Theoretical Framework as a
guide in a research study is logically sound and
substantiated by previous research studies.
• There is a strong possibility that the predictions or
hypotheses evolving from that framework will be
supported.
• In some cases, a theoretical rationale is
inappropriately used, e.g. a theory is designed to
explain a particular behavior in infants may not be
appropriate for the study of those behaviors in adults.
 How to develop Theoretical Framework?
Select Concepts:
1. A concept is an image or symbolic representation
of an abstract idea, e.g. health, pain, intelligence.
2. Identify the Interrelationship among Concepts: A
relationship may be:
a. rigid=scientific law, e.g. Laws of Motion
(no known contradiction has been observed).
b. Tentative or questionable-relationship that does not
convey truth or falsify.
Laws and hypotheses are types of propositions.
 What to Do in the Theoretical Framework?
• Compare and contrast different author’s view on an
issue
• Group authors who draw similar conclusions
• Criticize different aspects and steps of research
methodology
• Note areas in which authors are in disagreement
• Highlight exemplary studies
• Highlight gaps in research
• Show how your study relates to previous studies
• Show how your study relates to the literature in general
• Conclude by summarizing what the literature says
 How to Construct a Theoretical Framework?
• The main concern for inquiry in the research
• The Key variables in the research
• Search, read and review current related literature on
the topic
• List the constructs and variables that might be
relevant to your study
• Consider how the variables are related to the theory
• Try to find the theories and theorists most in the line
with the thinking of your research topic
• Discuss the propositions of each theory and highlight
its relevance to your research
• Consider alternative theories associates with the
selected theory which the problem to be
investigated can help address or provide logical
explanations
• Conceptual definition should be there (conveys the
general meaning of concept)
• Operational definition needs to be followed (by
delineating the procedures or operations to measure
the concept).
• Some concepts are easily defined in operational
terms, e.g. pulse, but other concepts are more
difficult to define operationally, e.g. coping.