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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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What Is a Theoretical Framework? | Guide to Organizing

Published on October 14, 2022 by Sarah Vinz . Revised on November 20, 2023 by Tegan George.

A theoretical framework is a foundational review of existing theories that serves as a roadmap for developing the arguments you will use in your own work.

Theories are developed by researchers to explain phenomena, draw connections, and make predictions. In a theoretical framework, you explain the existing theories that support your research, showing that your paper or dissertation topic is relevant and grounded in established ideas.

In other words, your theoretical framework justifies and contextualizes your later research, and it’s a crucial first step for your research paper , thesis , or dissertation . A well-rounded theoretical framework sets you up for success later on in your research and writing process.

Table of contents

Why do you need a theoretical framework, how to write a theoretical framework, structuring your theoretical framework, example of a theoretical framework, other interesting articles, frequently asked questions about theoretical frameworks.

Before you start your own research, it’s crucial to familiarize yourself with the theories and models that other researchers have already developed. Your theoretical framework is your opportunity to present and explain what you’ve learned, situated within your future research topic.

There’s a good chance that many different theories about your topic already exist, especially if the topic is broad. In your theoretical framework, you will evaluate, compare, and select the most relevant ones.

By “framing” your research within a clearly defined field, you make the reader aware of the assumptions that inform your approach, showing the rationale behind your choices for later sections, like methodology and discussion . This part of your dissertation lays the foundations that will support your analysis, helping you interpret your results and make broader generalizations .

• In literature , a scholar using postmodernist literary theory would analyze The Great Gatsby differently than a scholar using Marxist literary theory.
• In psychology , a behaviorist approach to depression would involve different research methods and assumptions than a psychoanalytic approach.
• In economics , wealth inequality would be explained and interpreted differently based on a classical economics approach than based on a Keynesian economics one.

To create your own theoretical framework, you can follow these three steps:

• Identifying your key concepts
• Evaluating and explaining relevant theories
• Showing how your research fits into existing research

1. Identify your key concepts

The first step is to pick out the key terms from your problem statement and research questions . Concepts often have multiple definitions, so your theoretical framework should also clearly define what you mean by each term.

To investigate this problem, you have identified and plan to focus on the following problem statement, objective, and research questions:

Problem : Many online customers do not return to make subsequent purchases.

Objective : To increase the quantity of return customers.

Research question : How can the satisfaction of company X’s online customers be improved in order to increase the quantity of return customers?

2. Evaluate and explain relevant theories

By conducting a thorough literature review , you can determine how other researchers have defined these key concepts and drawn connections between them. As you write your theoretical framework, your aim is to compare and critically evaluate the approaches that different authors have taken.

After discussing different models and theories, you can establish the definitions that best fit your research and justify why. You can even combine theories from different fields to build your own unique framework if this better suits your topic.

Make sure to at least briefly mention each of the most important theories related to your key concepts. If there is a well-established theory that you don’t want to apply to your own research, explain why it isn’t suitable for your purposes.

3. Show how your research fits into existing research

Apart from summarizing and discussing existing theories, your theoretical framework should show how your project will make use of these ideas and take them a step further.

You might aim to do one or more of the following:

• Test whether a theory holds in a specific, previously unexamined context
• Use an existing theory as a basis for interpreting your results
• Critique or challenge a theory
• Combine different theories in a new or unique way

A theoretical framework can sometimes be integrated into a literature review chapter , but it can also be included as its own chapter or section in your dissertation. As a rule of thumb, if your research involves dealing with a lot of complex theories, it’s a good idea to include a separate theoretical framework chapter.

There are no fixed rules for structuring your theoretical framework, but it’s best to double-check with your department or institution to make sure they don’t have any formatting guidelines. The most important thing is to create a clear, logical structure. There are a few ways to do this:

• Draw on your research questions, structuring each section around a question or key concept
• Organize by theory cluster
• Organize by date

It’s important that the information in your theoretical framework is clear for your reader. Make sure to ask a friend to read this section for you, or use a professional proofreading service .

As in all other parts of your research paper , thesis , or dissertation , make sure to properly cite your sources to avoid plagiarism .

To get a sense of what this part of your thesis or dissertation might look like, take a look at our full example .

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While a theoretical framework describes the theoretical underpinnings of your work based on existing research, a conceptual framework allows you to draw your own conclusions, mapping out the variables you may use in your study and the interplay between them.

A literature review and a theoretical framework are not the same thing and cannot be used interchangeably. While a theoretical framework describes the theoretical underpinnings of your work, a literature review critically evaluates existing research relating to your topic. You’ll likely need both in your dissertation .

A theoretical framework can sometimes be integrated into a  literature review chapter , but it can also be included as its own chapter or section in your dissertation . As a rule of thumb, if your research involves dealing with a lot of complex theories, it’s a good idea to include a separate theoretical framework chapter.

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How to Use a Conceptual Framework for Better Research

A conceptual framework in research is not just a tool but a vital roadmap that guides the entire research process. It integrates various theories, assumptions, and beliefs to provide a structured approach to research. By defining a conceptual framework, researchers can focus their inquiries and clarify their hypotheses, leading to more effective and meaningful research outcomes.

What is a Conceptual Framework?

A conceptual framework is essentially an analytical tool that combines concepts and sets them within an appropriate theoretical structure. It serves as a lens through which researchers view the complexities of the real world. The importance of a conceptual framework lies in its ability to serve as a guide, helping researchers to not only visualize but also systematically approach their study.

Key Components and to be Analyzed During Research

• Theories: These are the underlying principles that guide the hypotheses and assumptions of the research.
• Assumptions: These are the accepted truths that are not tested within the scope of the research but are essential for framing the study.
• Beliefs: These often reflect the subjective viewpoints that may influence the interpretation of data.
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Together, these components help to define the conceptual framework that directs the research towards its ultimate goal. This structured approach not only improves clarity but also enhances the validity and reliability of the research outcomes. By using a conceptual framework, researchers can avoid common pitfalls and focus on essential variables and relationships.

For practical examples and to see how different frameworks can be applied in various research scenarios, you can Explore Conceptual Framework Examples .

Different Types of Conceptual Frameworks Used in Research

Understanding the various types of conceptual frameworks is crucial for researchers aiming to align their studies with the most effective structure. Conceptual frameworks in research vary primarily between theoretical and operational frameworks, each serving distinct purposes and suiting different research methodologies.

Theoretical vs Operational Frameworks

Theoretical frameworks are built upon existing theories and literature, providing a broad and abstract understanding of the research topic. They help in forming the basis of the study by linking the research to already established scholarly works. On the other hand, operational frameworks are more practical, focusing on how the study’s theories will be tested through specific procedures and variables.

• Theoretical frameworks are ideal for exploratory studies and can help in understanding complex phenomena.
• Operational frameworks suit studies requiring precise measurement and data analysis.

Choosing the Right Framework

Selecting the appropriate conceptual framework is pivotal for the success of a research project. It involves matching the research questions with the framework that best addresses the methodological needs of the study. For instance, a theoretical framework might be chosen for studies that aim to generate new theories, while an operational framework would be better suited for testing specific hypotheses.

Benefits of choosing the right framework include enhanced clarity, better alignment with research goals, and improved validity of research outcomes. Tools like Table Chart Maker can be instrumental in visually comparing the strengths and weaknesses of different frameworks, aiding in this crucial decision-making process.

Real-World Examples of Conceptual Frameworks in Research

Understanding the practical application of conceptual frameworks in research can significantly enhance the clarity and effectiveness of your studies. Here, we explore several real-world case studies that demonstrate the pivotal role of conceptual frameworks in achieving robust research conclusions.

• Healthcare Research: In a study examining the impact of lifestyle choices on chronic diseases, researchers used a conceptual framework to link dietary habits, exercise, and genetic predispositions. This framework helped in identifying key variables and their interrelations, leading to more targeted interventions.
• Educational Development: Educational theorists often employ conceptual frameworks to explore the dynamics between teaching methods and student learning outcomes. One notable study mapped out the influences of digital tools on learning engagement, providing insights that shaped educational policies.
• Environmental Policy: Conceptual frameworks have been crucial in environmental research, particularly in studies on climate change adaptation. By framing the relationships between human activity, ecological changes, and policy responses, researchers have been able to propose more effective sustainability strategies.

Adapting conceptual frameworks based on evolving research data is also critical. As new information becomes available, it’s essential to revisit and adjust the framework to maintain its relevance and accuracy, ensuring that the research remains aligned with real-world conditions.

For those looking to visualize and better comprehend their research frameworks, Graphic Organizers for Conceptual Frameworks can be an invaluable tool. These organizers help in structuring and presenting research findings clearly, enhancing both the process and the presentation of your research.

Step-by-Step Guide to Creating Your Own Conceptual Framework

Creating a conceptual framework is a critical step in structuring your research to ensure clarity and focus. This guide will walk you through the process of building a robust framework, from identifying key concepts to refining your approach as your research evolves.

Building Blocks of a Conceptual Framework

• Identify and Define Main Concepts and Variables: Start by clearly identifying the main concepts, variables, and their relationships that will form the basis of your research. This could include defining key terms and establishing the scope of your study.
• Develop a Hypothesis or Primary Research Question: Formulate a central hypothesis or question that guides the direction of your research. This will serve as the foundation upon which your conceptual framework is built.
• Link Theories and Concepts Logically: Connect your identified concepts and variables with existing theories to create a coherent structure. This logical linking helps in forming a strong theoretical base for your research.

Visualizing and Refining Your Framework

Using visual tools can significantly enhance the clarity and effectiveness of your conceptual framework. Decision Tree Templates for Conceptual Frameworks can be particularly useful in mapping out the relationships between variables and hypotheses.

Map Your Framework: Utilize tools like Creately’s visual canvas to diagram your framework. This visual representation helps in identifying gaps or overlaps in your framework and provides a clear overview of your research structure.

Analyze and Refine: As your research progresses, continuously evaluate and refine your framework. Adjustments may be necessary as new data comes to light or as initial assumptions are challenged.

By following these steps, you can ensure that your conceptual framework is not only well-defined but also adaptable to the changing dynamics of your research.

Practical Tips for Utilizing Conceptual Frameworks in Research

Effectively utilizing a conceptual framework in research not only streamlines the process but also enhances the clarity and coherence of your findings. Here are some practical tips to maximize the use of conceptual frameworks in your research endeavors.

• Setting Clear Research Goals: Begin by defining precise objectives that are aligned with your research questions. This clarity will guide your entire research process, ensuring that every step you take is purposeful and directly contributes to your overall study aims. \
• Maintaining Focus and Coherence: Throughout the research, consistently refer back to your conceptual framework to maintain focus. This will help in keeping your research aligned with the initial goals and prevent deviations that could dilute the effectiveness of your findings.
• Data Analysis and Interpretation: Use your conceptual framework as a lens through which to view and interpret data. This approach ensures that the data analysis is not only systematic but also meaningful in the context of your research objectives. For more insights, explore Research Data Analysis Methods .
• Presenting Research Findings: When it comes time to present your findings, structure your presentation around the conceptual framework . This will help your audience understand the logical flow of your research and how each part contributes to the whole.
• Avoiding Common Pitfalls: Be vigilant about common errors such as overcomplicating the framework or misaligning the research methods with the framework’s structure. Keeping it simple and aligned ensures that the framework effectively supports your research.

By adhering to these tips and utilizing tools like 7 Essential Visual Tools for Social Work Assessment , researchers can ensure that their conceptual frameworks are not only robust but also practically applicable in their studies.

How Creately Enhances the Creation and Use of Conceptual Frameworks

Creating a robust conceptual framework is pivotal for effective research, and Creately’s suite of visual tools offers unparalleled support in this endeavor. By leveraging Creately’s features, researchers can visualize, organize, and analyze their research frameworks more efficiently.

• Visual Mapping of Research Plans: Creately’s infinite visual canvas allows researchers to map out their entire research plan visually. This helps in understanding the complex relationships between different research variables and theories, enhancing the clarity and effectiveness of the research process.
• Brainstorming with Mind Maps: Using Mind Mapping Software , researchers can generate and organize ideas dynamically. Creately’s intelligent formatting helps in brainstorming sessions, making it easier to explore multiple topics or delve deeply into specific concepts.
• Centralized Data Management: Creately enables the importation of data from multiple sources, which can be integrated into the visual research framework. This centralization aids in maintaining a cohesive and comprehensive overview of all research elements, ensuring that no critical information is overlooked.
• Communication and Collaboration: The platform supports real-time collaboration, allowing teams to work together seamlessly, regardless of their physical location. This feature is crucial for research teams spread across different geographies, facilitating effective communication and iterative feedback throughout the research process.

Moreover, the ability t Explore Conceptual Framework Examples directly within Creately inspires researchers by providing practical templates and examples that can be customized to suit specific research needs. This not only saves time but also enhances the quality of the conceptual framework developed.

In conclusion, Creately’s tools for creating and managing conceptual frameworks are indispensable for researchers aiming to achieve clear, structured, and impactful research outcomes.

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Chiraag George is a communication specialist here at Creately. He is a marketing junkie that is fascinated by how brands occupy consumer mind space. A lover of all things tech, he writes a lot about the intersection of technology, branding and culture at large.

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Chapter 4: Theoretical frameworks for qualitative research

Tess Tsindos

Learning outcomes

Upon completion of this chapter, you should be able to:

• Describe qualitative frameworks.
• Explain why frameworks are used in qualitative research.
• Identify various frameworks used in qualitative research.

What is a Framework?

A framework is a set of broad concepts or principles used to guide research.  As described by Varpio and colleagues 1 , a framework is a logically developed and connected set of concepts and premises – developed from one or more theories – that a researcher uses as a scaffold for their study. The researcher must define any concepts and theories that will provide the grounding for the research and link them through logical connections, and must relate these concepts to the study that is being carried out. In using a particular theory to guide their study, the researcher needs to ensure that the theoretical framework is reflected in the work in which they are engaged.

It is important to acknowledge that the terms ‘theories’ ( see Chapter 3 ), ‘frameworks’ and ‘paradigms’ are sometimes used interchangeably. However, there are differences between these concepts. To complicate matters further, theoretical frameworks and conceptual frameworks are also used. In addition, quantitative and qualitative researchers usually start from different standpoints in terms of theories and frameworks.

A diagram by Varpio and colleagues demonstrates the similarities and differences between theories and frameworks, and how they influence research approaches. 1(p991) The diagram displays the objectivist or deductive approach to research on the left-hand side. Note how the conceptual framework is first finalised before any research is commenced, and it involves the articulation of hypotheses that are to be tested using the data collected. This is often referred to as a top-down approach and/or a general (theory or framework) to a specific (data) approach.

The diagram displays the subjectivist or inductive approach to research on the right-hand side. Note how data is collected first, and through data analysis, a tentative framework is proposed. The framework is then firmed up as new insights are gained from the data analysis. This is referred to as a specific (data) to general (theory and framework) approach .

Why d o w e u se f rameworks?

A framework helps guide the questions used to elicit your data collection. A framework is not prescriptive, but it needs to be suitable for the research question(s), setting and participants. Therefore, the researcher might use different frameworks to guide different research studies.

A framework informs the study’s recruitment and sampling, and informs, guides or structures how data is collected and analysed. For example, a framework concerned with health systems will assist the researcher to analyse the data in a certain way, while a framework concerned with psychological development will have very different ways of approaching the analysis of data. This is due to the differences underpinning the concepts and premises concerned with investigating health systems, compared to the study of psychological development. The framework adopted also guides emerging interpretations of the data and helps in comparing and contrasting data across participants, cases and studies.

Some examples of foundational frameworks used to guide qualitative research in health services and public health:

• The Behaviour Change Wheel 2
• Consolidated Framework for Implementation Research (CFIR) 3
• Theoretical framework of acceptability 4
• Normalization Process Theory 5
• Candidacy Framework 6
• Aboriginal social determinants of health 7(p8)
• Social determinants of health 8
• Social model of health 9,10
• Systems theory 11
• Biopsychosocial model 12
• Discipline-specific models
• Disease-specific frameworks

E xamples of f rameworks

In Table 4.1, citations of published papers are included to demonstrate how the particular framework helps to ‘frame’ the research question and the interpretation of results.

Table 4.1. Frameworks and references

As discussed in Chapter 3, qualitative research is not an absolute science. While not all research may need a framework or theory (particularly descriptive studies, outlined in Chapter 5), the use of a framework or theory can help to position the research questions, research processes and conclusions and implications within the relevant research paradigm. Theories and frameworks also help to bring to focus areas of the research problem that may not have been considered.

• Varpio L, Paradis E, Uijtdehaage S, Young M. The distinctions between theory, theoretical framework, and conceptual framework. Acad Med . 2020;95(7):989-994. doi:10.1097/ACM.0000000000003075
• Michie S, van Stralen MM, West R. The behaviour change wheel: a new method for characterising and designing behaviour change interventions. Implement Sci .  2011;6:42. doi:10.1186/1748-5908-6-42
• CFIR Research Team. Consolidated Framework for Implementation Research (CFIR). Center for Clinical Management Research. 2023. Accessed February 15, 2023. https://cfirguide.org/
• Sekhon M, Cartwright M, Francis JJ. Acceptability of healthcare interventions: an overview of reviews and development of a theoretical framework. BMC Health Serv Res . 2017;17:88. doi:10.1186/s12913-017-2031-8
• Murray E, Treweek S, Pope C, et al. Normalisation process theory: a framework for developing, evaluating and implementing complex interventions. BMC Med .  2010;8:63. doi:10.1186/1741-7015-8-63
• Tookey S, Renzi C, Waller J, von Wagner C, Whitaker KL. Using the candidacy framework to understand how doctor-patient interactions influence perceived eligibility to seek help for cancer alarm symptoms: a qualitative interview study. BMC Health Serv Res . 2018;18(1):937. doi:10.1186/s12913-018-3730-5
• Lyon P. Aboriginal Health in Aboriginal Hands: Community-Controlled Comprehensive Primary Health Care @ Central Australian Aboriginal Congress; 2016. Accessed February 15, 2023. https://nacchocommunique.com/wp-content/uploads/2017/09/cphc-congress-final-report.pdf
• Solar O., Irwin A. A Conceptual Framework for Action on the Social Determinants of Health:   Social Determinants of Health Discussion Paper 2 (Policy and Practice); 2010. Accessed February 22, 2023. https://www.who.int/publications/i/item/9789241500852
• Yuill C, Crinson I, Duncan E. Key Concepts in Health Studies . SAGE Publications; 2010.
• Germov J. Imagining health problems as social issues. In: Germov J, ed. Second Opinion: An Introduction to Health Sociology . Oxford University Press; 2014.
• Laszlo A, Krippner S. Systems theories: their origins, foundations, and development. In: Jordan JS, ed. Advances in Psychology . Science Direct; 1998:47-74.
• Engel GL. From biomedical to biopsychosocial: being scientific in the human domain. Psychosomatics . 1997;38(6):521-528. doi:10.1016/S0033-3182(97)71396-3
• Schmidtke KA, Drinkwater KG. A cross-sectional survey assessing the influence of theoretically informed behavioural factors on hand hygiene across seven countries during the COVID-19 pandemic. BMC Public Health . 2021;21:1432. doi:10.1186/s12889-021-11491-4
• Graham-Wisener L, Nelson A, Byrne A, et al. Understanding public attitudes to death talk and advance care planning in Northern Ireland using health behaviour change theory: a qualitative study. BMC Public Health . 2022;22:906. doi:10.1186/s12889-022-13319-1
• Walker R, Quong S, Olivier P, Wu L, Xie J, Boyle J. Empowerment for behaviour change through social connections: a qualitative exploration of women’s preferences in preconception health promotion in the state of Victoria, Australia. BMC Public Health . 2022;22:1642. doi:10.1186/s12889-022-14028-5
• Ayton DR, Barker AL, Morello RT, et al. Barriers and enablers to the implementation of the 6-PACK falls prevention program: a pre-implementation study in hospitals participating in a cluster randomised controlled trial. PLOS ONE . 2017;12(2):e0171932. doi:10.1371/journal.pone.0171932
• Pratt R, Xiong S, Kmiecik A, et al. The implementation of a smoking cessation and alcohol abstinence intervention for people experiencing homelessness. BMC Public Health . 2022;22:1260. doi:10.1186/s12889-022-13563-5
• Bossert J, Mahler C, Boltenhagen U, et al. Protocol for the process evaluation of a counselling intervention designed to educate cancer patients on complementary and integrative health care and promote interprofessional collaboration in this area (the CCC-Integrativ study). PLOS ONE . 2022;17(5):e0268091. doi:10.1371/journal.pone.0268091
• Lwin KS, Bhandari AKC, Nguyen PT, et al. Factors influencing implementation of health-promoting interventions at workplaces: protocol for a scoping review. PLOS ONE . 2022;17(10):e0275887. doi:10.1371/journal.pone.0275887
• Wilhelm AK, Schwedhelm M, Bigelow M, et al. Evaluation of a school-based participatory intervention to improve school environments using the Consolidated Framework for Implementation Research. BMC Public Health . 2021;21:1615. doi:10.1186/s12889-021-11644-5
• Timm L, Annerstedt KS, Ahlgren JÁ, et al. Application of the Theoretical Framework of Acceptability to assess a telephone-facilitated health coaching intervention for the prevention and management of type 2 diabetes. PLOS ONE . 2022;17(10):e0275576. doi:10.1371/journal.pone.0275576
• Laing L, Salema N-E, Jeffries M, et al. Understanding factors that could influence patient acceptability of the use of the PINCER intervention in primary care: a qualitative exploration using the Theoretical Framework of Acceptability. PLOS ONE . 2022;17(10):e0275633. doi:10.1371/journal.pone.0275633
• Renko E, Knittle K, Palsola M, Lintunen T, Hankonen N. Acceptability, reach and implementation of a training to enhance teachers’ skills in physical activity promotion. BMC Public Health . 2020;20:1568. doi:10.1186/s12889-020-09653-x
• Alexander SM, Agaba A, Campbell JI, et al. A qualitative study of the acceptability of remote electronic bednet use monitoring in Uganda. BMC Public Health . 2022;22:1010. doi:10.1186/s12889-022-13393
• May C, Rapley T, Mair FS, et al. Normalization Process Theory On-line Users’ Manual, Toolkit and NoMAD instrument. 2015. Accessed February 15, 2023. https://normalization-process-theory.northumbria.ac.uk/
• Davis S. Ready for prime time? Using Normalization Process Theory to evaluate implementation success of personal health records designed for decision making. Front Digit  Health . 2020;2:575951. doi:10.3389/fdgth.2020.575951
• Durand M-A, Lamouroux A, Redmond NM, et al. Impact of a health literacy intervention combining general practitioner training and a consumer facing intervention to improve colorectal cancer screening in underserved areas: protocol for a multicentric cluster randomized controlled trial. BMC Public Health . 2021;21:1684. doi:10.1186/s12889-021-11565
• Jones SE, Hamilton S, Bell R, Araújo-Soares V, White M. Acceptability of a cessation intervention for pregnant smokers: a qualitative study guided by Normalization Process Theory. BMC Public Health . 2020;20:1512. doi:10.1186/s12889-020-09608-2
• Ziegler E, Valaitis R, Yost J, Carter N, Risdon C. “Primary care is primary care”: use of Normalization Process Theory to explore the implementation of primary care services for transgender individuals in Ontario. PLOS ONE . 2019;14(4):e0215873. doi:10.1371/journal.pone.0215873
• Mackenzie M, Conway E, Hastings A, Munro M, O’Donnell C. Is ‘candidacy’ a useful concept for understanding journeys through public services? A critical interpretive literature synthesis. Soc Policy Adm . 2013;47(7):806-825. doi:10.1111/j.1467-9515.2012.00864.x
• Adeagbo O, Herbst C, Blandford A, et al. Exploring people’s candidacy for mobile health–supported HIV testing and care services in rural KwaZulu-Natal, South Africa: qualitative study. J Med Internet Res . 2019;21(11):e15681. doi:10.2196/15681
• Mackenzie M, Turner F, Platt S, et al. What is the ‘problem’ that outreach work seeks to address and how might it be tackled? Seeking theory in a primary health prevention programme. BMC Health Serv Res . 2011;11:350. doi:10.1186/1472-6963-11-350
• Liberati E, Richards N, Parker J, et al. Qualitative study of candidacy and access to secondary mental health services during the COVID-19 pandemic. Soc Sci Med. 2022;296:114711. doi:10.1016/j.socscimed.2022.114711
• Pearson O, Schwartzkopff K, Dawson A, et al. Aboriginal community controlled health organisations address health equity through action on the social determinants of health of Aboriginal and Torres Strait Islander peoples in Australia. BMC Public Health . 2020;20:1859. doi:10.1186/s12889-020-09943-4
• Freeman T, Baum F, Lawless A, et al. Revisiting the ability of Australian primary healthcare services to respond to health inequity. Aust J Prim  Health . 2016;22(4):332-338. doi:10.1071/PY14180
• Couzos S. Towards a National Primary Health Care Strategy: Fulfilling Aboriginal Peoples Aspirations to Close the Gap . National Aboriginal Community Controlled Health Organisation. 2009. Accessed February 15, 2023. https://researchonline.jcu.edu.au/35080/
• Napier AD, Ancarno C, Butler B, et al. Culture and health. Lancet . 2014;384(9954):1607-1639. doi:10.1016/S0140-6736(14)61603-2
• WHO. COVID-19 and the Social Determinants of Health and Health Equity: Evidence Brief . 2021. Accessed February 15, 2023. https://www.who.int/publications/i/item/9789240038387
• WHO. Social Determinants of Health . 2023. Accessed February 15, 2023. https://www.who.int/health-topics/social-determinants-of-health#tab=tab_1
• McCrae JS, Robinson JAL, Spain AK, Byers K, Axelrod JL. The Mitigating Toxic Stress study design: approaches to developmental evaluation of pediatric health care innovations addressing social determinants of health and toxic stress. BMC Health Serv Res . 2021;21:71. doi:10.1186/s12913-021-06057-4
• Hosseinpoor AR, Stewart Williams J, Jann B, et al. Social determinants of sex differences in disability among older adults: a multi-country decomposition analysis using the World Health Survey. Int J  Equity   Health . 2012;11:52. doi:10.1186/1475-9276-11-52
• Kabore A, Afriyie-Gyawu E, Awua J, et al. Social ecological factors affecting substance abuse in Ghana (West Africa) using photovoice. Pan Afr Med J . 2019;34:214. doi:10.11604/pamj.2019.34.214.12851
• Bíró É, Vincze F, Mátyás G, Kósa K. Recursive path model for health literacy: the effect of social support and geographical residence. Front Public Health . 2021;9. doi:10.3389/fpubh.2021.724995
• Yuan B, Zhang T, Li J. Family support and transport cost: understanding health service among older people from the perspective of social-ecological model. Arch Public Health . 2022;80:173. doi:10.1186/s13690-022-00923-1
• Mahmoodi Z, Karimlou M, Sajjadi H, Dejman M, Vameghi M, Dolatian M. A communicative model of mothers’ lifestyles during pregnancy with low birth weight based on social determinants of health: a path analysis. Oman Med J . 2017 ;32(4):306-314. doi:10.5001/omj.2017.59
• Vella SA, Schweickle MJ, Sutcliffe J, Liddelow C, Swann C. A systems theory of mental health in recreational sport. Int J Environ Res Public Health . 2022;19(21):14244. doi:10.3390/ijerph192114244
• Henning S. The wellness of airline cabin attendants: A systems theory perspective. African Journal of Hospitality, Tourism and Leisure . 2015;4(1):1-11. Accessed February 15, 2023. http://www.ajhtl.com/archive.html
• Sutphin ST, McDonough S, Schrenkel A. The role of formal theory in social work research: formalizing family systems theory. Adv Soc Work . 2013;14(2):501-517. doi:10.18060/7942
• Colla R, Williams P, Oades LG, Camacho-Morles J. “A new hope” for positive psychology: a dynamic systems reconceptualization of hope theory. Front Psychol .  2022;13. doi:10.3389/fpsyg.2022.809053
• Engel GL. The need for a new medical model: a challenge for biomedicine. Science. 1977;196(4286):129–136. doi:10.1126/science.847460
• Wade DT, HalliganPW. The biopsychosocial model of illness: a model whose time has come. Clin Rehabi l. 2017;31(8):995–1004. doi:10.1177/0269215517709890
• Ip L, Smith A, Papachristou I, Tolani E. 3 Dimensions for Long Term Conditions – creating a sustainable bio-psycho-social approach to healthcare.  J Integr Care . 2019;19(4):5. doi:10.5334/ijic.s3005
• FrameWorks Institute. A Matter of Life and Death: Explaining the Wider Determinants of Health in the UK . FrameWorks Institute; 2022. Accessed February 15, 2023. https://www.frameworksinstitute.org/wp-content/uploads/2022/03/FWI-30-uk-health-brief-v3a.pdf
• Zemed A, Nigussie Chala K, Azeze Eriku G, Yalew Aschalew A. Health-related quality of life and associated factors among patients with stroke at tertiary level hospitals in Ethiopia. PLOS ONE . 2021;16(3):e0248481. doi:10.1371/journal.pone.0248481
• Finch E, Foster M, Cruwys T, et al. Meeting unmet needs following minor stroke: the SUN randomised controlled trial protocol. BMC Health Serv Res . 2019;19:894. doi:10.1186/s12913-019-4746-1

Qualitative Research – a practical guide for health and social care researchers and practitioners Copyright © 2023 by Tess Tsindos is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

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Research Frameworks: Critical Components for Reporting Qualitative Health Care Research

Qualitative health care research can provide insights into health care practices that quantitative studies cannot. However, the potential of qualitative research to improve health care is undermined by reporting that does not explain or justify the research questions and design. The vital role of research frameworks for designing and conducting quality research is widely accepted, but despite many articles and books on the topic, confusion persists about what constitutes an adequate underpinning framework, what to call it, and how to use one. This editorial clarifies some of the terminology and reinforces why research frameworks are essential for good-quality reporting of all research, especially qualitative research.

Qualitative research provides valuable insights into health care interactions and decision-making processes – for example, why and how a clinician may ignore prevailing evidence and continue making clinical decisions the way they always have. 1 The perception of qualitative health care research has improved since a 2016 article by Greenhalgh et al. highlighted the higher contributions and citation rates of qualitative research than those of contemporaneous quantitative research. 2 The Greenhalgh et al. article was subsequently supported by an open letter from 76 senior academics spanning 11 countries to the editors of the British Medical Journal . 3 Despite greater recognition and acceptance, qualitative research continues to have an “uneasy relationship with theory,” 4 which contributes to poor reporting.

As an editor for the Journal of Patient-Centered Research and Reviews , as well as Human Resources for Health , I have seen several exemplary qualitative articles with clear and coherent reporting. On the other hand, I have often been concerned by a lack of rigorous reporting, which may reflect and reinforce the outdated perception of qualitative research as the “soft option.” 5 Qualitative research is more than conducting a few semi-structured interviews, transcribing the audio recordings verbatim, coding the transcripts, and developing and reporting themes, including a few quotes. Qualitative research that benefits health care is time-consuming and labor-intensive, requires robust design, and is rooted in theory, along with comprehensive reporting. 6

What Is “Theory”?

So fundamental is theory to qualitative research that I initially toyed with titling this editorial, “ Theory: the missing link in qualitative health care research articles ,” before deeming that focus too broad. As far back as 1967, Merton 6 warned that “the word theory threatens to become meaningless.” While it cannot be overstated that “atheoretical” studies lack the underlying logic that justifies researchers’ design choices, the word theory is so overused that it is difficult to understand what constitutes an adequate theoretical foundation and what to call it.

Theory, as used in the term theoretical foundation , refers to the existing body of knowledge. 7 , 8 The existing body of knowledge consists of more than formal theories , with their explanatory and predictive characteristics, so theory implies more than just theories . Box 1 9 – 12 defines the “building blocks of formal theories.” 9 Theorizing or theory-building starts with concepts at the most concrete, experiential level, becoming progressively more abstract until a higher-level theory is developed that explains the relationships between the building blocks. 9 Grand theories are broad, representing the most abstract level of theorizing. Middle-range and explanatory theories are progressively less abstract, more specific to particular phenomena or cases (middle-range) or variables (explanatory), and testable.

The Building Blocks of Formal Theories 9

The Importance of Research Frameworks

Researchers may draw on several elements to frame their research. Generally, a framework is regarded as “a set of ideas that you use when you are forming your decisions and judgements” 13 or “a system of rules, ideas, or beliefs that is used to plan or decide something.” 14 Research frameworks may consist of a single formal theory or part thereof, any combination of several theories or relevant constructs from different theories, models (as simplified representations of formal theories), concepts from the literature and researchers’ experiences.

Although Merriam 15 was of the view that every study has a framework, whether explicit or not, there are advantages to using an explicit framework. Research frameworks map “the territory being investigated,” 8 thus helping researchers to be explicit about what informed their research design, from developing research questions and choosing appropriate methods to data analysis and interpretation. Using a framework makes research findings more meaningful 12 and promotes generalizability by situating the study and interpreting data in more general terms than the study itself. 16

Theoretical and Conceptual Frameworks

The variation in how the terms theoretical and conceptual frameworks are used may be confusing. Some researchers refer to only theoretical frameworks 17 , 18 or conceptual frameworks, 19 – 21 while others use the terms interchangeably. 7 Other researchers distinguish between the two. For example, Miles, Huberman & Saldana 8 see theoretical frameworks as based on formal theories and conceptual frameworks derived inductively from locally relevant concepts and variables, although they may include theoretical aspects. Conversely, some researchers believe that theoretical frameworks include formal theories and concepts. 18 Others argue that any differences between the two types of frameworks are semantic and, instead, emphasize using a research framework to provide coherence across the research questions, methods and interpretation of the results, irrespective of what that framework is called.

Like Ravitch and Riggan, 22 I regard conceptual frameworks (CFs) as the broader term. Including researchers’ perspectives and experiences in CFs provides valuable sources of originality. Novel perspectives guard against research repeating what has already been stated. 23 The term theoretical framework (TF) may be appropriate where formal published and identifiable theories or parts of such theories are used. 24 However, existing formal theories alone may not provide the current state of relevant concepts essential to understanding the motivation for and logic underlying a study. Some researchers may argue that relevant concepts may be covered in the literature review, but what is the point of literature reviews and prior findings unless authors connect them to the research questions and design? Indeed, Sutton & Straw 25 exclude literature reviews and lists of prior findings as an adequate foundation for a study, along with individual lists of variables or constructs (even when the constructs are defined), predictions or hypotheses, and diagrams that do not propose relationships. One or more of these aspects could be used in a research framework (eg, in a TF), and the literature review could (and should) focus on the theories or parts of theories (constructs), offer some critique of the theory and point out how they intend to use the theory. This would be more meaningful than merely describing the theory as the “background” to the study, without explicitly stating why and how it is being used. Similarly, a CF may include a discussion of the theories being used (basically, a TF) and a literature review of the current understanding of any relevant concepts that are not regarded as formal theory.

It may be helpful for authors to specify whether they are using a theoretical or a conceptual framework, but more importantly, authors should make explicit how they constructed and used their research framework. Some studies start with research frameworks of one type and end up with another type, 8 , 22 underscoring the need for authors to clarify the type of framework used and how it informed their research. Accepting the sheer complexity surrounding research frameworks and lamenting the difficulty of reducing the confusion around these terms, Box 2 26 – 31 and Box 3 offer examples highlighting the fundamental elements of theoretical and conceptual frameworks while acknowledging that they share a common purpose.

Examples of How Theoretical Frameworks May Be Used

Examples of How Conceptual Frameworks May Be Used

Misconceptions About Qualitative Research

Qualitative research’s “uneasy relationship with theory” 4 may be due to several misconceptions. One possible misconception is that qualitative research aims to build theory and thus does not need theoretical grounding. The reality is that all qualitative research methods, not just Grounded Theory studies focused on theory building, may lead to theory construction. 16 Similarly, all types of qualitative research, including Grounded Theory studies, should be guided by research frameworks. 16

Not using a research framework may also be due to misconceptions that qualitative research aims to understand people’s perspectives and experiences without examining them from a particular theoretical perspective or that theoretical foundations may influence researchers’ interpretations of participants’ meanings. In fact, in the same way that participants’ meanings vary, qualitative researchers’ interpretations (as opposed to descriptions) of participants’ meaning-making will differ. 32 , 33 Research frameworks thus provide a frame of reference for “making sense of the data.” 34

Studies informed by well-defined research frameworks can make a world of difference in alleviating misconceptions. Good qualitative reporting requires research frameworks that make explicit the combination of relevant theories, theoretical constructs and concepts that will permeate every aspect of the research. Irrespective of the term used, research frameworks are critical components of reporting not only qualitative but also all types of research.

Acknowledgments

In memory of Martie Sanders: supervisor, mentor, and colleague. My deepest gratitude for your unfailing support and guidance. I feel your loss.

Conflicts of Interest: None.

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• What Is a Conceptual Framework? | Tips & Examples

What Is a Conceptual Framework? | Tips & Examples

Published on 4 May 2022 by Bas Swaen and Tegan George. Revised on 18 March 2024.

A conceptual framework illustrates the expected relationship between your variables. It defines the relevant objectives for your research process and maps out how they come together to draw coherent conclusions.

Keep reading for a step-by-step guide to help you construct your own conceptual framework.

Table of contents

Developing a conceptual framework in research, step 1: choose your research question, step 2: select your independent and dependent variables, step 3: visualise your cause-and-effect relationship, step 4: identify other influencing variables, frequently asked questions about conceptual models.

A conceptual framework is a representation of the relationship you expect to see between your variables, or the characteristics or properties that you want to study.

Conceptual frameworks can be written or visual and are generally developed based on a literature review of existing studies about your topic.

Your research question guides your work by determining exactly what you want to find out, giving your research process a clear focus.

However, before you start collecting your data, consider constructing a conceptual framework. This will help you map out which variables you will measure and how you expect them to relate to one another.

In order to move forward with your research question and test a cause-and-effect relationship, you must first identify at least two key variables: your independent and dependent variables .

• The expected cause, ‘hours of study’, is the independent variable (the predictor, or explanatory variable)
• The expected effect, ‘exam score’, is the dependent variable (the response, or outcome variable).

Note that causal relationships often involve several independent variables that affect the dependent variable. For the purpose of this example, we’ll work with just one independent variable (‘hours of study’).

Now that you’ve figured out your research question and variables, the first step in designing your conceptual framework is visualising your expected cause-and-effect relationship.

It’s crucial to identify other variables that can influence the relationship between your independent and dependent variables early in your research process.

Some common variables to include are moderating, mediating, and control variables.

Moderating variables

Moderating variable (or moderators) alter the effect that an independent variable has on a dependent variable. In other words, moderators change the ‘effect’ component of the cause-and-effect relationship.

Let’s add the moderator ‘IQ’. Here, a student’s IQ level can change the effect that the variable ‘hours of study’ has on the exam score. The higher the IQ, the fewer hours of study are needed to do well on the exam.

Let’s take a look at how this might work. The graph below shows how the number of hours spent studying affects exam score. As expected, the more hours you study, the better your results. Here, a student who studies for 20 hours will get a perfect score.

But the graph looks different when we add our ‘IQ’ moderator of 120. A student with this IQ will achieve a perfect score after just 15 hours of study.

Below, the value of the ‘IQ’ moderator has been increased to 150. A student with this IQ will only need to invest five hours of study in order to get a perfect score.

Here, we see that a moderating variable does indeed change the cause-and-effect relationship between two variables.

Mediating variables

Now we’ll expand the framework by adding a mediating variable . Mediating variables link the independent and dependent variables, allowing the relationship between them to be better explained.

Here’s how the conceptual framework might look if a mediator variable were involved:

In this case, the mediator helps explain why studying more hours leads to a higher exam score. The more hours a student studies, the more practice problems they will complete; the more practice problems completed, the higher the student’s exam score will be.

Moderator vs mediator

It’s important not to confuse moderating and mediating variables. To remember the difference, you can think of them in relation to the independent variable:

• A moderating variable is not affected by the independent variable, even though it affects the dependent variable. For example, no matter how many hours you study (the independent variable), your IQ will not get higher.
• A mediating variable is affected by the independent variable. In turn, it also affects the dependent variable. Therefore, it links the two variables and helps explain the relationship between them.

Control variables

Lastly,  control variables must also be taken into account. These are variables that are held constant so that they don’t interfere with the results. Even though you aren’t interested in measuring them for your study, it’s crucial to be aware of as many of them as you can be.

A mediator variable explains the process through which two variables are related, while a moderator variable affects the strength and direction of that relationship.

No. The value of a dependent variable depends on an independent variable, so a variable cannot be both independent and dependent at the same time. It must be either the cause or the effect, not both.

Yes, but including more than one of either type requires multiple research questions .

For example, if you are interested in the effect of a diet on health, you can use multiple measures of health: blood sugar, blood pressure, weight, pulse, and many more. Each of these is its own dependent variable with its own research question.

You could also choose to look at the effect of exercise levels as well as diet, or even the additional effect of the two combined. Each of these is a separate independent variable .

To ensure the internal validity of an experiment , you should only change one independent variable at a time.

A control variable is any variable that’s held constant in a research study. It’s not a variable of interest in the study, but it’s controlled because it could influence the outcomes.

A confounding variable , also called a confounder or confounding factor, is a third variable in a study examining a potential cause-and-effect relationship.

A confounding variable is related to both the supposed cause and the supposed effect of the study. It can be difficult to separate the true effect of the independent variable from the effect of the confounding variable.

In your research design , it’s important to identify potential confounding variables and plan how you will reduce their impact.

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Mastering Research Frameworks: 8 Step-by-Step Guide To A Success Academic Writing!

Introduction.

Research is a fundamental aspect of any academic or scientific endeavor. It involves the systematic investigation of a particular topic or problem to generate new knowledge or validate existing theories. However, conducting research can be a complex and challenging process, requiring careful planning and organization. This is where research frameworks come into play.

In this comprehensive guide, we will explore the concept of research frameworks and how they can help researchers in their work. We will discuss the components of a research framework, the different types of frameworks, and the methodology behind developing and implementing a research framework. Additionally, we will provide examples of research frameworks as samples to guide researchers in designing their own projects. For researchers looking to collaborate and enhance their research framework strategies, platforms like Researchmate.net offer valuable resources and networking opportunities.

What is a Research Framework?

A research framework refers to the overall structure, approach, and theoretical underpinnings that guide a research study. It is a systematic and organized plan that outlines the key elements of a research project, including the research questions , objectives, methodology, data collection methods, and data analysis techniques.

A research framework provides researchers with a roadmap to follow throughout the research process, ensuring that the study is conducted in a logical and coherent manner. It helps researchers to organize their thoughts, identify gaps in existing knowledge, and develop a clear research plan. By establishing a research framework, researchers can ensure that their study is rigorous, valid, and reliable, and that it contributes to the existing body of knowledge in their field. Overall, a research framework serves as a foundation for the research study, guiding the researcher in every step of the research process.

Components of a Research Framework

A research framework consists of several key components that work together to guide the research process. It is essentially a structured outline that serves as a guide for researchers to organize their thoughts, define research objectives, and plan the research process comprehensively. While there are various research framework templates available, they typically include the following components:

Problem Statement

The problem statement defines the research problem or question that the study aims to address. It provides a clear and concise statement of the issue that needs to be investigated. This often emerges from identifying a research gap in the existing literature, highlighting areas that lack sufficient study or have not been explored at all.

The research objectives outline the specific goals and outcomes that the study aims to achieve. These objectives help to focus the research and provide a clear direction for the study. The objectives should be measurable and aligned with the research question to ensure that the study is targeted and relevant.

Literature Review

The literature review is a critical component of a research framework. It involves reviewing existing research and literature related to the research topic. This helps to identify gaps in the current knowledge and provides a foundation for the study.

Theoretical or Conceptual Framework

The phrases ‘ conceptual framework ‘ and ‘ theoretical framework ‘ are often used to describe the overall structure that defines and outlines a research project. These frameworks are composed of theories, concepts, and models that serve as the foundation and guide for the research process.

Methodology

The research methodology outlines the methods and techniques that will be used to collect and analyze data. It includes details on the research design, data collection methods, and data analysis techniques.

Data Collection

Data collection method is a component of research methodology which involves collecting data from various sources, such as surveys, interviews , observations, or existing datasets. The data collected should be relevant to the research objectives and provide insights into the research problem.

Data Analysis

Data analysis involves organizing, interpreting, and analyzing the collected data. This can include statistical analysis, qualitative analysis, or a combination of both, depending on the research objectives and data collected.

Findings and Conclusion

The findings and conclusion section presents the results of the data analysis and discusses the implications of the findings. It summarizes the key findings, draws conclusions, and provides recommendations for future research or practical applications. It highlights the contribution of the study to the existing body of knowledge and suggests areas for further investigation.

These components work together to provide a comprehensive framework for conducting research. Each component plays a crucial role in guiding the research process and ensuring that the study is rigorous and valid.

Types of Research Frameworks

There are two types of research frameworks: theoretical and conceptual.

A theoretical framework is a single formal theory that is used as the basis for a study. It provides a set of concepts and principles that guide the research process. On the other hand, a conceptual framework is a broader framework that includes multiple concepts and theories. It provides a unified framework for understanding and analyzing a particular research problem. The two types of frameworks relate differently to the research question and design. The theoretical framework often inspires the research question based on the existing theory, while the conceptual framework helps in organizing and structuring the research process.

Both types of frameworks have their advantages and limitations. A theoretical framework provides a solid foundation for research and allows for the testing of specific hypotheses. However, it may be limited in its applicability to a specific research problem. On the other hand, a conceptual framework allows for a more holistic and comprehensive understanding of the research problem. It provides a framework for exploring multiple perspectives and theories. However, it may lack the specificity and precision of a theoretical framework.

In practice, researchers often use a combination of theoretical and conceptual frameworks to guide their research. They may start with a theoretical framework to establish a foundation and then use a conceptual framework to explore and analyze the research problem from different angles. The choice of research framework depends on the nature of the research problem, the research question, and the goals of the study. Researchers should carefully consider the advantages and limitations of each type of framework and select the most appropriate one for their specific research context.

Research Framework Methodology

Methodology is an essential component of a research framework as it provides a structured approach to conducting research projects. The methodology section of a research framework includes the research design, sampling design, data collection techniques, analysis, and interpretation of the data. These elements are crucial in ensuring the validity and reliability of the research finding as follows:

• The research design refers to the overall plan or strategy that researchers adopt to answer their research questions. It includes decisions about the type of research, the research approach, and the research paradigm. The research design provides a roadmap for the entire research process.
• Sampling design is another important aspect of the methodology. It involves selecting a representative sample from the target population. The sample should be chosen in such a way that it accurately represents the characteristics of the population and allows for generalization of the findings.
• Data collection techniques are the methods used to gather data for the research. These can include surveys, interviews, observations, experiments, or the analysis of existing data. The choice of data collection techniques depends on the research questions and the nature of the data being collected. Once the data is collected, it needs to be analyzed and interpreted. This involves organizing and summarizing the data, identifying patterns and trends, and drawing conclusions based on the findings.
• The analysis and interpretation of data are crucial in generating meaningful insights and answering the research questions.

Research Framework Examples

Example 1: Tourism Research Framework

One example of a research framework is a tourism research framework. This framework includes various components such as tourism systems and development models, the political economy and political ecology of tourism, and community involvement in tourism. By using this framework, researchers can analyze and understand the complex dynamics of tourism and its impact on communities and the environment.

Example 2: Educational Research Framework

Another example of a research framework is an educational research framework. This framework focuses on studying various aspects of education, such as teaching methods, curriculum development, and student learning outcomes. It may include components like educational theories, pedagogical approaches, and assessment methods. Researchers can use this framework to guide their studies and gain insights into improving educational practices and policies.

Example 3: Health Research Framework

A health research framework is another common example. This framework is used to investigate different aspects of health, such as disease prevention, healthcare delivery, and patient outcomes. It may include components like epidemiological models, healthcare systems analysis, and health behavior theories. Researchers can utilize this framework to design studies that contribute to the understanding and improvement of healthcare practices and policies.

Example 4: Business Research Framework

In the field of business, a research framework can be developed to study various aspects of business operations, management strategies, and market dynamics. This framework may include components like organizational theories, market analysis models, and strategic planning frameworks. Researchers can apply this framework to investigate business-related phenomena and provide valuable insights for decision-making and industry development.

Example 5: Social Science Research Framework

A social science research framework is designed to study human behavior, social structures, and societal issues. It may include components like sociological theories, psychological models, and qualitative research methods. Researchers in the social sciences can use this framework to explore and analyze various social phenomena, contributing to the understanding and improvement of society as a whole.

In conclusion, a research framework provides a structured approach to organizing and analyzing research data, allowing researchers to make informed decisions and draw meaningful conclusions. Throughout this guide, we have delved into the nature of research frameworks, including their components, types, methodologies, and practical examples. These frameworks are essential tools for conducting effective and efficient research, helping researchers streamline processes, enhance the quality of findings, and contribute significantly to their fields.

However, it is important to recognize that research frameworks are not a one-size-fits-all solution; they may need to be tailored to suit the specific objectives, scope, and context of individual research projects. While these frameworks provide essential structure, they should not replace critical thinking and creativity. Researchers are encouraged to remain open to new ideas and perspectives, adapting frameworks to meet their unique needs and navigate the complexities of the research process, thereby advancing knowledge within their disciplines.

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Research Process

• Brainstorming
• Explore Google This link opens in a new window
• Explore Web Resources
• Explore Background Information
• Explore Books
• Explore Scholarly Articles
• Narrowing a Topic
• Primary and Secondary Resources
• Academic, Popular & Trade Publications
• Scholarly and Peer-Reviewed Journals
• Grey Literature
• Clinical Trials
• Evidence Based Treatment
• Scholarly Research
• Database Research Log
• Search Limits
• Keyword Searching
• Boolean Operators
• Phrase Searching
• Truncation & Wildcard Symbols
• Proximity Searching
• Field Codes
• Subject Terms and Database Thesauri
• Reading a Scientific Article
• Website Evaluation
• Article Keywords and Subject Terms
• Cited References
• Citing Articles
• Related Results
• Search Within Publication
• Database Alerts & RSS Feeds
• Personal Database Accounts
• Persistent URLs
• Literature Gap and Future Research
• Web of Knowledge
• Annual Reviews
• Systematic Reviews & Meta-Analyses
• Finding Seminal Works
• Exhausting the Literature
• Finding Dissertations
• Researching Theoretical Frameworks
• Research Methodology & Design
• Tests and Measurements
• Organizing Research & Citations This link opens in a new window
• Picking Where to Publish
• Bibliometrics
• Learn the Library This link opens in a new window

Learn Frameworks via Email

Over the course of 7 days, you will receive bite-sized lessons in your email about researching theoretical and conceptual frameworks. 

• Click on the link below.
• Complete the very short registration form.
• Check your email!
• Theoretical & Conceptual Frameworks - email series

Additional Guidance

• Organizing Your Social Sciences Research Paper: Theoretical Framework University of Southern California
• The Research Planning Process: Theoretical Framework (video)
• Theoretical Framework (video)
• Understanding, selecting, and integrating a Theoretical framework in dissertation research: Creating the blueprint for your “house” Grant, C., & Osanloo, A. (2014). Understanding, Selecting, and Integrating a Theoretical Framework in Dissertation Research: Creating the Blueprint for Your "House". Administrative Issues Journal: Connecting Education, Practice, And Research, 4(2), 12-26.
• What is a Theoretical Framework? Merriam, S. B., & Tisdell, E. J. (2015). Qualitative research: A guide to design and implementation. John Wiley & Sons.

NU Dissertation Center

If you are looking for a document in the Dissertation Center or Applied Doctoral Center and can't find it please contact your Chair or The Center for Teaching and Learning at [email protected]

• NCU Dissertation Center Find valuable resources and support materials to help you through your doctoral journey.
• Applied Doctoral Center Collection of resources to support students in completing their project/dissertation-in-practice as part of the Applied Doctoral Experience (ADE).

Researching Frameworks

Research frameworks provide a foundation for your study and keeps it focused and concise. Think of a framework as a roadmap or blueprint for developing your study and supporting research.

This short video series will help you help you identify, locate, and retrieve theoretical and conceptual frameworks through the library databases and/or Google.

Theoretical Frameworks

Theoretical frameworks provide a particular perspective, or lens, through which to examine a topic. There are many different lenses, such as psychological theories, social theories, organizational theories and economic theories, which may be used to define concepts and explain phenomena. Sometimes these frameworks may come from an area outside of your immediate academic discipline. Using a theoretical framework for your dissertation can help you to better analyze past events by providing a particular set of questions to ask, and a particular perspective to use when examining your topic.

Traditionally, Ph.D. and Applied Degree research must include relevant theoretical framework(s) to frame, or inform, every aspect of the dissertation. Further, Ph.D. dissertations should make an original contribution to the field by adding support for the theory, or, conversely, demonstrating ways in which the theory may not be as explanatory as originally thought. You can learn more about the theoretical framework requirements in the NU Dissertation Center .

It can be difficult to find scholarly work that takes a particular theoretical approach because articles, books, and book chapters are typically described according to the topics they tackle rather than the methods they use to tackle them. Further, there is no single database or search technique for locating theoretical information. However, the suggestions below provide techniques for locating possible theoretical frameworks and theorists in the Library databases. In addition to your Library research, you should discuss possible theories your Dissertation Chair to ensure they align with your study. Also, keep in mind that you will probably find and discard several potential theoretical frameworks before one is finally chosen.

• The Theoretical Framework Guide from the NU Center for Teaching and Learning
• Theoretical Frameworks Entry from the The SAGE Encyclopedia of Qualitative Research Methods
• Theoretical Frameworks in Qualitative Research Book effectively explains, through discussion and example, what a theoretical framework is, how it is used in qualitative research, and the effects it has on the research process.

Conceptual Frameworks

A conceptual framework provides the concept or set of related concepts supporting the basis or foundation of a study. It creates a conceptual model for possible strategies or courses of action identified as important for researching a particular problem or issue. While a conceptual framework is often referred to interchangeably with a theoretical framework, it maintains a distinct purpose. A conceptual framework is used to clarify concepts, organize ideas, and identify relationships with which to frame a study. Concepts are logically developed and organized to support an overall framework and often exhibited graphically within dissertation research. Note that a dissertation may include both a theoretical framework and a conceptual framework.

The suggestions below provide techniques for locating possible conceptual frameworks in the Library databases. Note when examples may use the term "theoretical framework," you may change your search terms to "conceptual framework." In addition to your Library research, you should discuss possible frameworks your Dissertation Chair to ensure they align with your study. Also, keep in mind that you will probably find and discard several potential conceptual frameworks before one is finally chosen.

• The Conceptual Framework Guide from the NU Center for Teaching and Learning
• Conceptual Framework Entry from the SAGE Encyclopedia of Educational Research, Measurement, and Evaluation
• Biographical Dictionaries
• E-Book Databases
• ProQuest Dissertations & Theses
• NavigatorSearch
• SAGE Research Methods
• Web of Science

Biographical dictionaries can be useful if you are looking for basic background information on a particular theorist or scientist.

Content: A reference database useful for accessing scholarly definitions, background and contextual information. Subjects covered include art, biography, business, economics, education, history, literature, music, psychology, religion, and science and technology.

Purpose: An excellent starting point for brainstorming a research topic and building out your initial search terms list.

Special Features: Mindmap; related articles; image search

Content: Ebooks with coverage across all academic disciplines. The collection offers a critical mass of more than 150,000 foundational scholarly ebooks with balanced quantity and quality to improve teaching, learning and research workflow and outcomes.

Purpose: Provides access to multidisciplinary ebooks for download or to be read online.

Special Features: Browse by subject option; highlight and take notes in text.

Help using this database.

Content: Reference e-book collection

Purpose: Users may read the full text of e-books from a range of academic disciplines

Special Features: Includes a visualization tool and browse-by-topic feature that aids in brainstorming topics, a Lexile feature that filters texts by difficulty, the ability to highlight and add notes to text, and a read-aloud feature.

Content : Books, chapters, and peer-reviewed content about a diverse range of topics.

Purpose: Users may access full text, and authoritative information about many topics.

Special Features: Users may explore topics and subjects.

Content: Reference sources, primarily books but also videos and business cases. 

Purpose: Use for finding reference sources like encyclopedias and handbooks that provide contextual or explanatory material. 

Special Features: Includes Sage Navigator

Use the Library’s e-book databases to gather background information on a particular theory or theorist. Since the e-book databases will contain fewer resources than a database containing thousands of scholarly journal articles, it is best to keep your search terms a little more broad.

For example, a search for education theory in the Ebook Central database results in many relevant e-books, as shown below. Expanding the Table of Contents will provide additional details about the e-book.

Encyclopedias and handbooks will also provide reliable background information on particular theories. For example, a search for cognitive developmental theory in the Credo Reference database results in a number of reference entries which discuss the history of the theory, identify relevant theorists, and cite seminal research studies.

You may search for theorists and theoretical information using Google and Google Scholar , as well. However, please keep in mind that you will need to be more discriminating when it comes to using material found on open access websites. We recommend reviewing the Website Evaluation guidelines when considering online sources.

One method that may be used in Google is limiting your search by a particular domain name. If a website ends in .org, .gov, or .edu, it is more likely to be a scholarly source. If it ends in .com or .net it is less likely to be a scholarly source. In the search below, for example, we have limited our search for "leadership theories" to just those websites ending with .edu. You may also find this domain limiter under Tools>Advanced Search.

Note: Limiting to a particular domain is not necessary in Google Scholar, as all results in Google Scholar may be considered scholarly. This may include articles, theses, books, abstracts and court opinions, material from academic publishers, professional societies, online repositories, universities and other web sites.

For additional information, see the following:

• Google for School LibGuide
• Google Scholar Quick Tutorial Video A short video demonstration of using Google Scholar for academic research.
• Limit By Domain FAQ

Content: National University & NCU student dissertations and literature reviews.

Purpose: Use for foundational research, to locate test instruments and data, and more. 

Special Features: Search by advisor (chair), degree, degree level, or department. Includes a read-aloud feature.

Content: Global student dissertations and literature reviews.

Special Features: Search by advisor (chair), degree, degree level, or department. Includes a read-aloud feature

The ProQuest Dissertations & Theses database (PQDT) is the world's most comprehensive collection of dissertations and theses. It is the database of record for graduate research, with over 2.3 million dissertations and theses included from around the world.

Since most doctoral research requires a theoretical framework, looking at completed dissertations related to your topic is an effective way to identify relevant theories and theorists. ProQuest Dissertations & Theses Global provides access to over 3 million full text doctoral dissertations and graduate theses. You may limit your search to only doctoral dissertations by using the Advanced Search screen. Look at the table of contents or abstract for reference to theoretical framework, as shown below. The dissertation’s references/bibliography will have a full citation to the original theorist’s research.

Content: Scholarly journals, e-books, videos and more. 

Purpose: A key multidisciplinary database for most topics. It is one of the library’s main search engines and the most comprehensive single search. 

Note: Certain library databases and publisher content are not searchable in NavigatorSearch, and individual databases may need to be searched to retrieve information due to unique content. NavigatorSearch can be found at https://resources.nu.edu .

On the NavigatorSearchscreen, include theor* as one your search terms, as shown below. It will retrieve results that include one of the following keywords: theory, theories, theoretical, theorist, or theorists . It is important to keep in mind, however, that this is not a foolproof method for locating theoretical frameworks. Scholars will often cite theory or theorists in order to refute them, or because they are saying something that's tangentially related, or they may even just refer to theory briefly in passing. In our example, we have selected the field for AB Abstract because if theory is mentioned within the abstract, the study is more likely to take a theoretical approach.  

As shown below, results from our example search clearly include articles which apply theory to the topic of curriculum design.  

Remember to look past the article title. Theoretical information may be mentioned in a subheading, or referred to elsewhere in the document. Use the FIND feature in your PDF viewer or internet browser to scan the document for terms such as theor*  (to pull up theory, theorist, theoretical), framework, conceptual, perspective , etc., as shown below.

Content: Books, reference works, journal articles, and instructional videos on research methods and design. 

Purpose: Use to learn more about qualitative, quantitative, and mixed methods research. 

Special Features: Includes a methods map, project planner, and "which stats" test

SAGE Research Methods  is a multimedia database containing more than 1,000 books, reference works, journal articles, and instructional videos covering every step of the research process. It includes e-books and e-book chapters which may help you better understand the theoretical framework aspect of your research study. A selection of resources is included below:

Searching in SAGE Research Methods

Use the main search bar to locate information about theoretical frameworks. Search the general phrase "theoretical frameworks," or the name of a specific theoretical framework like "social cognitive theory," in quotation marks to yield results with that specific phrase. See the example below.

You may also browse content in this database by Discipline . Select  Browse  on the top navigation to view a list of key topics.

• Anfara, V. (2008). Theoretical frameworks. In L. M. Given (Ed.), The SAGE Encyclopedia of Qualitative Research Methods. (pp. 870-874). Thousand Oaks, CA: SAGE Publications, Inc.
• Anfara, V. A., & Mertz, N. T. (Eds.). (2006). Theoretical frameworks in qualitative research. Thousand Oaks, CA: SAGE Publications, Inc.
• Theoretical framework. (2014). In Walker, R., & Solvason, C. Success with your early years research project (pp. 21-32). London: SAGE Publications Ltd.

Content: Citations and articles in multi-disciplines not found through a NavigatorSearch.

Purpose: Used to conduct topic searches as well as find additional resources that have cited a specific resource (citation network).

You may conduct a Cited Reference Search in Web of Science to find articles that cite a primary theorist in your area. These articles are likely to tackle your topic through your theoretical lens, or will point you toward another article that does. To access Web of Knowledge, go to A-Z Databases from the Library’s home page.

On the Web of Science home page, click on Cited Reference Search  to search for articles that cite a person's work. 

Enter the name of a key theorist in your area (in our example, John Dewey) in the format they specify (in this case Dewey J*), as shown below, and press "Search."

On the results screen, select the appropriate Web of Science category under Refine Results. For example, we could select “Education Educational Research” and then click “Refine.” You may wish to further refine by Document Type, Research Area, Author, etc. (also located on the left hand menu). Sorting your results by “Times Cited - Oldest to Newest"  is an effective way to discover the most frequently cited works. 

• 12Manage Global knowledge platform on management and business administration, including descriptions of frameworks. Requires free email sign up.
• Academic Theories Includes alphabetical listing of theories, as well as grouping by type.
• Communication Theories Provides list of communication theories grouped according to topic.
• Psychological Theories Browse alphabetically or use the clusters feature to view theories grouped by similar topics or approaches.
• Theories Used in Information Systems (IS) Research Click on a linked theory name to find details about the theory, some examples of IS papers using the theory, and links to related sites.

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Educational resources and simple solutions for your research journey

What is a Conceptual Framework and How to Make It (with Examples)

A strong conceptual framework underpins good research. A conceptual framework in research is used to understand a research problem and guide the development and analysis of the research. It serves as a roadmap to conceptualize and structure the work by providing an outline that connects different ideas, concepts, and theories within the field of study. A conceptual framework pictorially or verbally depicts presumed relationships among the study variables.

The purpose of a conceptual framework is to serve as a scheme for organizing and categorizing knowledge and thereby help researchers in developing theories and hypotheses and conducting empirical studies.

In this post, we explain what is a conceptual framework, and provide expert advice on how to make a conceptual framework, along with conceptual framework examples.

Table of Contents

What is a Conceptual Framework in Research

Definition of a conceptual framework.

A conceptual framework includes key concepts, variables, relationships, and assumptions that guide the academic inquiry. It establishes the theoretical underpinnings and provides a lens through which researchers can analyze and interpret data. A conceptual framework draws upon existing theories, models, or established bodies of knowledge to provide a structure for understanding the research problem. It defines the scope of research, identifying relevant variables, establishing research questions, and guiding the selection of appropriate methodologies and data analysis techniques.

Conceptual frameworks can be written or visual. Other types of conceptual framework representations might be taxonomic (verbal description categorizing phenomena into classes without showing relationships between classes) or mathematical descriptions (expression of phenomena in the form of mathematical equations).

Figure 1: Definition of a conceptual framework explained diagrammatically

Conceptual Framework Origin

The term conceptual framework appears to have originated in philosophy and systems theory, being used for the first time in the 1930s by the philosopher Alfred North Whitehead. He bridged the theological, social, and physical sciences by providing a common conceptual framework. The use of the conceptual framework began early in accountancy and can be traced back to publications by William A. Paton and John B. Canning in the first quarter of the 20 th century. Thus, in the original framework, financial issues were addressed, such as useful features, basic elements, and variables needed to prepare financial statements. Nevertheless, a conceptual framework approach should be considered when starting your research journey in any field, from finance to social sciences to applied sciences.

Purpose and Importance of a Conceptual Framework in Research

The importance of a conceptual framework in research cannot be understated, irrespective of the field of study. It is important for the following reasons:

• It clarifies the context of the study.
• It justifies the study to the reader.
• It helps you check your own understanding of the problem and the need for the study.
• It illustrates the expected relationship between the variables and defines the objectives for the research.
• It helps further refine the study objectives and choose the methods appropriate to meet them.

What to Include in a Conceptual Framework

Essential elements that a conceptual framework should include are as follows:

• Overarching research question(s)
• Study parameters
• Study variables
• Potential relationships between those variables.

The sources for these elements of a conceptual framework are literature, theory, and experience or prior knowledge.

How to Make a Conceptual Framework

Now that you know the essential elements, your next question will be how to make a conceptual framework.

For this, start by identifying the most suitable set of questions that your research aims to answer. Next, categorize the various variables. Finally, perform a rigorous analysis of the collected data and compile the final results to establish connections between the variables.

In short, the steps are as follows:

• Choose appropriate research questions.
• Define the different types of variables involved.
• Determine the cause-and-effect relationships.

Be sure to make use of arrows and lines to depict the presence or absence of correlational linkages among the variables.

Developing a Conceptual Framework

Researchers should be adept at developing a conceptual framework. Here are the steps for developing a conceptual framework:

1. Identify a research question

Your research question guides your entire study, making it imperative to invest time and effort in formulating a question that aligns with your research goals and contributes to the existing body of knowledge. This step involves the following:

• Choose a broad topic of interest
• Conduct background research
• Narrow down the focus
• Define your goals
• Make it specific and answerable
• Consider significance and novelty
• Seek feedback.

 2. Choose independent and dependent variables

The dependent variable is the main outcome you want to measure, explain, or predict in your study. It should be a variable that can be observed, measured, or assessed quantitatively or qualitatively. Independent variables are the factors or variables that may influence, explain, or predict changes in the dependent variable.

Choose independent and dependent variables for your study according to the research objectives, the nature of the phenomenon being studied, and the specific research design. The identification of variables is rooted in existing literature, theories, or your own observations.

3. Consider cause-and-effect relationships

To better understand and communicate the relationships between variables in your study, cause-and-effect relationships need to be visualized. This can be done by using path diagrams, cause-and-effect matrices, time series plots, scatter plots, bar charts, or heatmaps.

4. Identify other influencing variables

Besides the independent and dependent variables, researchers must understand and consider the following types of variables:

• Moderating variable: A variable that influences the strength or direction of the relationship between an independent variable and a dependent variable.
• Mediating variable: A variable that explains the relationship between an independent variable and a dependent variable and clarifies how the independent variable affects the dependent variable.
• Control variable: A variable that is kept constant or controlled to avoid the influence of other factors that may affect the relationship between the independent and dependent variables.
• Confounding variable: A type of unmeasured variable that is related to both the independent and dependent variables.

Example of a Conceptual Framework

Let us examine the following conceptual framework example. Let’s say your research topic is “ The Impact of Social Media Usage on Academic Performance among College Students .” Here, you want to investigate how social media usage affects academic performance in college students. Social media usage (encompassing frequency of social media use, time spent on social media platforms, and types of social media platforms used) is the independent variable, and academic performance (covering grades, exam scores, and class attendance) is the dependent variable.

This conceptual framework example also includes a mediating variable, study habits, which may explain how social media usage affects academic performance. Study habits (time spent studying, study environment, and use of study aids or resources) can act as a mechanism through which social media usage influences academic outcomes. Additionally, a moderating variable, self-discipline (level of self-control and self-regulation, ability to manage distractions, and prioritization skills), is included to examine how individual differences in self-control and discipline may influence the relationship between social media usage and academic performance.

Confounding variables are also identified (socioeconomic status, prior academic achievement), which are potential factors that may influence both social media usage and academic performance. These variables need to be considered and controlled in the study to ensure that any observed effects are specifically attributed to social media usage. A visual representation of this conceptual framework example is seen in Figure 2.

Figure 2: Visual representation of a conceptual framework for the topic “The Impact of Social Media Usage on Academic Performance among College Students”

Key Takeaways

Here is a snapshot of the basics of a conceptual framework in research:

• A conceptual framework is an idea or model representing the subject or phenomena you intend to study.
• It is primarily a researcher’s perception of the research problem. It can be used to develop hypotheses or testable research questions.
• It provides a preliminary understanding of the factors at play, their interrelationships, and the underlying reasons.
• It guides your research by aiding in the formulation of meaningful research questions, selection of appropriate methods, and identification of potential challenges to the validity of your findings.
• It provides a structure for organizing and understanding data.
• It allows you to chalk out the relationships between concepts and variables to understand them.
• Variables besides dependent and independent variables (moderating, mediating, control, and confounding variables) must be considered when developing a conceptual framework.

Frequently Asked Questions

What is the difference between a moderating variable and a mediating variable.

Moderating and mediating variables are easily confused. A moderating variable affects the direction and strength of this relationship, whereas a mediating explains how two variables relate.

What is the difference between independent variables, dependent variables, and confounding variables?

Independent variables are the variables manipulated to affect the outcome of an experiment (e.g., the dose of a fat-loss drug administered to rats). Dependent variables are variables being measured or observed in an experiment (e.g., changes in rat body weight as a result of the drug). A confounding variable distorts or masks the effects of the variables being studied because it is associated both with dependent variable and with the independent variable. For instance, in this example, pre-existing metabolic dysfunction in some rats could interact differently with the drug being studied and also affect rat body weight.

Should I have more than one dependent or independent variable in a study?

The need for more than one dependent or independent variable in a study depends on the research question, study design, and relationships being investigated. Note the following when making this decision for your research:

• If your research question involves exploring the relationships between multiple variables or factors, it may be appropriate to have more than one dependent or independent variable.
• If you have specific hypotheses about the relationships between several variables, it may be necessary to include multiple dependent or independent variables.
• Adequate resources, sample size, and data collection methods should be considered when determining the number of dependent and independent variables to include.

What is a confounding variable?

A confounding variable is not the main focus of the study but can unintentionally influence the relationship between the independent and dependent variables. Confounding variables can introduce bias and give rise to misleading conclusions. These variables must be controlled to ensure that any observed relationship is genuinely due to the independent variable.

What is a control variable?

A control variable is something not of interest to the study’s objectives but is kept constant because it could influence the outcomes. Control variables can help prevent research biases and allow for a more accurate assessment of the relationship between the independent and dependent variables. Examples are (i) testing all participants at the same time (e.g., in the morning) to minimize the potential effects of circadian rhythms, (ii) ensuring that instruments are calibrated consistently before each measurement to minimize the influence of measurement errors, and (iii) randomization of participants across study groups.

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Theories and Frameworks: Theories and Frameworks

Theoretical & conceptual frameworks.

The terms theoretical framework and conceptual framework are often used interchangeably to mean the same thing. Although they are both used to understand a research problem and guide the development, collection, and analysis of research, it's important to understand the difference between the two. When working on coursework or dissertation research, make sure to clarify what is being asked and any specific course or program requirements. 

Theoretical framework 

A theoretical framework is a single formal theory. When a study is designed around a theoretical framework, the theory is the primary means in which the research problem is understood and investigated. Although theoretical frameworks tend to be used in quantitative studies, you will also see this approach in qualitative research.  

Conceptual framework

A conceptual framework includes one or more formal theories (in part or whole) as well as other concepts and empirical findings from the literature. It is used to show relationships among these ideas and how they relate to the research study. Conceptual frameworks are commonly seen in qualitative research in the social and behavioral sciences, for example, because often one theory cannot fully address the phenomena being studied.

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Investigate theory

Identifying and learning about theories requires a different search strategy than other types of research. Even though the steps are different, you will still use many of the same skills and tools you’ve used for other library research.

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Identifying a theory that aligns with your dissertation or doctoral study takes time. It’s never too early to start exploratory research. The process of identifying an appropriate theory can seem daunting, so try breaking down the process into smaller steps.

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Home » Methodological Framework – Types, Examples and Guide

Methodological Framework – Types, Examples and Guide

Table of Contents

Methodological Framework

Definition:

Methodological framework is a set of procedures, methods, and tools that guide the research process in a systematic and structured manner. It provides a structure for conducting research, collecting and analyzing data, and drawing conclusions. The framework outlines the steps to be taken in a research project, including the research question, hypothesis, data collection methods, data analysis techniques, and the interpretation of the results.

Types of Methodological Framework

There are different types of methodological frameworks that researchers can use depending on the nature of their research question, the type of data they want to collect, and the research methodology they want to employ. Some common types of methodological frameworks include:

Quantitative Research Framework

This type of framework uses numerical data and statistical analysis to test hypotheses and draw conclusions. It involves the collection of structured data through surveys, experiments, or other quantitative methods.

Qualitative Research Framework

This framework is used to explore complex social phenomena and involves the collection of non-numerical data through methods such as interviews, observation, and document analysis. Qualitative research typically involves the use of open-ended questions and in-depth analysis of data.

Mixed Methods Research Framework

This framework combines quantitative and qualitative research methods to address research questions from multiple angles. It involves collecting both numerical and non-numerical data and using both statistical analysis and interpretive techniques to analyze the data.

Action Research Framework

This framework involves the collaboration between researchers and participants to identify and address practical problems in real-world settings. It involves a cyclical process of planning, action, reflection, and evaluation to improve a specific situation or practice.

Case Study Research Framework

This framework involves the in-depth investigation of a specific case or phenomenon, often using qualitative methods. It aims to understand the complexity of the case and draw generalizations from the findings.

How to Develop a Methodological Framework

Developing a methodological framework involves a series of steps that help to guide the research process in a systematic and structured manner. Here are the general steps involved in developing a methodological framework:

• Define the research problem: The first step is to clearly define the research problem or question. This involves identifying the purpose of the research, the research objectives, and the scope of the study.
• Select an appropriate research methodology: The research methodology selected should align with the research problem and research question. Common research methodologies include quantitative, qualitative, mixed-methods, case study, or action research.
• Develop the research design: Once the research methodology is selected, the research design should be developed. This involves identifying the data collection methods, sampling strategy, and data analysis techniques.
• Identify and justify the data collection methods: The data collection methods should be chosen based on the research methodology and research design. For example, if the research methodology is qualitative, data collection methods such as interviews, observation, or document analysis may be used.
• Identify and justify the data analysis techniques: The data analysis techniques should also be chosen based on the research methodology and research design. For quantitative research, this may include statistical analysis techniques, while for qualitative research, this may include interpretive techniques such as thematic analysis.
• Consider ethical considerations: Ethical considerations should be taken into account throughout the research process. This includes obtaining informed consent, ensuring confidentiality and privacy, and protecting the rights of participants.
• Identify potential limitations: It is important to identify potential limitations or biases that may affect the research findings. This includes discussing potential sources of error or bias in the research design, data collection methods, or data analysis techniques.
• Consider the significance and implications of the research: The significance and implications of the research findings should be considered, including their potential contributions to theory, practice, or policy.
• Refine the framework: The methodological framework should be refined based on feedback from peers, experts, or other stakeholders. This involves identifying any areas for improvement in the research design, data collection methods, or data analysis techniques.

Applications of Methodological Framework

Here are some examples of how a methodological framework can be applied in various fields:

• Social sciences: In social sciences, a methodological framework can be used to conduct research on various topics, such as psychology, sociology, and anthropology. For example, a researcher may use a qualitative research methodology to investigate the experiences and perceptions of individuals living in poverty.
• Natural sciences: In natural sciences, a methodological framework can be used to conduct research on various topics, such as biology, chemistry, and physics. For example, a researcher may use a quantitative research methodology to investigate the effects of different fertilizers on crop yield.
• Engineering : In engineering, a methodological framework can be used to design and test new technologies or systems. For example, a researcher may use a mixed-methods research methodology to investigate the usability and effectiveness of a new software application.
• Business : In business, a methodological framework can be used to conduct research on various topics, such as marketing, management, and finance. For example, a researcher may use a quantitative research methodology to investigate the relationship between customer satisfaction and customer loyalty.

When to use Methodological Framework

Here are some specific situations when a methodological framework can be particularly useful:

• When conducting original research: If you are conducting original research, a methodological framework can help ensure that your study is designed in a structured and systematic manner, which increases the reliability and validity of the findings.
• When conducting a literature review: A methodological framework can be used when conducting a literature review to ensure that the review is conducted in a structured and systematic manner. This helps to identify relevant studies and synthesize the findings from multiple studies.
• When replicating previous research: If you are replicating previous research, a methodological framework can help ensure that the replication is conducted in a rigorous and systematic manner. This helps to ensure that the findings are consistent with the original study.
• When developing a research proposal : A methodological framework can be used when developing a research proposal to ensure that the proposal is designed in a structured and systematic manner. This helps to convince reviewers that the study is well-designed and likely to produce valid and reliable findings.
• When teaching research methods: A methodological framework can be used when teaching research methods to provide students with a structured approach to designing and conducting research. This helps to ensure that students understand the research process and are able to conduct research in a rigorous and systematic manner.

Examples of Methodological Framework

Here are some real-time examples of how methodological frameworks are used in various fields:

• In healthcare research, a mixed-methods research framework can be used to evaluate the effectiveness of a new treatment approach. The quantitative component may involve measuring the changes in patient outcomes, while the qualitative component may involve interviewing patients and healthcare providers to understand their perspectives on the treatment.
• In engineering, a design science research framework can be used to develop and test a new software application. The researchers may identify a problem with existing software, develop a new solution, and test it in a real-world setting.
• In business, a case study research framework can be used to understand the impact of a new marketing strategy on a particular company. The researcher may analyze data from the company’s financial statements, conduct interviews with key stakeholders, and observe the implementation of the strategy in order to understand its effectiveness.
• In education, an action research framework can be used to improve teaching practices. A teacher may identify a problem in their classroom, develop a plan to address the problem, implement the plan, and reflect on the results in order to improve their teaching practices.
• In social science research, a grounded theory framework can be used to develop a theory from qualitative data. A researcher may collect data from interviews or observations and use that data to develop a theory about a particular phenomenon.

Purpose of Methodological Framework

The purpose of a methodological framework is to provide a structured and systematic approach to designing, conducting, and analyzing research. The framework serves as a guide for researchers to follow, ensuring that the research is conducted in a rigorous and transparent manner, and that the results are reliable, valid, and generalizable. Some key purposes of a methodological framework are:

• To provide a clear and concise description of the research process: The framework outlines the steps involved in conducting the research, including the research question, data collection methods, data analysis, and interpretation of results.
• To ensure that the research is conducted in a systematic and rigorous manner : The framework provides a structured approach to the research, helping to ensure that the research is conducted in a way that minimizes bias and maximizes the accuracy and reliability of the results.
• To improve the quality of the research: The framework helps to ensure that the research is of high quality and meets the standards of the field. This can help to increase the impact and relevance of the research.
• To increase transparency and replicability: The framework provides a clear and transparent description of the research process, making it easier for others to understand and replicate the research.
• To facilitate communication and collaboration: The framework provides a common language and structure for researchers to communicate their research findings and collaborate with others in the field.

Characteristics of Methodological Framework

Here are some common characteristics of a methodological framework:

• Systematic : A methodological framework is a systematic approach to research that provides a clear and structured guide for researchers to follow. It outlines the steps involved in conducting research, from developing a research question to analyzing and interpreting data.
• Transparent : A methodological framework promotes transparency in research by providing a clear and concise description of the research process. This helps to ensure that others can understand and replicate the research.
• Flexible : A methodological framework should be flexible enough to accommodate different research designs and methodologies. It should allow for modifications based on the specific research question, data collection methods, and analysis techniques.
• Contextual : A methodological framework should take into account the contextual factors that may impact the research. This includes the cultural, social, and historical context of the research, as well as the research setting and the characteristics of the participants.
• Rigorous : A methodological framework promotes rigor in research by ensuring that the research is conducted in a systematic and unbiased manner. It includes strategies for minimizing bias and ensuring the validity and reliability of the findings.
• Theory-driven: A methodological framework should be grounded in theoretical concepts and principles that guide the research. This helps to ensure that the research is relevant and meaningful, and that the findings can be applied to broader theoretical frameworks.

Advantages of Methodological Framework

There are several advantages to using a methodological framework in research:

• Structured approach: A methodological framework provides a clear and structured approach to conducting research, which helps to ensure that the research is conducted in a systematic and rigorous manner.
• Increased efficiency: A methodological framework can increase the efficiency of the research process by providing a clear roadmap for researchers to follow, reducing the time and resources required to conduct the research.
• Reproducibility: A methodological framework promotes reproducibility by providing a clear and transparent description of the research process, making it easier for others to replicate the research.
• Improved quality : A methodological framework can improve the quality of research by ensuring that the research is conducted in a rigorous and transparent manner, and that the results are reliable and valid.
• Standardization : A methodological framework promotes standardization in research, helping to ensure that the research meets the standards of the field and is comparable to other research studies.
• Better communication : A methodological framework provides a common language and structure for researchers to communicate their research findings, facilitating communication and collaboration among researchers.
• Theory development: A methodological framework can contribute to the development of theory by providing a structured approach to data collection and analysis that is grounded in theoretical concepts and principles.

Limitations of Methodological Framework

While there are many advantages to using a methodological framework in research, there are also some limitations to be aware of:

• Flexibility : While a methodological framework can provide a structured approach to research, it may also limit flexibility in the research process. Researchers may feel constrained by the framework and unable to deviate from the prescribed steps, which may limit their ability to adapt to unexpected findings or changes in the research context.
• Applicability : Methodological frameworks may not be equally applicable to all research questions and contexts. Some frameworks may be more suitable for certain types of research than others, and researchers may need to modify or adapt the framework to fit their specific research question and context.
• Complexity : Some methodological frameworks can be complex and difficult to understand, particularly for novice researchers. This may limit their usefulness in certain contexts or for certain types of research.
• Time and resource constraints : Using a methodological framework may require additional time and resources to fully implement, which may not be feasible for all researchers or research projects.
• Overemphasis on methodology: While a methodological framework can provide a structured approach to research methodology, it may overemphasize the importance of methodology over other aspects of research, such as theoretical frameworks or ethical considerations.

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Conceptual and Theoretical Frameworks for Thesis Studies: What you must know

A theoretical framework is a conceptual model that provides a systematic and structured way of thinking about a research problem or question. It helps to identify key variables and the relationships between them and to guide the selection and interpretation of data. Theoretical frameworks draw on existing theories and research and can be used to develop new hypotheses or test existing ones. They provide a foundation for research design, data collection, and analysis and can help to ensure that research is relevant, rigorous, and coherent. Theoretical frameworks are common in many disciplines, including social sciences, natural sciences, and humanities, and are essential for building knowledge and advancing understanding in a field.

This article explains the importance of frameworks in a thesis study and the differences between conceptual frameworks and theoretical frameworks. It provides guidelines on how to write a thesis framework, definitions of variable types, and examples of framework types.

What is a research framework and why do I need one?

When planning your thesis study, you need to justify your research and explain its design to your readers. This is called the research framework.

When planning your thesis study, you need to justify your research and explain its design to your readers. This is called the research framework. Think of it as the foundation of a building. A good building needs a strong foundation. Similarly, your research needs to be supported by reviewing and explaining the existing knowledge in the field, describing how your research study will fit within or contribute to the existing literature (e.g., it could challenge or test an existing theory or address a knowledge gap), and informing the reader how your study design aligns with your thesis question or hypothesis.

Important components of the framework are a literature review of recent studies associated with your thesis topic as well as theories/models used in your field of research. The literature review acts as a filtering tool to select appropriate thesis questions and guide data collection, analysis, and interpretation of your findings. Think broadly! Apart from reviewing relevant published papers in your field of research, also explore theories that you have come across in your undergraduate courses, other published thesis studies, encyclopedias, and handbooks.

There are two types of research frameworks: theoretical and conceptual .

What is a conceptual framework?

A conceptual framework is a written or visual representation that explains the study variables and their relationships with each other. The starting point is a literature review of existing studies and theories about your topic.

Steps to develop a conceptual framework

• Clarify your study topic by identifying and defining key concepts in your thesis problem statement and thesis question. Essentially, your thesis should address a knowledge gap.
• Perform a literature review to provide a background to interpret and explain the study findings. Also, draw on empirical knowledge that you have gained from personal experience.
• Identify crucial variables from the literature review and your empirical knowledge, classify them as dependent or independent variables, and define them.
• Brainstorm all the possible factors that could affect each dependent variable.
• Propose relationships among the variables and determine any associations that exist between all variables.
• Use a flowchart or tree diagram to present your conceptual framework.

Types of variables

When developing a conceptual framework, you will need to identify the following:

• Independent variables
• Dependent variables
• Moderating variables
• Mediating variables
• Control variables

First, identify the independent (cause) and dependent (effect) variables in your study. Then, identify variables that influence this relationship, such as moderating variables, mediating variables, and control variables. A moderating variable changes the relationship between independent and dependent variables when its value increases or decreases. A mediating variable links independent and dependent variables to better explain the relationship between them. A control variable could potentially impact the cause-and-effect relationship but is kept constant throughout the study so that its effects on the findings/outcomes can be ruled out.

Example of a conceptual framework

You want to investigate the hours spent exercising (cause) on childhood obesity (effect).

Now, you need to consider moderating variables that affect the cause-and-effect relationship. In our example, the amount of junk food eaten would affect the level of obesity.

Next, you need to consider mediating variables. In our example, the maximum heart rate during exercise would affect the child’s weight.

Finally, you need to consider control variables. In this example, because we do not want to investigate the role of age in obesity, we can use this as a control variable. Thus, the study subjects would be children of a specific age (e.g., aged 6–10 years).

What is a theoretical framework?

A theoretical framework provides a general framework for data analysis. It defines the concepts used and explains existing theories and models in your field of research.

A theoretical framework provides a general framework for data analysis. It defines the concepts used and explains existing theories and models in your field of research. It also explains any assumptions that were used to inform your approach and your choice of specific rationales. Theoretical frameworks are often used in the fields of social sciences.

Purpose of a theoretical framework

• Test and challenge existing theories
• Establish orderly connections between observations and facts
• Predict and control situations
• Develop hypotheses

Steps to develop a theoretical framework

• Identify and define key concepts in your thesis problem statement and thesis question.
• Explain and evaluate existing theories by writing a literature review that describes the concepts, models, and theories that support your study.
• Choose the theory that best explains the relationships between the key variables in your study.
• Explain how your research study fills a knowledge gap or fits into existing studies (e.g., testing if an established theory applies to your thesis context).
• Discuss the relevance of any theoretical assumptions and limitations.

A thesis topic can be approached from a variety of angles, depending on the theories used.

• In psychology, a behavioral approach would use different methods and assumptions compared with a cognitive approach when treating anxiety.
• In literature, a book could be analyzed using different literary theories, such as Marxism or poststructuralism.

Structuring a theoretical framework

The structure of a theoretical framework is fluid, and there are no specific rules that need to be followed, as long as it is clearly and logically presented.

The theoretical framework is a natural extension of your literature review. The literature review should identify gaps in the field of your research, and reviewing existing theories will help to determine how these can be addressed. The structure of a theoretical framework is fluid, and there are no specific rules that need to be followed, as long as it is clearly and logically presented. The theoretical framework is sometimes integrated into the literature review chapter of a thesis, but it can also be included as a separate chapter, depending on the complexity of the theories.

Example of a theoretical framework

The sales staff at Company X are unmotivated and struggling to meet their monthly targets. Some members of the management team believe that this could be achieved by implementing a comprehensive product-training program, but others believe that introducing a sales commission structure will help.

Company X is not achieving their monthly sales targets

To increase monthly sales.

Research question:

How can Company X motivate their sales team to achieve its monthly sales targets?

Sub-questions:

• Why do the sales staff feel unmotivated?
• What is the relationship between motivation and monetary rewards?
• Do the sales staff feel that they have sufficient product knowledge?

Theoretical framework:

A literature search will need to be performed to understand the background of the many different theories of motivation in psychology. For example, Maslow’s Hierarchy of Needs (basic human needs—physiological, safety, love/belonging, esteem, and self-actualization—have to be fulfilled before one can live up to their true potential), Vroom’s Theory of Expectancy (people decide upon their actions based on the outcomes they expect), and Locke’s Goal-Setting Theory (goals are a key driver of one’s behavior). These theories would need to be investigated to determine which would be the best approach to increase the motivation of the sales staff in Company X so that the monthly sales targets are met.

A robust conceptual or theoretical framework is crucial when writing a thesis/dissertation. It defines your research gap, identifies your approach, and guides the interpretation of your results.

A thesis is the most important document you will write during your academic studies. For professional thesis editing and thesis proofreading services, check out Enago's Thesis Editing service s for more information.

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What type of framework is used in the Humanities and Social Sciences (HSS) domain? +

Theoretical frameworks are typically used in the HSS domain, while conceptual frameworks are used in the Sciences domain.

What is the difference between mediating versus moderating variables? +

The difference between mediators and moderators can be confusing. A moderating variable is unaffected by the independent variable and can increase or decrease the strength of the relationship between the independent and dependent variables. A mediating variable is affected by the independent variable and can explain the relationship between the independent and dependent variables. T he statistical correlation between the independent and dependent variables is higher when the mediating variable is excluded.

What software should I use to present my conceptual framework? +

The software program Creately provides some useful templates that can help you get started. Other recommended programs are SmartDraw , Inkscape , and diagrams.net .

Trends in climate adaptation solutions for mountain regions

• Original Article
• Open access
• Published: 10 September 2024
• Volume 29 , article number  74 , ( 2024 )

Cite this article

You have full access to this open access article

• Veruska Muccione   ORCID: orcid.org/0000-0002-9773-3125 1 , 2 , 3 ,
• Julia Aguilera Rodriguez 2 ,
• Anna Scolobig 2 , 4 ,
• Rosie Witton 5 ,
• Johanna Zwahlen 6 ,
• Alex Mackey 6 ,
• Julia Barrott 5 ,
• Otto Simonett 6 ,
• Markus Stoffel 2 &
• Simon K. Allen 2 , 3  

This study addresses the critical need for documented adaptation progress in mountain regions by reviewing recently implemented or ongoing adaptation solutions collected from the Adaptation at Altitude Solutions Portal (A@A Solution Portal). Using a data driven approach, the research explores the characteristics, feasibility, and transformative potential of these solutions. Findings reveal a predominant focus on addressing droughts and floods, aligning with the IPCC’s emphasis on water-related impacts in mountains. Notably, watershed management practices emerge as popular solutions, showcasing their capacity to address multiple concerns beyond climate impacts. Education and awareness, along with land use practices, dominate the types of solutions, reflecting their positive impact on project acceptability and low associated risk of maladaptation. Agricultural land and forests are the main ecosystems where solutions are reported, with an evident association with education and awareness and land use change solutions. Most SDGs and Sendai targets are found to be addressed by the solutions emphasising the importance of documenting project experiences as way to bridge previously reported gaps between policy frameworks and on-the-ground implementation. Despite community involvement being high in many of the solutions, challenges such as gender inequality persists. While solutions often demonstrate local relevance and depth of change, upscaling remains challenging, with limited evidence of mainstreaming and replication. Sustainability criteria are moderately met, incorporating inclusive decision-making but with uncertainty regarding long-term plans. Furthermore, findings underscore the significance of co-developing and maintaining adaptation solution portals, illustrating how this approach enriches our understanding of adaptation progress in mountains. Moreover, this research contributes to broadening the scope of systematic adaptation assessments by providing a nuanced perspective that integrates local needs and diverse knowledge systems. In essence, this study makes a valuable contribution to the evolving landscape of adaptation research, emphasizing the importance of practical insights and collaborative efforts to address the complex challenges posed by climate-related impacts and corresponding adaptation efforts.

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1 Introduction

Climate change is having a significant impact on mountain ecosystems, which are home to a quarter of the world’s population and a source of freshwater for billions of people (Adler et al. 2022 ). Mountain communities are highly dependent on natural resources for their livelihoods, and changes in the mountain environment can have significant social, economic, and cultural impacts (Huss et al. 2017 ; Mengistu et al. 2020 ; Schmeller et al. 2022 ; Reader et al. 2023a ). Alongside climate and environmental change, demographic change, land use change and urbanisation also create numerous disruptions, in particular when settlements and infrastructures appear in hazard-prone areas (Viviroli et al. 2020 ; Thornton et al. 2022 ). Therefore, adapting to climate change in mountains is essential to ensure the well-being of mountain and lowland communities, as well as the long-term sustainability of mountain ecosystems (McDowell et al. 2019b ; Adler et al. 2022 ).

Evidence from mountain specific research confirms that climate adaptation is taking place in many mountain countries, often as a reaction to realised impacts, and sporadically as part of coordinated strategies and plans (McDowell et al. 2019b ; Adler et al. 2022 ). The status quo of mountain adaptation is that of small adjustments to existing risk management strategies with limited scope and extent. Yet, as risks become ever more complex and pervasive, the need to move from small adjustments to substantial innovation and systemic changes, is becoming more pressing (Colloff et al. 2017 ; Klein et al. 2019 ; Palomo et al. 2021 ; McDowell et al. 2021 ). Indeed, in terms of the hallmark approaches taken to adaptation, those of incremental and transformational adaptation, are perhaps the two most prominent (Kates et al. 2012 ). Although, as many authors have noted, there is no fixed definition for transformative adaptation and its interpretation differs among different users and contexts (Fedele et al. 2019 ), its relevance and necessity are nevertheless widely recognized (Klein et al. 2019 ; Bentz et al. 2022 ). Such importance appears to lie in the need to move from business-as-usual or traditional incremental strategies to systemic commitments that better address the complex challenges linked to climate change risks through a shift in paradigms and values (Lonsdale et al. 2015 ). Lately, the success of adaptation, whether transformative or incremental, has become strongly interrelated to its effectiveness in reducing climate risks (Owen 2020 ; Chausson et al. 2020 ), with the feasibility of adaptation as an indication of potential barriers, limits or maladaptation (Singh et al. 2020 ; Thomas et al. 2021 ).

In the pursuit of achieving a synthetic picture of the overall landscape of adaptation, its characteristics, effectiveness and transformative potential, numerous systematic reviews and meta-analyses have emerged in the past decade (McDowell et al. 2014 , 2019b ; Berrang-Ford et al. 2015 , 2019 ; Berrang-Ford, Sietsma, et al., 2021 ). Berrang-Ford et al. 2021a combined traditional review methods with machine learning to take stock of empirical adaptation globally. Meanwhile, other reviews have focused on specific sub-topics within the adaptation literature, such as health (Berrang-Ford et al. 2021b ), equity (Araos et al. 2021 ), adaptation limits (Thomas et al. 2021 ), and government adaptation (Berrang-Ford et al. 2019 ). Systematic reviews of adaptation also exist for specific topological regions, including the Arctic (Canosa et al. 2020 ) and mountain areas (McDowell et al. 2014 , 2019b ; Terzi et al. 2019 ; Vij et al. 2021 ).

These reviews have proved extremely valuable to tracking adaptation progress, and some have played a key role in global assessments such as the IPCC (Berrang-Ford et al. 2021a ; Adler et al. 2022 ; O’Neill et al. 2022 ). Notwithstanding, they predominantly assess adaptation if evidence is reported in the academic literature. Technical and logistical challenges have been identified when attempting at systematically assessing adaptation practice from the grey literature in ways that are comparable and on pair with the academic evidence (Berrang-Ford et al. 2021a ). This is often because adaptation projects carried out in the public, NGO and private sectors are seldomly reported in peer-reviewed literature (McDowell et al. 2019b ; Berrang-Ford et al. 2021a ; Vij et al. 2021 ). In response, a number of portals have been developed over the years to track adaptation on the ground, such as Climate-Adapt of the European Environment Agency (Mattern and Jol 2018 ; Dubo et al. 2022 ), the Climate Change Knowledge Portal of the World Bank, and the Dutch adaptation web portal (Laudien et al. 2019 ). Facts and figures from these portals are starting to gain recognition by the scientific literature, and their usefulness is increasingly acknowledged (Laudien et al. 2019 ; Dubo et al. 2022 ; Jevne et al. 2023 ).

This study responds to the urgent need of shedding light on adaptation practice in mountains by compiling wide ranging facts and figures from a dedicated portal on adaptation solutions in mountain regions. It seeks to produce a comprehensive inventory of adaptation efforts taking place in mountains as part of realised and ongoing projects. The focus is placed on implemented adaptation solutions, where solutions are referred to as actual measures, approaches, or processes designed to adjust natural or human systems to current or anticipated climate-related impacts in ways that reduce climate risks and increase resilience (Haasnoot et al. 2020 ). Solutions were collected from the Adaptation at Altitude Solutions Portal (hereafter A@A Solution portal) (Adaptation at Altitude 2021 ), which was co-designed by scientists and practitioners in response to the increased needs of a more practice-oriented science of adaptation that takes into account local necessities and different knowledge systems (Muccione et al. 2019 ). We assessed 88 adaptation solutions initially featured in the A@A Solution portal, implemented across various mountain regions and countries by different organizations and project developers. We explored their characteristics, feasibility and transformative potential. By highlighting the importance of co-developing and maintaining an adaptation solution portal, we demonstrate how such an approach enriches our understanding of adaptation progress in mountains and contribute to broaden the landscape of systematic assessments ofadaptation.

2 Methods and data

The methodological approach used in this study was designed in the context of Adaptation at Altitude (hereafter A@A), launched in 2020. A@A aims to enhance the resilience and adaptive capacities of mountain communities (Adaptation at Altitude 2021 ). The programme addresses four main challenges of adaptation in mountains, namely: (1) data information and monitoring; (2) regional science-policy exchange and collaborative action; (3) knowledge generation and sharing; and (4) policy mainstreaming. To address challenge three, “knowledge generation and sharing”, an online survey was designed to systematically collect relevant information from mountain adaptation projects with the ultimate goal of building a live portal of adaptation solutions in mountains. To this end, the A@A Solution Portal collects, in one place, relevant information concerning numerous adaptation projects and their implementers around the world. The portal allows the sharing and exploring of past or ongoing tried-and-tested adaptation solutions in mountain regions. A schematic view on the methodological approach used in this study is given in Fig.  1 and explained in the next sub-sections.

Schematic overview of the methodological approach used in the paper from survey design to assessment of the solutions

2.1 Survey design

The survey employed to populate the A@A solution portal was co-designed by the partner institutions of the programme and informed by a preparatory phase that included a user needs assessment, as well as a review of existing on-line climate adaptation platforms. The user needs assessment involved eleven semi-structured interviews and one on-line workshop with international actors engaged in the funding, evaluation, planning, management and/or implementation of climate adaptation activities in mountain regions. These stakeholders included representatives from A@A partners, the World Bank, Business for Nature, and lead authors of the Intergovernmental Panel on Climate Change (IPCC) Sixth Assessment Report (AR6). More detailed information on the project and its partners can be found on the A@A website (Adaptation at Altitude 2021 ). The user needs consultation was done bottom-up and allowed participants to define the type of information most valuable to practitioners and developers of adaptation projects, as well technical gaps or shortcomings of existing platforms. In parallel, the review of on-line platforms providing climate adaptation solutions was also conducted. This review consisted of three main phases: screening, in-depth analysis of selected platforms, and gaps identification. From the 55 platforms screened, 20 were selected for in-depth analysis. This analysis revealed that more than half of the platforms (54%) showcase climate change adaptation (CCA) solutions primarily at the local scale, followed by mixed (23%, this category includes local, regional, national, international and global), national (15%) and regional (8%) level solutions. None of the analysed platforms specifically focussed on mountain regions, nor considered a comprehensive range of factors that enable or limit transformative potential. The results of the preparatory phase are described in (Scolobig A. et al. 2020 ). The final product of the preparatory phase was a survey with multiple choices and open-ended questions that served to populate the solution portal. The survey was co-developed in an iterative process involving A@A partners in eight review rounds. Along with the descriptive information, the survey collected significant supporting documentation, and the contact details of some of the principal actors involved in the planning and/or implementation processes.

An overview of the main information collected through the survey is given in Table  1 , while a copy of the survey can be found in the supplementary material. Project implementers fill in the survey through an electronic template. This process benefitted from the extensive media efforts of the A@A team that promoted the survey and ultimately the solution portal on websites of the partner institutions, Facebook, X (former Twitter) and LinkedIn, as well as in workshops, seminars, and conferences, mainly under the umbrella of the A@A programme. In addition to project implementers directly responding to the survey, the A@A team also actively collected information from project resources available online, in all cases iterating with project implementers to ensure accuracy of the information entered into the portal. Training resources for filling in the survey, such as a step-by-step guide, an example of a filled-in survey, and the inclusion of sample responses into the questionnaire were made available through the A@A website. To secure consistency and high quality of information, all completed surveys undergo a quality control evaluation, performed by the project team before the corresponding adaptation solution is published on the portal. At the time of writing this article, the A@A Solution Portal consisted of 88 solutions.

2.2 Analytical framework of the survey

For the purpose of this study, we assessed the (1) general characteristics of the solutions, namely location, climate impact addressed, type of mountain ecosystem, sectors where the solution was implemented and type of solution, (2) their feasibility and effectiveness, and (3) their transformation potential. To measure feasibility, we followed a concept developed by Singh et al. 2020 where feasibility is understood as the potential for an adaptation solution to be implemented. We measured the contribution made to the implementation of the solutions in terms of knowledge, technology, political/legal, institutional and socio-cultural factors, to which we refer as “capacities”. Such list of factors was agreed upon using existing literature (Singh et al. 2020 ) and supplemented by the user needs consultations. The analogy of feasibility with capacity is related to the concept of adaptive capacity in adaptation science, which is the ability of a systems to prepare for, or respond to potential damages, and to take advantage of new opportunities by making the appropriate adjustments. The definition of each category is provided in Table  1 . We measured each category using a qualitative scoring from 0 (not present) and 1 (very low), to 5 (very high). To capture effectiveness, we focused on the outcomes of adaptation (Singh et al. 2020 ), both as risk reduction benefits and as more extensive benefits derived from adaptation as improvement in environmental, economic or socio-political conditions (Remling and Persson 2015 ; Sharifi 2021 ).

Regarding the transformation potential of adaptation solutions, this was measured using the four key dimensions for transformations developed by the World Bank (World Bank Group 2016 ). This choice is justified by the need to focus on an approach coming from an applied or practical perspective. In a nutshell, we measured four dimensions:

Relevance – does the solution address a major constraint or problem of critical importance to sustainable development in mountain regions?

Depth of change – does the solution cause or support fundamental change in a governance system or behaviour?

Scalability of change – could the solution be feasibly scaled-up and duplicated in other mountain regions?

Sustainability – does the solution demonstrate financial, economic, and environmental sustainability?

One key difference from more academic approaches such as those that measure transformations as speed (how fast adaptation is being implemented), scope (breadth of the measures in terms of both sectorial and spatial extent), and depth (represents the novelty of adaptation actions) (Termeer et al. 2017 ; Berrang-Ford et al. 2021a ), is that we allocated a greater emphasis on the potential for scaling up, rather than on the initial scale of the solution. This enabled the inclusion of small-scale solutions (e.g., community-based approaches) that may be only in the pilot phase but offer large potential for future replication and mainstreaming. An overview on the characteristics assessed, as well as proxies to measure feasibility, effectiveness and transformation (or transformative potential) is given in Table  1 .

For the data analysis, the information included in the solution portal was downloaded from the A@A Portal website and saved in an excel sheet. The dataset was subjected to a series of pre-processing steps to ensure its suitability for subsequent analysis. The dataset was structured into a Pandas dataframe object. The dataframe serves as a two-dimensional, size-mutable, and heterogeneous tabular data structure, providing a convenient and intuitive way to perform data manipulation and analysis (Pandas 2024 ). To facilitate analysis of categorical variables, we applied one-hot encoding, converting categorical attributes into a binary representation. Such transformation is essential for preparing categorical data for certain types of analysis that require numerical input. To analyse the solution description text, we first utilize the spaCy ( https://spacy.io/ ), which is an open-source natural language processing library specifically crafted for extracting information from text corpora. Subsequently, the term-frequency times inverse document frequency (TF-IDF) technique is employed to reducing the influence of frequently occurring words that lack informative value within the corpus (Leskovec 2014 ). TF-IDF serve diverse purposes, including facilitating the visualization of words via word clouds.

The capacities were scored on a five-point scale going from very low to very high. The score for each solution and its capacities was assessed by a minimum of 2 project members to check for consistencies and discussions were held until agreement was reached on the final score. The score was also triangulated with the qualitative description of the text on the corresponding capacity, which is also stored in the solution database.

At the time of analysis, the solution portal contained 88 discrete adaptation solutions. New solutions are being uploaded to the A@A Portal on an ongoing basis. The final dataset with the 88 solutions can be found in the supplementary material and the notebooks needed to reproduce all analysis and figures are available through the https://github.com/vmuccion/Adaptation-Altitude .

3.1 General characteristics of solutions

The first entry in the database alongside the unique title, is a description of the solution. Figure  2 displays a word cloud illustrating the prevalence of the words extracted from the description text. Notably, “water” is highlighted as the most prevalent word, followed by other key words such as “community”, “land”, “local”, and “capacity”. This pattern indicated a prevalence of community and local based measures, with water being the dominant aspect, not only in terms of sector, but also concerning the typology of solutions.

World cloud of most frequent single words obtained from the summary description of the solutions

The geographical distribution of solutions in Fig.  3 (top panel) shows that there is a considerable tendency in the portal towards specific regions such as North and Southwestern South America, East Africa, and the Hindukush Himalaya (HKH) region. Moreover, there is a handful of solutions in Europe and the Caucasus, but so far, none from North America or Oceania. This is because the solution portal was mainly an effort to collect solutions from the Global South, expressed through the stakeholder needs consultation. However, efforts are underway to have a more balanced geographical coverage that includes additional regions. When it comes to the impacts addressed (Fig.  3 bottom panel), a diversity can be observed in the majority of continents, except in Europe.

Top figure shows a choropleth map of the solutions per country. The bottom figure shows the proportion of climate impacts addressed per continent. Only continents having at least one solution or more are shown

The general characteristics of the solutions are shown in Fig.  4 . Across all solutions, drought emerges as the most common climate impact addressed (63), followed by flood (39), and almost in equal proportion, landslides, altered growing seasons, and heat stress. Wildfire is addressed by only 5 solutions. In addition to these main impacts, the portal retains information on secondary impacts as well. The open nature of this question resulted in greater diversity in terms of reported impacts. In this case, water stress is the most common secondary impact, followed by land degradation, and glacier lake outburst flood. Other secondary impacts include erosion, snow scarcity, and unseasonal frost. The distribution of solution types shows that education and awareness, as well as land use practice, are the most common solution types, followed by monitoring and engineering strategies. Finance solutions are the least common. The sectorial distribution is dominated by agriculture and water, reflecting the emphasis on addressing drought and flood. A similar distribution is seen amongst other sectors, namely human health and well-being, natural hazards, plans and policy, ecosystem, and biodiversity. Tourism and transport are the least covered sectors. Finally, there is a more proportional distribution in the ecosystem types, with a prevalence of agricultural land, forest and high alpine. Urban solutions represent the lowest percentage.

Summary of the main characteristics across all solutions, from top to bottom clockwise, in orange the number of solutions per climate impact addressed, in blue the number of solutions per mountain ecosystem type, in green the number of solutions per solution type and finally in pink the number of solutions per sector

To gain deeper insights into adaptation efforts—particularly the nature, location, and methodologies of implemented solutions—we analyzed the co-occurrence of selected pairs of characteristics. As depicted in Fig.  5 , this analysis focuses on the relationships between solution types and climate impacts (left panel), as well as between solution types and ecosystems (right panel). Notably, education and awareness initiatives, along with land use practices, emerge as the predominant strategies employed to address a wide array of impacts. This includes adapting to the effects of droughts and floods, which constitute the primary climate impacts documented within our portal. Our observations reveal that solutions emphasizing education and awareness are frequently implemented in response to these challenges, complemented by the adoption of land use practices and engineering solutions. However, wildfire mitigation efforts are relatively limited, represented by only five documented solutions, thus revealing a lack of discernible co-occurrence patterns. Moreover, when examining the ecosystems wherein these solutions are enacted, it becomes evident that education and awareness types, alongside land use practices, are prevalent across diverse ecosystem types, spanning from agricultural lands to lakes and rivers. Conversely, fewer solutions are observed in ecosystems such as meadows, peatlands, and urban mountain areas, resulting in a lack of notable co-occurrence patterns within these contexts.

The heatmap on the left side represents co-occurrence between solution types and climate impact addressed; the heatmap on the right side represents co-occurrence between solution types and ecosystem types. The numbers within each cell represent the observation counts in ascending order from light blue to dark blue

3.2 Feasibility and effectiveness

Presented here are the feasibility results assessed through the lenses of five capacity categories, scored on a qualitative scale ranging from very low to very high, as shown in Fig.  6 . As can be observed, many of the solutions exhibit very high capacity in all the categories. Knowledge capacities ensure that adaptation is informed from the outset by diverse knowledge types, including scientific, evidence based, and indigenous knowledge. Overall, political/legal and technology capacities were evaluated by solution providers as less crucial than knowledge, institutional, and socio-cultural capacities in enabling the implementation of the solutions. In contrast, providers gave high evaluations to the role played by socio-cultural and institutional capacities. However, it should be noted that approximately one quarter of solutions do not report results on one or more capacities. This gap in reporting complicates the determination of whether a specific capacity is relevant for that solution or not.

The figure shows the number of self-assessed solutions with respect to the five dimensions of capacity on a qualitative scale going from very low to very high. NA means that the dimension was either not assessed or was not relevant

In order to understand the effectiveness of solutions in delivering positive changes ex-post, we explored various categories of benefits. All solutions have benefits associated to them. Our observations indicate that the majority of solutions have resulted in environmental benefits (33), followed by climate risk reduction (32). Other key benefits include social (13), economic (6), and technological (1) benefits. No solution indicates political benefits (Fig. 7 ).

Number of solutions reporting some type of benefits after implementation

3.3 Transformative potential

The last segment of the analysis focuses on the assessment of the transformative potential of solutions whereby transformation is assessed according to the indicators described in SM Fig.  1 . The file used to assess the transformative potential is uploaded as supplementary dataset. Figure 8  summarises the results, depicting the number of solutions addressing specific criteria measured by corresponding sets of indicators. As it can be observed, relevance is prevalent across almost all the solutions, except for a handful which either address only one sector or report no specific climate impacts. The depth of change also shows a similar behaviour, with most solutions showing evidence of innovation within their own context and addressing multiple SDGs and Sendai Targets. Further details on specific SDGs and Sendai Target, as well as on their relationship, is provided later in this section. Sustainability is reported in more than two thirds of the solutions, while only a few solutions provide evidence on the scalability of change. While we acknowledge the importance of tailoring adaptation solutions to local environmental, cultural, social and institutional contexts, under transformative adaptation there is an expectation to see learnings and a pathway forward as to how the basic fundamentals of the solution could be transferred to another community, village, district, country or region. Evidence of mainstreaming into wider policies and plans is reported in less than one third of the solutions, and approximately half of them offer evidence of overcoming barriers and successful replication.

Number of solutions for each indicator of transformative potential. A score of 1 is given for each of the indicators being present and 0 when there is no evidence of such. Indicators corresponding to the same dimension of transformations are grouped by colour to facilitate observations. The dimension is shown on top of each group of indicators

In line with the survey design and scope of the study, this analysis includes a review of the principal contributions that the solutions provided to the SDGs (United Nations, 2022). Likewise, the survey also sought to investigate evidence of supporting at least one of the 7 global targets set under the Sendai Framework for Disaster Risk Reduction. Observations indicate that most solutions address at least one SDG, while 18 solutions do not address any of the Sendai targets. Overall, all SDGs, except “life under water” (Fig. 9 ), and all of the Sendai targets (Fig. 10 ) are addressed by the solutions. Some solutions address more than one SDG or Sendai target. As it could be expected given its relevance on the matter of climate adaptation, the most common SDG addressed is Goal 13 (Climate Action), followed by Goal 15 (Life on Land), and Goal 1 (No Poverty). Goals 4 (Quality Education), 7 (Affordable and Clean Energy), and 16 (Peace, Justice and Strong Institutions) are the least frequent. In the case of Sendai Targets, target B, “Substantially reduce the number of affected people globally by 2030”, is addressed by almost 2/3 of the solutions. Target A, “Substantially reduce global disaster mortality by 2030”, is the least addressed target.

The figure shows the number of solutions addressing each of the 17 Sustainable Development Goals (SDGs). Details on the SDGs are provided on the right side of the figure

The figure shows the number of solutions addressing each of the 7 Sendai Targets. Details on the targets are provided on the right side of the figure

4 Discussions and conclusions

Documented adaptation efforts which are measurable and comparable are critical to track progress on the status of implementation (Magnan and Chalastani 2019 , Nalau 2021 ). Therefore, it is essential to assess adaptation experiences by systematically collecting and analysing information on implementation that is happening on the ground (McDowell 2019 ). To respond to this need and as testimony of increasing adaptation efforts, several adaptation portals have appeared in the past few years. These portals facilitate organized tracking of adaptation progress and are well suited for further analysis and assessments (Cebrián-Piqueras 2023 ). In this study, we analysed and assessed the recently implemented or ongoing adaptation solutions in mountain regions, that were collected from the Adaptation at Altitude Solution’s Portal.

The initial survey employed to populate the portal, was co-designed with a bottom-up process by experts and practitioners, this with the aim to capture the elements of adaptation which matter to both groups.

Our research results illustrate that drought (63) is largely the most targeted climate impact, followed by flood (39). This finding is corroborated by systematic reviews, and research articles consistently highlights drought as the primary climate impact targeted for adaptation, followed by flood, in mountain regions (Dubo et al. 2022 ; Wyss et al. 2022 ). Furthermore, the latest IPCC report also indicates that drought and flood pose key risks with the potential for severe consequences for mountain people and livelihoods and highlighted the significance and urgency of addressing water-related hazards in mountains (Adler et al. 2022 ). The prevalence and importance of water for mountains and adaptation are visible in the key words analysis of solutions summary description in Fig.  2 . Interestingly, it is observed that many of the solutions addressing water-related impacts prioritize the integration of watershed management practices. These practices have demonstrated their capacity to effectively tackle multiple concerns beyond climate impacts, including the improvement of water quality (Shin et al. 2023 ), the promotion of aquifer recharge (Bigdeli Nalbandan et al. 2023 ), and the enhancement of the natural linkages between upstream and downstream areas through transdisciplinary planning process (Cheng et al. 2017 ).

When examining the type of solutions, there is a prevalence of education and awareness focused solutions, followed by land use practices. These solutions although implemented to address the majority of climate impacts, appear to be commonly implemented to respond to impacts from floods and droughts (see Fig.  5 ). Evidence indicates that the implementation of this type of solutions is often accompanied by improvements in project acceptability and reduced risk of maladaptation (Nalau and Cobb 2022 ). This positive outcome is attributed to the fact that awareness is, in most cases, the result of community involvement (Oliver et al. 2023 ). The solutions showcased on the A@A Solutions Portal reveal a high involvement of local community groups and populations in project activities, well beyond the classical initial consultations. Remarkably, about 75% of solutions show inclusive decision making (see Fig. 8 ). However, despite the pivotal role of community participation, the exercise often faces a number of challenges and requires careful handling to prevent the reinforcement of social issues, such as gender inequality and class-based hierarchies (Nalau and Cobb 2022 ; Singh 2020 ).

Agriculture land and forests emerge as the main mountain ecosystems wherein solutions are reported, with agriculture and water being the main sectors within which solutions are mostly implemented. This further reflects the importance of tackling water-related impacts and risks for the management of critical sectors, given that mountains boast some of the highest proportions of water availability globally, as well as water withdrawal (Reader et al. 2023b ). The type of solutions implemented in these mountain ecosystems point at a prevalence of education and awareness and land use practices since, as already mentioned, these are by far the most used solutions. It is not surprising that land use practices are highly present in forest and agricultural land areas. However, while the dataset highlights a significant contribution of education and awareness as adaptation solutions in almost every typology of ecosystem, it paradoxically reveals a low impact on Sustainable Development Goal 4 (SDG 4) regarding quality education (Fig. 7 ). This discrepancy may stem from the underreporting of capacity-building and awareness-raising activities under the broad category of education. Additionally, it prompts consideration of whether the targets outlined in SDG 4 are perceived as exclusively related to conventional curriculum-based education, potentially overlooking non-traditional forms of educational initiatives such as those related to awareness raising or building capacity. McKenzie et al. ( 2024 ) have argued that indeed it is currently difficult to track progress on SDG4 in relation to climate change due to a lack of quality and appropriate indicators. Despite this discrepancy, the overall picture remains positive, with many Sustainable Development Goals (SDGs) and Sendai targets being addressed laterally within the solution portal, with only a few exceptions (Fig. 7 ). This observation aligns with the significant synergies underscored in the IPCC WG2 Cross-Chapter paper on Mountains (Adler et al. 2022 ). Based on the findings of our research, we have identified that several Sustainable Development Goals (SDGs) and Sendai targets are indeed addressed within the solution portal. This evidence counters previously highlighted gaps that acknowledged the limited evidence of implementation of international agendas in addressing disaster risk reduction and adaptation in mountainous regions (Adler et al. 2022 ; Alcántara-Ayala et al. 2022 ). By tracking evidence collected from empirical adaptation, we underscore here the imperative for sustained efforts to bridge the disparity between policy frameworks and their practical implementation on the ground.

Nuanced concepts such as feasibility, effectiveness, and transformative potential, were assessed by means of proxy indicators. In the case of feasibility, we examined the score of five main categories of capacity that were present in the project survey and that are analogous to the characterisation of feasibility according to existing literature (Singh et al. 2020 ). Although the results in Fig.  6 would point at high to very high capacity for many categories, we recognise that there is a high proportion of solutions which do not provide such information and cannot be assessed. There are nonetheless some noticeable patterns as for example, the fact that knowledge capacities score very high for more than half of solutions, whereas technological capacities show a more heterogeneous picture as enablers of solution implementation. This could be due to technology in mountain areas, being used in diverse ways, such as the development of high-resolution models that incorporate climate and socio-economic impacts on natural ecosystems, and on significant resources such as hydrological components (Immerzeel et al. 2020 ). At the same time, adaptation initiatives may rely on the formulation of structural and physical components (e.g., hard adaptation), addressing agriculture and food security, water management, and infrastructure, for example, through the creation of reservoirs and modern irrigation systems, water conservation techniques, and hazard management technologies such as early warning systems (Adler et al. 2022 ). However, in contrast, solutions which focus on education and awareness raising do not rely upon strong technical capacities from the onset, but rather aim to build these capacities through the lifetime of the project. A more pessimistic explanation for the medium to low scores could be the lack of appropriate technological know-how and technology transfer where it is most needed (Wang et al. 2020 ). This though would be at odds with the high score in the knowledge capacities, which can be reasonably associated with technological knowhow, among other dimensions of knowledge. The effectiveness also scores low in technical and political benefits, which might again indicate a persistence in the low technologic and political scores even after solutions are implemented. This last assertion would confirm the findings in McDowell et al. 2021 ; which cite limited technological know-how and political willingness as hindrances to the full realization of adaptation solutions in mountainous areas. In general, we can infer that solutions are being effective in reducing risks and improving environmental conditions and are benefitting from high knowledge capacities to enable implementation. Nevertheless, solutions do not seem to spur technological or political improvements, or such improvements are not relevant to the project scope, which suggests possible missed opportunities for important co-benefits. Analogous studies which performed systematic assessments of the adaptation literature in mountain regions have reported also environmental co-benefits but limited political or institutional positive spill over (Aggarwal et al. 2022 ).

To get a sense of the transformative potential of solutions, we explored transformations through the lenses of four criteria, namely relevance, depth of change, scalability of change, and sustainability. We see from the results in Fig. 8  that solutions are being implemented where they are most relevant, and that almost all of them cause or support fundamental change (depth of change). As most solutions are local or sub-national (see Fig.  3 ), it is plausible to infer that such depth of change happens more at the community level. However, the fact that upscaling is difficult to achieve poses questions concerning the identification of the enabling factors that eventually lead to upscaling. This is also supported by the finding that only a handful of solutions provide evidence of mainstreaming and replication. Berrang-Ford et al. ( 2021a ) confirmed this trend of limited scope of solutions in their global stocktake of human adaptation. Indeed, they reported that globally, adaptation solutions generally have a limited geographical extent and low levels of mainstreaming (Berrang-Ford et al. 2021a ). In part, this comes down to the typical short duration of adaptation projects (4–5 years) where mainstreaming becomes something of an afterthought towards the end of the project cycle rather than a goal in itself. Nonetheless, the reported success of the mountain solutions in terms of depth of change at local or sub-national level bodes well for future mainstreaming and upscaling, even if this is not occurring as rapidly as would be desired.

In essence, we can say that while the criteria of relevance and, to a geographically limited extent, depth of change, have largely been met, solutions had difficulties in demonstrating that their contribution to deliver large-scale impact by introducing new measures into the local policy frameworks or by replicating their actions in other locations. Research on social innovation identifies different types of upscaling that may be instrumental also for climate adaptation (Moore et al. 2015 ), namely, scale up (impacting laws and policies), scale out (increasing number of people or communities impacted by the solution), and scale deep (impacting cultural values and beliefs). Given the longer time frames needed, designing project with a second phase dedicated to mainstreaming and upscaling efforts would significantly increase the transformative potential of adaptation solutions in mountain regions.

The sustainability criteria are moderately met for our analysed solutions, and it is encouraging to see that inclusive decision-making processes and future proofing are being embedded in many of them. It is less clear though, whether long term plans are being integrated, and again, this is something that confirms the limited scalability and mainstreaming potential of solutions. Limited scalability, mainstreaming, and long-term planning could be all explained by an observed tendency in climate project decision making to leave planning and discussion around scaling up or replication until very late stages or following the closure of interventions (Jain and Bardhan 2023 ). Furthermore, the gap in the implementation of adaptation mainstreaming seems closely related to the lack of political commitment and mandate at the higher governmental levels (Runhaar et al. 2018 ).

Far from being all encompassing, the A@A Solution Portal misses yet the showcasing of other important mountain regions, possibly because of a bias in the initial scope of the survey and solicitation efforts, which were mainly geared towards international development and cooperation. Fortunately, efforts are underway to have a more geographically balanced display of solutions that will enhance learning between mountain regions in the global south and north. It is worth pointing out that the portal collected information not only from the project developers and implementers but also triangulated this information with project evaluation reports, which are usually developed by independent evaluation bodies and consultants. Typical mid-term or final project reports are normally based on a mix of interviews conducted with those involved in project implementation and projected beneficiaries. To minimise bias in reporting, the information was thoroughly screened for quality control by the independent team members from the A@A project. For example, project reports only seldomly involve any longer-term monitoring and evaluation of the solutions. Hence, effort was made during the quality control to ensure that statements around the foreseen long-term success and sustainability of the solutions was well-supported with concrete evidence that financial and technical plans were in place. Obvious difficulties exist for reaching out to an independent and representative sample of stakeholders, particularly ensuring representation of the most vulnerable or marginalised members of the communities. Therefore, the implementation of adaptation project design should from the beginning include more regular external evaluations and broader stakeholder engagement, whose views would equally constitute the body of independent evidence for ex-post project assessment (Wamsler et al. 2020 ; Oliver et al. 2023 ). In absence of such independent information, it is often difficult to get a sense of the progress for those who are the direct beneficiaries of these solutions and therefore such views cannot fully by captured in the remit of this solution portal. The second phase of the A@A project will attempt to fill this gap for selected solutions, by undertaking focus group meetings and interviews with benefactors and other stakeholders to gain ground level insights on the long-term effectiveness of the implemented solutions.

Another challenge of adaptation is the persistent lack of integration of concepts and terminology across different strains of literature, whether adaptation, vulnerability, or impact driven (Berrang-Ford et al. 2021a ). This has been identified as a persistent barrier to adaptation assessment. To this end we invoke here for a common adaptation taxonomy. Currently absent, such a taxonomy would require consensus within the broadest community, offering scholars and practitioners a detailed and common description of benefits, ecosystems, sectors, solutions, capacities, as well as other critical concepts. The survey conducted within this study presents intriguing entry points for such a taxonomy specific to mountain regions. For instance, it identifies solutions and their characteristics in mountains, including sectors, ecosystems, and solution types. Yet, further work is necessary to achieve a robust consensus.

Data availability

Data and Jupyter notebooks for the analysis are all accessible through the following GitHub repository https://github.com/vmuccion/Adaptation-Altitude .

Code Availability

The notebooks are accessible through GitHub: https://github.com/vmuccion/Adaptation-Altitude .

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Acknowledgements

This research has been supported by the Adaptation at Altitude project, which is a project financed by the Swiss Agency for Development and Cooperation (SDC). 

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VM developed the concept for the paper and wrote every section of the manuscript. She did extensive data pre-processing and most of the data analysis. SKA had the initial ideas for such a paper and contributed in developing the methodology to assess the transformative potential together with JA. AS and JA were actively involved in the development of the methodology for the data collection and quality control. RW and JB hosted the portal database and provided VM with the raw dataset from the Adaptation at Altitude website. RW maintained the Adaptation at Altitude Portal together with JZ, OS, and SKA. Everyone contributed to edit and revise the paper. Correspondence and requests for materials should be addressed to [email protected].

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Muccione, V., Aguilera Rodriguez, J., Scolobig, A. et al. Trends in climate adaptation solutions for mountain regions. Mitig Adapt Strateg Glob Change 29 , 74 (2024). https://doi.org/10.1007/s11027-024-10168-8

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