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• What Is a Conceptual Framework? | Tips & Examples

What Is a Conceptual Framework? | Tips & Examples

Published on August 2, 2022 by Bas Swaen and Tegan George. Revised on March 18, 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: visualize 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 visualizing your expected cause-and-effect relationship.

We demonstrate this using basic design components of boxes and arrows. Here, each variable appears in a box. To indicate a causal relationship, each arrow should start from the independent variable (the cause) and point to the dependent variable (the effect).

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.

A confounding variable is closely related to both the independent and dependent variables in a study. An independent variable represents the supposed cause , while the dependent variable is the supposed effect . A confounding variable is a third variable that influences both the independent and dependent variables.

Failing to account for confounding variables can cause you to wrongly estimate the relationship between your independent and dependent variables.

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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Home » Conceptual Framework – Types, Methodology and Examples

Conceptual Framework – Types, Methodology and Examples

Table of Contents

Conceptual Framework

Definition:

A conceptual framework is a structured approach to organizing and understanding complex ideas, theories, or concepts. It provides a systematic and coherent way of thinking about a problem or topic, and helps to guide research or analysis in a particular field.

A conceptual framework typically includes a set of assumptions, concepts, and propositions that form a theoretical framework for understanding a particular phenomenon. It can be used to develop hypotheses, guide empirical research, or provide a framework for evaluating and interpreting data.

Conceptual Framework in Research

In research, a conceptual framework is a theoretical structure that provides a framework for understanding a particular phenomenon or problem. It is a key component of any research project and helps to guide the research process from start to finish.

A conceptual framework provides a clear understanding of the variables, relationships, and assumptions that underpin a research study. It outlines the key concepts that the study is investigating and how they are related to each other. It also defines the scope of the study and sets out the research questions or hypotheses.

Types of Conceptual Framework

Types of Conceptual Framework are as follows:

Theoretical Framework

A theoretical framework is an overarching set of concepts, ideas, and assumptions that help to explain and interpret a phenomenon. It provides a theoretical perspective on the phenomenon being studied and helps researchers to identify the relationships between different concepts. For example, a theoretical framework for a study on the impact of social media on mental health might draw on theories of communication, social influence, and psychological well-being.

Conceptual Model

A conceptual model is a visual or written representation of a complex system or phenomenon. It helps to identify the main components of the system and the relationships between them. For example, a conceptual model for a study on the factors that influence employee turnover might include factors such as job satisfaction, salary, work-life balance, and job security, and the relationships between them.

Empirical Framework

An empirical framework is based on empirical data and helps to explain a particular phenomenon. It involves collecting data, analyzing it, and developing a framework to explain the results. For example, an empirical framework for a study on the impact of a new health intervention might involve collecting data on the intervention’s effectiveness, cost, and acceptability to patients.

Descriptive Framework

A descriptive framework is used to describe a particular phenomenon. It helps to identify the main characteristics of the phenomenon and to develop a vocabulary to describe it. For example, a descriptive framework for a study on different types of musical genres might include descriptions of the instruments used, the rhythms and beats, the vocal styles, and the cultural contexts of each genre.

Analytical Framework

An analytical framework is used to analyze a particular phenomenon. It involves breaking down the phenomenon into its constituent parts and analyzing them separately. This type of framework is often used in social science research. For example, an analytical framework for a study on the impact of race on police brutality might involve analyzing the historical and cultural factors that contribute to racial bias, the organizational factors that influence police behavior, and the psychological factors that influence individual officers’ behavior.

Conceptual Framework for Policy Analysis

A conceptual framework for policy analysis is used to guide the development of policies or programs. It helps policymakers to identify the key issues and to develop strategies to address them. For example, a conceptual framework for a policy analysis on climate change might involve identifying the key stakeholders, assessing their interests and concerns, and developing policy options to mitigate the impacts of climate change.

Logical Frameworks

Logical frameworks are used to plan and evaluate projects and programs. They provide a structured approach to identifying project goals, objectives, and outcomes, and help to ensure that all stakeholders are aligned and working towards the same objectives.

Conceptual Frameworks for Program Evaluation

These frameworks are used to evaluate the effectiveness of programs or interventions. They provide a structure for identifying program goals, objectives, and outcomes, and help to measure the impact of the program on its intended beneficiaries.

Conceptual Frameworks for Organizational Analysis

These frameworks are used to analyze and evaluate organizational structures, processes, and performance. They provide a structured approach to understanding the relationships between different departments, functions, and stakeholders within an organization.

Conceptual Frameworks for Strategic Planning

These frameworks are used to develop and implement strategic plans for organizations or businesses. They help to identify the key factors and stakeholders that will impact the success of the plan, and provide a structure for setting goals, developing strategies, and monitoring progress.

Components of Conceptual Framework

The components of a conceptual framework typically include:

• Research question or problem statement : This component defines the problem or question that the conceptual framework seeks to address. It sets the stage for the development of the framework and guides the selection of the relevant concepts and constructs.
• Concepts : These are the general ideas, principles, or categories that are used to describe and explain the phenomenon or problem under investigation. Concepts provide the building blocks of the framework and help to establish a common language for discussing the issue.
• Constructs : Constructs are the specific variables or concepts that are used to operationalize the general concepts. They are measurable or observable and serve as indicators of the underlying concept.
• Propositions or hypotheses : These are statements that describe the relationships between the concepts or constructs in the framework. They provide a basis for testing the validity of the framework and for generating new insights or theories.
• Assumptions : These are the underlying beliefs or values that shape the framework. They may be explicit or implicit and may influence the selection and interpretation of the concepts and constructs.
• Boundaries : These are the limits or scope of the framework. They define the focus of the investigation and help to clarify what is included and excluded from the analysis.
• Context : This component refers to the broader social, cultural, and historical factors that shape the phenomenon or problem under investigation. It helps to situate the framework within a larger theoretical or empirical context and to identify the relevant variables and factors that may affect the phenomenon.
• Relationships and connections: These are the connections and interrelationships between the different components of the conceptual framework. They describe how the concepts and constructs are linked and how they contribute to the overall understanding of the phenomenon or problem.
• Variables : These are the factors that are being measured or observed in the study. They are often operationalized as constructs and are used to test the propositions or hypotheses.
• Methodology : This component describes the research methods and techniques that will be used to collect and analyze data. It includes the sampling strategy, data collection methods, data analysis techniques, and ethical considerations.
• Literature review : This component provides an overview of the existing research and theories related to the phenomenon or problem under investigation. It helps to identify the gaps in the literature and to situate the framework within the broader theoretical and empirical context.
• Outcomes and implications: These are the expected outcomes or implications of the study. They describe the potential contributions of the study to the theoretical and empirical knowledge in the field and the practical implications for policy and practice.

Conceptual Framework Methodology

Conceptual Framework Methodology is a research method that is commonly used in academic and scientific research to develop a theoretical framework for a study. It is a systematic approach that helps researchers to organize their thoughts and ideas, identify the variables that are relevant to their study, and establish the relationships between these variables.

Here are the steps involved in the conceptual framework methodology:

Identify the Research Problem

The first step is to identify the research problem or question that the study aims to answer. This involves identifying the gaps in the existing literature and determining what specific issue the study aims to address.

Conduct a Literature Review

The second step involves conducting a thorough literature review to identify the existing theories, models, and frameworks that are relevant to the research question. This will help the researcher to identify the key concepts and variables that need to be considered in the study.

Define key Concepts and Variables

The next step is to define the key concepts and variables that are relevant to the study. This involves clearly defining the terms used in the study, and identifying the factors that will be measured or observed in the study.

Develop a Theoretical Framework

Once the key concepts and variables have been identified, the researcher can develop a theoretical framework. This involves establishing the relationships between the key concepts and variables, and creating a visual representation of these relationships.

Test the Framework

The final step is to test the theoretical framework using empirical data. This involves collecting and analyzing data to determine whether the relationships between the key concepts and variables that were identified in the framework are accurate and valid.

Examples of Conceptual Framework

Some realtime Examples of Conceptual Framework are as follows:

• In economics , the concept of supply and demand is a well-known conceptual framework. It provides a structure for understanding how prices are set in a market, based on the interplay of the quantity of goods supplied by producers and the quantity of goods demanded by consumers.
• In psychology , the cognitive-behavioral framework is a widely used conceptual framework for understanding mental health and illness. It emphasizes the role of thoughts and behaviors in shaping emotions and the importance of cognitive restructuring and behavior change in treatment.
• In sociology , the social determinants of health framework provides a way of understanding how social and economic factors such as income, education, and race influence health outcomes. This framework is widely used in public health research and policy.
• In environmental science , the ecosystem services framework is a way of understanding the benefits that humans derive from natural ecosystems, such as clean air and water, pollination, and carbon storage. This framework is used to guide conservation and land-use decisions.
• In education, the constructivist framework is a way of understanding how learners construct knowledge through active engagement with their environment. This framework is used to guide instructional design and teaching strategies.

Applications of Conceptual Framework

Some of the applications of Conceptual Frameworks are as follows:

• Research : Conceptual frameworks are used in research to guide the design, implementation, and interpretation of studies. Researchers use conceptual frameworks to develop hypotheses, identify research questions, and select appropriate methods for collecting and analyzing data.
• Policy: Conceptual frameworks are used in policy-making to guide the development of policies and programs. Policymakers use conceptual frameworks to identify key factors that influence a particular problem or issue, and to develop strategies for addressing them.
• Education : Conceptual frameworks are used in education to guide the design and implementation of instructional strategies and curriculum. Educators use conceptual frameworks to identify learning objectives, select appropriate teaching methods, and assess student learning.
• Management : Conceptual frameworks are used in management to guide decision-making and strategy development. Managers use conceptual frameworks to understand the internal and external factors that influence their organizations, and to develop strategies for achieving their goals.
• Evaluation : Conceptual frameworks are used in evaluation to guide the development of evaluation plans and to interpret evaluation results. Evaluators use conceptual frameworks to identify key outcomes, indicators, and measures, and to develop a logic model for their evaluation.

Purpose of Conceptual Framework

The purpose of a conceptual framework is to provide a theoretical foundation for understanding and analyzing complex phenomena. Conceptual frameworks help to:

• Guide research : Conceptual frameworks provide a framework for researchers to develop hypotheses, identify research questions, and select appropriate methods for collecting and analyzing data. By providing a theoretical foundation for research, conceptual frameworks help to ensure that research is rigorous, systematic, and valid.
• Provide clarity: Conceptual frameworks help to provide clarity and structure to complex phenomena by identifying key concepts, relationships, and processes. By providing a clear and systematic understanding of a phenomenon, conceptual frameworks help to ensure that researchers, policymakers, and practitioners are all on the same page when it comes to understanding the issue at hand.
• Inform decision-making : Conceptual frameworks can be used to inform decision-making and strategy development by identifying key factors that influence a particular problem or issue. By understanding the complex interplay of factors that contribute to a particular issue, decision-makers can develop more effective strategies for addressing the problem.
• Facilitate communication : Conceptual frameworks provide a common language and conceptual framework for researchers, policymakers, and practitioners to communicate and collaborate on complex issues. By providing a shared understanding of a phenomenon, conceptual frameworks help to ensure that everyone is working towards the same goal.

When to use Conceptual Framework

There are several situations when it is appropriate to use a conceptual framework:

• To guide the research : A conceptual framework can be used to guide the research process by providing a clear roadmap for the research project. It can help researchers identify key variables and relationships, and develop hypotheses or research questions.
• To clarify concepts : A conceptual framework can be used to clarify and define key concepts and terms used in a research project. It can help ensure that all researchers are using the same language and have a shared understanding of the concepts being studied.
• To provide a theoretical basis: A conceptual framework can provide a theoretical basis for a research project by linking it to existing theories or conceptual models. This can help researchers build on previous research and contribute to the development of a field.
• To identify gaps in knowledge : A conceptual framework can help identify gaps in existing knowledge by highlighting areas that require further research or investigation.
• To communicate findings : A conceptual framework can be used to communicate research findings by providing a clear and concise summary of the key variables, relationships, and assumptions that underpin the research project.

Characteristics of Conceptual Framework

key characteristics of a conceptual framework are:

• Clear definition of key concepts : A conceptual framework should clearly define the key concepts and terms being used in a research project. This ensures that all researchers have a shared understanding of the concepts being studied.
• Identification of key variables: A conceptual framework should identify the key variables that are being studied and how they are related to each other. This helps to organize the research project and provides a clear focus for the study.
• Logical structure: A conceptual framework should have a logical structure that connects the key concepts and variables being studied. This helps to ensure that the research project is coherent and consistent.
• Based on existing theory : A conceptual framework should be based on existing theory or conceptual models. This helps to ensure that the research project is grounded in existing knowledge and builds on previous research.
• Testable hypotheses or research questions: A conceptual framework should include testable hypotheses or research questions that can be answered through empirical research. This helps to ensure that the research project is rigorous and scientifically valid.
• Flexibility : A conceptual framework should be flexible enough to allow for modifications as new information is gathered during the research process. This helps to ensure that the research project is responsive to new findings and is able to adapt to changing circumstances.

Advantages of Conceptual Framework

Advantages of the Conceptual Framework are as follows:

• Clarity : A conceptual framework provides clarity to researchers by outlining the key concepts and variables that are relevant to the research project. This clarity helps researchers to focus on the most important aspects of the research problem and develop a clear plan for investigating it.
• Direction : A conceptual framework provides direction to researchers by helping them to develop hypotheses or research questions that are grounded in existing theory or conceptual models. This direction ensures that the research project is relevant and contributes to the development of the field.
• Efficiency : A conceptual framework can increase efficiency in the research process by providing a structure for organizing ideas and data. This structure can help researchers to avoid redundancies and inconsistencies in their work, saving time and effort.
• Rigor : A conceptual framework can help to ensure the rigor of a research project by providing a theoretical basis for the investigation. This rigor is essential for ensuring that the research project is scientifically valid and produces meaningful results.
• Communication : A conceptual framework can facilitate communication between researchers by providing a shared language and understanding of the key concepts and variables being studied. This communication is essential for collaboration and the advancement of knowledge in the field.
• Generalization : A conceptual framework can help to generalize research findings beyond the specific study by providing a theoretical basis for the investigation. This generalization is essential for the development of knowledge in the field and for informing future research.

Limitations of Conceptual Framework

Limitations of Conceptual Framework are as follows:

• Limited applicability: Conceptual frameworks are often based on existing theory or conceptual models, which may not be applicable to all research problems or contexts. This can limit the usefulness of a conceptual framework in certain situations.
• Lack of empirical support : While a conceptual framework can provide a theoretical basis for a research project, it may not be supported by empirical evidence. This can limit the usefulness of a conceptual framework in guiding empirical research.
• Narrow focus: A conceptual framework can provide a clear focus for a research project, but it may also limit the scope of the investigation. This can make it difficult to address broader research questions or to consider alternative perspectives.
• Over-simplification: A conceptual framework can help to organize and structure research ideas, but it may also over-simplify complex phenomena. This can limit the depth of the investigation and the richness of the data collected.
• Inflexibility : A conceptual framework can provide a structure for organizing research ideas, but it may also be inflexible in the face of new data or unexpected findings. This can limit the ability of researchers to adapt their research project to new information or changing circumstances.
• Difficulty in development : Developing a conceptual framework can be a challenging and time-consuming process. It requires a thorough understanding of existing theory or conceptual models, and may require collaboration with other researchers.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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• v.21(3); Fall 2022

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

Julie a. luft.

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

Sophia Jeong

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

Robert Idsardi

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

Grant Gardner

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

Associated Data

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

INTRODUCTION

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

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

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

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

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

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

Comparison of literature reviews, theoretical frameworks, and conceptual reviews

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

LITERATURE REVIEWS

Purpose of a literature review.

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

Building Literature Reviews

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

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

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

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

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

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

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

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

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

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

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

Suggestions and Advice

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

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

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

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

THEORETICAL FRAMEWORKS

Purpose of theoretical frameworks.

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

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

Selecting Theoretical Frameworks

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

CONCEPTUAL FRAMEWORKS

Purpose of a conceptual framework.

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

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

Constructing Conceptual Frameworks

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

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

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

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

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

Conceptual framework from Sabel et al. (2017) .

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

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

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

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

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

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

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

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

CONCLUDING THOUGHTS

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

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

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

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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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What is a Conceptual Framework?

A conceptual framework sets forth the standards to define a research question and find appropriate, meaningful answers for the same. It connects the theories, assumptions, beliefs, and concepts behind your research and presents them in a pictorial, graphical, or narrative format.

Updated on August 28, 2023

What are frameworks in research?

Both theoretical and conceptual frameworks have a significant role in research.  Frameworks are essential to bridge the gaps in research. They aid in clearly setting the goals, priorities, relationship between variables. Frameworks in research particularly help in chalking clear process details.

Theoretical frameworks largely work at the time when a theoretical roadmap has been laid about a certain topic and the research being undertaken by the researcher, carefully analyzes it, and works on similar lines to attain successful results. 

It varies from a conceptual framework in terms of the preliminary work required to construct it. Though a conceptual framework is part of the theoretical framework in a larger sense, yet there are variations between them.

The following sections delve deeper into the characteristics of conceptual frameworks. This article will provide insight into constructing a concise, complete, and research-friendly conceptual framework for your project.

Definition of a conceptual framework

True research begins with setting empirical goals. Goals aid in presenting successful answers to the research questions at hand. It delineates a process wherein different aspects of the research are reflected upon, and coherence is established among them. 

A conceptual framework is an underrated methodological approach that should be paid attention to before embarking on a research journey in any field, be it science, finance, history, psychology, etc. 

A conceptual framework sets forth the standards to define a research question and find appropriate, meaningful answers for the same. It connects the theories, assumptions, beliefs, and concepts behind your research and presents them in a pictorial, graphical, or narrative format. Your conceptual framework establishes a link between the dependent and independent variables, factors, and other ideologies affecting the structure of your research.

A critical facet a conceptual framework unveils is the relationship the researchers have with their research. It closely highlights the factors that play an instrumental role in decision-making, variable selection, data collection, assessment of results, and formulation of new theories.

Consequently, if you, the researcher, are at the forefront of your research battlefield, your conceptual framework is the most powerful arsenal in your pocket.

What should be included in a conceptual framework?

A conceptual framework includes the key process parameters, defining variables, and cause-and-effect relationships. To add to this, the primary focus while developing a conceptual framework should remain on the quality of questions being raised and addressed through the framework. This will not only ease the process of initiation, but also enable you to draw meaningful conclusions from the same. 

A practical and advantageous approach involves selecting models and analyzing literature that is unconventional and not directly related to the topic. This helps the researcher design an illustrative framework that is multidisciplinary and simultaneously looks at a diverse range of phenomena. It also emboldens the roots of exploratory research. 

Fig. 1: Components of a conceptual framework

How to make a conceptual framework

The successful design of a conceptual framework includes:

• Selecting the appropriate research questions
• Defining the process variables (dependent, independent, and others)
• Determining the cause-and-effect relationships

This analytical tool begins with defining the most suitable set of questions that the research wishes to answer upon its conclusion. Following this, the different variety of variables is categorized. Lastly, the collected data is subjected to rigorous data analysis. Final results are compiled to establish links between the variables. 

The variables drawn inside frames impact the overall quality of the research. If the framework involves arrows, it suggests correlational linkages among the variables. Lines, on the other hand, suggest that no significant correlation exists among them. Henceforth, the utilization of lines and arrows should be done taking into cognizance the meaning they both imply.

Example of a conceptual framework

To provide an idea about a conceptual framework, let’s examine the example of drug development research. 

Say a new drug moiety A has to be launched in the market. For that, the baseline research begins with selecting the appropriate drug molecule. This is important because it:

• Provides the data for molecular docking studies to identify suitable target proteins
• Performs in vitro (a process taking place outside a living organism) and in vivo (a process taking place inside a living organism) analyzes

This assists in the screening of the molecules and a final selection leading to the most suitable target molecule. In this case, the choice of the drug molecule is an independent variable whereas, all the others, targets from molecular docking studies, and results from in vitro and in vivo analyses are dependent variables.

The outcomes revealed by the studies might be coherent or incoherent with the literature. In any case, an accurately designed conceptual framework will efficiently establish the cause-and-effect relationship and explain both perspectives satisfactorily.

If A has been chosen to be launched in the market, the conceptual framework will point towards the factors that have led to its selection. If A does not make it to the market, the key elements which did not work in its favor can be pinpointed by an accurate analysis of the conceptual framework.

Fig. 2: Concise example of a conceptual framework

Important takeaways

While conceptual frameworks are a great way of designing the research protocol, they might consist of some unforeseen loopholes. A review of the literature can sometimes provide a false impression of the collection of work done worldwide while in actuality, there might be research that is being undertaken on the same topic but is still under publication or review. Strong conceptual frameworks, therefore, are designed when all these aspects are taken into consideration and the researchers indulge in discussions with others working on similar grounds of research.

Conceptual frameworks may also sometimes lead to collecting and reviewing data that is not so relevant to the current research topic. The researchers must always be on the lookout for studies that are highly relevant to their topic of work and will be of impact if taken into consideration. 

Another common practice associated with conceptual frameworks is their classification as merely descriptive qualitative tools and not actually a concrete build-up of ideas and critically analyzed literature and data which it is, in reality. Ideal conceptual frameworks always bring out their own set of new ideas after analysis of literature rather than simply depending on facts being already reported by other research groups.

So, the next time you set out to construct your conceptual framework or improvise on your previous one, be wary that concepts for your research are ideas that need to be worked upon. They are not simply a collection of literature from the previous research.

Final thoughts

Research is witnessing a boom in the methodical approaches being applied to it nowadays. In contrast to conventional research, researchers today are always looking for better techniques and methods to improve the quality of their research. 

We strongly believe in the ideals of research that are not merely academic, but all-inclusive. We strongly encourage all our readers and researchers to do work that impacts society. Designing strong conceptual frameworks is an integral part of the process. It gives headway for systematic, empirical, and fruitful research.

Vridhi Sachdeva, MPharm

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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.
• Ready to use
• Fully customizable template
• Get Started in seconds

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.

Join over thousands of organizations that use Creately to brainstorm, plan, analyze, and execute their projects successfully.

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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.

Theoretical vs Conceptual Framework

What they are & how they’re different (with examples)

By: Derek Jansen (MBA) | Reviewed By: Eunice Rautenbach (DTech) | March 2023

If you’re new to academic research, sooner or later you’re bound to run into the terms theoretical framework and conceptual framework . These are closely related but distinctly different things (despite some people using them interchangeably) and it’s important to understand what each means. In this post, we’ll unpack both theoretical and conceptual frameworks in plain language along with practical examples , so that you can approach your research with confidence.

Overview: Theoretical vs Conceptual

What is a theoretical framework, example of a theoretical framework, what is a conceptual framework, example of a conceptual framework.

• Theoretical vs conceptual: which one should I use?

A theoretical framework (also sometimes referred to as a foundation of theory) is essentially a set of concepts, definitions, and propositions that together form a structured, comprehensive view of a specific phenomenon.

In other words, a theoretical framework is a collection of existing theories, models and frameworks that provides a foundation of core knowledge – a “lay of the land”, so to speak, from which you can build a research study. For this reason, it’s usually presented fairly early within the literature review section of a dissertation, thesis or research paper .

Let’s look at an example to make the theoretical framework a little more tangible.

If your research aims involve understanding what factors contributed toward people trusting investment brokers, you’d need to first lay down some theory so that it’s crystal clear what exactly you mean by this. For example, you would need to define what you mean by “trust”, as there are many potential definitions of this concept. The same would be true for any other constructs or variables of interest.

You’d also need to identify what existing theories have to say in relation to your research aim. In this case, you could discuss some of the key literature in relation to organisational trust. A quick search on Google Scholar using some well-considered keywords generally provides a good starting point.

Typically, you’ll present your theoretical framework in written form , although sometimes it will make sense to utilise some visuals to show how different theories relate to each other. Your theoretical framework may revolve around just one major theory , or it could comprise a collection of different interrelated theories and models. In some cases, there will be a lot to cover and in some cases, not. Regardless of size, the theoretical framework is a critical ingredient in any study.

Simply put, the theoretical framework is the core foundation of theory that you’ll build your research upon. As we’ve mentioned many times on the blog, good research is developed by standing on the shoulders of giants . It’s extremely unlikely that your research topic will be completely novel and that there’ll be absolutely no existing theory that relates to it. If that’s the case, the most likely explanation is that you just haven’t reviewed enough literature yet! So, make sure that you take the time to review and digest the seminal sources.

Need a helping hand?

A conceptual framework is typically a visual representation (although it can also be written out) of the expected relationships and connections between various concepts, constructs or variables. In other words, a conceptual framework visualises how the researcher views and organises the various concepts and variables within their study. This is typically based on aspects drawn from the theoretical framework, so there is a relationship between the two.

Quite commonly, conceptual frameworks are used to visualise the potential causal relationships and pathways that the researcher expects to find, based on their understanding of both the theoretical literature and the existing empirical research . Therefore, the conceptual framework is often used to develop research questions and hypotheses .

Let’s look at an example of a conceptual framework to make it a little more tangible. You’ll notice that in this specific conceptual framework, the hypotheses are integrated into the visual, helping to connect the rest of the document to the framework.

As you can see, conceptual frameworks often make use of different shapes , lines and arrows to visualise the connections and relationships between different components and/or variables. Ultimately, the conceptual framework provides an opportunity for you to make explicit your understanding of how everything is connected . So, be sure to make use of all the visual aids you can – clean design, well-considered colours and concise text are your friends.

Theoretical framework vs conceptual framework

As you can see, the theoretical framework and the conceptual framework are closely related concepts, but they differ in terms of focus and purpose. The theoretical framework is used to lay down a foundation of theory on which your study will be built, whereas the conceptual framework visualises what you anticipate the relationships between concepts, constructs and variables may be, based on your understanding of the existing literature and the specific context and focus of your research. In other words, they’re different tools for different jobs , but they’re neighbours in the toolbox.

Naturally, the theoretical framework and the conceptual framework are not mutually exclusive . In fact, it’s quite likely that you’ll include both in your dissertation or thesis, especially if your research aims involve investigating relationships between variables. Of course, every research project is different and universities differ in terms of their expectations for dissertations and theses, so it’s always a good idea to have a look at past projects to get a feel for what the norms and expectations are at your specific institution.

Want to learn more about research terminology, methods and techniques? Be sure to check out the rest of the Grad Coach blog . Alternatively, if you’re looking for hands-on help, have a look at our private coaching service , where we hold your hand through the research process, step by step.

Psst... there’s more!

This post was based on one of our popular Research Bootcamps . If you're working on a research project, you'll definitely want to check this out ...

21 Comments

Thank you for giving a valuable lesson

good thanks!

VERY INSIGHTFUL

thanks for given very interested understand about both theoritical and conceptual framework

I am researching teacher beliefs about inclusive education but not using a theoretical framework just conceptual frame using teacher beliefs, inclusive education and inclusive practices as my concepts

good, fantastic

great! thanks for the clarification. I am planning to use both for my implementation evaluation of EmONC service at primary health care facility level. its theoretical foundation rooted from the principles of implementation science.

This is a good one…now have a better understanding of Theoretical and Conceptual frameworks. Highly grateful

Very educating and fantastic,good to be part of you guys,I appreciate your enlightened concern.

Thanks for shedding light on these two t opics. Much clearer in my head now.

Simple and clear!

The differences between the two topics was well explained, thank you very much!

Thank you great insight

Superb. Thank you so much.

Hello Gradcoach! I’m excited with your fantastic educational videos which mainly focused on all over research process. I’m a student, I kindly ask and need your support. So, if it’s possible please send me the PDF format of all topic provided here, I put my email below, thank you!

I am really grateful I found this website. This is very helpful for an MPA student like myself.

I’m clear with these two terminologies now. Useful information. I appreciate it. Thank you

I’m well inform about these two concepts in research. Thanks

I found this really helpful. It is well explained. Thank you.

very clear and useful. information important at start of research!!

Wow, great information, clear and concise review of the differences between theoretical and conceptual frameworks. Thank you! keep up the good work.

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• Writing Tips

How to Make a Conceptual Framework

• 6-minute read
• 2nd January 2022

What is a conceptual framework? And why is it important?

A conceptual framework illustrates the relationship between the variables of a research question. It’s an outline of what you’d expect to find in a research project.

Conceptual frameworks should be constructed before data collection and are vital because they map out the actions needed in the study. This should be the first step of an undergraduate or graduate research project.

What Is In a Conceptual Framework?

In a conceptual framework, you’ll find a visual representation of the key concepts and relationships that are central to a research study or project . This can be in form of a diagram, flow chart, or any other visual representation. Overall, a conceptual framework serves as a guide for understanding the problem being studied and the methods being used to investigate it.

Steps to Developing the Perfect Conceptual Framework

• Pick a question
• Conduct a literature review
• Identify your variables
• Create your conceptual framework

1. Pick a Question

You should already have some idea of the broad area of your research project. Try to narrow down your research field to a manageable topic in terms of time and resources. From there, you need to formulate your research question. A research question answers the researcher’s query: “What do I want to know about my topic?” Research questions should be focused, concise, arguable and, ideally, should address a topic of importance within your field of research.

An example of a simple research question is: “What is the relationship between sunny days and ice cream sales?”

2. Conduct a Literature Review

A literature review is an analysis of the scholarly publications on a chosen topic. To undertake a literature review, search for articles with the same theme as your research question. Choose updated and relevant articles to analyze and use peer-reviewed and well-respected journals whenever possible.

For the above example, the literature review would investigate publications that discuss how ice cream sales are affected by the weather. The literature review should reveal the variables involved and any current hypotheses about this relationship.

3. Identify Your Variables

There are two key variables in every experiment: independent and dependent variables.

Independent Variables

The independent variable (otherwise known as the predictor or explanatory variable) is the expected cause of the experiment: what the scientist changes or changes on its own. In our example, the independent variable would be “the number of sunny days.”

Dependent Variables

The dependent variable (otherwise known as the response or outcome variable) is the expected effect of the experiment: what is being studied or measured. In our example, the dependent variable would be “the quantity of ice cream sold.”

Next, there are control variables.

Control Variables

A control variable is a variable that may impact the dependent variable but whose effects are not going to be measured in the research project. In our example, a control variable could be “the socioeconomic status of participants.” Control variables should be kept constant to isolate the effects of the other variables in the experiment.

Finally, there are intervening and extraneous variables.

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Intervening Variables

Intervening variables link the independent and dependent variables and clarify their connection. In our example, an intervening variable could be “temperature.”

Extraneous Variables

Extraneous variables are any variables that are not being investigated but could impact the outcomes of the study. Some instances of extraneous variables for our example would be “the average price of ice cream” or “the number of varieties of ice cream available.” If you control an extraneous variable, it becomes a control variable.

4. Create Your Conceptual Framework

Having picked your research question, undertaken a literature review, and identified the relevant variables, it’s now time to construct your conceptual framework. Conceptual frameworks are clear and often visual representations of the relationships between variables.

We’ll start with the basics: the independent and dependent variables.

Our hypothesis is that the quantity of ice cream sold directly depends on the number of sunny days; hence, there is a cause-and-effect relationship between the independent variable (the number of sunny days) and the dependent and independent variable (the quantity of ice cream sold).

Next, introduce a control variable. Remember, this is anything that might directly affect the dependent variable but is not being measured in the experiment:

Finally, introduce the intervening and extraneous variables. 

The intervening variable (temperature) clarifies the relationship between the independent variable (the number of sunny days) and the dependent variable (the quantity of ice cream sold). Extraneous variables, such as the average price of ice cream, are variables that are not controlled and can potentially impact the dependent variable.

Are Conceptual Frameworks and Research Paradigms the Same?

In simple terms, the research paradigm is what informs your conceptual framework. In defining our research paradigm we ask the big questions—Is there an objective truth and how can we understand it? If we decide the answer is yes, we may be working with a positivist research paradigm and will choose to build a conceptual framework that displays the relationship between fixed variables. If not, we may be working with a constructivist research paradigm, and thus our conceptual framework will be more of a loose amalgamation of ideas, theories, and themes (a qualitative study). If this is confusing–don’t worry! We have an excellent blog post explaining research paradigms in more detail.

Where is the Conceptual Framework Located in a Thesis?

This will depend on your discipline, research type, and school’s guidelines, but most papers will include a section presenting the conceptual framework in the introduction, literature review, or opening chapter. It’s best to present your conceptual framework after presenting your research question, but before outlining your methodology.

Can a Conceptual Framework be Used in a Qualitative Study?

Yes. Despite being less clear-cut than a quantitative study, all studies should present some form of a conceptual framework. Let’s say you were doing a study on care home practices and happiness, and you came across a “happiness model” constructed by a relevant theorist in your literature review. Your conceptual framework could be an outline or a visual depiction of how you will use this model to collect and interpret qualitative data for your own study (such as interview responses). Check out this useful resource showing other examples of conceptual frameworks for qualitative studies .

Expert Proofreading for Researchers

Whether you’re a seasoned academic or not, you will want your research paper to be error-free and fluently written. That’s where proofreading comes in. Our editors are on hand 24 hours a day to ensure your writing is concise, clear, and precise. Submit a free sample of your writing today to try our services.

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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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• Section 1: Home
• Narrowing Your Topic
• Problem Statement
• Purpose Statement

Defining The Conceptual Framework

Making a conceptual framework, conceptual framework for dmft students, conceptual framework guide, example frameworks, additional framework resources.

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What is it?

• The researcher’s understanding/hypothesis/exploration of either an existing framework/model or how existing concepts come together to inform a particular problem. Shows the reader how different elements come together to facilitate research and a clear understanding of results.
• Informs the research questions/methodology (problem statement drives framework drives RQs drives methodology)
• A tool (linked concepts) to help facilitate the understanding of the relationship among concepts or variables in relation to the real-world. Each concept is linked to frame the project in question.
• Falls inside of a larger theoretical framework (theoretical framework = explains the why and how of a particular phenomenon within a particular body of literature).
• Can be a graphic or a narrative – but should always be explained and cited
• Can be made up of theories and concepts

What does it do?

• Explains or predicts the way key concepts/variables will come together to inform the problem/phenomenon
• Gives the study direction/parameters
• Helps the researcher organize ideas and clarify concepts
• Introduces your research and how it will advance your field of practice. A conceptual framework should include concepts applicable to the field of study. These can be in the field or neighboring fields – as long as important details are captured and the framework is relevant to the problem. (alignment)

What should be in it?

• Variables, concepts, theories, and/or parts of other existing frameworks

How to make a conceptual framework

• With a topic in mind, go to the body of literature and start identifying the key concepts used by other studies. Figure out what’s been done by other researchers, and what needs to be done (either find a specific call to action outlined in the literature or make sure your proposed problem has yet to be studied in your specific setting). Use what you find needs to be done to either support a pre-identified problem or craft a general problem for study. Only rely on scholarly sources for this part of your research.
• Begin to pull out variables, concepts, theories, and existing frameworks explained in the relevant literature.
• If you’re building a framework, start thinking about how some of those variables, concepts, theories, and facets of existing frameworks come together to shape your problem. The problem could be a situational condition that requires a scholar-practitioner approach, the result of a practical need, or an opportunity to further an applicational study, project, or research. Remember, if the answer to your specific problem exists, you don’t need to conduct the study.
• The actionable research you’d like to conduct will help shape what you include in your framework. Sketch the flow of your Applied Doctoral Project from start to finish and decide which variables are truly the best fit for your research.
• Create a graphic representation of your framework (this part is optional, but often helps readers understand the flow of your research) Even if you do a graphic, first write out how the variables could influence your Applied Doctoral Project and introduce your methodology. Remember to use APA formatting in separating the sections of your framework to create a clear understanding of the framework for your reader.
• As you move through your study, you may need to revise your framework.
• Note for qualitative/quantitative research: If doing qualitative, make sure your framework doesn’t include arrow lines, which could imply causal or correlational linkages.
• Conceptural and Theoretical Framework for DMFT Students This document is specific to DMFT students working on a conceptual or theoretical framework for their applied project.
• Conceptual Framework Guide Use this guide to determine the guiding framework for your applied dissertation research.

Let’s say I’ve just taken a job as manager of a failing restaurant. Throughout the first week, I notice the few customers they have are leaving unsatisfied. I need to figure out why and turn the establishment into a thriving restaurant. I get permission from the owner to do a study to figure out exactly what we need to do to raise levels of customer satisfaction. Since I have a specific problem and want to make sure my research produces valid results, I go to the literature to find out what others are finding about customer satisfaction in the food service industry. This particular restaurant is vegan focused – and my search of the literature doesn’t say anything specific about how to increase customer service in a vegan atmosphere, so I know this research needs to be done.

I find out there are different types of satisfaction across other genres of the food service industry, and the one I’m interested in is cumulative customer satisfaction. I then decide based on what I’m seeing in the literature that my definition of customer satisfaction is the way perception, evaluation, and psychological reaction to perception and evaluation of both tangible and intangible elements of the dining experience come together to inform customer expectations. Essentially, customer expectations inform customer satisfaction.

I then find across the literature many variables could be significant in determining customer satisfaction. Because the following keep appearing, they are the ones I choose to include in my framework: price, service, branding (branched out to include physical environment and promotion), and taste. I also learn by reading the literature, satisfaction can vary between genders – so I want to make sure to also collect demographic information in my survey. Gender, age, profession, and number of children are a few demographic variables I understand would be helpful to include based on my extensive literature review.

Note: this is a quantitative study. I’m including all variables in this study, and the variables I am testing are my independent variables. Here I’m working to see how each of the independent variables influences (or not) my dependent variable, customer satisfaction. If you are interested in qualitative study, read on for an example of how to make the same framework qualitative in nature.

Also note: when you create your framework, you’ll need to cite each facet of your framework. Tell the reader where you got everything you’re including. Not only is it in compliance with APA formatting, but also it raises your credibility as a researcher. Once you’ve built the narrative around your framework, you may also want to create a visual for your reader.

See below for one example of how to illustrate your framework:

If you’re interested in a qualitative study, be sure to omit arrows and other notations inferring statistical analysis. The only time it would be inappropriate to include a framework in qualitative study is in a grounded theory study, which is not something you’ll do in an applied doctoral study.

A visual example of a qualitative framework is below:

Some additional helpful resources in constructing a conceptual framework for study:

• Problem Statement, Conceptual Framework, and Research Question. McGaghie, W. C.; Bordage, G.; and J. A. Shea (2001). Problem Statement, Conceptual Framework, and Research Question. Retrieved on January 5, 2015 from http://goo.gl/qLIUFg
• Building a Conceptual Framework: Philosophy, Definitions, and Procedure
• https://www.scribbr.com/dissertation/conceptual-framework/
• https://www.projectguru.in/developing-conceptual-framework-in-a-research-paper/

Conceptual Framework Research

A conceptual framework is a synthetization of interrelated components and variables which help in solving a real-world problem. It is the final lens used for viewing the deductive resolution of an identified issue (Imenda, 2014). The development of a conceptual framework begins with a deductive assumption that a problem exists, and the application of processes, procedures, functional approach, models, or theory may be used for problem resolution (Zackoff et al., 2019). The application of theory in traditional theoretical research is to understand, explain, and predict phenomena (Swanson, 2013). In applied research the application of theory in problem solving focuses on how theory in conjunction with practice (applied action) and procedures (functional approach) frames vision, thinking, and action towards problem resolution. The inclusion of theory in a conceptual framework is not focused on validation or devaluation of applied theories. A concise way of viewing the conceptual framework is a list of understood fact-based conditions that presents the researcher’s prescribed thinking for solving the identified problem. These conditions provide a methodological rationale of interrelated ideas and approaches for beginning, executing, and defining the outcome of problem resolution efforts (Leshem & Trafford, 2007).

The term conceptual framework and theoretical framework are often and erroneously used interchangeably (Grant & Osanloo, 2014). Just as with traditional research, a theory does not or cannot be expected to explain all phenomenal conditions, a conceptual framework is not a random identification of disparate ideas meant to incase a problem. Instead it is a means of identifying and constructing for the researcher and reader alike an epistemological mindset and a functional worldview approach to the identified problem.

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

Imenda, S. (2014). Is There a Conceptual Difference between Theoretical and Conceptual Frameworks? Sosyal Bilimler Dergisi/Journal of Social Sciences, 38(2), 185.

Leshem, S., & Trafford, V. (2007). Overlooking the conceptual framework. Innovations in Education & Teaching International, 44(1), 93–105. https://doi-org.proxy1.ncu.edu/10.1080/14703290601081407

Swanson, R. (2013). Theory building in applied disciplines . San Francisco: Berrett-Koehler Publishers.

Zackoff, M. W., Real, F. J., Klein, M. D., Abramson, E. L., Li, S.-T. T., & Gusic, M. E. (2019). Enhancing Educational Scholarship Through Conceptual Frameworks: A Challenge and Roadmap for Medical Educators . Academic Pediatrics, 19(2), 135–141. https://doi-org.proxy1.ncu.edu/10.1016/j.acap.2018.08.003

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Conceptual Models and Theories

Developing a research framework.

Premkumar, Beulah M.Sc (N)., M.Phil * ; David, Shirley M.Sc (N)., Ph.D (N) ** ; Ravindran, Vinitha M.Sc (N)., Ph.D (N) ***

* Professor, College of Nursing, CMC, Vettore

** Professor, College of Nursing, CMC, Vettore

*** Professor, College of Nursing, CMC, Vettore

Conceptual models and theories provide structure for research. Research without a theoretical base provides isolated information which may not be used or applied effectively. The challenge for nurse researchers is to identify a model or theory that would a best fit for their area of study interest. In this research series article the authors unravel the simple steps that can be followed in identifying, choosing, and applying the constructs and concepts in the models or theories to develop a research framework. A research framework guides the researcher in developing research questions, refining their hypotheses, selecting interventions, defining and measuring variables. Roy's adaptation model and a study intending to assess the effectiveness of grief counseling on adaptation to spousal loss are used as an example in this article to depict the theory- research congruence.

Introduction

The history of professional Nursing started with Florence Nightingale who envisioned nurses as a knowledgeable force who can bring positive changes in health care delivery (Alligood, 2014). It was 100 years later, during 1950s, a need to develop nursing knowledge apart from medical knowledge was felt to guide nursing practice. This beginning led to the awareness of the need to develop nursing theories (Alligood, 2010). Until then, nursing practice was based on principles and traditions that were handed down through apprenticeship model of education and individual hospital procedure manuals. It reflected the vocational heritage more than a professional vision. This transition from vocation to profession involves successive eras of history in nursing: the curriculum era, research emphasis era, research era, graduate education era, and the theory era (Alligood, 2014).

The theory era was a natural outcome of research era and graduate education era, where an understanding oí research and knowledge development increased. It became obvious that research without conceptual and theoretical framework produced isolated information. This awareness and acceptance paved way to another era, the theory utilization era, which placed emphasis on theory application in nursing practice, education, administration, and research (Alligood, 2014). Conceptual models and theories are structures that provide nurses with a perspective of the patient and the professional practice. Conceptual models provide structure for a phenomenon, direct thinking, observations, and interpretations and further provide direction for actions (Fawcett & Desanto-Madeya, 2005). In research, a framework is the underpinning of the study and if a framework is based on a theory it is called as theoretica framework and if it represents a conceptual model then it is generally called the conceptual framework. More often it is known as a research framework. However the terms conceptual framework, conceptual model theoretica framework, and research framework are often usee interchangeably (Polit & Beck, 2014).

Definitions of Terminologies

When nurse researchers are making decisions about theories and models for their study, it is important to understand the definitions of different related terminology. According Grove, Burns and Gray (2013) conceptual models are examples of grand theories and are highly abstract with related constructs. “A conceptual model broadly explains phenomenon of interest, expresses assumption, and reflects a philosophical stance” (Grove et al., 2013). A conceptual model is an image of a phenomenon. A theory in contrast represents a set of defined concepts that offers a systematic explanation about how two or more concepts are interrelated. Theories can be used to describe, explain, predict, or control the phenomenon that is of interest to a researcher (Grove et al., 2013).

Constructs are abstract descriptions of a phenomenon or the experiences or the contextual factors. Concepts are the terms or names given to a phenomena or idea or an object and are often considered as the building blocks of a theory (Grove et al., 2013). Many conceptual models are made of constructs. Concepts are derived from constructs or vice versa. For example, in the Transactional model of Stress and Coping by Lazarus and Folkman (1984) the constructs included are stressors, mediating processes, moderators and the outcomes. The examples of related concepts to these constructs are shown in Figure 1 .

Conceptual Framework in Research

Conceptual models and theories serve as the foundation on which a study can be developed or as a map to aid in the design of the study (Fawcett, 1989). When concepts related to the study are integrated and formulated into a workable model for the specific study it is generally known as a research framework (Grove, Gray & Burns, 2015). When concepts or constructs in the models or theory are converted into measurable terms they are known as variables (Grove et al., 2013). According to the purposes explicated by Sharma (2014) and Polit and Beck (2014) the use of conceptual/research framework m research can be summarized as follows:

• - It provides a structure for the study which helps the researcher to organize the process of investigation
• - It helps in formulating hypothesis, developing a research question and defining the variables
• - It guides development, use, and testing of interventions and selection of data collection instruments
• - It provides direction for explaining the study results and situate the findings in the gaps identified in the literature

Nurse researchers regularly select and use conceptual frameworks for carrying out their studies. Conceptual models and theories explicitly or implicitly guide research (Radwin & Fawcett, 2002). Researchers use both nursing and non- nursing models to provide a framework for their studies. There are however, two challenges for researchers and students in relation to using conceptual frameworks in their investigations. The first is to identify the conceptual model or a theory that will be the best fit and will be useful in guiding their research and the second is to incorporate and clearly articulate the model in relation to their study variables, interventions and the outcomes to convert it into their research framework (Radwin & Fawcett, 2002). A few essential steps need to be followed to choose a conceptual model and to incorporate it into the individual studies. Let us consider the steps with an example of a study intending “ to assess the effectiveness of grief counseling intervention in helping individuals cope and adapt after the loss of their spouse”.

1. The Purpose of the Study

The choice of conceptual model to guide the research first and foremost depends on the purpose of one's research. It can be educating staff/patient/families, improving academic and clinical teaching, changing practice by translating research evidence into practice, implementing a quality improvement strategy, encouraging behavior change, supporting individuals during crisis, assisting to cope etc. The researcher should look for a model or a theory that addresses similar purpose. It would be useful to identify and select the key concept in which the researcher is interested in at this stage (Sharma, 2014). In the example mentioned above the key concept of interest is ‘adaptation’ after a loss which is a traumatic life event.

2. Study Variables

The second step is to identify general variables that are included or may be included in the study. The variables are related to the constructs/concepts of interest in the study. The concepts and variables may be based on previous research findings, experiential knowledge or hunches and intuitions (Sharma, 2014). In the adaptation to spousal loss study in addition to the main concept of adaptation, other variables such as grief, coping, quality of life, and demographic and social factors that may influence adaptation may be included in the objectives.

3. Gathering Relevant Information

Once the researcher has identified the concepts and variables of interest, the next step involves in-depth study of existing models and theories to gather information about the relevant concepts and variables. The researcher can quickly skim through the literature to seek a few models that relate to the concepts and variables of interest in the study. The researcher must then read about them from primary sources to obtain comprehensive evidence about each model or theory (Sharma, 2014). When choosing a model for the study the researcher needs to analyze and evaluate the models she /he considers to understand its most important features (Fawcett, 1989). Some questions that need to be asked are: What is the historical evolution of the model? What methods are indicated for nursing knowledge development? What are the assumptions listed? How are the concepts person, environment, health, and nursing defined? How are these metaparadigm concepts linked and how is nursing process described? What is the major area of concern in the care identified in the model?

The researcher's previous experience and knowledge about theories and models greatly assist in quick decisions on choosing a model that would best fit their study purpose. Nurse researchers who have an interdisciplinary knowledge and experience may choose an overarching model or theory to develop their research framework for their study. It is the novice researchers who often find it difficult to decide on a model and have confusions regarding explicating their research framework. The above listed questions, if carefully considered will help them in choosing an appropriate model. Once a theory or conceptual model is identified the researcher need to studv it in-depth to understand each concent and propositions so that it can appropriately be integrated into the study (Sharma, 2014).

In the study example in this paper the researcher intends to assess how people adjust after the death of their spouse and how grief counseling will help in their adjustment to life after their loss. As the process of interest, as indicated already, is adaptation to traumatic life event, adaptation model that is purported by Sr. Callista Roy (1976) is chosen as the best fit as Roy's adaptation model focuses on how individuals cope after a stimuli and manifest adaptive behaviors (see Figure 2 ).

4. Understanding the Premises and Principles of the Selected Model: Roy's Conceptual Model

Once a model that is relevant to the study is selected the underlying premises and philosophy of the model or theory have to be explicated. The definitions of the concepts in the model have to be understood to enable the researcher to formulate her/his study framework which can be integrated with the chosen model (Mock et al., 2007). An in-depth review of literature on how the conceptual model was developed and refined, background information about the theorist or author, and the definitions of concepts included in the model is mandatory to examine how the researcher's study can be designed and executed. In Roy's adaptation model (Fawcett, 1989), Roy considers human being as an open system who is in constant interaction with the environment. She explains health as a process of being or becoming an integrated whole person. The goal of nursing is to assist individuals in positively adapting to environmental changes or what she terms ‘stimuli’. Three types of stimuli are explained in the model: 1. ‘Focal’ which is the life event itself, 2. ‘contextual’ which are the factors associated and contributing to or opposing the stimuli and 3.‘residual’ which are present innately which may not be altered, explained, or reasoned. The adaptation occurs through coping process at the regulator and cognator subsystem levels. The regulator subsystem refers to the automatic response that occurs naturally in the chemical, neural, and endocrine systems. The cognator subsystem respond through four cognitive emotional channels: perceptual and information processing, learning, judgment, and emotion. Adaptation in Roy's model is explained as conscious choice of individuals to create successful human and environmental integration which can be manifested as integrated adaptation in four adaptive behavioural modes. The four adaptive modes are the physical/physiological, self-concept, role functioning, and interdependence. If integrated adaptation did not happen it can result in compensatory or compromised adaptation.

5. Finalizing the Study Design, Variables, Tool, and Intervention

In a nursing theory or a conceptual model how a theorist defines nursing action and what is expected as outcomes helps the researcher to choose the research design and intervention (Mock et al., 2007). Further the concepts in the model guides the researcher to choose variables that would be of interest to nursing. In Roy's adaptation theory, nursing assessment and interventions that promote adaption is purported. On the basis of this premise the investigator can choose a specific intervention that would enhance integrated adaptation of an individual after a crisis (stimuli). The investigator then can measure whether the intervention has been effective in promoting adaptation by looking at the four modes of adaptive behavior (physical/physiological, self- concept, role functioning, and interdependence). The congruence of the constructs of Roy's adaptation model and the study variables is depicted in Figure 3 .

In the example being discussed the focal stimuli is the death of a spouse. The contextual stimuli are the grief reaction, social and spiritual support systems available for the person who has experienced loss and her or his economic status. The residual stimuli include variables such as the age, gender, years spent with spouse, race, or ethnic background. The researcher has chosen grief counseling as the intervention in the study. This is based on Roy's model which explains that when interventions are aimed at how contextual stimuli can be addressed it will result in better coping process and this will facilitate adaptation (Fawcett, 1989). When choosing the intervention it is vital to know that there is established evidence for the intervention (Mock et al., 2007). In this study grief counseling is chosen because of its established evidence on the effect on person's adjustment (Neimeyer & Currier, 2009). Other variables which relate to the adaptation model include coping with grief and the outcome variables as adaptive behaviours in physiological, interpersonal, role functioning, and self-concept domains (see Figure 3 ).

Once there is clarity about the variables of interest and the intervention, it becomes relatively simpler to decide on the study design and the instruments/tools which can be used to measure the variables. As shown in Figure 4 , the contextual variables can be measured using a socio-demographic data profile. Grief which is another contextual stimuli will be measured by the grief scale (Fireman, 2010). The grief scale measures the thoughts, feelings, and behaviours of people who are in the grieving process after a loss. A part of the demographic profile will measure the influence of the residual variables. The intervention which is the grief counseling will be administered by the researcher who has had special training in this method of counseling. How individuals cope to loss can be measured by the Ways of Coping Scale (Folkman & Lazarus, 1988). This scale consists of coping in eight domains namely problem focused coping, wishful thinking, distancing, seeking social support emphasizing the positive, self-blame, tension reduction, and self-isolation. The coping and the adaptation behaviors may be measured using the “Coping and Adaptation Processing Scale” (CAPS Short form, 2015) which is developed by Roy herself. CAPS is a tool which can be used to measure coping and adaptation in people suffering with chronic or acute health issues and can be used when the stimuli is an acute loss.

As the researcher intends to use grief counseling as an intervention, the research design will be an experimental design and the coping and adaptation process can be measured prior to and after the counseling sessions using both ways of coping and CAPS scales. As there may not be adequate number of samples available to represent the phenomenon of interest the study can be designed as a one group pretest posttest quasi experimental design instead a true experimental design with a control group. The research framework that is developed from the adaptation model may be modified as follows based on the research design (see Figure 4 ).

6. Using the Research Framework for Analysis and Interpretation of the Results

The framework that is developed for the study can guidi the analysis and will also help in interpretation of the finding The research report can easily incorporate the concepts in th(original model and also the developed framework and can b< discussed in relation to current study findings. As th(researcher's background knowledge that is gained in th(framework development process is elaborate, the concepts o: the model can guide the researcher to situate the findings wit! in the theoretical literature (Mock et al., 2007).

Choosing and applying a conceptual model or theory to develop a research frame work is a challenging but an educative process. It also involves an iterative process of moving back and forth between what is the phenomenon and variables of interest to the researcher and what and how the theorists explain and define concepts in their models. The first and foremost step to be remembered is to identify the core concept that the researcher is interested in which will pave way for searching the literature on the model that will match the researcher's interest. The researcher must understand that all variables in a given model may not be of interest to him or her or variables from more than one model may apply to the areas of interest to be studied. Both are acceptable. Researchers need to be creative in developing the research framework based on the model/models that is/are of interest. The nursing conceptual models serve as guides for articulating, reporting and recording nursing thought anc action in research. Further, the models also ultimately assist researchers in applying findings in clinical practice.

Conflicts of Interest: The authors have declared no conflicts of interest.

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conceptual model; theory; research framework; Roy's adaptation model; spousal loss; grief

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The Ultimate Guide to Qualitative Research - Part 1: The Basics

• Introduction and overview
• What is qualitative research?
• What is qualitative data?
• Examples of qualitative data
• Qualitative vs. quantitative research
• Mixed methods
• Qualitative research preparation
• Theoretical perspective
• Theoretical framework
• Literature reviews
• Research question
• Conceptual framework
• Introduction

Revisiting theoretical frameworks

Revisiting conceptual frameworks, differences between conceptual and theoretical frameworks, examples of theoretical and conceptual frameworks, developing frameworks for your study.

• Data collection
• Qualitative research methods
• Focus groups
• Observational research
• Case studies
• Ethnographical research
• Ethical considerations
• Confidentiality and privacy
• Power dynamics
• Reflexivity

Conceptual vs. theoretical framework

Theoretical and conceptual frameworks are both essential components of research, guiding and structuring the research. Although they are closely related, the conceptual and theoretical framework in any research project serve distinct purposes and have different characteristics. In this section, we provide an overview of the key differences between theoretical and conceptual frameworks.

Theoretical and conceptual frameworks are foundational components of any research study. They each play a crucial role in guiding and structuring the research, from the formation of research questions to the interpretation of results .

While both the theoretical and conceptual framework provides a structure for a study, they serve different functions and can impact the research in distinct ways depending on how they are combined. These differences might seem subtle, but they can significantly impact your research design and outcomes, which is why it is important to think through each one of them.

The theoretical framework describes the broader lens through which the researcher views the topic and guides their overall understanding and approach. It connects the theoretical perspective to the data collection and data analysis strategy and offers a structure for organizing and interpreting the collected data.

On the other hand, the conceptual framework describes in detail and connects specific concepts and variables to illustrate potential relationships between them. It serves as a guide for assessing which aspects of the data are relevant and specifying how the research question is being answered. While the theoretical framework outlines how more abstract-level theories shape the study, the conceptual framework operationalizes the empirical observations that can be connected to theory and broader understanding.

Understanding these differences is crucial when designing and conducting your research study. In this chapter, we will look deeper at the distinctions between these types of frameworks, and how they interplay in qualitative research . We aim to provide you with a solid understanding of both, allowing you to effectively utilize them in your own research.

Theoretical frameworks play a central role in research, serving as the bedrock of any investigation. This section offers a refresher on the essential elements and functions of theoretical frameworks in research.

A theoretical framework refers to existing theory, concepts, and definitions that you use to collect relevant data and offer meaningful empirical findings. Providing an overall orientation or lens, it guides your understanding of the research problem and directs your approach to data collection and analysis .

Your chosen theoretical framework directly influences your research questions and methodological choices . It contains specific theories or sets of assumptions drawn from relevant disciplines—such as sociology, psychology, or economics—that you apply to understand your research topic. These existing models and concepts are tools to help you organize and make sense of your data.

The theoretical framework also plays a key role in crafting your research questions and objectives. By determining the theories that are relevant to your research, the theoretical framework shapes the nature and direction of your study. It's essential to note, however, that the theoretical framework's role in qualitative research is not to predict outcomes. Instead, it offers a broader structure to understand and interpret your data, enabling you to situate your findings within the broader academic discourse in a way that makes your research findings meaningful to you and your research audience.

Conceptual frameworks , though related to theoretical frameworks , serve distinct functions within research. This section reexamines the characteristics and functions of conceptual frameworks to provide a better understanding of their roles in qualitative research .

A conceptual framework, in essence, is a system of concepts, assumptions, and beliefs that supports and informs your research. It outlines the specific variables or concepts you'll examine in your study and proposes relationships between them. It's more detailed and specific than a theoretical framework, acting as a contextualized guide for the collection and interpretation of empirical data.

The main role of a conceptual framework is to illustrate the presumed relationships between the variables or concepts you're investigating. These variables or concepts, which you derive from your theoretical framework, are integral to your research questions , objectives, and hypotheses . The conceptual framework shows how you theorize these concepts are related, providing a visual or narrative model of your research.

A study's own conceptual framework plays a vital role in guiding the data collection process and the subsequent analysis . The conceptual framework specifies which data you need to collect and provides a structure for interpreting and making sense of the collected data. For instance, if your conceptual framework identifies a particular variable as impacting another, your data collection and analysis will be geared towards investigating this relationship.

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Though interconnected, theoretical and conceptual frameworks have distinct roles in research and contribute differently to the research. This section will contrast the two in terms of scope, purpose, their role in the research process, and their relationship to the data analysis strategy and research question .

Scope and purpose of theoretical and conceptual frameworks

Theoretical and conceptual frameworks differ fundamentally in their scope. Theoretical frameworks provide a broad and general view of the research problem, rooted in established theories. They explain phenomena by applying a particular theoretical lens. Conceptual frameworks, on the other hand, offer a more focused view of the specific research problem. They explicitly outline the concrete concepts and variables involved in the study and the relationships between them.

While both frameworks guide the research process, they do so in different ways. Theoretical frameworks guide the overall approach to understanding the research problem by indicating the broader conversation the researcher is contributing to and shaping the research questions.

Conceptual frameworks provide a map for the study, guiding the data collection and interpretation process, including what variables or concepts to explore and how to analyze them.

Study design and data analysis

The two types of frameworks relate differently to the research question and design. The theoretical framework often inspires the research question based on previous theories' predictions or understanding about the phenomena under investigation. A conceptual framework then emerges from the research question, providing a contextualized structure for what exactly the research will explore.

Theoretical and conceptual frameworks also play distinct roles in data analysis. Theoretical frameworks provide the lens for interpreting the data, informing what kinds of themes and patterns might be relevant. Conceptual frameworks, however, present the variables concepts and variables and the relationships among them that will be analyzed. Conceptual frameworks may illustrate concepts and relationships based on previous theory, but they can also include novel concepts or relationships that stem from the particular context being studied.

Finally, the two types of frameworks relate differently to the research question and design. The theoretical framework basically differs from the conceptual framework in that it often inspires the research question based on the theories' predictions about the phenomena under investigation. A conceptual framework, on the other hand, emerges from the research question, providing a structure for investigating it.

Using case studies , we can effectively demonstrate the differences between theoretical and conceptual frameworks. Let’s take a look at some real-world examples that highlight the unique role and function of each framework within a research context.

Consider a study exploring the impact of classroom environments on student learning outcomes. The theoretical framework might be grounded in Piaget's theory of cognitive development, which offers a broad lens for understanding how students learn and process information.

Within this theoretical framework, the researcher formulates the conceptual framework. The conceptual framework identifies specific variables to study such as classroom layout, teacher-student ratio, availability of learning materials, and student performance as the dependent variable. It then outlines the expected relationships between these variables, such as proposing that a lower teacher-student ratio and well-equipped classrooms positively impact student performance.

Another study might aim to understand the factors influencing the job satisfaction of employees in a corporate setting. The theoretical framework could be based on Maslow's hierarchy of needs, interpreting job satisfaction in terms of fulfilling employees' physiological, safety, social, esteem, and self-actualization needs.

From this theoretical perspective, the researcher constructs the conceptual framework, identifying specific variables such as salary (physiological needs), job security (safety needs), teamwork (social needs), recognition (esteem needs), and career development opportunities (self-actualization needs). The conceptual framework proposes relationships among these variables and job satisfaction, such as higher salaries and more recognition being related to higher job satisfaction.

After understanding the unique roles and functions of these types of frameworks, you might ask: How do I develop them for my study? It's essential to remember that it's not a question of choosing one over the other, as both frameworks can and often do coexist within the same research project.

The choice of a theoretical and a conceptual framework often depends on the nature of your research question . If your research question is more exploratory and requires a broad understanding of the problem, a theoretical framework can provide a useful lens for interpretation. However, your conceptual framework may end up looking rather different to previous theory as you collect data and discover new concepts or relationships.

Consider the nature of your research problem as well. If you are studying a well-researched problem and there are established theories about it, using a theoretical framework to interpret your findings in light of these theories might be beneficial. But if your study explores a novel problem or aims to understand specific processes or relationships, developing a conceptual framework that maps these specific elements could prove more effective.

Your research methodology could also inform your choice. If your study is more interpretive and aims to understand people's experiences and perceptions, a theoretical framework can outline broader concepts that are relevant to approaching your study. Your conceptual framework can then shed light on the specific concepts that emerged in your data. By carefully thinking through your theoretical and conceptual frameworks, you can effectively utilize both types of frameworks in your research, ensuring a solid foundation for your study.

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Theories and Frameworks: Introduction

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.

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.

• psychology:  human development, cognition, personality, motivation
• sociology:  social change, race, class, gender
• business:  leadership, management
• health:  patient care, well-being, environment
• course textbooks
• encyclopedias and handbooks
• credible websites

Theory in doctoral research

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.

• your theory courses
• completed dissertations and doctoral studies
• the scholarly literature on your topic
• Keep a list of theories and take notes on how and why they were used.
• Identify and learn more about relevant theories.
• Locate influential and seminal works  related to those theories.
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How To Make Conceptual Framework (With Examples and Templates)

We all know that a research paper has plenty of concepts involved. However, a great deal of concepts makes your study confusing.

A conceptual framework ensures that the concepts of your study are organized and presented comprehensively. Let this article guide you on how to make the conceptual framework of your study.

Related: How to Write a Concept Paper for Academic Research

Table of Contents

At a glance: free conceptual framework templates.

Too busy to create a conceptual framework from scratch? No problem. We’ve created templates for each conceptual framework so you can start on the right foot. All you need to do is enter the details of the variables. Feel free to modify the design according to your needs. Please read the main article below to learn more about the conceptual framework.

Conceptual Framework Template #1: Independent-Dependent Variable Model

Conceptual framework template #2: input-process-output (ipo) model, conceptual framework template #3: concept map, what is a conceptual framework.

A conceptual framework shows the relationship between the variables of your study.  It includes a visual diagram or a model that summarizes the concepts of your study and a narrative explanation of the model presented.

Why Should Research Be Given a Conceptual Framework?

Imagine your study as a long journey with the research result as the destination. You don’t want to get lost in your journey because of the complicated concepts. This is why you need to have a guide. The conceptual framework keeps you on track by presenting and simplifying the relationship between the variables. This is usually done through the use of illustrations that are supported by a written interpretation.

Also, people who will read your research must have a clear guide to the variables in your study and where the research is heading. By looking at the conceptual framework, the readers can get the gist of the research concepts without reading the entire study. 

Related: How to Write Significance of the Study (with Examples)

What Is the Difference Between Conceptual Framework and Theoretical Framework?

Both of them show concepts and ideas of your study. The theoretical framework presents the theories, rules, and principles that serve as the basis of the research. Thus, the theoretical framework presents broad concepts related to your study. On the other hand, the conceptual framework shows a specific approach derived from the theoretical framework. It provides particular variables and shows how these variables are related.

Let’s say your research is about the Effects of Social Media on the Political Literacy of College Students. You may include some theories related to political literacy, such as this paper, in your theoretical framework. Based on this paper, political participation and awareness determine political literacy.

For the conceptual framework, you may state that the specific form of political participation and awareness you will use for the study is the engagement of college students on political issues on social media. Then, through a diagram and narrative explanation, you can show that using social media affects the political literacy of college students.

What Are the Different Types of Conceptual Frameworks?

The conceptual framework has different types based on how the research concepts are organized 1 .

1. Taxonomy

In this type of conceptual framework, the phenomena of your study are grouped into categories without presenting the relationship among them. The point of this conceptual framework is to distinguish the categories from one another.

2. Visual Presentation

In this conceptual framework, the relationship between the phenomena and variables of your study is presented. Using this conceptual framework implies that your research provides empirical evidence to prove the relationship between variables. This is the type of conceptual framework that is usually used in research studies.

3. Mathematical Description

In this conceptual framework, the relationship between phenomena and variables of your study is described using mathematical formulas. Also, the extent of the relationship between these variables is presented with specific quantities.

How To Make Conceptual Framework: 4 Steps

1. identify the important variables of your study.

There are two essential variables that you must identify in your study: the independent and the dependent variables.

An independent variable is a variable that you can manipulate. It can affect the dependent variable. Meanwhile, the dependent variable is the resulting variable that you are measuring.

You may refer to your research question to determine your research’s independent and dependent variables.

Suppose your research question is: “Is There a Significant Relationship Between the Quantity of Organic Fertilizer Used and the Plant’s Growth Rate?” The independent variable of this study is the quantity of organic fertilizer used, while the dependent variable is the plant’s growth rate.

2. Think About How the Variables Are Related

Usually, the variables of a study have a direct relationship. If a change in one of your variables leads to a corresponding change in another, they might have this kind of relationship.

However, note that having a direct relationship between variables does not mean they already have a cause-and-effect relationship 2 . It takes statistical analysis to prove causation between variables.

Using our example earlier, the quantity of organic fertilizer may directly relate to the plant’s growth rate. However, we are not sure that the quantity of organic fertilizer is the sole reason for the plant’s growth rate changes.

3. Analyze and Determine Other Influencing Variables

Consider analyzing if other variables can affect the relationship between your independent and dependent variables 3 .

4. Create a Visual Diagram or a Model

Now that you’ve identified the variables and their relationship, you may create a visual diagram summarizing them.

Usually, shapes such as rectangles, circles, and arrows are used for the model. You may create a visual diagram or model for your conceptual framework in different ways. The three most common models are the independent-dependent variable model, the input-process-output (IPO) model, and concept maps.

a. Using the Independent-Dependent Variable Model

You may create this model by writing the independent and dependent variables inside rectangles. Then, insert a line segment between them, connecting the rectangles. This line segment indicates the direct relationship between these variables. 

Below is a visual diagram based on our example about the relationship between organic fertilizer and a plant’s growth rate. 

b. Using the Input-Process-Output (IPO) Model

If you want to emphasize your research process, the input-process-output model is the appropriate visual diagram for your conceptual framework.

To create your visual diagram using the IPO model, follow these steps:

• Determine the inputs of your study . Inputs are the variables you will use to arrive at your research result. Usually, your independent variables are also the inputs of your research. Let’s say your research is about the Level of Satisfaction of College Students Using Google Classroom as an Online Learning Platform. You may include in your inputs the profile of your respondents and the curriculum used in the online learning platform.
• Outline your research process. Using our example above, the research process should be like this: Data collection of student profiles → Administering questionnaires → Tabulation of students’ responses → Statistical data analysis.
• State the research output . Indicate what you are expecting after you conduct the research. In our example above, the research output is the assessed level of satisfaction of college students with the use of Google Classroom as an online learning platform.
• Create the model using the research’s determined input, process, and output.

Presented below is the IPO model for our example above.

c. Using Concept Maps

If you think the two models presented previously are insufficient to summarize your study’s concepts, you may use a concept map for your visual diagram.

A concept map is a helpful visual diagram if multiple variables affect one another. Let’s say your research is about Coping with the Remote Learning System: Anxiety Levels of College Students. Presented below is the concept map for the research’s conceptual framework:

5. Explain Your Conceptual Framework in Narrative Form

Provide a brief explanation of your conceptual framework. State the essential variables, their relationship, and the research outcome.

Using the same example about the relationship between organic fertilizer and the growth rate of the plant, we can come up with the following explanation to accompany the conceptual framework:

Figure 1 shows the Conceptual Framework of the study. The quantity of the organic fertilizer used is the independent variable, while the plant’s growth is the research’s dependent variable. These two variables are directly related based on the research’s empirical evidence.

Conceptual Framework in Quantitative Research

You can create your conceptual framework by following the steps discussed in the previous section. Note, however, that quantitative research has statistical analysis. Thus, you may use arrows to indicate a cause-and-effect relationship in your model. An arrow implies that your independent variable caused the changes in your dependent variable.

Usually, for quantitative research, the Input-Process-Output model is used as a visual diagram. Here is an example of a conceptual framework in quantitative research:

Research Topic : Level of Effectiveness of Corn (Zea mays) Silk Ethanol Extract as an Antioxidant

Conceptual Framework in Qualitative Research

Again, you can follow the same step-by-step guide discussed previously to create a conceptual framework for qualitative research. However, note that you should avoid using one-way arrows as they may indicate causation . Qualitative research cannot prove causation since it uses only descriptive and narrative analysis to relate variables.

Here is an example of a conceptual framework in qualitative research:

Research Topic : Lived Experiences of Medical Health Workers During Community Quarantine

Conceptual Framework Examples

Presented below are some examples of conceptual frameworks.

Research Topic : Hypoglycemic Ability of Gabi (Colocasia esculenta) Leaf Extract in the Blood Glucose Level of Swiss Mice (Mus musculus)

Figure 1 presents the Conceptual Framework of the study. The quantity of gabi leaf extract is the independent variable, while the Swiss mice’s blood glucose level is the study’s dependent variable. This study establishes a direct relationship between these variables through empirical evidence and statistical analysis . 

Research Topic : Level of Effectiveness of Using Social Media in the Political Literacy of College Students

Figure 1 shows the Conceptual Framework of the study. The input is the profile of the college students according to sex, year level, and the social media platform being used. The research process includes administering the questionnaires, tabulating students’ responses, and statistical data analysis and interpretation. The output is the effectiveness of using social media in the political literacy of college students.

Research Topic: Factors Affecting the Satisfaction Level of Community Inhabitants

Figure 1 presents a visual illustration of the factors that affect the satisfaction level of community inhabitants. As presented, environmental, societal, and economic factors influence the satisfaction level of community inhabitants. Each factor has its indicators which are considered in this study.

Tips and Warnings

• Please keep it simple. Avoid using fancy illustrations or designs when creating your conceptual framework. 
• Allot a lot of space for feedback. This is to show that your research variables or methodology might be revised based on the input from the research panel. Below is an example of a conceptual framework with a spot allotted for feedback.

Frequently Asked Questions

1. how can i create a conceptual framework in microsoft word.

First, click the Insert tab and select Shapes . You’ll see a wide range of shapes to choose from. Usually, rectangles, circles, and arrows are the shapes used for the conceptual framework. 

Next, draw your selected shape in the document.

Insert the name of the variable inside the shape. You can do this by pointing your cursor to the shape, right-clicking your mouse, selecting Add Text , and typing in the text.

Repeat the same process for the remaining variables of your study. If you need arrows to connect the different variables, you can insert one by going to the Insert tab, then Shape, and finally, Lines or Block Arrows, depending on your preferred arrow style.

2. How to explain my conceptual framework in defense?

If you have used the Independent-Dependent Variable Model in creating your conceptual framework, start by telling your research’s variables. Afterward, explain the relationship between these variables. Example: “Using statistical/descriptive analysis of the data we have collected, we are going to show how the <state your independent variable> exhibits a significant relationship to <state your dependent variable>.”

On the other hand, if you have used an Input-Process-Output Model, start by explaining the inputs of your research. Then, tell them about your research process. You may refer to the Research Methodology in Chapter 3 to accurately present your research process. Lastly, explain what your research outcome is.

Meanwhile, if you have used a concept map, ensure you understand the idea behind the illustration. Discuss how the concepts are related and highlight the research outcome.

3. In what stage of research is the conceptual framework written?

The research study’s conceptual framework is in Chapter 2, following the Review of Related Literature.

4. What is the difference between a Conceptual Framework and Literature Review?

The Conceptual Framework is a summary of the concepts of your study where the relationship of the variables is presented. On the other hand, Literature Review is a collection of published studies and literature related to your study. 

Suppose your research concerns the Hypoglycemic Ability of Gabi (Colocasia esculenta) Leaf Extract on Swiss Mice (Mus musculus). In your conceptual framework, you will create a visual diagram and a narrative explanation presenting the quantity of gabi leaf extract and the mice’s blood glucose level as your research variables. On the other hand, for the literature review, you may include this study and explain how this is related to your research topic.

5. When do I use a two-way arrow for my conceptual framework?

You will use a two-way arrow in your conceptual framework if the variables of your study are interdependent. If variable A affects variable B and variable B also affects variable A, you may use a two-way arrow to show that A and B affect each other.

Suppose your research concerns the Relationship Between Students’ Satisfaction Levels and Online Learning Platforms. Since students’ satisfaction level determines the online learning platform the school uses and vice versa, these variables have a direct relationship. Thus, you may use two-way arrows to indicate that the variables directly affect each other.

• Conceptual Framework – Meaning, Importance and How to Write it. (2020). Retrieved 27 April 2021, from https://afribary.com/knowledge/conceptual-framework/
• Correlation vs Causation. Retrieved 27 April 2021, from https://www.jmp.com/en_ph/statistics-knowledge-portal/what-is-correlation/correlation-vs-causation.html
• Swaen, B., & George, T. (2022, August 22). What is a conceptual framework? Tips & Examples. Retrieved December 5, 2022, from https://www.scribbr.com/methodology/conceptual-framework/

Written by Jewel Kyle Fabula

in Career and Education , Juander How

Jewel Kyle Fabula

Jewel Kyle Fabula is a Bachelor of Science in Economics student at the University of the Philippines Diliman. His passion for learning mathematics developed as he competed in some mathematics competitions during his Junior High School years. He loves cats, playing video games, and listening to music.

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• USC Libraries
• Research Guides

Organizing Your Social Sciences Research Paper

• Theoretical Framework
• Purpose of Guide
• Design Flaws to Avoid
• Independent and Dependent Variables
• Glossary of Research Terms
• Reading Research Effectively
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
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• Qualitative Methods
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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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Community-Based Health Planning and Services (CHPS) concept and access to healthcare delivery in Sefwi Wiawso Municipal, Ghana

• Abraham D. Koyaara 1 ,
• Benjamin Noble Adjei 2 ,
• Eric Adjei Boadu 3 &
• Edward T. Dassah 3  

BMC Health Services Research volume  24 , Article number:  742 ( 2024 ) Cite this article

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In spite of the successes of the community-based health planning and services (CHPS) policy since its inception in the mid-1990s in Ghana, data pertaining to the implementation and use of CHPS facilities in Sefwi Wiawso Municipal is scant. We assessed access to healthcare delivery and factors influencing the use of CHPS in Sefwi Wiawso Municipal.

An analytical community-based cross-sectional study was conducted in the Sefwi Wiawo Municipal from September to October 2020. Respondents for the study were recruited through multi-stage sampling. Information was collected on their socio-demographic characteristics, knowledge and use of CHPS facilities through interviews using a structured pre-tested questionnaire. Factors influencing the use of CHPS facilities were assessed using univariable and multivariable logistic regression to generate crude and adjusted odds ratios (ORs) with 95% confidence intervals (CIs). P  ≤ 0.05 was considered statistically significant.

A total of 483 respondents were recruited for the study. The mean age of the respondents was 43.0 ± 16.3 years, and over 70% were females or married/cohabiting with their partners. Most respondents (88.2%) knew about the CHPS concept and more than half (53.4%) accessed healthcare in the CHPS facilities. Most respondents rated the quality of health services (> 65%) and staff attitude (77.2%) very positively. Significant factors influencing the use of the CHPS facilities were; knowledge of the CHPS concept (AOR 6.57, 95% CI 1.57–27.43; p  = 0.01), longer waiting time for a vehicle to the facility, and shorter waiting time at the facility before being provided with care. People who waited for 30–60 min (AOR 2.76, 95% CI 1.08–7.07; p  = 0.01) or over an hour (AOR 10.91, 95% CI 3.71–32.06; p  = 0.01) before getting a vehicle to the facility, while patients who waited for less than 30 min (AOR 5.74, 95% CI 1.28–25.67; p  = 0.03) or 30–60 min (AOR 2.60, 95% CI 0.57–11.78; p  = 0.03) at the CHPS facility before receiving care were more likely to access care at the CHPS facilities.

Knowledge, and use of healthcare services at the CHPS facilities were high in this population. Interventions aimed at reducing waiting time at the CHPS facilities could greatly increase use of healthcare services at these facilities.

Peer Review reports

Introduction

Globally, healthcare systems still fall short of providing accessible, quality, comprehensive, and integrated care [ 1 ]. Major stakeholders, policy planners, development partners, and healthcare decision-makers require a better understanding of the Primary Health Care (PHC) concept. In 2005, the Ministry of Health and the Ghana Health Service adopted Community-based Health Planning and Services (CHPS) as a nationwide strategy for delivering primary health care services to address a myriad of health challenges confronting the majority of the people residing in rural areas[ 2 , 4 ] Using the CHPS initiative together with other interventions, the Ghana Health Service has made several strides in achieving universal health coverage over the years [ 5 ].

The CHPS policy as a community-initiated health intervention is unique given its acclamation as a remarkable innovation to reducing inequalities in accessing health care delivery[ 6 , 7 ]. It has advanced primary health care in Ghana by improving access to healthcare services, enhancing equity, and increasing coverage of essential healthcare services. It has specifically targeted underserved communities, addressing disparities in access and providing a wide range of services including maternal and child health, family planning, preventive health care such as immunizations, and treatment for common ailments[ 3 , 4 , 8 , 9 ]. CHPS has demonstrated tangible impacts on health outcomes, including reductions in maternal and child mortality rates and improvements in healthcare-seeking behaviors [ 10 , 12 ] Moreover, it has proven to be cost-effective, efficient, scalable, and sustainable, making it a viable model for PHC in Ghana [ 3 , 8 ].

Despite the successes of the CHPS policy, some barriers mitigating access to health care among the rural populace have been identified [ 12 , 16 ]. Consequently, the CHPS concept is not meeting its expected outcomes due to several factors[ 12 , 15 ]. These include lack of practical understanding of CHPS implementation by district-level managers; CHPS evolving into static clinic services focused on constructing health posts rather than its community-driven approach; managers often delaying CHPS implementation, waiting for central government resources instead of mobilizing local community resources; no central government budgetary allocation to cover startup costs as anticipated; heavy investment in CHPS staff recruitment and training without accompanied adequate investment in equipment; and poor leadership and supervision hindering effective implementation[ 14 , 17 ].

Previous studies on CHPS concept in Ghana have focused on access to maternal health, family planning, and child health services[ 6 , 9 , 10 , 18 ], with few studies looking at CHPS utilization among the general populace [ 19 ]. Anecdotal evidence suggests that the CHPS implementation processes have been inconsistent in Sefwi Wiawso Municipal, coupled with logistical and organizational challenges. There is limited information on the contribution of CHPS to health care access in Sefwi Wiawso Municipal. This study examined access to healthcare delivery as well as factors influencing the use of CHPS in the municipal.

Study design

This is an analytical cross-sectional study that was conducted in 21 selected communities within the Sefwi Wiawso Municipality from September to October 2020.

Study setting

Sefwi Wiawso is the capital town of the Western-North Region of Ghana, which has a population of 151,220 with similar proportions of males (50.1%) and females (49.9%) [ 20 ]. The municipality has 135 communities. Majority of the communities are engaged in active agricultural activities in rural communities. Hence traveling to the few health facilities to access health care services is often associated with diverse challenges stemming from distance barriers, poor road network, irregular transport system as well as socio-cultural beliefs( 20 ). These pose a great threat to rural communities in the Sefwi Wiawso Municipal especially in accessing health care at the CHPS facilities. The municipal is divided into seven sub-municipals to enhance comprehensive public health coverage. The sub-municipals are: Wiawso, Datano, Paboasi, Anyinabrim, Abrabra, Asafo and Asawinso. The municipal has 35 health facilities comprising four hospitals, two clinics, three health centres, one maternity home and 25 CHPS facilities. The CHPS facilities are Abrabra, Nkonya, Sui, Akurafo, Boako, Bechiwa, Aboagyekrom, Domeabra, Bowobra-Appentemedi, Datano, Ahukwa, Nyamegyiso, Nsuonsua, Aboduam, Bosomoiso, Aboanidua, Ahwiaa, Ahwiam, Ntrentrenso, Amafie, Futa, Akoti-Etwebo, Penakrom-Nyamebekyere, Old Adiembra, and Watico CHPS [ 21 ].

Sample size determination

Sample size for the study was estimated using Epi Info, version 7.1.1.14 (Centers for Disease Control and Prevention, Atlanta, GA, USA) at 80% power, with 95% confidence level and 5% margin of error. It was assumed that the factors influencing utilization of the CHPS services in Sefwi Wiawso were similar to those observed in Kintampo by Wiru et al.[ 19 ], in terms of residents’ age, education and income status, and by allowing for 10% contingency, an estimated sample size of 483 was determined to have adequate power to detect the factors influencing use of CHPS facilities in Sefwi Wiawso Municipal.

Selection of respondents

Individuals who were at least 18 years old, had been resident in the municipal for at least six months and had visited a health facility within the six months preceding the study were eligible for inclusion into the study. Individuals who were unwilling or unable to provide consent were excluded.

The respondents for the study were selected through multi-stage sampling. The sub-municipals and communities were selected by simple random sampling through balloting using the lists of sub-municipals and communities respectively as the sampling frames. Seven sub-municipals with at least three communities each were chosen for the study. The number of individuals selected from each sub-municipal was in proportion to the size of the sub-municipal. The estimated number of household members in each sub-municipal was obtained from the Municipal Health Directorate.

In each community, a central location such as the chief’s palace, a church or mosque was chosen. A pen was spun and the first house in the direction the pen pointed to was selected. Walking in the chosen direction, every other house was selected. If a selected house was locked, the research assistants made multiple attempts to contact occupants of the house. If the occupants could not be reached or were not available, they moved to the next available house. Within each selected household, one eligible household member was chosen by balloting and invited to participate in the study. Where there was only one eligible person, the individual was invited to participate. Selected households that had no eligible respondents were replaced by the next consecutive household. In the event that the expected number of respondents for that community was not achieved, the researcher returned to the reference point and the procedure was repeated until the desired number was attained.

After explaining the purposes and benefits of the study, each consenting individual was invited to participate in the study. The respondents were assured of confidentiality of the information that was collected during the study. Consenting individuals were interviewed in English, Twi or Sefwi (vernacular) using a pre-tested structured questionnaire comprising closed and open-ended questions. The respondents were interviewed face-to-face with an android tablet loaded with the questionnaire and enabled with Open Data Kit (ODK). Data was collected on their socio-demographic characteristics, awareness and access to service delivery, and factors influencing their access to health service delivery. During the interview process amid the Coronavirus Disease 2019 (COVID-19) pandemic, safety measures were rigorously implemented to safeguard all individuals involved in the research activities. All respondents and research assistants washed their hands with soap and water, or used hand sanitizers, and were provided with face masks if needed. They were educated on proper face mask usage and maintained a physical distance of at least 1 m throughout the interview. Additionally, they also complied with other COVID-19 restrictions imposed by national or local authorities.

The questionnaire was translated into Twi and Sefwi, and back translated into English. Pre-testing was done among 20 respondents who were conveniently selected in two communities in Juaboso District, ensuring representation of the target population’s demographic characteristics and language proficiency. Participants provided feedback on the clarity, language, and overall comprehensibility of the questionnaire, guiding revisions to improve reliability and validity. Overall, all participants indicated the language was easy to understand, and most found the questions easy to understand and answer. Revisions included clarifying ambiguous questions, and ensuring logical flow. The revised schedule underwent further review by the research team and experts to ensure its effectiveness for the main study. We employed cognitive interviewing and expert review to enhance the reliability and validity of the questionnaire.

Study variables

The main outcome variable for the study was use of CHPS facility. This was measured as respondents’ usage of CHPS facility for healthcare services during the year prior to the study. Those who visited CHPS were coded as 1 (yes) and those who used other health facilities such as the district hospital, private hospitals/clinics, faith-based, or any other form of health facility were coded as 0 (no).

The independent variables were age, gender, marital status, educational level, occupation, monthly income, household size, cost of transportation, time spent before getting access to vehicle to CHPS facility (measured in minutes), waiting time at the CHPS facility, satisfaction with cost of services at CHPS facilities, satisfaction with availability of drugs and suppliers and basic equipment, knowledge of the CHPS concept, and staff attitude. These variables were chosen on the basis of biologic plausibility and evidence from literature [ 3 , 7 , 14 , 22 ].

Data analysis

Data were cleaned and analyzed using Stata version 15 (Stata Corp, College Station, Texas, USA). Descriptive statistics were used to summarize clients’ perception of the quality of health care provided at the CHPS facilities. Categorical variables were compared using the chi-square [χ 2 ]. Factors associated with use of CHPS facilities were examined using univariable and multivariable logistic regression to estimate crude and adjusted odds ratios (ORs) with 95% CIs. Univariable analysis were performed to examine the association of each explanatory variable with the use of CHPS facilities and variables whose association reached statistical significance at p ≤0.05 were included in a multivariable model. Significant explanatory variables were added one at a time and those which remained independently associated with use of CHPS facilities at p ≤0.05 were retained until all variables in the model were significant at p ≤0.05. Excluded explanatory variables were retested in the final model one at a time to confirm lack of association. Variance inflation factor was computed to test for multicollinearity. All missing values were excluded from the analysis.

A total of 483 study respondents were recruited into the study. The socio-economic and demographic characteristics of the study respondents are shown in Table  1 . The mean age of the study respondents was 43.0 ± 16.3 years, range 18–92 years. Over half (52.8%) of the respondents were 40 years or older. Over 70% were females and a similar percentage were married/cohabiting. Majority (77.8%) were Akans. About 30% had no formal education and almost half (49.1%) had completed basic education (i.e. primary or junior high school). Almost three-quarters (74.5%) were in employment with nearly 20% earning over 500 Ghana cedis per month (equivalent to $87.72 at the time). The median household size was 6 (interquartile range = 4–8). Almost all (95.4%) of the respondents were permanent residents of the communities that they were interviewed.

Community members’ knowledge of services provided at the CHPS facilities

From Table  2 , most respondents (88.2%) had knowledge on the CHPS concept, with the commonest (56.6%) source of information being the community information centres. Less than a fifth (16.1%) of respondents obtained their information on CHPS through the community health workers. Majority (91.1%) knew the location of the CHPS facilities in their community and (81.4%) of the respondents were aware that the CHPS facilities provide curative services.

Access to, use and services provided in CHPS facilities

From Table  3 , about half (49.9%) of the respondents had a CHPS facility located in the communities that they resided in. More than half (53.4%) had visited the CHPS facility in their community to access healthcare during the past year with nearly two-thirds (65.5%) visiting the CHPS facility 2–5 times in the one year preceding the study. Common reasons for accessing care at the CHPS facility included treatment for minor ailments (65.9%) and proximity to their residence (47.7%).

Multiple means of transportation were used by respondents when accessing healthcare services from the CHPS facilities. About half of the respondents either walked (49.0%) or used public transport (51.4%) whereas 9.9% indicated that they used motorbikes or bicycles to the CHPS facility to access healthcare. Among those who used public transport to the CHPS facility, almost two- thirds (66.2%) indicated that they spent at least GHS 6.00 (a little over $1 at the time of the survey) on transportation to and from the health facility. Waiting time to access vehicle to the health facility for most of the respondents (84.6%) was up to an hour (see Table  3 ).

About 86% of the respondents had registered with the National Health Insurance Scheme (NHIS), with only 58% having valid NHIS cards as at the time of the survey and 54% obtained their prescribed medications from the CHPS facility. Most respondents considered the staff at the CHPS facilities to be friendly (87.6%) and competent (76.7%). Altogether, over three-quarters (77.2%) of the respondents considered the staff attitude towards them in the facility to be good/very good (see Table  3 ).

Factors influencing use of CHPS facilities

Factors influencing the use of the CHPS facilities are shown in Table  4 . On univariable analysis, age group, marital status, time spent before getting access to a vehicle to the CHPS facility, waiting time at the CHPS facility, satisfaction with cost of services, knowledge of the CHPS concept and respondents’ perception of staff attitude were significantly associated with the use of the CHPS facilities. On multivariable analysis, the time spent before getting access to a vehicle to CHPS facility, waiting time at the CHPS facility and knowledge of the CHPS concept remained significantly associated with CHPS facility utilization. The odds of using a CHPS facility increased with duration of waiting for a vehicle to a facility. Waiting for 30–60 min and over one hour before getting a vehicle to a facility increased the odds of using a CHPS facility by more than two and half (AOR 2.76, 95% CI 1.08–7.07) and nearly 11 times (AOR 10.91, 95% CI 3.71–32.06) respectively compared to patients who waited for less than 30 min for a vehicle. The likelihood of using a CHPS facility decreased with waiting time at the facility. Patients who waited for less than 30 min were over five and a half times more likely (AOR 5.74, 95% CI 1.28–25.67) and those who waited for 30–60 min were more than two and a half times likely (AOR 2.60, 95% CI 0.57–11.78) to use CHPS facilities compared to their counterparts who waited for over an hour. Having knowledge of the CHPS concept increased the odds of using CHPS facility by more than six and a half times (AOR 6.57, 95% CI 1.57–27.43) compared to patients who had no knowledge of the concept.

This study assessed factors influencing the use of CHPS facilities in a predominantly rural district in Ghana. Majority of the respondents knew about the CHPS concept as well as the services being provided. Most respondents accessed health care from the CHPS facility in their community at least twice in the year. The waiting time for majority of the respondents was up to one hour and they rated the competence and performance of the healthcare providers very positively. Significant determinants of the utilization of CHPS facilities were time spent before getting a vehicle to the CHPS facility, waiting time at the CHPS facility and knowledge of the CHPS concept.

The finding that more than half (53.4%) of the respondents had visited the CHPS facilities to access healthcare during the past year highlights the significant utilization of CHPS facilities among the study population. This finding is consistent with those of previous studies conducted in Kintampo North Municipality of the Bono East Region and Komenda-Edina-Eguafo-Abrem Municipality of the Central Region of Ghana, where high proportions of community members utilized the services of CHPS services for healthcare services [ 19 , 23 ]. This high utilization rate underscores the importance and relevance of CHPS facilities in providing essential healthcare services to the community. Johnson et al. argued that access to a CHPS facility is associated with utilization of healthcare services within the facility, which increases significantly with proximity to the CHPS facility [ 10 ]. Similarly, we observed that most of the respondents accessed health care services from the CHPS facility at least twice a year, where over 47% cited proximity to the CHPS facility as one of the main considerations.

Contrary to our expectation, respondents who experienced longer waiting time before accessing transportation to the facility were more likely to utilize CHPS. This could possibly be due to limited alternative options or a perceived urgency in seeking healthcare for individuals who experienced longer waiting times before accessing transportation to the facility. Given the predominantly rural nature of the communities in the municipal, healthcare services in most of these communities are largely provided by CHPS facilities and a few or no hospitals [ 20 , 21 , 24 ]. This could mean that despite the longer waiting time for transportation, there might be limited alternative options. It is also conceivable that respondents waiting for over an hour before getting access to CHPS facilities do so on the premise of the perceived quality of services they anticipate to obtain, the extent to which their health needs are met at the facility and hence not deterred by the long waiting time for vehicle to the CHPS facility to seek healthcare services. This is supported by the findings of Assan et al. where users of CHPS facilities were highly satisfied with the services provided at the CHPS and the positive attitude of community health professionals [ 17 ]. The long waiting time for transportation to CHPS facilities also highlights some of the challenges of accessing health care in such rural communities. Transportation to healthcare facilities in rural areas are problematic and hinders access to care in most communities in Ghana [ 25 ]. Therefore, improving geographic access to CHPS facilities is essential to universal health coverage [ 26 ].

Our finding that shorter waiting times at the facility were associated with increased odds of using of CHPS facilities is consistent with those of previous studies which identified long waiting time as a significant challenge to seeking healthcare services[ 5 , 13 , 17 , 22 ]. Arguably, patients who spend less time at the CHPS facility may be more inclined to seek care, reflecting a positive patient experience and potentially higher levels of satisfaction with the healthcare services provided [ 5 , 13 , 17 , 22 ]. The implementation of COVID-19 preventive measures, such as physical distancing requirements, wearing of face masks, and hand hygiene practices, likely influenced transportation facilities’ utilization and waiting times at the CHPS facility. These measures may have led to changes in travel behavior, increased waiting times due to screening protocols or reduced facility capacity, and altered patient-provider interactions.

Respondents’ knowledge of the CHPS concept increased their likelihood of using CHPS, underscoring the importance of patient understanding of the CHPS concept. Individuals who are better informed of the CHPS concept may be more inclined to use CHPS facilities, recognizing the benefits of community-based healthcare delivery and the availability of essential health services [ 15 ]. The majority of our study respondents knew about the CHPS concept as well as the services being provided. Their commonest source of information was the community information centre. These information centres are major sources of information in rural communities and most inhabitants listen to them, explaining the high level of knowledge observed in the study setting. Interestingly, less than a fifth of the respondents got their information on CHPS through the community health workers, indicating that the Municipal Health Directorate needs to intensify campaign efforts provided by the community health workers. Johnson et al.[ 10 ] revealed that health education sessions within CHPS facilities should prioritize addressing prevailing health problems, preventive measures, and care practices.

Strengths and weakness of the study

This study contributes to the literature by exploring factors influencing access to a broad scope of health care services within the CHPS system in largely rural communities. We uniquely investigated access to a wider scope of healthcare services within rural communities where the CHPS concept is predominantly operational. Key strengths of our study include, being a population-based study involving geographically diverse communities where respondents were randomly selected, the findings are generally representative of the diverse ethnic groups in the municipal and similar communities. However, the study has some limitations. First, only persons who were at least 18 years old, had visited a facility within the six months preceding the study and were available at home during the period were recruited into the study. The experiences of the younger ones (< 18 years) and those who were not at home during the research could be different and would have been worthwhile. Second, soliciting the views of the health care providers and municipal health directorate staff would have been useful especially their challenges in implementing the policy.

Knowledge of the CHPS concept and the use of healthcare services at CHPS facilities were high in this predominantly rural population. Maintaining awareness campaign strategies on the CHPS concept such as use of the community information centres and intensifying community health worker campaign efforts would be worthwhile. Interventions aimed at reducing the waiting time at the CHPS facilities could significantly improve inhabitants’ use of healthcare services in these facilities.

Data availability

The data used for this study are available upon reasonable request from the corresponding author.

Abbreviations

Community-based Health Planning and Services

Committee on Human Research Publication and Ethics

Confidence Interval

Ghana Health Service

Ghana Statistical Service

Junior High School

National Health Insurance Scheme

Open Data Kit

Primary Health Care

Senior High School

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Acknowledgements

We are grateful to the Municipal Director of Health Services, Sefwi Wiawso and the chiefs and opinion leaders of the various communities where the study was conducted. We express our heartfelt gratitude to the respondents for sharing their experiences of the CHPS concept.

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ADK and ETD conceived the study idea. BNA and ADK conducted the statistical analysis. ETD supervised the statistical analysis. ADK wrote the first draft of the manuscript. ETD and EAB reviewed the drafted manuscript. All authors scientifically reviewed and approved the final version of the manuscript.

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Koyaara, A.D., Adjei, B.N., Boadu, E.A. et al. Community-Based Health Planning and Services (CHPS) concept and access to healthcare delivery in Sefwi Wiawso Municipal, Ghana. BMC Health Serv Res 24 , 742 (2024). https://doi.org/10.1186/s12913-024-11179-6

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Naklamthong, A., Chaiyasoonthorn, W., Chaveesuk, S. (2024). Factors Influencing Organizational Survival of Retail Food Businesses in Thailand: A Conceptual Perspective. In: Kot, S., Khalid, B., Haque, A.u. (eds) Corporate Practices: Policies, Methodologies, and Insights in Organizational Management. EEEU 2023. Springer Proceedings in Business and Economics. Springer, Singapore. https://doi.org/10.1007/978-981-97-0996-0_43

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Turkish science high school students’ mental models of the electron cloud

First published on 18th June 2024

This study focuses on examining the mental models of 11th and 12th-grade students attending a science high school in Turkey regarding the concept of the electron cloud. The study involved 72 students and employed the case study method. The precondition for selecting the sample was that the students had covered the unit on modern atomic theory in their chemistry classes. The concept of the electron cloud chosen for the study is integrated into the units of “Atom and Periodic System” and “Modern Atomic Theory.” To guide the research questions, the progression of the lessons and activities within the unit were observed in three-week intervals across different classes taught by the participating teacher. Research data were collected using a data collection tool consisting of 7 open-ended questions, considering the high school chemistry course objectives. The research questions were prepared in three categories: conceptual, relational, and visual. A rubric was developed for data analysis, and codes corresponding to levels of understanding were determined. At the end of the evaluation, three mental models were identified: the electron cloud model, the hybrid/synthesis electron cloud model, and the primitive model. For these models, eight mental model categories have been determined: fully scientific, partially scientific, conceptual, relational, conceptual–relational, conceptual-visual, relational-visual, and incompatible. At the conclusion of the study, only 5.56% of students provided answers at the scientific understanding level for all categories, placing them in the full scientific model category under the electron cloud model. 16.67% of students fell into the partial scientific model category, while 75.29% demonstrated a hybrid/synthesized electron cloud model. A small portion, 2.78%, adopted a primitive model.

Introduction

Liu et al. (2014) noted that when students enter the science classroom to learn scientific concepts, they possess different mental states, and these mental states may encompass their emotions, learning intentions, and mental representations related to scientific concepts. Özcan (2015) asserted that understanding some concepts in chemistry is possible because they appear in daily life, while others may be challenging to comprehend without prior knowledge. For instance, experiencing or visualizing concepts related to the atom or the particulate nature of matter clearly is not feasible, and when teaching such concepts, it is necessary to draw parallels with everyday life or a known event. Trindade and Fiolhais (2003) highlighted that a series of studies have been conducted on students' misconceptions and difficulties in understanding quantum mechanics. For example, Chen et al. (2015) stated that atoms and molecules in chemistry are invisible and abstract to students, making it challenging for them to learn these concepts, especially the atomic orbital concept involving quantum mechanics. Taber (1997) in his study highlighted that students struggle to understand the differences between the concepts of orbitals, shells, subshells, and energy levels. Similarly, Nakiboglu (2003) found that chemistry teacher candidates confuse and interchange the concepts of orbitals, shells, and orbits. Therefore, as Airey and Linder (2009) and Schönborn and Anderson (2006) also pointed out, the importance of the visual representation of abstract concepts in teaching is crucial, and this is particularly significant for visualizing concepts related to quantum chemistry. In this regard, studies determining mental models play a pivotal role in understanding the reasons for difficulties in comprehending such concepts.

Theoretical framework related to mental models

The development of students' mental models occurs through their use of models, making predictions, receiving feedback, and adjusting their understanding accordingly ( Chittleborough and Treagust, 2009 ). Therefore, the models created in students' minds provide clarity to educators about how students comprehend concepts and can also inform teachers about the students' knowledge structure ( Wittmann, 2002 ). The emerging structure of the mental model represents a more abstract part of the mental model and provides information about the relationships established between concepts ( Vogt et al. , 2021 ). Supasorn (2015) has emphasized the importance of mental models in learning chemistry. Albaiti and Lepa (2022) highlighted that if the three chemical levels expressed as symbolic, macroscopic, and submicroscopic are not fully conveyed to students, they may fail to establish connections between levels, experience conceptual misunderstandings, and cannot develop mental models. However, many educators often focus on two of these three levels, namely macroscopic and symbolic levels. Nevertheless, understanding the microscopic level is particularly important for students because the nature of chemical processes can only be explained by the movement and behavior of particles ( Akaygun, 2016 ). Taber (2013) stated that modern chemistry develops comprehensive theoretical models based on the nature of entities much smaller than what can be observed with an optical microscope. According to them, a significant part of chemistry that can be taught in high school and university is related to molecules, ions, electrons, orbitals, and energy levels. Therefore, the submicroscopic explanations of chemistry are crucial for teaching these concepts. Consequently, it is essential to investigate the levels of understanding and mental models of students due to the abstract nature of the submicroscopic world formed by subatomic particles.

There are several studies in the literature that investigate high school students' mental models of atomic structures. For example, Petri and Niedderer (1998) examined the learning process of a 13th-grade student in a German sports school in a quantum physics course. They found that the student's learning process progressed from a planetary model to a series of various concepts related to the atom. However, the post-instructional situation exhibited a combination of three parallel concepts: the planetary model, the stationary electron model, and the electron cloud model. Papaphotis and Tsaparlis (2008) conducted studies with 12th-grade students in Greece on basic quantum chemistry concepts. They found that the Bohr model and the language of the old quantum theory prominently stood out in many students' responses, while other students had hybrid models that mixed the planetary model with quantum mechanics. In another of their studies with 12th-grade students, Tsaparlis and Papaphotis (2009) noted strong support for the planetary Bohr model. However, many students did not understand the probabilistic nature of the orbital concept, some had hybrid models, and in some cases, students did not accept that the electron cloud corresponded to the picture of the atom. They also stated that most students did not understand the fundamental nature of the uncertainty principle. In a study conducted by Akaygun (2016) with 10th and 11th-grade students, she aimed to investigate and compare the static and dynamic representations of students' mental models related to the atomic structure. Static representations of mental models were expressed through drawings and explanations on paper, while dynamic representations were created using animation development software. The study concluded that animations created by students could positively influence their learning. In addition to these studies, Budde et al. (2002) developed the electronium model within the scope of the quantum atomic model for secondary school students with the aim of eliminating existing misconceptions. Vieira and Morais (2022) used a music analogy in their study with 50 middle school students in a music class regarding the quantum model of the atom. They concluded that difficulties in understanding the model could be alleviated with such analogies. In their study examining the consistency of mental models regarding atomic structure with 10th and 11th-grade students, Zarkadis et al. (2017) found that many students were influenced by the Bohr model while describing the electron cloud or created a hybrid model between the Bohr model and the quantum model. Similar confusion or hybrid structures have been mentioned in studies by Treagust (2000) , Taber (2002, 2005) , Trindade and Fiolhais (2003) , Park and Light (2009) , Stevens et al. (2010) , Harrison and Allred and Bretz (2019) . Moreover, in studies on the structure of the atom with high school students ( e.g. , Demirci et al. , 2016 ), the use of 3D representations in students' formation of mental models about atomic orbitals ( e.g. , Chen et al. , 2015 ), and quantum atomic models ( e.g. , Budde et al. , 2002 ) suggests that students have different mental models.

In the development of mental model structures, a form of knowledge architecture, three distinct knowledge types are taken into account: content knowledge, structural knowledge, and procedural knowledge ( Hill, 2006 ). Content knowledge defines a student's understanding of concepts, processes, or events. Structural knowledge allows the student to articulate the relationships and connections pertaining to scenarios, while procedural knowledge facilitates the demonstration of how a student utilizes content and structural knowledge in a given situation. Mental models are internal representations of knowledge and thoughts that students create in their minds. Students use these models for reasoning, problem-solving, making predictions, and explaining skills that are crucial for learning science ( Harrison and Treagust, 2000 ). Therefore, they are significant for science education.

An important issue in mental model studies is how to measure a mental model. To answer this question, a detailed examination of the obtained data is required ( Vogt et al. , 2021 ). Coll and Treagust (2003) have categorized mental models into two groups: physical and conceptual. Mental models created regarding the atom topic are included in the conceptual mental models group. In studies aiming to determine mental models, it is observed that a single model is not used ( Didiş et al. , 2014 ). This is because mental models have an individualized and complex structure, and therefore, various methods are used in mental model determination studies. The essential aspect of determining students' mental model structures is the written or verbal narratives provided by the students. Therefore, in studies, various techniques are used for data collection purposes, including interview techniques ( Coll and Treagust, 2003 ), open-ended questions, drawings ( Demirçalı, 2016 ), multiple-choice questions including drawings and explanations ( Demirkol, 2017 ; İyibil Durukan, 2019 ), or a combination of these.

Purpose and significance

In Turkey, there are different types of high schools, such as Science High Schools, Anatolian High Schools, and vocational high schools. The transition to these schools is based on the exam scores of students at the end of the 8th grade. Among these, Science High Schools are the type of high school with the highest entrance scores, and their curriculum is more focused on science compared to other high schools. In the Chemistry curriculum of Science High Schools in Turkey, atom models have a crucial place. The unit titled “Atom and Periodic Table” provides a detailed explanation of atomic models and the structure of the atom. Under the unit “Modern Atomic Theory,” detailed information is provided about the limitations of the Bohr atomic model, modern atomic theory, the concepts of orbits and orbitals, quantum numbers, and energy levels of orbitals ( MEB, 2023 ). This research aims to investigate the mental models of Science High School students regarding the concept of the “electron cloud,” which is one of the fundamental concepts in modern atomic theory and quantum mechanics. By exploring how the concept of the “electron cloud” is understood or misunderstood, the study aims to contribute clarity to the existing problem in the field. The perspectives of Science High School students regarding the research problem will be collected to determine their mental models related to the concept of the electron cloud. Therefore, to identify students' mental models, questions have been developed that allow for defining concepts, revealing inter-conceptual relationships, and displaying information about subjects through visual representations. These questions focus on conceptual, relational, and visual types of knowledge, providing a comprehensive approach to understanding and evaluating students' cognitive frameworks.

Research problem

Topics related to atoms and atomic models are covered in the 9th and 11 th -grade curricula in high school. During the study, the researcher was present as an observer alongside the chemistry teacher during the weeks the units were taught to 9th and 11th graders. These units are taught over a three-week period, with 9th graders receiving two class hours per week and 11th graders receiving four class hours per week. In the 9th-grade science high school program, under the title “Atom and Periodic System”, atomic models (Dalton, Thomson, Rutherford, Bohr, and modern atomic model), the structure of the atom (subatomic particles), and the periodic system are taught. In the 9th grade, the teacher first explained the models verbally, then elaborated on them using visuals with the support of a smart board. The teacher devoted more time to the Bohr atomic model, explaining that electrons are located in circular orbits at specific radii and energy levels around the nucleus. To reinforce what was taught in class and to help students remember the chronological order of the atomic models, the teacher gave examples of rhymes and used various analogies. After presenting the example of a hydrogen atom and explaining the characteristics of the model using visuals, the teacher then discussed the limitations of the model. Since the modern atomic theory is not covered in detail in the 9th-grade science high school curriculum, the teacher briefly mentioned it, indicating it would be covered in detail in the 11th grade. Observations during the lectures revealed that most students disliked verbal descriptions and showed little interest in the class; however, when visuals related to the lesson were used, participation and interest in the class increased. In the 11th grade at science high schools, under the unit “Modern Atomic Theory,” topics such as the limitations of the Bohr atomic model, the quantum model of the atom, the concepts of orbits and orbitals, quantum numbers, and the energy levels of orbitals are covered. At the beginning of the lesson, the teacher created a discussion atmosphere in the class by asking questions like “Why was there a need for the quantum model and as a result of which scientific studies did this model emerge?” and started the lesson by evaluating student responses. As the topics progressed, the teacher stated that the exact location of an electron in an atom cannot be determined, but its probability of being found can be discussed. In subsequent lessons, the concept of orbitals, types of orbitals, and the teaching of orbital numbers were covered. The teacher explained that quantum numbers are used in quantum theory to explain the distribution of electrons in atoms and described the quantum numbers and their functions. To help better understand quantum numbers, the teacher used analogies, such as “Just as an address gives an idea of where a person can be found, quantum numbers indicate where an electron can be found.” The teacher made analogies like, “Just as we cannot be sure that a person will be at the given address, we cannot be certain where an electron will be.” Describing a person's location by first mentioning the city, district, and neighborhood they live in, the teacher explained that similarly, the principal quantum number, azimuthal quantum number, and magnetic quantum number would be needed to indicate the region where an electron is likely to be found. Through such addressing, just as the region where a person is likely to be found can be described, attention was drawn to the probability of an electron being found in an orbital. This analogy example was seen to be effective in helping students understand quantum numbers. The teacher used everyday life analogies to explain the types and number of orbitals depending on the energy level. For example, the teacher compared the energy levels in an atom to rows of seats in an amphitheater, associating the increase in energy levels and the number of orbitals in an atom with moving away from the stage, where higher and more distant rows have more seats. The researcher's participation as an observer in the lessons also contributed to the formulation of research questions.

Participants

Data collection tool.

Data analysis

The questions in the measurement tool for understanding levels have been organized taking into account these categories. Levels [3] and [4] indicate that the student possesses a scientific level of understanding, level [2] indicates that the student has a basic level of understanding but may also have misconceptions in their expressions, and levels [0] and [1] show that the student does not have an understanding at a scientific level.

For the analysis of mental models, student responses were independently coded by two academics, one specializing in chemistry education and the other in physics education. They conducted coding independently and reached a consensus to determine the final results. The agreement rate between the codings of the researchers was found to be 94% ( Miles and Huberman, 1994 ). In codes where there was no agreement, researchers came together to re-evaluate the student responses and discussed them until a consensus was reached. Subsequently, mental model matrices were created following the frameworks of Saglam (2004) and İyibil Durukan (2019) . These matrices were used to identify mental models held by students. The distribution of understanding levels given in Table 2 was considered during the matrix creation. Matrix templates corresponding to the answers given by the students were used to obtain three mental models: the electron cloud model, the hybrid/synthesis electron cloud model, and the primitive model, along with eight mental model categories for these models, in accordance with the descriptions by Vosniadou and Brewer (1992) , İyibil Durukan (2019) , and Franco and Colinvaux (2000) . Finally, Table 3 was created utilizing İyibil Durukan (2019) .

For instance, to be classified in the fully scientific category in the electron cloud model, a student must provide responses to all three types of questions at levels [3] or [4]. To be classified in the partially scientific category, the student's responses must be at levels [3] and [4] for the other two categories, excluding any level of understanding. For the hybrid electron cloud model, the responses to questions in that category must be at levels [3] or [4], while the understanding levels for the other two categories should be [0], [1], or [2]. For the primitive model, understanding levels for all categories must be [0], [1], or [2]. Table 3 provides a detailed explanation of these criteria.

The use of matrix templates

As another example, for a student to be placed in the hybrid/synthesis electron cloud model (HSECM) in the CR (conceptual–relational) category, the understandings for the conceptual and relational question types must be (4) or (3), while the understandings for the visual question types are at (0), (1), or (2). However, a student presumed to have this model and placed in the HSECM CR category has answered the two conceptual questions as (4), (4), the two visual questions as (1), (0), and the three relational questions as [(1), (3), (3)]. This student has answered two of the three relational questions at a (3) level of understanding and one at a (1) level, which is an undesirable situation. However, the most general model that this student is compatible with has been accepted as the HSECM in the CR category. The matrix templates in Table 3 have been used in this way to determine the mental model, and an asterisk (*) sign has been used to prevent overlap between categories and to determine the appropriate category.

Results and discussion

Conceptual category

In the first question within the conceptual category, when defining the electron cloud concept, students at the [4] level of understanding, as can be seen from Table 5 , referred to regions where electrons are likely to be found and to probability concepts emphasized in modern theory, and thus have been assessed at the [4] level of understanding (S2, S15, S16, S17). As seen in Table 4 , the percentage of students at this level is 47.22%. It can be said that a considerable number of students express the concept of the electron cloud at a conceptual level. Students at the [3] level of understanding made definitions without mentioning the probability concept (S1, S8, S36, S44), and the percentage of students at this level is 20.83%.

In the responses of students at the [4] level of understanding, the inclusion of the phrase “regions where the probability of finding electrons is high” in the definition of the electron cloud concept was considered important. As Zarkadis et al. (2017) pointed out, the most advanced and abstract student models are those that take into account quantum theory and approach atomic structure with probabilistic logic. Because in modern theory, concepts such as orbitals, the electron cloud, uncertainty principle, energy quantization, wave function, and probability exist. In the study, as seen from Table 5 , students with a low level of understanding have typically made definitions by conflating the electron cloud model with the Bohr model. It has been observed that students used the concept of orbit instead of orbital (S30, S40, S57).

In the fourth question within the conceptual category, students were asked to explain the meaning of the orbital concept in modern atomic theory. The results, as depicted in Table 4 , reveal that 75% of students demonstrated understanding at [3] and [4] levels. Among them, 62.5% provided responses containing scientifically substantial content, while only 12.5% delivered responses deemed acceptable in terms of scientific knowledge. Sample student responses at different levels of understanding for this question are presented in Table 6 .

Despite the presence of a definition in students' textbooks for orbitals as “the space region where electrons are most likely to be found and which has the highest charge density,” none of the students used the concept of charge density in their definitions. However, as seen from Table 6 , even though they did not mention charge density, these responses have been accepted at the [4] level of understanding (S1, S10, S13, S15, S17). The reason for such an assessment is that students made explanations using the concept of probability and indicated from their expressions in the previous conceptual question that they believe electrons are more densely found in regions close to the nucleus.

As seen from Table 6 , it has been observed that some students, influenced by the Bohr model (such as S3, S9, S25), have misconceptions by describing “energy levels around the nucleus where electrons can be found.” Tsaparlis and Papaphotis (2009) have mentioned that due to conceptual difficulties, learning the concept of orbitals at the high school level is challenging. Similarly, in this study, it has been found that while the phrase “regions where electrons are most likely to be found” in the definition of orbitals is more firmly established in students' minds, the phrase “the space region that has the highest charge density” is not understood by students. Taber (2005) also noted that even though students preparing for university entrance exams might embrace the concept of orbitals, some still tend to understand and use this term as the path that electrons travel around the nucleus. Nakiboglu (2003) , in his study, identified the misconception among students that “orbitals are the orbits around the nucleus where electrons revolve. “When reviewing the literature, many studies ( Taber, 2002 ; Nakiboglu, 2003 ; Dangur et al. , 2014 ; Özcan, 2015 ; Sunyono et al. , 2016 ; Zarkadis et al. , 2017 ; Allred and Bretz, 2019 ) indicate that students are generally influenced by the Bohr model, thereby using the concepts of shells and orbits interchangeably or synonymously. For instance, Tsaparlis and Papaphotis (2002) stated that high school students could not understand the probabilistic nature of atomic orbitals, were confused among various atomic and orbital representations, and were able to maintain a deterministic perspective. Similar to the conceptual misunderstandings mentioned in the literature, similar results have been seen in this study. For example, as seen in Table 6 , the student coded S60 was shown to have a misconception for the orbital concept by stating “indicates energy layers,” and student coded S66 by saying “the orbits that electrons follow.”

Researchers expected the responses to the two conceptual questions in this study to be prepared in a mutually supportive way, anticipating consistency in students' answers to these questions. It was expected that a student who defined the “electron cloud” concept as the region where the probability of finding electrons is high in the first question would also clearly express the orbital concept in the second question. The study found that only 52% of students provided consistent responses at [3] or [4] understanding levels for both questions, indicating a lower level of consistency than expected. This finding indicates that the concept of the electron cloud has not yet formed meaningfully in the minds of many students.

Relational category

As can be seen from Table 4 , the percentage of students who answered at the [4] level is 19.44%, and at the [3] level is 12.5%, while it is observed that the rates of students at lower levels are high. Additionally, 22% of the responses were left unanswered or contained incomprehensible expressions.

According to Duit (1991) , analogy is defined as the cognitive representation of relationships between objects when transitioning from source information to new information. Evaluating the answers at the [4] understanding level based on this definition, it is gratifying that students (S22, S23, S38, S44) consider the probability concept, incorporate correct relationships, and include creative and qualified analogies, albeit in small numbers. As Vieira and Morais (2022) express, analogies are described as a powerful tool to explain complex scientific concepts such as abstract or unconventional ones like the quantum atomic model using familiar terms, encouraging positive attitudes towards learning. The results reveal that students face difficulty in making analogies and establishing scientific relationships with everyday life examples. The failures in students' analogy-making also suggest a close association with insufficient conceptual understanding.

In the analysis of the analogies prepared by Derman and Tufan (2021) , when evaluating our students' analogies according to the categorical framework used, it is observed that the examples of students who make correct analogies, such as student coded S22 with “The likelihood of all students being in their classrooms during class hours at school is high.” as seen in Table 7 , exhibit verbal and functional characteristics in terms of their representation.

In the relational category, question number 3 asked students to explain which shortcomings in atomic models led to the emergence of the electron cloud concept. Upon reviewing Table 4 , it was observed that, for this question in the relational category, only 1.39% of students demonstrated an understanding at [4] level, while 58.33% were at [3] level. The majority of responses contained relationships that were correctly established and considered scientifically valid. Examples of student responses at different levels of understanding for this question are provided in Table 8 .

For this question, examples of student responses for each level of understanding have been provided in Table 8 . For example, students with codes S3, S27, S14, S15 stated that the Bohr atomic model successfully explains line spectra of single atoms and ions but falls short in explaining the line spectra of multi-electron atoms. However, many students could not provide an explanation for the behavior of atoms in magnetic fields. The study shows that while students mention some factors leading to the birth of modern theory, they cannot express all of them together. Consistent with the literature findings by Nakiboglu (2003) , Taber (2005) , Stevens et al. (2010) , quantum mechanics is difficult for students to understand due to its abstract and complex nature, and concepts are often used interchangeably. Examining student responses, for instance, the response of student S27, linking the lack of the concept of orbits to the emergence of EBM, implies that the reasons for the emergence of ECM are not fully understood.

In question number 5, located in the relational category, students were asked to specify the reasons for using new quantum numbers in modern atomic theory and to identify what these quantum numbers are. Examples of student responses at different levels of understanding for this question are presented in Table 9 .

As seen in student responses in question number 5 under the relational category (S2, S3, S5), although a large majority of students (62.5%) correctly define quantum numbers, they did not mention that quantum numbers are used to explain multi-electron atoms in wave mechanics. From the responses, it is observed that students, having learned information at a symbolic level, can more easily write the symbols and names of the four quantum numbers correctly but fall short in explaining the rationale for their usage (S2, S3, S5). Only a few students mentioned that wave mechanics can explain multi-electron atoms using quantum numbers (S28, S40). According to Papaphotis and Tsaparlis (2008) , students do not have a comprehensive understanding of orbitals and quantum numbers. This may be due to the necessity of understanding various abstract, complex, and symbolic concepts involved in the quantum model of atomic structure, as mentioned by Zarkadis et al. (2022) . Additionally, according to Zarkadis et al. (2022) , studies on this topic (for example, Sunyono et al. 2016 ; Temel and Özcan 2018 ; Papaphotis and Tsaparlis 2008 ) support the view that students often try to understand quantum numbers with a simple, deterministic, or mechanistic approach. The results obtained in the study are consistent with these literature findings. While in the Bohr model, electrons are thought to follow circular paths at specific energy levels, in the modern theory, electrons are found in orbitals with high probability of existence, designated by the letters s, p, d, f. The exact distinction between these orbitals does not seem to be clear in the minds of students.

Visual category

One way to uncover students' mental models is to allow them to create their own models. As Akaygun (2016) pointed out, these drawings reveal how students visualize specific events and the differences in their mental models. Thus, in question number 6 in the visual category, students were asked to draw diagrams for the electron cloud model. When examining the drawings, it was observed that 8.33% of students responded at the [4] understanding level, and 6.94% at the [3] understanding level, while the percentage of students at lower understanding levels was high. In the drawings of students at the [0] and [1] understanding levels, non-scientific visual elements are predominant (S9, S1, S21, S20).

Although we have considered the drawings by students who answered at the [4] level of understanding (S11, S42) as scientifically accepted drawings, they made two-dimensional drawings without using a three-dimensional axis system. The reason these drawings are accepted at the [4] level of understanding is because, in the conceptual question, the students used the concept of region while defining the electron cloud concept. This acceptance can be seen as a limitation of the study. In their drawings, these students represented the nucleus at the center with a dot and depicted the orbital representation as expected with a cloud-like depiction, darker in regions close to the nucleus and lighter as it moves away from the nucleus. Students who answered at the [3] level of understanding (S19, S43) have made drawings at an acceptable level. In these drawings, students represented the nucleus with a central point and depicted the orbital representation either as a cloudy representation or with dots, but they could not clearly show the relationship between the distance from the nucleus and electron density. Students who responded at the [2] understanding level (S6, S57) were influenced by the Bohr model, producing drawings that did not align with the cloud model. In these drawings, it is evident that students represented electrons with dots and tended to view electrons as particles. They drew continuous and circular orbits representing the Bohr atomic model. Student S (21) is observed to intertwine the orbits of the Bohr model with a wavy pattern, suggesting a combination of the cloud model and the Bohr model in their mind. As seen in the drawings, students tend to perceive electrons as particles moving in specific orbits.

In the study, it was observed that many students could not translate the conceptually defined electron cloud model into drawings. For example, as seen in the figures of students S21 and S9, despite drawing non-scientific shapes for the cloud model, they correctly explained the electron cloud concept in conceptual questions. This may be attributed to the fact that although concepts are expressed verbally, meaningful learning does not occur in the student's mind. Additionally, it could be considered that students may lack sufficient spatial abilities or that visual explanations with adequate clarity are not used in teaching, or three-dimensional visual materials are not employed. Another significant consideration is the necessity for students to use their imagination to create mental designs to form their understanding of the electron cloud model ( Yang et al. , 2003 ). Consistent with our study results, Cascarosa Salillas et al. (2022) stated that most students do not have sufficient spatial vision and abstraction ability to create a consistent mental atomic model with the atomic model. Furthermore, Park and Light (2009) and Dangur et al. (2014) explained that students' illustrated representations of the structure of the atom are not consistent with their corresponding verbal explanations. In contrast, Tsaparlis and Papaphotis (2009) stated that although students can draw an electron cloud defined with a specific quantum number, they cannot use concepts such as electron probability density, point cloud, or cloudy structure in their explanations of the drawings.

In the visual category, the seventh question asked students to draw a figure explaining the probability of finding an electron in the “1s” orbital as a function of the distance from the nucleus. Upon examining Table 4 , it is observed that only 15.28% of students drew the model at understanding levels [3] and [4]. The majority of students demonstrated understanding at level [1], indicating drawings that incorporate non-scientific visual elements or are at a basic level. Additionally, 20.83% of students did not draw anything for this question. Examples of student responses at different understanding levels for this question are provided in Table 11 .

Student drawings were evaluated based on their ability to use spatial representation correctly by referencing the x , y , and z axes of the Cartesian coordinate system. For this question, 9.72% of students responding at the [4] level drew diagrams showing that the probability of finding the electron decreases as it moves away from the nucleus (S18, S51). Students at the [3] level, accounting for 5.55%, drew the x , y coordinate system but, as in the case of S19, illustrated a shape showing that the electron density decreases as it moves away from the nucleus without aligning the drawing to the coordinate system. A high percentage of students at other levels, including S1, S55, S3 and S57, were determined to lack the ability to create scientifically valid drawings by not using spatial qualities. In the conceptual category, students described the electron cloud concept by defining it as the place where electrons are densely located, stating that this density decreases as they move away from the nucleus. However, it is apparent from the figures that they were not successful in transferring this information onto a graph. Considering Rau's (2015) suggestion that students' learning success depends on their ability to establish connections between graphical representations, it can be seen that students could not meaningfully learn or internalize the concept.

In conclusion, each student was evaluated using the matrix patterns determined in Table 3 , and the types of mental models attributed to students were identified. The quantitative data resulting from the assessment are provided in Table 12 .

Upon examining Table 12 , it is evident that 8 mental model categories have emerged under the umbrella of the three identified mental models. Of the students, 5.56% provided sufficiently scientific answers to questions related to the electron cloud model, placing them in the fully scientific model category. Additionally, 2.78% were categorized into the incompatible model category associated with the primitive model due to non-scientific responses. The category in which students are most prominently represented is the conceptual model category under the hybrid/synthesized electron cloud model, constituting 33.33% of the responses. Due to the research sample consisting of Science High School students, the 5.56% rate obtained in the fully scientific model category is below the expected level. It has been determined that the majority of the students (84.7%) in the partially scientific model category are placed in this category because they failed in the research questions of the visual category. As Zarkadis et al. (2022) noted, despite visual representations being present in textbooks, students are known to struggle with drawing shapes. In this study, some students ( e.g. , S21 and S9) were able to define the electron cloud concept in the conceptual category with scientific terms. However, they struggled to accurately depict this knowledge in a drawing, resulting in a lower-than-expected number of students in the full scientific category. As visual representations are crucial in teaching concepts in chemistry, students learn through the visual language of shapes ( Schönborn and Anderson, 2006 ; Airey and Linder, 2009 ). Therefore, the obtained result reflects a significant deficiency. The low success rate in the shape-related category is crucial, as noted by Chi (2009) , as it indicates that students hold conflicting ideas and highlights the presence of conceptual misconceptions that need to be addressed. For instance, students like S6, S57, and S24 still demonstrate dominance of the Bohr atomic model in their drawings of the electron cloud model.

According to the study results, the majority of students (75.49%) fall within the hybrid/synthesized ECM. Among these models, the largest percentage (33.33%) is conceptual models. Students with this mental model exhibit understanding at [3] and [4] levels only in conceptual questions, while their understanding at other levels is non-scientific and contains conceptual misconceptions. While only a small number of students (6.95%) possess the relational model, 22.22% have the conceptual–relational model. The findings for each category are discussed separately below.

In the mental models emerging from Table 12 , despite Modern Atomic Theory emphasizing the expression of energy shells at certain energy levels instead of the orbits at specific energy levels in the Bohr atomic model, and stating that these shells are divided into subshells which contain orbitals occupied by electrons, the prevalence of a hybrid structure among students is still observed. This is because, in the Bohr atomic model, electrons are particles that orbit the nucleus at a certain distance in circular orbits. This theory is easily explained to students through animations and is clearly embraced by them. However, in quantum theory, the concept of charge density is the probability of electrons being within a certain volume and unfortunately, even if this situation is transformed into a visual dimension, the existence and properties of a cloud-like structure conflict with the particle concept in the student's mind. Thus, using concepts such as probability, charge density, and orbitals becomes challenging, and the use of a hybrid model is thought to be predominant. These findings align with the notion of a hybrid structure mentioned by Tsaparlis and Papaphotis (2009) , and similar results are found in studies by Harrison and Treagust (2000) , Taber (2002, 2005) , Trindade and Fiolhais (2003) , Park and Light (2009) , Stevens et al. (2010) , and others in the literature. Similar results are also reported in other studies in the literature. For example, Allred and Bretz (2019) found that, despite being taught the quantum model of the atom, many first-year university students still preferred to think in terms of the Bohr model and struggled to understand the meaning of the electron cloud concept. Papageorgiou et al. (2016) indicated that students faced difficulty in adopting modern atomic theory due to the probability concept and had conceptual misconceptions. Additionally, Budde et al. (2002) mentioned that students tend to maintain their existing biases when teaching the probability model, even returning to these biases after education, with no long-term solution.

Conclusions and implications

The results of this study indicate that there are still problems with the comprehensibility of modern theory. One such issue is the persistent nature of misconceptions and the difficulty in eliminating them. Another is the inclusion of a series of abstract concepts in modern theory, such as the concept of probability, the uncertainty principle, and charge density. Besides, it is considered that the probabilistic nature of these concepts creates a significant gap in the student's mind, hindering the full conceptualization of the concept. Moreover, it is observed that the persuasive nature of pioneering models related to atomic models has a lasting effect in terms of persistence. Therefore, we believe that it is particularly important for teachers to emphasize in their lectures that the modern atomic theory represents the current model and that adopting this model will be effective in reducing students' conceptual misconceptions about the atom.

The participation of science high school students in the study, the more detailed program of the science high school in comparison to other high school programs regarding the unit on modern atomic theory, the greater number of class hours allocated to the unit, and the teacher being an experienced chemistry teacher might have led us to achieve better results in the conceptual category. Yet, a higher level of achievement was expected for science high school students. As Papageorgiou et al. (2016) have indicated, several factors such as the chemistry curriculum, class, or individual differences are known to influence students' adoption of one model over another. The electron cloud concept in modern theory is a crucial cornerstone for understanding the structure of the atom. Furthermore, the role of concepts as a springboard in the learning process, allowing students to make connections with their previous learning and to structure concepts healthily in their minds, will also affect the future teaching process. Therefore, unveiling how the electron cloud concept is structured in students' minds, and the constructions and thoughts forming the concept is deemed significant. One reason for the low number of students falling into the fully scientific and partially scientific model categories in the study could be the submicroscopic nature of the electron cloud concept. Previous research has shown that even university students might not have developed the mental models necessary to effectively think about the submicroscopic world ( Chittleborough et al. , 2002 ). This is because, as Gabel (1993) pointed out, concepts are taught in chemistry lessons with little emphasis on microscopic and macroscopic levels. However, as observed from classroom observations on the teaching of the modern atomic theory, the teacher has made an effort to relate concepts with everyday life examples and use analogies instead of presenting them in a symbolic dimension. Indeed, the effectiveness of the analogies made by the teacher in explaining quantum numbers in understanding by students has been observed. Similarly, we believe that developing and applying creative and effective analogies for other concepts will be beneficial. Allowing students to make analogies with the teacher's support in class will, in a sense, lay the groundwork for revealing the structures in their minds. The teacher's feedback and reinforcement to the analogies will enrich the association of concepts, aiding in mental structuring. In addition to known outcomes related to modern atomic theory, it becomes apparent that some educational adjustments related to this theory need to be made in science programs. It may be considered necessary to updated curricula and textbooks to address issues related to the teaching of atomic models, by making new adjustments in the content of programs and textbooks. For example, enabling students to access 3D visuals during lesson explanations through quick response (QR) codes placed in textbooks will be effective in understanding related concepts and making more scientific drawings. Moreover, providing concrete examples with computer support for understanding and relating the concept of probability and the uncertainty principle could also be beneficial.

However, due to the university entrance exam system in Turkey and the anxieties related to this exam, the use of analogies, models, visuals, and computer-assisted education in teaching is limited. As a result, there is a tendency to reinforce topics primarily through multiple choice-type questions, which is thought to have an impact on the findings. Considering the results obtained, it can be suggested to curriculum developers that chemistry lessons in K-12 programs should be delivered using an integrated model of knowledge and skills.

Finally, it is recommended that researchers conduct studies examining the contribution of teaching processes using 3D materials to the teaching of modern atomic theory, specifically looking at their impact on the development of students' mental models.

Limitation of the study

Conflicts of interest, acknowledgements.

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