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Theoretical Framework – Types, Examples and Writing Guide

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Theoretical Framework

Definition:

Theoretical framework refers to a set of concepts, theories, ideas , and assumptions that serve as a foundation for understanding a particular phenomenon or problem. It provides a conceptual framework that helps researchers to design and conduct their research, as well as to analyze and interpret their findings.

In research, a theoretical framework explains the relationship between various variables, identifies gaps in existing knowledge, and guides the development of research questions, hypotheses, and methodologies. It also helps to contextualize the research within a broader theoretical perspective, and can be used to guide the interpretation of results and the formulation of recommendations.

Types of Theoretical Framework

Types of Types of Theoretical Framework are as follows:

Conceptual Framework

This type of framework defines the key concepts and relationships between them. It helps to provide a theoretical foundation for a study or research project .

Deductive Framework

This type of framework starts with a general theory or hypothesis and then uses data to test and refine it. It is often used in quantitative research .

Inductive Framework

This type of framework starts with data and then develops a theory or hypothesis based on the patterns and themes that emerge from the data. It is often used in qualitative research .

Empirical Framework

This type of framework focuses on the collection and analysis of empirical data, such as surveys or experiments. It is often used in scientific research .

Normative Framework

This type of framework defines a set of norms or values that guide behavior or decision-making. It is often used in ethics and social sciences.

Explanatory Framework

This type of framework seeks to explain the underlying mechanisms or causes of a particular phenomenon or behavior. It is often used in psychology and social sciences.

Components of Theoretical Framework

The components of a theoretical framework include:

• Concepts : The basic building blocks of a theoretical framework. Concepts are abstract ideas or generalizations that represent objects, events, or phenomena.
• Variables : These are measurable and observable aspects of a concept. In a research context, variables can be manipulated or measured to test hypotheses.
• Assumptions : These are beliefs or statements that are taken for granted and are not tested in a study. They provide a starting point for developing hypotheses.
• Propositions : These are statements that explain the relationships between concepts and variables in a theoretical framework.
• Hypotheses : These are testable predictions that are derived from the theoretical framework. Hypotheses are used to guide data collection and analysis.
• Constructs : These are abstract concepts that cannot be directly measured but are inferred from observable variables. Constructs provide a way to understand complex phenomena.
• Models : These are simplified representations of reality that are used to explain, predict, or control a phenomenon.

How to Write Theoretical Framework

A theoretical framework is an essential part of any research study or paper, as it helps to provide a theoretical basis for the research and guide the analysis and interpretation of the data. Here are some steps to help you write a theoretical framework:

• Identify the key concepts and variables : Start by identifying the main concepts and variables that your research is exploring. These could include things like motivation, behavior, attitudes, or any other relevant concepts.
• Review relevant literature: Conduct a thorough review of the existing literature in your field to identify key theories and ideas that relate to your research. This will help you to understand the existing knowledge and theories that are relevant to your research and provide a basis for your theoretical framework.
• Develop a conceptual framework : Based on your literature review, develop a conceptual framework that outlines the key concepts and their relationships. This framework should provide a clear and concise overview of the theoretical perspective that underpins your research.
• Identify hypotheses and research questions: Based on your conceptual framework, identify the hypotheses and research questions that you want to test or explore in your research.
• Test your theoretical framework: Once you have developed your theoretical framework, test it by applying it to your research data. This will help you to identify any gaps or weaknesses in your framework and refine it as necessary.
• Write up your theoretical framework: Finally, write up your theoretical framework in a clear and concise manner, using appropriate terminology and referencing the relevant literature to support your arguments.

Theoretical Framework Examples

Here are some examples of theoretical frameworks:

• Social Learning Theory : This framework, developed by Albert Bandura, suggests that people learn from their environment, including the behaviors of others, and that behavior is influenced by both external and internal factors.
• Maslow’s Hierarchy of Needs : Abraham Maslow proposed that human needs are arranged in a hierarchy, with basic physiological needs at the bottom, followed by safety, love and belonging, esteem, and self-actualization at the top. This framework has been used in various fields, including psychology and education.
• Ecological Systems Theory : This framework, developed by Urie Bronfenbrenner, suggests that a person’s development is influenced by the interaction between the individual and the various environments in which they live, such as family, school, and community.
• Feminist Theory: This framework examines how gender and power intersect to influence social, cultural, and political issues. It emphasizes the importance of understanding and challenging systems of oppression.
• Cognitive Behavioral Theory: This framework suggests that our thoughts, beliefs, and attitudes influence our behavior, and that changing our thought patterns can lead to changes in behavior and emotional responses.
• Attachment Theory: This framework examines the ways in which early relationships with caregivers shape our later relationships and attachment styles.
• Critical Race Theory : This framework examines how race intersects with other forms of social stratification and oppression to perpetuate inequality and discrimination.

When to Have A Theoretical Framework

Following are some situations When to Have A Theoretical Framework:

• A theoretical framework should be developed when conducting research in any discipline, as it provides a foundation for understanding the research problem and guiding the research process.
• A theoretical framework is essential when conducting research on complex phenomena, as it helps to organize and structure the research questions, hypotheses, and findings.
• A theoretical framework should be developed when the research problem requires a deeper understanding of the underlying concepts and principles that govern the phenomenon being studied.
• A theoretical framework is particularly important when conducting research in social sciences, as it helps to explain the relationships between variables and provides a framework for testing hypotheses.
• A theoretical framework should be developed when conducting research in applied fields, such as engineering or medicine, as it helps to provide a theoretical basis for the development of new technologies or treatments.
• A theoretical framework should be developed when conducting research that seeks to address a specific gap in knowledge, as it helps to define the problem and identify potential solutions.
• A theoretical framework is also important when conducting research that involves the analysis of existing theories or concepts, as it helps to provide a framework for comparing and contrasting different theories and concepts.
• A theoretical framework should be developed when conducting research that seeks to make predictions or develop generalizations about a particular phenomenon, as it helps to provide a basis for evaluating the accuracy of these predictions or generalizations.
• Finally, a theoretical framework should be developed when conducting research that seeks to make a contribution to the field, as it helps to situate the research within the broader context of the discipline and identify its significance.

Purpose of Theoretical Framework

The purposes of a theoretical framework include:

• Providing a conceptual framework for the study: A theoretical framework helps researchers to define and clarify the concepts and variables of interest in their research. It enables researchers to develop a clear and concise definition of the problem, which in turn helps to guide the research process.
• Guiding the research design: A theoretical framework can guide the selection of research methods, data collection techniques, and data analysis procedures. By outlining the key concepts and assumptions underlying the research questions, the theoretical framework can help researchers to identify the most appropriate research design for their study.
• Supporting the interpretation of research findings: A theoretical framework provides a framework for interpreting the research findings by helping researchers to make connections between their findings and existing theory. It enables researchers to identify the implications of their findings for theory development and to assess the generalizability of their findings.
• Enhancing the credibility of the research: A well-developed theoretical framework can enhance the credibility of the research by providing a strong theoretical foundation for the study. It demonstrates that the research is based on a solid understanding of the relevant theory and that the research questions are grounded in a clear conceptual framework.
• Facilitating communication and collaboration: A theoretical framework provides a common language and conceptual framework for researchers, enabling them to communicate and collaborate more effectively. It helps to ensure that everyone involved in the research is working towards the same goals and is using the same concepts and definitions.

Characteristics of Theoretical Framework

Some of the characteristics of a theoretical framework include:

• Conceptual clarity: The concepts used in the theoretical framework should be clearly defined and understood by all stakeholders.
• Logical coherence : The framework should be internally consistent, with each concept and assumption logically connected to the others.
• Empirical relevance: The framework should be based on empirical evidence and research findings.
• Parsimony : The framework should be as simple as possible, without sacrificing its ability to explain the phenomenon in question.
• Flexibility : The framework should be adaptable to new findings and insights.
• Testability : The framework should be testable through research, with clear hypotheses that can be falsified or supported by data.
• Applicability : The framework should be useful for practical applications, such as designing interventions or policies.

Advantages of Theoretical Framework

Here are some of the advantages of having a theoretical framework:

• Provides a clear direction : A theoretical framework helps researchers to identify the key concepts and variables they need to study and the relationships between them. This provides a clear direction for the research and helps researchers to focus their efforts and resources.
• Increases the validity of the research: A theoretical framework helps to ensure that the research is based on sound theoretical principles and concepts. This increases the validity of the research by ensuring that it is grounded in established knowledge and is not based on arbitrary assumptions.
• Enables comparisons between studies : A theoretical framework provides a common language and set of concepts that researchers can use to compare and contrast their findings. This helps to build a cumulative body of knowledge and allows researchers to identify patterns and trends across different studies.
• Helps to generate hypotheses: A theoretical framework provides a basis for generating hypotheses about the relationships between different concepts and variables. This can help to guide the research process and identify areas that require further investigation.
• Facilitates communication: A theoretical framework provides a common language and set of concepts that researchers can use to communicate their findings to other researchers and to the wider community. This makes it easier for others to understand the research and its implications.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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• CBE Life Sci Educ
• 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.

Supplementary Material

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Writing a Literature Review

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A literature review is a document or section of a document that collects key sources on a topic and discusses those sources in conversation with each other (also called synthesis ). The lit review is an important genre in many disciplines, not just literature (i.e., the study of works of literature such as novels and plays). When we say “literature review” or refer to “the literature,” we are talking about the research ( scholarship ) in a given field. You will often see the terms “the research,” “the scholarship,” and “the literature” used mostly interchangeably.

Where, when, and why would I write a lit review?

There are a number of different situations where you might write a literature review, each with slightly different expectations; different disciplines, too, have field-specific expectations for what a literature review is and does. For instance, in the humanities, authors might include more overt argumentation and interpretation of source material in their literature reviews, whereas in the sciences, authors are more likely to report study designs and results in their literature reviews; these differences reflect these disciplines’ purposes and conventions in scholarship. You should always look at examples from your own discipline and talk to professors or mentors in your field to be sure you understand your discipline’s conventions, for literature reviews as well as for any other genre.

A literature review can be a part of a research paper or scholarly article, usually falling after the introduction and before the research methods sections. In these cases, the lit review just needs to cover scholarship that is important to the issue you are writing about; sometimes it will also cover key sources that informed your research methodology.

Lit reviews can also be standalone pieces, either as assignments in a class or as publications. In a class, a lit review may be assigned to help students familiarize themselves with a topic and with scholarship in their field, get an idea of the other researchers working on the topic they’re interested in, find gaps in existing research in order to propose new projects, and/or develop a theoretical framework and methodology for later research. As a publication, a lit review usually is meant to help make other scholars’ lives easier by collecting and summarizing, synthesizing, and analyzing existing research on a topic. This can be especially helpful for students or scholars getting into a new research area, or for directing an entire community of scholars toward questions that have not yet been answered.

What are the parts of a lit review?

Most lit reviews use a basic introduction-body-conclusion structure; if your lit review is part of a larger paper, the introduction and conclusion pieces may be just a few sentences while you focus most of your attention on the body. If your lit review is a standalone piece, the introduction and conclusion take up more space and give you a place to discuss your goals, research methods, and conclusions separately from where you discuss the literature itself.

Introduction:

• An introductory paragraph that explains what your working topic and thesis is
• A forecast of key topics or texts that will appear in the review
• Potentially, a description of how you found sources and how you analyzed them for inclusion and discussion in the review (more often found in published, standalone literature reviews than in lit review sections in an article or research paper)
• Summarize and synthesize: Give an overview of the main points of each source and combine them into a coherent whole
• Analyze and interpret: Don’t just paraphrase other researchers – add your own interpretations where possible, discussing the significance of findings in relation to the literature as a whole
• Critically Evaluate: Mention the strengths and weaknesses of your sources
• Write in well-structured paragraphs: Use transition words and topic sentence to draw connections, comparisons, and contrasts.

Conclusion:

• Summarize the key findings you have taken from the literature and emphasize their significance
• Connect it back to your primary research question

How should I organize my lit review?

Lit reviews can take many different organizational patterns depending on what you are trying to accomplish with the review. Here are some examples:

• Chronological : The simplest approach is to trace the development of the topic over time, which helps familiarize the audience with the topic (for instance if you are introducing something that is not commonly known in your field). If you choose this strategy, be careful to avoid simply listing and summarizing sources in order. Try to analyze the patterns, turning points, and key debates that have shaped the direction of the field. Give your interpretation of how and why certain developments occurred (as mentioned previously, this may not be appropriate in your discipline — check with a teacher or mentor if you’re unsure).
• Thematic : If you have found some recurring central themes that you will continue working with throughout your piece, you can organize your literature review into subsections that address different aspects of the topic. For example, if you are reviewing literature about women and religion, key themes can include the role of women in churches and the religious attitude towards women.
• Qualitative versus quantitative research
• Empirical versus theoretical scholarship
• Divide the research by sociological, historical, or cultural sources
• Theoretical : In many humanities articles, the literature review is the foundation for the theoretical framework. You can use it to discuss various theories, models, and definitions of key concepts. You can argue for the relevance of a specific theoretical approach or combine various theorical concepts to create a framework for your research.

What are some strategies or tips I can use while writing my lit review?

Any lit review is only as good as the research it discusses; make sure your sources are well-chosen and your research is thorough. Don’t be afraid to do more research if you discover a new thread as you’re writing. More info on the research process is available in our "Conducting Research" resources .

As you’re doing your research, create an annotated bibliography ( see our page on the this type of document ). Much of the information used in an annotated bibliography can be used also in a literature review, so you’ll be not only partially drafting your lit review as you research, but also developing your sense of the larger conversation going on among scholars, professionals, and any other stakeholders in your topic.

Usually you will need to synthesize research rather than just summarizing it. This means drawing connections between sources to create a picture of the scholarly conversation on a topic over time. Many student writers struggle to synthesize because they feel they don’t have anything to add to the scholars they are citing; here are some strategies to help you:

• It often helps to remember that the point of these kinds of syntheses is to show your readers how you understand your research, to help them read the rest of your paper.
• Writing teachers often say synthesis is like hosting a dinner party: imagine all your sources are together in a room, discussing your topic. What are they saying to each other?
• Look at the in-text citations in each paragraph. Are you citing just one source for each paragraph? This usually indicates summary only. When you have multiple sources cited in a paragraph, you are more likely to be synthesizing them (not always, but often
• Read more about synthesis here.

The most interesting literature reviews are often written as arguments (again, as mentioned at the beginning of the page, this is discipline-specific and doesn’t work for all situations). Often, the literature review is where you can establish your research as filling a particular gap or as relevant in a particular way. You have some chance to do this in your introduction in an article, but the literature review section gives a more extended opportunity to establish the conversation in the way you would like your readers to see it. You can choose the intellectual lineage you would like to be part of and whose definitions matter most to your thinking (mostly humanities-specific, but this goes for sciences as well). In addressing these points, you argue for your place in the conversation, which tends to make the lit review more compelling than a simple reporting of other sources.

Methodological Approaches to Literature Review

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• First Online: 09 May 2023
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• Dennis Thomas 2 ,
• Elida Zairina 3 &
• Johnson George 4  

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The literature review can serve various functions in the contexts of education and research. It aids in identifying knowledge gaps, informing research methodology, and developing a theoretical framework during the planning stages of a research study or project, as well as reporting of review findings in the context of the existing literature. This chapter discusses the methodological approaches to conducting a literature review and offers an overview of different types of reviews. There are various types of reviews, including narrative reviews, scoping reviews, and systematic reviews with reporting strategies such as meta-analysis and meta-synthesis. Review authors should consider the scope of the literature review when selecting a type and method. Being focused is essential for a successful review; however, this must be balanced against the relevance of the review to a broad audience.

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Department of Pharmacy Practice, Faculty of Pharmacy, Universitas Airlangga, Surabaya, Indonesia

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Thomas, D., Zairina, E., George, J. (2023). Methodological Approaches to Literature Review. In: Encyclopedia of Evidence in Pharmaceutical Public Health and Health Services Research in Pharmacy. Springer, Cham. https://doi.org/10.1007/978-3-030-50247-8_57-1

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Example Theoretical Framework of a Dissertation or Thesis

Published on 8 July 2022 by Sarah Vinz . Revised on 10 October 2022.

Your theoretical framework defines the key concepts in your research, suggests relationships between them, and discusses relevant theories based on your literature review .

A strong theoretical framework gives your research direction, allowing you to convincingly interpret, explain, and generalise from your findings.

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Table of contents

Sample problem statement and research questions, sample theoretical framework, your theoretical framework, frequently asked questions about sample theoretical frameworks.

Your theoretical framework is based on:

• Your problem statement
• Your research questions
• Your literature review

To investigate this problem, you have zeroed in on the following problem statement, objective, and research questions:

• Problem : Many online customers do not return to make subsequent purchases.
• Objective : To increase the quantity of return customers.
• Research question : How can the satisfaction of the boutique’s online customers be improved in order to increase the quantity of return customers?

The concepts of ‘customer loyalty’ and ‘customer satisfaction’ are clearly central to this study, along with their relationship to the likelihood that a customer will return. Your theoretical framework should define these concepts and discuss theories about the relationship between these variables.

Some sub-questions could include:

• What is the relationship between customer loyalty and customer satisfaction?
• How satisfied and loyal are the boutique’s online customers currently?
• What factors affect the satisfaction and loyalty of the boutique’s online customers?

As the concepts of ‘loyalty’ and ‘customer satisfaction’ play a major role in the investigation and will later be measured, they are essential concepts to define within your theoretical framework .

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Below is a simplified example showing how you can describe and compare theories. In this example, we focus on the concept of customer satisfaction introduced above.

Customer satisfaction

Thomassen (2003, p. 69) defines customer satisfaction as ‘the perception of the customer as a result of consciously or unconsciously comparing their experiences with their expectations’. Kotler and Keller (2008, p. 80) build on this definition, stating that customer satisfaction is determined by ‘the degree to which someone is happy or disappointed with the observed performance of a product in relation to his or her expectations’.

Performance that is below expectations leads to a dissatisfied customer, while performance that satisfies expectations produces satisfied customers (Kotler & Keller, 2003, p. 80).

The definition of Zeithaml and Bitner (2003, p. 86) is slightly different from that of Thomassen. They posit that ‘satisfaction is the consumer fulfillment response. It is a judgement that a product or service feature, or the product of service itself, provides a pleasurable level of consumption-related fulfillment.’ Zeithaml and Bitner’s emphasis is thus on obtaining a certain satisfaction in relation to purchasing.

Thomassen’s definition is the most relevant to the aims of this study, given the emphasis it places on unconscious perception. Although Zeithaml and Bitner, like Thomassen, say that customer satisfaction is a reaction to the experience gained, there is no distinction between conscious and unconscious comparisons in their definition.

The boutique claims in its mission statement that it wants to sell not only a product, but also a feeling. As a result, unconscious comparison will play an important role in the satisfaction of its customers. Thomassen’s definition is therefore more relevant.

Thomassen’s Customer Satisfaction Model

According to Thomassen, both the so-called ‘value proposition’ and other influences have an impact on final customer satisfaction. In his satisfaction model (Fig. 1), Thomassen shows that word-of-mouth, personal needs, past experiences, and marketing and public relations determine customers’ needs and expectations.

These factors are compared to their experiences, with the interplay between expectations and experiences determining a customer’s satisfaction level. Thomassen’s model is important for this study as it allows us to determine both the extent to which the boutique’s customers are satisfied, as well as where improvements can be made.

Figure 1 Customer satisfaction creation 

Of course, you could analyse the concepts more thoroughly and compare additional definitions to each other. You could also discuss the theories and ideas of key authors in greater detail and provide several models to illustrate different concepts.

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

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

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

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What is a theoretical framework | a step-by-step guide, dissertation & thesis outline | example & free templates, what is a research methodology | steps & tips.

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 ...

19 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.

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What is a Literature Review? How to Write It (with Examples)

A literature review is a critical analysis and synthesis of existing research on a particular topic. It provides an overview of the current state of knowledge, identifies gaps, and highlights key findings in the literature. 1 The purpose of a literature review is to situate your own research within the context of existing scholarship, demonstrating your understanding of the topic and showing how your work contributes to the ongoing conversation in the field. Learning how to write a literature review is a critical tool for successful research. Your ability to summarize and synthesize prior research pertaining to a certain topic demonstrates your grasp on the topic of study, and assists in the learning process. 

Table of Contents

• What is the purpose of literature review? 
• a. Habitat Loss and Species Extinction: 
• b. Range Shifts and Phenological Changes: 
• c. Ocean Acidification and Coral Reefs: 
• d. Adaptive Strategies and Conservation Efforts: 

How to write a good literature review 

• Choose a Topic and Define the Research Question: 
• Decide on the Scope of Your Review: 
• Select Databases for Searches: 
• Conduct Searches and Keep Track: 
• Review the Literature: 
• Organize and Write Your Literature Review: 
• How to write a literature review faster with Paperpal? 
• Frequently asked questions 

What is a literature review?

A well-conducted literature review demonstrates the researcher’s familiarity with the existing literature, establishes the context for their own research, and contributes to scholarly conversations on the topic. One of the purposes of a literature review is also to help researchers avoid duplicating previous work and ensure that their research is informed by and builds upon the existing body of knowledge.

What is the purpose of literature review?

A literature review serves several important purposes within academic and research contexts. Here are some key objectives and functions of a literature review: 2  

1. Contextualizing the Research Problem: The literature review provides a background and context for the research problem under investigation. It helps to situate the study within the existing body of knowledge. 

2. Identifying Gaps in Knowledge: By identifying gaps, contradictions, or areas requiring further research, the researcher can shape the research question and justify the significance of the study. This is crucial for ensuring that the new research contributes something novel to the field. 

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3. Understanding Theoretical and Conceptual Frameworks: Literature reviews help researchers gain an understanding of the theoretical and conceptual frameworks used in previous studies. This aids in the development of a theoretical framework for the current research. 

4. Providing Methodological Insights: Another purpose of literature reviews is that it allows researchers to learn about the methodologies employed in previous studies. This can help in choosing appropriate research methods for the current study and avoiding pitfalls that others may have encountered. 

5. Establishing Credibility: A well-conducted literature review demonstrates the researcher’s familiarity with existing scholarship, establishing their credibility and expertise in the field. It also helps in building a solid foundation for the new research. 

6. Informing Hypotheses or Research Questions: The literature review guides the formulation of hypotheses or research questions by highlighting relevant findings and areas of uncertainty in existing literature. 

Literature review example

Let’s delve deeper with a literature review example: Let’s say your literature review is about the impact of climate change on biodiversity. You might format your literature review into sections such as the effects of climate change on habitat loss and species extinction, phenological changes, and marine biodiversity. Each section would then summarize and analyze relevant studies in those areas, highlighting key findings and identifying gaps in the research. The review would conclude by emphasizing the need for further research on specific aspects of the relationship between climate change and biodiversity. The following literature review template provides a glimpse into the recommended literature review structure and content, demonstrating how research findings are organized around specific themes within a broader topic. 

Literature Review on Climate Change Impacts on Biodiversity:

Climate change is a global phenomenon with far-reaching consequences, including significant impacts on biodiversity. This literature review synthesizes key findings from various studies: 

a. Habitat Loss and Species Extinction:

Climate change-induced alterations in temperature and precipitation patterns contribute to habitat loss, affecting numerous species (Thomas et al., 2004). The review discusses how these changes increase the risk of extinction, particularly for species with specific habitat requirements. 

b. Range Shifts and Phenological Changes:

Observations of range shifts and changes in the timing of biological events (phenology) are documented in response to changing climatic conditions (Parmesan & Yohe, 2003). These shifts affect ecosystems and may lead to mismatches between species and their resources. 

c. Ocean Acidification and Coral Reefs:

The review explores the impact of climate change on marine biodiversity, emphasizing ocean acidification’s threat to coral reefs (Hoegh-Guldberg et al., 2007). Changes in pH levels negatively affect coral calcification, disrupting the delicate balance of marine ecosystems. 

d. Adaptive Strategies and Conservation Efforts:

Recognizing the urgency of the situation, the literature review discusses various adaptive strategies adopted by species and conservation efforts aimed at mitigating the impacts of climate change on biodiversity (Hannah et al., 2007). It emphasizes the importance of interdisciplinary approaches for effective conservation planning. 

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Writing a literature review involves summarizing and synthesizing existing research on a particular topic. A good literature review format should include the following elements. 

Introduction: The introduction sets the stage for your literature review, providing context and introducing the main focus of your review. 

• Opening Statement: Begin with a general statement about the broader topic and its significance in the field. 
• Scope and Purpose: Clearly define the scope of your literature review. Explain the specific research question or objective you aim to address. 
• Organizational Framework: Briefly outline the structure of your literature review, indicating how you will categorize and discuss the existing research. 
• Significance of the Study: Highlight why your literature review is important and how it contributes to the understanding of the chosen topic. 
• Thesis Statement: Conclude the introduction with a concise thesis statement that outlines the main argument or perspective you will develop in the body of the literature review. 

Body: The body of the literature review is where you provide a comprehensive analysis of existing literature, grouping studies based on themes, methodologies, or other relevant criteria. 

• Organize by Theme or Concept: Group studies that share common themes, concepts, or methodologies. Discuss each theme or concept in detail, summarizing key findings and identifying gaps or areas of disagreement. 
• Critical Analysis: Evaluate the strengths and weaknesses of each study. Discuss the methodologies used, the quality of evidence, and the overall contribution of each work to the understanding of the topic. 
• Synthesis of Findings: Synthesize the information from different studies to highlight trends, patterns, or areas of consensus in the literature. 
• Identification of Gaps: Discuss any gaps or limitations in the existing research and explain how your review contributes to filling these gaps. 
• Transition between Sections: Provide smooth transitions between different themes or concepts to maintain the flow of your literature review. 

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Conclusion: The conclusion of your literature review should summarize the main findings, highlight the contributions of the review, and suggest avenues for future research. 

• Summary of Key Findings: Recap the main findings from the literature and restate how they contribute to your research question or objective. 
• Contributions to the Field: Discuss the overall contribution of your literature review to the existing knowledge in the field. 
• Implications and Applications: Explore the practical implications of the findings and suggest how they might impact future research or practice. 
• Recommendations for Future Research: Identify areas that require further investigation and propose potential directions for future research in the field. 
• Final Thoughts: Conclude with a final reflection on the importance of your literature review and its relevance to the broader academic community. 

Conducting a literature review

Conducting a literature review is an essential step in research that involves reviewing and analyzing existing literature on a specific topic. It’s important to know how to do a literature review effectively, so here are the steps to follow: 1  

Choose a Topic and Define the Research Question:

• Select a topic that is relevant to your field of study. 
• Clearly define your research question or objective. Determine what specific aspect of the topic do you want to explore? 

Decide on the Scope of Your Review:

• Determine the timeframe for your literature review. Are you focusing on recent developments, or do you want a historical overview? 
• Consider the geographical scope. Is your review global, or are you focusing on a specific region? 
• Define the inclusion and exclusion criteria. What types of sources will you include? Are there specific types of studies or publications you will exclude? 

Select Databases for Searches:

• Identify relevant databases for your field. Examples include PubMed, IEEE Xplore, Scopus, Web of Science, and Google Scholar. 
• Consider searching in library catalogs, institutional repositories, and specialized databases related to your topic. 

Conduct Searches and Keep Track:

• Develop a systematic search strategy using keywords, Boolean operators (AND, OR, NOT), and other search techniques. 
• Record and document your search strategy for transparency and replicability. 
• Keep track of the articles, including publication details, abstracts, and links. Use citation management tools like EndNote, Zotero, or Mendeley to organize your references. 

Review the Literature:

• Evaluate the relevance and quality of each source. Consider the methodology, sample size, and results of studies. 
• Organize the literature by themes or key concepts. Identify patterns, trends, and gaps in the existing research. 
• Summarize key findings and arguments from each source. Compare and contrast different perspectives. 
• Identify areas where there is a consensus in the literature and where there are conflicting opinions. 
• Provide critical analysis and synthesis of the literature. What are the strengths and weaknesses of existing research? 

Organize and Write Your Literature Review:

• Literature review outline should be based on themes, chronological order, or methodological approaches. 
• Write a clear and coherent narrative that synthesizes the information gathered. 
• Use proper citations for each source and ensure consistency in your citation style (APA, MLA, Chicago, etc.). 
• Conclude your literature review by summarizing key findings, identifying gaps, and suggesting areas for future research. 

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Frequently asked questions

A literature review is a critical and comprehensive analysis of existing literature (published and unpublished works) on a specific topic or research question and provides a synthesis of the current state of knowledge in a particular field. A well-conducted literature review is crucial for researchers to build upon existing knowledge, avoid duplication of efforts, and contribute to the advancement of their field. It also helps researchers situate their work within a broader context and facilitates the development of a sound theoretical and conceptual framework for their studies.

Literature review is a crucial component of research writing, providing a solid background for a research paper’s investigation. The aim is to keep professionals up to date by providing an understanding of ongoing developments within a specific field, including research methods, and experimental techniques used in that field, and present that knowledge in the form of a written report. Also, the depth and breadth of the literature review emphasizes the credibility of the scholar in his or her field.  

Before writing a literature review, it’s essential to undertake several preparatory steps to ensure that your review is well-researched, organized, and focused. This includes choosing a topic of general interest to you and doing exploratory research on that topic, writing an annotated bibliography, and noting major points, especially those that relate to the position you have taken on the topic. 

Literature reviews and academic research papers are essential components of scholarly work but serve different purposes within the academic realm. 3 A literature review aims to provide a foundation for understanding the current state of research on a particular topic, identify gaps or controversies, and lay the groundwork for future research. Therefore, it draws heavily from existing academic sources, including books, journal articles, and other scholarly publications. In contrast, an academic research paper aims to present new knowledge, contribute to the academic discourse, and advance the understanding of a specific research question. Therefore, it involves a mix of existing literature (in the introduction and literature review sections) and original data or findings obtained through research methods. 

Literature reviews are essential components of academic and research papers, and various strategies can be employed to conduct them effectively. If you want to know how to write a literature review for a research paper, here are four common approaches that are often used by researchers.  Chronological Review: This strategy involves organizing the literature based on the chronological order of publication. It helps to trace the development of a topic over time, showing how ideas, theories, and research have evolved.  Thematic Review: Thematic reviews focus on identifying and analyzing themes or topics that cut across different studies. Instead of organizing the literature chronologically, it is grouped by key themes or concepts, allowing for a comprehensive exploration of various aspects of the topic.  Methodological Review: This strategy involves organizing the literature based on the research methods employed in different studies. It helps to highlight the strengths and weaknesses of various methodologies and allows the reader to evaluate the reliability and validity of the research findings.  Theoretical Review: A theoretical review examines the literature based on the theoretical frameworks used in different studies. This approach helps to identify the key theories that have been applied to the topic and assess their contributions to the understanding of the subject.  It’s important to note that these strategies are not mutually exclusive, and a literature review may combine elements of more than one approach. The choice of strategy depends on the research question, the nature of the literature available, and the goals of the review. Additionally, other strategies, such as integrative reviews or systematic reviews, may be employed depending on the specific requirements of the research.

The literature review format can vary depending on the specific publication guidelines. However, there are some common elements and structures that are often followed. Here is a general guideline for the format of a literature review:  Introduction:   Provide an overview of the topic.  Define the scope and purpose of the literature review.  State the research question or objective.  Body:   Organize the literature by themes, concepts, or chronology.  Critically analyze and evaluate each source.  Discuss the strengths and weaknesses of the studies.  Highlight any methodological limitations or biases.  Identify patterns, connections, or contradictions in the existing research.  Conclusion:   Summarize the key points discussed in the literature review.  Highlight the research gap.  Address the research question or objective stated in the introduction.  Highlight the contributions of the review and suggest directions for future research.

Both annotated bibliographies and literature reviews involve the examination of scholarly sources. While annotated bibliographies focus on individual sources with brief annotations, literature reviews provide a more in-depth, integrated, and comprehensive analysis of existing literature on a specific topic. The key differences are as follows: 

References 

• Denney, A. S., & Tewksbury, R. (2013). How to write a literature review.  Journal of criminal justice education ,  24 (2), 218-234. 
• Pan, M. L. (2016).  Preparing literature reviews: Qualitative and quantitative approaches . Taylor & Francis. 
• Cantero, C. (2019). How to write a literature review.  San José State University Writing Center . 

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• USC Libraries
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Organizing Your Social Sciences Research Paper

• 5. The Literature Review
• Purpose of Guide
• Design Flaws to Avoid
• Independent and Dependent Variables
• Glossary of Research Terms
• Reading Research Effectively
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Applying Critical Thinking
• Choosing a Title
• Making an Outline
• Paragraph Development
• Research Process Video Series
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• The C.A.R.S. Model
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
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• Evaluating Sources
• Primary Sources
• Secondary Sources
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• Scholarly vs. Popular Publications
• Qualitative Methods
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• Bibliography

A literature review surveys prior research published in books, scholarly articles, and any other sources relevant to a particular issue, area of research, or theory, and by so doing, provides a description, summary, and critical evaluation of these works in relation to the research problem being investigated. Literature reviews are designed to provide an overview of sources you have used in researching a particular topic and to demonstrate to your readers how your research fits within existing scholarship about the topic.

Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper . Fourth edition. Thousand Oaks, CA: SAGE, 2014.

Importance of a Good Literature Review

A literature review may consist of simply a summary of key sources, but in the social sciences, a literature review usually has an organizational pattern and combines both summary and synthesis, often within specific conceptual categories . A summary is a recap of the important information of the source, but a synthesis is a re-organization, or a reshuffling, of that information in a way that informs how you are planning to investigate a research problem. The analytical features of a literature review might:

• Give a new interpretation of old material or combine new with old interpretations,
• Trace the intellectual progression of the field, including major debates,
• Depending on the situation, evaluate the sources and advise the reader on the most pertinent or relevant research, or
• Usually in the conclusion of a literature review, identify where gaps exist in how a problem has been researched to date.

Given this, the purpose of a literature review is to:

• Place each work in the context of its contribution to understanding the research problem being studied.
• Describe the relationship of each work to the others under consideration.
• Identify new ways to interpret prior research.
• Reveal any gaps that exist in the literature.
• Resolve conflicts amongst seemingly contradictory previous studies.
• Identify areas of prior scholarship to prevent duplication of effort.
• Point the way in fulfilling a need for additional research.
• Locate your own research within the context of existing literature [very important].

Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper. 2nd ed. Thousand Oaks, CA: Sage, 2005; Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1998; Jesson, Jill. Doing Your Literature Review: Traditional and Systematic Techniques . Los Angeles, CA: SAGE, 2011; Knopf, Jeffrey W. "Doing a Literature Review." PS: Political Science and Politics 39 (January 2006): 127-132; Ridley, Diana. The Literature Review: A Step-by-Step Guide for Students . 2nd ed. Los Angeles, CA: SAGE, 2012.

Types of Literature Reviews

It is important to think of knowledge in a given field as consisting of three layers. First, there are the primary studies that researchers conduct and publish. Second are the reviews of those studies that summarize and offer new interpretations built from and often extending beyond the primary studies. Third, there are the perceptions, conclusions, opinion, and interpretations that are shared informally among scholars that become part of the body of epistemological traditions within the field.

In composing a literature review, it is important to note that it is often this third layer of knowledge that is cited as "true" even though it often has only a loose relationship to the primary studies and secondary literature reviews. Given this, while literature reviews are designed to provide an overview and synthesis of pertinent sources you have explored, there are a number of approaches you could adopt depending upon the type of analysis underpinning your study.

Argumentative Review This form examines literature selectively in order to support or refute an argument, deeply embedded assumption, or philosophical problem already established in the literature. The purpose is to develop a body of literature that establishes a contrarian viewpoint. Given the value-laden nature of some social science research [e.g., educational reform; immigration control], argumentative approaches to analyzing the literature can be a legitimate and important form of discourse. However, note that they can also introduce problems of bias when they are used to make summary claims of the sort found in systematic reviews [see below].

Integrative Review Considered a form of research that reviews, critiques, and synthesizes representative literature on a topic in an integrated way such that new frameworks and perspectives on the topic are generated. The body of literature includes all studies that address related or identical hypotheses or research problems. A well-done integrative review meets the same standards as primary research in regard to clarity, rigor, and replication. This is the most common form of review in the social sciences.

Historical Review Few things rest in isolation from historical precedent. Historical literature reviews focus on examining research throughout a period of time, often starting with the first time an issue, concept, theory, phenomena emerged in the literature, then tracing its evolution within the scholarship of a discipline. The purpose is to place research in a historical context to show familiarity with state-of-the-art developments and to identify the likely directions for future research.

Methodological Review A review does not always focus on what someone said [findings], but how they came about saying what they say [method of analysis]. Reviewing methods of analysis provides a framework of understanding at different levels [i.e. those of theory, substantive fields, research approaches, and data collection and analysis techniques], how researchers draw upon a wide variety of knowledge ranging from the conceptual level to practical documents for use in fieldwork in the areas of ontological and epistemological consideration, quantitative and qualitative integration, sampling, interviewing, data collection, and data analysis. This approach helps highlight ethical issues which you should be aware of and consider as you go through your own study.

Systematic Review This form consists of an overview of existing evidence pertinent to a clearly formulated research question, which uses pre-specified and standardized methods to identify and critically appraise relevant research, and to collect, report, and analyze data from the studies that are included in the review. The goal is to deliberately document, critically evaluate, and summarize scientifically all of the research about a clearly defined research problem . Typically it focuses on a very specific empirical question, often posed in a cause-and-effect form, such as "To what extent does A contribute to B?" This type of literature review is primarily applied to examining prior research studies in clinical medicine and allied health fields, but it is increasingly being used in the social sciences.

Theoretical Review The purpose of this form is to examine the corpus of theory that has accumulated in regard to an issue, concept, theory, phenomena. The theoretical literature review helps to establish what theories already exist, the relationships between them, to what degree the existing theories have been investigated, and to develop new hypotheses to be tested. Often this form is used to help establish a lack of appropriate theories or reveal that current theories are inadequate for explaining new or emerging research problems. The unit of analysis can focus on a theoretical concept or a whole theory or framework.

NOTE : Most often the literature review will incorporate some combination of types. For example, a review that examines literature supporting or refuting an argument, assumption, or philosophical problem related to the research problem will also need to include writing supported by sources that establish the history of these arguments in the literature.

Baumeister, Roy F. and Mark R. Leary. "Writing Narrative Literature Reviews."  Review of General Psychology 1 (September 1997): 311-320; Mark R. Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper . 2nd ed. Thousand Oaks, CA: Sage, 2005; Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1998; Kennedy, Mary M. "Defining a Literature." Educational Researcher 36 (April 2007): 139-147; Petticrew, Mark and Helen Roberts. Systematic Reviews in the Social Sciences: A Practical Guide . Malden, MA: Blackwell Publishers, 2006; Torracro, Richard. "Writing Integrative Literature Reviews: Guidelines and Examples." Human Resource Development Review 4 (September 2005): 356-367; Rocco, Tonette S. and Maria S. Plakhotnik. "Literature Reviews, Conceptual Frameworks, and Theoretical Frameworks: Terms, Functions, and Distinctions." Human Ressource Development Review 8 (March 2008): 120-130; Sutton, Anthea. Systematic Approaches to a Successful Literature Review . Los Angeles, CA: Sage Publications, 2016.

Structure and Writing Style

I.  Thinking About Your Literature Review

The structure of a literature review should include the following in support of understanding the research problem :

• An overview of the subject, issue, or theory under consideration, along with the objectives of the literature review,
• Division of works under review into themes or categories [e.g. works that support a particular position, those against, and those offering alternative approaches entirely],
• An explanation of how each work is similar to and how it varies from the others,
• Conclusions as to which pieces are best considered in their argument, are most convincing of their opinions, and make the greatest contribution to the understanding and development of their area of research.

The critical evaluation of each work should consider :

• Provenance -- what are the author's credentials? Are the author's arguments supported by evidence [e.g. primary historical material, case studies, narratives, statistics, recent scientific findings]?
• Methodology -- were the techniques used to identify, gather, and analyze the data appropriate to addressing the research problem? Was the sample size appropriate? Were the results effectively interpreted and reported?
• Objectivity -- is the author's perspective even-handed or prejudicial? Is contrary data considered or is certain pertinent information ignored to prove the author's point?
• Persuasiveness -- which of the author's theses are most convincing or least convincing?
• Validity -- are the author's arguments and conclusions convincing? Does the work ultimately contribute in any significant way to an understanding of the subject?

II.  Development of the Literature Review

Four Basic Stages of Writing 1.  Problem formulation -- which topic or field is being examined and what are its component issues? 2.  Literature search -- finding materials relevant to the subject being explored. 3.  Data evaluation -- determining which literature makes a significant contribution to the understanding of the topic. 4.  Analysis and interpretation -- discussing the findings and conclusions of pertinent literature.

Consider the following issues before writing the literature review: Clarify If your assignment is not specific about what form your literature review should take, seek clarification from your professor by asking these questions: 1.  Roughly how many sources would be appropriate to include? 2.  What types of sources should I review (books, journal articles, websites; scholarly versus popular sources)? 3.  Should I summarize, synthesize, or critique sources by discussing a common theme or issue? 4.  Should I evaluate the sources in any way beyond evaluating how they relate to understanding the research problem? 5.  Should I provide subheadings and other background information, such as definitions and/or a history? Find Models Use the exercise of reviewing the literature to examine how authors in your discipline or area of interest have composed their literature review sections. Read them to get a sense of the types of themes you might want to look for in your own research or to identify ways to organize your final review. The bibliography or reference section of sources you've already read, such as required readings in the course syllabus, are also excellent entry points into your own research. Narrow the Topic The narrower your topic, the easier it will be to limit the number of sources you need to read in order to obtain a good survey of relevant resources. Your professor will probably not expect you to read everything that's available about the topic, but you'll make the act of reviewing easier if you first limit scope of the research problem. A good strategy is to begin by searching the USC Libraries Catalog for recent books about the topic and review the table of contents for chapters that focuses on specific issues. You can also review the indexes of books to find references to specific issues that can serve as the focus of your research. For example, a book surveying the history of the Israeli-Palestinian conflict may include a chapter on the role Egypt has played in mediating the conflict, or look in the index for the pages where Egypt is mentioned in the text. Consider Whether Your Sources are Current Some disciplines require that you use information that is as current as possible. This is particularly true in disciplines in medicine and the sciences where research conducted becomes obsolete very quickly as new discoveries are made. However, when writing a review in the social sciences, a survey of the history of the literature may be required. In other words, a complete understanding the research problem requires you to deliberately examine how knowledge and perspectives have changed over time. Sort through other current bibliographies or literature reviews in the field to get a sense of what your discipline expects. You can also use this method to explore what is considered by scholars to be a "hot topic" and what is not.

III.  Ways to Organize Your Literature Review

Chronology of Events If your review follows the chronological method, you could write about the materials according to when they were published. This approach should only be followed if a clear path of research building on previous research can be identified and that these trends follow a clear chronological order of development. For example, a literature review that focuses on continuing research about the emergence of German economic power after the fall of the Soviet Union. By Publication Order your sources by publication chronology, then, only if the order demonstrates a more important trend. For instance, you could order a review of literature on environmental studies of brown fields if the progression revealed, for example, a change in the soil collection practices of the researchers who wrote and/or conducted the studies. Thematic [“conceptual categories”] A thematic literature review is the most common approach to summarizing prior research in the social and behavioral sciences. Thematic reviews are organized around a topic or issue, rather than the progression of time, although the progression of time may still be incorporated into a thematic review. For example, a review of the Internet’s impact on American presidential politics could focus on the development of online political satire. While the study focuses on one topic, the Internet’s impact on American presidential politics, it would still be organized chronologically reflecting technological developments in media. The difference in this example between a "chronological" and a "thematic" approach is what is emphasized the most: themes related to the role of the Internet in presidential politics. Note that more authentic thematic reviews tend to break away from chronological order. A review organized in this manner would shift between time periods within each section according to the point being made. Methodological A methodological approach focuses on the methods utilized by the researcher. For the Internet in American presidential politics project, one methodological approach would be to look at cultural differences between the portrayal of American presidents on American, British, and French websites. Or the review might focus on the fundraising impact of the Internet on a particular political party. A methodological scope will influence either the types of documents in the review or the way in which these documents are discussed.

Other Sections of Your Literature Review Once you've decided on the organizational method for your literature review, the sections you need to include in the paper should be easy to figure out because they arise from your organizational strategy. In other words, a chronological review would have subsections for each vital time period; a thematic review would have subtopics based upon factors that relate to the theme or issue. However, sometimes you may need to add additional sections that are necessary for your study, but do not fit in the organizational strategy of the body. What other sections you include in the body is up to you. However, only include what is necessary for the reader to locate your study within the larger scholarship about the research problem.

Here are examples of other sections, usually in the form of a single paragraph, you may need to include depending on the type of review you write:

• Current Situation : Information necessary to understand the current topic or focus of the literature review.
• Sources Used : Describes the methods and resources [e.g., databases] you used to identify the literature you reviewed.
• History : The chronological progression of the field, the research literature, or an idea that is necessary to understand the literature review, if the body of the literature review is not already a chronology.
• Selection Methods : Criteria you used to select (and perhaps exclude) sources in your literature review. For instance, you might explain that your review includes only peer-reviewed [i.e., scholarly] sources.
• Standards : Description of the way in which you present your information.
• Questions for Further Research : What questions about the field has the review sparked? How will you further your research as a result of the review?

IV.  Writing Your Literature Review

Once you've settled on how to organize your literature review, you're ready to write each section. When writing your review, keep in mind these issues.

Use Evidence A literature review section is, in this sense, just like any other academic research paper. Your interpretation of the available sources must be backed up with evidence [citations] that demonstrates that what you are saying is valid. Be Selective Select only the most important points in each source to highlight in the review. The type of information you choose to mention should relate directly to the research problem, whether it is thematic, methodological, or chronological. Related items that provide additional information, but that are not key to understanding the research problem, can be included in a list of further readings . Use Quotes Sparingly Some short quotes are appropriate if you want to emphasize a point, or if what an author stated cannot be easily paraphrased. Sometimes you may need to quote certain terminology that was coined by the author, is not common knowledge, or taken directly from the study. Do not use extensive quotes as a substitute for using your own words in reviewing the literature. Summarize and Synthesize Remember to summarize and synthesize your sources within each thematic paragraph as well as throughout the review. Recapitulate important features of a research study, but then synthesize it by rephrasing the study's significance and relating it to your own work and the work of others. Keep Your Own Voice While the literature review presents others' ideas, your voice [the writer's] should remain front and center. For example, weave references to other sources into what you are writing but maintain your own voice by starting and ending the paragraph with your own ideas and wording. Use Caution When Paraphrasing When paraphrasing a source that is not your own, be sure to represent the author's information or opinions accurately and in your own words. Even when paraphrasing an author’s work, you still must provide a citation to that work.

V.  Common Mistakes to Avoid

These are the most common mistakes made in reviewing social science research literature.

• Sources in your literature review do not clearly relate to the research problem;
• You do not take sufficient time to define and identify the most relevant sources to use in the literature review related to the research problem;
• Relies exclusively on secondary analytical sources rather than including relevant primary research studies or data;
• Uncritically accepts another researcher's findings and interpretations as valid, rather than examining critically all aspects of the research design and analysis;
• Does not describe the search procedures that were used in identifying the literature to review;
• Reports isolated statistical results rather than synthesizing them in chi-squared or meta-analytic methods; and,
• Only includes research that validates assumptions and does not consider contrary findings and alternative interpretations found in the literature.

Cook, Kathleen E. and Elise Murowchick. “Do Literature Review Skills Transfer from One Course to Another?” Psychology Learning and Teaching 13 (March 2014): 3-11; Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper . 2nd ed. Thousand Oaks, CA: Sage, 2005; Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1998; Jesson, Jill. Doing Your Literature Review: Traditional and Systematic Techniques . London: SAGE, 2011; Literature Review Handout. Online Writing Center. Liberty University; Literature Reviews. The Writing Center. University of North Carolina; Onwuegbuzie, Anthony J. and Rebecca Frels. Seven Steps to a Comprehensive Literature Review: A Multimodal and Cultural Approach . Los Angeles, CA: SAGE, 2016; Ridley, Diana. The Literature Review: A Step-by-Step Guide for Students . 2nd ed. Los Angeles, CA: SAGE, 2012; Randolph, Justus J. “A Guide to Writing the Dissertation Literature Review." Practical Assessment, Research, and Evaluation. vol. 14, June 2009; Sutton, Anthea. Systematic Approaches to a Successful Literature Review . Los Angeles, CA: Sage Publications, 2016; Taylor, Dena. The Literature Review: A Few Tips On Conducting It. University College Writing Centre. University of Toronto; Writing a Literature Review. Academic Skills Centre. University of Canberra.

Writing Tip

Break Out of Your Disciplinary Box!

Thinking interdisciplinarily about a research problem can be a rewarding exercise in applying new ideas, theories, or concepts to an old problem. For example, what might cultural anthropologists say about the continuing conflict in the Middle East? In what ways might geographers view the need for better distribution of social service agencies in large cities than how social workers might study the issue? You don’t want to substitute a thorough review of core research literature in your discipline for studies conducted in other fields of study. However, particularly in the social sciences, thinking about research problems from multiple vectors is a key strategy for finding new solutions to a problem or gaining a new perspective. Consult with a librarian about identifying research databases in other disciplines; almost every field of study has at least one comprehensive database devoted to indexing its research literature.

Frodeman, Robert. The Oxford Handbook of Interdisciplinarity . New York: Oxford University Press, 2010.

Another Writing Tip

Don't Just Review for Content!

While conducting a review of the literature, maximize the time you devote to writing this part of your paper by thinking broadly about what you should be looking for and evaluating. Review not just what scholars are saying, but how are they saying it. Some questions to ask:

• How are they organizing their ideas?
• What methods have they used to study the problem?
• What theories have been used to explain, predict, or understand their research problem?
• What sources have they cited to support their conclusions?
• How have they used non-textual elements [e.g., charts, graphs, figures, etc.] to illustrate key points?

When you begin to write your literature review section, you'll be glad you dug deeper into how the research was designed and constructed because it establishes a means for developing more substantial analysis and interpretation of the research problem.

Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1 998.

Yet Another Writing Tip

When Do I Know I Can Stop Looking and Move On?

Here are several strategies you can utilize to assess whether you've thoroughly reviewed the literature:

• Look for repeating patterns in the research findings . If the same thing is being said, just by different people, then this likely demonstrates that the research problem has hit a conceptual dead end. At this point consider: Does your study extend current research?  Does it forge a new path? Or, does is merely add more of the same thing being said?
• Look at sources the authors cite to in their work . If you begin to see the same researchers cited again and again, then this is often an indication that no new ideas have been generated to address the research problem.
• Search Google Scholar to identify who has subsequently cited leading scholars already identified in your literature review [see next sub-tab]. This is called citation tracking and there are a number of sources that can help you identify who has cited whom, particularly scholars from outside of your discipline. Here again, if the same authors are being cited again and again, this may indicate no new literature has been written on the topic.

Onwuegbuzie, Anthony J. and Rebecca Frels. Seven Steps to a Comprehensive Literature Review: A Multimodal and Cultural Approach . Los Angeles, CA: Sage, 2016; Sutton, Anthea. Systematic Approaches to a Successful Literature Review . Los Angeles, CA: Sage Publications, 2016.

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Eureka! When I learnt how to write a theoretical framework

Feb 6, 2019

Have you checked out  the rest of  The PhD Knowledge Base ? It’s home to hundreds more free resources and guides, written especially for PhD students.  

Have you ever had a eureka moment? A moment where something that you’ve misunderstood for ages becomes crystal clear?

I did, about half way through my PhD.

Did I come up with a ground breaking discovery that would revolutionise my field? Did I develop a new theory that would change the way we think about the world?

I finally understood how to write a theoretical framework.

Sound silly? It isn’t. 

During the one-on-one PhD coaching sessions I run, the issue of how to write a theory framework comes up more frequently than any other. The theoretical framework is important, but many people find it difficult. I know I struggled with it. 

Then someone explained the theory framework to me in such a simple way. Here’s the eureka moment: The theoretical framework is like a toolbox.

Simple, right?

Let me explain. In the literature review you highlighted the problem that needs ‘fixing’. The theoretical framework – the ’toolbox’ – details the theories, propositions, hypotheses (if you’re using them) and concepts – the ’tools’ – that you will use to address or make sense of this problem.

So, your job in a theoretical framework chapter is to discuss in detail what the tools look like, how they behave, how they have been used before, how they relate to one another, how they are relevant to your aims and objectives and what the drawbacks are from using them. The methods chapter then discusses how you will use (operationalise) those tools.

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What is a theoretical framework?

In the literature review you highlighted the problem that needs ‘fixing’. The theoretical framework – the ’toolbox’ – details the theories, propositions, hypotheses (if you’re using them) and concepts – the ’tools’ – that you will use to address or make sense of this problem.

The list of potential explanations for why responses differ is enormous.

You could approach this question with a focus on, say, psychology, power, gender, economics, and so on. The best we can typically hope for – and this is particularly true in much of the social sciences – is an interpretation of the truth.

So – and this is important – we use theory to focus our attention on a small sub-set of all potential explanations, on one particular viewpoint.

Now I know I’m getting into messy epistemological and ontological waters here. I am an interpretivist, so I see theory as a ‘lens’ that you apply to make sense of the world. That’s the shape of my toolbox.

But, even if you’re a positivist you still pick and choose theoretical concepts and hypotheses from a range of available options; you just use them in a different way (rather than a lens, they become testable propositions, or measurement tools).

Without a theoretical framework we are left with a potentially endless choice of potential viewpoints, which would make our data collection and analysis and our discussion hugely chaotic.

Master your lit review & theory framework.

Learn what goes where (and why), and how it all fit together with this free, interactive guide to the PhD literature review and theory framework.

In other words, if we don’t know how to focus our attention, how we can present a coherent explanation? 

The theoretical framework is a natural extension of the literature review. The purpose of the literature review, amongst other things, is to highlight gaps and shortcomings with the existing work in your field.

The theoretical framework details   the perspective you will take   to address that gap and shortcoming.

For example, in   my doctoral research,   my literature review focused on government responses to climate change and pointed out that there hadn’t been much discussion on local government.

The theoretical framework then made an informed decision to come at it from a particular theoretical perspective (institutional theory, if you’re interested) and then discussed what that theory looks like, highlighting the key concepts and ideas. 

In your own research you will also need to make an informed decision about the particular theory you will employ to guide you through the rest of the research.

The theoretical framework is a natural extension of the literature review. The purpose of the literature review, amongst other things, is to highlight gaps and shortcomings with the existing work in your field. The theoretical framework details the perspective you will take to address that gap and shortcoming.

So, the   job of the theoretical framework isn’t to repeat the literature review . Instead, think of it as a   separate, mini literature review , this time focusing on the theory you will employ. You don’t have to discuss every particular use and discussion of the theoretical position you employ. If you did, you’d quickly run out of space and time.

Remember, your examiners are likely to already be familiar with the theory, meaning that rather than discuss every possible thing that there is to discuss about it, you instead need to discuss how and why the theory has been adapted and adopted to the context of your research.

How to structure a theoretical framework

• You need to have a solid grasp of your aims and objectives. These define the space in which your research will sit and your goals when conducting it. You will need to briefly recap these when you start writing your theoretical framework, both to remind the reader and so that you can relate your theory to these overarching aims.
• What theory/theories are you using? Here you need to define and explain each theory you draw upon and, in doing so, discuss the leading proponents and applications. This shows that you understand the theory you are going to adopt.
• You then need to spend time critically arguing why you are adopting this particular theory. There are a lot of potential theories you could use. Why this one? Importantly, you should relate your choice to the discussions in the literature review and your aims and objectives.
• Can the theory/theories be broken down into different schools? Which one are you siding with and why?
• A theory contains a number of concepts. Which will you be drawing upon? Why these ones? Have you defined them properly? The way you approach this section will be influenced by your epistemological and ontological perspective and, thus, whether you use hypotheses or not. If you are using hypotheses, you need to state them as such.
• How do the concepts relate to your aims and objectives?
• Have you clearly stated your ontological and epistemological perspective?
• Are you the first to use this particular theory in this particular way? What benefits or drawbacks does that bring?
• Can you spot any drawbacks with applying this theory? Does it fail to account for a particular dimension of a phenomenon? Is it difficult to operationalize?
• How are your concepts related? Are you using them as hypotheses? Or as a model to make sense of the data? Somewhere in between? Be explicit about how they are all related and what you plan on doing with them.

The goal of writing up a theoretical framework is to tell the reader why you have chosen particular theories, how they relate to the gap in the literature, and how they relate to your aims and objectives.

A short (but necessary) note on ontology and epistemology 

How do i choose theories and create my framework.

Unless you are using an inductive methodological approach (where you generate theory from the data), you will likely approach your fieldwork with a theoretical framework in mind. Which theory or theories you choose is, in part, down to your aims and objectives and whether there is a relevant theory available ‘off-the-shelf’ that is appropriate for your needs.

There are generally three strategies that researchers use to develop their theoretical frameworks: 

• There may be theories in your field that have arisen on the basis of repeated observation and testing and which are widely accepted.
• Or, you might find that you need to select concepts from multiple theories and create a novel framework that is unique to your particular context.
• A growing and important trend in social research is to adopt an interdisciplinary perspective when trying to understand the social world. This can be achieved by looking beyond the dominant, well-established theories and thinking about how other theories, particularly those from other disciplines or sub-disciplines, can be used.

In any case, you must consider the following when selecting a theory:  

• Identify your ontological and epistemological beliefs.
• List several theories that align with your epistemological position and which can aid your understanding of the phenomenon under investigation.
• Engage in literature review around those theories, both to familiarise yourself with them but also to understand their relevance to your study.
• Ask yourself how each theory connects to your problem, aims & objectives.
• Select the theory or theories that provide more relevant tools for your thesis. 

I have more than one theory. What do I do?

  Often, you need to combine concepts, hypotheses or ideas from more than one theoretical school. Employing   more than one theory is entirely legitimate.   I did so in my PhD. 

  However, you need to  consider a few key questions : 

Are the theories you are bringing together epistemologically compatible? 

Have you discussed each theory in the same level of detail to adequately explain the theory, your justification for its inclusion, its relation to the literature and its potential drawbacks? 

What benefits does focusing on more than one theory bring? Perhaps one theory has shortcomings that the other addresses? 

What downsides are there to employing more than one theory? 

Has anyone else used this combination of theories before you? 

The theoretical framework is a tricky section to write, largely because the choice available to you is huge.

But   keep that toolbox metaphor in mind. 

  Each theory contains a number of tools. Your job in the theory framework is to take the tools you need for your project from the most relevant theory/theories and package them up into your own toolbox.

When you’re done, you should see that the theory framework offers:

• Structure, by detailing the key concepts, tools and, where relevant, hypotheses
• A way to connect to other research
• A coherent, joined up set of ideas that structure the writing and help to create an argumentative streak that can run throughout your thesis
• An approach that can be reused in additional contexts once you’re done

Along the way, you need to convince the reader that you’ve picked and applied the most appropriate tools possible, given your aims and objectives.

The theoretical framework frames the research. If you build that frame right, your research will shine. If you don’t then you’ll struggle.

If you need expert guidance to structure, plan or write your theory framework you can get in touch for a one-on-one coaching session . It’s like having a personal trainer, but for your PhD. 

Share this:

67 comments.

A great read. Quite some insight into my Phd journey. The conceptual framework?

Glad you found it useful. You having trouble with your conceptual framework?

This is enlightening. I was struggling with my Theoretical framework. I will apply the guidelines here and await feedback from my supervisor. Thanks

I’m glad you found the post useful. Thanks for your kind words.

I came across your posts while helping my wife with her work (I finished my PhD two years ago), and I keep thinking…hmmm the pain I went through to learn this… thank you for making it so easy for others…

Thanks for the kind words. I remember how difficult I found my own PhD, so my motivation is to make life easier for as many other PhD students as possible.

i need some more clear version to develop a theoretical framework. kindly contact me through email. thank you

Great insights. I have read through your thesis. You did a lot of quality work. I see the EM, Environmental Policy Capacity and the institutions theory all discussed. Really detailed and linked. Let me see how mine goes

I’ve sent you an email. I’d be glad to help.

This is very helpful because am really struggling to write my theoretical section. I have a question, I selected a framework but realised it has shortcomings, so I decided to include a model, but also I have another theory. All the three are confusing me how to structure them please I need your help. Thanks

Hi Carolyne,

Thanks for your email. Do you want to have a one-on-one coaching session with me? We’ll be able to get to the bottom of your confusion and clear up your theory problems once and for all. Click here for more details and to book yourself in.

Do you have a structured outline, similar to the overall diss outline, for the theoretical framework?

I sure do. You can find it here: https://www.thephdproofreaders.com/wp-content/uploads/2019/02/Theoretical-Framework-Template_AW_20190208.pdf

What are the advantages of having a chapter on theoretical framework independent of the Literature Review chapter. Please assist.

Thanks for your comment. Whether or not you need a separate literature review and theory framework chapter depends on how distinct they are from one another and on how complex each chapter is. It may be the case that you need two chapters because to discuss both in one would make the chapter very large, complex and hard to follow. Also, it is often the case that the theory framework builds on and addresses gaps you’ve highlighted in your literature review, so for that reason it makes sense to keep them as two separate chapters.

But which one comes first? I thought theoretical framework comes earlier than literature review or is it in a proposal where it is structured that way?

Typically the lit review comes first, then the theory. The lit review makes the case for the research and the theory framework shows the approach you will take to conduct the research.

Thanks for the kind words 🙂

Dear Max, I am using multiple related concepts to frame my research. I am confused whether to dedicate a complete chapter to explain only these five concepts, or just operationalise them in one of the chapters. Again, is introducing these concepts early in my introductory chapter a good idea as it forms one of my research questions. This means I have answered the question in the introductory chapter

Thanks for your comment. Whether or not such concepts end up in your introduction/context discussion will depend in part on whether they are framing your research (as in, providing the background or context) or whether you’re using them to answer your research questions (in which case they’ll form part of your theory framework and will therefore come at a later stage).

Dear Max, I was searching how to structure Theoretical framework and came across your writing. Thank you for this, it is really helpful. I’m one of those phd students who struggles with Theoretical framework :/ I would appreciate your help if possible. Could you please outline, how can I reach you?

Thanks for your kind words. I’m glad you’re finding the phD Knowledge Base useful. You can reach me at max[at]thephdproofreaders.com

Speaks soon!

I’m so confused about my theoretical framework. Could you possibly help please?

Sure. Have you checked out the one-on-one PhD coaching service we offer? It sounds just that’s just what you need.

I couldn’t express how grateful I am. MAY YOU BE SHOWERED WITH BLESSINGS

Thanks! I’m glad you found the advice useful.

wow!!! thank you very much , I have been struggling to write my theoretical framework . thank you.

You’re welcome!

Dr. Max I am expecting to learn more on how to pick the right literatures, related to my theme. all of them seem very nice and informative. I am having hard time to select them. and also I have difficulties in starting the sentence of my Introduction. I am researching on “the impact of Prosperity gospel in Tanzanian mainline churches”. my topic is very popular and many has been said … I feel like I am saying what has been said .

Thanks for your comment. I wish you the best of luck.

Hi Max, Great read. Doing my MA Thesis after years away from academia has been a challenge to say the least. Your article provided clarity that I have been asking for/seeking elsewhere (supervision/consultant) for months. Wish I had of found it earlier but glad I came across it.

Thank you and all the best in these uncertain times.

Great! Glad you’re finding the resources useful. Good luck with the rest of the thesis.

Dear Max, thank you very much, many things got clear after reading this. I have a question, I am using political capability approach as my theoretical foundation which is part of RBW theory. So technically it is not a theory but just an approach, so does this indirectly mean that I am USING RBW Theory? Many Thanks

Hi – glad you found it useful. Without knowing more about your project I’m afraid I can’t advise about your choice of theory framework. Have you approached your supervisor with this question?

This is a very helpful article.

Glad you enjoyed it!

This has been one of the best articles that has clearly outlined the Theoretical framework. Kindly do a Youtibe video for auditory learners with real examples. It will greatly assist me especiall. I am glad I found this article.

Thanks for the kind words and for your feedback. I’ll take it on board for future guides.

Thanks so much for this which has helped me with a sticky bit as I move forward to discover new theoretical concepts from slightly outside my field that fit better than those I started out with. A part-time PhD has such a long life that it leaves too much room for changes and adaptations! A big thank you to Rebecca Baker on a Shut Up and Write Session who referred me to this!

I’m glad you found the guide useful. Thanks to you and to Rebecca Baker!

I found this post very helpful, thanks for sharing

Thanks for reading!

Thank you for this crisp advice on Theoretical framework. personally i have been experiencing difficulties selecting appropriate theory related to the study. However your advice was really beneficial. God bless you for your kindness towards us researchers.

Thanks for the kind words Roshni.

Thank you so much for sharing this information regarding the theoretical framework. I revisited my chapter and strengthened it based on the pointers you outlined here. This is a must read before drafting the chapter. Very helpful ?

Thanks for the kind words. I’m glad you found it useful.

This came just in time! I’m taking a research philosophy course and this week’s discussion is “Theory and Theoretical Frameworks”. I found this very helpful.

Great. I hope it helped deepen your understanding.

Thank you Dr Lempriere for this insightful article. I have just started my PhD journey and I found this article to be very useful and eye-opening.

Interesting and excellent read.

Thank you so very much for sharing your intellectual insights on this.

Hi this is really useful thank you. I have a question regarding one of my tools. I realise (quite late) that I am using one tool in a *generalised* way. I could put this another way – the context in which I found this tool constituted a more particular use of this more general tool, and I am seeking to retrieve it for a more general use. This opens the question – on what grounds am I employing a generalised form of this tool? What constraints govern this process of generalisation? Etc. I wish I’d dealt with this earlier… Do you have any thoughts on how I navigate this?

Hi – I’d love to give you advice, but without knowing more about your research and thesis any advice I would give wouldn’t be qualified. Sorry I can’t be of more help.

I loved your explanation, but what if you ARE doing an inductive project?

I found your article very useful, thank you! I am currently building a Foucauldian theoretical framework through which to discuss a phenomena (“Karens”).

Do you any academic articles which I can use to justify using the interpretavist approach (using theory as a lens)? I cant find anything through my searches.

Hi – sorry, we don’t I’m afraid.

Surely, this is a great lesson offered. How I pray I had your email, I would love to learn more from you. Thank you

Been struggling with my Phd and literature review . This has been very helpful. Is it possible for you to share your email so i can engage more with you and get some insights and help

Really really helpful guide, I am so grateful to you for providing this! It is helping me immensely in developing my own framework, a task which previously seemed scary, confusing and impossible!

Thanks for this. It is very useful. So should I first write my Lit review and then only the theoretical framework? TIA

Thanks! It’s hard to say without knowing more about your project, I’m afraid!

Thank you for the wonderful work. I want to know if theoretical frame work can presented in a diagram form

You’re welcome! Yes, your theory framework can be presented visually. It’s a great way of showing the framework in a clean, simplified way. It also serves as a useful reference guide for people to easily refer back to if they want to remind themselves of what your theory framework looks like.

I found your article highly informative. I recently enrolled for my PhD and my supervisor asked me to submit my Research outline. Does the outline have to have that detailed Theoretical framework. Again how best can I choose the theoretical framework suitable for my topic. If I may have a list of Theoretical frameworks I will be happy. I will also be grateful to have a direct contact with you.

A great insight into how to write a theoretical framework, simple and jargon free, the article makes the purpose and the method of writing the chapter explicit. Thank you.

That’s so kind of you Sethu. I’m glad you found it useful.

i WOULD LIKE TO KNOW WHAT IS THE IDEAL PLACE TO SITUATE THE THEORETICAL FRAMEWORK AND CONCEPTUAL FRAMEWORK WITHIN THE LITERATURE REVIEW? Peter Nemaenzhe

The theory/conceptual framework is often its own chapter between the lit review and methods. Sometimes though you can include it in the literature review, but I would suggest including it towards the end. I.e. do the lit review first, then introduce the theory framework.

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Center for Policy, Research, and Evaluation

Theoretical frameworks and literature review.

To situate findings from this evaluation in a broader context, we root our data collection, analysis, and findings in theories on de-tracking, implementation of major educational reforms, and Critical Race Theory.

A review of research on de-tracking efforts reveals that simultaneous changes in three areas are necessary for de-tracking to be successful: 

• instruction
• institutional structures

Instruction should provide opportunities for diverse ways of learning, keep learners actively involved, provide support for individuals as needed, and create a safe and respectful learning community (Rubin, 2006). Institutional structures should allow for more time and resources for teacher professional development, collaborative time, and instructional retooling and should enable additional social and academic supports for students. Finally, belief systems should shift among educators, students, and families, whereby these stakeholder groups come to believe that all students can learn and engage in rigorous coursework.

When implementing large-scale reforms in schools, such as de-tracking, it is crucial to ask not just whether or not the reform worked, but also what conditions facilitated or impeded the success and sustainability of the reform. A longitudinal study across 22 Chicago elementary schools suggests that 5 “essential supports” contribute to school improvement over time (Bryk et al., 2010). These include:

• School leadership: e.g. teacher leadership, parent and community involvement, program coherence, and instructional leadership
• Parent-school-community ties : e.g. teachers’ knowledge about student culture and the local community and family engagement practices
• Professional capacity : e.g. quality of human resources, quality of professional development, professional dispositions, and professional community
• Student-centered learning climate : e.g. safety and order, teachers’ academic press and personalism, and supportive peer norms
• Instructional guidance : e.g. curriculum alignment, intellectual emphasis and pedagogical methods.

Bryk and colleagues (2010) found that schools strong on at least three of the five essentials were 10 times more likely to show substantial gains in student learning over time than schools weak on three or more of the five essentials. Additionally, a persistently low score in just one of the five essentials reduced the likelihood of improvement to less than 10 percent. Schools with higher levels of relational trust between teachers and school leaders, among teachers, and between teachers and families tended to have stronger essential supports.

In “So Much Reform, So Little Change,” educational scholar Charles Payne (2008) elaborates on how the common focus on “what works” is misplaced. As Bryk and colleagues suggest, more time should be allotted to understanding the conditions that allow for successful and sustainable implementation in schools. Such implementation is more likely where certain conditions are met. These conditions include elements based on the following list:

Teachers have a sense of efficacy and believe in students and their families.

• Teachers and school leaders have strong buy-in for the reform; as Payne says, “the Big Magic” is “in the thinking and understanding of the people who implement, in the approach they take, in the values they hold dear.” (p. 189)
• Principals are active, engaged, and supportive.
• Schools focus on doing less well and with coherence.
• There is ample time for teacher professional development, common planning, and for teachers to spend with the school leader and coach troubleshooting specific issues.
• A stable team of coaches and consultants are available to support implementation and help school’s problem-solve.
• Schools have several consecutive years to implement the reform; studies of one whole school reform model showed that effects increased substantially after the 5th implementation year.
• Scaling up occurs slowly and cautiously.

In response to these conditions, Payne suggests, “It ain’t the thing that you do, it’s the way you do it,” (p. 190). Thus, we would expect EFA to be implemented and adapted more successfully in schools with stronger levels of the five essential supports. We would also expect for EFA to be more successful if the conditions outlined above are met.

It is also important to recognize that EFA, like many urban district reforms, is situated within a broader district context, and thus implementation will be influenced by this context. The Public Education Leadership Project (PELP) Coherence Framework, derived from interactions with hundreds of U.S. public school leaders, offers a blueprint for district-wide school improvement efforts (Childress, Elmore, Grossman, & King, 2011). As shown in Figure 1, the framework centers the “instructional core,” which consists of teachers’ knowledge and skill, students’ engagement in their own learning, and academically challenging content. According tothe Framework, districts should create a theory of change that articulates a belief about how to improve the instructional core. This theory of change should then inform a high-leverage strategy that enhances all three components of the instructional core and their interaction. Leaders must engage various stakeholders in the development of this strategy and communicate it widely to ensure buy-in and ownership. They must also identify which elements of the strategy schools should adapt and where schools have freedom to adapt the strategy to their unique context. Implementation of strategies is influenced by culture (i.e. norms and behaviors), structure (e.g. departments, taskforces, informal power), systems (e.g. resource allocation, organizational learning, accountability), resources (people, financial resources, technology), and stakeholders (unions, parents, civic and community leaders and organizations, governing bodies). Finally, the influence of environmental elements beyond the district’s control, including regulations and statues, contracts, funding, and politics must always be considered.

It should be noted, however, that dismantling racial opportunity barriers is not a politically innocent endeavor, particularly in a school district with a long and infamous history of racial segregation and racism. Critical Race Theorists argue the permanence of racism and its consequential impacts on the educational opportunities for historically vulnerable students (Bell, 1992; Crenshaw, Gotanda, Peller, and Thomas, 1995; Ladson-Billings and Tate, 1995). Milner (2017) argued that inequities become “ingrained and deeply embedded in the policies, practices, procedures, and institutionalized systems of education” (p. 294). Efforts to implement district reforms to dismantle these systems, therefore, need to be intentional.

Specifically, a critical race theory approach to education“involves a commitment to develop schools that acknowledge the multiple strengths of communities of color in order to serve a larger purpose of struggle toward social and racial justice,” (Yosso, 2005, p. 69).

To better understand reform efforts in BPS, we examine academic literature on dismantling racism in urban public schools, barriers to learning opportunities for historically marginalized students, and academic enrichment similar to EFA being implemented across the US and their role in achieving student academic and socioemotional growth.

Dismantling Racism

Achieving educational equity means much more than addressing individual barriers. Educational equity involves systematically dismantling oppressive forces to achieve educational liberation and justice (del Carmen Salazar, 2013; Johnston, D’Andrea Montalbano, & Kirkland, 2017). Achieving educational equity to ensure that all students are world-class learners and best prepared for college or the workforce means having difficult conversations about race and its implications on student outcomes. Research demonstrates that children are most successful in classrooms where they feel valued, and their lived experiences are acknowledged and supported by their educators (Paris & Alim, 2017). However, the history of public education in the United States is one of exclusion and disenfranchisement, particularly for students of color (Yosso et al, 2005; Ladson-Billings & Tate, 1995; Paris, 2012).

A legacy of inequity in US public schools perpetuates various disadvantages for marginalized students, including access to academic enrichments, quality school environments, qualified educators, and access to quality school materials/resources (Picower 2009; Yosso et al, 2005; Ladson-Billings & Tate, 1995). In fact, research demonstrates that schools that are majority comprised of students of color (90 percent or more) spend $733 less per student per year than schools with 90 percent or more white students (OCR, 2014). Subsequently, Black students are often located in schools with less qualified teachers, teachers with lower salaries, and novice teachers (OCR, 2014). Inequities such as these create unequal learning opportunities and perpetuate beliefs surrounding academic ability for students for color. In fact, students of color are fully capable of learning, but instead experience compounding disadvantage (e.g. poverty, inadequate schooling systems, targeted disciplinary action, etc.) that contributes to differences in academic attainment. Therefore, dismantling school policies and norms that reinforce oppressive educational practices is critical and calls for schooling systems to identify and examine factors that perpetuate racism.

Supporting the academic, social, and emotional well-being of students of color means working to dismantle racism in US public schools. Addressing the systemic inequities that have plagued the US public education system for decades requires hard work and a long-term commitment to serving historically marginalized communities (Paris & Alim, 2017; Ladson-Billings, 2014).

Implementing anti-racist policies as well as culturally relevant and linguistically sustaining practices can aid in shifting mindsets surrounding educating students of color.

Anti-Racist Education

In order to achieve true liberation and justice, schools should move toward becoming anti-racist institutions. Anti-racist education is described as a means to address racism directly (Kendi, 2019; Foster, 2019). Anti-racist teaching confronts prejudice through the discussion of past and present racism, stereotyping and discrimination in society by teaching the economic, structural and historical roots of inequality,” (McGregor, 1993, p. 2). When districts take a stance on being anti-racist, they are prioritizing the needs of students of color, acknowledging that systematic functions pose barriers to their academic achievement. The implementation of anti-racist education through teaching 1) disrupts color-evasiveness and engages in deep conversations about the prevalence of racism and white supremacist practices that impede on the learning of students of color, 2) identifies individual biases of school teachers and leaders as well as acknowledges the impact it can have on teaching policies and practices, and 3) ensures that school curriculum and instruction is culturally relevant and linguistically sustaining, which is detailed in the section below (Foster, 2019).

Through these practices, we distinguish anti-racist education from schools identifying as a multicultural space, as the focus is on the centering the needs of students of color, rather than immersing them into a schooling system that wasn’t built to serve or understand their specific needs (Tator and Henry, 1991; McGregor, 1993). Tator and Henry (1991) argued that anti-racist education differs from multicultural education, as a focus on being multicultural “... ignores the fact that racial differences, and the racial discrimination which flows from [those visible differences] must be challenged by changing the total organizational structures of the institutions.” (p.122). Thus, multicultural education can continue to perpetuate disadvantages for students of color by merely attempting to integrate their experiences into the curriculum rather than addressing the systemic and institutional barriers in place that may impede on the experiences of students of color in educative spaces.

The racial and ethnic mix of U.S. public school students is increasingly diverse, but schooling policies and practices have not evolved to effectively educate these changing demographics. Without educational strategies that acknowledge and incorporate the diverse backgrounds of their students, public school systems will continue to fail to adequately support low-income students of color and eliminate gaps in academic outcomes (Paris & Alim, 2017).

Culturally Relevant and Linguistically Sustaining Education

In order to best serve students of color, Emergent Bilingual students, SWDs, and economically disadvantaged students, school districts should focus on implementing practices that are culturally responsive and linguistically sustaining (Paris & Alim, 2017). Culturally responsive and linguistically sustaining education requires a focus on “sustain[ing] the lifeways of communities who have been and continue to be damaged and erased through schooling,” as longstanding negative perceptions has framed these populations through a deficit framework (Paris & Alim, 2017, p.1). Deficit thinking has not only contributed to oppressive school cultures and climates where the experiences of historically marginalized students are ignored but has also cultivated environments where white-middle class values are viewed as a superior prerequisite to successful educational outcomes.

The implementation of CRLS practices“explicitly calls for schooling to be a site for sustaining—rather than eradicating—the cultural ways of being of communities of color by perpetuat[ing] and foste[ing] linguistic, literate, and cultural pluralism as part of schooling for positive social transformation and revitalization,” (Paris & Alim, 2017). Within schools, these practices can be observed as 1) empowering students to share their unique perspectives, 2) incorporating varying learning styles, such as oral stories, to emulate culturally significant practices, 3) being inclusive in classroom materials so students are able to see themselves in the work, and 4) enhancing students’ learning by connecting material realities, and access to institutional power to their lived experiences (Paris, 2012; Paris & Alim, 2017). Culturally relevant and sustaining practices such as these support historically marginalized students by “linking school and culture,” (Ladson-Billings, 1995) to ensure that all students are supported in being academically, socially, and emotionally successful in their schooling. Thus, culturally responsive and sustaining pedagogy exists to further the pursuit for educational justice in an effort to dismantle racist institutions in “the place where the beat drops” (Ladson-Billings, 2014, p. 76).

Public schooling systems cannot be considered equitable until they truly serve the needs of all students. Thus, dismantling racism in schools must be a targeted effort in order for equity to be achieved.In the next section, we will discuss the barriers for students may exist around their race, gender, SES, language, and SWD status.

Barriers to Opportunities

There are many systematic barriers that impede the educative process of students (del Carmen Salazar, 2013; Cherng, 2017; Milner, 2013; Horsford, 2010). As previously highlighted, students of color often experience exclusionary practices that interfere with their classroom learning, peer interactions, and relationships with educators. Emergent bilingual students, SWDs, and economically disadvantaged students also experience oppressive forces within American schooling systems that ostracize and criminalize their existence (Ladson-Billings, 2014; del Carmen Salazar, 2013; Cherng, 2017; Paris & Alim, 2017). In this section, we will discuss specific factors needed to create equitable learning environments, such academic enrichments, resources,and school supports, cultural competency training, and educators of color, as well as discuss how disciplinary practices often criminalize historically marginalized students.

Differential Access to Academic Enrichments, Resources, and School Supports

In many large urban public-school districts, students take high-risk tests to place into academic advancement opportunities (e.g. advanced work courses, best performing district schools, etc.) However, as previously highlighted in this report, there are noted disparities in access to and availability of academic enrichments, resources, and school supports for historically marginalized students, contributing to an observable opportunity barrier. Rather than speaking to the persistent disparity in academic achievement between different student groups, the opportunity barrier highlights the role of race/ ethnicity, socioeconomic status, language proficiency, or other factors on perpetuating inequities (Milner, 2012; Welner & Carter, 2013). This narrative shifts the focus from blaming students for “academic failures” and examines the system that distributes inequitable access to resources and opportunities that promote student success (Milner, 2012; Welner & Carter, 2013).

For example, research outlines that Black students are less likely than white students to have access to enrichment classes, including college-readiness courses and honors placements (OCR, 2014). In fact, the United Negro College Fund (UNCF) (2016), reported that across the US in 2012, only 57% of Black students had access to a full range of math and science classes in comparison to 71% of white students. Additionally, Black and Latinx students are less likely to be in schools offering enrichment opportunities (OCR, 2014), and even when these resources are available, Black and Latinx students are less likely to be placed in honors or advanced placement courses. According to UNCF, Black and Latinx students combined represent only 29% of students enrolled in at least one advanced placement course, even though 38% of the schools these students attend offer AP (ACT & UNCF, 2016).

Ability grouping disproportionately impacts students of color, Emergent Bilinguals, and SWDs. These students are often placed into lower ability courses due to factors such as lower teacher expectations due to students racial/ethnic background, lack of necessary culturally responsive and sustaining engagement skills from educators to build critical relationships with families, and ineffective teaching strategies/lack of culturally responsive and sustaining curriculum and instruction. Until students of color are given the same resources and supports to be successful, barriers to learning will persist, causing differential outcomes in student academic performance.

Lack of Cultural Competency and Educators of Color

Students live complex lives both within and outside of school. Research details the challenge many historically marginalized students experience when matriculating in urban public schools during a period of intensified racist and xenophobic politics and policies (Rogers et all, 2017). At current, many historically marginalized students and their families are immersed in broader societal conflicts surrounding race, immigration, gender and sexual identity. The current environment can generate high levels of anxiety for many Americans, but especially for historically marginalized students and their families.

Hence, implementing culturally responsive and sustaining practices in schools, such as anti-oppressive trainings for teachers is critical (Ladson-Billings, 1995; Flynn, 2015; Lopes- Murphy & Murphy, 2016). Cultural competence trainings in schools should include 1) generating cultural knowledge and understanding about students, 2) stimulating conversations with students and families to best understand how to work in collaboration, 3) checking individual biases about particular groups of students, and 4) calling out racism and other discriminatory practices that systematically target a particular group of students (Ladson-Billings, 1995; Paris, 2012; Cherng, 2017; Morrison et al., 2008). Becoming culturally competent will not happen through the attendance of a singular workshop or professional development day. Rather cultural competency is achieved through the systematic implementation of policies, practices, and behaviors that support a culturally responsive and sustaining learning environment (Ladson-Billings, 1995; Paris, 2012; Howard, 2003).

Diversification of the teaching force by hiring more teachers of color has been proposed as the simplest solution to increase asset-based teaching in schools serving students who have been historically marginalized. Increasing the number of teachers of color could help to mitigate the structural inequities and the lack of cultural understanding amongst teachers (Lewis et al., 2008). This is especially critical as historically marginalized students are now the majority of public-school enrollees (NCES, 2017). For example, students of color have made up a majority of the student body since 2014, students in poverty since 2015, and more than 25% of public-school students are first- or second-generation immigrants, (NCES, 2017). Yet nationally, the teaching force is predominantly white (around 80% according to recent statistics), and New England reflects this national trend. In Massachusetts, students of color made up 38% of all public-school students in the 2018-19 school year (MA DESE, 2019), but only 10% of teachers were people of color (MA DESE, 2019). In Boston, these numbers are 82% and 46% respectively. While the teaching force in Boston is more racially diverse, it still does not fully reflect the student body and poses concern around educator ability to connect with the changing demographics and needs of students and their families.

Boston is a racially and ethnically diverse city. From the perspective of marginalized families, some are entering schools where white people hold positions of authority, namely as teachers and administrators (Vaught, 2008). Recent literature has indicated that the overrepresentation of white educators in urban schools has led to a lack of school-to-home collaboration and cultural understanding between schools and families. Researchers have described the significance of having culturally competent educators and educators of color to build these connections (Jupp & Slattery, 2012; Sleeter, 2017; Ullucci, 2011). For instance, research has highlighted the experiences of some teachers who have spoken about white resistance to and fatigue from learning about race and culture (Crowley & Smith, 2015; Flynn, 2015). Educators who are unable or unwilling to break down cultural barriers to understand the lived experiences of their students and families can cause a significant barrier for student achievement (Paris & Alim, 2017).

Lack of Student Voice

Similar to diversification of the teaching force, incorporating student voice and cultural knowledge into classroom instruction empowers students with direct ownership of their learning experience. However, in most US classrooms, the structure of K-12 schooling is hierarchical (Kohli, 2017).

A typical hierarchical model recognizes people who are in positions of authority and power, such as principals, administrators and teachers, while viewing students and their families as secondary participants (Kohli, 2017). Incorporating student voice into the classroom is a culturally responsive and sustaining practice that allows students to share who they are and what they believe with their fellow peers and educators (Paris, 2012; Ladson-Billings; 1995). Educators can promote student voice in their classrooms through 1) project-based learning, such as capstones, which encourage student-led learning, capacity-building, and critical thinking skills, 2) generating avenues for students to be creative, explore, and develop new ideas which can encourage students to deepen their knowledge and be open to new perspectives, including listening to the voices of students who are typically ignored or seldom heard, and 3) encouraging students to be classroom leaders through activities such as storytelling, which encourages students to share their experiences and passions and can encourage the development of confidence, aid in building connections, and help students understand their voice (Paris, 2012; Ladson-Billings; 1995).

Literature has shown the consequence of stifling student voice on the academic and socioemotional developments of children (Quiroz, 2001). For example, when the aforementioned strategies are implemented into classroom practices, there are observed differences in students’ civic skills (Conner, 2011; Delgado & Staples, 2008, Ginwright & James, 2002; Ginwright, 2010; Rogers et al., 2012; Torres-Fleming et al., 2010), and sociopolitical consciousness (Conner, 2011; Watts et al., 2003) which has long-term implications on their academic success (Perry, Tabb, and Mendenhall, 2015; Conner, 2011). Students who develop a sense of sociopolitical consciousness exhibit an increased resilience to oppressive forces, including the increased ability to critically analyze the relationship between their race, class, or gender (i.e., interlocking structures of oppression) and its impact on their lived experiences both within and outside of school (Perry, Tabb, and Mendenhall, 2015). However, when students lack the opportunity to develop voice and share their cultural knowledge, teachers and administrators maintain all positional power, which can serve as a barrier to student growth and achievement.

Extreme Discipline Practices

All students deserve to learn in environments that are nurturing, supporting, welcoming, and safe. However, school disciplinary practices, such as detention, suspension, and expulsion, pose a barrier to learning, especially for students of color and students with disabilities, who are disproportionally at-risk to experience extreme punishment and zero-tolerance discipline (Morris and Perry, 2016). Zero-tolerance policies disproportionately criminalize historically marginalized students based on the belief that severe disciplinary consequences are required to correct student behavior, regardless of the individual circumstances, (Kirkland et. al, 2019). For example, Black students comprised roughly 16% of the student body in K-12 public schools nationwide, but accounted for 32% of in-school suspensions, 42% of multi-day out-of-school suspensions, and 34% of school expulsions (OCR, 2014). Similarly, the numbers for Latinx students’ suspension and expulsion rates were 22%, 21%, and 22% respectively (OCR, 2014). Examining these numbers by gender, ability status, and SES only reveal more disparate findings. Black girls are suspended at higher rates than girls of any other race or ethnicity (OCR, 2014). Students with disabilities are more than twice as likely to receive an out-of-school suspension than students without disabilities (OCR, 2014). In fact, nearly one out of four Black boys with disabilities (two times the rate of white boys with disabilities) and nearly one in five Black girls with disabilities (three times the rate of white girls with disabilities) faces out-of-school suspension (OCR, 2014).

Morris and Perry (2016) asserted that school-based infractions account for roughly one-fifth of the White-Black opportunity barrier. Students who are continuously and excessively punished for minor offenses or violations in school, are not only having their needs silenced, but are also forced to miss out on quality classroom instruction time (Morris & Perry, 2016). When students are forced to miss out on classroom instruction, their overall school performance is impacted. Missing 3-10 days of classwork due to suspension, for instance, can put a student extremely behind, with implications on their comprehension of school material, and ability to perform on standardized exams.

Equity Reforms and Student Outcomes

When traditional models of schooling are interrupted by centering race/ racial equity, there are often improved student academic and socioemotional outcomes, such as higher student interest, motivation, and performance, as well as greater confidence and self-perception (Ladson-Billings, 2009; Ladson-Billings, 2010, Irvine, 2002; Gay, 2010; Aronson & Laughter, 2015).

Particularly, we see an increased ability to engage in discourse and strong racial/ethnic identity among students of color in schools where culturally responsive and sustaining education (CRSE) is the focus of reform (Ladson-Billings, 2009; Ladson-Billings, 2010, Irvine, 2002; Gay, 2010; Aronson & Laughter, 2015). In school reform efforts centering cross cultural knowledge, including acknowledging and respecting the importance of individual differences based on students’ identities, languages, and cultures, (Gay, 2002; 2010) emergent bilingual students often have increased multi-lingual development and academic achievement. Similarly, economically disadvantaged students have benefited from school reform efforts focused on being culturally responsive and sustaining to their ways of being, such as their norms and values, learning styles, and backgrounds (Ladson-Billings, 2009, 2010).

Similar to BPS, large urban districts across the country, including NYC, Baltimore, Chicago, Newark, and LA, have begun equity work similar to Excellence for All. For example, a Baltimore City Public Schools (City Schools) taskforce composed of community leaders and district partners proposed an equity policy to the school board in 2019. City Schools subsequently adapted 6 priorities to uphold pillars of excellence around student achievement, effective and efficient operations, and family/community engagement, including:

• Quality curricula and instruction to ensure all students will achieve high standards and annual growth that lead them to graduate prepared to be independent, creative, contributing members of society,
• Quality staff so that all students benefit from transformational leadership at all levels of the organization to ensures the success of district initiatives and sustain a culture of excellence that leads to academic success,
• Climate and facilities so that all students learn in environments that embody a culture and climate of excellence, mutual respect, and safety,
• Parent and community engagement that build resources and opportunities for student success,
• Responsible stewardship and excellent customer service where all students benefit from predictable, reliable, transparent management processes and systems that build internal and external trust and contribute positively to school outcomes, and
• Portfolio of great schools that meet the needs of students and communities. (Excellence and Equity 2020)

The City Schools Excellence and Equity 2020 report outlined the district’s plan to disrupt and dismantle institutional racism in a way that’s focused on honoring the culture, lived experiences, and humanity of students, their families, and the larger community. Through this equity work City Schools aimed to promote student success by ensuring access to high quality academic programing, as well as build equity-based educator capacity.

Similarly, in New Jersey, Newark Public Schools (NPS) recently implemented a Comprehensive Equity Plan with 6 priorities areas to promote student success, including:

• Unified and aligned systems for assessment, data collection, transportation, facilities support, communication, and family and community engagement within an equity culture that values people, diversity, inclusion, and collaboration,
• A rigorous and relevant framework for curriculum and instruction that is inquiry-based, culturally responsive, and student-centered for prekindergarten to grade twelve curricula in all content areas,

A strength-based and responsive culture to build strength-based learning and working environments that foster shared beliefs, build relationships, promote partnerships, establish accountability, and value transparency. Culture and climate benchmarks are to be in place to support and celebrate accomplishments, recognize growth, build relationships, respond to needs, learn continuously, and value our differences,

Continuous learning for all to develop a unified and well-designed professional learning framework for teachers and school leaders that differentiates learning to their particular needs while providing universal support around shared learning objectives,

Integrated system of supports to address students’ social, emotional, and behavioral challenges occurring at all levels, and

Strong reciprocal partnerships as student success is a collective endeavor. Partnerships serve a vital role in enveloping every child we serve in a well-designed continuum of support and enrichment that propels them into any future they envision for themselves.(NPS Clarity 2020)

Data for NPS district priorities resulted from deep engagement with various stakeholders across NPS (e.g. school leaders, teachers, and community members). However, this targeted effort is for students in grades Prek-12, whereas EFA focused on grades 4-6. Through these targeted efforts, NPS is aiming to “implement the systems that embrace, celebrate, and empower the diversity among all students and staff” to result in “systemic transformation,” (NPS Clarity 2020). Particularly, NPS is focused on the impact of poverty, racism, immigration and language needs on students’ academic, social, physical, and mental health (NPS Clarity 2020).

As aforementioned research on equity reform described, when schools center the needs of historically marginalized students, including highlighting their voice, lived experiences, assets, and future possibilities, students’ needs, strengths, academic, and socioemotional development are nurtured (Ladson-Billings, 2009, 2010; Gay, 2002, 2010). The above highlighted reforms in Baltimore City and Newark Public Schools align with EFA 5 Pillars of Practice. While outcomes from these equity initiatives are not yet available, based on research that determines success outcomes of equity reforms, (Payne, 2008), we would expect shifts in schooling cultures, conditions, policies, and practices to better support, honor, and uphold students’ cultures, identities, and educational needs.

Next Sections

This evaluation was designed to examine the facilitators and barriers of EFA implementation. As such, we relied heavily on qualitative methods.

Key findings presented in this section emerged from our analysis of individual and focus group interviews. Findings are presented thematically in two sections we label as highlights and challenges.

Already desiring more rigorous curriculum and pedagogy for all students, EFA gave schools the additional resources needed to turn this vision into a reality.

Recommendations

These recommendations support ways EFA can best serve BPS students through a culturally responsive and sustaining lens.

This report outlines clear guidelines to improve EFA implementation across sites as well as target efforts to meet the needs of historically marginalized students.

References for Excellence For All Report

Qualitative data was collected by four highly trained researchers. NYU Metro Center worked with BPS to identify four case study schools, and one researcher was assigned to each of the selected schools.

Previous Sections

Executive Summary

Our report provides a primarily qualitative analysis of fidelity and quality of support for student learning in the implementation of the EFA initiative in 16 Boston Public Schools serving 4-6th grade students.

Introduction

Excellence for All (EFA) is a Boston Public School (BPS) district initiative to address the need for equitable access and opportunity for student learning.

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• Published: 09 May 2024

Looking back to move forward: comparison of instructors’ and undergraduates’ retrospection on the effectiveness of online learning using the nine-outcome influencing factors

• Yujie Su   ORCID: orcid.org/0000-0003-1444-1598 1 ,
• Xiaoshu Xu   ORCID: orcid.org/0000-0002-0667-4511 1 ,
• Yunfeng Zhang 2 ,
• Xinyu Xu 1 &
• Shanshan Hao 3  

Humanities and Social Sciences Communications volume  11 , Article number:  594 ( 2024 ) Cite this article

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This study delves into the retrospections of undergraduate students concerning their online learning experiences after the COVID-19 pandemic, using the nine key influencing factors: behavioral intention, instruction, engagement, interaction, motivation, self-efficacy, performance, satisfaction, and self-regulation. 46 Year 1 students from a comprehensive university in China were asked to maintain reflective diaries throughout an academic semester, providing first-person perspectives on the strengths and weaknesses of online learning. Meanwhile, 18 college teachers were interviewed with the same questions as the students. Using thematic analysis, the research identified 9 factors. The research revealed that instruction ranked highest among the 9 factors, followed by engagement, self-regulation, interaction, motivation, and others. Moreover, teachers and students had different attitudes toward instruction. Thirdly, teacher participants were different from student participants given self-efficacy and self-regulation due to their variant roles in online instruction. Lastly, the study reflected students were not independent learners, which explained why instruction ranked highest in their point of view. Findings offer valuable insights for educators, administrators, and policy-makers involved in higher education. Recommendations for future research include incorporating a more diverse sample, exploring relationships between the nine factors, and focusing on equipping students with skills for optimal online learning experiences.

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Introduction.

The outbreak of the COVID-19 pandemic has had a profound impact on education worldwide, leading to the widescale adoption of online learning. According to the United Nations Educational, Scientific and Cultural Organization (UNESCO), at the peak of the pandemic, 192 countries had implemented nationwide closures, affecting approximately 99% of the world’s student population (UNESCO 2020 a). In response, educational institutions, teachers, and students quickly adapted to online learning platforms, leveraging digital technologies to continue education amidst the crisis (Marinoni et al. 2020 ).

The rapid and unexpected shift to online learning brought about a surge in research aiming to understand its impact, effectiveness, and challenges. Researchers across the globe have been investigating various dimensions of online learning. Some focus on students’ experiences and perspectives (Aristovnik et al. 2021 ), technological aspects (Bao 2020 ), pedagogical strategies (Hodges et al. 2020 ), and the socio-emotional aspect of learning (Ali 2020 ). Tan et al. ( 2021 ) found that motivation and satisfaction were mostly positively perceived by students, and lack of interaction was perceived as an unfavorable online instruction perception. Some center on teachers’ perceptions of the benefits and challenges (Lucas and Vicente, 2023 ; Mulla et al. 2023 ), post-pandemic pedagogisation (Rapanta et al. 2021 ), and post-pandemic further education (Kohnke et al. 2023 ; Torsani et al. 2023 ). It was worth noting that elements like interaction and engagement were central to the development and maintenance of the learning community (Lucas and Vincente 2023 ),

The rise of online learning has also posed unprecedented challenges. Studies have pointed out the digital divide and accessibility issues (Crawford et al. 2020 ), students’ motivation and engagement concerns (Martin and Bolliger 2018 ), and the need for effective online instructional practices (Trust and Whalen 2020 ). The rapid transition to online learning has highlighted the need for robust research to address these challenges and understand the effectiveness of online learning in this new educational paradigm.

Despite the extensive research on online learning during and after the COVID-19 pandemic, there remains a notable gap in understanding the retrospective perspectives of both undergraduates and teachers. Much of the current literature has focused on immediate response strategies to the transition to online learning, often overlooking the detailed insights that reflective retrospection can provide (Marinoni et al. 2020 ; Bao 2020 ). In addition, while many studies have examined isolated aspects of online learning, they have not often employed a comprehensive framework, leaving undergraduates’ voices, in particular, underrepresented in the discourse (Aristovnik et al. 2021 ; Crawford et al. 2020 ). This study, situated in the context of the COVID-19 pandemic’s impetus toward online learning, seeks to fill this crucial gap. By exploring online learning from the perspectives of both instructors and undergraduates, and analyzing nine key factors that include engagement, motivation, and self-efficacy, the research contributes vital insights into the dynamics of online education (Wang and Wang 2021 ). This exploration is especially pertinent as digital learning environments become increasingly prevalent worldwide (UNESCO 2020b ). The findings of our study are pivotal for shaping future educational policies and enhancing online education strategies in this continuously evolving educational landscape (Greenhow et al. 2021 ). Thus, three research questions were raised:

Q1: How do undergraduates and teachers in China retrospectively perceive the effectiveness of online learning after the COVID-19 pandemic?

Q2: Which of the nine outcome influencing factors had the most significant impact on online learning experiences after the pandemic, and why?

Q3: What recommendations can be proposed to enhance the effectiveness of online learning in the future?

The research takes place at a comprehensive university in China, with a sample of 46 Year 1 students and 18 experienced teachers. Their reflections on the effectiveness of online learning were captured through reflective diaries guided by four questions. These questions investigated the students’ online learning states and attitudes, identified issues and insufficiencies in online learning, analyzed the reasons behind these problems, and proposed improvements. By assessing their experiences and perceptions, we seek to explore the significant factors that shaped online learning outcomes after the pandemic and the means to enhance its effectiveness.

This paper first presents a review of the existing literature, focusing on the impact of the pandemic on online learning and discussing the nine significant factors influencing online learning outcomes. Following this, the methodology utilized for this study is detailed, setting the stage for a deeper understanding of the research process. Subsequently, we delve into the results of the thematic analysis conducted based on undergraduate students and teachers’ retrospections. Finally, the paper concludes by offering meaningful implications of the findings for various stakeholders and suggesting directions for future research in this critical area.

Literature review

Online learning application and evaluation in higher education.

Online learning, also known as e-learning or distance learning, refers to education that takes place over the Internet rather than in a traditional classroom setting. It has seen substantial growth over the past decade and has been accelerated due to the COVID-19 pandemic (Trust and Whalen 2020 ). Online learning allows for a flexible learning environment, breaking the temporal and spatial boundaries of traditional classroom settings (Bozkurt and Sharma 2020 ). In response to the COVID-19 pandemic, educational institutions globally have embraced online learning at an unprecedented scale. This has led to an immense surge in research focusing on the effects of the pandemic on online learning (Crawford et al. 2020 ; Marinoni et al. 2020 ).

Researchers were divided in their attitudes toward the effects of online learning, including positive, neutral, and negative. Research by Bahasoan et al. ( 2020 ), Bernard et al. ( 2004 ), Hernández-Lara and Serradell-López ( 2018 ), and Paechter and Maier ( 2010 ) indicated the effectiveness of online learning, including improved outcomes and engagement in online formats, providing flexibility and enhancing digital skills for instance. Research, including studies by Dolan Hancock and Wareing ( 2015 ) and Means et al. ( 2010 ), indicates that under equivalent conditions and with similar levels of support, there is frequently no substantial difference in learning outcomes between traditional face-to-face courses and completely online courses.

However, online learning was not without its challenges. Research showing less favorable results for specific student groups can be referenced in Dennen ( 2014 ), etc. The common problems faced by students included underdeveloped independent learning ability, lack of motivation, difficulties in self-regulation, student engagement and technical issues (Aristovnik et al. 2021 ; Martin and Bolliger 2018 ; Song et al. 2004 ; Zheng et al. 2022 ).

Moreover, factors like instructional strategies, course design, etc. were also linked to learning outcomes and successful online learning (Ali 2020 ; Hongsuchon et al. 2022 ). Careaga-Butter et al. ( 2020 ) critically analyze online education in pandemic and post-pandemic contexts, focusing on digital tools and resources for teaching in synchronous and asynchronous learning modalities. They discuss the swift adaptation to online learning during the pandemic, highlighting the importance of technological infrastructure, pedagogical strategies, and the challenges of digital divides. The article emphasizes the need for effective online learning environments and explores trends in post-pandemic education, providing insights into future educational strategies and practices.

Determinants of online learning outcomes

Online learning outcomes in this paper refer to the measurable educational results achieved through online learning methods, including knowledge acquisition, skill development, changes in attitudes or behaviors, and performance improvements (Chang 2016 ; Panigrahi et al. 2018 ). The literature review identified key factors influencing online learning outcomes, emphasizing their significant role in academic discourse. These factors, highlighted in scholarly literature, include student engagement, instructional design, technology infrastructure, student-teacher interaction, and student self-regulation.

Student Engagement: The level of a student’s engagement significantly impacts their learning outcomes. The more actively a student is engaged with the course content and activities, the better their performance tends to be. This underscores the importance of designing engaging course content and providing opportunities for active learning in an online environment (Martin and Bolliger 2018 ).

Instructional Design: How an online course is designed can greatly affect student outcomes. Key elements such as clarity of learning objectives, organization of course materials, and the use of diverse instructional strategies significantly impact student learning (Bozkurt and Sharma 2020 ).

Technology Infrastructure: The reliability and ease of use of the learning management system (LMS) also play a significant role in online learning outcomes. When students experience technical difficulties, it can lead to frustration, reduced engagement, and lower performance (Johnson et al. 2020 ).

Student-Teacher Interaction: Interaction between students and teachers in an online learning environment is a key determinant of successful outcomes. Regular, substantive feedback from instructors can promote student learning and motivation (Boling et al. 2012 ).

Student Self-Regulation: The autonomous nature of online learning requires students to be proficient in self-regulated learning, which involves setting learning goals, self-monitoring, and self-evaluation. Students who exhibit strong self-regulation skills are more likely to succeed in online learning (Broadbent 2017 ).

While many studies have investigated individual factors affecting online learning, there is a paucity of research offering a holistic view of these factors and their interrelationships, leading to a fragmented understanding of the influences on online learning outcomes. Given the multitude of experiences and variables encompassed by online learning, a comprehensive framework like is instrumental in ensuring a thorough investigation and interpretation of the breadth of students’ experiences.

Students’ perceptions of online learning

Understanding students’ perceptions of online learning is essential for enhancing its effectiveness and student satisfaction. Studies show students appreciate online learning for its flexibility and convenience, offering personalized learning paths and resource access (Händel et al. 2020 ; Johnson et al. 2020 ). Yet, challenges persist, notably in maintaining motivation and handling technical issues (Aristovnik et al. 2021 ; Händel et al. 2020 ). Aguilera-Hermida ( 2020 ) reported mixed feelings among students during the COVID-19 pandemic, including feelings of isolation and difficulty adjusting to online environments. Boling et al. ( 2012 ) emphasized students’ preferences for interactive and communicative online learning environments. Additionally, research indicates that students seek more engaging content and innovative teaching approaches, suggesting a gap between current online offerings and student expectations (Chakraborty and Muyia Nafukho 2014 ). Students also emphasize the importance of community and peer support in online settings, underlining the need for collaborative and social learning opportunities (Lai et al. 2019 ). These findings imply that while online learning offers significant benefits, addressing its shortcomings is critical for maximizing its potential.

The pandemic prompted a reconsideration of instructional modalities, with many students favoring face-to-face instruction due to the immediacy and focus issues (Aristovnik et al. 2021 ; Trust and Whalen 2020 ). Despite valuable insights, research gaps remain, particularly in long-term undergraduate reflections and the application of nine factors of comprehensive frameworks, indicating a need for more holistic research in online learning effectiveness.

Teachers’ perceptions of online learning

The pandemic has brought attention to how teachers manage instruction in virtual learning environments. Teachers and students are divided in terms of their attitudes toward online learning. Some teachers and students looked to the convenience and flexibility of online learning (Chuenyindee et al. 2022 ; Al-Emran and Shaalan 2021 ). They conceived that online learning provided opportunities to improve educational equality as well (Tenório et al. 2016 ). Even when COVID-19 was over, the dependence on online learning was likely here to stay, for some approaches of online learning were well-received by students and teachers (Al-Rahmi et al. 2019 ; Hongsuchon et al. 2022 ).

Teachers had shown great confidence in delivering instruction in an online environment in a satisfying manner. They also agreed that the difficulty of teaching was closely associated with course structures (Gavranović and Prodanović 2021 ).

Not all were optimistic about the effects of online learning. They sought out the challenges facing teachers and students during online learning.

A mixed-method study of K-12 teachers’ feelings, experiences, and perspectives that the major challenges faced by teachers during the COVID-19 pandemic were lack of student participation and engagement, technological support for online learning, lack of face-to-face interactions with students, no work-life balance and learning new technology.

The challenges to teachers’ online instruction included instruction technology (Maatuk et al. 2022 ; Rasheed et al. 2020 ), course design (Khojasteh et al. 2023 ), and teachers’ confidence (Gavranović and Prodanović 2021 ).

Self-regulation challenges and challenges in using technology were the key challenges to students, while the use of technology for teaching was the challenge facing teachers (Rasheed et al. 2020 ).

The quality of course design was another important factor in online learning. A research revealed the competency of the instructors and their expertise in content development contributed a lot to students’ satisfaction with the quality of e-contents.

Theoretical framework

The theoretical foundation of the research is deeply rooted in multifaceted framework for online learning, which provides a comprehensive and interwoven model encompassing nine critical factors that collectively shape the educational experience in online settings. This framework is instrumental in guiding our analysis and enhances the comparability and interpretability of our results within the context of existing literature.

Central to Yu’s framework is the concept of behavioral intention, which acts as a precursor to student engagement in online learning environments. This engagement, inherently linked to the students’ intentions and motivations, is significantly influenced by the quality of instruction they receive. Instruction, therefore, emerges as a pivotal element in this model, directly impacting not only student engagement but also fostering a sense of self-efficacy among learners. Such self-efficacy is crucial as it influences both the performance of students and their overall satisfaction with the learning process.

The framework posits that engagement, a derivative of both strong behavioral intention and effective instruction, plays a vital role in enhancing student performance. This engagement is tightly interlaced with self-regulation, an indispensable skill in the autonomous and often self-directed context of online learning. Interaction, encompassing various forms such as student-teacher and peer-to-peer communications, further enriches the learning experience. It significantly contributes to the development of motivation and self-efficacy, both of which are essential for sustaining engagement and fostering self-regulated learning.

Motivation, especially when intrinsically driven, acts as a catalyst, perpetuating engagement and self-regulation, which ultimately leads to increased satisfaction with the learning experience. In this framework, self-efficacy, nurtured through effective instruction and meaningful interactions, has a positive impact on students’ performance and satisfaction, thereby creating a reinforcing cycle of learning and achievement.

Performance in this model is viewed as a tangible measure of the synergistic interplay of engagement, instructional quality, and self-efficacy, while satisfaction reflects the culmination of the learning experience, shaped by the quality of instruction, the extent and nature of interactions, and the flexibility of the learning environment. This satisfaction, in turn, influences students’ future motivation and their continued engagement with online learning.

Yu’s model thus presents a dynamic ecosystem where changes in one factor can have ripple effects across the entire spectrum of online learning. It emphasizes the need for a holistic approach in the realm of online education, considering the complex interplay of these diverse yet interconnected elements to enhance both the effectiveness and the overall experience of online learning.

The current study employed a qualitative design to explore teachers’ and undergraduates’ retrospections on the effectiveness of online learning during the first semester of the 2022–2023 school year, which is in the post-pandemic period. Data were collected using reflective diaries, and thematic analysis was applied to understand the experiences based on the nine factors.

Sample and sampling

The study involved 18 teachers and 46 first-year students from a comprehensive university in China, selected through convenience sampling to ensure diverse representation across academic disciplines. To ensure a diverse range of experiences in online learning, the participant selection process involved an initial email inquiry about their prior engagement with online education. The first author of this study received ethics approval from the department research committee, and participants were informed of the study’s objectives two weeks before via email. Only those participants who provided written informed consent were included in the study and were free to withdraw at any time. Pseudonyms were used to protect participants’ identities during the data-coding process. For direct citations, acronyms of students’ names were used, while “T+number” was used for citations from teacher participants.

The 46 students are all first-year undergraduates, 9 females and 37 males majoring in English and non-English (see Table 1 ).

The 18 teachers are all experienced instructors with at least 5 years of teaching experience, 13 females and 5 male, majoring in English and Non-English (see Table 2 ).

Data collection

Students’ data were collected through reflective diaries in class during the first semester of the 2022–2023 school year. Each participant was asked to maintain a diary over the course of one academic semester, in which they responded to four questions.

The four questions include:

What was your state and attitude toward online learning?

What were the problems and shortcomings of online learning?

What do you think are the reasons for these problems?

What measures do you think should be taken to improve online learning?

This approach provided a first-person perspective on the participants’ online teaching or learning experiences, capturing the depth and complexity of their retrospections.

Teachers were interviewed separately by responding to the four questions the same as the students. Each interview was conducted in the office or the school canteen during the semester and lasted about 20 to 30 min.

Data analysis

We utilized thematic analysis to interpret the reflective diaries, guided initially by nine factors. This method involved extensive engagement with the data, from initial coding to the final report. While Yu’s factors provided a foundational structure, we remained attentive to new themes, ensuring a comprehensive analysis. Our approach was methodical: familiarizing ourselves with the data, identifying initial codes, systematically searching and reviewing themes, and then defining and naming them. To validate our findings, we incorporated peer debriefing, and member checking, and maintained an audit trail. This analysis method was chosen for its effectiveness in extracting in-depth insights from undergraduates’ retrospections on their online learning experiences post-pandemic, aligning with our research objectives.

According to the nine factors, the interviews of 18 teachers and 46 Year 1 undergraduates were catalogued and listed in Table 3 .

Behavioral intention towards online learning post-pandemic

Since the widespread of the COVID-19 pandemic, both teachers and students have experienced online learning. However, their online teaching or learning was forced rather than planned (Baber 2021 ; Bao 2020 ). Students more easily accepted online learning when they perceived the severity of COVID-19.

When entering the post-pandemic era, traditional teaching was resumed. Students often compared online learning with traditional learning by mentioning learning interests, eye contact, face-to-face learning and learning atmosphere.

“I don’t think online learning is a good form of learning because it is hard to focus on learning.” (DSY) “In unimportant courses, I would let the computer log to the platform and at the same time do other entertains such as watching movies, listening to the music, having snacks or do the cleaning.” (XYN) “Online learning makes it impossible to have eye contact between teachers and students and unable to create a face-to-face instructional environment, which greatly influences students’ initiative and engagement in classes.” (WRX)

They noted that positive attitudes toward online learning usually generated higher behavioral intention to use online learning than those with negative attitudes, as found in the research of Zhu et al. ( 2023 ). So they put more blame on distractions in the learning environment.

“Online learning relies on computers or cell phones which easily brings many distractions. … I can’t focus on studying, shifting constantly from study and games.” (YX) “When we talk about learning online, we are hit by an idea that we can take a rest in class. It’s because everyone believes that during online classes, the teacher is unable to see or know what we are doing.” (YM) “…I am easily disturbed by external factors, and I am not very active in class.” (WZB)

Teachers reported a majority of students reluctantly turning on their cameras during online instruction and concluded the possible reason for such behavior.

“One of the reasons why some students are unwilling to turn on the camera is that they are worried about their looks and clothing at home, or that they don’t want to become the focus.” (T4)

They also noticed students’ absent-mindedness and lazy attitude during online instruction.

“As for some students who are not self-regulated, they would not take online learning as seriously as offline learning. Whenever they are logged onto the online platform, they would be unable to stay focused and keep their attention.” (T1)

Challenges and opportunities in online instruction post-pandemic

Online teaching brought new challenges and opportunities for students during and after the pandemic. The distractions at home seemed to be significantly underestimated by teachers in an online learning environment (Radmer and Goodchild 2021 ). It might be the reason why students greatly expected and heavily relied on teachers’ supervision and management.

“The biggest problem of online learning is that online courses are as imperative as traditional classes, but not managed face to face the same as the traditional ones.” (PC) “It is unable to provide some necessary supervision.” (GJX) “It is incapable of giving timely attention to every student.” (GYC) “Teachers can’t understand students’ conditions in time in most cases so teachers can’t adjust their teaching plan.” (MZY) “Some courses are unable to reach the teaching objectives due to lack of experimental conduction and practical operation.” (YZH) “Insufficient teacher-student interaction and the use of cell phones make both groups unable to engage in classes. What’s more, though online learning doesn’t put a high requirement for places, its instructional environment may be crucial due to the possible distractions.” (YCY)

Teachers also viewed online instruction as an addition to face-to-face instruction.

“Online learning cannot run as smoothly as face-to-face instruction, but it can provide an in-time supplement to the practical teaching and students’ self-learning.” (T13, T17) “Online instruction is an essential way to ensure the normal function of school work during the special periods like the pandemic” (T1, T15)

Factors influencing student engagement in online learning

Learning engagement was found to contribute to gains in the study (Paul and Diana 2006 ). It was also referred to as a state closely intertwined with the three dimensions of learning, i.e., vigor, dedication, and absorption (Schaufeli et al. 2002 ). Previous studies have found that some key factors like learning interaction, self-regulation, and social presence could influence learning engagement and learning outcomes (Lowenthal and Dunlap 2020 ; Ng 2018 ). Due to the absence of face-to-face interaction like eye contact, facial expressions and body language, both groups of interviewees agreed that the students felt it hard to keep their attention and thus remain active in online classes.

“Students are unable to engage in study due to a lack of practical learning environment of online learning.” (ZMH, T12) “Online platforms may not provide the same level of engagement and interaction as in-person classrooms, making it harder for students to ask questions or engage in discussions.” (HCK) “The Internet is cold, lack of emotional clues and practical connections, which makes it unable to reproduce face-to-face offline learning so that teachers and students are unlikely to know each other’s true feelings or thoughts. In addition, different from the real-time learning supervision in offline learning, online learning leaves students more learning autonomy.” (XGH) “Lack of teachers’ supervision and practical learning environment, students are easily distracted.” (LMA, T9)

Just as Zhu et al. ( 2023 ) pointed out, we had been too optimistic about students’ engagement in online learning, because online learning relied more on students’ autonomy and efforts to complete online learning.

Challenges in teacher-student interaction in online learning

Online learning has a notable feature, i.e., a spatial and temporal separation among teachers and students. Thus, online teacher-student interactions, fundamentals of relationship formation, have more challenges for both teachers and students. The prior studies found that online interaction affected social presence and indirectly affected learning engagement through social presence (Miao and Ma 2022 ). In the present investigation, both teachers and students noted the striking disadvantage of online interaction.

“Online learning has many problems such as indirect teacher-student communication, inactive informative communication, late response of students and their inability to reflect their problems. For example, teachers cannot evaluate correctly whether the students have mastered or not.” (YYN) “Teachers and students are separated by screens. The students cannot make prompt responses to the teachers’ questions via loudspeakers or headphones. It is not convenient for students to participate in questioning and answering. …for most of the time, the students interact with teachers via typing.” (ZJY) “While learning online, students prefer texting the questions to answering them via the loudspeaker.”(T7)

Online learning interaction was also found closely related to online learning engagement, performance, and self-efficacy.

“Teachers and students are unable to have timely and effective communication, which reduces the learning atmosphere. Students are often distracted. While doing homework, the students are unable to give feedback to teachers.” (YR) “Students are liable to be distracted by many other side matters so that they can keep their attention to online learning.” (T15)

In the online learning environment, teachers need to make efforts to build rapport and personalizing interactions with students to help them perform better and achieve greater academic success (Harper 2018 ; Ong and Quek 2023 ) Meanwhile, teachers should also motivate students’ learning by designing the lessons, giving lectures and managing the processes of student interactions (Garrison 2003 ; Ong and Quek 2023 ).

Determinants of self-efficacy in online learning

Online learning self-efficacy refers to students’ perception of their abilities to fulfill specific tasks required in online learning (Calaguas and Consunji 2022 ; Zimmerman and Kulikowich 2016 ). Online learning self-efficacy was found to be influenced by various factors including task, learner, course, and technology level, among which task level was found to be most closely related (Xu et al. 2022 ). The responses from the 46 student participants reveal a shared concern, albeit without mentioning specific tasks; they highlight critical aspects influencing online learning: learner attributes, course structure, and technological infrastructure.

One unifying theme from the student feedback is the challenge of self-regulation and environmental distractions impacting learning efficacy. For instance, participant WSX notes the necessity for students to enhance time management skills due to deficiencies in self-regulation, which is crucial for successful online learning. Participant WY expands on this by pointing out the distractions outside traditional classroom settings, coupled with limited teacher-student interaction, which hampers idea exchange and independent thought, thereby undermining educational outcomes. These insights suggest a need for strategies that bolster students’ self-discipline and interactive opportunities in virtual learning environments.

On the technological front, participants WT and YCY address different but related issues. Participant WT emphasizes the importance of up-to-date course content and learning facilities, indicating that outdated materials and tools can significantly diminish the effectiveness of online education. Participant YCY adds to this by highlighting problems with online learning applications, such as subpar functionalities that can introduce additional barriers to learning.

Teacher participants, on the other hand, shed light on objective factors predominantly related to course content and technology. Participant T5’s response underscores the heavy dependency on technological advancement in online education and points out the current inability of platforms or apps to adequately monitor student engagement and progress. Participant T9 voices concerns about course content not being updated or aligned with contemporary trends and student interests, suggesting a disconnect between educational offerings and learner needs. Meanwhile, participant T8 identifies unstable network services as a significant hindrance to online teaching, highlighting infrastructure as a critical component of online education’s success.

Teachers also believed the insufficient mastery of facilities and unfamiliarity with online instruction posed difficulty.

“Most teachers and students are not familiar with online instruction. For example, some teachers are unable to manage online courses so they cannot design the courses well. Some students lack self-regulation, which leads to their distraction or avoidance in class.” (T9)

Influences on student performance in online learning

Students’ performance during online lessons is closely associated with their satisfaction and self-efficacy. Most of the student participants reflected on their distractions, confusion, and needs, which indicates their dissatisfaction with online learning.

“During online instruction, it is convenient for the students to make use of cell phones, but instead, cell phones bring lots of distraction.” (YSC) “Due to the limits of online learning, teachers are facing the computer screen and unable to know timely students’ needs and confusion. Meanwhile, it’s inconvenient for teachers to make clear explanations of the sample questions or problems.” (HZW)

They thought their low learning efficiency in performance was caused by external factors like the learning environment.

“The most obvious disadvantage of online learning goes to low efficiency. Students find it hard to keep attention to study outside the practical classroom or in a relaxing environment.” (WY) “Teachers are not strict enough with students, which leads to ineffective learning.” (WRX)

Teacher participants conceived students’ performance as closely related to valid online supervision and students’ self-regulation.

“Online instruction is unable to create a learning environment, which helps teachers know students’ instant reaction. Only when students well regulate themselves and stay focused during online learning can they achieve successful interactions and make good accomplishments in the class.” (T11) “Some students need teachers’ supervision and high self-regulation, or they were easily distracted.” (T16)

Student satisfaction and teaching effectiveness in online learning

Online learning satisfaction was found to be significantly and positively associated with online learning self-efficacy (Al-Nasa’h et al. 2021 ; Lashley et al. 2022 ). Around 46% of student participants were unsatisfied with teachers’ ways of teaching.

“Comparatively, bloggers are more interesting than teachers’ boring and dull voices in online learning.” (DSY) “Teachers’ voice sounds dull and boring through the internet, which may cause listeners to feel sleepy, and the teaching content is not interesting enough to the students.” (MFE)

It reflected partly that some teachers were not adapted to online teaching possibly due to a lack in experience of online teaching or learning (Zhu et al. 2022 ).

“Some teachers are not well-prepared for online learning. They are particularly unready for emergent technological problems when delivering the teaching.” (T1) “One of the critical reasons lies in the fact that teachers and students are not well trained before online learning. In addition, the online platform is not unified by the college administration, which has led to chaos and difficulty of online instruction.” (T17)

Teachers recognized their inadequate preparation and mastery of online learning as one of the reasons for dissatisfaction, but student participants exaggerated the role of teachers in online learning and ignored their responsibility in planning and managing their learning behavior, as in the research of (Xu et al. 2022 ).

The role of self-regulation in online learning success

In the context of online learning, self-regulation stands out as a crucial factor, necessitating heightened levels of student self-discipline and autonomy. This aspect, as Zhu et al. ( 2023 ) suggest, grants students significant control over their learning processes, making it a vital component for successful online education.

“Online learning requires learners to be of high discipline and self-regulation. Without good self-regulation, they are less likely to be effective in online learning.” (YZJ) “Most students lack self-control, unable to control the time of using electronic products. Some even use other electronic products during online learning, which greatly reduces their efficiency in learning.” (GPY) “Students are not well developed in self-control and easily distracted. Thus they are unable to engage fully in their study, which makes them unable to keep up with others” (XYN)

Both groups of participants had a clear idea of the positive role of self-regulation in successful learning, but they also admitted that students need to strengthen their self-regulation skills and it seemed they associated with the learning environment, learning efficiency and teachers’ supervision.

“If they are self-motivated, online learning can be conducted more easily and more efficiently. However, a majority are not strong in regulating themselves. Teachers’ direct supervision in offline learning can do better in motivating them to study hard…lack of interaction makes students less active and motivated.” (LY) “Students have a low level of self-discipline. Without teachers’ supervision, they find it hard to listen attentively or even quit listening. Moreover, in class, the students seldom think actively and independently.” (T13)

The analysis of participant responses, categorized into three distinct attitude groups – positive, neutral, and negative – reveals a multifaceted view of the disadvantages of online learning, as shown in Tables 4 and 5 . This classification provides a clearer understanding of how attitudes towards online learning influence perceptions of self-regulation and other related factors.

In Table 4 , the division among students is most pronounced in terms of interaction and self-efficacy. Those with neutral attitudes highlighted interaction as a primary concern, suggesting that it is less effective in an online setting. Participants with positive attitudes noted a lack of student motivation, while those with negative views emphasized the need for better self-efficacy. Across all attitudes, instruction, engagement, self-regulation, and behavior intention were consistently identified as areas needing improvement.

Table 5 sheds light on teachers’ perspectives, revealing a consensus on the significance and challenges of instruction, motivation, and self-efficacy in online learning. Teachers’ opinions vary most significantly on self-efficacy and engagement. Those with negative attitudes point to self-efficacy and instructional quality as critical areas needing attention, while neutral attitudes focus on the role of motivation.

Discussions

Using a qualitative and quantitative analysis of the questionnaire data showed that among the 18 college teachers and 46 year 1 undergraduate students of various majors taking part in the interview, about 38.9% of teachers and about 30.4% of students supported online learning. Only two teachers were neutral about online learning, and 50% of teachers did not support virtual learning. The percentages of students who expressed positive and neutral views on online learning were the same, i.e., 34.8%. This indicates that online learning could serve as a complementary approach to traditional education, yet it is not without challenges, particularly in terms of student engagement, self-regulation, and behavioral intention, which were often attributed to distractions inherent in online environments.

In analyzing nine factors, it was evident that both teachers and students did not perceive these factors uniformly. Instruction was a significant element for both groups, as validated by findings in Tables 3 and 5 . The absence of face-to-face interactions in online learning shifted the focus to online instruction quality. Teachers cited technological challenges as a central concern, while students criticized the lack of engaging content and teaching methods. This aligns with Miao and Ma ( 2022 ), who argued that direct online interaction does not necessarily influence learner engagement, thus underscoring the need for integrated approaches encompassing interactions, self-regulation, and social presence.

Furthermore, the role of technology acceptance in shaping self-efficacy was highlighted by Xu et al. ( 2022 ), suggesting that students with higher self-efficacy tend to challenge themselves more. Chen and Hsu ( 2022 ) noted the positive influence of using emojis in online lessons, emphasizing the importance of innovative pedagogical approaches in online settings.

The study revealed distinct priorities between teachers and students in online learning: teachers emphasized effective instruction delivery, while students valued learning outcomes, self-regulation, and engagement. This divergence highlights the unique challenges each group faces. Findings by Dennen et al. ( 2007 ) corroborate this, showing instructors focusing on content and guidance, while students prioritize interpersonal communication and individualized attention. Additionally, Lee et al. ( 2011 ) found that reduced transactional distance and increased student engagement led to enhanced perceptions of learning outcomes, aligning with students’ priorities in online courses. Understanding these differing perspectives is crucial for developing comprehensive online learning strategies that address the needs of both educators and learners.

Integrating these findings with broader contextual elements such as technological infrastructure, pedagogical strategies, socio-economic backgrounds, and environmental factors (Balanskat and Bingimlas 2006 ) further enriches our understanding. The interplay between these external factors and Yu’s nine key aspects forms a complex educational ecosystem. For example, government interventions and training programs have been shown to increase teachers’ enthusiasm for ICT and its routine use in education (Balanskat and Bingimlas 2006 ). Additionally, socioeconomic factors significantly impact students’ experiences with online learning, as the digital divide in connectivity and access to computers at home influences the ICT experience, an important factor for school achievement (OECD 2015 ; Punie et al. 2006 ).

In sum, the study advocates for a holistic approach to understanding and enhancing online education, recognizing the complex interplay between internal factors and external elements that shape the educational ecosystem in the digital age.

Conclusion and future research

This study offered a comprehensive exploration into the retrospective perceptions of college teachers and undergraduate students regarding their experiences with online learning following the COVID-19 pandemic. It was guided by a framework encompassing nine key factors that influence online learning outcomes. To delve into these perspectives, the research focused on three pivotal questions. These questions aimed to uncover how both undergraduates and teachers in China view the effectiveness of online learning post-pandemic, identify which of the nine influencing factors had the most significant impact, and propose recommendations for enhancing the future effectiveness of online learning.

In addressing the first research question concerning the retrospective perceptions of online learning’s effectiveness among undergraduates and teachers in China post-COVID-19 pandemic, the thematic analysis has delineated clear divergences in attitude between the two demographics. Participants were primarily divided into three categories based on their stance toward online learning: positive, neutral, and negative. The results highlighted a pronounced variance in attitude distribution between teachers and students, with a higher percentage of teachers expressing clear-cut opinions, either favorably or unfavorably, towards the effectiveness of online learning.

Conversely, students displayed a pronounced inclination towards neutrality, revealing a more cautious or mixed stance on the effectiveness of online learning. This prevalent neutrality within the student body could be attributed to a range of underlying reasons. It might signify students’ uncertainties or varied experiences with online platforms, differences in engagement levels, gaps in digital literacy, or fluctuating quality of online materials and teaching methods. Moreover, this neutral attitude may arise from the psychological and social repercussions of the pandemic, which have potentially altered students’ approaches to and perceptions of learning in an online context.

In the exploration of the nine influential factors in online learning, it was discovered that both teachers and students overwhelmingly identified instruction as the most critical aspect. This was closely followed by engagement, interaction, motivation, and other factors, while performance and satisfaction were perceived as less influential by both groups. However, the attitudes of teachers and students towards these factors revealed notable differences, particularly about instruction. Teachers often attributed challenges in online instruction to technological issues, whereas students perceived the quality of instruction as a major influence on their learning effectiveness. This dichotomy highlights the distinct perspectives arising from their different roles within the educational process.

A further divergence was observed in views on self-efficacy and self-regulation. Teachers, with a focus on delivering content, emphasized the importance of self-efficacy, while students, grappling with the demands of online learning, prioritized self-regulation. This reflects their respective positions in the online learning environment, with teachers concerned about the efficacy of their instructional strategies and students about managing their learning process. Interestingly, the study also illuminated that students did not always perceive themselves as independent learners, which contributed to the high priority they placed on instruction quality. This insight underlines a significant area for development in online learning strategies, emphasizing the need for fostering greater learner autonomy.

Notably, both teachers and students concurred that stimulating interest was a key factor in enhancing online learning. They proposed innovative approaches such as emulating popular online personalities, enhancing interactive elements, and contextualizing content to make it more relatable to students’ lives. Additionally, practical suggestions like issuing preview tasks and conducting in-class quizzes were highlighted as methods to boost student engagement and learning efficiency. The consensus on the importance of supervisory roles underscores the necessity for a balanced approach that integrates guidance and independence in the online learning environment.

The outcomes of our study highlight the multifaceted nature of online learning, accentuated by the varied perspectives and distinct needs of teachers and students. This complexity underscores the necessity of recognizing and addressing these nuances when designing and implementing online learning strategies. Furthermore, our findings offer a comprehensive overview of both the strengths and weaknesses of online learning during an unprecedented time, offering valuable insights for educators, administrators, and policy-makers involved in higher education. Moreover, it emphasized the intricate interplay of multiple factors—behavioral intention, instruction, engagement, interaction, motivation, self-efficacy, performance, satisfaction, and self-regulation—in shaping online learning outcomes. presents some limitations, notably its reliance on a single research method and a limited sample size.

However, the exclusive use of reflective diaries and interviews restricts the range of data collection methods, which might have been enriched by incorporating additional quantitative or mixed-method approaches. Furthermore, the sample, consisting only of students and teachers from one university, may not adequately represent the diverse experiences and perceptions of online learning across different educational contexts. These limitations suggest the need for a cautious interpretation of the findings and indicate areas for future research expansion. Future research could extend this study by incorporating a larger, more diverse sample to gain a broader understanding of undergraduate students’ retrospections across different contexts and cultures. Furthermore, research could also explore how to better equip students with the skills and strategies necessary to optimize their online learning experiences, especially in terms of the self-regulated learning and motivation aspects.

Data availability

The data supporting this study is available from https://doi.org/10.6084/m9.figshare.25583664.v1 . The data consists of reflective diaries from 46 Year 1 students from a comprehensive university in China and 18 college teachers. We utilized thematic analysis to interpret the reflective diaries, guided initially by nine factors. The results highlight the critical need for tailored online learning strategies and provide insights into its advantages and challenges for stakeholders in higher education.

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The Corresponding author received the National Social Science Foundation of China for Education General Program (BGA210054) for this work.

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XSX was responsible for conceptualization and, alongside YFZ, for data curation. YJS and XYX conducted the formal analysis. Funding acquisition was managed by YFZ. The investigation was carried out by YJS and YFZ. Methodology development was a collaboration between YJS and XSX. XSX and YJS also managed project administration, with additional resource management by SSH and XYX. YJS handled the software aspect, and supervision was overseen by XSX. SSH and XYX were responsible for validation, and visualization was managed by YJS. The original draft was written by XSX and YJS, while the review and editing were conducted by YFZ and SSH.

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Su, Y., Xu, X., Zhang, Y. et al. Looking back to move forward: comparison of instructors’ and undergraduates’ retrospection on the effectiveness of online learning using the nine-outcome influencing factors. Humanit Soc Sci Commun 11 , 594 (2024). https://doi.org/10.1057/s41599-024-03097-z

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DOI : https://doi.org/10.1057/s41599-024-03097-z

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