a research framework is accurately described as which item

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Chapter 4: Theoretical frameworks for qualitative research

Tess Tsindos

Learning outcomes

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

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

What is a Framework?

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

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

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

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

Why d o w e u se f rameworks?

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

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

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

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

E xamples of f rameworks

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

Table 4.1. Frameworks and references

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

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

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

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Organizing Your Social Sciences Research Paper

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• Narrowing a Topic Idea
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Theories are formulated to explain, predict, and understand phenomena and, in many cases, to challenge and extend existing knowledge within the limits of critical bounded assumptions or predictions of behavior. The theoretical framework is the structure that can hold or support a theory of a research study. As such, the theoretical framework encompasses not only a theory, but the narrative explanation about how the researcher engages in using the theory and its underlying assumptions to investigate the research problem. The framework summarizes concepts, ideas, and theories derived from prior research studies and which was synthesized in order to form a conceptual basis for your analysis and interpretation of meaning found within your research.

Abend, Gabriel. "The Meaning of Theory." Sociological Theory 26 (June 2008): 173–199; Kivunja, Charles. "Distinguishing between Theory, Theoretical Framework, and Conceptual Framework: A Systematic Review of Lessons from the Field." International Journal of Higher Education 7 (December 2018): 44-53; Swanson, Richard A. Theory Building in Applied Disciplines . San Francisco, CA: Berrett-Koehler Publishers 2013; Varpio, Lara, Elise Paradis, Sebastian Uijtdehaage, and Meredith Young. "The Distinctions between Theory, Theoretical Framework, and Conceptual Framework." Academic Medicine 95 (July 2020): 989-994.

Importance of Theory and a Theoretical Framework

Theories are rarely applied to writing papers in high school and, as a result, can come across as unfamiliar and ambiguous when first introduced to a college writing assignment. However, in their most simplified form, a theory is simply a set of assumptions or predictions about something you think will happen based on existing evidence and that can be tested to see if those outcomes turn out to be true. Of course, it is slightly more deliberate than that, therefore, summarized from Kivunja * , here are the essential characteristics of a theory.

• It is logical and coherent
• It has clear definitions of terms or variables, and has boundary conditions [i.e., it is not an open-ended statement]
• It has a domain where it applies
• It has clearly described relationships among variables
• It describes, explains, and makes specific predictions
• It comprises of concepts, themes, principles, and constructs
• It must have been based on empirical data [i.e., it is not a guess]
• It must have made claims that are subject to testing, been tested and verified
• It must be clear and concise
• Its assertions or predictions must be different and better than those in existing theories
• Its predictions must be general enough to be applicable to and understood within multiple contexts
• Its assertions or predictions are relevant, and if applied as predicted, will result in the predicted outcome
• The assertions and predictions are not immutable, but subject to revision and improvement as researchers use the theory to make sense of phenomena
• Its concepts and principles explain what is going on and why
• Its concepts and principles are substantive enough to enable us to predict a future

Given these characteristics, a theory can best be understood as the foundation from which you investigate assumptions or predictions derived from previous studies about the research problem, but in a way that leads to new knowledge and understanding as well as, in some cases, discovering how to improve the relevance of the theory itself or to argue that the theory is outdated and a new theory needs to be formulated based on new evidence.

A theoretical framework consists of concepts and, together with their definitions and reference to relevant scholarly literature, existing theory that is used for your particular study. The theoretical framework must demonstrate an understanding of theories and concepts that are relevant to the topic of your research paper and that relate to the broader areas of knowledge being considered.

The theoretical framework is most often not something readily found within the literature . You must review course readings and pertinent research studies for theories and analytic models that are relevant to the research problem you are investigating. The selection of a theory should depend on its appropriateness, ease of application, and explanatory power.

The theoretical framework strengthens the study in the following ways :

• An explicit statement of  theoretical assumptions permits the reader to evaluate them critically.
• The theoretical framework connects the researcher to existing knowledge. Guided by a relevant theory, you are given a basis for your hypotheses and choice of research methods.
• Articulating the theoretical assumptions of a research study forces you to address questions of why and how. It permits you to intellectually transition from simply describing a phenomenon you have observed to generalizing about various aspects of that phenomenon.
• Having a theory helps you identify the limits to those generalizations. A theoretical framework specifies which key variables influence a phenomenon of interest and highlights the need to examine how those key variables might differ and under what circumstances.
• The theoretical framework adds context around the theory itself based on how scholars had previously tested the theory in relation their overall research design [i.e., purpose of the study, methods of collecting data or information, methods of analysis, the time frame in which information is collected, study setting, and the methodological strategy used to conduct the research].

By virtue of its applicative nature, good theory in the social sciences is of value precisely because it fulfills one primary purpose: to explain the meaning, nature, and challenges associated with a phenomenon, often experienced but unexplained in the world in which we live, so that we may use that knowledge and understanding to act in more informed and effective ways.

* Kivunja, Charles. "Distinguishing between Theory, Theoretical Framework, and Conceptual Framework: A Systematic Review of Lessons from the Field." International Journal of Higher Education 7 (2018): 46.

The Conceptual Framework. College of Education. Alabama State University; Corvellec, Hervé, ed. What is Theory?: Answers from the Social and Cultural Sciences . Stockholm: Copenhagen Business School Press, 2013; Asher, Herbert B. Theory-Building and Data Analysis in the Social Sciences . Knoxville, TN: University of Tennessee Press, 1984; Drafting an Argument. Writing@CSU. Colorado State University; Omodan, Bunmi Isaiah. "A Model for Selecting Theoretical Framework through Epistemology of Research Paradigms." African Journal of Inter/Multidisciplinary Studies 4 (2022): 275-285; Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006; Jarvis, Peter. The Practitioner-Researcher. Developing Theory from Practice . San Francisco, CA: Jossey-Bass, 1999.

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

Here are some strategies to develop of an effective theoretical framework:

• Examine your thesis title and research problem . The research problem anchors your entire study and forms the basis from which you construct your theoretical framework.
• Brainstorm about what you consider to be the key variables in your research . Answer the question, "What factors contribute to the presumed effect?"
• Review related literature to find how scholars have addressed your research problem. Identify the assumptions from which the author(s) addressed the problem.
• List  the constructs and variables that might be relevant to your study. Group these variables into independent and dependent categories.
• Review key social science theories that are introduced to you in your course readings and choose the theory that can best explain the relationships between the key variables in your study [note the Writing Tip on this page].
• Discuss the assumptions or propositions of this theory and point out their relevance to your research.

A theoretical framework is used to limit the scope of the relevant data by focusing on specific variables and defining the specific viewpoint [framework] that the researcher will take in analyzing and interpreting the data to be gathered. It also facilitates the understanding of concepts and variables according to given definitions and builds new knowledge by validating or challenging theoretical assumptions.

II.  Purpose

Think of theories as the conceptual basis for understanding, analyzing, and designing ways to investigate relationships within social systems. To that end, the following roles served by a theory can help guide the development of your framework.

• Means by which new research data can be interpreted and coded for future use,
• Response to new problems that have no previously identified solutions strategy,
• Means for identifying and defining research problems,
• Means for prescribing or evaluating solutions to research problems,
• Ways of discerning certain facts among the accumulated knowledge that are important and which facts are not,
• Means of giving old data new interpretations and new meaning,
• Means by which to identify important new issues and prescribe the most critical research questions that need to be answered to maximize understanding of the issue,
• Means of providing members of a professional discipline with a common language and a frame of reference for defining the boundaries of their profession, and
• Means to guide and inform research so that it can, in turn, guide research efforts and improve professional practice.

Adapted from: Torraco, R. J. “Theory-Building Research Methods.” In Swanson R. A. and E. F. Holton III , editors. Human Resource Development Handbook: Linking Research and Practice . (San Francisco, CA: Berrett-Koehler, 1997): pp. 114-137; Jacard, James and Jacob Jacoby. Theory Construction and Model-Building Skills: A Practical Guide for Social Scientists . New York: Guilford, 2010; Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Sutton, Robert I. and Barry M. Staw. “What Theory is Not.” Administrative Science Quarterly 40 (September 1995): 371-384.

Structure and Writing Style

The theoretical framework may be rooted in a specific theory , in which case, your work is expected to test the validity of that existing theory in relation to specific events, issues, or phenomena. Many social science research papers fit into this rubric. For example, Peripheral Realism Theory, which categorizes perceived differences among nation-states as those that give orders, those that obey, and those that rebel, could be used as a means for understanding conflicted relationships among countries in Africa. A test of this theory could be the following: Does Peripheral Realism Theory help explain intra-state actions, such as, the disputed split between southern and northern Sudan that led to the creation of two nations?

However, you may not always be asked by your professor to test a specific theory in your paper, but to develop your own framework from which your analysis of the research problem is derived . Based upon the above example, it is perhaps easiest to understand the nature and function of a theoretical framework if it is viewed as an answer to two basic questions:

• What is the research problem/question? [e.g., "How should the individual and the state relate during periods of conflict?"]
• Why is your approach a feasible solution? [i.e., justify the application of your choice of a particular theory and explain why alternative constructs were rejected. I could choose instead to test Instrumentalist or Circumstantialists models developed among ethnic conflict theorists that rely upon socio-economic-political factors to explain individual-state relations and to apply this theoretical model to periods of war between nations].

The answers to these questions come from a thorough review of the literature and your course readings [summarized and analyzed in the next section of your paper] and the gaps in the research that emerge from the review process. With this in mind, a complete theoretical framework will likely not emerge until after you have completed a thorough review of the literature .

Just as a research problem in your paper requires contextualization and background information, a theory requires a framework for understanding its application to the topic being investigated. When writing and revising this part of your research paper, keep in mind the following:

• Clearly describe the framework, concepts, models, or specific theories that underpin your study . This includes noting who the key theorists are in the field who have conducted research on the problem you are investigating and, when necessary, the historical context that supports the formulation of that theory. This latter element is particularly important if the theory is relatively unknown or it is borrowed from another discipline.
• Position your theoretical framework within a broader context of related frameworks, concepts, models, or theories . As noted in the example above, there will likely be several concepts, theories, or models that can be used to help develop a framework for understanding the research problem. Therefore, note why the theory you've chosen is the appropriate one.
• The present tense is used when writing about theory. Although the past tense can be used to describe the history of a theory or the role of key theorists, the construction of your theoretical framework is happening now.
• You should make your theoretical assumptions as explicit as possible . Later, your discussion of methodology should be linked back to this theoretical framework.
• Don’t just take what the theory says as a given! Reality is never accurately represented in such a simplistic way; if you imply that it can be, you fundamentally distort a reader's ability to understand the findings that emerge. Given this, always note the limitations of the theoretical framework you've chosen [i.e., what parts of the research problem require further investigation because the theory inadequately explains a certain phenomena].

The Conceptual Framework. College of Education. Alabama State University; Conceptual Framework: What Do You Think is Going On? College of Engineering. University of Michigan; Drafting an Argument. Writing@CSU. Colorado State University; Lynham, Susan A. “The General Method of Theory-Building Research in Applied Disciplines.” Advances in Developing Human Resources 4 (August 2002): 221-241; Tavallaei, Mehdi and Mansor Abu Talib. "A General Perspective on the Role of Theory in Qualitative Research." Journal of International Social Research 3 (Spring 2010); Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Reyes, Victoria. Demystifying the Journal Article. Inside Higher Education; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006; Weick, Karl E. “The Work of Theorizing.” In Theorizing in Social Science: The Context of Discovery . Richard Swedberg, editor. (Stanford, CA: Stanford University Press, 2014), pp. 177-194.

Writing Tip

Borrowing Theoretical Constructs from Other Disciplines

An increasingly important trend in the social and behavioral sciences is to think about and attempt to understand research problems from an interdisciplinary perspective. One way to do this is to not rely exclusively on the theories developed within your particular discipline, but to think about how an issue might be informed by theories developed in other disciplines. For example, if you are a political science student studying the rhetorical strategies used by female incumbents in state legislature campaigns, theories about the use of language could be derived, not only from political science, but linguistics, communication studies, philosophy, psychology, and, in this particular case, feminist studies. Building theoretical frameworks based on the postulates and hypotheses developed in other disciplinary contexts can be both enlightening and an effective way to be more engaged in the research topic.

CohenMiller, A. S. and P. Elizabeth Pate. "A Model for Developing Interdisciplinary Research Theoretical Frameworks." The Qualitative Researcher 24 (2019): 1211-1226; Frodeman, Robert. The Oxford Handbook of Interdisciplinarity . New York: Oxford University Press, 2010.

Another Writing Tip

Don't Undertheorize!

Do not leave the theory hanging out there in the introduction never to be mentioned again. Undertheorizing weakens your paper. The theoretical framework you describe should guide your study throughout the paper. Be sure to always connect theory to the review of pertinent literature and to explain in the discussion part of your paper how the theoretical framework you chose supports analysis of the research problem or, if appropriate, how the theoretical framework was found to be inadequate in explaining the phenomenon you were investigating. In that case, don't be afraid to propose your own theory based on your findings.

Yet Another Writing Tip

What's a Theory? What's a Hypothesis?

The terms theory and hypothesis are often used interchangeably in newspapers and popular magazines and in non-academic settings. However, the difference between theory and hypothesis in scholarly research is important, particularly when using an experimental design. A theory is a well-established principle that has been developed to explain some aspect of the natural world. Theories arise from repeated observation and testing and incorporates facts, laws, predictions, and tested assumptions that are widely accepted [e.g., rational choice theory; grounded theory; critical race theory].

A hypothesis is a specific, testable prediction about what you expect to happen in your study. For example, an experiment designed to look at the relationship between study habits and test anxiety might have a hypothesis that states, "We predict that students with better study habits will suffer less test anxiety." Unless your study is exploratory in nature, your hypothesis should always explain what you expect to happen during the course of your research.

The key distinctions are:

• A theory predicts events in a broad, general context;  a hypothesis makes a specific prediction about a specified set of circumstances.
• A theory has been extensively tested and is generally accepted among a set of scholars; a hypothesis is a speculative guess that has yet to be tested.

Cherry, Kendra. Introduction to Research Methods: Theory and Hypothesis. About.com Psychology; Gezae, Michael et al. Welcome Presentation on Hypothesis. Slideshare presentation.

Still Yet Another Writing Tip

Be Prepared to Challenge the Validity of an Existing Theory

Theories are meant to be tested and their underlying assumptions challenged; they are not rigid or intransigent, but are meant to set forth general principles for explaining phenomena or predicting outcomes. Given this, testing theoretical assumptions is an important way that knowledge in any discipline develops and grows. If you're asked to apply an existing theory to a research problem, the analysis will likely include the expectation by your professor that you should offer modifications to the theory based on your research findings.

Indications that theoretical assumptions may need to be modified can include the following:

• Your findings suggest that the theory does not explain or account for current conditions or circumstances or the passage of time,
• The study reveals a finding that is incompatible with what the theory attempts to explain or predict, or
• Your analysis reveals that the theory overly generalizes behaviors or actions without taking into consideration specific factors revealed from your analysis [e.g., factors related to culture, nationality, history, gender, ethnicity, age, geographic location, legal norms or customs , religion, social class, socioeconomic status, etc.].

Philipsen, Kristian. "Theory Building: Using Abductive Search Strategies." In Collaborative Research Design: Working with Business for Meaningful Findings . Per Vagn Freytag and Louise Young, editors. (Singapore: Springer Nature, 2018), pp. 45-71; Shepherd, Dean A. and Roy Suddaby. "Theory Building: A Review and Integration." Journal of Management 43 (2017): 59-86.

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