What Is A Theoretical Framework? A Practical Answer
- Published: 30 November 2015
- Volume 26 , pages 593–597, ( 2015 )
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- Norman G. Lederman 1 &
- Judith S. Lederman 1
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Other than the poor or non-existent validity and/or reliability of data collection measures, the lack of a theoretical framework is the most frequently cited reason for our editorial decision not to publish a manuscript in the Journal of Science Teacher Education . A poor or missing theoretical framework is similarly a critical problem for manuscripts submitted to other journals for which Norman or Judith have either served as Editor or been on the Editorial Board. Often the problem is that an author fails to justify his/her research effort with a theoretical framework. However, there is another level to the problem. Many individuals have a rather narrow conception of what constitutes a theoretical framework or that it is somehow distinct from a conceptual framework. The distinction on lack thereof is a story for another day. The following story may remind you of an experience you or one of your classmates have had.
Doctoral students live in fear of hearing these now famous words from their thesis advisor: “This sounds like a promising study, but what is your theoretical framework?” These words instantly send the harried doctoral student to the library (giving away our ages) in search of a theory to support the proposed research and to satisfy his/her advisor. The search is often unsuccessful because of the student’s misconception of what constitutes a “theoretical framework.” The framework may actually be a theory, but not necessarily. This is especially true for theory driven research (typically quantitative) that is attempting to test the validity of existing theory. However, this narrow definition of a theoretical framework is commonly not aligned with qualitative research paradigms that are attempting to develop theory, for example, grounded theory, or research falling into the categories of description and interpretation research (Peshkin, 1993 ). Additionally, a large proportion of doctoral theses do not fit the narrow definition described. The argument here is not that various research paradigms have no overarching philosophies or theories about knowing. Clearly quantitative research paradigms are couched in a realist perspective and qualitative research paradigms are couched in an idealist perspective (Bogdan & Biklen, 1982 ). The discussion here is focused on theoretical frameworks at a much more specific and localized perspective with respect to the justification and conceptualization of a single research investigation. So, what is a theoretical framework?
It is, perhaps, easier to understand the nature and function of a theoretical framework if it is viewed as the answer to two basic questions:
What is the problem or question?
Why is your approach to solving the problem or answering the question feasible?
Indeed, the answers to these questions are the substance and culmination of Chapters I and II of the proposal and completed dissertation, or the initial sections preceding the Methods section of a research article. The answers to these questions can come from only one source, a thorough review of the literature (i.e., a review that includes both the theoretical and empirical literature as well as apparent gaps in the literature). Perhaps, a hypothetical situation can best illustrate the development and role of the theoretical framework in the formalization of a dissertation topic or research investigation. Let us continue with the doctoral student example, keeping in mind that a parallel situation also presents itself to any researcher planning research that he/she intends to publish.
As an interested reader of educational literature, a doctoral student becomes intrigued by the importance of questioning in the secondary classroom. The student immediately begins a manual and computer search of the literature on questioning in the classroom. The student notices that the research findings on the effectiveness of questioning strategies are rather equivocal. In particular, much of the research focuses on the cognitive levels of the questions asked by the teacher and how these questions influence student achievement. It appears that the research findings exhibit no clear pattern. That is, in some studies, frequent questioning at higher cognitive levels has led to more achievement than frequent questioning at the lower cognitive levels. However, an equal number of investigations have shown no differences between the achievement of students who are exposed to questions at distinctly different cognitive levels, but rather the simple frequency of questions.
The doctoral student becomes intrigued by these equivocal findings and begins to speculate about some possible explanations. In a blinding flash of insight, the student remembers hearing somewhere that an eccentric Frenchman named Piaget said something about students being categorized into levels of cognitive development. Could it be that a student’s cognitive level has something to do with how much and what he/she learns? The student heads back to the library and methodically searches through the literature on cognitive development and its relationship to achievement.
At this point, the doctoral student has become quite familiar with two distinct lines of educational research. The research on the effectiveness of questioning has established that there is a problem. That is, does the cognitive level of questioning have any effect on student achievement? In effect, this answers the first question identified previously with respect to identification of a theoretical framework. The research on the cognitive development of students has provided an intriguing perspective. That is, could it be possible that students of different cognitive levels are affected differently by questions at different cognitive levels? If so, an answer to the problem concerning the effectiveness questioning may be at hand. This latter question, in effect, has addressed the second question previously posed about the identification of a theoretical framework. At this point, the student has narrowed his/her interests as a result of reviewing the literature. Note that the doctoral student is now ready to write down a specific research question and that this is only possible after having conducted a thorough review of the literature.
The student writes down the following research hypotheses:
Both high and low cognitive level pupils will benefit from both high and low cognitive levels of questions as opposed to no questions at all.
Pupils categorized at high cognitive levels will benefit more from high cognitive level questions than from low level questions.
Pupils categorized at lower cognitive levels will benefit more from low cognitive level questions than from high level questions.
These research questions still need to be transformed into testable statistical hypotheses, but they are ready to be presented to the dissertation advisor. The advisor looks at the questions and says: “This looks like a promising study, but what is your theoretical framework?” There is no need, however for a sprint to the library. The doctoral student has a theoretical framework. The literature on questioning has established that there is a problem and the literature on cognitive development has provided the rationale for performing the specific investigation that is being proposed. ALL IS WELL!
If some of the initial research completed by Norman concerning what classroom variables contributed to students’ understandings of nature of science (Lederman, 1986a , 1986b ; Lederman & Druger, 1985 ) had to align with the overly restricted definition of a theoretical framework, which necessitates the presence of theory, it never would have been published. In these initial studies, various classroom variables were identified that were related to students’ improved understandings of nature of science. The studies were descriptive and correlational and were not driven by any theory about how students learn nature of science. Indeed, the design of the studies was derived from the fact that there were no existing theories, general or specific, to explain how students might learn nature of science more effectively. Similarly, the seminal study of effective teaching, the Beginning Teacher Evaluation Study (Tikunoff, Berliner, & Rist, 1975 ), was an ethnographic study that was not guided by the findings of previous research on effective teaching. Rather, their inductive study simply compared 40 teachers “known” to be effective and ineffective of mathematics and reading to derive differences in classroom practice. Their study had no theoretical framework if one were to use the restrictive conception that a theory needed to provide a guiding framework for the investigation. There are plenty of other examples that have guided lines of research that could be provided, but there is no need to beat a dead horse by detailing more examples. The simple, but important, point is that research following qualitative research paradigms or traditions (Jacob, 1987 ; Smith, 1987 ) are particularly vulnerable to how ‘theoretical framework’ is defined. Indeed, it could be argued that the necessity of a theory is a remnant from the times in which qualitative research was not as well accepted as it is today. In general, any research design that is inductive in nature and attempts to develop theory would be at a loss. We certainly would not want to eliminate multiple traditions of research from the Journal of Science Teacher Education .
Harry Wolcott’s discussion about validity in qualitative research (Wolcott, 1990 ) is quite explicit about the lack of theory or necessity of theory in driving qualitative ethnography. Interestingly, he even rejects the idea of validity as being a necessary criterion in qualitative research. Additionally, Bogdan and Biklen ( 1982 ) emphasize the importance of qualitative researchers “bracketing” (i.e., masking or trying to forget) their a priori theories so that it does not influence the collection of data or any meanings assigned to data during an investigation. Similar discussions about how qualitative research differs from quantitative research with respect to the necessity of theory guiding the research have been advanced by many others (e.g., Becker, 1970 ; Bogdan & Biklen, 1982 ; Erickson, 1986 ; Krathwohl, 2009 ; Rist, 1977 ; among others). Perhaps, Peshkin ( 1993 , p. 23) put it best when he expressed his concern that “Research that is not theory driven, hypothesis testing, or generalization producing may be dismissed as deficient or worse.” Again, the key point is that qualitative research is as valuable and can contribute as much to our knowledge of teaching and learning as quantitative research.
There is little doubt that qualitative researchers often invoke theory when analyzing the data they have collected or try to place their findings within the context of the existing literature. And, as stated at the beginning of this editorial, different research paradigms have large overarching theories about how one comes to know about the world. However, this is not the same thing has using a theory as a framework for the design of an investigation from the stating of research questions to developing a design to answer the research questions.
It is quite possible that you may be thinking that this editorial about the meaning of a theoretical framework is too theoretical. Trust us in believing that there is a very practical reason for us addressing this issue. At the beginning of the editorial we talked about the lack of a theoretical framework being the second most common reason for manuscripts being rejected for publication in the Journal of Science Teacher Education . Additionally, we mentioned that this is a common reason for manuscripts being rejected by other prominent journals in science education, and education in general. Consequently, it is of critical importance that we, as a community, are clear about the meaning of a theoretical framework and its use. It is especially important that our authors, reviewers, associate editors, and we as Editors of the journal are clear on this matter. Let us not fail to mention that most of us are advising Ph.D. students in the conceptualization of their dissertations. This issue is not new. In 1992, the editorial board of the Journal of Research in Science Teaching was considering the claim, by some, that qualitative research was not being evaluated fairly for publication relative to quantitative research. In their analysis of the relative success of publication for quantitative and qualitative research, Wandersee and Demastes ( 1992 , p. 1005) noted that reviewers often noted, “The manuscript had a weak theoretical basis” when reviewing qualitative research.
Theoretical frameworks are critically important to all of our work, quantitative, qualitative, or mixed methods. All research articles should have a valid theoretical framework to justify the importance and significance of the work. However, we should not live in fear, as the doctoral student, of not having a theoretical framework, when we actually have such, because an Editor, reviewer, or Major Professor is using any unduly restrictive and outdated meaning for what constitutes a theoretical framework.
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Lederman, N.G., Lederman, J.S. What Is A Theoretical Framework? A Practical Answer. J Sci Teacher Educ 26 , 593–597 (2015). https://doi.org/10.1007/s10972-015-9443-2
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Published : 30 November 2015
Issue Date : November 2015
DOI : https://doi.org/10.1007/s10972-015-9443-2
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The Ultimate Guide to Qualitative Research - Part 1: The Basics
- Introduction and overview
- What is qualitative research?
- What is qualitative data?
- Examples of qualitative data
- Qualitative vs. quantitative research
- Mixed methods
- Qualitative research preparation
- Theoretical perspective
- Introduction
Strategies for developing the theoretical framework
- Literature reviews
- Research question
- Conceptual framework
- Conceptual vs. theoretical framework
- Data collection
- Qualitative research methods
- Focus groups
- Observational research
- Case studies
- Ethnographical research
- Ethical considerations
- Confidentiality and privacy
- Power dynamics
- Reflexivity
Theoretical framework
The theoretical perspective provides the broader lens or orientation through which the researcher views the research topic and guides their overall understanding and approach. The theoretical framework, on the other hand, is a more specific and focused framework that connects the theoretical perspective to the data analysis strategy through pre-established theory.
A useful theoretical framework provides a structure for organizing and interpreting the data collected during the research study. Theoretical frameworks provide a specific lens through which the data is examined, allowing the researcher to identify recurring patterns, themes, and categories related to your research inquiry based on relevant theory.
Let's explore the idea of the theoretical framework in greater detail by exploring its place in qualitative research, particularly how it is generated and how it contributes to and guides your research study.
Theoretical framework vs. theoretical perspective
While these two terms may sound similar, they play very distinct roles in qualitative research . A theoretical perspective refers to the philosophical stance informing the methodology and thus provides a context for the research process. These perspectives could be rooted in various schools of thought like postmodernism, constructivism, or positivism, which fundamentally shape how researchers perceive reality and construct knowledge.
On the other hand, the theoretical framework represents the structure that can hold or support a theory of a research study. It presents a logical structure of connected concepts that help the researcher understand, explain, and predict how phenomena are interrelated. The theoretical framework can pull together various theories or ideas from different perspectives to provide a comprehensive approach to addressing the research problem.
Moreover, theoretical frameworks provide useful guidance as to which research methods are appropriate for your research project. If the theoretical framework you employ is relevant to individual perspectives and beliefs, then interviews may be more suitable for your research. On the other hand, if you are utilizing an existing theory about a certain social behavior, then ethnographic observations can help you more ably capture data from social interactions.
Later in this guide, we will also discuss conceptual frameworks , which help you visualize the essential concepts and data points in the context you are studying. For now, it is important to emphasize that these are all related but ultimately different ideas.
Example of a theoretical framework
Let's look at a simple example of a theoretical framework used to address a social science research problem. Consider a study examining the impact of social media on body image among adolescents. The theoretical perspective might be rooted in social constructivism, based on the assumption that our understanding of reality is shaped by social interactions and cultural context.
The theoretical framework, then, could draw on one or several theories to provide a comprehensive structure for examining this issue. For instance, it might combine elements of "social comparison theory" (which suggests that individuals determine their own social and personal worth based on how they stack up against others), "self-perception theory" (which posits that individuals develop their attitudes by observing their own behavior and concluding what attitudes must have caused it), and "cultivation theory" (which suggests that long-term immersion in a media environment leads to "cultivation", or adopting the attitudes and beliefs portrayed in the media).
This framework would provide the structure to understand how social media exposure influences adolescents' perceptions of their bodies, how they compare themselves to images seen on social media, and how these influences may shape their attitudes toward their own bodies.
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Other examples of theoretical frameworks
Let's briefly look at examples in other fields to put the idea of "theoretical framework" in greater context.
Political science
In a study investigating the influence of lobbying on legislative decisions, the theoretical framework could be rooted in the "pluralist theory" and "elite theory".
Pluralist theory views politics as a competition among groups, each one pressing for its preferred policies, while elite theory suggests that a small, cohesive elite group makes the most important decisions in society. The framework could combine these theories to examine the power dynamics in legislative decisions and the role of lobbying groups in influencing these outcomes.
Educational research
An educational research study aiming to understand the impact of parental involvement on children's academic success could employ a theoretical framework based on Bronfenbrenner's ecological systems theory and Epstein's theory of overlapping spheres of influence.
The ecological systems theory emphasizes the importance of multiple environmental systems on child development, while Epstein's theory focuses on the partnership between family, school, and community. The intersection of these theories allows for a comprehensive examination of parental involvement both in and outside of the school context.
Health services research
In a health services study exploring factors affecting patient adherence to medication regimes, the theoretical framework could draw from the health belief model and social cognitive theory.
The health belief model posits that people's beliefs about health problems, perceived benefits of action and barriers to action, and self-efficacy explain engagement in health-promoting behavior.
The social cognitive theory emphasizes the role of observational learning, social experience, and reciprocal determinism in behavior change. The framework combining these theories provides a holistic understanding of both personal and social influences on patient medication adherence.
Developing a theoretical framework involves a multi-step process that begins with a thorough literature review . This allows you to understand the existing theories and research related to your topic and identify gaps or unresolved puzzles that your study can address.
1. Identify key concepts: These might be the phenomena you are studying, the attributes of these phenomena, or the relationships between them. Identifying these can help you define the relevant data points to analyze.
2. Find relevant theories: Conduct a literature review to search for existing theories in academic research papers that relate to your key concepts. These theories might explain the phenomena you are studying, provide context for it, or suggest how the phenomena might be related. You can build off of one theory or multiple theories, but what is most important is that the theory is aligned with the concepts and research problem you are studying.
3. Map relationships: Outline how the theories you have found relate to one another and to your key concepts. This might involve drawing a diagram or writing a narrative that explains these relationships.
4. Refine the framework: As you conduct your research, refine your theoretical framework. This might involve adding new concepts or theories, removing concepts or theories that do not fit your data, or changing how you conceptualize the relationships between theories.
Remember, the theoretical framework is not set in stone. At the same time, it may start with existing knowledge, it is important to develop your own framework as you gather more data and gain a deeper understanding of your research topic and context.
In the end, a good theoretical framework guides your research question and methods so that you can ultimately generate new knowledge and theory that meaningfully contributes to the existing conversation around a topic.
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