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What is a Theoretical Framework? | A Step-by-Step Guide

Published on 14 February 2020 by Shona McCombes . Revised on 10 October 2022.

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

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

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

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Table of contents

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

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

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

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

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

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

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

1. Identify your key concepts

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

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

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

Objective : To increase the quantity of return customers.

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

2. Evaluate and explain relevant theories

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

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

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

3. Show how your research fits into existing research

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

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

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

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

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

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

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

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

Prevent plagiarism, run a free check.

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

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

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

A literature review is a survey of scholarly sources (such as books, journal articles, and theses) related to a specific topic or research question .

It is often written as part of a dissertation , thesis, research paper , or proposal .

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McCombes, S. (2022, October 10). What is a Theoretical Framework? | A Step-by-Step Guide. Scribbr. Retrieved 19 August 2024, from https://www.scribbr.co.uk/thesis-dissertation/the-theoretical-framework/

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What Is a Theoretical Framework? | Guide to Organizing

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

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

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

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

Table of contents

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

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

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

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

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

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

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

1. Identify your key concepts

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

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

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

Objective : To increase the quantity of return customers.

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

2. Evaluate and explain relevant theories

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

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

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

3. Show how your research fits into existing research

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

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

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

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

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

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

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

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

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

If you want to know more about AI for academic writing, AI tools, or research bias, make sure to check out some of our other articles with explanations and examples or go directly to our tools!

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

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

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

Cite this Scribbr article

If you want to cite this source, you can copy and paste the citation or click the “Cite this Scribbr article” button to automatically add the citation to our free Citation Generator.

Vinz, S. (2023, November 20). What Is a Theoretical Framework? | Guide to Organizing. Scribbr. Retrieved August 21, 2024, from https://www.scribbr.com/dissertation/theoretical-framework/

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

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

Importance of Theory and a Theoretical Framework

Theories can be unfamiliar to the beginning researcher because they are rarely applied in high school social studies curriculum and, as a result, can come across as unfamiliar and imprecise when first introduced as part of a writing assignment. However, in their most simplified form, a theory is simply a set of assumptions or predictions about something you think will happen based on existing evidence and that can be tested to see if those outcomes turn out to be true. Of course, it is slightly more deliberate than that, therefore, summarized from Kivunja (2018, p. 46), here are the essential characteristics of a theory.

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

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

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

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

The theoretical framework strengthens the study in the following ways :

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

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

The Conceptual Framework. College of Education. Alabama State University; Corvellec, Hervé, ed. What is Theory?: Answers from the Social and Cultural Sciences . Stockholm: Copenhagen Business School Press, 2013; Asher, Herbert B. Theory-Building and Data Analysis in the Social Sciences . Knoxville, TN: University of Tennessee Press, 1984; Drafting an Argument. Writing@CSU. Colorado State University; Kivunja, Charles. "Distinguishing between Theory, Theoretical Framework, and Conceptual Framework: A Systematic Review of Lessons from the Field." International Journal of Higher Education 7 (2018): 44-53; Omodan, Bunmi Isaiah. "A Model for Selecting Theoretical Framework through Epistemology of Research Paradigms." African Journal of Inter/Multidisciplinary Studies 4 (2022): 275-285; Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006; Jarvis, Peter. The Practitioner-Researcher. Developing Theory from Practice . San Francisco, CA: Jossey-Bass, 1999.

Strategies for Developing the Theoretical Framework

I.  Developing the Framework

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

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

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

II.  Purpose

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

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

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

Structure and Writing Style

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

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

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

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

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

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

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

Writing Tip

Borrowing Theoretical Constructs from Other Disciplines

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

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

Another Writing Tip

Don't Undertheorize!

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

Yet Another Writing Tip

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

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

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

The key distinctions are:

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

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

Still Yet Another Writing Tip

Be Prepared to Challenge the Validity of an Existing Theory

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

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

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

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

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Psychology Junior Paper and Senior Thesis Guide

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Current guidelines for Psychology Senior Theses can be found on the Department of Psychology's website .

Students can conduct an experimental thesis, a computational thesis, or a theoretical thesis. All formats require a review of the literature .

• An experimental thesis should include a comprehensive literature review, findings from at least one original research study (an experiment or a field study) with appropriate statistical analyses, and a general discussion of the findings.
• A computational thesis should include a review of the literature and description and discussion of the computational models that the student has completed.
• A theoretical thesis should include a comprehensive review of the research literature on a psychology topic of importance, including an extensive evaluation of the findings and original interpretations, theoretical proposals, or a proposed program of research to add further scientific knowledge.
• << Previous: Junior Paper Guidelines
• Next: Examples of Senior Theses >>
• Last Updated: Apr 16, 2024 11:35 AM
• URL: https://libguides.princeton.edu/psyc_jp_thesis

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 ...

23 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

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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!

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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

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

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

thank you so much. Educative and realistic.

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Home » Theoretical Framework – Types, Examples and Writing Guide

Theoretical Framework – Types, Examples and Writing Guide

Table of Contents

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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Home > School, College, or Department > CLAS > Psychology > Dissertations and Theses

Psychology Dissertations and Theses

Theses/dissertations from 2024 2024.

Faculty Mentors' Influence on Latino/a/x STEM Undergraduates' STEM Identity Development , Sandy Cerda-Lezama

The Nuanced Relationship Between Mindfulness, Racial Prejudice, and Policy Support , Jared Michael Cutler

Individual and Structural Contributors to Implicit and Explicit Anti-Muslim Bias in the United States , Aeleah M. Granger

The Relationship Between Adverse Childhood Experiences and Juvenile Offender Typology , Aliza Beth Lipman

A Cognitive Approach to Supervisor Training Intervention Evaluation: Analyzing Change with Response Shift Theory and Models of Measurement Invariance , Luke Daniel Mahoney

The Exploration of Latino BIP Participants' Experiences of Oppression and Expressions of Critical Consciousness , Adrian Luis Manriquez

Permission to Play: A District's Initiative to Innovate Kindergarten and Promote Developmentally Appropriate Practices , Cristin McDonough

The Wage of Wellness: The Relationship Between Socioeconomic Status, Race, and Work Recovery , Emily Julia Ready

Seguir Adelante: A Qualitative Exploration of Latino Farmworkers' Work and Non-Work Resources , Faviola Robles Saenz

It Takes a Village: An Examination of Social Relationships and Mental Health , Em Francis Trubits

Theses/Dissertations from 2023 2023

Examining Factors Impacting the Service Needs of Unhoused Women , Holly Brott

Main, Mediated, and Moderated Effects of Participating in an After-School Social and Emotional Learning Program on Young Children's Development of Social-Emotional Skills , Amy L. Cordier

Who Puts the "Support" in Supportive Housing? The Impact of Housing Staff on Resident's Well-Being, and the Potential Moderating Role of Self-Determination , Kenna Estell Dickard

Motivation to Collaborate: A Qualitative Exploration of the Perspectives of Service Providers on an Alternative First Response Program , Desiree' J. DuBoise

Tell Me, Do You Feel It Too? A Meta-analysis of Dyadic Emotional Contagion in the Workplace , Stefanie Fox

Left on "Read" and All Alone: Instigated Cyber Incivility, Shame, and Experienced Ostracism at Work , Alison Lucia Hunt

Exploring Associations between Military Identity and Well-being Outcomes among Post-9/11 Veterans after Separation , James David Lee

Experiences of People with Serious Mental Illness Seeking Services at Community Mental Health Centers During the COVID-19 Pandemic , Emily Leickly

Why So Serious? Using the Belongingness Need Tenet from the Self-Determination Theory to Examine Workplace Humor and Its Outcomes , Katharine Lucille McMahon

Emotion Knowledge, Its Applications, and Their Associations With African American Children's Social Relationships With Teachers and Peers in Kindergarten and First Grade , Brielle Emily Petit

Stress-Reduction from Positive Support: Impacts of Receiving Partner Capitalization Support on Veteran Stress/Work Stress , MaryAnn Dona Samson

Diversity in Recruitment: The Role of Realistic Website Job Previews for Racial and Ethnic Minority Applicants , Jennifer Saucedo

Antecedents of FSSB: Evaluating the Demographic Basis of Support , Erika Ann Schemmel

A Daily Investigation of the Recovery Paradox: Examining the Dynamic Interplay of Workload, Recovery Experiences, and Microbreaks , Morgan Rose Taylor

Not on the Menu: Customer Sexual Harassment in the Restaurant Industry , Fernanda Wolburg Martinez

Theses/Dissertations from 2022 2022

Model.Disclose(): Examination of Obsessive-Compulsive Disorder Disclosure at Work , Timothy Allen Carsey

Transforming Learning Communities, Transforming Ourselves: A Qualitative Investigation of Identity Processes in a Participatory Action Research-themed Undergraduate Course , Julia Sara Dancis

Clarifying and Measuring Inclusive Leadership , Kelly Mason Hamilton

Intersections of Masculinity, Culturally Relevant Factors, and Intimate Partner Violence Perpetration Among Asian American Men , Jason Z. Kyler-Yano

Sleeping to Support: An Examination of the Relationship Between Leader Sleep and Positive Support Behaviors , Jordyn Jan Leslie

Work-Related IPV Among Latinos: Exploring the Roles of Fatherhood Status, Gendered Expectations, and Support for Intimate Partner's Employment , Adrian Luis Manriquez

Masculinity Instability and Ideologies as Predictors of IPV Perpetration: The Mediating Role of Relationship Power , Emma Christine Marioles O'Connor

The Benefits of Social Support on Health and Well-Being in Military Populations: Examining Mechanisms, Source of Support, and the Reach of a Workplace Well-Being Intervention , AnnaMarie Sophia O'Neill

Do Motives Matter? The Role of Motivation in Shaping the Impact of Mindfulness Training on Teachers' Psychological Distress and Wellbeing , Cristi N. Pinela

Theses/Dissertations from 2021 2021

The Longitudinal Effects of a Family and Sleep Supportive Intervention on Service Member Anger and Resilience , Shalene Joyce Allen

Drug Conviction and Employment Restriction: Experiences of Employees with Drug-Related Criminal Histories , Liana Bernard

Sustaining Boys' Motivation Over the Transition to Middle School: Can Interpersonal Resources Protect Boys from Engagement Declines Across Sixth Grade? , Brandy Anne Brennan

Returning to Rejection: Outcomes and Boundary Conditions of Mental Illness Stereotypes , Stefanie Fox

Guarding Against Strain: The Moderating Role of Nonwork Experiences in the Relationship Between Work-Related Hypervigilance and Strain in Correctional Officers , Samantha Getzen

Anti-Muslim Bias: Investigating Individual Differences, Threat Perceptions, and Emotions in Islamophobic Policy Support , Aeleah M. Granger

Black Children's Development of Self-Regulation within Stressful Contexts of Parenting: Investigating Potential Buffering Effects of a Kindergarten Social-Emotional Learning Program , Eli Labinger

"Like I Was an Actual Researcher": Participation and Identity Trajectories of Underrepresented Minority and First-Generation STEM Students in Research Training Communities of Practice , Jennifer Lynn Lindwall

Claiming Miscommunication to Justify Rape: The Role of Liking the Perpetrator , Alyssa Marie Glace Maryn

An "I" for an "I" : A Systematic Review and Meta-Analysis of Instigated and Reciprocal Incivility , Lauren Sarah Park

Parenting and Children's Academic Coping as a Dynamic System: Feedforward, Feedback, and Mediators of Changes Across the School Year , Kristen Elizabeth Raine

Does Experiencing Spousal Support and Strain Impact the Quality of Family-Based Support that Supervisors Provide to Employees? , Joseph Alvin Sherwood

"B-ing Flexible" : Examining Creativity in Bisexual Employees , Megan Jane Snoeyink

Exploring the Relationships Between Community Experiences and Well-Being among Youth Experiencing Homelessness , Katricia Stewart

Mothers' Drinking Motives , Sheila Kathleen Umemoto

An Examination of Nurses' Schedule Characteristics, Recovery from Work, and Well-Being , Sarah Elizabeth Van Dyck

Preventing Sexual Violence Through Understanding Perceptions of Sexual Offenders , Judith G. Zatkin

Theses/Dissertations from 2020 2020

Examining Employee Needs at Work and Home: a Self-Determination Theory Perspective , Dana Anuhea Auten

Trajectories, Time Windows, and Alternative Pathways of Engagement: Motivational Resources Underlying Academic Development during Middle School , Heather Anne Brule

Examining Mindfulness Training for Teachers: Theoretical and Methodological Extensions of Intervention Effectiveness , Jaiya Rae Choles

Detecting Reinforcement Patterns in the Stream of Naturalistic Observations of Social Interactions , James Lamar DeLaney 3rd

An Investigation of the Temporal Relationship Between Agitation and Sleep Disturbances , Emily Catherine Denning

Peers' Academic Coping as a Resource for Academic Engagement and Motivational Resilience in the First Year of Middle School , Daniel Lee Grimes

Home Resources Supporting Workplace Resources: an Investigation of Moderated Intervention Effects From the Study for Employment Retention of Veterans (SERVe) , Sarah Nielsen Haverly

"It Puts a Face to All the Knowledge We've Gotten" : a Program of Research on Intimate Partner Violence Surrogate Impact Panels , Kate Louise Sackett Kerrigan

A Daily Examination of Anger and Alcohol Use Among Post-9/11 Veterans , James David Lee

An Examination of Daily Family-Supportive Supervisor Behaviors, Perceived Supervisor Responsiveness and Job Satisfaction , Luke Daniel Mahoney

Nurse Can't Even: the Immediate Impact of Incivility on Affect, Well-being, and Behavior , Katharine Lucille McMahon

Perceptions of Police Use of Force at the Intersection of Race and Pregnancy , Emma Elizabeth Lee Money

The Impact of Paternal Caregivers for Youth Who Commit Sexual Offenses , Miranda Hope Sitney

Human Energy in the Workplace: an Investigation of Daily Energy Management Strategies, Job Stressors and Employee Outcomes , Morgan Rose Taylor

Individual and Community Supports that Impact Community Inclusion and Recovery for Individuals with Serious Mental Illnesses , Rachel Elizabeth Terry

Investigating Sexual Fantasy and Sexual Behavior in Adolescent Offenders , Hayley Lauren Tews

Theses/Dissertations from 2019 2019

Integrating Work Ability into the Organizational Science Literature: Advancing Theory and Developing the Nomological Network , Grant Brady

Family Linked Workplace Resources and Contextual Factors as Important Predictors of Job and Individual Well-being for Employees and Families , Jacquelyn Marie Brady

The Role of Teacher Autonomy Support Across the Transition to Middle School: its Components, Reach, and Developmental Effects , Julia Sara Dancis

Does X Mark the Applicant? Assessing Reactions to Gender Non-Binary Job Seekers , Kelly Mason Hamilton

Urbanicity as a Moderator of the Relationship Between Stigma and Well-being Outcomes for Individuals with Serious Mental Illnesses , Emily Leickly

The Relationship Between Undergraduate Research Training Programs and Motivational Resources for Underrepresented Minority Students in STEM: Program Participation, Self-efficacy, a Sense of Belonging, and Academic Performance , Jennifer Lindwall

Perceived Partner Responsiveness, Sleep and Pain: a Dyadic Study of Military-Connected Couples , AnnaMarie Sophia O'Neill

Recruitment Marketing: How Do Wellness and Work-Life Benefits Influence Employer Image Perceptions, Organizational Attraction, and Job Pursuit Intentions? , Amy Christine Pytlovany

The Combined Effects of Parent and Teacher Involvement on the Development of Adolescents' Academic Engagement , Nicolette Paige Rickert

Examining the Development and Classroom Dynamics of Student Disaffection Over Multiple Time Periods: Short-term Episodes and Long-term Trajectories , Emily Anne Saxton

Drinking on a Work Night: a Comparison of Day and Person-Level Associations with Workplace Outcomes , Brittnie Renae Shepherd

Development and Validation of the Workplace Mental Illness Stigma Scale (W-MISS) , Nicholas Anthony Smith

Relational Thriving in Context: Examining the Roles of Gratitude, Affectionate Touch, and Positive Affective Variability in Health and Well-Being , Alicia Rochelle Starkey

Preventing Child Sexual Abuse and Juvenile Offending Through Parental Monitoring , Kelly E. Stewart

"To Call or Not to Call?" The Impact of Supervisor Training on Call Center Employee Attitudes and Well-Being , Whitney Elan Schneider Vogel

Theses/Dissertations from 2018 2018

The Impact of Leader Race and Gender on Perceptions of Organizations in Response to Corporate Error , Nicolas Derek Brown

Impacts of Mindfulness Training on Mechanisms Underlying Stress Reduction in Teachers: Results from a Randomized Controlled Trial , Jaiya Rae Choles

Student Motivation Profiles as a Diagnostic Tool to Help Teachers Provide Targeted Support , Cailin Tricia Currie

Insufficient Effort Responding on Mturk Surveys: Evidence-Based Quality Control for Organizational Research , Lee Cyr

Affirmative Consent Endorsement and Peer Norms Supporting Sexual Violence Among Vulnerable Students on College Campuses , Alyssa Marie Glace

Gendered Partner-Ideals, Relationship Satisfaction, and Intimate Partner Violence , Sylvia Marie Ferguson Kidder

Organizational Calling and Safety: the Role of Workload and Supervisor Support , Layla Rhiannon Mansfield

Bystander Intervention to Prevent Campus Sexual Violence: the Role of Sense of Community, Peer Norms, and Administrative Responding , Erin Christine McConnell

Benevolent Sexism and Racial Stereotypes: Targets, Functions, and Consequences , Jean Marie McMahon

Perceived Overqualification and Withdrawal Among Seasonal Workers: Would Work Motivation Make a Difference? , Anthony Duy Nguyen

Differential Well-Being in Response to Incivility and Surface Acting among Nurses as a Function of Race , Lauren Sarah Park

Financial Strain and the Work-Home Interface: a Test of the Work-Home Resources Model from the Study for Employment Retention of Veterans (SERVe) , MacKenna Laine Perry

Neighbor Perceptions of Psychiatric Supportive Housing : the Role of Knowledge, Attitudes, and Behaviors , Amy Leigh Shearer

The Role of Caregiver Disruption in the Development of Juvenile Sexual Offenders , Miranda Sitney

Intrapersonal and Social-Contextual Factors Related to Psychological Well-being among Youth Experiencing Homelessness , Katricia Stewart

Age-based Differences in the Usefulness of Resources: a Multi-Study Investigation of Work and Well-being Outcomes , Lale Muazzez Yaldiz

Pathways to Kindergarten Growth: Synthesizing Theories of the Kindergarten Transition to Support Children's Development , Rita Yelverton

Theses/Dissertations from 2017 2017

The Force of Manhood: the Consequences of Masculinity Threat on Police Officer Use of Force , Aurelia Terese Alston

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Educational resources and simple solutions for your research journey

What is a Theoretical Framework? How to Write It (with Examples) 

Theoretical framework 1,2 is the structure that supports and describes a theory. A theory is a set of interrelated concepts and definitions that present a systematic view of phenomena by describing the relationship among the variables for explaining these phenomena. A theory is developed after a long research process and explains the existence of a research problem in a study. A theoretical framework guides the research process like a roadmap for the research study and helps researchers clearly interpret their findings by providing a structure for organizing data and developing conclusions.   

A theoretical framework in research is an important part of a manuscript and should be presented in the first section. It shows an understanding of the theories and concepts relevant to the research and helps limit the scope of the research.  

Table of Contents

What is a theoretical framework ?  

A theoretical framework in research can be defined as a set of concepts, theories, ideas, and assumptions that help you understand a specific phenomenon or problem. It can be considered a blueprint that is borrowed by researchers to develop their own research inquiry. A theoretical framework in research helps researchers design and conduct their research and analyze and interpret their findings. It explains the relationship between variables, identifies gaps in existing knowledge, and guides the development of research questions, hypotheses, and methodologies to address that gap.  

Now that you know the answer to ‘ What is a theoretical framework? ’, check the following table that lists the different types of theoretical frameworks in research: 3

Developing a theoretical framework in research can help in the following situations: 4

• When conducting research on complex phenomena because a theoretical framework helps organize the research questions, hypotheses, and findings  
• When the research problem requires a deeper understanding of the underlying concepts  
• When conducting research that seeks to address a specific gap in knowledge  
• When conducting research that involves the analysis of existing theories  

Summarizing existing literature for theoretical frameworks is easy. Get our Research Ideation pack  

Importance of a theoretical framework  

The purpose of theoretical framework s is to support you in the following ways during the research process: 2  

• Provide a structure for the complete research process  
• Assist researchers in incorporating formal theories into their study as a guide  
• Provide a broad guideline to maintain the research focus  
• Guide the selection of research methods, data collection, and data analysis  
• Help understand the relationships between different concepts and develop hypotheses and research questions  
• Address gaps in existing literature  
• Analyze the data collected and draw meaningful conclusions and make the findings more generalizable  

Theoretical vs. Conceptual framework  

While a theoretical framework covers the theoretical aspect of your study, that is, the various theories that can guide your research, a conceptual framework defines the variables for your study and presents how they relate to each other. The conceptual framework is developed before collecting the data. However, both frameworks help in understanding the research problem and guide the development, collection, and analysis of the research.  

The following table lists some differences between conceptual and theoretical frameworks . 5

How to write a theoretical framework  

The following general steps can help those wondering how to write a theoretical framework: 2

• Identify and define the key concepts clearly and organize them into a suitable structure.  
• Use appropriate terminology and define all key terms to ensure consistency.  
• Identify the relationships between concepts and provide a logical and coherent structure.  
• Develop hypotheses that can be tested through data collection and analysis.  
• Keep it concise and focused with clear and specific aims.  

Write a theoretical framework 2x faster. Get our Manuscript Writing pack  

Examples of a theoretical framework  

Here are two examples of a theoretical framework. 6,7

Example 1 .   

An insurance company is facing a challenge cross-selling its products. The sales department indicates that most customers have just one policy, although the company offers over 10 unique policies. The company would want its customers to purchase more than one policy since most customers are purchasing policies from other companies.  

Objective : To sell more insurance products to existing customers.  

Problem : Many customers are purchasing additional policies from other companies.  

Research question : How can customer product awareness be improved to increase cross-selling of insurance products?  

Sub-questions: What is the relationship between product awareness and sales? Which factors determine product awareness?  

Since “product awareness” is the main focus in this study, the theoretical framework should analyze this concept and study previous literature on this subject and propose theories that discuss the relationship between product awareness and its improvement in sales of other products.  

Example 2 .

A company is facing a continued decline in its sales and profitability. The main reason for the decline in the profitability is poor services, which have resulted in a high level of dissatisfaction among customers and consequently a decline in customer loyalty. The management is planning to concentrate on clients’ satisfaction and customer loyalty.  

Objective: To provide better service to customers and increase customer loyalty and satisfaction.  

Problem: Continued decrease in sales and profitability.  

Research question: How can customer satisfaction help in increasing sales and profitability?  

Sub-questions: What is the relationship between customer loyalty and sales? Which factors influence the level of satisfaction gained by customers?  

Since customer satisfaction, loyalty, profitability, and sales are the important topics in this example, the theoretical framework should focus on these concepts.  

Benefits of a theoretical framework  

There are several benefits of a theoretical framework in research: 2  

• Provides a structured approach allowing researchers to organize their thoughts in a coherent way.  
• Helps to identify gaps in knowledge highlighting areas where further research is needed.  
• Increases research efficiency by providing a clear direction for research and focusing efforts on relevant data.  
• Improves the quality of research by providing a rigorous and systematic approach to research, which can increase the likelihood of producing valid and reliable results.  
• Provides a basis for comparison by providing a common language and conceptual framework for researchers to compare their findings with other research in the field, facilitating the exchange of ideas and the development of new knowledge.  

Frequently Asked Questions 

Q1. How do I develop a theoretical framework ? 7

A1. The following steps can be used for developing a theoretical framework :  

• Identify the research problem and research questions by clearly defining the problem that the research aims to address and identifying the specific questions that the research aims to answer.
• Review the existing literature to identify the key concepts that have been studied previously. These concepts should be clearly defined and organized into a structure.
• Develop propositions that describe the relationships between the concepts. These propositions should be based on the existing literature and should be testable.
• Develop hypotheses that can be tested through data collection and analysis.
• Test the theoretical framework through data collection and analysis to determine whether the framework is valid and reliable.

Q2. How do I know if I have developed a good theoretical framework or not? 8

A2. The following checklist could help you answer this question:  

• Is my theoretical framework clearly seen as emerging from my literature review?  
• Is it the result of my analysis of the main theories previously studied in my same research field?  
• Does it represent or is it relevant to the most current state of theoretical knowledge on my topic?  
• Does the theoretical framework in research present a logical, coherent, and analytical structure that will support my data analysis?  
• Do the different parts of the theory help analyze the relationships among the variables in my research?  
• Does the theoretical framework target how I will answer my research questions or test the hypotheses?  
• Have I documented every source I have used in developing this theoretical framework ?  
• Is my theoretical framework a model, a table, a figure, or a description?  
• Have I explained why this is the appropriate theoretical framework for my data analysis?  

Q3. Can I use multiple theoretical frameworks in a single study?  

A3. Using multiple theoretical frameworks in a single study is acceptable as long as each theory is clearly defined and related to the study. Each theory should also be discussed individually. This approach may, however, be tedious and effort intensive. Therefore, multiple theoretical frameworks should be used only if absolutely necessary for the study.  

Q4. Is it necessary to include a theoretical framework in every research study?  

A4. The theoretical framework connects researchers to existing knowledge. So, including a theoretical framework would help researchers get a clear idea about the research process and help structure their study effectively by clearly defining an objective, a research problem, and a research question.  

Q5. Can a theoretical framework be developed for qualitative research?  

A5. Yes, a theoretical framework can be developed for qualitative research. However, qualitative research methods may or may not involve a theory developed beforehand. In these studies, a theoretical framework can guide the study and help develop a theory during the data analysis phase. This resulting framework uses inductive reasoning. The outcome of this inductive approach can be referred to as an emergent theoretical framework . This method helps researchers develop a theory inductively, which explains a phenomenon without a guiding framework at the outset.  

Q6. What is the main difference between a literature review and a theoretical framework ?  

A6. A literature review explores already existing studies about a specific topic in order to highlight a gap, which becomes the focus of the current research study. A theoretical framework can be considered the next step in the process, in which the researcher plans a specific conceptual and analytical approach to address the identified gap in the research.  

Theoretical frameworks are thus important components of the research process and researchers should therefore devote ample amount of time to develop a solid theoretical framework so that it can effectively guide their research in a suitable direction. We hope this article has provided a good insight into the concept of theoretical frameworks in research and their benefits.  

References  

• Organizing academic research papers: Theoretical framework. Sacred Heart University library. Accessed August 4, 2023. https://library.sacredheart.edu/c.php?g=29803&p=185919#:~:text=The%20theoretical%20framework%20is%20the,research%20problem%20under%20study%20exists .  
• Salomao A. Understanding what is theoretical framework. Mind the Graph website. Accessed August 5, 2023. https://mindthegraph.com/blog/what-is-theoretical-framework/  
• Theoretical framework—Types, examples, and writing guide. Research Method website. Accessed August 6, 2023. https://researchmethod.net/theoretical-framework/  
• Grant C., Osanloo A. Understanding, selecting, and integrating a theoretical framework in dissertation research: Creating the blueprint for your “house.” Administrative Issues Journal : Connecting Education, Practice, and Research; 4(2):12-26. 2014. Accessed August 7, 2023. https://files.eric.ed.gov/fulltext/EJ1058505.pdf  
• Difference between conceptual framework and theoretical framework. MIM Learnovate website. Accessed August 7, 2023. https://mimlearnovate.com/difference-between-conceptual-framework-and-theoretical-framework/  
• Example of a theoretical framework—Thesis & dissertation. BacherlorPrint website. Accessed August 6, 2023. https://www.bachelorprint.com/dissertation/example-of-a-theoretical-framework/  
• Sample theoretical framework in dissertation and thesis—Overview and example. Students assignment help website. Accessed August 6, 2023. https://www.studentsassignmenthelp.co.uk/blogs/sample-dissertation-theoretical-framework/#Example_of_the_theoretical_framework  
• Kivunja C. Distinguishing between theory, theoretical framework, and conceptual framework: A systematic review of lessons from the field. Accessed August 8, 2023. https://files.eric.ed.gov/fulltext/EJ1198682.pdf  

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Honours Thesis Handbook

This handbook,  effective September 1, 2016 , is the course outline for PSYCH 499A/B/C (Honours Thesis) from Fall 2016 and onward.

Table of contents

• What is an honours thesis ?
• Who should do an honours thesis ?

Prerequisites for admission to PSYCH 499

Selecting a topic for the honours thesis, finding a thesis supervisor.

• Research interests of the Psychology faculty and recent honours thesis supervised

Class enrolment for PSYCH 499A/B/C

Warnings regarding a decision to discontinue psych 499.

• Course requirements for PSYCH 499A progress report and thesis reviewer nominations
• Course requirements for PSYCH 499B - oral presentation of the thesis proposal

Course requirements for PSYCH 499C - completing the thesis and submitting it for marking

Obtaining ethics clearance for research with human or animal participants, evaluation of the honours thesis, honours thesis award, annual ontario psychology undergraduate thesis conference, avoid academic offences, computing facilities, honours thesis (psych 499a/b/c), what is an honours thesis.

Psychology is a scientific approach to understanding mind and behaviour. Honours Psychology students all learn about the body of knowledge that exists in psychology as well as the scientific procedures for making new discoveries. The honours thesis course (PSYCH 499A/B/C) is an optional course for those who have a strong interest in conducting original research and wish to gain greater experience in research design, data analysis and interpretation.

Students carry out the honours thesis project under the supervision of a faculty member and present the findings in a scholarly paper. An honours thesis can be an empirical research project or more rarely a thesis of a theoretical nature. For an empirical project, the student develops a testable hypothesis and uses scientific procedures to evaluate the hypothesis. For a theoretical project, the student integrates and evaluates existing evidence to offer new interpretations and hypotheses. The difference between the two types of projects is basically the same as the difference between an article in Psychological Review or Psychological Bulletin , and an article in any of the experimental journals. A regular journal article typically reports the result of some empirical investigation and discusses its significance. A Psychological Review paper on the other hand, offers a theoretical contribution (e.g., suggesting a new theoretical approach or a way of revising an old one and showing how the new approach may be tested). A Psychological Bulletin article usually offers a review of an evaluative and integrative character, leading to conclusions and some closure about the state of the issue and future directions for research.

Students who plan to apply for admission to graduate school in psychology are typically advised to do an empirical research project for the honours thesis. Students who choose to do a theoretical paper should discuss their decision with the PSYCH 499 coordinator  (see below) early in the PSYCH 499A term.

The topic of investigation for the honours thesis will be based on a combination of the student's and the supervisor's interests .

Students in year two or three who are considering whether or not they want to do an honours thesis can learn more about what is involved in doing an honours thesis by doing any of the following:

• attending an honours thesis orientation meeting. The meeting is typically the first week of classes each academic term. The official date and time of the meeting will be posted on the PSYCH 499 website .
• attending PSYCH 499B oral presentations by other students. 
• reading a few of the honours thesis samples that are available  online PSYCH 499 SharePoint site  (site only accessible to students currently enrolled in PSYCH 499) or via our Learn shell (only available when enrolled).

In addition to the student's honours thesis supervisor, another resource is the PSYCH 499 course coordinator . The PSYCH 499 coordinator conducts the thesis orientation meeting at the start of each term and is available to discuss any course-related or supervisor-related issues with potential students and enrolled students . If students have questions or concerns regarding the procedures for doing an honours thesis that cannot be answered by their thesis supervisor, they should contact the PSYCH 499 coordinator.

The honours thesis course (PSYCH 499A/B/C) is worth 1.5 units (i.e., 3 term courses). The final numerical grade for the thesis will be recorded for each of PSYCH 499A, 499B, and 499C.

Who should I do an honours thesis?

Honours Psychology majors are not required to do an honours thesis.

Good reasons for doing an honours thesis include:

• An honours thesis is a recommended culmination of the extensive training that honours Psychology majors receive in research methods and data analysis (e.g., PSYCH 291, 292, 389, 390,  492). PSYCH 499 is a good choice for students who have a strong interest in, and commitment to, conducting original research and wish to gain greater experience in research design, data analysis and interpretation.
• An honours degree in Psychology that includes a thesis is typically required for admission to graduate programs in Psychology.
• Thesis supervisors are able to write more meaningful reference letters for students' applications for further studies, scholarships, or employment.

The prerequisites for PSYCH 499 are all of the following:

• enrolment in honours Psychology
• successful completion of PSYCH 291, 292, 391, and at least one of: PSYCH 389, 390, 483, 484
• 60% cumulative overall average
• 82% cumulative psychology average

* calendar descriptions as well as course outlines

The course prerequisites for enrolment in PSYCH 499A are strictly enforced because the courses provide essential background for success in PSYCH 499, and it is necessary to restrict the number of students enrolling in PSYCH 499. Appeals to enrol in all 3 of the following courses concurrently will not be accepted:

• Advanced research methods course (PSYCH 389, 390, 483, 484)

In addition to the above formal prerequisites, we assume that all students who are enrolling in PSYCH 499 will have completed at least 4 of the "discipline core courses" (i.e., PSYCH 207, 211, 253, 257, 261) prior to the PSYCH 499A enrolment term.

See " Class enrolment for PSYCH 499A/B/C " below for further details regarding course enrolment, and the PSYCH 499 Application for students without the course prerequisites (e.g., PSYCH average between 81%-81.9%).

The topic of the honours thesis will be based on a combination of the interests of the student and his/her thesis supervisor. One approach for selecting an honours thesis topic is for the student to first find a thesis supervisor who has similar interests to his/her own, and then for the student and the thesis supervisor to develop an honours thesis proposal which compliments the faculty member's current research. Alternatively, some students have more specific research interests and will seek an appropriate thesis supervisor. Students are advised against developing an honours thesis project in too much detail before securing a thesis supervisor.

Review some of the honours thesis titles recently supervised by our faculty members.

See research interests of individual faculty members in the next section.

Each student who enrols in PSYCH 499 must find their own supervisor for his/her honours thesis project. A thesis supervisor must be finalized by the eighth day of classes for the PSYCH 499A term.

Full-time faculty members in the UW Psychology Department, and the four Psychology faculty members at St. Jerome's are all potential thesis supervisors. Think carefully about what you want to tell faculty members about yourself before making contact (think 'foot-in-the-door'). For example, inform a potential supervisor of the following:

• for which school terms you are seeking a thesis supervisor (If not planning to do PSYCH 499 over back-to-back school terms, please explain why, e.g., co-op work term).
• why you are interested in doing an honours thesis
• the program that you are enrolled in (e.g., BA versus BSc, co-op versus regular stream)
• your year of study and target date for graduation
• when you will complete the prerequisites for enrolment in PSYCH 499A
• your cumulative overall and psychology average (highlight improvement if applicable)
• your grades for research methods and statistics courses
• your educational and career goals
• your volunteer/work experience that you have had previously and with whom
• Did you work in his/her lab as a volunteer or paid research assistant?
• Did you take a course with him/her previously?
• Have you read articles that he/she wrote?
• Do his/her interests relate to your interests for studies at the graduate level and/or future employment?
• Were you referred by someone and why?

The search for a thesis supervisor will be easier if you establish rapport during second and third year with faculty members who are potential thesis supervisors. Ways to network with faculty members include the following:

• get involved in the faculty member's lab. See ' Research experience ' on the Psychology undergraduate website for further details
• the Associate Chair for Undergraduate Affairs - currently Stephanie Denison
• faculty members who attended the school(s) you are interested in applying to in the future. See the Psychology Department's Faculty listing for details
• faculty members who have interests that relate to your future plans. See Research interests of faculty members in our department.
• faculty members whose labs you worked or volunteered in
• be an active participant in the class discussions for the advanced research methods courses (PSYCH 389, 390) and honours seminars (PSYCH 453-463).
• enrol in a directed studies course (PSYCH 480-486) where you will receive one-on-one supervision from a faculty member. See the course application form for further details
• read articles that the faculty member has written and discuss the material with him/her
• attend departmental colloquia and divisional seminars where students can engage in discussions with faculty members about the material presented. Postings appear on the right sidebar of the Psychology Department home page

You may find that some faculty members that you approach will have already committed to supervising as many honours thesis projects as they feel able to handle for a given year. Be persistent in your search for a thesis supervisor and do not feel discouraged if you need to approach several (i.e., six or eight) people.

If you are unable to obtain a thesis supervisor, please speak to the PSYCH 499 coordinator .

Faculty members other than the thesis supervisor can also be very useful resources during the course of the thesis project. Feel free to discuss your thesis work with any relevant faculty (or graduate students).

Research interests of the faculty members in the Psychology Department and recent honours theses supervised

For research interests of faculty members please refer to the "Our People" page in the main menu and click on the faculty member's name. You can sort the list by "Name" or "Area of Study". Note that faculty members may not be available to supervise honours theses during sabbatical dates indicated on the web site.

For recent honours theses supervised by individual faculty members please refer to the honours theses supervised website.

Refer to the course enrolment information/instructions on the PSYCH 499 website.

The honours thesis (PSYCH 499A/B/C) is worth 1.5 units (i.e., 3 term courses). Students may not enrol for all of PSYCH 499A/B/C in one term. Students should consult with their thesis supervisor regarding the appropriate class enrolment sequence for PSYCH 499. Students can spread the class enrolment for PSYCH 499A, 499B, and 499C over three terms beginning in the 3B term or over two terms beginning in 4A. Those choosing to do the honours thesis over two terms will enrol in PSYCH 499A/B in 4A and PSYCH 499C in 4B. Alternative sequencing (e.g., 499A/B/C over three terms) should be discussed with the thesis supervisor. Although students can start an honours thesis in any term, the Fall term is typically recommended.

Factors that students should consider when deciding which terms to enrol for PSYCH 499A/B/C:

• When will the prerequisites for PSYCH 499 be completed? For example, Honours Psych & Arts and Business Co-op students will not enrol in PSYCH 499A until the 4A term because the prerequisites for PSYCH 499 won't be completed until the 3B term.
• Will the thesis supervisor be available to supervise the project during the terms that the student proposes to enrol for PSYCH 499A/B/C (e.g., is the supervisor planning a sabbatical leave or to retire)?
• For co-op students, how will the work/school sequence interfere with the project?
• The amount of time necessary to obtain ethics clearance varies depending on the participants required and research design.
• When is the optimal timing for data collection? For example, if PSYCH 101 students will be participants for the study, one has to consider the ratio of PSYCH 101 students to researchers that are available in a given term. The Fall term is typically the best time to collect data from this population, Winter term second best, and the Spring term the poorest.
• What other responsibilities does the student have (e.g., course selections, personal circumstances) in a given term?
• The thesis supervisor requires a sufficient amount of time to get to know the student before he/she is asked to write the student reference letters (e.g., for applications for graduate school, scholarships, or employment).

Details are provided in the next 3 sections regarding the course requirements for each of PSYCH 499A, 499B, and 499C.

Students should be diligent about their responsibilities for the honours thesis. Procrastination leads to delays in firming up the research proposal, doing the oral presentation, obtaining ethics clearance, and beginning data collection. Ultimately procrastination can lead to poor quality work and/or a postponement of graduation.

Students should consult with their thesis supervisor and the Psychology undergraduate advisor before dropping any of PSYCH 499A, 499B, or 499C.

• If a student wants to drop any of PSYCH 499A, 499B, and 499C in the current term, the individual course requests are governed by the same course drop deadlines and penalties (e.g., WD and WF grades) as other courses. Refer to important dates on Quest.
• Dropping PSYCH 499B and/or PSYCH 499C in the current term does not remove PSYCH 499A or PSYCH 499B from earlier terms.
• If a student does not complete the honours thesis, any INC (incomplete) grades for PSYCH 499A/B/C will be converted to FTC (Failure to Complete = 32% in the average calculations). Further, any IP (In Progress) grades for PSYCH 499A/B/C will be converted to FTC (=32%).
• Honours students with INC and/or IP grades will be unable to graduate (e.g., with a General BA in Psych) until those grades are replaced by a final grade(s) (e.g., 32%) and the grade(s) has been factored into the average calculation. In such cases, the student must meet all graduation requirements, including overall average, Psychology average and minimum number of courses required.
• Those who want any grades (e.g., INC, IP, WD, WF, FTC, 32%) for PSYCH 499 removed from their records are advised to submit a petition to the Examinations and Standings Committee. Before doing so, they should consult with the Psychology undergraduate advisor.

Course requirements for PSYCH 499A - progress report and thesis reviewer nominations

Students should attend the honours thesis orientation meeting during the PSYCH 499A term even if they attended a meeting during second or third year. The meeting is usually the first week of classes each academic term. The official date and time will be posted on the PSYCH 499 website . At the meeting, the PSYCH 499 coordinator will describe what is involved in doing an honours thesis and answer questions. Students will also receive information regarding library resources and procedures for obtaining ethics clearance.

Students must report the name of their thesis supervisor to the PSYCH 499 course administrator in the Psychology Undergraduate Office by the eighth day of classes for the PSYCH 499A term. During the PSYCH 499A term, students must

• conduct background research on the thesis topic (e.g., formulate a research question, review relevant literature, formulate major hypotheses)
• nominate potential thesis reviewers
• submit a progress report to the PSYCH 499 coordinator .

Progress reports

Progress reports are due the last day classes for the PSYCH 499A term. The thesis supervisor must sign the progress report before it is submitted to the PSYCH 499 coordinator . Submit the progress report directly to the course coordinator's mailbox in PAS 3021A or via email, cc'ing the course administrato r and your supervisor to give confirmation that they have "signed off" on your progress report (this can pose as the signature). Students should keep a copy of their progress report because the reports will not be returned. The PSYCH 499 coordinator will contact individual students by email if there is a problem with their progress report.

The progress report should be about 5-10 pages in length and include the following information:

• a title page identifying the document as a "PSYCH 499A Progress Report", with the proposed title of the project; student's name, address, telephone number, and email address; the student's ID number, the name of the honours thesis supervisor; and the signature of the supervisor indicating that he or she has read the report and approved it;
• a statement of the general topic of the proposed research;
• a brief account of the background literature the student has read, together with a brief explanation of its relevance for the project;
• a clear statement of the research questions and/or the major hypotheses that the study will address;
• a brief statement of the further steps that will be necessary to complete (e.g., settling on a research design, etc.) before the student will be ready to submit a research proposal and do an oral presentation.

PSYCH 499A students who are not concurrently enrolled in PSYCH 499B typically do not have a fully developed research proposal by the end of the first term of PSYCH 499. The progress reports should be submitted on time and should include as much detail regarding the research proposal as possible (see next section for further details).

Some PSYCH 499A students who are not concurrently enrolled in PSYCH 499B will firm up their research proposals earlier than expected and will want to do, and are encouraged to do, the oral presentation of the research proposal in the first term of PSYCH 499 (see next section for further details). In these cases, the IP (In Progress) grade for PSYCH 499B will be applied to the academic term in which the student formally enrols for PSYCH 499B.

Students who submit progress reports will receive an IP (In Progress) grade for PSYCH 499A; those who do not will receive an INC (Incomplete) grade for PSYCH 499A. INC and IP grades for PSYCH 499 do not impact on average calculations and students with either of these grades can be considered for the Dean's honours list. However, students with INC grades are not eligible for scholarship consideration. Note that INC grades convert to FTC (failure to complete = 32%) after 70 days.

Thesis reviewer

The thesis reviewer is due by the last day of classes for the term for students who enrol in PSYCH 499A only and they are due by the end of the third week of the term for students who enrol concurrently in PSYCH 499A/B.  You will work with your supervisor to decide who would be a strong reviewer and will plan this out with that reviewer. Once your reviewer is determined, please email the course administrator . The thesis reviewer’s duties will include reading the thesis proposal and attending the oral presentation in the PSYCH 499B term and reading and grading the final thesis at the end of the PSYCH 499C term.

Full-time faculty members in the UW Psychology Department and the four Psychology faculty members at St. Jerome's are all potential thesis reviewers. (Note: the student’s thesis supervisor cannot be the thesis reviewer). Students may consult with their thesis supervisors for advice about which faculty members to request as potential thesis reviewers. Several types of considerations might guide whom students seek as potential reviewers. For example, a student may seek a reviewer who has expertise in the topic they are studying, or they may seek breadth by requesting a reviewer with expertise in a quite distinct area of study, or they may seek a reviewer who has expertise in a relevant type of statistical analysis. It is up to the student, in consultation with their supervisor, to determine what factors to prioritise in selecting potential reviewers.

Course requirements for PSYCH 499B - oral presentation of the thesis proposal

During the PSYCH 499B term, students must finalize the research proposal for their honours thesis project and present this information orally to their thesis reviewer and the student’s thesis supervisor. Although the presentation is not graded, it is a course requirement that must precede the completed thesis. The presentation gives the student an opportunity to discuss their research proposals with a wider audience and to receive feedback regarding their literature review and the scope, design, testing procedures, etc., for their projects.

It is also essential that students who are doing an empirical research project involving human or animal participants formally apply for ethics clearance, and that they receive ethics clearance before beginning data collection (see 'Obtaining Ethics Clearance for Research with Human or Animal Participants' for further details).

Students should contact the   PSYCH 499 course administrator in the Psychology Undergraduate Office early in the PSYCH 499B term to book the date and time for their oral presentation. When booking, students are asked to indicate if they will be presenting virtually, or in-person and should mention if the presentation is open to other students to attend. Students are asked to book their presentation as early as possible to ensure space is available The thesis reviewer will attend and conduct the presentation. Presentations occur during the first three months of each term (available dates/times and current presentation schedule are posted on the PSYCH 499 website ). The presentation should be 25 minutes in length followed by a 25 minute period for discussion and questions. Students are encouraged to attend other students' presentations when available.

A written version of the research proposal must be submitted to the mailbox or email of the thesis reviewer at least two business days prior to the scheduled date of the student's oral presentation of the proposal (meaning no later than 4:30pm Thursday for a Tuesday presentation). For empirical research projects, the proposal must include the following: a title page identifying the document as a "PSYCH 499B Research Proposal"; a brief review of the relevant scientific literature; a clear statement of the research question and major hypotheses to be examined; the planned method, including the number and types of participants, the design, the task or tests to be given, and the procedure to be used; the statistical tests and comparisons that are planned; and the expected date for beginning data collection. For a theoretical research project, the proposal must include a clear review of the issues, theories, or constructs to be analyzed; a description of the scholarly database to be used (including a list of important references); and a clear account of the intended contribution of the work (i.e., how it will advance understanding).

The research proposal must be approved and signed by the student's thesis supervisor before the proposal is submitted to the thesis reviewer . Students can get a better idea of the content and format required for the research proposal by referring to the methods section of completed honours theses. Students should keep a copy of their research proposal because the copy that is submitted to the  thesis reviewer will not be returned.

All PSYCH 499 students must complete the ' TCPS 2 Tutorial Course on Research Ethics (CORE) ' before the research ethics application on which they are named is submitted for approval. In addition, all PSYCH 499 students must complete a "Researcher Training" session with the REG Coordinator .

Students who have completed the oral presentation requirement will receive an IP (In Progress) grade for PSYCH 499B; those who have not will receive an INC (Incomplete) grade for PSYCH 499B. INC and IP grades for PSYCH 499 do not impact on average calculations and students with either of these grades can be considered for the Dean's honours list. However, students with INC grades are not eligible for scholarship consideration. Note that INC grades convert to FTC (failure to complete = 32%) after 70 days.

Students who enrol in PSYCH 499A and 499B in the same term and satisfy the oral presentation requirement that term will not be required to also submit a progress report.

On-line surveys

Honours thesis students who require assistance regarding research software and the development of on-line surveys, beyond advice from the honours thesis supervisor, may wish to seek advice from Bill Eickmeier (Computer Systems Manager and Research Programmer; PAS 4008; ext 36638; email  [email protected] ). Students are expected to manage much of this process independently and will be given access to a self-help website. Most students will be able to work independently using a Qualtrics account provided by the thesis supervisor, or using the  web form template notes  Bill has posted on the web. However, Bill is available to provide additional guidance if he is given at least three to four weeks advance notice.

Caution regarding off-campus data collection

If you are planning to collect data off-campus, please read carefully the " Field Work Risk Management " requirements provided by the University of Waterloo Safety Office. "Field Work" refers to any activity undertaken by members of the university in any location external to University of Waterloo campuses for the purpose of research, study, training or learning.

We assume that insurance for private vehicles is up to the owners and that insurance for rental vehicles, if applicable, would be through the rental company. Further details of University of Waterloo policies regarding travel .

Please discuss your plans for off-campus data collection with your thesis supervisor and the  PSYCH 499 coordinator in advance to ensure that all bases are covered with regards to waivers, insurance, etc.

In the PSYCH 499C term, students will complete the data collection for their project (see the previous paragraphs if using on-line surveys or doing off-campus data collection), analyze/evaluate the data, and finish writing the honours thesis. The honours thesis must be written in the form indicated by the American Psychological Association (APA) Publication Manual (available at the Bookstore), but may be more abbreviated than a regular journal article. Sample honours theses can be found in the Learn shell.

For an empirical research project, the following sections are required in the thesis:

• introduction (literature review and the hypothesis)
• methods (participants, design, task or test to be given, testing procedures, measures)

It is not necessary to append ORE application forms to the completed honours thesis. However, a copy of the formal notification of ethics clearance is required.

The sections and subsections required for theoretical papers will be slightly different than for empirical research projects, and will vary according to the topic being studied. If possible, students should plan the layout for the theoretical paper in the PSYCH 499B term because the plan may guide their literature review. Students should consult with their thesis supervisor and the  PSYCH 499 coordinator  about the layout.

Normally students will receive feedback from their thesis supervisor on at least one or two (and often more) drafts of the thesis before the final paper is submitted for marking. Be sure to leave adequate time for this process.

Submitting the thesis for marking

The final version of the thesis is due the last day the class period for the PSYCH 499C term.  However, due dates do change each term dependent on grade submission deadlines held by the registrar’s office, so it is important to follow the due date on our official due date page.  See 'Extensions on the thesis submission deadline' below regarding requests for extensions.

In order for the Psychology Department to track theses that are submitted for marking and ensure that marks are forwarded to the Registrar's Office as quickly as possible, students must submit an electronic copy of the honours thesis to  the PSYCH 499 course administrator  who will coordinate grading by the thesis supervisor and the thesis reviewer , and will submit PSYCH 499 grades to the Registrar's Office. The honours thesis does not need to be signed by the thesis supervisor. The marking process is as follows:

• Receipt of the thesis will be recorded and an electronic copy of the thesis will be forwarded to the student's thesis supervisor and reviewer with a grading form for comments.
• The thesis supervisor will return the grading form with comments and a grade recommendation to the PSYCH 499 course administrator and the thesis reviewer.
• The thesis reviewer will be responsible for assigning the final grade and will return the completed grading form to the PSYCH 499 course administrator .
• T he PSYCH 499 course administrator will notify the student and the Registrar's Office of the final grade. The final numerical grade for the thesis will be recorded for each of PSYCH 499A, 499B, and 499C.
• Page 2 of the grading form will be returned to the student.

Extensions on the thesis submission deadline

We will do our best to ensure that students graduate at the preferred convocation date; however, we cannot guarantee that students who submit honours theses for marking after the deadline will be able to graduate at the preferred convocation date.

Students should refer to the PSYCH 499 website on a regular basis for information regarding PSYCH 499 deadlines that may affect the target date for submitting the honours thesis for marking (e.g., for getting one's name on the convocation program, for sending transcripts and/or letters regarding completion of the degree to other schools for admission purposes, to be considered for awards, etc.).

We strongly advise that students submit the thesis for marking at least four to six weeks prior to the date of convocation. Further, they should confirm that their thesis supervisor will be available to grade the thesis within a few days following submission of the thesis.

Students who do not submit an honours thesis for marking by the end of the examination period for the PSYCH 499C term require approval for an extension from their thesis supervisor. After speaking with the thesis supervisor, the student must report the revised date of completion to the PSYCH 499 course administrator . They will be given an IP (In Progress) grade for PSYCH 499C if they have done the oral presentation for PSYCH 499B and if they are making reasonable progress on the thesis. Otherwise, an INC (Incomplete) grade will be submitted for PSYCH 499C. INC and IP grades for PSYCH 499 do not impact on average calculations and students with either of these grades can be considered for the Dean's honours list. However, students with INC grades are not eligible for scholarship consideration. Note that INC grades convert to FTC (failure to complete = 32%) after 70 days.

Notes: 1. Honours students with INC and/or IP grades for PSYCH 499ABC will be unable to graduate (e.g., with a General BA in Psychology) until those grades are replaced by final grades (e.g., 32%) and the grades have been factored into the average calculation. In such cases, the student must meet all graduation requirements, including overall average, Psychology average, and minimum number of courses required. 2. If IP grades for all of PSYCH 499ABC remain on the record for 12 months following the PSYCH 499C term, the Registrar's Office will convert the IP grades to FTC (failure to complete = 32%). If this occurs, consult with the Psychology undergraduate advisor regarding your options.

Capture your thesis on video!

As of Fall 2012, we are asking honours thesis students if they'd like to take part in a voluntary "video snapshot" of their work. This is a great way to tell others about your thesis, and your experience at the University of Waterloo.

Upon completion of your thesis and submission of your 499C document, we are asking students to arrange for someone from their supervisor's lab to take a short 1-2 minute video clip of you the student.  In that video, we'd like to hear a 'grand summary of what you researched, and what you found out'. We'd also love to hear about 'what you learned in the honours thesis course'.

These video clips can be taken with a smartphone (or other video camera), then emailed to the PSYCH 499 coordinator  or the PSYCH 499 course administrator . Alternatively you can arrange a time to be videotaped by the course administrator (ideally when handing in your 499C final thesis document).

Completing a video is optional, and should be done ideally within two weeks of submission of your thesis. Whether or not you choose to capture your thesis on video will in no way affect your grade in the 499 honours thesis course. Once we have reviewed the video we will upload it to our Psychology website for general viewing by the public. Permission forms to release your photo/video on the Department of Psychology’s website will be available from the  PSYCH 499 coordinator . The Model Release Form can also be found on Waterloo's Creative Services website.

Convocation awards

Each year the Psychology Department nominates a student(s) for the following awards: Governor General Silver Medal (university level), the Alumni Gold Medal (faculty level), and the Psychology Departmental convocation award. These awards are only given at the June convocation. Typically, only honours students who have final grades for all course work, including the honours thesis, by the first week of May can be considered for these awards. Students whose overall and Psychology averages fall in the 88-100% range are strongly encouraged to adhere to the thesis submission deadlines noted above.

The Office of Research Ethics (ORE) at the University of Waterloo is responsible for the ethics review and clearance of all research conducted on and off-campus by University of Waterloo students, staff, and faculty that involves human and animal (live, non-human vertebrates) participants.

Research involving human or animal participants must not begin until notification of full ethics clearance has been provided by the ORE.

Information regarding the application and ethics review process for research involving human participants is available on the Office of Research Ethics web site. However, specific information regarding the ethics application process for Honours thesis research is provided below.

Information regarding the application and ethics review process for research involving animals is also available on the Office of Research Ethics web site.

For individual contacts in the ORE, see 'Contacts' in this handbook.

Ethics Application: Once the rationale and hypotheses for the thesis project have been formulated and basic design and procedures have been determined, the student may submit the project for ethics review and clearance.

In order to ensure that students have a good understanding of the ethics review process and guidelines they are required to complete the TCPS2 -2022 CORE Tutorial (described below) prior to preparing your ethics application.

Upon completion of the CORE Tutorial, the student may begin the ethics application by signing onto the Kuali System for Ethics located at UWaterloo Ethics either starting the application on their own, or having the Thesis Advisor begin it. Please note that the student will need to have accessed the Kuali system in order for the Advisor to add them to the protocol. The advisor should be listed as the Principal Investigator and the level of research should be Senior Honours Thesis.

All Thesis projects require new ethics unless alternative arrangements have been made to make use of a currently running project. This should be discussed with the thesis advisor and approval should be obtained from the department to create an amendment for the project.

Upon receipt of Full Ethics Clearance, and if the student and supervisor are sure that there will be no revisions to the design or procedures, then data collection may begin. Whenever possible though, we encourage you to complete the Research Proposal and Oral Presentation before you begin data collection.

Note that procedures for applying for ethics clearance vary according to the type of sample -- for example, university students versus children in the Early Childhood Education Centre, etc. Further details are provided below.

Study Modifications: Based on feedback provided at the student’s Oral Presentation, the student and thesis supervisor may decide to make some modifications to the research plans. If the ethics application has not yet been submitted for review, then the changes can be incorporated into the application. If you have received ethics clearance, then you will need to submit an amendment by logging into Kuali and selecting the amendment option from the right hand side.

Human Participants in Research

Honours Thesis students must read and be familiar with the University of Waterloo guidelines and procedures for conducting research with human participants before submitting their applications for ethics clearance to conduct research.

The following is an excerpt from the guidelines:

“The ethics review process is intended to offer a level of assurance to research participants, the investigators and the University that research participants will be involved in ethically sound and well-designed research, and will be engaged in a prior consent process that is fully informed and voluntary. The ethics review process also ensures adequate protection of individuals’ privacy as well as confidentiality of information they provide. In addition, the ethics review process increases the probability that all known and anticipated risks associated with the research are identified and adequately communicated to participants prior to participation. Moreover, it ensures that the known and potential risks are judged to be outweighed by potential benefits from conducting the research. Procedures used to recruit participants are examined to ensure they are free of explicit or implicit coercion and enable participants to withdraw their consent at any time without fear of reprisal.”

Research conducted in the Psychology department follows the ethical guidelines set out in the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans, 2nd edition (TCPS 2 - 2022).

Please note that effective January 1, 2024 you will need to be up to date with your TCPS to include the 2022 version. If you have only completed the TCPS2 you will need to renew your certification.

Associated with the TCPS 2-2022 is an online tutorial called Course on Research Ethics (CORE). CORE is comprised of 9 modules, is self-paced and includes interactive exercises and multi-disciplinary examples. A certificate of completion is provided. CORE replaces and updates the earlier TCPS Tutorial. In order to ensure that you have a better understanding of the ethics review guidelines you are required to complete the CORE Tutorial prior to submitting your ethics application. Please note that if you have already completed the CORE Tutorial as an RA for example, you are not required to complete it again. Upon completion of the CORE Tutorial please send a copy of the Completion Certificate to the DERC Officer . The link to CORE is: http://pre.ethics.gc.ca/eng/education/tutorial-didacticiel/

The particular procedures for applying for ethics clearance for research with human participants depends on the population from which participants are obtained; however, all projects require the submission of an application form to the Office of Research Ethics (ORE).

Note : All research ethics applications must include:

• REG (Sona Description), PSYCPool (email/phone scripts), SLC (Flyer/Poster)
• Information/Consent Letter (+ Post-debriefing Consent if deception)
• Feedback/Appreciation Letter (+ Oral Debriefing if deception)
• Survey/Questionnaire/Interview items/Stimulus Appendices
• Research Proposal

Thesis supervisors and reviewers are given the following guidelines when they are asked to recommend a final grade for the honours thesis:

Each year, the Psychology Department recognizes the achievement of a small number of students who have produced the most outstanding honours theses. Theses will be considered for a thesis award if the thesis supervisor nominates the student and the thesis receives a final grade of 93 or above. Theses submitted for marking after the second Friday in May will not be considered for a thesis award. Nominated theses will be reviewed to select the award recipients and the recipients will be notified by the Psychology Undergraduate Office.

The thesis conference is an informal forum for students to present (orally or in poster format) a summary of their honours thesis to a friendly and enthusiastic audience of their peers and to discuss their work with others who have similar interests.

Registration is required. There is no registration fee for presenters or thesis supervisors and lunch is provided. Participants report that the event is very worthwhile and enjoyable. Clearly a great way to end fourth year!

The conference is typically held at the end of April or early May. If you will be presenting at the conference, data collection for the thesis should be completed by March. You are not required to present a complete analysis of your thesis results at the conference.

Further details about the thesis conference

Failing to adhere to established standards in the conduct of research is a serious offence. Please refer to "Obtaining ethics clearance for research" above for further details.

Students should also familiarize themselves with Policy 71 (Student Academic Discipline Policy) as well as the advice from the Faculty of Arts regarding avoiding academic offences .

Please check the Information Systems & Technology (IST) Department website for information regarding setting up your University of Waterloo computer account, accessing the internet, costs for printing, accessing your account from off-campus, etc. If you are enrolled in the Faculty of Arts, please also check the Arts Computing Office website for information.

The University of Waterloo computer accounts give students free access to applications such as word processing, statistical and graphics packages, spreadsheets, and electronic mail. Students also have access to the internet which allows them to use Waterloo's Electronic Library including the electronic journal article databases. Students are charged for printing and can put money for printing on to their resource account at various locations across campus including PAS 1080 using their WatCard.

It is critical that the University (e.g., administration, instructors, academic advisors, etc.) can reach you reliably by email (e.g., regarding academic standing, degree requirements, deadlines, etc.). If you are using a web email account such as Hotmail or Yahoo, we strongly encourage you to consider using a more reliable email account such as your Waterloo account. Your Waterloo account is just as easy to use from off-campus as other free web accounts but is more secure. You can access your Waterloo account from the " mywaterloo " website.

If you are using an email address other than your Waterloo email address you should do one of the following two things:

• change the email address that you want posted on the university directory, or
• activate your Waterloo account and arrange for the email from your Waterloo account to be forwarded to your alternate email address. The alternate email address will not appear on the university directory.

Intent to Graduate Forms and general convocation information is available on the Registrar's Office website. Students who want to graduate in June must submit an Intent to Graduate Form to the Registrar's Office before March 1. The deadline to apply for  October convocation is August 1. Students who apply to graduate, but do not complete their honours thesis in time to graduate at the preferred convocation must submit another Intent to Graduate Form for the next convocation.

Those who submit their thesis for marking beyond the end of the final examination period for the PSYCH 499C term should refer to " Extensions on the thesis submission deadline " for further details regarding graduation deadlines.

Office of research ethics

Psychology department

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

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

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

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

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

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

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

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

What is a conceptual framework?

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

Steps to develop a conceptual framework

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

Types of variables

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

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

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

Example of a conceptual framework

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

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

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

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

What is a theoretical framework?

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

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

Purpose of a theoretical framework

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

Steps to develop a theoretical framework

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

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

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

Structuring a theoretical framework

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

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

Example of a theoretical framework

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

Company X is not achieving their monthly sales targets

To increase monthly sales.

Research question:

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

Sub-questions:

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

Theoretical framework:

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

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

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

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

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

What is the difference between mediating versus moderating variables? +

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

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

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

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Color and psychological functioning: a review of theoretical and empirical work

In the past decade there has been increased interest in research on color and psychological functioning. Important advances have been made in theoretical work and empirical work, but there are also important weaknesses in both areas that must be addressed for the literature to continue to develop apace. In this article, I provide brief theoretical and empirical reviews of research in this area, in each instance beginning with a historical background and recent advancements, and proceeding to an evaluation focused on weaknesses that provide guidelines for future research. I conclude by reiterating that the literature on color and psychological functioning is at a nascent stage of development, and by recommending patience and prudence regarding conclusions about theory, findings, and real-world application.

The past decade has seen enhanced interest in research in the area of color and psychological functioning. Progress has been made on both theoretical and empirical fronts, but there are also weaknesses on both of these fronts that must be attended to for this research area to continue to make progress. In the following, I briefly review both advances and weaknesses in the literature on color and psychological functioning.

Theoretical Work

Background and recent developments.

Color has fascinated scholars for millennia ( Sloane, 1991 ; Gage, 1993 ). Theorizing on color and psychological functioning has been present since Goethe (1810) penned his Theory of Colors , in which he linked color categories (e.g., the “plus” colors of yellow, red–yellow, yellow–red) to emotional responding (e.g., warmth, excitement). Goldstein (1942) expanded on Goethe’s intuitions, positing that certain colors (e.g., red, yellow) produce systematic physiological reactions manifest in emotional experience (e.g., negative arousal), cognitive orientation (e.g., outward focus), and overt action (e.g., forceful behavior). Subsequent theorizing derived from Goldstein’s ideas has focused on wavelength, positing that longer wavelength colors feel arousing or warm, whereas shorter wavelength colors feel relaxing or cool ( Nakashian, 1964 ; Crowley, 1993 ). Other conceptual statements about color and psychological functioning have focused on general associations that people have to colors and their corresponding influence on downstream affect, cognition, and behavior (e.g., black is associated with aggression and elicits aggressive behavior; Frank and Gilovich, 1988 ; Soldat et al., 1997 ). Finally, much writing on color and psychological functioning has been completely atheoretical, focused exclusively on finding answers to applied questions (e.g., “What wall color facilitates worker alertness and productivity?”). The aforementioned theories and conceptual statements continue to motivate research on color and psychological functioning. However, several other promising theoretical frameworks have also emerged in the past decade, and I review these frameworks in the following.

Hill and Barton (2005) noted that in many non-human animals, including primate species, dominance in aggressive encounters (i.e., superior physical condition) is signaled by the bright red of oxygenated blood visible on highly vascularized bare skin. Artificial red (e.g., on leg bands) has likewise been shown to signal dominance in non-human animals, mimicking the natural physiological process ( Cuthill et al., 1997 ). In humans in aggressive encounters, a testosterone surge produces visible reddening on the face and fear leads to pallor ( Drummond and Quay, 2001 ; Levenson, 2003 ). Hill and Barton (2005) posited that the parallel between humans and non-humans present at the physiological level may extend to artificial stimuli, such that wearing red in sport contests may convey dominance and lead to a competitive advantage.

Other theorists have also utilized a comparative approach in positing links between skin coloration and the evaluation of conspecifics. Changizi et al. (2006) and Changizi (2009) contend that trichromatic vision evolved to enable primates, including humans, to detect subtle changes in blood flow beneath the skin that carry important information about the emotional state of the conspecific. Increased red can convey anger, embarrassment, or sexual arousal, whereas increased bluish or greenish tint can convey illness or poor physiological condition. Thus, visual sensitivity to these color modulations facilitates various forms of social interaction. In similar fashion, Stephen et al. (2009) and Stephen and McKeegan (2010) propose that perceivers use information about skin coloration (perhaps particularly from the face, Tan and Stephen, 2012 ) to make inferences about the attractiveness, health, and dominance of conspecifics. Redness (from blood oxygenization) and yellowness (from carotenoids) are both seen as facilitating positive judgments. Fink et al. (2006) and Fink and Matts (2007) posit that the homogeneity of skin coloration is an important factor in evaluating the age, attractiveness, and health of faces.

Elliot and Maier (2012) have proposed color-in-context theory, which draws on social learning, as well as biology. Some responses to color stimuli are presumed to be solely due to the repeated pairing of color and particular concepts, messages, and experiences. Others, however, are presumed to represent a biologically engrained predisposition that is reinforced and shaped by social learning. Through this social learning, color associations can be extended beyond natural bodily processes (e.g., blood flow modulations) to objects in close proximity to the body (e.g., clothes, accessories). Thus, for example, red may not only increase attractiveness evaluations when viewed on the face, but also when viewed on a shirt or dress. As implied by the name of the theory, the physical and psychological context in which color is perceived is thought to influence its meaning and, accordingly, responses to it. Thus, blue on a ribbon is positive (indicating first place), but blue on a piece of meat is negative (indicating rotten), and a red shirt may enhance the attractiveness of a potential mate (red = sex/romance), but not of a person evaluating one’s competence (red = failure/danger).

Meier and Robinson (2005) and Meier (in press ) have posited a conceptual metaphor theory of color. From this perspective, people talk and think about abstract concepts in concrete terms grounded in perceptual experience (i.e., they use metaphors) to help them understand and navigate their social world ( Lakoff and Johnson, 1999 ). Thus, anger entails reddening of the face, so anger is metaphorically described as “seeing red,” and positive emotions and experiences are often depicted in terms of lightness (rather than darkness), so lightness is metaphorically linked to good (“seeing the light”) rather than bad (“in the dark”). These metaphoric associations are presumed to have implications for important outcomes such as morality judgments (e.g., white things are viewed as pure) and stereotyping (e.g., dark faces are viewed more negatively).

For many years it has been known that light directly influences physiology and increases arousal (see Cajochen, 2007 , for a review), but recently theorists have posited that such effects are wavelength dependent. Blue light, in particular, is posited to activate the melanopsin photoreceptor system which, in turn, activates the brain structures involved in sub-cortical arousal and higher-order attentional processing ( Cajochen et al., 2005 ; Lockley et al., 2006 ). As such, exposure to blue light is expected to facilitate alertness and enhance performance on tasks requiring sustained attention.

Evaluation and Recommendations

Drawing on recent theorizing in evolutionary psychology, emotion science, retinal physiology, person perception, and social cognition, the aforementioned conceptualizations represent important advances to the literature on color and psychological functioning. Nevertheless, theory in this area remains at a nascent level of development, and the following weaknesses may be identified.

First, the focus of theoretical work in this area is either extremely specific or extremely general. A precise conceptual proposition such as red signals dominance and leads to competitive advantage in sports ( Hill and Barton, 2005 ) is valuable in that it can be directly translated into a clear, testable hypothesis; however, it is not clear how this specific hypothesis connects to a broader understanding of color–performance relations in achievement settings more generally. On the other end of the spectrum, a general conceptualization such as color-in-context theory ( Elliot and Maier, 2012 ) is valuable in that it offers several widely applicable premises; however, these premises are only vaguely suggestive of precise hypotheses in specific contexts. What is needed are mid-level theoretical frameworks that comprehensively, yet precisely explain and predict links between color and psychological functioning in specific contexts (for emerging developments, see Pazda and Greitemeyer, in press ; Spence, in press ; Stephen and Perrett, in press ).

Second, the extant theoretical work is limited in scope in terms of range of hues, range of color properties, and direction of influence. Most theorizing has focused on one hue, red, which is understandable given its prominence in nature, on the body, and in society ( Changizi, 2009 ; Elliot and Maier, 2014 ); however, other hues also carry important associations that undoubtedly have downstream effects (e.g., blue: Labrecque and Milne, 2012 ; green: Akers et al., 2012 ). Color has three basic properties: hue, lightness, and chroma ( Fairchild, 2013 ). Variation in any or all of these properties could influence downstream affect, cognition, or behavior, yet only hue is considered in most theorizing (most likely because experientially, it is the most salient color property). Lightness and chroma also undoubtedly have implications for psychological functioning (e.g., lightness: Kareklas et al., 2014 ; chroma: Lee et al., 2013 ); lightness has received some attention within conceptual metaphor theory ( Meier, in press ; see also Prado-León and Rosales-Cinco, 2011 ), but chroma has been almost entirely overlooked, as has the issue of combinations of hue, lightness, and chroma. Finally, most theorizing has focused on color as an independent variable rather than a dependent variable; however, it is also likely that many situational and intrapersonal factors influence color perception (e.g., situational: Bubl et al., 2009 ; intrapersonal: Fetterman et al., 2015 ).

Third, theorizing to date has focused primarily on main effects, with only a modicum of attention allocated to the important issue of moderation. As research literatures develop and mature, they progress from a sole focus on “is” questions (“Does X influence Y?”) to additionally considering “when” questions (“Under what conditions does X influence Y and under what conditions does X not influence Y?”). These “second generation” questions ( Zanna and Fazio, 1982 , p. 283) can seem less exciting and even deflating in that they posit boundary conditions that constrain the generalizability of an effect. Nevertheless, this step is invaluable in that it adds conceptual precision and clarity, and begins to address the issue of real-world applicability. All color effects undoubtedly depend on certain conditions – culture, gender, age, type of task, variant of color, etc. – and acquiring an understanding of these conditions will represent an important marker of maturity for this literature (for movement in this direction, see Schwarz and Singer, 2013 ; Tracy and Beall, 2014 ; Bertrams et al., 2015 ; Buechner et al., in press ; Young, in press ). Another, more succinct, way to state this third weakness is that theorizing in this area needs to take context, in all its forms, more seriously.

Empirical Work

Empirical work on color and psychological functioning dates back to the late 19th century ( Féré, 1887 ; see Pressey, 1921 , for a review). A consistent feature of this work, from its inception to the past decade, is that it has been fraught with major methodological problems that have precluded rigorous testing and clear interpretation ( O’Connor, 2011 ). One problem has been a failure to attend to rudimentary scientific procedures such as experimenter blindness to condition, identifying, and excluding color deficient participants, and standardizing the duration of color presentation or exposure. Another problem has been a failure to specify and control for color at the spectral level in manipulations. Without such specification, it is impossible to know what precise combination of color properties was investigated, and without such control, the confounding of focal and non-focal color properties is inevitable ( Whitfield and Wiltshire, 1990 ; Valdez and Mehrabian, 1994 ). Yet another problem has been the use of underpowered samples. This problem, shared across scientific disciplines ( Maxwell, 2004 ), can lead to Type I errors, Type II errors, and inflated effect sizes ( Fraley and Vazire, 2014 ; Murayama et al., 2014 ). Together, these methodological problems have greatly hampered progress in this area.

Although some of the aforementioned problems remain (see “Evaluation and Recommendations” below), others have been rectified in recent work. This, coupled with advances in theory development, has led to a surge in empirical activity. In the following, I review the diverse areas in which color work has been conducted in the past decade, and the findings that have emerged. Space considerations require me to constrain this review to a brief mention of central findings within each area. I focus on findings with humans (for reviews of research with non-human animals, see Higham and Winters, in press ; Setchell, in press ) that have been obtained in multiple (at least five) independent labs. Table ​ Table1 1 provides a summary, as well as representative examples and specific references.

Research on color and psychological functioning.

In research on color and selective attention, red stimuli have been shown to receive an attentional advantage (see Folk, in press , for a review). Research on color and alertness has shown that blue light increases subjective alertness and performance on attention-based tasks (see Chellappa et al., 2011 , for a review). Studies on color and athletic performance have linked wearing red to better performance and perceived performance in sport competitions and tasks (see Maier et al., in press , for a review). In research on color and intellectual performance, viewing red prior to a challenging cognitive task has been shown to undermine performance (see Shi et al., 2015 , for a review). Research focused on color and aggressiveness/dominance evaluation has shown that viewing red on self or other increases appraisals of aggressiveness and dominance (see Krenn, 2014 , for a review). Empirical work on color and avoidance motivation has linked viewing red in achievement contexts to increased caution and avoidance (see Elliot and Maier, 2014 , for a review). In research on color and attraction, viewing red on or near a female has been shown to enhance attraction in heterosexual males (see Pazda and Greitemeyer, in press , for a review). Research on color and store/company evaluation has shown that blue on stores/logos increases quality and trustworthiness appraisals (see Labrecque and Milne, 2012 , for a review). Finally, empirical work on color and eating/drinking has shown that red influences food and beverage perception and consumption (see Spence, in press , for a review).

The aforementioned findings represent important contributions to the literature on color and psychological functioning, and highlight the multidisciplinary nature of research in this area. Nevertheless, much like the extant theoretical work, the extant empirical work remains at a nascent level of development, due, in part, to the following weaknesses.

First, although in some research in this area color properties are controlled for at the spectral level, in most research it (still) is not. Color control is typically done improperly at the device (rather than the spectral) level, is impossible to implement (e.g., in web-based platform studies), or is ignored altogether. Color control is admittedly difficult, as it requires technical equipment for color assessment and presentation, as well as the expertise to use it. Nevertheless, careful color control is essential if systematic scientific work is to be conducted in this area. Findings from uncontrolled research can be informative in initial explorations of color hypotheses, but such work is inherently fraught with interpretational ambiguity ( Whitfield and Wiltshire, 1990 ; Elliot and Maier, 2014 ) that must be subsequently addressed.

Second, color perception is not only a function of lightness, chroma, and hue, but also of factors such as viewing distance and angle, amount and type of ambient light, and presence of other colors in the immediate background and general environmental surround ( Hunt and Pointer, 2011 ; Brainard and Radonjić, 2014 ; Fairchild, 2015 ). In basic color science research (e.g., on color physics, color physiology, color appearance modeling, etcetera; see Gegenfurtner and Ennis, in press ; Johnson, in press ; Stockman and Brainard, in press ), these factors are carefully specified and controlled for in order to establish standardized participant viewing conditions. These factors have been largely ignored and allowed to vary in research on color and psychological functioning, with unknown consequences. An important next step for research in this area is to move to incorporate these more rigorous standardization procedures widely utilized by basic color scientists. With regard to both this and the aforementioned weakness, it should be acknowledged that exact and complete control is not actually possible in color research, given the multitude of factors that influence color perception ( Committee on Colorimetry of the Optical Society of America, 1953 ) and our current level of knowledge about and ability to control them ( Fairchild, 2015 ). As such, the standard that must be embraced and used as a guideline in this work is to control color properties and viewing conditions to the extent possible given current technology, and to keep up with advances in the field that will increasingly afford more precise and efficient color management.

Third, although in some research in this area, large, fully powered samples are used, much of the research remains underpowered. This is a problem in general, but it is particularly a problem when the initial demonstration of an effect is underpowered (e.g., Elliot and Niesta, 2008 ), because initial work is often used as a guide for determining sample size in subsequent work (both heuristically and via power analysis). Underpowered samples commonly produce overestimated effect size estimates ( Ioannidis, 2008 ), and basing subsequent sample sizes on such estimates simply perpetuates the problem. Small sample sizes can also lead researchers to prematurely conclude that a hypothesis is disconfirmed, overlooking a potentially important advance ( Murayama et al., 2014 ). Findings from small sampled studies should be considered preliminary; running large sampled studies with carefully controlled color stimuli is essential if a robust scientific literature is to be developed. Furthermore, as the “evidentiary value movement” ( Finkel et al., 2015 ) makes inroads in the empirical sciences, color scientists would do well to be at the leading edge of implementing such rigorous practices as publically archiving research materials and data, designating exploratory from confirmatory analyses, supplementing or even replacing significant testing with “new statistics” ( Cumming, 2014 ), and even preregistering research protocols and analyses (see Finkel et al., 2015 , for an overview).

In both reviewing advances in and identifying weaknesses of the literature on color and psychological functioning, it is important to bear in mind that the existing theoretical and empirical work is at an early stage of development. It is premature to offer any bold theoretical statements, definitive empirical pronouncements, or impassioned calls for application; rather, it is best to be patient and to humbly acknowledge that color psychology is a uniquely complex area of inquiry ( Kuehni, 2012 ; Fairchild, 2013 ) that is only beginning to come into its own. Findings from color research can be provocative and media friendly, and the public (and the field as well) can be tempted to reach conclusions before the science is fully in place. There is considerable promise in research on color and psychological functioning, but considerably more theoretical and empirical work needs to be done before the full extent of this promise can be discerned and, hopefully, fulfilled.

Conflict of Interest Statement

The author declares that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.

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